Peter Smagorinsky
University of Georgia
College of Education
Department of Language Education
125 Aderhold Hall
Athens, GA 30602
Phone: 706-542-4507
Fax: 706-542-4509
E-mail: smago@peachnet.campuscwix.net
This paper was developed from an invited address to the
American Educational Research Association in recognition of the
Raymond B. Cattell Early Career Award for Programmatic Research.
Please do not quote without permission from the author.
Abstract
In this essay I explore the notion of meaning, particularly as
applied to acts of producing and reading texts. I ground my analysis
in principles of activity theory and cultural semiotics, focusing
on the ways in which reading takes place among readers and texts
in a culturally mediated, codified experience that I characterize
as the transactional zone. I build on Rosenblatt's construct
of the evocation-the associations generated through engagement
with a text-to argue that meaning comes through a reader's generation
of new texts in response to the text being read. To account for
this phenomenon, I give examples from studies illustrating the
complementary designative and expressive functions of language
in meaning construction; the dialogic role of composing during
a reading transaction; the necessity of culturally constructed
subjectivity in meaning construction; the role of intertextuality
and intercontextuality in the construction of meaning; and the
depths and dynamics of context in readers' engagement with texts.
I conclude by locating meaning in the transactional zone in which
signs become tools for extending or developing concepts and the
richness of meaning coming from the potential of a reading transaction
to generate new texts.
If Meaning is Constructed, What's It Made of?
In discussions of readers and texts, it is common to refer to the importance of the text's meaning to the reader. Axiomatic to the point that it has become a theoretical bromide, the idea that texts should be meaningful is rarely defined. Rather, it is assumed to be not only a property of a worthwhile reading experience but a concept that all reading theorists and practitioners understand in more or less the same way. In this paper I would like to focus on the axiom itself; that is, my goal is to interrogate what it means to mean.
Defining the term meaningful turns out to be a tricky and often circular proposition, as my previous sentence might suggest. My dictionary (Merriam-Webster, 1994-1996) defines meaningful as "full of meaning." Meaning is defined variously as "something that is meant," "the thing that is conveyed," and "a significant quality." Mean means "to serve or intend to convey, show, or indicate: SIGNIFY." The best I can gather from these everyday definitions of meaningfulness is that when something has meaning, it stands for something else.
This notion of meaning doesn't quite get at the depths of consciousness suggested by references to meaningfulness by those who write about textual meaning. Bruner (1986), for instance, says that in a meaningful reading of literature, one engages in "world making" that is
constrained by the nature of the world version with which we begin the remaking. It is not a relativistic picnic. . . . In the end, it is the transaction of meaning by human beings, human beings armed with reason and buttressed by the faith that sense can be made and remade, that makes human culture. . . .
Literature subjunctivizes, makes strange, renders the obvious less so, the unknowable less so as well, matters of value more open to reason and intuition. Literature, in this spirit, is an instrument of freedom, lightness, imagination, and yes, reason. It is our only hope against the long gray night. (pp. 158-159)
That's quite a more impressive enterprise than simply standing
for something else. In this paper I aim to propose what is involved
when readers engage with texts in such a way as to produce these
transactions and transformations. Fundamental to this process,
I argue, is the reader's constructive participation in the creation
of new texts during the process of reading. This process of text
production conceivably involves further reflection through which
the reader potentially produces further texts. The reader's construction
of these new texts is the source of meaning in reading. These
constructions, while idiosyncratic, are culturally mediated, locating
meaning not only in the reader and text but in the cultural history
that has preceded and conditioned both and in the social practices
that provide the immediate environment of reading. I will next
detail the processes I am describing and then illustrate them
with examples from studies I have conducted on the meaning-making
experiences of high school students.
Theoretical Framework for Considering Meaning
To help frame my inquiry, I will draw on the concepts and terminology
of the related fields of activity theory and semiotics.
In particular, I will rely on the notions of tool and
sign to describe what a text is and how a reader
constructs meaning out of experiences with it, and the notion
of culture as both the progenitor of signs and tools and
the product of sign and tool use. Culture, from this perspective,
provides the basis for meaning, serving to mediate the development
of what Vygotsky (1978) calls higher mental processes.
Higher mental processes are paradigmatic rather than universal;
that is, they represent ways of comprehending and acting on the
world that are appropriated through cultural practice, and they
therefore embody cultural concepts of what and how things signify.
Although I treat each of them separately in the sections that
follow, it is impossible for any to exist independent of the others.
Sign
I will borrow Eco's (1985) paraphrase of Peirce (1931-1958) as
the basis for my understanding of the notion of sign: It is a
"relation or referring back, where . . . something stands
to somebody for something else in some respect or capacity"
(p. 176). This sounds quite simple, yet as the abundant field
of semiotics suggests is instead quite complex. What the sign,
or configuration of signs-what I call a text--stands for
lies at the heart of the notion of meaning, for a sign means differently
to different readers. At the same time, a sign can mean nothing
to a reader for whom the configuration has no codified cultural
significance, in which case it is not a sign.
To give an example from a current debate: The Confederate army
battle flag is now flown over the state capitol building of South
Carolina, and the flag's arrangement of the St. Andrews cross
and stars is also central to the design of the state flags of
Georgia and Mississippi. This particular configuration, in the
view of many white natives of these states, is a symbol of veneration
for Confederate Civil War veterans, as South Carolina Senator
Glen McConnell explained in a July 26, 1999 Nightline feature:
I see honor, courage, valor. I see the red, white and blue and the blood of sacrifice that ran through that battle and the people that carried that flag. I don't see black and white. . . . people say it's an emblem of racism, it's an emblem of hate, it's shameful and all of this. How do they think we feel when it's the emblem of our ancestors? They hurt our feelings.
This same flag was viewed quite differently by an unidentified
black South Carolinian interviewed for the Nightline program,
who said, "When I see the flag I see oppression. I see segregation.
I see slavery and all of the things that are a disadvantage to
the Afro-American people." A second black citizen echoed
these remarks, saying, "It represented the worst in America.
And most decent Americans don't want to see as a symbol the worst
in America. We want to see the best in America" (http://www.jessejacksonjr.org/issues/i07269968.html).
For the purpose of contrast, I will add some hypothetical readers
of the Confederate battle flag. One would be a resident of a
remote Indonesian island who has no knowledge of the flag's significance
in American history. This person might not read the flag as significant
at all, might assign a purely astronomical meaning to its arrangement
of stars, or might see it as a possible sail for a fishing boat.
Other hypothetical readers would be the meteorologist or kite
flier for whom the flag flying atop the state capitol might take
on at least a temporary alternative meaning, that being as evidence
of which way the wind is blowing.
When considering the meaning that any individual attributes to
a text, it's important to note that the text is not interpreted
alone, but in terms of the context in which it appears. To some
readers, the Confederate battle flag loses a degree of its emotional
impact when removed from atop the capitol dome and interred behind
glass in a museum. A written text too can take on different meanings
depending on the context, as Fish (1980) revealed when a class
of college students, upon entering a literature class and seeing
a list left on the chalkboard from a previous class, assumed it
must be a poem and interpreted it as such.
I've chosen the example of the Confederate battle flag because
of its familiarity and clear diversion of interpretation. My
purpose is not to assign a correct meaning to the flag but to
illustrate the ambiguity and indeterminacy of signs to readers,
if not to authors. It's notable that each of the first two real
readers of the Confederate battle flag I quoted believes that
he has an authoritative interpretation of the sign of the flag.
At the present, however, the interpretation of the flag as a
symbol of honor is the official meaning, at least as sanctioned
by the governments of these three states. That one group can
institute a particular meaning for the flag illustrates the way
in which dominant cultures have the power to define their version
of reality as reality, thus establishing their values as authoritative
and sovereign. This notion that meaning can be sanctioned by
those with the greatest cultural capital (Bourdieu, 1994) has
implications for the ways in which I will eventually talk about
the meaning of written texts.
How a sign comes to mean is a function of how a reader is enculturated
to read. This is characteristic of all reading, whether of flags,
configurations of stars, or words. Indeed, the idea that characters
on a page constitute words to be read is something that one is
enculturated to realize and act upon. One belief that I will
challenge is the notion that a text has a meaning of its own-the
"meaning incarnate" referred to by Bruner (1986)--independent
of what readers as members of cultures bring to it. I will argue
that attributing meaning to the text alone simply assigns to the
text an officially sanctioned meaning, often one so deeply presumed
that other interpretations inevitably are dismissed as wrong or
irrelevant.
Text
A text is a configuration of signs. As my illustration of the
text of the Confederate battle flag suggests, I regard reading
as an act conducted in conjunction with texts of all kinds, including
of course written texts but also any configuration of signs.
Much of my work has concerned the efforts of readers to make sense
of written texts, particularly the kind typically thought of as
literary. As part of this endeavor, I have looked at the texts
that readers create to represent their response to literature,
including such varied forms as talk, writing, drawing, dance,
drama, and music, often in tandem. I have also studied writers
as they have composed without a written stimulus, drawing on the
images of the text that they construct from their experiences,
imagination, and so on.
My notion of text, then, refers to any configuration of signs
that provides a potential for meaning. A reader, while including
those who read written texts, refers more broadly to anyone who
tries to make sense of a configuration of signs. These signs
would include both deliberate efforts to orchestrate signs into
a text (e.g., a painting) and those that are perceived as being
orchestrated into a text (e.g., constellations as read by ancient
people). In this latter example, the text is presumed to have
an author (a god) whose astronomical text is codified in ways
that enabled ancient readers to read a meaning into it.
This point brings me to the assertion that texts, like the cultural
contexts in which they are produced and read, are codified and
conventional (Rabinowitz & Smith, 1997). A text is produced
as part of the ongoing development of a genre-which includes both
text features and social practices-and is read by a reader who
is enculturated to understand text in codified and conventional
ways (Bakhtin, 1981). This reliance on historically evolving
conventions contributes to a text's position in an intertext;
that is, the juxtaposition of texts in ways that allow for connection
and continuity across readings through a relationship of codes
and concepts (e.g., Bloome & Egan-Robertson, 1993; Hartman,
1992; Witte, 1992). When authors and readers invoke the same
codes and thus are in tune with one another's ways of understanding
text, they have achieved what Nystrand (1986) calls reciprocity.
As the illustration of constellations reveals, there can be a
kind of reciprocity between readers and texts that is based on
a false premise about the codification of texts . This spurious
reciprocity can take place with readers of written texts such
as Jonathan Swift's "A Modest Proposal," a pamphlet
he distributed in which he argued that British society could solve
two problems at once-a proliferation of babies born to the poor
and a shortage of food-if the wealthy were to eat young children
born into poverty. As Booth (1974) would argue, there is widespread
consensus that the ironic and satiric codes of Swift's essay should
be read to supercede the argumentative codes. If a reader overlooked
the ironic and satiric codes of the text, he or she would read
it as a genuine endorsement of neonatophagia. (For an online version
of this text, see http://www.worldwideschool.org/library/books/lit/drama/AModestProposal/Chap1.html.)
Furthermore, reading contexts can invoke particular conventions
for reading, what Durst (1999) calls the ground rules for
participating appropriately. Marshall, Smagorinsky, and Smith
(1995), for instance, have found that in particular classrooms,
teachers emphasize particular reading conventions and discourage
others, invoking a particular speech genre (Bakhtin, 1986;
Wertsch, 1991) for discussing literature. The conventions that
they impose are grounded in particular traditions of understanding
and talking about texts, with the conventions that accompany those
traditions potentially mutable as instantiated with particular
groups of participants. The conventions that teachers endorse
and reinforce take on the kind of official authority that interpretations
of flags can achieve; that is, they have official sanction and
therefore render other ways of reading texts less authoritative
and thus less likely to be adopted by novice readers or readers
without the capitol to vigorously invoke other conventions that
might have authority in other settings. Like an ax murderer in
a logging camp, some students do not recognize the proper use
of the tools at hand and can disrupt the official language of
discussion by using them for different purposes. And so, in classrooms,
idiosyncratic readings and uses of language, such as those used
for emotional purposes, are often dismissed as irrelevant to understanding
a text's meaning. Furthermore, to those who assume that canonical
works are written according to an innately superior set of codes,
texts produced through other conventions-such as works by some
minority writers-are viewed as inferior and not worthy of serious
study (see Stotsky, 1999, for an endorsement of this view; and
Gates, 1988, and Lee, 2000, for a critique). If it is true that
there are cultured and gendered (Cherland, 1994) ways of reading
and producing texts, and that these practices are out of step
with the established and authoritative ways of conceiving and
considering texts in school, then school becomes a much more hospitable
and rewarding experience for some groups than for others.
Tool
The next notion that I will take up is that of a tool. A tool
is a means by which one acts on one's environment. In the words
of Luria (1928), "instead of applying directly its natural
function to the solution of a particular task, the child puts
between that function and the task a certain auxiliary means
. . . by the medium of which the child manages to perform the
task" (p. 495; cited in Cole, 1996, p. 108; emphasis in original).
Most readers will instantiate, upon hearing the word tool, such
implements of handiwork as hammers and saws; and indeed, such
instruments clearly illustrate the way in which a medium enables
a person to carry out a task. From the perspective of activity
theory, a tool includes psychological tools as well, particularly
speech (Cole, 1996; Vygotsky, 1978, 1987; Wertsch, 1985, 1991)
and, as I will argue from my own work, artistic media such as
art, drama, and dance (O'Donnell & Smagorinsky, 1999; Smagorinsky,
1995a, 1997a, 1997b, 1999; Smagorinsky & Coppock, 1994, 1995a,
1995b; Smagorinsky & O'Donnell-Allen, 1998a, 1998b, 2000).
Just as the same icon may represent different meanings to different
readers, or no meaning at all to other readers, the same implement
may serve as different tools to different users, or no tool at
all to other users, or a different tool to the same user in different
situations, depending on how (or if at all) it is conceptualized.
The manner in which it is conceptualized is a function of culture,
the next term that requires definition.
Culture
By culture I refer to the recurring social practices and their
artifacts that give order, purpose, and continuity to social life.
The notion of having a reasonably common purpose suggests that
culture is teleological (Wertsch, 2000); that is, culture is motivated
by movement toward a shared optimal outcome or ideal destination.
This ideal embodies the mutual values of the community in question.
Movement toward that ideal is enabled and constrained by recurring
social practices that are facilitated by tools that produce the
artifacts, including texts, that provide a reasonably shared meaning
for life within the culture. As the Confederate battle flag issue
illustrates, societies often consist of people of different and
frequently conflicting cultures whose experiences and social practices
result in cultural icons being interpreted in different ways.
People are, in this sense, products of culture. I do not use
this phrase in a fatalistic way that deprives individuals within
a culture of agency. Rather, I use it to describe the general
social practices that become deeply engrained. At times a culture's
more experienced members will instruct its novices in ways that
are didactic and deliberate, such as the way in which a community
of faith provides an explicit account of its beliefs about history
and destiny to its youngsters and converts. At others the means
of mediation are subtle to the point of becoming invisible through
a process that Cole (1996) calls prolepsis. He describes
this process by arguing that "the medium of culture allows
people to 'project' the past into the future, thereby creating
a stable interpretive frame which is then read back into the present
as one of the important elements of psychological continuity"
(p. 186). Wells (1986), without using the term, describes the
process of prolepsis as follows:
As mature members of a human culture, parents have quite specific ideas about what sorts of behavior have meaning and so, in interpreting the baby's gestures, noises, and so on, parents assimilate them to behaviors that they themselves find meaningful. The meanings attributed are therefore cultural meanings and, in their responses, parents provide culturally appropriate feedback that has the effect of shaping the infant's behavior towards what is culturally acceptable and meaningful. (p. 35; emphasis in original)
An example of how prolepsis works comes from Rubin, Provezano,
and Luria (1974), who studied adults interacting with babies in
a nursery. Those babies wearing pink diapers were treated sweetly
and gently, while those wearing blue were bounced more robustly.
The social future of these infants was thus projected into their
current treatment, in turn making that outcome more likely. The
process of prolepsis is thus tied to what Wertsch (1985; cf. Leont'ev,
1981), has described as the motive of a setting, which implies
a purpose and sense of direction for a social group, toward which
behavior within the setting is channeled through cultural practices.
Through this process society perpetuates its practices and truisms,
at times to the detriment or limitation to some groups within
it. If women, for instance, are deemed the fairer sex, then society
will be structured to obliterate or limit their opportunities
in life's more rough-and-tumble pursuits, making access to sports,
military careers, and the like unlikely. As Cole (1996) says,
"when neonates enter the world they are already the objects
of adult, culturally conditioned interpretation. . . . they come
bathed in the concepts their community holds about babies just
as surely as they come bathed in amniotic fluid" (pp. 183-4).
My notion that people are products of culture, then, refers to
the ways in which society embeds its assumptions in daily social
practice, thus codifying the world in particular ways and suggesting
the naturalness, appropriateness, and often inevitableness of
conventional ways of living within it. The world thus coded typically
establishes authoritative ways of reading meaning into signs that
privilege one perspective over another.
For my purposes as an observer of schools, and especially English
classes, prolepsis works in service of the traditional culture
of school in which canonical texts make up the curriculum and
the analytical written text is prized as the highest form of interpretation
(Applebee, 1993). These cultural practices, facilitated by a
limited tool kit of mediational means used to produce a limited
set of textual forms, limits students in terms of the meaning
available for them to construct. Furthermore, because the cultural
practices drawn on most resemble those found in the homes of middle
class students, it makes school success less likely for those
whose home cultures provide them with a different tool kit, a
different set of goals for learning, and different notions of
what counts as an appropriate text (Cazden, 1988; Heath, 1983;
Moll & Greenberg, 1990).
The Transactional Zone of Meaning Construction
I next employ these concepts from activity theory and semiotics
to explore the notion of meaning in reading. One caveat to my
argument is that the data base that supports it is drawn from
studies of high school students reading the genre known as literature;
that is, texts codified to imply rather than explicate a meaning.
The limitations of my research focus might call into question
the broad applicability of my conception of reading to texts designed
to explicate a meaning, such as this paper. To clarify my own
view of how broadly one could generalize from my argument, I would
say that it ought to apply to the reading of any text for which
a reader generates a new text, regardless of genre. For some
readers, this might exclude literature (Wilhelm, 1996); for others,
it might include the driest of technical reports.
I would like to start with the premise that meaning is constructed
by readers through their engagement with the signs of a text.
In making this statement I need to clarify that I am not entirely
distinguishing readers from texts, an idea that I will develop
throughout this essay. In one sense a human reader and a text
such as a book are distinct and constituted from quite different
elements. It is not, however, physical people and physical texts
that I am talking about, but rather meaning as a function of what
Salomon (1993) has called distributed cognitions, in which
"People . . . think in conjunction or partnership
with others and with the help of culturally provided tools and
implements," including texts (p. xiii; emphasis in original).
In this sense, as Wertsch (1991) argues, the mind "'extends
beyond the skin' in at least two senses: it is often socially
distributed and it is connected to the notion of mediation"
(p. 14; cf. Bakhtin, 1981, 1986; Bateson, 1972; Geertz, 1973;
Smagorinsky, 1995b).
Just as the mind extends beyond the confines of the skin, textual
signs extend beyond the cover of the book, meeting in a space
in which the two are one (cf. Faust, 2000). This intellectual
space provides the arena in which cultural mediation takes place,
including the act known as reading. I do not view this space as
a sealed area connecting two discrete entities, but as a dynamic,
permeable zone whose instrumentality is a function of culture.
The work that takes place in the space I'm describing is thus
a joint accomplishment, not just of readers and texts but of the
cultural practices through which both have been produced. In this
sense, meaning is a function of work conducted among readers
and texts rather than between reader and text. By
this I mean that no text and no reader comes to the experience
alone, but that reading is fundamentally dialogic, a term
I use in Bakhtin's (1981) sense; that is, in dialogue with cultural
predecessors whose practices take place within the "great
historical destinies of genres" (p. 259). In this sense
readings are emplotted (Ricoeur, 1983); that is, situated
in response to other readings. Wertsch (1999) has documented
how text production is emplotted in terms of its hidden
dialogicality among narrative texts: Each text is produced as
a conversational turn in dialogue with prior and anticipated future
texts. I would argue that readings are similarly emplotted,
serving as what Ricoeur calls a configurational act enabling
readers to bring together diverse texts into a complex whole.
The notion of reading I have briefly outlined here departs from
conceptions of reading in which meaning inheres in the text itself,
with the reader's role being to uncover or decipher that embedded
meaning. This is not to say that texts are not inscribed with
meaning, do not preclude some readings or suggest relatively narrow
possibilities. I'm hoping, for instance, that readers of the
text I am now writing do not conclude that it is about the mating
habits of the snail darter, or more locally, about the location
of textual meaning in the text itself. Indeed, it is my hope
as a writer to preclude such readings by writing carefully within
conventions anticipated by the readers I envision. My choice
of words, codes, and conventions is designed to inscribe meaning
into the text, although it is also possible that I am inscribing
meanings that I am not aware of, as writers do when using masculine
pronouns and other gendered terms while referring to people generally.
My premise is that as a writer, I produce a texts that provides
for readers a meaning potential that is realized by different
readers in different ways (cf. Nystrand's [1986] critique of Olson's
[1978] notion of the autonomous text). In addition to
whatever deciphering or decoding might be required to understand
what I am trying to inscribe in the text, readers bring to the
experience a host of attributes and conditions that will affect
how they construct a meaning from this inscription.
This decoding to which I refer takes place both with individual
words and with the configuration of conventions that make up genres
(Bakhtin, 1986); that is, the text as a whole is codified in ways
that suggest that I am producing an argument and not a work of
fiction, a distinction that should invoke a particular approach
to reading by those who understand these codes and know how to
adjust their reading appropriately. To return to my previous
statement that readers and texts are products of culture: Argumentation
is a cultural construct that is deliberately codified and conventional,
requiring my text to work within those codes if it is to be recognized
and read as such. Readers whose life experiences have exposed
them to argumentation, or whose schooling has given them formal
knowledge of argumentative conventions, will use their knowledge
to inform their reading, to engage in the social practice of argumentation
during their transaction with the text. This is not to say that
they will agree with my argument, only to recognize that I am
arguing and not producing a satire.
It's also important to note that multiple codes may coexist in
the same text. Swift's "A Modest Proposal," for instance,
employs the codes of argumentation but also those of irony. Readers
who recognize the argumentative codes but not the ironic will
see a single rather than double entendre of the essay.
At times the use of double-coding is deliberately embedded so
that only knowledgeable readers can see both meanings. For instance,
American slaves employed multiple coding systems in spirituals,
quilts, and other seemingly mundane texts for convening messages
and instructions on escape tactics and routes along the Underground
Railroad (Tobin & Dobard, 1999). One quilt pattern known
as the "trip around the world [was] used to indicate a path
around a mountain instead of over it. . . . if anyone-overseer,
master, or mistress-overheard the slaves talking about taking
a trip around the world, they would have dismissed it as gibberish"
(p. 84). Unlike Jonathan Swift, who (I assume) assumed the ability
of his readers to recognize the double entendre, the slaves designed
their quilts to exclude particular readings and readers through
the embedding of codes grounded in the African cultures brought
to the continent by the slaves.
I would argue that the common invocation of conventions is what
enables readers and texts to meet in the transactional zone.
As the examples of "A Modest Proposal" and the Underground
Railroad signs reveal, readers who lack enculturation to reading
codes will not have access to the meaning potential that they
suggest. One important point about the necessity of a transactional
zone is that the meaning potential of a text can be read quite
differently by people who read codes according to the same set
of conventions. Take, for instance, the illustration of the Confederate
battle flag and the different readings provided by the black and
white South Carolinians interviewed. I would argue that all are
meeting the text in the transactional zone because they are recognizing
the same sets of codes; all see the flag as a symbol of the Confederate
cause in the Civil War. The fact that some see this cause as
glorious and others as shameful is due to factors of perspective
rather than the recognition of different codes. The transactional
zone would not be in effect for readers of "A Modest Proposal"
who either purchase and devour a plump baby or believe that Swift
thinks they ought to do so. Such readers only recognize the argumentative
codes and thus accept Swift's claim that "a young healthy
child well nursed is at a year old a most delicious, nourishing,
and wholesome food, whether stewed, roasted, baked, or boiled;
and I make no doubt that it will equally serve in a fricassee
or a ragout."
The transactional zone is also available through the kind of reading
known as deconstruction, whose purpose is to reveal the
assumptions behind a text, often for critical purposes. Cherryholmes
(1988) describes the practice as follows:
In a Foucauldian genre, criticism produces histories and politics of the present, wherein texts and discourse-practices are the effects of the exercise of power. In a Derridean deconstruction, criticism exposes silences and gaps between that which is valued and disvalued, traces the sedimentation of meanings, and documents contradictions and ambiguities within texts and discourse-practices. (p. 160)
In this kind of reading, it is the reader's keen eye for codification
that produces the reading, even if that reading might suggest
meanings unrecognized by the author (see, e.g., Tyson, 1999).
I need also attend to the issues involved when unschooled readers
do not recognize textual codes. This lack of recognition and
understanding can occur with both words (i.e., not knowing sound-letter
correspondence) and genres (i.e., whole-text conventions). I
would argue that without knowledge of conventions governing both,
meeting a text in the transactional zone is not possible. Some
(e.g., Delpit, 1995; Lee, 1993) have argued that explicit instruction
in textual codes is necessary in order for readers from outside
society's mainstream to succeed in school. Whether one believes
in this approach or the immersion methods of whole language (e.g.,
Goodman & Goodman, 1990), I would argue that codified resonance
between readers and texts is essential to the potential for establishing
a transactional zone.
Acultural Accounts of Meaning
My view of reading as inherently cultural is at odds with conceptions
of reading that guide much current research, practice, and policy.
Many conceptions of reading focus primarily on readers and texts,
irrespective of the cultural and contextual factors that I will
argue are central to a view of reading grounded in activity theory
or cultural semiotics. Much of the highly influential reading
research of the 1980's (see, e.g., Anderson, Hiebert, Wilkinson,
& Scott, 1985) was based on time-constrained readings of abbreviated
passages, with the setting and task ruling out the kinds of discussion-mediated,
recursive, deliberative, constructive readings that more typically
take place among people whose reading does not serve the purpose
of measuring comprehension.
More recently, the conceptions of reading claimed as having scientific
validity in the current "reading wars" (see Allington
& Woodside-Jiron, 1999) are based on research that similarly
is conducted in isolated settings. In these conceptions of reading,
the text is presumed to have a particular meaning that the reader,
under conditions that resemble testing, must decipher. Failure
to determine the text's official meaning results in the measurement
of poor reading skills. The text, regardless of its interest
to the reader, serves as a sample of all texts in measuring comprehension.
The reading is further presumed to be representative of all of
the reader's readings, including further readings of the same
text perhaps mediated by discussion, reflection, research, inquiry,
and other efforts at imputing a meaning to the signs of the text-all,
surely, actions that successful readers take when reading difficult
texts for their own purposes.
The notion that a text has an authoritative, official meaning
also informs standardized tests of verbal aptitude and reading
comprehension, which further assume that there are questions most
worth asking and answers most worth answering, all of which serve
to measure a reader's ability and often by inference a teacher's
competence. A final area in which this assumption prevails is
in the commercial literature anthologies that are ubiquitous in
secondary schools, which Applebee (1993) has found to discourage
open-ended and divergent thinking about what literature might
mean.
Even those who take a more constructivist perspective have been
known to view reading, including the reading of literature, solely
as a function of a reader's transaction with a text. In such
approaches, culture is not viewed as a factor in the way a reader
reads. Rather, the notion of a reading transaction is reduced
to what takes place when a text comes alive in the mind of an
active reader, primarily through the reader's instantiation of
personal experience in response to the words of the text. For
example, Probst (1986) asserts that
the reader makes the poem as he reads . . . . the reader has the opportunity to see himself in his reading Literature invites the reader to observe his own responses, to see himself as if in a photograph, some aspect of his emotional or intellectual self frozen and awaiting inspection; thus, it rewards the reader with sharpened understanding of himself. For the moment, he can be both a participant, feeling and thinking, and an observer, watching himself feel and think.
Literature therefore enables the reader to remake himself. . . . The student creates himself intellectually as he reads. (pp. 23-24)
Probst's primary attention to culture comes in his argument that readers should defy its influence on them as readers:
Rather than submit to the work, seeking only to find its "structure of norms," the reader instead forces the work to submit to him. That is to say, he uses it, incorporating it into himself. . . .
Unfortunately, too few people steadily revise their notions about the world. Our tendency to remain with the political party of our parents, to continue in the religions imposed upon us as children, and to retain our prejudices despite evidence that might accumulate against them suggests a willingness to settle comfortably into patterns of thoughts and behavior. . .Culturally established norms become so deeply ingrained in consciousness that they come to seem as substantial and immutable as physical reality itself. (pp. 66-67)
This view that personal experience informs reading is an important
insight, and one that contradicts the reigning view that a reader's
attention should be on texts and that subjective readings are
inherently inferior to objective interpretation (Marshall et al.,
1995). It is, I will argue, insufficient in accounting for the
role of culture in understanding how meaning is constructed.
Indeed, I will argue that it is impossible to become acultural
as a reader or producer of texts. In contrast, one's notion of
meaning is gathered from participation in cultural practices;
as Moll (2000) has argued, it is inevitable that we live culturally.
A Cultural Account of Meaning
I next outline what I mean by meaning as necessarily situated
in and mediated by culture, particularly in terms of constructing
meaning through and from texts. My review includes attention to
the designative and expressive functions of language in meaning
construction; the dialogic role of composing during a reading
transaction; the necessity of culturally constructed subjectivity
in meaning construction; the role of intertextuality and intercontextuality
in the construction of meaning; and the depths and dynamics of
context in readers' engagement with texts.
Designative and Expressive Functions of Text Production
The first distinction I would like to make concerns the kinds
of processes through which people make meaning. Wertsch (2000)
argues that in Thinking and Speech Vygotsky (1987) outlines
two different conceptions of meaning that emerge from irreconcilable
philosophical traditions (cf. Taylor, 1985). These traditions
are the designative and expressive traditions, which
I will describe in turn.
Designative. Vygotsky (1987) writes in the designative
tradition emerging from the European Enlightenment in Chapters
5 and 6 of Thinking and Speech. According to Wertsch (2000),
"From this perspective, meaning is largely a matter of the
relationship between semiotic expressions such as words and sentences,
on the one hand, and a world of objects, on the other. Furthermore,
it is an approach that claims that the semiotic potential of decontextualization
is what gives rise to abstraction and what yields increasingly
powerful ways to categorize, reflect on, and control the world"
(p. 23). The designative approach to meaning, then, corresponds
to the notion of signification found in my dictionary's more cryptic
account of meaning, with the Enlightenment's rationalism and authoritarianism
providing the ethos for the ways in which the world achieves order.
Furthermore, Vygotsky (1987) argues that the unit of analysis
for understanding the meaning attributed to concepts is the word,
affirming his belief that speech is, in Luria's (1928) terms,
the "tool of tools" (cited Cole, 1996, p. 108). This
belief is well engrained in Western thought, with the term text
typically calling to mind a written text among members of Western
cultures.
The notion of meaning that Vygotsky presents in these chapters
is fundamentally tied to the notion of concept development. A
reader's association of meaning with a text, therefore, reveals
something about the text itself, but also serves as residue of
the cultural constructs that are appropriated to provide the individual's
frameworks for thinking. These constructs are appropriated through
participation in cultural practice, which has evolved historically
in response to the problems presented by the environment (Tulviste,
1991). Any concept-and consequently, any sense of meaning-is
thus necessarily located first in culture, and second in the mind
of the individual. And because the mind extends beyond the skin
to include the tools of mediation through which the individual
then acts on the environment, the mind of the individual in turn
contributes to the evolving culture of the social surround (Smagorinsky,
1995b). Among these mediators are texts themselves, transactions
with which can contribute to the worldviews of members of a culture.
When these texts presume particular relationships, social hierarchies,
and competence levels-such as the masculine orientation of the
Old and New Testaments--they can inscribe in a society assumptions
about the location of authority and power. To counter such effects,
texts are often used didactically in efforts to shape or change
learners' perspectives, such as the use of McGuffey Readers in
early American schools to assimilate diverse students to a common
morality or the use of multicultural literature in present-day
schools to promote supportive attitudes toward cultural diversity
(e.g., Banks, 1996).
Concepts and meaning thus have cultural origins. It is quite
possible for individuals to resist these cultural conceptions,
thus undermining the notion that activity theory is fatalistic.
I would argue, however, that resisting one set of cultural constructs
relies on precepts that are appropriated from other cultural constructs.
And so, while any individual has the capacity to resist and
defy the worldview of any culture, it is not possible to think
and act independent of culture; it is not possible to live aculturally
(Cole, 1996).
From this perspective, texts are composed of signs that themselves
are codified as cultural artifacts, and are read by people whose
ways of attributing meaning to codes are conditioned by participation
in cultural practice. The transactional zone that I described
previously is available when readers have been enculturated to
recognize the codes by which the texts are produced. This is
not to say that all readings will subsequently be the same or
that texts may signify in only one way, only to say that readers
and texts share a cultural cognizance. This notion, then, is
somewhat different from Nystrand's (1986) notion of reciprocity,
which I described previously, in which readers and writers (or
other inscribers) are in tune with one another. In a transactional
zone readers and inscribers might be out of tune; that is, the
reader may view the codes as distasteful, pretentious, or otherwise
unfavorable. What is required is that reader and text have a
reasonably similar enculturation to the signification of the codes.
Expressive. Vygotsky (1987), after elaborating the designative
sense of meaning, then outlines in Chapter 7 of Thinking and
Speech what Wertsch (2000) refers to as an expressive account
of meaning, in which meaning emerges as contextualized, personal
sense, a notion that Wertsch grounds in the worldview of Romanticism.
In this view of meaning-making, meaning is produced through the
process of formulating ideas through what Barnes (1991) describes
as exploratory uses of speech, illustrated by the following
account of composing process:
I don't work in terms of conscious messages, I can't do that. It has to be something that I'm revealing to myself while I'm doing it, it's hard to explain. Which means that while I'm doing it I don't know exactly what it's about. You just have to have the courage or the, to take that chance, you know, what's going to come out, what's coming out of this. (Zwigoff, 1994)
This testimony comes from cartoon artist Robert Crumb and captures
well the essence of the expressivist tradition in composition.
Crumb claims that he develops his ideas through the process
of drawing, rather than producing graphic images of pre-conceived
ideas. He thus discovers meaning as he uses the tool of drawing
to transform the sense of inner speech to meaning
in graphic signs and through this process experiences psychological
transformations. As Applebee (1981) says of writing, Crumb uses
drawing "as a tool for exploring a subject" and to help
"generate new ideas 'at the point of utterance'"(p.
100; cf. Langer & Applebee, 1987).
Complementarity of the designative and expressive traditions.
Wertsch (2000) finds that these designative and expressive notions
of meaning are difficult to endorse simultaneously, referring
to Taylor's view that doing so constitutes a compromise, and a
"rotten one intellectually" at that, combining "scientism
(objectivism) with . . . subjectivist forms of expression"
(Taylor, 1985, p. 247; cited in Wertsch, p. 29). At the risk
of engaging in intellectual putrefaction, I will argue that my
own studies of reading and composing suggest that both expressive
and designative functions of language are central to the process
of constructing meaning through engagement with texts. I see the
two as complementary functions of language. In making my argument
about meaning, then, I hope to resolve to some extent the conflict
that Wertsch finds to be "contradictory," placing Vygotsky
in a "quandary" as "a child of multiple competing
philosophical heritages" leading to an outcome "likely
to be unsatisfying in one way or another" (p. 29).
I will illustrate the complementary functions of expressive and
designative functions of meaning-construction through research
conducted in an alternative school for recovering substance abusers
(for details of the research, see Smagorinsky, 1995a, 1997a, 1999;
Smagorinsky & Coppock, 1994, 1995a, 1995b). We studied the
composing processes of student who produced artistic interpretations
of William Carlos Williams's short story "The Use of Force"
(see http://www.bnl.com/shorts/stories/force.html for an online
version of this story). The story concerns a doctor who narrates
an account of a house call he makes during a diphtheria epidemic.
The doctor must extract a throat culture from a young girl who
has displayed symptoms of the illness. The girl battles him savagely
and hysterically to prevent him from examining her throat, and
her parents try to help the doctor by holding her down and shaming
her into complying. During the course of the struggle the doctor
develops contempt for the parents and passion towards the girl.
Against his rational judgment, the doctor becomes lost in "a
blind fury" to attack and subdue the girl. In "a final
unreasoning assault" he overpowers her and discovers her
"secret" of "tonsils covered with membrane."
The story ends with a final act of fury in which the girl attacks
the doctor "while tears of defeat blinded her eyes."
One of the students we studied, Dexter, drew a picture representing
the relationship between the doctor and the girl (see Figure 1).
Through a stimulated recall interview that followed his drawing,
he revealed the transformative effect of his process of composing
on the way he thought about the story. Rather than having a fully-formed
picture of the characters in his head prior to drawing, Dexter
said that "at the end, I understood what I was doing more
than I did when I began the drawing. . . . I got more involved
in the picture as I did it." In his initial reading Dexter
simply tried to follow the action, and then eventually began "thinking
about something during the story. . . . something difficult"
that helped get him involved in his reading. He began making
personal connections with the characters, yet when he began drawing
he was uncertain about how he would depict them, knowing only
that the relationship between the girl and doctor would involve
shame and control.
Figure 1
Dexter related that the meaning of the drawing changed as the
picture developed. For instance, when he started his drawing
Dexter had not been certain what the threatening figure would
represent:
Dexter: I wasn't really sure if it was him going to be the doctor or not until the end of the story, I mean, until the end of the drawing, because I was thinking, well, it could be this person that she, that she has imaged in her mind and uh--or this could be an analogy of diphtheria, but then I said it doesn't matter. It's just a doctor. It was going through her mind, [inaudible] but I liked to read. The first time I'd read the doctor; the second, the analogy. It's just through that one story.
Q: So you mean, even after you drew the face and everything, it wasn't the doctor yet?
Dexter: Uh-huh. I mean it could have been a lot of things. It depends on your view point of the picture, but what I was thinking is--it was the doctor and then it was an analogy of the whole attitude of the story, and then it was the, her parents' attitude, or the parents, especially her parents.
For Dexter the story took on meaning as he developed his representation.
Furthermore, he continually produced provisional images-that is,
designative representations of his sense of the characters' relationships
and their meanings to him-on his drawing, which in turn enabled
him to reflect and compose further. His process of meaning-making,
then, involved expressive efforts to think about the story that
resulted in tentative designative signs, to which he assigned
different meanings as his thinking about the story progressed
during his continued efforts to depict it. The processes thus
were complementary rather than conflicting and illustrate the
dual, inter-dependent processes through which meaning is constructed.
The Composing Process of Readers
I have referred previously to the idea that reading is a constructive
act. I would like now to elaborate on that notion, using Rosenblatt's
(1978) idea of evocation as a central concept. In Rosenblatt's
transactional theory of the literary work, an evocation describes
the images that a reader generates during a literary transaction.
She describes this phenomenon as
a penumbra of "memories" of what has preceded, ready to be activated by what follows, and providing the context from which further meaning will be derived. Awareness-more or less explicit-of repetitions, echoes, resonances, repercussions, linkages, cumulative effects, contrasts, or surprises is the mnemonic matrix for the structuring of emotion, idea, situation, character, plot-in short, for the evocation of a work of art. (pp. 57-58)
She distinguishes her notion of an evocation from conceptions of reading that locate meaning primarily in the text itself, stressing instead
the lived-through process of building up the work under the guidance of the text. . . . The tendency is to speak of interpretation as the construing of the meaning of a text. This conceals the nature of the reader's activity in relation to the text: he responds to the verbal signs and construes or organizes his responses which is for him "the work." This, we have seen, is a process in time. The reader ultimately crystallizes his sense of the work; he may seek to recall it or to relive different parts of it. . . . All of this can be designated as the evocation, and this is what the reader interprets. Interpretation involves primarily an effort to describe in some way the nature of the lived-through evocation of the work. (pp. 69-70; emphasis in original)
To Rosenblatt, what readers interpret-what serves as the basis
for meaning-is their associations with the text, rather than the
text itself (cf. Enciso, 1992). Elsewhere in her writing she
emphasizes the codified nature of textuality (1938), thus excluding
her from the relativistic picnic described by Bruner (1986).
The evocation as a codified experience is thus a critical event
in the transactional zone I have described.
In this sense, what readers do is compose a text of their own
in the transactional zone. This composition, this new text, is
what becomes meaningful. This new text is always provisional
and subject to change, as Rosenblatt (1978) noted in her observation
that reading is a process in time. If we return to the example
of the Confederate battle flag: The South Carolinians quoted were
describing their evocations of the flag (honor and valor, oppression
and slavery) rather than the flag itself. I have already illustrated
this phenomenon in Dexter's evolving interpretation of the graphic
image he produced in response to the events of "The Use of
Force," in which the figure was "the doctor and then
it was an analogy of the whole attitude of the story, and then
it was the, her parents' attitude, or the parents, especially
her parents."
The student texts I will describe throughout this paper are deliberate,
formal texts that solidify their evocations into a fixed image.
The completion of the image for school purposes, however, does
not ossify the text's meaning. Rather, the material texts that
they produce serve as signs whose meaning may evolve with further
reflection; their materiality only implies finality. Instead,
they are provisional texts that may be further revised, if not
tangibly then psychologically, as they provide the basis from
which new evocations, or newly composed texts, are possible.
The infinite potential of this process is related to the notion
of unlimited semiosis described by Peirce (1931-1958) in his triadic
formulation of signification (cf. Witte, 1992). The same process,
I argue, is available for readers who compose mental texts in
response to reading rather than the corporeal ones I report here
from my studies. The richness of textual meaning, therefore,
results from the generative quality of a transaction in producing
new texts.
I will illustrate this process with the artistic interpretation
of Shakespeare's Hamlet produced by a small group of students
in the high school English class of Cindy O'Donnell-Allen (for
details of this research, see O'Donnell-Allen & Smagorinsky,
1999; Smagorinsky & O'Donnell-Allen, 1998a, 1998b, 2000).
(For an online version of Hamlet, see ftp://gatekeeper.dec.com/pub/data/shakespeare/tragedies/.)
Students were assigned the task of collaboratively constructing
a body biography, which is a life-sized human outline that
the students fill with images and words that represent their understanding
of a particular character, in this case Laertes (see Figure 2).
The process that we identified through our analysis of the discussion
that took place during their production-and during the productions
of other groups doing the same task--included the following sequence:
1. The group worked out a way of functioning socially (which was not harmonious in all groups).
2. Students constructed images of the play-i.e., new texts or evocations--that they pictured mentally and then tried to describe these images to the other students.
3. Other students then responded to these proposed images and compared them to their own images of the same character, scene, or relationship. This response usually required students to clarify both their image and their reasons for believing it was fitting, and to discuss which images best suited the play as they understood it and wanted to depict it in their body biography text.
4. Individual group members then explained to one another the image that they thought should go into the body biography. In doing so, the group needed to discuss why they thought that particular images were apt. This discussion typically involved a rereading of the text they were interpreting (Hamlet) so that students could explain their images in terms of their reading of the text.
5. When they reached agreement through discussion, a student drew the image into the body biography.
6. Once included on the body biography, each word and image then became part of a text that they could use as a source of further reflection, discussion, interpretation, and images.
In the following excerpt, June, Lisa, Troy, Venus, and Courtney
discuss how to depict Laertes' relationship with Ophelia, the
play's most docile character who eventually loses both her mind
and her life.
Figure 2
June: Would y'all like a tree--
Lisa: Okay, I have an idea-
Troy: You have to draw a tree with Ophelia dangling from it and there is water below. This old girl is fixin' to go in it. Look she--no, no--make her float more and say, "I'm drowning--I'm drowning and I don't care." That's what she said.
Courtney: She's under water--
June: Yeah, we have to draw her and then draw like the things like flowers and things like that.
Lisa: She does not know that she is drowning, really. Just have her saying, "I am going to stay up here."
Troy: Have her say, "That's bad, man."
Lisa: Something about how she is at one with the river.
June: Does she say that?
Lisa: No, but she is like--that is what they portray her to be thinking.
Troy: What?
Lisa: She is like at one with the river.
June: Oh yeah. Hey, Venus, what do you think? What should we do about her?
Lisa: What, we should have more lines on this thing?
June: Okay, let's do this and have like flowers. And then she can be down here. Yeah, whatever, see I can't draw at all. She can like be in the water and she is like gulp, gulp, gulp.
This portion of the discussion reveals the ways in which their
efforts to represent the character's emotional state caused them
to discuss their sense of Hamlet, a discussion that began
with their effort to generate images for the play and then moved
to a discussion of how to interpret those images. The exploratory
quality of their discussion reveals the ways in which their discussion
allowed for and built on tentative efforts to construct meaning,
illustrating the expressive role of language in their knowledge
construction. This exploratory talk displayed an informality
usually not found in school-based discussions of literature (Marshall
et al., 1995) as they used familiar language and images to describe
the remote Shakespearean characters.
They developed their understanding of Laertes through their efforts
to depict him and his relationships in the body biography, a medium
that not only represented their view of the character but enabled
the discussion that led to their understanding. In this sense
their process of interpretation, representation, and reflection
was dialogic, with the students discussing possible ways to depict
Laertes and his relationships, developing and sharing mental images
of how to represent him, agreeing on and producing the artifact
that depicted their collective thinking, and then using that artifact
to further mediate their consideration of the character and his
role in the play. I will attend to the importance of this dialogic
process in the next section of this paper. The ultimate representation
they produced in their body biography served as a designative
source of meaning, as a text that they composed whose configuration
of signs enabled them to reflect further on the meaning of the
images that the play evoked for them. Through this further reflection
they generated yet newer texts, newer evocations of Laertes and
his relationships in the play.
Dialogic Role of Composing
As I have briefly illustrated, the process of reading is a mediating
act with a dialogic function: The students' thoughts both shaped
and were shaped by the texts they composed. In other words,
two simultaneous processes took place. On the one hand, as most
reading theorists would assume, students' thoughts about the text
served as the material from which they developed their interpretations.
On the other hand, the process of composing their text changed
the way they thought about the story.
The next transcript illustrates how this process worked for a
small group of girls who interpreted the character of Ophelia
through a body biography (see Figure 3). Each effort to provide
a representation served as an effort to generate an evocation
of the text. These evocations were often tentative, serving as
the basis for discussion yet not necessarily ending up on the
drawing itself. As such, each evocation offered would serve as
a stimulus for further discussion. Even when entered into the
body biography, an image would not necessarily be a final interpretation
but serve as the basis for continued thinking and discussion of
the play. In the following excerpt from their discussion, the
girls engaged in the following exchange:
Carly: Okay, good deal, her bare feet could symbolize her like--not her innocence but her, oh--
Ann: Purity? Her naive, how naive she is?
Carly: Yeah, it's the world, but her nakedness is like her-- you know how she is just kind of out there, she's just sort of --
Ann: Third field, left field.
Carly: Yeah, because she is just kind of, you know, just pretty much everyone's looking at her and going, "Oh, you poor thing!"
Ann: I guess she's having a good time.
Carly: Yeah. Crazy as the dickens.
Ann: Ignorance is bliss.
Carly: True.
Ann: I say we should have left the legs there so that she would have some kind of body because those dresses were really transparent, you know. I mean we could have at least told what it is. Oh, I don't know, she looks fine.
Carly: Is it okay?
Ann: Yeah.
Carly: I can draw them back on if you want me to.
Ann: No. .
Sherri: So do we all have to like say something [during their presentation to the class]?
Ann: I think so.
Carly: Okay, that's done.
Ann: That's right, we don't have school Monday--I can't figure out why everybody was saying Tuesday, yeah, we don't have to be back Monday.
Carly: Yeah. Okay so do we want to do a spine?--And if so what's the spine? I think being in love for her because--
Ann: But she had no love.
Carly: Right, that's why she died.
Ann: That's why she went crazy.
Carly: Right, right, I'm just going to--
Ann: That's what we should do for the spine.
Carly: There's the spine! Shall I put "love" or "being loved"?
Ann: Being loved. And a heart, a broken heart.
Figure 3
This excerpt reveals the ways in which the students' processes
of representation underwent continual mediation. Students would
initially generate mental representations of the play that they
pictured in their heads and described verbally to their group
mates. Other students would then respond to these proposed, verbally
represented evocations through discussion and reflection and juxtapose
them to the images from their own understanding of Ophelia. When
they reached congruent understandings of appropriate images--either
descriptive or symbolic--they would commit them to the body biography.
The process of committing an evocation to the body biography
required them to take their individual mental representations
and render them in a material form that required agreement, a
process that necessitated clearer articulation as they discussed
how to convert their separately idealized mental representations
into an agreed-upon material form.
Once included on the body biography, each word and image then
served as a sign that potentially served to mediate new thinking
about the play. They discussed, for instance, the manner in which
they would present the body biography to the class the following
week. As required by the assignment, the students went through
this process with both pictorial and verbal evocations, at times
combined into a single symbol. They thus composed a shared meaning
for the play as they composed a collaborative representation of
Ophelia, and used each effort at representation as the basis for
further development of their thinking about the play. The process
continued during their class presentation where they reiterated
their intentions with their symbolic representation, particularly
as they were configured spatially relative to one another.
This example illustrates a process that is a key aspect of composing
a meaningful text. Enciso (1992) reports that in her research
with young readers' evocations of stories, "the readers who
were most involved in the stories they read were also more able
to describe and discuss the events and implications of the story
in greater depth and detail" (p. 99). The experience of
the students I have described suggests that a reciprocal process
can also take place: that a reader's exploration of events and
implications of a story may cause greater involvement in the reading
transaction.
Culturally Constrained Subjectivity in Reading
I have argued thus far that it is evocations or reader-composed
texts that provide the basis for intertextuality and meaning construction;
that is, rather than connecting the texts that they read, readers
connect their own evocations of those texts, which in turn become
texts that potentially generate new evocations. Because meaning
comes from composing new texts and because evocations differ from
reader to reader, the meaning that readers construct is inherently
idiosyncratic. As I have argued previously, readings have a codified
and cultural basis in what I have called the transactional zone.
If subjectivity is construed as having a codified and cultural
basis, then unbridled subjectivity is possible in this zone. I
see the relativistic picnic described by Bruner, in contrast,
as describing readings in which different codes and conventions
are invoked, thus rendering the text to inkblot status and therefore
outside the transactional zone as I view it.
I will next illustrate a highly idiosyncratic reading of "The
Use of Force" that illustrates the way in which an evocation
that departs from the story line takes place within the transactional
zone. Jane and Martha, who choreographed an interpretation of
the story, described how their image of the doctor's emotional
state caused them to design a different ending in their dance.
According to Jane,
We did another dance at the very end and we were practicing on it and like she's sheltered like the little girl is hidden. She won't let anybody find out what her secret is and that's what she is doing. She is hiding and the doctor is trying to follow in her footsteps to try to figure out what is going on. And at the very end when it says that she did have [diphtheria], in the dance we made her die. She just fell and the doctor picked her up and carried her. Because like we were going to have the doctor die with her because it was like the third patient he had died and he was dying inside, but [our teacher] didn't really like that. And after we started thinking you know how he gets underneath the skin real hard, it is like we started thinking about it too and he doesn't really die. He tries to help her and stuff. We went further than the story went.
Their reconsideration of their representation following their teacher's intervention resulted in a final effort to choreograph the story's climax:
That is when they finally figured it out. It is like at the very end they walked together. It's like they walk two steps and when you do a little pause, the doctor shelters her and just looks at her because he's died with her. His whole life has just gone down the drain because it's another kid, he feels it's all his fault this time. And that is how I really felt when I was doing the dance.
This representation of the story's ending departs radically
from the literal action of the story, where the girl attacks the
doctor in a rage. Their decision to represent the feelings of
the doctor in their dance, however, focused their interpretation
on his sense of loss. Rather than strictly depicting the story
line, they constructed a new text that represented their emotional
resonance with the doctor, who emerged as a threatening figure
in the image constructed by Dexter. These texts represent radically
different reconstructions of the story, each highly subjective
yet responsive to the codes of the original text. As such, they
have been constructed, I would argue, in the transactional zone
occupied by readers and texts.
Intertextuality in the Cultural Construction of Meaning
I have previously referred to the role of intertextuality, i.e.,
the juxtaposition of texts, in the construction of meaning. I
will next elaborate the ways in which the texts that readers compose
as a consequence of their evocations are related to prior texts
of their knowledge. In Rosenblatt's (1978) terms they are mnemonic,
consisting of texts that they have evoked from prior experiences.
I stress that they are evocations and thus reconstructions of
prior texts, thus situating them as provisional texts in a reader's
ongoing construction of meaning from the series of texts that
they construct from their life's experiences. I would argue,
then, that the notion of intertextuality as I interpret it refers
to connections among the texts that people compose to evoke meaning
through their engagement with the texts that they read.
I will illustrate two types of intertextual connections I have
found that readers make in their engagement with literature in
classroom settings. The first comes from a text evoked from personal
experience, the second from artistic texts recalled by students
that informed their composition of a newly-constructed text.
Text evoked from personal experience. I will illustrate
this process with interview data from Martha, one of the girls
who choreographed a dance to interpret "The Use of Force."
Martha, who danced the role of the girl, said that she identified
strongly with the experience of the character because she shared
her reluctance to open up to other people. Like the girl in the
story, she felt "scared": "I felt like the little
girl because we live in two different worlds. . . . I felt like
the little girl because she was always trying to hide from the
doctor and I was like hiding myself from the doctor" in the
dance. Martha's feeling that she needed to hide from the doctor
were based on her own fears of being examined and pried into.
At one point she was asked, "When you dance a role, do you,
is there any real part of you that gets played out in the dancer?"
Martha replied,
Martha: It's tough for me. When I was hiding from [Jane in the dance] she was the doctor and I was the daughter, the little girl, and it was just like me. I hate people trying to find out who I am so I was basically hiding the way I always hide but I was hiding to be somebody else. I felt like I was hiding in the little girl, but it was me that was hiding, because I do that all the time. I hide from everybody.
Q: Did you feel for the character then?
Martha: Oh yeah, I felt for the character. When I was dancing I was thinking about what I would do. I hated what the doctor did to her. I wanted to kill him.
Later in the interview Martha returned to her feelings about her character:
Martha: My feelings for the kid started when I was reading the story because there have been many times when I have had some problems. I'm like I'm okay, get away. In a way I kind of knew how this girl was feeling whenever the doctor was trying to get into her mouth. I am like that with dentists. I hate dentists. I won't let them get into my mouth. I'm afraid they're going to pull out my teeth. It scares me. I try to keep my mouth shut too. I put myself in her position through the whole story knowing she was scared and very insecure because she knows she is going to die. She knows through the whole story she's going to die. She doesn't want her parents to know about it.
Q: Is it just dentists? Earlier you were talking about how you don't like people in general getting inside you. So was it just a dentist or was it--
Martha: Well, for people to know me, I don't like for anyone to know me, it is really scary for people to know me. Who I am or anything like doctors, and stuff like that. I don't like them to look inside my mouth. With her I feel like she doesn't want the doctor to know she is dying because I am pretty sure because she could feel her tonsils. She knows she is dying. She knew it, she knew it was there and she knew she was going to die and she didn't want her mom to know. She didn't want her parents to know.
Martha's description of her portrayal of the character reveals the emotional quality of her evocation, an aspect of Vygotsky's work that I think is unfortunately overlooked. Yaroshevsky (1989), discussing Vygotsky's doctoral dissertation on Hamlet, says that Vygotsky
was inspired by the idea of an inner link between spiritual assimilation of the world and its practical transformation. Revealing the mechanism of art's impact on the real behavior of a concrete individual, without restricting oneself to determining its sociological roots and aesthetic specificity-that was Vygotsky's purpose. He endeavoured to prove that art is a means of transforming the individual, an instrument which calls to life the individual's "vast potential, so far suppressed and constrained." The view of art as ornamentation of life "fundamentally contradicts the laws of art discovered by psychological research. It shows that art is the highest concentration of all the biological and social processes in which the individual is involved in society, that it is a mode of finding a balance between man and the world in the most critical and responsible moments of life." (Yaroshevsky, 1989, pp. 148-149; Vygotsky quoted in Psikhologiy a iskusstra [The Psychology of Art], pp. 320, 330-331)
This perspective resonates with Rosenblatt's (1978) view that
evocations are the source of meaning, with my view that readers
make meaning by composing new texts, and with Bruner's (1985)
idea that literature subjunctivizes. If literature, as Bruner
claims, is our only hope against the long gray night, then I would
define literature rather broadly to include any text that allows
for the composition of new texts. Yaroshevsky argues that Vygotsky
assumed that the principle focus of psychology should be personality,
"a character of the drama of life on the social state"
(p. 219). This drama of life contributes vitally to the development
of personality through the composition of meaning from engagement
with the texts afforded by culturally-channeled experiences.
Intertextual associations with formal texts. In addition
to evocations from experiential texts, the students I observed
drew on formally produced texts during their evocations of literature.
Another group interpreting "The Use of Force," for
instance, produced a dramatic interpretation of the story. They
drew on images from films that they had seen, including The
Exorcist, as part of their composition of their dramatic interpretation
of the story. They discuss the images they drew on and produced
in the following excerpt:
Wes: I tried to play the doctor. The story reminded me of The Exorcist, with the girl and the devil. . . . The way she was resisting him and not opening her mouth and stuff. The guy in Exorcist, I don't know, it has been so long since I have seen him.
Bart: They were trying to help her.
Wes: Yeah, and they were trying to help her, and she was like spitting the coming out her mouth, that made me think even more about [The Exorcist].
Donnie: The Exorcist was about Satan. What is that called when Satan supposedly takes over he body?
Bart: Possessed.
Donnie: Possessed. And this little girl-
Bart: Yeah, that little girl was possesses.
Donnie: She was just real crazy.
Q: Did you think that the girl in the story was possessed?
Bart: I didn't.
Q: No? Wes?
Wes: Not really possessed, it just reminded me of just a little girl, because the girl in The Exorcist was cute and all of a sudden she turns out to be real evil and stuff, and that is what this says, it says she was real attractive when she was little, and then she turns out to be where she didn't want to do anything and bit the stick off, you know, and the blood was coming out of her mouth, and then she still resisted. That just made me think, she has got a problem. She got real violent.
As I described previously, intertextuality exists on two levels.
First of all, the students juxtaposed the texts of The Exorcist
and "The Use of Force" because of the parallels between
the young girls and their fierce behavior. Second of all, the
students juxtaposed the texts they composed from each: the evil
image they generated from the girl in The Exorcist and
the rage and resistance they perceived in the girl from "The
Use of Force." Dyson (1999) among others has argued that
the role of popular culture in students' lives ought to receive
greater recognition in schools. The students in this group illustrate
the ways in which their evocation of a film from popular culture
provided them with both the images and the emotional content of
the character of the girl as they represented her in their dramatic
interpretation.
Depth and Dynamics of Context in Engagement
Previously I argued that reading can be a mediating process;
that is, it contributes to the construction of meaning. Here
I will describe how reading is a mediated process, one
channeled by reliance on cultural practice. Much of my argument
has been predicated on the idea that one's evocations are grounded
in cultural practice. While personal and idiosyncratic, they rely
on the codification embedded in texts (intertextuality) and the
conventions embedded in recurring social practices (intercontextuality)
(Floriani, 1993). These signs and tools are grounded in culture
writ large, such as the Enlightenment and Romantic traditions
of Western thought described by Taylor (1985) and Wertsch (2000).
Culture is also writ small, often highly localized in settings
that Fine (1987) has called idiocultures (cf. Cole, 1996;
Smagorinsky & O'Donnell-Allen, 2000). An illustration of
an idioculture would be the alternative school for recovering
substance abusers that provided the setting for the interpretations
of "The Use of Force" I have described throughout this
paper. A successful student in this school was one who completed
a modified 12-step program for addiction while maintaining acceptable
grades. The therapeutic mission of the school permeated all activity
in facility life, including academics. The students' search for
meaning in literature, then, was an extension of the continual
reflection they engaged in as part of their effort to recover
from their addiction. The idioculture of the school thus supported
a kind of introspective approach to literature not often practiced
in mainstream schools (Applebee, 1993). Their reading was thus
mediated by the cultural practices of the school so that
emotional readings were sanctioned as valuable, and mediating
in that their process of producing new texts contributed to the
meaning they constructed.
Other groups I have studied have demonstrated considerably less
acceptance of the potential for literary reading to contribute
to the development of personality, to lead them out of the long
gray night. The students from Cindy O'Donnell-Allen's mainstream
high school class, for instance, exhibited varying degrees of
engagement with both school and literature. During my year-long
observation of her class I was tremendously impressed with the
effort she made to construct a classroom environment that valued
meaning construction, student empowerment, and open-ended thinking.
This effort resulted in many remarkable progressions for a number
of students. There were nonetheless students who resisted the
idea that school should be a site for personal development. I
attribute this to culture writ semi-large. The school as a whole
had a college prep emphasis in which meaning was generally located
in texts and explained through lectures, thus making her meaning-centered
approach alien to many students. Furthermore, the school lacked
the emotional intensity that was central to the therapeutic mission
of the alternative school I have described, thus making introspection
less urgent in the lives of the students. Finally, as a large
and diverse school, there were simply many students whose priorities
did not include advanced literacy or engagement with literature
as a means to personality development. These students typically
ended up in the school's general track, which categorized the
class that I observed.
Our analysis of groups that included disengaged students (see,
e.g., Smagorinsky & O'Donnell-Allen, 1998b) led us to reconsider
the depth and dynamics of context in engagement. In spite
of our hopes that Cindy's classroom environment would lead to
transformations in students' priorities, the continued disengagement
of some students led us to consider the degree to which some students
bring personal histories that create barriers to engagement with
school work. Among the students who interpreted Hamlet through
body biographies was a group that interpreted the character of
Claudius (see Figure 4). This group included two students who
were hostile to Cindy throughout the semester and in general hostile
toward school and other students. When in groups, they tended
to undermine other students' efforts to work productively on the
task. The next excerpt is typical of how a boy named Jerry worked
against the group goals, demonstrating an apathy that showed up
in his group's body biography. The group was discussing how they
might draw a crown on Claudius's head as part of their depiction
of his character:
Jay: The crown can be something that stands he stands for.
Cale: Somebody draw the crown.
Jay: For incest.
Cale: Draw the crown, what?
Jay: Well--
Jerry: What are we supposed to do now? Don't be disappointed if this doesn't look so good.
Cale: I don't understand. [inaudible] Jerry! Jerry, why did you do that?
Jerry: Because it doesn't matter what it looks like as long as we get our representation. He told me to draw the crown, and I said, "OK, but don't get mad at me if I draw it badly." And everybody goes-[makes a grumbling noise]
Cale: That looks like trash, Jerry. Jerry, that is one rotten crown, dude.
Jerry: Do you like it? Incest!
Cale: Actually, incest could be adultery.
Jerry: Oh, who cares.
Jerry's remarks reveal his eagerness to impress on others his
apathy and to inscribe it in the group's body biography. In doing
so he undermined the kinds of relationships that can lead to the
productive sorts of discussions we have described in other groups.
In this case, Jerry interpreted Cindy's assignment as a license
to produce a sloppy interpretation. Cindy had told the students
that they would get graded on the ideas they were representing,
rather than on the quality of their artwork. Her thinking was
that she didn't want to reward good artists and punish the artistically
challenged, since the goal of the activity was to interpret the
character rather than to demonstrate artistic prowess. Jerry's
view that "it doesn't matter what it looks like" was
typical of his indifferent attitude toward school and the other
students in his group. The other students did not appreciate
the trashy appearance of his drawing or his general conduct during
the group activity. And we had to agree that he drew one rotten
crown.
We observed a similar kind of disengagement in one other group.
Our reflection on their dynamics led us to recognize the role
of the relational framework in any social setting (Smagorinsky
& O'Donnell-Allen, 2000). We concluded that a consideration
of context must go beyond what happens in individual classrooms
and take into account the social worlds of the students and their
prior experiences within the school culture. The establishment
of a predominant motive for a classroom does not preclude other
motives from surfacing or developing. Within the idioculture of
a classroom, then, alternative idiocultures may develop that subvert
or complicate the overall dynamics of the interactions and affect
the degree to which students see the potential for constructing
meaning.
Our study suggests the need to reconceive the notion of engaged
reading. I have already argued that meaning is not constructed
between readers and texts. I would further argue that even from
a cultural perspective, the classroom can suggest a motive that
channels activity but does not necessarily facilitate it in any
one direction. What is needed is a consideration of engagement
in a much more social sense, including readers and texts but extending
to relationships beyond them. Lensmire (1994) argues that notions
of engagement require "the participation of all children
in the community's important activities" (p. 147) so that
each has a voice, contributes to the classroom, and is heard by
others. In this sense engagement requires each student's engagement
with each other, thus establishing an environment of mutual care
and concern. Engagement with texts can only be understood in
terms of the ways in which people in classrooms engage with one
another. I would extend this view further to account for students'
prior experiences with school and other contexts for literacy
development, taking into account learners' cultural and social
histories and viewing their relationship with texts in terms of
this vast web of experiences that they bring to particular classroom
episodes. Engagement, like other aspects of activity, is "nested"
(Cazden, 1988, p. 198) in multiple social contexts that must be
acknowledged and accounted for.
Conclusion
In this paper I have argued that reading is a constructive act
in which meaning emerges through the composition of a new text
in the transactional zone. Meaning is constructed through two
related processes. First of all, meaning emerges through the
processes of articulation as inner sense achieves expression through
the medium of a psychological tool. This tool is most often speech,
but as my studies have demonstrated, other tools mediate this
process as well, supporting the view of Bruner (1985), Wertsch
(1991), and others that psychological transformation is best understood
by examining the role of a range of cultural tools in the process
of mediation. This process produces some sort of image, an evocation,
a newly constructed text, that provisionally serves as the repository
of meaning. This text is protean, changing with new reflection
on its form. Its designative potential thus makes it available
as a tool for new transformations. I would argue that when a
sign becomes a tool-when an expressive process leads to a designative
image that in turn leads to further expressive meaning construction,
with the process potentially extending indefinitely-a new concept
emerges. This process of concept development is at the heart
of the construction of meaning. The richest meaning, then, comes
through transactions that are most generative in the production
of potent new texts.
The tool mediation I have described has a cultural basis. As
a result, while personal and idiosyncratic, the evocations are
also culturally grounded. The influences of culture may come
at the very general level. Some cultures, for instance, practice
ceremonial dancing while others do not, thus suggesting both conventions
and appropriateness of ceremonial dancing as a means of representation.
Similarly, some nations have pervasive standardized testing to
measure student performance and others do not, revealing different
views of the merits of a uniform educational product. Culture
may also mediate at more local levels, such as in schools that
might or might not value intense introspection or artistic expression.
Resisting culture to construct more personal meaning is, I would
argue, a futile quest. As the notion of prolepsis suggests, cultural
mediation is often invisible, and so the effort to escape culture
is simply the effort to flee its most visible influences. From
an educational standpoint, this view of reading suggests the importance
of creating contexts and attendant social practices with the potential
to enable students to have rich transactions with texts, keeping
in mind that even the most conducive context can be resisted by
students whose goals do not include having rich transactions with
texts.
The transactional zone I have described is available in particular
types of reading experiences. As I have demonstrated, it is possible
to construct meaning from arbitrarily arranged signs, such as
the constellations that ancients saw as bears, scorpions, and
so on; and from signs configured for different purposes, such
as the list interpreted by Fish's (1980) students as a poem.
Bleich (1975) has indeed argued that what matters most is the
meaning constructed by the reader. Perhaps this is true, though
it might be hard to persuade the many goats and virgins who have
been sacrificed to the thunder gods that their slayers' impressions
should be paramount. My interest is more with the type of reading
that I have described as taking place within a transactional zone,
where readers and texts are resonant in terms of codified ways
of arranging signs.
My studies have focused on the material texts that high school
students have produced as evocations of their reading transactions,
with these evocations further mediated by discussion. From my
analysis of these transactions, I hypothesize that readers reading
alone in the solitary confines of their dens similarly engage
in text construction, if more ephemerally. Rather than producing
the material texts of body biographies and plays, they produce
mental representations that, while not tangible, linger yet.
Though alone, they engage in culturally mediated processes, in
dialogue with the great history of texts, contexts, intertexts,
and intercontexts that have led to this moment. Through their
role in this process, and through their contributions to it, they
construct meaning for their worlds.
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Author Note
This paper was developed from an invited address to the American
Educational Research Association in recognition of the Raymond
B. Cattell Early Career Award for Programmatic Research. The
research was supported by grants from the Research Foundation
of the National Council of Teachers of English and the Research
Council of the University of Oklahoma. Special thanks to Mark
Faust, Michael W. Smith, and Joel Taxel for their response to
an earlier version of this paper. Thanks also to those who discussed
the paper on the xmca discussion network.