Nmero Especial Semitica, Cultura y Pensamiento Matemtico Semiotics, Culture and Mathematical Thinking Smiotique, Culture et Pense Mathmatique

Nmero Especial, 2006

Editores Invitados: Luis Radford Bruno DAmore

Nmero Especial, 2006

Revista Latinoamericana de Investigacin en Matemtica Educativa

Semitica, Cultura y Pensamiento Matemtico Semiotics, Culture, and Mathematical Thinking Smiotique, Culture et Pense Mathmatique

Editores Invitados: Luis Radford Bruno DAmore

Publicacin Oficial de Investigacin del Comit Latinoamericano de Matemtica Educativa

DIRECCIN EDITORIAL Rosa Mara Farfn ([email protected]) Centro de Investigacin y de Estudios Avanzados del IPN, Mxico Nmero Especial: Semitica, Cultura y Pensamiento Matemtico Editores Invitados: Luis Radford Bruno DAmore COMIT CIENTFICO Luis Carlos Arboleda Universidad del Valle, Colombia Michle Artigue Universit Paris 7, Francia Luis Campistrous Instituto Central de Ciencias Pedaggicas, Cuba Ricardo Cantoral Cinvestav IPN, Mxico Fernando Cajas Universidad de San Carlos, Guatemala Francisco Cordero Cinvestav -IPN, Mxico Bruno D Amore Universit di Bologna, Italia Ed Dubinsky Georgia State University, EUA Enrique Galindo Indiana University, EUA Ismenia Guzmn Universidad Catlica de Valparaso, Chile Carlos Imaz Cinvestav IPN, Mxico Delia Lerner Universidad Nacional de Buenos Aires, Argentina Luis Montejano Universidad Nacional Autnoma de Mxico, Mxico Len Oliv Universidad Nacional Autnoma de Mxico, Mxico Luis Rico Universidad de Granada, Espaa Luis Radford Universit Laurentienne, Canad Anna Sierpinska Concordia University, Canad

COMIT DE REDACCIN Juan Antonio Alans ITESM, Mxico Leonora Daz Universidad Metropolitana de Ciencias de la Educacin, Chile Crislogo Dolores Universidad Autnoma de Guerrero, Mxico Evangelina Daz Universidad Nacional, Heredia, Costa Rica Javier Lezama Cicata IPN, Mxico Gustavo Martnez Universidad Autnoma de Guerrero, Mxico Martn Socas Universidad de La Laguna, Espaa Marta Valdemoros Cinvestav IPN, Mxico Erndira Valdez Universidad Pedaggica Nacional, Mxico

Coordinacin tcnica: Mara Guadalupe Cabaas, Mario Snchez, Martha Maldonado, Ivn Javier Maldonado, Abraham Espinosa y Jos Canch Diseo editorial: Patricia Snchez Portada: Opus 1 de Oscar Reutersvrd en 1934. Reproducida con permiso de los herederos del artista.
Clame. Consejo Directivo: Presidente: Gustavo Martnez ([email protected]) Mxico; Secretario: Germn Beita ([email protected]) Panam; Tesorero: Joaqun Padovani ([email protected]) Puerto Rico; Vocal Norteamrica: Gisela Montiel ([email protected]) - Mxico; Vocal Caribe: Juan Ral Delgado ([email protected]) Cuba; Vocal Sudamrica: Cecilia Crespo ([email protected]) Argentina. Derechos Reservados Clame A.C., ISSN 1665-2436. Edicin CLAME-Mxico, R.F.C. CMM 040505 IC7. Impreso en Mxico

Revista Latinoamericana de Investigacin en Matemtica Educativa. Publicacin oficial de investigacin del Comit Latinoamericano de Matemtica Educativa. Se publica en los meses de marzo, julio y noviembre. Nmero especial, 2006. Tiraje 2000 ejemplares. Para cualquier contribucin o mayor informacin, favor de dirigirse a la direccin electrnica: [email protected], o consulte la pgina http://www.clame.org.mx. Relime est disponible en los siguientes ndices: Conacyt ndice de Revistas Mexicanas de Investigacin Cientfica y Tecnolgica:http://www.conacyt.mx/dac/ revistas/revistas_catalogo2004.html; ndice de Revistas Latinoamericanas en Ciencia (Peridica): http://www.dgbiblio.unam.mx/periodica.html; Sistema Regional de Informacin en Lnea para Revistas Cientficas de Amrica Latina, el Caribe, Espaa y Portugal (Latindex): http://www.latindex.unam.mx; ndice de Revistas de Educacin Superior e Investigacin Educativa (Iresie): http://www.unam.mx/cesu/iresie/; Red de Revistas Cientficas de Amrica Latina y el Caribe (Red ALyC): http://www.redalyc.com/; EBSCO Information Services: http://www.ebsco.com/home/; IBZ International Bibliography of Periodical Literature in the Humanities and Social Sciences: http://www.gale.com/; ZDM Zentralblatt fr Didaktik der Mathematik: http://www.fizkarlsruhe.de/fiz/publications/zdm/zdmp1.html; Dialnet: http://dialnet.unirioja.es/ ;Informe Acadmico: www.galeiberoamerica.com

Contenido

Editorial

Introduccin. Semitica y Educacin Matemtica

Luis Radford

Proof and Explanation from a Semiotical Point of View

23

Michael Otte
Quelle smiotique pour lanalyse de lactivit et des productions mathmatiques? 45

Raymond Duval

Socioepistemologa y representacin: algunos ejemplos

83

Ricardo Cantoral, Rosa-Mara Farfn, Javier Lezama y Gustavo Martnez-Sierra

Elementos de una teora cultural de la objetivacin 103

Luis Radford
Anlisis ontosemitico de una leccin sobre la suma y la resta 131

Juan D. Godino , Vicen Font y Miguel R. Wilhelmi

Semiotic Objectifications of the Compensation Strategy: En Route to the Reification of Integers

Andreas Koukkoufis y Julian Williams

157

Objetos, significados, representaciones semiticas y sentido

Bruno DAmore

177

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?
Athanasios Gagatsis, Iliada Elia y Nikos Mousoulides

197

Learning Mathematics: Increasing the Value of Initial Mathematical Wealth

225

Adalira Senz-Ludlow
Everyday and Mathematical Language 100 Years After the Publication of On Denoting by Bertrand Russell
Giorgio T. Bagni

247

Semiosis as a Multimodal Process

267

Ferdinando Arzarello

Conclusiones y perspectivas de investigacin futura

301

Bruno DAmore
Sugerencias y gua para la preparacin de artculos 307

Editorial

on gran placer presentamos nuestro primer nmero especial de Relime que versa sobre una temtica de actualidad e importancia para la investigacin en matemtica educativa: Semitica, Cultura y Pensamiento Matemtico. Esta iniciativa ha sido posible gracias al grado de consolidacin actual de nuestra revista y a la participacin entusiasta y profesional de nuestros colegas Luis Radford y Bruno DAmore quienes son nuestros editores invitados para este numero especial y a quienes les agradecemos su conocimiento, tiempo y trabajo para el logro de la empresa. Todas las colaboraciones de este numero siguieron el proceso de revisin y arbitraje estricto usual en Relime y se presentan escritos en castellano, ingls y francs como un reflejo de la pluralidad y contribucin de las diversas escuelas de pensamiento hacia la temtica que convoca a los diversos especialistas de reconocimiento internacionall. Esta experiencia sin duda enriquecer a nuestra comunidad, por lo que esperamos continuar con la edicin de nmeros especiales de Relime. Para que eso sea posible, invitamos a nuestros colegas a enviar sus propuestas. Reiteramos las consideraciones de origen que guan la poltica editorial de Relime: nuestro objetivo es el de promover y fomentar la escritura de artculos de investigacin de alta calidad en nuestra disciplina, como un paso necesario para la construccin de la escuela latinoamericana de matemtica educativa. Como siempre, expresamos nuestro reconocimiento a quienes nos acompaan en esta empresa: lectores, autores, rbitros y equipo tcnico. A todos los colegas que cultivan nuestra disciplina les extendemos nuestra cordial invitacin para que remitan sus colaboraciones a Relime.

Rosa Mara Farfn Directora de Relime

Relime, Nmero Especial, pp. 7-21

Introduccin Semitica y Educacin Matemtica

Luis Radford 1

El creciente inters suscitado por la semitica en el campo de la educacin matemtica en los ltimos aos se debe nos parece a razones de diferente ndole. Por un lado, ha habido una toma de conciencia progresiva del hecho de que, dada la generalidad de los objetos matemticos, la actividad matemtica es, esencialmente, una actividad simblica (DAmore, 2001; Duval, 1998; Godino y Batanero, 1999; Otte, 2003; Radford, 2004; Steinbring, 2005). Por otro lado, el inters que suscit en los aos 1990 la comprensin de la comunicacin en el saln de clase puso en evidencia la importancia que tiene, tanto para el investigador como para el maestro, comprender la naturaleza del discurso matemtico (Cobb, Yackel, y McClain, 2000; Steinbring, Bartolini Bussi, y Sierpinska, 1998). La semitica, con su arsenal de mtodos y conceptos, aparece como teora apropiada para intentar dar cuenta de la complejidad discursiva. Otra razn parece ser el uso cada vez mayor de artefactos tecnolgicos en la enseanza y aprendizaje de las matemticas (Arzarello, 2004; Borba y Villareal, 2006; Guzmn y Kieran, 2002; Kaput y Hegedus, 2004; Kieran y Saldanha, 2005). La semitica, de nuevo, parece ofrecer conceptos capaces de ayudar al didctico en su tarea de entender el papel cognitivo que desempean los artefactos. Mencionemos, por ltimo, el hecho de que los artefactos y los signos son portadores de convenciones y formas culturales de significacin que hacen a la semitica un campo muy bien situado para entender las relaciones entre los signos a travs de los cuales piensan los individuos y el contexto cultural (Radford, en prensa-1). La semitica se presenta con un amplio y ambicioso espectro de aplicaciones. Esto no debe, sin embargo, dar la impresin de que la semitica es una teora nueva, unificada por una serie de principios comunes. Hay, por lo menos, tres tradiciones semiticas claramente diferenciadas. (1) La tradicin Saussureana, iniciada por el suizo Ferdinand de Saussure (1857-1913) en una serie de cursos dictados entre 1907 y 1911, tradicin que emplea el trmino semiologa ; (2) la tradicin Peirceana, iniciada por el estadounidense Charles Sanders Peirce (1839-1914) quien acu el trmino semitica; (3); la Vygotskiana, iniciada por el psiclogo ruso Lev S. Vygotski (1896-1934). Cada una de esas tradiciones emergi y fue desarrollada dentro de problemticas precisas y diferentes.

1 cole des sciences de lducation. Universit Laurentienne, Ontario, Canada.

Relime

La tradicin Saussureana El problema principal para Saussure era el de la comprensin de la lengua, que l distingua del lenguaje y de la palabra, una distincin que reposa en la oposicin entre lo social y lo subjetivo. Para Saussure, la palabra es de orden subjetivo, mientras que la lengua es de orden social. La lengua, deca Saussure, es un sistema de signos que expresan ideas, comparable a la escritura, al alfabeto de los sordomudos, a los ritos simblicos, a las formas de cortesa, a las seales militares, etc. etc. (Saussure, 1995, p. 33)2. Para Saussure, la lengua no solamente se asemeja a esos sistemas de signos, sino que es el ms importante de ellos. Fue en este contexto que Saussure propuso una nueva ciencia, que englobara la lingstica y cuyo objetivo sera el estudio general de los signos: Podemos concebir, pues, una ciencia que estudie la vida de los signos en el seno de la vida social; sta sera parte de la psicologa social y, por consiguiente, de la psicologa general; la llamaremos semiologa (del griego semeon , signo). Ella nos ensear en qu consisten los signos (y) cules son las leyes que los rigen. (Saussure, op. cit. p. 33; nfasis en el original). Para Saussure, los signos no son simples marcas que representan cosas en el mundo. Esta idea, dice Saussure, reduce el papel de los signos a una mera nomenclatura. El signo, Saussure sugiere, es la unin indisociable de dos elementos de naturaleza psquica: el concepto (signifi, significado) y la imagen acstica

asociada ( signifiant, significante). El lingista suizo nos invita a imaginar a alguien que nos habla en una lengua desconocida: Cuando escuchamos una lengua desconocida, estamos en la imposibilidad de decir cmo los sonidos que siguen deben ser analizados (op. cit. p. 145). Lo que aparece ante nosotros es una cadena de sonidos sin significados. Pero cuando sabemos qu sentido y qu papel hay que atribuir a cada parte de la cadena, entonces vemos esas partes desprenderse de las otras y esa cinta (auditiva) amorfa dividirse en fragmentos o signos con pleno sentido (op. cit. p. 145). Como lo sugiere este ejemplo, los signos significan en la medida en que son miembros de un sistema. Esto es, el signo tiene significado cuando est relacionado con otros signos. Es gracias a este sistema que el signo es signo. Saussure ofrece la analoga con el juego de ajedrez. El caballo, por ejemplo, no representa nada, en tanto que pieza material: En su materialidad pura, fuera de su casilla y de las otras condiciones del juego, el caballo no representa nada para el jugador (op. cit. p. 153). Esta pieza material no se convierte en elemento real y concreto, sino hasta cuando reviste el valor que le otorgan las reglas del juego. Lo mismo ocurre con los signos. En la aproximacin estructuralista de Saussure, la manera de significar de los signos reposa en su oposicin diferencial. Esta idea fue continuada, entre otros, por (Hjelmslev, 1969) y luego por (Eco, 1976).

Excepto en los casos de obras mencionadas en espaol, en la lista de referencias, las traducciones al espaol son

nuestras.

Introduccin. Semitica y Educacin Matemtica

La tradicin Peirceana Charles Sanders Peirce, matemtico dedicado a la lgica, concibi la semitica como la doctrina formal de los signos. La orientacin de su pragmaticismo (diferente de simple practicalismo como algunos lo han interpretado) no fue la investigacin de cmo los signos significan en el seno de la vida social, como fue el caso de Saussure, sino la manera en que un individuo genrico utiliza signos para formar nuevas ideas y nuevos conceptos para alcanzar la verdad. Su teora de pragmaticismo (es decir, la lgica de abduccin) es la base de su semitica. Por esa razn, la semitica Peirceana se mueve cerca de las esferas de la lgica, sin reducirse solamente a sta. En tanto que buen discpulo de Kant, Peirce haba notado, contra las ideas de los racionalistas de la antigedad y del siglo XVII, que el pensamiento humano no puede ser comprendido a la luz de la teora de la inferencia o de la lgica formal. Como Kant, Peirce se propuso modificar las categoras aristotlicas y abandon, como lo hara Piaget unos aos ms tarde, el apriorismo Kantiano. Para ello, Peirce adopt una postura ontolgica alineada con el Realismo escolstico, y elabor una fenomenologa en la cual la manera de conocer pasa por tres experiencias distintas ( Firstness , Secondness and Thirdness). Peirce defini el signo como algo que, para alguien, toma lugar de otra cosa (el objeto del signo), no en todos los aspectos de esta cosa, sino solamente de acuerdo con cierta forma o capacidad (ver CP 2.2283). En

efecto, segn Peirce, el objeto (Secondness) del signo es aprehendido segn cierta cualidad ( Firstnees ) de manera tal que un nuevo signo es producido: el intepretant (interpretante) (Thirdness). Siguiendo el mismo proceso, este interpretante puede convertirse en objeto de otro nuevo signo y as indefinidamente (ver CP 1.339). Este proceso que va de signo en signo o semiosis ilimitada, como la llaman Eco y otros peirceanos, constituye la esencia del pensamiento, pues como dice Peirce en otras partes, todo pensamiento es un signo (CP 1.538, 2.253, 5.314, 5.470). El problema es, pues, para Peirce, encontrar el mtodo correcto para pensar: si podemos encontrar el mtodo para pensar y si podemos seguirlo el mtodo correcto de transformacin de signos entonces la verdad puede ser ni ms ni menos que el ltimo resultado al cual el mtodo del seguimiento de signos nos conducira ultimadamente (Peirce, CP 5.553). El xito de la empresa de Peirce reposa, sin embargo, en la adopcin de dos hiptesis fundamentales, cuyo precio puede parecer muy elevado: primero, la hiptesis de una adecuacin entre el mundo real y el mundo de las ideas, esto es entre ordo rerum y ordo idearum ; segundo, la confianza en el razonamiento cientfico como modelo metodolgico de raciocinio (Radford, 2006). Respecto a la primera hiptesis, sealemos, brevemente, que Peirce supone que, desde el punto de vista ontolgico, la naturaleza es gobernada por

3 Siguiendo la tradicin, en adelante indicaremos los Collected Papers de Peirce (1931-1958) con las siglas CP. El

nmero 2.228 significa el libro 2, entrada 228. En general, CP a.b significa los Collected Papers, libro a, entrada b).

10 Relime

leyes. Adems, desde el punto de vista epistemolgico, Peirce supone que esta naturaleza es inteligible. Respecto a la segunda hiptesis, la mencionada adecuacin entre ordo rerum y ordo idearum, sostenida por el extremo realismo escolstico Peirceano (ver Parker, 1994, p. 67), es suplementada por una idea racionalista de verdad. El resultado es que la actividad cognitiva del individuo encuentra un aliado incondicional en la naturaleza. Los signos de la naturaleza y el pensamiento humano caminan juntos, tomados de la mano. Es por eso que Peirce puede decir con confianza que El solo inmediato propsito del pensamiento es volver las cosas inteligibles (CP 1.405). Es gracias a esta idea racionalista de verdad que funciona como idea reguladora que, segn Peirce, podemos estar seguros contra la opinin de Kant y el constructivismo al que el ste dio origen de que en nuestras disquisiciones no estamos corriendo detrs de fantasmas, objetos nominales o simples invenciones subjetivas o ideas viables como ha dicho Glaserfeld (1995): al contrario, el correcto uso de signos, regulados por esa verdad trascendental que se expresa en los signos de la naturaleza y que nos revela el mtodo cientfico, asegura el final feliz de la semiosis ilimitada (Nesher, 1997; Radford, en prensa-2). No obstante el precio a pagar por las hiptesis anteriores, la semitica de Peirce ofrece ricas topologas de signos que pueden ser muy tiles en la comprensin de fenmenos didcticos (Otte, en prensa; Presmeg, 2005; Senz-Ludlow, 2003, 2004, 2006). Una de las vas actualmente exploradas dentro de la tradicin peirceana es la del razonamiento diagramtico

(Drfler, 2005; Hoffmann, 2002, 2005; Stjernfelt, 2000).

La tradicin Vygotskiana 4 La semitica Vygostkiana fue elaborada como respuesta al problema del estudio del pensamiento y de su desarrollo. Amparado en la corriente Marxista de su poca, Vygotski propuso una teora del desarrollo cognitivo en la cual los conceptos de labor y de herramientas desempean un papel primordial. En una conferencia dictada en 1930 en la Academia de la educacin comunista, Vygotski llam la atencin sobre el hecho de que el comportamiento humano est inmerso en una serie de dispositivos artificiales (artefactos). Una de las novedades de la teora vygotskiana fue la de mostrar que en vez de ser simples ayudas, estos dispositivos alteran el curso del desarrollo natural de los procesos psquicos. Dichos dispositivos se convierten en instrumentos psicolgicos y sirven de base a la aparicin de las funciones psquicas superiores, funciones que distinguen el reino humano del reino animal. Refirindose a los instrumentos psicolgicos, dice Vygotski: Los instrumentos psicolgicos son creaciones artificiales; estructuralmente son dispositivos sociales y no orgnicos o individuales; estn dirigidos al dominio de los procesos propios o ajenos, lo mismo que la tcnica lo est al dominio de los procesos de la naturaleza. (Vygotski, 1991, p. 65) Para Vygotski y la escuela histrico-cultural de psicologa, el problema del desarrollo intelectual es planteado como problema

4 La transliteracin del nombre de Vygotski se escribe diferentemente, segn el idioma empleado. En ingls la traduccin

es Vygotsky.

Introduccin. Semitica y Educacin Matemtica

11

cultural. De acuerdo con la ley gentica de desarrollo cultural que propone Vygotski, En el desarrollo cultural del nio, toda funcin aparece dos veces: primero, a nivel social, y ms tarde, a nivel individual; primero entre personas (interpsicolgicamente), y despus, en el interior del propio nio (intrapsicolgicamente). Esto puede aplicarse igualmente a la atencin voluntaria, a la memoria lgica y a la formacin de conceptos. Todas las funciones superiores se originan como relaciones entre seres humanos. (Vygotski, 1988, p. 94; cursivas en el original). El signo desempea una funcin mediadora entre el individuo y su contexto, y permite, adems, ese pasaje entre lo interpsicolgico y lo intrapsicolgico que asegura la reconstruccin interna de la accin, esto es, de su internalizacin. Vygotski da como ejemplo la aparicin del gesto: Al principio, este ademn no es ms que un intento fallido de alcanzar algo, un movimiento dirigido hacia cierto objeto que designa la actividad futura Cuando acude la madre en ayuda del pequeo y se da cuenta de que su movimiento est indicando algo ms, la situacin cambia radicalmente. El hecho de sealar se convierte en un gesto para los dems nicamente ms tarde, cuando el nio es capaz de relacionar su fallido movimiento de agarrar con la situacin objetiva como un todo, comienza a interpretar dicho movimiento como acto de sealar Como consecuencia de este cambio, el movimiento mismo queda

simplificado, y lo que de l resulta es la forma de sealar que llamamos gesto. (Vygotski, 1988, pp. 92-93) La descripcin que hace Vygotski de la aparicin del gesto indicativo pone en evidencia el papel de lo social en la gnesis de la significacin. El gesto est primero dirigido hacia alguien (plano intersubjectivo) y se convierte en gesto para s mismo (plano intrasubjetivo) solamente ms tarde, en ese proceso de internalizacin que es mediado por el cuerpo mismo. Ms tarde, la actividad gestual se vuelve ms compleja con la aparicin de otras formas indicativas, como las lingsticas (por ejemplo con las expresiones aqu all, etc.) en las que el signo se mueve en una capa de significacin auditiva o escrita, dando lugar a una deixis compleja (ver Bhler, 1979; Radford, 2002). A pesar de una orientacin literaria, mostrada, sobre todo, en los primeros trabajos, como La psicologa del arte (Vygotsky, 1971), publicado inicialmente en 1925, Vygotski, como Peirce, adopt una ontologa realista y, como ste, vio en la ciencia y la tecnologa la forma por excelencia de alcance del conocimiento. No obstante esto, la idea del signo como objeto cognitivo, inspirado de la idea de herramienta laboral, es, sin duda, una idea interesante. Con ella, Vygotski rompi el esquema tradicional del idealismo y del racionalismo. El signo no es simplemente pieza diferencial de un sistema de estructuras (Saussure) ni mero medio de pensamiento y de formacin de ideas (Peirce), sino, sobre todo, medio de transformacin de las funciones psquicas del individuo. La analoga del signo como herramienta tiene, sin embargo, sus limitaciones. As, van der Veer y Valsiner han sugerido que

12 Relime

dicha concepcin del signo da a la psicologa de Vygotski un aspecto demasiado tcnico y la convierte en una especie de psicotecnologa (van der Veer y Valsiner, 1991, p. 221). Vygotski parece haberse dado cuenta de esta limitacin. En una serie de notas tomadas por A. N. Leontiev durante un seminario interno llevado a cabo en 1933 al que participaron, como de costumbre, los colaboradores cercanos de Vygotski y algunos psiclogos jvenes que trabajaban bajo su direccin, seminario en el que Vygotski expuso ciertas tesis sobre el problema de la conciencia, leemos: En los primeros trabajos ignorbamos que el significado es propio del signo (...) Partamos del principio de la constancia del significado () Si antes nuestra tarea era mostrar lo comn entre el nudo y la memoria lgica, ahora consiste en mostrar la diferencia que existe entre ellos. (cf. Vygotski, 1991, p. 121). En las notas tomadas en la misma reunin durante la reaccin de Vygotski al reporte preparado por otro de sus colaboradores, A. R. Luria, leemos: Para nosotros lo principal es (ahora) el movimiento del sentido. (cf. Vygotski, 1991, p. 125). Es claro, pues, que al final de su vida, Vygotski vio la necesidad de continuar la reflexin sobre los signos del lado de la significacin. Vygotski vio en el estudio de los significados verbales la pauta para ampliar dicho problema. Ms tarde, Leontiev sugiri que la evolucin de los

significados (verbales y otros) debe ser vista no solamente a la luz de la interaccin humana, sino bajo el prisma de las relaciones siempre en movimiento de los individuos y de la naturaleza, bajo la emergencia y desarrollo del trabajo y de las relaciones sociales (van der Veer, 1996, p. 259), ideas que desembocaron el su Teora de la Actividad (Leontiev, 1993). Entre los trabajos de investigacin conducidos dentro del paradigma vygotskiano, se pueden mencionar los de Bartolini Bussi y Mariotti (1999), Bartolini Bussi y Maschietto (2006), Berger (2005), Boero, Pedemonte y Robotti (1997).

Piaget y la semitica En sus trabajos sobre el papel del smbolo en el desarrollo cognitivo, Piaget introdujo el concepto de funcin semitica, tratando de dar respuesta a la pregunta siguiente: es posible que el pensamiento sea un resultado del lenguaje? 5. Para Piaget, que sola plantear las preguntas en trminos lgicos, el lenguaje era una condicin necesaria, pero no suficiente del pensamiento. Un tanto irritado por la posicin del positivismo de la primera parte del siglo XX, que reduca todo al lenguaje, Piaget sostuvo que: El lenguaje puede constituir una condicin necesaria de la terminacin de las operaciones lgico-matemticas sin ser, sin embargo, una condicin suficiente de su formacin. (Piaget, 1978 p. 130). Para

La vigencia contempornea de la pregunta de Piaget aparece claramente en una crnica periodstica reciente sobre

el trabajo antropolgico realizado sobre los Pirah, una pequea tribu brasilea con un lenguaje sin clusulas subordinadas. Una de las preguntas que los lingistas se estn haciendo es si es posible tener pensamientos para los cuales no hay palabras en la lengua (ver Bredow, 2006). Estoy en deuda con Heinz Steinbring por llamar mi atencin sobre este artculo.

Introduccin. Semitica y Educacin Matemtica

13

Piaget, era importante resolver el problema gentico que consiste en saber si las races de las operaciones lgico-matemticas se encuentran en el campo mismo del lenguaje o, si por el contrario, son anteriores a ste. La pregunta fundamental era saber si la formacin del pensamiento est relacionada con la adquisicin del lenguaje como tal o con la funcin simblica en general (op. cit., p. 131). En resumen, segn Piaget, haba que investigar si la transmisin verbal es suficiente para constituir en el espritu del nio estructuras operatorias o si esta transmisin es eficaz solamente a condicin de ser asimilada gracias a estructuras de naturaleza ms profunda (coordinacin de acciones), no transmitidas por el lenguaje. (Piaget, op. cit. p. 131) Dentro de esta problemtica, uno de los resultados ms relevantes alcanzados por Piaget fue la puesta en evidencia de una inteligencia prctica previa a la aparicin del lenguaje en el nio. Conviene insistir, deca Piaget, aludiendo a los resultados experimentales de la escuela de Ginebra, en el hecho de que las operaciones, en cuanto resultado de la interiorizacin de las acciones y de sus coordinaciones, permanecen durante mucho tiempo relativamente independientes del lenguaje. ( op. cit. p. 134). En su libro Epistemologa Gentica, Piaget regresa sobre el mismo problema y arguye que El lenguaje no es ciertamente el medio exclusivo de representacin. ste es solamente un aspecto de la funcin muy general que Head ha llamado la funcin simblica. Yo prefiero utilizar el trmino lingstico: funcin semitica. Esta funcin consiste en la habilidad de

representar algo a travs de un signo o un smbolo o cualquier objeto (Piaget 1970, p. 45) En su libro La formation du symbole chez lenfant [La formacin del smbolo en el nio] Piaget sostuvo que el smbolo resulta de un esquematismo no simblico. Al principio del libro Piaget dice: Vamos a intentar mostrar cmo la [emergencia del] smbolo es preparada por el esquematismo no simblico (Piaget 1968, p. 8), esto es, un esquematismo armado de significantes sensorimotores ndices o seales, a los cuales hace falta todava la independencia respecto al objeto significado. Segn Piaget, la funcin semitica empieza precisamente cuando hay una diferenciacin entre significado y significante, diferenciacin que provee al significado (signifi) con una permanencia espacio-temporal y abre la posibilidad de que un mismo significante pueda referir a varios significados. Para Piaget, la funcin semitica incluye la imitacin diferida, el juego simblico, la imagen mental, los gestos y el lenguaje natural (Piaget en: Piattelli-Palmarini, 1982, p. 58). La semitica Piagetiana, que se enmarca dentro de la tradicin Saussureana mencionada anteriormente, reposa en la idea de una continuidad entre los significantes sensorimotores y la emergencia de los primeros smbolos en los nios. En otras palabras, la semitica Piagetiana se apoya en un postulado segn el cual la inteligencia sensorimotriz se prolonga, a travs del signo, en representacin conceptual (Piaget 1968, pp. 68-69). La solucin que propuso Piaget al acertijo del desarrollo de la inteligencia fue, como en el caso de Peirce, un intento serio de esquivar el apriorismo Kantiano. En el

14 Relime

fondo, la solucin Piagetiana es una tematizacin sofisticada del compromiso que hace la filosofa del Siglo de las Luces entre el racionalismo y el empirismo. Piaget retoma la posicin epistemolgica que Kant otorga al individuo en el acto del conocimiento y la lleva a sus mximas conclusiones. En lugar de contentarse con la deduccin Kantiana de las categoras escolsticas, deduccin que limitaba al individuo a un uso racionalista de la facultad de entendimiento, Piaget propuso un proceso gentico que se eleva de lo sensual a lo conceptual a travs del efecto de una razn que se reconstruye, pacientemente, en cada individuo, independiente de su ubicacin histrica y geogrfica. La razn renace y se reconstruye en el curso de la actividad del individuo y llega, inevitablemente, atrada como el metal por el imn, a ese punto culminante que es la Razn Occidental. En definitiva, la epistemologa gentica de Piaget es una de las expresiones ms modernas de la sensibilidad intelectual heredada del Siglo de las Luces.

Nunes (1996), entre otros, discutieron ciertos aspectos ligados al lenguaje. Siguiendo otro camino, Jean-Blaise Grize, un colaborador de Piaget, haba tambin llamado la atencin sobre los problemas del lenguaje en el pensamiento lgico (Grize, 1996). Los trabajos que constituyen este nmero especial han sido agrupados en dos categoras. En la primera, el lector encontrar artculos de corte terico. En el primer artculo, Michael Otte aborda el tema de la demostracin matemtica y argumenta que es intil buscar el sentido de los objetos matemticos en una especie de estrato fundamental conceptual. Tomando una actitud anti-mentalista, que es compartida por varios autores del presente nmero, Otte argumenta que es intil seguir creyendo que el significado (meaning) de las cosas yace en nuestras cabezas y que es igualmente intil seguir pensando que el saber (knowledge) es una especie de experiencia mental. Siguiendo ciertas ideas de Peirce, Otte sugiere que no hay separacin entre idea y smbolo. Explicar, Otte sostiene, es exhibir el sentido de alguna cosa a travs de signos y sentido vistos como procesos. Raymond Duval discute el problema de la heterogeneidad semitica, heterogeneidad en que subyace una de las dificultades mayores del aprendizaje de las matemticas, esto es, pasar de un tipo de representacin a otro. Duval arguye que el anlisis de las producciones matemticas exige herramientas de anlisis semitico complejas y adaptadas a los procesos cognitivos movilizados en toda actividad matemtica y enuncia tres preguntas cruciales, las cuales son discutidas en el texto: una sobre la pertinencia de la distincin entre significante y significado (que nos recuerda

Semitica y Educacin Los trabajos incluidos en este nmero especial de la Revista Latinoamericana de Matemtica Educativa prolongan el inters por la semitica mostrado previamente en nuestro campo de investigacin por otros colegas. Varios han sido, en efecto, los educadores y los psiclogos que empezaron a mostrar o sugerir hace varios aos el potencial de la semitica en las reflexiones didcticas. As, la importancia de los signos matemticos fue puesta en evidencia por Freudenthal al final de los aos 1960 (Freudenthal, 1968). En los aos 1980, Filloy y Rojano (1984) mostraron el potencial del anlisis semitico en la comprensin del desarrollo del lenguaje algebraico. Ms tarde, Laborde, Puig y

Introduccin. Semitica y Educacin Matemtica

15

la distincin introducida por Saussure), otra en torno a la clasificacin de los signos, y, finalmente, otra referente a la comparacin entre un anlisis funcional y un anlisis estructural de los signos. En el tercer artculo, Cantoral y colaboradores presentan ciertos elementos de la socioepistemologa, una teora que pretende ubicar la actividad matemtica en el contexto de la prctica social. El concepto de prctica social hace referencia a aquello que viene a normar la actividad matemtica. En su artculo, los autores estudian algunas actividades como medir, predecir, modelar y convenir, y muestran, haciendo referencia a la historia de las matemticas, escenarios sociales claves de construccin social del conocimiento matemtico. En el cuarto artculo, Radford presenta ciertos elementos de una teora cultural de la objetivacin, una teora de la enseanza y el aprendizaje de las matemticas que se inspira de escuelas antropolgicas e histrico-culturales del conocimiento. Dicha teora se apoya en una epistemologa y una ontologa no racionalistas que dan lugar, por un lado, a una concepcin antropolgica del pensamiento y, por el otro, a una concepcin esencialmente social del aprendizaje. De acuerdo con la teora, lo que caracteriza al pensamiento no es solamente su naturaleza semiticamente mediatizada, sino sobre todo su modo de ser en tanto que praxis reflexiva. En el quinto artculo, un artculo de transicin entre los artculos de corte terico y los de corte aplicado, Godino y colaboradores presentan una aplicacin del enfoque ontosemitico al anlisis de textos. Los autores buscan ilustrar la tcnica de anlisis de textos matemticos propuesta por el enfoque ontosemitico de

la cognicin matemtica e identificar criterios de idoneidad de unidades didcticas (en particular la idoneidad epistmica y la cognitiva) para el estudio de las estructuras aditivas en la educacin primaria. En el sexto artculo, Koukkoufis y Williams aplican ciertos conceptos de la teora de la objetivacin para estudiar la manera en que jvenes alumnos generalizan, en el aprendizaje de la aritmtica, ciertas relaciones numricas. Los autores examinan en detalle el papel que desempea el baco como artefacto de mediacin y efectan un anlisis fino del papel del lenguaje y los gestos en procesos de reificacin (en el sentido de Sfard, 1994), procesos que preparan el camino a conceptualizaciones numricas claves en las operaciones con nmeros enteros. En el sptimo artculo, DAmore discute el problema de la ontologa y conocimiento de los objetos matemticos, centrndose en particular en el problema de la representacin del objeto y su sentido. En la primera parte, DAmore sintetiza algunas investigaciones recientes en torno al problema de la ontologa y el conocimiento; en la segunda parte, el autor analiza un ejemplo concreto para poner en evidencia las dificultades de cambio de sentido cuando cambia la representacin del objeto. En el octavo articulo, Gagatsis y colaboradores presentan el fruto de varios trabajos de investigacin sobre el problema de cambios de representacin de objetos relacionados con el concepto de funcin. El artculo torna alrededor del problema de la compartimentacin de diferentes registros de representacin, as como de las dificultades que, generalmente, encuentran los alumnos

16 Relime

para utilizar representaciones adecuadas en contextos de resolucin de problemas. Los autores sugieren pistas que pueden ayudar a resolver el problema de la compartimentacin. En el noveno articulo, inspirndose de la semitica de Peirce, Adalira Senz-Ludlow sugiere la existencia de una relacin triangular entre interpretacin, objetivacin, y generalizacin. Luego de argumentar cmo el discurso matemtico es un medio potente en la objetivacin semitica, la autora discute la manera en que el discurso matemtico en el saln de clase media el aumento del valor de lo que ella llama la riqueza matemtica del alumno. En la ultima parte, Senz-Ludlow discute cmo maestros, con diferentes perspectivas tericas, influyen en la direccin del discurso matemtico en el saln de clase y, en consecuencia, en el crecimiento de la riqueza matemtica de sus estudiantes. En el dcimo artculo, Giorgio Bagni examina cmo alumnos de 15 a 16 aos tratan de dar sentido a una frase inspirada de un ejemplo clebre introducido por Russell, y de un aserto expresado en lenguaje matemtico. Luego de discutir en la primera parte del artculo las posiciones tomadas por matemticos, filsofos y epistemlogos, como Frege, Russell, Quine y Brandom respecto al problema de la referencia y el significado, Bagni ofrece un anlisis de datos experimentales que se aparta de los conceptos clsicos de realidad y de racionalidad, y propone una reflexion en la que la idea de prctica de la justificacin es vista en el interior de una comunidad comunicativa, al estilo de J. Habermas. En el onceavo artculo, Ferdinando Arzarello presenta una discusin del paradigma multimodal y encarnado (embodied) que ha emergido en los ltimos

aos dentro del marco de investigaciones realizadas en el campo de la psicolingstica y la neurociencia. Luego de analizar los gestos desde una perspectiva semitica, Arzarello introduce la nocin de semiotic bundle, el cual es ejemplificado a travs de un estudio de casos. Este nmero especial de la Revista Latinoamericana de Matemtica Educativa se encuentra en la lnea de esfuerzos hechos por otros colegas en intentar mostrar a la comunidad de educadores matemticos las posibilidades (y las limitaciones) de las aproximaciones semiticas. Este nmero contina, de manera ms modesta, cierto, las discusiones sobre la representacin (Hitt, 2002; Janvier, 1987), la semitica y la educacin (Anderson, Senz-Ludlow, Zellweger, y Cifarelli, 2003), el nmero especial Representations and the psychology of mathematics education del Journal of Mathematical Behavior (1998, Vol. 17(1) y 17(2)), editado por Gerald Goldin y Claude Janvier, el libro Activity and sign (2005) editado por Michael Hoffmann, Johannes Lenhard and Falk Seeger, asi como el reciente nmero especial Semiotic perspectives on epistemology and teaching and learning of mathematics de la revista Educational Studies in Mathematics, (2006, vol. 61(12)), editado por Adalira Senz-Ludlow y Norma Presmeg. Este nmero especial de la Revista Latinoamericana de Matemtica Educativa ha sido posible gracias a la colaboracin de muchas personas. Queremos agradecer en particular a su editora, Rosa Mara Farfn. Queremos igualmente agradecer a Jos Guzmn Hernndez (Centro de Investigacin y de Estudios Avanzados [Cinvestav], Mxico), Heather Empey (McGill University, Canad),

Introduccin. Semitica y Educacin Matemtica

17

Chantal Chivot (Laurentian University, Canad) por su ayuda en la preparacin de los textos. Tambin agradecemos al Social Sciences

and Humanities Research Council of Canada / Le Conseil de recherches en sciences humaines du Canada (SSHRC/ CRSH) por la subvencion que hizo posible en parte esta publicacin.

Referencias Anderson, M., Senz-Ludlow, A., Zellweger, S., y Cifarelli, V. (Eds.). (2003). Educational Perspectives on Mathematics as Semiosis: From Thinking to Interpreting to Knowing. Ottawa: Legas. Arzarello, F. (2004). Mathematical landscapes and their inhabitants: perceptions, languages, theories. Plenary Lecture delivered at the ICME 10 Conference. Copenhagen, Denmark. July 4-11, 2004. Bartolini Bussi, M. G., y Mariotti, M., A. (1999). Semiotic Mediation: from History to the Mathematics Classroom. For the Learning of Mathematics, 19(2), 27-35. Bartolini Bussi, M., y Maschietto, M. (2006). Macchine mathematiche: dalla storia alla scuola. Milano: Springer. Berger, M. (2005). Vygotskys theory of concept formation and mathematics education. Proceedings of the 29th Conference of the International Group for the Psychology of Mathematics Education, Bergen, Norway, 2, 153-160. Boero, P., Pedemonte, B., y Robotti, E. (1997). Approaching theoretical knowledge through voices and echoes: a Vygotskian perspective. Proceedings of the XXI International Conference for the Psychology of Mathematics Education . Lahti, Finland, 2, 81-88. Borba, M., y Villareal, M. (2006). Humans-with-Media and the Reorganization of Mathematical Thinking. New York: Springer. Bredow, R. v. (2006). Living without Numbers or Time. Speigel on line, May 3 2006 (http://service.spiegel.de/cache/international/spiegel/0,1518,414291,00.html). Bhler, K. (1979). Teora del lenguaje. Traducido del alemn por Julin Maras . Madrid: Alianza Editorial. Cobb, P., Yackel, E., y McClain, K. (Eds.). (2000). Symbolizing and Communicating in Mathematics Classrooms. Mahwah, NJ: Laurence Erlbaum. DAmore, B. (2001). Une contribution au dbat sur les concepts et les objets mathmatiques: la position nave dans une thorie raliste contre le modle anthropologique dans une thorie pragmatique. En A. Gagatsis (Ed.), Learning in Mathematics and Science and Educational Technology (Vol. 1, pp. 131-162).

18 Relime

Drfler, W. (2005). Diagrammatic Thinking. Affordances and Constraints. En M. H. G. Hoffmann, J. Lenhard y F. Seeger (Eds.), Activity and Sign: Grounding Mathematics Education (pp. 57-66). New York: Springer. Duval, R. (1998). Signe et objet, I et II. Annales de didactique et de sciences cognitives, IREM de Strasbourg, 6, 139-196. Eco, U. (1976). A theory of Semiotics. Indiana: Indiana University Press. Filloy, E., y Rojano, T. (1984). La aparicin del lenguaje Aritmtico-Algebraico. LEducazione Matematica, 5(3), 278-306. Freudenthal, H. (1968). Notation Mathmatique. Encyclopedia Universalis, 338-344. Glasersfeld von, E. (1995). Radical Constructivism: A Way of Knowing and Learning. London, Wasington, D.C: The Falmer Press. Godino, J. D., y Batanero, C. (1999). The meaning of mathematical objects as analysis units for didactic of mathematics. Paper presented at the Proceedings of the First Conference of the European Society for Research Mathematics Education. Goldin, G. y Janvier, C. (Eds.) (1998). Representations and the psychology of mathematics education del Journal of Mathematical Behavior, Vol. 17(1) y 17(2). Grize, J.-B. (1996). Logique naturelle et communications. Paris: Presses Universitaires de France. Guzmn, J., y Kieran, C. (2002). The role of calculators in instrumental genesis: The case of Nicolas and factors and divisors. En A. D. Cockburn y E. Nardi (Eds.), Proceedings of the 26th International Group for the Psychology of Mathematics Education. Norwich, UK, 3, 41-48. Hitt, F. (Ed.). (2002). Representations and Mathematics Visualization. Mexico: Departamento de Matemtica Educativa, Cinvestav-IPN. Hjelmslev, L. (1969). Prolegomena to a Theory of Language. Wisconsin: The University of Wisconsin Press. Hoffmann, M. H. G. (2002). Peirces Diagrammatic Reasoning as a Solution of the Learning Paradox. En G. Debrock (Ed.), The Quiet Revolution: Essays on Process Pragmatism (pp. 147-174). Amsterdam et al: Rodopi Press. Hoffmann, M. H. G., Lenhard J. y Seeger, F. (Eds.) (2005). Activity and Sign: Grounding Mathematics Education. New York: Springer. Hoffmann, M. H. G. (2005). Signs as Means for Discoveries. Peirce and His Concepts of Diagrammatic Reasoning, Theorematic Deduction, Hypostatic Abstraction, and

Introduccin. Semitica y Educacin Matemtica

19

Theoric Transformation. En M. H. G. Hoffmann, J. Lenhard y F. Seeger (Eds.), Activity and Sign: Grounding Mathematics Education (pp. 45-56). New York: Springer. Janvier, C. (Ed.). (1987). Problems of representation in the teaching and learning of mathematics. Hillsdale, NJ: Lawrence Erlbaum. Kaput, J., y Hegedus, S. (2004). An introduction to the profound potential of connected algebra activities: Issues of representation, engagement and pedagogy. Proceedings of the 28th Conference of the International Group for the Psychology of Mathematics Education, Bergen, Norway, 3, 129-136. Kieran, C., y Saldanha, L. (2005). Computer algebra systems (CAS) as a tool for coaxing the emergence of reasoning about equivalence of algebraic expressions. Proceedings of the 29th Conference of the International Group for the Psychology of Mathematics Education, Melbourne, Australia, 3, 193-200. Laborde, C., Puig, L., y Nunes, T. (1996). Language in Mathematics Education. En L. P. a. A. Gutirrez (Ed.), Proceedings of the 20th Conference of the International Group for the Psychology of Mathematics Education . University of Valencia, Valencia, Spain, 1, 53-84. Leontiev, A. N. (1993). Actividad, conciencia y personalidad. Mxico: ASBE Editorial. Nesher, D. (1997). Peircean Realism: Truth as the Meaning of Cognitive Signs Representing External Reality. Transactions of the Charles S. Peirce Society, 33(1), 201-257. Otte, M. (2003). Does mathematics have objects ? In what s ense ? Synthese, 134 (1-2), 181-216. Otte, M. (en prensa). A = B: a Peircean View. En Lafayette de Moraes and Joao Queiroz. Brazil: Catholic University of Sao Paulo. Parker, K. (1994). Peirces Semeiotic and Ontology. Transactions of the Charles S. Peirce Society, 30(1), 51-75. Peirce, C. S. (1931-1958). Collected Papers, vol. I-VIII. Cambridge, Mass: Harvard University Press. Piaget, J. (1968). La formation du symbole chez lenfant. Neuchatel: Delachaux et Niestl. Piaget, J. (1970). Genetic Epistemology. New York: W. W. Norton. Piaget, J. (1978). Problemas de psicologa gentica. Barcelona: Ariel. Piattelli-Palmarini, M. (Ed.). (1982). Thories du langage, thories de lapprentissage : le dbat entre Jean Piaget et Noam Chomsky. Paris: Seuil.

20 Relime

Presmeg, N. C. (2005). Metaphor and Metonymy in Processes of Semiosis in Mathematics Education. En M. H. G. Hoffmann, J. Lenhard y F. Seeger (Eds.), Activity and Sign: Grounding Mathematics Education (pp. 105-115). New York: Springer. Radford, L. (2002). The seen, the spoken and the written. A semiotic approach to the problem of objectification of mathematical knowledge. For the Learning of Mathematics, 22(2), 14-23. Radford, L. (2004). Cose sensibili, essenze, oggetti matematici ed altre ambiguit [Sensible Things, Essences, Mathematical Objects and other ambiguities] (English version available at: http://laurentian.ca/educ/lradford/essences.pdf). La Matematica e la sua didattica, 1, 4-23. Radford, L. (2006). The Anthropology of Meaning. En A. Senz-Ludlow, y N. Presmeg (Eds.), Semiotic perspectives on epistemology and teaching and learning of mathematics, Special Issue, Educational Studies in Mathematics, 61, 39-65. Radford, L. (en prensa-1). Semitica cultural y cognicin. En R. Cantoral y O. Covin (Eds.), Investigacin en Matemtica Educativa en Latinoamrica . Mexico. Radford, L. (en prensa-2). Rescuing Perception: Diagrams in Peirces theory of cognitive activity. En Lafayette de Moraes and Joao Queiroz (Eds.), C.S. Peirces Diagrammatic Logic. Catholic University of Sao Paulo, Brazil. Senz-Ludlow, A. (2003). A collective chain of signification in conceptualizing fractions. Journal of Mathematical Behavior, 22, 181-211. Senz-Ludlow, A. (2004). Metaphor and numerical diagrams in the arithmetical activity of a fourth-grade class. Journal for Research in Mathematics Education, 1(35), 34-56. Senz-Ludlow, A. (2006). Classroom interpreting games with an illustration. En A. SenzLudlow, y N. Presmeg (Eds.), Semiotic perspectives on epistemology and teaching and learning of mathematics, Special Issue, Educational Studies in Mathematics, 61, 183218. Saussure, F. (1995). Cours de linguistique gnrale. Paris: Payot. (Primera edicin, 1916). Sfard, A. (1994). Reification as the birth of metaphor. For the Learning of Mathematics, 14(1), 44-55. Steinbring, H. (2005). Do Mathematical Symbols Serve to Describe or Construct Reality? En M. H. G. Hoffmann, J. Lenhard y F. Seeger (Eds.), Activity and Sign: Grounding Mathematics Education (pp. 91-104). New York: Springer. Steinbring, H., Bartolini Bussi, M., y Sierpinska, A. (1998). Language and Communication

Introduccin. Semitica y Educacin Matemtica

21

in the Mathematics Classroom. Reston, Virginia: National Council of Teachers of Mathematics.

Stjernfelt, F. (2000). Diagrams as Centerpiece of a Perican Epistemology.Transactions of the Charles S. Peirce Society, 36(3), 357-384. Van der Veer, R. (1996). The concept of culture in Vygotskys Thinking. Culture and Psychology, 2, 247-263. Van der Veer, R., y Valsiner, J. (1991). Understanding Vygotsky. Oxford Uk and Cambridge USA: Blackwell. Vygotsky, L. S. (1971). The Psychology of Art. Cambridge and London: The M.I.T. Press (First published in 1925). Vygotski, L. S. (1988). El desarrollo de los procesos psicolgicos superiores. Barcelona: Grijalbo. Vygotski, L. S. (1991). Obras Escogidas, Vol. 1 (Segunda edicin,1997). Madrid:Visor.

Luis Radford cole des sciences de lducation Universit Laurentienne Canada E-mail: [email protected]

22 Relime

Relime, Nmero Especial, 2006, pp. 23-43.

23

Proof and Explanation from a Semiotical Point of View

Michael Otte 1

Man sah, dass der Austauschprozess der Waren widersprechende und einander ausschliessende Beziehungen beinhaltet. Die Entwicklung der Ware hebt diese Widersprche nicht auf, schafft aber die Form, worin sie sich bewegen knnen. Dies ist berhaupt die Methode, wodurch sich wirkliche Widersprche lsen. Es ist z.B. ein Widerspruch, dass ein Krper bestndig in einen anderen fllt und ebenso bestndig von ihm wegflieht. Die Ellipse ist eine der Bewegungsformen, worin dieser Widerspruch sich ebensosehr verwirklicht als lst. K. Marx, Das Kapital, Band I, p.118f 2

RESUMEN Una distincin entre pruebas que prueban y pruebas que explican es parte invariable de las discusiones recientes en epistemologa y en educacin matemtica. Esta distincin se remonta a la poca de los matemticos que, como Bolzano o Dedekind, intentaron restablecer a las matemticas puras como una ciencia puramente conceptual y analtica. Estas tentativas reclamaron, en particular, una eliminacin completa de los aspectos intuitivos o perceptivos de la actividad matemtica, sosteniendo que se debe distinguir de forma rigurosa entre el concepto y sus representaciones. Utilizando una aproximacin semitica que refuta una separacin entre idea y smbolo, sostenemos que las matemticas no tienen explicaciones en un sentido fundamental. Explicar es algo as como exhibir el sentido de alguna cosa. Los matemticos no tienen, sin embargo, como vamos aqu a intentar demostrarlo, sentido preciso, ni en el sentido intra-terico estructural, ni en comparacin con la objetividad intuitiva. Los signos y el sentido son procesos, como vamos a sostenerlo inspirndonos de Peirce. PALABRAS CLAVE: Peirce, Bolzano, Semiosis, Prueba, Explicacin.

ABSTRACT A distinction between proofs that prove and proofs that explain has over and again played an important role within recent discussions in epistemology and mathematics education. The distinction goes back to scholars who, like Bolzano or Dedekind, have tried to

Fecha de recepcin: Enero de 2006/ Fecha de aceptacin: Mayo de 2006

1 University of Bielefeld, Germany. 2 We saw that the exchange of commodities implies contradictory and mutually exclusive conditions. The differentiation

of commodities into commodities and money does not sweep away these inconsistencies, but develops a modus vivendi, a form in which they can exist side by side. This is generally the way in which real contradictions are reconciled. For instance, it is a contradiction to depict one body as constantly falling towards another, and as, at the same time, constantly flying away from it. The ellipse is a form of motion which, while allowing this contradiction to go on, at the same time reconciles it. Karl Marx (1906), Capital, vol I. chapter 3.

24 Relime

reestablish pure mathematics as a purely conceptual and analytical science. These endeavors did in particular argue in favor of a complete elimination of intuitive or perceptual aspects from mathematical activity, arguing that one has to rigorously distinguish between a concept and its representations. Using a semiotical approach which negates such a separation between idea and symbol, we shall argue that mathematics has no explanations in a foundational sense. To explain amounts to exhibiting the meaning of something. Mathematics has, however, as we shall try to show, no definite meanings, neither in the structural intra-theoretical sense nor with respect to intuitive objectivity. Signs and meanings are processes, as we shall argue along with Peirce. KEY WORDS: Peirce, Bolzano, Semiosis, Proof, Explanation.

RESUMO Uma distino entre provas que demonstram e provas que explicam parte invarivel das discusses recentes na epistemologia e em educao matemtica. Esta distino se remonta poca dos matemticos que, como Bolzano o Dedekind, tentaram diviso da matemtica pura como uma cincia puramente conceptual e analtica. Estas tentativas reclamaram, em particular, uma eliminao completa de os aspectos intuitivos ou perceptivos da atividade matemtica, sustentando que se deve distinguir de forma rigorosa entre o conceito e suas representaes. Utilizando uma aproximao semitica que refuta uma separao entre idia e smbolo, sustentamos que a matemtica no tem explicaes em um sentido fundamental. Explicar algo assim como exibir o sentido de alguma coisa. Os matemticos no tm, contudo, como vamos aqui a intentar demonstrar, sentido preciso, nem o sentido intra-terico estrutural, nem comparao com a objetividade intuitiva. Os signos e o sentido so processos, como vamos a sustentar inspirados em Peirce. PALAVRAS CHAVES: Peirce, Bolzano, Semitica, Prova, Explicao.

RSUM Une distinction entre preuves qui prouvent et preuves qui expliquent est une partie invariable des discussions rcentes en pistmologie et en ducation mathmatique. Cette distinction remonte lpoque des mathmaticiens qui, comme Bolzano ou Dedekind, ont tent de rtablir les mathmatiques pures comme une science purement conceptuelle et analytique. Ces tentatives ont rclam en particulier une limination complte des aspects intuitifs ou perceptuels de lactivit mathmatique en soutenant quon doit distinguer de faon rigoureuse entre le concept et ses reprsentations. En utilisant une approche smiotique qui rfute une telle sparation entre ide et symbole, nous allons soutenir que les mathmatiques nont pas dexplications dans un sens fondamental. Expliquer revient exhiber le sens de quelque chose. Les mathmatiques

Proof and Explanation from a Semiotical Point of View

25

nont pas cependant, comme nous allons tenter de le montrer, de sens prcis, ni dans le sens intra-thorique structurel, ni par rapport lobjectivit intuitive. Signes et sens sont des processus, comme nous allons soutenir en nous inspirant de Peirce. MOTS CLS: Peirce, Bolzano, Smiosis, Preuve, Explication.

Introduction Before we can address the issue of proof and explanation we have to get rid of traditional Bewusstseinsphilosophie (philosophy of consciousness), that is, popularly speaking, the belief that meanings are in the head and knowledge is some sort of mental experience. After Kant epistemology began to ramify and various new philosophies of mathematics arose in which meaning, rather than mind played the central role. But the view that there exists an epistemologically autarkic or self-sufficient epistemic subject, which serves itself from external sensations and internal experiences or representations (Vorstellungen) to thereby constitute true knowledge, is a myth and should also be abandoned. In Part I of this paper we try to provide some pertinent arguments to this end, based on Peirces semiotics. Consciousness is used to denote the I think, the unity of thought; but the unity of thought is nothing but the unity of symbolization (Peirce CP 7.585). Part II treats the questions of proof and explanation with respect to the ideas of Bolzano on the one hand and Peirce on the other. Part III presents some examples and tries to make a connection with current debates about the issue in mathematical education and cognitive psychology. I. To try to understand cognition and knowledge as semiotic processes we begin by conceiving of cognition as the result of a dialectical contradiction between cognitive subject and objective reality. We feel or perceive something, but cannot turn it into cognition without a symbol and it thus remains as a mere noncategorized sensation or intuition. Or, differently: somebody might understand the logic of an argument without seeing how it applies in a particular situation and thus does not really follow it. It is futile and fruitless, for example, to expect that the object of investigation would finally reveal itself to us in plain clearness such that knowing would then amount to reading off its relevant properties. The symbol is to mediate between conscious feeling and objective reaction and should provide this interaction with a certain form or representation. This is the only manner in which we can know, that is, by constructing a relevant representation of some kind. A representation is that character of a thing by virtue of which, for the production of a certain mental effect, it may stand in place of another thing. The thing having this character I term a representamen, the mental effect, or thought, its interpretant, the thing for which it stands, its object. (Peirce, CP 1.564). In contrast to the traditional dyadic models, Peirce defines a sign as a triad. And this implies that a sign does not stand for its object in all respects, but in reference to a sort of idea, which I have sometimes called the ground of the representamen. Idea is here to be understood in a sort of Platonic sense, very familiar in everyday talk (Peirce, CP 2.228 and 4.536)).

26 Relime

This implies that the sign is consciously recognized by the cognitive subject and for that purpose the subject has to create another sign, which becomes an interpretation of the first interpretant. As Roman Jakobson, characterizing Peirces thinking, once said: One of the most felicitous, brilliant ideas which general linguistics and semiotics gained from the American thinker is his definition of meanings as the translation of one sign into another system of signs (4.127) (Jakobson 1985, 251). The flow of meaning thus expresses the contradiction and it evolves by a recursive interaction between the objects (referents) and interpretants (senses) of signs. Objects and interpretants of signs are in general signs themselves. We argued elsewhere (Otte, 2003) in great detail that (mathematical) meaning has two components, one of which refers to objects, and which is called the extensional component of meaning; the other relating to the interpretant of the sign and which it is suitable to call the intensional or coherence component. The most important consequence, to be applied in the following paragraphs, consists in the fact that there never is a definite meaning; neither in the structural or intensional sense nor with respect to the extensions of theoretical terms. A pragmatic perspective on things thus seems to always recommend itself. All reasoning is an interpretation of signs of some kind. And the interpretation of a sign is nothing but the construction of a new sign. As was said above, a mere feeling or consciousness, without a representation, is no interpretation and an interpretation or reformulation of a text, which does not carry on the ideas and does not generalize, is futile also. All cognition proceeds by means of the construction of

an adequate representation and this construction provides nothing but the contradiction between subject and object with a form. It is a contradiction that a body will permanently fall into another and at the same time will flee away from it. The ellipse is a form of development by which this contradiction is as much realized as it is resolved (K. Marx, see above). A symbol mediates between subjective spontaneity and objective reaction and is termed a Third, by Peirce. The object of knowledge, being nothing but a representationsomething which Kant had dubiously called an intuition therefore is also not something given out there, it is not a Kantian thing in itself, but is established by the relation between subject and reality. It makes itself felt equally by the objectivity of this interaction process as well as through its breaking downs. Mathematical ontology, for example, is constituted by a practice of mathematical reasoning and application, not the other way around. A mathematical object, such as number or function, does not exist independently of the totality of its possible representations, but must not be confused with any particular representation, either. We have on a different occasion expressed these facts in terms of a principle of complementarity (Otte, 2003). To see how a semiotic perspective might help to better grasp that complementarity one should remind oneself of the following characteristics of mathematics; - Mathematics, on the one hand, has no more concrete objects of its own than painting; it is therefore not possible to do mathematics by simply considering certain kinds of objects, either constructed or given, abstracting what seems essential

Proof and Explanation from a Semiotical Point of View

27

about them. According to the Cantorian claim that consistency is sufficient for mathematical existence, there is so much truth that it is consistency which makes a sign potentially meaningful. Consciousness is sometimes used to signify the (Kantian) I think, or unity in thought; but unity is nothing but consistency, or the recognition of it. Consistency belongs to every sign, so far as it is a sign; therefore every sign, since it signifies primarily that it is a sign, signifies its own consistency (Peirce, CP 5.313-15). - On the other hand, mathematics is not a mere logical language, nor is it an analytical science from concepts, that is, definitions. Mathematics includes indexical representations and observational activities. The best thinking, especially on mathematical subjects, is done by experimenting in the imagination upon a diagram or other scheme, says Peirce (Peirce, NEM I, 122). Thus the idea of a sign might help us to better understand that these different characterizations of mathematics are not as distinct as it might have appeared at first sight, but rather they represent complementary aspects of mathematical thinking, because signs are always used referentially as well as attributively. This is but another expression of the interaction between object and interpretant of the sign, as indicated above. The semiotic approach to cognition and epistemology distinguishes itself from the philosophy of consciousness (as developed by Kant, for example) by its radical break with the assumptions and prerequisites of reasoning characterizing the latter. All our thinking, says Peirce, is performed upon signs External signs answer any purpose, and there is no need at all of considering what passes in ones

mind (Peirce, NEM I, 122). Thinking occurs in signs and representations, rather than by means of imaginations or intuitions, which are to be looked for within our heads. This does not mean that conscious recognition and intuitive activity are dispensable. It only means that they have to be taken as means and instruments of cognitive activity, rather than as its foundations (Otte, 2005, 16f). Insisting, when for example trying to interpret a text, on the question what did the author really mean has no more merits to it than the idea that the reader, and not the author, is the sole source of meaning. Not even the author can reproduce his original meaning because nothing can bring back his original meaning experience (Hirsch, 1967, 16; and in contrast: Fish 1980, 359f). And correspondingly, not any arbitrary reformulation of a text is an admissible interpretation. Neither the author nor the reader is the unique source of meaning because meaning is but the sign process itself. The reality of a text is its development, the meaning of a proposition lies in its consequences and the essence of a thing is the essence or meaning of a representation of that thing, and so forth. The semiotic approach fosters a genetic perspective on knowledge. Knowledge is essentially a process, a learning process or a process of growth and generalization, expressed in terms of a permanent transformation of one representation into another one. Imagining cognition as a contradiction between subject and object implies the conviction that neither subject nor object can dominate or even determine the other part of this relationship. We do not find final and definite descriptions of things and mostly we do not even know what we know. We apply it, we represent it, but we

28 Relime

cannot say or express it, nor describe what we are doing. What can be shown cannot be said, Wittgenstein famously affirmed. The spirit of creative activity thus is more or less the following. Everything that we have formulated or constructed is just done and is there in the plain light of day. It means nothing per se, it is just there. Everything we achieve, we simply achieve. It neither needs nor deserves an interpretation or commentary, because it is, as we perceive it, real. The commentary would add nothing to the thing created and given. The given is just the given. What we have made, we have made. It has no general symbolic significance nor can it be undone. An action is an action, a work of art is just a work of art, a theory is just a theory. It must be grasped as a form sui generis, and recreated in its own terms, before we can inquire into its possible meanings or applications. Any creative achievement remains imperfect as long as questions about its meaning dominate when considering it. In artistic drawing what we achieve is a line, and the line does all the work, and if it fails to do so no philosophical commentary will rescue or repair a bad work of art. In literature or philosophy, it is the word or the sentence, in mathematics the new concept or the diagram, which carry the entire weight, etc. etc. Mastery, Paul Valery, says, presupposes that one has the habit of thinking and combining directly from the means, of imagining a work only within the limits of the means at hand, and never approaching a work from a topic or an imagined effect that is not linked to the means (Valery, 40). Everything just is and thus means itself: P=P! This principle of identity lies at the heart of art and likewise at that of logic or exact science and it is obviously directed against any idea of cognition as a mental

feeling or inner experience. P just means P! No commentary and no psychological experience or philosophical consideration shall be able to add anything to the matter. A monotonous and perfect repetition would, however, destroy any creativity as well. Any line in an artistic drawing is, in fact, a continuum of lines; it fulfills its destination to represent something, at the very same time indicating an indeterminate set of possible modifications and further developments. The creative process thus operates on the interplay of variation and repetition. A theory or a work of art, being an interpretation, is also a process, namely the process of creating an interpretant of the representation given and so on. At this very moment we are developing the anti-thesis, that is, pointing to the fact that a work of art or a theory are not mere existents, but are signs, which have a meaning. And an interpretation of that meaning is nothing but another representation. The sign is thus a thing as well as a process, namely the process of establishing a relationship between object and interpretant. It is a flow of meaningfulness. Peirce, in fact, defines semiosis as the action or process of a sign. By semiosis I mean, Peirce writes, an action, or influence, which is, or involves, a cooperation of three subjects, such as a sign, its object, and its interpretant, this tri-relative influence not being in any way resolvable into actions between pairs (Peirce, CP 5.484). Evolutionary realism therefore means the coevolution of reality and knowledge, that is, the evolution of symbolism. It is the symbol in movement. II.Let us now try and spell out the problem to which we should like to apply our semiotic view of mathematical activity. This

Proof and Explanation from a Semiotical Point of View

29

is in fact the problem of mathematical explanation. There has been, for some time now, a widespread debate about mathematical explanation and rigorous proof in mathematics education as well as in the philosophy of mathematics (for an overview see Mancosu, 2000 and 2001; Hanna, 2000). In this discussion, a distinction between proofs that prove against proofs that explain has over and again played an important part. Gila Hanna, for example, presents the distinction in psychological terms, but later on describes explaining in this way: I prefer to use the term explain only when the proof reveals and makes use of the mathematical ideas which motivate it. Following Steiner (1978), I will say that a proof explains when it shows what characteristic property entails the theorem it purports to prove (Hanna 1989, 47). Hanna and Steiner, speaking about the characteristic property that entails the theorem it purports to prove, seem to follow Bolzano respectively as well as Aristotle in their ideas about mathematics. The characteristic property seems something like an essential cause in the Aristotelian sense. Steiners view exploits the idea that to explain the behavior of an entity, one deduces the behavior from the essence or nature of the entity (Steiner 1978, 143). Steiner, believing that all mathematical truths are necessary and are thus valid in all possible worlds, prefers to use the term characterizing properties, rather than the term essence. But he makes very clear his belief that mathematical proofs are exclusive like calculations or numerical determinations, picking out one from a family (147), rather than being general proof schemes or general forms of argumentation and demonstration. This view appears to be derived from an Aristotelian model of

science and mathematics and it stands in extreme contrast to modern axiomatical mathematics in the sense of Hilbert or Emmy Noether, for example. The proofs of modern mathematics are not glued to the particularities of individual propositions and it is generality of perspective and fertility of method that render them explanatory, because it is this which opens up new possibilities for mathematics. A proof is first of all a sign or representation and, as such, is a general already. It is the objectivity of general relationships what matters. Even if one were concerned with the subjective or educational aspects of the matter and therefore interested in the intuitive insights of a proof, this would primarily imply, as we have indicated in Part I, the search for new applications or representations of the basic ideas. The distinction Steiner and others have drawn between proofs that explain and proofs that merely prove or verify makes sense only with respect to an Aristotelian model of science, as it is exemplified, for instance, by Euclids Elements of geometry. This Aristotelian model has been described by E. Beth (1968) and more recently by de Jong (2003). An Aristotelian science, according to these descriptions, is comprised of a system of fundamental concepts such that any other concept is composed and is definable in terms of these fundamental concepts; it also contains a system of fundamental propositions such that all other propositions are grounded in and are provable from these fundamental propositions. And the fundamental concepts or propositions stand in close continuity with everyday thinking. Explanation in such a context means reduction to the concrete foundations of general experience, rather than constructing

30 Relime

new theoretical contexts and searching for new applications. Bolzano, in fact, referring to Aristotle, seems to have been the first modern author pleading for demonstrations that show the objective connection and serve not just subjective conviction. His monumental Wissenschaftslehre (doctrine of science; 1836/1929) was conceived of as a general science or logic in the service of enlightenment and was organized like a didactical treatise. This work contains a distinction between proofs that merely prove, being intended to create conviction or certainty, and others, which derive the truth to be demonstrated from its objective grounds. Proofs of this kind could be called justifications (Begruendungen) in difference to the others which merely aim at conviction (Gewissheit) (Bolzano, Wissenschaftslehre, vol. IV, p.525, 261). In an annotation to this paragraph Bolzano mentions that the origin of the distinction goes back to Aristotle and the Scholastics, who have, however, attributed an exaggerated importance to it by affirming that only justifications produce genuine knowledge, but that it had fallen into neglect in more recent times. On grounds of this distinction between proofs that are merely certain and others which are genuine justifications, Bolzano criticized Gauss proof of the fundamental theorem of algebra of 1799, for example, because Gauss had on that occasion employed geometrical considerations to prove an algebraic theorem. Bolzano did not, as is often claimed (Volkert 1986), doubt the validity of Gauss arguments and he did not question the certainty of our geometrical knowledge, but criticized the impurity of Gauss proof. It is this spirit that led to the so-called rigour movement and to the program of arithmetization of mathematics and

Bolzano has in fact been one of the spiritual fathers of this program. Mathematics was to be established as an analytical science from definitions, and numbers were considered to be the most important means of mathematical analysis. One important effect of this program was the separation between pure and applied mathematics and the reconstruction of pure mathematics on completely logical, or rather, conceptual terms. Continuous mathematics, like geometry, for example, was considered applied mathematics. All intuitions and objects were to be replaced by definitions and mathematical proof, becoming the central concern of mathematicians, should be performed as a kind of linguistic activity. Although the conceptions of logic involved varied considerably, mathematical explanations in the end amounted to nothing but rigorous deduction from first principles and basic concepts. One of Bolzanos most important mathematical achievements was the proof of the existence of the least upper bound of a bounded set of real numbers and, based on this, a completely analytical proof of the intermediate value theorem for continuous real functions. Both results were published in 1817 in Bolzanos Rein analytischer Beweis des Lehrsatzes, dass zwischen zwei Werten, die ein entgegengesetztes Resultat gewhren, wenigstens eine reelle Wurzel der Gleichung liege. Bolzanos proof of the intermediate value theorem survives nearly unchanged in todays calculus textbooks, although one aspect has changed fundamentally since Dedekind. Bolzano had based his proof on the Archimedean axiom, which says that given any two real numbers A and B, there will always be a natural number n such that

Proof and Explanation from a Semiotical Point of View

31

nA supersedes B. He had, however, taken this axiom to be an obvious truth, rather than a postulate. It was Dedekind only, who realized that nothing of such a kind could be proved or assumed as obvious. As Dedekind states it with respect to his own definition of continuity: The assumption of this property is nothing else than an axiom by which we attribute continuity to the line, by which we think continuity into the line. If space has real existence at all it is not necessary for it to be continuous (Dedekind 1912, p.3, my translation). The filling-up of gaps in the rational numbers through the creation of new pointindividuals is the key idea underlying Dedekinds construction of the domain of real numbers. Bolzano, in contrast, thought it obvious that these points, as exemplified by the incommensurability of certain line segments, for example, existed objectively. Charles Sanders Peirces view of the continuum is, in a sense, intermediate between that of Dedekind and Bolzano. He held that the cohesiveness of the continuum rules out the possibility of it being a mere collection of discrete individuals, or points, in the usual sense. A continuum is precisely that every part of which has parts, in the same sense (Peirce, W2, 256). The continuum represents the reality of the possible determination of points, rather than be an actual set of points; but this possibility is objective, such that, differently from Dedekind, space could not be discrete, according to Peirce. If one looks at the various proofs of the intermediate value theorem one might be inclined to ask: why not take this theorem itself as the essential continuity postulate? It seems as clear and obvious as any of the other candidates, the existence of the

limit of a bounded monotonous sequence, the Heine-Borel theorem, the existence of a point of intersection of a nested sequence of closed intervals of rational numbers with lengths tending to zero, etc. etc. Mainly pragmatic reasons are responsible for the choice of axioms, reasons that are related to the development of mathematical knowledge and the construction of theories. But what about the problem of explanation then? To explain amounts to exhibiting the meaning of something. Mathematics has, however, no definite meanings, neither in the structural intra-theoretical sense nor with respect to intuitive objectivity. Signs and meanings are processes, as we have argued in paragraph I. Resnik and Kushner do not consider the proof of the intermediate value theorem as explanatory in the sense of Steiners characterization. They write: We find it hard to see how someone could understand this proof and yet ask why the theorem is true (or what makes it true). The proof not only demonstrates how each element of the theorem is necessary to the validity of the proof but also what role each feature of the function and the interval play in making the theorem true. Moreover, it is easy to see that the theorem fails to hold if we drop any of its conditions (Resnik/ Kushner 1987, 149). Rigorous proofs in this sense do not admit why-questions any more than mere calculations do and it is hard to see how they could be explanatory at all. Considering the question of how to choose the relevant mathematical model might perhaps change the situation. But the reader should remind herself that the term explanation had, for Bolzano, an

32 Relime

objective meaning, rather than a psychological one. And this objectivism led to his error with respect to the foundations of the real numbers and his ignorance of the fact that mathematics contains only hypthetico-conditional statements, rather than categorical ones. This, however, means that the foundations of mathematical claims lie, so to speak, in the future, in the use and application of the mathematical propositions. A mathematical proof must therefore generalize in order to be explanatory. As we have seen, however, with respect to Bolzano and Steiner or Hanna, there is a strong foundational tendency involved in their ideas of explanatory proofs. It is very essential to Bolzano, for example, that there exist a hierarchy of truths in themselves independent from our knowledge or representation. Cauchy had, at about the same time as Bolzano, given a geometric argument for the intermediate value theorem, being more concerned with certainty and conviction than with objective foundation (Cauchy 1821, 43f). Bolzano did consider proofs, like those by Gauss or Cauchy, as sufficiently obvious and convincing, but objected that they did not show the real fundamentals and thus were not true justifications, but rather mere subjective confirmations (subjektive G e w i s s m a c h u n g e n ) . I t i s c l e a r, Bolzano writes, that it is an intolerable offense against correct method to derive truths of pure (or general) mathematics (i.e. arithmetic, algebra analysis) from considerations that belong to a merely applied or special part, namely geometry. For in fact, if one considers that the proofs of the science should not merely be convincing arguments, but rather justifications, i.e. presentations of the objective reason for the truth concerned, then it is self-evident that the strictly

scientific proof, or the objective reason of a truth which holds equally for all quantities, whether in space or not, cannot possibly lie in a truth which holds merely for quantities which are in space. On this view it may on the contrary be seen that such a geometrical proof is really circular. For while the geometrical truth to which we refer here is extremely evident, and therefore needs no proof in the sense of confirmation, it nonetheless needs justification (Bolzano after the translation by Russ 1980, 160). The term justification refers to the Leibnizian idea that every concept can be decomposed into atoms. Unprovable or basic propositions must, according to Bolzano, be among those whose subjects and predicates are completely simple concepts in the sense of Leibniz. Bolzano believed, for example, that different cases of one and the same issue should be formulated in terms of different propositions, like in Euclidean geometry. The law of cosine, for instance, in the cases of the acute- respectively obtuseangled triangles signifies two different cases requiring different arguments. Euclid was right in formulating two different propositions here, writes Bolzano (Bolzano 1810/1926, 61). Bolzano not only emphasized the necessity of homogeneity between method and object but he also conceived of concepts in themselves, propositions in themselves and representations (Vorstellungen) in themselves, independent of our thinking about them. This is sometimes emphasized by saying that Bolzano was the first to realize that the proper prolegomena to any future metaphysics was the study of what we say and its laws and that consequently the prima philosophia was not metaphysics or ontology but semantics (Bar-Hillel, 1967,

Proof and Explanation from a Semiotical Point of View

33

337f). Thus Bolzanos objective semantics and the Platonic and hierarchically structured universe of objective meanings is essential to his whole conception of explanation. There are close parallels between Peirce and Bolzano and they are due to the fact that both their philosophies resemble that of Leibniz very strongly indeed. Both did, however, modify classical ontologism, concentrating on how mathematicians create and communicate as well as on the semantics of mathematical affirmations or communications. Both also consider mathematics as the science of possibility or of the possible states of affairs and both understand that proofs do not exist independently from mathematical theories, but are parts of theories. Finally, both Bolzano and Peirce were concerned with elaborating alternatives to the philosophy of consciousness, as exemplified by Kants Critique and his notion of a priori intuition in particular; however, Bolzano denied the evolutionary perspective, saying that Kant had confounded mathematics as such with the way in which humans develop mathematics, whereas Peirce, in contrast, sought to provide evolutionism with an objective basis. The continuity of space and time is objective, rather than subjective, as Kant and Leibniz had believed. The essential difference between Bolzano and Peirce lies in the way how possibility is conceived. Bolzano thinks about this question in terms of the difference between the actual and the possible. This means that something like the set of all possibilities exists a priori, waiting to possibly be actualized. For Peirce, in contrast, reality is an evolutionary process realizing and producing objective possibilities as well as their conditions.

Peirce over and again stressed that we have to explain not only phenomena but also the laws that govern them (Peirce W4, 551f, see also Peirce, CP 1.175). Peirce, unlike Bolzano, did not consider mathematics to be an analytical science from definitions. Reality is continuous and thus cannot be described or determined. This may even be interpreted on the level of mathematics. Peirce in contrast to Bolzano seems well aware of the fact that there may exist various models of the number line. The main feature of mathematical reasoning lies therefore in its perceptual character and consists in the fact that all deep symbolic meanings must have been eliminated, in the same sense we have described creative activity in Part I above. A proof must enlarge our knowledge and all ampliative or synthetic reasoning is perceptual and inductive, or as Peirce sometimes calls it, abductive. This does not contradict the fact that mathematical reasoning is necessary, because no necessary conclusion is any more apodictic than inductive reasoning becomes from the moment when experimentation can be multiplied ad libitum at no more costs than a summons before the imagination (Peirce, CP 4.531). Hence, it amounts to the same to say that mathematics busies itself in drawing necessary conclusions, and to say that it occupies itself with ideal or hypothetical states of things (Peirce, CP 3.558). Mathematical proofs in the sense of Peirce do not contain explanations. They consist of apodictic judgments, showing clearly that something is necessarily the case, rather than explaining why that something is the case. They are examples of knowledge that, rather than knowledge why in the sense of the Aristotelian

34 Relime

distinction between proofs of the fact (hoti) and proofs of the reasoned fact (dioti). The philosophers are fond of boasting of the pure conceptual character of their reasoning. The more conceptual it is the nearer it approaches to verbiage (Peirce, CP 5.147489). This would sound Kantian, were it not for the reference to the importance of signs. Already from the fact that a proof is a sign and a sign is determined by its object and combined with the requirement that mathematical proofs are necessary and thus apodictic, it follows that a proof is essentially an icon and that its object is nothing but the form of that icon. Peirce affirms that mathematical reasoning proceeds by means of the construction of all kinds of diagrams and by experimenting with them and observing what happens. Since a diagram .... is in the main an Icon of the forms of relations in the constitution of its Object, the appropriateness of it for the representation of necessary inference is easily seen (Peirce, CP 4.531). Peirce took Leibnizs theory of a continuum of representations from quite unconscious and quasi imperceptible representations to those most coercive to consciousness and subsequently based his whole semiotic epistemology on it. A realistic view must see reality above and beyond all laws, ideas and explanations as something offering the possibility of understanding. Peirces metaphor for such a view of reality is the continuum. Reality is commonly identified with the totality of existing objects and facts. Sometimes, in a flush of enlightened insight, relations or laws are added to the furniture of reality. But this does not help much. The set of all laws, or possibilities of things, is a no less an antinomical conception than the notion of the set of all sets, which lies at the bottom of Russells paradox. In a digital or discrete world, with only 1 and 0, or perfectly right

and wrong, there would be no growth of knowledge and therefore no knowledge at all. Synechism is above all a regulative principle of logic prescribing what sort of hypothesis is fit to be entertained and explained (Peirce, CP 6.173). Or, stated somewhat differently, only a continuous reality makes analysis and inductive generalization possible. According to Peirce relations are not to be reduced to determinate relata, but are related to continua. This was as important to the geometrical illustrations of the classical incommensurability proofs as it was important to the foundations of the calculus. Leibniz had already emphasized these epistemological insights, but had remained bound to a substance ontology in the Aristotelian sense. What primarily characterizes mathematics is the peculiarity of its generalizations by means of the forming of fertile hypotheses. A hypothesis substitutes, for a complicated tangle of predicates attached to one subject, a single conception (Peirce, W3 337). Such hypotheses are created by an inductive process which Peirce called abduction or abductive inference, adding that abductive inference shades into perceptual judgment without any sharp line of demarcation between them (Peirce, CP 5.181). Abductive reasoning involves an element of intuition and intuition is the regarding of the abstract in a concrete form, by the realistic hypostatization of relations; that is the one sole method of valuable thought (Peirce, CP 1.383). This realistic hypostatization occurs by means of the construction and experimentation with all kinds of diagrams. From the abductive suggestion, which synthesizes a multitude of predicates, deduction can draw a prediction (Peirce, CP 5.171).

Proof and Explanation from a Semiotical Point of View

35

Thus the meaning and foundations of a piece of mathematical knowledge, a theory, for instance, are to be seen in the intended applications and newly created possibilities. Icons or images are particularly well suited to make graspable and conceivable the possible and potential rather than the actual and factual. It should also be mentioned in this context that psychology and psychotherapy have known for some time that icons or images are particularly well suited to strengthening what could be called sense of possibility and which seems indispensable to a persons mental health (see the proceedings of the 35th International Congress on Psychoanalysis in San Francisco, 1995). Confining a persona student, for exampleto a certain characterization of herself/himself would mutilate her/his personality. Mathematical explanation must therefore enlarge and widen the perspective of the addressee of the explanation and the real is generally to be conceived of as process and evolution. III. It is rather common nowadays to contrast subjective insight and explanation with objective foundation and conviction (Hersh, 1993). Indeed, Hannas quest for insight and understanding seems completely psychological and has nothing to do with objective concerns. Bolzano, in contrast, maintaining a strong antipsychologistic attitude, conceives of explanation in purely objective or logical terms and in reference to a world of truths in themselves, independent of any actual insight. When in the course of the 1 9 t h / 2 0 th centuries the humanities (Geisteswissenschaften) were developed by W. Dilthey (1833-1911) and others, it became common to contrast understanding and interpretation, as the basis of the humanities, with scientific and mathematical explanation. This distinction

resulted later on in the notion of the two cultures (Snow). Snows basic thesis was that the breakdown of communication between the sciences and the humanities (the two cultures of the title) was a major hindrance to solving the worlds problems (see C.P. Snow, 1993) How can both sides come together? We believe that these two different views can be reconciled from a genetical perspective and that for this the semiotic view and the idea of mathematics as mathematization are essential. The notion of interpretation should be transformed as outlined in Part I of this paper and scientists and mathematicians should refrain from the metaphysical realism and logical objectivism that tends to identify reality with our knowledge of it, thus confusing object and sign. A mathematical proof is a type, a type of representation, rather than a tokenconstruction. One has to grasp the integrated whole of it, not merely follow the argument or the calculation. Or rather, one has little choice here, as one will hardly be able to memorize a complex proceeding and repeat its application without analysis and generalization. Still this does not commit us to Platonism, as an idea is not completely to be dissociated from its possible applications and the applications might affect our conviction about what is essential or basic. And to understand the logic of an argument, one must not only follow its consequences in the abstract, but must also see how it applies in a particular situation. Resnik and Kushner found it hard, as they wrote, to see how someone could understand the proof of the intermediate value theorem and yet ask why the theorem is true (or what makes it true). They are right. This kind of

36 Relime

insistence on more and more new whyquestions seems to happen when one separates knowledge from its development and application. But the meaning resides in the applications. In formal mathematics, facts are explained by means of proofs and then it has to be proved that the proof is correct and so on ad infinitum . Every proof is faced with the prerequisite of proving that the proof be correct. And the proof of the correctness of the proof again meets the same requirement and the proof of the correctness of the correctness of the proof also etc. This dilemma is nicely described by Lewis Carrolls version of Zenons paradox (Carroll, 1905 ; see also: Peirce, CP 2.27). As a rational being one cannot act contrary to ones own insights and there is no insight without an application. Lewis Carrolls version of the race between Achilles and the Tortoise shows, albeit unintentionally, that one cannot really have knowledge or an insight and keep from applying it. There is no complete analysis without activity and application. Mathematics is just as constructive as it is analytical. Hence, it is difficult to believe that mathematics is meant to explain, in the usual reductionistic understanding of the term. In a reader on the philosophy of science we are told: We can explain the length of the shadow by reference to the height of the flagpole, and not vice versa (Newton-Smith 2000, 129). It seems natural to ask, upon perceiving a shadow, whence it comes from. Nobody, however, would consider the shadow to be the cause of the flagpole. But what about mathematics? Let us begin with Kant.

A new light, says Kant, must have flashed on the mind of people like Thales, when they perceived that the relation between the length of a flagpole and the length of its shadow enables one to calculate the height of the pyramid, given the length of its shadow. For he found that it was not sufficient to meditate on the figure as it lay before his eyes, and thus endeavor to get at knowledge of its properties, but that it was necessary to produce these properties, as it were, by a positive a priori construction (Kant, Critique of Pure Reason, Preface to the Second Edition 1787). And indeed, the flagpole as such has no positive relationship whatsoever to the pyramid. Now one might say that mathematics is not concerned with flagpoles, pyramids and the like. But such talk does not help very much, given that we have witnessed, since Descartes arithmetization of geometry, a gradual destruction of the pre-established harmony between method and object of mathematical inquiry that Bolzano wanted to maintain (Boutroux 1920, 193f). The history of mathematics must be seen as the history of mathematization, including the mathematization of mathematics itself (Lenhard y Otte, 2005). Therefore, mathematics is characterized first of all by the manner in which it generalizes. Mathematicians as a rule do not see things this way. They are either Platonists or Intuitionists and they dislike the semiotic approach to mathematics (Hermann Weyl is a noticeable exception to this: see: Werke, vol. IV, p. 334). G. Cantor (Cantor 1966, 83), for example, believed that applied mathematics must deal with real explanations or foundations of things and thus must be based on sound metaphysics, whereas pure mathematics

Proof and Explanation from a Semiotical Point of View

37

is defined by its freedom to form concepts as one pleases (given that they do not result in logical contradictions). Kant, on the other hand, being confined to an epistemology of consciousness, found it necessary to employ the idea that mathematical concepts and relations must be constructed in intuition. And people like Poincare or Brouwer followed him in this conviction. This, however, imposes severe limitations on the conception of mathematics, because it introduces an absolute distinction between concepts and intuitions and between analytical and synthetical knowledge. Peirce considered these distinctions as relative and hence his belief that abduction, as the source of mathematical generalization, on the one hand, and empirical perception, on the other hand, are not as different as it may appear. In semiotics, to explain means to represent. And a representation is just a perception cast into a certain form. In this context, Peirce develops the notion of the perceptual judgment as an unconscious inference. There is no sharp demarcation between mathematical and perceptual judgments respectively. When making a perceptual judgment we simply cannot really distinguish between what comes from the outside world and what stems from our own interpretation. On its side, the perceptive judgment is the result of a process, although of a process not sufficiently conscious to be controlled, or, to state it more truly, not controllable and therefore not fully conscious. If we were to subject this subconscious process to logical analysis this analysis would be precisely analogous to that which the

sophism of Achilles and the Tortoise applies to the chase of the Tortoise by Achilles, and it would fail to represent the real process for the same reason (Peirce, CP 5.181). Within a perceptual judgment, the perception of generals (or ideal objects) and of particular data seems inseparable, or, stated differently, the processes of creation and of application of symbolic representations are inseparable. Analysis and interpretation interact. The relativity of the distinction between our inner and outer world could thus be interpreted as demanding its conceptualization in interactive terms, like the concept of representation. Once more we have to conclude that a proof that is supposed to explain must generalize. Let us consider a concrete example, given by Boulignand (1933), which concerns three different proofs of the Theorem of Pythagoras. The proofs of the Pythagorean Theorem are commonly considered to be divided into three main types: proofs by shearing , which depend on theorems that the areas of parallelograms (or triangles) on equal bases with equal heights are equal, proofs by similarity and proofs by dissection , which depend on the observation that the acute angles of a right triangle are complementary. Among these proofs the proofs by similarity play a special role because they indicate their embeddedness into the theoretical structure of axiomatized Euclidean geometry. The Pythagorean Theorem is equivalent to the Parallel Postulate, after all.

38 Relime

The following diagrams represent examples of these three types of proofs.

The first proves, the second explains and the third is called intuitive but not explanatory by Boulignand. The first proof proceeds in the traditional manner that we have become accustomed to in school: Since the angles BAC and BAG are right it follows Consider now the triangles ABD and FBC Since the triangles are congruent it follows that . etc.etc. The second proof requires a relational understanding of the notion of area, rather than an empiricist one. The area of a figure is defined then as the relation of that figure to the unit square Q(1). We have Q(x)=x2 Q(1). Therefore the areas of similar plane figures are to each other as the squares of their corresponding sides. Since we have ADC+ADB=ABC, the generalized theorem of Pythagoras follows.

1.

2. The third proof simply requires some playing around with plane figures like in a geometrical puzzle and observing certain concrete relationships of equality and difference. The interesting distinction seems to be that between 2) and 3), whereas the distinction between 1) and 2) is familiar and in some way refers to the well-known distinction between the analytic and synthetic, or between corollarial and theorematic reasoning. Corollarial reasoning relies only on that which is enunciated in the premises in a rather straightforward manner. If, however, a proof is possible only by reference to other things not mentioned in the original statement and to be introduced by conceptual construction and generalization, such a proof is theorematic. The first idea that comes to mind with respect to the contrast between 2) and 3) is that it must be something modern,

3.

Proof and Explanation from a Semiotical Point of View

39

because it has to do with relational thinking and with the opposition between theoretical thought and common knowledge, or between the exact sciences and the humanities (Dilthey). We have talked about this difference already and one should remember the fact that Euclidean axiomatics and modern axiomatics in the sense of Hilbert are representing this difference (Otte 2003, 204). What is more important still: in modern axiomatic theory mathematical objects or facts are the objects and facts of a theory and proofs only make sense within the context of a theory? In traditional Euclidean geometry all this is different. The objects are given by unaided intuition, independently of any theory, and the proofs do not refer to an explicit and fixed theoretical context as their base, but refer to everyday rationality in the sense of Aristotelian demonstrative science. Now, the second proof is modern in the described sense, whereas the other two more or less breathe in the spirit of Aristotelian science and traditional thinking in terms of substances and their essential properties. When classifying the second proof as explanatory, we employ a dynamic conception of knowledge and explanation, as it has been described in semiotic terms above. The proof indicates the possibility of many relationships and thus makes us feel the systemic and theoretical character of knowledge. The other two proofs are foundationalist, assuming a fixed hierarchical organization of knowledge based on unaided intuition and everyday experience. Intuition seems forceful, but neither an absolute insight or intuition nor a determinate hierarchy of levels of knowledge actually exist. This is very often

misunderstood. For example, the wellknown Gestalt psychologist Max Wertheimer (1880-1943) comments on the presentation and solution of Zenos paradoxes by means of a geometric series that is current in present day mathematics. He himself comments on the current proof of the convergence of that series, which is accomplished by multiplying the series by a and subtracting afterwards. Set S = 1 + a = a2 + ... Then S - aS = 1 or S = 1/(1 - a). Wertheimer writes: It is correctly derived, proved, and elegant in its brevity. A way to get real insight into the matter, sensibly to derive the formula is not nearly so easy; it involves difficult steps and many more. While compelled to agree to the correctness of the above proceeding, there are many who feel dissatisfied, tricked. The multiplication of (1 + a + a2 + a3 + ...) by a together with the subtraction of one series from the other, gives the result; it does not give understanding of how the continuing series approaches this value in its growth. (Wertheimer, 1945) Wertheimer wants an intuitive demonstration. Intuition is essentially the seeing of the essence of a thought or object as a form or object itself. Things do not have, however, a unique and demonstrable essence, as we have argued before. The essence of something cannot be anything but the essence of a representation of that thing and therefore the diagrammatic proof which Wertheimer does not accept as satisfactory, could be called an intuitive proof, exactly like proof number 3 of the theorem of Pythagoras above. Only, in the present case, the intuition is directed towards the diagrammatic representation itself and to its form. It is also more advanced, because it contains some general methodological message.

40 Relime

If we could establish a direct authentic and natural relationship to the object of knowledge then this relationship would also exist in a mechanical form; it would be a relation between reactive systems rather than cognitive ones and thus would be just a singular event without general meaning. The idea of sign marks the difference at this point as it introduces a general element. Our intuitions serve to create expressive and illuminating representations. And in this way we learn to act within the world around us. To understand means exactly to create a representation, as the very example that Wertheimer has criticized shows. We therefore have to renounce searching for definite meanings and absolute foundations of knowledge. This we can learn from the fact that all our thinking is by means of signs. Classified in terms of Peirces categories, the third or intuitive proof represents Firstness,

the first Secondness and the second, or explanatory in our sense, Thirdness . Thirdness is, as Peirce says, a synonym of representation and evolution and thus of continuity (CP 6.202). But Thirdness presupposes Firstness and Secondness, or stated semiotically, symbolic representation depends on iconic and indexical elements. Thus a proof may be a symbol, but mathematical reasoning is, as was said, diagrammatic and as such is based mainly on iconic signs with indexical elements as parts of the icon. As Peirce adds: Firstness, or chance, and Secondness, or brute reaction, are other elements, without the independence of which Thirdness would not have anything upon which to operate (CP 6.202). What primarily characterizes mathematics is the peculiarity of its generalizations and this is a symbolic process operating by means of hypostatic abstractions (Otte 2003, 218f).

References Bar-Hillel, Y. (1967). Bernard Bolzano, In Paul Edwards (ed.), The Encyclopedia of Philosophy, vol. II, p.337f Beth, E. (1968). The Foundations of Mathematics: a Study in the Philosophy. of Science. - 2., rev. ed., 2. print . - Amsterdam : North-Holland Publ. Co. Bochner, S. (1974). Mathematical Reflections, American Mathematical Monthly, 830859. Bolzano, B. (1810/1926). Beitrge zu einer begrndeteren Darstellung der Mathematik, Paderborn: Schningh. Bolzano, B. (1817/1980). Rein analytischer Beweis des Lehrsatzes, dass zwischen zwei Werten, die ein entgegengesetztes Resultat gewaehren, wenigstens eine reelle Wurzel der Gleichung liege, Translation into English by S. Russ, Historia Mathematica, 7, 156185.

Proof and Explanation from a Semiotical Point of View

41

Bolzano, B (1837/1981).Wissenschaftslehre, 4 vol. (Sulzbach). Ed. by Wolfgang Schultz. Reprint Scientia Verlag Aalen. Boulignand, G. (1933). Lide de causalit en mathematiques et dans quelques theories physiques, Revue Scientifique, 71, 257-267. Boutroux, P. (1920). LIdal Scientifique des Mathmaticiens. Paris: F. Alcan. Cantor, G. (1966). Gesammelte Abhandlungen mathematischen und philosophischen Inhalts, Hildesheim : Olms. Carroll, L. (1905). What the Tortoise said to Achilles,Mind, N. S. vol. 4, p. 278; reprinted in: D. Hofstadter, Gdel, Escher, Bach, Vintage N.Y. Cauchy, A.L. (1821). Analyse algebrique, Paris. Dedekind, R. (1912). Stetigkeit und irrationale Zahlen, Braunschweig, Vieweg & Sohn, 4th edition. de Jong, W.R. (2003). Bernard Bolzano, Analyticity and the Aristotelian Model of Science, Kant Studien, 92, 328-349. Dilthey, W. (1910/1981). Der Aufbau der geschichtlichen Welt in den Geisteswissenschaften, Frankfurt: Suhrkamp. Fish, S. (1980). Is there a Text in this Class?, Harvard UP, Cambridge USA Hanna, G. (1989). Proofs That Prove and Proofs That Explain. In: G. Vergnaud, J. Rogalski, and M. Artigue (Eds.), Proceedings of the International Group for the Psychology of Mathematics Education, Paris, Vol II, pp. 45-51. Hanna, G. (2000). Proof, explanation and exploration: An overview. Educational Studies in Mathematics, Special issue on Proof in Dynamic Geometry Environments, 44, 523. Hersh, R. (1993). Proving is Convincing and Explaining, Educational Studies in Mathematics, 24, 389-99. Hirsch, E.D. (1967). Validity in Interpretation, Yale UP, Princeton. Jakobson, R. (1985). Selected Writings, vol. VII, Berlin: Mouton. Lenhard, J. y Otte, M. (2005). Grenzen der Mathematisierung Von der grundlegenden Bedeutung der Anwendung [Limits of Mathematization: the Constitutive Role of Application], Philosophia naturalis, 42(1), 15-47. Mancosu, P. (2000). On Mathematical Explanation, in: E. Grosholz/H. Breger (eds.) The Growth of Mathematical Knowledge, Kluwer, 103-119.

42 Relime

Mancosu, P. (2001). Mathematical Explanation, Topoi 20: 97-117. Marx, K. (1906). Capital. Edited by Frederick Engels. Revised and Amplified According to the Fourth German Edition by Ernest Untermann. Translated by Samuel Moore and Edward Aveling, from the Third German Edition (of Das Kapital). Published: Chicago: Charles H. Kerr and Co. First published: 1867. Newton-Smith, W.H. (ed.) (2000). A Companion to the Philosophy of Science, Blackwell Oxford. Otte, M. (2003). Complementarity, Sets and Numbers, Educational Studies in Mathematics, 53, 203-228. Otte, M. (2005). Mathematics, Sign and Activity. In M. Hoffmann et.al. (eds). Activity and Sign (pp. 9-22). N.Y.: Springer. Peirce, Ch. S.: CP = Collected Papers of Charles Sanders Peirce, Volumes I-VI, ed. by Charles Hartshorne and Paul Wei, Cambridge, Mass. (Harvard UP) 1931-1935, Volumes VII-VIII, ed. by Arthur W. Burks, Cambridge, Mass. (Harvard UP) 1958 (followed by volume and paragraph) NEM = Carolyn Eisele (ed.), The New Elements of Mathematics by Charles S. Peirce, Vol. I-IV, The Hague-Paris/Atlantic Highlands, N.J. (Mouton/Humanities Press) W = Writings of Charles S. Peirce. Ed. by Peirce Edition Project. Bloomington: Indiana University Press (1982-2000) (followed by volume and page). Resnik, M./D. Kushner (1987). Explanation, Independence and Realism in Mathematics, British Journal for the Philosophy of Science, 38, 141-158. Rota, G.-C. (1997). The Phenomenology of Mathematical Proof, Synthese, 111, 183196. Snow, C.P. (1993). The Two Cultures, Harvard UP, Cambridge/USA. Steiner, M. (1978). Mathematical Explanation, Philosophical Studies, 34, 135-151. Valery(no year).Leonardo, Insel Verlag Frankfurt. Volkert, K. (1986). Krise der Anschauung, V.+R. Gttingen. Wertheimer, M. (1945). Productive Thinking. New York: Harper. Weyl, H. (1995). Topology and abstract Algebra as two Roads of Mathematical Comprehension, American Math. Monthly, 453-460.

Proof and Explanation from a Semiotical Point of View

43

Michael Otte University of Bielefeld Germany E-mail: [email protected]

44 Relime

Relime, Nmero Especial, 2006, pp. 45-81.

45

Quelle smiotique pour lanalyse de lactivit et des productions mathmatiques?

Raymond Duval 1 RESUMEN Tanto en la enseanza como en sus prcticas ms avanzadas, las matemticas son el dominio donde todas las formas de representacin semitica pueden ser utilizadas. Ello plantea el problema siguiente: las diferentes teoras semiticas permiten analizar la utilizacin de imgenes, del lenguaje y de los smbolos en matemticas? Para comprender los elementos del problema, se debe no solamente observar cmo estas teoras distinguen las relaciones que constituyen y diferencian los signos, sino tambin considerar las exigencias matemticas que demanda el recurso de las diferentes formas de representacin semitica. Su comparacin muestra una diferencia considerable entre las herramientas de anlisis semitico existentes y la complejidad semitica de todas las producciones matemticas. Limitndose al caso de la representacin de los nmeros, se puede poner en evidencia que estas herramientas no permiten analizar la heterogeneidad semitica de los diferentes sistemas utilizados. Ahora bien, esta heterogeneidad semitica provoca una de las dificultades mayores del aprendizaje de las matemticas: pasar de un tipo de representacin a otro. El anlisis de las producciones matemticas exige herramientas de anlisis semitico ms complejas y mejor adaptadas a los procesos cognitivos movilizados en toda actividad matemtica. Para poder realizar esta investigacin, tres preguntas son cruciales: una sobre la pertinencia de la distincin entre significante y significado, otra en torno a la clasificacin de los signos, y, finalmente, otra referente a la comparacin entre un anlisis funcional y un anlisis estructural de los signos. PALABRAS CLAVE: Condensacin, designacin, imagen, figura geomtrica, relaciones constitutivas de signos, representaciones semiticas y no semiticas, sistema semitico, transformacin de representaciones.

ABSTRACT Mathematics, whether in its teaching or in its more advanced practices, is a domain where all the forms of semiotic representation can be used. This entails the following problem: do different semiotic theories allow for the analysis of the use of images, language and symbols in mathematics? To grasp the givens of the problem, we not only have to

Fecha de recepcin: Febrero de 2006/ Fecha de aceptacin: Abril de 2006

1 Universit du Littoral Cte dOpale(ULCO), France.

46 Relime

see how these theories make the distinction between the relations that constitute and differentiate signs, but we also have to consider the mathematical demands which necessitate that we make recourse to different kinds of semiotic representation. Their comparison reveals a considerable gap between existing semiotic tools and the semiotic complexity found in all mathematical production. Limiting ourselves to the case of the representation of numbers, we can highlight the fact that these tools do not allow us to analyze the semiotic heterogeneity of the different systems used. Moreover, this semiotic heterogeneity brings up one the major difficulties in the learning of mathematics: going from one type of representation to another. The analysis of mathematical productions demands semiotic tools of analysis that are more complex and better adapted to the cognitive practices mobilized in all mathematical activity. In order to undertake this research, three questions seem to be crucial: that of the pertinence of the distinction between signifier and signified, that of the classification of signs, and that of the connection between the functional analysis and the structural analysis of signs. KEY WORDS: Condensation, designation, image, geometrical figure, constitutive relations of signs, semiotic and non semiotic representations, semiotic system, transformation of representations.

RESUMO Tanto no ensino como nas prticas mais avanadas a matemtica o domnio onde todas as formas de representao semitica podem ser utilizadas. Coloca-se o problema seguinte: As diferentes teorias semiticas permitem analisar a utilizao de imagens, da linguagem e dos smbolos em matemtica? Para compreender os elementos do problema, se deve no somente observar como estas teorias distinguem as relaes que constituem e diferenciam os signos, mas tambm considerar as exigncias matemticas que demanda o recurso das diferentes formas de representao semitica. Sua comparao mostra uma diferena considervel entre as ferramentas de anlise semitico existentes e a complexidade semitica de todas as produes matemticas. Limitando ao caso da representao dos nmeros, se pode colocar em evidncia que estas ferramentas no permitem analisar a heterogeneidade semitica dos diferentes sistemas utilizados. Assim, esta heterogeneidade semitica provoca uma das dificuldades maiores da aprendizagem das matemticas: passar de um tipo de representao a outra. A anlise das produes matemticas exige ferramentas de anlise semitico mais complexas e melhor adaptadas aos processos cognitivos, mobilizados em toda atividade matemtica. Para poder realizar esta investigao, trs perguntas so cruciais: uma sobre a pertinncia da distino entre significante e significado, outra em torno da classificao dos signos, e, finalmente, outra referente a comparao entre uma anlise funcional e uma anlise estrutural dos signos. PALAVRAS CHAVES: Condensao, designao, imagem, figura geomtrica, relaes constitutivas de signos, representaes semiticas e no semiticas, sistema semitico, transformao de representaes.

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

47

RSUM Aussi bien dans lenseignement que dans ses pratiques les plus avances, les mathmatiques sont le domaine o toutes les formes de reprsentation smiotique peuvent tre utilises. Cela pose le problme suivant : les diffrentes thories smiotiques permettent-elles danalyser lutilisation des images, du langage et des symboles en mathmatiques ? Pour saisir les donnes du problme, il faut non seulement regarder comment ces thories distinguent les relations qui constituent et diffrencient les signes, mais il faut aussi considrer les exigences mathmatiques qui commandent le recours aux diffrentes formes de reprsentation smiotique. Leur comparaison montre un cart considrable entre les outils danalyse smiotique existants et la complexit smiotique de toutes les productions mathmatiques. En se limitant au cas de la reprsentation des nombres, on peut mettre en vidence que ces outils ne permettent pas danalyser lhtrognit smiotique des diffrents systmes utiliss. Or cette htrognit smiotique soulve lune des difficults majeures de lapprentissage des mathmatiques : passer dun type de reprsentation un autre. Lanalyse des productions mathmatiques exige des outils danalyse smiotique plus complexes et mieux adapts aux processus cognitifs mobiliss dans toute activit mathmatique. Pour conduire cette recherche trois questions semblent cruciales : celle de la pertinence de la distinction entre signifiant et signifi, celle de la classification des signes, et celle du rapport entre une analyse fonctionnelle et une analyse structurale des signes. MOTS CLS: Condensation, dsignation, image, figure gomtrique, relations constitutives des signes, reprsentations smiotique et non smiotique, systme smiotique, transformation de reprsentation.

Lattention porte au rle des signes dans la pense mathmatique est la fois ancienne et rcente. Elle est ancienne si lon considre la cration multiforme dun symbolisme mathmatique qui a accompagn le dveloppement de lalgbre, de lanalyse et de la logique dite mathmatique. Mais elle est trs rcente si lon considre les recherches sur les problmes dapprentissage qui, dans un cadre piagtien et constructiviste, ont privilgi une problmatique dacquisition de concepts. Des raisons trs diffrentes ont contribu la dcouverte de limportance des reprsentations smiotiques pour

comprendre la complexit des apprentissages en mathmatiques. Il y a, bien sr, lintroduction de lalgbre. Il y a aussi lanalyse des productions des jeunes lves dans le cadre des activits qui leur sont proposes en classe. Il y a eu galement linfluence, tardive, de la pense de Vygotski qui avait soulign, contre les explications de Piaget, limportance du langage travers ses trois modalits dexpression, intrieure, orale et crite, dans le dveloppement de la pense de lenfant. Mais la dcouverte de limportance et de la varit des reprsentations smiotiques dans les activits mathmatiques et pour lapprentissage soulve un problme

48 Relime

considrable et souvent peu discut : comment les dcrire, comment les analyser et comment les situer par rapport aux dmarches mathmatiques ? Le problme, en effet, nest pas danalyser la varit des reprsentations smiotiques en fonction des concepts et des connaissances mathmatiques quelles permettent dexprimer, de traduire, de contextualiser, etc. Cela conduit, en fait, les dissoudre dans une analyse faite en termes de savoirs relatifs des contenus mathmatiques particuliers. Le problme est dabord de savoir dterminer ce que sont des signes , ce quils voquent ou reprsentent et comment ils le font, quelles fonctions ils remplissent ou ne remplissent pas dans une dmarche de connaissance. Certes, ces questions semblent avoir trouv une rponse claire dans les diffrentes thories smiotiques qui ont t labores depuis les Stociens et, plus particulirement, avec Peirce, Saussure, et aussi Frege. Mais cette apparente clart svanouit vite si on compare ces diffrentes thories entre elles et, surtout, si on considre la varit considrable et htrogne des reprsentations smiotiques utilises en mathmatiques et dans lenseignement des mathmatiques. Les quelques concepts et classifications labors dans les thories smiotiques et auxquels beaucoup de travaux didactiques se rfrent, apparaissent alors insuffisants et parfois non pertinents pour analyser lactivit mathmatique et ses productions. Et cest l que surgit la question suivante : quelle smiotique pour analyser lactivit et les productions mathmatiques ? Cette question est essentielle un triple titre. Tout dabord, il sagit de disposer dun outil danalyse suffisamment adapt et discriminant pour tudier lactivit mathmatique et ses productions : celles

des experts, celles des enseignants et celles des lves y compris ceux de lenseignement primaire. Car toutes les productions mathmatiques mettent en jeu des reprsentations smiotiques. Or, les types de reprsentations que lon trouve chez les uns ne sont pas ceux qui sont privilgis par les autres. Peut-on les considrer comme peu prs quivalents ou interchangeables tant du point de vue de leur fonctionnement smiotique que du point de vue mathmatique? En dautres termes, peut-on ou non passer facilement dun type un autre, ou au contraire ce passage de lun lautre ne cache-t-il pas une rupture? Ensuite, il y a le problme du rle des signes et des reprsentations smiotiques dans le fonctionnement de la pense. On peut laborder de manire trs gnrale sans se rfrer aucun domaine particulier de connaissance, cest--dire la manire spcifique dont on a accs aux objets de connaissance dans chaque discipline scientifique. Mais on peut aussi laborder en prenant en compte les exigences propres au dveloppement de la connaissance mathmatique. Dans ce cas, il faut tenir compte de la situation pistmologique particulire des mathmatiques par rapport aux autres domaines de connaissance. Les reprsentations smiotiques jouent-elle le mme rle en mathmatiques quen botanique, quen gologie, quen gographie, quen astronomie, etc.? Enfin, cela concerne les variables cognitives prendre en compte dans les apprentissages. Peut-on considrer que certains types de reprsentation facilitent lentre dans les dmarches mathmatiques ou, au contraire, en brouillent la visibilit ? Les changements de type de reprsentation constituent-ils une variable didactique cruciale ou au contraire une variable secondaire ? Le propos de cet article nest pas de prsenter ici une autre approche smiotique pour analyser lactivit et les

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

49

productions mathmatiques, approche que nous avons dveloppe dans dautres travaux (Duval 1995a, 1996, 2003, 2005, 2006a, 2006b). Notre propos est de poser la question de la pertinence et des moyens dune analyse smiotique de lactivit mathmatique et des problmes dapprentissage en mathmatiques. Cette question exige que lon commence par analyser les diffrentes thories smiotiques dont on a import en didactique les distinctions et les concepts, sans stre vraiment interrog sur leurs fondements, sur leur porte relle ainsi que sur les critres opratoires quelles offrent ou noffrent pas. Le rsultat auquel nous esprons conduire le lecteur est quil voit pourquoi il faut se poser cette question. Si on ne sest pas pos cette question, lutilisation dune thorie smiotique, quelle quelle soit, ne peut avoir de sens. Nous commencerons donc par prsenter les donnes du problme smiotique, telles quelles ressortent des diffrentes thories smiotiques existantes. Nous verrons que les diffrentes thories ont conduit expliciter cinq relations fondamentales pour caractriser les signes et les reprsentations smiotiques, mme si aucune ne prend en compte toutes les relations. Mais ce nest l quune partie des donnes pour la question dont nous voulons montrer la ncessit et la priorit. Il nous faut aussi examiner les exigences mathmatiques concernant lutilisation des signes. Nous verrons alors que les reprsentations smiotiques ne sont mobilises et dveloppes que dans la mesure o elles peuvent tre transformes en dautres reprsentations smiotiques. Ce sont ces transformations possibles qui sont importantes et non pas les relations fondamentales explicites dans les diffrentes thories smiotiques. Pour illustrer cela, nous prendrons lexemple de la reprsentation des nombres. Nous

aurions pu aussi prendre un exemple en gomtrie (Duval, 2005) ou un problme dans lequel on ne peut pas distinguer si on est dans un cadre gomtrique ou numrique (Duval, 2006b). Lintrt de la reprsentation des nombres est que cet exemple permet de comparer plusieurs types de reprsentation, dont celui de reprsentations concrtes, ou iconiques, de marques units que lon utilise comme des pseudo objets et qui ne fonctionnement pas du tout comme des signes. Dans une troisime partie, nous verrons, en gardant le mme exemple, comment le passage dun type de reprsentation un autre implique un saut smiotique non seulement dans le fonctionnement de la relation de rfrence mais surtout dans le type dopration discursive effectuer. La dernire partie nous permettra de montrer comment la question, thme de cet article, se traduit et se diffracte en plusieurs questions cruciales. Nous en retiendrons trois. La distinction entre signifiant et signifi, estelle pertinente en mathmatiques ? La classification des reprsentations, se faitelle en fonction des relations fondamentales caractristiques des signes ou en fonction des systmes producteurs de reprsentations ? Lanalyse des productions peut-elle tre entirement subordonne la fonction remplie dans un contexte ?

I. LES DONNES DU PROBLME SMIOTIQUE Les dfinitions des signes qui ont t proposes dans les diffrentes thories smiotiques, mettent toutes en avant la fonction cognitive dvocation, ou de remplacement, quun lment remplit lgard dun autre lment, ces deux lments tant implicitement considrs comme nayant pas le mme statut

50

Relime

pistmologique. De ce point de vue, il ny a pas de diffrence entre la dfinition des signes et celle des reprsentations qui ne sont pas des signes, comme les images produites sur une surface plane rflchissante ou par un systme optique.
Fonction cognitive: voquer ou remplacer (1) QUELQUE CHOSE QUELQUE CHOSE DAUTRE aliud aliquid (Augustin) something else (Peirce)

REPRSENTATION(S) NON smiotique(s) SIGNE (S) Reprsentation

(2) Exigence pistmologique: ne jamais prende lun pour lautre

Figure 1. Les deux lments constitutifs caractrisant les signes et toutes les reprsentations

Les trois dfinitions suivantes en sont une parfaite formulation : Le signe est une chose qui, outre la forme perue par les sens, fait venir partir delle la pense de quelque chose dautre .... (Signum est enim res, praeter speciem quam ingerit sensibus, aliud aliquid ex se faciens in cogitationem venire). (Augustin 1997, p. 136 ) Un signe ou reprsentamen est quelque chose qui tient lieu pour quelquun de quelque chose dun certain point de vue ou realtivement une comptence (A sign, or representamen, is something which stands to somebody for something in some respect or capacity ). (Peirce 1978, p.121 (2.228)). Les reprsentations sont lvocation dobjets absents (Piaget 1968a, p.305 ; 1968b, p. 8). Malgr une apparente vidence, toutes ces dfinitions sont la fois inutilisables et incompltes. Elles sont tout dabord incompltes parce quelles laissent implicite lexigence pistmologique fondamentale qui

conduit ne pas confondre une reprsentation avec ce quelle reprsente (Platon Rpublique, 509e-510b). Car, sans le respect de cette exigence, il ny a plus de signe ou de reprsentation. Le respect de cette exigence peut sembler trivial ou immdiat lorsquil sagit de choses matrielles, comme, par exemple une chaise. On ne confondra jamais la chaise en bois sur laquelle on peut sasseoir et la photographie de cette chaise ou encore un dessin de cette chaise. Cela ne lest plus pour les reprsentations smiotiques utilises en mathmatiques, comme, par exemple les multiples reprsentations possibles des nombres, car on ne peut pas accder ces objets mathmatiques sans mobiliser des reprsentations smiotiques (Duval 2006b). Mais, surtout, cette dfinition est inutilisable car la fonction cognitive consistant voquer ou se tenir lieu de quelque chose ne prcise pas comment cette fonction cognitive peut tre remplie. Autrement dit, cette dfinition, qui caractrise les signes par leur seule fonction, ne dit rien de la relation qui, structuralement, permet quelque chose dvoquer quelque autre chose.

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

51

Cest pourquoi les diffrentes thories du signe et de la reprsentation qui ont t dveloppes ont t conduites expliciter plusieurs relations fondamentales constitutives des signes ou des reprsentations. Nous en retiendrons cinq et il semble quil ne puisse pas en exister dautres.

reprsentation et ce quelle est cense reprsenter, sans passer par un ensemble doprations qui cotent plus de temps que le seul fait de reconnatre quelque chose comme une image ? Bresson a propos un critre qui savre tre un outil prcieux la fois pour dcider si une reprsentation est, ou nest pas iconique et pour pouvoir distinguer les diffrents types dimages. La ressemblance se caractrise par la conservation entre les lments du reprsentant des relations de voisinage existant entre les lments du reprsent ( Bresson 1987, p. 940). Autrement dit, la ressemblance ne se fonde pas sur la reproduction de formes mais sur la conservation de relations topologiques des lments qui composent lensemble dune figure. Ainsi, dans lexemple ci-dessous, les lments des deux premiers dessins sont homognes (que des carrs ou des ronds !) et leur forme ne ressemble pas aux diffrentes parties du visage humain. Ce sont leurs relations de voisinage qui les font interprter comme des yeux, un nez, etc. Prsentes simultanment de jeunes enfants, ces formes sont gnralement vues comme un robot et un bonhomme .

1. Une relation de ressemblance La relation de ressemblance, travers les notions de copie ou d image (eikon) qui lui sont associes, a t dgage par Platon (Rpublique 476c, 509e, 510e). Peirce en a fait lune des trois catgories des reprsentations : Une icne est un represenamen dont la qualit reprsentative est la primit du representamen...par consquent nimporte quelle chose peut tre un substitut de nimporte quelle chose laquelle elle ressemble (Peirce 1978 p.14 7 (2.276) ; voir aussi 2.247). Cependant, ce qui permet de dfinir une ressemblance entre le contenu dune reprsentation et ce dont ce contenu est la reprsentation reste flou comme Quine (1977) lavait signal. Comment dterminer sil y a ressemblance ou non entre une

Figure 2. Deux images schmatises et une image figurative.

La comparaison du troisime dessin avec les deux premiers montre lintrt de la dfinition de Bresson. Elle permet de voir ce qui fait la diffrence entre une image figurative ( droite), qui est une copie plus ou moins fidle dun visage, et une image schmatise ou abstraite ( gauche) mais qui ressemble encore un visage. Dans limage figurative, les lments sont diffrents et ont chacun une ressemblance de contour avec une partie du visage. Une

image devient schmatique lorsque tous les lments composant limage deviennent homognes et perdent donc tout caractre diconicit (Duval 2003, p. 39-40). Regardons maintenant ces figures qui suivent. En quoi se distinguent-elles des premiers dessins ci-dessus ? Peut-on les considrer comme relevant de la mme catgorie que les images ci-dessus ?

52 Relime

Ia

Ib

II

iiI

Figure 3. Quatre ou cinq figures gomtriques ?

On peut noter une premire diffrence. Une figure gomtrique ne se dessine pas main leve mais se construit laide dinstruments, tandis quun dessin ne se construit pas mais se compose main leve. Mais, dun point de vue smiotique, cette diffrence a peu dimportance. La question suivante demeure : une fois construite ou dessine, une figure gomtrique sanalyse-t-elle en termes de ressemblance avec ce quelle reprsente ?

donne : Soit x ... . Dans ce type de situation on parle le plus souvent de notation mathmatique (Freudenthal, 2002). Lopration de dsignation est beaucoup plus complexe ds quelle se fait par des mots. Un mot, seul, ne dsigne jamais un objet, sauf si on lui assigne un statut de nom propre. La dsignation dun objet par un nom commun exige toujours une quantification. Autrement dit, la dsignation linguistique se fait par la combinaison dun nom commun et dun dterminant. Mais, comme aucun lexique ne comporte jamais autant de mots que dobjets dsigner, la construction syntagmatique doit articuler plusieurs noms en une seule expression : le point dintersection des hauteurs dun triangle ... . Russell considrait ce type de construction syntagmatique, comme une description . Il est caractristique du langage mathmatique (Duval, 1995a). Et on le retrouve dans tous les noncs de dfinition ou de thorme ainsi que dans les noncs des problmes ! Cette opration de dsignation, qui cre la rfrence un objet, est soumise une condition dunicit pour quil ny ait pas dambigut dans la communication sur lobjet qui est ainsi dsign (Ducrot, 1972). En mathmatiques, les expressions qui introduisent une notation articulent en fait deux oprations discursives de dsignation : lune littrale et lautre linguistique : lcriture a/b) dsigne (le quotient de a par b . ( Deledicq 1979, p.

2. Une relation de rfrence Cette relation, que Frege (1971) appelait la Bedeutung (dnotation) des signes ou de leur combinaison en une expression, exclut toute possibilit de ressemblance entre les signes et ce dont ils sont les signes. Elle concerne surtout deux types de signes trs diffrents : les symboles et les mots. La relation de rfrence dun signe ou dune combinaison de signes un objet rsulte dune opration discursive de dsignation . Cest de cette manire que les lettres en algbre, les mots, ou les constructions syntagmatiques de mots dans un nonc, rfrent un objet. Cette opration peut paratre simple lorsquil sagit de lettres ou de symboles, puisque gnralement on les associe quelque chose qui est visible graphiquement : les sommets ou les points dintersection sur une figure gomtrique, ou un ensemble de nombres que lon se

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

53

48 ), ou encore Soit A le point dintersection des hauteurs dun triangle .

3. Deux relations caractrises en termes de causalit Il sagit ici dune relation totalement diffrente des deux prcdentes. Ici la relation peut tre prise de deux manires diffrentes : soit ce qui fonctionne comme signe est un effet de ce quil voque, soit, au contraire, il agit comme cause ou comme dclencheur dune action.

dvocation et un autre qui serait ce qui est voqu; ils sont entre au moins deux lments qui sopposent comme deux signes possibles pour voquer ou pour dsigner quelque chose dautre. Autrement dit, il ny a pas de signes isols qui fonctionneraient par eux-mmes, comme une notation, mais il y a demble un systme de plusieurs signes. Cette relation a t mise en vidence par Saussure (1915) : La langue est un systme dont tous les termes sont solidaires et o la valeur de lun ne rsulte que de la prsence simultane des autres..... Entre eux il ny a quopposition . Tout le mcanisme du langage repose sur des oppositions de ce genre et sur les diffrences phoniques et conceptuelles quelles impliquent. Ce quil y a dide ou de matire phonique dans un signe importe moins que ce quil y a autour de lui dans les autres signes. (Saussure 1973, p. 159, 166 ) Autrement dit, il ny a pas de signes en dehors du systme o des lments prennent valeur de signe. Cette thorie a conduit aux mthodes danalyse structurale des langues base phonologique (Martinet, 1966) et de toutes les formes de discours produits (Benveniste, 1974). En dehors des langues, les systmes de numration de position en fonction dune base n sont une parfaite illustration de ce quest un systme smiotique, selon la dfinition structurale et non pas purement fonctionnelle de Saussure. En effet, ces systmes de numration sont, selon lexpression de Freudenthal (2002), un compromis entre le systme linguistique et celui de labaque . Pour bien le mettre en vidence, il suffit de comparer les deux types suivants de reprsentation des nombres.

3.1 La relation effet

cause

Elle caractrise les phnomnes naturels qui induisent la recherche de leur cause ou de leur origine : des reflets, des traces, des vestiges, des symptmes, des indices... Peirce a pris lexemple de lobservation dune fume. On pourrait ici faire appel labondante littrature qui, de Plotin Derrida, a cherch, dans ce type de relation, le caractre premier et fondateur des signes. La trace est devenue la mtaphore smiotique de ce type de relation.

3.2 La relation cause

effet

Elle ne concerne plus des phnomnes naturels mais ce quon considre comme un signal. Ainsi les feux aux carrefours sont des signaux qui doivent dclencher, de manire rflexe, une action de la part des conducteurs. Plus gnralement, toute transmission dinformations lintrieur dun systme physique ou organique dpend de codes et de signaux.

4 . Une relation dopposition alternative ouvrant un choix demploi Ici, les termes de cette relation ne sont plus entre un lment qui remplirait une fonction

54 Relime

Des MARQUES UNITS tenant lieu chacune dun objet Aucune valeur de position mais des arrangements configuraux possibles

Un SYSTME SMIOTIQUE

Principe positionnel de labaque: la valeur dpend de la colonne o se trouve la marque Base 10 : lexique fond sur neuf valeurs dopposition pour chaque terme 1 2 3 10 Base 2 : lexique rduit une seule valeur dopposition 1 10 11 100

| | | | | | | | | | | | | | | | ou ( | | | | | | | | | | )

Figure 4. Htrognit smiotique de deux types de reprsentation des nombres.

Nous sommes ici en prsence de deux genres radicalement diffrents de reprsentation. Lun consiste en des marques units qui sont indpendantes les une des autres et qui ne peuvent tre assembles que sous forme dune collection. Lautre est un systme smiotique dans lequel les chiffres, analogues aux termes dun lexique, dpendent les uns des autres selon deux principes de composition. un principe organisationnel de position qui permet de combiner systmatiquement les chiffres entre eux pour crire de nouveaux nombres. Chaque chiffre a ainsi une valeur de position qui correspond une lvation, une puissance. Ce principe dtermine un algorithme de calcul pour les oprations arithmtiques. un principe de choix lexical qui correspond la base n. Cette base dtermine le nombre doppositions alternatives pour le choix des signes numriques. A la diffrence des marques units (colonne de gauche) qui sont constitues

par leur seule trace matrielle, la ralit signifiante des chiffes est dtermine par leur seule valeur dopposition alternative dautres chiffres, et non pas par leur trace matrielle. En ce sens, il ne peut pas y avoir de lexique ne comportant quun seul terme : 1 ne fonctionne comme signe dun nombre que par son opposition soit 0 dans le systme binaire, soit neuf autres signes dans le systme dcimal, dont videmment 0 . Par consquent 1 ne reprsente le nombre UN, comme la marque unit l , que par son opposition 0 , et sous la condition quil occupe la premire position en partant de la gauche. Ces deux types de reprsentation des nombres sont htrognes. De lune lautre, il y a un saut smiotique et cognitif. Lorsque nous comparerons ces deux types de reprsentations sous le point de vue des oprations quelles permettent, nous verrons que les marques units fonctionnent comme des pseudo objets manipulables concrtement et non pas comme des signes opratoires (infra 2.1). Lapparition du symbole 0 , irrductible toute reprsentation concrte, cest--dire

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

55

non reprsentable par des marques units, traduit dj la rupture qui se produit quand on passe dun type de reprsentation lautre.

5. Quel est lautre terme de ces relations fondamentales ? Ces relations fondamentales sont autant de modes diffrents par lesquels quelque chose , appel signe ou reprsentation , peut remplir la fonction cognitive dvocation de quelque chose dautre (Figure 1). Quel peut tre cet autre terme que les dfinitions purement fonctionnelles dsignent comme aliud aliquid ou something else et qui, dun point de vue pistmologique ne doit jamais tre confondu avec son signe ou sa reprsentation ? Cest cet autre chose du signe ou de la reprsentation qui est important. Cest pourquoi il a t considr comme ltant vritable (Platon), comme la res, comme la chose elle-mme, cest--dire comme lobjet de connaissance. La notion dobjet est celle qui sest impose dans toutes les analyses philosophiques et phnomnologiques de la connaissance comme la notion fondamentale (Duval 1998, p.167-168, 196). Lobjet peut tre soit une chose matrielle, accessible perceptivement comme une chaise, comme les plantes dans une fort ou comme le soleil que lon reconnat tre le mme qui se lve chaque matin, soit une ralit idale accessible uniquement par des dmarches de pense mobilisant justement des signes, comme par exemple les nombres. Ainsi les reprsentations III , 3 , 39/13 , ou encore une configuration triangulaire de points, renvoient au mme nombre comme un mme objet. On ne parle jamais du nombre trois comme dun concept et du nombre quatre comme dun autre concept. En mathmatiques, on travaille

avec les nombres et non pas avec le nombre, cest--dire avec une dfinition du nombre, celle donne par exemple par Peano, ou celles qui ont t discutes lors du dbat entre Poincar et Russell. De ce point de vue, louvrage de Piaget sur La gense du nombre chez lenfant (1941) a introduit des glissements terminologiques qui ont t nfastes pour la rflexion didactique concernant les processus de la pense. Un objet, ralit matrielle ou idalit, peut tre le terme de plusieurs relations smiotiques fondamentales. Ainsi, une chaise peut tre la fois le terme dune relation de ressemblance dans une photographie, dune relation de rfrence dans un nonc descriptif, et dune relation deffet cause, sil reste une trace de cette chaise, sur un sol meuble par exemple. Cela permet de composer des juxtapositions paradoxales comme nous le verrons plus loin. Au contraire, la diffrence dune chose matrielle, une ralit idale ne peut pas tre le terme dune relation de ressemblance. Cependant, il y a des situations o les signes ne tiennent pas la place des objets quils voquent, mais remplacent dautres signes. Cest le cas, par exemple, des codes alphabtiques qui commutent lmission orale dun discours en une suite visuelle de caractres, ou encore des lettres en algbre, les lettres remplaant une liste de valeurs numriques possibles. Dans le premier cas, les codes apparaissent comme un marquage formel de signes, les marques formelles appelant un dcodage pour retrouver la ralit des signes, cest--dire lune ou lautre des cinq relations fondamentales. Aristote, qui avait dj remarqu cette situation, en avait conclu une plus grande distance de lcriture par rapport la pense que celle de la parole la pense (De linterprtation, 16a 1-10). Le second cas est diffrent. Il rpond une

56 Relime

fonction dabrviation et dconomie cognitive et soulve la question du caractre aveugle dun symbolisme qui ne remplit plus la fonction dvocation dun objet (infra, 2.13 et 4.3). Mais ces deux cas peuvent donc tre ramens lopposition entre signe et objet, conformment lexigence pistmologique sans laquelle la dfinition purement fonctionnelle des signes deviendrait non pertinente. Rappelons dailleurs que Peirce recourt lui aussi cette notion dobjet pour caractriser des diffrents types de representamen, cest--dire trois des cinq relations fondamentales constitutives des signes.

mots, monmes). Dautre part, les units de sens minimales (les monmes) sont le produit dune articulation de plusieurs units phoniques (les phonmes), ces deux articulations tant entirement indpendantes lune de lautre : Si nous devions faire correspondre chaque unit significative minima une production vocale spcifique et inanalysable, il nous faudrait en distinguer des milliers, ce qui serait incompatible avec les latitudes articulatoires et la sensibilit auditive de ltre humain. Grce la seconde articulation, les langues peuvent se contenter de quelques dizaines de productions phoniques distinctes que lon combine pour obtenir la forme vocale des units de premire articulation (Martinet 1966, p. 19). Les langues humaines se distinguent du langage des animaux par cette double articulation. Nous verrons plus loin (4.1) que cette distinction na pas de sens pour les signes purement visuels, notamment pour les notations mathmatiques.

6. Quen est-il de la distinction entre signifiant et signifi ? Cette distinction est videmment la distinction familire. Mais elle est aussi celle dont lemploi dans la littrature didactique est compltement quivoque. Soit elle correspond la distinction entre llment qui remplit une fonction dvocation et cet autre chose quil voque. Dans ce cas, la distinction est redondante par rapport aux dfinitions classiques du signe (Figure 1) : signifiant est alors synonyme de signe et signifi synonyme de lobjet voqu ! Soit elle porte sur ce qui serait la structure interne de llment qui remplit la fonction cognitive dvocation. Dans ce cas, la porte de cette distinction se limite aux langues humaines qui remplissent une fonction de communication orale, cest--dire aux systmes linguistiques base phonologique. En effet, toute lconomie des langues humaines, qui remplissent une fonction de communication orale, repose sur ce que Martinet a appel la double articulation . Dune part, il y a une premire articulation de la parole en units de sens (phrases,

7. Conclusion : le problme de lanalyse et du rle des signes dans lactivit cognitive. Ce rapide panorama de la diversit des relations constitutives de la signifiance des signes (Benveniste 1974, p .45, 51) permet de faire les trois observations suivantes. Tout dabord, personne ne confondra la fonction cognitive dvocation ou de substitut dautre chose avec les relations de ressemblance, de rfrence, de causalit ou dopposition alternative entre deux lments. Ce sont ces relations structurales

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

57

qui permettent quun lment remplisse la fonction d vocation . Seule la relation cause effet, caractristique du signal, ne remplit pas cette fonction, mais une fonction dinstruction ou de commande, comme on peut le voir dans le fonctionnement de tous les systmes automatiss ou non conscients. Dans une approche smiotique, on ne peut pas faire appel aux phnomnes dassociation (Russell, 1969). Car cela concerne un autre problme, celui de lapprentissage des signes et plus particulirement de celui dune langue. Or, pour expliquer cet apprentissage le recours au processus dassociation relve dune thorie plus que discutable et dmentie par les observations (Boysson-Bardies 1999). Nous verrons plus loin que ce quon appelle association relve en fait dune opration discursive de dnomination complexe. Aucune thorie smiotique existante ne permet de prendre en compte toutes ces relations, mais chacune tend en privilgier une ou deux. Autrement dit, aucune thorie ne couvre la diversit et la complexit des phnomnes smiotiques. Maintenant la question nest pas seulement de savoir quelles sont les relations les plus pertinentes pour analyser les activits et les productions mathmatiques, elle est surtout de savoir si les relations que lon estime pertinentes sont suffisantes.

que sil peut tre substitu dautres signes pour effectuer des oprations (Condillac, 1982). Ce ne sont donc pas les reprsentations qui sont importantes, mais les transformations des reprsentations. Cette exigence a command le dveloppement dun symbolisme spcifique aux mathmatiques, avec la reprsentation des nombres, avec lalgbre, avec lanalyse... Elle traduit le fait que la fonction primordiale des signes et des reprsentations, en mathmatiques, nest ni la communication, ni lvocation dobjets absents , mais le traitement dinformations, cest--dire la transformation intrinsque de leurs reprsentations en dautres reprsentations pour produire de nouvelles informations ou de nouvelles connaissances. Ce serait cependant une erreur que de limiter cette exigence au symbolisme mathmatique et donc au calcul. Cette exigence mathmatique concerne aussi lutilisation de tous les types de signes culturellement communs, comme les langues naturelles ou les reprsentations figurales, lesquelles donnent, en gomtrie par exemple, des possibilits purement visuelles de transformation. Loriginalit et la puissance de la pense mathmatique viennent de ce quelles jouent sur la varit des registres smiotiques et sur les possibilits spcifiques de transformation qui sont propres chaque systme. Pour illustrer cela, nous allons prendre deux exemples : la varit smiotique de la reprsentation des nombres et les reprsentations figurales en gomtrie. 2.1 Quel rapport entre les signes et les oprations dans la reprsentation des nombres et/ou des grandeurs ? Nous avons analys plus haut les diffrences entre deux types de reprsentation des nombres (Figure 3).

II. XIGENCE ET PRATIQUE MATHMATIQUES CONCERNANT LES SIGNES : LES POSSIBILITS DE TRANSFORMATION DES REPRSENTATIONS. En mathmatiques, une reprsentation nest intressante que dans la mesure o elle peut se transformer en une autre reprsentation. Un signe nest intressant

58 Relime

Nous pouvons complter cette comparaison en y ajoutant deux autre types de reprsentation : lcriture littrale et algbrique, et les dessins schmatiss dobjets (Belmas 2003) que lon trouve dans les productions de jeunes enfants, ou dans celles dtudiants plus gs (Hitt 2003), pour rsoudre des problmes de dnombrement.

Les principes dorganisation suivent les lois dorganisation perceptive

Pas de principes dorganisation pour lemploi des marques

Des principes dorganisation dterminent lEMPLOI des signes et leurs COMBINAISONS en units de sens (expressions) III. Des systmes dcriture de position dcomposant un nombre selon une puissance n et exigeant n signes IV. Notations algbriques articulant deux types de symboles : - variables conventionnelles pour une dsignation fonctionnelle - symboles doprations et de relations Substitutions dexpressions symboliques fondes sur - des rgles syntaxiques propres chaque opration - invariance rfrentielle dans les substitutions

I. Des dessins II. schmatisant Des marquesTYPES des dobjets units DE conservant les formellement REPRSENTATION correspondances indiscernables DES topologiques pouvant tre NOMBRES (voitures, roues agrges en dun vhicule..) collections ( traits, points ...)

Accentuer ou Support pour effacer l iconicit des (ressemblance manipulations OPRATIONS avec lobjet libres: possibles de reprsent) par - comptage TRANSFORMATIONS ajout ou -regroupements des suppression de ou sparation reprsentations tracs en paquets - disposition selon des configurations polygonales

algorithmes de calcul fonds sur le principe : un changement de position correspond une lvation la puissance

Figure 5. Possibilits de transformations, ou de calcul en fonction du type de reprsentation.

Si on regarde ces quatre types de reprsentations smiotiques en fonction des relations fondamentales, les types I et II peuvent tre considrs comme iconiques puisquils ressemblent soit aux objets reprsents soit des collections de jetons, de cailloux. Les types III et IV doivent tre considrs comme symboliques bien quils ne relvent pas de la mme relation fondamentale : III est dtermin par une relation dopposition alternative (supra 1.4) et IV est dtermin

par une relation de rfrence (supra 1.3). Mais une telle analyse ne nous conduit pas loin et elle napporte pas grand chose. En revanche, tout change si on regarde ces quatre types de reprsentations des nombres en fonction des oprations de transformations quils permettent (ligne 2 du tableau). On voit alors quil faut distinguer trois classes de reprsentations. Elles sont spares par un trait double entre les colonnes. Chacune de ces trois classes de reprsentation donne

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

59

respectivement lieu trois types doprations radicalement diffrentes : des manipulations concrtes libres, des algorithmes de calcul, des oprations discursives de dsignation et de substitution salva veritate.

2.1.1 Reprsentations ntant quun simple support externe pour des manipulations libres
Les oprations que lon peut effectuer avec les reprsentations de type I ou II (Figure 5) sont totalement extrieures ces reprsentations : on peut les compter en les pointant du doigt, les regrouper par paquets, ou les disposer sur deux ranges parallles pour les mettre en correspondance, etc. Ce sont ces oprations que Piaget a presquexclusivement considres dans son tude sur La gense du nombre (1941). Dans les preuves piagtiennes, les jetons sont le strict quivalent des marques units. Celles-ci sont un simple support, matriel ou graphique, pour des oprations. Elles fonctionnent plus comme des pseudo objets que comme des signes. Les oprations effectues sur ce matriel nentranent proprement parler aucune transformation de ces reprsentations. Se pose alors la question de savoir sil est utile de reprsenter les oprations faites et comment les reprsenter. Les marques auxquelles on recourt gnralement dpendent entirement du choix de celui qui les utilise. Ainsi on peut jouer uniquement sur la disposition spatiale des marques units (les sparer en paquets puis les regrouper) comme la fait par exemple Wittgenstein (1983, p.143), ou bien les entourer comme dans les diagrammes de Venn. On peut galement utiliser des traits plus longs pour matrialiser des paquets, etc. De toute manire elles viennent se surajouter aux marques units et elles ne sont que des indices des oprations faites.

Dans la pratique, les reprsentations de type I et II ne sont jamais employes sans que lon recourt un deuxime type de reprsentation smiotique pour justement expliciter ou pour effectuer les oprations : soit par exemple, une explication verbale qui, videmment, soublie trs vite, soit lutilisation dune criture numrique qui vient en quelque sorte reprsenter les oprations (infra Figure 11). Les dessins schmatisant des objets prsentent des caractristiques qui les rapprochent de ces marques units. A la diffrence des marques units, ils prsentent linconvnient majeur de ne pas pouvoir tre rpts loisir comme les marques units. Cela devient vite trop coteux.

2.1.2. Reprsentation ou signes constitus par un principe dorganisation interne qui dtermine des algorithmes de calcul
Les critures numriques (III, Figure 5) ne peuvent pas tre considres comme un simple support pour des oprations de calcul. Leffectuation des oprations est ici entirement subordonne aux possibilits et aux contraintes des principes dorganisation du systme numrique utilis. Pour lcriture des nombres, les algorithmes des diffrentes oprations arithmtiques dpendent la fois du principe de position et de la base. Par exemple, les valeurs de position permettent un dplacement droite ou gauche, correspondant une lvation ou une diminution de la puissance de la base, et, pour chaque position, un dpassement des possibilits de choix offertes par la base conduit un dplacement gauche avec report. Ce systme est videment extensible avec ladjonction dun sparateur (virgule ou point), et cette extension permet de calculer avec dautres

60 Relime

nombres que les nombres entiers. Pour les mmes oprations sur les mmes nombres, les algorithmes changent si, au lieu dune criture dcimale, on adopte une criture fractionnaire.

2.1.3 Reprsentations ou signes ouvrant lintgration des calculs dans des oprations DISCURSIVES : lalgbre.
Lcriture littrale (IV, Figure 5) cre une nouvelle rupture smiotique avec les prcdentes reprsentations des nombres et elle ouvre la voie de nouvelles oprations. Cette rupture apparat sur deux points. Tout dabord, une diffrenciation entre la smantique des signes (linterprtation des lettres) et leur syntaxe (les rgles dterminant lordre des oprations et leur porte sur les symboles associs dans lexpression) devient ncessaire. Avec cette diffrenciation, linterprtation des lettres ne dpend plus directement des choix offerts par un systme smiotique (supra 1.4) mais dune opration discursive de dsignation (supra 1.2). Ensuite, il y a la possibilit de construire des units syntagmatiques par lorganisation de plusieurs signes autour dun symbole dominant (un symbole dgalit ou dingalit). Cette possibilit conduit des oprations de substitution dexpressions ou de transfert dexpressions salva veritate, cest--dire salva suppositione. Cest ce qui fait loriginalit du calcul algbrique. Pour illustrer cette rupture, nous nous limiterons la seule mergence des lettres en rappelant comment, avec Vite et Descartes, elle sest inscrite dans la constitution de lcriture algbrique (Serfati, 1987). Lmergence des lettres comme symboles algbriques a longtemps t rduite la dsignation dune quantit inconnue, laquelle fut appele res ou cosa pour faciliter la rsolution dun problme. On en retrouve

dailleurs la trace dans lexplication que Lacroix donnait des signes algbriques : ...la dtermination du nombre inconnu par le moyen des nombres donns (Lacroix 1820, p. 1). Cependant, cest avec la substitution de lettres des mots dsignant diffrents types de grandeurs que les lettres comme signes se sont vritablement constitues. Ainsi, pour ne combiner dans le calcul que des grandeurs homognes, Vite a class les grandeurs selon deux critres : le critre gomtrique des genres (planus, solidus..) et le critre numrique dun produit scalaire (quadratus, cubus ..). Et pour pouvoir dfinir systmatiquement et brivement les rgles de composition des oprations selon la nature des grandeurs, Vite a abrg par des lettres les mots qui dsignaient les diffrents types de grandeur. Cette substitution systmatique de lettres des mots rfrant dj des types de grandeur conduit, chez Descartes, lcriture dquations et la notation des puissances, lesquelles ont ouvert la voie la notion de polynme (Serfati, 1987). Et cela sest fait en fonction dune exigence cognitive dconomie que Descartes a formule dans la rgle XVI des Regulae. Il faut condenser en un seul signe tout ce qui intervient dans la rsolution dun problme, cest--dire tout ce que Vite avait bien pris soin de sparer pour les calculs : les quantits connues ou inconnues (res) et les deux genres de grandeur, gomtrique (solidus) ou scalaire (cubus). Lautonomie smiotique des signes qui sest ainsi impose en algbre sest donc faite au prix dune rduction-condensation des diffrents types dobjets reprsents. En dautres termes, lautonomie smiotique des signes en algbre sest faite au prix dune neutralisation de leur fonction cognitive dvocation (supra Figure 1) et, par la suite, de toutes les relations fondamentales. Seul importe ce que Husserl a appel leur

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

61

signifi opratoire , cest--dire les rgles demploi (rgles de priorit, de substitution...). On comprend alors la question du sens des signes algbriques que Leibniz soulve dans un texte de 1684, donc peu aprs la constitution de lcriture algbrique moderne : ... cette pense l, jai coutume de lappeler aveugle ou encore symbolique... ; cest celle dont nous usons en algbre et en arithmtique.. (Leibniz 1972, p. 152-153). 2.2 Peut-il y avoir des transformations figurales purement visuelles ? Il semble plus difficile dassocier des reprsentations figurales, que ce soit des images , des schmatisations ou des figures gomtriques, des oprations. Bresson (1987) soulignait quune figure reprsente un tat et que la reprsentation dune transformation exige la reprsentation de deux tats, lun initial et lautre final. Ce sont les diffrences entre deux figures qui

peuvent voquer un mouvement, une action ou une opration. Et en ce qui concerne la gomtrie, les oprations sont gnralement associes des proprits qui ne peuvent tre mobilises quen fonction dhypothses. Par consquent, le contenu visuel dune figure gomtrique ne remplirait que lune des fonctions suivantes : soit une fonction dillustration pour faciliter la comprhension dun nonc soit un support pour des oprations commandes par le raisonnement et non pas par le contenu visuel de la reprsentation2. Cependant, et contrairement cette opinion commune, il est important de remarquer que les reprsentations figurales suggrent ou induisent des oprations qui sont internes au contenu visuel de la reprsentation. Nous nous limiterons ici un exemple trs simple. Le dessin dun quadrilatre concave induit plusieurs transformations visuelles possibles, comme on peut le voir ci-dessous :

A. Deux complmentations successives

B. Partage symtrique

C. Complmentation figurative ou iconique

Figure 6. Trois transformations visuelles possibles dune forme polygonale concave

2 Deux rles au moins, peuvent tre attribus aux figures en gomtrie : dune part, elles illustrent les situations

tudies, dautre part elles servent de support lintuition au cours de la recherche en faisant apparatre sur un objet visible des relations ou des hypothses de relations qui ne sont pas clairement videntes dans un nonc verbal (Bessot 1983, p.35). La distinction entre dessin et figure reprend cette opposition entre ce qui est visuel, donc particulier, et lensemble des proprits qui le sous-tendent et qui en font un dessin parmi dautres.

62 Relime

La transformation A se fait par complmentation. Cette transformation rsulte automatiquement des lois dorganisation perceptive qui conduisent voir les formes concaves dans leur enveloppe convexe. Ainsi un quadrilatre concave est spontanment transformable en un assemblage de trois triangles. Cette transformation ne doit pas tre confondue avec une rgle essentielle pour les proprits affines dune figure: joindre tous les points singuliers (sommets) dune forme, rgle dont la mise en uvre visuelle nest jamais vidente comme on peut le vrifier avec les quadrilatres convexes, surtout sil sagit de faire apparatre les droites qui sont les supports des segments tracs (Duval & Godin, 2005). La transformation B rsulte de la reconnaissance dune organisation symtrique. On remarquera que ces deux types de transformation ne dpendent ni dune interprtation fonde sur une ressemblance partielle ou complte avec quelque chose dautre, ni dune interprtation en termes dobjets reprsents. Le recours des
Registre de la visualisation : un jeu de rorganisations visuelles selon la forme ou selon le nombre de dimension des units figurales reconnues

proprits mathmatiques sert seulement les justifier. Il nen va pas de mme avec la transformation C. Elle se fait en fonction dune ressemblance du contenu avec un objet extrieur de lenvironnement : une flche, une lance, la forme concave du quadrilatre tant ici mise en rapport avec celle dune partie de la forme typique dune lance. La transformation C se fait videmment sur la base de connaissances. Ce sont des transformations de type A ou B qui constituent lenrichissement intuitif des figures en gomtrie. Elles sont indpendantes de toute analyse des figures en termes de proprits . Elles dpendent dabord de facteurs propres la visualisation. Il nest peut-tre pas inutile de rappeler ici que la gomtrie fait appel au moins deux types de reprsentation htrogne et que chaque type de reprsentation y fonctionne indpendamment lun de lautre. Sinon pourquoi mobiliser simultanment deux reprsentations htrognes ?

ARTICULATION par le codage des sommets avec des lettres

Registre du discours : mise en uvre dnoncs de proprits et de drivation dductive des noncs Enonc du problme : AC et AC sont parallles AB et AB sont parallles BC e BC sont parallles Prouver que A est le milieu de BC

Figure de dpart

Quels lments des noncs permettent un ancrage dans la visualisation ? Quelle fonction remplit la figure par rapport lnonc et la rsolution du problme : illustration ? heuristique ? objet support pour des mesures ?

ABED et BCED sont des paralllogrammes.

le thorme des milieux

Figure 7. Analyse smiotique des reprsentations gomtriques (Duval 2005, p. 29)

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

63

Lun des points dcisifs de lenseignement de la gomtrie porte sur la prise en compte des facteurs qui favorisent lentre des lves dans le jeu cognitif complexe de toutes les transformations des reprsentations figurales (Duval 1995b, 2005). 2.3 Transformations smiotiques et dmarches de pense Les thories du signe reposent, implicitement ou explicitement, sur lide que les signes remplissent dabord une fonction de communication et quelles fournissent secondairement une reprsentation dappui par rapport la pense et ses dmarches. Cette ide est dailleurs reprise dans beaucoup dtudes sur le rle et lusage des signes en mathmatiques (Kaput 1987). Or, cest cette ide quil faut remettre en cause si lon veut analyser et comprendre le rle des signes en mathmatiques. En mathmatiques, les signes ne remplissent pas dabord et essentiellement une fonction de communication mais une fonction de traitement. Condillac (1982) semble tre le premier dans lhistoire avoir mis laccent sur cette fonction fondamentale des signes. Et les mathmatiques sont le domaine de connaissances o lon utilise le spectre le plus tendu et le plus htrogne de reprsentations smiotiques. Mais, comme nous avons pu le voir avec les deux exemples prcdents, cela se fait toujours

en fonction des oprations de transformation que chaque type de reprsentation rend possible. Et l, nous devons distinguer deux grands types doprations : celles qui sont externes aux lments utiliss, les reprsentations tant alors des pseudo objets que lon peut manipuler librement, et ce sont seulement le rsultat dune opration dj faite qui peut tre marqu. Ici on peut sparer et opposer les reprsentations et les actions ( perceptivogestuelles selon lexpression de G. Vergnaud), comme cela se fait dans la thorie piagtienne. celles qui sont intrinsques et spcifiques au systme de reprsentation smiotique, comme avec les critures numriques de position, lcriture algbrique et ou les reprsentations figurales en gomtrie. Ici on ne peut plus opposer les reprsentations et les oprations. Car il y a des oprations smiotiques et il y a des oprations qui ne sont possibles que smiotiquement. Et toutes les oprations et les transformations mathmatiques sont de ce type. Les dmarches de pense mobilisent toujours un type issu des multiples types possibles de reprsentation smiotique. En mathmatiques, elles en mobilisent plusieurs la fois, mme si un seul occupe le devant de la scne. On peut rsumer cela dans le tableau suivant :

Transformation dune reprsentation en une autre du mme genre par des OPRATIONS Externes aux signes pris isolment Dpendant de principes dorganisation dun systme smiotique Oprations de reconfiguration portant sur Oprations discursives dans une des formes ou sur des positions langue naturelle ou formelle Spatialcontinu discret Smantique Syntaxique Formation (rfrence dexpression et des objets) dnoncs Ecriture algbrique (ouverte lintgration de quantificateurs)

Marques units

Figures en gomtrie

Systme numrique de position

Figure 8. Les diffrents types de transformations smiotiques.

64 Relime

Lorsque les transformations sont externes aux signes utiliss, cest--dire lorsque ces derniers ne remplissent quune fonction de support, elles peuvent tre ralises matriellement dune manire quivalente une transformation symbolique. En revanche, si certaines transformations smiotiques peuvent tre reproduites matriellement, elles deviennent cependant trs vite impossibles raliser, non seulement pour des raisons de cot mais surtout parce quelles ne sont pas concevables en dehors de la reprsentation symbolique qui les permet. On peut dailleurs remarquer quil ny a souvent aucune congruence entre la ralisation matrielle dune opration et sa ralisation symbolique. Cest lune des difficults, dans la reprsentation des nombres, lors du passage des marques units au systme dcimal. Et cest aussi lune des difficults en gomtrie o larticulation des noncs avec les figures exige la dconstruction dimensionnelle des formes visuelles reconnues (Duval, 2005). De la reprsentation iconique ou matrielle des petits nombres leur reprsentation systmatique dans une criture dcimale, binaire, etc., le saut smiotique et cognitif faire est considrable. Mais ce nest l quun exemple parmi dautres de ce qui constitue lobstacle spcifique lapprentissage des mathmatiques : passer dun type de reprsentation smiotique un autre.

dfinition fonctionnelle (Figure 1), mais une trs grande diversit de reprsentations possibles pour un mme objet. On connat la clbre photo intitule une et trois chaises . Celle-ci juxtapose, dans un mme montage, une chaise, une photo de cette chaise et la description verbale de cette chaise. Mais un autre montage aurait pu tout aussi bien permettre de faire une photo une et cinq chaises en ajoutant des schmas ou un plan de montage de la chaise partir de morceaux livrs en kit. En ralit, il y a autant de reprsentations possibles dun objet quil y a de systmes diffrents producteurs de reprsentations (Duval, 2006b). Et cela vaut aussi bien pour les reprsentations non smiotiques que pour les reprsentations smiotiques. Le problme cognitif que pose cette diversit de reprsentations possibles est celui de la reconnaissance du mme something else (ou aliud aliquid ), cest--dire du mme objet, dans les contenus diffrents de chacune de ses multiples reprsentations possibles. Ce problme est crucial pour lapprentissage des mathmatiques dont la situation pistmologique est totalement diffrente de celle des autres disciplines. En effet, dans les autres domaines de connaissance, les objets et les phnomnes tudis sont accessibles perceptivement ou laide dinstruments (microscope, tlescope, etc..) qui augmentent soit le champ de la perception soit les capacits de dtection (les sondes spatiales pour cartographier la plante Mars). On peut alors ancrer chaque type de reprsentation dans une exprience perceptive directe ou instrumentalement mdiatise. Cela nest pas possible pour les mathmatiques. Car les objets mathmatiques ne sont pas accessibles perceptivement et, en mathmatiques, lattention se porte toujours sur tous les cas

III. LE PASSAGE DUN TYPE DE REPRSENTATIONS SMIOTIQUES A UN AUTRE : PROBLME CL DE LAPPRENTISSAGE. Le phnomne le plus important concernant les reprsentations est quil ny a pas une seule reprsentation pour un objet, comme pourrait le laisser croire la

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

65

possibles et non pas seulement sur ceux qui sont rellement observs ou observables. Laccs aux objets mathmatiques passe ncessairement par des reprsentations smiotiques, rudimentaires ou complexes. Cest dans cette situation pistmologique trs particulire que le problme cognitif de la diversit des reprsentations smiotiques devient crucial. Rappelons tout dabord lun des phnomnes les plus caractristiques de lactivit mathmatique : la mobilisation, simultane ou successive, de plusieurs types de reprsentations smiotiques y est constante. Dune part, toute activit mathmatique exige que lon puisse passer dun type de signe et de reprsentation un autre type, cest--dire que lon puisse convertir la reprsentation dun objet en une autre reprsentation du mme objet dans un autre systme smiotique, afin de se donner dautres moyens de traitement ou de contrle. Dautre part, la pratique de lenseignement des mathmatiques tend juxtaposer des reprsentations smiotiques diffrentes comme si cela devait rendre laccs aux objets mathmatiques plus facile. Il suffit douvrir nimporte quel manuel nimporte quelle page pour le constater. Et le recours linformatique permet de dvelopper cette stratgie. Or, tout cela prsuppose que les lves puissent comprendre ce passage dun type de reprsentation un autre, et surtout comprendre comment il se fait. Car, comment reconnatre que deux reprsentations, dont les contenus sont diffrents , puissent tre

deux reprsentations du mme objet, si on na pas la possibilit davoir une exprience de cet objet en dehors de ces deux reprsentations? On peut se rfrer une autre troisime reprsentation suppose plus familire. Mais, cest simplement dplacer le problme. L, se trouve le seuil de comprhension que beaucoup dlves ne franchissent pas. Il ne sagit pas, ici, de prsenter les mthodes dobservation et les rsultats qui mettent en vidence la relation entre les checs pour passer dun type de reprsentation un autre et les difficults rencontres par les lves en mathmatiques (Duval 1996, 2006a). Lintrt dune approche smiotique est plus thorique. Il est danalyser comment fonctionne chacun des systmes smiotiques utiliss en mathmatiques et dexpliciter le saut cognitif considrable que le passage de lun lautre exige. Cela est important pour comprendre la complexit des apprentissages. Car, quels que soient les contenus et les objectifs viss, lenseignement des mathmatiques implique ncessairement lintroduction de nouveaux types de reprsentation et il exige que les lves puissent passer spontanment de lun lautre. Pour illustrer les sauts existant entre des systmes de reprsentation htrogne, sauts qui sont au cur des tches mathmatiques demandes aux lves, nous pouvons garder lexemple des diffrents types de reprsentation des nombres (Figure 5). Ce qui est demand aux lves peut alors se traduire dans les trois sries de flches suivantes :

66 Relime Pas de principes dorganisation pour lemploi des marques TYPES DE REPRSENTATION DES NOMBRES Passages dun type un autre Et coordination cognitive Des principes dorganisation dterminent lEMPLOI des signes et leurs COMBINAISONS en units de sens (expressions) III. Des systmes dcriture de position (3) (5) (5bis) ? ? ? (4) IV. Notations algbriques

I. Des dessins schmatisant des dobjets (1)

II. Des marques units formellement indiscernables (2)

Figure 9. Ruptures smiotiques dans la reprsentation des nombres et/ou des grandeurs.

3.1 Des dessins schmatisant des objets matriels jusqu lcriture algbrique : un ordre dintroduction progressif aveugle aux ruptures ? Les passages reprsents par les flches (1) (2) et (3) dans le tableau ci-dessus sont souvent considrs comme un ordre, aussi bien gntique quhistorique, dapparition. Cest un tel ordre que lenseignement suit de la Maternelle jusquau dbut du Collge. Or, cest videmment le passage (3) qui retient le plus lattention en raison du passage de larithmtique lalgbre, tandis que le passage (2), celui de marques units manipulables comme des objets matriels un systme dcriture de position, nest pas considr comme un saut smiotique important parce quil sagirait toujours des mmes objets, les nombres entiers ! Pourtant, ce changement de reprsentation affecte le sens des oprations3, car il introduit des algorithmes doprations qui nont plus

rien de commun avec des manipulations libres sur des marques units. Et il marque comme une premire ligne darrt, souvent masque par une fausse familiarit avec lusage culturel du systme dcimal dans lapprentissage des mathmatiques. Voici deux exemples de difficults classiques et rcurrentes auxquelles lapprentissage se heurte. Ceux-ci soulignent la complexit smiotique, irrductible et trop souvent sousestime, de la reprsentation dcimale des nombres. Le premier exemple est emprunt une enqute dvaluation nationale sur les dcimaux chez des adultes et porte sur des situations de la vie courante (Leclre, 2000 ) : Les adultes que nous avons observs ont entendu ou retenu : multiplier par 10, cest rajouter un zro!

3 Il y a deux types dinterprtation des signes mathmatiques quil est capital de ne pas confondre. Lun est interne aux

dmarches mathmatiques et lautre concerne lapplication doprations ou de modles mathmatiques des situations de la ralit physique, conomique ou quotidienne, dont il faut slectionner des donnes (Duval, 2003). En ce sens, il y a une smantique mathmatique et une smantique commune, celle correspondant la pratique commune du langage et la culture dun milieu ou dune socit. Pour pouvoir justifier les mathmatiques, lenseignement tend rabattre la smantique mathmatique sur la smantique commune ! Cela se rvle catastrophique pour lanalyse des problmes dapprentissage. Car nous sommes l devant deux types de problmes trs diffrents.

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

67

10 forets 25,99 F cela fait combien ? Combien exactement ?

peu prs 300 balles! Je vais faire lopration

sait faire 25 x 10 et 30 x 10 mais ne voit pas

25,9 proche de 26

250, 99 ! peut-tre plus ! Combien ? (et donc ne fait pas 26 x 10)

Figure 10. Exemple dincomprhension typique du systme de la reprsentation dcimale des nombres

Avant de rsulter dune incomprhension des nombres dcimaux, cet exemple montre une incomprhension du systme de reprsentation des nombres. En effet, ce qui a t retenu par ces adultes reflte une double dficience : dune part, le non accs au principe dorganisation de lcriture, dont la rgle retenue nest quune description partielle et, dautre part, la non articulation de lcriture numrique avec lnonciation orale des nombres, utilise par ailleurs sans erreur pour estimer les ordres de grandeur des prix familiers ! Le deuxime exemple montre que le recours un type de reprsentation plus

familier ne constitue pas ncessairement une aide pour entrer dans un autre systme. Car cela soulve deux questions. La premire est celle de la congruence entre les deux types de reprsentations. La seconde est celle de savoir si on peut articuler, par exemple, une reprsentation concrte ou iconique et une reprsentation symbolique. Dans le cadre de lapprentissage de la multiplication, le problme suivant a t prsent : Madame Dubois a achet 5 tablettes de chocolat 7 francs lune. Combien a-t-elle dpens ?. Les trois types de rponses ont t observes (Brissiaud 1995 ,15).

7 x 5 = 35
7f. 7f. 7f. 7f. 7f.

5 2

7 + 7 + 7 + 7 + 7 = 35 Elle a dpens 35 F.

Elle a dpens 7 Francs

Mlanie

Elle a dpens 35 F.
Ccile

Sbastien

Figure 11. Quelle articulation entre deux types de reprsentation ?

68 Relime

Les deux premires productions utilisent simultanment des dessins schmatisant des objets et lcriture dcimale des nombres. Or, le recours la reprsentation iconique dune quantit conduit des productions diffrentes chez Sbastien et chez Mlanie. Chez Sbastien, la reprsentation iconique dune quantit est mise en correspondance avec les prix units. Or, il est important de voir que ce type de reprsentation iconique impose quasi ncessairement lopration additive ! Chez Mlanie, la reprsentation iconique dune quantit induit une opration de regroupement des images schmatises de tablettes et cette opration est marque par un encerclement (2.1.1). Cela conduit une impasse smiotique car aucune correspondance pertinente ne peut plus alors tre tablie avec lcriture numrique des nombres. Ces deux exemples montrent que le passage dune reprsentation iconique des nombres par des marques units la reprsentation par un systme dcriture de position constitue peut-tre un saut analogue celui de lapprentissage de la lecture. Et pour les difficults qui apparaissent travers ces exemples, on pourrait ici presque parler de difficults dalphabtisation numrique. En revanche, les difficults dentre dans lalgbre sont dune toute autre nature : elles concernent la matrise dun langage, commencer par les oprations discursives de dsignation (Duval, 2002). Or, chacun sait que, dans le langage, ce ne sont pas les mots qui importent mais les noncs et, sousjacentes aux noncs, les oprations discursives qui en construisent le sens (Duval,1995a).

3.2 De lcriture algbrique aux dessins et aux marques units : quelle fonction et pour qui ? La deuxime srie de flches (les flches inverses (4), (5), (5bis) de la Figure 9) correspond aux productions individuelles que lon peut observer chez des tudiants ou dans des manuels. Celle-ci marque un retour vers des reprsentations pseudo concrtes qui sont la fois manipulables et qui correspondent de petites quantits que lon peut voir . Ce retour peut rpondre des besoins trs diffrents. Ce peut tre pour des besoins de bricolage, lors dune phase de recherche dun problme, ou pour des besoins de vrification (Hitt, 2003). Ce peut-tre aussi pour un besoin de preuve. Ainsi Wittgenstein lui-mme, voulant souligner contre Russell la ncessit dune synopsis dans un processus de preuve mathmatique, nhsite pas dessiner: ||||||||||||||||||||||||||| |||||||||||||||| Puis il commente : Cette figure est-elle une preuve que 27 + 16 = 43 parce quon arrive 27 en comptant les traits du ct gauche et 16 quand on compte ceux du ct droit, et 43 quand on compte la srie entire?... A quoi tient ltrange ici quand on appelle la figure preuve de cette proposition ? Eh bien la faon dont il faut reproduire ou reconnatre cette preuve : en ce quelle na pas de forme visuelle caractristique... (1983, p. 143). Quel que soit le besoin ou la fonction particulire qui commande lutilisation de ces reprsentations quon peut manipuler comme des pseudo objets, cette utilisation manifeste toujours le besoin de sloigner

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

69

de labstraction smiotique, aveugle selon Leibniz, pour revenir aux choses mmes, ou du moins ce qui aiderait les apercevoir. Cependant, il faut tre ici extrmement prudent dans linterprtation des utilisations faites de ce type de reprsentation. Outre la polyvalence fonctionnelle de leur utilisation, on peut se demander si le recours ce type de reprsentation correspond aux mmes dmarches cognitives chez un expert et chez un lve du primaire. En dautres termes, le recours ces reprsentations relve-t-il de la mme comprhension chez celui qui peut loisir passer dun type de reprsentation un autre et chez celui qui ne peut travailler quavec des reprsentations pseudo concrtes ? Cette question est celle de la coordination entre les diffrents types de reprsentations et, donc, celle de la capacit des individus passer dun type de reprsentation un autre. Elle est marque par la troisime srie de flches sur la figure 9 ci-dessus. 3.3 Les difficults intrinsques la coordination des registres de reprsentation et les passages dun type de reprsentation un autre. Cest la situation pistmologique trs particulire des mathmatiques qui rend le passage dun type de reprsentation un autre si difficile et si insaisissable pour les apprenants. En effet, en mathmatiques comme dans les autres domaines de connaissances lexigence pistmologique de ne jamais confondre les reprsentations avec les objets reprsents demeure (Figure 1). Mais, comment ne pas confondre les reprsentations smiotiques avec les objets reprsents, lorsque ces objets ne peuvent pas tre atteints en dehors de ces reprsentations?

Une chose en tout cas est certaine : la capacit passer dun type de reprsentation smiotique un autre et la reconnaissance dun mme objet reprsent dans deux reprsentations dont les contenus sont diffrents sont les deux faces dun mme processus cognitif. Deux ractions interprtatives manifestent ce processus cognitif et sont dailleurs ncessaires pour conduire une activit mathmatique ou rsoudre des problmes : reconnatre un mme objet reprsent travers deux reprsentations dont les contenus sont sans rapports entre eux, parce quelles dpendent de systmes diffrents. Il sagit ici dune reconnaissance identifiante qui permet, par exemple pour une procdure de dnombrement, de jouer sur au moins deux registres diffrents : les reprsentations figurales et ltablissement de suites numriques. reconnatre deux objets diffrents, travers deux reprsentations, dont les contenus paraissent semblables, parce quelles relvent du mme systme de reprsentation et que, dune reprsentation lautre, la variation de contenu est faible. Il sagit ici dune reconnaissance discriminante qui conduit, par exemple, la variation de lcriture algbrique dune fonction linaire quand on varie la position dune droite sur un plan organis selon des coordonnes cartsiennes, et inversement ! Mais on pourrait galement prendre lexemple des noncs de problmes additifs, de mises en quations, et plus gnralement tous les noncs verbaux dapplication de savoirs mathmatiques des situations non mathmatiques. Un individu ne devient capable de ces deux ractions que lorsquil a commenc

70 Relime

dvelopper des coordinations entre les diffrents systmes de reprsentations. Or, il ne suffit pas que lenseignement ait fait suivre aux lves le parcours marqu par les flches (1), (2), (3) dans la Figure 9 et que lon voit les lves effectuer des retours du type (4) ou (5), pour que de telles coordinations cognitives se soient dveloppes et que les lves aient acquis de relles capacits de conversion (Duval, 2006 b). Le problme qui se pose dans lenseignement des mathmatiques nest pas de savoir de quel type de reprsentations, smiotiques ou non smiotiques, seraient les productions spontanes des lves, ou encore quel serait le meilleur type de reprsentation pour les lves, mais pourquoi les lves ont tant de mal passer dun type de reprsentation smiotique un autre et comment leur faire acqurir cette capacit. Car un lve incapable de ces passages se trouve trs vite durablement bloqu dans sa comprhension et ses capacits de recherche et de contrle, pour les activits mathmatiques quon peut lui proposer.

encore les phnomnes de codage et de transmission dinformations avec Jakobson, etc. Ces thories ont eu au moins lintrt de dfinir cinq relations fondamentales pour analyser ce quon considre comme eikon et non comme le corps dont on voit le reflet (Platon, Rpublique 509e), comme signum et non pas comme la res (Augustin, 1997), comme representamen et non pas simplement comme lobjet dont il tient lieu (Peirce, 1978). En ralit, chacune de ces relations, ou parfois leur composition, caractrise un type particulier de signes : image rflchie ou image imite, signe logique ou algbrique, signe linguistique, trace, indice ou signal. La question est de savoir si tout cela constitue un apport utile et pertinent pour lanalyse des signes en mathmatiques et du rle quils jouent dans le fonctionnement de la pense. Pour cerner cette question avec plus prcision, nous allons examiner trois questions.

4.1 Comment situer la distinction signifiant-signifi par rapport la relation signe-objet ? La distinction signifiant-signifi est souvent prsente comme une analyse de la structure interne des signes. Un signe serait constitu de deux lments : son aspect matriel qui le rend perceptible et son aspect immatriel qui serait sa signification. Cette distinction ne doit videmment pas tre confondue avec la fonction cognitive dvocation dun objet absent dont le signe tient lieu (Figure 1). Les stociens ont t les premiers avoir explicitement bien spar les deux aspects de la signifiance des signes: la signification et la dnotation.

IV. QUELLE SMIOTIQUE POUR LES MATHMATIQUES ET POUR LANALYSE DES PROBLMES QUE SOULVE LEUR APPRENTISSAGE ? Il pourrait paratre provoquant daffirmer que la smiotique comme science des signes reste encore fonder et que les diffrentes thories des signes souffrent des limitations du champ particulier des signes quelles ont tudis : la logique et linterprtation adaptative des phnomnes observs dans lenvironnement avec Pierce, la linguistique avec Saussure ou

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

71

s
l'entit manifeste par le signe matriel

(immatriel )

Dnotation

t
la chose relle, physique

Signification

{sonore)

la parole dite

Figure 12. Schma de lanalyse stocienne de la signifiance des signes

On peut tout de suite faire trois remarques : La distinction entre signifiant et signifi ne vaut que pour les signes linguistiques, cest--dire pour les langues dont lemploi est dabord oral pour remplir une fonction sociale de communication. Cela veut dire que la distinction entre signifiant et signifi ne sapplique pas aux symboles mathmatiques ni dailleurs aux signes purement graphiques, cest-dire purement visuels. Car les signes purement graphiques, la diffrence des signes linguistiques, lesquels sont dabord oraux avant dtre cods graphiquement, ne relvent pas dune double articulation (supra I.6). Ils relvent uniquement dune relation de rfrence qui lie un caractre un objet, constituant ainsi ce caractre en signe. Or, cette relation de rfrence est tablie par une opration de dsignation (supra 1.2) et elle peut dailleurs rpondre des fonctions trs diffrentes selon le contexte particulier de la dmarche o cette opration de dsignation est effectue. Il ny a pas de signifiant algbrique, mais seulement des notations qui sont des signes par leur seule rfrence institue un objet

(Freudenthal 2002 ; Weyl 1994). La distinction signifiant-signifi ne permet pas de dfinir la nature des signes comme Saussure (1973) la montr. On ne peut donc pas considrer le signifiant et le signifi comme deux constituants qui auraient chacun une identit ou une ralit par eux-mmes. Les signifiants (phoniques) comme les signifis lexicaux ne sont dtermins que par des diffrences respectivement dautres signifiants phoniques et dautres signifis lintrieur dune langue ( supra 1.4). Ce nest pas le signifiant qui signifie mais le signe dans sa totalit indivisible. Les signes, la diffrence des signaux ou des reprsentations non smiotiques, relvent toujours dun emploi intentionnel . Cela veut dire quil ne faut pas confondre les images produites intentionnellement, comme par exemple les dessins, et les images produites automatiquement par le seul usage dun appareil ou par le jeu des lois physiques (celles par exemple de la rflexion). Cela veut dire aussi que, parmi les cinq relations fondamentales permettant de caractriser des signes,

72 Relime

la relation dopposition alternative (1.4) et la relation de rfrence (1.2) sont les relations les plus appropries un emploi intentionnel. Cela est particulirement net pour la relation de rfrence qui sinscrit toujours dans une opration discursive de dsignation dun objet (individu, classe, relation, etc.). Il apparat donc quon ne peut pas mettre sur le mme plan la distinction signifiantsignifi, laquelle relve de la double articulation spcifique aux langues, et la relation signe-objet, laquelle relve dune opration discursive de dsignation ou de dfinition. Ce quon a prsent comme le triangle smiotique (Eco 1990, p.31-33) est une illusion nfaste pour la comprhension de ce quest un signe et de la manire dont il peut voquer ou tenir lieu. On ne peut pas fermer le schma illustrant les deux aspects, ou plus exactement les deux niveaux de la signifiance des signes (Figure 12) : le niveau du systme smiotique constitutif dun type de signes (par exemple une langue naturelle ou formelle) et le niveau du discours produit ou du traitement effectu laide de ce systme smiotique. Il faut donc sinterroger sur la pertinence du recours la distinction signifiant-signifi que lon trouve dans beaucoup de travaux de didactique des mathmatiques, dans lesquels dailleurs le terme signifi devient vite synonyme de concept et le terme signifiant synonyme de signe ! Cette distinction induit un glissement dides qui conduit des conclusions errones : de limmatrialit du signifi, on glisse son caractre non smiotique et, par la suite, la ncessit de doubler les reprsentations smiotiques par des reprsentations mentales pures. Comme si la pense tait indpendante de tout lecton ou de tout langage !

4.2 Comment distinguer, dans la varit des signes, diffrents types ou catgories de signes : en fonction des relations fondamentales ou en fonction des systmes producteurs de signes et de reprsentations ? Cest certainement lapport de Peirce que davoir mis cette question au centre de ltude des signes. Et cest lui qui a propos la premire classification systmatique des signes. En fait, cette question de la classification recouvre deux problmes quil est important de ne pas confondre. Il y a tout dabord celui du corpus de signes et de reprsentations, cest--dire le champ dobservation partir duquel on tablit la classification. Il y a ensuite le problme des critres ou des principes que lon retient pour tablir la classification.

4.2.1 Quelle diversit de signes et de reprsentations sert de base ltude des signes et des reprsentations?
Il faudrait ici produire un corpus dexemples. Nous ne pouvons ici quvoquer la varit des signes et des reprsentations que lon met sous les mots image et symbole , ce qui rend lemploi de ces termes problmatique ou quivoque. Ainsi le mot image peut recouvrir non seulement des dessins schmatiss ou des copies (Figure 2) mais galement des reflets dans un miroir ou encore les productions du rve, les souvenirs visuels. Cest sur la base de ce type dimages que Platon a labor son analyse de la reprsentation. Le dveloppement technologique est venu largir encore cette gamme avec les photos argentiques et les photos numriques. Quoi de commun entre tous ces types dimages ?

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

73

Le mot symbole est employ galement pour une varit considrable de signes : les notations mathmatiques, les sigles, et mme des fragments de lobjet reprsent. Peut-on aussi lutiliser pour caractriser les mots de la langue ? Lopposition antithtique , souligne par Benveniste (1974), entre lapproche de Peirce et celle de Saussure, vient de ce que le premier avait cherch prendre en compte la diversit des signes, au risque de perdre la spcificit des langues naturelles, et que le second stait au contraire limit la langue en en faisant le systme smiotique par excellence, cest--dire celui dont les autres pouvaient tre drivs. Mais quy a-t-il de commun entre les mots dune langue et les notations mathmatiques ?

Il y a, dune part, tous les types de signes progressivement crs pour le calcul numrique et algbrique, mais il y a galement les figures en gomtrie, qui peuvent ressembler des dessins schmatiss, mais qui ne le sont pas, et il y a aussi tous les graphes et enfin la langue naturelle quil ne faut pas oublier. Car la langue naturelle continue de jouer un rle essentiel en mathmatiques: sans elle, il ne pourrait pas y avoir dnoncs, cest-dire de dfinitions, de thormes ou mme dnoncs de problme.

4.2.2 Selon quels critres distinguer et classer la varit des signes et des reprsentations ?
Pour classer la varit des signes, Peirce a pris comme critres deux des cinq relations fondamentales que nous avons distingues plus haut : la relation de ressemblance (1.1) et la relation cause effet (1.3.1 ). Avec ces deux relations, il a tabli la partition trichotomique suivante :

Si maintenant nous regardons les mathmatiques, nous sommes devant une situation encore plus complexe, car les mathmatiques utilisent une gamme trs tendue de signes et de reprsentations.

RESSEMBLANCE

CAUSALIT

Contenu du representamen

Objet reprsent

Effet observ

Cause

OUI

NON

OUI

ICONES

SYMBOLES

INDICES

Figure 13. Partition trichotomique des signes selon Peirce

On remarquera quil ny a pas de rapport entre les deux relations retenues par Peirce. En effet, dans la premire relation, les signes et les reprsentations sont caractriss comme tant des representamen partir de leur seul contenu. Dans la seconde relation, les signes et les reprsentations sont considrs comme tant le rsultat, ou leffet du phnomne ou de lobjet quils voquent. Ce peut tre un effet direct comme la fume. Mais ce pourrait tre aussi bien un effet indirect mdiatis par un systme physique (un

74 Relime

appareil photo) ou neurophysiologique (la mmoire visuelle). De toute manire, la classification de Peirce se limite juxtaposer ces deux relations htrognes. Pour notre propos, la principale question nest cependant pas l. Elle est de savoir si cette trichotomie est suffisamment discriminante pour tre utilise dans lanalyse des productions mathmatiques. Par exemple, le recours la notion dicne, fonde sur la relation de ressemblance, permet-elle de distinguer les diffrences entre les figures schmatises qui peuvent voluer vers des marques units (Figure 2, 4 et 5), les figures figuratives (Figure 2) et les reprsentations visuelles de la gomtrie (Figures 3, 6 et 7) ? Le recours la notion de symbole, permet-il de discriminer entre les systmes dcriture des nombres, les symboles algbriques ou logiques, et les mots dune langue (Figure 4, 5 et 12) ? Dune manire plus gnrale, cette partition trichotomique permet-elle de prendre en compte les signes qui dpendent dun systme producteur, cest-dire de principes dorganisation gnrant des rgles de formation et une syntaxe4, et les marques qui sont des supports pour des oprations libres ou encore qui sont seulement la trace dune opration faite ? Cette question na rien de gnral et de vague. Peut-on, par exemple, appliquer la catgorie dindice pour dsigner le recours des lettres marquant une opration discursive de dsignation et rpondant une fonction dabrviation (Radford, 1998) ? La tentative de la classification des signes permet donc de formuler un problme thorique fondamental pour la smiotique :

les relations fondamentales pour lanalyse des signes, peuvent-elles tre des critres pertinents et discriminants pour tablir une classification des signes utilisable en mathmatiques ? Il semble quaucune thorie smiotique cohrente ne soit susceptible darticuler ensemble les diffrentes relations fondamentales qui ont t mises en vidence de Platon Saussure. Il semble en outre, que ces relations ne permettent pas de prendre en compte ce qui est pourtant essentiel pour lactivit et la pense mathmatiques : la transformation des reprsentations (supra II). En ralit, si lon veut classer les signes, il faut partir dun tout autre point de vue : celui des systmes qui produisent les reprsentations. La varit des reprsentations vient de la diversit des systmes producteurs de reprsentations, ainsi que nous lavons dj suggr plus haut propos de la photo intitule une et n chaises . Car il y a autant de types de reprsentations possibles quil existe de systmes diffrents pour les produire. Ce sont donc moins les reprsentations quil sagit de classer que les systmes permettant de les produire (Duval, 1999). Ces systmes peuvent tre : de nature physique (reflets, photographies) ou neurophysiologique (images oniriques, souvenirs visuels...) : dans ce cas, la relation est une relation de causalit et le mode de production ne dpend pas de lintention du sujet mais des proprits du systme qui produit la reprsentation. En retenant la relation effet observ cause, Peirce sen est tenu aux seuls systmes physiques comme systmes producteurs de reprsentation.

4 Rappelons que le principe de position de labaque gnre une rgle de composition des signes qui permet de dsigner

systmatiques et sans confusion nimporte quel nombre entier, la seule limitation tant celle du cot temporel et spatial. En ce sens le principe de position de labaque gnre un bauche de syntaxe.

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

75

de nature smiotique : dans ce cas, la relation est une relation de rfrence et la production est une production intentionnelle, cest--dire oprant des choix dans la production des reprsentations qui impliquent une laboration combinant des units de sens. Il est surprenant que lon ait peu ou pas du tout prt attention au fait que les systmes smiotiques sont aussi des systmes producteurs de reprsentation. Cela est pourtant frappant en mathmatique, ne serait-ce quavec les systmes de numration ! Mais, cest aussi frappant avec les langues naturelles. Loublier, cest oublier toute la cration littraire et potique. En ce qui concerne les mathmatiques, ce sont videmment les systmes smiotiques qui sont intressants, et non pas les systmes de nature physique ou organique. On peut alors classer les systmes smiotiques en prenant en compte deux aspects : dune part, selon quils permettent, ou non, des traitements algorithmiques et, dautre part, selon quils sont multifonctionnels ou monofonctionnels. Nous obtenons ainsi quatre grandes classes de registres de reprsentation utilises en mathmatiques (Duval 2003 ; 2006a p.110). Elles permettent, en particulier, de voir que la gomtrie mobilise au moins deux types totalement diffrents de reprsentations. Cette classification permet de mettre en vidence les deux grands types de transformations des reprsentations, cest-dire les conversions et les traitements qui font la dynamique de toute activit mathmatique (Figures 7 et 9) ainsi que les variables cognitives qui jouent dans lapprentissage des mathmatiques.

4.3 Lanalyse des signes et des systmes smiotiques, peut-elle tre entirement subordonne la fonction remplie par les signes dans un contexte dtermin ? Cette question touche le problme des rapports entre une analyse fonctionnelle des signes et une analyse structurale. Il faut reconnatre que, dans la plupart des travaux, hormis ceux qui prennent en compte lapport de Saussure, lanalyse des signes est faite en leur assignant une ou plusieurs fonctions, sans que ni une analyse structurale du fonctionnement propre chaque type de reprsentation ni une tude systmatique de leurs fonctions possibles (Duval, 1999) naient rellement t faites. Ainsi, pour la langue naturelle, cest la fonction de communication qui est immdiatement retenue. Mais, lorsquil sagit des notations algbriques, on fait videmment appel dautres fonctions : abrger, faire court, non seulement pour soulager la mmoire mais galement pour apprhender le plus grand nombre de signes (et donc dobjets) dans un seul acte de pense. En dautres termes, il sagit de transformer lapprhension successive dune squence en une apprhension simultane. Cette fonction dconomie cognitive, qui a t explicite pour la premire fois par Descartes, tient essentiellement compte des limitations des capacits de lintuition et de la mmoire (supra 2.1.3). Mais, cette fonction dconomie cognitive ne peut rellement tre mise en uvre que dans une production crite des signes, et non pas dans la parole.

76 Relime

pouvoir effectuer des substitutions de signes entre eux. Cest la fonction mathmatique de traitement que les signes doivent remplir pour permettre deffectuer des calculs. Et la puissance de calcul dpend videmment du systme smiotique utilis. Il y a bien dautres fonctions que nous nallons pas prendre en compte ici. Cela suffit pour soulever les deux problmes suivants en nous limitant aux seules fonction de communication et de traitement.

dans lenseignement des mathmatiques entre les enseignants et leurs lves (Duval, 2003). On pourrait faire des remarques analogues propos des fonctions trs diffrentes que lon fait remplir aux figures gomtriques (Duval, 2005). Au contraire, les systmes que nous avons appels monofonctionnels , comme les systmes de numration ou le symbolisme mathmatique constitutif des langages formels, ne permettent de remplir quune seule fonction, celle de traitement.

4.3.1 Un mme systme smiotique peut-il remplir des fonctions htrognes ?

Le langage, cest--dire lexpression dans un langue naturelle, rpond prioritairement une fonction sociale de communication. Cest ce titre que lon oppose souvent les mathmatiques et le langage. Cependant, la langue naturelle est aussi utilise, par exemple en gomtrie, pour effectuer des dmarches mathmatiques qui vont permettre de remplir une fonction de preuve : pour dfinir, pour noncer des thormes, pour dduire. Ce changement de fonction dans lutilisation de la langue entrane un changement, souvent non remarqu, dans les oprations discursives qui vont tre privilgies (Duval, 1995a). La difficult de lutilisation de la langue naturelle en mathmatiques tient au fait quun changement de fonction dans son utilisation entrane un autre type de fonctionnement du discours. Et, le plus souvent, ce changement de fonction ne peut se faire quen passant dune modalit dexpression orale une modalit dexpression crite. Car la pratique orale de la langue ne permet pas de remplir les mmes fonctions que sa pratique crite (Duval 2000, 2001). Cest l une source profonde, et souvent nie, dquivoques

4.3.2 Quel est le degr de libert de linterprtant dans la signification des signes ?
Ce qui est le plus souvent cit, et retenu, de la dfinition des signes propose par Peirce est la relation des signes un interprtant : Un signe ou representamen est quelque chose qui tient lieu pour quelquun de quelque chose . Cette relation, que nous navons pas retenue parmi les relations fondamentales, est, en effet, trs gnrale et son utilisation dans lanalyse des productions requiert que lon prenne en compte deux facteurs importants. Le premier facteur est le type de reprsentation. Nous avons vu, par exemple, quil y avait deux grands types de reprsentation des nombres (Figure 4 et Figure 5). Lorsque la reprsentation dpend dun systme de numration, comme, par exemple, le systme dcimal, linterprtant na aucun degr de libert. En revanche, sil sagit de marques units, linterprtant dispose de tous les degrs de libert quil souhaite puisque les reprsentations lui servent seulement de support externe pour des manipulations libres.

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

77

Le deuxime facteur est la situation de linterprtant : est-il lui-mme en situation de production, comme dans un travail de recherche, ou est-il en situation de rception, comme dans lcoute ou la lecture dune explication ? Dans la premire situation, la relation de linterprtant aux signes varie selon quil produit les reprsentations pour lui-mme, cest--dire pour explorer, pour contrler, pour mieux prendre conscience ou, au contraire, selon quil produit les reprsentations pour les autres, cest-dire pour communiquer. Dans la premire situation, cest la fonction que linterprtant assigne aux signes quil produit lui-mme qui dtermine leur critre dinterprtation. Dans la seconde situation, linterprtant na que le contexte global de la communication qui lui sert alors dappui pour comprendre. Cest dans cette situation particulire quune approche pragmatique des signes devient plus essentielle quune approche smantique ou syntaxique. Historiquement, lintrt de la relation linterprtant qui est mentionne dans la dfinition de Peirce est davoir ouvert une approche pragmatique dans lanalyse des productions smiotiques. Mais, une telle approche peut-elle tre mise au centre dune analyse smiotique de lactivit et des productions mathmatiques ?

dualit de ces modes de la reprsentation que sont limage et le langage, et plus rcemment les transmissions de linformation avec leur traitement numrique. Mais toutes ces thories restent en de de la complexit et de la varit des reprsentations smiotiques qui sont mobilisables dans lactivit et les productions mathmatiques. Loriginalit de lactivit mathmatique par rapport tous les autres types dactivit est double. Dune part, ce sont les mathmatiques qui utilisent le spectre le plus tendu de reprsentations smiotiques et elles ont mme contribu lenrichir. Mais, elles le font toujours avec la mme exigence : utiliser les possibilits de transformation que chaque type de signes ou de reprsentation peut offrir de manire spcifique. Et cela, pour des raisons heuristiques, pour des raisons de simplification ou dconomie, pour des besoins de contrle, pour augmenter la puissance de traitement, etc. Dautre part, les objets de connaissances mathmatiques sont indpendants des reprsentations utilises pour y accder ou pour les utiliser. Ce qui rend tel ou tel type de reprsentation smiotique, localement ou momentanment ncessaire, cest la fonction que ce type de reprsentation permet de remplir : fonction heuristique, fonction de contrle, fonction de traitement. La varit des types de signes mobiliss dans les productions mathmatiques reflte la varit des dmarches de pense accomplir dans une activit mathmatique. Cest pourquoi une smiotique prenant en compte la varit des reprsentations smiotiques mobilises en mathmatiques reste peut-tre encore faire ! Mais, pourquoi alors une approche smiotique ? Nous touchons l au paradoxe cognitif des mathmatiques. Les objets de connaissances mathmatiques ne sont

CONCLUSION Lanalyse de signes se fait toujours par rapport au type dactivit pour lequel la production et la transformation de reprsentations smiotiques savrent ncessaires. Pour ne pas se trouver trop retreintes dans leur champ de validit et dapplication, les thories du signe ont donc cherch sappuyer sur les formes dactivits les plus communes et, donc les plus gnrales : la communication, linterprtation adaptative des phnomnes de lenvironnement, ou, en psychologie, la

78 Relime

accessibles que par le moyen de reprsentations smiotiques, mais ils ne peuvent jamais tre confondus avec les reprsentations smiotiques qui permettent de les atteindre et de les utiliser. Comment alors reconnatre les mmes objets dans la varit de leurs reprsentations possibles ? Cest videmment ce paradoxe qui est au cur des difficults que les lves rencontrent dans lapprentissage des mathmatiques, paradoxe qui nexiste pas dans les autres domaines de connaissance. En outre, il faut rappeler que lenseignement des mathmatiques ne se limite pas introduire des concepts selon une progression planifie dans un curriculum. Il introduit aussi de nouveaux systmes de reprsentations smiotiques, en mme temps quil introduit une autre mode de fonctionnement cognitif dans les systmes culturellement communs des images et du langage. Lanalyse des diffrentes tches impliques dans les activits proposes aux

lves et dans la rsolution de problmes ne peut pas faire limpasse sur la varit des reprsentations smiotiques mobiliser. Le paradoxe cognitif des mathmatiques ne peut tre rsolu par les lves que par une coordination de tous les registres de reprsentation mobilisables dans lactivit mathmatique. Les passages dun registre un autre, qui sont ce quil y a de plus difficile, ne deviennent possibles pour les lves quavec le dveloppement dune telle coordination. Ne prendre en compte dans lenseignement ni ce paradoxe cognitif ni la complexit cognitive dune mobilisation simultane ou successive de types de signes htrognes, qui est pourtant inhrente lactivit mathmatique, cest prendre le risque dgarer la plupart des lves dans ce quon pourrait appeler, en prolongement des rflexions de Leibniz sur ce qui embarrasse notre raison, le troisime labyrinthe , celui des reprsentations smiotiques.

REFERENCE LIST Augustin, (saint) (1997). De Doctrina Christiana. Paris: Institut dEtudes Augustiniennes. Belmas, P. (2003). Apprentissage de la proportionnalit et symbolisations chez des lves en chec scolaire de SEGPA. Annales de Didactique et de Sciences Cognitives, 8, 167189. Benveniste, E. (1974). Smiologie de la langue. In Problmes de linguistique gnrale, 2, (pp. 43-66). Paris: Gallimard. Bessot, D. (1983). Problmes de reprsentation de lespace. In Enseignement de la Gomtrie, Bulletin Inter-IREM , 23, 33-40. Boysson-Barides, B. (1999). Comment la parole vient aux enfants. Paris : Odile Jacob. Bresson, F. (1987). Les fonctions de reprsentation et de communication. In J. Piaget, Mounoud & Bronckart (Eds.), Psychologie (pp. 933-982). Paris: Encyclopdie de la Pliade.

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

79

Brissiaud, R. (1995). Japprends les maths, CE2. Paris : Retz. Condillac (1982 (1798)). La langue des Calculs. Lille: Presses universitaires de Lille. Deledicq, A. (1979). Mathmatiques 4me. Paris: Cdic. Ducrot, O. (1972). Dire et ne pas dire. Paris: Hermann. Duval, R. (1995a). Smiosis et Pense humaine. Berne: Peter Lang Duval, R. (1995b) Geometrical Pictures : kinds of representation and specific processing. In R. Sutherland & J. Mason (Eds.), Exploiting Mental Imagery with Computers in Mathematics Education (pp. 142-157). Berlin: Springer. Duval, R. (1996) Quel cognitif retenir en didactique des mathmatiques ?, Recherches en Didactique des Mathmatiques, 16(3), 349-382. Duval, R. (1998). Signe et objet : trois grandes tapes dans la problmatique des rapports entre reprsentation et objet. Annales de Didactique et de Sciences Cognitives, 6, 139163. Duval, R. (Ed.) (1999). Conversion et articulation des reprsentations analogiques. Lille: I.U.F.M. Nord Pas-de-Calais, D.R.E.D. Duval, R. (2000). Ecriture, raisonnement et dcouverte de la dmonstration en mathmatiques, Recherches en Didactique des Mathmatiques, 20(2), 135-170. Duval, R. (2001). Pourquoi faire crire des textes de dmonstration. In E.Barbin, R.Duval, I. Giorgiutti, J.Houdebine, C. Laborde (Eds.), Produire et lire des textes de dmonstration (pp.183-205). Paris : Ellipses. Duval, R. (2002). Lapprentissage de lalgbre et le problme cognitif de la dsignation des objets. In Ph. Drouhard & M. Maurel (Eds.) Actes des Sminaires SFIDA 13-16, Volume IV 1901-2001 (pp.67-94) Nice: IREM. Duval, R. (2003). Dcrire, visualiser, raisonner : quels apprentissages premiers de lactivit mathmatique ? Annales de Didactique et de Sciences Cognitives, 8, 13-62. Duval, R. (2005). Les conditions didactiques de lapprentissage de la gomtrie : dveloppement de la visualisation, diffrenciation des raisonnements et coordination de leurs fonctionnements. ? Annales de Didactique et de Sciences cognitives, 10, 5-53. Duval, R. (2006a). The cognitive Analysis of Problems of comprehension in the Learning of Mathematics. Educational Studies in Mathematics, 61, 103-131 . Duval R. (2006b). Transformations de reprsentations smiotiques et dmarches de pense en mathmatiques. Actes du XXXII me Colloque COPIRELEM, 67-89.

80 Relime

Duval, R. & Godin, M. (2005). Les changements de regard ncessaires sur les figures. Grand N, 76, 7-27. Eco, U. (1990 (1973)). Le signe ( tr.J-M. Klinkenberg). Paris: Labor. Frege G. (1971). Ecrits logiques et philosophiques. Paris : Seuil. Freudenthal, H. (2002). Notation Mathmatique. Encyclopedia Universalis (pp. 338344). Paris Hitt, F. (2003). Le caractre fonctionnel des reprsentations. Annales de Didactique et de Sciences Cognitives, 8, 255-271. Kaput, J. (1987). Towards a Theory of Symbol Use in Mathematics. In C Janvier (Ed.), Problems of Representation in the Teaching and Learning of Mathematics (pp. 159195). Hillsdale, New jersey/ London : Lawrence Erlbaum. Lacroix, S.F. (1820). Elments dAlgbre. Paris : Mme Veuve Courcier. Leclre, J.P. (2000). Faire des mathmatiques un public en situation dillettrisme : le contraire dune utopie. Thse Universit Lille 1. Leibniz, G.W. (1972). Oeuvres I (Edites par L. Prenant). Paris: Aubier Montaigne. Martinet, A (1966). Elments de linguistique gnrale. Paris : Armand Colin. Piaget, J. (1968a). La naissance de lintelligence chez lenfant. Neuchatel : Delachaux et Niestl. Piaget , J. (1968b). La formation du symbole chez lenfant. Neuchatel : Delachaux et Niestl. Peirce, C.S. (1978). Ecrits sur le signe ( tr. G. Deledalle) Paris: Seuil. Radford L. ( 1998). On signs and Representations. A cultural Account. Scientia Paedagogica Experimentalis, 35(1), 277-302. Russell, B. (1969). Signification et Vrit (tr.Ph ;Delvaux). Paris : Flammarion. Saussure, F. de (1973 (1915)). Cours de linguistique gnrale. Paris : Payot. Serfati, M. (1987). La question de la chose. Mathmatiques et Ecriture. Actes du colloque Inter IREM dHistoire et dEpistmologie des Mathmatiques, (pp. 309-334). Strasbourg: IREM. Quine, W.V. (1977). Relativit de lontologie et autres essais (tr. Largeault). Paris: Aubier.

Quelle smiotique pour lanalyse de lactivit et des productionsmathmatiques?

81

Weyl, H. (1994 (1953)) Sur le symbolisme des mathmatiques et de la physique mathmatique in L e continu et autres crits (tr. Largeaut), (pp. 248-264). Paris: Vrin. Wittgenstein, L (1983). Remarques sur les fondements des mathmatiques (tr. M-A. Lescouret). Paris : Gallimard.

Raymond Duval Universit du Littoral Cte dOpale(ULCO) France E-mail: [email protected]

82 Relime

Relime, Nmero Especial, 2006, pp. 83-102.

83

Socioepistemologa y representacin: algunos ejemplos

Ricardo Cantoral 1 Rosa-Mara Farfn 2 Javier Lezama 3 Gustavo Martnez-Sierra 4

RESUMEN Este artculo discute, en distintos planos y con el empleo de diversos ejemplos, un papel para la nocin de prctica social en la construccin de conocimiento matemtico y de cmo se articula con procesos de representacin. Particularmente, estudiamos algunas actividades como medir, predecir, modelar y convenir, como escenarios de construccin social de conocimiento matemtico. PALABRAS CLAVE: Socioepistemologa, prctica social, representacin.

ABSTRACT In this article we discuss, at different levels and through several examples, one role that the notion of social practice can play in the construction of mathematical knowledge and its articulation with processes of representation. Particularly, we study some activities such as measuring, predicting, modeling and agreeing as scenarios of social construction of mathematical knowledge. KEY WORDS: Socioepistemology, social practice, representation.

RESUMO Este artigo discute, em distintos planos e com o emprego de diversos exemplos, um papel para a noo de prtica social na construo do conhecimento matemtico e de como se articula com os processos de representao. Particularmente, estudamos algumas atividades como medir, predizer, modelar e ajustar, como cenrios de construo social de conhecimento matemtico.

Fecha de recepcin: Marzo de 2006/ Fecha de aceptacin: Mayo de 2006.

1 2 3 4

Centro de Investigacin en Matemtica Educativa (Cimate). Facultad de Matemticas, Universidad Autnoma de rea de Educacin Superior. Departamento de Matemtica Educativa Cinvestav, IPN. Programa de Matemtica Educativa del Centro de Investigacin en Ciencia Aplicada y Tecnologa Avanzada del IPN. Cimate. Facultad de Matemticas, Universidad Autnoma de Guerrero.

Guerrero (en receso sabtico 2005 2006). Departamento de Matemtica Educativa Cinvestav, IPN.

84 Relime

PALAVRAS CHAVE: Socioepistemologia, prtica social, representao.

RSUM Dans cet article nous discutons, sur des plans diffrents et travers lutilisation de plusieurs exemples, dun rle que la notion de pratique sociale peut jouer dans la construction du savoir mathmatique et de son articulation avec des processus de reprsentation. En particulier, nous tudions quelques activits comme mesurer, prdire, modeler et convenir en tant que scnarios de construction social du savoir mathmatique. MOTS CLS : Sociopistmologie, pratique sociale, reprsentation.

Introduccin En un sentido amplio, digamos que tradicional, la teora del conocimiento ha considerado a la Representacin como una imagen, una idea, una nocin o ms ampliamente, un pensamiento expresado, formado al nivel mental y que est presente de modo consciente. En este sentido la representacin precisa de aquello que habr de ser re-presentado es decir, vuelto a presentar, requiere por tanto de un Objeto con existencia previa cuya captacin intelectual reproduzca mentalmente a travs de traer al presente las situaciones vividas, o de anticipar eventos por venir que condensen la experiencia adquirida. Bajo ese enfoque, la actividad semitica no puede crear al objeto, pues slo lo re-presenta, es por ello que algunos autores han sealado crticas a su sustento epistemolgico. Radford, (2004), por ejemplo, citando a Peirce, deca que el signo no crea al objeto: aqul es solamente afectado por ste. En pocas palabras, en las diferentes escuelas de pensamiento que adoptan una perspectiva trascendental respecto a los objetos matemticos (que sea el caso del idealismo o del realismo), los signos constituyen el puente de acceso a esos objetos conceptuales vistos como situados ms all de las peripecias de la accin humana y la cultura. Para Radford, es la actividad humana la que produce al objeto. El signo y la forma en que ste es usado (esto es, su sintaxis) forma necesariamente cultural en tanto que inmersa en Sistemas Semiticos Culturales de significacin son considerados como constitutivos del objeto conceptual: stos objetivan al objeto. (op. Cit., p. 14). El enfoque socioepistemolgico comparte la tesis, de la semitica cultural, que confiere a la actividad humana la funcin de produccin del objeto, aunque el nfasis socioepistemolgico no est puesto ni en el objeto preexistente o construido, ni en su representacin producida o innata; sino ms bien se interesa por modelar el papel de la prctica social en la produccin de conocimiento a fin de disear situaciones para la intervencin didctica. Claramente, ello exige de un posicionamiento sobre el sentido que adquiere la expresin prctica social, en este enfoque. Se asume como tesis fundamental que existe una profunda diferencia entre la

Socioepistemologa y representacin: algunos ejemplos

85

realidad del objeto la llamada realidad implicada y la realidad descrita que producen los seres humanos en su accin deliberada para construir su realidad explicada. La socioepistemologa ha tratado el problema de la representacin de un modo singular, pues no busca discurrir tericamente sobre la accin de representar al objeto mediante artefactos, herramientas o signos, sino que se ubica a ras de las prcticas y de la forma en que stas son normadas por prcticas sociales. En primer trmino, es importante que se distinga la nocin de prctica en un sentido llano, de aquella que usamos en este enfoque. La prctica social la entendemos como normativa de la actividad, ms que como actividad humana reflexiva o reflexin sobre la prctica; o aun como se seala en (Radford, 2004), como interiorizacin reflexiva de prcticas sociales histricamente constituidas. Ah radica una de las principales distinciones tericas del enfoque socioepistemolgico: la prctica social no es lo que hace en s el individuo o el grupo, sino aquello que les hace hacer lo que hacen (Covin, 2005). De este modo, se pretende explicar los procesos de construccin, adquisicin y difusin del saber matemtico con base en prcticas sociales. En sus investigaciones, los socioepistemlogos reportan ms bien caracterizaciones del ejercicio de las prcticas que anteceden a la produccin o construccin de conceptos y al desarrollo del saber. Segn este encuadre terico, es preciso modificar el foco: pasar de los objetos a las prcticas. Los enfoques reificacionistas centrados en objetos, buscan explicar el proceso mediante el cual se llega a la construccin del objeto y minimizan el papel que desempea la triada: herramientas, contextos y

prcticas. El cambio de centracin producir un deslizamiento de orden mayor hacia explicaciones sistmicas, holsticas, complejas y transdisciplinarias, en virtud de que la accin cognitiva no busca la apropiacin de objetos a travs de sus partes, sino que asume que stos no existen objetiva y previamente, ah afuera, previos a la experiencia, sino que ms bien los objetos son creados en el ejercicio de prcticas normadas (tesis compartida con la semitica cultural). En consecuencia, se cuestiona la idea de que la cognicin se reduzca a la accin de recobrar el entorno inmediato mediante un proceso de representacin, para asumir que la cognicin sea as entendida como la capacidad de hacer emerger el significado a partir de realimentaciones sucesivas entre el humano y su medio ambiente prximo, tanto fsico como cultural, a partir de una interaccin dialctica entre protagonistas. Esta interaccin, socialmente normada, da a la prctica, inevitablemente, una connotacin de prctica social. El conocimiento entonces, como se ha sealado en (Varela et al., 1997) depende de las experiencias vividas que, a su vez, modifica las propias percepciones y creencias.

1. La socioepistemologa Debemos sealar que la aproximacin socioepistemolgica a la investigacin en matemtica educativa busca construir una explicacin sistmica de los fenmenos didcticos en el campo de las matemticas, no slo discute el asunto de la semiosis o el de la cognicin de manera aislada, sino que busca intervenir en el sistema didctico en un sentido amplio, al tratar a los fenmenos de produccin, adquisicin y de difusin del conocimiento matemtico desde una perspectiva mltiple, que incorpore al estudio de la epistemologa del

86 Relime

conocimiento, su dimensin sociocultural, los procesos cognitivos asociados y los mecanismos de institucionalizacin va la enseanza (Cantoral & Farfn, 2003). En este enfoque se pone nfasis el hecho de que las aproximaciones epistemolgicas tradicionales, han asumido que el conocimiento es el resultado de la adaptacin de las explicaciones tericas con las evidencias empricas, ignorando, en algn sentido, el papel que los escenarios histricos, culturales e institucionales desempean en la actividad humana. La socioepistemologa, por su parte, se plantea el examen del conocimiento matemtico, social, histrica y culturalmente situado, problematizndolo a la luz de las circunstancias de su construccin y difusin (Cantoral & Farfn, 2004). La aproximacin socioepistemolgica a la investigacin en matemtica educativa se ocupa entonces, especficamente, del problema que plantea la construccin social del conocimiento matemtico y de su difusin institucional. Dado que este conocimiento adquiere el estatus de saber slo hasta que se haya constituido socialmente, en mbitos no escolares, su difusin hacia y desde el sistema de enseanza le obliga a una serie de modificaciones que afectan directamente su estructura y su funcionamiento, de manera que afectan tambin a las relaciones que se establecen entre los estudiantes y su profesor. Bajo este enfoque se han producido una gran cantidad de investigaciones empricas y de las cuales citamos algunas (Alans et al, 2000; Arrieta, 2003; Cantoral, 1990, 1999; Cantoral & Farfn, 1998; Cordero, 2001; Covin, 2005; Lezama, 2003; Lpez, 2005; Martnez Sierra, 2003; Montiel, 2005). En su intento por difundir estos saberes, la socioepistemologa sostiene que se

forman discursos que facilitan la representacin en matemticas alcanzando consensos entre los actores sociales. Nombramos a estos discursos con el trmino genrico de discurso matemtico escolar (Cantoral, 1990). Debemos aclarar que la estructuracin de dichos discursos no se reduce a la organizacin de los contenidos temticos, ni a su funcin declarativa en el aula (el discurso escolar), sino que se extiende un tanto ms all, al llegar al establecimiento de bases de comunicacin para la formacin de consensos y la construccin de significados compartidos; en este sentido se trata ms bien de una unidad cultural en el sentido de Minguer (2004). Para mostrar lo anterior, consideremos el siguiente hecho. El tratamiento didctico de las distintas clases de funciones a travs de sus representaciones grficas enfrenta dificultades serias al momento de evaluar los logros al nivel de la comprensin por parte de los estudiantes. Si bien la mera clasificacin visual de sus representaciones puede ser un elemento de partida para distinguirlas en una explicacin didctica, habr que explorar ms profundamente aquellos elementos que les permitan aproximarse a la naturaleza de las distintas clases de funciones. Al poner en escena una situacin didctica relativa al tratamiento de la funcin 2 x entre estudiantes de bachillerato (15 17 aos), a fin de que se apropiaran del concepto de funcin exponencial, se favoreci el empleo de criterios geomtricos: localizar puntos en el plano, identificar regularidades para transitar de la figura a sus propiedades. Para inducirles a construir, basados en la coordinacin de elementos geomtricos y grficos, una curva a partir de un atributo analtico. Se propici tambin la induccin de lo local a lo global, partiendo de casos particulares se les solicitaba que

Socioepistemologa y representacin: algunos ejemplos

87

argumentasen sobre la posibilidad de localizar otros puntos ms y de ah, se cuestionaba sobre la naturaleza especfica de la funcin 2x. Presentamos a continuacin dos fragmentos realizados por equipos de estudiantes, para dotar de cierta evidencia emprica nuestras afirmaciones. La secuencia propuso actividades para la localizacin de puntos en el plano que formasen parte de la grfica de la funcin 2x. Como se puede observar en la Figura 1, los estudiantes ponen de manifiesto que tienen una imagen de la representacin grfica de la funcin creciente con trazo continuo. Tambin se puede observar que la localizacin de los puntos sobre la grfica (como pares ordenados) no corresponde a la escala que se plantea en los ejes. El haberles solicitado la obtencin de determinados puntos sobre la grfica, permiti que se iniciara una discusin sobre el significado de elevar a una potencia. En la figura se observa que le asocian, a la expresin 2 x distintos valores a la x lo que les lleva a explorar el significado de elevar a potencia para distintas clases de nmeros. (Potencia entera, 3; potencia racional, 1 2 ; y aun el caso de una potencia irracional, . Ante esto ltimo los estudiantes no representan nada). El ubicar puntos especficos para potencias, enteras y racionales, problematiza entre los estudiantes el carcter creciente de la funcin y su trazo continuo, hay en el dibujo una pregunta tcita cmo se eleva a la potencia ?

Figura 1

En la siguiente figura, de nueva cuenta, los estudiantes tienen una idea de la funcin 2x mediante una representacin grfica, creciente y con trazo continuo, bosquejndola de manera general y permitindonos ver que no reparan ante el caso de que la variable x tome el valor de cero o sea incluso negativa. En contraste, observamos junto a ese trazo, la localizacin de los segmentos de valor 21/4, 21/2, 21, etc., que fueron obtenidos a travs de la aplicacin del algoritmo geomtrico de la media geomtrica en la semicircunferencia. Podemos interpretar el empleo de dicho algoritmo, como un ejercicio de medicin, ya que es construido a partir de la definicin de una determinada unidad de medida. En el caso del grfico de la izquierda las ordenadas tienen un significado concreto, explcito para los estudiantes: son segmentos de longitud 21/4, 21/2, 21, etc. Este ejercicio de medir permite comparar a los segmentos y con ellos aproximarse a una idea especfica de

88 Relime

crecimiento, ya no es arbitrario como en el grfico siguiente, sino que sigue un patrn susceptible de comparacin y descripcin detallada.

del crecimiento de la funcin 2 x . La representacin no existe como tal hasta que algunas prcticas cotidianas como medir, comparar, observar son llevadas a cabo, son ejercidas. En este sentido, la aproximacin socioepistemolgica pone su nfasis en el papel de las prcticas sociales en la construccin del conocimiento. Resta aun discutir a mayor profundidad cul es la prctica social que subyace al empleo y a la necesidad de la medicin; sin embargo, dado que no es asunto de este escrito puede consultarse (Lezama, 2003). Una explicacin ms amplia sobre el papel que desempean las prcticas, tanto las de referencia como las sociales, en la construccin de conocimiento, puede obtenerse de los siguientes ejemplos. Cada uno de ellos obedece a circunstancias especficas y no haremos de ellos un estudio a profundidad.

Figura 2

La representacin grfica, aun respetando las escalas y dibujndola con gran exactitud, no garantiza una comprensin de la trama interna de la misma, es hasta que se agrega una accin, una prctica concreta, proveniente del cmulo de experiencias de los alumnos durante su vida, la de medir segmentos, lo que les permite en principio entender la naturaleza
m m

2. La prediccin, el binomio de Newton y la serie de Taylor Por qu Newton represent por vez primera a su binomio como (P + PQ)m/n y no, como es usual hoy da a (a + b)n? Las expresiones aunque matemticamente

(P + PQ) n = P n +

m m m m n m 2n m m mn m PnQ+ P n Q2 + P n Q 3 + etc . 3n n n 2n n 2n
n( n 1) n 2 2 n( n 1)(n 2) n 3 3 a b + a b + ... 2! 3!

(a + b)n = an + na n 1b +

equivalentes, son distintas conceptualmente. Una lectura ingenua de tales expresiones nos hara creer que se trata slo de un asunto de la notacin propia de la poca; en nuestra opinin, ello no es as. Se trata de una verdadera concepcin alternativa del binomio, que se apoya en una epistemologa sensiblemente diferente de la que hoy enseamos en clase. De hecho, obedece a un programa emergente, alternativo en el campo de la ciencia y la filosofa, con el que se

Socioepistemologa y representacin: algunos ejemplos

89

buscaba modelar, anticipar, predecir fenmenos naturales con respaldo matemtico. Un amplio programa de matematizacin de los fenmenos susceptibles de modelar con una fructfera metfora del flujo del agua, metfora que se aplicara por igual a la evolucin de muy diversas magnitudes. La idea bsica a la que nos referimos consiste en la asuncin de que con la prediccin de los fenmenos de flujo continuo en la naturaleza, era posible anunciar, anticipar, su estado ulterior. Pues conociendo ciertos valores iniciales de un sistema en evolucin, sabramos la forma en la que ste progresa. Centremos la atencin en la cinemtica de una partcula que se desplaza rectilneamente; situacin en la que se precisa de una prediccin de largo alcance en mbitos de variacin continua. Desde nuestro punto de vista, la prediccin se construye socialmente a partir de las vivencias y experiencias cotidianas de los individuos y de los grupos sociales. Pues en ciertas situaciones necesitamos conocer el valor que tomar una magnitud B con el paso del tiempo. Sabemos, por ejemplo, que B depende a su vez de otra magnitud P que fluye incesantemente. Necesitamos saber entonces el valor que tomar B antes de que transcurra el tiempo, antes de que P transite del estado uno al estado dos. Pero dada nuestra imposibilidad de adelantar el tiempo a voluntad debemos predecir. En tal caso, no disponemos de razones para creer que en este caso, el verdadero valor de B est distante de las expectativas que nos generan los valores de B y de P en un momento dado, de la forma en la que P y B cambian, de la forma en la que cambian sus cambios, y as sucesivamente. El binomio de Newton (Newton, 1669), se presenta como una entidad que emerge progresivamente del sistema de prcticas socialmente compartidas ligadas a la

resolucin de una clase de situaciones que precisan de la prediccin. De modo que si P evoluciona de cierta manera, la pregunta central consiste en saber cmo ser B(P) si conocemos el inicio de P, el cambio que sufre P, el cambio del cambio de P, etctera. El binomio fue entonces, una respuesta a la pregunta y una organizacin de las prcticas sociales. El caso de mayor inters se presenta, naturalmente, cuando no se dispone en forma explcita de la relacin entre B y P. En ese caso, habr que hacer emerger progresivamente una nueva nocin, una nocin que permita de algn modo la generacin de la solucin ptima a una clase de situaciones propias de la prediccin. Para ello habr que considerar tanto la diversidad de contextos en los que puede suceder la variacin, como la variedad de fenmenos estudiados con estrategias similares. En su momento, este programa newtoniano de investigacin llev al surgimiento de una progresiva cadena de elaboraciones tericas, cada vez ms abstractas, que culmina, por as decirlo con el programa lagrangiano donde habr de emerger la nocin de funcin analtica. Los detalles de este estudio pueden consultarse en (Cantoral, 1990, 2001). Ejemplifiquemos esta situacin en un caso simple. Supongamos que tenemos los valores iniciales (en el tiempo t = 0), tanto de la posicin s(0) = s0, como de la velocidad v(0) = v 0, y la aceleracin a(0) = a0 de una partcula que se desplaza sobre una recta. Para cualquier instante posterior t la posicin s( t), la velocidad v(t) y la aceleracin a (t) estarn dadas mediante el instrumento para predecir, a saber, la serie de Taylor, f(x) = f(0) + f(0)x + f (0)x2 /2! + ... La serie deviene en:

90 Relime

s(t) = s(0) + s(0)t + s(0)t2 /2! + ... v(t) = v(0) + v(0)t + v(0)t2 /2! + ... a(t) = a(0) + a(0)t + a(0)t2 /2! + ... En notacin usual: s(t) = s0 + v0t + 1 2 at2 v(t) = v0 + at a(t) = a En este ejemplo, es el tratamiento de la prediccin de fenmenos de movimiento, lo que da lugar a un sucesivo proceso de matematizacin de una gran cantidad de nociones y procesos matemticos. Estrictamente hablando, no se busc representar un objeto, ni construirlo a partir de su representacin. Se intenta, segn la visin de la ciencia del periodo, simplemente predecir el cambio. En este sentido, la prediccin en tanto que no es un objeto matemtico, tiene que entrar en la problemtica terica no como nocin, o representacin, sino como prctica social. Para la socioepistemologa el foco del anlisis estar puesto no en el binomio en s, en tanto signo o artefacto que mediatiza la actividad, sino en la bsqueda de la prediccin como prctica social. Veamos un segundo ejemplo en el cual, a diferencia del anterior, el fenmeno mismo que ser tratado, el fenmeno natural que intentan describir con el mtodo predictivo, estaba aun poco claro para los interlocutores. El calor como nocin, no emerge aun con la claridad requerida. Qu se representa entonces?

3. Teora analtica del calor El ejemplo de la propagacin del calor resulta til para mostrar de qu manera, antes que el objeto y su representacin, est la praxis, y con sta la significacin cultural. La propagacin del calor resulta

un asunto desafiante, pues no trata de un objeto matemtico como tal, sino de un contexto en que habran de ejercer ciertas prcticas los cientficos e ingenieros de una poca y de una circunstancia especfica. Fue una cuestin a la que tanto la Mecnica Racional como el Anlisis Matemtico del siglo XVIII no dieron respuesta cabal, y de ello da cuenta la histrica controversia suscitada a raz de la cuerda vibrante. Al lado de este desarrollo, encontramos el surgimiento de la ingeniera matemtica sobre la prctica tradicional y el papel sustantivo que una institucin de educacin superior, la cole Polytechnique, tuvo para su posterior consolidacin. As pues, el asunto matemtico que estaremos ejemplificando, el del estudio de la convergencia de series infinitas, se inscribe en el ambiente fenomenolgico de la conduccin del calor, en estrecha relacin con la prctica de la ingeniera, dio a luz, gracias a la conjuncin de, por supuesto, innumerables variables, de entre las cuales destacamos como antecedentes al clculo algebraico y al surgimiento de la ingeniera en el siglo XVIII. Es decir, una prctica social que normaba el quehacer de los cientficos y tecnlogos de la poca: Predecir el comportamiento de lo que fluye, fuese el calor, el movimiento o los flujos elctricos, la intencin ltima de este programa renovador era el de mostrar el papel del saber como la pieza clave de la vida futura de esa sociedad. Es importante ubicar que esto se da en el marco de la profesionalizacin de una prctica de referencia, la prctica de la ingeniera y por ende en el seno de la comunidad politcnica. La cuestin entonces no se redujo a conocer un objeto matemtico, sino el mostrar que la prctica de la ingeniera podra ser cientfica. La funcin normativa de la prctica social hara su aparicin en forma de discurso matemtico y enseguida, casi al mismo tiempo, como una forma de discurso matemtico escolar.

Socioepistemologa y representacin: algunos ejemplos

91

El surgimiento del concepto de convergencia, que data del siglo XIX se da en un ambiente fenomenolgico de singular relevancia para la Ingeniera Matemtica; la propagacin del calor en donde la variacin est presente y la ecuacin en la que tal variacin se significa:

de propagacin, buscando aquello estable y permanente, que se conserva inalterable con el fluir del tiempo. Esto es, la ecuacin que gobierna el comportamiento del sistema. Como Fourier llega finalmente a la ecuacin diferencial de Biot, que ha recibido la sancin de la experiencia, se puede decir que el mtodo de Fourier ha logrado la construccin matemtica completa del fenmeno. De paso, se rompen o, mejor an, se niegan, los conceptos fundamentales del anlisis matemtico del siglo XVIII, como: el de funcin, el papel del lgebra, el continuo real, as como la interpretacin fsica de las soluciones, y se inicia el estudio de la convergencia de series infinitas, pilar fundamental del Anlisis Matemtico moderno. Salta a la vista la importancia singular de la obra de Fourier, tanto para la ingeniera como para el anlisis matemtico mismo. De suerte tal, que determinar el estado estacionario del sistema conduce, necesariamente, a un estudio de la convergencia de una serie trigonomtrica infinita. La bsqueda de la prediccin y la prediccin como prctica, antecede al proceso de significacin y de representacin de objetos. Es decir, son las prcticas y no sus representaciones las que forman en primera instancia al saber matemtico. En este ejemplo, qu objeto matemtico se representa?, no hay objeto preestablecido, ni preexistente, estos son construidos por los actores con el ejercicio de sus prcticas y normados por su bsqueda de la prediccin. Se pasa del oficio a la profesin gracias al logro de la funcin normativa de la prctica social. A fin de mostrar el problema particular con el que Fourier inicia este estudio, entresacamos algunas notas de su publicacin original:

dv K d 2 v d 2 v d 2v = + + dt CD dx 2 dy 2 dz 2
En los inicios del desarrollo de la humanidad, cuando las diversas experiencias se examinan por vez primera, se recurre de entrada a la intuicin reinante del fenmeno, ya sea de lo calrico para el caso que nos ocupa, del mpetu o del ter, en otros. De este modo, es con lo calrico que se realiza mejor la conduccin, o con el mpetu que se da el movimiento. Se precis de una revolucin del conocimiento cientfico para agrupar en una unidad fundamental al conocimiento y la manera de percibirlo. Con la obra de Biot (1774 - 1802) la experiencia se dirige hacia la medida y el clculo, y se desecha la explicacin del fenmeno mediante la nocin de calrico, valindose de las indicaciones suministradas por termmetros, y se obtiene as la primera ecuacin diferencial que rige al fenmeno. Sin embargo, los coeficientes constantes no fueron analizados, no se distingui entre lo que es propio del cuerpo especfico, de aquello que persiste independientemente de l. En especial, los parmetros de conductibilidad, de densidad, de calor especfico, permanecen en un nico coeficiente emprico. La tarea constructiva culmina con la Thorie Analytique de la Chaleur (1822) de Fourier, en donde se analiza el problema de la propagacin del calor en los slidos, que consiste en describir el comportamiento del fenmeno

92 Relime

Suponemos que una masa slida homognea est contenida entre dos planos verticales B y C paralelos e infinitos, y que se ha dividido en dos partes por un plano A perpendicular a los otros dos (ver figura); consideraremos las temperaturas de la masa BAC comprendida entre los tres planos infinitos A, B, C. Se supone que la otra parte BAC del slido infinito es una fuente constante de calor, es decir, que todos esos puntos permanecen con temperatura 1, la cual no puede llegar a ser jams menor ni mayor. En cuanto a los dos slidos laterales, uno comprendido entre el plano C y el plano A prolongado y el otro entre el plano B y el A prolongado, todos los puntos de ambos tienen una temperatura constante 0, y una causa exterior los conserva siempre a la misma temperatura; en fin, las molculas del slido comprendido entre A, B y C tienen la temperatura inicial 0. El calor pasar sucesivamente de la fuente A al slido BAC; l se propagar en el sentido de la longitud infinita y, al mismo tiempo, se desviar hacia las masas fras B y C, quienes absorbern una gran cantidad. Las temperaturas del slido BAC se elevarn ms y ms; pero ellas no podrn pasar ni aun alcanzar un mximo de temperatura, que es diferente para los distintos puntos de la masa. Tratamos de conocer el estado final y constante al cual se aproxima el estado variable.

Temperatura constante igual a 1

As, el problema consiste en determinar las temperaturas permanentes de un slido rectangular infinito comprendido entre dos masas de hielo B y C y una masa de agua hirviendo A; la consideracin de los problemas simples y primordiales es uno de los medios ms seguros para el descubrimiento de leyes de fenmenos naturales, y nosotros vemos, por la historia de las ciencias, que todas las teoras se han formado siguiendo este mtodo. (Fourier, 1822; traduccin libre al espaol por los autores ) Para el caso particular propuesto, la ecuacin general se reduce a

K 2v 2 v v = + t CD x 2 y 2
pues se omite tanto la coordenada z como su correspondiente derivada parcial (el grosor se considera infinitesimal). Dado que se trata de determinar el estado estacionario, independiente del tiempo (es decir, constante respecto del tiempo), deber tenerse que:

Socioepistemologa y representacin: algunos ejemplos

93

v =0 . t

As que la ecuacin por resolver es:

2v 2 v + =0 . x 2 y 2
Si una funcin satisface la ecuacin, deber cumplir con las siguientes condiciones: i) Anularse cuando se sustituye o + 2 2

se puede inferir nada para los valores que tomara la funcin si se pone en lugar de una cantidad que no est comprendida entre y + ... 6 2 2 As, (b) se convierte en 1 = a cos y +b cos 3y + c cos 5y + d cos 7y +...

en lugar de y, cualquiera que sea, por otro lado, el valor de x. ii) Ser igual a la unidad si se supone x=0 y si se le atribuye a y un valor cualquiera comprendido entre y + .5 2 2 Es necesario aadir que esta funcin debe llegar a ser extremadamente pequea cuando se da a x un valor muy grande, ya que todo el calor surge de una sola fuente A, condiciones que hoy nombramos de frontera. Fourier encuentra la solucin por un mtodo de separacin de variables, considerando que la temperatura v se puede expresar como el producto de una funcin de x por una funcin de y, v = F(x) f(y), obtenindose: v = a e-x cos y + b e-3x cos 3y + c e-5x cos 5y +... (b) en este punto Fourier hace notar: ... No

y ; ahora slo resta 2 2 calcular la infinidad de coeficientes a,b,c,d,... . A nuestros ojos, la solucin ya est dada (salvo por dicho clculo); para Fourier, en cambio, es necesario justificar la solucin fsicamente7 antes de realizar tal clculo y aade:
para
Supongamos que la temperatura fija de la base A, en lugar de ser igual a la unidad para todos los puntos, sea tanto menor entre ms alejado est el punto 0 de la recta A, y que sea proporcional al coseno de esta distancia; se conocer fcilmente, en ese caso, la naturaleza de la superficie curva cuya ordenada vertical expresa la temperatura u, o f(x,y). Si se corta esta superficie por el origen con un plano perpendicular al eje de las x, la curva que determina la seccin tendr por ecuacin v = a cos y ; los valores de los coeficientes sern los siguientes a = a, b = 0, c = 0, d = 0,

5 Esto es debido a que la longitud del lado finito BAC es . Ntese que, en el trabajo de Fourier, la abscisa la denota por y,

mientras que a la ordenada por x (ver figura).

6 La consideracin de los valores de una funcin en un intervalo es nueva; recurdese que en el siglo XVIII eso careca de

significado.
7 Pero, a diferencia de Bernoulli que presenta argumentos fsicos para la demostracin del problema, aqu Fourier nos

muestra que la solucin matemtica es coherente con la situacin fsica, pero la demostracin se inserta en la matemtica misma, sin alusin a argumentos que no pertenecen a ella. As, se inicia la separacin entre la fsica y las Matemticas, que desde la antigedad caminaban estrechamente ligadas una de la otra.

94 Relime

y as sucesivamente, y la ecuacin de la superficie curva ser

v = ae-x cos y.
Si se corta esa superficie perpendicularmente al eje de las y, se tendr una logartmica cuya convexidad es devuelta hacia el eje; si se le corta perpendicularmente al eje x, se tendr una curva trigonomtrica que tiene su convexidad hacia el eje. Se sigue de ah

consideramos es engendrada por la curva trigonomtrica que responde a la base A, y se mueve perpendicularmente al eje de las x , siguiendo este eje, mientras que cada una de sus ordenadas decrece al infinito, proporcionalmente a las potencias sucesivas de una misma fraccin. Se obtendrn consecuencias anlogas si las temperaturas fijas de la base A fueran expresadas por el trmino b cos 3y, o uno de los trminos siguientes c cos 5y...; y se puede, despus de esto, formarse una idea exacta del movimiento del calor en el caso general; ya que se ver, por lo que sigue, que ese movimiento se descompone siempre en una multitud de movimientos elementales, en donde cada uno se comporta como si fuese solo. (Fourier, 1822; traduccin libre al espaol por los autores )

2v tiene siempre x 2 2v es un valor positivo, y que el de y 2

que la funcin siempre negativo. Ahora bien (art. 1 3), la cantidad de calor que una molcula adquiere, de acuerdo con su lugar entre otras dos en el sentido de las x, es proporcional al valor de

2v x 2

; por

tanto, se tiene que la molcula intermedia recibe, de la que precede en el sentido de las x, ms calor del que ella le comunica a la que le sigue. Pero, si se considera esta misma molcula como colocada entre otras dos en el sentido de las y , siendo negativa la funcin v
2

y 2

, se ve que la molcula

intermedia comunica a la que le sigue ms calor que lo que recibe de la precedente. Se llega as, que el excedente de calor que ella adquiere en el sentido de las x se compensa exactamente con lo que pierde en el sentido de las y, como lo expresa la ecuacin

En el episodio anterior, tanto Fourier como Biot y los ingenieros egresados de la Polytechnique, estn interesados en anticipar el comportamiento de la naturaleza, en modelarla, su bsqueda no podra entonces ser reducida a la accin de representar un objeto preexistente, una nocin, un concepto o un procedimiento, sino debe ampliarse al nivel de la prctica: cmo ser posible confundir en este caso, al objeto con su representacin?, tiene, en este contexto, sentido tal pregunta? Para finalizar este artculo, mostramos cmo las prcticas sociales a las que nos hemos referido, no estn exclusivamente ligadas a la actividad inmediata. Desarrollamos un ejemplo relativo al proceso de convenir en matemticas.

2v 2 v + =0 x 2 y 2

Se sabe as la ruta que sigue el calor que sale de la fuente A. l se propaga en el sentido de las x, y al mismo tiempo se descompone en dos partes, una se dirige hacia uno de los ejes, mientras que la otra parte contina alejndose del origen para descomponerse como la anterior, y as sucesivamente hasta el infinito. La superficie que

4. El proceso de convencin matemtica La acepcin que utilizamos para convencin, es la de aquello que es

Socioepistemologa y representacin: algunos ejemplos

95

conveniente para algn fin especfico; entonces una convencin matemtica es una conveniencia para las matemticas. El anlisis socioepistemolgico de los exponentes no naturales muestra la presencia de una manera comn, entre los siglos XIV y XVIII, para posibilitar la construccin de cuerpos unificados y coherentes de conocimiento matemtico, es decir para la integracin sistmica de conocimientos. Designamos sintticamente a este proceso de construccin de conocimiento con la expresin convencin matemtica . Las formas de este mecanismo pueden ser varias: una definicin, un axioma, una interpretacin, o una restriccin. La eleccin depende de los objetivos tericos. Convenir en matemticas, puede entenderse como proceso de bsqueda de consensos al seno de una comunidad que se norma por la prctica social relativa a dar unidad y coherencia a un conjunto de conocimientos (Martnez Sierra, 2005). Por su naturaleza esta prctica se encuentra en el plano de la teorizacin. Este proceso de sntesis, conlleva el surgimiento de propiedades emergentes no previstas por los conocimientos anteriores. Las convenciones matemticas seran una parte de tales propiedades emergentes. En el plano de la historia de las ideas, al menos dos tipos de formulaciones emergen para significar a los exponentes
8

no naturales. El primer tipo de formulaciones fue hecho en el contexto de lo algebraico y el segundo en el mbito de la formulacin de coherencia entre lo algebraico y lo grfico. En el contexto algebraico, la nocin de exponente no natural surge de la intencin de preservar la relacin entre las progresiones aritmtica y geomtrica, a fin de unificar un algoritmo para la multiplicacin de monomios. En el contexto algebraico grfico, la construccin de significados emerge como organizador de las frmulas de cuadraturas de ciertas curvas. En el marco de las formulaciones algebraicas, los convencionalismos tienen por finalidad el incluir nuevos objetos algebraicos a la estructura operativa conformada por los diferentes caracteres csicos 8.

Primera formulacin algebraica. En cuanto a la multiplicacin, la regla de Aurel (1552) se basa en el comportamiento especial de las sucesiones: la relacin entre la progresin aritmtica y progresin geomtrica (relacin PAPG) 9. Con este marco de referencia se determinan los convencionalismos para incluir al nmero en la estructura operativa del conjunto {x, x2, x3, x4, x5,...}, que en la notacin de Marco Aurel (1552) corresponde al conjunto { , x ,, ,, , , b,, ,...}. De esta manera el nmero 5 es representado como 5 y es multiplicado con los dems

En el lenguaje moderno se puede identificar estos caracteres csicos con la segunda potencia, la tercera potencia

de la incgnita.
9 Es decir, si se coloca la progresin aritmtica que representa el nmero de multiplicaciones de la base y la progresin

geomtrica que representa las potencias, se tiene que la adicin (resta) en la parte superior (la serie aritmtica) corresponde a la multiplicacin (divisin) de la serie de abajo (geomtrica): 2, 4, 3, 8, 4, 16, 5, 32, 6, 64,

A la relacin expresada en el enunciado anterior la abreviaremos, en lo sucesivo, como la relacin entre la progresin

aritmtica y geomtrica (relacin PA-PG).

96 Relime

a travs de una nueva tabla de caracteres csicos que tienen la misma regla operativa referente a la relacin entre la progresin aritmtica y geomtrica. Lo anterior est expresada en los siguientes trminos: Y cuando tu querras multiplicar vna dignidad, grado, o carcter con otro, mira lo que esta encima de cada uno y junta lo simplemente, y aquello que verna, mira encima de qual carcter estara: tal diras que procede de tal multiplicacion (Op. Cit.). As al utilizar la Tabla 1 se pueden hacer, por ejemplo, las multiplicaciones contenidas la Tabla 2.
0 1 2 3 4 5 6 7 8 9

grado del dividendo es menor que el del divisor y 2) el grado del dividendo es mayor que el del divisor. En la primera posibilidad tal particin no se podr partir y quedar como quebrado; en la segunda, la regla de Aurel coincide con la actual (am/an=am-n con m>n).

Tabla 1. Caracteres csicos de Aurel y la relacin PA-PG

Notacin de Aurel

8 2

----16
13 2
26

----92

23 4

50 6

-----

----300

Segunda formulacin algebraica, se encuentra en un contexto donde el progreso en la operatividad con los nmeros negativos y el cero hace posible la inclusin de los cocientes 1/x, 1/x2,.... entre los caracteres csicos y su operatividad. La formulacin surge de haber admitido la operatividad de cantidades negativas para despus enmarcarlas en la estructura algortmica de la relacin entre las progresiones aritmtica y geomtrica. En La triparty en la Science des Nombres, Chuquet, (1880/ 1484) construy una nocin de exponente cero y negativo (al parecer no utiliz exponentes fraccionarios). Explica que cada nmero puede considerarse como cantidad estricta, y as para indicarlo, se puede aadir un cero en la parte superior del nmero, como por ejemplo, 120, 130 para indicar 12 o 13. Pero cada nmero puede considerarse como nmero primero de una cantidad continua, tambin dicho nmero lineal, indicando as: 121, 131... o bien nmero superficial cuadrado: 122, 132 ... y as, sucesivamente, hasta el orden que se quiera (120 quiere decir doce; 121 indica 12x; 122 significa 12x2,...).

Tabla 2. Multiplicaciones en la notacin de Aurel

En el marco de esta primera formulacin algebraica los cocientes del tipo x5/x7, es decir, donde el grado del dividendo es menor que el del divisor, no son incluidos como caracteres csicos; ya que slo considera para la divisin el caso en que el dividendo y el divisor son monomios, distinguindose dos posibilidades: 1) el

Es importante sealar que el superndice cero que utiliza Chuquet significa ausencia de variable. En este sentido opta por abandonar las distintas nomenclaturas para designar el orden de las races, as como el de las potencias de la incgnita, para exponer una forma de denominacin unificadora, que facilite las operaciones entre estas entidades.

Socioepistemologa y representacin: algunos ejemplos

97

As se opera como sigue10, Chuquet utiliza .71.. para denotar 7/x. Formulaciones algebraicasgrficas Al parecer los convencionalismos algebraicos descritos, fueron marginales a la sintaxis algebraica o al estudio de la cosa; dado que careca de sentido fuera del contexto algebraico. Podemos decir que la aceptacin de las potencias mayores a tres fue posible gracias a la introduccin de la representacin cartesiana de las variables. En el marco de las formulaciones algebraicasgrficas, los convencionalismos tienen por finalidad dotar de coherencia a ambos elementos, lo algebraico y lo grfico.

ndice n es 1/(n +1) para todos los enteros positivos n .12

Figura 1. Razn Caracterstica de la curva y = x2

Primera formulacin algebraico grfica. Hacia finales del XVI se saba que las curvas y = kxn (n = 1, 2, 3, 4,), llamadas de ndice n, tenan una propiedad llamada razn caracterstica. Este conocimiento, segn Bos (1975), era propio de la poca del clculo de reas determinadas por distintas curvas, tanto mecnicas como algebraicas, y al significado que se asocia a las reas en contextos de variacin11. Tomando como ejemplo la curva y = x2 se deca que sta tiene razn caracterstica igual a 1/3; ya que si tomamos un punto C arbitrario de la curva (Figura 1) el rea de AECBA guarda una proporcin de 1:3 respecto del rea del rectngulo ABCD, es decir, el rea de AECBA es la mitad del rea AECDA. En general, se saba de que la razn caracterstica de la curva de

En sus investigaciones acerca de la cuadratura de las curvas, Wallis utiliz lo anterior para convenir que el ndice de y = 2 x debe ser igual a 1/2 a fin de unificar la nocin de razn caracterstica con la nocin de ndice. Lo mismo puede verse para y = 3 x ,cuya razn caracterstica debe ser 3/4=1/(1+1/3) por lo que su ndice ser 1/3. A continuacin Wallis afirma (segn Confrey & Dennis, 2000) que el q ndice apropiado de y = x p debe ser p/q y que su razn caracterstica es 1/(1+p/q); pero al no tener manera de verificar directamente la razn caracterstica de tales ndices, por ejemplo de y = 3 x 2 , retoma el principio de interpolacin el cual afirma que cuando se puede discernir un patrn de cualquier tipo en una sucesin de ejemplos, uno tiene el derecho de aplicar ese patrn para cualesquiera valores intermedios. En el caso que interesa, l hace la siguiente tabla de razones caractersticas conocidas ( R ( i/j ) denota la razn caracterstica, desconocida, de ndice i/j):

10 El contexto de la formulacin est relacionada con las soluciones negativas que resultan de la resolucin formal de

ecuaciones lineales. Es por ello que al parecer uno de los objetivos de la aceptacin de los exponentes negativos era dar legitimidad a los nmeros negativos y su operatividad, pues eran usados para la operatividad consistente con los monomios.
11 Por ejemplo es bien conocida la forma en que Galileo estableci su ley de cada de los cuerpos a travs de entender

el rea determinada por una grfica velocidad-tiempo como la distancia recorrida por el cuerpo.
12 En trminos modernos la nocin de razn caracterstica se apoya en que

a (a > 0) x n dx : a n +1 = 1:(n + 1) 0

98 Relime

q/b 1 2 3 4 5 6 7 8 9

0 1=1/1 1=2/2 1=3/3 1=4/4 1=5/5 1=6/6 1=7/7 1=8/8 1=9/9

2 1/3 2/4 R(2/3) 2/3=4/6 R(2/5) 3/4=6/8 R(2/7) 4/5=8/10 R(2/9)

3 1/4 R(3/2) 1/2=3/6 R(3/4) R(3/5) 2/3=6/9 R(3/7) R(3/8) 3/4=9/12

4 1/5 1/3=2/6 R(4/3) 1/2=4/8 R(4/5) R(2/3) R(4/7) 2/3=8/12 R(4/9)

5 1/6 R(5/2) R(5/3) R(5/4) 1/2=5/10 R(5/6) R(5/7) R(5/8) R(5/9)

6 1/7 1/4=2/8 1/3=3/9 R(3/2) R(6/5) 1/2=6/12 R(6/7) R(3/4) R(2/3)

7 1/8 R(7/2) R(7/3) R(7/4) R(7/5) R(7/6) 1/2=7/14 R(7/8) R(7/9)

Al aplicar el principio de interpolacin sobre la fila 5 se puede conjeturar, por ejemplo, que R(3,5)=5/8 y sobre la columna 3 que R(3,5)=5/8 . Razonamiento semejante se puede hacer sobre la fila 10 para establecer que R(3,5)=10/16 y sobre la columna 6 que R(3,5)=10/16. Wallis tambin interpreta a los nmeros negativos como ndices13. Define el ndice de 1/x como 1, el ndice de 1/x2 como 2, etc. A continuacin l intenta dar coherencia a estos ndices y a la nocin de razn caracterstica. En el caso de la curva y = 1/x la razn caracterstica debe 1 1 ser = = 14. Acept este cociente 1 + 1 0 como razonable debido a que el rea bajo la curva 1/x diverge; el cual, al parecer, era un hecho conocido en la poca. Lo anterior
F

puede ser interpretado como que la proporcin entre el rea de ABCEFA (Figura 2) y el rea del rectngulo ABCD es de 1:0. Cuando la curva es y= 1 /x 2 la razn caracterstica debe ser 1/(-2+1)=1/-1. Aqu, la concepcin de Wallis sobre la razn difiere de la aritmtica moderna de nmeros negativos. l no utiliza la igualdad 1/-1 = -1, ms bien l construye una coherencia entre diversas representaciones; que es en esencia una convencin matemtica. Debido a que el rea sombreada bajo la curva y=1/x2 es ms grande que el rea bajo la curva 1/x, concluye que la razn 1/-1 es mayor que infinito (ratio plusquam infinita). Contina concluyendo que 1/-2 es incluso ms grande. Esto explica el plural en el ttulo de su tratado Arithmetica Infinitorum, de la cual, la traduccin ms adecuada sera La Aritmtica de los Infinitos.
F

C A B

D A

C B

Figura 2. Razn Caracterstica de la curva y = 1/ x

13 Deseamos aclarar que a travs de la literatura consultada no fue posible determinar claramente los motivos que tuvo

Wallis para dar tales definiciones; pero es de suponer que fueron tomadas de las convenciones de los exponentes que ya se trabajaban en esa poca en el contexto algebraico (Martnez, 2003).
14 Lo que hoy se entiende por fracciones, en la poca de Wallis se conceba como proporcionalidad por lo que 1 es 0

(nada) como

es a 1.

Socioepistemologa y representacin: algunos ejemplos

99

Lo anterior nos motiva a enfocar nuestra atencin en los procesos de integracin sistmica de un conjunto de conocimientos. Tericamente, desde un principio, esta bsqueda de integracin, que es una bsqueda de relaciones, puede tener dos salidas: 1) La ruptura ocasionada por dejar a un lado un significado por otro que eventualmente es construido para la tarea de integracin; es decir, cambiar la centracin de significado y 2) La continuidad al conservar un significado en la tarea de integracin. Entonces, la convencin matemtica puede ser interpretada como una propiedad emergente para establecer una relacin de continuidad o de ruptura de significados. En nuestros ejemplos respecto a las formulaciones de Wallis, la bsqueda de coherencia entre la nocin de ndice y de razn caracterstica (en donde la razn/ proporcin posee significados especficos que difiere de considerarla como nmero) provoca dos convencionalismos: el ndice de y = 2 x como 1/2 y diversos tipos de infinito representados por 1/0, 1/-1, 1/-2, etc. Esto seala el carcter conveniente y relativo de la convencin matemtica respecto a la integracin de las nociones de ndice y razn caracterstica y las representaciones algebraicas y grficas. Hoy en da la convencin de considerar a las proporciones 1/0, 1/-1, 1/-2 como diversos tipos de infinitos no es coherente con la interpretacin numrica de las proporciones como nmeros. De este modo, la convencin, o la bsqueda de consensos, al igual que en los ejemplos descritos anteriormente, adquiere una dimensin social fundamental que no podra ser captada si limitramos nuestra mirada a la construccin de objetos o a su representacin, pues aspectos como

creencias, ideologa y matemticas estaran excluidos al momento de teorizar sobre la construccin de conocimiento matemtico.

Reflexiones finales Con los ejemplos mostramos el papel de alguna prctica: medir al construir la funcin 2x, predecir en el caso de la cinemtica y las funciones analticas, modelar bajo fenomenologas de ingeniera y, finalmente, convenir en el caso de los exponentes no naturales. Los ejemplos muestran la diversidad de situaciones que habran de considerarse llevando la mirada hacia la socioepistemologa. Este artculo ha querido mostrar cmo opera el enfoque socioepistemolgico al centrar su atencin en prcticas ms que en objetos. Su centracin en las prcticas arroja una luz distinta de aquella que produce la centracin en objetos, procesos o mediadores. El artculo mostr, mediante ejemplos, el papel que juega la prctica social en la construccin del conocimiento matemtico y de cmo se articula con los procesos de representacin. Este artculo si bien pretende posicionar a la Socioepistemologa a travs de ejemplos, busca sobre todo discurrir sobre el papel de la nocin de prctica social en la formacin de conocimiento. No se abordan las relaciones de complementariedad o contraposicin de cara a otros enfoques tericos, aunque bien sabemos que existen relaciones con la Semitica Cultural de Radford, o con el enfoque Ontosemitico de DazGodino, o aun con la Teora Antropolgica de la Didctica de Chevallard y colaboradores, o con la Etnomatemtica de DAmbrosio y colaboradores, pero ms bien quisimos

100 Relime

aportar un elemento adicional, una particular interpretacin de la nocin de prctica social que juzgamos prometedora para la investigacin en matemtica educativa. En el futuro inmediato, el

enfoque socioepistemolgico estar intentando construir elementos de articulacin entre los enfoques sealados anteriormente, aunque esa sea otra historia

Referencias

Alans, J. et al. (2000). Desarrollo del Pensamiento Matemtico. Mxico: Trillas. Arrieta, J. (2003). Las prcticas de modelacin como proceso de matematizacin en el aula. Tesis doctoral no publicada. Mxico: Cinvestav. Aurel, M. (1552). Libro Primero de Arithmetica Algebraica. Valencia: J. Mey. Bos, H. (1975). Differentials, Higher-Order Differentials and the derivative in the Leibnizian Calculus. Archive for History of Exact Sciences, 14, 1 90. Cantoral, R. (1990). Categoras Relativas a la apropiacin de una base de significaciones para conceptos y procesos matemticos de la teora elemental de las Funciones Analticas. Simbiosis y Predacin entre las nociones de el Prdiciere y lo Analtico. Tesis doctoral. Mxico: Cinvestav. Cantoral, R. (1999). Approccio socioepistemologico a la ricerca in matemtica educativa. La matemtica e la sua didattica, 3, 258 273. Cantoral, R. (2001). Matemtica Educativa: Un estudio de la formacin social de la analiticidad. Mxico: Grupo Editorial Iberoamrica. Cantoral, R. & Farfn, R. (1998). Pensamiento y lenguaje variacional en la introduccin al anlisis. Espsilon, 42, 14(3), 353 369. Cantoral, R. & Farfn, R. (2004). La sensibilit la contradiction: logarithmes de nombres ngatifs et origine de la variable complexe. Recherches en Didactique des Mathmatiques, 24 (2.3), 137 168. Chuquet, N. (1880/1484). Le Triparty en las science des nombres. En A. Marre (Ed.) Bullettino di Bibliografia e di Storia delle scienze matematiche et fisiche, (volume 13, pp. 555 659, 693 814; volume 14, pp. 413 460). Confrey, J. & Dennis, D. (2000). La Creacin de Exponentes Continuos: un estudio sobre los mtodos y la epistemologa de John Wallis. Revista Latinoamericana de Investigacin en Matemtica Educativa, 3(1), 5 31.

Socioepistemologa y representacin: algunos ejemplos

101

Cordero, F. (2001). La distincin entre construcciones del clculo. Una epistemologa a travs de la actividad humana. Revista Latinoamericana de Investigacin en Matemtica Educativa 4(2), 103 128. Covin, O. (2005). El papel del conocimiento matemtico en la construccin de la vivienda tradicional: El caso de la Cultura Maya. Tesis de maestra no publicada. Mxico: Cinvestav. Farfn, R. y Cantoral, R. (2003). Mathematics Education: A Vision of its Evolution . Educational Studies in Mathematics 53(3), 255-270. Fourier, J. (1822). Thorie Analytique de la Chaleur. Chez Firmin Didot. Pere et Fils. Libraires pur les Mathmatiques. France. Lezama, J. (2003). Un estudio de reproducibilidad de situaciones didcticas. Tesis doctoral no publicada. Mxico: Cinvestav. Lpez, I. (2005). La socioepistemologa. Un estudio sobre su racionalidad. Tesis de maestra no publicada. Mxico: Cinvestav. Martnez Sierra, G. (2003). Caracterizacin de la convencin matemtica como mecanismo de construccin de conocimiento. El caso de de su funcionamiento en los exponentes. Tesis de doctorado. Mxico: Cicata IPN. Martnez Sierra, G. (2005). Los procesos de convencin matemtica como generadores de conocimiento. Revista Latinoamericana de Investigacin en Matemtica Educativa, 8(2), 195 218. Minguer, L. (2004). Entorno sociocultural y cultura matemtica en profesores del nivel superior de educacin. Un estudio de caso: El Instituto Tecnolgico de Oaxaca. Acta Latinoamericana de Matemtica Educativa, 17(2), 885 889. Montiel, G. (2005). Estudio Socioepistemolgico de la funcin trigonomtrica. Tesis doctoral. Mxico: Cicata IPN. Newton, I. (1669). De Analysi per equationes infinitas (june 1669). En D.T. Whiteside (1967) (Ed.), The mathematical papers of Isaac Newton. Vol. II (1667 1700) (pp. 206 247). Gran Bretaa: Cambridge University Press. Radford, (2004). Semitica cultural y cognicin. Conferencia dictada en la Reunin Latinoamericana de Matemtica Educativa. Tuxtla, Chiapas Mxico. [En red] Disponible en http://laurentian.ca/educ/lradford/Tuxtla3.pdf Varela, F. et al. (1997). De cuerpo presente. Barcelona: Gedisa.

102 Relime

Ricardo Cantoral Departamento de Matemtica Educativa CINVESTAV Mxico E-mail: [email protected]

Rosa Mara Farfn Departamento de Matemtica Educativa CINVESTAV Mxico E-mail: [email protected]

Gustavo Martnez-Sierra Cimate de la UAG Mxico E-mail: [email protected]

Javier Lezama Programa de Matemtica Educativa CICATA del IPN Mxico E-mail: [email protected]

Relime, Nmero Especial, 2006, pp. 103-129.

103

Elementos de una teora cultural de la objetivacin1

Luis Radford 2 RESUMEN En este artculo se presentan los lineamientos generales de una teora cultural de la objetivacin una teora de la enseanza y el aprendizaje de las matemticas que se inspira de escuelas antropolgicas e histrico-culturales del conocimiento. Dicha teora se apoya en una epistemologa y una ontologa no racionalistas que dan lugar, por un lado, a una concepcin antropolgica del pensamiento y, por el otro, a una concepcin esencialmente social del aprendizaje. De acuerdo con la teora, lo que caracteriza al pensamiento no es solamente su naturaleza semiticamente mediatizada sino sobre todo su modo de ser en tanto que praxis reflexiva. El aprendizaje de las matemticas es tematizado como la adquisicin comunitaria de una forma de reflexin del mundo guiada por modos epistmico-culturales histricamente formados. PALABRAS CLAVE: Objetivacin, pensamiento sentido, significado, significacin cultural, signos. matemtico, semitica,

ABSTRACT In this article, we present the general bases for a cultural theory of objectification. The theory in question deals with the teaching and learning of mathematics and takes its inspiration from some anthropological and historico-cultural schools of knowledge. This theory relies on a non-rationalist epistemology and ontology which give rise, on the one hand, to an anthropological conception of thought, and on the other, to an essentially social conception of learning. According to the theory of objectification, thought is not only characterized by its semiotically mediated nature but more importantly by way of its existence as a reflexive praxis. The learning of mathematics is thematized as the acquisition, by the community, of a form of reflection on the world guided by epistemiccultural modes which have been historically formed. KEY WORDS: Objectification, mathematical thinking, semiotics, meaning, signification, cultural signification, signs.
Fecha de recepcin: Febrero de 2006/ Fecha de aceptacin: Abril de 2006
1 An English translation of this article is available at: http://laurentian.ca/educ/lradford/PUBLIC.HTML. Este artculo es

resultado de un programa de investigacin subvencionado por The Social Sciences and Humanities Research Council of Canada / Le Conseil de recherches en sciences humaines du Canada (SSHRC/CRSH).
2 Universit Laurentienne, Ontario, Canada.

104 Relime

RESUMO Este artigo apresenta as linhas gerais de uma teoria cultural da objetivao uma teoria da ensino e a aprendizagem das matemticas que se inspira de escolas antropolgicas e histrico-culturais do conhecimento. Tal teoria se apia em uma epistemologia e uma ontologia no racionalistas que do lugar, por um lado, a uma concepo antropolgica do pensamento e, por outro, a uma concepo essencialmente social da aprendizagem. De acordo com a teoria, o que caracteriza o pensamento no somente sua natureza semiticamente mediatizada, mas sobre todo seu modo de ser como praxis reflexiva. A aprendizagem das matemticas tematizado como a aquisio comunitria de uma forma de reflexo do mundo guiada por modos epistmico-culturais historicamente formados. PALAVRAS CHAVES: Objetivao, pensamento matemtico, semitica, sentido, significado, significao cultural, signos.

RSUM Dans cet article, on prsente les bases gnrales dune thorie culturelle de lobjectivation. Il sagit dune thorie de lenseignement et de lapprentissage des mathmatiques qui sinspire de certaines coles anthropologiques et historico-culturelles du savoir. Cette thorie sappuie sur une pistmologie et une ontologie non rationalistes qui donnent lieu, dune part, une conception anthropologique de la pense et, dautre part, une conception essentiellement sociale de lapprentissage. Selon la thorie de lobjectivation, ce qui caractrise la pense nest pas seulement sa nature smiotiquement mdiatise mais surtout son mode dtre en tant que praxis rflexive . Lapprentissage des mathmatiques est thmatis comme tant lacquisition communautaire dune forme de reflexion du monde guide par des modes pistmo-culturels historiquement forms. MOTS CLS: Objectivation, pense mathmatique, smiotique, sens , signification, signification culturelle, signes.

Introduccin Incluso para los empiristas, todo aprendizaje supone la actividad del pensamiento. El pensamiento aparece como el sustrato del aprendizaje, aquello a travs del cual se establece la relacin entre el ser y el mundo. Curiosamente, a pesar de su importancia, y aun si se habla del pensamiento numrico, geomtrico, etc., el pensamiento como concepto en s no forma parte de las teoras didcticas actuales. Sin duda, una de las razones tiene que ver con la idea popular de que el pensamiento es inobservable. Como afirma el fundador del Constructivismo Radical,

Elementos de una teora cultural de la objetivacin

105

Entre las actividades humanas ms intrigantes que no pueden ser observadas, est pensar (thinking) o reflexionar. A veces pueden inferirse los pensamientos o las reflexiones pero el proceso real del pensamiento queda invisible as como los conceptos que ste usa y el material crudo del cual est compuesto. (von Glasersfeld, 1995, p. 77) Esta idea de la inobservabilidad del pensamiento es parte de la influencia de la filosofa racionalista y su concepto del ser. As, El ser cartesiano habita un mundo en el que la actividad material es imposible, pues el pensamiento es concebido como una relacin entre el ser y las entidades mentales, las ideas, que no son objetos posibles de actividad material. (Bakhurst, 1988, p. 35) A estos dos elementos el sujeto y el objeto que une el pensamiento, las teoras del aprendizaje aaden otro elemento: el profesor, que viene a completar el famoso tringulo didctico. A menudo, sin embargo, el profesor es revestido de un papel menor: literalmente el de facilitador del aprendizaje. En las medida en que las teoras didcticas conceptualizan al individuo como sujeto auto-regulado y auto equilibrante, desarraigado de su contexto socio-cultural, capaz de reflexionar como cientfico que explora los alrededores en busca de fenmenos que confirmen la viabilidad de su saber, en la medida en que el individuo es visto como lo apunta Martin y sus colaboradores en tanto que individuo que parece llevar de alguna manera en su

propio interior las condiciones de su crecimiento, un ser que solamente necesita un entorno facilitador para alcanzar, a travs de la experiencia personal, su plena socializacion y potencial intelectual3, el profesor aparece, contra la abrumadora evidencia de la constatacin cotidiana, como simple catalizador del encuentro entre el alumno y el objeto del saber. La teora de la objetivacin que se esbozar aqu parte de presupuestos diferentes. En oposicin a las corrientes racionalistas e idealistas, sta aboga por una concepcin no mentalista del pensamiento y por una idea de aprendizaje tematizado como adquisicin comunitaria de formas de reflexin del mundo guiadas por modos epistmico-culturales histricamente formados. En las dos primeras partes del artculo se discuten las bases epistemolgicas y ontolgicas que dan sustento a la teora, as como el concepto de pensamiento y su significado antropolgico. En las dos ltimas partes se aborda el problema de la enseanza-aprendizaje, en particular a la luz del concepto fundamental de sala de clase como comunidad de aprendizaje.

1. Una concepcin no mentalista del pensamiento En una clase de primer grado de primaria, los alumnos deban resolver un problema sobre una secuencia numrica. La maestra introdujo el problema a travs de una historia en la cual una ardilla, al final del verano, lleva cada da dos nueces a su nuevo nido en preparacin al invierno que se acerca. En una parte del problema los alumnos deban encontrar el nmero de

3 Martin (2004), Martin, Sugarman y Thompson (2003).

106 Relime

nueces almacenadas por la ardilla en su nido al final del dcimo da, sabiendo que cuando la ardilla encuentra el nido haba ya 8 nueces y que la ardilla no come nueces de su provisin de invierno. Cristina, una de las alumnas, empez a contar de dos en dos: diez, doce, catorce, diecisis. Como not que no haba pensado en el nmero del da, decidi empezar el conteo. Sin embargo, hacer las dos cosas al mismo tiempo result una tarea muy difcil. Dirigindose a Miguel, su compaero de equipo, Cristina dijo: vamos a hacerlo juntos! Mientras que el resto de la clase continuaba su trabajo en pequeos grupos, Cristina y Miguel fueron al frente del pizarrn y utilizando una regla larga de madera, Cristina empez a contar de dos en dos, mientras que Miguel contaba los das en voz alta. En la figura 1, Cuando Miguel dice nueve, Cristina seala con una regla de madera el nmero 26 sobre una recta numrica colocada arriba del pizarrn, que es el nmero de nueces acumuladas hasta el da 9. En la figura 2, Miguel, que continu contando los das, dice diez, mientras que Cristina desplaza la regla hacia la derecha y seala el nmero 28, que es la respuesta a la pregunta.

Figura 2. Miguel dice 10 y Cristina seala el nmero 28.

Es usual que por pensamiento se entienda una especie de vida interior, una serie de procesos mentales sobre ideas que lleva a cabo un individuo. De acuerdo con esta concepcin, a partir de los datos dados por la maestra, Cristina y Miguel, habran recuperado de su memoria la informacin pertinente para producir una representacin mental del problema. Con la ayuda de esta representacin, el pensamiento de Cristina y Miguel se hubiese movido a lo largo de los estados de un espacio-problema, procesando informaciones codificadas quizs bajo la forma de representaciones proposicionales, a travs de reglas lgicas o de inferencia. Esta concepcin del pensamiento, como actividad mental (de Vega, 1986, p. 439), proviene de la interpretacin de la filosofa griega por parte de San Agustn a fines del siglo IV, interpretacin que oper, en particular, una transformacin del significado inicial del trmino griego eidos. Mientras que Homero, entre otros, utilizaba el trmino eidos en el sentido de algo externo, no mental -lo que uno mira, por ejemplo la figura, la forma, la apariencia4- para San Agustn eidos se refiere a algo que est dentro del individuo 5 . Influenciados por esta

Figura 1. Miguel dice 9 y Cristina seala el nmero 26.

4 Por ejemplo, en la traduccin al ingls del Libro VIII, lneas 229-30, de la Ilada, Homero dice: Argives, shame on you

cowardly creatures, brave in semblance [eidos] only. (Homer, ca. 800 A.-C.). Estoy en deuda con Eva Firla por su ayuda en la etimologa del trmino eidos.
5 Una discusin sobre la manera en que ocurre esta transformacin en la concepcin del pensamiento en las matemticas

renacentistas se encuentra en Radford (2004).

Elementos de una teora cultural de la objetivacin

107

transformacin, los racionalistas del siglo XVII, como Descartes y Leibniz consideraban que las matemticas pueden practicarse hasta con los ojos cerrados, pues la mente no necesita el concurso de los sentidos ni de la experiencia para alcanzar las verdades matemticas: los principios que necesitamos para entender los objetos o para percibir sus propiedades, las leyes eternas de la razn, son principios internos, es decir que estn en nuestro interior (Leibniz, 1966, pp. 34-37). Antroplogos como Geertz han puesto en evidencia las limitaciones de la concepcin de las ideas como cosas en la mente y del pensamiento como proceso exclusivamente intracerebral: La idea comnmente aceptada segn la cual el funcionamiento mental es un proceso intracerebral que puede ser slo asistido o amplificado en segundo trmino por los varios dispositivos artificiales que dicho proceso ha permitido al hombre crear, resulta estar completamente equivocada. Al contrario, siendo imposible una definicin adaptativa, completamente especfica de los procesos neuronales en trminos de parmetros intrnsicos, el cerebro humano es completamente dependiente de recursos culturales para su propia operacin; y esos recursos no son, en consecuencia, [objetos] aadidos a la actividad mental sino constituyentes de sta. (Geertz, 1973, p. 76) La teora de la objetivacin parte de una posicin no mentalista del pensamiento y de la actividad mental. Dicha teora sugiere que el pensamiento es una praxis cogitans, esto es una prctica social (Wartofsky,

1979). De manera ms precisa, el pensamiento es considerado una reflexin mediatizada del mundo de acuerdo con la forma o modo de la actividad de los individuos. En el resto de esta seccin sern discutidos los diferentes aspectos de esta definicin.

1.1 Mediacin semitica

El carcter mediatizado del pensamiento se refiere al papel, en el sentido de Vygotsky (1981a), que desempean los artefactos (objetos, instrumentos, sistemas de signos, etc.) en la realizacin de la prctica social. Los artefactos no son meras ayudas al pensamiento (como lo plantea la psicologa cognitiva) ni simples amplificadores, sino partes constitutivas y consustanciales de ste6. Se piensa con y a travs de los artefactos culturales, de manera que hay una regin externa que, parafraseando a Voloshinov (1973), llamaremos el territorio del artefacto. Es en este territorio donde la subjetividad y la objetividad cultural se imbrican mutuamente y en el que el pensamiento encuentra su espacio de accin y la mente se extiende ms all de la piel (Wertsch, 1991). De acuerdo con la teora de la objetivacin, el pensamiento de Cristina y Miguel no es, pues, algo que transcurre solamente en el plano cerebral de los alumnos. El pensamiento tambin ocurre en el plano social, en el territorio del artefacto. La regla de madera, la recta numrica, los signos matemticos sobre la hoja que sostiene Miguel mientras lee detrs de Cristina, son artefactos que mediatizan y materializan el pensamiento. Esos artefactos son parte integral del pensamiento.

6 Una crtica a la concepcin de artefactos como amplificadores se encuentra en Cole (1980).

108 Relime

1.2 La naturaleza reflexiva del pensamiento

La naturaleza reflexiva del pensamiento significa que el pensamiento del individuo no es simple asimilacin de una realidad externa (como proponen las escuelas empiristas y conductistas), ni tampoco construccin ex nihilo (como proponen ciertas escuelas constructivistas). El pensamiento es una re-flexin, es decir, un movimiento dialctico entre una realidad constituida histrica y culturalmente y un individuo que la refracta (y la modifica) segn las interpretaciones y sentidos subjetivos propios. En el ejemplo anterior, el pensamiento de los alumnos se desarrolla a lo largo de una compleja coordinacin de actividad perceptual y de acciones semiticamente mediatizadas segn la interpretacin y los sentidos subjetivos de los alumnos (por ejemplo, reinterpretar el problema sobre una recta numrica, contar de dos en dos, etc.). Al mismo tiempo, el problema sobre el cual los alumnos reflexionan es parte de una realidad histricamente constituida. Problemas sobre secuencias de nmeros (progresiones aritmticas) se encuentran en la matemtica babilnica y fueron teorizados luego por los pitagricos y las diferentes escuelas numerolgicas griegas (Robbins, 1921). No slo dicha realidad no se presenta de manera directa o inmediata, como pensaban los empiristas, sino que tampoco puede ser reconstruida a travs de la sola experiencia personal, pues Ninguna experiencia personal, por rica que sea, puede llegar a pensar de manera lgica, abstracta o matemtica, e individualmente establecer un sistema de ideas. Para

hacer esto se requerira no una vida, sino de miles. (Leontiev, 1968, p. 18) Uno de los papeles de la cultura (sobre el cual vamos a detenernos en la siguiente seccin) es sugerir a los alumnos formas de percibir la realidad y sus fenmenos, formas de apuntar (viser), como dira Merleau-Ponty (1945), o formas de intuicin, como dira Husserl (1931). En resumen, dicho de manera ms general, la re-flexividad del pensamiento consiste en que, desde el punto de vista filogentico, los individuos dan lugar al pensamiento y a los objetos que ste crea. Pero al mismo tiempo, desde el punto de vista ontogentico, en el acto de pensar, un individuo concreto cualquiera es subsumido por su realidad cultural y la historia del pensamiento humano, las cuales orientan su propio pensamiento. El ser social, dice Eagleton, origina el pensamiento, pero al mismo tiempo es abarcado por ste7.

1.3 La dimensin antropolgica del pensamiento

En la seccin precedente se dijo que el pensamiento es considerado como una reflexin mediatizada del mundo de acuerdo con la forma o modo de la actividad de los individuos. Qu significa que la re-flexin que constituye el pensamiento se realice de acuerdo con la forma o modo de la actividad de los individuos? Esto significa que la manera en que llegamos a pensar y conocer los objetos del saber est enmarcada por significados culturales que van ms all del contenido mismo de la actividad en cuyo interior ocurre el acto de pensar. Estos significados culturales actan como enlaces mediadores entre la conciencia individual y la realidad cultural objetiva, y se constituyen

7 Eagleton (1997,p.12).

Elementos de una teora cultural de la objetivacin

109

en prerrequisito y condicin de la actividad individual mental (Ilyenkov, 1977, p. 95). Dichos significados culturales orientan la actividad y le dan cierta forma. Es por eso que pensar no es algo que simplemente nos ponemos a hacer, de forma ms o menos antojadiza, en el transcurso del cual de repente encontramos una buena idea. Si bien es cierto que la actividad prctica sensual, mediatizada por los artefactos, entra en los procesos del pensamiento, en su propio contenido, la manera en que esto ocurre est sujeta a los significados culturales en los que se sostiene la actividad. He aqu un ejemplo. La diferencia entre el pensamiento del escriba babilnico y el del gemetra griego no se reduce nicamente a los tipos de problemas de los que cada uno de ellos se ocup, ni en los artefactos utilizados para pensar matemticamente, ni al hecho de que el primero reflexionaba en un contexto ligado con la administracin poltica y econmica, mientras que el segundo lo hacia dentro de un contexto aristocrtico-filosfico. La diferencia entre el

pensamiento matemtico babilnico y el griego tiene que ver con el hecho de que la forma de las actividades que enmarcaron esos pensamientos est igualmente subtendida por una superestructura simblica que, a pesar de su importancia, no ha sido tomada en cuenta en las teorizaciones contemporneas sobre el concepto de actividad 8 . Esta superestructura simblica, que en otros trabajos hemos llamado Sistemas Semiticos de Significacin Cultural (Radford 2003a), incluyen significados culturales tales como concepciones en torno a los objetos matemticos (su naturaleza, su modo de existencia, su relacin con el mundo concreto, etc.) y patrones sociales de produccin de significados. El pensamiento del escriba babilnico est enmarcado por un pragmatismo realista en el que cobran vigencia los objetos matemticos rectngulo, cuadrado, etc., objetos que el gemetra griego del tiempo de Euclides concibe en trmino de formas platnicas o abstracciones aristotlicas (ver Figura 3).

Figura 3. Las flechas muestran la interaccin entre los Sistemas Semiticos de Significacin Cultural con la actividad y el territorio del artefacto. Dicha interaccin general los modos de la actividad y del saber, modos que, en un movimiento dialctico, vienen a su vez a alimentar a los vrtices del tringulo.

8 Leontiev no teoriz la dimensin de la superestructura simblica que estamos poniendo en evidencia aqu y que es,

sin embargo, fundamental para entender el pensamiento en su dimensin antropolgica. En la prolongacin de la Teora de la Actividad de Leontiev, hecha por Engestrm (1987), dicha superestructura no fue tampoco tomada en cuenta.

110 Relime

En interaccin con las actividades (sus objetivos, acciones, distribucin del trabajo, etc.) y con la tecnologa de la mediacin semitica (el territorio del artefacto), los Sistemas Semiticos de Significacin Cultural dan lugar, por un lado, a formas o modos de actividad y, por otro lado, a modos especficos del saber o epistemes (Foucault, 1966). Mientras que la primera interaccin da lugar a maneras particulares en que las actividades son realizadas en un momento histrico, la segunda interaccin da lugar a modos de saber especficos que permiten una identificacin de los problemas o situaciones interesantes y demarcan los mtodos, argumentos, evidencias, etc. que sern consideradas vlidas en la reflexin que se lleva a cabo sobre los problemas y situaciones en una cultura dada9. El triangulo mostrado en la figura 3 ilustra la complejidad de la actividad y la naturaleza diversa de la misma. La diversidad cultural en las formas de la actividad humana explica, en nuestra perspectiva, la diversidad de formas que toma el pensamiento matemtico, y que la historia nos muestra. En vez de ver esas formas histricas como versiones primitivas o estados imperfectos de un pensamiento que marcha hacia la forma acabada que presenta el pensamiento matemtico actual (etnocentrismo), la dimensin antropolgica de la teora de la objetivacin considera esas formas como propias de las actividades humanas que la enmarcan y renuncia as a privilegiar la racionalidad occidental como la racionalidad par excellence.

Como Spengler (1948, p. 68 y p. 70) sugera hace muchos aos, las matemticas de una cultura no son sino el estilo de la forma con que el hombre percibe su mundo exterior y que, contrario a la idea comn, la esencia de stas no es culturalmente invariable. Es precisamente la diversidad cultural la que explica la existencia de universos de nmeros tan diferentes como irreducibles unos a otros (ibid. p. 68). La manera en que el escriba babilnico, el gemetra griego y el abaquista Renacentista llegan a pensar y a conocer los objetos del saber, la manera en que plantean sus problemas y los considera resueltos, est enmarcada por el modo mismo de la actividad y la episteme cultural correspondiente (Radford, 1997, 2003a, 2003b).

2. Las bases epistemolgicas y ontolgicas de la Teora de la objetivacin Cualquier teora didctica debe en un momento u otro (a menos de confinarse voluntariamente a una especie de posicin ingenua) clarificar su posicin ontolgica y epistemolgica. La posicin ontolgica consiste en precisar el sentido en que la teora aborda la cuestin de la naturaleza de los objetos conceptuales (en nuestro caso, la naturaleza de los objetos matemticos, su forma de existencia, etc.). La posicin epistemolgica consiste en precisar la manera en que, segn la teora, esos objetos pueden (o no) llegar a ser conocidos.

De all que no es solamente la accin del sujeto que constituye el esquema del concepto (Piaget) o su sello o

emblema (Kant) sino sobre todo el significado de la accin en tanto que momento de la actividad socio-cultural misma (Radford, 2005).

Elementos de una teora cultural de la objetivacin

111

Las teoras didcticas contemporneas que parten de una aplicacin de las matemticas abrazan a menudo, aun si no es mencionado explcitamente, una ontologa realista, y plantean el problema epistemolgico en trminos de abstracciones. Claro, la situacin no es tan simple, como el propio Kant lo reconoci. Para el realismo, que en un sentido importante es la versin platonista de la racionalidad instrumental (Weber, 1992) que emerge en el renacimiento, la existencia de los objetos matemticos antecede y es independiente de la actividad de los individuos. Al igual que el platonista, el realista considera que los objetos matemticos son independientes del tiempo y la cultura. La diferencia es que, mientras los objetos platnicos no se mezclan con el mundo de los mortales, los objetos del realista gobiernan nuestro mundo. Segn la ontologa realista, esto explica el milagro de la aplicabilidad de las matemticas a nuestro mundo fenomenal (Colyvan, 2001). Naturalmente, para lograr esto, el realismo hace un acto de fe que consiste en creer que el ascenso de la abstraccin hacia los objetos es ciertamente posible. La fe que Platn pona en el discurso social razonado (logos) y que Descartes pona en la cogitacin consigo mismo, el realismo la pone en el experimento cientfico. La posicin ontolgica y epistemolgica de la teora de la objetivacin se aparta de la ontologa platonista y realista, y su concepcin de los objetos matemticos como objetos eternos, anteriores a la actividad de los individuos. Al alejarse de la ontologa idealista, la teora se aleja de la idea de que los objetos son productos de una mente que opera replegada sobre s misma o segn las leyes de la lgica (ontologa racionalista). La teora de la objetivacin sugiere que los objetos matemticos son generados histricamente

en el curso de la actividad matemtica de los individuos. De manera ms precisa, los objetos matemticos son patrones fijos de actividad reflexiva (en el sentido explicado anteriormente) incrustados en el mundo en cambio constante de la prctica social mediatizada por los artefactos. El objeto crculo, por ejemplo, es un patrn fijo de actividad cuyos orgenes resultan no de la contemplacin intelectual de los objetos redondos que los primeros individuos encontraron en su entorno, sino de la actividad sensual que llev a dichos individuos a notar o a darse cuenta de ella: Los hombres pudieron ver el Sol redondo solamente porque redondearon barro con sus manos. Con sus manos dieron forma a la piedra, pulieron sus bordes, le dieron aspecto plano. (Mikhailov, 1980, p. 199) Esa experiencia sensual laboral queda fijada en el lenguaje, el cual encarna as los significados originales, de manera que el significado de la palabra borde, plano, lnea no viene de una abstraccin de los aspectos generales de las cosas en el proceso de contemplacin (Mikhailov, ibid.) sino de la actividad laboral que se pierde en los orgenes de la humanidad. Lejos de entregarse de lleno a nuestros sentidos, nuestra relacin con la naturaleza y el mundo est filtrada por categoras conceptuales y significados culturales que hacen que El hombre moderno pueda contemplar la naturaleza solamente a travs del prisma de todas las habilidades sociales de trabajo que han sido acumuladas por sus predecesores. (Mikhailov, ibid.)

112 Relime

Terminemos esta seccin con una observacin general sobre la evolucin de los objetos matemticos que ser necesaria para nuestra discusin sobre el aprendizaje. En el curso del tiempo, la actividad laboral va dejando su sello en sus productos conceptuales (Leontiev, 1993, p. 100). Como todo objeto matemtico, el concepto de crculo, en tanto que reflexin del mundo en la forma de la actividad de los individuos, ha sido expresado de otras formas a lo largo de la historia. Por ejemplo, a travs de una palabra, un dibujo, una frmula, una tabla numrica. Cada una de esas expresiones ofrece un significado diferente, que se amarra a los anteriores y viene a constituir como dira Husserl capas noticas del objeto. Como es la actividad de los individuos la que forma la raz gentica del objeto conceptual, el objeto posee una dimensin expresiva variada que va ms all de un simple contenido conceptual cientfico. Esta dimensin expresiva encierra igualmente aspectos racionales, estticos y funcionales de su cultura.

cmo se realiza la adquisicin del saber depositado en la cultura: este es un problema fundamental de la didctica de las matemticas en particular y del aprendizaje en general. Las teoras clsicas de la didctica de las matemticas plantean el problema en trminos de una construccin o reconstruccin del saber cultural por parte del alumno10. La idea de construccin del saber tiene su origen en la epistemologa elaborada por Kant en el siglo XVIII. Para Kant, el individuo no es solamente un pensador ensimismado cuya actividad mental, si es bien realizada, lo llevar a las verdades matemticas como sostenan los racionalistas (Descartes, Leibniz, etc.); tampoco es un individuo pasivo que recibe las informaciones sensoriales para formar ideas, como proponan los empiristas (Hume, Locke, etc.). Para Kant el pensador es un ser en accin: el individuo es el artesano de su propio pensamiento (esta idea kantiana es analizada en Radford, 2005). En realidad Kant expresa de manera coherente y explcita el cambio epistemomlogico que se vena formando paulatinamente desde la aparicin de la manufactura y la emergencia del capitalismo en el Renacimiento y que Arendt (1958) resume de la manera siguiente: la era moderna es marcada por un desplazamiento en la concepcin de lo que significa saber; el problema central del conocimiento yace en un desplazamiento que va del qu (el objeto del saber) al cmo (el proceso), de suerte que, a diferencia del hombre del medioevo, el hombre moderno puede entender solamente aquello que l mismo ha hecho.

3. Aprendizaje como objetivacin cultural del saber

3.1 Dos fuentes de elaboracin de significados

En las secciones anteriores hemos visto que, desde el punto de vista filogentico, la actividad humana es generadora de los objetos conceptuales, los cuales se transforman a raz de cambios en las actividades mismas. Desde el punto de vista ontogentico, el problema central es explicar

10 Naturalmente, hay matices diferentes, segn la concepcin que la teora se hace del sujeto que aprende (esto es, del

alumno). Partiendo de una posicin extrema, el constructivismo radical va ms lejos que todas las formas de constructivismo. Brousseau (2004) resume las dificultades a las que se enfrenta dicha teora afirmando que En didactique, le constructivisme radical, est une absurdit, y adopta un constructivismo piagetiano ms moderado que, inevitablemente, lleva la teora de situaciones a una serie de paradojas.

Elementos de una teora cultural de la objetivacin

113

Para la teora de la objetivacin, el aprendizaje no consiste en construr o reconstrur un conocimiento. Se trata de dotar de sentido a los objetos conceptuales que encuentra el alumno en su cultura. La adquisicin del saber es un proceso de elaboracin activa de significados. Es lo que llamaremos ms adelante un proceso de objetivacin . Por el momento, nos interesa discutir dos fuentes importantes de elaboracin de significados que subtienden la adquisicin del saber.

El saber depositado en los artefactos

Una de las fuentes de adquisicin del saber resulta de nuestro contacto con el mundo material, el mundo de artefactos culturales de nuestro entorno (objetos, instrumentos, etc.) y en el que se encuentra depositada la sabidura histrica de la actividad cognitiva de las generaciones pasadas. Si bien es cierto que ciertos animales llegan a utilizar artefactos, para el animal el artefacto no llega a adquirir una significacin durable. El palo de madera que el chimpanc utiliza para alcanzar una fruta pierde su significado luego que la accin ha sido ejecutada (Khler, 1951). Es por eso que los animales no conservan artefactos. Adems y este es un elemento fundamental de la cognicin humana al contrario de los animales, el ser humano es afectado profundamente por el artefacto: al contacto con ste, el ser humano reestructura sus movimientos (Baudrillard, 1968) y forma capacidades motrices e intelectuales nuevas, como la anticipacin, la memoria, la percepcin (Vygotsky y Luria, 1994). El mundo de artefactos aparece, pues, como una fuente importante en el proceso

de aprendizaje, pero no es el nico. Los objetos no pueden hacer clara la inteligencia histrica encarnada en ellos. Para esto se requiere de su uso en actividades y del contacto con otras personas que saben leer esa inteligencia y ayudarnos a adquirirla. El lenguaje simblico-algebraico quedara reducido a un conjunto de jeroglficos. La inteligencia de la que es portador dicho lenguaje quedara sin ser notada sin la actividad social realizada en la escuela. Es en esta dimensin social que constituye para la teora de la objetivacin la segunda fuente esencial del aprendizaje11.

La interaccin social
Aunque la importancia de la dimensin social ha sido subrayada por una infinidad de estudios recientes sobre la interaccin en el saln de clases, hay diferencias sutiles en cuanto a su aporte cognitivo (Cobb y Yackel,1996; Sierpinska, 1996; Steinbring, Bartolini Bussi y Sierpinska, 1998;). A menudo, la interaccin es vista como negociacin de significados o como simple ambiente que ofrece los estmulos de adaptacin que requiere el desarrollo cognitivo del alumno. El problema es que el individuo en general y el alumno en particular no encuentran en la sociedad y en el saln de clases solamente una especie de muro con el que se topan y se frotan para adaptarse; no se trata solamente de condiciones externas a las que el sujeto debe acomodar su actividad. El punto crucial es que las actividades, los medios materiales que las mediatizan y sus objetivos estn impregnados de valores cientficos, estticos, ticos, etc. que vienen a recubrir las acciones que realizan los individuos y la reflexin que estas

11 La escuela histrico-cultural de Vygotsky ha expresado este punto de manera contundente. Ver por ejemplo Leontiev,

1993, pp. 58-59; 1968, pp. 27-29; Vygotsky, 1981b.

114 Relime

acciones exigen. Tal como fue discutido en la primera parte de este artculo, las acciones que los individuos realizan estn sumergidas en modos culturales de actividad. Es por eso que el saln de clases no puede verse como un espacio cerrado, replegado en s mismo, en el cual se negocian las normas del saber, pues esas normas tienen toda una historia cultural y como tal pre-existen a la interaccin que ocurre en el saln de clases. Tampoco puede verse como una especie de ambiente biolgico en el que el individuo opera segn sus mecanismos invariables de adaptacin general. En la perspectiva que estamos sugiriendo, la interaccin desempea un papel diferente. En lugar de desempaar una funcin meramente de adaptacin, de catalizadora o facilitadora, en la perspectiva terica que estamos esbozando la interaccin es consustancial del aprendizaje. Vemos, pues, que hay dos elementos que desempean un papel bsico en la adquisicin del saber que son el mundo material y la dimensin social. La asignacin de significados que reposa sobre esas dimensiones tiene una importancia psicolgica profunda en la medida en que es, a la vez, toma de conciencia de conceptos culturales y proceso de formacin de las capacidades especficas del individuo. Es por eso que, dentro de nuestra perspectiva, aprender no es simplemente apropiarse de algo o asimilar algo, sino que es el proceso mismo en que se forman nuestras capacidades humanas.

algebraico de resolucin de problemas, que aprendan a demostrar proposiciones geomtricas, etc.. Aunque el objetivo es claro para el profesor, en general ste no lo es para los alumnos. Si el objetivo fuese claro par estos ltimos, no habra nada por aprender. Dentro del proyecto didctico de la clase, para que dicho objetivo se pueda realizar, el profesor propone a los alumnos una serie de problemas matemticos. Resolver esos problemas se convierte en fines que guan las acciones de los alumnos. Estos problemas -cargados desde el principio con un contenido cultural y conceptual- forman trayectorias potenciales para alcanzar el objetivo. Debemos subrayar que, desde la perspectiva de la teora de la objetivacin, hacer matemticas no se reduce a resolver problemas. Sin quitarle mritos al problema en la formacin del conocimiento (ver por ejemplo Bachelard, 1986), para nosotros la resolucin de problemas no es el fin sino un medio para alcanzar ese tipo de praxis cogitans o reflexin cultural que llamamos pensamiento matemtico. De manera, pues, que detrs del objetivo de la leccin, yace un objetivo mayor y ms importante, el objetivo general de la enseanza y el aprendizaje de las matemticas, que es la elaboracin por parte del alumno de una reflexin definida como relacin comn y activa con su realidad histrico-cultural. En otras palabras, aprender matemticas no es simplemente aprender a hacer matemticas (resolver problemas) sino aprender a ser en matemticas. La diferencia entre hacer y ser es inmensa y, como veremos ms adelante, tiene consecuencias importantes no solamente en el diseo de las actividades sino en la organizacin misma de la clase y el papel que all juegan alumnos y profesores.

3.2 La actividad de aprendizaje

Un elemento central en el concepto de actividad es el objetivo de la misma (Leontiev, 1993). El objetivo puede ser, por ejemplo, que los alumnos elaboren una frmula algebraica en el contexto de una generalizacin aritmtica, que aprendan un mtodo

Elementos de una teora cultural de la objetivacin

115

3.3 La objetivacin del saber

En forma sucinta, el objetivo mayor de la enseanza de las matemticas es que el alumno aprenda a reflexionar de acuerdo con ciertas formas culturales de pensamiento histricamente constituidas que la distinguen de otras formas de reflexin (por ejemplo de tipo literario o musical) en la medida en que en la reflexin matemtica, la relacin del individuo con el mundo enfatiza ideas en torno a la forma, el nmero, la medida, el tiempo, el espacio, etc. Es este nfasis el que distingue el pensamiento matemtico de otras formas de pensamiento. Para conseguir ese objetivo, debemos recurrir a la prctica, por la sencilla razn de que no disponemos de un lenguaje que pueda enunciar y capturar en el enunciado (en el sentido clsico del trmino, es decir, como conjunto articulado de sonidos vocales) el pensamiento matemtico. No hay, en efecto, una formulacin lingstica posible del pensamiento matemtico de cuya lectura por atenta que sea- pueda resultar la comprensin de ste. El pensamiento, ya lo hemos dicho (Radford, 2003b), est ms all del discurso: es una praxis cogitans, algo que se aprende haciendo. La teora de la objetivacin no ve, sin embargo, dicho aprendizaje como simple imitacin o participacin conforme a una prctica ya establecida, sino como la fusin entre una subjetividad que busca percibir ese lingsticamente inarticulable modo de reflexionar y este ltimo que no puede sino mostrarse a travs de la accin. Sin duda, hay una relacin estrecha entre el pensamiento matemtico y sus objetos en el sentido en que estos objetos no pueden ser percibidos sino a travs de un pensamiento, el cual, a su vez, en el momento de su constitucin ontogentica, debe apuntar hacia uno o ms de esos

objetos. Pero cmo es esto posible? Para constituirse, el pensamiento parece suponer la existencia del objeto. Por otro lado, el objeto no puede llegar a ser sin el pensamiento (entendido como praxis cogitans) que lo produce. El misterio de esta relacin se disuelve si regresamos a lo dicho en la primera parte de este artculo. El objeto matemtico concebido como patrn o patrones fijos de actividad reflexiva incrustados en el mundo constantemente en cambio de la prctica social no podr ser percibido, sino es a travs de la actividad reflexiva misma. De all que para llegar a conocer los objetos y productos del desarrollo cultural es necesario realizar en torno a los mismos determinada actividad, es decir, una actividad que produzca los rasgos esenciales de aqulla, encarnada, acumulada en dichos objetos. (Leontiev, 1968, p. 21) La enseanza consiste en poner y mantener en movimiento actividades contextuales, situadas en el espacio y el tiempo, que se encaminan hacia un patrn fijo de actividad reflexiva incrustada en la cultura. Ese movimiento, que podra expresarse como el movimiento del proceso al objeto (Sfard, 1991; Gray y Tall, 1994), posee tres caractersticas esenciales. Primero, el objeto no es un objeto monoltico u homogneo. Es un objeto compuesto de laderas de generalidad (Radford, en prensa-1). Segundo, desde el punto de vista epistemolgico, dichas laderas sern ms o menos generales de acuerdo con las caractersticas de los significados culturales del patrn fijo de actividad en cuestin (por ejemplo, el movimiento kinestsico que forma el crculo; la frmula simblica que lo expresa como conjunto de puntos a igual

116 Relime

distancia de su centro, etc.). Tercero, desde el punto de vista cognitivo, dichas laderas de generalidad son notadas de manera progresiva por el alumno. El Aha! que se convirti tan popular en parte gracias a la teora de la Gestalt es a lo sumo cierto en tanto que punto final de un largo proceso de toma de conciencia. El aprendizaje consiste en aprender a notar o percibir esas laderas de generalidad. Como el aprendizaje es re-flexin, aprender supone un proceso dialctico entre sujeto y objeto mediatizado por la cultura, un proceso en el que, a travs de su accin (sensorial o intelectual) el sujeto nota o toma conciencia del objeto. La objetivacin es, precisamente, ese proceso social de toma de conciencia progresiva del eidos homrico, esto es, de algo frente a nosotros una figura, una forma algo cuya generalidad notamos gradualmente, al mismo tiempo que la dotamos de sentido. Es ese notar que se desvela en el gesto que cuenta o que seala, notar que se descubre en la intencin que se plasma en el signo o en el movimiento kinestsico que mediatiza el artefacto en el curso de la actividad prctica sensorial, algo susceptible de convertirse en accin reproducible, cuyo significado apunta hacia ese patrn eidtico fijo de acciones incrustadas en la cultura que es el objeto mismo12.

donde el alumno elabora esa reflexin definida como relacin comn y activa con su realidad histrico-cultural13. Es aqu en donde ocurre el encuentro del sujeto y el objeto del saber. La objetivacin que permite dicho encuentro no es un proceso individual, sino social. La sociabilidad del proceso, empero, no debe ser entendida como simple interaccin de negocios, una especie de juego entre adversarios capitalistas en el que cada uno invierte bienes con la esperanza de terminar con ms. La sociabilidad significa aqu el proceso de formacin de la conciencia, que Leontiev caracterizaba como co-sapiencia, es decir, saber en comn o saber-con-otros. Naturalmente, estas ideas implican una reconceptualizacin del alumno y su papel en el acto de aprendizaje. En la medida en que las teoras contemporneas de la didctica de las matemticas se amparan del concepto de individuo formulado por Kant y otros filsofos del Siglo de las Luces, la educacin se justifica en tanto que sta asegura la formacin de un sujeto autnomo (entendida en el sentido de ser capaz de hacer algo por s mismo, sin ayuda de los dems). La autonoma es, en efecto, un tema central de la educacin moderna que ha servido de fundamento a las teorizaciones del socioconstructivismo (ver, por ejemplo, Yackel and Cobb, 1996) y de la teora de situaciones (Brousseau, 1986; Brousseau y Gibel, 2005, p. 22). El racionalismo que pesa sobre este concepto de autonoma viene de su alianza con otro concepto clave kantiano: el de la libertad. No puede haber autonoma sin libertad, y la libertad significa el uso conveniente de la Razn segn sus propios principios, pues no vemos los principios sino a travs de la razn (Kant, 1980, p. 119).

4. El saln de clases como comunidad de aprendizaje

4.1 Ser-con-otros
El saln de clases es el espacio social en

12 Ver Radford, 2002, 2003c, 2004. 13 El trmino elaborar debe ser entendido en su sentido etimolgico medieval, como labMrtus (de ex-labMrre), es decir

de labor o trabajo sensual conjunto.

Elementos de una teora cultural de la objetivacin

117

Como el Siglo de las Luces no se plante la posibilidad de una multiplicidad de razones, sino que postul la razn occidental como la razn, la convivencia en comunidad implica el respeto a un deber que, en el fondo, no es sino una manifestacin de esa razn universal, cuyo epitome son las matemticas. Es esa supuesta universalidad de la razn la que lleva a Kant a fusionar las dimensiones tica, poltica y epistemolgica, y a afirmar que hacer algo por deber es obedecer a la razn. (Kant, 1980, p. 129). Para la teora de la objetivacin, el funcionamiento del saln de clases y el papel del profesor no se limitan a buscar el logro de la autonoma. Ms importante es aprender a vivir en la comunidad que es el saln de clases (en un sentido amplio), aprender a estar con otros, abrirse a la comprensin de otras voces y otras conciencias, en pocas palabras, a ser-conotros (Radford, en prensa-2). Como lo social es irreducible a los individuos, por muy numerosos que stos sean (Todorov, 1984, p. 19), la sociabilidad del saln de clases significa una unin a travs de vnculos y relaciones que son prerrequisitos de esa reflexin que hemos mencionado anteriormente, definida como relacin comn y activa que elabora el alumno con su realidad histrico-cultural. Esa sociabilidad no solamente deja su huella en el contenido conceptual perseguido, sino que es consustancial de ste. La naturaleza intrnsicamente social del saber y del pensamiento matemtico nos ha llevado, pues, a concebir la sala de clase como una comunidad de aprendizaje, cuyo funcionamiento est orientado a la objetivacin del saber. Sus miembros trabajan de forma que:

la comunidad permite la realizacin personal de cada individuo; cada miembro de la comunidad tiene su lugar; cada miembro es respetado; cada miembro respeta los otros y los valores de su comunidad; la comunidad es flexible en las ideas y sus formas de expresin; la comunidad abre espacio a la subversin a fin de asegurar:

la modification, el cambio y su transformacin

Ser miembro de la comunidad no es algo que va de s. Para ser miembro, los alumnos son alentados a:

compartir los objetivos de la comunidad; implicarse en las acciones del saln de clases; comunicar con los otros.

Queremos insistir en que los lineamientos anteriores no son simplemente cdigos de conducta, sino, al contrario, son ndices de formas de ser en matemticas (y por consiguiente de saber matemticas) en el sentido ms estricto del trmino. Para resumir las ideas anteriores, subrayemos el hecho de que, para la teora de la objetivacin, la autonoma no es suficiente para dar cuenta de la forma de ser en matemticas. El alumno que resuelve con xito problemas, pero que es incapaz de explicarse o de entender o interesarse en las soluciones de los otros o de ayudar a los otros a comprender la suya est apenas a medio camino de lo

118 Relime

que entendemos por xito en matemticas. Es por eso que el profesor dispone de una serie de acciones de inclusin . Estas acciones son concebidas de manera que el alumno que resuelve correctamente problemas matemticos sin poder atender a la dimensin interpersonal de la comunidad gane poco a poco su espacio en la misma14. La idea de autonoma como ser autosuficiente es remplazada por la idea de ser-con-otros. En vez de concebir la clase como espacio de negociacin personal de significados o como medio que enfrenta al alumno, la clase colabora y coopera con el alumno para que ste se convierta en parte de la comunidad.

que parecen menos profundas (como las participaciones perifricas, en el sentido de Lave y Wenger, 1991) son bienvenidas, a condicin de que el alumno en cuestin est-con-su-grupo, esto es, que el alumno por ejemplo est atento a lo que el grupo est discutiendo, solicite explicaciones que le permitan seguir la discusin y las acciones, colabore con su grupo, etc. El profesor debe proponer tareas y problemas que conlleven a la objetivacin del saber. Ciertas condiciones deben ser cumplidas. Por ejemplo, para mantener una reflexin sostenida entre los miembros del grupo, con el profesor y luego con otros grupos, los problemas deben ser suficientemente complejos para favorecer la aparicin de diversas formas de abordar el problema y engendrar as la discusin. En nuestro modelo, el profesor circula entre los grupos y discute con los alumnos. Aunque en general el profesor deja a los alumnos discutir entre ellos sin intervenir innecesariamente, ste va intervenir en momentos en que, por ejemplo, cree que la discusin se ha estancado o que los alumnos no han ido suficientemente lejos como se esperaba. Para ilustrar estos principios, veamos un extracto de una leccin sobre la interpretacin del movimiento en una clase de dcimo grado (15-16 aos). La leccin inclua un artefacto que mide la distancia a un objeto a travs de la emisinrecepcin de ondas (Calculador Based Ranger o CBR; ver figura 4).

4.2 Tres fases de la actividad del saln de clases El trabajo en pequeos grupos
Para implementar la comunidad de aprendizaje, el profesor favorece el trabajo en pequeos grupos, los cuales pueden, en el curso de la leccin de matemticas intercambiar ideas con otros grupos. De esa cuenta, la ingeniera didctica (Artigue, 1988) no se limita al diseo de los problemas matemticos sino incluye una gestin del saln de clases operacional con los principios comunitarios mencionados anteriormente. En cada pequeo grupo, los alumnos se apoyan mutuamente para alcanzar la solucin de los problemas que se les ha dado. Los alumnos y el profesor estn conscientes de que hay diferencias individuales que llevan a formas diferentes de participacin. Incluso participaciones

14 Ver nuestro libro, Communication et apprentissage (Radford y Demers, 2004).

Elementos de una teora cultural de la objetivacin

119

En el problema que segua en el diseo de la actividad, los alumnos deban verificar su hiptesis, efectuando la marcha en uno de los corredores de la escuela. Como de costumbre, los alumnos trabajaron en pequeos grupos de 3. En los problemas anteriores, los alumnos haban sido confrontados con situaciones de movimiento en las que uno de los dos, el CBR o el objeto, quedaban fijos. En este caso, los dos estn en movimiento. Como esperbamos, las dificultades conceptuales fueron importantes. En general, los alumnos transformaban el enunciado del problema en uno que podan resolver: los alumnos suponan que Marthe no se mueve. Esto queda ilustrado a travs de la discusin que tuvieron Samuel, Carla y Jenny de la cual reproducimos a continuacin algunas partes: 1.Samuel: Ok, Pierre se mueve despacio de A a B Se detuvo algunos segundos (ver figura 5, foto 1), luego corri a D (figura 5, foto 2). 2.Carla: Ah, S! camin, se detuvo, corri. 3.Jenny: Mm-hmm. 4.Samuel: Espera, espera un segundo [Pierre] regres verdaderamente rpido. 5.Carla: Es cierto. Empez despacio despus (inaudible) luego se detuvo, luego corri.
d

Figure 4. El Calculator Based Ranger (a la izquierda) es un artefacto concebido para estudiar los objetos en movimiento: a travs de la emisin de ondas, el CBR recoge datos de su distancia al objeto en cuestin. Al conectarse a una calculadora grfica (por ejemplo, TI-83+, mostrada a la derecha), es posible obtener grficas espacio-tiempo, velocidad-tiempo, etc.

Los alumnos haban empezado a utilizar el CBR en noveno grado. El enunciado de uno de los problemas dado a los alumnos fue el siguiente: Dos alumnos, Pierre et Marthe, se colocan a una distancia de un metro y empiezan a caminar en lnea recta. Marthe, que est detrs de Pierre, lleva una calculadora conectada a un CBR. El grfico obtenido se encuentra reproducido abajo. Describan cmo Pierre y Marthe han podido hacer para obtener ese grfico.

6.Samuel: S, hacia atrs.

B C A

7.Jenny: (dirigindose a Carla) S, hacia atrs, porque [el segmento] baja (haciendo un gesto hacia abajo con la mano; ver figura 5, foto 3).
t

120 Relime

Foto 1:Se detuvo algunos segundos (lnea 1).

la perspectiva de la objetivacin, Carla se apropia la interpretacin del fenmeno que le es ofrecida por Samuel. La apropiacin pasa por una verbalizacin que Carla reformula en trminos ms breves (por ejemplo, no hay alusin a las letras A, B. etc.). La preposicin de Samuel y el movimiento gestual hechos con la pluma sobre el grfico son para Carla la materia prima a partir de la cual ella alcanza a ver algo que antes no vea. Si Samuel ofrece a Carla acceso a una primera interpretacin del problema (por rudimentaria que sta sea), a su vez, la reformulacin de Carla permite a Samuel darse cuenta de que hay algo importante que ha quedado sin atenderse: que, para dar cuenta de la diferencia de inclinaciones de los segmentos, en la historia del problema Pierre ha debido regresar verdaderamente rpido (lnea 4). Carla reformula de nuevo la idea y, en la lnea 6, Samuel insiste en que Pierre no solamente ha debido correr ms rpido, sino en cierta direccin (hacia atrs). En la lnea 7, haciendo un gesto con la mano (ver Figura 5, foto 3), Jenny propone una razn. Los alumnos continan discutiendo por un buen momento. La interpretacin obtenida no convence a Carla y a Jenny, pues sta asume que Marthe no camina.

Foto 2: luego corri a D (lnea 1).

Foto 3: porque [el segmento] baja. Figura 5. Fotos 1 a 3.

La discusin contina entre ellos: 8.Jenny: No heuu (los dos) tienen que caminar! 9.Samuel: Si ella hiciera eso [es decir, caminara] exactamente a la misma distancia [de Pierre] como si ella hiciera esto (ver el gesto en la figura 6), sera una lnea plana [es decir horizontal] () por lo tanto ella debe quedarse quieta y l debe moverse!

Nuestro inters aqu no es entrar en un anlisis de errores, sino de mostrar elementos del proceso social de objetivacin del saber. Conviene notar, a ese respecto, que no consideramos la intervencin de Carla en la lnea 2 como simple rplica o imitacin de la preposicin enunciada por Samuel en la lnea 1. Desde

Elementos de una teora cultural de la objetivacin

121

10.Jenny: Pero eso [el enunciado del problema] dice que los dos caminan! () 11.Samuel: (despus de un momento de silencio) Talvez ella camina, pero l camina un poco ms rpido que ella.

fsica en el corredor de la escuela y luego el clculo de las ecuaciones de los segmentos) para que los alumnos alcancen una objetivacin mayor.

Intercambio entre pequeos grupos

Las reflexiones producidas por los pequeos grupos son, a menudo, objeto de intercambio. Un grupo puede intercambiar sus soluciones con otro grupo con el fin de entender otros puntos de vista y mejorar los propios. La figura 7 muestra el encuentro de dos grupos de alumnos sobre el problema de Pierre y Marthe. Los grupos llegaron a un punto en que un acuerdo era imposible. Marc y su grupo planteaban la explicacin en trminos de cambios de velocidad. Por el contrario, Dona y su grupo afirmaban que la velocidad de Pierre con relacin a Marthe es constante. Ante la imposibilidad de poder llegar a un consenso, los alumnos optaron por llamar a la profesora. En la figura 7, Marc (a la izquierda) explica su razonamiento a la profesora (de pe, detrs de los alumnos): 1.Marc: Y si los dos comienzan a la misma velocidad, luego l empieza a correr ms rpido? (Marc apoya su argumento con un gesto de manos) 2.Profesora: T supones que el muchacho [Pierre] camina cada vez ms rpido? 3.Dona: (oponindose a la idea) La velocidad es constante! ()No hay curvas! Eso quiere decir que l [Pierre] camina la misma distancia por segundo.

Figura 6. Para simular el caso en que Pierre y Marthe caminan,Samuel desplaza en forma continua las manos de derecha a izquierda, dejndolas a la misma distancia.

En este momento, la descripcin del movimiento deja de ser la descripcin respecto a un punto fijo y alcanza la descripcin del movimiento relativo. A travs de ese intercambio, los alumnos consiguen acercarse un poco ms a la forma cultural de reflexin vehiculado por la actividad. Ser necesaria la expresin corporal con el CBR y simblica del movimiento (a travs de la experiencia

122 Relime

notar las diferencias entre los argumentos. Naturalmente, tanto en un caso como en el otro, el profesor desempea un papel crucial. En los dos casos, el profesor entra en la zona de desarrollo prximo del grupo. Lo que es ms importante es que el profesor no entra a esa zona de manera neutra, sino con un proyecto conceptual preciso.

Discusiones generales
La discusin general es otra manera de intercambiar ideas y discutirlas. Es otro momento que posee el profesor para lanzar la discusin en puntos que requieren mayor profundidad de acuerdo con los estndares curriculares. Por ejemplo, durante la discusin general del problema de Pierre y Marte, la profesora aprovecha para subrayar algo sobre lo cual no todos los grupos haban recapacitado, a saber que la posicin del segmento BC no significa necesariamente que Pierre y Marthe estn detenidos ni que la posicin del segmento CD significa necesariamente que Pierre camina en la direccin de Marthe. En la figura 8, dos alumnos ejecutan la marcha frente a toda la clase, mientras Susan, la tercera alumna de ese grupo (no visible en la foto), explica a toda la clase: 1.Susan : Hem, la persona que estaba enfrente caminaba ms rpido que la que estaba atrs, eso lograba una distancia mayor entre el CBR y el punto objetivo. Luego hem en seguida B y C en nuestro diagrama [Pierre y Marthe] caminaban a la misma velocidad, por tanto haba la misma distancia entre ellos. Luego, t? 2.Profesora :S, continua! 3.Susan: luego hem al final, la persona que estaba atrs camina ms rpido para acercarse a la persona que estaba adelante (ver figura 8).

Figura 7. Arriba, la discusin entre los Grupos. Abajo, Marc explica la solucin de su grupo a la profesora, que aparece en la foto de pe, entre Marc y Dona.

La profesora sugiere a los alumnos pensar en la situacin de dos mviles que viajan a 80 k/h y 100 k/h. Marc se da cuenta de que el aumento de distancia no significa necesariamente un aumento de velocidad. La profesora se cerciora de que los otros alumnos del grupo de Marc hayan entendido la diferencia (dice, por ejemplo: t, Edgar qu piensas ahora?) y aprovecha las circunstancias para hacer reflexionar a los alumnos sobre el efecto en las grficas que tendra un movimiento de velocidad que aumenta, como Marc propona en la lnea 1. En este caso, los alumnos notan las diferencias entre los argumentos e interpretaciones. Sin embargo, muchas veces los alumnos no se dan cuenta de que los argumentos presentados son diferentes o tienden a minimizar las diferencias. Una de las dificultades en la adquisicin de formas de reflexin matemtica es el de

Elementos de una teora cultural de la objetivacin

123

no pueden ser confinados a la dimensin interactiva que ocurre en el aula misma, sino que tienen que ser conceptualizados en el contexto de su dimensin histricocultural. De esa cuenta, la teora de la objetivacin propone una didctica anclada en principios en los que el aprendizaje es visto en tanto que actividad social ( praxis cogitans ) arraigada en una tradicin cultural que la antecede. Sus principios fundamentales se articulan alrededor de cinco conceptos relacionados entre s. El primero es un concepto de orden psicolgico: el concepto de pensamiento, elaborado en trminos no mentalistas. Hemos propuesto que el pensamiento es sobre todo una forma de re-flexin activa sobre el mundo, mediatizada por artefactos, el cuerpo (a travs de la percepcin, gestos, movimientos, etc.), el lenguaje, los signos, etc. Este concepto de re-flexin difiere del concepto idealista y racionalista en el que la reflexin no es otra cosa que una atencin a aquello que ya est en nosotros (Leibniz, 1966, p. 36), y que la psicologa cognitiva contempornea llama a menudo metacognicin. Para la teora de la objetivacin, la re-flexin es un movimiento dialctico entre una realidad constituida histrica y culturalmente y un individuo que la refracta (y la modifica) segn las interpretaciones y sentidos subjetivos propios. Dicha concepcin se inscribe en una forma peculiar de cognicin en la que el acto del conocimiento altera lo que busca. Al tratar de entenderme yo mismo y mi condicin, no puedo nunca quedarme idntico a m mismo, pues el yo que estaba entendiendo al igual que el yo entendido son ahora diferentes de lo que eran

Figura 8. El alumno que camina atrs se acerca al otro alumno

Sntesis Algunas teoras de la didctica de las matemticas han excluido intencionalmente los aspectos psicolgicos del aprendizaje y se han ocupado de las situaciones matemticas que pueden favorecer la emergencia de razonamientos matemticos precisos. Tal es el caso de la teora de situaciones. Por el contrario, otras teoras se han detenido en los mecanismos de negociacin de significados en el aula y la manera en que esa negociacin explica la construccin de representaciones que se hace el alumno del mundo. Tal es el caso del socio-constructivismo. La deuda intelectual que tiene la teora de la objetivacin con esas teoras es inmensa, y nuestras referencias a ellas no deben ser vistas negativamente. Dichas teoras aparecen sustentadas por principios fundamentales y operacionales claros que les confieren una solidez impecable. Sin embargo, la teora de la objetivacin parte de otros principios. Por un lado, sta parte de la idea de que la dimensin psicolgica debe ser objeto de estudio de la didctica de las matemticas. Por otro lado, sugiere que los significados que circulan en el aula

124 Relime

antes. Y si quisiera entender todo esto, todo este proceso sera de nuevo puesto en marcha () Como este saber tambin mueve a la gente a cambiar sus condiciones de manera prctica, ste se vuelve una especie de fuerza poltica y social, una parte de la situacin material examinada y no mera reflexion [contemplativa] sobre algo. (Eagleton, 1997, p. 4) El segundo concepto de la teora es de orden socio-cultural. Es el concepto de aprendizaje. El aprendizaje es visto como la actividad a travs de la cual los individuos entran en relacin no solamente con el mundo de los objetos culturales (plano sujeto-objeto) sino con otros individuos (plano sujeto-sujeto o plano de la interaccin) y adquieren, en el seguimiento comn del objetivo y en el uso social de signos y artefactos, la experiencia humana (Leontiev, 1993). Este concepto socio-cultural se imbrica inmediatamente con otro el tercer concepto de la teora de naturaleza epistemolgica. Como toda actividad, el aprendizaje est enmarcado por sistemas semiticos de significacin cultural que naturalizan las formas de cuestionamiento y de investigacin del mundo. Aristteles hubiese probablemente incitado a nuestros alumnos a plantear y a estudiar el problema de Pierre y Marthe en trminos diferentes, dado que dentro del marco aristotlico de referencia, no son el tiempo y el espacio los que describen al movimiento sino, al contrario, el tiempo es un derivado del movimiento 15 . Nuestros alumnos

pertenecen a una cultura en donde la medida del tiempo se ha vuelto omnipresente, midiendo no slo el movimiento sino la labor humana, el crecimiento del dinero (tazas de inters), etc., una cultura en donde La temporalidad de la experiencia esta nocin del tiempo como el marco dentro del cual las formas de vida se encuentran inmersas y llevan su existencia es la caracterstica del mundo moderno. (Bender y Wellbery, 1991, p.1) Los conceptos anteriores permiten reformular, en trminos generales, el aprendizaje de las matemticas como la adquisicin comunitaria de una forma de reflexin del mundo guiada por modos epistmico-culturales histricamente formados. Ahora bien, como el aprendizaje es siempre acerca de algo, los conceptos anteriores vienen a ser completados por un cuarto concepto de naturaleza ontolgica el de objetos matemticos, que hemos definido como patrones fijos de actividad reflexiva incrustados en el mundo constantemente en cambio de la prctica social mediatizada por los artefactos. Para volver operacional la teora en su vertiente ontogentica, fue necesario introducir un quinto concepto de naturaleza semitico-cognitiva el de objetivacin o toma de conciencia subjetiva del objeto cultural. En este contexto, y a la luz de los conceptos fundamentales anteriores, el aprendizaje se define como proceso social

15 We take cognizance of time, when we have defined the movement by defining the before and after; and only then we

say that time has been (has elapsed) when we perceive the before and after in the movementfor, when we think [noesomen] that the extremities are other than the middle, and the soul pronounces the present/instants [nun] to be two, the one before, the other after, it is only then that we say that this is time (Physics IV, 11, 219a 22-25; 26-29).

Elementos de una teora cultural de la objetivacin

125

de objetivacin de esos patrones externos de accin fijos en la cultura. Desde el punto de vista metodolgico, nuestro concepto no mentalista ni racionalista del pensamiento nos conduce a prestar atencin a los medios semiticos de objetivacin que utiliza el alumno en un esfuerzo que es, a la vez, elaboracin de significados y toma de conciencia de los objetos conceptuales. Las fotos que hemos incluido no tienen como fin embellecer el texto sino, precisamente, mostrar algunos de esos medios semiticos de objetivacin, como los gestos, el lenguaje, los smbolos. Gestos, lenguaje, smbolos, se convierten as en constituyentes mismos del acto cognitivo que posiciona el objeto conceptual no dentro de la cabeza sino en el plano social. Los cortos ejemplos del

saln de clases mencionados al inicio y al final del artculo, dan una idea de la manera en que la teora indaga esa objetivacin del saber que se mueve a lo largo de los planos de la interaccin y de la accin mediatizada (el territorio del artefacto)16. Finalmente, nuestra posicin terica respecto al aprendizaje conlleva a un replanteamiento del concepto del individuo que aprende. Como lo hemos mencionado, el concepto de individuo de la era moderna que aparece con la emergencia del capitalismo en los siglos XV y XVI, est fundamentado en el concepto de autonoma y de libertad. La teora de la objetivacin parte de otro punto y ofrece un concepto diferente: el individuo es individuo en tanto que es ser-con-otros.

Referencias Arendt, H. (1958).The Human Condition: The University of Chicago Press. Artigue, M. (1988). Ingnierie Didactique. Recherches en Didactique des Mathmatiques, 9(3), 281-308. Bachelard, G. (1986). La formation de lesprit scientifique. Paris: Vrin. Bakhurst, D. (1988). Activity, Consciousness and Communication. The Quarterly Newsletter of the Laboratory of Comparative Human Cognition, 10(2), 31-39. Baudrillard, J. (1968). Le systme des objets. Paris: Gallimard. Bender, J. y Wellbery, D. E. (1991). Chronotypes: The Construction of Time. Palo Alto: Stanford University Press. Brousseau, G. (1986). Fondements et mthodes de la didactique des mathmatiques. Recherches en Didactique des Mathmatiques, 7(2), 33-115.

16 Ejemplos detallados pueden encontrarse en Radford, 2000, 2003c; Radford, Bardini y Sabena, 2005; Sabena, Radford

y Bardini, 2005.

126 Relime

Brousseau, G. (2004). Une modlisation de lenseignement des mathmatiques. Conferencia plenaria presentada en el Convegno di didattica della matematica, 24-25 de Septiembre, Locarno, Suiza. Brousseau, G. y P. Gibel (2005). Didactical handling of students reasoning processes in problem solving situations. Educational Studies in Mathematics, 59, 13-58. Cobb, P. y Yackel, E. (1996). Constructivist, Emergent, and Sociocultural Perspectives in the Context of Developmental Research. Educational Psychologist, 31(34), 175-190. Cole, M., y Griffin, P. (1980). Cultural amplifiers reconsidered. In D. R. Olson (Ed.), The Social Foundations of Language and Thought, Essays in Honor of Jerome S. Bruner (pp. 343-364). New York/London: W. W. Norton & Company. Colyvan, M. (2001). The miracle of applied mathematics. Synthese, 127, 265-277. de Vega, M. (1986). Introduccion a la psicologia cognitiva. Mexico: Alianza Editorial Mexicana. Eagleton, T. (1997). Marx. London, Phoenix. Engestrm, Y. (1987). Learning by Expanding: An Activity-Theoretical Approach to Developmental Research. Helsinki, Orienta-Konsultit Oy. Foucault, M. (1966). Les mots et les choses. Paris: ditions Gallimard. Geertz, C. (1973). The Interpretation of Cultures. New York: Basic Books. Gray, E. y Tall, D. (1994). Duality, Ambiguity and Flexibility: A Proceptual View of Simple Arithmetic. Journal for Research in Mathematics Education, 26 (2), 115 141. Homer (ca. 800 A.-C.). The Iliad. The Internet Classics, translated by Samuel Butler. http:// classics.mit.edu/Homer/iliad.html. Husserl, E. (1931). Ideas. General Introduction to Pure Phenomenology. London, New York: George Allen & Unwin. Ilyenkov, E. (1977). The Concept of the Ideal. Philosophy in the USSR: Problems of Dialectical Materialism (pp. 71-99). Moscow: Progress Publishers. Kant, E. (1980). Rflexions sur lducation. Paris: Vrin. Khler, W. (1951). The Mentality of Apes. New York: The Humanities Press / London: Routledge and Kegan Paul. Lave, J. y E. Wenger (1991). Situated learning; legitimate peripheral participation. Cambridge: Cambridge University Press.

Elementos de una teora cultural de la objetivacin

127

Leibniz, G. W. (1966). Nouveaux essais sur lentendement humain. Paris: Garnier Flammarion. Leontiev, A. N. (1968). El hombre y la cultura. En El hombre y la cultura: problemas toricos sobre educacin (pp. 9-48). Mxico: Editorial Grijalbo. Leontiev, A. N. (1993). Actividad, conciencia y personalidad. Mxico: ASBE Editorial. Martin, J. (2004). The Educational Inadequacy of Conceptions of Self in Educational Psychology. Interchange: A quarterly review of Education, 35, 185-208. Martin, J., Sugarman, J. y Thompson, J. (2003). Psychology and the Question of Agency. New York: SUNY. Merleau-Ponty, M. (1945). Phnomenologie de la perception. Paris: Gallimard. Mikhailov, F. T. (1980) The Riddle of the Self. Moscow: Progress Publishers. Radford, L. (1997). On Psychology, Historical Epistemology and the Teaching of Mathematics: Towards a Socio-Cultural History of Mathematics. For the Learning of Mathematics, 17(1), 26-33. Radford, L. (2000). Signs and meanings in students emergent algebraic thinking: A semiotic analysis. Educational Studies in Mathematics, 42(3), 237-268. Radford, L. (2002). The seen, the spoken and the written. A semiotic approach to the problem of objectification of mathematical knowledge. For the Learning of Mathematics, 22(2), 14-23. Radford, L. (2003a). On Culture and Mind. A post-Vygotskian Semiotic Perspective, with an Example from Greek Mathematical Thought. En M. Anderson, A. Senz-Ludlow, S. Zellweger and V. Cifarelli (Eds.), Educational Perspectives on Mathematics as Semiosis: From Thinking to Interpreting to Knowing (pp. 49-79). Ottawa: Legas Publishing. Radford, L. (2003b). On the epistemological limits of language. Mathematical knowledge and social practice in the Renaissance. Educational Studies in Mathematics, 52(2), 123150. Radford, L. (2003c). Gestures, speech and the sprouting of signs. Mathematical Thinking and Learning, 5(1), 37-70. Radford, L. (2004). Cose sensibili, essenze, oggetti matematici ed altre ambiguit [Sensible Things, Essences, Mathematical Objects and other ambiguities], La Matematica e la sua didattica, 2004, no. 1, 4-23. [Traduccin al ingls en: http://laurentian.ca/educ/ lradford/essences.pdf]

128 Relime

Radford, L. (2005). The semiotics of the schema. Kant, Piaget, and the Calculator. En M. H. G. Hoffmann, J. Lenhard y F. Seeger (Eds.), Activity and Sign. Grounding Mathematics Education (pp. 137-152). New York: Springer. Radford, L. (en prensa-1). Algebraic Thinking and the Generalization of Patterns A semiotic Perspective. Proceedings of the 28th North American Chapter of the International Group for the Psychology of Mathematics Education (PME-NA), Mrida, Yucatn, Mxico. Radford, L. (en prensa-2). Semitica cultural y cognicin. En: R. Cantoral y O. Covin (Eds.), Investigacin en Matemtica Educativa en Latinoamrica . Mxico. Radford, L., Bardini, C., y Sabena, C. (2005). Perceptual semiosis and the microgenesis of algebraic generalizations. Fourth Congress of the European Society for Research in Mathematics Education (CERME 4), 17 - 21 February 2005, Sant Feliu de Guxols, Spain. [http://laurentian.ca/educ/lradford/cerme4.pdf] Radford, L. y Demers, S. (2004). Communication et apprentissage. Repres conceptuels et pratiques pour la salle de classe de mathmatiques. Ottawa: Centre franco-ontarien des ressources pdagogiques. Robbins, F. E. (1921). The Tradition of Greek Arithmology. Classical Philology, 16(2), 97123. Sabena, C., Radford, L. y Bardini, C. (2005). Synchronizing gestures, words and actions in pattern generalizations. In H. L. Chick, J. L. Vincent (Eds.), Proceedings of the 29th Conference of the International Group for the Psychology of Mathematics Education, University of Melbourne, Australia, Vol. 4, pp. 129-136. Sfard, A. (1991). On the dual nature of mathematical conceptions: reflections on processes and objects as different sides of the same coin. Educational Studies in Mathematics, 22, 1-36. Sierpinska, A. (1996). Interactionnisme et thorie des situations : Format dinteraction et Contrat didactique. En D. Grenier (Ed.), Didactique et technologies cognitives en mathmatiques, Sminaires 1996 (pp. 5-37). Grenoble: Universit Joseph Fourier. Spengler, O. (1948). Le dclin de lOccident. Paris: Gallimard. Steinbring, H., Bartolini Bussi, M. y Sierpinska, A. (Eds.) (1998). Language and Communication in the Mathematics Classroom. Reston, Virginia: National Council of Teachers of Mathematics. Todorov, T. (1984). Mikhail Bakhtin: The Dialogical Principle. Minneapolis, London: University of Minnesota Press. Von Glasersfeld, E. (1995). Radical Constructivism: A Way of Knowing and Learning. London, Wasington, D.C: The Falmer Press.

Elementos de una teora cultural de la objetivacin

129

Voloshinov, V. N. (1973). Marxism and the Philosophy of Language. Cambridge Massachusetts, London, England: Harvard University Press. Vygotsky, L. S. (1981a). The instrumental method in psychology. En J. V. Wertsch (Ed.), The concept of activity in Soviet psychology (pp. 135-143). Armonk, N. Y.: Sharpe. Vygotsky, L. S. (1981b). The development of higher mental functions. En J. V. Wertsch (Ed.), The concept of activity in Soviet psychology (pp. 144-188). Armonk, N. Y.: Sharpe. Vygotsky, L. S. y A. Luria (1994). Tool and symbol in child development. En R. van der Veer y J. Valsiner (Eds.), The Vygotsky Reader (pp. 99-174). Oxford: Blackwell. Wartofsky, M. (1979). Models, Representation and the Scientific Understanding. Dordrecht: D. Reidel. Weber, M. (1992). The Protestant Ethic and the Spirit of Capitalism. London New York, Routledge. Wertsch, J. V. (1991). Voices of the Mind. A Sociocultural Approach to Mediate Action. Cambridge, Ma: Harvard University Press. Yackel, E. y Cobb, P. (1996). Sociomathematical norms, argumentation, and autonomy in mathematics. Journal for Research in Mathematics Education, 27(4), 458-477.

Luis Radford Universit Laurentienne Canada E-mail: [email protected]

130 Relime

Relime Nmero, Especial, 2006, pp. 131-155.

131

Anlisis ontosemitico de una leccin sobre la suma y la resta

Juan D. Godino 1 Vicen Font 2 Miguel R. Wilhelmi 3 RESUMEN En este trabajo aplicamos algunas nociones del enfoque ontosemitico de la cognicin e instruccin matemtica al anlisis de una leccin sobre la suma y la resta de un libro de 5 grado de educacin primaria del estado espaol. La finalidad es doble: (1) ilustrar la tcnica de anlisis de textos matemticos propuesta por el enfoque ontosemitico de la cognicin matemtica y (2) identificar criterios de idoneidad de unidades didcticas para el estudio de las estructuras aditivas en educacin primaria. Los resultados obtenidos pueden ser de utilidad para la formacin de profesores de matemticas. PALABRAS CLAVE: Idoneidad didctica, conflictos semiticos, anlisis textos matemticos, formacin profesores.

ABSTRACT In this paper, we apply some theoretical notions of the onto-semiotic approach to mathematical cognition and instruction to analyse a lesson on addition and subtraction taken from a Spanish textbook directed to the fifth grade in primary education. Our aims are: (1) to illustrate a technique for analysing mathematics textbooks based on the ontosemiotic approach, and (2) to identify suitability criteria for developing didactical units to study the additive structures in primary education. The results obtained might be useful in the training of prospective mathematics teachers. KEY WORDS: Didactical aptitude, semiotic conflicts, analysis of mathematical texts, teachers training.

RESUMO Neste trabalho aplicamos algumas noes do enfoque ontosemitico da cognio e instruo matemtica al anlise de uma lio sobre a soma e a diviso de um livro do
Fecha de recepcin: Enero de 2006/ Fecha de aceptacin: Mayo de 2006
1 Universidad de Granada. 2 Universidad de Barcelona. 3 Universidad Pblica de Navarra.

132 Relime

ensino fundamental do estado espanhol. A finalidade dupla: (1) ilustrar a tcnica de anlise de textos matemticos proposta pelo enfoque ontosemitico da cognio matemtica e (2) identificar critrios de idoneidade de unidades didticas para o estudo das estruturas aditivas na educao fundamental. Os resultados obtidos podem ser de utilidade para a formao de professores de matemticas. PALAVRAS CHAVE: Idoneidade didtica, conflitos semiticos, anlise textos matemticos, formao professores.

RSUM Dans cet article nous appliquons quelques notions thoriques de lapproche ontosmiotique la cognition et linstruction mathmatique pour analyser une leon sur laddition et la soustraction tire dun manuel scolaire espagnol de la cinquime anne. Nos objectifs sont : (1) dillustrer une technique pour analyser des textes scolaires base sur lapproche onto-smiotique; et (2) didentifier des critres souhaitables pour le dveloppement dunits didactiques pour ltude des structures additives dans lducation primaire. Les rsultats obtenus pourraient tre utiles dans la formation des futurs enseignants en mathmatiques. MOTS CLS: Aptitude didactique, conflits mathmatiques, formation des enseignants. smiotiques, analyse textes

1. Introduccin Como afirman Hiebert, Morris y Glass (2003), un problema persistente en educacin matemtica es cmo disear programas de formacin que influyan sobre la naturaleza y calidad de la prctica de los profesores. La ausencia de efectos significativos de los programas de formacin de profesores en dicha prctica se puede explicar, en parte, por la falta de un conocimiento base ampliamente compartido sobre la enseanza y la formacin de profesores (p. 201). El saber didctico que progresivamente va produciendo la investigacin en educacin matemtica queda reflejado en diversas fuentes dispersas y heterogneas (revistas, monografas de investigacin, etc.), pero de manera ms accesible a los profesores se refleja en los libros de texto escolares. Los libros de texto escolares constituyen la fuente inmediata donde se acumula la experiencia prctica de los profesores y, en cierta medida, los resultados de la investigacin. En consecuencia, el anlisis crtico de los textos escolares, la evaluacin de su pertinencia, idoneidad, adecuacin, etc. debe ser un componente importante en los programas de formacin de profesores de matemticas.
La preparacin de programas de formacin puede ser ms efectiva centrndola en ayudar a los estudiantes a que adquieran las herramientas que necesitarn para aprender a ensear, en lugar de competencias acabadas sobre una enseanza efectiva. (Hiebert, Morris y Glass, 2003, p. 202)

Pensamos que entre estas herramientas

Anlisis ontosemitico de una leccin sobre la suma y la resta

133

deben figurar los criterios para analizar la propia prctica docente y las lecciones de los textos escolares como fuente prxima para el diseo de unidades didcticas. Dado que el uso de las lecciones propuestas en los libros de texto (o en un formato virtual multimedia) es una decisin importante, ya que en gran medida condiciona el proceso de estudio del tema, los profesores deben tener conocimientos bsicos que les permitan evaluar las caractersticas de las lecciones para seleccionar (o elaborar) las ms adecuadas y adaptarlas al nivel educativo correspondiente. Consideramos importante introducir en la formacin (inicial y continua) de profesores de matemticas criterios para valorar la idoneidad de los procesos de estudio matemtico, tanto si son basados en el uso de libros de texto, como si se trata de procesos apoyados en el uso de materiales y documentos de trabajo elaborados por el propio profesor. En este artculo vamos a utilizar algunas herramientas del enfoque ontosemitico de la cognicin e instruccin matemtica (EOS) desarrollado por Godino y colaboradores (Godino y Batanero, 1994; Godino, 2002; Godino, Batanero y Roa, 2005; Contreras, Font, Luque y Ordez, 2005; Font y Ramos, 2005; Godino, Contreras y Font, en prensa; etc.) para valorar la idoneidad de un texto matemtico escolar. En este marco terico se postula que la idoneidad global de un proceso de enseanza-aprendizaje se debe valorar teniendo en cuenta los cinco criterios siguientes (Godino, Contreras y Font, en prensa):

Idoneidad epistmica se refiere al grado de representatividad de los significados institucionales implementados (o pretendidos), respecto de un significado de referencia 4 . Por ejemplo, la enseanza de la adicin en la educacin primaria actual puede limitarse al aprendizaje de rutinas y ejercicios de aplicacin de algoritmos (baja idoneidad), o tener en cuenta los diferentes tipos de situaciones aditivas e incluir la justificacin de los algoritmos (alta idoneidad). Idoneidad cognitiva expresa el grado de proximidad de los significados implementados respecto de aqullos que son personales iniciales de los estudiantes o, de manera equivalente, la medida en que el material de aprendizaje est en la zona de desarrollo potencial (Vygotsky, 1934) de los alumnos y alumnas.
Un proceso de enseanzaaprendizaje con un alto grado de idoneidad cognitiva sera, en el estudio las operaciones aritmticas con nmeros de tres o ms cifras, que el profesor realizara una evaluacin inicial para saber si los alumnos dominan los nmeros de uno y dos cifras y, en caso de no ser as, comenzara el proceso de instruccin trabajando dichos nmeros.

Idoneidad semitica. Un conflicto semitico es cualquier disparidad o discordancia entre los significados atribuidos a una expresin por dos

4 Chevallard (1991) considera que todo proceso de enseanza-aprendizaje comporta la transposicin del saber: Saber

sabio Saber a ensear Saber enseado. La nocin de idoneidad epistmica puede ser reinterpretada en trminos transpositivos de la siguiente forma: grado de representatividad del saber enseado respecto del saber a ensear.

134 Relime

sujetos (personas o instituciones) en interaccin comunicativa. Un proceso de enseanza-aprendizaje es idneo desde el punto de vista semitico si las configuraciones y trayectorias didcticas (Godino, Contreras y Font, en prensa) permiten, por una parte, resolver conflictos semiticos potenciales (que se puedan detectar a priori), y por otra parte permitan resolver los conflictos que se producen durante el proceso de instruccin (mediante la negociacin de significados). Por ejemplo, un proceso de estudio realizado de acuerdo con una secuencia de situaciones de accin, formulacin, validacin e institucionalizacin (Brousseau, 1997) tiene potencialmente mayor idoneidad semitica que un proceso magistral que no tenga en cuenta las dificultades de los estudiantes.

Idoneidad emocional, grado de implicacin (inters, motivacin, ) del alumnado en el proceso de estudio. La idoneidad emocional est relacionada tanto con factores que dependen de la institucin como de aqullos que dependen bsicamente del alumno y de su historia escolar previa. Por ejemplo, tendrn idoneidad emocional alta los procesos basados en el uso de situaciones-problemas que sean de inters para los estudiantes.
Como se puede deducir de los ejemplos propuestos, la idoneidad de una dimensin no garantiza la idoneidad global del proceso de enseanza-aprendizaje. Estas idoneidades deben ser integradas teniendo en cuenta las interacciones entre las mismas, lo cual requiere hablar de la idoneidad didctica como criterio sistmico de adecuacin y pertinencia respecto del proyecto educativo global (Godino, Wilhelmi y Bencomo, 2005). En la siguiente seccin presentamos brevemente algunos de los constructos del EOS que nos permitirn fundamentar los criterios de anlisis y valoracin de una leccin de un libro de texto. Estos criterios sern aplicados al anlisis de una leccin sobre la suma y la resta de un libro de texto para 5 grado de educacin primaria (Ferrero y cols., 1999).

Idoneidad mediacional, grado de disponibilidad y adecuacin de los recursos materiales y temporales necesarios para el desarrollo del proceso de enseanza-aprendizaje. Si el profesor y los alumnos tuvieran a su disposicin medios informticos pertinentes al estudio del tema en cuestin (Cabri-gomtre, p.e., para la geometra plana), el proceso de estudio que se apoye en estos recursos tendra mayor idoneidad mediacional que otro tradicional basado exclusivamente en la pizarra, lpiz y papel. Asimismo, un ejemplo de un proceso de enseanzaaprendizaje con un alto grado de idoneidad mediacional con relacin a los medios temporales sera una clase magistral, donde el profesor reproduce de manera ntegra y sin interaccin con los estudiantes el significado pretendido.

2. Herramientas tericas del enfoque ontosemitico Para poder valorar la idoneidad epistmica de un proceso de instruccin realmente implementado, o bien de un proceso de instruccin planificado en un libro de texto, es necesario establecer un significado de referencia que sirva de comparacin. Este

Anlisis ontosemitico de una leccin sobre la suma y la resta

135

significado de referencia se interpreta en el EOS en trminos de sistemas de prcticas (operativas y discursivas) compartidas en el seno de una institucin para la resolucin de una cierta clase de situaciones-problemas. Para la realizacin y evaluacin de cualquier prctica es necesario activar un conglomerado formado por algunos (o todos) de los siguientes elementos: lenguaje, situaciones, reglas (conceptos, proposiciones, procedimientos) y argumentos. A este conglomerado de objetos se le llama configuracin. Estas configuraciones pueden ser cognitivas (conglomerado de objetos personales) o epistmicas (conglomerado de objetos institucionales) segn que se considere la prctica desde la perspectiva personal o institucional. A su vez, estas configuraciones son emergentes de las prcticas realizadas para resolver un campo de problemas. Los objetos matemticos que intervienen en las prcticas matemticas y los emergentes de las mismas, segn el juego de lenguaje en que participan (Wittgenstein, 1953) pueden ser considerados desde las siguientes dimensiones duales: personal-institucional, elemental-sistmico, expresin-contenido, ostensivo-no ostensivo y extensivointensivo (Godino, 2002).

considerar como objetos noostensivos. Ahora bien, cualquiera de estos objetos se usa en las prcticas pblicas por medio de sus ostensivos asociados (notaciones, smbolos, grficos, ). Se entiende por ostensivo cualquier objeto que es pblico y que, por tanto, se puede mostrar a otro. Esta clasificacin entre ostensivo y no ostensivo es relativa al juego de lenguaje en que participan. El motivo es que un objeto ostensivo puede ser tambin pensado, imaginado por un sujeto o estar implcito en el discurso matemtico (por ejemplo, el signo de multiplicar en la notacin algebraica).

Extensivo-intensivo : un objeto que interviene en un juego de lenguaje como un caso particular (un ejemplo concreto, la funcin y = 2x + 1) y una clase ms general o abstracta (p.e., la familia de funciones y = mx + n). Elemental-sistmico : en algunas circunstancias los objetos matemticos participan como entidades unitarias (que se suponen son conocidas previamente), mientras que otras intervienen como sistemas que se deben descomponer para su estudio. En el estudio de la adicin y sustraccin, en los ltimos niveles de educacin primaria, el sistema de numeracin decimal (decenas, centenas,) se considera como algo conocido y en consecuencia como entidades elementales. Estos mismos objetos, en el primer curso, tienen que ser considerados de manera sistmica para su aprendizaje. Expresin-contenido: antecedente y consecuente de cualquier funcin semitica.
La actividad matemtica y los procesos

Personal-institucional: si los sistemas de prcticas son compartidos en el seno de una institucin, los objetos emergentes se consideran objetos institucionales, mientras que si estos sistemas son especficos de una persona se consideran como objetos personales (Godino y Batanero, 1994). Ostensivo-no ostensivo.Los objetos institucionales y personales se pueden

136 Relime

de construccin y uso de los objetos matemticos se caracterizan por ser esencialmente relacionales. Los distintos objetos no se deben concebir como entidades aisladas, sino puestos en relacin unos con otros. La distincin entre expresin y contenido nos permite tener en cuenta el carcter esencialmente relacional de la actividad matemtica. La relacin se establece por medio de funciones semiticas, entendidas como una relacin entre un antecedente (expresin, significante) y un consecuente (contenido, significado) establecida por un sujeto (persona o institucin) de acuerdo con un cierto criterio o cdigo de correspondencia. Estas facetas se presentan agrupadas en parejas que se complementan de manera dual y dialctica. Se consideran como atributos aplicables a los distintos objetos primarios y secundarios, dando lugar a

distintas versiones de dichos objetos. En Godino, Batanero y Roa (2005) se describen los seis tipos de entidades primarias y los cinco tipos de dualidades cognitivas mediante ejemplos relativos a una investigacin en el campo del razonamiento combinatorio. En la Figura 1 se representan las diferentes nociones tericas que se han descrito sucintamente. En el EOS la actividad matemtica ocupa el lugar central y se modeliza en trminos de sistema de prcticas operativas y discursivas. De estas prcticas emergen los distintos tipos de objetos matemticos, que estn relacionados entre s formando configuraciones. Por ltimo, los objetos que intervienen en las prcticas matemticas y los emergentes de las mismas, segn el juego de lenguaje en que participan, pueden ser considerados desde las cinco facetas o dimensiones duales.

Figura 1. Herramientas tericas del EOS

Anlisis ontosemitico de una leccin sobre la suma y la resta

137

Por ltimo, dentro del enfoque ontosemitico se estn introduciendo nuevas herramientas tericas que permiten abordar el estudio de los fenmenos de instruccin matemtica. Godino, Contreras y Font (en prensa) proponen, como unidad primaria de anlisis didctico, la configuracin didctica, constituida por las interacciones profesor-alumno a propsito de una tarea matemtica y usando unos recursos materiales especficos. El proceso de instruccin sobre un contenido o tema matemtico se desarrolla en un tiempo dado mediante una secuencia de configuraciones didcticas, cada una de las cuales incorpora una determinada configuracin epistmica.

axiomtico, es decir, se eligen ciertos enunciados de la teora como axiomas y se exige que todos los dems sean probados a partir de ellos. 3.1 Configuraciones formales Las entidades matemticas que se ponen en juego en las situaciones aditivas contextualizadas son analizadas de manera formal o estructural en el marco interno de las matemticas. Para ello, los nmeros dejan de ser considerados como medios de expresin de cantidades de magnitudes (nmeros de personas o cosas, papel que cumplen en una situacin, etc.) y son interpretados bien como elementos de una estructura caracterizada segn la teora de conjuntos, bien segn los axiomas de Peano. En este contexto de formalizacin matemtica se plantean preguntas tales como: - Cmo se debera definir la adicin, a partir de los axiomas de Peano? - Cmo se debera definir la adicin, cuando los nmeros naturales son definidos como los cardinales de los conjuntos finitos? - Qu tipo de estructura algebraica tiene el conjunto N de los nmeros naturales dotado de la ley de composicin interna de adicin? - Es la sustraccin una ley de composicin interna? Qu propiedades cumple? La respuesta a estas preguntas requiere de la elaboracin de recursos lingsticos especficos, tcnicas operatorias (recursin, operaciones conjuntistas), conceptos (definiciones conjuntistas de adicin y sustraccin; definiciones recursivas; definicin algebraica de

3. Configuraciones epistmicas asociadas con las situaciones aditivas. Reconstruccin del significado de referencia Para poder valorar la idoneidad epistmica de un proceso de instruccin realmente implementado (significado implementado) o bien de un proceso de instruccin planificado en un libro de texto (significado pretendido) es necesario establecer el significado de referencia que sirva de comparacin. En esta seccin describimos de manera sinttica los principales elementos del significado de referencia para las estructuras aditivas, agrupando dichos elementos en los seis tipos de entidades que propone el EOS: lenguaje, situaciones, acciones, conceptos, propiedades y argumentos y los organizaremos en configuraciones epistmicas. El primer tipo de configuracin epistmica que consideraremos son las formales. En dichas configuraciones se usa el mtodo

138 Relime

sustraccin), propiedades (estructura de semigrupo de N ) y argumentaciones (deductivas), en definitiva una configuracin epistmica con rasgos o caractersticas especficas, adaptadas a la generalidad y rigor del trabajo matemtico. Estos tipos de configuraciones formales no son las que nos pueden resultar tiles para determinar la idoneidad epistmica de un proceso de instruccin planificado para una institucin escolar de enseanza primaria. Para este tipo de institucin necesitamos una configuracin, que llamaremos intuitiva (o contextualizada), que presuponga una cierta concepcin emprica de las matemticas. Es decir, una concepcin que considere que las matemticas son (o se pueden ensear como) generalizaciones y formalizaciones de la experiencia; una concepcin de las matemticas que suponga que, al aprender matemticas, recurrimos a nuestro bagaje de experiencias sobre el comportamiento de los objetos materiales. 3.2. Configuracin emprica Las operaciones aritmticas de la adicin y de la sustraccin se construyen inicialmente como medio de evitar los recuentos en situaciones que incluyen distintas colecciones parcialmente cuantificadas. Las situaciones concretas o contextualizadas ponen en juego un proceso de modelizacin que produce, como etapa intermedia, una situacin aditiva formal ; esto es, una situacin en la que se requiere realizar una suma o una resta, cuyo resultado debe ser interpretado segn el contexto inicial. El aprendizaje de la suma y la resta implica,

por tanto, el dominio de las situaciones formales y de los algoritmos de sumar y restar. La resolucin de los problemas aditivos pone en funcionamiento diversos recursos operatorios, lingsticos, conceptuales, proposicionales y argumentativos que deben ser dominados progresivamente para lograr competencia en dicha resolucin. La Figura 2 resume los principales elementos o componentes de la configuracin epistmica emprica formada por el sistema de objetos y relaciones implicadas en la solucin de los problemas aditivos 5 en el nivel de educacin primaria ( significado institucional de referencia). Por razones de espacio, los componentes de la configuracin se muestran de manera tabular. Sin embargo, hay que tener en cuenta que dichos elementos estn relacionados entre s6. El lenguaje (verbal, grfico, simblico) describe las situaciones-problemas; representa a las entidades conceptuales, proposicionales (adicin, sustraccin, sumandos, commutativa, asociativa, ) y procedimentales (algoritmos). Las notaciones, disposiciones tabulares, diagramas, etc., sirven de herramientas para la realizacin de los algoritmos y la elaboracin de argumentos justificativos. Las definiciones y proposiciones relacionan los conceptos entre s y hacen posible el desarrollo de algoritmos de clculo eficaces. Los argumentos justifican las propiedades y permiten la realizacin de las operaciones.

5 La clasificacin de los problemas aditivos contextualizados ha sido objeto de numerosas investigaciones, ya que

cada tipo comporta subconfiguraciones puntuales especficas que deben ser tenidas en cuenta en los procesos de enseanza-aprendizaje. Verschaffel y De Corte (1996) presentan una sntesis de estas investigaciones y mencionan los tres tipos bsicos de problemas aditivos: cambio, combinacin y comparacin.
6 En la Figura 7 mostramos otro ejemplo de configuracin puntual correspondiente a una pgina del libro que analizamos

en las secciones 4 y 5 donde explicitamos dichas relaciones.

Anlisis ontosemitico de una leccin sobre la suma y la resta

139

LENGUAJE

Verbal - Juntar, aadir, sacar, suma, resta, cunto falta, ms menos, adicin, sustraccin, sustraendo, minuendo, diferencia, parntesis, operacin, propiedad conmutativa, propiedad asociativa, etc. Grfico - Dibujos en los que se presentan situaciones contextualizadas de adicin y sustraccin (se representan con objetos los cardinales de los dos conjuntos y en algunos casos tambin el cardinal del resultado) - En la recta numrica se representan sumas y restas - Etc. Simblico: +, , 24 + 30, 45 23, a + b, a b, a b = c, ( , )
SITUACIONES - Problemas contextualizados en los que: se aade, hay que seguir contando, se saca, se cuenta hacia atrs , se pide cunto falta , se compara, etc. - Problemas descontextualizados de sumas y resta CONCEPTOS

Previos
- Sistema de numeracin decimal - Suma y resta

Emergentes -Adicin; Sustraccin; Sumandos - Sustraendo; Minuendo; Diferencia - Sumas y restas equivalentes
PROPIEDADES
- La suma es una operacin interna (la resta no) - Elemento neutro - Conmutativa (suma) - Asociativa (suma) - El total de una suma siempre es mayor que los sumandos (si estos son diferentes de cero) - (a + c) (b + c) = a b - La diferencia siempre es menor que el minuendo (si el sustraendo es diferente de cero) - Relacin entre diferencia, sustraendo y minuendo:S M = D; S = D + M; S D =M

PROCEDIMIENTOS
- Descontextualizacin del enunciado del problema; - Contextualizacin de enunciados descontextualizados - Aplicar los algoritmos de la suma y de la resta - Comprobacin de los resultados de una resta - Clculo mental de sumas y restas - Utilizacin de las propiedades conmutativa y asociativa para realizar las operaciones ms fcilmente - Clculo de sumas y resta con calculadora. - Resolucin de problemas de sumas y restas - Etc.

ARGUMENTOS
- Comprobacin de las propiedades en casos particulares (casi siempre extra matemticos) - Justificacin de las propiedades, utilizando elementos genricos - Justificacin de los algoritmos a partir de las caractersticas del Sistema de Numeracin Decimal
Figura 2. Configuracin epistmica emprica de la adicin y de la sustraccin

140 Relime

Se trata de una configuracin epistmica en la que los conceptos y las propiedades que se introducen se intentan justificar por su acuerdo con una realidad extra matemtica. Este intento topa con una dificultad que se convierte en el origen de importantes conflictos semiticos, que no es otra que el carcter convencional de algunas reglas matemticas. No pretendemos entrar aqu en la discusin de si todas las reglas en matemticas son convencionales, puesto que no se pueden justificar por su acuerdo con la experiencia; nos limitamos a sealar que, incluso en el supuesto de que la mayora de las reglas matemticas se pudieran justificar por su acuerdo con situaciones extra matemticas, hay ciertas reglas, como por ejemplo, la prioridad de las operaciones, que indiscutiblemente son convencionales y que, por tanto, difcilmente se pueden justificar con base en su acuerdo con situaciones extra matemticas.

A continuacin comenzamos el anlisis global de la leccin de Ferrero y cols. (1999)7. La leccin sobre la suma y la resta incluida en este libro de texto escolar se interpreta en el EOS como el significado pretendido en clases de 5 grado de educacin primaria (alumnos espaoles de 10 aos de edad). El estudio comienza recordando el uso concreto de la suma y la resta:
Sumamos cuando reunimos o juntamos varias cantidades en una sola. Restamos cuando separamos, quitamos una parte de otra o hallamos la diferencia entre dos cantidades. (p. 18)

4. Anlisis global de la leccin El anlisis ontosemitico de una leccin debe abordarse primero desde una perspectiva global que identifique su objetivo y estructura en configuraciones didcticas, para pasar despus, en un segundo nivel, a un estudio detallado de cada una de ellas (en este trabajo nos centraremos, sobre todo, en las configuraciones epistmicas asociadas y en los conflictos semiticos potenciales). Este segundo anlisis lo haremos en la seccin 5, centrndonos sobre todo en las funciones semiticas (dualidad expresin-contenido) que relacionan objetos que pueden ser extensivos o intensivos (dualidad extensivointensivo).

Sigue con la presentacin de una situacin introductoria general donde se presenta una escena de clase con grupos de nios jugando diversos juegos mediante los cuales consiguen puntos. Se plantean problemas cuya solucin requiere realizar una suma o una resta. El tipo de situacinproblema que se presenta al inicio de la unidad tiene un objetivo que se puede describir del siguiente modo: Cmo discriminar las situaciones de suma y resta y cmo resolverlas? Esta pregunta general que gua el desarrollo de la leccin se descompone en sub-preguntas que son abordadas en las distintas secciones en que se estructura. La Figura 3 muestra la estructura global de la leccin, centrando la atencin en la secuencia de configuraciones ligadas a los tipos de problemas planteados (figuras hexagonales); una de dichas configuraciones (config. 1) ser analizada en la seccin 5.1., teniendo en cuenta los instrumentos tericos introducidos por el EOS.

7 El libro de texto de Ferrero y cols. (1999) es un ejemplar prototpico de los que en la actualidad se utilizan en el

sistema educativo espaol (actualizados en euros como unidad monetaria) y, por lo tanto, el estudio que realizamos no slo representa un modelo para el anlisis de otros libros de texto, sino que determina una pauta genrica para la valoracin de libros de texto del mismo grado y contexto.

Anlisis ontosemitico de una leccin sobre la suma y la resta

141

Figura 3. Estructura global de la leccin

Las seis primeras secciones (sobre las que centraremos el anlisis ontosemitico) tienen una estructura similar: -Planteamiento de una situacinproblema. -Un apartado titulado Observa, donde se describe la solucin del problema, se presentan las definiciones y se explican las tcnicas. -Una coleccin de 4 o 5 ejercicios y aplicaciones. Las seis primeras secciones se titulan: (1) La suma. Significados , (2) Las propiedades de la suma, (3) La resta. Significados , (4) Relaciones entre los trminos de la resta , (5) Restas equivalentes y (6) Sumas y restas combinadas. Uso del parntesis. En ellas se desarrolla el tema y los algoritmos que aparecen son con lpiz y papel. En la seccin siguiente, cuyo ttulo es (7) Conoce tu calculadora, se introducen dos tcnicas alternativas a los algoritmos con

lpiz y papel: el clculo estimado y el clculo con calculadora. En la siguiente seccin, cuyo ttulo es (8) Recuerda , los autores presentan a los alumnos aquello que es esencial recordar de lo que se ha estudiado anteriormente. A continuacin se propone una seccin de autoevaluacin, cuyo ttulo es (9) Te lo has aprendido? En la seccin siguiente, cuyo ttulo es (10) Clculo mental, se introduce otra tcnica alternativa a los algoritmos con lpiz y papel: el clculo mental exacto. A continuacin, en la seccin titulada (11) Arco iris se propone un problema cuyo contexto es la compra de comida para el hogar en la que tambin se introducen los valores de igualdad entre el hombre y la mujer a la hora de participar en las tareas del cuidado de la casa. Como seccin final se propone una seccin de consolidacin de conocimientos, cuyo ttulo es (12) Resolucin de problemas en la que adems se introduce la estrategia heurstica descomposicin del problema en partes.

142 Relime

5. Anlisis ontosemitico de configuraciones parciales En esta seccin vamos a realizar un anlisis detallado de la primera configuracin didctica dedicada al estudio de la suma.

5.1. Seccin 1: La suma. Significados Los autores de la leccin han organizado un proceso de estudio puntual para explicar los significados de la adicin, incluyendo los siguientes apartados:

A.Un problema introductorio (Figura 4).

Figura 4. Problema introductorio

B. La explicacin de la solucin del problema que sirve como sistematizacin de los significados de la suma y del algoritmo de sumar en columna (Figura 5).

Figura 5. Explicacin del problema introductorio

C. Tambin incluyen cuatro actividades de ejercitacin y aplicacin (Figura 6).

Figura 6. Ejercicios y aplicaciones

Anlisis ontosemitico de una leccin sobre la suma y la resta

143

La Figura 7 describe la configuracin epistmica asociada a esta seccin.

Figura 7. Configuracin epistmica de la La suma. Significados

Realizamos a continuacin un anlisis detallado del texto, mostrando los conflictos semiticos que se pueden presentar para los lectores potenciales. Dividimos el fragmento del texto en tres partes correspondientes al enunciado del problema introductorio (A), la explicacin de los significados y el algoritmo de sumar (B), y el enunciado de 4 ejercicios (C).

PARTE A: Situacin introductoria

En esta parte se propone el enunciado de un problema, el cual se acompaa con un dibujo que no tiene ninguna relacin con el texto. El objetivo de este problema contextualizado es que sirva de ejemplo para definir el concepto de suma y recordar el algoritmo de la suma (ambos conceptos se suponen conocidos de cursos anteriores). Los autores suponen

que las consideraciones hechas sobre el ejemplo particular son suficientes para que los alumnos comprendan (o recuerden) el concepto de suma y su algoritmo. Este ejemplo es utilizado implcitamente por los autores como un elemento genrico de los problemas que se resuelven mediante sumas, ya que implcitamente se supone que lo que se dice para este caso particular es vlido para todos los problemas que se resuelven sumando. Dicho de otra manera, el objetivo de este problema no es su resolucin, sino activar la dualidad extensivo-intensivo en los prrafos posteriores. Sin embargo, no parece que este problema sea un buen representante del tipo de problemas aditivos que se pretende abordar. La situacin se describe de manera incompleta y ficticia. No se dice el

144 Relime

nivel educativo a que corresponden los nuevos alumnos, por lo que se tiene una primera operacin de unin de dos conjuntos de elementos disjuntos (nios de infantil y de primaria), y despus otra operacin de unin de elementos de otro conjunto cuya naturaleza no distingue el nivel escolar de los nios. Parece que la informacin del nivel escolar a que corresponden los nios introduce una distincin innecesaria que puede confundir a los alumnos. Otro elemento contextual que influye en la solucin est el hecho de que no se informa sobre los alumnos del curso anterior que no continan en el centro; de hecho, una respuesta razonable para el problema puede ser: No se puede saber. Lo dicho no tiene que suponer necesariamente un fracaso generalizado en la realizacin de la tarea. Es muy posible que los alumnos acepten el enunciado y realicen la suma requerida, pero por razones de contrato didctico y por la observacin de la palabra clave total que previamente habrn asociado a sumar los nmeros que intervienen. En todo caso, la realizacin exitosa de la tarea por la mayor parte de la clase no es atribuible al problema, sino a reglas previamente establecidas y conocimientos culturales aceptados en la institucin.

situaciones de suma muchas que no lo son. Por ejemplo, reunir mis regalos con mis libros (cuando algn libro es un regalo); juntar dos bolas de plastilina da como resultado una bola de plastilina (1 + 1 =1?); al juntar todos los nmeros de telfono de mis amigos, en el mejor de los casos, obtengo una agenda, pero de ninguna manera una suma; De hecho, al tratarse de verbos de accin transitivos que se aplican sobre los elementos de dos o ms conjuntos el reconocimiento de las situaciones en las que es pertinente sumar no estar exento de dificultades dada la generalidad de las acciones que se mencionan como equivalentes a sumar, las cuales adems no agotan todas las posibilidades y circunstancias de uso. Asimismo, no se especifica de manera explcita o implcita la necesidad de que los conjuntos deben ser disjuntos. El conflicto semitico que se podra producir es que los alumnos identificasen como situaciones de suma algunas que no lo son. Ahora bien, es de suponer que dicho conflicto no se va a producir dados los conocimientos previos de los alumnos sobre la adicin de nmeros naturales (hay que recordar que esta unidad est pensada para alumnos de 10 aos). En el EOS se considera que cada definicin se debe entender como una definicin-regla que, de entrada, no parece que indique que haya algo que sea preciso hacer. A partir de las definiciones-reglas podemos atribuir valores veritativos (verdadero y falso) a ciertas proposiciones. Ahora bien, de una definicin-regla tambin se puede deducir una regla prctica que nos da instrucciones para realizar una prctica. Esta prctica se puede dar en diferentes situaciones, por lo que se puede afirmar que una definicin

PARTE B: Observa
Se comienza diciendo que para hallar el nmero total de alumnos y alumnas se realiza una suma. A continuacin, se define qu es sumar: sumar es reunir, juntar, aadir, aumentar, incrementar, . Ahora bien, se trata de una definicin incompleta ya que no se dice que la suma es el nmero de elementos (cardinal) del conjunto unin (dados dos conjuntos disjuntos). Si el alumno se gua slo por esta definicin puede considerar como

Anlisis ontosemitico de una leccin sobre la suma y la resta

145

genera un conjunto de prcticas. A su vez, otra definicin equivalente generar otro subconjunto de prcticas. Por tanto, si la definicin de suma fuese completa y especificara que la suma es el cardinal de la unin, de ella se podra deducir una prctica para hallar la suma (por ejemplo contar el nmero de elementos del conjunto unin) y a partir de la necesidad de buscar un mtodo ms gil para hallar dicho cardinal apareceran otras tcnicas (tabla de sumas elementales, clculo mental, algoritmo escrito, uso de la calculadora, etc.). La situacin que presenta el libro es que, por una parte, da una definicin incompleta de la cual no se puede deducir una regla para calcular la suma y, por otra parte, a continuacin pasa a explicar el algoritmo de la suma (con dos registros diferentes: enunciado y simblico). El registro verbal es deliberadamente incompleto, ya que supone que el algoritmo es conocido por los alumnos. El registro simblico no es el algoritmo habitual, sino que es un prealgoritmo que se suele usar como paso previo al algoritmo habitual para facilitar su comprensin. Es al final de este algoritmo cuando la suma se identifica con el total (es decir, implcitamente como el cardinal del conjunto unin). Puesto que los autores consideran conocido este pre-algoritmo, es el lector quien tiene que interpretar el diagrama tabular y sagital de la izquierda. La descripcin del algoritmo contiene diversos convenios que el lector debiera conocer previamente, ya que no se aporta informacin al respecto. Las letras C, D, U colocadas encima de los datos significan Centenas, Decenas y Unidades y evocan las reglas del sistema de numeracin decimal. Los nmeros escritos como superndices y las flechas inclinadas resumen el algoritmo de sumar con llevadas de cifras de un orden al siguiente. El esquema incluye tres

definiciones implcitas: sumandos (cada uno de los tres nmeros que se suman), suma (resultado de la adicin), total (que significa lo mismo que suma). Se evita, en esta parte del texto, distinguir entre la adicin como operacin aritmtica y la suma como resultado de la adicin.

Diagrama lineal
Se supone que el lector est familiarizado con los convenios de representacin de los nmeros en la recta numrica: eleccin de un origen y de un segmento que se usa como unidad de medida; lo que permite asignar a cada nmero natural un segmento de recta que ser su medida con el segmento tomado como unidad (o una distancia desde el origen). En este caso, como los nmeros son grandes no se puede mostrar la unidad por lo que se pierde el carcter discreto de los conjuntos representados (aunque hay que resaltar que, en este caso, el dibujante ha procurado que las longitudes de los segmentos mantengan aproximadamente la misma proporcin entre ellas que los sumandos). El diagrama lineal se incluye aqu como medio de explicacin de la operacin de sumar tres sumandos. La definicin de suma que se da de manera implcita se basa en el recuento: sumar a y b es seguir contando b a partir de a. Se pone as en juego un significado parcial de suma distinto del dado anteriormente, basado en el cardinal de un conjunto. La tcnica de sumar sugerida por el diagrama lineal es difcil de poner en prctica, en el sentido de que no se puede aplicar efectivamente cuando los nmeros son grandes. La faceta dual ostensivo-no ostensivo es aceptada implcitamente como transparente, no problemtica. Se presupone que el diagrama lineal (ostensivo), como recurso didctico, es una expresin grfica de la adicin que

146 Relime

transmite de forma automtica el significado de la adicin (no ostensivo) basado en la aplicacin sistemtica (y por supuesto, implcita) de la funcin siguiente que se introduce en la axiomtica de Peano. La parte B concluye con una explicacin que pretende dar a entender que sumar es una operacin que a partir de ciertos nmeros (sumandos) obtiene otro nmero (suma) para ello introduce los trminos valor y parte (Por qu usar aqu una terminologa de procedencia econmica?):
En una suma se conoce el valor de cada parte y se calcula el total (p.19).

Parece que el elevado nmero de cifras de los sumandos tienen por objetivo conseguir que los alumnos los dispongan en columnas y apliquen el algoritmo de la suma que se ha recordado anteriormente. En el segundo, se espera que los alumnos realicen el planteamiento y resolucin de un enunciado de problema a partir de sumandos expresados en un diagrama lineal. El objetivo es que los alumnos apliquen la dualidad extensivointensivo y confeccionen el enunciado de un problema cuya descontextualizacin se corresponda con el diagrama lineal. El tercero es un problema contextualizado de sumar con tres sumandos sin que se indique ninguna palabra clave alusiva a las acciones de sumar. Incluso, admite como respuesta correcta repetir los datos de visitantes en cada da, o decir que no se puede saber ya que no se dicen los visitantes de los otros das en los que se poda visitar la exposicin. El cuarto es un problema concreto de dos sumandos. Tampoco se incluye trminos alusivos a las acciones de sumar. La inferencia de hacer una suma se deriva de un conocimiento prctico de la situacin. Es de destacar que mientras el enunciado hace referencia a un solo libro en el dibujo aparecen dos libros.

En esta seccin el alumno se encuentra con una gran complejidad semitica, ya que en media pgina se le presentan mezcladas diferentes interpretaciones de la suma: como una accin (reunir, juntar, etc.), como el cardinal del conjunto unin, como seguir contando y como operacin. Adems, aparecen diferentes registros: verbal, simblico y grfico. Esta gran complejidad semitica podra ser la causa potencial de numerosos conflictos semiticos que, en la mayora de alumnos, no se producen gracias a sus conocimientos previos sobre la suma. El profesor que use este libro como apoyo de sus clases debe ser consciente de los conflictos semiticos potenciales que hemos descrito.

PARTE C (Ejercicios)
En el primer problema se proponen hacer cuatro sumas de cuatro sumandos de nmeros hasta de 5 cifras. Se tratan de sumas descontextualizadas que, como principal novedad respecto del ejemplo resuelto, se presentan dispuestos en fila.

5.2. Algunos conflictos semiticos identificados en las secciones 2-6

Seccin 2: Las propiedades de la suma

El problema introductorio (Figura 8) pretende motivar las propiedades conmutativa y asociativa de la suma.

Anlisis ontosemitico de una leccin sobre la suma y la resta

147

Figura 8. Situacin introductoria. Propiedades de la suma

En primer lugar, la Figura 8 presenta un conflicto semitico entre los cdigos de transmisin: en el marco grfico, el nmero de fichas es 30 (11 fichas en cada caja y 8 sobre la mesa); en el marco semntico, el nmero de fichas es 580 (24 y 36 en las cajas, respectivamente, y 520 sobre la mesa). Se supone, por lo tanto, transparente el cdigo de comunicacin que identifica el nmero en una tarjeta con el nmero de fichas. Por qu no interpretar que en la caja 24 hay 11 fichas?, mxime cuando sobre la mesa hay claramente menos fichas que en las cajas y, en todo caso, no parece admisible que haya 520 fichas. De esta forma, la tarea precisa de aclaraciones del tipo el nmero 24 representa el nmero de fichas que hay en la caja de la izquierda. En segundo lugar, la primera pregunta, cuntas fichas hay en las dos cajas?, impide que los alumnos se planteen por s mismos las distintas posibilidades de realizar la suma de los tres sumandos y comprobar que el resultado es el mismo. Una manera de conseguir este propsito sera suprimir la primera pregunta y plantear directamente cuntas fichas hay en total? De esta manera la situacin queda ms abierta a la exploracin personal del lector. Asimismo, habr que tener en cuenta que muchos potenciales lectores daran por finalizada la actividad, obtenida una respuesta. Una opcin es planificar una sesin de interaccin en aula, que conlleve responder a preguntas del tipo:

-Cambia el resultado, si cambias el orden en que se hacen las sumas de los nmeros? - Ocurre igual si los nmeros de fichas en cada caja y sobre la mesa son diferentes? -Da igual que sumemos primero las fichas de las cajas y luego las de la mesa o, por ejemplo, primero las de una caja con las de la mesa y despus las de la otra caja? En el apartado Observa que sigue al enunciado se ve con claridad que el objetivo del problema no es que los alumnos descubran por si mismo la propiedad asociativa. La primera pregunta est pensada para poder explicar con el ejemplo de las dos cajas la propiedad conmutativa y la segunda para explicar la asociativa. En efecto, en la seccin Observa (Figura 9) se presenta la solucin del problema y los enunciados generales de las propiedades conmutativa y asociativa. Nos parece una generalizacin prematura, basada en la comprobacin de un solo ejemplo. Por otra parte, bajo el epgrafe Propiedad asociativa se da, en realidad, el enunciado de una tcnica de clculo para sumar tres nmeros: Para sumar tres nmeros, sumamos dos cualesquiera de ellos y el resultado se suma con el tercero. De esta forma, se confunde el enunciado de una tcnica, con el de una propiedad.

148 Relime

Adems, la tcnica de clculo es en muchos casos interpretada como: si se cambia el orden en que hacemos las sumas el resultado no vara, donde la voz orden es polismica: por un lado, el orden en que se suman tres sumandos dados en una lista (primero a ms b y el resultado sumarlo a c o bien sumar primero b y c y al resultado agregarle a), por otro lado, el orden en que se colocan los sumando dados, que supone una generalizacin de la propiedad conmutativa a tres nmeros (a+b+c = a+c+b = b+a+c = b+c+a = c+a+b = c+b+a).

Se comienza diciendo que para hallar el nmero de puntos que falta se realiza una resta. A continuacin se define qu es restar: restar es quitar, separar, disminuir, comparar, etc. Ahora bien, como en el caso de la suma, se trata tambin de una definicin incompleta ya que no se dice, por ejemplo, que la resta es el nmero de elementos que quedan en el conjunto despus de quitar algunos. Si el alumno se gua slo por esta definicin puede considerar como situaciones de resta muchas que no lo son. Al igual que en el caso de la suma de esta definicin de resta no se puede inferir una regla para realizar la resta. La situacin que presenta el libro es que, por una parte, da una definicin incompleta de la cual no se puede deducir una regla para calcular la resta y, por otra parte, a continuacin pasa a explicar el algoritmo de la resta (con dos registros diferentes: enunciado y simblico). El registro verbal es deliberadamente incompleto, ya que supone que el algoritmo es conocido por los alumnos. El registro simblico que se presenta describe el pre-algoritmo previo al algoritmo de restar tomando prestado, que no es el que habitualmente se ensean en Espaa (que suele ser el algoritmo de restar llevndose). Puesto que los autores consideran conocido este pre-algoritmo, es el lector quien tiene que interpretar el diagrama tabular de la izquierda. La descripcin del algoritmo contiene diversos convenios que el lector debiera conocer previamente, ya que no se aporta informacin al respecto. El esquema incluye tres definiciones implcitas: minuendo, sustraendo y diferencia. Se evita, en esta parte del texto, distinguir explcitamente entre la resta como operacin aritmtica y la resta como resultado de la sustraccin (diferencia). Es de resaltar la alta densidad semitica del esquema de sustraccin presentado.

Figura 9. Propiedades de la suma

Seccin 3: La resta. Significados

La presentacin de la resta (Figura 10) se hace de manera similar a la de la suma. Primero se presenta un problema contextualizado en el que se pide cunto falta para llegar a 9.450 puntos si tenemos 6.750. Contrariamente al caso de la suma, el problema escogido s se puede considerar un buen representante de los problemas de resta.

Figura 10. La resta. Significados

Anlisis ontosemitico de una leccin sobre la suma y la resta

149

A diferencia del caso de la suma, se introducen abreviaturas lingsticas para las palabras minuendo (M), sustraendo (S) y diferencia (D) (la letra D tambin significa aqu decena, lo que produce un nuevo fenmeno de polisemia), que son referidas mediante flechas a los nmeros correspondientes a la sustraccin del problema propuesto. Estas abreviaturas notacionales sern usadas en el siguiente apartado para enunciar, de manera general, las relaciones entre los tres nmeros que definen una sustraccin. El algoritmo de restar tomando prestado se supone conocido y, por ello, slo se describe tachando las cifras correspondientes del minuendo y anotando encima del mismo la nueva cifra con los incrementos de unidades correspondientes. Hay que resaltar que los autores seguramente han tenido en cuenta, aunque sea slo de manera implcita, la complejidad semitica del algoritmo de restar llevndose ya que han optado, en cursos anteriores, por explicar un algoritmo de menor complejidad semitica: el algoritmo de restar tomando prestado. Se incluye tambin un diagrama lineal que pone en juego un significado parcial de resta distinto del dado anteriormente. Ahora la resta se entiende en trminos de sumando desconocido: 6.795 + (?) = 9.450. Se concluye con una explicacin que pretende dar a entender que restar es una operacin que a partir de ciertos nmeros (total y parte) obtiene otro nmero (otra parte), pero se deja a cargo del alumno la identificacin de total con minuendo, de parte con sustraendo y de otra parte con diferencia. En esta seccin el alumno se encuentra con una gran complejidad semitica, ya que en media pgina se le presentan mezcladas diferentes interpretaciones de la resta: como una accin (quitar,

comparar, etc.), como sumando desconocido y como operacin. Adems, aparecen diferentes registros: verbal, simblico y grfico. Esta gran complejidad semitica podra ser la causa potencial de numerosos conflictos semiticos que, en la mayora de alumnos, no se producen, al igual que en el caso de la suma, gracias a sus conocimientos previos sobre la resta. Por otra parte, es de destacar que no se da a la resta el significado parcial de contar hacia atrs.

Seccin 4: Relaciones entre los trminos de la resta

Esta seccin comienza con el siguiente problema introductorio:
Para pagar la carpeta, Jaime entreg mil pesetas y le devolvieron 165 pesetas (en un dibujo se indica que la carpeta cuesta 835 pta). Comprueba si son correctas las vueltas (Ferrero y cols, 1999, p. 22).

Puesto que se trata de relacionar la suma y la resta sera ms conveniente formular la pregunta de manera ms abierta. Una consigna alternativa podra ser: De cuntas maneras distintas podras comprobar si la vuelta (es decir, el dinero devuelto) es correcta? A continuacin, en el apartado Observa (Figura 11) se explican tres maneras alternativas de resolver el problema. Cada una de ellas se simboliza mediante una expresin algebraica en forma de igualdad. De la segunda igualdad se deriva una tcnica para comprobar si la resta est bien hecha: Para comprobar si una resta est bien hecha se suma el sustraendo con la diferencia y el resultado debe ser el minuendo. (p. 22)

150 Relime

Figura 11. La prueba de la resta

En este apartado tambin se observa una complejidad semitica importante, ya que los autores dejan a cargo de los alumnos la aplicacin de las funciones semiticas que relacionan extensivos con intensivos (faceta extensivo-intensivo). Esperan que sean los alumnos quienes conviertan en intensivos los smbolos M, S y D. Consideran que la flecha ser interpretada por los alumnos como el paso de un valor a una variable:

o bien la diferencia) y se les pide que hallen el trmino que falta. En el tercero, se les presenta una resta descontextualizada y se les pregunta que confeccionen un enunciado que se resuelva mediante dicha resta. En el cuarto y quinto, se les presentan dos de los tres trminos por su nombre (el minuendo, el sustraendo o bien la diferencia) sin que en ellos aparezca la palabra resta o bien el signo de restar y se les pide que hallen el trmino que falta.

Seccin 5: Restas equivalentes

Esta configuracin se genera para estudiar una propiedad de la sustraccin:
En una resta, la diferencia no vara cuando se suma o se resta un mismo nmero al minuendo y al sustraendo. (p. 23)

1.000 M

165 D

835 S

Y tambin esperan que sean los alumnos quienes establezcan la relacin entre las tres igualdades obtenidas, ya que los autores evitan entrar en la explicacin de propiedades de las expresiones algebraicas (por ejemplo, que sumando el mismo trmino a cada miembro de la igualdad sta se mantiene, o bien que un trmino de uno de los miembros de la igualdad pasa al otro miembro con el signo cambiado). Ahora bien, slo si el alumno relaciona MS= D con S+D=M se puede entender que de la segunda igualdad se deriva una tcnica general para comprobar el resultado de una resta (primera igualdad). Esta seccin del libro de texto termina con cinco ejercicios. En el primero, se proponen seis restas (por ejemplo, 2.500865 =1.635) y se pide a los alumnos que comprueben si los resultados son correctos. En el segundo, se les presentan 9 igualdades en las que falta uno de los tres nmeros (el minuendo, el sustraendo

Para llegar a esta propiedad se comienza con un problema contextualizado sobre la diferencia de precio entre dos gafas (primero sin funda y despus con funda). A continuacin, en el apartado Observa (Figura 12) se explica la solucin del problema. Tambin se simbolizan mediante los smbolos M, S y D, aunque en este caso las letras intervienen como antecedentes y los nmeros como consecuentes. Adems, las letras M, S y D slo se utilizan para el clculo de la diferencia sin funda. Si en el apartado anterior los alumnos tenan que ir del extensivo al intensivo, en este caso tienen que seguir el camino inverso, tienen que ir del intensivo (M, S y D) al extensivo (los nmeros correspondientes). Los autores consideran que la flecha ser interpretada por los alumnos como la asignacin de valores a las variables M, S y D: Por otra parte, la flecha se utiliza tambin para expresar la suma de un mismo nmero al minuendo y al sustraendo. Si antes la flecha relacionaba intensivos con

Anlisis ontosemitico de una leccin sobre la suma y la resta

151

extensivos, ahora relaciona extensivos con extensivos. Tambin hay que destacar que el signo + se usa como operador (+1.000) y que el resultado se generaliza no slo a la suma (el ejemplo utilizado) sino tambin a la resta (el caso ms problemtico)

nmero al minuendo y al sustraendo y dos casos en los que se resta el mismo nmero y se les pide que comprueben que el resultado no vara. En los otros dos problemas se les proponen dos situaciones contextualizadas en las que han de aplicar la propiedad explicada anteriormente.

Seccin 6: Sumas y restas combinadas. Uso del parntesis

La situacin contextualizadora propuesta para motivar el uso de los parntesis en la realizacin de las operaciones se puede resolver mediante la realizacin de dos restas sucesivas:
En el quiosco haba 3.000 peridicos. Por la maana se vendieron 1.948 y por la tarde, 896. Cuntos peridicos quedaron sin vender? (p. 24)

Figura 12. Restas equivalentes

Podemos observar que para obtener un resultado general: (M A) (S A) = MS, los autores comienzan con un caso general (sugerido por las letras, M, S y D) para despus hacer intervenir un caso particular: (12.700 + 1.000) (9.500 + 1.000) = 12.700 9.500 para concluir finalmente un resultado general que expresan mediante un enunciado: En una resta, la diferencia no vara cuando se suma o se resta un mismo nmero al minuendo y al sustraendo (p. 23). Se observa que los autores han tenido muy presente la complejidad semitica asociada y han buscado (1) una explicacin que la reduzca considerablemente y (2) una formulacin de la propiedad que permita obviar el uso de parntesis y el doble uso del signo menos (como smbolo de la resta y como smbolo del opuesto de un nmero). A pesar de ello, en este apartado tambin se observa una complejidad semitica importante, ya que los autores vuelven a dejar a cargo de los alumnos la aplicacin de las funciones semiticas que relacionan extensivos con intensivos (faceta extensivo-intensivo). Esta seccin del libro de texto termina con tres ejercicios. En el primero, se proponen dos casos en los que se suma el mismo

La solucin presentada (Figura 13) parece forzada, ya que no se pide como paso intermedio hallar la cantidad de peridicos vendidos. Por qu no operar sin usar los parntesis, primero 3.000 1.948 y despus al resultado restarle 896?

Figura 13. Uso de parntesis

En este apartado, podemos observar un conflicto semitico potencial ya que el alumno puede entender, implcitamente, que se hace lo mismo que en los otros apartados, es decir, que a partir de un ejemplo particular se obtiene un resultado general. Sin embargo, lo que se est haciendo es introducir una convencin:

152 Relime

el parntesis indica la operacin que tenemos que hacer en primer lugar (p. 24). Adems, esta convencin, implcitamente, puede entrar en contradiccin con lo que se ha dicho al explicar anteriormente la propiedad asociativa. Segn dicha propiedad, si se ha de efectuar, por ejemplo, (30 + 50) + 25, no es necesario sumar primero 30 con 50, puesto que, si se quiere se puede sumar primero 50 con 25.

6. Consideraciones finales Con relacin a la idoneidad epistmica de la leccin analizada, nuestra conclusin es que su grado de idoneidad es moderadamente elevado, si tomamos como referencia la configuracin emprica descrita en el apartado 3.2. En cambio, la idoneidad semitica es bastante ms discutible. Basndonos, sobre todo en dos de las cinco facetas duales (expresin-contenido y extensivointensivo), hemos mostrado una variedad de conflictos semiticos potenciales, algunos de los cuales se pueden resolver mediante ciertos cambios en las tareas y en las explicaciones proporcionadas. De hecho, la identificacin de conflictos semiticos lleva consigo, en algunas ocasiones, la posibilidad de establecer condiciones de control de posibles procesos de estudio con relacin a los objetos matemticos que se ponen en funcionamiento en la leccin. Sin embargo, ciertos conflictos semiticos identificados tienen difcil solucin (si nos atenemos a los conocimientos didcticomatemticos actuales). Un tipo de estos conflictos semiticos son aquellos originados por configuraciones didcticas que presuponen que las matemticas son (o se pueden ensear como)

generalizaciones de la experiencia emprica. En este tipo de configuraciones los conceptos y las propiedades se intentan justificar por su acuerdo con una realidad extra matemtica. Este intento topa con una dificultad que se convierte en el origen de importantes conflictos semiticos, que no es otra que el carcter convencional de algunas reglas matemticas. Este tipo de conflictos han aparecido en la leccin en el momento de introducir la regla el parntesis indica la operacin que tenemos que hacer en primer lugar a partir de una justificacin basada en su acuerdo con situaciones extra matemticas. Para solucionar este tipo de conflictos semiticos es necesario que los autores de los textos sean conscientes de las limitaciones que tiene la concepcin que considera que las matemticas son (o se pueden ensear como) generalizaciones de la experiencia emprica. Otro tipo de conflictos semiticos potenciales de difcil solucin son los relacionados con el intento de soslayar ciertas caractersticas del razonamiento algebraico. Los autores, por una parte, pretenden el inicio de una reflexin sobre la estructura algebraica de los conjuntos y operaciones con nmeros; tal es el caso de los enunciados generales de las propiedades conmutativa, asociativa, o de la relacin entre el minuendo, el sustraendo y la diferencia. Por otra parte, conscientes de la complejidad semitica que ello representa intentan soslayar ciertas caractersticas del razonamiento algebraico, en especial la consideracin de que los smbolos no estn condicionados por la situacin que inicialmente representaban y que, por tanto, son objetos sobre los cuales se pueden realizar acciones. En la leccin analizada, los smbolos substituyen a nmeros y su funcin es representarlos,

Anlisis ontosemitico de una leccin sobre la suma y la resta

153

los smbolos representan objetos, acciones sobre objetos o relaciones entre objetos, pero ellos mismos no se consideran objetos sobre los cuales se pueden realizar acciones. Este tipo de conflictos semiticos han aparecido en la leccin en el momento de introducir la relacin entre los trminos de una resta. Un problema didctico de mayor alcance, relacionado con el criterio de idoneidad mediacional expuesto en la introduccin, se pone de manifiesto cuando relacionamos las situaciones introductorias de las distintas configuraciones y las prcticas operativas y discursivas asociadas. Se supone que tales situaciones deben permitir la contextualizacin de los conocimientos pretendidos y crear las condiciones para la exploracin personal de los alumnos. Sin embargo, el texto presenta inmediatamente la solucin y las generalizaciones pretendidas, lo que convierte de hecho al proceso de estudio en una presentacin magistral. Se trata de un problema relativo a la gestin del tiempo didctico ( cronognesis ) y a la gestin de las responsabilidades del profesor y de los alumnos en el proceso de aprendizaje (topognesis) (Chevallard, 1991). Para terminar, queremos resaltar que el anlisis de textos se revela como un

componente importante del anlisis didctico de los procesos de enseanza y aprendizaje de las matemticas. Con frecuencia, los textos y documentos de estudio asumen una parte sustancial de la direccin del proceso de enseanza y aprendizaje. Es cierto que en los niveles de educacin primaria el alumno no afronta solo el estudio de los contenidos curriculares, usando el libro de manera personal y autnoma. El profesor desempea un papel de mediador entre el libro y el alumno. Pero un libro de texto escolar que tenga una baja idoneidad epistmica y semitica implicar una mayor carga para el profesor y menor autonoma para los alumnos. La metodologa de anlisis descrita puede ser una herramienta til para la preparacin de profesores. El diseo y desarrollo de unidades didctica debe tener en cuenta las experiencias e investigaciones previas realizadas, las cuales se concretan habitualmente en las lecciones elaboradas por equipos de expertos. Una pregunta clave para el profesor es: cmo puedo adaptar a mi contexto y circunstancias la unidad didctica que me ofrece este libro de texto y en la medida de lo posible optimizarla? Para responder esta pregunta es necesario adoptar unos criterios de mejora o idoneidad de un proceso de estudio matemtico.

Reconocimiento: Trabajo realizado en el marco del proyecto MCYT FEDER: SEJ2004-00789, Ministerio de Ciencia y Tecnologa, Plan Nacional de Investigacin Cientfica, Desarrollo e Innovacin Tecnolgica. Madrid.

Referencias Brousseau, B. (1997). Theory of Didactical Situations in Mathematics. Dordrecht: Kluwer. Chevallard, Y. (1991). La transposition didactique. Du savoir savant au savoir enseign. Grenoble: La Pense Sauvage.

154 Relime

Contreras A., Font, V., Luque, L. y Ordez, L. (2005). Algunas aplicaciones de la teora de las funciones semiticas a la didctica del anlisis. Recherches en Didactique des Mathmatiques, 25(2), 151186. Ferrero, L. y cols. (1999). Matemticas 5. Serie Sol y Luna. Anaya. Font, V. y Ramos, A. B. (2005). Objetos personales matemticos y didcticos del profesorado y cambio institucional. El caso de la contextualizacin de funciones en una Facultad de Ciencias Econmicas y Sociales. Revista de Educacin, 338, 309-346. Godino, J. D. y Batanero, C. (1994). Significado institucional y personal de los objetos matemticos. Recherches en Didactique des Mathmatiques, 14(3), 325355. Godino, J. D. (2002). Un enfoque ontolgico y semitico de la cognicin matemtica. Recherches en Didactique des Mathmatique, 22(2/3), 237284. Godino, J. D., Batanero, C. y Roa, R. (2005). An onto-semiotic analysis of combinatorial problems and the solving processes by university students. Educational Studies in Mathematics, 60, 336. Godino, J. D., Wilhelmi M. R. y Bencomo, D. (2005). Suitability criteria for a mathematical instruction process. A teaching experience with the function notion. Mediterranean Journal for Research in Mathematics Education, 4.2, 126. Godino, J. D., Contreras, A. y Font, V. (en prensa). Anlisis de procesos de instruccin basado en el enfoque ontolgico-semitico de la cognicin matemtica. Recherches en Didactique des Mathmatiques (aceptado). Hiebert, J., Morris, A. K., y Glass, B. (2003). Learning to learn to teach: An experiment model for teaching and teacher preparation in mathematics. Journal of Mathematics Teacher Education, 66, 201222. Verschaffel, L. y De Corte, E. (1996). Number and arithmetic. En A. J. Bishop et al. (eds.), International Handbook of Mathematics Education (pp. 99-137): Dorchecht: Kluwer A. P. Vygotski, L.S. (1934). El desarrollo de los procesos psicolgicos superiores, 2 edicin. Barcelona, ESP: Crtica-Grijalbo, 1989. Wittgenstein, L. (1953). Philosophical investigations. N. York, Macmillan.

Anlisis ontosemitico de una leccin sobre la suma y la resta

155

Juan D. Godino Departamento de Didctica de la Matemtica Universidad de Granada Espaa E-mail: [email protected]

Vicen Font Departament de Didctica de les Cincies Experimentals i la Matemtica Universitat de Barcelona Espaa E-mail: [email protected]

Miguel R. Wilhelmi Departamento de Matemticas e Informtica Universidad Pblica de Navarra Espaa E-mail: [email protected]

156 Relime

Relime, Nmero Especial, pp. 157-175.

157

Semiotic Objectifications of the Compensation Strategy: En Route to the Reification of Integers

Andreas Koukkoufis 1 Julian Williams 1 RESUMEN Reportamos aqu el anlisis de una experiencia que reproduce el trabajo de investigacin Object-Process Linking and Embedding (OPLE) en el caso de la enseanza de la aritmtica de los enteros, desarrollada por Linchevski y Williams (1999) en la tradicin de la Educacin Matemtica Realista (realistic mathematics education (RME)). Nuestro anlisis aplica la teora de la objetivacin de Radford, con el propsito de aportar nuevas pistas sobre la forma en que la reificacin tiene lugar. En particular, el mtodo de anlisis muestra cmo la generalizacin factual de la estrategia llamada de compensacin encapsula la nocin de agregar de un lado es lo mismo que quitar del otro lado; una base fundamental de esto que ser, ms tarde, las operaciones con enteros. Discutimos, de igual modo, otros aspectos de la objetivacin susceptibles de llegar a ser importantes en la cadena semitica que los alumnos ejecutan en la secuencia OPLE, secuencia que puede llevar a un fundamento intuitivo de las operaciones con los enteros. Sostenemos que es necesario elaborar teoras semiticas para comprender el papel vital de los modelos y de la modelacin en la implementacin de las reificaciones en el seno de la Educacin Matemtica Realista (RME). PALABRAS CLAVE: Enteros, semitica, teoras del aprendizaje.

ABSTRACT We report an analysis of data from an experimental replication of Object-Process Linking and Embedding (OPLE) in the case of integer arithmetic instruction originally developed by Linchevski and Williams (1999) in the realistic mathematics education (RME) tradition. Our analysis applies Radfords theory of semiotic objectification to reveal new insights into how reification is achieved. In particular the method of analysis shows how the factual generalization of the so-called compensation strategy encapsulates the notion that adding to one side is the same as subtracting from the other side: a vital grounding for symbolic integer operations later. Other aspects of objectification are discussed that are considered likely to be important to the semiotic chaining that students achieve in the OPLE sequence that can lead to an intuitive grounding of integer operations. We
Fecha de recepcin: Febrero de 2006/ Fecha de aceptacin: Abril de 2006
1 School of Education, the University of Manchester.

158 Relime

argue that semiotic theory needs to be elaborated to understand the vital role of models and modelling in leveraging reifications in RME. KEY WORDS: Integers, Semiotics, Theories of Learning.

RESUMO Reportamos aqui o anlise de uma experiencia que reproduce o trabalho de investigao Object-Process Linking and Embedding (OPLE) en o caso da ensino da aritmtica dos inteiros, desenvolvida por Linchevski e Williams (1999) na tradio da Educao Matemtica Realista (realistic mathematics education (RME)). Nossa anlise aplica a teoria da objetivao de Radford, com o propsito de surgir novas pistas sobre a forma em que a reificao tem lugar. Em particular, o mtodo de anlise mostra como a generalizao factual da estratgia chamada de compensao encapsula a noo de agregar de um lado o mesmo que quitar do outro lado; uma base fundamental disso que ser, mais tarde, as operaes com inteiros. Discutimos, de igual modo, outros aspectos da objetivao suscetveis de chegar a ser importante na cadeia semitica que os alunos executam na seqncia OPLE, seqncia que pode levar a um fundamento intuitivo das operaes com os inteiros. Sustentamos que necessrio elaborar teorias semiticas para compreender o papel vital dos modelos e da modelao na implementao das reificaes no seio da Educao Matemtica Realista (RME). PALAVRAS CHAVE: Inteiros, Semiticos, Teoria de Aprendizagem.

RSUM Nous rapportons ici lanalyse dune exprience qui vise reproduire le travail de recherche Object-Process Linking and Embedding (OPLE) dans le cas de lenseignement de larithmtique des entiers dvelopp par Linchevski et Williams (1999) dans la tradition de lducation Mathmatique Raliste (realistic mathematics education (RME)). Notre analyse applique la thorie de lobjectivation smiotique de Radford afin dapporter de nouveaux clairages sur la faon dont la rification est accomplie. La mthode danalyse montre, en particulier, comment la gnralisation factuelle de la stratgie appele de compensation encapsule la notion que ajouter dun ct, cest la mme chose quenlever de lautre ct : une base fondamentale de ce que sera plus tard les oprations avec des entiers. Nous discutons galement dautres aspects de lobjectivation susceptibles de devenir importants dans la chaine smiotique que les lves accomplissent dans la squence OPLE, squence qui peut mener un fondement intuitif des oprations sur des entiers. Nous soutenons quil est ncessaire dlaborer des thorisations smiotiques pour comprendre le rle vital des modles et de la modlisation dans limplmentation des rifications au sein de lducation Mathmatique Raliste (RME). MOTS CLS: Entiers, smiotique, thories de lapprentissage.

Semiotic Objectifications of the Compensation Strategy:En Route to the Reification of Integers

159

The Need for a Semiotic Analysis Based on the instructional methodology of Object-Process Linking and Embedding (OPLE) (Linchevski & Williams, 1999; Williams & Linchevski, 1997), the dice games instruction method for integer addition and subtraction showed how students could intuitively construct integer operations. This methodology, underpinned by the theory of reification (Sfard, 1991; Sfard & Linchevski, 1994), was developed within the Realistic Mathematics Education (RME) instructional framework. Until very recently, the dice games method had not been analysed semiotically. We believe a semiotic analysis of students activities in the dice games will illuminate students meaning-making processes. It will also provide some further understanding of the reification of integers in the dice games in particular and more generally of the theory of reification, which does not explain what spur[s] the students to make the transitions between stages (Goodson-Espy, 1998, p. 234). Finally, it will contribute to the discussion of the semiotic processes involved in RME, which are currently insufficiently investigated (Cobb, Gravemeijer, Yackel, McClain, & Whitenack, 1997; Gravemeijer, Cobb, Bowers, & Whitenack, 2000). In this paper we focus on the compensation strategy (Linchevski & Williams, 1999), a dice game strategy on which integer addition and subtraction are grounded, and begin to address the following questions: 1. What are the students semiotic processes of the compensation strategy in the reification of integers through the OPLE teaching of integers in the dice games method? 2. What is the semiotic role of the abacus in the OPLE teaching of integers

through the dice games and what can we generally hypothesise about the significance of models and modelling in the RME tradition? We found Radfords semiotic theory of objectification (Radford, 2002, 2003) to be a particularly useful theoretical framework for analysing students semiotic processes in the dice games, despite the very different context in which it was developed.

The Object-Process Linking and Embedding Methodology Sfard (1991) reported as follows: But here is a vicious circle: on the one hand, without an attempt at the higher-level interiorization, the reification will not occur; on the other hand, existence of objects on which the higher-level processes are performed seems indispensable for the interiorization without such objects the processes must appear quite meaningless. In other words: the lower-level reification and the higher-level interiorization are prerequisites of each other! (p. 31) In order to overcome this vicious circle , the Object-Process Linking and Embedding (OPLE) pedagogy (Linchevski & Williams, 1999) was developed: children a) build strategies in the situation, b) attach these to the new numbers to be discovered, and finally c) embed them in mathematics by introducing the mathematical voice and signs (Linchevski & Williams, 1999, p. 144). The pedagogy can be best understood through the dice games context in which it was developed (Linchevski & Williams, 1999), which

160 Relime

aimed at overcoming the paradox of reification described above for the case of arithmetic of the integers. The dice games instruction method (Linchevski & Williams, 1999) is an intuitive instruction of integer addition and subtraction in the RME instructional framework aiming at the reification of integers. The transition from the narrower domain of natural numbers to the broader domain of integers in the method is achieved through emergent modelling (Gravemeijer, 1997a, 1997b, 1997c; Gravemeijer et al., 2000) and takes advantage of students intuition of fairness (Liebeck, 1990) for the cancellation of negative amounts by equal positive amounts (Dirks, 1984; Linchevski & Williams, 1999; Lytle, 1994). Practically, the model the double abacus (see figure 1) affords the representation and manipulation of integers as objects before they are abstracted and symbolised as such by the students (Linchevski & Williams, 1999): The integer is identifiable in the childrens activity first as a process on the numbers already understood by the children, then as a report or score recorded (concretised by the abacus). The operations on the integers arise as actions on their abacus representations, then recorded in mathematical signs. Finally, the operations on the mathematical signs are encountered in themselves, and justified by the abacus manipulations and games they represent. Thus the integers are encountered as objects in social activity, before they are symbolised mathematically, thus intuitively filling the gap formerly considered a major obstacle to reification. (Linchevski & Williams, 1999, p. 144)

Figure 1: The abacus

Therefore, in the games the situated strategies are constructed in a realistic context which allows intuitions to arise. In this process the abacus model is utilized which affords representation of the two kinds of numbers, and allows addition and subtraction (though clearly not multiplication and division) of the integers to be based on an extension of the childrens existing cardinal schemes (Linchevski & Williams, 1999, p. 135). These strategies are linked to objects (yellow and red team points, see next section), thus allowing object-process linking. Later, the formal mathematical language and symbols enter the games. In the following section we present the games more analytically.

The Dice Games Instruction The method involves 4 games in each of which two teams of two children are throwing dice (e.g. a yellow and a red die in game 1) and recording team points on abacuses: the points for the yellow team are recorded by yellow cubes on the abacuses and those for the red team are red cubes on the abacuses. The students sit in two pairs, each having a member of each team and an abacus

Semiotic Objectifications of the Compensation Strategy:En Route to the Reification of Integers

161

(see figure 2). On each pairs abacus, points for both teams are being recorded and the team points on the two abacuses add up. The students in turn throw the pair of dice, recording each time the points for the two teams on their abacus. When the two abacuses combine to give one team a score of 5 points ahead of their opponents, that team wins the game. For instance in game 1, if the yellow team at a certain point is 2 ahead and they get a score on the pair of dice, say 4 yellows and one red, then they can add 3 yellows to their existing score of 2 and so get 5 ahead, and they win. But note the complication that because we have two abacuses for the two pairs, a combined score of 2 yellows might involve, say 1 red ahead on the one abacus and 3 yellows ahead on the other abacus: so there are multiple compensations of reds and yellows going on in various combinations. Therefore, the important thing in the games is not how many points a team has, but how many points ahead of the opponent: hence the nascent directivity of the numbers.

In the first game (game 1) two dice are used, a yellow and a red one, giving points to the yellow and red team in each throw. Shortly after the beginning of game 1, often with the urging of the researcher, the students intuitively understand that they can cancel the team points on the dice, thus introducing an important game strategy, the cancellation strategy (not examined in this paper). For example, according to this strategy, if a throw of the pair of dice shows 3 points for the yellow team and 1 for the red team, this is equivalent to just giving 2 points for the yellow team. The rationale is that the directed difference of the points of the yellow and red team (i.e. the amount of points that the yellows are ahead or behind the reds) will be the same anyway. As the abacus columns have only space for 10 points for each team, a team column will often be full before a team gets 5 points ahead of the opponent. In order for the game to go on, the compensation strategy is formulated, that is, if you cant add points to one team, subtract the same amount of points from the other, so as to maintain the correct directed difference of team points.

Figure 2: Students playing one of the dice games

162 Relime

This strategy is the second important game strategy and it is the one focused upon in this paper. By the end of the games, this strategy will lead to the intuitive construction of equivalences like: +( +2) ( 2) and +( 2) (+ 2) . Game 2 is similar to game 1, and is introduced as soon as (and not before) the children are able to cancel the pair of dice into ONE score quite fluently. In this game an extra die is now thrown whose faces are marked add and sub (subtract). From now on this will be called the add/sub die. The introduction of this die allows for subtraction to come into play, instead of just addition, as in game 1. In analogy to game 1, according to the compensation strategy, if you have to subtract points from a team but there are none on the abacus to subtract, you can add points to the other team instead. In game 3, formal mathematical symbols for integers are introduced. The add/sub die is not used and the yellow and red die are replaced with an integer die giving one of the following results on each throw: 1, 2, 3, +1, +2, +3. Positive integers are points for the yellow team and negative integers are points taken from the yellows, thus they are points for the reds (for more details see Linchevski & Williams, 1999). Here the mathematical voice is encouraged, so that the children say minus 3 and plus 2 etc. In the final game (game 4), the add/sub die is back into the game, allowing again for subtraction to be concerned. In these two games the cancellation strategy is no longer needed and the compensation strategy is transformed into a formal symbolic, though still verbal, form: add minus 3 etc. Once the students become fluent in game 4, they begin recording the games for a transition from verbal to written

use of formal mathematical symbols, but we are not going to discuss this transition further in this paper.

Some Earlier Analyses: Reification in the Dice Games Linchevski and Williams (1999) have analysed the dice games in terms of reification. Through the instructional methodology of Object-Process Linking and Embedding, they achieved the intuitive reification of integers and the construction of processes related to integer addition and subtraction through the manipulation of objects on a model (i.e. the yellow and red team points). However, they did not provide a semiotic-analytical account of the reification processes their main concern was to show that reification of integers was possible through their method. We will discuss here the reifications taking place in the dice games, as we understand them, so that we can better appreciate the need for a semiotic analysis of students processes. In relation to the reification of integers, according to Linchevski & Williams (1999), the object-process linking allows the intuitive manipulation of integers as objects from the very beginning of the dice games. As a result of this methodological innovation, some elementary processes are obvious from the beginning. These are, that if a team gets points (or points are subtracted from it), the new points add-up to (or are subtracted from) the points the team already has. These processes are intuitively obvious from the introduction of game 1 (and game 2 respectively). However, one may argue that the students still operate at the level of natural numbers, not integers. Integer processes begin to be constructed, though integers are not yet introduced

Semiotic Objectifications of the Compensation Strategy:En Route to the Reification of Integers

163

explicitly, once the students focus on the score of the game, that is, which team is ahead and by how many points. The calculation of the score as the directed difference of the piles of cubes of the points of the two teams is the first object-process link to be constructed. The second objectprocess link to be achieved in the games is the cancellation of the team points on the dice: i.e. if in a throw the yellows get 2 points and the reds 1 point, you might as well just give 1 point to the yellows. Thus this link is possible through the establishment of the so called cancellation strategy. Further, the compensation strategy according to which adding to one side of the abacus is the same as subtracting from the other side needs to be introduced as an object-process link. Up to this point, all the necessary object-process links are in place. Next, at the beginning of game 3, integers are introduced into the games: the formal mathematical voice enters the games. Through the manipulation of the formal mathematical symbols of integers in the above object-process links, integers are being reified and the addition and subtraction of integers are being established. However, in the above analysis the following significant question arises: What are the meaning-making processes (semiotic) involved in students integer reification in the dice games? We certainly do not claim that we will exhaust this issue here, but we will begin to address it through the vital component of the compensation strategy.

mathematical objects. It does not generally refer to the social semiotic means students used to achieve the abstraction of these objects, (e.g. in the dice games, the integers). The analysis of Linchevski & Williams (1999) did in fact go some way in providing a social analysis of the context as a resource for construction of the compensation strategy: they were excited mainly here by the accessing of the socio-cultural resource of fairness in the games as a basis for an intuitive construction of compensation. Semiotic chaining was adduced to explain the significance of the transition to the mathematical voice, so that two points from you is the same as two points to us slides under a new formulation like subtract minus two is the same as adding two plus two. However, we will complement Linchevski & Williams (1999) study with a more detailed semiotic analysis of the way that the abacus, gesture and deictics mediate childrens generalisations (after Radfords, 2003, 2005 methodology). We wish to clarify at this point that we do not reject the reification analyses. Instead, we agree with Cobb (1994) who takes an approach of theoretical pragmatism , suggesting that we should focus on what various perspectives might have to offer relative to the problems or issues at hand (p. 18). We propose that in this sense semiotic social theories can be complementary to constructivist ones. More precisely, we propose that Radfords theory of objectification (Radford, 2002, 2003) can be seen as complementary to the theory of reification (Sfard, 1991; Sfard & Linchevski, 1994): while Sfard (1991) provides a model for the cognitive changes taking place, Radford (2002, 2003) provides the means to analyse these changes on the social, intermental plane. Radford addresses the issue of semiotic mediation through his theory of

Semiotics are Needed to Complement Reification Analyses The theory of reification, drawing support from a cognitivist/constructivist view of learning, is mainly interested in the internal processes of students abstraction of

164 Relime

objectification (Radford, 2002, 2003). This theory, presented in some detail in the following section, analyses students dependence on the available semiotic means of objectification (SMO) (Radford, 2002, 2003) to achieve increasingly socially-distanced levels of generality. Radford explains this reliance on SMO through reference to Freges triad: the reference (the object of knowledge), the sense and the sign (Radford, 2002). The SMO refer to Freges sense, that is, they mediate the transition from the reference to the sign. Moreover, Radford extended the Piagetian schema concept to include a sensual dimension, as Piagets emphasis on the process of reflective abstraction can lead to an inadequate analysis of the role of signs and symbols (Radford, 2005). The schema is both a sensual and an intellectual action or a complex of actions. In its intellectual dimension it is embedded in the theoretical categories of the culture. In its sensual dimension, it is executed or carried out in accordance to the technology of semiotic activity (Radford, 2005, p. 7) Given this extended schema definition, the process of abstraction of a new mathematical object needs to be investigated in relation to the semiotic activity mediating it. This investigation should expose students meaning making processes in the objectifications taking place in the dice games, which allow the construction of integers as new mathematical objects, i.e. their reification in Sfards sense. In the next section we present analytically Radfords theory of objectification (Radford, 2002, 2003), which will then be applied in the section following it to some of our data from the instruction through the dice games.

Radfords Semiotic Theory of Objectification Objectification is a process aimed at bringing something in front of someones attention or view (Radford, 2002, p.15). It appears in three modes of generalization: generalization through actions, through language and through mathematical symbols. These are factual, contextual and symbolic generalization (Radford, 2003). Objectification during these generalizations is carried out gradually through the use of semiotic means of objectification (Radford, 2002): objects, tools, linguistic devices, and signs that individuals intentionally use in social meaning-making processes to achieve a stable form of awareness, to make apparent their intentions, and to carry out their actions to attain the goal of their activities, I call semiotic means of objectification. (Radford, 2003, p. 41) Factual generalization, a generalization of actions (but not of objects), is described as follows: A factual generalization is a generalization of actions in the form of an operational scheme (in a neoPiagetian sense). This operational scheme remains bound to the concrete level (e.g., 1 plus 2, 2 plus 3 ). In addition, this scheme enables the students to tackle virtually any particular case successfully. (Radford, 2003, p. 47) The formulation of the operational scheme of factual generalization is based on deictic semiotic activity, e.g. deictic gestures, deictic linguistic terms and rhythm. The students rely

Semiotic Objectifications of the Compensation Strategy:En Route to the Reification of Integers

165

on the signification power provided by deictics to refer to actions on non-generic physical objects. These are perceivable, non-abstract objects which can be manipulated accordingly. In the example from Radford (2003) below, the students had to find the number of toothpicks for any figure in the following pattern. The elaboration of the operational scheme in this case can be seen in the following section of an episode provided by Radford (2003). 1. Josh: Its always the next. Look! [and pointing to the figures with the pencil he says the following] 1 plus 2, 2 plus 3 []. (Radford, 2003, p. 46-47) Josh constructed the operational scheme for the calculation of the toothpicks of any figure in the form 1 plus 2, 2 plus 3, while pointing to the figures. Moreover, he used the linguistic term always to show the general applicability of this calculation method for any specific figure and the term next which emphasizes the ordered position of objects in the space and shapes a perception relating the number of toothpicks of the next figure to the number of toothpicks in the previous figure (p. 48). Hence, in factual generalization: the students construction of meaning has been grounded in a type of social understanding based on implicit agreements and mutual comprehension

that would be impossible in a nonfaceto-face interaction. Naturally, some means of objectification may be powerful enough to reveal the individuals intentions and to carry them through the course of achieving a certain goal. (Radford, 2003, p. 50) In contextual generalization the previously constructed operational scheme is generalised through language. Its generative capacity lies in allowing the emergence of new abstract objects to replace the previously used specific concrete objects. This is the first difference between contextual and factual generalization: new abstract objects are introduced (Radford, 2003). Its second difference is that students explanations should be comprehensible to a generic addressee (Radford, 2003, p. 50): reliance on face-to-face communication is excluded. Consequently, contextual generalization reaches a higher level of generality. More specifically, in Radford (2003) the operational scheme 1 plus 2, 2 plus 3 presented above becomes You add the figure and the next figure (p. 52). Therefore, the pairs of specific succeeding figures 1, 2 or 2, 3 become the figure and the next figure. These two linguistic terms allow for the emergence of two new abstract objects, still situated, spatial and temporal (Radford, 2003). Reliance on faceto-face communication is eliminated, and deictic means subside. However, the personal voice, reflected through the word you, still remains.

Figure 3: First three Figures of the toothpick pattern, labelled Figure1, Figure 2, Figure 3 by Radford (the picture in the box was taken from Radford, 2003, p. 45)

166 Relime

In symbolic generalization, the spatial and temporal limitations of the objects of contextual generalization have to be withdrawn. Symbolic mathematical objects (in Radfords case algebraic ones) should become nonsituated and nontemporal (Radford, 2003, p.55) and the students lose any reference point to the objects. To accomplish these changes, Radfords (2003) students excluded the personal voice (such us you ) from their generalization and replaced the generic linguistic terms the figure and the next figure with the symbolic expressions n and (n + 1) correspondingly. Hence, the expression you add the figure and the next figure became n + (n + 1) . Still, Radford (2003) points out that for the students the symbolic expressions n and ( n+1 ) remained indexed to the situated objects they substituted. This is evident in students persistent use of brackets and their refusal to see the equivalence of the expressions n + (n + 1) and (n + n) + 1 . Summarising, the mathematical symbols of symbolic generalization were indexes of the linguistic objects of contextual generalization, which in turn were indexes of the actions on concrete physical objects enclosed in the factual generalization operational scheme.

separately, but first we provide some information about the students and the episodes in this paper. The study, part of an ongoing PhD research, involves year 5 students in Greater Manchester, who had not yet been taught integer addition and subtraction. The PhD involves two experimental methods (respectively containing 5 and 6 groups of 4 students) from 2 separate classes and a control group from a third class. In each experimental method class the students were arranged by their teacher in mixed gender and ability groups, which were taught for three onehour lessons. In this paper we focused on a microanalysis of one group of one of the methods the dice games as originally applied by Linchevski and Williams (1999). Radfords factual generalization is quite a clear-cut process based on action on physical objects formulated into an operational scheme through deictic activity. However, in our investigation of the compensation strategy, we find a multi-step process of semiotic contraction happening inside it. The three following episodes coconstitute in our view the factual generalization. In these episodes, occurring during game 1 (in lesson 1), the students were faced with a situation where they had to add cubes/points to one of the two teams, but there was no space on the abacus. As a result, a breakthrough was needed for the scoring to continue. Episode 1 (Minutes 14:30-14:50, lesson 1): Umar had to add 1 yellow cube on the abacus but, as there was no space in the relevant column, he got stuck. Fay proposed taking away 1 red cube instead. indicates a pause of 3 sec or more, and . or , indicate a pause of less than 3 sec (Radford, 2003, p. 46).

The Compensation Strategy Factual Generalization In this section we analyse the objectification of the compensation strategy in terms of factual, contextual and symbolic generalization. We present excerpts of the discourse contained in the games, which we analyse in terms of their contribution to the progressive abstraction of integers through the means of objectification. We also discuss the SMO involved in students processes. The analyses of factual, contextual and symbolic generalization are presented

Semiotic Objectifications of the Compensation Strategy:En Route to the Reification of Integers

167

Fay:

You take 1 off the reds [pointing to the red column on her abacus]. [] Because then you still got the same, because youre going back down [showing with both her hands going down at the same level ] cause instead of the yellows getting one [raising the right hand at a higher level than her left hand] the red have one taken off [raising her left hand and immediately moving it down, to show that this time the reds decrease].

point/cube or subtract a red point/cube. This significant unaltered game characteristic, which we call the directed difference of the points of the yellow and red team, still cannot be articulated as it has not yet acquired a name. Episode 2 (Minutes 20:15-20:43, lesson 1): The yellows column was full and the reds only had space for 1 cube. Compensation was needed and as Zenon could not understand, Jackie explained as follows. Jackie: Its still the same, like [a very characteristic gesture (see figure 4): she brings her hands to the same level and then she begins to move them up and down in opposite directions, indicating the different resulting heights of the cubes of the two columns of the abacus] because its still 2, the yellows are still 2 ahead [she does the same gesture while she talks] and the reds are still 2 below, so its still the same [ again the gesture] em like [closing her eyes, frowning hard] I dont know what its called but its still the same score [the gesture same again before and while articulating the word score indicating same score on her abacus].

Fays proposal for the subtraction of a red cube instead of the addition of a yellow one is the first articulation of the compensation strategy in the games for this group of students. We especially noticed the analytical explanation of the proposed action, which allows the process of compensation to be introduced for the first time. Deictic activity was associated both with the proposed action of taking away a red cube and with the justification following it. Fay used pointing to the red cubes on the abacus, as well as a gesture with both her hands indicating the increase/decrease of the pile of cubes in each teams column. Moreover, the names the yellows and the red have a deictic role. We also notice the phrase you still got the same, stressing that something (obviously important) remains unaltered: either we add a yellow

Figure 4: Jackies gesture (this sequence of action performed fast and repeated several times)

168 Relime

In episode 2, we noticed the repeated use of the phrase its still the same, the word still followed by the difference in team points (i.e. still 2, still 2 ahead), as well as the accompanying characteristic gesture. The gesture, too, emphasized the importance of the unaltered directed difference of the cubes of the two teams. We also noticed Jackies difficulty in finding a proper word for this important unaltered game characteristic: em like [closing her eyes, frowning hard] I dont know what its called but its still the same score (extract from episode 2 above). We believe the articulation of the word score, meaning what we call the directed difference of team points, as well as Jackies gesture were very important for the factual generalization process, because they achieved the semiotic contraction (Radford, 2002) of the process originally established in episode 1. From this point onward, the students do not need to provide an analytical semiotic justification of the proposed action, as Fay needed to in episode 1. Just saying that the score will be the same is enough. A similar effect was accomplished by the word difference in a different group (Koukkoufis & Williams, 2005). Episode 3 (Minutes 21:27-21:57, lesson 1): Theres only space for 2 yellow cubes, but Fay has to add 3 yellows and 1 red. Fay: Add 2 on [she adds 2 yellow cubes] and then take 1 of theirs off [she takes off a red cube] and then for the reds [pointing to the red dice] you add 1, so you add the red back on [she adds 1 red cube].

justification of the proposed action was provided, as it seemed to be unnecessary indeed Jackie and Umar agreed with Fay without further explanation. We argue that the further semiotic contraction happening in episode 3 completed the factual generalization of the compensation strategy. To sum up, we see in the three episodes provided up to this point a continuum as follows: in episode 1 Fay presented a proper action and an analytical process to justify it; in episode 2 again a proper action was presented but the process justifying it was contracted; finally in episode 3 the presentation of the proposed action was sufficient, therefore further semiotic contraction took place and the process for resulting in this proposed action disappeared.

The Compensation Strategy Contextual Generalization Contextual generalization, in which abstraction of new objects through language takes place, has not yet been completed in this case. If we had had a contextual generalization of the compensation strategy, we would have a generalization like this: if you cant add a number of yellow/red points, you can subtract the same number of red/yellow points instead. Similarly for subtraction, the generalization would be similar to this: if you cant subtract a number of yellow points/red points, you can add the same number of red/yellow points instead. However, our students did not spontaneously produce such a generalization, neither does the instructional method demand it; therefore we did not insist that the students produce it. We believe that the lack of articulation of the compensation strategy through

Researcher: [] Does everybody agree? (Jackie and Umar say Yeah). Finally, in the above episode further semiotic contraction took place. In fact, no

Semiotic Objectifications of the Compensation Strategy:En Route to the Reification of Integers

169

generic linguistic terms, and thus the incompleteness of the production of a contextual generalization, has to do with the compensation strategy being too intuitively obvious. On the contrary, in the case of the cancellation strategy (Linchevski & Williams, 1999) which was not so obvious, the same students produced a contextual generalization as follows (Fay, minutes 38:17-38:40, lesson 1, 5 reds and 2 yellows): you find the biggest number, then you take off the smaller number. In the case of the contextual generalization of the cancellation strategy, we notice that new abstract objects (the biggest number, the smaller number) enter the discourse, as in Radford (2003). However, we will not discuss the contextual objectification of the cancellation strategy here.

Therefore, the reference to yellow and red team points has to be substituted by reference to positive and negative integers. According to the dice games method, this is achieved in the beginning of game 3, when the red and the yellow die are replaced by the integer die. Analytically, the numbers +1, +2 and +3 (on the integer die) are points for the yellow team. Further, 1, 2 and 3 (on the integer die) are points taken away from the yellow team, thus they are points for the red team. Of course, similarly one can say that +1, +2 and +3 are point taken away from the red team. Conclusively, when it is + it is yellow points, while when it is it is red points. In the following episode we witness the transition from the pre-symbolic signs of yellow team points and red team points to the symbolic signs of + and (positive and negative integers). Episode 4: Minutes: 20:45-21:55, lesson 3. Researcher: Jackie: Researcher: Jackie, Umar: Fay: +1. Who is getting points? The yellows [] Who is losing points? The reds [] reds are becoming called minuses and then the yellows are becoming called plus.

The Compensation Strategy Symbolic Generalization Despite the incompleteness of the contextual generalization, we found that symbolic generalization was not obstructed! In this section we discuss the symbolic generalization of the compensation strategy, which presents some differences from that of the case presented by Radford (2003). To begin with, in Radford (2003) symbolic generalization remained indexical throughout the instruction. In our case, the students began using symbolic generalization nonindexically. For convenience, we present indexical and non-indexical symbolic generalization separately.

As a result of the above introduction of the formal mathematical symbols for integers, positive integers are used to indicate yellow team points and negative integers are used to indicate red team points. Here lies the first difference from Radfords symbolic generalization, which is soon to become evident. In Radford (2003), the symbolic signs/ expressions used in symbolic generalization were indexes of the contextual abstract objects of contextual generalization. Hence, the expressions n

Indexical Symbolic Generalization

The elaboration of a symbolic generalization for the compensation strategy demands the replacement of presymbolic signs with symbolic ones.

170 Relime

and n +1 indicated the generic linguistic terms the figure and the next figure . Instead, in the dice games the formal mathematical symbols of integers were indexes not of the generic linguistic terms of contextual generalization (which was never completed), but of the concrete objects of factual generalization. For example, +2 is an index of 2 more for yellows as well as of 2 yellow points, as in episode 5. Episode 5 (Minutes: 33:15-33:53, lesson 3) Researcher: [] you get 2. What would you do? (Fay takes 2 yellow cubes off) [] What if you had +3? Umar: You take away 3 of the reds. Zenon: or you could add 3 to the yellow. Fay, Jackie: add 3 to the yellow. Researcher: Oh, 3 off the reds or 3 to the yellows. (All the students agree) Indeed, the students read +2 on the die, the researcher articulates it as plus 2, but then the students discussion is in terms of reds and yellows. If symbolic signs were being used non-indexically at that point, Umar would have said minus 3 instead of saying 3 of the reds (as in the phrase take away 3 of the reds). Also the others would have said plus 3 instead of 3 to the yellow (as in the phrase add 3 to the yellow). It becomes clear that in our case, we witnessed a direct transition from factual to indexical symbolic generalization , without the completion of contextual generalization being necessary. This transition was afforded due to the RME context and the abacus model. In indexical symbolic generalization, though the operational scheme of factual

generalization is reconstructed through the use of symbolic signs instead of concrete physical objects, it is not a simple repetition of factual generalization in symbolic terms that takes place. No semiotic contraction needs to take place for the establishment of the compensation strategy in symbolic terms. The students know right away that instead of adding +2 (2 yellow points) they can subtract 2 red points.

Non-indexical Symbolic Generalization

Up to now the formal symbolic signs for integers are being used indexically, but the intended instructional outcome is that students will eventually be using these symbols non-indexically. We do not imply that the symbols should drop their connection to the context though. Indeed it is essential that students can go back to the contextual meanings of these symbols in the dice games, so as to draw intuitive support regarding integers. We just emphasize that the students should become flexible in using the formal symbols of integers either indexically or nonindexically. A non-indexical use of integer symbols would mean explicit reference solely to pluses and minuses (i.e. +2, 3 etc). Therefore, the compensation strategy should be constructed only based on the formal symbols of integers, excluding the pre-symbolic signs of yellow and red team points. In order to target non-indexical symbolic generalization, we encouraged students to articulate the symbols on the dice as + (plus) and (minus), in an attempt to facilitate the connection of the verbalization plus/minus to the symbolic signs +/. Though in the beginning most students needed to be reminded to use the proper names of the signs, by the time the students had played game 4 for a while they were

Semiotic Objectifications of the Compensation Strategy:En Route to the Reification of Integers

171

able to refer to integers in a formal manner, as can be seen in the following examples of student verbalizations. We believe that the introduction of the add/sub die in game 4 obliged the students to refer correctly to the integers with their formal names, so as to be able to perform the actions of addition and subtraction on these symbols. For example (brackets added), Fay said: add [minus 3 ] , subtract [2 of the minuses]; Zenon said: add [2 to the pluses]; Jackie said: add [minus 2 ] . Umar was still struggling with the verbalization and sometimes said [minus 1 ] add or add [subtract 2] etc. Finally, we checked if students had spontaneously produced a more general verbalization in a form like if you cant add pluses/minuses, you can subtract minuses/ pluses or the other way around. In this group, such a generalization did not take place. We believe, however, that this will not necessarily be the case for other groups of students, and indeed that it may be desirable to encourage this in the teaching.

incompleteness of the contextual generalization and (iii) the direct transition from factual to symbolic generalization. The abacus model in the games seems in many ways to be the centre of the activity: the abacus is in the centre of a circle of attention, as we are all sitting around the abacuses (see figure 2 again); it affords the representation of the yellow and red team points through their red and yellow cubes; it is the constant point of reference about which team is ahead. It was only natural that the abacus, being in the centre of the spatial arrangement and credited with allowing the students to keep the score, became the focus of semiotic activity. What is even more important: the abacus mediated in some cases the semiotic activity. This can be seen in several features of the games. To begin with, the team points referred to the above episodes as points for the yellow/red (or as yellow/red points) were concretized or objectified from the start: they were yellow and red cubes. That is, the points were embodied into the cubes. This allows, as Linchevski and Williams (1999) point out, for integers to be introduced in the discourse as objects from the very beginning: the students speak about the general categories of yellow and red points from the beginning. Additionally, the directed difference was embodied on the abacus, as the difference of yellow and red points can be seen with a glance at the abacus, and the sign is evidently that of the larger pile of cubes: i.e. in figure 1 the yellows on that abacus are 2 points ahead. This convenient reference to the directed difference in the two piles of cubes afforded the association of semiotic activity to it, which made the establishment of the compensation strategy possible. Such semiotic activity is Fays gesture in episode 1 in which the

The Semiotic Role of the Abacus Model As may be clear by now, the abacus model and the RME context of the dice games are very significant for the reification of integers and the instruction of integer addition and subtraction through the dice games method. Up to now we have referred to the semiotic processes, but we have not referred to the abacus model: though Radfords theory of objectification has been crucial in the analyses so far, we contend it needs to be complemented by an analysis of the role of the abacus in affording these semiotics. We claim that analysing the contribution of the model in students semiosis will afford some primary discussion of phenomena such as (i) the embodiment of semiotic activity, (ii) the

172 Relime

movements of her hands were matched with a verbal manipulation of the difference of the two piles of cubes (i.e. youre going back down) to show that the directed difference remained the same. Also Jackies quick movement of her hands up and down in episode 2 again indicates the difference in the two piles of cubes, in other words it points to the directed difference as it is embodied on the abacus. We suggest that this embodiment is crucial because it mediates the emergence of deictic semiotic activity such as that of Fay and Jackie in episodes 1 and 2 and hence allows the objectification to take place. We may even consider the toothpick figures in Radford (2003) to afford the same role. As we noted above, the embodiment of the yellow and red team points through the cubes allowed the introduction of points for the yellow and points for the red as general abstract categories. We mentioned earlier that the students did not complete the contextual generalization of the compensation strategy to produce a generalization like if you cant add a number of yellow/red points, you can subtract the same number of red/yellow points instead. However, the embodiment of the yellow and red team points of the abacus had already introduced generic situated objects into the discourse, even though this was not achieved through language. Consequently, the students could obviously see that the operational scheme of the factual generalization can be applied for any number of points for a team. This is an additional reason to the one presented earlier for the incompleteness of contextual generalization. Hence, this embodiment of the team points in a sense shapes the semiotic activity in the compensation strategy, providing one more reason why the completeness of contextual generalization was unnecessary in this case.

Further, the semiotic role of the abacus was crucial in the direct transition from factual to symbolic generalization. As we have seen in episode 4, the yellow points became plus and the red points are now minuses. We say that this direct transition was afforded through the construction of a chain of signification (Gravemeijer et al., 2000; Walkerdine, 1988), in the form of a transition from the embodiment of yellow and red points through the abacus cubes to the embodiment of positive and negative integers. As a consequence of this transition, the formal symbols could be embedded into the operational scheme for the compensation strategy established through the factual generalization. Quite naturally then, the embedding of the formal symbols in the operational scheme performed on the abacus produced the symbolic generalization directly from factual generalization.

Conclusion Beginning with a presentation of the OPLE methodology and the dice games instruction, we argued the need for a finer grained, semiotic analysis of objectifications to explain how reification is accomplished. We have applied Radfords theory of objectification to fill this gap in understanding the case of the compensation strategy, a vital link in the chain of significations necessary to OPLEs success: thus we were able to identify relevant objectifications applying Radfords semiotic categories of generalisation. This work began to reveal the significance of the abacus itself, which affords, and indeed shapes the semiosis in essential ways. We have also shown how the effectiveness of the pedagogy based on OPLE can be explained as semiotic chaining using multiple semiotic objectifications and begun to discuss the

Semiotic Objectifications of the Compensation Strategy:En Route to the Reification of Integers

173

significance of models and modelling in the dice games, and hence in the OPLE methodology. Finally, we suggest that our discussion over the semiotics of the abacus model might be the route to understanding the significance of models and modelling in the RME tradition more generally. We suggest that the role of the abacus as a model in this case might be typical of other models in RME. Indeed, Williams & Wake (in press) provide an analysis of the role of the number line in a similar vein. In applying Radfords theory in a very

different context we are bound to point out certain differences in the two cases: for instance, the differing roles of contextual generalisation in the two cases. Though the adaptation of the theory was necessary at some points, we have shown that this theory can be a powerful tool of analysis. The question arises as to whether the instruction method adopted here gains or perhaps loses something by eliding contextual generalisation: thus we suggest that Radfords categories might in fact be regarded as raising design-related issues as well as providing tools of analysis.

References Cobb, P. (1994). Where Is the Mind? Constructivist and Sociocultural Perspectives on Mathematical Development. Educational Researcher, 23(7), 13-20. Cobb, P., Gravemeijer, K., Yackel, E., McClain, K., & Whitenack, J. (1997). Mathematizing and Symbolizing: The Emergence of Chains of Signification in One First-Grade Classroom. In D. Kirshner & J. A. Whitson (Eds.), Situated Cognition. Social, Semiotic, and Psychological Perspectives (pp. 151-233). Mahwah, N.J.: Lawrence Erlbaum Associates. Dirks, M. K. (1984). The integer abacus. Arithmetic Teacher, 31(7), 5054. Goodson-Espy, T. (1998). The roles of reification and reflective abstraction in the development of abstract thought: transitions from arithmetic to algebra. Educational Studies in Mathematics, 36(3), 219-245. Gravemeijer, K. (1997a). Instructional design for reform in mathematics education. In K. P. E. G. M. Beishuizen, and E.C.D.M. van Lieshout (Ed.), The Role of Contexts and Models in the Development of Mathematical Strategies and Procedures (pp. 13-34). Utrecht: CD- Press. Gravemeijer, K. (1997b). Mediating Between Concrete and Abstract. In T. Nunez & P. Bryant (Eds.), Learning and Teaching in Mathematics. An International Perspective (pp. 315-345). Sussex, UK: Psychology Press. Gravemeijer, K. (1997c). Solving word problems: A case of modelling? Learning and Instruction, 7(4), 389-397. Gravemeijer, K., Cobb, P., Bowers, J., & Whitenack, J. (2000). Symbolising, Modelling and Instructional Design. Perspectives on Discourse, Tools and Instructional Design. In

174 Relime

P. Cobb, E. Yackel & K. McClain (Eds.), Symbolizing and Communicating in Mathematics Classrooms (pp. 225-273). Mahwah, NJ: Lawrence Erlbaum Associates. Koukkoufis, A., & Williams, J. (2005). Integer Operations in the Primary School: A Semiotic Analysis of a Factual Generalization. Paper presented at the British Society for Research in to the Learning of Mathematics Day Conference November 2005, St. Martins College, Lancaster. Liebeck, P. (1990). Scores and forfeits an intuitive model for integer arithmetic. Educational Studies in Mathematics, 21(3), 221239. Linchevski, L., & Williams, J. (1999). Using intuition from everyday life in filling the gap in childrens extension of their number concept to include the negative numbers. Educational Studies in Mathematics, 39(1-3), 131-147. Lytle, P. A. (1994). Investigation of a model based on neutralization of opposites to teach integers. Paper presented at the Nineteenth International Group for the Psychology of Mathematics Education, Universidade Federal de Pernambuco, Recife, Brazil. Radford, L. (2002). The seen, the spoken and the written. A semiotic approach to the problem of objectification of mathematical knowledge. For the Learning of Mathematics, 22(2), 14-23. Radford, L. (2003). Gestures, speech, and the sprouting of signs. Mathematical Thinking and Learning, 5(1), 37-70. Radford, L. (2005). The semiotics of the schema. Kant, Piaget, and the Calculator. In M. H. G. Hoffmann, J. Lenhard & F. Seeger (Eds.), Activity and Sign. Grounding Mathematics Education (pp. 137-152). New York: Springer. Sfard, A. (1991). On the dual nature of mathematical conceptions: Reflections on processes and objects as different sides of the same coin. Educational Studies in Mathematics, 22, 1-36. Sfard, A., & Linchevski, L. (1994). The gains and pitfalls of reification: the case of algebra. Educational Studies in Mathematics, 26, 87124. Walkerdine, V. (1988). The mastery of reason. London: Routledge. Williams, J. & Wake, G. (in press). Metaphors and models in translation between College and workplace mathematics. Educational Studies in Mathematics.

Semiotic Objectifications of the Compensation Strategy:En Route to the Reification of Integers

175

Andreas Koukkoufis School of Education The University of Manchester UK E-mail: [email protected]

Julian Williams School of Education The University of Manchester UK E-mail: [email protected]

176 Relime

Relime, Nmero Especial, 2006, pp. 177-195.

177

Objetos, significados, representaciones semiticas y sentido

Bruno DAmore 1

RESUMEN En este artculo intento mostrar una consecuencia que algunas veces se evidencia en las transformaciones semiticas de tratamiento y conversin de una representacin semitica a otra, cuyo sentido deriva de una prctica compartida. El pasaje de la representacin de un objeto matemtico a otra, por medio de transformaciones, de una parte conserva el significado del objeto mismo, pero, en ocasiones, puede cambiar su sentido. Este hecho est aqu detalladamente evidenciado por medio de un ejemplo, pero insertndolo en el seno de un amplio marco terico que pone en juego los objetos matemticos, sus significados y sus representaciones.

PALABRAS CLAVE: Registros semiticos, sentido de un objeto matemtico, objeto matemtico, cambio de sentido.

ABSTRACT In this paper, I want to illustrate a phenomenon related to the treatment and conversion of semiotic representations whose sense derives from a shared practice. On the one hand, the passage from one representation of a mathematical object to another, through transformations, maintains the meaning of the object itself, but on the other hand, sometimes can change its sense. This is shown in detail through an example, inserted within a wide theoretical framework that takes into account mathematical objects, their meanings and their representations. KEY WORDS: Semiotic registers, sense of a mathematical object, mathematical object, change of sense.

Fecha de recepcin: Enero de 2006/ Fecha de aceptacin: Marzo de 2006

1 NRD, Departamento de Matemtica, Universidad de Bolonia, Italia. Facultad de Ciencia de la Formacin, Universidad

de Bolzano, Italia. Alta Escuela Pedaggica, Locarno, Suiza. MESCUD, Universidad Distrital F. Jos de Caldas, Bogot, Colombia

178 Relime

RESUMO Neste artigo intento mostrar uma conseqncia que algumas vezes se evidencia nas transformaes semiticas de tratamento e converso de uma representao semitica a outra, cujo sentido deriva de uma pratica compartida. A passagem da representao de um objeto matemtico a outra, por meio de transformaes, de uma parte conserva o significado do objeto mesmo, mas, em ocasies, pode mudar seu sentido. Este fato est aqui detalhadamente evidenciado por meio de um exemplo, pero inserindo-o em um amplo marco terico que trabalha os objetos matemticos, seus significados e suas representaes. PALAVRAS CHAVES: Registros semiticos, sentido de um objeto matemtico, objeto matemtico, mudana de sentido.

RSUM Dans cet article, je montre un phnomne reli au traitement et la conversion des reprsentations smiotiques dont le sens provient de pratiques partages. Dune part, le passage de la reprsentation dun objet mathmatique une autre reprsentation, travers des transformations, conserve le sens de lobjet lui-mme. Dautre part, ce passage peut entraner quelquefois une modification du sens. Ce phnomne est ici mis en vidence travers un exemple insr dans un cadre thorique ample qui met en jeu les objets mathmatiques, leurs significations et leurs reprsentations. MOTS CLS: Registre smiotique, sens d un objet mathmatique,objet mathmatique, changement de sens.

Este trabajo est dividido en dos partes. En la primera parte se discuten aspectos de carcter epistemolgico, ontolgico y semitico desarrollados en algunos marcos tericos de investigacin en didctica de la matemtica. En la segunda, a travs de la narracin de un episodio de sala de clase, se propone una discusin sobre la atribucin de sentidos diversos de varias representaciones semiticas en torno a un mismo objeto matemtico.

Primera parte 1. Un recorrido 1.1. Ontologa y conocimiento En diversos trabajos de finales de los aos 80 y 90 se declaraba que, mientras el matemtico puede no interrogarse sobre el sentido de los objetos matemticos que usa o sobre el sentido que tiene el conocimiento

Objetos, significados, representaciones semiticas y sentido

179

matemtico, la didctica de la matemtica no puede obviar dichas cuestiones (ver DAmore, 1999, pp. 23-28). En un trabajo reciente, Radford resume la situacin de la manera siguiente:
Se puede sobrevivir muy bien haciendo matemtica sin adoptar una ontologa explcita, esto es, una teora sobre la naturaleza de los objetos matemticos. Es por eso que es casi imposible inferir de un artculo tcnico en matemticas la posicin ontolgica de su autor. (...) La situacin es profundamente diferente cuando hablamos del saber matemtico. () Cuestiones tericas acerca del contenido de ese saber y de la manera como dicho contenido es transmitido, adquirido o construido nos ha llevado a un punto en el que no podemos seguir evitando hablar seriamente de ontologa. (Radford, 2004, p. 6) El debate es antiguo y se puede sealar como punto de partida la Grecia clsica. Como he sealado en trabajos anteriores, dicho debate est enmarcado por una creencia ontolgica que parte del modo que tienen los seres humanos de conocer los conceptos (DAmore, 2001a,b; 2003a,b). Radford retoma el debate y se detiene, en particular, en el trabajo de Kant quien dice que los individuos tienen un conocimiento

conceptual a priori gracias a una actividad autnoma de la mente, independiente del mundo concreto (Radford, 2004, pp. 5-7). Como Radford pone en evidencia, el apriorismo kantiano tiene races en la interpretacin de la filosofa griega hecha por San Agustn y su influencia en los pensadores del Renacimiento. Refirindose al matemtico Pietro Catena (1501-1576), por mucho tiempo profesor de la Universidad de Padua y autor de la obra Universa Loca (Catena, 1992), Radford afirma que, para Catena, los objetos matemticos eran entidades ideales e innatos (Radford, 2004, p. 10). El debate se vuelve moderno, en todo el sentido de la palabra, cuando, con Kant, se logra hacer la distincin entre los conceptos del intelecto (humano) y los conceptos de objetos. Como Radford observa: [Estos] conceptos del intelecto puro no son conceptos de objetos; son ms bien esquemas lgicos sin contenido; su funcin es hacer posible un reagrupamiento o sntesis de las intuiciones. La sntesis es llevada a cabo por aquello que Kant identific como una de nuestras facultades cognitivas: el entendimiento. (Radford, 2004, p. 15) El siguiente grfico presenta las ideas de sentido y de comprensin en el lugar adecuado:
s e n t i d o

Objeto

Presentacin 1

Presentacin 2

Presentacin 3

c
o m p r e n s i n

Sntesis de presentacin en relacin con conceptos de razn

Objeto conocido

La relacin entre los sentidos y la razn en la epistemologa Kantiana (tomado de Radford, 2004, p. 15)

180 Relime

1.2. Aproximacin antropolgica La lnea de investigacin antropolgica parece fundamental en la comprensin del pensamiento matemtico (DAmore, 2003b). Dicha lnea de investigacin debe atacar ciertos problemas, entre ellos el del uso de signos y artefactos en la cultura. En la aproximacin antropolgica al pensamiento matemtico que propone Radford, el autor sugiere que una aproximacin antropolgica no puede evitar tomar en cuenta el hecho de que el empleo que hacemos de las diversas clases de signos y artefactos cuando intentamos llegar a conocer algo est subsumido en prototipos culturales de uso de signos y artefactos. (...) Lo que es relevante en este contexto es que el uso de signos y artefactos alteran la manera en que los objetos conceptuales nos son dados a travs de nuestros sentidos () Resumiendo, desde el punto de vista de una epistemologa antropolgica, la manera en que me parece que puede resolverse el misterio de los objetos matemticos es considerando dichos objetos como patrones (patterns) fijados de actividad humana; incrustados en el dominio continuamente sujeto a cambio de la prctica social reflexiva mediatizada. (Radford, 2004, p. 21). En esta lnea de pensamiento, existe una aceptacin general de consenso: Los objetos matemticos deben ser considerados como smbolos de unidades culturales, emergentes de un sistema de usos ligados a las actividades de resolucin de problemas que realizan ciertos grupos

de personas y que van evolucionando con el tiempo. En nuestra concepcin, es el hecho de que en el seno de ciertas instituciones se realizan determinados tipos de prcticas lo que determina la emergencia progresiva de los objetos matemticos y que el significado de estos objetos est ntimamente ligado con los problemas y a la actividad realizada para su resolucin, no pudindose reducir este significado del objeto a su mera definicin matemtica. (DAmore & Godino, 2006, p. 14). 1.3. Sistema de prcticas Tal acuerdo viene ulteriormente clarificado por proposiciones explcitas: La nocin de significado institucional y personal de los objetos matemticos implica a las de prctica personal, sistema de prcticas personales, objeto personal (o mental), herramientas tiles para el estudio de la cognicin matemtica individual (Godino & Batanero, 1994; 1998). Cada una de tales nociones tiene su correspondiente versin institucional. Es necesario aclarar que con estas nociones se trata de precisar y hacer operativa la nocin de relacin personal e institucional al objeto introducida por Chevallard (1992). (DAmore & Godino, 2006, p. 28) Aquello que nosotros entendemos por sistema de prcticas personales est en la misma lnea de la aproximacin semitica antropolgica (ASA) de Radford: En la aproximacin semitica antropolgica (ASA) a la que estamos haciendo referencia, la

Objetos, significados, representaciones semiticas y sentido

181

idealidad del objeto conceptual est directamente ligada al contexto histrico-cultural. La idealidad de los objetos matemticos es decir de aquello que los vuelve generales es completamente tributaria de la actividad humana. (Radford, 2005, p. 200). Los aspectos sociolgicos de esta adhesin a la actividad humana y a la prctica social son as confirmados: Considero que el aprendizaje matemtico de un objeto O por parte de un individuo I en el seno de la sociedad S no sea ms que la adhesin de I a las prcticas que los otros miembros de S desarrollan alrededor del objeto dado O. (DAmore, en DAmore, Radford & Bagni, 2006, p. 21) De igual manera, la prctica de sala de clase puede considerarse como un sistema de adaptacin del alumno a la sociedad (Radford, en DAmore, Radford & Bagni, 2006, p. 27). 1.4.Objeto y objeto matemtico Se necesita, sin embargo, dar una definicin de este objeto matemtico. Para lograrla preferimos recurrir a una generalizacin de la idea de Blumer sugerida por (Godino, 2002): Objeto matemtico es todo lo que es indicado, sealado, nombrado cuando se construye, se comunica o se aprende matemticas. Esta idea es tomada de Blumer (Blumer 1969, ed. 1982, p. 8): un objeto es cualquier entidad o cosa a la cual nos referimos, o de la cual hablamos, sea real, imaginaria o de cualquier otro tipo. En un trabajo anterior hemos sugerido considerar los siguientes tipos de objetos matemticos:

lenguaje (trminos, expresiones, notaciones, grficos, ...) en sus diversos registros (escrito, oral, gestual, ...) situaciones (problemas, aplicaciones extra-matemticas, ejercicios, ...) acciones (operaciones, algoritmos, tcnicas de clculo, procedimientos, ...) conceptos (introducidos mediante definiciones o descripciones) (recta, punto, nmero, media, funcin, ...) propiedad o atributo de los objetos (enunciados sobre conceptos, ...) argumentos (por ejemplo, los que se usan para validar o explicar los enunciados, por deduccin o de otro tipo, ...).

A su vez estos objetos se organizan en entidades ms complejas: sistemas conceptuales, teoras,... (DAmore & Godino, 2006, p. 28-29). En el trabajo citado, se aprovecha la idea de funcin semitica: se dice que se establece entre dos objetos matemticos (ostensivos o no ostensivos) una funcin semitica cuando entre dichos objetos se establece una dependencia representacional o instrumental, esto es, uno de ellos se pone en el lugar del otro o uno es usado por otro. (DAmore & Godino, 2006, p. 30). Y, ms all: Los objetos matemticos que intervienen en las prcticas matemticas y los emergentes de las mismas, segn el juego de lenguaje en que participan, pueden ser considerados desde las siguientes facetas o dimensiones duales:

182 Relime

personal institucional : como ya hemos indicado, si los sistemas de prcticas son compartidos en el seno de una institucin, los objetos emergentes se consideran objetos institucionales; mientras que si estos sistemas son especficos de una persona los consideramos como objetos personales; ostensivos (grficos, smbolos, ...), no ostensivos (entidades que se evocan al hacer matemticas, representados en forma textual, oral, grfica, gestual, ...); extensivo intensivo: esta dualidad responde a la relacin que se establece entre un objeto que interviene en un juego de lenguaje como un caso particular (un ejemplo concreto : la funcin y=2 x +1 ) y una clase ms general o abstracta (la familia de funciones, y = mx+n); elemental sistmico: en algunas circunstancias los objetos matemticos participan como entidades unitarias (que se suponen son conocidas previamente), mientras que otras intervienen como sistemas que se deben descomponer para su estudio; expresin contenido: antecedente y consecuente (significante, significado) de cualquier funcin semitica.

y el objeto lingstico que lo expresa (DAmore, en DAmore, Radford & Bagni, 2006, p. 21). En los siguientes partes de este articulo, ser discutido lo referente a la representacin, de forma especifica. 1.5. Aprendizaje de objetos En los intentos hechos por sintetizar las dificultades en el aprendizaje de conceptos (DAmore, 2001a, b, 2003a) he recurrido en varias ocasiones a la idea que se encuentra en la paradoja de Duval (1993): de una parte, el aprendizaje de los objetos matemticos no puede ser ms que un aprendizaje conceptual y, de otra, es slo por medio de representaciones semiticas que es posible una actividad sobre los objetos matemticos. Esta paradoja puede constituir un verdadero crculo vicioso para el aprendizaje. Cmo sujetos en fase de aprendizaje no podran no confundir los objetos matemticos con sus representaciones semiticas si ellos slo pueden tener relacin con las representaciones semiticas? La imposibilidad de un acceso directo a los objetos matemticos, fuera de toda representacin semitica, vuelve la confusin casi inevitable. Y, por el contrario, cmo pueden ellos adquirir el dominio de los tratamientos matemticos, necesariamente ligados con las representaciones semiticas, si no tienen ya un aprendizaje conceptual de los objetos representados? Esta paradoja es an ms fuerte si se identifican actividades matemticas y actividades conceptuales y si se consideran las representaciones semiticas como secundarias o extrnsecas. (Duval, 1993, p. 38)

Estas facetas se presentan agrupadas en parejas que se complementan de manera dual y dialctica. Se consideran como atributos aplicables a los distintos objetos primarios y secundarios, dando lugar a distintas versiones de dichos objetos. (DAmore & Godino, 2006, p. 31). Pero, si se hace referencia a la prctica de representacin lingstica: Creo que se deben distinguir dos tipologas de objetos en el mbito de la creacin de la competencia matemtica (aprendizaje matemtico): el objeto matemtico mismo

Objetos, significados, representaciones semiticas y sentido

183

Estas frases reclaman fuertemente no solamente un cierto modo de concebir la idea de semitica sino tambin su relacin con la epistemologa. Como apunta Radford: El problema epistemolgico puede resumirse en la siguiente pregunta: cmo llegamos a conocer los objetos generales, dado que no tenemos acceso a stos sino a travs de representaciones que nosotros mismos nos hacemos de ellos? (Radford, 2005, p. 195). 1.6.La representacin de los objetos A propsito de la representacin de los objetos, Radford menciona que En una clebre carta escrita el 21 de febrero de 1772, Kant pone en duda el poder de nuestras representaciones. En esta carta, enviada a Herz, Kant dice: sobre qu fundamento reposa la relacin de lo que llamamos representacin y objeto correspondiente?. En esa carta, Kant cuestiona la legitimidad que tienen nuestras representaciones para representar fielmente al objeto. En trminos semiticos, Kant cuestiona la adecuacin del signo. () La duda kantiana es de orden epistemolgico. (Radford, 2005, p. 195) Todo esto pone en juego, de forma particular, la idea de signo, dado que para la matemtica esta forma de representacin es especfica; el signo es de por s especificacin de lo particular, pero esto puede ser interpretado dando sentido a lo general; al respecto Radford nota que: Si el matemtico tiene derecho a ver lo general en lo particular, es, como observa Daval (1951, p. 110) porque est seguro de la fidelidad del signo. El signo es la representacin adecuada del significado (signifi) . (Radford, 2005, p. 199).

Pero los signos son artefactos, objetos a su vez lingsticos (en sentido amplio), trminos que tienen el objetivo de representar para indicar: [La] objetivacin es un proceso cuyo objetivo es mostrar algo (un objeto) a alguien. Ahora bien, cules son los medios para mostrar el objeto? Esos medios son los que llamo medios semiticos de objetivacin. Estos son objetos, artefactos, trminos lingsticos y signos en general que se utilizan con el fin de volver aparente una intencin y de llevar a cabo una accin. (Radford, 2005, p. 203) Estos signos tienen mltiples papeles, sobre los cuales no entro en detalle para evitar grandes tareas que ligan signo cultura - humanidad: la entera cultura es considerada como un sistema de signos en los cuales el significado de un significante se vuelve a su vez significante de otro significado o de hecho el significante del propio significado. (Eco, 1973, p. 156) No ltimo en importancia, es el papel cognitivo del signo (Wertsch, 1991; Kozoulin, 1990; Zinchenko, 1985) sobre el cual no profundizo con el fin de abreviar, pero, no sin antes reconocerlo, en las bases mismas de la semitica general: todo proceso de significacin entre seres humanos (...) supone un sistema de significaciones como propia condicin necesaria (Eco, 1975, p. 20; el cursivo es del Autor), lo que quiere decir un acuerdo cultural que codifica e interpreta; es decir, produce conocimiento. La eleccin de los signos, tambin y bsicamente cuando se componen en lenguajes, no es neutra o independiente; esta eleccin seala el destino en el cual

184 Relime

se expresa el pensamiento, el destino de la comunicacin; por ejemplo: El lenguaje algebraico impone una sobriedad al que piensa y se expresa, una sobriedad en los modos de significacin que fue impensable antes del Renacimiento. Impone lo que hemos llamado en otro trabajo una contraccin semitica. Presupone tambin la prdida del origo. (Radford, 2005, p. 210) La prdida del origo (es decir del origen, del inicio) fue discutida por Radford tambin en otros trabajos (2000, 2002, 2003). Y es propio sobre este punto que se cierra mi larga premisa, que es tambin el punto de partida para lo que sigue.

Los alumnos, discutiendo en grupo y bsicamente compartiendo prcticas bajo la direccin del docente, alcanzan a decidir que la respuesta se expresa con la fraccin

3 porque los resultados posibles al 6

lanzar un dado son 6 (el denominador) mientras que los resultados que hacen verdadero el evento son 3 (el numerador). Despus de haber institucionalizado la construccin de este saber, satisfecho de la eficaz experiencia, contando con que este resultado fue obtenido ms bien rpidamente y con el hecho de que los alumnos han demostrado gran habilidad en el manejo de las fracciones, el docente propone que, dada la equivalencia de

3 6

y 50 , se

puede expresar esta

100

Segunda parte 2. Objeto, su significado compartido, sus representaciones semiticas: la narracin de un episodio 2.1.El episodio Estamos en quinto de primaria y el docente ha desarrollado una leccin en situacin adidctica sobre los primeros elementos de la probabilidad, haciendo construir a los alumnos, por lo menos a travs de unos ejemplos, la idea de evento y de probabilidad de un evento simple. Como ejemplo, el docente ha hecho uso de un dado normal de seis caras, estudiando los resultados casuales desde un punto de vista estadstico. Emerge una probabilidad frecuencial, pero que es interpretada en sentido clsico. En este punto el docente propone el siguiente ejercicio:

probabilidad tambin con la escritura 50%, que es mucho ms expresiva: significa que se tiene la mitad de la probabilidad de verificarse el evento respecto al conjunto de los eventos posibles, tomado como 100. Alguno de los alumnos nota que entonces es vlida tambin [la fraccin]

1 ; la 2

propuesta es validada a travs de las declaraciones de quien hace la propuesta, rpidamente es acogida por todos y, una vez ms, institucionalizada por el docente. 2.2. Anlisis semitico Si se analizan las representaciones semiticas diferentes que han emergido en esta actividad, relativas al mismo evento: obtener un nmero par al lanzar un dado, son encontradas, por lo menos, las siguientes:

Calcular la probabilidad del siguiente evento: lanzando un dado se obtenga un nmero par.

registro semitico lengua natural: probabilidad de obtener un nmero par al lanzar un dado

Objetos, significados, representaciones semiticas y sentido

185

registro semitico lenguaje de las fracciones:

3 , 50 , 1 6 100 2

un todo unitario y la aceptacin de las prcticas en el grupo clase. 2.5. Continuacin del episodio: la prdida del sentido compartido a causa de transformaciones semiticas Terminada la sesin, se propone a los alumnos la fraccin 4 y se pide si, 8 siendo equivalente a

registro semitico lenguaje del porcentaje: 50%.

2.3. El sentido compartido por diversas representaciones semiticas Cada una de las representaciones semiticas precedentes es el significante aguas abajo del mismo significado aguas arriba (Duval, 2003). El sentido compartido a propsito de aquello que se estaba construyendo estaba presente idnticamente y por tanto la prctica matemtica efectuada y as descrita ha llevado a transformaciones semiticas cuyos resultados finales fueron fcilmente aceptados:

3 , tambin 6

esta

conversin:

entre la representacin semitica expresada en el registro lenguaje natural y

3 6
,

tratamiento: entre 3

6 conversin: entre 50 y 50%. 100

50 y 1 100 2

fraccin representa el evento explorado poco antes. La respuesta unnime y convencida fue negativa. El mismo docente, que antes haba dirigido con seguridad la situacin, afirma que 4 8 no puede representar el evento porque las caras de un dado son 6 y no 8. El investigador pide al docente de explicar bien su pensamiento al respecto; el docente declara entonces que existen no slo dados de 6 caras, sino tambin dados de 8 caras; en tal caso, y slo as, la fraccin 4 representa el resultado 8 obtener un nmero par al lanzar un dado. Examinar lo que est sucediendo en el aula desde un punto de vista semitico; pero me veo obligado a generalizar la situacin.

2.4. Conocimientos previos necesarios Entran en juego diversos conocimientos, aparentemente cada uno de estos bien construido, que interactan entre ellos:

3. Un simbolismo para las bases de la semitica En esta parte, son utilizadas las definiciones usuales y de la simbologa introducida en otros trabajos (DAmore, 2001a, 2003a,b): semitica =df representacin realizada por medio de signos

conocimiento y uso de las fracciones conocimiento y uso de los porcentajes conocimiento y uso del evento: obtener
un nmero par lanzando un dado. Cada uno de estos conocimientos se manifiesta a travs de la articulacin en

186 Relime

notica =df adquisicin conceptual de un objeto2. Se indica, de ahora en adelante: rm =df registro semitico m-simo

m nueva representacin (i j):R j(A) en el mismo registro semitico rm

transformacin de registro CONVERSIN nueva representacin (h i,h j):R h (A) n en otro registro semitico r (n m) (m, n, i, j, h = 1, 2, 3, )
n

representacin semitica Rmi(A) =df i-sima de un concepto A en el registro semitico rm (m = 1, 2, 3, ; i = 1, 2, 3, ). Se puede notar que, si cambia el registro semitico, cambia necesariamente la representacin semitica, mientras que no es posible asegurar lo contrario; es decir, puede cambiar la representacin semitica mantenindose an el mismo registro semiotico. Uso un grfico para ilustrar la situacin, porque me parece mucho ms eficaz3:

4. Volvamos al episodio

caractersticas representacin de la tratamiento semitica conversin

(implican actividades cognitivas diversas)

concepto A para representar

eleccin de los rasgos distintivos de A

Existe un objeto ( significado) matemtico O 1 por representar: probabilidad de obtener un nmero par al lanzar un dado; se le da un sentido derivado de la experiencia que se piensa aceptada, en una prctica social construida en cuanto compartida en el aula; se elige un registro semitico rm y en ste se representa O1: Rmi(O1); se realiza un tratamiento: R m i(O 1 ) R m j(O 1 ) ; se realiza una conversin: R m i(O1 ) R n h (O1 ) ; se interpreta Rmj(O1) reconociendo en esto el objeto (significado) matemtico O2; se interpreta Rnh(O1) reconociendo en esto el objeto (significado) matemtico O3. Qu relacin existe entre O2, O3 y O1? Se puede reconocer identidad; y esto significa entonces que existe un conocimiento previo, en la base sobre la cual la identidad puede ser establecida.

REPRESENTACIN de A: Rmi(A) en un registro semitico dado rm

transformaciones de representacin TRATAMIENTO

Para Platn, la notica es el acto de concebir a travs del pensamiento; para Aristteles, es el acto mismo de

comprensin conceptual.
3 Hago referencia a Duval (1993).

Objetos, significados, representaciones semiticas y sentido

187

De hecho, se puede no reconocer la identidad, en el sentido que la interpretacin es o parece ser diferente, y entonces se pierde el sentido del objeto (significado) de partida O1. Un esquema como el siguiente puede resumir lo que ha sucedido en el aula desde un punto de vista complejo, que pone en juego los elementos que se desea poner en conexin entre ellos: objetos, significados, representaciones semiticas y sentido:
objeto-significado O1 sentido representacin: Rmi (O1) conversin Rnh (O1) interpretacin O3 O2 tratamiento Rmj (O1)
conflicto entre el sentido de O1 y el sentido de O2 / O3

En el ejemplo aqu discutido:

tratamiento: R m i(O1) R m k (O1 ), es decir,

de 3 a 4 ; 6 8

objeto - significado O1: probabilidad de obtener un nmero par al lanzar un dado; sentido: la experiencia compartida como prctica de aula en situacin a-didctica y bajo la direccin del docente, lleva a considerar que el sentido de O1 sea el descrito por los alumnos y deseado por el docente: tantos resultados posibles y, respecto a estos, tantos resultados favorables al verificarse el evento; eleccin de registro semitico rm: nmeros racionales Q expresados bajo forma de fraccin ; representacin: Rmi(O1): 3 ; 6
m m tratamiento: R i(O 1 ) R j(O 1 ), es decir,

m n conversin: R i(O1 ) R k (O1 ) ,es decir, de 3 a 50%; 6

se interpreta Rmj(O1) reconociendo en esto el objeto (significado) matemtico O2; se interpreta Rmk(O1) reconociendo en esto el objeto (significado) matemtico O3; se interpreta Rnh(O1) reconociendo en esto el objeto (significado) matemtico O4.

Qu relacin existe entre O2, O3, O4 y O1? En algunos casos (O2, O4), se reconoce

de 3 a 1 ;

188 Relime

identidad de significantes; y esto significa que existe de base un conocimiento ya construido que permite reconocer el mismo objeto; el sentido est compartido, es nico;en otra situacin (O 3), no se le reconoce la identidad de significante, en el sentido que la interpretacin es o parece ser diferente, y entonces se pierde el sentido del objeto (significado) O1. La temtica relativa a ms representaciones del mismo objeto est presente en Duval (2005). No est dicho que la prdida de sentido se presente slo a causa de la conversin; en el ejemplo aqu dado, tal como ya fue discutido, se present a causa de un tratamiento (el pasaje de 3 a 4 ). 6 8 La interpretacin de 4 dada por el docente 8 no admita como objeto plausible el mismo O1 que haba tomado origen del sentido compartido que haba llevado a la interpretacin 3 . 6

es una circunferencia?; A: Absolutamente 2 2 no, una circunferencia debe tener x + y ; B: Si se simplifica, si! [es decir, es la transformacin semitica de tratamiento que da o no cierto sentido]; 2)

n + (n + 1) + ( n + 2)

3n + 3

sentido: de la suma de tres naturales consecutivos a el triple de un nmero ms 3; Investigador: Pero, se puede pensar como suma de tres naturales consecutivos?; C: No, no entra nada!; 3)

(n 1) + n + (n + 1)

3n

sentido: de la suma de tres enteros consecutivos a el triple de un nmero natural; Investigador: Pero, se puede pensar como suma de tres enteros consecutivos?; D: No, as no, as es la suma de tres nmeros iguales, es decir n .

5. Otros episodios En seguida, son propuestos algunos ejemplos de interpretacin solicitados a estudiantes que estn cursando los ltimos semestres en la universidad, programa de matemtica; aquellos indicados como sentidos son mayormente compartidos entre los estudiantes entrevistados: 1)
x 2 + y 2 + 2 xy 1 = 0
TRATAMIENTO

6. Representaciones de un mismo objeto dado por el docente de primaria, consideradas apropiadas para sus alumnos En un curso de actualizacin para docentes de primaria, fue discutido el tema: Primeros elementos de probabilidad. Al final de la unidad, se pidi a los docentes representar el objeto matemtico: obtener un nmero par al lanzar un dado, usando un simbolismo oportuno que fuese el ms apropiado, segn ellos, a los alumnos de primaria. Fueron dadas a conocer todas las representaciones propuestas y se sometieron a votacin. En seguida se muestran los resultados obtenidos en orden de preferencia (del mayor al menor):

x + y=

1 x+ y

sentido: de una circunferencia a una suma que tiene el mismo valor de su recproca; Investigador: Pero, es o no

Objetos, significados, representaciones semiticas y sentido

189

3 6

50%

1 2

(tres y tres)

ooo

(tres sobre seis) ooo

(tres sobre seis)

6
(2, 4, 6 respecto de 1, 2, 3, 4, 5, 6) 2 4 6

ooo

En el ejemplo discutido en este pargrafo 6, los alumnos son docentes de escuela primaria que frecuentan el curso, mientras los docentes son los profesores universitarios que impartan las lecciones .4 Diversos pueden ser los anlisis de las precedentes producciones de los alumnos - docentes, evidenciadas al inicio de este pargrafo, pero se prefiere seguir la biparticin que, de nuevo, se encuentra en Duval (2003): [N]o se debe confundir aquello que llamaremos una tarea real de descripcin y una tarea puramente formal de descripcin. (...). Una tarea de descripcin es real cuando requiere una observacin del objeto de la situacin que se desea describir (...). Aqu, el alumno tiene acceso a cada uno de los dos elementos de la pareja {objeto, representacin del objeto}, independientemente uno del otro. Al contrario, una tarea de descripcin es puramente formal cuando se limita a un simple cambio de registro de representacin: descripcin verbal a partir de un diseo o de una imagen o viceversa. El alumno slo tiene un acceso independiente al objeto representado. Las descripciones formales son entonces tareas de conversin que buscan respetar la invarianza de aquello que representan. (p. 19) Creo que esta distincin de Duval ayuda a explicar, por lo menos en parte, el episodio narrado en los pargrafos 2 y 5 de este artculo:

12 3 4 5 6

(figural-operativa)

2 OK

4 OK

6 OK

La importancia de tomar en consideracin el anlisis de la produccin de los alumnos es subrayada as por Duval (2003): No se puede subrayar la importancia de las descripciones, en la adquisicin de conocimientos cientficos as como en las primeras etapas de los aprendizajes matemticos, sin afrontar otra cuestin fundamental tanto para la investigacin como para los docentes: el anlisis de las producciones de los alumnos. Pues es en el cuadro del desarrollo de la descripcin, que se obtienen las producciones ms personales y ms diversificadas, dado que stas pueden ser hechas verbalmente o con la ayuda de diseos, de esquemas ... En este caso se trata, para la investigacin, de una cuestin metodolgica y, para los docentes, de una cuestin diagnstica. Veremos que cada anlisis de las producciones de los alumnos requiere que se distinga con atencin en cada produccin semitica, discursiva o no discursiva, diversos niveles de articulacin del sentido, que no revelan las mismas operaciones. (p. 16)

4 Que este cambio de rol pueda ser concebido como plausible es ampliamente demostrado por la literatura internacional;

por brevedad me limito a citar slo el amplio panorama propuesto en el mbito PME por Llinares & Krainer (2006), con abundante bibliografa especfica.

190 Relime

Respecto a un objeto matemtico observable, conocido sobre la base de prcticas compartidas, la descripcin real responde plenamente a las caractersticas del objeto, es decir de la prctica realizada alrededor de ste y con ste, y por tanto del sentido que todo esto adquiere por parte de quien dicha prctica explica. Pero el uso de transformaciones semiticas a veces lleva a cambios sustanciales de dichas descripciones, convirtindose en una descripcin puramente formal, obtenida con prcticas semiticas s compartidas, pero que niegan un acceso al objeto representado o, mejor, le niegan la conservacin del sentido. (Duval, 2003, p. 18)

x horas a a$ cada hora, ms el costo fijo

de b$ ; los alumnos y el docente llegan a la representacin semitica: y = ax + b ; se sigue la transformacin de tratamiento y b que lleva a x + = 0, que se representa a a como:

b O b a
Figura 1

7. Otros episodios semiticos tomados de la prctica matemtica compartida en aula 7.1.Probabilidad y fracciones He repetido el experimento descrito en el pargrafo 2, con estudiantes que han aprobado cursos ms avanzados de matemtica y con estudiantes en formacin como futuros docentes de escuela primaria y de secundaria. Si la conversin que hace perder el sentido en el pasaje de 3 a 4 es un ejemplo fuerte tratamiento de 6 8 de prdida de sentido, lo es an ms el de

y es interpretada universalmente como una recta. Dicha representacin semitica obtenida por tratamiento y conversin, a partir de la representacin inicial, no se le reconoce como el mismo objeto matemtico de partida; sta asume otro sentido. 7.3. Un ejemplo en un curso para docentes de escuela primaria en formacin Objeto matemtico: La suma (de Gauss) de los primeros 100 nmeros naturales positivos; resultado semitico final despus de sucesivos cambios operativos con algunas transformaciones de conversin y tratamiento: 10150; esta representacin no se reconoce como representacin del objeto de partida; la presencia del signo de multiplicacin dirige a los futuros docentes a buscar un sentido en objetos matemticos en los cuales aparezca el trmino multiplicacin (o trminos similares).

3 7 a ; mientras lo es en menor 6 14 3 medida la conversin de a 0.5. 6

pasar de 7.2. Un ejemplo en el primer ao de escuela secundaria superior Objeto matemtico: El gasto total de y$ para el alquiler de algn instrumento por

Objetos, significados, representaciones semiticas y sentido

191

7.4. Un primer ejemplo en un curso (postgrado) de formacin para futuros docentes de escuela secundaria Objeto matemtico: La suma de dos cuadrados es menor que 1; representacin semitica universalmente aceptada: x 2 + y 2 < 1 ; despus de cambios de representacin semitica, siguiendo operaciones de tratamiento: ( x + iy )( x iy) < 1 y de conversin:

B) Objeto matemtico: Sucesin de los nmeros cuadrados; interpretacin y conversin: 0, 1, 4, 9,; cambio de representacin por tratamiento: 0, (0)+1, (0+1)+3, (0+1+3)+5,; esta representacin es reconocida como suma de las sumas parciales de los impares sucesivos. En ninguno de los casos precedentes descritos brevemente, los alumnos pudieron aceptar que el sentido de la representacin semitica obtenida finalmente, despus de transformaciones semiticas evidenciadas, coincide con el sentido del objeto matemtico de partida.

1
8. Conclusiones
Figura 2

hasta llegar a: + i < 0 .

2 2

No obstante que las diversas transformaciones se efecten con total evidencia y en forma explcita, discutiendo cada uno de los cambios de registro semitico, ninguno de los estudiantes futuros docentes, est dispuesto a admitir la unicidad del objeto matemtico en juego. La ltima representacin es interpretada como desigualdad paramtrica en C; el sentido fue modificado. 7.5. Un segundo ejemplo en un curso (postgrado) de formacin para futuros docentes de escuela secundaria A) Objeto matemtico: Sucesin de los nmeros triangulares; interpretacin y conversin: 1, 3, 6, 10, ; cambio de representacin por tratamiento: 1, 1+2, 1+2+3, 1+2+3+4,.; esta representacin es reconocida como sucesin de las sumas parciales de los naturales sucesivos.

No parecen necesarias largas conclusiones. Urge slo evidenciar cmo el sentido de un objeto matemtico sea algo mucho ms complejo respecto a la pareja usual (objeto, representaciones del objeto); existen relaciones semiticas entre las parejas de este tipo: (objeto, representacin del objeto) (objeto, otra representacin del objeto), relaciones derivadas de transformaciones semiticas entre las representaciones del mismo objeto, pero que tienen el resultado de hacer perder el sentido del objeto de partida. Si bien, tanto el objeto como las transformaciones semiticas son el resultado de prcticas compartidas, los resultados de las transformaciones pueden necesitar de otras atribuciones de sentido gracias a otras prcticas compartidas. Lo que enriquece de mayor inters todo estudio sobre ontologa y conocimiento. Los fenmenos descritos en la primera parte de este artculo pueden ser usados para

192 Relime

completar la visin que Duval ofrece del papel de las mltiples representaciones de un objeto en la comprensin de dicho objeto, y tambin para romper el crculo vicioso de su paradoja. En realidad cada representacin lleva asociado un subsistema de prcticas diferentes, de donde emergen objetos diferentes (en el pargrafo anterior denominados: O1, O2, O3 y O4). Pero la articulacin de estos objetos en otro ms general requiere un cambio de perspectiva, el paso a otro contexto en el que se plantee la bsqueda de la estructura comn en el sistema de prcticas global en el que intervienen los distintos objetos parciales. Sin duda, el uso de distintas representaciones y su progresiva articulacin enriquecen el significado, el conocimiento,

la comprensin del objeto, pero tambin su complejidad. El objeto matemtico se presenta, en cierto sentido, como nico, pero en otro sentido, como mltiple. Entonces, cul es la naturaleza del objeto matemtico? No parece que haya otra respuesta que no sea la estructural, formal, gramatical (en sentido epistemolgico), y al mismo tiempo la estructural, mental, global, (en sentido psicolgico) que los sujetos construimos en nuestros cerebros a medida que se enriquecen nuestras experiencias. Es obvio que estas observaciones abren las puertas a futuros desarrollos en los cuales las ideas que parecen diversas, confluyen por el contrario en el intento de dar una explicacin a los fenmenos de atribucin de sentido.

Reconocimientos Este trabajo fue desarrollado dentro del programa estratgico de investigacin: Aspetti metodologici (teorici ed empirici) della formazione iniziale ed in servizio degli insegnanti di matematica di ogni livello scolastico, con fondos de la Universidad de Bologna. Traduccin de Martha Isabel Fandio Pinilla, con la colaboracin de Juan Daz Godino.

Referencias Blumer, H. (1969). Symbolic interactionism. Perspective and method. Englewood Cliffs NJ: Prentice Hall. Catena P. (1992). Universa loca in logicam Aristetolis in mathematicas disciplinas. (Editor G. DellAnna). Galatina (Le): Congedo. Chevallard, Y. (1992). Concepts fondamentaux de la didactique: perspectives apportes par une approche anthropologique. Recherches en Didactique des Mathmatiques, 12 (1), 73-112. DAmore, B. (1999). Elementi di didattica della matematica. Prefazione di Colette Laborde. Bologna: Pitagora. [Versin en idioma espaol: DAmore, B. (2006). Didctica de la Matemtica. Con una carta de Guy Brousseau. Prefacio a la edicin en idioma espaol de Luis Rico. Bogot: Editorial Magisterio].

Objetos, significados, representaciones semiticas y sentido

193

DAmore, B. (2001a). Concettualizzazione, registri di rappresentazioni semiotiche e noetica. La matematica e la sua didattica, 2, 150-173. [Versin en idioma espaol: DAmore, B. (2004). Conceptualizacin, registros de representaciones semiticas y notica: interacciones constructivistas en el aprendizaje de los conceptos matemticos e hiptesis sobre algunos factores que inhiben la devolucin. Uno, 35, 90-106]. DAmore, B. (2001b). Un contributo al dibattito su concetti e oggetti matematici: la posizione ingenua in una teoria realista vs il modello antropologico in una teoria pragmatica. La matematica e la sua didattica, 1, 4-30. [Versin en idioma espaol: DAmore, B. (2001). Una contribucin al debate sobre conceptos y objetos matemticos. Uno, 27, 51-76]. DAmore, B. (2003a). La complexit de la notique en mathmatiques ou les raisons de la dvolution manque. For the learning of mathematics, 23(1), 47-51. [Versin preliminar reducida en idioma espaol: DAmore, B. (2002). La complejidad de la notica en matemticas como causa de la falta de devolucin. TED. Bogot, Universidad Pedaggica Nacional, 11, 63-71]. DAmore, B. (2003b). Le basi filosofiche, pedagogiche, epistemologiche e concettuali della Didattica della Matematica. Bologna: Pitagora. [Versin en idioma espaol: DAmore, B. (2005). Bases filosficas, pedaggicas, epistemolgicas y conceptuales de la Didctica de la Matemtica. Prefacio de Guy Brousseau. Prefacio a la edicin en idioma espaol de Ricardo Cantoral. Traduccin de Martha Isabel Fandio Pinilla. Mxico DF, Mxico: Revert-Relime.]. [Versin en idioma portugus: DAmore, B. (2005). As bases filosficas, pedaggicas, epistemolgicas e conceituais da didctica da matematica . Prefcio da edio italiana: Guy Brousseau. Prefcio: Ubiratan DAmbrosio Traduo: Maria Cristina Bonomi Barufi. Escrituras: So Paulo]. DAmore, B., & Godino, D. J. (2006). Punti di vista antropologico ed ontosemiotico in Didattica della Matematica. La matematica e la sua didattica, 1, 7-36. DAmore, B., Radford, L., & Bagni, G.T. (2006). Ostacoli epistemologici e prospettiva socio-culturale. Linsegnamento della matematica e delle scienze integrate, 29B, 1, 11-40. Daval, R. (1951). La mtaphysique de Kant. Pars: PUF. Duval, R. (1993). Registres de reprsentations smiotiques et fonctionnement cognitif de la pense. Annales de Didactique et de Sciences Cognitives, 5, 37-65. Duval, R. (2003). Dcrire, visualiser ou raisonner: quels apprentissages premiers de lactivit mathmatique? Annales de Didactique et de Sciences Cognitives, 8, 13-62. Duval, R. (2005). Transformations de reprsentations smiotiques et dmarche de pense en mathmatiques. Colloque COPIRELEM, Strasbourg, 30 mayo - 1 junio 2006. Actas en curso de impresin.

194 Relime

Eco, U. (1973). Segno. Milano: ISEDI. Eco, U. (1975). Trattato di semiotica generale. Milano: Bompiani. Godino, J. D. (2002). Un enfoque ontolgico y semitico de la cognicin matemtica. Recherches en Didactique des Mathmatiques, 22(2/3), 237-284. Godino, J. D., & Batanero, C. (1994). Significado institucional y personal de los objetos matemticos. Recherches en Didactique des Mathmatiques, 14 (3), 325-355. Godino, J. D., & Batanero, C. (1998). Clarifying the meaning of mathematical objects as a priority area of research in mathematics education. En A. Sierpinska, & J. Kilpatrick (Eds.), Mathematics Education as a Research Domain: A Search for Identity (pp. 177195). Dordrecht: Kluwer A. P. Kozoulin, A. (1990). Vygotskys psychology. Cambridge, MA: Harvard Univ. Press. Llinares, S., & Krainer, K. (2006). Mathematics (student) teachers and teacher educators as learners. In A. Gutierrez, & P. Boero (Eds.), Handbook of Research on the Psychology of Mathematics Education. Past, Present and Future. Rotterdam /Taipei: Sense Publishers 429-460. Radford, L. (2000). Signs and meanings in students emergent algebraic thinking: a semiotic analysis. Educational studies in mathematics, 42(3), 237-268. Radford, L. (2002). The seen, the spoken and the written. A semiotic approach to the problem of objectification of mathematical knowledge. For the learning of mathematics, 22(2) 14-23. Radford, L. (2003). Gestures, speech and the sprouting of signs. Mathematical thinking and learning, 5(1), 37-70. Radford, L. (2004). Cose sensibili, essenze, oggetti matematici ed altre ambiguit. La matematica e la sua didattica, 1, 4-23. Radford, L. (2005). La generalizzazione matematica come processo semiotico. La matematica e la sua didattica, 2, 191-213. Wertsch, JV. (1991). Voices in the mind. A sociocultural approach to mediate action . Cambridge, MA: Harvard Univ. Press. Zinchenko, VP. (1985). Vygotskys ideas about units for the analysis of mind. In J.V.Wertsch (Ed.), Culture, communication and cognition: Vygotskian perspectives . Cambridge, MA: Harvard Univ. Press.

Objetos, significados, representaciones semiticas y sentido

195

Bruno DAmore Dipartimento di Matematica Universit di Bologna Italia E-mail: [email protected]

196 Relime

Relime, Nmero Especial, 2006, pp. 197-224.

197

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

Athanasios Gagatsis 1 Iliada Elia 1 Nikos Mousoulides 1 RESUMEN El objetivo de este artculo es doble. En primer lugar, se hace un resumen superficial de investigaciones sobre la compartimentacin de diferentes registros de representacin, as como de las aproximaciones de resolucin de problemas, relacionadas con el concepto de funcin. En segundo lugar, se aportan elementos que clarifican las posibles maneras que permiten superar el fenmeno de la compartimentacin. Investigaciones precedentes muestran que la mayora de los alumnos de secundaria e, incluso de universidad, tienen dificultades para cambiar, de forma flexible, los sistemas de representacin de funciones, de seleccionar y de utilizar aproximaciones apropiadas de resolucin de problemas. Los resultados de dos estudios experimentales previos, llevados a cabo por miembros de nuestro equipo de investigacin, centrados sobre la utilizacin de aproximaciones no tradicionales de enseanza y sobre el empleo de software matemtico, proveen pistas preliminares, en cuanto a la manera de cmo puede superarse con xito el fenmeno de la compartimentacin. PALABRAS CLAVE: Aproximacin algebraica, compartimentalizacin, funcin, aproximacin geomtrica, resolucin de problemas, registros de representacin, transformacin de representaciones.

ABSTRACT The purpose of the present study is twofold: first, to review and summarize previous research on the compartmentalization of different registers of representations and problem solving approaches related to the concept of function; second, to provide insights into possible ways to overcome the phenomenon of compartmentalization. To this extent, previous research shows that the majority of high school and university students experience difficulties in flexibly changing systems of representations of function and in selecting and employing appropriate approaches to problem solving. Two previous experimental efforts, by the authors, focusing on the use of non-traditional teaching approaches and on the use of mathematical software respectively, provided some initial strategies for successfully overcoming the phenomenon of compartmentalization.
Fecha de recepcin: Febrero de 2006/ Fecha de aceptacin: Mayo de 2006
1 Department of Education, University of Cyprus. Nicosia, Cyprus.

198 Relime

KEY WORDS: Algebraic approach, compartmentalization, function, geometric approach, problem solving, registers of representation, transformation of representations.

RESUMO O objetivo deste de artigo duplo. Primeiro, feito um resumo superficial de investigaes sobre a compartimentao de diferentes registros de representao, e aproximaes de resoluo de problemas, apostas em relao ao de conceito de funo. Em segundo lugar, traz elementos que clarificam as possveis maneiras que permitem superar o fenmeno da compartimentaro. Investigaes precedentes mostram que a maioria dos alunos do ensino mdio e, mesmo de universidade, tem dificuldades para alterar, de maneira flexvel, os sistemas de representao de funes, de escolher e utilizar aproximaes adequadas resoluo de problemas. Os resultados de dois estudos experimentais prvios, levados a efeito por membros do nosso grupo de pesquisa, centrados no utilizao de aproximaes no tradicionais de ensino e sobre ou emprego de software matemtico, fornecem pistas preliminares, quanto maneira como pode ser superar com sucesso o fenmeno da compartimentao. PALAVRAS CHAVE: Aproximao algbrica, compartimentao, funo, geomtrica aproximao, soluo de problema, registros de representao, transformao de representaes.

RSUM Le but de cet article est double. En premier lieu, il sagit de faire un survol et une synthse des recherches sur la compartimentation de diffrents registres de reprsentation et des approches de rsolution de problmes relies au concept de fonction. En deuxime lieu, il sagit dapporter un clairage sur les manires possibles de surmonter le phnomne de compartimentation. Des recherches antrieures montrent que la majorit des lves de lcole secondaire et de luniversit ont de la difficult changer de faon flexible les systmes de reprsentation des fonctions ainsi qu slectionner et utiliser des approches appropries de rsolution de problmes. Deux efforts exprimentaux pralables, mens par les auteurs, centrs sur lutilisation des approches nontraditionnelles denseignement et sur lemploi de logiciels mathmatiques, fournissent des indications prliminaires quant la manire de surmonter avec succs le phnomne de compartimentation. MOTS CLS: Approche algbrique, compartimentation, fonction, approche gomtrique, rsolution de problmes, registres de reprsentation, transformation de reprsentations.

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

199

1.INTRODUCTION During the last decades, a great deal of attention has been given to the concept of representation and its role in the learning of mathematics. Nowadays, the centrality of multiple representations in teaching, learning and doing mathematics seems to have become widely acknowledged (D Amore, 1998). Representational systems are fundamental for conceptual learning and determine, to a significant extent, what is learnt (Cheng, 2000). A basic reason for this emphasis is that representations are considered to be integrated with mathematics (Kaput, 1987). Mathematical concepts are accessible only through their semiotic representations (Duval, 2002). In certain cases, representations, such as graphs, are so closely connected with a mathematical concept, that it is difficult for the concept to be understood and acquired without the use of the corresponding representation. Any given representation, however, cannot describe thoroughly a mathematical concept, since it provides information regarding merely a part of its aspects (Gagatsis & Shiakalli, 2004). Given that each representation of a concept offers information about particular aspects of it without being able to describe it completely, the ability to use various semiotic representations for the same mathematical object (Duval, 2002) is an important component of understanding. Different representations referring to the same concept complement each other and all these together contribute to a global understanding of it (Gagatsis & Shiakalli, 2004). The use of different modes of representation and connections between them represents an initial point in mathematics education at which pupils use one symbolic system to expand and understand another (Leinhardt, Zaslavsky,

& Stain, 1990). Thus, the ability to identify and represent the same concept through different representations is considered as a prerequisite for the understanding of the particular concept (Duval, 2002; Even, 1998). Besides recognizing the same concept in multiple systems of representation, the ability to manipulate the concept with flexibility within these representations as well as the ability to translate the concept from one system of representation to another are necessary for the acquisition of the concept (Lesh, Post, & Behr, 1987) and allow students to see rich relationships (Even, 1998). Duval (2002) assigns the term registers of representation to the diverse spaces of representation in mathematics and identifies four different types of registers: natural language, geometric figures, notation systems and graphic representations. Mathematical activity can be analyzed based on two types of transformations of semiotic representations, i.e. treatments and conversions. Treatments are transformations of representations, which take place within the same register that they have been formed in. Conversions are transformations of representations that consist in changing the register in which the totality or a part of the meaning of the initial representation is conserved, without changing the objects being denoted. The conversion of representations is considered as a fundamental process leading to mathematical understanding and successful problem solving (Duval, 2002). A person who can easily transfer her knowledge from one structural system of the mind to another is more likely to be successful in problem solving by using a plurality of solution strategies and regulation processes of the system for handling cognitive difficulties.

200 Relime

2. THE ROLE OF REPRESENTATIONS IN MATHEMATICS LEARNING: EMPIRICAL BACKGROUND Students experience a wide range of representations from their early childhood years onward. A main reason for this is that most mathematics textbooks today make use of a variety of representations more extensively than ever before in order to promote understanding. However, a reasonable question can arise regarding the actual role of the use of representations in mathematics learning. A considerable number of recent research studies in the area of mathematics education in Cyprus and Greece investigated this question from different perspectives. In an attempt to explore more systematically the nature and the contribution of different modes of representation (i.e., pictures, number line, verbal and symbolic representations) on mathematics learning, Gagatsis and Elia (2005a) carried out a review of a number of these studies, which examined the effects of various representations on the understanding of mathematical concepts and mathematical problem solving in primary and secondary education. Many of these studies identified the difficulties that arise in the conversion from one mode of representation of a mathematical concept to another. They also revealed students inconsistencies when dealing with relative tasks that differ in a certain feature, i.e. mode of representation. This incoherent behaviour was addressed as one of the basic features of the phenomenon of compartmentalization, which may affect mathematics learning in a negative way. The research of Gagatsis, Shiakalli and Panaoura (2003) examined the role of the number line in second grade Cypriot

students performance in executing simple addition and subtraction operations with natural numbers. By employing implicative statistical analysis (Gras, 1996), they detected a complete compartmentalization between the students ability to carry out addition and subtraction tasks in the symbolic form of representation and their ability to perform the same tasks by using the number line. A replication of the study by Gagatsis, Kyriakides and Panaoura (2004) with students of the same age in Cyprus, Greece and Italy, and this time using a different statistical method, namely structural equation modelling, resulted in congruent findings. This uncovers the strength of the phenomenon of compartmentalization despite differences in curricula, teaching methods, mathematics textbooks and even culture. Michaelidou, Gagatsis and Pitta-Pantazi (2004) have examined 12-year-old students understanding of the concept of decimal numbers based on the threefold model of the understanding of an idea, proposed by Lesh et al. (1987). To carry out the study, three tests on decimal numbers were developed. These tests aimed at investigating students abilities to recognize and represent decimal numbers with a variety of different representations and their ability to transfer decimal numbers from the symbolic form to the number line and vice versa. The application of the implicative statistical method demonstrated a compartmentalization of students abilities in the different tasks and this signifies that there was a lack of coordination between recognition, manipulation within a representation and conversion among different representations of decimal numbers. This finding means that some students who can recognize decimal numbers in different representations cannot use the representations to represent the decimal numbers by

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

201

themselves and, what is more important, fail to transfer from one representation of decimal numbers to another. In other words, students have not developed a unified cognitive structure concerning the concept of decimals since their ideas seemed to be partial and isolated. Given the three aspects of the understanding of mathematical concepts related to representations, namely, recognition, flexible use and conversion, it can be suggested that in this study students did not understand the concept of decimal numbers. Finally, Marcou and Gagatsis (2003) examined 12-year-old students understanding of the concept of fractions and more specifically the equivalence and the addition of fractions. The researchers designed three types of tests on fractions, which involved conversions among the symbolic expressions, verbal expressions and the diagrammatic representations of fractions (area of rectangles). Students responses to the tasks were compartmentalized with respect to the starting representation of the conversions, as indicated by the implicative analysis of the data. In line with the afore mentioned studies results, this finding means that students had a fragmentary understanding of fractions. In the present paper, four recent studies are combined and discussed to explore secondary school and university students abilities to use multiple modes of representation for one of the most important unifying ideas in mathematics (Romberg, Carpenter, & Fennema, 1993; Mousoulides & Gagatsis, 2004), namely functions, and to flexibly move from one representation of the concept to another. The main concern of this paper is twofold; first to identify and further clarify the appearance of the phenomenon of

compartmentalization in students thinking about the particular concept and second to examine possible ways for succeeding at de-compartmentalization in registers of representations and problem solving processes in functions.

3. REPRESENTATIONS AND THE CONCEPT OF FUNCTION The concept of function is central to mathematics and its applications. It emerges from the general inclination of humans to connect two quantities, which is as ancient as mathematics itself. The didactical metaphor of this concept seems difficult, since it involves three different aspects: the epistemological dimension as expressed in the historical texts; the mathematics teachers views and beliefs about function; and the didactical dimension which concerns students knowledge and the restrictions imposed by the educational system (Evangelidou, Spyrou, Elia, & Gagatsis, 2004). On this basis, it seems natural for students of secondary or even tertiary education, in any country, to have difficulties in conceptualizing the notion of function. The complexity of the didactical metaphor and the understanding of the concept of function have been a main concern of mathematics educators and a major focus of attention for the mathematics education research community (Dubinsky & Harel, 1992; Sierpinska, 1992). An additional factor that influences the learning of functions is the diversity of representations related to this concept (Hitt, 1998). An important educational objective in mathematics is for pupils to identify and use efficiently various forms of representation for the same mathematical concept and to move flexibly from one system of representation of the concept to another. The influence of different representations on the understanding and interpretation of functions has been examined

202 Relime

by a substantial number of research studies (Hitt, 1998; Markovits, Eylon, & Bruckheimer, 1986). Several researchers (Evangelidou et al., 2004; Gagatsis, Elia & Mougi, 2002; Gagatsis & Shiakalli 2004; Mousoulides & Gagatsis, 2004; Sfard 1992; Sierpinska 1992) indicated the significant role of different representations of function and the conversion from one representation to another on the understanding of the concept itself. Thus, the standard representational forms of the concept of function are not enough for students to be able to construct the whole meaning and grasp the whole range of its applications. Mathematics instructors, at the secondary level, have traditionally focused their instruction on the use of algebraic representations of functions. Eisenberg and Dreyfus (1991) pointed out that the way knowledge is constructed in schools mostly favours the analytic elaboration of the notion to the detriment of approaching function from the graphical point of view. Kaldrimidou and Iconomou (1998) showed that teachers and students pay much more attention to algebraic symbols and problems than to pictures and graphs. A reason for this is that, in many cases, the iconic (visual) representations cause cognitive difficulties because the perceptual analysis and synthesis of mathematical information presented implicitly in a diagram often make greater demands on a student than any other aspect of a problem (Aspinwall, Shaw, & Presmeg, 1997). In addition, most of the aforementioned studies have shown that students tend to have difficulties in transferring information gained in one context to another (Gagatsis & Shiakalli, 2004). Sfard (1992) showed that students were unable to bridge the algebraic and graphical representations of functions, while Markovits et al. (1986) observed that

the translation from graphical to algebraic form was more difficult than the reverse. Sierpinska (1992) maintains that students have difficulties in making the connection between different representations of functions, in interpreting graphs and manipulating symbols related to functions. A possible reason for this kind of behaviour is that most instructional practices limit the representation of functions to the translation of the algebraic form of a function to its graphic form. Lack of competence in coordinating multiple representations of the same concept can be seen as an indication of the existence of compartmentalization, which may result in inconsistencies and delays in mathematics learning at school. This particular phenomenon reveals a cognitive difficulty that arises from the need to accomplish flexible and competent translation back and forth between different modes of mathematical representations (Duval, 2002). Making use of a more general meaning of compartmentalization which does not refer necessarily to representations, Vinner and Dreyfus (1989) suggested that compartmentalization arises when an individual has two divergent, potentially contradictory schemes in her cognitive structure and pointed out that inconsistent behaviour is an indication of this phenomenon. The first objective of this study is to identify the phenomenon of compartmentalization in secondary school students and university students strategies for dealing with various tasks using functions on the basis of the findings of four recent research studies (Elia, Gagatsis & Gras, 2005; Gagatsis & Elia, 2005b; Mousoulides & Gagatsis, 2006; Mousoulides & Gagatsis, 2004). Although these studies explored the students ability to handle different modes of the representation of function and move flexibly

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

203

from one representation to another, there is a fundamental difference between the mathematical activities they proposed. The study of Elia et al., (2005) investigated students understanding of function based on their performance in mathematical activities that integrated both types of the transformation of representations proposed by Duval (2002), i.e. treatment and conversion. The study of Mousoulides and Gagatsis (2004) investigated students performance in mathematical activities that principally involved the second type of transformations, that is, the conversion between systems of representation of the same function, and concentrated on students approaches to the use of representations of functions and the connection with students problem solving processes. The studies of Gagatsis et al., (2004) and Mousoulides and Gagatsis (2006) introduced two approaches that might succeed at de-compartmentalization, namely a differentiated instruction and the use of a computerized environment for solving problems in functions. Thus, what is new in this review is that students understanding of function is explored from two distinct perspectives (which will be further clarified in the next section), but nevertheless based on the same rationale, that is, Duvals semiotic theory of representations. The second objective of the review is to discuss strategies for overcoming compartmentalization in functions.

we theorize that the implicative relations between students responses in the administered tasks, uncovered by Grass implicative statistical method (Gras, 1996), as well as their connections (Lerman, 1981) can be beneficial for identifying the appearance of compartmentalization in students behaviour. To analyze the collected data of both studies, a computer software called C.H.I.C. (Classification Hirarchique Implicative et Cohsitive) (Bodin, Coutourier, & Gras, 2000) was used. We assume that the phenomenon of compartmentalization in the understanding of function as indicated by students performance in tasks integrating treatment and conversion (Gagatsis & Elia, 2005b) appears when at least one of the following conditions emerges: first, when students deal inconsistently or incoherently with tasks involving the different types of representation (i.e., graphic, symbolic, verbal) of functions or conversions from one mode of representation to another; and/or second, when success in using one mode of representation or one type of conversion of function does not entail success in using another mode of representation or in another type of conversion of the same concept. As regards students ways of approaching tasks requiring only conversions among representations of the same function (Mousoulides & Gagatsis, 2004), our conjecture is that compartmentalization appears when students deal with all of the tasks using the same approach, even though a different approach is more suitable for some of them. 4.1. Secondary school students abilities in the transformation of representations of function (Study 1) Recent studies (Gagatsis & Elia, 2005b; Elia et al., 2005) investigated secondary school students ability to transfer

4. CAN WE TRACE THE PHENOMENON OF COMPARTMENTALIZATION BY USING THE IMPLICATIVE STATISTICAL METHOD OF ANALYSIS? Previous empirical studies have not clarified compartmentalization in a comprehensive or systematic way. Thus,

204 Relime

mathematical relations from one representation to another. In particular, the sample of the study consisted of 183 ninth grade students (14 years of age). Two tests, namely A and B, were developed and administered to the participants. The tasks of both tests involved conversions of the same algebraic relations, but with different starting modes of representation. Test A consisted of six tasks in which students were given the graphic representation of an algebraic relation and were asked to translate it to its verbal and symbolic forms respectively. Test B consisted of six tasks (involving the same algebraic relations as test A) in which

students were asked to translate each relation from its verbal representation to its graphical and symbolic mode. For each type of translation , the following types of algebraic relations were examined: y < 0, xy > 0, y > x , y = x, y = 3 / 2, y = x 2 based on a relevant study by Duval (1993). The former three tasks corresponded to regions of points, while the latter three tasks corresponded to functions. Each test included an example of an algebraic relation in graphic, verbal and symbolic forms to facilitate students understanding of what they were asked to do, as follows:

Table 1: An example of the tasks included in the test

Graphic representation y Verbal representation Symbolic representation

It represents the region of the points having positive abscissa.

x>0

It is apparent that the tasks involved conversions, which were employed either as complex coding activities or as point-to-point translations and were designed to correspond to school mathematics. However, a general use of the processes of treatment and conversion was required for the solution of these tasks. For instance, the conversion of the function y = x 2 from the algebraic expression to the graphical one could be accomplished by carrying out various kinds of treatment, such as calculations in the same notation system. It is evident that in this kind of task the process of treatment cannot be easily distinguished from the process of conversion. According to this perspective, these tasks differ from the tasks proposed by Duval (1993). The results of the study revealed that students achieved better outcomes in the conversions starting with verbal representations relative to the conversions of the

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

205

corresponding relations starting with graphic representations. In addition, all of the conversions from the graphic form of representation to the symbolic form of representation appeared to be more difficult than the conversions of the corresponding relations from the graphic form of representation to the verbal form of representation. Students perceived the latter type of conversion more easily at a level of meta-mathematical expression rather than at a level of mathematical
v 1 1 a v 1 2 a v 2 2 a v 5 1 a v 5 2 a v 3 1 a v 6 1 a v 4 1 a v 3 2 a v 4 2 a v 6 2 a v 2 1 a

expression. In fact, students were asked to describe verbally (in a text) a property perceived by the graph. On the contrary, the conversions from the graphical form to the symbolic form entailed mastering algebraic concepts concerning equality or order relations as well as using the algebraic symbolism efficiently. Figure 1 presents the similarity diagram of the tasks of Test A and Test B based on the responses of the students.
v 1 1 b v 1 2 b v 2 2 b v 2 1 b v 3 1 b v 4 1 b v 5 1 b v 6 1 b v 4 2 b v 5 2 b v 6 2 b v 3 2 b

Responses in Test A

Responses in Te st B

Figure 1: Similarity diagram of the tasks of Test A and Test B according to Grade 9 students responses

Note: The symbolism used for the variables of this diagram (and the diagram that follows) is explained below. 1. a stands for Test A, and b stands for Test B 2. The first number after v stands for the number of the task in the test i.e., 1: y < 0, 2: xy > 0, 3: y > x, 4: y = x , 5: y = 3 / 2, 6: y = x 2 3. The second number stands for the type of conversion in each test, i.e., for Test A, 1: graphic to verbal representation, 2: graphic to symbolic representation; for Test B, 1: verbal to graphic representation, 2: verbal to symbolic representation.

206 Relime

The similarity diagram allows for the grouping of students responses to the tasks based on their homogeneity. Two distinct similarity groups of tasks are identified. The first group involves similarity relations among the tasks of Test A, while the second group involves similarity relations among the tasks of Test B. This finding reveals that different types of conversions among representations of the same mathematical content were approached in a completely distinct way. The starting representation of a conversion, i.e., graphic or verbal representation, seems to have influenced the students performance, even though the tasks involved the same algebraic relations. Thus, we observe a complete separation of students responses to the two tests even in tasks that were similar and rather easy for this grade of students. The similarity relations within the group of variables of the tests are also of great interest since they provide some indications of the students way of understanding the particular algebraic relations and further support the likelihood that the phenomenon of compartmentalization was present. For example, the similarity group of Test B is comprised of three subgroups. The first subgroup contains students responses to the tasks v11b and v12b (y<0) and the tasks v21b and v22b (xy>0), that is, the two conversions from verbal to graphic representation and from verbal to symbolic representation of the first two tasks of Test B. These two tasks involve relations that represent regions of points and they are the easiest tasks of the test. The second subgroup is formed by the variables v31b (y>x), v41b(y=-x), v51b (y=3/2) and v61b

( y = x-2) that is the conversion from verbal to graphic representation of four relations of functional character, as the relation of task 3 corresponds to a region of points related to the function y=x , while the relations of tasks 4, 5 and 6 are functions. The third subgroup is comprised by the variables v42b (y=-x), v52b (y=3/2) and v62b (y=x-2), that is, the conversion from verbal to algebraic representation of the tasks that involve functions. To sum up, the formation of the first subgroup separately from the other two is of a conceptual nature, since it is due to the conceptual characteristics of the relations involved, whereas, the distinction between the third subgroup and the forth subgroup is of a representational character, since it is a consequence of the target of the conversion. To summarize, one can observe two kinds of compartmentalization in the similarity diagram: one first order compartmentalization (between the tasks of the two tests) and one second order compartmentalization (between the tasks of the same test). The implicative diagram in Figure 2 was derived from the implicative analysis of the data and contains implicative relations, indicating whether success at a specific task implies success at another task related to the former one. The implicative relations are in line with the connections in the similarity diagram and the above remarks. In particular, one can observe the formation of two groups of implicative relations. The first group involves implicative relations among the responses to the tasks of Test B and the second group involves implicative relations among the responses to the tasks of Test A.

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

207

Responses in Test B

Responses in Test A

Figure 2: Implicative diagram of 14-year-old students responses to the tasks of Test A and Test B

The fact that implicative relations appear only between students responses to the tasks of the same test indicates that success at one type of conversion of an algebraic relation did not necessarily imply success at another type of conversion of the same relation. For example, students who accomplished the conversion from a graphical representation of a mathematical relation to its verbal representation were not automatically in a position to translate the same relation from its verbal representation to its graphical form successfully. This is the first order compartmentalization that appears between students responses to the tasks of the two tests. Additionally, evidence is provided for the appearance of the second order compartmentalization, that is, between students responses to the tasks of the same test. The implicative chain v61a-v31a-v41a of Test A and the implicative chain v61b-v51b-v11b of Test

B can be taken as examples of the second order compartmentalization, probably due to the same target representations of the conversions. Other useful information can also be obtained by this implicative diagram. For example the simplest tasks in both tests are the tasks which involve the relation y<0 (v11), corresponding to a region of points. The students failure in the tasks involving the particular relation (v11a or v11b) also implies failure at most of the other tasks in both tests. This inference is tenable as the implicative diagram was constructed by using the concept of entropy. This means that for every implication where a implies b the counter-inverse no a implies no b is also valid. Overall, based on the relations included in the similarity and the implicative diagrams for secondary school students, it can be

208 Relime

inferred that there was a compartmentalization between students responses to the tasks of the first test and the tasks of the second test, which involved conversions of the same algebraic relations but different starting modes of representation (i.e., graphic and verbal respectively). Students higher success rates at the tasks of Test B, i.e., conversions starting with graphic representations, relative to the tasks of Test A, i.e., conversions starting with verbal representations, provide further evidence for their inconsistent behaviour in the two types conversions. Another kind of compartmentalization was also uncovered within the same test, indicating students distinct ways of carrying out conversion tasks with reference to their conceptual (kind of mathematical relation) or representational (target of the conversion) discrepancies. 4.2. Student teachers approaches to the conversion of functions from the algebraic to the graphical representation (Study 2) In this section, we present some elements from a study of Mousoulides and Gagatsis (2004) that used a different approach to explore the idea of the conversion between representations and the phenomenon of compartmentalization. The researchers investigated student teachers approaches to solving tasks of functions and the connection of these approaches with complex geometric problem solving. The theoretical perspective used in their study is related to a dimension of the framework developed by Moschkovich, Schoenfeld and Arcavi (1993). According to this dimension, there are two fundamentally different perspectives from which a function is viewed, i.e., the process perspective and the object perspective. From the process perspective, a function is perceived of as

linking x and y values: For each value of x, the function has a corresponding y value. Students who view functions under this perspective can substitute a value for x into an equation and calculate the resulting value for y or find pairs of values for x and y to draw a graph. In contrast, from the object perspective, a function or relation and any of its representations are thought of as entities - for example, algebraically as members of parameterized classes, or in the plane, as graphs that are thought of as being picked up whole and rotated or translated (Moschkovich et al., 1993). Students who view functions under this perspective can recognize that equations of lines of the form y = 3x + b are parallel or can draw these lines without calculations if they have already drawn one line or they can fill a table of values for two functions (e.g., f(x) = 2x, g(x) = 2x + 2) using the relationship between them (e.g. g(x) = f(x) + 2) (Knuth, 2000). Mousoulides and Gagatsis (2004) have adopted the terms algebraic approach and geometric approach in order to emphasize the use of the algebraic expression or the graphical representations by the students in the conversion tasks and in problem solving. The algebraic approach is relatively more effective in making salient the nature of the function as a process, while the geometric approach is relatively more effective in making salient the nature of function as an object (Yerushalmy & Schwartz, 1993). Data were obtained from 95 sophomore pre-service teachers enrolled in a basic algebra course at the University of Cyprus. A questionnaire, which consisted of four tasks and two problems, was administered at the beginning of the course. Each task involved two linear or quadratic functions. Both functions were in algebraic form and one of them was also in graphical

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

209

representation. Functions in each task were related in a way such as f(x), g(x)=f(x) + c, or h(x)= -f(x), etc. The four particular tasks were as follows: 1. y=2x and y= -2x (T1) 2. y= x2 and y= x2+3 (T2) 3. y=x2 +3x-2 and y= x2 - 3x - 2(T3) 4. y=x2 +x and y=x2+2x +1(T4) Students were asked to sketch the graph of the second function. An example of the form in which the four tasks were proposed is as follows:

The following diagram presents a graph of the function y=x2 +x. Sketch the graph of the function y=x2+2x +1.

Figure 3: The graph of the function y=x2+x (Task 4)

It is obvious that obtaining the correct solution of the tasks did not necessarily require carrying out a treatment in the same system of representation. What was required was the conversion of the algebraic representation of a function to the graphical one, on the basis of its relation with the corresponding representations of a given function. Additionally, students were asked to solve two problems. One of the problems

consisted of textual information about a tank containing an initial amount of petrol and a tank car filling the tank with petrol. Students were asked to use the information to draw the graphs of the two linear functions, i.e. the graph of the amount of petrol in the tank with respect to time and the graph of the amount of petrol in the tank car with respect to time and to find the time at which the amounts of petrol in the tank and in the car would be equal. The other problem involved a function in a general

210 Relime

form f(x) = ax2+bx +c. Numbers a, b and c were real numbers and the f(x) was equal to 4 when x=2 and f(x) was equal to -6 when x=7. Students were asked to find how many real solutions the equation ax2+bx +c had and explain their answer. In light of the above, this study differs from the previous one in the following two basic characteristics:

students who chose the algebraic approach applied it even in situations in which a geometric approach seemed easier and more efficient than the algebraic. Furthermore, in the second problem, most of the students (88.4%) failed to recognize or suggest a graphical solution as an option at all, even though the problem could not be solved algebraically. For the similarity diagram and the implicative analysis of the data, students answers to the tasks were codified as follow: (a) A was used to represent algebraic approach function as a process to tasks and problems; (b) G stands for students who adopted a geometric approach function as an entity. The similarity diagram of students responses to the tasks in Figure 4 involved two distinct clusters with reference to students approaches. The first cluster represents the use of the algebraic approach (process perspective), while the second cluster refers to the use of the geometric approach (object perspective) and solving geometric problems. It is thus demonstrated that students who used the geometric approach in one task were likely to employ the same approach in all the other tasks. Similarly, students who used the algebraic approach employed it consistently in the tasks of the test. It can also be observed that the second cluster includes the variables corresponding to the solution of the complex geometric problems along with the variables representing the geometric approach. This means that students who effectively used the geometric approach for simple tasks on functions also succeeded in solving complex geometric problems on function. In line with the similarity diagram, success rates indicated that students who were able to use a geometric approach achieved better outcomes in solving complex function problems, probably because they were able

First the proposed conversions can be carried out geometrically by paying attention to the graphical representation of a given function in order to construct the representation of a second function or algebraically. Second, the study attempts to investigate how students approaches to the conversions between different registers of functions are associated with their processes in problem solving on functions.

The results of this study indicated that the majority of students responded correctly in the first two tasks (T1: 73.2% and T2: 80%). Their rate of success was radically reduced in tasks involving quadratic functions involving complex transformations (T3: 41.1% and T4: 45.3%) and especially in solving complex geometric problems. More specifically, only 27.4% and 11.6% of the 95 participants provided appropriate solutions. As regards students approaches, more than 60% of the students that provided a correct solution followed a process perspective or the algebraic approach, which involved the construction of the function graph by finding pairs of values x and y. The other students used an object perspective or the geometric approach by observing and using the relation between the two functions. It is noteworthy that

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

211

to observe and use the connections and the relations in the problems flexibly. The formation of the two clusters reveals that students tended to solve tasks and problems in functions using the same

approach, even in tasks where a different approach was more suitable, providing support for the emergence of the phenomenon of compartmentalization in students processes.

A T

A T

A T

A T

G T

G P

G P

G P

A T

G T

Algebraic appro ach

Geometr ic appr oach

Figure 4: Similarity diagram of student teachers approaches to the tasks

Note: The symbolization of the variables that were used to represent students responses to the tasks are presented below. 1. Symbols T1A, T2A, T3A and T4A represent a correct algebraic approach to the tasks and P1A to the first problem (second problem could not be solved algebraically) 2. Symbols T1G, T2G, T3G and T4G represent a correct geometric approach to the tasks and P1G and P2G, correct graphical solutions to the two problems
The hierarchical tree in Figure 5 involves the implicative relationships between the variables. Three groups of implicative relationships can be identified. The first group and the third group of implicative relationships include variables concerning the use of the geometric approach object perspective and variables concerning the solution of the geometric problems. The second group involves links among variables standing for the use of the algebraic solution-process perspective. These relations are in line with the

212 Relime

findings derived from the similarity diagram. The establishment of these groups of links provides support once again for the consistency that characterizes students provided solutions towards the function tasks and problems. Furthermore, the implicative relationships of the third group indicate that students who solved the second problem by applying the correct graphical solution have followed the object

perspective graphical representation for the other problem and the other two simple tasks. A possible explanation is that students who have a solid and coherent understanding of functions can recognize relations in complex geometric problems and thus can flexibly connect pairs of equations with their graphs and then easily apply the geometric approach in solving simple tasks on functions.

1st group

2nd group

3rd group

Figure 5: Hierarchical tree illustrating implicative relations among student teachers approaches to the tasks

Note: The implicative relationships in bold colour are significant at a level of 99%

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

213

5. CAN WE SUCCEED AT DECOMPARTMENTALIZATION? Since an important aspect of this paper is to examine whether the registers of representations and the problem solving cognitive processes in functions are compartmentalized in students thinking, we will present data from two current investigations. These studies (study 3 and study 4) are related to the previously presented studies, with their objective being to replicate previous results and support further findings for accomplishing de-compartmentalization in functions. 5.1. First effort to succeed at decompartmentalization (Study 3) In an attempt to accomplish decompartmentalization, an experimental study was designed by Gagatsis, Spyrou, Evangelidou and Elia (2004). The researchers developed two experimental programs for teaching functions to university students based on two different perspectives, which are presented below. Two similar tests were administered preand post- the intervention in order to investigate students understanding of functions and to compare the effectiveness of each experimental design. One hundred fifty-seven university students participated in this study. The participants were second year students of the Department of Education (prospective teachers) who attended the course Contemporary Mathematics at the University of Cyprus. The students were randomly assigned to two groups which were taught by two different professors. Experimental Group 2 was comprised of 68 students and Experimental Group 2 was comprised of 81 students. The students in both groups differed in the level and length

of the mathematics courses that they had attended in school. Nevertheless, all of the students who participated in this study had received a similar curriculum on functions during the last three grades of high school. The study was carried out in three stages. In the first stage, a pre-test was administered to both groups of students in order to investigate their initial understanding of the construct of function before the instruction. In the second stage, the two groups received instructional sessions spread over a period of the same duration for both groups. To compare the two groups, in the third stage, a post-test similar to the pre-test was used to assess students understanding of functions. The two experimental programs, conducted by two different university professors (Professors A and B), approached the teaching of the notion of function from two different perspectives. Experimental Program 1 started by providing a revision of some of the functions that were already known to the students from school mathematics, physics and economics. Professor A reminded students about the difference between an equation and a function, which typically appear in a similar symbolic form. Different types of functions were presented next, starting from the simple ones and proceeding to the more complicated ones. At first, the program introduced different kinds of linear functions and described the various representations of functions in the form: y=ax+b. Functions with a disconnected domain were also presented. Discrete functions described by discrete types of range and the characteristic function of a set were also presented. Arrow diagrams were also introduced in order to demonstrate to the students a way to examine the ideas of oneto-one and many-to-one types of

214 Relime

correspondence as a condition for the definition to be held. Next, the quadratic polynomial function of the form ax2+bx+c was taught. Special attention was given to the main features of the graph of the polynomial function (e.g., maximum and minimum points, possible roots, symmetry axis, possible qualitative manipulation of functions in the form ax2). Various special cases and the general form of the rational c function y = were also examined. x Trigonometric functions and their composition were studied next. The basic features and properties of the exponential functions were also discussed as well as the ill-defined functions of Weierstrass or Dirichlet without any reference to the geometrical representation. Reference was made to the inverse functions and to which functions can be inversed. The program ended by giving the set-theoretical definition of a function. The definition was then applied in order to identify whether each of the aforementioned types of relations as well as others, such as the formula of the circle, were functions or not. Experimental Program 2 encouraged the interplay between the different modes of the representation of function in a systematic way. The instruction that was developed by Professor B on functions was based on two dimensions. The first dimension involved the intuitive approach and the definition of function. The second dimension emphasized the different representations of function. The instruction began with issues that are related to sets, the elements of a set and the operations of sets. The coordinate pairs and the Cartesian product were also discussed. The concept of correspondence was introduced, and equivalence and arrangement relations were defined. Then the activities for the study of the concept of function were based on the different relations between two sets,

namely A and B, and examples of arrow diagrams, coordinate pairs and graphs were presented. The second dimension of the instruction concerned representations. It included the following elements: theoretical models and interesting empirical studies on the connection of representations with mathematics learning, theories on the use of semiotic representations in the teaching of mathematics and the pedagogical implications as well as the concept of function. Then the solution of tasks in graphical and algebraic representations and examples of conversion of functions from one representation to another were presented. In the light of the above, an essential epistemological difference can be identified between the two experimental programs. Experimental Program 1 involved instruction of a classic nature, widely used at the university level. In contrast, Experimental Program 2 was based on a continuous interplay between different representations of various functions. The pre- and the post-tests involved conversion tasks that were similar to the tasks of the test used in the study 1 described above (Gagatsis & Elia, 2005b). In addition, another two questions asked what a function is and requested two examples of functions from their application in real life situations. The tests also included tasks asking students to identify, by applying the definition of the concept, whether mathematical relations in different modes of representation (verbal expressions, graphs, arrow diagrams and algebraic expressions) were presenting functions. Comparing the success percentages of the students before and after instruction

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

215

indicated great improvement with regards to the definition of function. In particular, while only 19% of the students gave an approximately correct definition (i.e. (i) accurate set-theoretical definition, (ii) correct reference to the relation between variables but without the definition of the domain and range, (iii) definition of a special kind of function, e.g. real, bijective, injective or continuous function) before the instruction, 69% of the students gave the corresponding definition after instruction. Students success rates after instruction were also radically improved in most of the recognition and conversion tasks of the tests. For instance, the graph of the straight line y=4/3 was recognized as a function only by 26% of the students before instruction, while the graph of the line y=- 3 was identified as a function by 82% of the students after instruction. Analysis of the data gave four similarity diagrams. Two of the similarity diagrams involved the answers of the two experimental groups of students separately to the tasks of the test before instruction. The other two similarity diagrams included the answers of the two experimental groups of students separately, after instruction. Within the former two similarity diagrams distinct groups or subgroups of variables of students responses in recognition tasks involving the same mode of representation of functions, i.e., in verbal form, in graphical form, in an algebraic form, in an arrow diagram, were formed separately. The particular finding revealed the consistency with which students dealt with tasks in the same representational format, but with different mathematical relations. However, lack of direct connections between variables of similar content, but different representational format, indicated that students were able to identify a function in a particular mode of representation (e.g., algebraic form), but not necessarily in

another mode of representation (e.g., graphical). This inconsistent behaviour among different modes of representation was an indication of the existence of compartmentalization. This phenomenon also appeared in the similarity diagram referring to the students of Experimental Group 1, especially in the cases of the graphical representations and arrow diagrams. The compartmentalization was limited to a great extent, though, in the similarity diagram involving the responses of students of Experimental Group 2. Similarity connections were formed between students performance in recognizing functions in different forms of representation, indicating that students dealt similarly with tasks irrespective of their mode of representation. In other words, success was independent from the mode of representation of the mathematical relation. This finding revealed that Experimental Program 2 was successful in developing students abilities to flexibly use various modes of representations of functions and thus accomplished the breach of compartmentalization, i.e. decompartmentalization, in their behaviour. The research in this direction, described briefly above, is still in progress. 5.2. Second effort to succeed at decompartmentalization (Study 4) Mousoulides and Gagatsis (2006) conducted a study exploring the effectiveness of computer based activities in decompartmentalized registers of representations and problem solving processes in functions. A considerable number of research studies have examined the effects of technology usage on many aspects of students mathematical achievement and attitudes, their understanding of mathematical concepts, and the instructional approaches in teaching mathematics. Despite this, only a limited number of researchers focused on the effects

216 Relime

of using appropriately different modes of representations and making the necessary connections between them by using technological tools (Mousoulides & Gagatsis, 2006). The investigation presented here follows the investigation presented in Section 4.2. Researchers in the aforementioned study examined whether students work with the aid of a mathematical software package could assist students in adopting and implementing effectively the geometric approach to solving problems in functions and therefore promote the de-compartmentalization of registers of representations in students thinking. The participants were ninety sophomore students in the Department of Education. Students were attending an undergraduate course on introductory calculus. Of these, 18% were males and 82% were females. The study was conducted in three phases. In the first phase, a questionnaire similar to the one that was developed in the second study, reported here, was administered at the beginning of the course. The second phase of the study was conducted over the course of the subsequent two weeks. During this period, forty of the 90 students were randomly selected to participate in four two-hour

sessions. During these sessions students, working individually or in pairs, were asked to solve problems in functions using Autograph and to present and discuss their results in discussions with the whole class. Autograph (www.autograph-math.com), a visually compelling mathematical software, was used for the purposes of the study. Autograph and other similar software packages have various features which can facilitate a constructive approach to learning mathematics (Mousoulides, Philippou & Hoyles, 2005). Autograph allows the user to grab and move graphs, lines and points on the screen whilst observing changes in parameters, and vice versa. Additionally, with its multiple representation capabilities, it allows the user to switch easily between numeric, symbolic and visual representations of information. A sample problem that was discussed during the second phase is presented below:

The following is the graph of the function f(x) = ax2+bx+c. Suggest possible values for a,b,c and explain your answers. Pose a related problem for the other students of your class that could be solved using your worksheet in Autograph.

Figure 6: The graph of the function f (x) = ax2+bx+c presented in one problem

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

217

A second test, involving a second set of four tasks and two problems in functions was administered ten days after the completion of the second phase. All items in the second test were similar to the ones of the first test administered in the first phase. Similar to the study presented in Section 4.2, researchers proposed that conversions could be carried out geometrically by focusing their attention and efforts on the relation of the symbolic representations of the two functions in order to construct the second graph or, algebraically, by selecting pairs of points to construct the new graph by ignoring its relation to the other one. Additionally, the study attempted to investigate how students approaches in the conversions between different registers of functions were associated with their processes in problem solving. The main focus of Mousoulides and Gagatsis (2006) investigation was to examine whether student work on problems on functions with the aid of the appropriate mathematical software could result in the decompartmentalization of the different registers of representations and their use in problem solving in functions. The results of the study duplicate earlier findings (Mousoulides & Gagatsis, 2004), indicating that most of the students can correctly answer tasks on graphing linear (with success percentages being higher than 80%) and quadratic functions (with success percentages being higher than 65%). At the same time, their successful performance in solving related problems was limited to less than 25%. An important finding related to students approaches showed that, in all tasks, more students preferred using the algebraic than the geometric approach. It is noteworthy that students who chose the algebraic approach applied it even in situations in which a geometric approach seemed easier and

more efficient than the algebraic. Of interest is the second problem, for which the great majority of students failed to recognize or suggest a graphical solution as an option at all, even though the problem could not be solved algebraically. Analysis of the data from the second test showed that both groups of students improved their percentages in solving both simple tasks and problems in functions. Of interest, is the finding that students who participated in the intervention phase (Group 1) outperformed their counterparts (Group 2) in all tasks and problems. In detail, Group 1 students percentages were higher than those of Group 2 students with percentage differences varying from 4 % to 12 % in solving tasks and from 10% to 12% in problems. Furthermore, Group 1 students significantly improved their selection of geometric approach in solving tasks and problems in functions, indicating that the exploration and discovery of open ended problems in the environment of mathematical software like Autograph might have an influence on students selection and use of the geometric approach in functions. The findings from the two similarity diagrams were also quite impressive. One of the similarity diagrams involved Group 2 student responses, while the second one presented the results from Group 1 students. The similarity diagram for Group 2 students involved two distinct clusters with reference to students approach. In keeping with previous findings, students who used the algebraic approach employed it consistently in the tasks and problems of the test, even in cases where the use of the geometric approach was more suitable. The similarity diagram for Group 1 students showed that their responses again formed two clusters, but these clusters were not compartmentalized into algebraic and geometric approaches. Indeed, one of the

218 Relime

clusters showed that students were flexible in selecting the most appropriate approach for solving tasks on functions. Additionally, students were eager to switch their approach in solving a problem, especially in a problem which could not be solved using an algebraic approach. This was not the case for students in Group 2.

6. DISCUSSION 6.1. Identifying the phenomenon of compartmentalization and seeking ways to breach it A main concern of the present paper was to investigate students understanding of the concept of function via two perspectives. The first point of view concentrates on students ability to handle different modes of the representation of function in tasks involving treatment and conversion and the second perspective refers to students approaches in conversion tasks and complex function problems. Furthermore, this paper entailed some considerations with regards to the difficulties confronted by the students when dealing with different modes of mathematical representations and more specifically the phenomenon of compartmentalization. Another aim of this paper was to present two on-going investigations which attempted to design and implement different intervention programs having a common objective, i.e. to help students develop flexibility in working with various representations of function and thus accomplish de-compartmentalization of the different registers of representations in students thinking. The first study reported in this paper examined student performance in the conversions of algebraic relations (including functions) from one mode of representation to another. It was revealed that success in one type of conversion of an algebraic relation

did not necessarily imply success in another type of conversion of the same relation. Lack of implications or connections among different types of conversion (i.e., with different starting representations or even with different target representations) of the same mathematical content indicated the difficulty in handling two or more representations in mathematical tasks. This incompetence provided a strong case for the existence of the phenomenon of compartmentalization among different registers of representation in students thinking, even in tasks involving the same relations or functions. The differences among students scores in the various conversions from one representation to another, referring to the same algebraic relation or function provided support for the different cognitive demands and distinctive characteristics of different modes of representation. This inconsistent behaviour was also seen as an indication of students conception that different representations of the same concept are completely distinct and autonomous mathematical objects and not just different ways of expressing the meaning of a particular notion. Inconsistencies were also observed in students responses with reference to the different conceptual features of the mathematical relations involved in the conversions, i.e. functions or not. The most important finding of the second study was that two distinct groups were formatted with consistency, that is the algebraic and the geometric approach groups. The majority of student work with functions was restricted to the domain of the algebraic approach. This method, which is a point to point approach giving a local image of the concept of function, was followed with consistency in all of the tasks carried out by the students. Many students have not mastered even the fundamentals of the geometric approach in the domain of functions. Most of the students understanding was limited to the use of

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

219

algebraic representations and the algebraic approach, while the use of graphical representations was fundamental in solving geometric problems. Only a few students used an object perspective and approached the function holistically, as an entity, by observing and using the association of it with the closely related function that was given. Only these students developed the ability to employ and select graphical representations, thus the geometric approach. The second studys findings are in line with the results of previous studies indicating that students cannot use the geometric approach effectively (Knuth, 2000). The fact that most of the students chose an algebraic approach (process perspective) and also demonstrated consistency in their selection of this approach, even in tasks and problems in which the geometric approach (object perspective) seemed more efficient, or the fact that they failed to suggest a graphical approach at all, is a strong indication of the phenomenon of compartmentalization in the students processes in tasks and problems on functions involving graphical and algebraic representations. Moreover, an important finding of the second study involved the relation between the graphical approach and geometric problem solving. This finding is consistent with the results of previous studies (Knuth, 2000; Moschkovich et al., 1993), indicating that the geometric approach enables students to manipulate functions as an entity, and thus students are capable of finding the connections and relations between the different representations involved in problems. The data presented in the second study suggested that students who had a coherent understanding of the concept of functions (geometric approach) could easily understand the relationship between symbolic and graphic representations in problems and thus were able to provide successful solutions.

In both studies presented above, the results of the statistical analysis of C.H.I.C. provided a strong case for the existence of the phenomenon of compartmentalization in students ways of dealing with different tasks on functions. However, the findings of each of the two studies were substantial and gave different information regarding the acquisition and mastery of the concept of function. Lack of implications and similarity connections among different types of conversion of the same mathematical content in Study 1 indicated that students were not in a position to change systems of representation of the same mathematical content of functions in a coherent way. Lack of implicative and similarity connections between the geometric approach and the algebraic perspective in students responses in Study 2 provided support for students deficiency in flexibly employing and selecting the appropriate approach, in this case the geometric one, to sketch a graph or to solve a problem on functions. It can be asserted that registers of representations remained compartmentalized in students minds and mathematical thinking was fragmentary and limited to the use of particular representations or a particular approach in both types of transformation, that is, treatment and conversion. Compartmentalization, as indicated by Duval (1993; 2002) and explained empirically in the present paper, is a general phenomenon that appears not only in the learning of functions, but also in the learning of many different concepts, as pointed out at the beginning of this paper. All these findings indicate students deficits in the coordination of different representations related to various mathematical concepts. Duval (1993; 2002) maintains that the decompartmentalization of representations is a crucial point for the understanding of mathematical concepts.

220 Relime

Identifying the phenomenon of compartmentalization among the registers of representation in students thinking on functions indicated that current instructional methods fail to help students develop a deep conceptual understanding of the particular construct. On the basis of the above findings, two current experimental efforts have been designed and carried out for the teaching of functions in order to accomplish decompartmentalization. The former research effort (Study 3) involved two experimental programs. Experimental Program 1 involved instruction of a classic nature and one widely used at the university level. On the contrary, Experimental Program 2 was based on a continuous interplay between different representations of various functions. The other study (Study 4) involved an experimental program that promoted the exploration and discovery of open ended problems in the environment of a mathematical software program that provided multiple representation capabilities and allowed the students to switch easily between numeric, symbolic and visual representations of information. Students that participated in Experimental Program 1 of Study 3 did not show a significant improvement in the conversion tasks and continued to treat the various representations of function as distinct entities, thus demonstrating a compartmentalized way of working and thinking. As regards Experimental Program 2 of Study 3 and the experimental program of Study 4, despite their distinctive features they were both successful in stimulating a positive change in students responses and in attaining the de-compartmentalization of representations in their performance. More specifically, the former experimental program succeeded in developing students abilities in the conversion from one mode of representation to another. The latter program was successful in developing students flexibility to select the most appropriate approach in solving tasks in

functions and to use the geometric approach in function problems efficiently. 6.2. Recommendations for further research Research on the identification of the phenomenon of compartmentalization in the learning of functions and other concepts should be expanded. The present paper provides support to the systematic use of appropriate statistical tools, such as the implicative statistical analysis of R. Gras (1996), to assess and analyze students understanding of functions or other mathematical concepts. A continued research focus is needed to find ways to breach the compartmentalized way of thinking in students. The research directed towards finding ways to develop students flexibility in using different registers of representations of functions and in moving from one to another, described briefly above, continues so as to provide explanations for the success of the two aforementioned experimental programs and to determine those features of the interventions that were particularly effective in accomplishing decompartmentalization. There is a need for longitudinal studies in the area of registers of representations and problem solving in functions to enhance our understanding of the effectiveness and appropriateness of intervention studies like the aforementioned one. Additional studies of a qualitative nature are also needed to uncover students difficulties in the particular domain, to expand the knowledge of how students interact with different modes of representations of functions in a conventional setting or a technological environment and how they move from a particular approach, i.e. an algebraic strategy to a more advanced one, i.e. a geometric approach in solving tasks on functions. The results of such attempts may help teachers and researchers at the

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

221

university and high school levels to place emphasis on certain dimensions of the notion of function and the pedagogical approaches

to teaching functions, so that students can be assisted in constructing a solid and deep understanding of the particular concept.

References Aspinwall, L., Shaw, K. L., & Presmeg, N. C. (1997). Uncontrollable mental imagery: Graphical connections between a function and its derivative. Educational Studies in Mathematics, 33, 301-317. Bodin, A., Coutourier, R., & Gras, R. (2000). CHIC : Classification Hirarchique Implicative et Cohsive-Version sous Windows CHIC 1.2 , Rennes : Association pour la Recherche en Didactique des Mathmatiques. Cheng, P.C.H. (2000). Unlocking conceptual learning in mathematics and science with effective representational systems. Computers and Education, 33, 109-130. DAmore B. (1998). Relational objects and different representative registers: cognitive difficulties and obstacles. Leducazione matematica, 1, 7-28. Dubinsky, E., & Harel, G. (1992). The nature of the process conception of function. In E. Dubinsky & G. Harel (Eds.), The Concept of Function. Aspects of Epistemology and Pedagogy (pp. 85-106). United States: The Mathematical Association of America. Duval, R. (1993). Registres de Reprsentation Smiotique et Fonctionnement Cognitif de la Pense. Annales de Didactique et de Sciences Cognitives, 5, 37-65. Duval, R. (2002). The cognitive analysis of problems of comprehension in the learning of mathematics. Mediterranean Journal for Research in Mathematics Education, 1(2), 116. Eisenberg, T., & Dreyfus, T. (1991). On the reluctance to visualize in mathematics. In W. Zimmermann & S. Cunningham (Eds.), Visualization in Teaching and Learning Mathematics (pp. 9-24). United States: Mathematical Association of America. Elia, I., Gagatsis, A., & Gras, R. (2005). Can we trace the phenomenon of compartmentalization by using the I.S.A.? An application for the concept of function. In R. Gras, F. Spagnolo & J. David (Eds.), Proceedings of the Third International Conference I.S.A. Implicative Statistic Analysis (pp. 175-185). Palermo, Italy: Universita degli Studi di Palermo. Evangelidou, A., Spyrou, P., Elia, I., & Gagatsis, A. (2004). University students conceptions of function. In M. Johnsen Hines & A. Berit Fuglestad (Eds.), Proceedings of the 28th Conference of the International Group for the Psychology of Mathematics Education, (Vol. 2, pp. 351-358). Bergen, Norway: Bergen University College.

222 Relime

Even, R. (1998). Factors involved in linking representations of functions. The Journal of Mathematical Behavior, 17(1), 105-121. Gagatsis, A., & Elia, I. (2005a).A review of some recent studies on the role of representation in mathematics education in Cyprus and Greece. Paper presented at CERME 4, 2005, February, Saint Feliux de Guixols, Spain. Gagatsis, A., & Elia, I. (2005b). Il concetto di funzione e le sue rappresentazioni nelleducazione secondaria. Bollettino dei Docenti di Matematica, 50, 41-54. Gagatsis, A., & Shiakalli, M. (2004). Ability to translate from one representation of the concept of function to another and mathematical problem solving. Educational Psychology, 24(5), 645-657. Gagatsis, A., Elia, I., & Mougi, A. (2002). The nature of multiple representations in developing mathematical relations. Scientia Paedagogica Experimentalis, 39(1), 9-24. Gagatsis, A., Kyriakides, L., & Panaoura, A. (2004). Assessing the cross-cultural applicability of number lines in conducting arithmetic operations using structural equation modeling : A comparative study between Cypriot, Italian and Greek primary pupils. World Studies in Education, 5(1), 85-101. Gagatsis, A., Shiakalli, M.,& Panaoura, A.(2003). La droite arithmtique comme modle gomtrique de l addition et de la soustraction des nombres entiers. Annales de didactique et de sciences cognitives, 8, 95-112. Gras, R. (1996). Limplication statistique. Collection associe Recherches en Didactique des Mathmatiques. Grenoble : La Pense Sauvage. Hitt, F. (1998). Difficulties in the articulation of different representations linked to the concept of function. The Journal of Mathematical Behavior, 17(1), 123-134. Kaldrimidou, M., & Ikonomou, A. (1998). Factors involved in the learning of mathematics: The case of graphic representations of functions. In H. Stenbring, M.G. Bartolini Bussi & A. Sierpinska (Eds.), Language and Communication in the Mathematics Classroom (pp. 271-288). Reston, Va: NCTM. Kaput, J. J. (1987). Representation systems and mathematics. In C. Janvier (Ed.), Problems of Representation in the Teaching and Learning of Mathematics (pp. 19-26). Hillsdale, NJ: Lawrence Erlbaum. Knuth, J. E. (2000). Student understanding of the Cartesian Connection: An exploratory study. Journal of Research in Mathematics Education , 31(4), 500-508. Leinhardt, G., Zaslavsky, O., & Stein, M. K. (1990). Functions, graphs, and graphing: Tasks, learning, and teaching. Review of Educational Research, 60, 164.

Are registers of representations and problem solving processes on functions compartmentalized in students thinking?

223

Lerman, I.C. (1981). Classification et Analyse Ordinale des Donnes. Paris: Dunod. Lesh, R., Post, T. & Behr, M. (1987). Representations and translations among representations in mathematics learning and problem solving. In C. Janvier (Ed.), Problems of Representation in the Teaching and Learning of Mathematics (pp. 33-40). Hillsdale, NJ: Lawrence Erlbaum. Marcou, A., & Gagatsis, A. (2003). Rappresentazioni e apprendimento matematico: applicazioni nel campo delle frazioni. La matematica e la sua didattica, 2,124-138. Markovits, Z., Eylon, B. and Bruckheimer, M. (1986). Functions today and yesterday. For the Learning of Mathematics, 6(2) 18-28. Michaelidou, N., Gagatsis, A., & Pitta-Pantazi, D. (2004). The number line as a representation of decimal numbers: A research with sixth grade students. In M. Johnsen Hines & A. Berit Fuglestad (Eds.), Proceedings of the 28th Conference of the International Group for the Psychology of Mathematics Education (Vol. 3, pp. 305-312). Bergen, Norway: Bergen University College. Moschkovich, J., Schoenfeld, A. H., & Arcavi, A. (1993). Aspects of understanding: On multiple perspectives and representations of linear relations and connections among them. In T. A. Romberg, E. Fennema, & T. P. Carpenter (Eds.), Integrating research on the graphical representation of functions (pp. 69100). Hillsdale, NJ: Lawrence Erlbaum Associates. Mousoulides, N., & Gagatsis, A. (2004). Algebraic and geometric approach in function problem solving. In M. Johnsen Hines & A. Berit Fuglestad (Eds.), Proceedings of 28th Conference of the International Group for the Psychology of Mathematics Education (Vol. 3, pp. 385-392). Bergen, Norway: PME. Mousoulides, N., Philippou, G., Hoyles, C (2005). Mathematical discovery in the context of number sequences. Paper presented at the 11th European for Research on Learning and Instruction, 2005, August. Mousoulides, N., & Gagatsis, A. (2006). The role of new technologies in improving problem-solving in functions. Pre-print, Department of Education, University of Cyprus. Romberg, T. A., Fennema, E., & Carpenter, T. P. (Eds.). (1993). Integrating research on the graphical representation of functions. Hillsdale, NJ: Erlbaum. Sfard, A. (1992). Operational origins of mathematical objects and the quandary of reification - The case of function. In E. Dubinsky & G. Harel (Eds.), The Concept of Function: Aspects of Epistemology and Pedagogy (pp. 59-84). United States: The Mathematical Association of America. Sierpinska, A. (1992). On understanding the notion of function. In E. Dubinsky & G. Harel (Eds.), The Concept of Function. Aspects of Epistemology and Pedagogy (pp. 2528). United States: The Mathematical Association of America.

224 Relime

Vinner, S., & Dreyfus, T. (1989). Images and definitions for the concept of function. Journal for Research in Mathematics Education, 20(4), 356-266. Yerushalmy, M., & Schwartz, J. L. (1993). Seizing the opportunity to make algebra mathematically and pedagogically interesting. In T. A. Romberg, E. Fennema & T. P. Carpenter (Eds.), Integrating research on the graphical representation of functions (pp. 4168). Hillsdale, NJ: Lawrence Erlbaum Associates.

Athanasios Gagatsis Departament of Education University of Cyprus Cyprus E-mail: [email protected]

Iliada Elia Departament of Education University of Cyprus Cyprus E-mail: [email protected]

Nicholas Mousoulides Departament of Education University of Cyprus Cyprus E-mail: [email protected]

Relime, Nmero Especial, pp. 225-245.

225

Learning Mathematics: Increasing the Value of Initial Mathematical Wealth

Adalira Senz-Ludlow
A sign may recall a certain concept or combination of concepts from somebodys memory, and can also prompt somebody to certain actions. In the first case we shall call a sign a symbol, in the second a signal. The (nature of the) effect of the sign depends on context and the actual mental situation of the reader. Van Dormolen, 1986, p.157.

RESUMEN Usando la teora de signos de Charles Sanders Peirce, este artculo introduce la nocin de riqueza matemtica. La primera seccin argumenta la relacin intrnseca entre las matemticas, los aprendices de matemticas, y los signos matemticos. La segunda, argumenta la relacin triangular entre interpretacin, objetivacin, y generalizacin. La tercera, argumenta cmo el discurso matemtico es un medio potente en la objetivacin semitica. La cuarta seccin argumenta cmo el discurso matemtico en el saln de clase, media el aumento del valor de la riqueza matemtica del alumno, en forma sincrnica y diacrnica, cuando l la invierte en la construccin de nuevos conceptos. La ltima seccin discute cmo maestros, con diferentes perspectivas tericas, influyen en la direccin del discurso matemtico en el saln de clase y, en consecuencia, en el crecimiento de la riqueza matemtica de sus estudiantes. PALABRAS CLAVE: Riqueza matemtica, interpretacin, relacin con signos, la trada interpretacin-objetivacin-generalizacin.

ABSTRACT Using the Peircean semiotic perspective, the paper introduces the notion of mathematical wealth. The first section argues the intrinsic relationship between mathematics, learners of mathematics, and signs. The second argues that interpretation, objectification, and generalization are concomitant semiotic processes and that they constitute a semiotic triad. The third argues that communicating mathematically is a powerful means of semiotic objectification. The fourth section presents the notion of mathematical wealth, the learners investment of that wealth, and the synchronic-diachronic growth of its value through classroom discourse. The last section discusses how teachers, with different theoretical perspectives, influence the direction of classroom discourse and the growth of the learners initial mathematical wealth.

Fecha de recepcin: Febrero de 2006/ Fecha de aceptacin: Mayo de 2006 1 Department of Mathematics and Statistics. University of North Carolina at Charlotte.

226 Relime

KEY WORDS: Mathematical Wealth, Interpretation, Relationships with Signs, The Triad Intepretation-Objectification-Generalization.

RESUMO Usando a teoria de signos de Charles Sanders Peirce, este artigo introduz a noo de riqueza matemtica. A primeira seco argumenta a relao intrnseca entre a matemtica, os aprendizes de matemticas, e os signos matemticos. A segunda, argumenta a relao triangular entre interpretao, objetivao e generalizao. A terceira, argumenta como o discurso matemtico um potente meio na objetivao semitica. A quarta seo argumenta como o discurso matemtico na sala de aula adequar o aumento do valor da riqueza matemtica do aluno, em forma sincrnica e diacrnica, quando ele inverte a construo de novos conceitos. A ltima seo discute como maestros, com diferentes perspectivas tericas, influem na direo do discurso matemtico na sala de aula e, conseqentemente, no crescimento da riqueza matemtica de sus estudantes. PALAVRAS CHAVES: Riqueza matemtica, interpretao, relao com signos, a trade interpretao-objetivao-generalizao.

RSUM En utilisant la perspective smiotique peircienne, cet article introduit la notion de richesse mathmatique. La premire section soutient quil y a une relation intrinsque entre les mathmatiques, les apprenants des mathmatiques et les signes. La deuxime section soutient que linterprtation, lobjectivation et la gnralisation sont des processus smiotiques concomitants et quils constituent une triade smiotique. La troisime section soutient que la communication mathmatique est un puissant moyen smiotique dobjectivation. La quatrime section prsente la notion de richesse mathmatique, linvestissement de cette richesse par les apprenants et la croissance synchronique et diachronique de sa valeur travers le discours de la salle de classe. La dernire section discute de la faon dont les enseignantes et enseignants, avec des perspectives thoriques diffrentes, agissent sur lorientation de la discussion dans la salle de classe et sur lenrichissement de la pense mathmatique initiale des apprenants. MOTS CLS: Richesse mathmatique, interprtation, relation avec des signes, la triade interprtation-objectivation-gnralisation.

Mathematics and its Intrisic Relationship with Signs Since ancient times, philosophers and mathematicians alike have been concerned with the definition of mathematics as a scientific endeavor and as a way of thinking. These definitions have evolved both according to the state of the field at a particular point in time and according to different philosophical

Learning Mathematics: Increasing the Value of Initial Mathematical Wealth

227

perspectives. Davis and Hersh, assert that each generation and each thoughtful mathematician within a generation formulates a definition according to his lights (1981, p. 8). To define mathematics is as difficult as to define signs. It is not easy to define either one without mentioning the other, as it is not easy to define them in a paragraph and even less in a couple of sentences. Mathematicians make use of and create mathematical signs to represent, objectify, or encode their creations. On the other hand, learners interpret mathematical signs and their relationships both to decode the conceptual objects of mathematics and to objectify (i.e., encode) their own conceptualizations. All kinds of signs and sign systems are ubiquitous in our lives but so is mathematics. Given the fascinating and ineludible dance between mathematics and signs, it is not surprising that some mathematicians become semioticians. Peirce, for example, dedicated several volumes to analyze the relationship between mathematical objects and mathematical signs (The New Elements of Mathematics, Vols. I, II, III, IV, 1976) as well as several essays to discuss the essence of mathematics (for example, the one published in Newmans World of Mathematics , 1956). Peirce defines mathematics as the science that draws necessary conclusions and its propositions as fleshless and skeletal requiring for their interpretation an extraordinary use of abstraction. He also considers that mathematical thought is successful only when it can be generalized. Generalization, he says, is a necessary condition for mathematical thinking. Rotman (2000), inspired by Peirces theory, has dedicated a book to define mathematics as a sign. At the beginning of his book, he gives an overarching

definition of mathematics to conclude that mathematics is essentially a symbolic practice. Mathematics is many things; the science of number and space; the study of pattern; an indispensable tool of technology and commerce; the methodological bedrock of the physical sciences; an endless source of recreational mind games; the ancient pursuit of absolute truth; a paradigm of logical reasoning; the most abstract of intellectual disciplines. In all of these and as a condition for their possibility, mathematics involves the creation of imaginary worlds that are intimately connected to, brought into being by, notated by, and controlled through the agency of specialized signs. One can say, therefore, that mathematics is essentially a symbolic practice resting on a vast and never-finished languagea perfectly correct but misleading description, since by common usage and etymology language is identified with speech, whereas one doesnt speak mathematics but writes it. (2000, p. ix, emphasis added). But where does this symbolic practice come from? Is mathematics, as an expression of the symbolic behavior of the human species, a part of all cultures? Davis and Hersh (1981) argue that mathematics is in books, in taped lectures, in computer memories, in printed circuits, in mathematical machines, in the arrangement of the stones at Stonehenge, etc., but first and foremost, they say, it must exist first in peoples minds . They acknowledge that there is hardly a culture, however primitive, which does not exhibit some rudimentary kind of mathematics. There seems to be a common agreement

228 Relime

among White (1956), Wilder (1973), Bishop (1988), and Radford (2006a) for whom mathematics is essentially a cultural symbolic practice that encapsulates the progressive accumulation of constructions, abstractions, generalizations, and symbolization of the human species. Progress, White contends, would have not been possible if it were not for the human ability to give ideas an overt expression through the use of different kinds of signs (or what he calls the human symbolic behavior ). He asserts that human communication, as the most important and general of all symbolic behaviors, facilitates new combinations and syntheses of ideas that are passed from one individual to another and from one generation to the next. White also stresses that mathematics like language, institutions, tools, the arts, etc. is a cultural expression in the stream of the total culture. In fact, he argues that mathematics is a synthesizing cultural process in which concepts react upon concepts and ideas mix and fuse to form new syntheses. For White, culture is the locus of mathematical reality: Mathematical truths exist in the cultural tradition in which the individual is born and so they enter his mind from the outside. But apart from cultural tradition, mathematical concepts have neither existence nor meaning, and of course, cultural tradition has no existence apart from the human species. Mathematical realities thus have an existence independent of the individual mind, but are wholly dependent upon the mind of the species . (1956, pp. 2350-2351, emphasis added) If mathematics is a symbolic practice, then the understanding of the nature of sign systems (i.e. the networking of signs over signs to create new sign-references

according to a particular syntax, grammar, and semantics) is important for the teaching and learning of mathematics. Given that individuals, by nature, possess symbolic behavior and mathematics is a symbolic practice, then why do some students come to dislike mathematics as a subject and very soon fall behind? In general, semiotics theories give us a framework to understand the mathematical and the non-mathematical behavior of our students. Among different theoretical perspectives on semiotics, Peirces theory of signs helps us to understand how we come to construct symbolic relationships based on associative iconic and indexical ones. A relation is iconic when it makes reference to the similarity between sign and object; it is indexical when it makes reference to some physical or temporal connection between sign and object; and it is symbolic when it makes reference to some formal or merely agreed upon link between sign and object, irrespective of the physical characteristics of either sign or object.

Representation and interpretation are two important aspects of Peirces theory. He sees representation as the most essential mental operation without which the notion of sign would make no sense (Peirce, 1903) and considers that the mind comes to associate ideas by means of referential relations between the characteristics of sign-tokens and those of the objects they come to represent. As for interpretation, he considers that without the interpretation of signs, communicating with the self and with others becomes an impossible task (Peirce, CP vols. 2 and 4, 1974). That is, without being interpreted, a sign as a sign does not exist. What exists is a thing or event with the potential of being interpreted and with the potential of becoming a sign. Metaphorically speaking, a sign is like a switch; it becomes relevant and its

Learning Mathematics: Increasing the Value of Initial Mathematical Wealth

229

existence becomes apparent only if it is turned on-and-off, otherwise, the switch is just a thing with the potential to become a switch. Likewise, a sign-token becomes a sign only when its relationship to an object or event is turned on in the flow of attention of the interpreting mind. That cognitive relationship between the sign-token and the interpreting mind is essential in Peirces semiotic theory; in fact, it is what distinguishes his theory from other theories of signs. He crystallizes this interpreting relation between the sing-token and the individual as being the interpretant of the sign. This interpretant has the potential to generate a new sign at a higher level of interpretation and generalization. At this higher level, the new sign could, in turn, generate other iconic, indexical, or symbolic relationships with respect to the object of the sign. However, while the individual generates new interpretants, the object represented by the sign undergoes a transformation in the mind of the individual who is interpreting. That is, the object of the sign appears to be filtered by the continuous interpretations of the learner. In summary, Peirce considers the existence of the sign emerging both from the learner s intellectual labor to conceptualize the object of the sign and from the construction of this object in the learners mind as a result of his intentional acts of interpretation. A sign stands for something to the idea that it produces or modifies. Or, it is a vehicle conveying into the mind something from without. That for which it stands is called its object; that which it conveys, its meaning; and the idea to which it gives rise, its interpretant. (CP 1.339; emphasis added) By a Sign I mean anything whatever, real or fictile which is capable of a

sensible form, is applicable to something other than itselfand that is capable of being interpreted in another sign which I call its Interpretant as to communicate something that may have not been previously known about its Object. There is thus a triadic relation between any Sign, and Object, and an Interpretant. (MS 654. 7) (Quoted in Pamentier, 1985; emphasis added). Peircean semiotics helps to understand and explain many aspects of the complexity of the teaching and learning of mathematics. For example, teachers and learners expressions of their interpretations of mathematical signs by means of writing, reading, speaking, or gesturing; the interrelationship of the multiple representations of a concept without confounding the concept with any of its representations; and the dependency of mathematical notation on interpretation, cultural context, and historical convention. In trying to understand the semiotic nature of the teaching and the learning of mathematics, the above list about the semiotic aspects of the teaching-learning activity is anything but complete. Brousseau, for example, contends that mathematicians and teachers both perform a didactical practice albeit of a different nature. Mathematicians, he says, do not communicate their results in the form in which they create them; they re-organize them, they give them the most general possible form; they put knowledge into a communicable, decontextualized, depersonalized, detemporalized form (1997, p. 227). This means, that they encode their creations using mathematical sign systems or they create new signs if necessary. That is, they objectify or symbolize their creations (i.e., knowledge

230 Relime

objects) through spacio-temporal signs. On the other hand, the teacher undertakes actions in the opposite direction. She, herself, interprets mathematical meanings embedded in spacio-temporal signs (signtokens), decodes conceptual objects, and looks for learning situations that could facilitate the endowment of those sign-tokens with mathematical meanings in the minds of the learners. Thus, mathematicians and teachers of mathematics have a necessary interpretative relationship with the sign systems of mathematics (i.e., semiotic mathematical systems) because they continuously use them to encode, interpret, decode, and communicate the mathematical meanings of conceptual objects.

object. Thus, Peirces definition of signs implies a continuous process of interpretation and as a consequence, a concomitant process of gradual objectification. Radford (2006b), on the other hand, considers that to objectify is to make visible and tangible something that could not be perceived before. He defines objectification as an active, creative, imaginative, and interpretative social process of gradually becoming aware of mathematical objects and their properties. This definition is not in contradiction with Peirces definition of signs. Radford (2003) also defines means of objectification as tools, signs of all sorts, and artifacts that individuals intentionally use in socialmeaning-making processes to achieve a stable form of awareness, to make apparent their intentions, and to carry out their actions to attain the goal of their activities (p. 41). This definition is also in harmony with Peirces definition of interpretant. Since mathematical objects make their presence manifest only through signs and sign systems, how can teachers help learners to enter into the world of these semiotic systems and break the code, so to speak, to see those objects by themselves? Which mathematical objects do learners interpret from signs2? Or better, what objects do sign-tokens stand for in the minds of learners and teachers? Would

Teachers and Learners Interpretations and Objectifications The interpretation of signs is important for two reasons. First, signs are not signs if they are not interpreted; being a sign means being a sign of something to somebody. Second, the meaning of a sign is not only in the sign but also in the mind interpreting that sign. Now the question is: Does a sign objectify? According to Peirces definition of signs, the answer is yes. A sign does objectify (i.e., It does make tangible) the object (conceptual or material) that it stands for. However, the sign not only objectifies but it also communicates (to the interpreting mind) something that has not been previously known about the

2 Peirce gave several definitions of signs without contradicting previous definitions; instead he extended them. The

invariant in his definitions is the triadic nature of the sign. The variation is in the names he gave to the sign-vehicle/ signtoken or material representation of the sign. First, he called sign the material representation of the sign, then sign-vehicle, and then representamen. Some mathematics educators have favored the sign triad object-sign-interpretant, others, like myself, have favored the sign triad object-representamen-interpretant because it does not use the word sign to indicate, at the same time, the triad and a term in the triad. In this paper, I use the words representamen, representation, and signtoken interchangeably. However, Peirce used the term representation in the general sense of being a necessary operation of the human mind.

Learning Mathematics: Increasing the Value of Initial Mathematical Wealth

231

learners and teacher interpret the same mathematical objects (i.e., knowledge objects) from sign relations in mathematical sign systems? Who objectifies what? What are the products or effects of teachers and learners interpretations and objectifications? What are the teachers interpretations of the learners interpretations? It appears that teachers and learners interpretations and objectifications go hand in hand in the teaching-learning activity. Because of the triadic nature of the sign, there is a necessary and concomitant relationship between objectification and interpretation; there is no interpretation without objectification and no objectification without interpretation. In addition, these two processes are linked to a third concomitant process, the process of generalization. Mathematicians objectify their creations inventing new mathematical signs or encoding them, using already established signs and sign systems. Teacher and learners re-create knowledge objects by interpreting mathematical signs in a variety of contexts; by doing so, they undergo their own processes of objectification. There seems to be running, in parallel, three processes of objectification: the objectification of the teacher, the objectification of the learners, and the teachers objectification of the learners objectifications. This seems to be a cumbersome play with words, although this is at the heart of the interrelationship between teaching and learning. Obviously, teacher and learners objectify, but do they objectify the same thing? Are these objectifications isomorphic or at least do they resemble each other? Is the teacher aware of these processes of objectification? If so, then the teacher has the potential: (a) to question and validate her own interpretations and objectifications; (b) to make hypotheses about the learners objectifications; (c) to question the learners to validate her

hypothesis in order to guide their processes of interpretation and objectification; and (d) to differentiate between her interpretations and objectifications and the learners interpretations and objectifications. When teachers and learners engage in the teaching-learning activity, who interprets and what is interpreted is somewhat implied, but it is nevertheless tacit, in the processes of objectification and interpretation. Obviously, in one way or another, teachers appear to play an important role in the learners processes of interpretation and objectification. Brousseau appears to indicate these levels of interpretation. The teachers work consists of proposing a learning situation to the learner in such a way that [the learner] produces her knowing as a personal answer to a question and uses it or modifies it in order to satisfy the constraints of the milieu [which is managed by necessary contextual and symbolic relationships] and not just the teachers expectations (1997, p. 228, emphasis added). Here, Brousseau points out the difference between learners interpretations and teachers interpretations and intentions. The question is whether or not the teacher s intentions and interpretations are realized in the students interpretations and objectifications. In other words, do the teachers and the learners interpretations and objectifications, at least, resemble each other? The teacher may design learning situations to induce learners construction of mathematical objects and relationships among those objects; or the teacher may design learning situations in which the mathematical object is directly delivered as if it were a cultural artifact ready to be seen and memorized by the learners, while saving them the cost of their own abstractions and generalizations. In the latter case, the learners could be

232 Relime

objectifying only the iconic or indexical aspects of the mathematical signs without capturing the symbolic aspects of those signs and their symbolic relations with other signs. In the former case, the learners capture both the symbolic aspects of the signs and their symbolic relations with other signs. This means that the learner is able to unfold those signs to see not only the symbolic aspects but also the indexical and iconic aspects embedded in them. Thus, learners and teacher could be interpreting different aspects of the mathematical signs (iconic, indexical, or symbolic) and, in consequence, interpreting the nature of mathematical objects from different levels of generalization and abstraction. But what is the nature of the mathematical objects? How many types of objects could be interpreted from mathematical signs? Duval (2006) calls our attention to different types of objects:

(1) Objects as knowledge objects when attention is focused on the invariant of a set of phenomena or on the invariant of some multiplicity of possible representations. Mathematical objects like numbers, functions, vectors, etc. are all knowledge objects. (2) Objects as transient phenomenological objects when the focus of attention is on this or that particular aspect of the representation given (e.g., shape, position, size, succession, etc.). (3) Objects as concrete objects when the focus of attention is only on their perceptual organization.
Thus given a sign-token (i.e., a representamen or a representation), one could interpret at face value a concrete object if one focuses strictly on the material aspects of this semiotic means of objectification

without constructing relationships with other representations. One could also interpret a phenomenological object if one goes beyond pure perception and focuses on aspects of those representations in space and time. Or one could also interpret a knowledge object if one focuses on the invariant relations in a representation or among representations. For example, Duval (2006) considers that the algebraic equation of a line and its graph could be seen as phenomenological objects when one focuses on the material aspects of these representations (i.e., iconic and iconic-indexical aspects of the sign-tokens or representations); they could be knowledge objects if one focuses on the invariance of these representations (i.e., symbolic aspects). Once one is able to interpret and to objectify knowledge objects, one should be able to unfold the phenomenological (i.e., iconic, iconic-indexical) and material (i.e., iconic) aspects of those objects. However, if one objectifies only phenomenological and concrete objects, one would not necessarily come up with the symbolic aspects of their corresponding knowledge objects. In a nutshell, Duvals characterization of objects points out the semiotic stumbling blocks of the teaching and learning of mathematics. In this characterization, the manifestation of a knowledge object depends not only on its representation but also on the human agency of the interpreter, user, producer, or re-producer of that object. Objects could be either the interpretation of pure symbolic relations embedded in the sign-tokens or representations (i.e., knowledge objects or pure signifieds); or they could be pure material tokens with no signifieds (i.e., concrete objects or concrete things); or they could be materially based tokens interpreted in time and space (i.e., phenomenological objects). The best case would be when the knowledge object is objectified in space and time with

Learning Mathematics: Increasing the Value of Initial Mathematical Wealth

233

structured signifieds and with the potential of being used again in private and intersubjective conceptual spaces; and, vice versa, when mathematical knowledge objects are decoded from the material signtokens or representations without escaping their extension in space and their succession in time. As teachers and learners engage in the teaching-learning activity, which objects are the teacher referring to and which objects are the learners interpreting, objectifying, and working with? In the best of all scenarios, teacher and learners could interpret, from the same sign-token or representation, the same knowledge object. However, sometimes learners might only be interpreting concrete objects (i.e., concrete marks) or phenomenological objects missing, in the process, the knowledge object; meanwhile the teacher might be interpreting that learners are interpreting knowledge objects. This situation would clearly mark a conceptual rupture between teacher and learners. Therefore, interpreting in the classroom is a process that unfolds at three levels: (1) the level of those who send an intentional message (the teacher or the students); (2) the level of those who receive and interpret the message (the learners or the teacher); and (3) the level of the senders interpretation of the receivers interpretation. Thus, in the teaching-learning activity, the interpretation process is not only a continuous process of objectification but it is also a relative process (relative not only to teachers and learners but also relative to their prior knowledge, not to mention their beliefs about knowledge and knowing).

exclusively on language (syntax and grammar), the active and passive lexicon of the participants, and the nature of the content of the message (Austin and Howson, 1979). Now, we have become aware that communication depends not only on natural language but also on the specific sublanguages of different fields of study, on linguistic and non-linguistic semiotic systems, and on a variety of social and cultural contexts in which the content of the message is embedded (Halliday, 1978; Habermas, 1984; Bruner, 1986; Vygotsky, 1987; Steinbring et al. 1998). Communication is also influenced by the behavioral dispositions and expectations of the participants as well as by their intersubjective relations of power (Bourdieu, 1991). Thus, perspectives on communication, in general, appear to have gained in complexity rather than in simplicity. Hence, perspectives on communication in the mathematics classroom have changed. This communication depends on natural language, mathematical sublanguage, and mathematical sign systems that mediate teachers and learners interpretations of mathematical objects. Rotman (2000) points out a special feature of mathematical communication. He contends that in order to communicate mathematically, we essentially write. He contends that writing plays not only a descriptive but also a creative role in mathematical practices. He asserts that those things that are described (thoughts, signifieds, and notions) and the means by which they are described (scribbles) make up each other in a reciprocal manner. Mathematicians, as producers of mathematics, Rotman says, think their scribbles and scribble their thinking. Therefore, one is induced to think that learners of mathematics should do the same in order to produce and increase their

Communicating Mathematically as a Means of Objectification Communication in the mathematics classroom was viewed as depending

234 Relime

personal mathematical wealth as a product of their own mathematical labor. Such wealth does not accumulate all at once, but rather, it accumulates gradually in a synchronic as well as in a diachronic manner. We will enter the discussion of mathematical wealth and its synchronicdiachronic formation in the next section. It appears that communicating mathematically is first and foremost an act of writing in the form of equations, diagrams, and graphs, supported all along by the specialized sublanguage of mathematics (mathematical dictionaries are a living proof that a mathematical sublanguage exists). We also need to consider that writing is not an isolated act. Acts of writing are concomitant with acts of reading, listening, interpreting, thinking, and speaking . All these acts intervene in semiotic processes of objectification resulting from personal processes of interpretation by means of contextualization and de-contextualization, concretization and generalization. That is, communicating mathematically depends on the synergy of the processes of interpretation, objectification, and generalization. Gay (1980), Rossi-Landi (1980), and Deacon (1997) argue that any semiological system only has a finite lexicon but its semantics accounts for an unlimited series of acceptable combinations and that some of these combinations propose original ways of describing linguistic and extralinguistic reality. By the same token, the semiotic system of mathematics has a finite number of tokens and a finite set of axioms, theorems, and definitions (Ernest, 2006). When these elements are combined, they account for a large number of acceptable combinations that describe or justify, create or interpret, prove or verify, produce or decode already culturally structured mathematical objects. In

discovering, constructing, apprehending, reproducing, or creating mathematical objects, reading and writing, listening and speaking become essential means for producing and interpreting combinations of referential relations (whether iconic, indexical, or symbolic) in a space that is both visible and intersubjective. Vygotsky (1987) contends that in any natural language the writing and speaking acts are of different nature. Writing, he says, is a monological activity in which context is mental rather than physical and therefore it does not benefit from the immediate stimulation of others. This makes writing a demanding mental activity that requires not only the syntax and grammar of the language in use, but also the conceptual objects (i.e., knowledge objects) to be encoded or decoded using particular signs or combination of signs. In contrast, Vygostsky argues that oral dialogue is characterized by the dynamics of turn-taking determining the direction of speech: in oral dialogue, questions lead to answers and puzzlements lead to explanations. Written speech, instead, is not triggered by immediate responses as in oral dialogue. In writing, the unfolding of an argument is based much more on the personal and private labor of the individual. What Vygotsky argues about written and oral speech in the context of language can be transferred to the context of mathematical communication inside and outside of the classroom. It is one thing to clarify ones mathematical ideas when debating them and another to produce them as the result of ones own isolated mental labor and personal reflection. Both types of communication are commonly used among mathematicians (Rotman, 2000). In the last decades, oral and written modes of interacting in the classroom have been accepted as appropriate ways of communicating mathematically in the

Learning Mathematics: Increasing the Value of Initial Mathematical Wealth

235

classroom (National Council of Teachers of Mathematics, Standards, 2000). Rotman (2000) also considers that writing and thinking are interconnected and coterminous, co-creative, and co-significant. There is no doubt that for professional mathematicians who are in the business of producing mathematical knowledge this should be the case. But are writing and thinking always interconnected, cocreative, and co-significant activities for the learners? Or are the learners using writing to take into account only the perceptual level of mathematical signs (i.e., sign-tokens or concrete objects) to automatically perform algorithmic computations in order to survive academically? Do multiple-choice exams interfere with the development of the learners thinking-writing capacity? Do teachers make learners aware that reading, writing, listening, and speaking are effective means of objectifying mathematical knowledge objects? Do teachers make learners aware that communicating mathematically is also constituted by justifying in terms of explanation, verifications, making valid arguments, and constructing proofs? To communicate mathematically in the classroom, the teacher has: (a) to flexibly move within and between different semiotic systems (e.g., ordinary language, mathematical sub-language, mathematical notations, diagrams, graphs, gestures, etc.) (Duval 2006); (b) to refer to mathematical objects that are other than visible and concrete (e.g., patterns, variance, and invariance across concepts) (see for example, Radford, 2003); (c) to address the learners in ways that are supposed to be meaningful to them (see for example, Ongstad, 2006); and (d) to express (verbally and nonverbally) the encoding and decoding of mathematical objects (Ongstad, 2006). Thus communicating mathematically between teacher and

learners also requires the triad referringaddressing-expressing within and between several semiotic systems. Interpreting mathematical signs is, in essence, a dynamic process of objectification in which the individual gradually becomes aware of knowledge objects represented in verbal, algebraic, visual, and sometimes imaginary representations (Davis and Hersh, 1981) and these representations have their own inherent properties. Becoming aware of knowledge objects through a variety of representations is in itself a demanding intellectual labor because of the characteristics of different representations. Skemp (1987), for example, points out differences between visual and verbal/ algebraic representations: (1) Visual representations, such as diagrams, manifest a more individual and analog type of thinking; in contrast, verbal/algebraic representations manifest a more socialized type of thinking. (2) Visual representations tend to be integrative or synthetic ; in contrast, verbal/algebraic representations are analytical and show detail. (3) Visual representations tend to be simultaneous; in contrast, verbal/algebraic representations tend to be sequential . (4) Visual representations tend to be intuitive ; in contrast, verbal/algebraic representations tend to be logical . All these tacit differentiations are part and parcel of the tacit knowledge underpinning the classroom mathematical discourse and they may create difficulties for some learners (Presmeg, 1997). Yet another source of tacit knowledge in the classroom discourse is the variety of speech genres in mathematical discourse, for example, debating, arguing, justifying, and proving (Seeger, 1998). For Rotman, persuading, convincing, showing, and demonstrating are discursive activities with the purpose of achieving intersubjective agreement, generalization, and semiotic objectification.

236 Relime

This kind of tacit knowledge is not even remotely considered to be a part of the institutionalized school curriculum and many teachers are not even aware of it. The lack of explicitness of the tacit knowledge (expected to be understood by the learners) contributes to their abrupt and foggy entrance into the territory of the mathematical world, where those who will successfully accumulate mathematical wealth are the ones who have the capacity of making explicit for themselves the tacit underpinnings of mathematical discourse and the triadic nature of the process of conceptualization (interpretation, objectification, and generalization). To summarize, the emergence of mathematical objects and their meanings are in no way independent from intentional acts of interpretation and objectification mediated by reading and writing, speaking and listening. These acts are essential in the gradual mathematical growth of the mathematical wealth of the learners. Communicating mathematically in terms of reading, writing, listening, and debating should be considered means of interpretation and objectification. Hence, knowledge of semiotics appears to be a necessary conceptual tool in the classroom, not only for theoretical and explanatory purposes but also for pragmatic ones.

As learners initiate and continue their journey in a mathematical world (which is planned by the institutionalized curriculum and/or by the learners own interests), they continuously invest their existing mathematical wealth in order to increase its value. This investment is a continuous process of evolution, development, and transformation of the learners referential relations using signs of iconic, indexical, and symbolic nature. Sign-tokens are not inherently icons, indices, or symbols; they are so only if interpreted in that way. The learners interpretation of the referential relations of signs is manifested in his verbal and written responses. Say for example, that a learner is capable of keeping in memory the expression positive times positive is positive and negative times negative is positive (*). What is the meaning of this expression for a learner at different phases of his mathematical journey? Does it change? Does it remain the same? It could be that he has memorized this expression as we memorize prayers when we are little; they just stick in our minds and we regurgitate them, even if we do not know what they mean. It could be that the learner interprets that expression as follows: I remember that with a -and a I can make a +; and with a + and a + I can only make a +. In these cases, the learner has only an iconic relationship with the expression (*). The learner is trying to make sense by focusing on the physical resemblances of the sign-tokens. Would he be able to ascend from the level of having an iconic relation with the expression (*) to the level of having an indexical relation with it? If the learner says, for example, I know that 2 times 3 is 6 and -2 times -3 is 6, then the learner has an iconic-indexical relation with the expression (*) because he has a particular case that, in a way, indicates the possibility

Communicating Mathematically and Mathematical Wealth We would like to consider mathematical wealth as a metaphor to refer to the learners continuous accumulation of mathematical knowledge as the product of his intellectual labor in an intra-subjective or inter-subjective space. This mathematical wealth is personal, although socially and culturally constituted, in addition to continuously being in the making.

Learning Mathematics: Increasing the Value of Initial Mathematical Wealth

237

of the generality of this statement. However, when the learner comes to transform the above expression into an expression like xy>0 only in cases when x>0 and y>0 or when x<0 and y<0 or to recognize that -x could be positive or negative depending on the value of x; then the learner has a symbolic relation with the expression (*). In the latter, the learner has come to enrich the meaning of the expression (*) as he works with variable quantities in the context of algebra. In fact, as the learner comes to develop a symbolic relationship with this expression, or the expression (*) becomes symbolic for the learner, he will also come to have an iconic and iconic-indexical relationship with it. This is to say that once a learner has a symbolic relation with a sign, he would be able to unfold it into iconic and iconicindexical relations whenever necessary. But the other way around is not necessarily true. A learner, who has an iconic or an iconic-indexical relationship with a signtoken (in this case the expression (*)) may not necessarily have a symbolic relationship with it (i.e., the sign-token does not yet stand for a knowledge object in the mind of the learner). What does this mean in terms of objects? A learner who has constructed either a concrete or a phenomenological object may very well have not yet constructed a knowledge object. However, if the learner has constructed a knowledge object, one can safely infer that he also has constructed the corresponding concrete and phenomenological objects (i.e., the learner could be able to deconstruct the knowledge object into phenomenological and concrete objects). When a learner repeats the expression positive times positive is positive and negative times negative is positive, it means that he could have an iconic, an

iconic-indexical, or a symbolic relationship with the expression. What is the relationship that the learner has constructed? This is not evident until the learner has the opportunity to use it in different contextual situations. How does the teacher, who is in charge of guiding the learner, interpret the kind of relationship that the learner has with the expression? The teacher could have a symbolic relationship with the expression (*) and think that the learner also has a symbolic relationship with it. In addition, if the teacher considers that any sign-token or representation is inherently symbolic, independently of the learner s interpretation, she would firmly believe that the learner could have only a symbolic relationship with it. Henceforth, the teacher will not change her interpretation of the learners interpretation, and this might rupture the semantic link in the communication between the teacher and the learner. The teachers expectations would run at a level higher than the current level of the learners possibilities. This could prompt the teacher to misjudge the capabilities of the learner and to give up on the learner instead of creating new learning situations to induce the construction of the learners symbolic relationship with sign-tokens (in this case the expression (*)). The worst case would be when the learner stops increasing the value of his initial mathematical wealth and soon falls behind others and with feelings of not having any intellectual capacity for mathematics. The teacher needs to understand that the expression (*) or any other sign could have iconic, iconic-indexical, or iconic-indexicalsymbolic meanings for the learner at different points of his mathematical journey. That is, the teacher should be aware that what one routinely calls symbols are nothing else than sign-tokens that can be

238 Relime

interpreted at different levels of generalization. The teacher who comes to understand what is symbolic and for whom, what is iconic-indexical and for whom, what is iconic and for whom, should also come to see her teaching deeply rooted in her own learning of mathematics and in her learning of her students learning. A teacher unaware of hers and the learners possible iconic, indexical, and symbolic relationships with signs has no grounds for making hypotheses about the learners interpretations. Then, the teacher will only interpret her own interpretations but not those of the learners. That is, the teacher comes to collapse the three levels of interpretation (her own interpretation, the learners interpretation, and her interpretation of the learners interpretation) making it only one muddled level that barely reflects the cognitive reality of those involved in the teaching-learning activity. In doing so, the teacher loses cognitive contact with the learner and thus the opportunity to support his personal processes of re-organization and transformation of his prior knowledge. It is not surprising, then, that Bauersfeld (1998) noticed that learners are alone in making their own interpretations and that there is a difference between the matter taught and the matter learned. In our framework, this would translate as the existence of a difference between the matter interpreted by the teacher, the matter taught by the teacher, and the matter interpreted by the learners. At any given moment, learners start with a particular set of mathematical conceptualizations to be transformed and re-organized. This initial set of conceptual elements, with whatever mathematical value (iconic, indexical, or symbolic) , is what we would like to call the initial

mathematical wealth . This wealth, if invested in well designed learning situations using a variety of contexts, will allow the learner to embed iconic relationships into iconic-indexical relationships and to embed iconicindexical relationships into symbolic ones. By doing so, the learner will come to construct mathematical patterns (at different levels of generalization), and regulated combinations of mathematical signs according to the structure of the mathematical sign systems he is working with at that moment. For example, learners generalization, in the natural numbers, that multiplication makes bigger and division makes smaller, has to be reconceptualized or re-organized when they start working with decimals. Later on, multiplication needs to be generalized as an operation with particular properties. And even later, division needs to be recognized and re-organized as a particular case of multiplication. That is, the learners relationship with multiplication and its results needs to be transcended and attention needs to be focused on the nature of the operation itself, leaving implicit the indexicality of particular results as well as the iconicity of the signtokens times or x (like in 4 times 2 or 4 x 2) used for multiplication in grade school. That is, multiplication, in the long run, should become a symbolic operation in the mind of the learner and not only the mere memorization of multiplication facts and the multiplication algorithm.
Hence, the nature of the investment of the learners mathematical wealth resides in his capacity to produce new levels of interpretations and concomitantly new objects (concrete, phenomenological, and knowledge objects) at different levels of generality (iconic, indexical, or symbolic). This kind of investment increases the learners mathematical wealth and goes

Learning Mathematics: Increasing the Value of Initial Mathematical Wealth

239

beyond the manipulation of sign-tokens 3. That is, the value of the investment increases as the learners interpretation of signs ascends from iconic, to iconicindexical, to iconic-indexical-symbolic along his recursive and continuous personal processes of interpretation, transformation, and re-organization. Moreover, what becomes symbolic at a particular point in time in the learners conceptual evolution could become the iconic or iconic-indexical root of a new symbolic sign at a higher level of interpretation. For example, our middle school knowledge of the real numbers with the operations of addition and multiplication becomes the root for interpreting, later on, the field structure of real numbers (i.e., the set of real numbers with the operations of addition and multiplication constitutes an additive group and a multiplicative group respectively and also the operation of multiplication distributives over the operation of addition). In summary, learners who become mathematically wealthy are those who, along the way, are able to interpret knowledge objects from concrete signtokens and, in the process, are able to transcend their phenomenological aspects (i.e., iconic-indexical) and ascend to symbolic relationships with them through continuous acts of interpretation, objectification, and generalization. No matter through what lens one sees teaching and learning (i.e., learners discover, construct, or apprehend mathematical concepts), this triadic intellectual process (interpretation-objectification-generalization) is in reality a continuous recursive synchronic-diachronic process in their intellectual lives. This process is not only

synchronic. It would be impossible for the learner to appreciate, all at once, current and potential meanings embedded in contextual interpretations of mathematical signs. Only when the learners have traveled the mathematical landscape for some time, they are able to see deeper meanings in mathematical signs as they interpret them in new contexts and in new relationships with other signs. Hence, the process is also diachronic. In the diachronicity of the process, the learner comes to understand the meaning potential of different signs. Continuity and recurrence (i.e., going back in thought to consider something again under a new light) is the essence of this synchronic-diachronic process. Continuity and recursion allow learners (1) to carry on with their personal histories of conceptual development and evolution and (2) to transcend conceptual experiences in particular contexts through the observation of invariance and regularities as they see those experiences from new perspectives. That is, the sequential nature of the synchronic-diachronic process upholds all personal acts of interpretation, objectification, and generalization as well as of selfpersuasion. Essentially, this is a mediated and a dialectical process between learners knowing and knowledge in the permanent presence of the continuous flow of time, not only synchronically (in the short lived present) but also diachronically (across past, present, and future). As learners travel through the world of school mathematics, they construct and interpret for themselves a network of mathematical conceptualizations that is continuously reorganized through mathematical discourse

It is worthwhile to notice that the expression manipulation of symbols becomes an oxymoron in Peirces theory

of signs and it could be replaced by the expression manipulation of sign-tokens.

240 Relime

(reading, writing, speaking, and listening) and de-contextualized through abstraction and generalization. As the learners networks of mathematical conceptualizations become increasingly re-organized and transformed over time, the earlier value of their mathematical wealth also increases.

Where do Learners Build up and Consolidate their Mathematical Wealth? As learners travel through a particular territory of the mathematical world (e.g., the institutionalized school curriculum) they become mathematically wealthier because they become better acquainted with the ins and outs of the territory (i.e., they are able to produce symbolic interpretations of signs, or they relate to signs iconically and indexically but in a systematic manner). Others have a birds eye view of the territory (i.e., they are able to produce only isolated iconic, or indexical interpretations of signs or they relate to signs iconically or indexically but in an unsystematic manner) and soon forget they have seen the landscape because they have made no generalizations. Still others are able to finish their journey traveling on automatic mode (i.e., using calculators and memorized manipulations) to establish their own peculiar relationships with the mathematical code or mathematical semiotic systems. Henceforth, they are able to produce, at best, only iconic interpretations from signs that soon will be forgotten. The learners mathematical wealth is built in a socio-cognitive classroom environment grounded on collective mathematical discourse as opposed to the unidirectional discourse from the teacher to the students. The quality of this discourse and the teachers focus of attention on the learners

mathematical arguments influence the ways in which learners invest their mathematical wealth and how they become mathematically wealthier. It is well known that teachers, who are in charge of directing the classroom discourse, guide their practices according to conscious or unconscious theoretical perspectives on mathematics and the teaching of mathematics and they focus their attention on different aspects of classroom discourse. Sierpinska (1998) delineates the theoretical perspectives of teachers within three ample frameworks: constructivist , socio-cultural , and interactionist theories. Constructivist perspectives focus primarily on the learners actions and speech while the actions and speech of the teacher are seen as secondary; that is, the constructivist teacher focuses essentially on the learners and their mathematics. Socio-cultural (i,e.,Vygotskian) perspectives focus on the social and historical character of human experience, the importance of intellectual labor, the mediating role of signs as mental tools, and the role of writing in the individuals intellectual development; that is, the sociocultural teacher focuses essentially on culture and mediated socio-cognitive relations. Interactionist perspectives focus on language as a social practice; that is, the interactionist teacher focuses essentially on discourse and intersubjectivity. The behaviorist perspective could be added to those emphasized by Sierpinska. The behaviorist teacher focuses essentially on the learners performance and pays little attention, if any, to the learners ways of thinking. Finally, eclectic teachers seem to intertwine one or more theoretical frameworks according to the needs of the learners and their personal goals as teachers. In any classroom, one needs to be cautions about what could be considered successful

Learning Mathematics: Increasing the Value of Initial Mathematical Wealth

241

classroom communication. Successful classroom discourse may not be an indication of successful mathematical communication. Steinbring et al. (1998) contend that learners may be successful in learning only the rituals of interaction with their teachers or the routine and stereotyped frames of communication (like the well-known initiation-response-evaluation and funneling patterns). This kind of communication, they argue, leaves the learners speechless mathematically although keeping the appearance of an exchange of mathematical ideas. Brousseau (1997), and Steinbring et al. (1988), among others, present us with classical examples in which teachers, consciously or unconsciously, hurry up or misguide learners processes of interpretation. Thus, communicating mathematically is more than simple ritualistic modes of speaking or the manipulation of sign-tokens; it is based on a progressive folding of meaningful interpretations passing from iconic, to iconic-indexical, to iconicindexical-symbolic, and vice versa the unfolding of these relations in the opposite direction. Or as Deacon (1997) puts it: symbolic relationships are composed of indexical relationships between sets of indices, and indexical relationships are composed of iconic relationships between sets of icons (p. 75). That is, more complex forms of objectification emerge from simpler forms (i.e., simpler forms are transcended but remain embedded in more complex ones). This is to say that the learners process of mathematical interpretation is mediated by mathematical sign systems (icons, indexes, or symbols and their logical and operational relations) to constitute networks of conceptualizations and strategies for meaning-making. Communicating mathematically is, in fact, a continuous semiotic process of interpretation, objectification, and generalization. The construction of generalizations takes the

learner from simple iconic relations, to indexical relations, and then to symbolic relation (i.e., folding of iconic relations into indexical ones, and then embedding indexical relations into symbolic ones) in order to make new interpretations and new objectifications that produce new generalizations. Moreover, deconstructing generalizations takes the learner in the opposite direction (i.e., unfolding of symbolic relations into iconic-indexical ones , and unfolding iconic-indexical relations into iconic ones) in order to exemplify, in particular cases, the skeletal invariance arrived at in generalization. Both directions are necessary because, together, they manifest not only the recursive and progressive constructive power of individual minds but also they manifest the human and socio-cultural roots of mathematical thinking.

Concluding Remarks Using a Peircean perspective on semiotics, this paper argues the notion of mathematical wealth. The initial cognitive mathematical wealth of any learner begins early in life. In his years of schooling and with the guidance of teachers, this initial wealth is progressively invested and its value gradually increased. The process of investment is, in essence, a mediateddialectical process of decoding a variety of semiotic systems and, conversely, the encoding of thoughts and actions in those semiotic systems that intervene. Such systems could be of socio-cultural, pedagogical, or mathematical nature. For mathematical wealth to increase in value in the process of investment, the learner has to decode not only the mathematical code but also the tacit code of socio-cognitive rules of engagement in the classroom. A priori and implicitly, he is

242 Relime

expected to understand, that reading and writing, constructing and interpreting mathematical arguments, listening and speaking, and justifying in the form of explanation, verification, and proof are necessary activities for the learning of mathematics. He also has to understand that these activities can effectively mediate the appropriation and construction of mathematical meanings from mathematical signs and the encoding of his own interpretations and meaning-making processes back into mathematical signs. The paper also argues three levels of interpretation in the classroom: (a) the learners level of mathematical interpretation; (b) the teachers own level of mathematical interpretation; and (c) the teachers level of interpretation of the learners mathematical interpretations. It is also argued that mathematical meanings are not only inherent in mathematical signs but also inherent in the learners cognitive relationship with those signs. Such relationships could be of an iconic, indexical, or symbolic nature. These relationships are not necessarily

disconnected since an iconic relationship could ascend and become an indexical relationship, and the latter could ascend and become a symbolic relationship. Vice versa, a symbolic relationship could be unfolded into an indexical relationship, and the indexical relationship could be unfolded into an iconic relationship. In fact, when learners manipulate sign-tokens, it is sometimes necessary, for efficiency, to keep symbolic relations implicit in ones mind. Keeping the ascending and descending directions of relationships with signs and sign systems allow learners to move from the particular to the general and from the general to the particular. The learners relationships with mathematical signs and sign systems are the result of mediated-dialectical processes between the learners knowing and knowledge in the synchronic and diachronic triadic process of interpretation, objectification, and generalization. The reader is referred to Radford (2003) and Senz-Ludlow (2003, 2004, and 2006) for other instances of learners processes of interpretation, objectification, and generalization.

References Austin, J. L. & Howson A. G. (1979). Language and mathematical education.Educational Studies in Mathematics, 10, 161-197. Bauersfeld, H. (1998). About the notion of culture in mathematics education. In F. Seeger, J. Voigt, & U. Waschescio (Eds.), The culture of the mathematics classroom, (pp. 375389). Cambridge, UK: Cambridge University Press. Bishop, A. J. (1988). Mathematical enculturation: A cultural perspective on mathematics education. Dordrecht: Kluwer Academic Publishers. Bourdieu, P. (1991). Language and symbolic power. Cambridge, Massachusetts: Harvard University Press.

Learning Mathematics: Increasing the Value of Initial Mathematical Wealth

243

Brousseau, G. (1997). Theory of didactical situations in mathematics. Edited by Nicolas Balacheff, Martin Cooper, Rosamund Sutherland, and Virginia Warfield. Dordrecht, The Netherlands: Kluwer Academic Press. Bruner, J. S. (1986). Actual minds, possible worlds. Cambridge, Massachusetts: Harvard University Press. Davis, P. J. & Hersh, R. (1981). The mathematical experience. Boston: Houghton Mifflin Company. Deacon, T. (1997). The symbolic species: The coevolution of language and the brain. New York: W. W. Norton & Company. Duval, R. (2006). The cognitive analysis of problems of comprehension in the learning of mathematics. In A. Senz-Ludlow, and N. Presmeg (Eds.), Semiotic perspectives on epistemology and teaching and learning of mathematics, Special Issue, Educational Studies in Mathematics, 61, 103-131. Ernest, P. (2006). A semiotic perspective of mathematical activity: The case of number. In A. Senz-Ludlow, & N. Presmeg (Eds.), Semiotic perspectives on epistemology and teaching and learning of mathematics, Special Issue, Educational Studies in Mathematics, 61, 67-101. Gay, W. (1980). Analogy and metaphor. Philosophy and Social Criticism, 7(3-4), 299317. Habermas, J. (1984). The theory of communicative action. 2. Boston: Beacon Press. Halliday, M. A. K. (1978). Language as social semiotics. London: Arnold. National Council of Teachers of Mathematics (2000). Principles and Standards of School Mathematics. Reston, Virginia: National Council of Teachers of Mathematics. Ongstad, S. (2006). Mathematics and mathematics education as triadic communication? In A. Senz-Ludlow, and N. Presmeg (Eds.), Semiotic perspectives on epistemology and teaching and learning of mathematics, Special Issue, Educational Studies in Mathematics, 61, 247-277. Parmentier, R. J. (1985). Signs place in medias res: Peirces concept of semiotic mediation. In E. Mertz & R.J. Parmentier (Eds.), Semiotic mediation (pp. 23-48). Orlando, Florida: Academic Press. Peirce, C. S. (1903). The three normative sciences. In The Essential Peirce, 2, (pp. 1893-1913) edited by The Peirce Edition Project, (pp. 196-207). Bloomington, Indiana: Indiana University Press.

244 Relime

Peirce, C. S. (1956). The essence of mathematics. In James R. Newman (Ed.), The World of Mathematics, 3, (pp. 1773-1783), New York: Simon and Schuster. Peirce, C. S. (1974). Collected Paper (CP). C. Hartshorne, and P. Weiss (Eds.), 1-4. Cambridge, Massachusetts: Harvard University Press. (Reference is made to volumes and paragraphs). Peirce, C. S. (1976). The New Elements of Mathematics (NEP). Carolyn Eisele (Ed), 14. The Hague: Mouton Publishers. Presmeg, N. C. (1997). Generalization using imagery in mathematics. In L. D. English (Ed.), Mathematical reasoning: Analogies, metaphors, and images (pp. 299-312). Mahwah, New Jersey: Lawrence Erlbaum Associates. Radford, L. (2003). Gestures, speech, and the sprouting of signs: A semiotic-cultural approach to learners types of generalization. Mathematical Thinking and Learning, 5(1), 37-70. Radford, L. (2006a). The anthropology of meaning. In A. Senz-Ludlow, & N. Presmeg (Eds.), Semiotic perspectives on epistemology and teaching and learning of mathematics, Special Issue, Educational Studies in Mathematics, 61, 39-65. Radford, L. (2006b). Glossary of internal document of the symposium of the Symbolic Cognition Group. Vermont, January 3-9, 2006. Radford, L. (in press). Semitica cultural y cognicin. In R. Cantoral & O. Covin (Eds.), Investigacin en Matemtica Educativa en Latinoamrica . Mxico. Rossi-Landi, F. (1980). On linguistic money. Philosophy and Social Criticism, 7(3-4), 346-372. Rotman, B. (2000). Mathematics as sign. Stanford, California: Stanford University Press. Senz-Ludlow, A. (2003). A collective chain of signification in conceptualizing fractions. Journal of Mathematical Behavior, 22, 181-211. Senz-Ludlow, A. (2004). Metaphor and numerical diagrams in the arithmetical activity of a fourth-grade class. Journal for Research in Mathematics Education, 1(35), 34-56. Senz-Ludlow, A. (2006). Classroom interpreting games with an illustration. In A. SenzLudlow, & N. Presmeg (Eds.), Semiotic perspectives on epistemology and teaching and learning of mathematics, Special Issue, Educational Studies in Mathematics, 61, 183218. Seeger, F. (1998). Discourse and beyond: On the ethnography of classroom discourse. In H. Steinbring, M. G. Bartolini Bussi, & A. Sierpinska (Eds.), Language and communication in the mathematics classroom (pp.85-101). Reston, Virginia: National

Learning Mathematics: Increasing the Value of Initial Mathematical Wealth

245

Council of Teachers of Mathematics. Sierpinska, A. (1998). Three epistemologies, three views of classroom communication: Constructivism, sociocultural approaches, interactionism. In H. Steinbring, M. G. Bartolini Bussi, & A. Sierpinska (Eds.), Language and communication in the mathematics classroom (pp. 30-62). Reston, Virginia: National Council of Teachers of Mathematics. Skemp, R. (1987). The psychology of learning mathematics. Lawrence Erlbaum Associates. Steinbring, H., Bartolini Bussi, M. G., & Sierpinska, A. (Eds.) (1998). Language and communication in the mathematics classroom. Reston, Virginia: National Council of Teachers of Mathematics. Van Dormolen, J. (1986). Textual analysis. In B. Chirstiansen, A. G. howson, & M. Otte (Eds.), Perspectives on mathematics education, (pp. 141-171). Boston: B. Reidel Publishing Company. Vygotsky, L. S. (1987). Thinking and speech. New York: Plenum Press. White, L. A. (1956). The locus of mathematical reality: An anthropological footnote. In James R. Newman (Ed.), The World of Mathematics, 4, (pp. 2348-2364). New York: Simon and Schuster. Wilder, R. (1973/1968). Evolution of mathematical concepts. Milton Keyness, England: The Open University Press.

Adalira Senz-Ludlow Department of Mathematics and Statistics University of North Carolina at Charlotte USA E-mail: [email protected]

246 Relime

Relime, Nmero Especial, pp. 247-265.

247

Everyday and Mathematical Language 100 Years After the Publication of On Denoting by Bertrand Russell

Giorgio T. Bagni 1

RESUMEN El artculo On denoting (en torno a la denotacin) de B. Russell, publicado en 1905, es un hito de la reflexin filosfica sobre el lenguaje. En este artculo, examinamos la reaccin de los alumnos, de una frase inspirada de un ejemplo clebre introducido por Russell, y de un aserto expresado en lenguaje matemtico. Apartndonos del anlisis de los datos experimentales que encierra la interpretacin de los conceptos clsicos de realidad y de racionalidad, proponemos algunas reflexiones que pasan por alto la objetividad epistmica estndar de la certeza privada hacia la prctica de la justificacin en el interior de una comunidad comunicativa (J. Habermas). Concluimos que el lenguaje constituye un momento muy importante en el cual el sentido de una expresin est fijo; sin embargo, mantenemos presente en nuestra mente que el lenguaje, as como cualquier otro sistema semitico, funciona en el interior de una red de significados culturales (L. Radford). PALABRAS CLAVE: Lenguaje, justificacin, sentido, racionalidad, verdad, validez.

ABSTRACT The article On denoting by B. Russell, published in 1905, is a milestone in philosophical reflection on language. In the present paper, we examine pupils reactions both to a sentence inspired by a celebrated example introduced by Russell and to a statement expressed in mathematical language. We move away from an interpretation of experimental data confined to the classical concepts of truth and rationality and propose instead some reflections that shift the standard of epistemic objectivity from the private certainty of an experiencing subject to the public practice of justification within a communicative community (J. Habermas). We conclude that language is a very important moment in which the meaning of an expression is fixed, but we keep in mind that language, like any other semiotic system, functions inside a cultural network of significations (L. Radford). KEY WORDS: Language, justification, meaning, rationality, truth, validity.

Fecha de recepcin: Marzo de 2006/ Fecha de aceptacin: Abril de 2006 1 Department on Mathematics and Computer Science. University of Udine (Italy)

248 Relime

RESUMO O artigo On denoting (em torno da denotao) de B. Russell, publicado en 1905, um sinal da reflexo filosfica sobre a linguagem. Neste artigo, examinamos a reao dos alunos, de uma frase inspirada em um exemplo clebre introduzido por Russell, e de uma afirmao expressada na linguagem matemtica. Nos afastando da anlise dos dados experimentais que contm a interpretao dos conceitos clssicos de realidade e de racionalidade, propomos algumas reflexiones que passam por alto a objetividade epistemica padro da certeza privada em direo prtica da justificao no interior de uma comunidade comunicativa (J. Habermas). Conclumos que a linguagem constitui um momento muito importante no qual o sentido de uma expresso est fixo; entretanto, mantemos presente em nossa mente que a linguagem, assim como qualquer outro sistema semitico, funciona no interior de uma rede de significados culturais (L. Radford). PALAVRAS CHAVE: Linguagem, justificao, significado, racionalidade, verdade, validade.

RSUM Larticle On denoting (De la dnotation) de B. Russell, publi en 1905, est un jalon de la rflexion philosophique sur le langage. Dans cet article, nous examinons la raction des lves une phrase inspire dun clbre exemple introduit par Russell et une assertion exprime en langage mathmatique. En nous cartant de lanalyse des donnes exprimentales qui limite linterprtation aux concepts classiques de vrit et de rationalit, nous proposons quelques rflexions qui amnent lobjectivit pistmique standard de la certitude prive vers la pratique publique de la justification lintrieur dune communaut communicative (J. Habermas). Nous concluons que le langage constitue un moment trs important par lequel le sens dune expression est fix, mais nous gardons prsent lesprit le fait que le langage, ainsi que nimporte quel autre systme smiotique, fonctionne lintrieur dun rseau de significations culturelles (L. Radford). MOTS CLS : Langage, justification, sens, rationalit, vrit, validit.

1. Introduction Many recent works show that culture and mathematical thinking are strictly linked (see for instance Wartofsky, 1979; Crombie, 1995; Radford, 1997; Furinghetti & Radford, 2002). And language is an important element in this link. A quotation by Radford (making reference to Ilyenkov, 1977, p. 79) will help us to frame more precisely the focus of our work and its educational relevance: Radford states that language is one of the means of objectification (albeit a very important one), but ... there are also several others; moreover, as a means of objectification,

Everyday and Mathematical Language 100 Years After the Publication of On Denoting by Bertrand Russell

249

language does not objectify indiscriminately. Language, like any other semiotic system, functions inside a cultural network of significations, from whence grammar and syntax draw their meaning (Radford, 2003a, p. 141; 2003b)2. The question with which we are going to deal in this paper is the following: firstly, can we consider language as a sort of favourite or absolute moment in which the meaning of an expression is fixed? (Let us notice, for instance, that paradigmatic analysis seeks to identify the different pre-existing sets of signifiers which can be related to the content of texts: Sonesson, 1998). Secondly, let us remember that, according to R. Rorty, the discipline presently called philosophy of language has two different sources: one of them is the cluster of problems about how to systematize our notions of meaning and reference in such a way as to take advantage of quantificational logic; the latter, explicitly epistemological, is the attempt to retain Kants picture of philosophy as providing a permanent ahistorical framework for inquiry in the form of a theory of knowledge (Rorty, 1979, p. 518). In this paper we are going to discuss, on the basis of some experimental data, whether or not we can always make reference to a definite set of meanings for linguistic expressions and, in particular, to a clear notion of truth. From the historical viewpoint, G. Vattimo points out that almost all the most important and subtle problems of contemporary language philosophy were elaborated and faced, for the first time, in the Middle Ages (Vattimo, 1993, p. 640; in this paper the translations are ours). The medieval doctrine of suppositio is deemed significant (Bocenski, 1956, pp. 219-230;

Kneale & Kneale, 1962). According William of Shyreswood, meaning is the representation [praesentatio] of an idea in the mind. The suppositio is the co-ordination [ordinatio] of the concept under another concept (Bocenski, 1956, p. 217); Petrus Hispanus, too, in his Summulae logicales, pointed out the difference between significatio and suppositio (Geymonat, 1970, I, p. 549; Bagni, 1997); and in his Summa Logicae (I, 63, 2) William of Ockham (1281-1349) stated that the suppositio is a property belonging to a term, just because [it is included] in a proposition (Bocenski, 1956, p. 219). Nevertheless we cannot completely develop this interesting issue through reference to the Logic of the Middle Ages. We shall introduce the subject of our study through a theoretical framework based upon some elements of 20th-century philosophical research: in section 2 we shall make reference to the paper On denoting by Bertrand Russell (1872-1970), published a century ago, together with its historical connection to Meinong and Frege (2.1); some positions of Wittgensteins (2.2), Quines and Brandoms (2.3) will allow us to introduce Apels and Habermas approaches (2.4), which are to be considered crucial for our work. Through these we shall discuss (section 5) experimental data (sections 3 and 4).

2. Theoretical framework

2.1. Frege and Russell

Let us consider first some reflections on definite descriptions (Penco, 2004, p. 54): we shall compare some ideas put forward by Gottlob Frege (1848-1925) and by

2 Aristotle distinguished men from animals because of the presence of the logos (logos, often translated by reason; but

H.G. Gadamer suggests a proper translation of this term by language: Gadamer, 2005, p. 155).

250 Relime

Russell. In order to introduce the problem, it is recalled that since Aristotle we have known that through language we can correctly refer to things that do not exist [...] or to elements whose existence is possible but that can hardly be proved (Lo Piparo, 2003, p. 165). It is moreover worth mentioning the theoretical approach of Alexius Meinong (1853-1920), who stated that objects of knowledge do not necessarily exist (Meinong, 1904, p. 27; Orilia, 2002). The Fregean approach is based upon the Compositionality Principle (Frege, 1923, p. 36), according to which a statement containing a term without denotation has no truth value: for instance, a statement referring to a non-existing person is neither true nor false (Frege, 1892). On the contrary, according to Russell, statements containing definite descriptions (e.g. the current President of the Italian Republic) imply the existence of an individual (Mr. Carlo Azeglio Ciampi ) to whom the considered property is referred (and this individual is unique), at least at the time when the sentence is stated (March 2006). The problem is that some definite descriptions (and names are definite descriptions too) do not refer to existing individuals: when we talk about Ares or the father of Phobos and Deimos we are not making reference to an existing individual. In order to avoid ambiguity, in his article entitled On denoting, published in Mind a century ago, Russell suggested making the logical form of a definite description explicit. So, a proposition like The father of Phobos and Deimos is the Greek god of war would be There is one and only one individual of whom it can be said: he is the father of Phobos and Deimos, and he is the Greek god of the war . Freges and Russells approaches are very different. Let us consider, for instance, the sentence The

King of France is bald: according to Frege it is neither true nor false because the term the king of France has no reference; according to Russell it is false because we can write it in the form: There is one and only one king of France and he is bald (Wittgenstein will make reference to a similar position: Wittgenstein, 1969a, p. 173).
Many years after the publication of On denoting, P.F. Strawson (1950) underlined an important distinction between a sentence and an utterance and this led us to distinguish between denotation and reference. Denotation links an expression and what it denotes (taking into account conventions and linguistic rules); reference links an expression and the object to which the speaker wants to make reference (Bonomi, 1973; Penco, 2004, p. 84). With The King of France is bald, Russell deals only with denotation, while Frege considers the speakers idea to make reference to a non-existing object, so he concludes that the sentence has no truth value, such a reference being impossible. Of course if we consider a different context, e.g. a legend or a fiction where the king of France is actually bald, we would have to revise our position (it should be remembered that according to Frege, words must be considered only within a proposition: for instance, Phobos and Deimos could indicate either the sons of Ares and Aphrodite or the satellites of Mars; see: Frege, 1923).

2.2. Wittgenstein: from Tractatus to Philosophical Investigations

The position of Russells most important pupil, Ludwig Wittgenstein (1889-1951), is rather complex because it must be divided into two very different periods. In his Tractatus logico-philosophicus (published in 1921 with a preface by Russell himself)

Everyday and Mathematical Language 100 Years After the Publication of On Denoting by Bertrand Russell

251

Wittgenstein reprises (sometimes critically) and develops some ideas of Freges and of Russells: while Frege considers natural language as unavoidably imperfect, Russell wants to point out its logical form (Russell, 1910) and Wittgenstein states that in fact, all the propositions of our everyday language, just as they stand, are in perfect logical order (Wittgenstein, 1922, 5.5563; but Wittgensteins position expressed in his Tractatus, reveals some tension; see: Marconi, 2000a, p. 54); so if our language looks ambiguous, we must recognise that its essence or its true logical form are hidden (Penco, 2004, p. 60). The so-called second Wittgenstein proposed a very different approach (his Philosophical Investigations were published in 1953, two years after the philosophers death): the meanings of words must be identified in their uses within a context. The concept of languagegame is fundamental: it is a context of actions and words in which an expression assumes its meaning; so a language game is both a tool for the study of the language and the starting point where we can reflect on the language by describing the differences and similarities of language games, instead of looking for its essence, as done in the Tractatus (Penco, 2004, p. 105; concerning the continuity between the first and the second Wittgenstein, see: Marconi, 2000b, pp. 95-101). In addition, Hilary Putnam developed this approach and concluded that the meaning of a word is to be found in (and in some ways distributed among) the community of speakers (Putnam, 1992). Let us now examine a remark by Habermas (that we shall reprise later): through his descriptive approach to the use of language, Wittgenstein levels its cognitive dimension; as soon as the truth conditions that we must know in order to

employ propositions correctly are derived just from linguistic praxis to which we are used, the difference between validity and social value vanishes (Habermas, 1999, p. 80): this suggests a revision of the concepts of validity and truth. Of course Habermas position must be considered critical: he underlines that the justification cannot be based upon life, but rather must be related to fundability (Habermas, 1983, p. 80). We shall reprise this point later.

2.3. Some ideas by Quine and Brandom

Willard Van Orman Quine (1908-2000) makes reference to the modality de dicto and de re (Quine, 1960; Kneale, 1962): a de re belief is a belief expressed by the speaker about some properties of a certain object in the world; a de dicto belief is a belief expressed by the speaker about a proposition (Penco, 2004, p. 161; interesting historical references can be found in: von Wright, 1951, pp. 25-28 and Prior, 1955, pp. 209-215). For instance, the proposition John believes that Ares is the Greek god of war, referring to a de dicto belief, cannot be replaced by John believes that the father of Phobos and Deimos is the Greek god of war: as a matter of fact we cannot be sure that John knows that Ares is the father of Phobos and Deimos. On the contrary, the proposition about Ares John believes he is the Greek god of war, referring to a de re belief, can be replaced by concerning the father of Phobos and Deimos, John believes he is the Greek god of war, where the speaker characterised Ares through a personal description, even if John does not know it. Some similar situations have been studied by Frege (see for instance: Frege, 1892; Origgi, 2000, pp. 110-123) and we shall reprise them in order to discuss our experimental data. Brandom tries to revise some of Wittgensteins ideas and proposes replacing his language games with his

252 Relime

game of giving and asking for reasons (Brandom, 1994 and 2000). Although Brandoms conception of language has been considered restrictive (it does not consider aspects like calling, ordering etc.), his approach will be relevant to our research (see moreover: Habermas, 1999, pp. 102 and 140).

world of well-ordered interpersonal relations, and the crucial element in order to do that is the rigorous condition of communication (Habermas, 1999, p. 279). Intersubjective validity does not derive only from a convergence that can be observed with reference to the ideas of different individuals: Habermas refers epistemic authority to a community of practice and not only to individual experience (Habermas, 1999, pp. 136 and 238). The structure of the discourse creates a connection between the structures of rationality itself. As a matter of fact, it has three different roots, closely related one to another: the predicative structure of knowledge at an institutional level (Cassirer, 1958, III, p. 329), the teleological structure of the action and the communicative structure of the discourse (Habermas, 1999, p. 99). These Habermasian considerations will be very important in interpreting our experimental data.

2.4. Apel and Habermas

According to Karl-Otto Apel (1987), every speaker implicitly makes reference to norms for meaningful and intelligible discourse, truth (romantic correspondence between sentence and reality), veracity (correct expression of the speakers state) and normative correctness (respect of community rules). As a consequence we are able to acquire the conditions for ideal communication, which assumes the role of normative principle: the discussions impartiality and the possibility to reach some agreement among the bargaining parties depend on those conditions (see moreover the rational discussion as introduced in Lakoff & Johnson, 1980, p. 111, and the conversation, p. 102). According to Habermas, the rationality of judgements does not imply their truth, but only their justified acceptability in a particular context (Habermas, 1999, p. 102). Jrgen Habermas distinguishes between the truth of a statement and its rational affirmability (Habermas, 1999, p. 11) and reprises Apels ideas (criticised in Davidson, 1990) in order to highlight the fundamental possibility of an ideal communication: he underlines the importance of the inclusion in a universal

3. Methodology In this work, we are going to analyse the discussion of a group of students aged 1516 years (5th class of a Ginnasio-Liceo Classico, in Treviso, Italy) regarding a question about the truth of two sentences in some ways similar to The King of France is bald (Russell, 1905)3. During a lesson in the classroom, pupils were divided into groups of three pupils each. The division was at random. The researcher (who was not the mathematics teacher of the pupils but who was however present in the

3 The Ginnasio-Liceo Classico is a school with high educational standards, in which pupils are asked to study many

classical subjects, in disciplines such as Italian Literature, Latin and Greek Literature, History and so on; the mathematical curriculum is based upon elementary Algebra and Euclidean Geometry, and some basic elements of Logic are included (in particular, pupils knew the notion of proposition as a statement that can assume one and only one truth value, true or false: for instance, sentences including predicates related to subjective evaluations cannot be considered propositions).

Everyday and Mathematical Language 100 Years After the Publication of On Denoting by Bertrand Russell

253

classroom with the teacher and the pupils) proposed two sentences to the pupils and invited all the groups to decide if the given sentences were true or false. In particular, we are going to focus on the discussion that occurred in one of the groups. The question was proposed while taking into account the importance of avoiding the suggestion of a strict dilemma (true or false?), forcing the students to give a specific answer. As we shall see, the first sentence (The King of the inhabitants of the Moon is bald ) makes reference to Russells aforementioned example; after some minutes, the second sentence (1/0+1/0+1 is odd) was added, in order to see the effect of asking such kinds of questions in sentences expressed in algebraic language4.

inhabitants of the Moon is bald.

[03] A.: The King of the inhabitants of the Moon, what does that mean? [04] C.: Well, I say, the Moon is something with no hair, if we consider the sun and its beams [05] B.: (ironically) But what are you talking about? [06] C.: No, no, I am joking, there are no inhabitants on the Moon. If they existed, I would be able to state something. [07] B.: (looks around) But what does it mean, true or false? [08] A.: I do not know who the inhabitants of the Moon are, and then, come on, there are no inhabitants on the Moon and so there is not a king. [09] B.: Then it is false.

4. Experimental data The researcher writes the first sentence on the blackboard. The second sentence will be added after ten minutes:

[10] C.: Its not as easy as it seems, in

my opinion there is something unclear. They are playing with words and so we dont understand. Lets read carefully. There is not a king, and the inhabitants, what does it mean? On the Moon there is nobody, hence the king of the Moon is the Moon itself. [11] A.: Perhaps there are some microorganisms, something that we cannot see, entities different from us. [12] C.: (gesticulating) Or think, perhaps someone saw an astronaut with his helmet, so that he looks bald and when he talks about it, so perhaps it is true. [13] A.: (sure) No, it is not relevant, it says the inhabitants of the Moon, it doesnt say the Moon or the king of the Moon is false, I mean bald. We must see the inhabitants and then the king. [14] B.: Well, in this case its false, there are no inhabitants, no king, hence of course hes not bald.

For each sentence say: Is it a true sentence? Is it a false sentence? (1) The King of the inhabitants of the Moon is bald (2) Discuss your answer in the group and write it on a sheet of paper.
Here is the (translated) transcription of the conversation that took place in the group formed by A., B., C.

4.1. Transcription

[01] A.: (smiles) What is it? [02] B.: (in a low voice) The King of the

4 Of course, a full evaluation of this important aspect ought to be based upon particular and detailed research.

254 Relime

[15] A.: Watch

out, perhaps theres a trap, as he says ( C. ), perhaps the exercise cannot be done. [16] B.: Ill divide this sentence up: when I say that the king of the inhabitants does not exist, full stop, it is false, and what follows is also false. If I say, later, that he is bald or not, this is not important, do you understand? [17] A.: (doubtful) So lets say that the sentence would be false. [18] C.: Yes, the simplest thing to do is to answer that its false. But if the question deals with a film or a tale with a king of the Moon that is bald, in that tale its true. [19] A.: Just a moment, its better to emphasize the king of the Moon, in our answer. The king is false. If we want to say that the whole sentence is false we must be able to see the king, with his hair and [20] B.: (interrupting) No, its impossible to see him, he doesnt exist. (To C.) Its no tale, otherwise they would have told us. So its false. [21] A.: (after a while) In short, one thing is to say that a sentence is false, I say that something is not true and so there is something wrong in the sentence. Another thing is to talk about someone and then say he is, for instance, bald or not; when I talk about a person, I suppose he exists. [22] B.: No, wait, but in your opinion is it enough to say something about someone who doesnt exist in order to make him real? If he doesnt exist, hes false. [23] A.: He is not false, the king; the problem is whether its false that he is bald. Lets think carefully, before answering. It seems false, but perhaps its not so.

[24] B.: Listen, think about the question

as a whole, they say the king is bald, it can be false because the king is not bald or because there is no king at all. If we want it to be true we must have the king and he must be bald. [25] C.: (looking at A., a bit impatient) Come on, its clearly false! You make us wrong, if you say that its not false, then it is true, and what do you mean? Do you mean that the inhabitants of the Moon are bald? [26] A.: Eh, its not true, its obvious. However it is not easy to understand. (Looking at B.) No, you are right, lets write false, I agree.

Now the Researcher completes the task on the blackboard:

For each sentence say: Is it a true sentence? Is it a false sentence? (1) The King of the inhabitants of the Moon is bald (2) 1/0+1/0+1 is odd Discuss your answer in the group and write it on a sheet of paper.

[27] B.: Yes, its like before. False. [28] A.: (doubtful) Just a moment

if we say false, its even. Maybe this exercise is impossible. [29] B.: No, why do you think even? Its different. Here its odd, we must look at this sentence. [30] A.: Watch out, its not like the first sentence. And what about if they had said even? [31] B.: False. It would be false, 1/0 is not a number. [32] C.: 1/0 means infinity.

[33] B.: No, the teacher told us it isnt true, 1/0 is impossible.

Everyday and Mathematical Language 100 Years After the Publication of On Denoting by Bertrand Russell

255

[34] C.:

Its not infinity but its a very very big number. How can I say if its odd or even? [35] B.: No, no, its not a number, it would be very big but actually it doesnt exist. [36] A.: Come on, there is a trick: they make you think its odd because its like 2+2+1 that would be 5, but the starting number doesnt exist. Its false, once again.

4.2. Interaction flow chart

In the following flow chart (Sfard & Kieran, 2001; Ryve, 2004) different arrow directions are used to distinguish proactive and reactive utterances. In the case considered, the essential connection with everyday language prompted us to avoid the distinction between object-level and non-object-level utterances.

In the next section we are going to analyse our experimental data (transcriptions and flow chart) on the basis of our framework.

256 Relime

5. Discussion

5.1. First sentence

In [03] A. proposes the problem of reference and in [04] C. seems to suggest the possibility of an unusual interpretation of bald (the Moon is something with no hair, if we consider the sun and its beams). However the student himself, turns back in [06] to a more usual meaning (No, no, I am joking, there are no inhabitants on the Moon). A.s next utterance, [08], can be connected to the Compositionality Principle: Come on, there are no inhabitants on the Moon and so there is not a king. C.s utterance [10] is interesting: they are playing with words and so we dont understand. Lets read carefully. There is not a king, and the inhabitants; what does it mean? On the Moon there is nobody, hence the king of the Moon is the Moon itself. He does not recognise the perfect logical order of common language (Wittgenstein, 1922, p. 5.5563): as well as referential opacity (Quine, 1960), he considers the semantic aspect and proposes an unusual suppositio (if on the Moon there is nobody, we could say that the king of the Moon is the Moon itself). C.s next utterance [12] is also interesting (Or think, perhaps someone saw an astronaut with his helmet, so that he looks bald and when he talks about it, so perhaps it is true): the communication function of the language is explicitly considered (Dummett, 1993, p. 166; see moreover: Habermas, 1999, p. 105) and this is the one point in which falsehood, although in de dicto modality, does not refer only to the problem of existence. As utterance [13] (no, it is not relevant, it says the inhabitants of the Moon, it doesnt say the Moon or the king of the

Moon is false, I mean bald. We must see the inhabitants and then the king) is not completely clear, but brings the discussion back to the main question. Now we can consider the direct comparison of B.s ideas with A.s. In [14] B. says: well, in this case its false, there are no inhabitants, no king, hence of course hes not bald. A.s utterance [15] expresses some doubts (perhaps the exercise cannot be done): he seems to choose a Fregean approach, and a conclusion avoiding the assignment of a truth value, but in [16] B. expresses his viewpoint further: Ill divide this sentence up: when I say that the king of the inhabitants does not exist, full stop: it is false, and also what follows is false. If I say, later, that he is bald or not, this is not important, do you understand? The Compositionality Principle is once again followed, but B. seems to consider a Russellean denotation. A.s utterance [17] (so lets say that the sentence would be false) does not show conviction. C.s utterance [18] refers to the importance of the context (see moreover the suppositio): now the connection between an expressions meaning and its use in a context is clear: but if the question deals with a film or a tale with a king of the Moon that is bald, in that tale its true. In [19] A. declares his willingness to accept the falsehood of the sentence considered, but underlines that it mainly refers to the existence of the king of the Moon: just a moment, its better to emphasize the king of the Moon, in our answer. The king is false. This point is interesting: like in [17], A. shows a positive frame of mind with reference to B.s position, but according to him if we want to say that the whole sentence is false we must be able to see the king, with his hair and .

Everyday and Mathematical Language 100 Years After the Publication of On Denoting by Bertrand Russell

257

After B.s reply [20], taking into account C.s objections too (Its no tale, otherwise they would have told us) and after a while, in [21] A. says: One thing is to say that a sentence is false. I say that something is not true and so there is something wrong in the sentence. Another thing is to talk about someone and then say he is, for instance, bald or not; when I talk about a person I suppose he exists. So A. seems to propose a distinction between a de dicto modality and a de re modality: the pupil would distinguish a statement like I say that the king of the Moon is bald and a statement like I say about the king of the Moon that he is bald (Penco, 2004, p. 191). The second expression, in A.s opinion, would be divided up in the following way: I am talking about the king of the Moon and (later) I say he is bald: so the expressions examined would bind the speaker. As we can see from the flow-chart, a direct comparison between A. and B. now resumes ([21]-[24]): B.s reply [22] is interesting (but in your opinion is it enough to say something about someone who doesnt exist in order to make him real? This brings to mind Meinongs position according to which objects of knowledge do not necessarily exist: Meinong, 1904, p. 27). Nevertheless, A. is not completely persuaded and certainly, in this game of giving and asking for reasons: he acknowledges in [23] the plausibility of B.s conclusions (it seems false, but perhaps its not so) but at the same time confirms his Fregean approach (he is not false, the king; the problem is whether its false that he is bald). However, the first part of the discussion is about to finish: as a matter of fact, in [24] B. states once again his Russellean viewpoint: listen, think about the question as a whole, they say the king is bald, it can be false because the king is not bald, or because there is no king at all. If we want it to be true we must have the king and he must be bald.

While [14], [16] and [22] did not completely persuade A., this utterance is crucial and conclusive (C.s utterance [25], come on, its clearly false can be compared with a well-known note of Wittgensteins: all I should further say as a final argument against someone who did not want to go that way, would be: Why, dont you see! and that is no argument: Wittgenstein, 1956, I, 34). In [26], after pointing out the lack of clarity in the expression examined (Eh, its not true, its obvious, however it is not easy to understand: and A. makes reference to a non-truth, perhaps in order to underline its difference from a falsehood) A. accepts B.s conclusions. With reference to Apels perspective, A.s doubts do not seem to be related to comprehension of the meaning of the discourse: its truth (correspondence between sentence and reality) is connected with or perhaps set against its normative correctness (respect of community rules), mainly if we consider the features of a critical analysis of the sentence itself, of the definite descriptions (Penco, 2004, p. 54) that we find in it and of the coordination of its parts ([24]: it can be false because the king is not bald, or because there is no king at all). If we keep in mind the distinction between the truth of a statement and its rational affirmability (Habermas, 1999, p. 11) and if we interpret correctness as acceptability according to rigorous conditions of communication (Habermas, 1999, p. 279), we can say that A. is induced to accept the correctness of the shared final choice thanks to the argument developed by the group of students (in particular by B.). We shall reprise these considerations in the final section of our work.

5.2. Second sentence

B.s role is now sure and, as shown by the flow-chart, the discussion about the second

258 Relime

sentence can be divided into two moments: a first debate between A. and B. ([27]-[31]) and a second debate between C. and B. ([32]-[35]). In both these moments, B. expresses his positions properly, taking into account the results of the previous discussions about the first sentence (see for instance the utterance [27]). A.s doubt [28] is interesting (the utterance is similar to [15], but now it is based upon a different argument). According to A., to say that 1/0+1/0+1 is odd is false would correspond to saying that 1/0+1/0+1 is even is true: let us note that a similar argument (to say that The king of the inhabitants of the Moon is bald is false would correspond to saying that The king of the inhabitants of the Moon is hairy is true ) was not considered by A. in the previous part of the discussion (only C.s utterance [25] can be connected to this argument). Such a difference seems to be related to the different contexts: the mathematical one, with its particular language and symbols, can suggest the use of tertium non datur. B.s strong utterance [31] ( 1/0 isnt a number) is very important: the student interprets the sentence 1/0+1/0+1 is odd as 1/0+1/0+1 is an odd number and, more precisely, 1/0+1/0+1 is a number and this number is odd . The first part of this sentence is false (the analogy with B.s utterance [16] is clear: we have once again a Russellean denotation) so all the sentence must be considered false. The discussion between C. and B. deals with the nature of 1/0: in [32] C. states 1/ 0 means infinity and, because of B.s objection ([33]: no, the teacher told us it isnt true, 1/0 is impossible), in [34] C. changes his mind and states that its a very very big number, so how can I say if its odd or even? However in [35] B. points

out: no, no, its not a number, it would be very big but actually it doesnt exist and the discussion leads A. to accept B.s justified position explicitly ([36]: the starting number doesnt exist. Its false, once again). It should be noted that the syntactic structure n+n+1 to which the second sentence makes reference can lead the students to consider an odd number. This element is very relevant, and in our opinion this is the crucial point with reference to the role of algebraic language: in the first sentence, the existence of the king of the inhabitants of the Moon would have no consequences about his hair, but now if n is an integer, n+n+1 would really be an odd number (in [36] A. says that they make you think its odd because its like 2+2+1 that would be 5, but the starting number doesnt exist). But this factor did not influence the students.

6. Concluding remarks Let us now turn back to the questions proposed in the Introduction. Clearly experimental data can lead us to state once again that language is a very important moment in which the meaning of an expression is fixed; but clearly we must also keep in mind that language, like any other semiotic system, functions inside a cultural network of significations (Radford, 2003a, p. 141). It is impossible to make reference to a completely sure set of meanings and to a single, absolute notion of truth (moreover, relevant issues concern the connection between the acquisition of a representation, namely a linguistic one, with the full conceptual acquisition of an object: DAmore, 2001b; see moreover: Duval, 1998, DAmore, 2001a, 2003a and 2003b). The experience described brings to mind a position held by Putnam (1992) according

Everyday and Mathematical Language 100 Years After the Publication of On Denoting by Bertrand Russell

259

to which the meaning (and we are thinking about a whole sentence, more than about a single word) is to be found in the community of the speakers and refers to different ways of considering the sentence (and, as we shall see, to the three different roots of rationality: Habermas, 1999, p. 99). Rorty notices that a merely subjective argument must be disregarded by the reasonable partners of a conversation (Rorty, 1979, p. 368): we realized that a meaning has been built by collective negotiation, a real game of giving and asking for reasons (Brandom, 2000); but in our opinion it is trivial to conclude that both arguments by B. and by A. are plausible (Strawson, 1950). As a matter of fact, this plausibility of both positions and their evolution lead us to posit: is it correct to propose a similar truth evaluation? Of course both sentences were ambiguous, while the choice true-false can be considered only if the assigned sentence is a real proposition: but how can our pupils recognise real propositions? The traditional answer a proposition is a statement that assumes one and only one truth value, in this case, can be circular. Moreover, it is important to realize that the ambiguity considered is not connected to the structure of the assigned sentences (for instance, 3/6+3/6+1 is odd is clearly a perfect proposition!). The task considered is neither connected only to an isolated epistemic rationality, nor refers only to coherence (Rorty, 1979, p. 199; Williams, 1996, p. 267; certain and coherent proofs can coexist with conceptual confusion: Wittgenstein, 1953, pp.II-XIV) or analogy: the comparison [27]-[31] demonstrates that the difference in the contexts (the first sentence is expressed in common language, the second refers to a mathematical context) does not authorize us to transfer the truth

value from the first to the second sentence uncritically. Moreover, the term false can have different values in different contexts (Lakoff & Johnson, 1980 p. 153). So, should we doubt everything? This question is misleading (if you tried to doubt everything you would not get as far as doubting anything. The game of doubting itself presupposes certainty: Wittgenstein, 1969b, p. 115; from the logical viewpoint we agree with Lolli, 2005, p. 13-17). Furthermore, a charge of a conventionalistic reduction of the concept of truth would be groundless (Andronico, 2000, p. 252); Wittgenstein himself would reply: So you are saying that human agreement decides what is true and what is false? It is what human beings say that is true and false; and they agree in the language they use. That is not agreement in opinions but in form of life (Wittgenstein, 1953, p. 241). As noted in 2.4, this position has been elaborated by some authors. It is important to consider our traditional notions of truth and validity: knowledges objectivity criterion is founded on public praxis instead of private certainty, so truth becomes a three members concept of validity (Habermas, 1999, p. 239), a validity justified with reference to a public (Schndelbach, 1992). The discussion of our experimental data does not allow us to conclude only that working together (in groups) is useful: such a conclusion would be induced by our opting to propose the exercise to some groups of pupils. The final common decision of the students was achieved after an active discussion, and had some consequences (Habermas, 1999, p. 137; in our case, for instance, the group must declare its decision to the Researcher, to the Teacher and to other students); so we must surpass the sphere of propositions

260 Relime

(and texts) and take into account the sphere of actions, e.g. in using a predicate (as noticed by Kambartel, 1996, p. 249). With regard to the students behavior, the discussion (in the perspective of a decision to be taken) seems to interpret the mentioned position and to develop the different roots of rationality (Habermas, 1999, p. 99). Of course the debate, under the explicit influence of the text of the assigned exercise, is still far from the ideal communication described by Habermas and by Apel (C.s role, for instance, is often minor, although his utterances related to the suppositio are really interesting); in other groups of students, the discussion developed without a final agreement (Lakoff & Johnson, 1980); nevertheless our experimental data (in particular utterances [19], [21]-[24], [28]-[31] and [32]-[35], too) enables us to state that the discussion did not lead the pupils only to a convergence of different ideas, but to a real change of viewpoint (see Habermas, 1999, p. 238 e 254). This fundamental moment can be highlighted in the utterances [24] and [35]. We would like to make a final reflection: we provided out students with a stimulating question about the truth (and the falsehood) of some sentences in different contexts, and this is quite a traditional exercise; but how can we speak about truth with any certainty? Rorty asks himself if the truth of a sentence can really be considered as independent from the context of the justification (Rorty, 1994) and our experience seems to bear out his doubt: the behavior of some students did change after the passage from a nonmathematical context to a mathematical one; for instance, in [28]-[30] and in [36] the influence of algebraic syntax is clear (A.: they make you think its odd because its like 2+2+1 that would be 5, but the starting number doesnt exist; let us remember that the mathematical

curriculum of the Italian Ginnasio-Liceo Classico includes several chapters devoted to algebraic syntax; nevertheless, as previously noted, algebraic languages general role in pupils behavior should be investigated more deeply). Reflection on these issues is important (Lakoff & Johnson, 1980, p. 197-222): a distinction between validation (Geltung) and validity (Gltigkeit) is fundamental and can lead us to weaken the traditional distinction between the validation of a statement that is approved and the validity of a statement that deserves intersubjective acknowledgment because it is true (Habermas, 1999, p. 277). If we accept that a truth predicate can be considered (also) in the language game of the argumentation, we can point out its importance (also) with reference to its functions in this language game and hence in the pragmatic dimension of a particular use of the predicate (Habermas, 1999, p. 246) and we must take into account some important consequences. Truth itself must be related to a particular culture (to a particular language system): probably students belonging to different cultures would express their arguments in a different way (as previously noted, in Italy, the Ginnasio-Liceo Classico is considered a school with high educational standards). Truth is relative to comprehension, so there are no points of view allowing us to obtain absolutely objective truth (Lakoff & Johnson, 1980, p. 236 and 283). Thus, the intercultural aspect must be considered and this point is expressed in Wittgenstein too: if anyone believes that certain concepts are absolutely the correct ones, and that having different ones would mean not realizing something that we realize then let him imagine certain very general facts of nature to be different from what we are used to, and the formation of concepts different from the usual ones will become

Everyday and Mathematical Language 100 Years After the Publication of On Denoting by Bertrand Russell

261

intelligible to him (Wittgenstein, 1953, IIXII). This point of view has been examined by M. Messeri, who concludes: so there is something intrinsically misleading in ethnocentric behavior according to which different cultures are incomplete, rough and unsatisfactory (Messeri, 2000, p. 190). Moreover, some influences of didactical contract can be considered: probably

students arguments would be different if used outside the school, in a different context. So, does the predicate of truth have different uses? Is school rationality different from everyday rationality? What are the consequences in the educational sphere? Further research can be devoted to examining these important points more deeply.

References Andronico, M. (2000). Giochi linguistici e forme di vita. In Marconi, D. (Ed.), Guida a Wittgenstein. Laterza, Roma-Bari, 241-288. Apel, K.-O. (1987). Fallibilismus, Konsenstheorie der Wahrheit und Letzbegrndung. Forum f. Philosophie. Philosophie und begrndung. Suhrkamp, Frankfurt a.M., 116-211. Bagni, G.T. (1997). Elementi di storia della logica formale. Pitagora, Bologna. Bocenski, J.M. (1956). Formale Logik. Verlag Karl Alber, Freiburg-Mnchen (page numbers refer to the Italian translation: La logica formale. Einaudi, Torino 1972). Bonomi, A. (1973). La struttura logica del linguaggio. Bompiani, Milano. Brandom, R. (1994). Making it Explicit. Harvard University Press, Cambridge MA. Brandom, R. (2000). Articulating Reasons. An Introduction to Inferentialism. Harvard University Press, Cambridge MA. Cassirer, E. (1958). Philosophie der symbolischen Formen. WBG, Darmstadt. Crombie, A.C. (1995). Commitments and styles of European scientific thinking. History of Sciences 33, 225-238. DAmore, B. (2001a). Une contribution au dbat sur les concepts et les objets mathmatiques. Scientia Paedagogica Experimentalis XXXVIII, 1, 17-46. DAmore, B. (2001b). Conceptualisation, registres de reprsentations smiotiques et notique: interactions constructivistes dans lapprentissage des concepts mathmatiques et hypothse sur quelques facteurs inhibant la dvolution. Scientia Paedagogica Experimentalis XXXVIII, 2, 143-168. DAmore, B. (2003a). La complexit de la notique en mathmatiques ou les raisons de la dvolution manqu. For the learning of mathematics, 23(1), 47-51.

262 Relime

DAmore, B. (2003b). The noetic in mathematics. Scientia Pedagogica Experimentalis XXXIX, 1, 75-82. Davidson, D. (1990). The Structure and Content of Truth. The Journal of Philosophy, 87, 279-328. Dummett, M. (1993). Language and Communication. In The Seas of Language. Oxford University Press, Oxford, 166-187. Duval, R. (1998). Signe et objet (I). Trois grandes tapes dans la problmatique des rapports entre reprsentation et objet. Annales de Didactique et de Sciences Cognitives, 6, 139-163. Frege, G. (1892). ber Sinn und Bedeutung. Zeitschrift fr Philosophie und philosophische Kritik, 100, 25-50 (Senso e riferimento. Senso, funzione e concetto, Laterza, Roma-Bari, 2001). Frege, G. (1923). Logische Untersuchungen, Dritter Teil: Gedankegefuge. Beitrage zur Philopsophie des Deutschen Idealismus, 3, 36-51 (page numbers refer to Italian translation: Ricerche logiche. Guerini, Milano 1992). Furinghetti, F. & Radford, L. (2002). Historical conceptual developments and the teaching of mathematics: from philogenesis and ontogenesis theory to classroom practice. In English L. (Ed.), Handbook of International Research in mathematics education. Erlbaum, Hillsdale, 631-654. Gadamer, H.G. (2005). Linguaggio. Laterza, Roma-Bari. Geymonat, L. (1970). Storia del pensiero filosofico e scientifico. Garzanti, Milano. Habermas, J. (1983). Moralbewusstsein und kommunikatives Handeln. Suhrkamp, Frankfurt a.M. (page numbers refer to Italian translation: Etica del discorso. Laterza, Roma-Bari 1985). Habermas, J. (1999). Wahrheit und Rechtfertigung. Philosophische Aufstze. Suhrkamp, Frankfurt a.M. (page numbers refer to Italian translation: Verit e giustificazione. Laterza, Roma-Bari 2001). Ilyenkov, E. (1977). The concept of the ideal. In Philosophy in the USSR. Problems of Dialectical Materialism. Progress Publishers, Moskwa, 71-79. Kambartel, F. (1996). Universalitt, richtig verstanden. Deutsche Zeitschrift fr Philosophie, 44, 249. Kneale, W.C. (1962). Modality De Dicto and De Re. In Nagel, E., Suppes, P. & Tarsky, A. (Eds.), Logic, Methodology and Philosophy of Science, I. The University Press, Stanford, 622-633. Kneale, W.C. & Kneale, M. (1962). The Development of Logic. Clarendon Press, Oxford.

Everyday and Mathematical Language 100 Years After the Publication of On Denoting by Bertrand Russell

263

Lakoff, G. & Johnson, M. (1980). Metaphors we live by. University of Chicago Press, Chicago (page numbers refer to Italian translation: Metafora e vita quotidiana. Bompiani, Milano 1998). Lolli, G. (2005). QED Fenomenologia della dimostrazione. Bollati Boringhieri, Torino. Lo Piparo, F. (2003). Aristotele e il linguaggio. Laterza, Roma-Bari. Marconi, D. (2000a). Il Tractatus. In Guida a Wittgenstein. Laterza, Roma-Bari, 15-58. Marconi, D. (2000b). Transizione. In Guida a Wittgenstein. Laterza, Roma-Bari, 59-102. Meinong, A. (1904). ber Gegenstandstheorie. In Meinong, A., Ameseder, R. & Mally, E., Untersuchungen zur Gegenstandstheorie und Psychologie. Barth, Leipzig, 1-50 (page numbers refer to Italian translation: Teoria delloggetto. Quodlibet, Macerata 2003). Messeri, M. (2000). Seguire la regola. In Marconi, D. (Ed.), Guida a Wittgenstein. Laterza, Roma-Bari, 151-192. Origgi, G. (2000). Introduzione a Quine. Laterza, Roma-Bari. Orilia, F. (2002). Ulisse, il quadrato rotondo e lattuale re di Francia. ETS, Pisa. Penco, C. (2004). Introduzione alla filosofia del linguaggio. Laterza, Roma-Bari. Prior, A.N. (1955). Formal Logic. Oxford University Press, London. Putnam, H. (1992). Significato, riferimento e stereotipi. In Bottani A. & Penco, C. (Eds.), Significato e teorie del linguaggio. Franco Angeli, Milano. Quine, W.V.O. (1960). Word and Object. MIT Press, Cambridge MA. Radford, L. (1997). On psychology, historical epistemology and the teaching of mathematics: towards a socio-cultural history of mathematics. For the Learning of mathematics, 17(1), 2633. Radford, L. (2003a). On the epistemological limits of language. Mathematical knowledge and social practice in the Renaissance. Educational Studies in Mathematics, 52(2), 123150. Radford, L. (2003b). On Culture and Mind. A post-Vygotskian Semiotic Perspective, with an Example from Greek Mathematical Thought, In Anderson, M. & Al. (Eds.), Educational Perspectives on Mathematics as Semiosis. Legas, Ottawa, 49-79. Rorty, R. (1979). Philosophy and the Mirror of Nature. Princeton University Press, Princeton NJ (page numbers refer to the German translation: Der Spiegel der Natur. Suhrkamp, Frankfurt a.M. 1981).

264 Relime

Rorty, R. (1994). Sind Aussagen universelle Geltungsansprche? Deutsche Zeitschrift fr Philosophie, 42(6), 975-988. Ryve, A. (2004). Can collaborative concept mapping create mathematical productive discourses? Educational Studies in Mathematics, 26, 157-177. Russell, B. (1905). On Denoting. Mind, 14, 479-493. Russell, B. (1910). Knowledge by Acquaintance and Knowledge by Description. Proceedings of the Aristotelian Society, 11, 108-128. Schndelbach, H. (1992). Thesen ber Geltung und Wahrheit. Zur Rehabilitierung des animal rationale. Suhrkamp, Frankfurt a.M., 104-115. Sfard, A. & Kieran, C. (2001). Cognition as communication. Rethinking learning-by-talking through multi-faceted analysis of students mathematical interactions. Mind, Culture, Activity, 8(1), 42-76. Sonesson, G. (1998). The Concept of Text in Cultural Semiotics. Trudy po znakyvym sistemam - Sign System Studies 26, Tartu University Press, Taru, 88-114. Strawson, P.F. (1950). On Referring. Mind, 59, 320-344 (Flew, A., Ed.: Essays in Conceptual Analysis. Macmillan, London 1960, 21-52). Vattimo, G. (Ed.) (1993). Enciclopedia Garzanti di Filosofia. Garzanti, Milano.

Von Wright, G.E. (1951). An Essay in Modal Logic. North-Holland, Amsterdam. Wartofsky, M. (1979). Perception, representation and the forms of action: towards an historical epistemology. In Models. Representation and the scientific understanding. Reidel, Dordrecht, 188-209. Williams, M. (1996).Unnatural doubts. Princeton University Press, Princeton NJ. Wittgenstein, L. (1922). Tractatus logico-philosophicus. Routledge and Kegan Paul, London. Wittgenstein, L. (1953). Philosophische Untersuchungen. Blackwell, Oxford. Wittgenstein, L. (1956). Bemerkungen ber die Grundlagen der Mathematik. Blackwell, Oxford. Wittgenstein, L. (1969a). Philosophische Grammatik. Blackwell, Oxford (page numbers refer to the Italian translation: Grammatica filosofica. La Nuova Italia, Firenze 1990). Wittgenstein, L. (1969b). ber Gewissheit. Blackwell, Oxford.

Everyday and Mathematical Language 100 Years After the Publication of On Denoting by Bertrand Russell

265

Giorgio T. Bagni Dipartimento di Matematica e Informatica Universit di Udine Italia E-mail: [email protected]

266 Relime

Relime, Nmero Especial, pp. 267-299.

267

Semiosis as a Multimodal Process

Ferdinando Arzarello 1 RESUMEN Las aproximaciones semiticas clsicas resultan ser muy estrechas para investigar los fenmenos didcticos del saln de clase de matemticas. Adems de los recursos semiticos estndares utilizados por los alumnos y los maestros (como los smbolos escritos y el lenguaje hablado), otros recursos semiticos importantes son los gestos, las miradas, los dibujos y los modos extra-lingsticos de expresin. Sin embargo, estos ltimos caben difcilmente en las definiciones clsicas de los sistemas semiticos. Para superar esta dificultad, en este artculo adopto una perspectiva vygotskiana y presento una nocin extendida de sistema semitico, el haz semitico, que se revela particularmente til para incluir todas los recursos semiticos que encontramos en los procesos de aprendizaje de las matemticas. En este artculo subrayo algunos puntos crticos en la descripcin usual de los sistemas semiticos; discuto acerca del paradigma multimodal y encarnado que ha venido emergiendo en los ltimos aos en investigaciones realizadas en psicolingustica y neurociencia y analizo los gestos desde un punto de vista semitico. Luego, introduzco la nocin de paquete semitico y lo ejemplifico a travs de un estudio de casos. PALABRAS CLAVES: Recursos semiticos, encarnamiento, multimodalidad, gestos, inscripciones.

ABSTRACT Classical semiotic approaches are too narrow to investigate the didactical phenomena in the mathematics classroom. In addition to the standard semiotic resources used by students and teachers (e.g. written symbols and speech), other important semiotic ressources include also gestures, glances, drawings and extra-linguistic modes of expressions. However, these semiotic ressurces fit with difficulties within the constraints of the classical definitions of semiotic systems. To overcome such difficulties I adopt a vygotskian approach and present an enlarged notion of semiotic system, the semiotic bundle, which reveals particularly useful for framing all the semiotic resources we find in the learning processes in mathematics. The paper stresses some critical points in the usual description of the semiotic systems; it discusses the multimodal and embodied paradigm, which is emerging in these last years from researches in psycholinguistics and neuroscience and analyses gestures from a semiotic point of view. Then it introduces the notion of semiotic bundle and exemplifies it through a case study.

Fecha de recepcin: Junio de 2006/ Fecha de aceptacin: Julio de 2006 1 Dipartimento di Matematica, Universit di Torino, Italy.

268 Relime

KEY WORDS: Semiotic resources, embodiment, inscriptions.

multimodality,

gestures,

RESUMO As aproximaes clssicas semiticas resultam ser muito limitadas para investigar os fenmenos didticos de sala de aula de matemtica. Alm aos recursos padro dos semiticos usados pelos estudantes e pelos professores (como os smbolos escritos e a lngua falada), outros recursos importantes dos semiticos so os gestos, os olhares, os desenhos e as maneiras extra-lingsticas da expresso. No obstante, estes ltimos no se adaptam bem nas definies clssicas dos sistemas dos semiticos. A fim superar esta dificuldade, neste artigo eu adoto um perspectiva vygotskiana e apresento uma noo estendida do sistema do semitico ao pacote semitico que particularmente til incluir todos os recursos dos semiticos que ns encontramos nos processos da aprendizagem da matemtica. Neste artigo eu enfatizo alguns pontos crticos na descrio usual dos sistemas semiticos.Discuto sobre o paradigma multimodal e personificado que tem emergido nos ltimos anos das investigaes feitas na psicolingustica e na neurocincia e analiso os gestos sob um ponto da vista do semitico. Logo, eu introduzo a noo do pacote do semitico e a exemplifico com um estudo dos casos. PALAVRAS CHAVE: Recursos semiticos, significao, multimodalidade, gestos, inscries.

RSUM Les approches smiotiques classiques sont trop troites pour tudier les phnomnes didactique de la salle de classe de mathmatiques. En plus des ressources smiotiques traditionnelles (comme les symboles crits et la langue) utilises par les lves et les enseignants, dautres ressources smiotiques importantes comprennent les gestes, les regards, les dessins et les modes extra-langagiers dexpression. Ces dernires rentrent difficilement dans les dfinitions classiques des systmes smiotiques. Afin de surmonter cette difficult, dans cet article jadopte une perspective vygotskienne et je prsente une notion largie de systme smiotique, le faisceau smiotique, qui savre particulirement utile afin dinclure toutes les ressources smiotiques que nous rencontrons dans les processus dapprentissage des mathmatiques. Dans cet article je souligne quelques points critiques concernant la description usuelle des systmes smiotiques; joffre une discussion du paradigme multimodal et incarn lequel a merg ces dernires annes dans le cadre des recherches menes en psycholinguistique et neuroscience. Suite cela janalyse les gestes dun point de vue smiotique. Aprs jintroduis la notion de paquet smiotique et lexemplifie travers une tude de cas. MOTS CLS: Ressources smiotiques, incarnement, multimodalit, gestes, inscriptions.

Semiosis as a Multimodal Process

269

Introduction. Semiotics is a powerful tool for interpreting didactical phenomena. As Paul Ernest points out,

of expression, which do not satisfy the requirements of the classical definitions for semiotic systems as discussed in literature (e.g. see Duval, 2001). (ii) The way in which such different registers are activated is multimodal. It is necessary to carefully study the relationships within and between registers, which are active at the same moment and their dynamics developing in time. This study can only partially be done using the classic tools of semiotic analysis. To overcome these two difficulties, I adopt a Vygotskian approach for analyzing semiotic resources and present an enlarged notion of semiotic system, which I have called semiotic bundle . It encompasses all the classical semiotic registers as particular cases. Hence, it does not contradict the semiotic analysis developed using such tools but allows us to get new results and to frame the old ones within a unitary picture. This paper is divided into three main chapters. Chapter 1 summarizes some salient aspects of (classical) Semiotics: it shows its importance for describing learning processes in mathematics ( 1.1), points out two opposite tendencies in the story of Semiotics, which reveal the inadequacy of the classical approach when it is used in the classroom (1.2), and discusses the semiotic role of artefacts, integrating different perspectives from Vygotsky to Rabardel (1.3).

Beyond the traditional psychological concentration on mental structures and functions inside an individual it considers the personal appropriation of signs by persons within their social contexts of learning and signing. Beyond behavioural performance this viewpoint also concerns patterns of sign use and production, including individual creativity in sign use, and the underlying social rules, meanings and contexts of sign use as internalized and deployed by individuals. Thus a semiotic approach draws together the individual and social dimensions of mathematical activity as well as the private and public dimensions. These dichotomous pairs of ideas are understood as mutually dependent and constitutive aspects of the teaching and learning of mathematics, rather than as standing in relations of mutual exclusion and opposition. (Ernest, 2006, p.68)
However, the classical semiotic approach places strong limitations upon the structure of the semiotic systems it considers. They generally result in being too narrow for interpreting the complexity of didactical phenomena in the classroom. As we shall discuss below, this happens for two reasons: (i) As observed by L. Radford (2002), there are a variety of semiotic resources used by students and teachers, like gestures, glances, drawings and extra-linguistic modes

Chapter 2 develops the new concept of semiotic bundle (2.1), discusses the multimodal and embodied paradigm, which has emerged in recent years from research in psycholinguistics and neuroscience

270 Relime

(2.2), and analyses gestures from a semiotic point of view (2.3).

Chapter 3 introduces a case study, which concretely illustrates the use of semiotic bundles in interpreting the didactical phenomena.
A Conclusion, with some comments and open problems, ends the paper.

1. The semiotic systems: a critical approach

1.1 Semiotics and mathematics

Charles S. Peirce points out a peculiar feature of mathematics which distinguishes it from other scientific disciplines:

reasoning, of experimenting upon this image in the imagination, and of observing the result so as to discover unnoticed and hidden relations among the parts. ... As for algebra, the very idea of the art is that it presents formulae, which can be manipulated and that by observing the effects of such manipulation we find properties not to be otherwise discerned. In such manipulation, we are guided by previous discoveries, which are embodied in general formulae. These are patterns, which we have the right to imitate in our procedure, and are the icons par excellence of algebra. (Hartshorne & Weiss, 1933, 3.363; quoted in Drfler, n.d.).
In fact, mathematical activities can develop only through a plurality of palpable registers that refer to its ideal objects:

It has long been a puzzle how it could be that, on the one hand, mathematics is purely deductive in its nature, and draws its conclusions apodictically, while on the other hand, it presents as rich and apparently unending a series of surprising discoveries as any observational science. Various have been the attempts to solve the paradox by breaking down one or other of these assertions, but without success. The truth, however, appears to be that all deductive reasoning, even simple syllogism, involves an element of observation; namely, deduction consists in constructing an icon or diagram, the relations of whose parts shall present a complete analogy with those of the parts of the object of

...the oral register, the trace register (which includes all graphic stuff and writing products), the gesture register, and lastly the register of what we can call the generic materiality, for lack of a better word, namely the register where those ostensive objects that do not belong to any of the registers above reside (2).
(Bosch & Chevallard, 1999, p. 96, emphasis in the original) These observations are the root of all semiotic approaches to mathematical thinking, some of which I shall briefly review below.

2 ...[le] registre de loralit, registre de la trace (qui inclut graphismes et critures), registre de la gestualit, enfin

registre de ce que nous nommerons, faute de mieux, la matrialit quelconque, o prendront place ces objets ostensifs qui ne relvent daucun des registres prcdemment numrs.

Semiosis as a Multimodal Process

271

Peirces observations point out different aspects of the semiotic approach: (i) the introduction of signs, namely perceivable (spatio-temporal) entities, like icons or diagrams, the relations of whose parts shall present a complete analogy with those of the parts of the object of reasoning; (ii) the manipulation of signs, namely experimenting upon this image in the imagination and/or manipulating it concretely and observing the effects of such manipulation; (iii) the emergence of rules and of strategies of manipulation: in such activities we are guided by previous discoveries, which are embodied in the signs themselves, e.g. in the general formulae of algebra, and that become patterns to imitate in our procedure. Typical examples are the signs of Algebra and of Calculus, Cartesian graphs, arrow diagrams in Graph Theory or Category Theory, but also 2D figures or 3D models in Geometry. Generally speaking, such signs are kind[s] of inscriptions of some permanence in any kind of medium (paper, sand, screen, etc) (Drfler, n.d.) that allow/ support what has been sometimes called (e.g. Drfler, ibid.) diagrammatic reasoning. The paper of Drfler provides some examples, concerning Arithmetic, Algebra, Calculus and Geometry. Other examples, albeit with different terminology, are in Duval (2002, 2006). However, as the quotation from Peirce shows, the semiotic activities are not necessarily limited to the treatment of inscriptions since they also deal with images that are acted upon in imagination (whatever it may mean): A sign is in a conjoint relation to the thing denoted and to the mind. If this relation is not of a degenerate species, the sign is related to

its object only in consequence of a mental association, and depends upon a habit. (Hartshorne & Weiss, 1933, 3.360).
I shall discuss this point below after having considered the more standard approaches to semiotic systems, which study inscriptions (signs in a more or less wide sense) and operations upon them. E.g., according to Ernest (2006, pp. 69-70), a semiotic system consists of three components: 1. A set of signs, the tokens of which might possibly be uttered, spoken, written, drawn or encoded electronically. 2. A set of rules of sign production and transformation, including the potential capacity for creativity in producing both atomic (single) and molecular (compound) signs. 3. A set of relationships between the signs and their meanings embodied in an underlying meaning structure. An essential feature of a semiotic system has been pointed out by Duval (2002), who introduced the concept of semiotic representations. The signs, relationships and rules of production and transformation are semiotic representations insofar as they bear an intentional character (this is also evident in the quotation of Peirce). This intentional character is not intrinsic to the sign, but concerns people who are producing or using it. For example, a footprint in the sand generally is not a semiotic representation in this sense: a person who is walking on the beach has no interest in producing or not producing it; however, the footprint that Robinson Crusoe saw one day was the sign of an unsuspected inhabitant of the deserted island, hence he gave it a semiotic function and for him the footprint became a semiotic representation.

272 Relime

Other important aspects of semiotic systems are their semiotic functions, which can be distinguished as transformational or symbolic (see: Duval, 2002 and 2006; Arzarello et al., 1994). The transformational function consists in the possibility of transforming signs within a fixed system or from one system to another, according to precise rules (algorithms). For example, one can transform the sign x(x+1) into (x2 + x) within the algebraic system (register) or into the graph of a parabola from the Algebraic to the Cartesian system. Duval (2002, 2006) calls treatment the first type of transformation and the second one conversion. According to Duval (2002), conversions are crucial in mathematical activities:

The characteristic feature of mathematical activity is the simultaneous mobilization of at least two registers of representation, or the possibility of changing at any moment from one register to another.
The symbolic function refers to the possibility of interpreting a sign within a register, possibly in different ways, but without any material treatment or conversion on it. E.g. if one asks if the number n(n+1) is odd or even one must interpret n and (n+1) with respect to their oddity and see that one of the two is always even. This is achieved without any transformation on the written signs, but rather by interpreting differently the signs n, (n+1) and their mutual relationships: the first time as odd-even numbers and then as even-odd numbers. The symbolic function of signs has been described by different authors using different words and from different perspectives: C.S. Peirce, C.K.Ogden & I. A. Richards (semiotics); G.

Frege (logic); L. Vygotsky (psychology) and others: see Steinbring (2005, chapter 1) for an interesting summary focusing on the problem from the point of view of mathematics education. The symbolic function possibly corresponds to the activity of experimenting upon an image in the imagination, mentioned by Peirce. All of the aforementioned authors point out the triadic nature of this function, namely that it consists in a complex (semiotic) relationship among three different components (the so called semiotic triangle), e.g. using Freges terminology, among the Sense (Sinn), the Sign (Zeichen) and the Meaning (Bedeutung). Peirce spoke of a triple relation between the sign, its object and the mind; Frege (1969) was more cautious and avoided putting forward in his analysis what he called the third world , namely the psychological side. Semiotic systems provide an environment for facing mathematics not only in its structure as a scientific discipline but also from the point of view of its learning, since they allow us to seek the cognitive functioning underlying the diversity of mathematical processes. In fact, approaching mathematical activities and products as semiotic systems also allows us to consider the cognitive and social issues which concern didactical phenomena, as illustrated by the quotation of Ernest in the Introduction. Transformational and symbolic functions of signs are the core of mathematics and they are very often intertwined. I shall sketch here a couple of examples. An interesting historical example, where both transformational and symbolic functions of semiotic registers are present is the method of completing the square in solving second order equations. This can be done within the algebraic as well as the

Semiosis as a Multimodal Process

273

geometric register. Another important example of the creative power of the symbolic function is given by the novelty of the Lebesgue integral (of a real function f in an interval [a,b]) with respect to the Riemann one. In the latter, one collects data forming the approximating integral sums subdividing the interval [ a,b ] in intervals i , each of length i less than some : the basic signs are the products li i , where li is some value of the function f in i (or its sup or inf in it) and the final sum li i is made considering the values i corresponding to all the intervals i of the subdivision. In the former, the subdivision is made considering, for each value l of f, the set l of xs such that f(x) = l: the basic signs are the products l l , and the final sum l l , is made considering all the values l that the function assumes while x varies in [a,b].

again we find the striving for manipulable diagrams which can be taken to accurately reflect the related non-diagrammatic structures and processes. (Drfler, n.d.)
Different crucial examples of this tendency are: the algebraic language, which (Harper, 1987) introduced suitable formalism to treat classes of arithmetic problems (equations included); Cartesian geometry, which allowed for the translation of the geometric figural register into the algebraic one; and arrow-diagrams in Category Theory. All such new inscriptional entries also allowed for new forms of reasoning and solving problems and hence had a strong epistemological and cognitive impact. A culminating case in this tendency toward formalization consists in the idea of formal system, elaborated by Hilbert (see Detlefsen, 1986). The construction of a (formal) axiomatization in the sense of Hilberts formalist program can be considered another method of translating into diagrams. Let us take, for instance, an axiom system for the structure of real numbers: it consists of formulas in a precise formal language together with the rules inference, e.g. first order predicate logic. These can be viewed as diagrams in the sense intended by Peirce. Proofs and theorems are then obtained by manipulating such diagrams and observing the outcomes of the manipulations (the logical deductions). One could therefore interpret (formal) axiomatization as a kind of diagrammatization (see Drfler, n.d.). Moreover, if one looks carefully at some logical ideas in Mathematical Logic developed at the turn of the twentieth century, the tendency toward formalism shows a further mathematical aspect of semiotic conversions, namely the idea of the interpretation of one theory into

1.2 Two opposite tendencies

Within the main components of a semiotic system (signs and operations on them), there is a tension between two opposite modalities, which is particularly evident when a semiotic lens is used to analyse didactical processes and not only mathematical products. This tension is in fact a by-product of the two contrasting features of mathematics pointed out by Peirce, that is, its apodictic and observational aspects. The first one consists in the strong tendency to formalize in mathematics:

The more important for the mathematical practice is the availability of a calculus which operates on diagrams (function terms) and permits to evaluate derivatives, anti-derivatives and integrals according to established diagrammatic operation rules. Here

274 Relime

another. As an example, I call to mind the second part of the book Foundation of Geometry (Hilbert, 1962), where Hilbert typically interprets geometrical objects and statements into real numbers or into some subfield of reals to build models where some specific axiom of geometry does not hold. The concept of interpretation is the logical and mathematical counterpart of the idea of conversion from one register to another. Its roots are in the conversion/interpretation of one model into another one: typically, the interpretation of a model for hyperbolic geometry within the Euclidean model, namely the Klein disk and the Poincar disk or halfplain. The rationale behind such logical approaches is that the relationships among objects represented in different ways within different registers can be shown better in one register than in another, exactly because of the specificity of the register, possibly because of the symbolic function it promotes. For instance, we can note the validity or less of an axiom of geometry in the usual Euclidean model (first register) or in a model built using only a subfield of real numbers (second register). A very recent area of research that has developed in line with this approach is the project of Reverse Mathematics (Sympson, 1999), where typically an important theorem T is proved carefully within a formal system S using some logical hypothesis H. For example, the Heine-Borel theorem in Analysis using as logical hypothesis a (weak) form of Knig lemma. Reverse Mathematics then tries to answer to the following reverse question: does it exist within S a proof of H using T as hypothesis? Namely, one tries to prove the equivalence between T and H within a suitable system S, namely the equivalence between sentences whose meaning is within

two different registers (e.g. the analysis and the logical one). The concept of interpretation has carefully refined the transformational and symbolic functions of mathematical signs during the years, from the pioneering semantic interpretations of geometrical models to the elaborate formal theories studied in Reverse Mathematics. On the one hand, this approach has enlarged the horizon of semiotic systems from within mathematics ( inner enlargement): think of the different models of reasoning induced by the Calculus inscriptions with respect to those pertaining to the algebraic ones, or to those induced by the reasoning by arrows in Category Theory. But on the other hand, it has also narrowed the horizon within which mathematical semiotic activities are considered, limiting them to their strictly formal aspects. Unfortunately, this is not enough when cognitive processes must be considered, e.g. in the teaching-learning of mathematics. In such a context, it is the same notion of signs and of operations upon them that needs to be considered with a greater flexibility and within a wider perspective. In the classroom, one observes phenomena which can be considered as signs that enter the semiotic activities of students3 but which are not signs as defined above and are not processed through specific algorithms. For example, observing students who solve problems working in group, their gestures, gazes and their body language in general are also revealed as crucial semiotic

3 Semiotic Activity is classically defined as any communicative activity utilizing signs. This involves both sign reception

and comprehension via listening and reading, and sign production via speaking and writing or sketching. The main purpose of the paper is to widen this definition.

Semiosis as a Multimodal Process

275

resources. Namely, non-written signs and non-algorithmic procedures must also be taken into consideration within a semiotic approach. Roughly speaking, it is the same notion of sign and of operations upon them that needs to be broadened. In fact, over the years, many scholars have tried to widen the classical formal horizon of semiotic systems, also taking into consideration less formal or non formal components. While formalism represents the first tendency of the aforementioned tension in Semiotics, these broadening instances from outside mathematics constitute the other tendency (outer enlargement). This tendency can already be found in the complex evolution of the sign definition in Peirce and is also contained in some pioneering observations by Vygotsky concerning the relationships between gestures and written signs, such as the following:

multiplicity, Sraffa made a gesture, familiar to Neapolitans as meaning something like disgust or contempt, of brushing the underneath of his chin with an outward sweep of the finger-tips of one hand. And he asked: What is the logical form of that? Sraffas example produced in Wittgenstein the feeling that there was an absurdity in the insistence that a proposition and what it describes must have the same form. This broke the hold on him of the conception that a proposition must literally be a picture of the reality it describes. (Malcom & Wright, 2001, p. 59)
But it is specifically in some recent research in the field of Mathematical Education that semiotic systems are being studied explicitly within a wider (outer) approach (e.g. see: Duval, 2002, 2006; Bosch & Chevallard, 1999; Steinbring, 2005, 2006; Radford, 2003a; Arzarello & Edwards, 2005). Such research deepens the original approaches by people like Peirce, Frege, Saussurre, Vygotsky and others. I will sketch some examples: the semiotic means of objectification, the notion of semiotic systems (both due to Luis Radford), the concept of Representational Infrastructure (due to J. Kaput and to R. Noss) and the so-called extra-linguistic modes of expressions (elaborated by psycholinguists). Radford introduces the notion of semiotic means of objectification in Radford (2003a). With this seminal paper, Radford makes explicit the necessity of entertaining a wider notion of semiotic system. He underlines that:

The gesture is the initial visual sign that contains the childs future writing as an acorn contains a future oak. Gestures, it has been correctly said, are writing in air, and written signs frequently are simply gestures that have been fixed. (Vygotsky, 1978, p. 107; see also: Vygotsky, L. S. 1997, p. 133.).
This was also anticipated by Ludwig Wittgenstein, who changed his mind about the centrality of propositions in discourse and the role of gestures, passing from the Tractatus to the Philosophische Untersuchungen, as the following well known episode illustrates:

Wittgenstein was insisting that a proposition and that which it describes must have the same logical form, the same logical

Within this perspective and from a psychological viewpoint, the objectification of mathematical objects appears linked to the

276 Relime

individuals mediated and reflexive efforts aimed at the attainment of the goal of their activity. To arrive at it, usually the individuals have recourse to a broad set of means. They may manipulate objects (such as plastic blocks or chronometers), make drawings, employ gestures, write marks, use linguistic classificatory categories, or make use of analogies, metaphors, metonymies, and so on. In other words, to arrive at the goal the individuals rely on the use and the linking together of several tools, signs, and linguistic devices through which they organize their actions across space and time.
Hence he defines this enlarged system as semiotic means of objectification, that is:

by virtue of being really connected with it, Hartshorne & Weiss, 1933, 3.361). A symbol is a sign that contains a rule in an abstract way (e.g. an algebraic formula).
The semiotic means of objectification also embody important cultural features. In this sense, Radford speaks of semiotic systems of cultural meanings (Radford, this volume; previously called Cultural Semiotic Systems, Radford, 2003a), that is, those systems which make available varied sources for meaning-making through specific social signifying practices; such practices are not to be considered strictly within the school environment but within the larger environment of society as a whole, embedded in the stream of its history. Furthermore, cultural semiotic systems are an example of outer enlargement of the notion of semiotic system. A similar example of enlargement of the notion of semiotic system is the concept of representational infrastructure , introduced by J. Kaput et al. (2002), which exploits some cultural and social features of signs. Discussing the appearance of new computational forms and literacies that are pervading the social and economic lives of individuals and nations alike, they write:

These objects, tools, linguistic devices, and signs that individuals intentionally use in social meaningmaking processes to achieve a stable form of awareness, to make apparent their intentions, and to carry out their actions to attain the goal of their activities.
The semiotic means of objectification constitute many different types of signs (e.g. gestures, inscriptions, words and so on). They produce what Radford calls contextual generalization, namely a generalization which still refers heavily to the subjects actions in time and space and in a precise context, even if he/she is using signs that have a generalizing meaning. In contextual generalization, signs have a two-fold semiotic nature: they are going to become symbols but are still indexes. We use these terms in the sense of Peirce (see: Hartshorne, C. & Weiss, 1933): an index gives an indication or a hint on the object, like an image of the Golden Gate makes you think of the town of San Francisco (it signifies its object solely

The real changes are not technical, they are cultural. Understanding them is a question of the social relations among people, not among things. The notational systems we use to present and re-present our thoughts to ourselves and to others, to create and communicate records across space and time, and to support reasoning and computation constitute a central part of any civilizations infrastructure. As with

Semiosis as a Multimodal Process

277

infrastructure in general, it functions best when it is taken for granted, invisible, when it simply works. (Kaput et al., 2002, p. 51).
An example both of cultural semiotic system and of representational infrastructure, discussed in Radford (2003a) and in Kaput et al. (2002), consists in the developing of algebraic symbolism, which in more than one millennium gradually freed itself from written natural language and developed within a representational infrastructure. As a last example of a broader notion of semiotic system, I refer to the distinction made by psycho-linguists between linguistic and extra-linguistic modes of expression. They describe the former as the communicative use of a sign system, the latter as the communicative use of a set of signs (Bara & Tirassa, 1999):

similarity has two aspects. One is ergonomic and is properly focused if one considers the dialectic between artefact and instrument developed by Verillon & Rabardel (1995) who introduced the notion of instrumental genesis . The other is psychological and has been pointed out by Vygotsky, who described the dialectic relationships between signs and instruments by what he called process of internalization. I shall describe both in some detail since they allow us to understand more deeply the relevance of the outer enlargements sketched above and are at the basis of my definition of semiotic bundle, which I shall introduce below. Let me start with the ergonomic theory of Verillon and Rabardel4: an artefact has its schemes of use (for example, the rules according to which one must manage a compass or a software) and as such it becomes an instrument in the hands of the people who are using it. This idea develops in a fresh way the notion of transformation on a semiotic system. In the ergonomic approach, the technical devices are considered with two interpretations. On the one side, an object has been constructed according to a specific knowledge that assures the accomplishment of specific goals; on the other side, a user interacts with this object, using it (possibly in different ways). The object in itself is called an artefact, that is, a particular object with its features realized for specific goals and it becomes an instrument, that is, an artefact with the various modalities of use, as elaborated by the individual who is using it. The instrument is conceived as the artefact together with the actions made by the subject, organized in collections of operations, classes of invariants and

Linguistic communication is the communicative use of a symbol system. Language is compositional, that is, it is made up of constituents rather than parts... Extra-linguistic communication is the communicative use of an open set of symbols. That is, it is not compositional: it is made up of parts, not of constituents. This makes for crucial differences from language... 1.3 The semiotic mediation of artefacts
In keeping with this perspective, artefacts as representational infrastructures also enter into semiotic systems. Realizing the semiotic similarity between signs and artefacts constitutes a crucial step in the story of outer semiotic enlargements. This

4 This part of the paper is taken from Arzarello & Robutti (2004).

278 Relime

utilizations schemes. The artefact, together with the actions, constitutes a particular instrument: thus, the same subject can use the same artefact as different instruments. The pair instrument-artefact can be seen as a semiotic system in the wider sense of the term. The instrument is produced from an artefact introducing its rules of use and, as such, it is a semiotic representation with rules of use that bear an intentional character: it is similar to a semiotic representation. As semiotic representations, instruments can play a fundamental role in the objectification and in the production of knowledge. For example: the compass is an artefact which can be used by a student to trace a circle as the locus of points in a plane at the same distance from a fixed point. A cardboard disk can be used for the same purpose as the compass, but the concept of circle induced by this use may be different. The transformation of the artefact into an instrument is made through suitable treatment rules, e. g. for the compass, the action of pointing it at a point and tracing a curve with a fixed ray; for the cardboard disk, the action of carefully drawing a line along its border. In a similar way, students learn to manage algebraic symbols: the signs of Algebra or of Analysis, e.g., a2-b2 or D x 2 , are transformed according to suitable treatment rules, e.g. those producing (a+b)(a-b) or 2x. Just like an artefact becomes an instrument when endowed with its using rule, the signs of Algebra or of Analysis become symbols, namely signs with a rule (recall the Peirce notion quoted above), because of their treatment rules (see also the discussion

about techniques and technologies in Chevallard, 1999). In both cases, we get semiotic systems with their own rules of treatment. As the coordinated treatment schemes are elaborated by the subject with her/his actions on/with the artefacts/signs, the relationship between the artefact/signs and the subject can evolve. In the case of concrete artifacts, it causes the so-called process of instrumental genesis, revealed by the schemes of use (the set of organized actions to perform a task) activated by the subject. In the example above, the knowledge relative to the circle is developed through the schemes of use of the compass or of the cardboard. In the case of algebraic signs, the analogous of the instrumental genesis produced by syntactic manipulations may produce different types of knowledge relative to the numerical structures (see the notion of theory as emerging from the techniques and the technologies, discussed in Chevallard, 1999). Hence, the ergonomic analysis points to an important functional analogy between artefacts and signs 5. Within a different perspective, Vygotsky had also pointed out a similar analogy between tools 6, which can support human labour, and signs, which can uphold the psychological activities of subjects:

...the invention and use of signs as auxiliary means of solving a given psychological problem (to remember, compare something, report, choose and so on) is analogous to the invention of tools in one psychological

5 A similar analogy is achieved within a different framework by Chevallard (1999). 6 In the Cambridge Dictionary, a tool is defined as something that helps you to do a particular activity, an instrument is

a tool that is used for doing something, while an artefact is an object. Following this definition, I consider the instrument
as a specific tool.

Semiosis as a Multimodal Process

279

respect. The signs act as instrument of psychological activity in a manner analogous to the role of a tool in labour. (Vygotsky, 1978, p. 52)
As I anticipated above, this common approach to signs and tools is based on the notion of semiotic mediation 7, which is at the core of the Vygotskian frame: for a survey see Bartolini & Mariotti (to appear) a paper from which I take some of the following comments. Vygotsky pointed out both a functional analogy and a psychological difference between signs and instruments. The analogy is illustrated by the following quotation, which stresses their semiotic functions:

Vygotsky, in the process of internalization, interpersonal processes are transformed into intrapersonal ones. The process of internalization (through which the plane of consciousness is formed, see Wertsch & Addison Stone, 1985, p.162) occurs through semiotic processes, in particular by the use of semiotic systems, especially of language, in social interaction:

...the basic analogy between sign and tools rests on the mediating function that characterizes each of them (ibid., p. 54).
The difference between signs and tools is so described:

the tools function is to serve as the conductor of human influence on the object of activity; it is externally oriented...The sign, on the other hand, changes nothing in the object of a psychological operation. It is a means of internal activity aimed at mastering oneself: the sign is internally oriented. (ibid., p. 55)
This distinction is central in the Vygotskyan approach, which points out the transformation from externally oriented tools to internally oriented tools (often called psychological tools) through the process of internalization. According to

...the Vygotskian formulation involves two unique premises...First, for Vygotsky, internalisation is primarly concerned with social processes. Second, Vygotskys account is based largely on the analysis of the semiotic mechanisms, especially language, that mediate social and individual functioning....Vygotskys account of semiotic mechanisms provides the bridge that connects the external with the internal and the social with the individual...Vygotskys semiotic mechanisms served to bind his ideas concerning genetic analysis and the social origins of behaviour into an integrated approach...it is by mastering semiotic mediated processes and categories in social interaction that human consciousness is formed in the individual (Wertsch & Addison Stone, 1985, pp.163-166)
As Bartolini Bussi & Mariotti (Bartolini & Mariotti, to appear) point out, Vygotsky stresses the role and the dynamics of semiotic mediation: first, externally oriented, a sign or a tool is used in action to accomplish a specific task; then, the actions with the sign or the tool (semiotic activity, possibly under the guidance of an expert), generate new signs (words included), which foster the internalization process and produce a new

7 It is described in Vygotsky (1978, especially p. 40 and ff).

280 Relime

psychological tool, internally oriented, completely transformed but still maintaining some aspects of its origin. Vygotsky describes such dynamics without any reference to mathematics; hence, his observations are general; many recent studies have adapted his framework to fit the specificity of mathematics (e.g. see Radford, 2003a; Bartolini & Mariotti, to appear).

and to a certain extent a fuzzy syntax) and artifacts, like calculators and rulers, which are not signs but have a functional meaning. (Radford, 2002, p. 21, footnote 7).
On the other hand, the psychological processes of internalization, so important in describing the semiotic mediation of signs and tools, must fill a natural place within the new model. A major step towards the common frame consists in reconsidering the notion of semiotic system along the lines suggested by Radford. Once we have a more suitable notion of semiotic system, we shall come back to the Vygotskian approach and show that this fresh notion encompasses it properly, allowing for a deeper understanding of its dynamics. This fresh frame takes into account the enormous enlargement of the semiotic systems horizon, both from the inner and from the outer side that has been described above. Once the semiotic systems have been widened to contain gestures, instruments, institutional and personal practices and, in general, extra-linguistic means of expression, the same idea of operation within or between different registers changes its meaning. It is no longer a treatment or conversion (using the terminology of Duval) within or between semiotic representations according to algorithmic rules (e.g. the conversion from the geometric to the Cartesian register). On the contrary, the operations (within or between) must be widened to also encompass phenomena that may not be strictly algorithmic: for example, practices with instruments, gestures and so on. At this point of the discussion, the above definition by Ernest can be widened to encompass all the examples we have

2. A new theoretical frame: the semiotic bundle

2.1 Definition and examples

My framework is also specific for mathematics; it allows for better combining the two issues described above, the one from semiotics, in the spirit of the quoted Ernest definition of semiotic systems, and the other from psychology, according to the Vygotskian approach. Both pictures are essential for analyzing the learning processes in mathematics; they are here integrated within a wider model. On the one hand, it is necessary to broaden the notion of semiotic system in order to encompass all the variety of phenomena of semiotic mediation in the classroom, as already suggested by Radford, who introduced a new notion of semiotic system:

The idea of semiotic system that I am conveying includes classical system of representations e.g. natural language, algebraic formulas, two or three-dimensional systems of representation, in other terms, what Duval (2001) calls discursive and non-discursive registers but also includes more general systems, such as gestures (which have an intuitive meaning

Semiosis as a Multimodal Process

281

given. We thus arrive at the notion that I have called semiotic bundle (or bundle of semiotic sets). To define it, I need first the notion of semiotic set, which is a widening of the notion of semiotic system. A semiotic set is: a) A set of signs which may possibly be produced with different actions that have an intentional character, such as uttering, speaking, writing, drawing, gesticulating, handling an artefact. b) A set of modes for producing signs and possibly transforming them; such modes can possibly be rules or algorithms but can also be more flexible action or production modes used by the subject. c) A set of relationships among these signs and their meanings embodied in an underlying meaning structure. The three components above (signs, modes of production/transformation and relationships) may constitute a variety of systems, which span from the compositional systems, usually studied in traditional semiotics (e.g. formal languages) to the open sets of signs (e.g. sketches, drawings, gestures). The former are made of elementary constituents and their rules of production involve both atomic (single) and molecular (compound) signs. The latter have holistic features, cannot be split into atomic components, and the modes of production and transformation are often idiosyncratic to the subject who produces them (even if they embody deeply shared cultural aspects, according to the notion of semiotic systems of cultural meanings elaborated by Radford, quoted above ). The word set must be interpreted in a very wide sense, e.g. as a variable collection.

A semiotic bundle is: (i) A collection of semiotic sets. (ii) A set of relationships between the sets of the bundle. Some of the relationships may have conversion modes between them. A semiotic bundle is a dynamic structure which can change in time because of the semiotic activities of the subject: for example, the collection of semiotic sets that constitute it may change; as well, the relationships between its components may vary in time; sometimes the conversion rules have a genetic nature, namely, one semiotic set is generated by another one, enlarging the bundle itself (we speak of genetic conversions). Semiotic bundles are semiotic representations, provided one considers the intentionality as a relative feature (see the above comment on the sand footprint). An example of semiotic bundle is represented by the unity speech-gesture. It has been a recent discovery that gestures are so closely linked with speech that we should regard the gesture and the spoken utterance as different sides of a single underlying mental process (McNeill, 1992, p.1), namely gesture and language are one system (ibid., p.2). In our terminology, gesture and language are a semiotic bundle, made of two deeply intertwined semiotic sets (only one, speech, is also a semiotic system). Research on gestures has uncovered some important relationships between the two (e.g. match and mismatch, see Goldin-Meadow, 2003). A semiotic bundle must not be considered as a juxtaposition of semiotic sets; on the contrary, it is a unitary system and it is only for the sake of analysis that we distinguish its components as semiotic sets. It must be observed that if one limits oneself

282 Relime

to examining only the semiotic systems and their bundles, many interesting aspects of human discourse are lost: only by considering bundles of semiotic sets can new phenomena be discovered. This wider approach is particularly fruitful when the processes and activities of people learning mathematics are scrutinized. In the research carried out by the Turin team8 we investigate semiotic bundles made of several semiotic sets: e.g. gesture, speech and written inscriptions (e.g. mathematical symbols, drawings). The results consist in describing some of the relationships and conversion rules within such a complex bundle. Semiotic bundles allow us to frame the Vygotskian notion of semiotic mediation sketched above in a more comfortable setting. The dynamics in the process of internalization, according to Vygotsky, is based on semiotic activities with tools and signs, externally oriented, which produce new psychological tools, internally oriented, completely transformed but still maintaining some aspects of their origin. According to Vygotsky, a major component in this internalization process is language, which allows for the transformations. Moreover, such transformations curtail the linguistic register of speech into a new register: Vygotsky calls it inner speech and it has a completely different structure. This has been analyzed by Vygotsky in the last (7th) chapter of Thought and Language

(Vygotsky, 1992), whose title is Thought and Word . Vygotsky distinguishes two types of properties that allow us to distinguish the inner from the outer language: he calls them structural and semantic properties. The structural properties of the inner language are its syntactic reduction and its phasic reduction: the former consists in the fact that inner language reduces to pure juxtaposition of predicates minimizing its syntactic articulation; the latter consists in minimizing its phonetic aspects9, namely curtailing the same words. According to Vygotskys frame, the semantic properties of the inner language are based on the distinction made by the French psychologist Frederic Pauhlan between the sense and the meaning of a word and by the preponderance of the sense [smysl] of a word over its meaning [znachenie] (Vygotsky, 1978, p. 244):

the sense is...the sum of all the psychological events aroused in our consciousness by the word. It is a dynamic, fluid, complex whole, which has several zones of unequal stability. Meaning is only one of the zones of sense, the most stable and precise zone. A word acquires its sense from the context in which it appears; in different contexts, it changes its sense. (ibid., p. 244245).

This is being done by our colleagues Luciana Bazzini and Ornella Robutti, by some doctoral and post-doc students,

like Francesca Ferrara and Cristina Sabena, and by many teachers (from the elementary to the higher school level) that participate actively to our research, like Riccardo Barbero, Emilia Bulgarelli, Cristiano Dan, Silvia Ghirardi, Marina Gilardi, Patrizia Laiolo, Donatella Merlo, Domingo Paola, Ketty Savioli, Bruna Villa and others.
9

To make an analogy with the outer language, Vygotsky recalls an example, taken from Le Maitre (1905), p. 41: a child

thought to the French sentence Les montagnes de la Suisse sont belles as L m d l S s b considering only the initial letters of of the sentence. Curtailing is a typical feature of inner language.

Semiosis as a Multimodal Process

283

In inner language, the sense is always overwhelming the meaning. This prevailing aspect of the sense has two structural effects on inner language: the agglutination and the influence. The former consists in gluing different meanings (concepts) into one expression10; the latter happens when the different senses flow together11 into one unity. To explain the properties of inner speech, Vygotsky uses analogies that refer to the outer speech and these give only some idea of what he means: in fact, he uses a semiotic system (written or spoken language) to describe something which is not a semiotic system. The grounding metaphors through which Vygotsky describes inner speech show its similarity to semiotic sets: properties like agglutination and influence make inner speech akin to some semiotic sets, like drawings, gestures and so on. Also, the syntactic phenomena of syntactic and phasic reduction mean that the so-called linear and compositional properties of semiotic systems are violated. Vygotskys description through the lens of semiotic systems makes this aspect only partially evident. The notion of semiotic bundle properly frames the most important point in Vygotskys analysis, namely, the semiotic transformations that support the transformation from outer to inner speech (internalization). The core of Vygotskys analysis, namely, the internalization process, consists exactly in pointing out a genetic conversion within a semiotic bundle: it

generates a fresh semiotic component, the inner speech, from another existing one, the outer speech. The description is given using the structure of the former, which is clearly a semiotic system, to build grounding metaphors in order to give an idea of the latter, which is possibly a semiotic set. The whole process can be described as the enlarging of a bundle through a genetic conversion process. The main point of this paper consists in using the notion of semiotic bundle to frame the mathematical activities that take place in the classroom. I will argue that learning processes happen in a multimodal way, namely in a dynamically developing bundle, which enlarges through genetic conversions and where more semiotic sets are active at the same moment. The enlargement consists both in the growing of (the number of) active semiotic sets within the bundle and in the increase of the number of relationships (and transformations) between the different semiotic sets. Their mutual relationships will be analyzed through two types of lenses, which I have called synchronic and diachronic since they analyze the relationship among processes that happen simultaneously or successively in time. The two approaches, which will be discussed below, allow us to frame many results in a unitary way: some are already known but some are new. In particular, I shall investigate the role of gestures in the mathematical discourses of students12. I will argue that they acquire a specificity in the

10 Vygotsky makes the analogy with the outer language alluding to so-called agglutinating languages which put together

many different words to constitute a unique word.

11 To give an idea of influence, Vygotsky makes reference to The Dead Souls by N.V. Gogol whose title, by the end of

the book, should mean to us not so much the defunct serfs as all the characters in the story who are alive physically but

dead spiritually (ibid., p. 247)

12 Another research project that our group is pursuing concerns the role of teachers gestures with respect to the learning

processes of students: how they are shared by students and how they influence their conceptualization processes.

284 Relime

construction of meaning in mathematical activities because of the rich interplay among three different types of semiotic sets: speech, gestures and written representations (from sketches and diagrams to mathematical symbols). They constitute a semiotic bundle, which dynamically evolves in time. To properly describe this interplay and the complex dynamics among the different semiotic sets involved in the bundle, I need some results from psychologists, who study gesture. In the next two sections (2.2 and 2.3) I will sketch out some of these.

modalities of action and perception are integrated at the level of the sensory-motor system itself and not via higher association areas. (ibid., p. 459). Accordingly, language is inherently multimodal in this sense, that is, it uses many modalities linked togethersight, hearing, touch, motor actions, and so on. Language exploits the pre-existing multimodal character of the sensory-motor system. (ibid., p. 456).
The paradigm of multimodality implies that the understanding of a mathematical concept rather than having a definitional essence, spans diverse perceptuomotor activities, which become more or less active depending of the context. (Nemirovsky, 2003; p. 108). Semiotic bundles are the real core of this picture: they fit completely with the embodied and the multimodal approach. At least one consequence of this approach is that the usual transformations and conversions (in the sense of Duval) from one register to the other must be considered as the basic producers of mathematical knowledge. Furthermore, its essence consists in the multimodal interactions among the different registers within a unique integrate system composed of different modalities: gestures, oral and written language, symbols, and so on (Arzarello & Edwards, 2005; Robutti, 2005). Also, the symbolic function of signs is absorbed within such a picture. Once the multimodal nature of processes is on the table, manipulations of external signs and of mental images show a common psychological basis: transformational and symbolic functions are revealed as processes that have a deep common nature.

2.2 Semiotic bundles and multimodality

In mathematics, semiotic representations are deeply intertwined with mental ones (see the discussion in Duval, 2006, pp. 106-107). On the one side, there is a genetic relationship between them: the mental representations which are useful or pertinent in mathematics are always interiorized semiotic representations (Duval, 2002, p.14). See also the discussion on the internalisation processes in Vygotsky. On the other side, very recent discoveries in Neuropsychology underline the embodied and multimodal aspects of cognition. A major result of neuroscience is that conceptual knowledge is embodied, that is, it is mapped within the sensory-motor system (Gallese & Lakoff, 2005, p.456). The sensory-motor system not only provides structure to conceptual content, but also characterizes the semantic content of concepts in terms of the way in which we function with our bodies in the world (ibid.). The sensory-motor system of the brain is multimodal rather than modular; this means that

an action like grasping...(1) is neurally enacted using neural substrates used for both action and perception, and (2) that the

Semiosis as a Multimodal Process

285

I will argue that if we mobilize a rich semiotic bundle with a variety of semiotic sets (and not only semiotic systems) with their complex mutual relationships (of transformation, conversion, symbolic functions as multimodal interactions among them) students are helped to construct integrated models for the mathematical knowledge they are supposed to learn and understand. In fact, mathematical activity is featured by the richness of the semiotic bundle that it activates. However, things may not be so in the school, where two negative phenomena can push the process in the opposite direction. I call them the Piaget and the Wittgenstein effect, respectively: a) (Piaget effect). Piaget made the search for isomorphisms one of the key principles for analyzing knowledge development in children. This emphasis risks underestimating the relevance of the different registers of representation:

classroom is that only some semiotic systems are considered, while semiotic bundles (generally not even restricting oneself to the bundles of semiotic systems) are not taken into account. And even when different semiotic systems are considered, they are always conceived as signifiers of the same object. On the contrary, the representations within a semiotic bundle have their own specificity in promoting an integrated mental model according to the multimodal paradigm, as we shall show in the next chapter.

2.3 Gestures within semiotic bundles

Among the components of semiotic bundles, the semiotic set of gestures has an important role, especially when its relationship with speech and written signs are considered within a multimodal picture. Psychologists have mainly studied gestures in day to day conversation: I shall go over some of their findings in the remaining part of this chapter and I will describe the relationship of gestures (and speech) to written signs in Chapter 3. To do this, I will elaborate upon some of the papers in Arzarello & Edwards (2005), especially the Introduction, and I will also quote some results of Bucciarelli (in print). Two main points from psychology are important to discuss the way gestures enter into the multimodal semiotic analysis within which we frame the understanding of mathematical concepts in students. The first point concerns the so-called Information Packaging Hypothesis . It expands the idea that gestures, together with language, help constitute thought (McNeill, 1992, p. 245). According to McNeill (p. 594-5), gesture plays a role in cognitionnot just in communication since it is involved in the conceptual planning of the messages and plays a role

Dismissing the importance of the plurality of registers of representation comes down to acting as if all representations of the same mathematical object had the same content or as if the content of one could be seen from another as if by transparency! (Duval, 2002, p.14).
b) (Wittgenstein effect). Recall the story about Sraffa and Wittgenstein. The author of Tractatus in the first phase of his research revealed a sort of blindness to semiotic sets (in that case, the gesture register). This is also the case for many mathematicians and teachers: they are possibly interested in semiotic systems as formal systems, while the wider semiotic sets are conceived as something that is not relevant for mathematical activities, especially at the secondary school level. A consequence of these effects in the

286 Relime

in speech production because it plays a role in the process of conceptualization. Gesture helps speakers organize rich spatio-motoric information into packages suitable for speaking [...] by providing an alternative informational organization that is not readily accessible to analytic thinking, the default way of organizing information in speaking (Kita, 2000). Spatio-motoric thinking (constitutive of what Kita calls representational gestures) provides an alternative informational organization that is not readily accessible to analytic thinking (constitutive of speaking organization). Analytic thinking is normally employed when people have to organize information for speech production, since speech is linear and segmented (composed of smaller units); namely, it is a semiotic system. On the other hand, spatio-motoric thinking is instantaneous, global and synthetic, not analyzable into smaller meaningful units, namely, it is a semiotic set. This kind of thinking and the gestures that arise from it are normally employed when people interact with the physical environment, using the body (interactions with an object, locomotion, imitating somebody elses action, etc.). It is also found when people refer to virtual objects and locations (for instance, pointing to the left when speaking of an absent friend mentioned earlier in the conversation) and in visual imagery. Within this framework, gesture is not simply an epiphenomenon of speech or thought; gesture can contribute to creating ideas:

representations characteristic of speech are joined with the globalsynthetic and holistic representations characteristic of gesture. The synthesis does not exist as a single mental representation for the speaker until the two types of representations are joined. The communicative act is consequently itself an act of thought. ... It is in this sense that gesture shapes thought. (Goldin-Meadow, 2003, p. 178).
A second point, claimed by Bucciarelli (in press), concerns the relationships between Mental Models (see Johnson Laird, 1983, 2001) and gestures. Many studies in psychology claim that the learning of declarative knowledge involves the construction of mental models. Bucciarelli argues that gestures accompanying discourse can favour the construction of such models (and therefore of learning). In Cutica & Bucciarelli (2003) it is shown that when gestures accompany discourse the listener retains more information with respect to a situation in which no gestures are performed: The experimental evidence is in favour of the fact that gesture do not provide redundancy, rather they provide information not conveyed by words (Bucciarelli, in press). Hence, gestures lead to the construction of rich models of a discourse, where all the information is posited in relation with the others (ibid.). In short, the main contribution of psychology to the theory of semiotic bundles consists in this: the multimodal approach can favour the understanding of concepts because it can support the activation of different ways of coding and manipulating the information (e.g. not only in an analytic fashion) within the semiotic bundle. This can foster the construction of

According to McNeill, thought begins as an image that is idiosyncratic. When we speak, this image is transformed into a linguistic and gestural form. ... The speaker realizes his or her meaning only at the final moment of synthesis, when the linear-segmented and analyzed

Semiosis as a Multimodal Process

287

a plurality of mental models, whose integration can produce deep learning. Of course these observations are general and concern general features of learning. In the next chapter, I shall discuss how this general frame can be adapted to the learning of mathematics. This attention to semiotic bundles underlines the fact that mathematics is inseparable from symbolic tools but also that it is impossible to put cognition apart from social, cultural, and historical factors (Sfard & McClain, 2002, p. 156), so that cognition becomes a culturally shaped phenomenon (ibid.). In fact, the embodied approach to mathematical knowing, the multivariate registers according to which it is built up and the intertwining of symbolic tools and cognition within a cultural perspective are the basis of a unitary frame for analyzing gestures, signs and artefacts. The existing research on these specific components finds a natural integration in such a frame (Arzarello & Edwards, 2005). In the next chapter, I will focus the attention on the ways in which semiotic bundles are involved in the processes of building mathematical knowledge in the classroom.

is a consequence of these social interactions, which can happen and develop because of the didactical situations to which the students are exposed. As I shall sketch below, they are accustomed to developing mathematics discussions during their mathematics hours. The richness of the semiotic bundle that they use depends heavily on such a methodology; in a more traditional classroom setting, such richness may not exist and this may be the cause of many difficulties in mathematical learning: see the comments in Duval (2002, 2006), already quoted, about this point. The example under consideration concerns elementary school and has been chosen for two reasons: (1) it is emblematic of many phenomena that we have also found at different ages; (2) the simplicity of the mathematical content makes it accessible for everyone. In the example, I shall show that students in a situation of social interaction use a variety of semiotic sets within a growing semiotic bundle and I shall describe the main mutual relationships among them. To do that, I will use two types of analysis, each focusing on a major aspect of such relationships. The first one is synchronic analysis, which studies the relationships among different semiotic sets activated simultaneously by the subject. The second is diachronic analysis, which studies the relationships among semiotic sets activated by the subject in successive moments. This idea has been introduced by the authors in Arzarello & Edwards (2005) under the names of parallel and serial analysis. I prefer the terminology la Saussurre (13) because it underlines the

3. Semiotic bundles in mathematics learning.

3.1 Synchronic and diachronic analysis

In this chapter, I will illustrate how the notion of semiotic bundle can suitably frame the mathematising activities of young students who interact with each other while solving a mathematical problem. What we will see

13 Saussure distinguishes between synchronic (static) linguistics and diachronic (evolutionary) linguistics. Synchronic

linguistics is the study of language at a particular point in time. Diachronic linguistics is the study of the history or evolution of language.

288 Relime

time component that is present in the analysis. However, our time grain is at a different scale, that is, while Saussurre considers long periods of time concerning the historical evolution of at most two semiotic systems (spoken and written language), I consider the interactions among many different semiotic sets over very short periods of time. Synchronic analysis, even if under a different name, is present in the study of gestures: e.g. the distinction made by Goldin-Meadow between matching and mismatching considers gesture and speech produced at the same moment and conveying equal or different information. Another example of synchronic analysis can be made in mathematics when considering the production of drawings (or formulas) and of speech by students who are solving a problem (see e.g. Arzarello, 2005; but the literature is full of examples). A further example is the semiotic node, discussed by Radford et al. (2003b). Also, diachronic analysis is not completely new in the literature on signs: e.g. see the notion of mathematical objectification in Radford, or that of conversion in Duval, both discussed above. The power of diachronic analysis changes significantly when one considers the semiotic bundles. In fact, the relationship between sets and systems of signs cannot be fully analyzed in terms of translation or of conversion because of the more general nature of the semiotic sets with respect to the semiotic systems. The modes of conversion between a semiotic set and a semiotic system make evident a genetic aspect of such processes, since a genuine transformation (conversion) is a priori impossible. In fact, a transformation presupposes an action between two already existing systems like in the translation from one language to another.

In our case, on the contrary, there is a genesis of signs from a set or a system to a system or a set. The fresh signs with the new set (system) are often built preserving some features of the previous signs (e.g. like the icon of a house preserves some of the features of a house according to certain cultural stereotypes). The preservation generally concerns some of the extralinguistic (e.g. iconic) features of the previous signs, which are generating new signs within the fresh semiotic set (or system); possibly, the genesis continues with successive conversions from the new sets (systems) into already codified systems. Hence, the process of conversion described by Duval concerns mainly the last part of the phenomenon, which involves the transformation between already existing systems. Our analysis shows that such process starts before and has a genetic aspect, which is at the root of the genesis of mathematical ideas. The main point is that only considering semiotic sets allows us to grasp such a phenomenon, possibly through a diachronic analysis. In fact, nothing appears if one considers only semiotic systems or considers synchronic events. One could think that such a genesis is far from the sophisticated elaborations of more advanced mathematics. But things are not so; I have examples of this genesis concerning the learning of Calculus (see: Arzarello & Robutti, to appear). The two analyses, synchronic and diachronic, allows us to focus on the roles that the different types of semiotic sets involved (gestures, speech, different inscriptions, from drawings to arithmetic signs) play in the conceptualization processes of pupils. The general frame is that of multimodality, sketched above.

Semiosis as a Multimodal Process

289

3.2 The example 14

The activity involves pupils attending the last year of primary school (5th grade, 11 y.o.); the teacher gives them a mathematical story that contains a problem to solve, taken from the legend of Penelopes cloth in Homers Odyssey. The original text was modified to get a problemsolving situation that necessitated that the students face some conceptual nodes of mathematics learning (decimal numbers; space-time variables). The text of the story, transformed, is the following:

On the island of Ithaca, Penelope had been waiting twenty years for the return of her husband Ulysses from the war. However, on Ithaca a lot of men wanted to take the place of Ulysses and marry Penelope. One day the goddess Athena told Penelope that Ulysses was returning and his ship would take 50 days to arrive in Ithaca. Penelope immediately summoned the suitors and told them: I have decided: I will choose my bridegroom among you and the wedding will be celebrated when I have finished weaving a new piece of cloth for the nuptial bed. I will begin today and I promise to weave every two days; when I have finished, the cloth will be my dowry. The suitors accepted. The cloth had to be 15 spans in length. Penelope immediately began to work, but one day she would weave a span of cloth, while the following day, in secret, she would undo half a span Will Penelope choose another husband? Why?
When the Penelopes story was submitted to the students (Dec. 2004- Feb. 2005) they

were attending the last year of primary school (5th grade). Later, in April-May 2005, in the same school six more teachers submitted the story to their classrooms, as part of an ongoing research project for the Comenius Project DIAL-Connect (Barbero et al., in press). Students were familiar with problem solving activities, as well as with interactions in group. They worked in groups in accordance with the didactical contract that foresaw such a kind of learning. The methodology of the mathematical discussion was aimed at favouring the social interaction and the construction of shared knowledge. As part of the didactical contract, each group was also asked to write a description of the process followed to reach the problem solution, including doubts, discoveries, heuristics, etc. The students work and discussions were videotaped and their written notes were collected. The activity consisted of different steps that we can summarize as follows. First, the teacher reads the story and checks the students understanding of the text; the story is then delivered to the groups. Different materials are at the students disposal, among which paper, pens, colours, cloth, scissors, glue. In a second phase, the groups produce a written solution. The teacher invites the groups to compare the solutions in a collective discussion; she analyses strategies, difficulties, misconceptions, thinking patterns and knowledge content to be strengthened. Then, a poster with the different groups solutions is produced. In the final phase, the students are required to produce a number table and a graph representing the story; they work individually using Excel to construct the table and the graph of the problem solution. Again, they discuss about different solutions and share conclusions.

14 This part of the paper is partially taken from Arzarello et al. (2006), with the permission of the other authors.

290 Relime

The part of the activity analyzed below is a small piece of the initial phase (30); it refers to a single group composed of five children: D, E, M, O, S, all of them medium achievers except M, who is weak in mathematical reasoning.

process. We shall sketch some of the main episodes and will comment a few key points in the final conclusion (numbers in brackets indicate time).

3.3 Analysis: a story of signs under the lenses of diachronic and synchronic analysis.
The main difficulty of the Penelope problem is that it requires two registers to be understood and solved: one for recording the time, and one for recording the successive steps of the cloth length. These registers must be linked in some way, through some relationship (mathematicians would speak of a function linking the variables time and cloth length). At the beginning, these variables are not so clear for the students. So, they use different semiotic sets to disentangle the issue: gestures, speech, written signs. They act with and upon them; they interact with each other; they repeatedly use the text of the story to check their conjectures; they use some arithmetic patterns. We see an increasing integration of these components within a semiotic bundle: in the end, they can grasp the situation and objectify a piece of knowledge as a result of a complex semiotic and multimodal

Episode 1. The basic gestures (synchronic analysis). After reading the text, the children start rephrasing, discussing and interpreting it. To give sense to the story, they focus on the action of weaving and unraveling a span of cloth which is represented by different gestures: a hand sweeping across the desk (Fig. 1), the thumb and the index extended (Fig. 2), two hands displaced parallel on the desk (Figs. 3 and 4). Some gestures introduced by one student are easily repeated by the others and become a reference for the whole group. This is the case of the two parallel hands shown in Figs. 3 and 4. Attention is focused on the action, and the gestures occur matching either the verbal clauses or the span, as we can see from the following excerpt: (658) S: She makes a half ( hand gesture in Fig. 2), then she takes some away ( she turns her hand ), then she makes ( again, her hand is in the position of Fig. 2) []

Figure 1

Figure 2

Figure 3

Figure 4

Semiosis as a Multimodal Process

291

E: It is as if you had to make a piece like this, it is as if you had to make a piece of cloth like this, she makes it (gesture in Fig. 3). Then you take away a piece like this (gesture in Fig. 5), then you make again a piece like this (gesture in Fig. 3) and you take away a piece like this (gesture in Fig. 5) O: No, look because she made a span (Fig. 4) and then, the day after, she undid a half (O carries her left hand to the right), and a half was left right? then the day after D: (D stops O) A half was always left

Episode 2. A new semiotic set: from gestures to written signs (diachronic analysis). After having established a common understanding of what happens in Penelopes story, the children look for a way to compute the days. S draws a (iconic) representation of the work Penelope does in a few days, actually using her hand to measure a span on paper. The previous gesture performed by different students (Figs. 3-5) now becomes a written sign (Fig. 6). As had happened before with words and gestures, the drawing is also imitated and re-echoed by the others (Fig. 7): even these signs, generated by the previous gestures, contribute to the growth of the semiotic bundle. The use of drawings makes palpable to the students the need of representing the story using two registers. See the two types of signs in Figs. 7-8: the vertical parallel strokes (indicating spans of cloth) and the bow sign below them (indicating time).

Figure 5

The dynamic features of gestures that come along with speech condense the two essential elements of the problem: time passing and Penelopes work with the cloth. Their existence as two entities is not at all explicit at this moment, but, through gesturing, children make the problem more tangible. The function of gestures is not only to enter into the problem, but also to create situations of discourse whose content is accessible to everyone in the group. The rephrasing of similar words and gestures by the students (see the dispositions of the hands in Fig. 4) starts a dynamics for sharing various semiotic sets, with which the group starts to solve the problem. At the moment, the semiotic bundle is made up of their gestures, gazes and speech .

Episode 3. The mutimodality of semiotic sets I: towards a local rule (diachronic + synchronic analysis). In the following excerpts, the children further integrate what they have produced up to now (speech, gestures and written representations) and also use some arithmetic; their aim is to grasp the rule in the story of the cloth and to reason about it. They can now use the written signs as gestures that have been fixed (Vygotsky, 1978; p. 107) and represent the story in a condensed way (see Fig. 8); moreover, they check their conjectures reading again the text of the problem:

292 Relime

(1030) S: From here to here it is two spans (she traces a line, mid of Fig. 8 ). If I take half, this part disappears ( she traces the horizontal traits in Fig. 8) and a span is left; therefore in two days she makes a span O: No, in four days, in four, because S: In four days she makes two spans, because (she traces the curve under the traits in Fig. 8)plus this O: In four days she makes one, because (she reads the text), one day she wove a span and the day after she undid a half As one can see in Fig. 7, S tries to represent on paper Penelopes work of weaving and also of unraveling, which causes troubles, because of the necessity of marking time and length in different ways. These two aspects naturally coexisted in gestures of Figg. 1-3. O finds the correct solution (4 days for a span),

but the group does not easily accept it and O gets confused. The drawing introduced by S (Fig. 8) represents the cloth, but with holes; due to the inherent rigidity of the drawing, students easily see the span, but not half a span. A lively discussion on the number of days needed to have a span begins. Numbers and words are added to the drawings (Figs. 910) and fingers are used to compute (Fig. 11). New semiotic resources enter the scene within different semiotic sets which are integrating each other more and more, not by juxtaposition or translation but by integration of their elements: they all continue to be active within the semiotic bundle, even later, as we shall see below.

Episode 4. The multimodality of semiotic sets II: towards a global rule (diachronic analysis). Once the local question of how many days for a span is solved, the next step is to

Figure 6

Figure 7

Figure 8

Figure 9

Figure 10

Figure 11

Semiosis as a Multimodal Process

293

solve the problem globally. To do that, the rule of 4 days for a span becomes the basis (Fig.12) of an iterative process: (1330) O, E: it takes four days to make a whole span (E traces a circle with the pen all around: Fig. 12) D: and another four to make a span (D shows his fingers) and it adds to 8 (D counts with fingers) S: so, we have to count by four and arrive at 50 days (forward strategy: Fig. 13) [...] (1425) O: no, wait, for 15 spans, no, 4 times 15 S: no, take 15, and always minus 4, minus 4, minus 4 (or: 4 times 5), minus 2, no, minus 1 [backward strategy: Fig. 14] Two solving strategies are emerging here: a forward strategy (counting 4 times 15 to see how many days are needed to weave the cloth) and a backward strategy (counting 4 days less 15 times to see if the 50 days are enough to weave the cloth). The two strategies are not so clear to the children and conflict with each other. In order to choose one of them, the children use actual pieces of paper, count groups of four days according to the forward strategy and so they acquire direct control over the computation. Only afterwards do they compute using a table and find that 60 days are needed for 15 spans of cloth. In this way, they can finally answer the

question of the problem and write the final report: Penelope will not choose another bridegroom.

Conclusions The story of signs described in the example illustrates the nature of semiotic bundles. The first signs (gestures, gazes and speech) constitute a first basic semiotic bundle, through which the children start their semiotic activities. Through them, the bundle is enriched with new semiotic sets (drawings and numbers) and with a variety of fresh relationships among them. The enlargement occurs through genetic conversions, namely through a genetic process, where the previous semiotic sets (with their mutual relationships) generate new semiotic components and change because of this genesis, becoming enriched with fresh mutual relationships. By so doing, not only do the students produce new semiotic sets, but the sensein the Vygotskian meaning of the wordof the older ones is transformed, still maintaining some aspects of their origin. All these processes develop within a gradually growing and multimodal cognitive environment that we have analyzed through the lens of the semiotic bundle. The story of the bundle starts with the gesture of the two hands displaced parallel on the desk (episode 1). This gesture later generates a written iconic representation

Figure 12

Figure 13

Figure 14

Figure 15

294 Relime

(episode 2), successively enriched by numerical instances (episode 3) and by arithmetic rules (episode 4), expressed through speech and (new and old) gestures. Gesture, speech, written signs and arithmetic representations grow together in an integrated way supporting the semiotic activities within the semiotic bundle which enlarges more and more. Students develop their semiotic activities and share them: it is exactly through such activities that they can grasp the problem, explore it and elaborate solutions. All the components are active in a multimodal way up to the end. This is even evident when the students discuss how to write the solution in the final report (Fig. 15: 27 32). Gestures and speech intervene first as cognitive means for understanding the story of the cloth; later as means of control for checking the conjectures on the rule. Information is condensed in gestures, entailing a global understanding of the story. The two variables (time and cloth development), first condensed in gesture (an agglutination example in the sense of Vygotsky), generate two different signs in the fresh semiotic set (drawings) that they themselves have generated within the semiotic bundle: it is exactly this disentanglement that allows children to grasp the story separating its structural elements. On its own, speech objectifies the structure of the story, first condensing the local rule in a sentence (episode 3), then exploiting the general rule as an iterative process (episode 4). The semiotic objectification in this story happens because of the semiotic activities within the semiotic bundle. It is evident that it constitutes an integrated semiotic unity; the activity within it does not consist of a sequence of transcriptions from one register

to another, as posited in other studies (e.g. Duval, 1993). On the contrary, it develops in a growing, holistic and multimodal way, which, in the end, produces the objectification of knowledge. The lenses of semiotic bundles allow us to frame the semiotic phenomena that occur in the classroom within a unitary perspective. Moreover, a semiotic bundle also incorporates dynamic features, which can make sense of the complex genetic relationships among its components, e.g. the genetic conversions and the Vygotskian internalization processes. This study leaves many problems open: I list only some of those I am interested in studying in the near future: 1. Elsewhere (Arzarello, in press), I introduced the notion of Space of Action, Production and Communication (APCspace) as an environment in which cognitive processes develop through social interaction; its components are: culture, sensory-motor experiences, embodied templates, languages, signs, representations, etc. These elements, merged together, shape a multimodal system through which didactical phenomena are described. An interesting problem consists in studying the relationships between the semiotic bundles and the APC-space. 2. The time variable is important in the description of semiotic bundles, e.g. it is relevant to the diachronic and synchronic analysis. What are the connections between this frame and the didactic phenomena linked to students inner times15, like those described in Guala & Boero (1999)? There, the authors

15

I thank Paolo Boero for suggesting this problem to me.

Semiosis as a Multimodal Process

295

list different types of inner times in students problem solving activities (the time of past experience, the contemporaneity time, the exploration time, the synchronous connection time), which make sense of their mental dynamics. Of course, such activities can be analyzed with semiotic lenses. How do the different inner times enter into a semiotic bundle? Which kinds of conversions or treatments can they generate from one semiotic set to another or within the same semiotic set?.

3. In the processes of students who build new knowledge, there are two dual directions in the genetic conversions within the semiotic bundle: from semiotic sets to semiotic systems (e.g. from gestures to drawings and symbols) or the opposite. The episodes in Penelopes story are an example of the first type, while Vygotsky describes the second type in the internalization processes (a similar example is described in Arzarello & Robutti, to appear). It would be interesting to clarify the nature of this duality of processes.

Aknowledgments Research program supported by MIUR, the Universit di Torino and the Universit di Modena e Reggio Emilia (PRIN Contract n. 2005019721). I thank L. Bazzini, R. Barbero, F. Ferrara, D. Paola, O. Robutti, C. Sabena, and B. Villa, without whose work and encouragement this paper would not exist.

References Arzarello, F. (in press). Mathematical landscapes and their inhabitants: perceptions, languages, theories, Proceedings ICME 10, Plenary Lecture. Arzarello F., L.Bazzini, Chiappini G.P. (1994), Intensional semantics as a tool to analyse algebraic thinking, Rendiconti del Seminario Matematico dellUniversit di Torino, 52 (1), 105-125. Arzarello, F & Edwards, L. (2005). Gesture and the Construction of Mathematical Meaning (Research Forum 2), Proc. 29th Conf. of the Int. Group for the Psychology of Mathematics Education (Vol. 1, pp. 122-145). Melbourne, AU: PME. Arzarello F. & Robutti, O. (2004). Approaching functions through motion experiments. In: R. Nemirovsky, M. Borba & C. DiMattia (eds.), Bodily Activity and Imagination in Mathematics Learning, PME Special Issue of Educational Studies in Mathematics, 57.3, CD-Rom, Chapter 1. Arzarello, F., Ferrara, F., Paola, D., Robutti, O., (2005). The genesis of signs by gestures. The case of Gustavo, Proc. 29th Conf. of the Int. Group for the Psychology of Mathematics Education (Vol. 1, pp. 73-80). Melbourne, AU: PME. Arzarello, F., Bazzini, L., Ferrara, F., Robutti, O., Sabena, C., Villa, B. (2006). Will Penelope choose another bridegroom? Looking for an answer through signs, Proc. 30th Conf. of the Int. Group for the Psychology of Mathematics Education. Prague.

296 Relime

Arzarello, F. & Robutti, O. (to appear). Framing the embodied mind approach within a multimodal paradigm, in: Lyn English, M. Bartolini Bussi, G. Jones, R. Lesh e D. Tirosh (ed.), Handbook of International Research in Mathematics Education (LEA, USA), 2nd revised edition. Bara, B.G. & Tirassa, M. (1999). A mentalist framework for linguistic and extralinguistic communication. In: S. Bagnara (ed.), Proceedings of the 3rd European Conference on Cognitive Science. Siena, Italy. Roma: Istituto di Psicologia, CNR. Barbero R, Bazzini L., Ferrara F., Villa B. (in press). The Penelopes story: learning through action, speech and gestures, Proc. CIEAEM 57, Piazza Armerina, Italy, July 2005. Bartolini, M.G. & Mariotti, M.A. (to appear). Semiotic mediation in the mathematics classroom, in: Lyn English, M. Bartolini Bussi, G. Jones, R. Lesh e D. Tirosh (ed.), Handbook of International Research in Mathematics Education (LEA, USA), 2nd revised edition. Bosch, M. & Chevallard, Y. (1999). La sensibilit de lactivit mathmatique aux ostensifs, Recherches en Didactique des Mathmatiques, 19 (1), 77-124. Bucciarelli, M. (in press). How the construction of mental models improve learning, Mind and Society. Chevallard, Y. (1999), Lanalyse des pratiques enseignantes en thorie anthropologique du didactique, Recherches en Didactique des Mathmatiques, 19/2, 221-266. Cutica, I. & Bucciarelli, M. 2003. Gestures and the construction of models. The 2nd International Conference on Reasoning and Decision Making,Reasoning and understanding: Mental models, relevance and limited rationality approaches , Padova, March, the 17-18, 11. Detlefsen, M., 1986, Hilberts Program, Dordrecht: Reidel. Drfler, W. (n.d.) How diagrammatic is mathematical reasoning? Retrieved May 4 2006, from http://www.math.uncc.edu/~sae/dg3/dorfler2.pdf Duval R. (1993). Registres de reprsentations smiotique et fonctionnement cognitif de la pense. Annales de Didactique et de Sciences Cognitives, 5, 37-65. ULP, IREM Strasbourg. Duval, R. (1999). Conversion et articulation des reprsentations analogiques. Lille, France: I.U.F.M. Nord pas de Calais. Duval, R. (2001). The cognitive analysis of problems of comprehension in the learning of mathematics. Paper presented at the Semiotics Discussion Group of the 25th PME International Conference, Freudenthal Institute, The Netherlands, July 2001. Duval, R. (2002). The cognitive analysis of problems of comprehension in the learning of mathematics. Mediterranean Journal for Research in Mathematics Education, 1(2), 116. Duval, R. (2006). A cognitive analysis of problems of comprehension in a learning of mathematics, Educational Studies in Mathematics, (61), 103-131.

Semiosis as a Multimodal Process

297

Ernest, P. (2006). A semiotic perspective of mathematical activity: the case of number, Educational Studies in Mathematics, (61), 67-101 Frege, G. (1969). Funktion, Begriff, Bedeutung. Fnf logische Studien. Gttingen: Vandenhoeck & Company. Gallese, V. & Lakoff, G. (2005). The Brains Concepts: The Role of the Sensory-Motor System in Conceptual Knowledge. Cognitive Neuropsychology, 22(3/4), 455-479. Guala & Boero, 1999 Time complexity and Learning, Annals of the New York Academy of Sciences, June 30, 1999, 164-7. Goldin-Meadow, S. (2003). Hearing gestures: How our hands help us think. Chicago: Chicago University Press. Harper, E.. (1987). Ghosts of Diophantus, Educational Studies in Mathematics, Vol. 18, (75-90). Hilbert, D. (1962). Grundlagen der Geometrie, Stuttgart: Teubner (original edition in 1899). Lemaitre, A. (1905). Observations sur le langage interieur des enfants, Archives de psychologie, n.4,1-43 Johnson-Laird P.N. 1983. Mental models: Towards a cognitive science of language, and consciousness. Cambridge University Press, Cambridge, UK. Johnson-Laird, P.N. 2001. Mental models and human reasoning. In Dupoux, E. (Ed.), Language, brain, and cognitive development: Essays in honor of Jacques Mehler, pp. 85-102. Cambridge, MA: The MIT Press. Kaput, J., Noss, R. & Hoyles, C.: 2002, Developing New Notations for a Learnable Mathematics in the Computational Era, in: English, L.D. (Ed.), Handbook of International Research in Mathematics Education: Lawrence Erlbaum Assoc., NJ, 51-75. Kita, S. (2000). How Representational Gestures Help Speaking. In McNeill, D. (ed.), Language and Gesture, pp. 162-185. Cambridge: Cambridge University Press. Malcom, N. & von Wright, G.H. (2001). Ludwig Wittgenstein : A Memoir. Oxford: Oxford University Press. McNeill, D. (1992) Hand and mind: What gestures reveal about thought. Chicago: Chicago University Press. Hartshorne, C. & Weiss, P. (Eds.) (1933), Collected Papers of Charles Sanders Peirce, vol. III, Cambridge (MA): Harvard University Press Kita, S. (2003). Interplay of gaze, hand, torso orientation, and language in pointing. In: S. Kita (ed.), Pointing. Where language, culture, and cognition meet. Mahwah: Erlbaum. Nemirovsky, R. (2003). Three conjectures concerning the relationship between body activity and understanding mathematics. In N.A. Pateman, B.J. Dougherty & J.T. Zilliox (Eds.), Proc. 27th Conf. of the Int. Group for the Psychology of Mathematics Education (Vol. 1, pp. 103-135). Honolulu, HawaiI: PME.

298 Relime

Ogden, C.K. & Richards, I.A. (1923). The Meaning of Meaning. London: Routledge & Kegan. Rabardel, P. (1995). Les hommes et les technologies, une approche cognitive des instruments contemporains. Paris: Armand Colin. Radford, L. (2002). The seen, the spoken and the written. A semiotic approach to the problem of objectification of mathematical knowledge.For the Learning of Mathematics, 22(2), 14-23. Radford, L. (2003a). Gestures, Speech, and the Sprouting of Signs: A Semiotic-Cultural Approach to Students Types of Generalization. Mathematical Thinking and Learning, 5(1), 3770. Radford, L., Demers, S., Guzmn, J. and Cerulli, M. (2003b). Calculators, graphs, gestures and the production of meaning, in: N. Pateman, B. Dougherty and J. Zilliox (eds.), Proceedings of the 27 Conference of the international group for the psychology of mathematics education (PME27 PMENA25), University of Hawaii, Vol. 4, pp. 55-62. Radford, L. (2006). The Anthropology of Meaning, Educational Studies in Mathematics, (61), 39-65. Robutti, O. (2005). Hearing gestures in modelling activities with the use of technology, in F. Olivero & R. Sutherland (eds.), Proceedings of the 7th International Conference on Technology in Mathematics Teaching, University of Bristol, 252-261. Simpson, S.G: (1999). Subsystems of second order Arithmetic. New York: Springer. Sfard A. & McClain, 2002, Analyzing Tools: Perspectives on the Role of Designed Artifacts in Mathematics Learning, The Journal of the Learning Sciences, Volume 11, Numbers 2&3, Special Issue, 153-162. Steinbring, H. (2005). The Construction of New Mathematical Knowledge in Classroom Interaction. New York: Springer. Steinbring, H. (2006). What makes a sign a mathematical sign? An epistemological perspective on mathematical interaction, Educational Studies in Mathematics, (61), 133162. Vrillon, P., & Rabardel, P. (1995). Artefact and cognition: a contribution to the study of thought in relation to instrumented activity. European Journal of Psychology in Education, vol. IX, n3. Vygotsky, L.S. (1978). Mind in society: The development of higher psychological processes. Cambridge, MA: Harvard University Press. Vygotsky, L. S. (1997). Collected works, Vol. 4 (R. Rieber, Ed.). New York: Plenum. Vygotsky, L.S. (1986), Thought and Language, Cambridge (MA): MIT Press. Wertsch, J. V., & Stone, C. A. (1985). The concept of internalization in Vygotskys account of the genesis of higher mental functions. In J.V. Wertsch (Ed.), Culture, communication and cognition: Vygotskian perspectives. Cambridge: Cambridge University Press.

Semiosis as a Multimodal Process

299

Ferdinando Arzarello Dipartimento di Matematica Universit di Torino Italia E-mail: [email protected]

300 Relime

Relime, Nmero Especial, pp. 301-306.

301

Conclusiones y perspectivas de investigacin futura

Bruno DAmore

No cabe duda de que la semitica, disciplina surgida de un gnero de estudio del todo diverso (vase la Introduccin de Luis Radford en esta misma revista), ha conquistado un lugar importante en los estudios de Didctica de la Matemtica. Respecto a su ingreso en dicho campo, la visin semitica inici solidificando sus diversos aspectos con trabajos que explicaban el pasaje del concepto a sus representaciones, para despus abrir su camino en direcciones diferentes, como lo demuestra la amplia coleccin de estudios que en esta publicacin aparecen. Ahora, el desafo consiste en tratar de entender hacia qu tendencia se mover la investigacin en el futuro. Para poder plantear algunas hiptesis, considero til un ulterior anlisis de la historia reciente y de las mismas bases culturales. Una problemtica importante y todava central es la tocante a la representacin de los objetos matemticos. Por lo general, en Didctica de la Matemtica decimos pasar de un concepto a sus representaciones; sin embargo, qu es un concepto? La pregunta an contina siendo fundamental. En DAmore, 2006 (pp. 205-220) intent plantear las bases para responder a dicha cuestin, aparentemente ingenua; empero, lo que se llega a constatar, con certeza absoluta, es que la definicin revela, por muchos motivos, una complejidad inmensa. Entre las dificultades que presenta la definicin, est que en la idea de concepto intervienen muchos factores y causas. Para decirlo brevemente (y, por tanto, en modo incompleto), no parece correcto afirmar que un concepto matemtico es aquel que se halla en la mente de los cientficos que a este tema han dedicado su vida de estudio y reflexin. Parece ms correcto sealar que hay una fuerte componente antropolgica. As, en la construccin de un concepto participaran tanto la parte institucional (el Saber) como la personal (de quien tiene acceso a tal Saber, que implica no slo el cientfico). Esta propuesta la han expuesto diferentes autores; yo me limito a sugerir el trabajo de Godino y Batanero, 1994, porque hace hincapi en la importancia del debate en el cual estoy tratando de inserirme, al tratar las relaciones entre significados institucionales y personales de los objetos matemticos. Distinguir el concepto de su construccin no es fcil y, quiz, no es ni posible ni deseable, ya que un concepto se halla continuamente en fase de construccin; aqu estriba su parte ms problemtica, pero tambin la ms rica de su significado. Podramos llamar a tal construccin conceptualizacin, y reflexionar sobre qu es y cmo se da. En el intento por clarificar dicho argumento, muchos investigadores han propuesto hiptesis y teoras que no detallar; basta recordar las contribuciones muchas veces en franca oposicin

302 Relime

de Vygotski, Piaget, Galperin, Bruner o Gagn. Para una rpida recapitulacin, puede consultarse DAmore, 2006. Adentrarse en esta aventura nos conduce, por lo menos, a darnos cuenta de un hecho: la segunda pregunta, qu es o cmo se llega a la conceptualizacin ?, es un misterio. La cuestin pasa a travs de un recorrido por los famosos tringulos (hay bibliografa especfica en DAmore, 2006):

impresiones sensoriales adoptan las formas que le imponen las estructuras cognitivas. Pero para que eso suceda (y es la bien conocida hiptesis fuerte de Kant) se requieren de formas innatas de sensibilidad, como espacio, tiempo, causalidad, permanencia del objeto y uso de experiencias precedentes. El conocimiento no es una simple representacin de la realidad externa, sino el resultado de la interaccin entre el sujeto que aprende (sus estructuras cognitivas) y sus experiencias sensoriales. Adems, el sujeto que aprende abandona la tpica pasividad (cartesiana o lockiana), pues construye y estructura sus experiencias; de este modo, participa activamente en el proceso de aprendizaje y lo transforma en una verdadera y propia construccin. Un objeto de conocimiento, al entrar en contacto con un sujeto que aprende, se modifica y reconstruye por los instrumentos cognitivos del sujeto. Pero, de dnde provienen esos instrumentos cognitivos que sirven para transformar las experiencias del sujeto? La epistemologa del aprendizaje de Kant, para usar una terminologa moderna, se refiere a un aprendiz adulto, dotado de un lenguaje desarrollado, con capacidad de abstraccin y de generalizacin. Aqu es pertinente la siguiente pregunta: cmo cambia todo esto si hablamos de aprendizaje en ambiente escolar, de aprendices no adultos (nios, adolescentes o jvenes) y a las primeras armas, con lenguajes an en elaboracin? No es del todo absurdo pensar que la epistemologa constructivista de Piaget, formulada en los aos treinta1, surgi por la necesidad de dar respuesta a este

El de Charles Sanders Peirce (18391914), publicado en 1883: intrprete, representante, objeto El de Gotlob Frege (1848-1925), publicado en 1892: Sinn [sentido], Zeichen [expresin], Bedeutung [indicacin] El de C. K. Ogden e I. A. Richards, que quera ser un compendio de los otros dos, y apareci en 1923: referencia, smbolo, referente El de G. Vergnaud (1990), por el cual un concepto C es la terna (S, I, S), donde S es el referente, I el significado y S el significante

Queda claro que apropiarse de un concepto, independientemente de lo que esto signifique, necesita siempre de algo ms que nombrarlo (la cuestin se origin por lo menos en la Edad Media, apunta DAmore, 2006) y representarlo, lo cual nos lleva a la famosa paradoja de Duval, 1993 (p. 38). Kant, en la Crtica de la razn pura, seala que el conocimiento es resultado de un contacto entre un sujeto que aprende y un objeto de conocimiento. l recurre a una comparacin: as como el lquido adopta la forma del recipiente que lo contiene, las

1 Estoy pensando en Piaget (1937), por ejemplo.

Conclusiones y perspectivas de investigacin futura

303

problema. Por tanto, el saber adquirido puede verse como el producto de la elaboracin de la experiencia con la que entra en contacto el sujeto que aprende. Y esta elaboracin consiste no slo en la interaccin entre el individuo y su ambiente, sino tambin en el modo como aqul interioriza el mundo externo. Independientemente de las peculiaridades de tales actividades, el sujeto que aprende debe comprometerse en algo que necesariamente lo lleva a simbolizar. Esta es una necesidad tpicamente humana, ya que es una elaboracin (con caractersticas internas o sociales, e incluso ambas) organizada alrededor de o en los sistemas semiticos de representacin. Se puede agregar que el conocimiento es la intervencin y el uso de los signos. As, el mecanismo de produccin y de uso, subjetivo e intersubjetivo, de estos signos, y el de la representacin de los objetos de la adquisicin conceptual, resulta crucial para el conocimiento. Todo eso haba sido ya previsto en el programa de la epistemologa constructivista, enunciada por Piaget y Garcia (1982), particularmente en el captulo IX. Al hablar sobre la experiencia del nio, indican que las situaciones que l encuentra son generadas por su entorno social y los objetos aparecen situados en contextos que les dan el significado especfico. Por tanto, este nio no asimila objetos puros, sino las situaciones en las cuales los objetos tienen roles especficos; a medida que su sistema de comunicacin se hace ms complejo, la experiencia directa de los objetos queda subordinada al sistema de interpretaciones suministrado por el entorno social. No hay duda de que el conocimiento en la escuela y su aprendizaje como

construccin se hallan condicionados por situaciones especficas de la institucin. Por ende, el aprender en la escuela no es el aprender total! Los problemas del aprendizaje matemtico en la escuela, an antes de ser de orden epistemolgico, pertenecen a un ambiente sociocultural. Si aceptamos que todo conocimiento (matemtico, en particular) refleja al mismo tiempo una dimensin social y una personal, la escuela no es una excepcin; incluso, en ella queda institucionalizada esa doble naturaleza. Durante el aprendizaje de las matemticas se introduce a los estudiantes en un mundo nuevo, tanto conceptual como simblico sobre todo, representativo, que no es fruto de una construccin solitaria, sino de una verdadera y compleja interaccin con los miembros de la microsociedad, de la cual forma parte el sujeto que aprende: los propios compaeros, los maestros y la noosfera (a veces borrosa, otras evidente). Es mediante un continuo debate social que el sujeto que aprende toma conciencia del conflicto entre conceptos espontneos y conceptos cientficos . As, ensear no consiste slo en el intento de generalizar, amplificar, volver ms crtico el sentido comn de los estudiantes, sino se trata de una accin ms bien compleja, como nos ha enseado Vygotski en Pensamiento y lenguaje (1962), cuando afirma que un concepto es algo ms que la suma de ciertos vnculos asociativos formados por la memoria, pues consiste en un autntico y complejo acto del pensamiento al que se puede llegar slo cuando el desarrollo mental del nio ha alcanzado el nivel requerido. Sin embargo, el desarrollo de los conceptos presupone el de muchas funciones intelectuales (atencin, memoria lgica, abstraccin, capacidad de comparacin y diferenciacin); la experiencia ha demostrado que la

304 Relime

enseanza directa de los conceptos es imposible y estril. En matemticas, la asimilacin conceptual de un objeto pasa necesariamente a travs de la adquisicin de una o ms representaciones semiticas (Chevallard, 1991; Duval, 1993, 1999; Godino y Batanero, 1994), lo cual nos obliga a aceptar la afirmacin de Husserl, pero centrada por Duval hacia la Didctica de la Matemtica, que no existe notica sin semitica. Como sugiere Duval, la construccin de los conceptos matemticos depende, estrechamente, de la capacidad de usar ms registros de sus representaciones semiticas:

va de carcter no nominalista, que podramos llamar de pensamiento entendido como praxis reflexiva sensorialintelectual, apoyada en sistemas semiticos de significado cultural. Segn esta lnea, trazada por Luis Radford, estos sistemas semiticos, construidos socialmente por los individuos a partir de su realidad concreta, transformados activamente de generacin en generacin, naturalizan la realidad de los individuos, enmarcan lo que se entiende por evidencia, argumentos convincentes, demostraciones, etc. y subtienden las reflexiones que los individuos hacen de su mundo. Pero, volvamos a la pregunta inicial. Qu direccin tomarn estos estudios en el futuro? Podemos ver ya importantes seales, que emergen en las pginas que aqu quisimos recoger. Quizs una gran influencia tendrn particularmente los estudios sobre la comunicacin, sobre las acciones de las comunidades de prctica, las reflexiones sobre la dimensin ontogentica, as como la contribucin de anlisis crticos de temas que han fundado nuestra disciplina y que ya se delinean como evoluciones de un futuro prximo. En este nmero especial de la revista Relime, reunimos a varios especialistas con el fin de presentar el estado del arte de las diversas tendencias que conforman, actualmente, el estudio de la semitica en nuestro sector. Algunos de estos trabajos contribuyen a dar una respuesta adecuada a muchas de las preguntas precedentes. La respuesta a la primera pregunta, qu es un concepto? , plantea problemas tericos. Seguir profundizando en ellos parece ser un campo donde la semitica puede dar importantes resultados en un futuro cercano. Varios textos aqu reunidos sugieren que las respuestas a esta pregunta, y a las que plante en el curso

De representarlos en un registro dado De tratar tales representaciones en un mismo registro De convertir tales representaciones de un registro dado a otro

El conjunto de estos tres elementos, al igual que las consideraciones de los prrafos anteriores, evidencian una profunda relacin entre notica y constructivismo. As, la construccin del conocimiento en matemticas se puede pensar como la unin de tres acciones sobre los conceptos: la expresin misma de la capacidad de representar los conceptos, de tratar las representaciones obtenidas en un registro establecido y de convertirlas de un registro a otro. Todo esto constituye, en mi opinin, slo el punto de partida para especificar y explicar histricamente la importancia que la Didctica de la Matemtica reconoci a los estudios sobre la semitica, en el momento en que ingresaron a su campo de investigacin. Hoy se prefiere seguir una

Conclusiones y perspectivas de investigacin futura

305

de este artculo, deben incluir el aspecto institucional (Godino y colaboradores), pero tambin el contexto cultural (Radford, Cantoral y colaboradores) y cognitivo (Arzarello, Radford, Duval, Otte, Arzarello). Es as como Godino y sus colaboradores presentan una actividad concreta del EOS en el anlisis de textos escolares, en el cual utilizan los criterios de idoneidad tanto epistmica como cognitiva; un anlisis de este tipo puede tener repercusiones profundas de carcter institucional. Cantoral y sus colaboradores abordan la socioepistemologa, mediante la cual la actividad matemtica se sita en un contexto cultural de prctica social. Radford basa su aporte en la idea de praxis reflexiva y expone una teora cultural de la objetivacin. Tal propuesta tiene una doble valencia: la cultural (de anlisis crtico de posiciones, en algunos casos ampliamente compartidas) y la cognitiva. Duval insiste en la importancia del anlisis semitico complejo en el mbito matemtico y cognitivo. Vuelve a los orgenes de la semitica con el fin de sugerir motivaciones para el anlisis de los signos, as como de las relaciones de semejanza, referencia, causalidad y oposicin. Esta modalidad de afrontar la problemtica es til tanto para el desarrollo de las matemticas como para el anlisis de su aprendizaje. Otte propone que la explicacin es consubstancial de la exhibicin de signos y sentido, ya que no hay diferencia entre idea y smbolo a pesar de lo que sostienen el idealismo filosfico y el mentalismo cognitivista, lo cual ejemplifica al tratar el tema de la demostracin en matemticas.

Arzarello muestra en primer lugar un anlisis crtico e histrico sobre la idea misma de semitica. Parte de su fundamento terico y propone diversas interpretaciones y luego enfoca a la semitica como aproximacin modal, que tambin ofrece anlisis de eventos sucedidos en el aula. La semitica que nos interesa, de manera especfica, atae al uso de signos y al desarrollo conceptual en el saln de clases. Muchos de los artculos aqu reunidos atienden este aspecto. As, Koukkoufis y Williams emplean la teora de la objetivacin para estudiar la manera en que generalizan jvenes alumnos. Adalira Senz-Ludlow enfoca su atencin, fuertemente terica, en una idea muy concreta, la de riqueza matemtica del alumno, y en la influencia de los maestros en el discurso matemtico. Gagatsis y sus colaboradores dan a conocer estudios crticos sobre los cambios de representacin de objetos relacionados con el concepto de funcin. Bagni ofrece un estudio experimental hecho con alumnos de secundaria que intentan dar sentido a frases paradjicas. DAmore propone un ejemplo de aula donde se presenta un cambio de sentido frente a diferentes representaciones del mismo objeto, conseguidas por tratamiento semitico. Este nmero especial de Relime se inspira en las discusiones colectivas precedentes que menciona Luis Radford en su Introduccin. Quiere ser una modesta

306 Relime

contribucin analtica y problemtica al tema de la semitica en el mbito de la Educacin Matemtica.

Me agrego a los agradecimientos de Luis, extendindolos a nuestros autores y a todos los lectores.

Referencias DAmore, B. (2006). Didctica de la matemtica. Bogot, Colombia: Magisterio. [Primera edicin en italiano, 1999, Bologna: Pitagora]. Duval, R. (1993). Registres de reprsentations smiotique et fonctionnement cognitif de la pense. Annales de Didactique et de Sciences Cognitives 5, 37-65. Duval, R. (1999). Semiosis y pensamiento humano. Registros semiticos y aprendizajes intelectuales. Cali, Colombia: Universidad del Valle. [Primera edicin en francs 1995, Berne: Peter Lang]. Godino, J. D. & Batanero, C. (1994). Significado institucional y personal de los objetos matemticos. Recherches en Didactique des Mathmatiques 3, 325-355. Piaget, J. (1937). La construction du rel chez lenfant. Neuchtel: Delachaux et Niestl. Piaget, J. & Garcia, R. (1983). Psychogense et histoire des sciences. Paris, France: Flammarion. Vergnaud, G. (1990). La thorie des champs conceptuels. Recherches en Didactique des Mathmatiques 19, 133-169. Vygotsky, L. (1962). Thought and language. Cambridge, USA: MIT Press.

Traduccin de Martha Isabel Fandio Pinilla

Bruno DAmore Dipartimento di Matematica Universit di Bologna Italia E-mail: [email protected]

Sugerencias

307

SUGERENCIAS PARA LA PREPARACIN DE ARTCULOS En el caso de reportes de estudios experimentales, de casos, de observacin, etnogrficos, etctera, recomendamos que los escritos contengan: 1) Resumen del trabajo en no ms de 10 renglones en espaol, y no ms de 5 palabras clave. Todo esto, junto con el ttulo debe ser incluido con su traduccin al ingls, francs y portugus. Una exposicin del problema de investigacin (su pertinencia y relevancia en el tema que se aborda). Indicaciones globales acerca de la estructura terica del reporte. Justificacin de la metodologa usada. Desarrollo de algunos ejemplos y anlisis de resultados. Referencias bibliogrficas.

inters para la comunidad de matemtica educativa.

GUA PARA LA PRESENTACIN DE ARTCULOS (Relime acepta artculos en espaol y en portugus para su publicacin)

Caractersticas de los artculos:

1) Extensin mxima de 30 pginas a espacio sencillo. En caso de que su propuesta exceda esta extensin, el Comit de Redaccin podr considerar la posibilidad de publicarlo siempre que tal propuesta no ocupe todo el espacio disponible en un nmero de la revista; en otro caso, su artculo ser remitido para su consideracin en otra de las publicaciones del Clame (libros, ensayos, etctera). 2) Todos los artculos debern ser trabajos inditos de investigacin. No se aceptarn traducciones previamente publicadas en su lengua original. Los trabajos debern acompaarse de: * Portada que indique el ttulo del texto (no mayor de ocho palabras), con su traduccin al ingls, francs y portugus, nombre completo del autor y del centro de adscripcin. * Sinopsis o resumen, no mayor de 10 renglones, que explique el tema, los objetivos y la metodologa del texto, que plantee las conclusiones principales y que incluya la traduccin del resumen a fin de que aparezca en castellano, portugus, francs e ingls. * Palabras clave, no ms de 5 que recojan las ideas centrales y su traduccin al ingls, francs y portugus. * Datos generales del autor (notas curriculares, direccin, nmero telefnico particular y laboral y de ser posible nmero de fax y cuenta de correo electrnico).

2)

3)

4) 5)

6)

Si se trata de ensayos tericos y filosficos, nuestra recomendacin es la siguiente: 1) Iniciar con una exposicin del problema de investigacin (su pertinencia y relevancia en el tema que se aborda). Ofrecer indicaciones sobre la estructura terica o filosfica en la cual se desarrolla el tema del artculo. Exposicin detallada de la posicin del autor dentro del tema o los temas de exposicin. Implicaciones o consecuencias de la investigacin en el rea. Incluir referencias bibliogrficas.

3)

2)

3)

4)

5)

Los artculos sern evaluados por tres investigadores reconocidos y con experiencia dentro del rea. Especficamente se tomar en cuenta la atencin a los criterios anteriores, as como a la claridad de la presentacin e

308 Relime

4) Se solicita a los autores enviar los trabajos en CD o disquete para PC (3.5) utilizando el procesador de texto Word 6.0 o superior, tipo de letra Times New Roman y tamao de 12 puntos. Para las expresiones matemticas se solicita usar texto con el siguiente formato; las literales en itlica, nmeros y signos matemticos en letra normal, tal como se muestra en el ejemplo: f (x) = 3x + 1 O bien, utilizar el editor de ecuaciones de Word, respetando el mismo formato. Adicionalmente se enviarn cuatro copias impresas del mismo trabajo, tres de las cuales habrn de omitir los datos del autor. 5) Con el propsito de facilitar el proceso de publicacin, los trabajos se escribirn de la siguiente manera: * Usar mrgenes de una pulgada (2.5 centmetros) en ambos lados de la pgina tamao carta. * Mecanografiar o imprimir de un solo lado del papel. * No usar sangras. * Colocar un solo espacio despus de punto y seguido. * No usar guiones de separacin de palabras. * Diferenciar bien los ttulos de los subttulos. * Las palabras, frases o sealamientos especiales que se deseen destacar llevarn cursivas o negrillas (no usar subrayado). * Bibliografa, referencias y notas: solicitamos emplear el estilo de la APA (Publication Manual of the American Psychological Association, 4th ed., 1994) para las citas de pie, notas, referencias textuales y bibliografa. Ejemplos: Revista especializada: Seplveda, G. (1989). El paradigma de la educacin actual. La Educacin 104, 57-68. Brousseau, G. (1980). Prblemes de

lenseignement des dcimaux. Recherches en Didactique des Mathmatiques 1 (1), 11-59.

Revista de inters general (publicacin peridica):

Vlez, E. (1984, mayo). Logros ocupa-cionales del bachiller colombiano: El caso de la Cohorte de 1978. Educacin, Formacin Profesional y Empleo (pp. 167-194). Bogot, Colombia: SENA.

Libro:
Lakatos, I. (1977). Proofs and refutations, the logic of mathematical discovery. Cambridge, USA: Cambridge University Press.

Captulo de libro:
Artigue, M. (1992). Functions from an algebraic and graphic point of view: Cognitive difficulties and teaching practice. En E. Dubinsky & G. Harel (Eds.), The concept of function: aspects of epistemology and pedagogy (pp. 109-132). Washington, DC, EE. UU.: Mathematical Association of America. Dauben, J. (1984). El desarrollo de la teora de conjuntos cantoriana. En I. Grattan-Guinness (Ed.), Del clculo a la teora de conjuntos, 16301910. Una introduccin histrica (pp. 235-282). Madrid, Espaa: Alianza Editorial. (Versin original en ingls publicada en 1980).

Organizaciones y documentos:
UNESCO (1983). Anuario Estadstico. Pars: UNESCO.

Memorias de Reuniones y Simposia:

Cantoral, R. (1995). Matemtica, matemtica escolar y matemtica educativa. En R. Farfn (Ed.), Publicacin de la Novena Reunin Centroamericana y del Caribe sobre Formacin de Profesores e Inves-tigacin en Matemtica Educativa (volumen 1, pp. 1-10). La Habana, Ministerio de Educacin, Cuba: Cinvestav.

Tesis: Flores, R. (1992). Sobre la construccin del

Sugerencias

309

concepto de convergencia en relacin al manejo heurstico de los criterios. Tesis de maestra no publicada, Cinvestav, Mxico. Referencias Electrnicas Publicacin peridica en lnea:
Candela, A. (1999). Prcticas discursivas en el aula y calidad educativa. Revista Mexicana de Investigacin Educativa 4(8), 273-298. Obtenido en junio 7, 2004, de http:// www.comie.org.mx/revista/Pdfs/Carpeta8/ 8invest3.pdf

Referencia de texto:
Las referencias de texto irn al final de la oracin, frase o texto como se muestra en los siguientes ejemplos: * Una fuente con dos autores: (Gubar & Hebin, 1980). * Una fuente con ms de tres autores: (Agard et al., 1990). * Una referencia a varios trabajos, separarlas citas con punto y coma: (Gmez, 1992; Cordero, 1995; Garca, 1994).

Documento en lnea:
PISA (2003). Aprender para el mundo de maana: Resumen de resultados. Obtenido en abril 4, 2005, de http://www.ince.mec.es/pub/ pisa2003resumenocde.pdf

Citas de Notas:
El formato para citar una fuente ser en forma de referencia de texto. Es posible incluir notas al pie de pgina para proveer informacin adicional de una referencia textual o aclarar una idea del texto. Si se utilizan notas al pie de pgina, el autor deber colocarlas en la parte inferior de la pgina de referencia. Si se utilizan notas finales, se colocarn al final del artculo siguiendo una numeracin ascendente.

Artculos de Internet basados en una fuente impresa:

Parnafes, O. & Disessa, A. (2004). Relations between types of reasoning and computational representations. [Versin Electrnica]. International Journal of Computers for Mathematical Learning 9(3), 251-280.

Informacin complementaria
1) No se devolvern los disquetes ni los artculos originales. 2) El editor se reserva el derecho de hacer algunas modificaciones necesarias para mantener el estilo de la publicacin. 3) Los textos pueden ser publicados en otro rgano editorial previo permiso expreso, por escrito, y haciendo referencia explcita de la fuente. 4) Los autores recibirn gratuitamente 2 ejemplares del nmero en que se haya publicado su artculo. 5) No se realizarn pagos a los autores por los artculos que se publiquen en RELIME.

Documento sin fecha ni autor identificado:

Si el autor de un documento no est identificado, comience la referencia con el ttulo del documento: Calculadoras y Educacin (s.f.). Obtenido en enero 12, 2000, de http://www.agapema.com/ period/dijo.htm

Documento disponible en la pgina web de una Universidad o Departamento:

Chou, L., McClintock, R., Moretti, F., & Nix, D. H. (1993). Technology and education: New wine in new bottles: Choosing pasts and imagining educational futures. Obtenido en agosto 24, 2000, del sitio web de Columbia University, Institute for Learning Technologies: http://www.ilt.columbia.edu/publications/ papers/newwine1.html

Para mayores informes, puede visitar la pgina web : http://www.clame.org.mx/ relime.htm o bien el correo electrnico : [email protected]

310 Relime

Suscripcin a Relime

Datos personales Nombre ______________________ _______________________ _____________________ nombres apellido paterno apellido materno Direccin particular ___________________________ _____ _______________________ calle nmero colonia __________________ __________________ ___________________ ________________ ciudad, estado, cdigo postal pas Tel. ____________ Fax____________ E-mail _____________________________________ Datos de su institucin Escuela o Institucin donde trabaja _______________________________________________ Direccin _______________________________ ________ ________________________ calle nmero colonia __________________ _________________ ___________________ _________________ ciudad, estado, cdigo postal pas
Telfono particular _____________________ Fax __________________________

Datos sobre sus actividades Si es estudiante, nombre de la licenciatura, ingeniera o posgrado que estudia ____________________________________________________________________________
Institucin donde estudia _______________________________________Semestre _______ Si es profesor, nivel que imparte____________________ Nombre de la(s) asignatura(s) que imparte ___________________ _____________________ ________________ _________________Nivel educativo donde trabaja__________________ Si es investigador, Institucin a que pertenece _______________________________________________ Lnea de investigacin que trabaja _____________________________________________ Nivel educativo ms frecuente donde hace sus investigaciones _______________________

Costo del volumen 9 (tres numeros) Suscripcin institucional: 120 dls Suscripcin individual: 50 dls Suscripcin para miembros de Clame: 20 dls Costo por un numero: 15 dls Estos precios no incluyen costos por envio ni cargo por depsito en cuenta bancaria. Para cotizacin actual, favor de pedir informes a [email protected]

Revista Latinoamericana de Investigacin en Matemtica Educativa Nmero Especial.

Se imprimi en los talleres de Impresora MMC 5a Cerrada de Barranca, Manzana 4, Lote 5 Col. El manto, Iztapalapa. Mxico, DF. Septiembre de 2006. Tiraje: 2000 ejemplares ms sobrantes