Ellen Dissanayake

The Artification Hypothesis and Its Relevance to Cognitive Science, Evolutionary , and Neuroaesthetics

An etiological description of mother-infant interaction suggests that it was adaptive during . From their early weeks, infants universally respond to certain affect-laden elements of maternal commu- nication that can be called "proto-aesthetic". I hypothesize that these ca- pacities and receptivities, which evolved from about 1.7 million years ago to enable mother-infant bonding, became a reservoir of affective me- chanisms that could be used subsequendy by ancestral when they first began to "artify" - that is, when they invented the "" as ve- hicles of ceremonial religious experience. The etiological, evolutionary, and cross-cultural foundations of the Artification Hypothesis challenge current influential ideas in cognitive science, evolutionary aesthetics, and neuroaesthetics about human aesthetic capacities and behavior. The hy- pothesis offers a broader and deeper view to these fields by emphasizing preverbal, presymbolic, pancultural, cross-modal, supra-modal, participa- tive, temporally organized, affective, and affinitive aspects of aesthetic cognition and behavior. It additionally proposes that artifying is an unre- cognized but vital evolved component of human nature.

CORRESPONDENCE: Ellen Dissanayke. School of Music, University of Washington, Seattle, WA. EMAIL: [email protected]

Introduction Since the late 1950s, a number of once distinct areas in psychology and philosophy have gradually gathered under what might be called a cognitive umbrella or canopy. After incorporating an influential newcomer, cognitive neuroscience, it is not too much to say that two thousand years of theory about what once was called epistemology have been irrevocably altered—subsumed by and re-conceptualized as "the brain" and "mind". The successes of cognitive science, along with those of its fellow-traveler , have led some researchers recently to train their field glasses on philosophical subjects that have traditionally been of little interest to neuroscience or evolution — aesthetics and the arts. Thus we have "neuroaes- thetics" (Ramachandran & Hirstein 1999, Skov & Vartanian 2009. Zeki 1999), "evolutionary aesthetics" (Voland & Grammer 2003), and now, in this volume, "aesthetic cognition".

Cognitive Semiotics, Issue 5 (Fall 2009), pp. 136-158 THE ARTIFICATION HYPOTHESIS |

My own academic work in arts and aesthetics was underway before the prominence of cognitive studies, although I was one of the first to approach these subjects from the perspectives of ethology and what soon became evolutionary psychology (Dissanayake 1974, 1979, 1984). Working in parallel with but outside the cognidvist project, I gradually developed a hypothesis that locates the emergence of aesthetic (or "proto-"aesthetic) capacities and sensitivities in the evolution of a universal biologically-essential behavior — coordinated interactions between human mothers and their immature infants that contributed to the survival of the latter and consequently to a mother's reproductive success. I argue that this "bonding ritual", as it began to evolve in early hominin mother-infant pairs - perhaps as early as 1.7 million years ago (Falk 2009, Leakey 1994) - relied upon distinctive emotionally affecting "proto- aesthetic operations"1 on common vocal, facial, and kinetic expressions of friendliness or affiliation, making them attention-getting and pleasurable. Importandy, the interaction became temporally-organized, allowing for further aesthetic effects (see below and Dissanayake 2000,2008, 2009). Consideration of proto-aesthetic components that inhere in this generally overlooked human behavior - notable for being dyadic and collaborative rather than individual and self-interested2 - provides important additions to or modifications of the orthodox cognitivist project as well as to orthodox evolutionary psychology. Indeed, it is not too much to suggest that "cognition" is not only embodied (Lakoff & Johnson 1999, Slingerland 2008) but that the readiness to respond to affect-laden (proto)-aesthetic operations, in place at the beginning of human life, precedes and influences the development of embodied cognition (or any other kind). Additionally, the evolutionary appearance and development of "artification" - a behavioral predisposition for deliberate use of aesthetic operations by adult individuals and groups in contexts and circum- stances of uncertainty (occurring perhaps as early as 200 kya [thousand years ago])3 - has implications for prevalent cognitivist and evolutionary ideas about the relationship between ritual, religion, and the arts. Moreover, the ethological, evolutionary, and cross-cultural perspectives of the artification hypothesis

1 The modifier "proto" indicates that although these alterations of communicative signals can be considered "aesthetic", mothers use them spontaneously and unconsciously with infants, not intentionally as they are later employed in deliberate artification. 2 Certainly parent and infant have competing interests (Trivers 1974) and altruism provides benefits to the self (Hamilton 1964, Maynard Smith 1964). Yet let us not forget that the lives of our Pleistocene ancestors required not only resourceful, competitive individuals but also strongly bonded social groups that could work together with confidence and loyalty. The usual view of humans as selfish, cooperating only so they can advance their own interests, cannot account for the tenacity and resilience of their emotional bonds to one another (Cacioppo & Patrick 2008, Gintis 2000, Rossano 2007, Sober & Wilson 1998, Sterelny 1996, Taylor 1992). 3 The beginning of (ification) depends on what one considers to be "art". Cupules - patterned, repeated hemispherical indentations in rock surfaces, which I consider to be an early instance of artification - have been minimally dated from as early as 200-150kya in Auditorium Cave in Bhimbetka, India (Bednarik 2003). I E. DISSANAYAKE

broaden and deepen the current cognitivist purview of human aesthetic capacities and behavior by emphasizing their preverbal, presymbolic, pancultur- al, cross-modal, supra-modal, participative, temporally-organized, affective, and affinitive aspects. The artification hypothesis as presented here is necessarily speculative, but grows out of the synthesis of an array of established findings and well-researched conjectures about early human and hominin behavior.

PART I. THE ARTIFICATION HYPOTHESIS Proto-Aesthetic Dispositions in Infants During the years that cognitive science was becoming consolidated, develop- mental psychologists began to discover remarkable cognitive abilities in young infants. Before these investigations, common pediatric wisdom held that apart from a few innate reflex behaviors - crying, suckling, clinging, startling - babies were pretty much wax tablets for their elders to inscribe as they (and their cultures) decreed. Today, however, it is well established that newborns come into the world with decided preferences and motivations, so that one can speak intelligendy of "infant semiosis" and even "fetal psychology" (Trevarthen 1994, 1997). We now know that newborns have innate capacities that predispose them not only to solicit physical care but specifically to elicit social and emotional interaction with others. For example, newborns prefer human faces to any other sight and human voices to any other sound. They can imitate face, mouth, and hand movements (Meltzoff & Moore 1977) and respond appro- priately to another person's emotional expressions of sadness, fear, and surprise (Field et al. 1982). At birth, infants can estimate and anticipate intervals of time and temporal sequences and remember these temporal patterns, categorizing them both in time and space and in terms of affect and arousal (Jaffe et al. 2001). By six weeks of age, these perceptual and cognitive abilities permit normal infants to engage with adult partners in complex communicative interchanges — the playful behavior that is colloquially called "baby talk". In all cultures,4 human mothers (and other adults) behave differently with infants than with adults or even older children. They use a special vocal register: a high, soft, breathy, singsong tone of voice, which babies prefer to typical adult conversational speech. Vocal contours are much more labile than in ordinary speech directed to other adults (Fernald 1992), and the tempo of speaking is slower (Longhi 2003).

4 Mother-infant interaction has been well studied in a number of different cultures over the past quarter century (Field et al. 1981, Leiderman et al. 19"7"7). Although differences have been found among the practices of different socioeconomic classes and ethnic groups in the United States and Europe and variations observed among these and some Native American and African societies, for the most part the differences arc small, having to do with the proportion of time spent looking, smiling, and vocalizing bv the mother or infant and with the pace and intensity of the encounters. THE ARTI Fl CATION HYPOTHESIS |

Even though they realize that infants cannot understand words, many mothers speak to small babies as if they expect a reply: "You going to tell me a story? Tell me a story then. Tell me a story. Really! Ah, that's a good story! That's a good story, tell me more. Tell me more. Tell me more, yes?" As evident from this example, the utterances are simplified, rhythmic, and highly repetitive. Transcripts such as these reveal poetic features: talk to babies is composed of phrases, each (whether having two or nine syllables) about three and a half to five seconds in length - the temporal length of a poetic line, a musical phrase, and a phrase of speech in adults (Lynch et al. 1995, Turner 1985) - and these phrase segments are combined with others in "stanzas" that comprise a theme with variations. Subtler poetic features of language such as metrics, phonetics, and foregrounding are discernible with further close analysis (Miall & Dissanayake 2002). Despite the fact that in some societies there is no tradition of talking to babies, other rhythmically regular noises such as tongue- clicking, hissing, grunting, or lip-smacking may be used and supplemented by physical movements and exaggerated facial expressions. Even deaf mothers use a "baby talk" version of sign language (simplified, exaggerated, and repetitive), which a deaf baby prefers to adult-oriented signing (Masataka 1996). Along with this special vocal behavior, adults engage and keep infants' attention by the use of rhythmic body movements (touching, patting, stroking), hugging and kissing, unusual facial expressions (uninterrupted gazing into the baby's eyes, sustained smiles, an open mouth, widened eyes, raised eyebrows), and characteristic head movements (backward bobs, nods, and wags). The baby responds to these peculiarly repetitive, exaggerated, and elaborated antics with wriggles, kicks, and smiles. Indeed, it is infants' own positive and negative reactions that persuade caretakers to entertain them with only certain kinds of movements, expressions and sounds, for without an expected infant response (and one's own wish to provoke it) there would be no reason to behave in this unusual and odd way. It is not too much to say that the behavior is dyadic, since infants actively elicit, shape, and otherwise influence the pace, intensity, and variety of signals that adults present to them. Another important and relevant finding is that infants perceive their mother's vocal, visual, and kinetic signals simultaneously as a package (Schore 1994) and in general are capable of cross-modal processing. For example, three- week-olds can perceive the similarity between bright colors and loud sounds (Lewkowicz & Turkewitz 1980). At six months babies recognize that a pulsing tone (heard) and a dotted line (seen) are alike, as are a continuous tone and an unbroken line (Wagner et al. 1981). Thus in early interactions, behaviors are not only direcdy mirrored or imitated but also may be matched by either partner in supramodal qualities such as intensity, contour, duration, or rhythm — qualities that apply to any sense modality. That is to say, the loudness of a sound may be matched by a strong arm or leg movement (or vice versa) or the downward contour of a head movement by a downward fall of the voice (or vice versa) 140 I E. DiSSANAYAKE

(Beebe & Gerstman 1984, Eimas 1984, Marks, Hammeal, & Bomstein 1987, Stern 1985). The temporal dimension is also significant. Microanalyses of videotaped engagements reveal that the ongoing packages of simultaneous sounds, movements, and facial expressions exchanged by the pair are exquisitely coordinated in time.5 Both mother and baby adjust their responses to each other within seconds or fractions of seconds, according to discernible "rules" of mutual regulation that are made up as they go along (Beebe 1986, Beebe, Stern & Jaffe 1979, Beebe et al. 1988, Nadel et al. 1999, Papousek & Papousek 1981, Stern 1971). Over much of the first year of the infant's life, the pair engage and disengage, synchronize and alternate, practicing their physical, physiological, and emotional "attunement" by means of these multimodal expressive signals.

Mother-Infant Interaction is Adaptive Studies show that interaction with caretakers, as described in the preceding section, has practical cognitive and social benefits for infants, such as helping them to practice and perfect the give-and-take of social participation. It helps them to recognize and regulate their own shifting levels of emotion and assists their recognition of prototypical sounds of the language they will eventually speak. By anticipating what comes next in a familiar sequence, the baby "hypothesizes" or predicts when a climax will occur and then experiences its fulfillment. Being able to recognize pattern in the behavior of others - what psychologists call "sequencing" - is essential to eventual social and intellectual competence, making it possible to comprehend and predict others' behavior (Greenspan 1997: 6, 67). I claim that mother-infant interaction is, in fact, a bona fide that evolutionary psychologists have largely overlooked, despite its ubiquity. In evolutionary theory, an adaptation is an anatomical structure, a physiological process, or a behavior pattern that contributed to ancestral individuals' ability to survive and reproduce in competition with other members of their species (Crawford 1998). I argue that the evolution of mother-infant interaction as described above helped to address an important problem for our Pleistocene ancestors. Evolving hominins came to differ from earlier primates in various ways, including upright walking. Bipedalism required numerous gradual alterations in human skeletal and muscle anatomy, including a shortened and narrowed birth canal. At the same time, human brains were enlarging quite dramatically. These conflicting trends presented a serious problem at parturition and resulted, over millennia, in a gradually reduced gestation period that produced increasingly

5 There may be, of course, "miscoordinations," as when one or the other member of a pair is unresponsive or when a mother is "intrusive," unable to read the baby's signals of overstimu- lation and its wish to disengage (Beebe & Lachmann 1988). THE ARTIFICATION HYPOTHESIS |

immature infants that could pass through the reshaped birth canal.6 Compared to other primates, the resulting hominin babies were unusually helpless, requiring care and vigilance for an unprecedentedly long period of time. It has been calculated that for an infant human to be as mature at birth as an infant chimpanzee, gestation would last for 21 months and the baby would weigh 25 pounds (Gould 1977, Leakey 1994: 44, Portmann 1941). Based on fossil evidence, I suggest that the mother-infant interaction (with its proto-aesthetic operations) was underway in Homo ergaster, which lived approximately 1.7 million years ago,7 or its close relative or descendant H. erectas (Leakey 1994). The universal mother-infant interaction is, I propose, a behavioral adaptation that assured that mothers would be emotionally bonded to their immature offspring and thus willing to provide the necessary extended care over months and years. Such a hypothesis gains credibility when it is pointed out that each vocal, facial, and gestural component of mothers' signals to their babies is drawn from common ordinary vocal, facial, and gestural signals of friendliness and affinity used among adults. Soft, higher-pitched, relaxed voices; smiles, an open mouth, eyebrow-flashes, head bobs and nods; and touches, pats, hugs, and kisses are expressions and behaviors spontaneously and habitually used by individual adults in everyday friendly interaction with each other. Because higher primates also use similar expressions in ordinary sociable circumstances (King 2004), it is not farfetched to assume that our hominin ancestors also used them.

Ritualization Without even thinking about it, mothers make ordinary, everyday affinitive sounds, facial expressions, and head and body movements «tfraordinary. Just how extraordinary becomes clear if we imagine interacting with our friends and associates as we do with babies. Ethologists describe a similar or analogous phenomenon in other animals, especially birds. When ordinary movements and sounds are made conspicuous and distinctive, ethologists call this evolutionary process "ritualization" and the behaviors themselves "ritualized". In this process, head and body movements and/or vocalizations that are ordinarily used in an instrumental context (say, pecking for food, preening, plucking grass for a nest, making a sound that attracts parental attention) become altered in special ways. They are formalized (simplified or stereotyped), repeated, exaggerated, elaborated, and used in a new context to communicate a different, non-ordinary message. In the garganey duck, for example, the casual everyday

6 Other anatomical developed simultaneously to address this critical problem. Compared to other primates, considerable brain growth of human infants occurs after birth; the skull of human neonates can be compressed during parturition; and parturient human mothers have a separable pubic symphysis. 7 H. ergaster had a narrower pelvis than its predecessor, H. habilis, in which rapid brain expansion was occurring between 3-2mya (Wade 2006: 18-22). "Turkana Lad", a specimen of H. erectos of l.ómya, also has a narrow pelvis (Falk 2009: 51). I E. DISSANAYAKE

behavior of turning the head and cleaning the wing feathers is transformed by these special alterations into a noticeably different formal, regulari2ed and repeated activity in which preening does not occur at all. The head turns back and forth, swinging the bill so that its tip simply touches one spot on the wing, over and over again. In this context, the message is no longer "I'm preening" (as if anyone would care) but, rather, "I want to mate with you". Females have evolved to understand this new, acquired meaning. In mother-infant interaction, the instrumental context for, say, touching is grooming and tending; for smiling it is showing relaxed pleasure. The other signals similarly also communicate friendliness or affiliation. When simplified and regularized, repeated, exaggerated, and elaborated, however, the new message expresses and communicates intense affection, attentive reassurance, and delighted regard far beyond the usual casual contexts with other adults of friendly acknowledgement or companionship. Importandy, these particular ritualized signals of ancestral mothers were adaptive because - having origi- nated in innate affinitive expressions - they reinforced (when formalized, repeated, exaggerated, and elaborated) the neural circuits for affinitive feelings in a mother's own brain through proprioceptive feedback (Scherer & Zentner 2001). An infant who called forth from its mother frequent positive reinforce- ments of loving concern presumably enjoyed greater survival as its mother enjoyed greater reproductive success. Neither of the pair "knew" why they acted and responded as they did. Pleasure was the reward, as it is in other crucial adaptive behaviors relating to sex, food, rest, being liked and admired, and staying warm.

Proto-Aesthetic Operations and Artification The process of ritualization makes specific signals salient. Its operations are all ways of attracting and sustaining attention. Salience — prominence or emphasis of any sort - is potentially emotional. Normally our daily lives are spent in a generalized, unremarkable state of ordinary consciousness in which we do not experience "emotion" so much as what might be described as mood fluctua- tions, whose eddies are more or less good (positive), bad (negative), or indifferent. Emotion enters (or potentially enters) the scene when there is some discrepancy or change, provoking an interest. We appraise a salient or novel cue, anticipating what it means for our vital interests (Watson & Clark 1994). I suggest that artists in all media deliberately perform the operations described by ethologists as they occur instinctively during a ritualized behavior: they simplify or formalize, repeat (sometimes with variation), exaggerate, and elaborate ordinary materials, bodies, surroundings, tones, beats, body move- ments, semantics and syntax, motifs, ideas — thereby making these things more than ordinary (Hogan 2003, Jakobson 1971, Mukarovsky 1964/1932, Shklovsky THE ARTIFICATION HYPOTHESIS |

1965/1917).8 By doing so, artists attract attention, sustain interest, and create and mold emotion in their audience (which is what mothers also achieve with babies).9 I suggest that the earliest arts appeared when humans invented ceremonial rituals, where they drew upon already evolved capacities to use (and sensitivities to respond to) proto-aesthetic operations. Ritual ceremonies are meant to affect biologically-important states of affairs that humans necessarily care about — assuring food, safety, health, fertility, prosperity, and so forth. These occasions are times of uncertainty when circumstances can become better or worse (Turner 1969, van Gennep 1960/1909).10 I suggest that uncertainty - leading to emotional investment or "caring about" - was the original motivating impetus for the human invention of religion and its accompanying behavioral expres- sion, which in earlier writings I have called "making special," "making the ordinary extraordinary," and — in recent years — "artificatiori'. The artification hypothesis conceptualizes art differendy from most other schemes - as a behavior ("artifying"), not as the results (, carvings, dances, songs, or poems) or their putative defining qualities (, , complexity, skill). By considering human art as something that people do, it is possible to ask what its adaptiveness might be. At its most basic, artifying is the deliberate use of the proto-aesthetic operations that evolved — as described above — as mechanisms used uncons- ciously by ancestral human mothers in the highly adaptive context of reinforc- ing emotional bonds with ever more helpless infants. In these early interactions, we cannot yet speak of arts or even artifying, although the proto-aesthetic operations came to exist as a sort of reservoir of capacities and sensitivities that when used deliberately in a new context (culturally-created ritual ceremonies) again became adaptive. In other words, the proto-aesthetic operations are Tier One of my hypothesis, and the results of artification (music, dance, shaping and embellishing surroundings, poetic language, dramatic performance and the like), based on these operations and developed in humanly-unique and culturally- invented religious ceremonies, are Tier Two.1'

8 The universal aesthetic principles cited by neuroscientists Ramachandran and Hirstein (1999) can be distributed between two of the aesthetic operations described in my scheme as forma- lÌ2ation (grouping, binding, contrast extraction, perceptual problem solving, symmetry) and exaggeration (peak shift, super-normal stimulus, caricature). Three of the four ways in which poets develop poetic metaphor, according to Lakoff and Turner (1989), are also covered by aesthetic operations - i.e., extension (my exaggeration and repetition), elaboration, and questioning (manipulating expectation). 9 As infants mature and require less soothing and more excitement, mothers often sponta- neously manipulate their expectations as in games of "Peek-a-Boo" or "This Litde Piggy". Artists also notably manipulate expectation and "surprise" their audiences. 10 Ritualized signals in animals are also often associated with ambivalence (Hinde 1982: 126). 11 Although deliberate artification may be considered an exaptation (side-effect or by-product) of the adaptive mechanisms that promote mother-infant bonding, its ability to relieve anxiety and coordinate individuals in ceremonial contexts was and still is also adaptive. See discus- sion in the following sections. 144 J E. DISSANAYAKE

Religion, Ritual, and Artification Over the millennia of hominin evolution, the human mind increasingly became a "making sense" organ. Interrelated powers of memory, foresight, and imagination gradually developed and allowed humans to stabilize and confine the stream of life by making mental connections between past, present, and future, or among different experiences or observations. They could remember good and bad things and imagine them happening again. One cost of this growing awareness of the possibilities and unpredictability of life was uncertain- ty and anxiety. I have suggested that artification first arose in ceremonies that accompanied the invention of religion, another prominent component of human nature that in recent years has been addressed by a number of evolutionary psychologists and cognitive scientists (e.g., Atran 2002, Boyer 2001, Wilson 2002). Although Atran (2002) and Boyer (2001), consider religion to be an evolutionary by- product that parasitizes other adaptive mental processes, Wilson (2002) and others (e.g., Alcorta & Sosis 2006, Richerson & Boyd 1998, Rossano 2007) argue that religion offers advantages through increased group coopera- tion and solidarity. However, apart from Alcorta and Sosis (2006), none of these scholars seems to recognize the important part played by the arts in instilling cooperation and solidarity. Although anthropologists usually conceptualize a society's "rituals" as part of its symbolic cognitive system, they typically overlook the fact that regardless of the meanings that are conveyed, ceremonial rituals are constituted of arts and would not exist without them. Bodies, surroundings, sounds, movements, and so forth are artified (as described earlier, with aesthetic operations) in order to attract attention, sustain interest, coordinate group effort, and provide emo- tional excitement and satisfaction. Because of the inseparability of religious practice and artification, it is plausible to suggest that the arts arose in as components of ceremonial behavior rather than as independently- evolved activities. Through a ceremony's artifications, its messages or meanings were reinforced and the practitioners convinced that they were addressing the matter at hand. Belief in religious dogma may or may not be adaptive, but the vehicles that installed and reinforced the beliefs, the artifications developed and practiced in religious ceremony, could inadvertently become adaptive.12 Whether or not a ceremony achieved its intended result of, say, attracting game or promoting fertility, I submit that it may have provided two general

12 Ritual practice as a concomitant of religion is commonly thought to have arisen as part of the suite of traits made possible by language and symbolizing ability - i.e., ca. 50kya, according to recent conjecture (Wade 2006: 164-165). Yet artifications such as perforated pendants are found from 300kya, ostrich eggshell disc beads from 200kya, and shaped pieces of ochre (to color bodies and objects) from these dates or even earlier (Bednarik 2003); musical/dance behavior leaves no trace and may well also have occurred at these times. I agree with Donald (1991, 2006), who suggests that pre-verbal "mimetic" culture (using gesture, pantomime, dance, visual analogy, and ritual) could have developed in H. erectas, i.e., after 1.8mya. THE ARTIF1CAT10N HYPOTHESIS | adaptive benefits that affected individuals and groups. By artifying in a culturally-sanctioned manner, individuals had "something to do" in uncertain circumstances, giving them a sense of control and thereby relieving anxiety. Additionally, through participation in a temporally-organized activity or performance, a group reinforces its social bonds. Both these outcomes can reasonably be identified as adaptive. In the first instance, it is well known that prolonged emotional stress and anxiety compromise a wide range of bodily functions including energy release, immune system activity, mental activity, digestive function, and growth and tissue repair, as well as reproductive physiology and behavior (Sapolsky 1992). Second, the physical and neurological coordination of participating with others in temporally organized activity has at least three stabilizing effects: satisfying predictability, tension-producing-and- resolving manipulation of expectation, and neurophysiological coordination that is felt subjectively as emotional coordination or integration, which ultimately provides individuals and groups with a sense of coping through social support (Caporael 1997). Several studies report that ritual and artful behavior increased in prehistory at times of resource stress, as in populations of Mimbres (Brody 1977: 210), Late Dorset (Taçon 1983), prehistoric Arnhem Land (Taçon & Brockwell 1995, Taçon, Wilson & Chippindale 1996), and Numic-speaking peoples (Garfinkel, Marcom & Schiffiman 2003).

PART II: SOME IMPLICATIONS OF THE ARTIFICATION HYPOTHESIS FOR COGNITIVE, EVOLUTIONARY, AND NEURO-AESTHETICS (CENA)13 The artification hypothesis claims that an accurate understanding of human artmaking and participation is both broader and deeper than the prevalent view of aesthetic cognition and behavior as described by CENA which, to begin with, is suffused with modern Western notions about art. For example, or pictured (or real) are typically treated as if they were static entities perceived by static individuals. Researchers in evolutionary aesthetics and neuroaesthetics assume that art can be characterized by (or even be considered synonymous with) beauty (Dutton 2009, Martindale, Locher, & Petrov 2006, Thornhill 2003), talent (Dutton 2009), originality (Miller 2000), (Martindale, Locher, & Petrov 2006, Miller 2000, Dutton 2009) and rarity (Dutton 2009). But ethnologists' reports from premodern societies indicate that stationary arts and contemplative observers are rare. On the contrary, nearly everyone actively makes or participates in the arts, tradition is frequently valued over novelty and creativity, and fearsomeness or shock may trump beauty. For its part, cognitive studies of music investigate the and performance of fragments of musical behavior such as awareness of pitch,

13 Because evolutionär)' aesthetics and neuroaesthetics along with cognitive studies in general share some common ideas about the arts, I use an acronym, CENA, when referring to all three fields as a group. 146 I E. DISSANAYAKE

rhythm, intervals, and other measurable elements of Western tonal music. Illustrative examples of music (like neuroaesthetics' studies of visual arts) are frequendy Western masterpieces, which in important ways are unlike the sources for aesthetic engagement in premodern or Pleistocene peoples or in small children. Neuroaesthetics treats visual arts as packages of perceptual stimuli, even though these same stimuli also occur in nonaesthetic contexts and it is not clear whether or how the two can be distinguished (Brown & Dissanayake 2009). Evolutionary aesthetics and neuroaesthetics studies are typically concerned with perceptual and cognitive preferences for features that were or are adaptive - e.g., associated with salubrious landscapes, healthy mates, nutritious food, cognitive- ly-satisfying forms, or works - e.g., pictorial or literary depictions of adaptively relevant subjects such as romance or resolved conflict (Barash & Barash 2005, Martindale, Locher & Petrov 2007, Voland & Grammer 2003). Such studies are worthwhile, but rarely considered are aesthetic capacities or mechanisms — the behavioral and emotional means and manipulations by which features or works have their effects. The arts do not have their effects (adaptive or otherwise) simply because they activate cognitive/perceptual modules that direct us to good mates, or because they contain the color red that connotes biologically salient stimuli such as blood or ripe berries. If the mere stimulus were sufficient (say, a pornographic image or a gushing wound), there would be no need at all to embed these categories or features in art works or events in which they are arranged with relation to other stimuli and otherwise manipulated. It is the manipulations — what is done, the operations or means to the end of art — that produce their emotional effects. And it is in the temporal arts — i.e., those that take place in time — that one can best appreciate how emotion can be manipu- lated to expressive and eventually adaptive ends. Whatever else aesthetic cognition may consist in, it should include consideration of aesthetic manipula- tions. Although the artification hypothesis has been gradually developing along with the maturation of cognitive science, its emphasis on ethology — consider- ing art and aesthetics as adaptive behaviors with their roots in early hominins - suggests important and relevant observations that CENA have dismissed or overlooked.

1. Humans are animals: ethological and evolutionary thinking are important to understanding human cognition and behavior It might seem surprising that human infants are born with the rudiments of aesthetic cognition — that they are ready to respond to proto-aesthetic manipu- lations of visual, vocal, and gestural signals. Yet, from the viewpoint of ethology, it is no surprise at all: many animals also respond to formalization, repetition, exaggeration, elaboration, and manipulation of expectation. One might say that aesthetic cognition, based in proto-aesthetic operations that THE ARTIFICATION HYPOTHESIS | 147 evolved in H. ergaster mothers and infants, is a pivotal behavior between primate ancestors and modern humans, who are unique among other animals in deliberately performing aesthetic operations with the intention of making the ordinary extra-ordinary and consequendy having an emotional effect on other people, including ancestors and spirits. Ethology is perhaps more associated today with field naturalists who carry binoculars and a notebook than with the CENA crowd who may work with expensive brain imaging machinery. For understanding aesthetic cognition and behavior, however, the "whole animal approach" of ethology reminds us of another antecedent of artification: the behavior of play (Deacon 1997, 2006, Dissanayake 1974). In many juvenile animals, including hominins (presumably) and humans, play creates a special world in which such actions as play-stalking, play-fighting, and even play-courtship are acknowledged as being "not for real". As in ritualized behaviors, another ethological subject, participants in play realize that altering ordinary behavior in a new context bestows a new or special meaning. Ethology has been described as the naturalistic study of behavior from an evolutionary perspective (Burghardt 2005). Full appreciation of the fact that all cognition and behavior necessarily have their roots in the evolutionary past seems perplexingly and inexcusably absent in much that goes on under the cognitive canopy. Although they are aware that minds are composed of neural matter, all too many cognitive psychologists - like their academic counterparts in the humanities - still operate as though minds are detached from evolutionary reality (Slingerland 2008: 95).14 Surprisingly, this seems to be the case with embodiment philosophers who accept that minds arise from our physical being and are "embodied" or "metaphorical" yet do not appear to wonder why that sort of mentation should have evolved to characterize human cognition. For example, why should such basic-level cognitive structures as "paths" and "containers" appear as paths and containers to cognitively normal human beings (Slingerland 2008: 23)? We know that minds, like the output of other organs, work as they do because that way of working (and not some other way) contributed to survival and reproductive success. What is or was that contribu- tion? One can approach this question with knowledge of our Pleistocene past in which humans were motivated to desire the same primal requirements that face any wild, group-living animal: sustenance (food, water, warmth); social acceptance and participation; sex and mutuality; care of offspring; safety

14 Brandt (2006: 184) is an exception. He acknowledges the "macroscopic" scale of evolutio- nary time (the "why?"), along with the microscopic scale of neurology (the "how?"), and the mesoscopic (historical) scale of our own space and time (the "what?") and recommends that the levels and questions be and remain in contact. Among cognidvists, the work of Merlin Donald (1991, 2006) and Terrence Deacon (1997, 2006) is noteworthy in finding the origins of aesthetic cognition and behavior in the evolutionary and even animal past - in preliterate and even preverbal hominins. I E. DISSANAYAKE

(avoidance of pain and death); and competence (knowing what to do to survive - to achieve one's goals and satisfy one's needs) (Panksepp 1998). Paths, containers, and other metaphors of embodied cognition have evolutionary as well as "bodily" meanings that have no doubt influenced their pervasiveness in language and thought.15

2. Preverbal affective and aesthetic mechanisms continue to influence human language and cognition; they are a critical, if neglected, component of CENA There are more than a few cognitivists who consider minds only as they exist in modern human adult individuals — that is, people who are verbal, rational, and tacitly literate. But such individuals are a miniscule proportion of humans, past and present, who think and have minds; such an emphasis may well exclude preverbal infants and preliterate children, nonliterate peoples in small-scale societies, and Pleistocene ancestors. According to the artification hypothesis, the precursor to aesthetic cognition began in hominin mother-infant interac- tions as early as 1.7 mya. These ancestors made tools and lived in small hunter- gatherer groups but did not speak — though like apes they could have made expressive vocalizations. By 200 to 150kya, Archaic hominins were in what is now India, carving cupules and quite likely singing and dancing, although they may also not have yet had much if any language. Although some have claimed that the selective pressure for the language faculty was the adaptive value of communicating complex propositions (e.g., Pinker & Jackendoff 2005: 204),16 this view of things seems too narrow if one takes into account the paralinguistic or expressive "half' of speech. It seems worth considering that, as Panksepp (1998: 302) has said, "the brain mechan- isms for language were designed for social interactions, not for the conduct of science". Certainly baby talk, as described, has nothing to do with the exchange of verbal information about the world and everything to do with coordinating individuals and sharing social experience, which has obvious adaptive value. After living with nonliterate Trobriand Islanders nearly a century ago, Mali- nowski (1925) was moved to suggest that language serves not to imitate thought but to move another to act; like artification, it is intended "to produce

15 See Pinker (2007: 235-278) for an extensive discussion of reasons that the "embodied cognition" or "metaphor" theory is not biologically fundamental in the ways that its propo- nents presume. 16 On p. 231 of the same paper, Pinker and Jackendoff also contend that language (not "the language faculty") "is an adaptation for the communication of knowledge and intentions" and that "as a species humans rely on acquired technology, know-how and extensive cooper- ation among non-kin". This way of putting it is more acceptable than the "complex proposi- tions" cited in the first paragraph of their paper (p. 204). It leaves open the possibility of accepting the evolutionary importance of artification (arising from the evolved human ability, originating in ancestral mother-infant interactions, to interact contingendy and to entrain emotional state) insofar as it contributes to socialization and cooperation. THE ARTIFICATION HYPOTHESIS |

an effect"17 (see also Donald 2006). Malinowski's contemporary, British social anthropologist A. R. Radcliffe-Brown (1948/1922: 234), proposed that ceremonies (composed, as described earlier, of arts, including verbal arts) serve to maintain and transmit from one generation to another the emotional dispositions - not only or even primarily the complex propositions - on which a society depends for its existence. With some exceptions, practitioners of CENA tend not only to emphasize language and ignore preverbal or nonverbal experience but because emotions are viewed as proximate mechanisms designed to address adaptive problems by motivating behavior (Tooby & Cosmides 1992: 99), their varieties, subdeties, complexities, and importance are typically neglected. Affective neuroscience, as described by (1998), is therefore requisite to an understanding of human thought and behavior and, particularly, to understanding aesthetic cognition and behavior which, in their earliest manifestations, had to do with the artifications of ceremonial practices that were intended to help people obtain the life needs that they had evolved to care about. Important in the evolution of proto-aesthetic operations is their temporal organisation and coordination, which makes possible the emotionally satisfying, tension-resolving, and unifying effects described at the end of Part I. Infants are supremely sensitive to repetition and variation in the pulses, phrases, and narrative episodes of their mothers' babytalk (Gratier & Apter-Danon 2009). This suggests that both the creation and the experience of the temporal arts of , music, and dance inhere in our fundamental psychobiology. Malloch and Trevarthen (2009: 8) claim that human action, thought, and feeling take place under the coordinated and integrated control of a time keeping, energy regulating Intrinsic Motive Pulse (IMP) and that the brain is a network of dynamic systems all obedient to a scale of rhythms that flow in unison - an "innate communicative musicality". Such a formulation makes clear that much is overlooked when aesthetic cognition is conceptualized (as by some CENA theorists) simply as "sensory" or "perceptual" or primarily based in language or verbal thought.

3. The bio-ecological requirements of several million years of hunter-gatherer life have affected human cognition In his study of thought in individuals who live in small-scale societies, anthro- pologist C. R. Hallpike (1979) has demonstrated that with regard to the development of cognitive processes such as symbolization, classification, number, measurement, conservation, space, time, and causality, premodern people do not require what Piaget (1970) called "concrete operations" and that for most purposes "pre-operatory" thought is just fine. Although they may

17 Such a view corresponds with the categories of infants' first words, which at thirteen months have to do with parents, requests and refusals, and greetings, in that order (Hauser 1996: 338). I E. DISSANAYAKE

have little need to "communicate complex propositions," they have a myriad of adaptive abilities that use other kinds of thought. Howard Gardner's theory of "multiple intelligences" is also relevant here (Gardner 1983, 1999).18 He suggests that individuals possess varying degrees of eight broad cognitive capacities: linguistic, logical-mathematical, spatial, bodily-kinesthetic, musical, interpersonal, intrapersonal, and naturalist. An adequate description of the components of these capacities and their interrelationship requires more nuance than is possible here. However, it suffices to say that the intelligences described by Gardner have definable neural substrates and would have emerged during human evolution. It is not difficult to see that they would all contribute to hunter-gatherer lives. All of them, according to Gardner, can be used in the making and experiencing of art works. All require "thinking" (cognition), even though in most of the intelligences, verbal or formal operational (prepositional) thought would not be required. In small-scale societies of the recent past, propositional thought may not have been a priority but artification was central, as in the Yirkalla, an Aboriginal population of Arnhem Land in Australia with a total population in the 1950s of about four hundred. According to Richard Waterman

[T]he arts [...] are unified to an unusual degree, in that the subject matter of all of them - graphic, plastic, folkloric, choreographic, dramatic, and musical — is largely confined to activities of totemic species and totemic ancestors. Within the largest musical category almost every song has a painted iconographie design or hard-wood carving, a story, a dance, and a segment of ritual associated with it (Waterman 1955: 40).19

A cynic might say that the Yirkalla use of language - artified and performed in a multi-media setting — was obviously not adaptive since the group could not compete with European settlers who, in addition to their greater technological prowess, were able to express and understand complex propositions. Yet in Australia such groups persisted for at least forty thousand years, whereas complex propositional thought would not have been used until the invention of writing some six thousand years ago (and may yet turn out to have been an adaptive dead-end).

18 The influential theories of Piaget and Gardner have been challenged and are not accepted in all their details by all psychologists; my use of them is general and sen es my purposes here. This is not the place to defend particular aspects of their complexities. 19 Waterman's description illustrates or implies several claims made in this article about aesthetic operations (cognition?) in the majority of societies over evolutionary time: the arts are typically presented and experienced in a complex multi-media manner; people make art about things they care about; participation (rather than passive contemplation) is prominent; the arts are intended to produce an effect; and the arts are collective and social, helping their participants to share mental representations and create culture (see also Donald 2006: 14). THE ARTIFICATION HYPOTHESIS |

4. Artification and aesthetic cognition are adaptive in their own right, not by-products of symbolizing or other cognitive ability; evolutionarily, they have been as adaptively important to successful human lives as the verbal transfer of information Although some animals and a number of birds perform art-like behaviors — and, like human infants, respond to formalizing, repeating, exaggerating, and elaborating — humans as a species are unique in that, without being constrained by season or gender or genetic program, they deliberately use these operations to make their bodies, vocalizations, movements, and surroundings extra- ordinary or special. I consider this phenomenon of artifying to be in the same range of importance to human evolution as tool making, speech, or the making and using of symbols. It is a grave oversight that such a crucial human activity has been inadequately recognized by those who are concerned with human cognitive abilities.20 To my knowledge no advocate of CENA has considered aesthetic cognition (as artification) to be foundational or even important in human mentation.21 Prehistorians study material artifacts and visual images, so it is perhaps not surprising that they generally assume that human art, like speech, is a conse- quence or offshoot of symbolizing ability.22 Evolutionary aesthetics and neuroaesthetics are concerned with preferences for perceptual signals (signs) of biological reward or cognitive coherence. In considering art to be a behavior — something that people do (not its product as an artifact or image) - the artification hypothesis challenges these assumptions. If one considers the temporal arts, it is clear that not all arts are symbolic - for instance vocalizing or playing a musical instrument, marking beats, or dancing. Their effects are emotional more than cognitive-symbolic: they attract attention, sustain interest, and create and mold emotion. Visual marks need not automatically be assumed to be representational, as in the earliest drawings of children and, arguably, the earliest rock markings of our ancestors. On the contrary, these are traces of marking as an activity in its own right, having an

20 Brandt (2006: 176), insofar as he posits a similar "aesthetic register" of the mind, is an exception, although he seems to be concerned more with cultural than biological evoludon. He characterizes art as "any expressive or instrumental doing that deliberately creates excess structure" (and uses the words "special", "extraordinary" and "elaborated"). 21 Although the tide, The Artful Mind (Turner 2006) might suggest otherwise, the subtide (iCognitive Science and the Riddle of Human Creativity) refers to creadvity, which can be applied to a multitude of activities, not specifically to a behavior of ratification. 22 As Nicholas Wade remarks, "Archaeologists [...] tend to equate full-fledged modern language with art, which only becomes common in the archaeological record some 45,000 years ago. Their argument is that creadon of art implies symbolic thinking in the mind of the artist, and therefore possession of language to share these abstract ideas" (Wade 2006: 46; see also Baiter 2009). This is so of course only if one takes for granted that "art" is representational and visually perceived, as with the famed Upper Palaeolithic rupestrian paintings and mobi- Liary artifacts. For stimulating counter-ideas about the earliest appearance of human palaeo- art and language, see Bednarik (2003). I E. DISSANAYAKE

effect on the world and making the ordinary surface extraordinary. Aesthetic operations of regularizing or formalizing, repeating, exaggerating, and elaborat- ing these marks are additionally interesting and satisfying, even when they are not symbolic. But even symbolic marks can produce a variety of effects that have little or nothing to do with their intended symbols or referents. The complex red, black, and white designs on prows of ocean-going ceremonial canoes (,masawa) of Trobriand Islanders are meant to dazzle those who see them so that they will be helplessly persuaded to trade their most valuable shells in the kttla exchange (Campbell 2002). The Trobrianders know the of these designs — stylized animals and birds that in various ways represent power. Their trading partners do not know but the optical dazzle in itself is intended to disorient them. Proponents of CENA would note that masawa designs stimulate perceivers' neuro-optic apparatus. They could suggest adaptive antecedents for the choice of curvilinear shapes and bold colors. But their theoretical emphasis on perception and signals obscures important emotional aspects that are the motivation for artifying in the first place, as well as the emotional responses that artifications produce apart from their representational or symbolic meaning. Additionally, adult perceivers, like the infants they once were, respond emotionally to "vitality effects" - supra-modal qualities of intensity, shape or contour, motion, duration, and rhythm that occur in both space and time and help to manipulate expectation (Stern 1985, 1999). Such effects as surging, fading away, fleeting, being drawn out, or being shaken to the core (dazzled) each apply to a variety of circumstances in visual, auditory, and kinetic modalities.23 Additionally, they have associations with various colors and shapes that spread out into modalities other than visual. If the expressive forms and media of art are intended to influence the minds of an audience (Donald 2006: 4, Malinowski 1925), artifications give emotional oomph, thereby bestowing conviction on the beliefs that are the occasions for ritual ceremonies. Rather than being symbolic, the vitality effects described by Stern (1999), along with aesthetic operations as described here, are examples of anabgy (Donald 1991, 2006).24 They have biological meanings of fast and slow, loud and soft, large and small, extravagant and dainty, careless and precise, which in some cases even other animals can recognize. Prosody and gesture are also

23 In this regard, one can remind advocates of embodied or narrative thinking that people find paths to be thorny, obscure, winding, or welcoming; containers can be capacious, constrict- ing, smooth, or crowded. 24 Merlin Donald's (1991, 2006) views of and analog)· arc rich and complex; they would be augmented by incorporation of the artification hypothesis and they complement my discussion here. THE ARTIFICATION HYPOTHESIS |

analogous — both may have preceded speech by 2 million years when brains expanded rapidly (Corballis 2002).25 In summary, the etiological, evolutionary, and cross-cultural perspectives of the Artification Hypothesis challenge some current CENA pronouncements by emphasizing the importance of preverbal, presymbolic, pancultural, cross- modal, supra-modal, participative, temporally organized, affective, and affiliative aspects of human art-making and response. Additionally, the hypothesis proposes that artification is a universal behavioral predisposition whose components are ancient and influential — if unregarded — features of human cognition.

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Analyzing Image Schemas in Literature

The notion of image schema has been enjoying popularity among cognitive literary scholars, sensitizing them to the ways through which language gives rise to gestalt imagery. Yet, critics of a more traditional bent have rightly pointed out that image schémas tend to pop up as an ad hoc con- struct in the study of narrative and remain too arbitrary. Methodology is at best mentioned in passing and scholars interested in a text-linguistic "how to" easily come away with the impression that it is all a matter of interpretive ingenuity, even alchemy. In addition, the predominance of case studies does not give enough visibility to the broad range of possi- ble applications. In order to consolidate image schémas as a state-of-the-art tool, this paper takes up the twin task of distinguishing their loci in narratological theory and of clarifying under which conditions their application is ap- propriate. The main sections survey approaches based on image schema cohesion (in passages), coherence (across a text), and higher-level canities (be- tween coherent patterns). The relevant topics range from metaphorical themes/motifs, via rich characterization, space and action representa- tions, characterization and actancy, literary embodiment, to megameta- phor and plot models. Several of these are new theoretical applications that have emerged from a full-scale analysis of metaphor and imagery in seven short novels within a recent comparative project My essay begins with a brief definition of image schémas and a critical look at how lite- rary analysis applies them, a point resumed in the concluding discussion of methodology.

CORRESPONDENCE: Michael Kimmel. University of Vienna, Austria. EMAIL mi- [email protected]

1. Introduction The notion of image schema is rooted in gestalt psychology (e.g., à la Arnheim) and the phenomenology of the body (à la Merleau-Ponty); it was developed by cognitive linguists from the early 1980s onwards, and has more recently created several spin-offs in neighboring disciplines. Johnson (1987) defines image schémas as non-propositional gestalt representations that stabilize in infancy because perceptual and bodily experience displays recurrent topological patterning. Frequent image schémas are PATH, CONTAINER, ENTITY, LINK, FORCE, BALANCE, CENTER-PERIPHERY, UP-DOWN, PART-WHOLE, SURFACE, CONTACT, SCALE, NEAR-FAR, STRAIGHT, and MULTIPLEX-MASS. These and kindred image-schematic gestalts dynamically structure our perception, action,

Cognitive Semiotics, Issue 5 (Fall 2009), pp. 159-188 I M.KIMMEL

and cognition.1 In perception they appear as dynamic scaffolds for rich images For instance, in a we may perceive visual balance and/or fig- ure/ground relations. Similar percept-structuring functions have been studied in art forms, music, and opera performance (Johnson 2007, Zbikowski 2002, Edwards & Bourbeau 2005). Action patterns display dynamic image-schematic structuring, e.g. when a soccer player preparing for a pass coordinates his own trajectory both with the receiver's and the defense or when a dancer "intro- jects" the teacher's linguistic instruction "move through a sea of cotton wool" into her muscles. Conceptual functions have been extensively studied by cognitive linguists and span the basis of abstract concepts, force dynamic conceptualizations, the theory of word meanings (e.g., prepositions), meaning construals, and grammar (cf. Oakley 2007). The undoubtedly best known application comes from the analysis of linguistic, gestural, and visual metaphor. Image schema research also has demonstrable merits for comparative ap- proaches, e.g. in cultural linguistics (Palmer 1996). Furthermore, image schémas explain the interface between the embodied and the conceptual realm as well as the cross-modal features that kinesthetic, tactile, visual and auditory imagery share. Developmental psychology confirms that infants acquire image-schematic knowledge via the body and only later increasingly utilize them for conceptual tasks (Mandler 1992). The protosynthe- sis of abstract concepts in spatial and sensorimotor experience has been bolstered by experimentally demonstrable activations in on-line language processing (Gibbs 2005). This has made scholars equate image-schematic representations with "embodied" cognition tout court, an - as I shall argue - problematic view for understanding the different varieties of reader experience. In cognitive literary studies the notion of image schema can boast a certain career by now. Besides many applications to poetry — not our focus here — a number of case studies explores image-schematic aspects around which a narrative theme crystallizes in a novel or drama (e.g., Freeman 1993, 1995, Turner 1996, Popova 2002), in most cases based on metaphor analysis. Yet, current scholarship suffers from at least three deficiencies:

- Many analyses expose themselves to the criticism voiced by Downes (1993) of using image schémas rather arbitrarily. Authors often adduce them ad hoc, select text passages for analysis without giving considera- tion to their representativeness, and treat quite different narrative func- tions on a par in overarching claims, e.g. about BALANCE being a recur- rent story principle. - It is almost universally overlooked that exploring image-schematic story themes through metaphor analysis is only one possibility among several. Ordinary action descriptions at the literal plane as well as emergent ma-

1 There is strong experimental evidence for the cognitive reality of image schémas in all these fields (Gibbs 2005) as well as convergent evidence in several linguistic methods. ANALYZING IMAGE SCHEMAS IN LITERATURE |

crostructural scaffolds need to be accorded their rightful place in the ca- non. - Although embodiment has been righdy identified as a highly interesting issue for analysis, the undifferentiated way that cognitive literary studies have equated image schémas with embodiment makes it hard to pinpoint particularly embodied text passages or deduce anything relevant about a text at large (given the near-ubiquity of image schémas in language).

The present essay is meant to deal with these shortcomings. It will present clear analytical guidelines, make non-metaphoric avenues for analysis visible, and develop a graded notion of embodiment in order to spell out which kinds of text passages are especially prone to bodily simulation by a reader. In addition, the essay calls attention to taxonomically relevant differences that case studies lack the breadth to pinpoint. Guided by the question 'Where in literary texts are image schémas found?" I will present a bird's eye view of narrative loci.2 My survey will begin with figurative occurrences before moving on to inquire into their role in the "literal" storyworld. The methods that play a role in the various loci will be discussed more comprehensively in the conclusion.

2. Types of metaphors employing image schémas Before we begin it will be helpful to differentiate the broad category of metaphor somewhat, as image schémas do not play the same cognitive role or even acquire the same degree of importance with every kind of metaphor. Concerning literary metaphor (cf. Steen & Gibbs 2004, Semino & Steen 2008), the place to look for image schémas are the respective vehicle terms of a metaphor. Vehicles profile one or several concepts from a source domain, in terms of which a given target is conceived. For instance, the target of commu- nication is typically conceived in CONTAINER and CONDUIT source imagery, as in the literary example "she held out her mind like a saucepan" (from Turn of the Screw by Henry James). This image-schematic mini-scene instantiates the source domain of the conceptual metaphor COMMUNICATION IS OBJECT TRANSFER FROM ONE CONTAINER TO ANOTHER. Note that the saucepan mainly serves as a cultural exemplar "carrying" the CONTAINER image schema and providing a basic ontology for the metaphor. Image schémas are important for metaphor in various ways, depending on the type of metaphor. They can function as structuring devices underlying rich imagery and propositional knowledge, whereas in "pure" image schema metaphors they are the only mapped structure available. The major types from the cognitive linguistic of metaphor developed by Lakoff and Turner (1989) can be illustrated through an example. In the following excerpt from Yukio Mishima's The Sailor Who Fell from Grace with the Sea (2006), a Japanese

2 As a disclaimer I should like to state that studies on the literary effects of figure and ground, a general gestalt process, will not be discussed. I M.KJMMEL

adolescent, Noboru, reflects on his and his friends' experiences with their parents (image-schematic metaphors appear in boldface, others in italics):

Noboru was vexed at his immunity from the germs that infected the others [his friends], but at the same time he trembled at the fragility of his chance good fortune. Some providence he couldn't name had exempted him from evil. His purity was as brittle as a new moon. His innocence had sent an intricate net of feelers snaking toward the world, but when would they be snapped? When would the world lose its vastness and lace him into a strait-jacket? That day, he knew, was not far away, and even now he could feel a lunarie courage welling within him [...] (Mi- shima 2006: 139-140).

This passage alone involves various kinds of metaphors:

1. Conceptual metaphors manifested in conventional expressions: "a lunat- ic courage welling within him" (EMOTION IS Λ HOT FLUID IN Λ CONTAINER); "exempted from evil" (STATES ARE CONTAINERS). 2. Elaborations of conceptual metaphors that are embedded in unconven- tional expressions: "had sent an intricate net of feelers snaking to- ward the world, but when would they be snapped" (KNOWING IS TOUCHING, COMMUNICATING IS MOVING ON A PATH). 3. One-shot image mappings with rich sensory structure that gets mapped: "His purity was as brittle as a new moon" (no conventional basis, rich sensory imagery with underlying crescent and structure image schémas). 4. Image schema metaphors with no further rich conceptual structure (pure image-schemas, often ontologizing a basic concept such as time): "day.. .far away". 5. Some metaphors such as that of "germs that infected" above are not clearly image-schematic at all or only when we attribute to them a specif- ic cultural knowledge of infection as PATH-like transmission. The insight here is that mappings of richer knowledge can be "carried" by an image- schematic ontology (cf. Turner 1991 on "Invariance").

This example illustrates that metaphors are conceptually variegated and that their image-schematic basis plays different roles in each type of metaphor. Moreover, image schémas, in many cases, are not fully contextual explanatory concepts, but need to be complemented with other kinds of knowledge. Regarding methodology, the upshot of this brief taxonomy is that we should always check if the metaphors at hand are typologically commensurable before grouping them into a set for analysis.

3. Metaphoric image schémas in analyzing single passages As we will see in this and the next section, both, the stylistic analysis of local text passages and the summary analysis of scattered, yet recurrent linguistic ANALYZING IMAGE SCHEMAS IN LITERATURE | patterns are important in cognitive literary analysis. While the former method examines how image-schematic cues interact in local lattices, the latter method draws together similar image-schematic source domains from across a text for the analysis.

3.1 Rich characterization through image schema composition/ pastiche Literature frequently employs image-schemadc metaphors for characterizing a person, describing a setting or a distinctive experience in a unique way. Sometimes single metaphors do the job. But more typically, a unique literary theme emerges through the pastiche-like complementation of image-schematic metaphors within a passage. Take again the Mishima passage from above. Here, the experience of puberty and the reluctance to be a part of the adult world, hence abstract kinds of ideas that Noburu entertains about his life, are expressed in metaphors with image-schematic source domains (OBJECT, FLEXIBILITY-BRITTLENESS, CONTACT/APPROACH, ABRUPT SEPARATION, SHRINKING, FORCE COMPULSION/ENGULFMENT, UP-DOWN/FORCE/SPREAD, NEAR-FAR). Purity as a brittle object, exploration as extending feelers, the snaking motion of these feelers, and their snapping, the vast uncontainedness and the expected narrow containedness constitute image-schematic source domains that are metaphorically mapped on abstract experiences. What is more, some of the image schémas connect in temporal succession with one transforming into the other ("feelers snaking/be snapped"; "vastness/strait jacket"), while others connect thematically ("fragility/brittleness"). Mishima's purpose in producing the rich image schema pastiche is to characterize a protagonist's psyche and emotions in a complex way. The emergent conceptua- lization lets us empathize with Noboru's complex and unique bodily and/or psychic experience. Note that although all the image schémas are quite basic, authors develop unique characterizations and complex ideas by their mutual interaction. Such interaction effects are a precondition of literary creativity (cf. metaphor composition in Lakoff & Turner 1989). A similar kind of local metaphor field features independently meaningful metaphors that co-specify each other in a kind of temporal scenario. More than a pastiche, they are integrated imagistically. The following example comes from Henry James' Turn of the Screw describing how the governess and her wards communicate and manage to uphold the taboo of addressing the ghosts' existence directly:

It was as if, at moments, we were perpetually coming into sight of sub- jects before which we must stop short, turning suddenly out of alleys that we perceived to be blind, closing with a little bang that made us look at each other—for, like all bangs, it was something louder than we had intended—the doors we had indiscreedy opened. All roads lead to Rome, and there were times when it might have struck us that almost I M.KIMMEL

every branch of study or subject of conversation skirted forbidden ground (James 1986: 210).

The basic metaphor that is elaborated in various ways is that ACQUIRING KNOWLEDGE IS ENTERING A SPACE and EXPLORING A TOPIC IS MOVING AHEAD ON A PATH. In the extended passage the PATH and CONTAINER logic is elaborated into a complex image of what happens in temporal succession, with an attempt to go into the space, but stopping, changing direction and choosing new ones. All the metaphors direcdy hang together in a single metaphoric substrate, thus letting us speak of a single scenario. A third example comes from Anais Nin's A Spy in the House of Love and describes the efforts of the unfaithful heroine Sabina to recompose herself in face of her guilt and her anxiety about getting caught in her playacting:

Just as anxiety dispersed the strength of the body, it also gave to the face a wavering, tremulous vagueness, which was not beauty, like that of a drawing· out offocus. Slowly what she composed with the new day was her own focus, to bring together body and mind. This was made with an effort, as if all the dissolutions and dispersions of her self the night before were difficult to reassemble. She was like an actress who must compose a face, an attitude to meet the day (Nin 2001: 6-7).

The basic scenario here is one of dispersion and recomposition (related to MULTIPLEX-MASS and STRUCTURE image schémas), with Sabina's self being the target domain. This is enriched through the metaphor of focus and zooming in and out, whereby the whole image-schematic scene is perspectivked in a quasi- visual fashion. Here, the dispersion and the focusing images interact to create an interesting entailment, that of the visual act of focusing as creating compo- sure. Sabina reconstitutes herself in the same way the focusing eye "pulls" together rays of light. As pegs around which richer meaning is organized image schémas can make readers connect their whole respective knowledge domains when brought into imagistic affinity. Sabina's anxiety and her social playacting are connected as part of a single gestalt configuration.

3.2 Composition of image schémas in key scenes A more specific literary technique compresses and blends earlier-cued meta- phorical elements into a single culminating scene. A nice example comes from Danaher's work on Tolstoy's The Death of Ivan Jlyitch (2003). As in many of his works, Tolstoy criticizes falsehood and self-deception in life. The tale is one of a Russian bureaucrat, Ivan, who falls ill, is deserted by everyone except for his loyal manservant Gerasim (who has a natural relationship to death) and his young son, and ultimately dies after having realized how wrong his previous attitudes were. Tolstoy's metaphors relate to that transformational process. Danaher (2003: 453, 458) begins by demonstrating the systematic deployment ANALYZING IMAGE SCHEMAS IN UTERATURE | of Russian metaphors of truth and falsehood in the text, which are based in the source domains PATH, CONTAINER, and BRIGHT (LIGHT).3 The journey to Ivan's true essence appears in "road of life" imagery; this journey is inward, away from the superficial; and it is towards something bright (appearing in words such as "clearly" or "shining" as well as the "bright" figure of Gerasim). In the culminating death scene all three sets of metaphors that have been cued throughout the text already are amalgamated in a unique blend. A black sack image appears to Ivan Ilyitch that he feels stuck in. He has an urge to go further towards a light at the bottom, but also a deep horror that deters him, until an insight into his past self-deception gives him peace of mind and lets him slip through. Hence, a single rich image incorporates image-schematic aspects of container, path, and light imagery in one and points to the triple metaphoric conceptualizations that truth is FOLLOWING A PATH, TRUTH IS A CONTAINER, AND TRUTH IS LIGHT.

3.3 Image schema mesh in a single passage In addition to the composition of mutually enriching image schémas we may employ the quite focused search strategy of looking for lattices of near-identical image schémas. I call this rather frequent stylistic phenomenon of repetitive local foregrounding "image schema mesh". The underlying assumption is that when words from a single image-schematic source domain cluster in a passage they are particularly likely to impact the reader's cognitive representation. Consider the following lattice of PATH related words in a passage from Joseph Conrad's Heart of Darkness that characterizes the enigmatic Mr. Kurtz:

'He is a prodigy,' he said at last. 'He is an emissary of pity, and science, and progress, and devil knows what else. We want,' he began to declaim suddenly, 'for the guidance of the cause intrusted to us by Europe, so to speak, higher intelligence, wide sympathies, a singleness of purpose.' (Conrad 1995: 47)

The words (even the non-metaphorical ones) clearly reinforce each other image-schematically. Together they create a motif of a conquering personality pushing ahead out into the unknown. How this (and many other local passages of a similar sort) is significant for the story plot is a question that will be addressed in a later section. This kind of analysis greatly benefits from search tools in annotation software, because these allow locating instances of image schema mesh easily. Briefly taking stock, the cognitive rationale of a cohesion based analytical approach is that adjacent metaphoric vehicle words are most likely to be conceptually processed together and will make readers construct conceptual relations. This conceptual amalgamation can be of a sort that pastiches different

3 I will leave it open whether BRIGHT qualifies as image schema as well. 166 I M.KIMMEL

image-schematic source domains into a complex gestalt, that treats them as stages of a temporal evolution, that repeats them without changes for deeper entrenchment.

4. Analyzing whole texts for metaphor coherence We now move from cohesion-based to coherence-based analytic strategies. Scholars with a global analytical viewpoint take interest in the systematicity of metaphoric mappings across a text, both because recurrent metaphors comprise an effective foregrounding device and because they lead to insights about how authors specifically conceptualize a narrative theme at large.

4.1 Compiling metaphor sets for coherence analysis The analytical task is to group metaphors for some target domain such as emotion into sets based on similar meanings of their vehicle words - often of an image-schematic sort - and infer the underlying conceptual metaphor. For example, a compilation of FORCE metaphors for emotions reveals that in Turn of the Screw Henry James depicts the governess, who is on a crusade to extract from her wards a confession regarding their collusion with two ghosts, as someone who is repeatedly compelled to vent her intense emotions despite frenzied attempts at self-control.

There are directions in which I must not for the present let myself go. /and given way to a wildness of grief. / —were I to let myself go even now—/ I at last let myself go. / It was quite in another manner that I, for my part, let myself go. /of what, should we yield an inch, there would really be to give way to. / and given way to a wildness of grief. / Why not break out at her on the spot / of the outbreak in him of the litde natural man / I might occasionally excite suspicion by the little out- breaks of my sharper passion for them / after my first outbreak

Two things stand out here. First, the emotionality theme as such is consistently highlighted because emotion-related metaphors as such occur so frequendy. Second, all expressions involve the image-schematic source FORCE. BLOCKAGE REMOVAL and reflect the same underlying conceptual metaphor EXPRESSING EMOTIONS IS FORCE RELEASE (and more implicitly, EMOTIONS AND RATIONALITY ARE VYING FORCES).4 This conceptual metaphor gives the emotion theme a strong flavor of impulsivity, emphasizes the governess' concern with emotion regulation and her resulting dilemma. More generally, when we analyze metaphor coherence across a text our underlying cognitive assumption is that the recurrent cues make the reader infer a story theme or a crucial protagonist's predicament. As my comparative study

4 Another set of metaphors not listed here emphasizes the BLOCKAGE itself and further supports this. ANALYZING IMAGE SCHEMAS IN LITERATURE shows, texts with a high overall number of metaphors may feature 50-100 conceptual metaphor sets of this foregrounded sort, many of which draw on image-schematic ontologies (cf. Kimmel 2008a.).

4.2 Can image-schematic story themes be supported through dissimilar metaphors? Another approach to metaphor coherence takes a broader view of what counts as similar, so as to synthesize in the analysis similar image-schematic sources going with dissimilar target domains. According to some cognitive theorists, writers and playwrights use image schémas to create crystallization points in a novel or drama. Briefly stated, the recurrence of an image schema makes it salient for the reader's macro-model of the work and gives rise to more general narrative themes, motifs and key symbols. This key image schema is somewhat independent of the diverging target domains of the metaphors in which it is found. Thus, Freeman, ventures a summarizing observation for the drama Macbeth (1995: 691), saying that

PATH and CONTAINER image-schemata [...] constitute the terms in which we understand not only Macbeth's language, but its central characters, crucial aspects of its various settings, and the sequence and structure of its unitary plot.

Stockwell (2002: 111) notes a similarly general function for another of Shakes- peare's dramas:

in Shakespeare's Richard II [...] there is a thematically significant recur- rence of metaphors which map the rise of Bolingbroke and the fall of Ri- chard using the cognitive model of BALANCE. This includes metaphors of rise and fall, up and down, gravity and lightness, heat and cold, equivalent movement, substitution of position, and others. It is also closely asso- ciated with linked metaphors concerning moral worth, power, the politi- cal and personal legitimacy, and respect. The mapping POLITICAL FORTUNE IS BALANCE [...] is a thematically-significant megametaphor [...].

Likewise, Freeman (1999: 443) rests his analysis of Antony and Cleopatra on a description of the play

as a richly blended amalgam of the CONTAINER, LINKS, and PATH image schémas. Projection from these schémas into Antony and Cleopatra's im- agery, plot, and other elements structures the play's progress from Anto- ny's distincdy profiled Roman and military persona through the shapeless liquid of the lovers' passion through evanescent cloud formations to Cleopatra's final sublimation from her physical body into the ether of her nobler elements. I M.KIMMEL

In each of these cases the playwright recurrently circumscribes an aspect of a main theme by inserting the same image schema in various metaphorical contexts. A widely conceived main theme is thus collapsed into an image schema like CONTAINER. However, the significance of a recurrent image schema alone is debatable. Image schémas are no more than source domains that can pair with hugely different target domains (i.e. what the whole metaphor is about). Any slapdash data aggregation may fall prey to what Lakoff and Turner (1989: 128) call the "source domain-only error" by lumping dissimilar targets together for analysis. For example, the "old flame" and "fiery youth" metaphors, which we may — incorrecdy - lump together as fire metaphors, are manifestations of LOVE IS FIRE and LIFE IS FIRE, respectively. Summary claims like Freeman's or Stockwell's therefore have to be closely scrutinized to see what is really coherent (and by which standards). I will now discuss affinities between non-identical metaphors that are cognitively plausible.

4.3 Source domains as nodes for story motifs or irony Although I have cautioned against the source domain-only fallacy, under circum- stances of high interpretive plausibility we may treat source domains as connective nodes. Inferring such connections can lead to the discovery of literary motifs or complex tropes like irony/ambiguity that are based on the clash of image schémas (cf. Turner 1996: 64). For example, in Tum of the Screw a synoptic view of various UP-DOWN related metaphors suggests that a kind of ambiguous motif is created around the image schema. The main protagonist, a deeply troubled governess, is obsessed with protecting her two innocent young wards from their dead former caretakers Ms. Jessel and Mr. Quint. In one realization of DOWN, the ghosts are identified with moral abjectness and the Biblical "fall" by the Puritan governess, who perceives it as her duty to shield the "spiritually lost children" from the corrupting influence of the "depraved Quint/Jessel" (MORAL ABJECTNESS IS DOWN). However, DOWN also characte- rizes the governess' permanent oscillation between elation and despondency (DESPONDENCY IS DOWN). One connection lies in the governess' compulsive belief that by battling "low morals" she can remedy her own "low morale". An ironic connection can be drawn to a third mapping subdy hinted at in scene descriptions of high towers where Quint, the fallen being, appears (perhaps also related to POWERFUL IS UP). More generally, the value-imbued nature of the UP-DOWN image schema gives rise to a continuous alternation between positively and negatively loaded emotions from the governess' viewpoint. This, in turn, becomes a major resource for James' master trope, ambiguity.

4.4 The family resemblance of source domains Another plausible way of connecting image-schematic metaphors may rest on generic level similarities between the source domains. Image schémas often share a kind of family resemblance that gives rise to image schema sets (Cienki ANALYZING IMAGE SCHEMAS IN LITERATURE |

1997 mentions four, namely forces, entities, processes and links). A family encompasses non-identical image schémas that share some gestalt features, e.g. FORCE, ATTRACTION, BLOCKAGE, BLOCKAGE REMOVAL, ENABLEMENT, ANTAGONISM, and DIVERSION. Although the manner of force that these schémas evoke differs slighdy in each case, a common core allows reconstruct- ing similarities, provided that many metaphorical source domains from the family are found and that the targets are sufficiendy similar.5 Nin's Λ Spy in the House of Love contains a striking generic pattern of the way in which the different emotions of the heroine Sabina are metaphorked, including existential anxiety, being hurt, guilt and shame, seeking comfort, love and passion. Confirming predictions by Kövecses (2000), a survey of the various emotion metaphors shows that most display a FORCE-related logic, albeit of slighdy different sorts. A general preoccupation with the force dynamic details spans the descriptions of Sabina's attempts to escape from her existential dilemmas and her emotional coming of age.

NEGATIVE EMOTIONS ARE IMPACTING FORCES and she sat up to meet its thrusts. / you're always so battered by the world outside. / as if in dread of being attacked, restless and keen./ and then been violendy shattered with the greatest shock and pain by her fickle- ness and frivolities./ A shaft of pain cut through the nebulous pattern,/ of blows and humiliations not yet dissolved. / Some shock shattered you and made you distrustful of a single love.

EMOTIONS AND SELF ARE FORCE ANTAGONISTS his extended love was unequal to the power of what was dragging her down / about to be sucked in by a hidden cyclone.

BEING EMOTIONAL IS BEING MOVED felt a sudden resdessness like that of a ship pulling against its moorings. / expressed in multiple movements, wasted, unnecessary, like the tu- mult of wind or water / making for tumult and motion / But inevita- bly, she would grow restive and tumultuous, chaotic and disturbed.

5 VC'e may mention in passing that a connection a bit weaker that a manifest family resemblance of image schémas may link two conceptual metaphors. Metaphors may have ostensibly different image-schematic source domains, but still give rise to shared entailments. To quote the classic example by Lakoff and Johnson (1980: 94), ΛΝ ARGUMENT IS Λ CONTAINER ("Your argument does not have much content") and AN ARGUMENT IS A JOURNEY ("We have cov- ered those points") seem connected merely by their entailments. The situation when more surface of a container is created and the argument gets more content is analogous to that when more path is covered and thus more ground created. However, as Lakoff and Johnson suggest, image schémas may play a role in creating this connection by virtue of a logical affinity in an "abstract topological concept". In the example this is based on the gestalt property of increasing SURFACE that both a container and a path share. I Ml. RIMMEL

The same irresistible impulse, tension, compulsion and then depres- sion following the yielding to the impulse, revulsion, bitterness, de- pression, and the compulsion once more./ All the tensions of pretences ceased. / and not a chaos which carried her.

EMOTIONAL PROCESSES ARE FORCE MECHANICS her own nerves did not coil and spring within her /The wild compass whose fluctuations she had always obeyed, making for tumult and mo- tion in place of direction, was suddenly fractured.

ANXIETIES ARE WEIGHTS add heavily to the weights pulling her downward / she carried too great a weight of untold stories / her mood of weight and fatigue.

ANXIETIES ARE FORCE CONTOURS At the same time a strange wave of anger appeared which she felt and could not understand. / But inevitably, she would grow restive and tu- multuous, chaotic and disturbed / The wild compass whose fluctua- tions she had always obeyed, making for tumult and motion in place of direction, was suddenly fractured so that she no longer knew even the re- lief of ebbs and flows and dispersions.

ANXIETIES ARE MOVING FORCE AGENTS ON A PATH THAT GET STUCK IN THE BODY Anxiety had entered her body and refused to run through it. / The sil- very holes of her sieve against sorrow granted her at birth, had clogged.

Interpreting all these conceptual metaphor sets as a coherent macro-set is highly plausible because they all involve some FORCE-related source domain and some emotion-related target domain. Even though neither sources nor targets are exacdy identical, they clearly give rise to a powerful shared entail- ment, namely that Sabina is unbalanced, experiencing anxiety and self-conflict amidst the many exciting impressions that impact or move her. The generic force "hydraulic" pattern is recognizable by every reader, creates a strong metaphoric focus on Sabina's inner torment and, indeed, makes a major contribution to the novel's genre as an Entwicklungsroman with a Freudian slant.

5. Image schémas in the storyworld and beyond In view of metaphor's popularity, it is frequendy overlooked that image schémas are of much broader significance in story comprehension than figurative language only. When readers imagine "what happens" image schémas come into play as part of the basic spatial, temporal, and causal-intentional conceptualization of what Herman (2003) calls the storyworld. ANALYZING IMAGE SCHEMAS IN LITERATURE |

5.1. The basic format of narrativity Understanding events is inherently image-schematic. Even in their simplest form narrative representations are defined by image schémas. When a path is followed, something is raised, a boundary transgressed, a circle traced, an object split, or two objects merged, when the focus wanders from left to right or from part to whole or "zooms in" from mass to multiplex - each of these proto- narratives has a recognizable gestalt structure. To quote Turner (1996: 28ff), we inherently think in "small spatial stories" whenever we think about events. In storytelling, any typical sentence contains at least one such basic image- schematic event. And, the overall temporal structure of a narrated event itself is like a path followed step by step, a chain of smaller paths (cf. Johnson 1993).6 Thus, language as such, figurative and literal, involves image-schematic gestalts, from the level of words to that of whole passages. Metaphors, when present, employ essentially the same conceptual tools as the storyworld and simply add a further layer to the gestalt imagining of the events. I will now demonstrate that image schémas are the basis for how readers recognize the action configura- tions in the story scene at hand, but in all likelihood also apply them to higher- level structuring when developing a macrostructural story.

5.2 The image-schematic structure of scenes The arguably most prevalent kind of image schema occurs in words and phrases that let us imagine settings, objects, agents, and actions. These are inherent part of any narrative representation that unfolds before the mind's eye. Settings, objects, agents, and actions are understood as dynamic gestalt configurations. For example, readers may imagine a protagonist as being in a room (CONTAINER) and giving (PATH, FORCE) someone (AGENT, RECIPIENT) an object (ENTITY). Although the reader's image of the scene often occurs as a rich image, this will always be defined by an image-schematic scaffold that lets us recognize the similarity to other scenes populated with agents, props and settings of different size, color, orientation and other details, but the same action logic. This scene structuring function of image schémas is a kind of imagining that applies even to the simplest events of a single sentence. By imagining what happens in the storyworld readers create an analogical gestalt structure. In the act of simulating a scene the mind uses a similar kind of image-schematic-structures as in actually perceiving such a scene. Usually, this cognitive function runs parallel to rich imagery we create in reading. The image schémas provide scaffolding for rich imagery, as ontological skeletons that contribute specific action affordances to a scene (cf. Glenberg & Robertson 2000). Even when readers do not flesh out the rich details of what the room or a person looks like, image schémas remain obligatory. They must at least have a rough

6 I do not claim that temporal flow is wholly understood in terms of space, but there clearly is something metaphorical to this basic conceptualization of narrative format. I M.KIMMEL

image schema topology in mind constraining the possible actions in this kind of place and with these kinds of agents. At this level image-schematic understandings are basic to story comprehension, long before it turns markedly literary. Sometimes, these kinds of spatial representations are elevated to a level of conscious significance, as in the case of typical Sherlock Holmes or Hercule Poirot stories, where the exact layout of a room and objects is crucial to readers who want to "solve the murder", etc. Yet, affordance structures are crucial to understanding actions and settings of any sort because the reader understands imaginatively "who is able to do what" in a setting.

5.3 Higher-level narrative structuring devices Image-schematic structure may assist readers in cognizing the emergent "event shape" although it is seldom encoded in any single expression (cf. Johnson 1993: ch. 7, Turner 1996, Kimmel n.d., 2008a, Popova, personal communica- tion). Turner (1996:18) hypothesizes that we quite generally think of

events in time, which have no spatial shape, as having features of spatial shapes - continuity, extension, discreteness, completion, open-endedness, circularity, part-whole relations, and so on.

Likewise, Turner proposes that causal and accompanying modal structures (i.e. an agent's ability, obligation, or possibility of performing an action) are generally understood through force image schémas. The metaphorical expres- sions we use for talking about brief events or for summarizing longer ones make this wide-ranging cognitive claim quite plausible. Image schémas are a major avenue towards explaining how readers go about the necessary task of conceptualizing time-flow and breakpoints, how scenes, as well as main story goals and their subgoals are interrelated in narrative compre- hension.7 When readers monitor and update the story "tracks" of intentionality, causation and time (Zwaan et al. 1995), I propose that image schémas create various levels of meso- and macrostructure. We discussed earlier how readers construe actions and interaction in terms of FÖRCHS at the single episode level. Now, two augmentations make this more widely applicable: First, in addition to how a protagonist walks, fights, transfers objects, etc. abstract FÖRCH causality occurs as well (e.g. fate). Second, between one scene and the next this FORCF. impetus may get passed on in a chain, be slowed down or broken. Force thus becomes a connective meso-structure. At this level, protagonist subgoals become LANDMARKS, and ultimate goals PATH KND-POINTS. Temporal and hierarchical relations between scenes occur as PARTS AND V'HOLKS, embedded scenes as NESTING schémas, and episodic breakpoint as INTHRVAI^ on the basic temporality PATH. The topmost level of image schémas holistically

7 This possibility has been overlooked, as the research on story macrostructures follows a prepositional paradigm. ANALYZING IMAGE SCHEMAS IN LITERATURE | captures story evolution over time, a PATH, much like a melody or musical score, as variation in intensity. Such image schémas can be sensed by readers, often in their bodies, as an arc of FORCE tension or denouement as reinstated BALANCE schema (Johnson 1993), as electromyography of readers suggests (Malmo 1975). If all these hypotheses are borne out, an entire scaffold of image schémas is active in the background, which readers consistendy use and update to follow how the story progresses. This would mean that adult readers dispose of a host of frames or Idealized Cognitive Models that spatialize formal features of narrative through image-schematic logic (Lakoff 1987: 283ff). All this refers to emergent cognitive structures that are constructed from complex input, but remain difficult to pinpoint in words and phrases. We may certainly take inspiration from linguistic metaphors and transpose their image schémas to the narrative level as hypotheses, but their confirmation largely requires experimental psychology (Kimmel 2008b). Yet, as I shall suggest next, the closest we get to predicting a more emergent level from textual manifesta- tions is by a summary look at tendencies we find in force schémas.

6. Force dynamic analysis An issue overlooked in the past is that narratology can benefit substantially from the systematic analysis of force dynamic image schémas. These define whether an entity has an inherent tendency towards motion or rest and whether it is stronger than other, for instance vying, forces (Talmy 2000). In literary contexts the theory of force dynamics helps capture character tendencies towards action or rest, being an agent or a recipient, a "mover" or not. When we scale up local force schémas to more general trends the forces of a prota- gonist are a major way by which readers understand characters, their general interaction tendencies, and their role as a plot engine. Expressions with a force dynamic profile occur in all sorts of storyworld actions as well as many metaphors, of course. In many cases these two kinds of information can be combined for analysis, although I will begin by discussing them separately. The analysis uses explicidy encoded storyworld input to deduce implicit narrative representations.8

6.1 Force dynamics and protagonist characterization First, a force dynamic analysis of actions is enlightening for studying the way authors create protagonist characterization. To provide an illustration, in Le Fanu's lesbian vampire tale Camilla (2008), the eponymous girl vampire exhibits amazing FORCE in various ways. This image schema describing the main protagonist is quite consistently exploited and begins with her appearance in a carriage "thundering along the road towards us with the speed of a

8 This kind of analysis straddles the fence between image schémas rooted in what protagonists do and more elevated structural representations of time flow and causality. 174 I M. KIMMEL

hurricane". Even without metaphors, strong forces are striking throughout. As the story progresses, the seemingly lovely and languorous Carmilla, who is hosted by an Englishman and his daughter living in a remote castle, is given to occasional fits of passion when she disparages God, nature and the funeral rites at the burial of one of her girl victims; when she attacks the man who offers to file her teeth in the vilest fashion; and also when her wooing of the second main protagonist, the young Laura, turns overtly aggressive in her passion. Forces thus flash up across various scenes and hint at a yet hidden aspect of Carmilla's true vampiric nature. In the culminating scene, it turns out that vampires have "the force of the hand" and are so fast that they escape attacks by strong men. Together these storyworld actions create an impression of Carmilla as a dominant, insuperable force. Carmilla and her vampire mother are also characterized as being in full psychological or physiological control over everybody. Now, force dynamics influence the reader's understanding of plot structure direcdy, because Carmilla is the shaper of the plot through her actions (the more subtly manipulative ones included). As she appears on the scene, Carmilla's passionate nature as well the special treatment she receives due to her languorous melancholy disrupt the initial peaceful, if boring, world at the Styrian "Schloss". Carmilla's arrival and subsequent behavior causes a disrup- tion through which the dramatic development is set into motion. As the story progresses all "imbalances" in the plot obey this logic, beginning with Carmil- la's emotional vampirism of Laura; her feasting on village girls; her beginning physical nighdy visits to Laura; Laura's physical decline; and the ultimate discovery of Carmilla's true vampire nature. The imbalance at the level of the narrative macrostructure is a direct consequence of Carmilla's force-dynamic actions that can be captured through an analysis of verbs and adverbs. The reader will not only perceive this linguistically accessible level, but at some point will feel that the same forces determine the story's overall logic.

6.2 Actant roles based on force configurations I'd now like to show how storyworld forces coalesce with an impressive set of force metaphors to create a complex conceptual model of protagonist interac- tion. The analysis of force schémas can lead to an understanding of actant roles (Greimas 1966) and interactional configurations between actants that drive the plot forward.9 This kind of high-level analysis can combine storyworld imagery, metaphorical imagery of emotions, or other character traits, as long as they have clear force tendencies. In Carmilla the anti-heroine is consistendy depicted as the AGENT and Laura, her victim, as the PATIENT, the passive recipient of various actions (i.e. the "energy sink" of a force chain). I have argued earlier to

9 I take inspiration from Talmy, who suggests that force dynamics in narrative plot "character- ize such relationships as two entities opposing each other, a shift in the balance of strength between the entities, and an eventual overcoming of one entity by the other" (2000: 439). ANALYZING IMAGE SCHEMAS IN LITERATURE | the effect that the storyworld imagery gives rise to an implicit master trope that we may gloss as VAMPIRES ARE AN INCONTROVERTIBLE FORCE. Now, force- dynamic metaphors very systematically extend and entrench this. Laura is subject to a powerful metaphorical force by Carmilla in many ways. One is the force of attraction. The metaphor pattern of EMOTIONAL EFFECT OF CARMILLA ON LAURA IS A PHYSICAL FORCE (and occasionally repulsion) makes Laura passive. Laura is "powerfully drawn towards her", feels "determined" and "overpowered" by her engaging features, is "won over" by Carmilla (thus, by entailment, possessed). Here are the conceptual metaphor patterns I found in the overall analysis: - THE EMOTIONAL EFFECT OF CARMILLA ON LAURA IS A FORCE - EMOTIONAL ATTRACTION TOWARDS CARMILLA IS PHYSICAL ATTRACTION / IS REPULSION - SYMPATHY ON LAURA'S PART IS BEING POSSESSED BY FORCE / OBSESSIVE LOVE ON CARMILLA'S PART IS POSSESSING

Next, the actual vampire affliction in the nightly visits to Laura's bedroom is both literally and metaphorically an act of force penetration. - EXPERIENCING AFFLICTION IS A WEIGHT/FORCE - EXPERIENCING AFFLICTION IS A FORCEFUL INGRESSION IN THE PRIVATE QUARTERS (literally) - EXPERIENCING AFFLICTION IS A FORCEFUL ATTACK BY A DISEASE

There is a set of force metaphors that characterize general superiority and manipulation through the vampires, such as "imposing" promises "fettering" General Spielsdorf, "parrying" attempts to find out something, making them "submit" to their will, and making them "fall victim" to them. - SUPERIORITY OF THE VAMPIRES IS FORCE SUPERIORITY

Conceptual metaphors of Laura's percepts of her surroundings are equally instructive, because they reveal that, here too, she is exposed to forceful impressions. - REALIZATIONS ARE FORCES ACTING ON LAURA - HIGH ATTENTION IS A QUICK FORCE OR FORCEFUL IMPRESSION ON LAURA

What is amazing here is the high systematicity with which Le Fanu cues the actant roles. Conceptual metaphors of affliction, attraction, realization, and being manipulated reflect a coherent actant configuration and may be legiti- mately drawn together for analysis. They all share the entailment of Laura being exposed to forces and thus establish her firmly in the patient role. The patterns suggest that she is the Agonist that is at rest, while Carmilla, the stronger Antagonist, moves her and the story with her. I M.KIMMEL

Summing up, the discussed agent-oatient pairing reflects an emergent (i.e. higher-level) image-schematic configuration that shapes our understanding of plot. The more general methodological lesson here is that scholars are well advised to pay attention to force image schémas in stories systematically, because these are a good resource for doing a structural analysis.

7. Image schémas and literary embodiment The fascinating phenomenon of literary embodiment, i.e. the reader's feeling of a vicarious embodied involvement in a story, can be studied through a focus on specific kinds of textual effects. I cannot do full justice to the quite complex role of metaphor here, but will discuss some basics, while also devoting attention to less discussed textual phenomena.

7.1 Contour words and the vicarious experiencing of storyworld events A suggested new analytic focus for cognitive literary studies concerns the shape of narrative micro-events. A linguistic way to access event shapes is locating what I name "contour" words, i.e. expressions that alert us to the specific manner of an event over time. Some words give rise to a rather detailed imagination of something as extended, punctual, iterative, rising, falling, changing, etc. Verbs, by virtue of their intrinsic lexical aspect or through the used grammatical aspect, or adverbs do this best. Contour words vivify the imagination and add qualitative depth to something for which a more neutral word might also have been used. To provide a simple example, compare "the door was thrown open" with "the door opened". The former has a qualitative richness in the mental imagery that the latter lacks, and it creates a focus on the manner of action over time (quick, forceful, accelerating, coming to a sudden halt). Phenomenologically, this richness of has a tendency of making the reader simulate the action, rather than processing it more propositionally. In particular, quite ordinary descriptions of bodily actions or experiences lend themselves to simulation by the reader. Consider the following non- metaphoric examples, again from CarnnlLr.

the horses plunged and broke suddenly into a furious canter / in her trembling embrace / and breathing so fast that her dress rose and fell with the tumultuous respiration.

Other contour words appear within metaphors or personifications:

What was it that, as I reached the bedside and had just begun my little greeting, struck me dumb in a moment / I perceived now something of languor and exhaustion stealing over her /And when she had spoken such a rhapsody. ANALYZING IMAGE SCHEMAS IN UTERATURE |

Probably the most frequent kind of contour word appears in emotion- and inner feeling-related metaphoric expressions. Such metaphors have been, typically, directly motivated by a bodily sensation in the first place that accompanies the feeling:

a little seesaw of the tight throbs and the wrong / the strange, dizzy lift or swim / his actually flushing with pain.

All these kinds of contour words evoke a rich imagistic conceptualization. Sometimes this is something a protagonist does actively, and in other cases it is an experience that impinges upon the body. In both cases, the experience relates to an internal sense of the experiencing subject (kinesthesia, balance, joint position, deep tissue sense, tactile sense, energy flow, and pain receptors). Such contour expressions specify the manner in which something happens within the bodily substrate. Why does this involve the reader? When a story protagonist describes subjective feelings in a qualitatively rich manner, this invites vicarious expe- riencing on part of the reader. Hearing that someone is "flushing with pain" makes the embodied empathy much more intense than when hearing "she had pain", since we flesh out our proprioceptive imagination of how the pain arrives (namely quickly) and how it feels (namely full, as the water image suggests). Studying contour words thus provides a textual way of predicting the sensorimotor involvement of the reader, a factor contributing to "transport" (Gerrig 1993) into a story and its enjoyment. Their vividness and intensity is also important as a salience-creating device, so that clusters of contour words tend to be identified as key passages. Overall, contour words constitute an important entry point to a theory of embodied simulation in reading (cf. Esrock 2004). Embodied resonance in the reader may be expected to co-vary with the qualitative richness of dynamic gestalts that a text prompts in our imagination. Contour words analyzed summarily may even provide a measure of an author's general strategy of involving the reader. Does the author want readers to remain detached, at a more disembodied level of "shallow" (propositional) processing or is full immersion in the story aimed at? Contour words thus illuminate the nexus between image schémas and embodied effects in the reader.

7.2 Other embodiment-generating language Further embodiment and simulation-related effects can be identified in storyworld imagery, which go beyond event shape only. Scenes of erotically imbued vampirism in Camilla draw the reader into a powerful vicarious sensation of "being there". Le Fanu mixes both contour words (bold) and other sensory words (italics): 178 I M.KIMMEL

Sometimes there came a sensation as if a hand was drawn softly along my cheek and neck. Sometimes it was as if warm lips kissed me, and longer and longer and more lovingly as they reached my throat, but there the ca- ress fixed itself. My heart beat faster, my breathing rose and fell rapid- ly and full drawn; a sobbing, that rose into a sense of strangulation, super- vened, and turned into a dreadful convulsion, in which my senses left me and I became unconscious (Le Fanu 2008: 57).

The embodiment cues in italics relate to sensorial language focusing on qualities other that manner or temporal contour. Some words, like "strangulation" and "sobbing", are kinesthetic (in part), where as others seem more tactile and temperature related ("softly", "warm", "lovingly"). Rather than a complex image-schematic gestalt (as in earlier examples) the passage creates a rich multi- sensory image and precisely because of this amalgamation of different senses embodied involvement reaches a peak. Still other effects stand both at the fuzzy boundary of the category "image schema" and the notion of embodiment as such. This special category concerns rich descriptions of visual and auditory percepts of some scenery, but without an inner, bodily sense:

in the cold, faint twilight / to listen, while, in the fading dusk, the first birds began to twitter, for the possible recurrence of a sound or two.

Expressions like these (the first two of which are metaphorical) also create a simulation of "being there" on part of the reader, even though the imagery is not located inside a body but in an external scene. Whether imagining external sensory impression should be called embodied or not is a matter of definition. Note in any case that many of these expressions, such as "faint" or "cold" are still capable of synaesthetic transfer to other senses and thus share one key attribute of image schémas. The imagery here may, in further course, also acquire a conceptual meaning that adds to its direct imaginative effect (e.g. when dark comes to stand for evil or bright for happy).

7.3 Cross-modal correspondences A phenomenon with a rather special body-related status pertains to metaphors with a non-kinesthetic sensory source domain. While these may stand at the borderline to image schémas, the same logic applies to them. Sensory meta- phors may, again, be analyzed in single-passage clusters or grouped into analytic sets for coherence analysis. What connects the words here are cross-modal matches. Research on synaesthesia shows that the mind naturally connects certain sensory terms, such as big and loud or bright and loud (Popova 2005) and often this is reflected in cross-modal metaphors ("sharp" for sounds, "faint" for vision, "warm" for feelings, etc.) In literary contexts, this opens the ANALYZING IMAGE SCHEMAS IN LITERATURE |

possibility of detecting matches across sensorial categories. Take the following example from Turn of the Screw.

It was a crisp, clear day, the first of its order for some time; the night had brought a touch of frost, and the autumn air, bright and sharp, made the church bells almost gay (James 1986: 215).

Here "crisp", "touch", "bright" and "sharp" all contribute to a cross-modal image schema of something punctual and incisive. The expressions thereby create a mutually reinforcing sensory field. Such passages are stylistically coherent and amplify a sensory/embodied effect. An example for coherence-based analysis concerns how the children, whom the governess is trying to protect, are consistently depicted by her in two recurrent conceptual metaphor patterns, i.e. the CHILDREN ARE BRIGHT CREATURES and THE CHILDREN ARE SWEET CREATURES. These two naturally connect by cross-modal match, because bright and sweet both occupy the intense, positive pole on their respective sensory scales. Both metaphors depict the children with positive intensity, because both sensory source domains are organized by a scale-like (Krzezowski 1993) with respect to which the children's attributes match.

7.4 Are all image schémas embodied in the same way by readers? Having looked at various analytical foci, we may now critically examine the tendency to treat image schémas as uniformly "embodied". Cognitive linguistic orthodoxy (Lakoff & Johnson 1999) seems happy with putting the same embodiment tag on everything. I do not wish to deny the embodiment hypothesis, but would urge that we need a better grasp of different embodied qualities in reading to flesh it out. I have suggested such differentiations in the section on contour words above. Now, concerning metaphor, both general and literature-specific reasons should keep us from treating all metaphors on a par. Gibbs (2005) has rightly pointed out that embodied protosynthesis of language in infancy is not to be mixed up with sensorimotor activation in actual linguistic usage. What is best corroborated is the claim that image schémas are developmental'fy rooted in the body, while the debate about embodied on-line processing remains open in some respects. Language processing research does also not suggest a monolithic category of embodiment. Instead, embodied imagery can be activated by degrees and some expressions may undergo a more "shallow processing". Thus, some, but perhaps not all, instances of abstract word processing are accompanied by micromotoric activations strong enough to be measured. Moreover, metaphoric mappings are a more complex issue than image schémas alone. Notwithstanding the fact that, for instance, the CONTAINER image schema originates in the proprioceived body-world boundary in infants, it can be realised at quite different levels when adults deploy it in CONTAINER-metaphors. 180 I M.KIMMEL

From a literary-phenomenological viewpoint, i.e. concerning what readers experience, we a fortiori need a graded notion of embodiment. Both, the degree to which the imagistic activity is felt "within" the body and the degree of an immersive "being in the story" may vary. For example, the expressions "a little seesaw of the right throbs and the wrong" and "the strange, dizzy lift or swim" have a body-internal substrate, while "the ship's belly" is imagined in an external substrate, and "the body politic" in abstraction. Of these, only the first two metaphors give the reader the strong feel of "being in the story", because they let us slip into the protagonist's body and emotions vicariously. The expressions "ship's belly" and "body politic" are more disconnected from the reader's body image-related processes during reading. They lend a different feel to the image schémas. This qualitative difference results from the nature of the target domain. Emotion-, action-, and (to some degree) thought-related metaphorical targets, seem to lead to a particularly rich, vivid, and affect-laden reading. With a target such as anxiety or pain the image schémas in question are fed into the reader's proprioceptive system, whereby a protagonist's inner feelings can be mirrored. By contrast, metaphors with exteroceptive targets (most often visual) give rise to a much less "immersive" style of literary embodiment. The reader is more like an observer than a quasi-protagonist here. Metaphors with abstract targets may not even cue images of the storyworld at all, but relate to a realm of thoughts dissociated from it. Succinctly stated, the imaginative locus of image schémas (i.e. propriocep- tive, exteroceptive or abstract substrate) determines the felt embodied quality of reading regarding intensity, vividness, and the associated feeling of "myness". Affective resonance also tends to be stronger with proprioceptive metaphors, as we have reason to believe that lived emotions are based on body-internal imagery (cf. "somatic markers", Damasio 1996). I conclude that we can differentiate styles of literary embodiment by examining the basic properties of the target domains (or simple word semantics in non-metaphors).

8. Plot models and megametaphor 8.1 How image schema compounds create and foreground the plot-model In an earlier section, I talked about narrative structuring devices at an emergent (i.e. non-textual) image-schematic level. It stands to reason that, under certain facilitating circumstances, complex narrative structures can be derived from a textual analysis (cf. Stockwell 2002: ch. 9.). Some authors deploy metaphors and other image schema words systematically so as to foreground the implied plot structure. They bring their readers to interrelate diverse metaphors by exploit- ing their image-schematic affinity. By affinity I mean that different primary image schémas fit together because they are part of a more complex gestalt (an «r-scene, if you will). Many such affinities are naturally rooted in a familiar everyday scene like the experience of a FORGI-^-impelled OBJ HCT that moves on ANALYZING IMAGE SCHEMAS IN LITERATURE | a PATH to break into a CONTAINER. For example, Conrad's Heart of Darkness (Kimmel 2005a) amalgamates three affine sets of metaphors into this kind of ur-scene, one related to PATHS, another related to FORCE PENETRATION, and the third related to IN-OUT/CONTAINERS.

(1) I went a litde farther [...], then still a little farther, till I had gone so far that I don't know how I'll ever get back (2) fantastic invasion / fantastic intrusion / tear treasures out of the bo- wel of the land [...] burglars breaking into a safe (3) deeper and deeper into the Heart of Darkness / travelling back to the earliest beginnings of the world

All these repeatedly used conceptual metaphors cue the reader to foreground the story's manifest event structure, an invasive, irreversible journey into the Congo. The expressions evoke (a) path, which they describe (b) as being covered by applying force, and (c) as leading into some kind of inner-realm or depth. The PATH, FORCE, CONTAINER (IN-OUT) image schémas naturally go together to create this rich scene. Although the metaphor source domains are of a different kind, they naturally amalgamate in the reading mind. The cognitive prerequisite for this is that the image schémas can be superimposed to create compound structures (cf. Kimmel 2005b), something we already saw in the earlier examples for image schema composition in a passage. It is to be expected that readers create the compound image schema for the basic space-, time-, and progress-related storyworld representations because of the extremely frequent textual meshing of these image schémas, and because they all relate to approximately the same target concept, i.e. "Marlow's journey". More generally, superimposable image-schematic source domains can make readers predicate divergent metaphors on a single emergent plot representation. A heightened sensitivity for image-schematic affinities can become a key heuristic for the literary scholar who wants to detect complex narrative structures.

8.2 The image-schematic basis of megametaphor The plot representation we have just examined may, in due course, also facilitate a reading of the journey-based event structure as a megametaphor for a transformation of the self. A megametaphor is an implicit large-scale mapping onto a target domain that is recurrently hinted at, creating a deeper-level meaning the text "really is about". Megametaphors are neither linguistically signalled nor tied to one specific expression that creates semantic tension with its context, as in other metaphors. The text or text passage in question works as a proper literal description, with the sole difference that the reader slowly comes to attribute a second, hidden layer of meaning to it. This layer remains "in the eye of the beholder", and will be inferred only (a) by readers who read for deeper I M. KIMMEL

meanings, (b) in the presence of subtle cues deployed over a stretch of text and (c) when these are strongly suggestive of personal current concerns or some conventional cultural frame. When readers adduce the hidden target they usually project some background knowledge into the subde anchor points that the text itself offers. As I will show now, the aforementioned compound image schémas that readers routinely build of the plot structure constitute such anchor points. In the Heart of Darkness the image-schematic structure of the plot, the invasion into an alien, yet strangely familiar space, may be understood as making implicit reference to an entrenched cultural model of the self and creates the megametaphoric mapping THE JOURNEY IS A SELF- TRANSFORMATION. Marlow, the main protagonist on his riverboat trip, undergoes an experience of initiation into "dark" archaic knowledge and transformation of his soul. Although the text spells this transformation out in some places, these local effects are gready amplified by how the reader may decode the significance of the journey between an outer European sphere standing for rationality, enlightenment and self-control, and an inner African sphere, standing for that dark, irrational and passionate knowledge. This megametaphoric reading of the journey is likely because all readers are familiar with the image-schematic model of the self as an epistemic space with an embodied center, a maximum reach and a boundary (Lakoff & Johnson 1999). Conrad uses this model and employs repeated cues throughout the text to intimate that the journey does something to the self. Sometimes expressions are used that can be understood literally, but also metaphorically. For instance, "I went a little farther [...], then still a litde farther, till I had gone so far that I don't know how I'll ever get back" clearly implies the possibility of self loss. In effect, Conrad creates a model of an extended epistemic self-space going beyond what is culturally familiar, in which a de-centering movement away from the origin of security to more essential, yet dangerous and archaically irrational knowledge occurs. Reaching beyond that which is familiar and feels safe also entails the transgression of a moral barrier.

The logic of the journey, the megametaphoric source domain, clearly corres- ponds to the conventional self model, i.e. the implicit target domain the text hints at. Europe maps onto the known, safe self, the gradual journey onto the ANALYZING IMAGE SCHEMAS IN LITERATURE | gradual self transformation through Africa, and the deep African wilderness on an archaic outer-space of the unknown self, beyond the usual epistemic reach. To grasp the megametaphor THE JOURNEY IS A SELF-TRANSFORMATION readers must iconically project the image-schematic elements of the story's event skeleton (CONTAINERS, PATH, BARRIER, PENETRATION, etc) onto the self model. Based on this, further key aspects fall into place. Since the epistemic self model implies an axially centered (=sane, in Freudian terms Superego) self, the effected movement to the "Other" (=archaic, Id) may be at the same time understood as de-centering and as enlargement of the self horizon. This is precisely the message Conrad aims at, pointing to the existence of an eerie, yet, real archaic self beyond the cultivated self-image. A crucial point to bear in mind is that megametaphor may occur purely in the mind of the reader without being cued in a textually traceable way. In other examples that I won't go into here (e.g. Werth 1999) macro-effects that are image-schematic need not rely on traceable image schémas. In the present case, however, the image-schematic cue words of a PATH, FORCE, or CONTAINER type were the stylistic basis of authorial innuendo and their joint role in the narrative event structure was what made them commensurable. Hence, a study of image-schematic affinities across a text may nudge the literary scholar towards the recognition of an implied megametaphor.

9. Conclusion Based on the study of several novels, I have raised awareness for the fact that image schémas, besides occurring in various kinds of metaphors (e.g. those creating thematic effects), are so fundamental to narration that they also cut across images of the unfolding storyworld ("What does X do?"), narrative structuring devices readers use to scaffold the story event's meso- and macro- structure, and word forms that specify event "shape" or produce a strong visceral resonance.

9.1 Taking stock The surveyed analytic modes range from focused stylistic ones to more synthesizing ones. The analysis of cohesive text passages throws into relief literary techniques that use image-schematic affinities between words as a substrate for conceptual amalgamation. Here, image-schematic elements, most often as parts of metaphors, recur or interlock and creatively blend to create a unique conceptual effect. Alternatively, by compiling sets of expressions across a text, and thus disregarding their individual context somewhat, the scholar can explore coherence patterns. For example, several expressions that are manifest- ations of one conceptual metaphor are grouped based on similarity (or antithetical relations in irony). There is also a third, more advanced option. Once one has completed a basic survey of image schémas in a text, higher-level affinities between them can become a key to complex work-specific literary 184 I M.KIMMEL

effects, e.g. after the fashion of Danaher (2003) and Kimmel (2005). This strategy is one of an interpretively informed search for image schémas that may create gestalt compounds in the reader's mind (as we saw with megametaphor, the textual data may be augmented by adducing plausible reader expectations from cultural frames, which help readers detect affinities.) One methodological dimension thus concerns whether the analyzed data are localizable in a text passage (cohesion-based analysis) or whether we compile data from across a text (coherence based analysis) and perhaps further interrelate the latter (higher-level analyús). Another important dimension we need to be aware of is whether we look for similar image schémas or allow them to be complementary (or antithetical, in some cases). By placing these two dimensions in a synoptic table we may distinguish four kinds of analysis:

Similarity based Complementarity/and thesis-based Local - Image schema mesh - Image schema composition (from cohesion (from metaphor) metaphor) analysis - Cross-modal matches (from synaesthetic metaphor) - Scene affordances [encoded in some cases] Finding embodied passages (from contour-words)

Global - Conceptual metaphor- - Conceptual metaphor-based analysis coherence based story themes of irony or ambiguity analysis - Force dynamic - Plot-model affinities characterization (story- - Megametaphor world, sometimes - Key scene blends (several metaphors) metaphor) Force dynamic actancy models (storyworld and metaphors)

Figure 2.

It will be noted that two categories appear both in the left and right columns. Embodiment cues may either be repetitive or complementary in the way manner of motion is specified. Somewhat differendy, force dynamic actancy analysis is inherendy both based on the repetition of the same, as far as patterns for one protagonist are concerned, and on complementation between the protagonists' individual patterns. Finally, not all image schémas readers think by need be textually reflected. Emergent aspects of the event structure, e.g. causal chains, temporal break- points or nested episodes, lack direct anchors in specific imagistic words and ANALYZING IMAGE SCHEMAS IN LITERATURE | phrases. In these cases, a structural narrative analysis is required rather than a linguistic one to arrive at testable hypotheses. Validating purely emergent structures requires experimental research such as the FORCE-PATH representa- tions of a protagonist's global story goal studied by Kimmel (2008b) (only actancy seems to be a kind of intermediate case, as it reaches into structural narrative categories, yet apparendy remains amenable to analysis through text- linguistic clues).

9.2 Lessons for cognitive literary studies Several methodological lessons should be heeded to apply image schémas to literary analysis. First, interpreting image schémas from different kinds of metaphors as evidence for a single story theme requires a well-reflected rationale. It is not recommendable that scholars simply go foraging for image schémas independendy of their context and aggregate them, at least not without a careful discussion. Likewise, it is risky to conflate examples when they fulfill different narrative functions. For both of the previous reasons, we need to be wary of broad and, upon inspection, near-vacuous claims that the novel so-and- so is characterized by a PATH, CONTAINER or BALANCE image schema. Due to the ubiquity of image schémas in language, one would expect these to occur in every novel or drama at various levels, so that the specific way that an image schema is textually foregrounded and its narrative function have to be expli- cated for saying something meaningful about literary cognition. It is highly plausible that the now demonstrable linguistic embodiment effects spill over to literature in some way. When cognitive literary studies equate image schémas with embodiment tout court they are not necessarily wrong, they are simply being too uninformative. What I criticize is the abuse of the catchword embodiment, carrying with it vague implications of the sort that texts with many image-schematic metaphors are "embodied" simply because their language is made from gestalts. Literary analysis should focus on the "how" of embodiment and account for its different phenomenal qualities. From a phenomenological viewpoint, not all perceptually-grounded imagery is embodied in the same way. Some image-schematic cues are more prone to an immersive kind of reading than others. Whether image schémas are situated in the body or in distal entities will have repercussions on immersion, affect, imagistic vividness, strength of micromotoric action simulation and identifica- tion potential with a story protagonist. To address kinds of embodied reader response and specify what different text passages or texts do differendy. I have proposed two methodological avenues. We can (a) focus on the richness of manner of motion implied in a word, usually a verb or adverb, and (b) examine metaphoric target domain properties of metaphors for their relation with the reader's on-line body schema processes (proprioceptive-affective vs. exterocep- I M.KIMMEL

tive/abstract).10 These and other qualitative predictions as to which bodily state accompanies which sort of textual imagery cue (cf. Esrock 2001) are a much needed starting point for further reader response experiments. I did not have the space here to go into the merits of a full-scale text annotation with state-of-the art coding tools (cf. Kimmel 2008a). Suffice it to say that software-assisted tagging safeguards against an impressionistic data selection and allows systematic checks of quantitative prevalence. When scholars select text passages for analysis they should give explicit consideration to their representativeness and provide a comprehensive overview of their place among other patterns. Choosing passages that seem subjectively striking runs the risk of overlooking many frequent patterns. By contrast, full-scale coding allows a systematic search for "hot spots" of imagery in the text and making the most of coherence-based research by including all relevant patterns. The application of sound coding methods - the standard in the qualitative social sciences - will also strengthen the position of literary research vis-à-vis cognitive psychology, as the textual research paradigm is inherently vulnerable to the criticism of not addressing actual cognitive reader response. Putative reconstructions of thematic structures in literature and drama should at least be based on demonstrable systematicity of patterns (which is not to say that a careful argumentation for interpretive plausibility is not equally important).11 Finally, what I hope the paper has achieved on the way is to make a case for the value of comparative projects of several long texts. Only by virtue of this was it possible to find the reported range of phenomena and draw the neces- sary distinctions between them. This also allows comparing genre-related trends or authorial strategies in the use of image schémas vs. rich imagery, embodied style vs. detached style, and other issues (Kimmel 2008a, forthcoming).

Acknowledgements I would like to thank Tim Adamson, Michael Sinding, Eva Müller-Zettelmann, and an anonymous reviewer for their helpful comments.

10 We also might have to distinguish action affordances from affective affordances in image schémas. All of this is cross-cut by the distinction between subconscious processing vs. conscious literary appreciation. 11 Ultimately, what the textual approach can achieve in terms of cognitive theory is to furnish hypotheses that psychologists need to test separately by designing experiments on text comprehension or doing other reader response studies. However, we need the textual ap- proach as irreducible part of research, because of its contextually situated complexity that gets lost invariably in experimental reduction of data. ANALYZING IMAGE SCHEMAS IN LITERATURE |

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The first of its kind, Cognitive Semiotics is a multidisciplinary journal devoted to high quality research, integrating methods and theories developed in the disciplines of cogni- tive science with methods and theories developed in semiotics and the humanities, with the ultimate aim of providing new insights into the realm of human signification and its manifestation in cultural practices. Accordingly, readers will have the opportunity to engage with ideas from the European and American traditions of cognitive science and semiotics, and to follow developments in the study of meaning — both in a cognitive and in a semiotic sense - as they unfold internationally.

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Sémiotiques européennes est le résultat d'une Initiative prise par un groupe de chercheurs en sémiotique. originaires du Danemark, d'Allemagne, d'Espagne, de France et d'Italie, Inspirée par l'impulsion innovatrice apportée par René Thom et sa "sémiophysique". Le but de cette collection est de fournir une tribune européenne large à tous ceux qui s'in- téressent à la recherche sémiotique portant sur les dynamiques sémiotiques, et réunissant des perspectives culturelles, linguistiques et cognitives. Cette approche, qui combine différentes sources, telle que la phénoménologie, le ges- taltisme, la philosophie de la culture et le structuralisme, part du principe que la sémiosis est essentiellement un procès cognltif, qui sous-tend et structure toute culture humaine. Dans cette approche, la sémiotique est donc considérée comme la discipline par ex- cellence capable de créer un pont entre les domaines des sciences cognitives et ceux des sciences de la culture. Sémiotiques européennes accueille tant des monographies que des anthologies et des actes de colloques d'un haut niveau de recherche, rédigés de préférence en anglais et en français. Volume 1 Wolfgang Wildgen: De la grammaire au discours Une approche morphodynamique xi + 351 pp. 1999. ISBN 3-906762-03-3 / US-ISBN 0-8204-4226-7 Volume 2 Lene Fogsgaard: Esquemas copulativos de SER y ESTAR Ensayo de semiolingüística 382 pp. 2000. ISBN 3-906764-22-2 Volume 3 Jean Petitot: Morphogenesis of Meaning xii + 279 pp. 2003. ISBN 3-03910-104-8 / US-ISBN 0-8204-6858-4 Volume 4 Per Aage Brandt: Spaces, Domains, and Meaning Essays in Cognitive Semiotics 271 pp. 2004. ISBN 3-03910-227-3 / US-ISBN 0-8204-7006-6 Volume 5 Marcel Βαχ, Barend van Heusden 8c Wolfgang Wildgen: Semiotic Evolution and the Dynamics of Culture XX + 318 pp. 2004. ISBN 3-03910-394-6 / US-ISBN 0-8204-9

Volume 6 Ángel López-García: The Grammar of Genes How the Genetic Code Resembles the IJnguistlc Code 182 pp. 2005. ISBN 3-03910-654-6 / US-ISBN 3-03910-7171-2

Volume 7 Ole Kühl: Musical Semantics 261 pp. 2nd unmodified printing. 2007, 2008. ISBN 978-3-03911-718-5

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