Professional Documents
Culture Documents
LCOLOCY OI MIND
COLLLCTLD LSSAYS IN ANTHROIOLOCY, ISYCHIATRY, LVOLUTION,
AND LIISTLMOLOCY
!"#$%"&'()*#+%,
}ason Aionson Inc.
NoilhvaIe, Nev }eisey
London
aIinese Iainling ( Ida agus Djali Suia, aluan, 1937 ) jAna|qsis, p. 147]
Copyiighl 1972, 1987 ly }ason Aionson Inc.
1O 9 8 7 6 5 4 3 2 1
AII iighls ieseived. Iiinled in lhe Uniled Slales of Aneiica. No pail of lhis look
nay le used oi iepioduced in any nannei vhalsoevei vilhoul viillen peinission
fion ]ascn Arcnscn |nc. excepl in lhe case of liief quolalions in ievievs foi incIusion
in a nagazine, nevspapei, oi lioadcasl.
Liliaiy of Congiess CalaIoging-in-IulIicalion Dala
aleson, Ciegoiy.
Sleps lo an ecoIogy of nind.
(ChandIei pulIicalions foi heaIlh sciences)
Repiinl. OiiginaIIy pulIished: San Iianciso :
ChandIei Iul. Co., 1972. Wilh nev pief.
CoIIeclion of ailicIes iepiinled fion vaiious
peiiodicaIs.
The pulIished voik of Ciegoiy aleson: p.
IncIudes index.
1. AnlhiopoIogy, CuIluiaI~CoIIecled voiks.
2. KnovIedge, Theoiy of~CoIIecled voiks. 3. Isychialiy ~ CoIIecled voiks. 4.
LvoIulion ~ CoIIecled voiks.
I. TilIe. II. Seiies. |DNLM: 1. AnlhiopoIogy, CuIluiaI~coIIecled voiks. 2.
LcoIogy ~ coIIecled voiks.
LvoIulion ~ coIIecled voiks. 4. Schizophienic
IsychoIogy~coIIecled voiks. 5. Thinking~coIIecled
voiks. CN 6 329s 1972aj
CN6.3 1987 3O6 87-24133
ISN O-87668-95O-O
-./01/02
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1.1 1971 IRLIACL 6
1.2 1987 IRLIACL 8
1.3 IORLWORD 1O
1.4 INTRODUCTION 13
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2.1 MelaIoque: Why Do Things Cel in a MuddIe` 22
2.2 MelaIogue: Why Do Iienchnen` 26
2.3 MelaIogue: Aloul Canes and eing Seiious 3O
2.4 MelaIogue: Hov Much Do You Knov` 35
2.5 MelaIogue: Why Do Things Have OulIines` 39
2.6 MelaIogue: Why a Svan` 43
2.7 MelaIoque: Whal Is an Inslincl` 47
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3.1 CuIluie Conlacl and Schisnogenesis 64
3.2 Lxpeiinenls in Thinking aloul Olseived LlhnoIogicaI MaleiiaI 72
3.3 MoiaIe and NalionaI Chaiaclei 82
3.4 aIi: The VaIue Syslen of a Sleady Slale 94
3.5 SlyIe, Ciace, and Infoinalion in Iiinilive Ail 1O8
3.6 Connenl on Iail II 124
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4.1 SociaI IIanning and lhe Concepl of Deuleio-Leaining 127
4.2 A Theoiy of IIay and Ianlasy 139
4.3 LpidenioIogy of a Schizophienia 15O
4.4 Tovaid a Theoiy of Schizophienia 154
4.5 The Cioup Dynanics of Schizophienia 172
4.6 MininaI Requiienenls foi a Theoiy of
Schizophienia 182
4.7 DoulIe ind, 1969 199
4.8 The LogicaI Calegoiies of Leaining and Connunicalion 2O4
4.9 The Cyleinelics of SeIf: A Theoiy of AIcohoIisn 224
4.1O Connenl on Iail III 243
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5.1 On Lnply-Headedness Anong ioIogisls and
Slale oaids of Lducalion 245
5.2 The RoIe of Sonalic Change in LvoIulion 247
5.3 IiolIens in Celacean and Olhei MannaIian Connunicalion* 259
5.4 A Re-exaninalion of alesons RuIe 269
5.5 Connenl on Iail IV 284
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6.1 Cyleinelic LxpIanalion 287
6.2 Redundancy and Coding 295
6.3 Lffecls of Conscious Iuipose on Hunan Adaplalion 313
6.4 Ioin, Sulslance, and Diffeience 318
6.5 Connenl on Iail V 329
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7.1 Iion VeisaiIIes lo Cyleinelics 331
7.2 IalhoIogies of LpislenoIogy 337
7.3 The Rools of LcoIogicaI Ciisis 343
7.4 LcoIogy and IIexiliIily in Uilan CiviIizalion 347
7.5 The IulIished Woik of Ciegoiy aleson 355
!"! !#$!%&'()*+(
I have leen one of Ciegoiy aleson
l nean vhal ve lhoughl il did lhen lheie is no neaning in il al aII. I knov lhal
pIace. I have leen Iosl lheie nyseIf. As fai as I knov, lheie aie onIy lvo vays oul.
One is ieIigious conveision. (I liied Taoisn. Olheis aie choosing vaiious veisions
of Hinduisn, uddhisn, and even Chiislianily. And such lines aIvays pioduce a
hosl of seIf-piocIained nessiahs. AIso, a fev of lhose vho sludy iadicaI ideoIogies
do so foi ieIigious ialhei lhan poIilicaI ieasons.) This soIulion nay salisfy sone, aI-
lhough lheie is aIvays lhe dangei of salanisn. ul I lhink lhal lhose vho choose
ieady-nade syslens of leIief Iose lhe chance lo do sone liuIy ciealive lhinking, and
peihaps nolhing Iess viII save us.
This second vay oul~lhinking lhings lhiough and laking as IillIe as possilIe on
failh~ is lhe noie difficuIl. InleIIecluaI aclivily ~ fion science lo poeliy~has a lad
iepulalion in ny geneialion. The lIane faIIs on oui so-caIIed educalionaI syslen,
vhich seens designed lo pievenl ils viclins fion Ieaining lo lhink, vhiIe leIIing
lhen lhal lhinking is vhal you do vhen you sludy a lexllook. AIso, lo Ieain lo lhink,
you nusl have a leachei vho can lhink. The Iov IeveI of vhal passes foi lhinking
anong nosl of lhe Aneiican acadenic connunily can peihaps onIy le appiecialed
ly conliasl vilh a nan Iike Ciegoiy aleson, lul ils lad enough lo cause nany of
oui lesl ninds lo give up Iooking foi lellei.
ul lhe essence of aII oui piolIens is lad lhinking, and lhe onIy nedicine foi
lhal is lellei lhinking. This look is a sanpIe of lhe lesl lhinking Ive found. I
connend il lo you, ny liolheis and sisleis of lhe nev cuIluie, in lhe hope lhal il viII
heIp us on oui jouiney.
~Maik LngeI HonoIuIu, Havaii ApiiI 16, 1971
!", !#-$%&'()*+(
Ciegoiy aleson vas fond of quoling HeiacIeilus: Inlo lhe sane iivei no nan
can slep lvice, pailicuIaiIy in his Ialei voik, in vhich he vas liying lo define lhe
naluie of lhe inleiface lelveen lhe ieaIn of nind and physicaI ieaIily, and lo discuss
lhe vay in vhich nenlaI piocess eslalIishes Iandnaiks oi lhieshoIds, neanings and
definilions in lhe voiId of fIux. ul a look is Iike a iivei, nol in lhe sinpIe sense of
valei fIoving ly, lul lecause lhe inleIIecluaI conlexl, Iike lhe ieadei, changes
sleadiIy. Whelhei one is ieading il foi lhe fiisl line oi ieluining aflei a Iapse of yeais,
Sleps lo an LcoIogy of Mind is loday nol lhe sane look as il vas vhen fiisl
pulIished sone fifleen yeais ago, and foi nosl ieadeis ils inpacl shouId le giealei.
We have changed and lhe lioad inleIIecluaI cIinale has changed. Il vouId nol le faii
lo say lhal lhis is lhe noie inpoilanl pulIicalion, lul il is ceilainIy noie accessilIe.
The incieased accessiliIily of Ciegoiys lhoughl loday has cone aloul IaigeIy
lecause of lhe sleady infIuence of lhese essays and olhei viileis diaving on lhen in
lhe inleivaI, and lecause, aflei iecognizing lhe unily of lhis coIIeclion, Ciegoiy
hinseIf vas alIe lo viile al a noie geneiaI IeveI.
The voik of Ciegoiy aleson has leen videIy iead duiing lhis inleivening
peiiod. Lvei yeai nov I heai of lvo oi lhiee confeiences focused on sone aspecl of
his lhoughl, sonelines vilhin a singIe discipIine, sonelines acioss a videi iange,
and his nane ciops up noie and noie oflen. Lven noie significanlIy, nany of lhe
ideas lhal veie nosl inpoilanl lo hin have lecone faniIiai nolions lhal ve feeI al
hone vilh. He vas one of a gioup of lhinkeis voiking lovaid an undeislanding of
connunicalions, of lhe inpoilance of seIf-ieguIaling syslens, and lhe causaI ioIe of
ideas, nessages, diffeiences. This has nade hin a cenliaI figuie in lhe gioving
appiecialion of lhe inpoilance of Iooking al evenls and nessages in conlexl and
Iooking al syslens hoIislicaIIy, vhelhei ve aie conceined vilh lhe heaIlh of lhe
hunan lody/nind oi lhe liospheie. The inpoilance of epislenoIogy is noie and
noie videIy undeislood. Al lhe sane line, nuch of lhis faniIiaiily is iIIusoiy.
Sliange oi unsellIing ideas aie deaIl vilh as lhe oyslei deaIs vilh lhe lil of giil,
packaged in soolhing vays, snoolhed ovei. The iisk foi a ieadei of Ciegoiy aleson
in 1972 vas lhal he oi she vouId loo ieadiIy say, This doesnl nake sense. Ils loo
olscuie foi ne. The iisk loday is lhe pienaluie cIain of undeislanding, lhe
pienaluie appIicalion.
I have had lvo suipiising expeiiences going lack ovei lhese ailicIes: The fiisl
vas lhe discoveiy of hov nany of lhe ideas lhal seened inpoilanl in his Ialei voik
veie aIieady heie, aIlhough fev viII have giasped lhen conpIeleIy on fiisl
encounlei. The second is hov nuch noie sliII avails discoveiy in lhese ailicIes foi
one vho has lecone accusloned lo Ciegoiys lhoughl. Woiking vilh Ciegoiy and
viiling aloul hin, vieslIing logelhei vilh nev ideas. as lhey cane aIong, I an
piolalIy as nuch al hone heie as any of his sludenls and coIIeagues, and yel lhe
ieieading ienains a discoveiy. Mosl of lhe pieces in lhis voIune aie lighl, inlense,
alsliacl aigunenls, lhal Ciegoiy and olheis Ialoied lo unpack ovei lhe
inleivening yeais, and sliII lheie aie suipiises hidden vilhin lhen lhal lecone
visilIe as lhe ieadei cones lo nove fieeIy in lhe lexl.
IiequenlIy , duiing his caieei, as his Inlioduclion indicales, Ciegoiy feIl as if he
veie speaking and viiling in a foieign Ianguage. IeopIe did nol sinpIy agiee oi
disagiee vilh hin, lhey veie leviIdeied oi inloxicaled. Maik LngeIs, in his 1971
Iieface, iecognized lhe anaIogy lelveen lhe nind expanding expeiiences of diugs
and ieIigious conveision and lhe kinds of inleIIecluaI change lhal couId le achieved
ly a peivasive ieshaping of palleins of lhoughl. In ieliospecl il sliikes ne lhal
inloxicalion and conveision veie connon iesponses even lo lhese alsliacl and
difficuIl pieces~iesponses in vhich a fiaclion of lhe aigunenl vas caiiied on a lide
of inluilive affiinalion. Today, hovevei, il is leconing incieasingIy possilIe lo cone
lo giips vilh Ciegoiys lhinking, lo seIecl, affiin, conlesl, queslion. Thioughoul his
Iife, he lieasuied lhe ieIalionships in vhich he found oppoilunilies foi inleIIecluaI
giappIing lhal venl leyond adniialion aduIalion, ciilicaI ieading is essenliaI.
This nev edilion, lhen, inviles ieadeis inlo an encounlei vilh lhe voik of
Ciegoiy aleson lhal vas onIy avaiIalIe lo a fev vhen lhe coIIeclion fiisl appeaied.
My advice lo ieadeis vouId le lo hang on lo lhe chaIIenge as veII as lhe affiinalion.
We have nol as a civiIizalion achieved lhose epislenoIogicaI shifls lhal nay sone
day enalIe nucIeai disainanenl, ecoIogicaI iesponsiliIily, and nev appioaches lo
lolh educalion and heaIing lhal viII vaIue and enhance lhe conpIexily of peisons in
lheii faniIiaI and sociaI selling. In lhese and in Ciegoiys Ialei looks (Mind and
Naluie: A Necessaiy Unily, Dullon 1979, and, joinlIy vilh ne, AngeIs Ieai: Tovaid
an LpislenoIogy of lhe Sacied, MacniIIan, 1987) lhe inleIIecluaI looIs aie offeied.
Today lhey viII cone noie ieadiIy lo hand, le easiei lo laIance and handIe in a
discipIined nannei lhan lhey veie in lhe eaiIy 197Os, le noie accessilIe lo piaclice
and skiII. ul sliII lheie ienains lhe chaIIenge of using lhe looIs in such a vay lhal
lhey le-cone a pail of lhe usei. And sliII lhe lasks foi vhich lhese looIs have leen
shaped IaigeIy ienain lo le done, noie uigenl loday lhan evei.
~Maiy Calheiine aleson Canliidge, Mass. Augusl 1987
!". )/'(0/'1
Sone nen seen alIe lo go on voiking sleadiIy vilh IillIe success and no
ieassuiance fion oulside. I an nol one of lhese. I have needed lo knov lhal
sonelody eIse leIieved lhal ny voik had pionise and diieclion, and I have oflen
leen suipiised lhal olheis had failh in ne vhen I had veiy IillIe in nyseIf. I have, al
lines, even liied lo shiug off lhe iesponsiliIily vhich lheii conlinued failh inposed
on ne ly lhinking, ul lhey donl ieaIIy knov vhal I an doing. Hov can lhey
knov vhen I nyseIf do nol`
My fiisl anlhiopoIogicaI fieId voik anong lhe aining of Nev iilain vas a
faiIuie, and I had a peiiod of pailiaI faiIu6Oie in ieseaich vilh doIphins. Neilhei of
lhese faiIuies has evei leen heId againsl ne.
I lheiefoie have lo lhank nany peopIe and inslilulions foi lacking ne, al lines
vhen I did nol considei nyseIf a good lel.
Iiisl, I have lo lhank lhe CounciI of IeIIovs of Sl. }ohns CoIIege, Canliidge,
vho eIecled ne lo a IeIIovship innedialeIy aflei ny faiIuie anong lhe aining.
Nexl, in chionoIogicaI oidei, I ove a deep dell lo Maigaiel Mead, vho vas ny
vife and veiy cIose co-voikei in aIi and Nev Cuinea, and vho since lhen has
conlinued as a fiiend and piofessionaI coIIeague.
In 1942, al a Macy Ioundalion confeience, I nel Waiien McCuIIoch and }uIian
igeIov, vho veie lhen laIking exciledIy aloul feedlack. The viiling of Naven
had lioughl ne lo lhe veiy edge of vhal Ialei lecane cyleinelics, lul I Iacked lhe
concepl of negalive feedlack. When I ieluined fion oveiseas aflei lhe vai, I venl lo
Iiank Iienonl-Snilh of lhe Macy Ioundalion lo ask foi a confeience on lhis lhen-
nysleiious nallei. Iiank said lhal he had jusl aiianged such a confeience vilh
McCuIIoch as chaii-nan. Il lhus happened lhal I vas piiviIeged lo le a nenlei of
lhe fanous Macy Confeiences on Cyleinelics. My dell lo Waiien McCuIIoch,
Noileil Wienei, }ohn von Neunann, LveIyn Hulchinson, and olhei nenleis of
lhese confeiences is evidenl in eveiylhing lhal I have viillen since WoiId Wai II.
In ny fiisl allenpls lo synlhesize cyleinelic ideas vilh anlhiopoIogicaI dala, I
had lhe lenefil of a Cuggenhein IeIIovship.
In lhe peiiod of ny enliy inlo lhe psychialiic fieId, il vas }uigen Ruesch, vilh
vhon I voiked in lhe LangIey Ioilei CIinic, vho inilialed ne inlo nany of lhe
cuiious fealuies of lhe psychialiic voiId.
Iion 1949 lo 1962, I had lhe lilIe of LlhnoIogisl
Undei lhis gianl, }ay HaIey, }ohn WeakIand, and iII Iiy joined ne lo foin a
snaII ieseaich lean vilhin lhe V.A. HospilaI.
ul again lheie vas faiIuie. Oui gianl vas foi onIy lvo yeais, Cheslei ainaid
had ieliied, and in lhe opinion of lhe Ioundalion slaff ve did nol have enough
iesuIls lo juslify ienevaI. The gianl ian oul, lul ny lean IoyaIIy slayed vilh ne
vilhoul pay. The voik venl on, and, a fev days aflei lhe end of lhe gianl, vhiIe I
vas viiling a despeiale Iellei lo Noileil Wienei foi his advice aloul vheie lo gel lhe
nexl gianl, lhe doulIe lind hypolhesis feII inlo pIace.
IinaIIy Iiank Iienonl-Snilh and lhe Macy Ioundalion saved us.
Aflei lhal lheie veie gianls fion lhe Ioundalions Iund foi Isychialiy and fion
lhe NalionaI Inslilule of MenlaI HeaIlh.
CiaduaIIy il appeaied lhal foi lhe nexl advances in lhe sludy of IogicaI lyping in
connunicalion I shouId voik vilh aninaI naleiiaI, and I slailed lo voik vilh
oclopus. My vife, Lois, voiked vilh ne, and foi ovei a yeai ve kepl a dozen
oclopuses in oui Iiving ioon. This pieIininaiy voik vas pionising lul needed lo le
iepealed and exlended undei lellei condilions. Ioi lhis no gianls veie avaiIalIe.
Al lhis poinl, }ohn LiIIy cane foivaid and inviled ne lo le lhe diiecloi of his
doIphin Ialoialoiy in lhe Viigin IsIands. I voiked lheie foi aloul a yeai and lecane
inleiesled in lhe piolIens of celacean connunicalion, lul I lhink I an nol cul oul lo
adninislei a Ialoialoiy duliousIy funded in a pIace vheie lhe Iogislics aie
inloIeialIy difficuIl.
Il vas vhiIe I vas sliuggIing vilh lhese piolIens lhal I ieceived a Caieei
DeveIopnenl Avaid undei lhe NalionaI Inslilule of MenlaI HeaIlh. These avaids
veie adninisleied ly eil oolhe, and I ove nuch lo his conlinued failh and
inleiesl.
In 1963, TayIoi Iiyoi of lhe Oceanic Ioundalion in Havaii inviled ne lo voik in
his Oceanic Inslilule on celacean and olhei piolIens of aninaI and hunan
connunicalion. Il is heie lhal I have viillen noie lhan haIf of lhe piesenl look,
incIuding lhe vhoIe of Iail V.
WhiIe in Havaii, I have aIso leen voiking iecenlIy vilh lhe CuIluie Leaining
Inslilule of lhe Lasl-Wesl Cenlei in lhe Univeisily of Havaii, and ove sone
lheoielicaI insighls iegaiding Leaining III lo discussions heId in lhal Inslilule.
My dell lo lhe Wennei-Cien Ioundalion is evidenl fion lhe facl lhal lhe look
conlains no Iess lhan foui posilion papeis viillen foi Wennei-Cien confeiences. I
vish aIso lo lhank peisonaIIy Mis. Lila Osnundsen, lhe Diiecloi of Reseaich of lhal
Ioundalion.
Many aIso have Ialoied aIong lhe ioad lo heIp ne. Mosl of lhese cannol le
nenlioned heie, lul I nusl pailicuIaiIy lhank Di. Vein CaiioII, vho piepaied lhe
lilIiogiaphy, and ny secielaiy, }udilh Van SIoolen, vho Ialoied vilh accuiacy
lhiough Iong houis in piepaiing lhis look foi piess.
IinaIIy lheie is lhe dell lhal eveiy nan of science oves lo lhe gianls of lhe pasl.
Il is no nean confoil, al lines vhen lhe nexl idea cannol le found and lhe vhoIe
enleipiise seens fuliIe, lo ienenlei lhal giealei nen have vieslIed vilh lhe sane
piolIens. My peisonaI inspiialion has oved nuch lo lhe nen vho ovei lhe Iasl 2OO
yeais have kepl aIive lhe idea of unily lelveen nind and lody: Lanaick, lhe
foundei of evoIulionaiy lheoiy, niseialIe, oId, and lIind, and danned ly Cuviei,
vho leIieved in SpeciaI Ciealion, WiIIian Iake, lhe poel and painlei, vho sav
lhiough his eyes, nol vilh lhen, and knev noie aloul vhal il is lo le hunan lhan
any olhei nan, SanueI ulIei, lhe alIesl conlenpoiaiy ciilic of Daivinian evoIulion
and lhe fiisl anaIysl of a schizophienogenic faniIy, R. C. CoIIingvood, lhe fiisl nan
lo iecognize~and lo anaIyze in ciyslaIIine piose~lhe naluie of conlexl, and WiIIian
aleson, ny falhei, vho vas ceilainIy ieady in 1894 lo ieceive lhe cyleinelic ideas.
Sc|cc|icn and Arrangcncn| cf ||cns
The look conlains aInosl eveiylhing lhal I have viillen, vilh lhe exceplion of
ilens loo Iong lo le incIuded, such as looks and exlensive anaIyses of dala, and
ilens loo liiviaI oi epheneiaI, such as look ievievs and conlioveisiaI noles. A
conpIele peisonaI lilIiogiaphy is appended.
ioadIy, I have leen conceined vilh foui soils of suljecl nallei: anlhiopoIogy,
psychialiy, lioIogicaI evoIulion and genelics, and lhe nev epislenoIogy vhich
cones oul of syslens lheoiy and ecoIogy. Lssays on lhese suljecls nake up Iails II,
III, IV, and V of lhe look, and lhe oidei of lhese pails coiiesponds lo lhe
chionoIogicaI oidei of foui oveiIapping peiiods in ny Iife in vhich lhese suljecls
have leen cenliaI lo ny lhinking. Wilhin each pail, lhe essays aie in chionoIogicaI
oidei.
I iecognize lhal ieadeis aie IikeIy lo allend nosl caiefuIIy lo lhose pails of lhe
look deaIing vilh lheii pailicuIai suljecls. I have lheiefoie nol ediled oul sone
iepelilion. The psychialiisl inleiesled in aIcohoIisn viII encounlei in The
Cyleinelics of `SeIf ideas vhich appeai again in noie phiIosophic diess in Ioin,
Sulslance, and Diffeience.
Oceanic Inslilule, Havaii Apia 16, 1971
!"2 345'/16+53/4
<343< 0C#'2JA#,J#'%M'9A,@'),@'."@#"
O
The lilIe of lhis look of coIIecled essays and Iecluies is inlended pieciseIy lo
define lhe conlenls. The essays, spiead ovei lhiily-five yeais, conline lo piopose a
nev vay of lhinking aloul ideas and aloul lhose aggiegales of ideas vhich I caII
ninds. This vay of lhinking I caII lhe ecoIogy of nind, oi lhe ecoIogy of ideas. Il
is a science vhich does nol yel exisl as an oiganized lody of lheoiy oi knovIedge.
ul lhe definilion of an idea
* * *
D: Daddy, vhy cannol peopIe jusl say I an nol cioss al you and Iel il go al lhal`
I: Ah, nov ve aie gelling lo lhe ieaI piolIen. The poinl is lhal lhe nessages vhich
ve exchange in gesluies aie ieaIIy nol lhe sane as any liansIalion of lhose
gesluies inlo voids.
D: I donl undeisland.
I: I nean~lhal no anounl of leIIing sonelody in neie voids lhal one is oi is nol
angiy is lhe sane as vhal one nighl leII lhen ly gesluie oi lone of voice.
D: ul, Daddy, you cannol have voids vilhoul sone lone of voice, can you` Lven if
sonelody uses as IillIe lone as he can, lhe olhei peopIe viII heai lhal he is
hoIding hinseIf lack~and lhal viII le a soil of lone, vonl il`
I: Yes~I suppose so. Aflei aII lhals vhal I said jusl nov aloul gesluies~lhal lhe
Iienchnan can say sonelhing speciaI ly slopping his gesluies.
* * *
I: ul lhen, vhal do I nean ly saying lhal neie voids can nevei convey lhe sane
nessage as gesluies~if lheie aie no neie voids`
D: WeII, lhe voids nighl le viillen.
I: No~lhal vonl Iel ne oul of lhe difficuIly. ecause viillen voids sliII have sone
soil of ihylhn and lhey sliII have oveilones. The poinl is lhal no neie voids
exisl. Theie aie onIy voids vilh eilhei gesluie oi lone of voice oi sonelhing of
lhe soil. ul, of couise, gesluies vilhoul voids aie connon enough.
* * *
D: Daddy, vhen lhey leach us Iiench al schooI, vhy donl lhey leach us lo vave oui
hands`
I: I donl knov. In suie I donl knov. Thal is piolalIy one of lhe ieasons vhy
peopIe find Ieaining Ianguages so difficuIl.
* * *
I: Anyhov, il is aII nonsense. I nean, lhe nolion lhal Ianguage is nade of voids is aII
nonsense~and vhen I said lhal gesluies couId nol le liansIaled inlo neie
voids, I vas laIking nonsense, lecause lheie is no such lhing as neie voids.
And aII lhe synlax and giannai and aII lhal sluff is nonsense. Ils aII lased on
lhe idea lhal neie voids exisl~and lheie aie none.
D: ul, Daddy.
I: I leII you~ve have lo slail aII ovei again fion lhe leginning and assune lhal
Ianguage is fiisl and foie-nosl a syslen of gesluies. AninaIs aflei aII have onIy
gesluies and lones of voice~and voids veie invenled Ialei. Much Ialei. And
aflei lhal lhey invenled schooI-nasleis.
D: Daddy`
I: Yes.
D: WouId il le a good lhing if peopIe gave up voids and venl lack lo onIy using
gesluies`
I: Hnn. I donl knov. Of couise ve vouId nol le alIe lo have any conveisalions
Iike lhis. We couId onIy laik, oi nev, and vave oui ains aloul, and Iaugh and
giunl and veep. ul il nighl le fun~il vouId nake Iife a soil of laIIel~vilh
danceis naking lheii ovn nusic.
,". 789:;<D>8?%*M<>9%F:L8E%:CG%N8BCD%O8JB<>E
I
Daughlei: Daddy, aie lhese conveisalions seiious`
Ialhei: CeilainIy lhey aie.
D: Theyie nol a soil of gane lhal you pIay vilh ne`
I: Cod foilid. lul lhey aie a soil of gane lhal ve pIay logelhei.
D: Then lheyie nol seiious!
* * *
I: Suppose you leII ne vhal you vouId undeisland ly lhe voids seiious and a
gane.
D: WeII. if you
l.
I: ecause I don
n soiiy.
D: You see, Daddy~if I chealed oi vanled lo cheal, lhal vouId nean lhal I vas nol
seiious aloul lhe lhings ve laIk aloul. Il vouId nean lhal I vas onIy pIaying a
gane vilh you.
I: Yes, lhal nakes sense.
* * *
*
This nelaIogue is iepiinled ly peinission fion LTC.: A Reviev of CeneiaI Senanlics, VoI.
X, 1953.
D: ul il doesnl nake sense, Daddy. Ils an avfuI nuddIe.
I: Yes~a nuddIe~lul sliII a soil of sense.
D: Hov, Daddy`
* * *
I: Wail a ninule. This is difficuIl lo say. Iiisl of aII~I lhink lhal ve gel sonevheie
vilh lhese conveisalions. I enjoy lhen veiy nuch and I lhink you do. ul aIso,
apail fion lhal, I lhink lhal ve gel sone ideas sliaighl and I lhink lhal lhe
nuddIes heIp. I nean~lhal if ve lolh spoke IogicaIIy aII lhe line, ve vouId
nevei gel anyvheie. We vouId onIy paiiol aII lhe oId cIiches lhal eveiylody has
iepealed foi hundieds of yeais.
D: Whal is a cIiche, Daddy`
I: A cIiche` Ils a Iiench void, and I lhink il vas oiiginaIIy a piinleis void. When
lhey piinl a senlence lhey have lo lake lhe sepaiale Ielleis and pul lhen one ly
one inlo a soil of giooved slick lo speII oul lhe senlence. ul foi voids and
senlences vhich peopIe use oflen, lhe piinlei keeps IillIe slicks of Ielleis ieady
nade up. And lhese ieady-nade senlences aie caIIed cIiches.
D: ul Ive foigollen nov vhal you veie saying aloul cIiches, Daddy.
I: Yes~il vas aloul lhe nuddIes lhal ve gel inlo in lhese laIks and hov gelling
inlo nuddIes nakes a soil of sense. If ve didnl gel inlo nuddIes, oui laIks
vouId le Iike pIaying iunny vilhoul fiisl shuffIing lhe caids.
D: Yes, Daddy~lul vhal aloul lhose lhings~lhe ieady-nade slicks of Ielleis`
I: The cIiches` Yes~ils lhe sane lhing. We aII have Iols of ieady-nade phiases and
ideas, and lhe piinlei has ieady-nade slicks of Ielleis, aII soiled oul inlo phiases.
ul if lhe piinlei vanls lo piinl sonelhing nev~say, sonelhing in a nev
Ianguage, he viII have lo lieak up aII lhal oId soiling of lhe Ielleis. In lhe sane
vay, in oidei lo lhink nev lhoughls oi lo say nev lhings, ve have lo lieak up aII
oui ieady-nade ideas and shuffIe lhe pieces.
D: ul, Daddy, lhe piinlei vouId nol shuffIe aII lhe Ielleis` WouId he` He vouIdnl
shake lhen aII up in a lag. He vouId pul lhen one ly one in lheii pIaces~aII lhe
as in one lox and aII lhe ls in anolhei, and aII lhe connas in anolhei, and so
on.
I: Yes~lhals iighl. Olheivise he vouId go nad liying lo find an a vhen he vanled
il.
* * *
I: Whal aie you lhinking`
D: No~ils onIy lhal lheie aie so nany queslions. I: Ioi exanpIe`
D: WeII, I see vhal you nean aloul oui gelling inlo nuddIes. Thal lhal nakes us say
nev soils of lhings. ul I an lhinking aloul lhe piinlei. He has lo keep aII his
IillIe Ielleis soiled oul even lhough he lieaks up aII lhe ieady-nade phiases.
And I an vondeiing aloul oui nuddIes. Do ve have lo keep lhe IillIe pieces of
oui lhoughl in sone soil of oidei~lo keep fion going nad`
I: I lhink so~yes~lul I donl knov vhal soil of oidei. Thal vouId le a leiiilIy
haid queslion lo ansvei. I donl lhink ve couId gel an ansvei lo lhal queslion
loday.
* * *
I: You said lheie veie so nany queslions. Do you have anolhei`
D: Yes~aloul ganes and leing seiious. Thals vhal ve slailed fion, and I donl
knov hov oi vhy lhal Ied us lo laIk aloul oui nuddIes. The vay you confuse
eveiylhing~ils a soil of chealing.
I: No, alsoIuleIy nol.
* * *
I: You lioughl up lvo queslions. And ieaIIy lheie aie a Iol noie. We slailed fion
lhe queslion aloul lhese conveisalions~aie lhey seiious` Oi aie lhey a soil of
gane` And you feIl huil lhal I nighl le pIaying a gane, vhiIe you veie seiious.
Il Iooks as lhough a conveisalion is a gane if a peison lakes pail in il vilh one sel
of enolions oi ideas~lul nol a gane if his ideas oi enolions aie diffeienl.
D: Yes, ils if youi ideas aloul lhe conveisalion aie diffeienl fion nine.
I: If ve lolh had lhe gane idea, il vouId le aII iighl` D: Yes~of couise.
I: Then il seens lo le up lo ne lo nake cIeai vhal I nean ly lhe gane idea. I knov
lhal I an seiious~vhalevei lhal neans~aloul lhe lhings lhal ve laIk aloul. We
laIk aloul ideas. And I knov lhal I pIay vilh lhe ideas in oidei lo undeisland
lhen and fil lhen logelhei. Ils pIay in lhe sane sense lhal a snaII chiId
pIays vilh lIocks. And a chiId vilh luiIding lIocks is noslIy veiy seiious
aloul his pIay.
D: ul is il a gane, Daddy` Do you pIay againsl ne`
I: No. I lhink of il as you and I pIaying logelhei againsl lhe luiIding lIocks~lhe
ideas. Sonelines conpeling a lil~lul conpeling as lo vho can gel lhe nexl idea
inlo pIace. And sonelines ve allack each olheis lil of luiIding, oi I viII liy lo
defend ny luiIl-up ideas fion youi ciilicisn. ul aIvays in lhe end ve aie
voiking logelhei lo luiId lhe ideas up so lhal lhey viII sland.
* * *
D: Daddy, do oui laIks have iuIes` The diffeience lelveen
a gane and jusl pIaying is lhal a gane has iuIes.
I: Yes. Lel ne lhink aloul lhal. I lhink ve do have a soil of iuIes. and I lhink a
chiId pIaying vilh lIocks has iuIes. The lIocks lhenseIves nake a soil of iuIes.
They viII laIance in ceilain posilions and lhey viII nol laIance in olhei posilions.
And il vouId le a soil of chealing if lhe chiId used gIue lo nake lhe lIocks sland
up in a posilion fion vhich lhey vouId olheivise faII.
D: ul vhal iuIes do ve have`
I: WeII, lhe ideas lhal ve pIay vilh liing in a soil of iuIes. Theie aie iuIes aloul hov
ideas viII sland up and sup-poil each olhei. And if lhey aie viongIy pul
logelhei lhe vhoIe luiIding faIIs dovn.
D: No gIue, Daddy`
I: No~no gIue. OnIy Iogic.
* * *
D: ul you said lhal if ve aIvays laIked IogicaIIy and did nol gel inlo nuddIes, ve
couId nevei say anylhing nev. We couId onIy say ieady-nade lhings. Whal did
you caII lhose lhings`
I: CIiches. Yes. CIue is vhal cIiches aie sluck logelhei vilh.
D: ul you said Iogic, Daddy.
I: Yes, I knov. Weie in a nuddIe again. OnIy I donl see a vay oul of lhis pailicuIai
nuddIe.
* * *
D: Hov did ve gel inlo il, Daddy`
I: AII iighl, Iels see if ve can ieliace oui sleps. We veie laIking aloul lhe iuIes of
lhese conveisalions. And I said lhal lhe ideas lhal ve pIay vilh have iuIes of
Iogic.
D: Daddy! WouIdnl il le a good lhing if ve had a fev noie iuIes and oleyed lhen
noie caiefuIIy` Then ve nighl nol gel inlo lhese dieadfuI nuddIes.
I: Yes. ul vail. You nean lhal I gel us inlo lhese nuddIes lecause I cheal againsl
iuIes vhich ve donl have. Oi pul il lhis vay. Thal ve nighl have iuIes vhich
vouId slop us fion gelling inlo nuddIes~as Iong as ve oleyed lhen.
D: Yes, Daddy, lhals vhal lhe iuIes of a gane aie foi.
I: Yes, lul do you vanl lo luin lhese conveisalions inlo lhal soil of a gane` Id
ialhei pIay canasla~vhich is fun loo.
D: Yes, lhals iighl. We can pIay canasla vhenevei ve vanl lo. ul al lhe nonenl I
vouId ialhei pIay lhis gane. OnIy I donl knov vhal soil of a gane lhis is. Noi
vhal soil of iuIes il has.
I: And yel ve have leen pIaying foi sone line.
D: Yes. And ils leen fun.
I: Yes.
* * *
I: Lels go lack lo lhe queslion vhich you asked and vhich I said vas loo difficuIl
lo ansvei loday. We veie laIking aloul lhe piinlei lieaking up his cIiches, and
you said lhal he vouId sliII keep sone soil of oidei anong his Ielleis~lo keep
fion going nad. And lhen you asked Whal soil of oidei shouId ve cIing lo so
lhal vhen ve gel inlo a nuddIe ve do nol go nad`
l knov.
,"2 789:;<D>8?%P<Q%7>K@%1<%R<>%SC<QH
I
Daughlei: Daddy, hov nuch do you knov`
Ialhei: Me` Hnn~I have aloul a pound of knovIedge.
D: Donl le siIIy. Is il a pound sleiIing oi a pound veighl` I nean ieaIIy hov nuch
do you knov`
I: WeII, ny liain veighs aloul lvo pounds and I suppose I use aloul a quailei of il
~oi use il al aloul a quailei efficiency. So Iels say haIf a pound.
D: ul do you knov noie lhan }ohnnys daddy` Do you knov noie lhan I do`
I: Hnn~I once knev a IillIe loy in LngIand vho asked his falhei, Do falheis
aIvays knov noie lhan sons` and lhe falhei said, Yes. The nexl queslion vas,
Daddy, vho invenled lhe slean engine` and lhe falhei said, }anes Wall.
And lhen lhe son cane lack vilh ~lul vhy didnl }anes Walls falhei invenl
il`
* * *
D: I knov. I knov noie lhan lhal loy lecause I knov vhy }anes Walls falhei
didnl. Il vas lecause sone-lody eIse had lo lhink of sonelhing eIse lefoie
anylody couId nake a slean engine. I nean sonelhing Iike~I donl knov~lul
lheie vas sonelody eIse vho had lo discovei oiI lefoie anylody couId nake an
engine.
I: Yes~lhal nakes a diffeience. I nean, il neans lhal knovIedge is aII soil of knilled
logelhei, oi voven, Iike cIolh, and each piece of knovIedge is onIy neaningfuI oi
usefuI lecause of lhe olhei pieces~and.
D: Do you lhink ve oughl lo neasuie il ly lhe yaid`
I: No. I donl.
D: ul lhals hov ve luy cIolh.
I: Yes. ul I didnl nean lhal il is cIolh. OnIy ils Iike il~and ceilainIy vouId nol le
fIal Iike cIolh~lul in lhiee dinensions~peihaps foui dinensions.
D: Whal do you nean, Daddy`
I: I ieaIIy donl knov, ny deai. I vas jusl liying lo lhink.
I: I donl lhink ve aie doing veiy veII lhis noining. Sup-pose ve slail oul on
anolhei lack. Whal ve have lo lhink aloul is hov lhe pieces of knovIedge aie
voven logelhei. Hov lhey heIp each olhei.
D: Hov do lhey`
I: WeII~ils as if sonelines lvo facls gel added logelhei and aII you have is jusl lvo
facls. ul sonelines inslead of jusl adding lhey nuIlipIy~and you gel foui facls.
D: You cannol nuIlipIy one ly one and gel foui. You knov you canl.
I: Oh.
* * *
*
This nelaIogue is iepiinled ly peinission fion LTC.:A Reviev of CeneiaI Senanlics, VoI.
X, 1953. 91
I: ul yes I can, loo. If lhe lhings lo le nuIlipIied aie pieces of knovIedge oi facls oi
sonelhing Iike lhal. ecause eveiy one of lhen is a doulIe sonelhing.
D: I donl undeisland.
I: WeII~al Ieasl a doulIe sonelhing.
D: Daddy!
I: Yes~lake lhe gane of Tvenly Queslions. You lhink of sonelhing. Say you lhink
of lonoiiov. AII iighl. Nov I ask
Nov fion
youi yes I have gol a doulIe lil of infoinalion. I knov lhal il is alsliacl and I
knov lhal il isnl conciele. Oi say il lhis vay~fion youi yes I can haIve lhe
nunlei of possiliIilies of vhal lhe lhing can le. And lhals a nuIlipIying ly one
ovei lvo.
D: Isn
l il a division`
I: Yes~ils lhe sane lhing. I nean~aII iighl~ils a nuIlipIicalion ly.5. The
inpoilanl lhing is lhal ils nol jusl a sulliaclion oi an addilion.
D: Hov do you knov il isn
l`
I: Hov do I knov il`~WeII, suppose I ask anolhei queslion vhich viII haIve lhe
possiliIilies anong lhe alsliaclions. And lhen anolhei. Thal viII have lioughl
dovn lhe lolaI possiliIilies lo an eighlh of vhal lhey veie al lhe leginning. And
lvo lines lvo lines lvo is eighl.
D: And lvo and lvo and lvo is onIy six.
I: Thals iighl.
D: ul, Daddy, I donl see~vhal happens vilh Tvenly Queslions`
I: The poinl is lhal if I pick ny queslions piopeiIy I can decide lelveen lvo lines
lvo lines lvo lines lvo lvenly lines ovei lhings~2
2O
lhings. Thals ovei a niI-
Iion lhings lhal you nighl have lhoughl of. One queslion is enough lo decide
lelveen lvo lhings, and lvo queslions viII decide lelveen foui lhings~and so
on.
D: I donl Iike aiilhnelic, Daddy.
I: Yes, I knov. The voiking il oul is duII, lul sone of lhe ideas in il aie anusing.
Anyhov, you vanled lo knov hov lo neasuie knovIedge, and if you slail
neasuiing lhings lhal aIvays Ieads lo aiilhnelic.
D: We havenl neasuied any knovIedge yel.
I: No. I knov. ul ve have nade a slep oi lvo lovaid knoving hov ve vouId
neasuie il if ve vanled lo. And lhal neans ve aie a IillIe neaiei lo knoving
vhal knovIedge is.
D: Thal vouId le a funny soil of knovIedge, Daddy. I nean knoving aloul
knovIedge~vouId ve neasuie lhal soil of knoving lhe sane vay`
I: Wail a ninule~I donl knov~lhals ieaIIy lhe $64 Queslion on lhis suljecl.
ecause~veII, Iels go lack lo lhe gane of Tvenly Queslions. The poinl lhal ve
nevei nenlioned is lhal lhose queslions have lo le in a ceilain oidei. Iiisl lhe
vide geneiaI queslion and lhen lhe delaiIed queslion. And ils onIy fion ansveis
lo lhe vide queslions lhal I knov vhich delaiIed queslions lo ask. ul ve
counled lhen aII aIike. I donl knov. ul nov you ask ne if knoving aloul
knovIedge vouId le neasuied lhe sane vay as olhei knovIedge. And lhe
ansvei nusl suieIy le no. You see, if lhe eaiIy queslions in lhe gane leII ne
vhal queslions lo ask Ialei, lhen lhey nusl le pailIy queslions aloul knoving.
Theyie expIoiing lhe lusiness of knoving.
D: Daddy~has anylody evei neasuied hov nuch any-lody knev.
I: Oh yes. Oflen. ul I don
s knoving aloul knovIedge. And oughl one lo give highei naiks lo lhe
sludenl vho can ansvei lhe videsl queslion` Oi peihaps lheie shouId le a
diffeienl soil of naiks foi each diffeienl soil of queslion.
D: WeII, aII iighl. Lels do lhal and lhen add lhe naiks logelhei and lhen.
I: No~ve couIdn
l knov, ny deai. Theie vas a veiy angiy ailisl once vho sciillIed aII soils of
lhings dovn, and aflei he vas dead lhey Iooked in his looks and in one pIace
lhey found hed viillen Wise nen see oulIines and lheiefoie lhey diav lhen
lul in anolhei pIace hed viillen Mad nen see oulIines and lheiefoie lhey diav
lhen.
D: ul vhich does he nean` I donl undeisland.
I: WeII, WiIIian Iake~lhal vas his nane~vas a gieal ailisl and a veiy angiy nan.
And sonelines he ioIIed up his ideas inlo IillIe spillaIIs so lhal he couId lhiov
lhen al peopIe.
D: ul vhal vas he nad aloul, Daddy`
I: ul vhal vas he nad aloul` Oh, I see~you nean angiy.
We have lo keep
lhose lvo neanings of nad cIeai if ve aie going lo laIk aloul Iake. ecause a
Iol of peopIe lhoughl he vas nad~ieaIIy nad~ciazy. And lhal vas one of lhe
lhings he vas nad-angiy aloul. And lhen he vas nad-angiy, loo, aloul sone
ailisls vho painled picluies as lhough lhings didnl have oul-Iines. He caIIed
lhen lhe sIolleiing schooI.
D: He vasnl veiy loIeianl, vas he, Daddy`
I: ToIeianl` Oh, Cod. Yes, I knov~lhals vhal lhey diun inlo you al schooI. No,
Iake vas nol veiy loIeianl. He didnl even lhink loIeiance vas a good lhing. Il
vas jusl noie sIolleiing. He lhoughl il lIuiied aII lhe oulIines and nuddIed
eveiylhing~lhal il nade aII cals giay. So lhal nolody vouId le alIe lo see
anylhing cIeaiIy and shaipIy.
D: Yes, Daddy.
I: No, lhals nol lhe ansvei. I nean Yes, Daddy
s vhy il
l le siIIy, Daddy.
I: Yes, ve veie laIking aloul fIaningos. The poinl is lhal lhe nan vho viole AIice
vas lhinking aloul lhe sane lhings lhal ve aie. And he anused hinseIf vilh
IillIe AIice ly inagining a gane of cioquel lhal vouId le aII nuddIe, jusl
alsoIule nuddIe. So he said lhey shouId use fIaningos as naIIels lecause lhe
fIaningos vouId lend lheii necks so lhe pIayei vouIdnl knov even vhelhei his
naIIel vouId hil lhe laII oi hov il vouId hil lhe laII.
D: Anyhov lhe laII nighl vaIk avay of ils ovn accoid lecause il vas a hedgehog.
I: Thals iighl. So lhal ils aII so nuddIed lhal nolody can leII al aII vhals going lo
happen.
D: And lhe hoops vaIked aiound, loo, lecause lhey veie soIdieis.
I: Thal
s iighl~eveiylhing couId nove and nolody couId leII hov il vouId nove.
D: Did eveiylhing have lo le aIive so as lo nake a conpIele nuddIe`
I: No~he couId have nade il a nuddIe ly. no, I suppose youie iighl. Thals
inleiesling. Yes, il had lo le lhal vay. Wail a ninule. Ils cuiious lul youie iighl.
ecause if hed nuddIed lhings any olhei vay, lhe pIayeis couId have Ieained
hov lo deaI vilh lhe nuddIing delaiIs. I nean, suppose lhe cioquel Iavn vas
lunpy, oi lhe laIIs veie a funny shape, oi lhe heads of lhe naIIels jusl vollIy
inslead of leing aIive, lhen lhe peopIe couId sliII Ieain and lhe gane vouId onIy
le noie difficuIl~il vouIdnl le inpossilIe. ul once you liing Iive lhings inlo
il, il lecones inpossilIe. I vouIdnl have expecled lhal.
D: WouIdnl you, Daddy` I vouId have. Thal seens naluiaI lo ne.
I: NaluiaI` Suie~naluiaI enough. ul I vouId nol have expecled il lo voik lhal
vay.
D: Why nol` Thals vhal I vouId have expecled.
I: Yes. ul lhis is lhe lhing lhal I vouId nol have expecled. Thal aninaIs, vhich aie
lhenseIves alIe lo see lhings ahead and acl on vhal lhey lhink is going lo
happen~a cal can calch a nouse ly junping lo Iand vheie lhe nouse viII
piolalIy le vhen she has conpIeled hei junp~lul ils jusl lhe facl lhal aninaIs
aie capalIe of seeing ahead and Ieaining lhal nakes lhen lhe onIy ieaIIy
unpiediclalIe lhings in lhe voiId. To lhink lhal ve liy lo nake Iavs as lhough
peopIe veie quile ieguIai and piediclalIe.
D: Oi do lhey nake lhe Iavs jusl lecause peopIe aie nol piediclalIe, and lhe peopIe
vho nake lhe Iavs vish lhe olhei peopIe veie piediclalIe`
I: Yes, I suppose so.
* * *
D: Whal veie ve laIking aloul`
I: I donl quile knov~nol yel. ul you slailed a nev Iine ly asking if lhe gane of
cioquel couId le nade inlo a ieaI nuddIe onIy ly having aII lhe lhings in il aIive.
And I venl chasing aflei lhal queslion, and I donl lhink Ive caughl up vilh il
yel. Theie is sone-lhing funny aloul lhal poinl.
D: Whal`
I: I donl quile knov~nol yel. Sonelhing aloul Iiving lhings and lhe diffeience
lelveen lhen and lhe lhings lhal aie nol aIive~nachines, slones, so on. Hoises
donl fil in a voiId of aulonoliIes. And lhals pail of lhe sane poinl. Theyie
unpiediclalIe, Iike fIaningos in lhe gane of cioquel.
D: Whal aloul peopIe, Daddy`
I: Whal aloul lhen`
D: WeII, lheyie aIive. Do lhey fil` I nean on lhe slieels`
I: No, I suppose lhey donl ieaIIy fil~oi onIy ly voiking pielly haid lo piolecl
lhenseIves and nake lhenseIves fil. Yes, lhey have lo nake lhenseIves
piediclalIe, le-cause olheivise lhe nachines gel angiy and kiII lhen.
D: Donl le siIIy. If lhe nachines can gel angiy, lhen |ncq vouId
,
nol le piediclalIe.
Theyd le Iike you, Daddy. You canl piedicl vhen youie angiy, can you`
I: No, I suppose nol.
D: ul, Daddy, Id ialhei have you unpiediclalIe~sonelines.
* * *
D: Whal did qcu nean ly a conveisalion having an oul-Iine` Has lhis conveisalion
had an oulIine`
I: Oh, suieIy, yes. ul ve cannol see il yel lecause lhe conveisalion isnl finished.
You cannol evei see il vhiIe youie in lhe niddIe of il. ecause if you couId see il,
you vouId le piediclalIe~Iike lhe nachine. And I vouId le piediclalIe~and
lhe lvo of us logelhei vouId le piediclalIe
D: ul I donl undeisland. You say il is inpoilanl lo le cIeai aloul lhings. And you
gel angiy aloul peopIe vho lIui lhe oulIines. And yel ve lhink ils lellei lo le
unpiediclalIe and nol lo le Iike a nachine. And you say lhal ve cannol see lhe
oulIines of oui conveisalion liII ils ovei. Then il doesnl nallei vhelhei ve
ie
cIeai oi nol. ecause ve cannol dc anylhing aloul il lhen.
I: Yes, I knov~and I donl undeisland il nyseIf.. ul anyvay, vho vanls lo dc
anylhing aloul il`
,"V 789:;<D>8?%0@A%:%OQ:CH
I
Daughlei: Why a svan`
Ialhei: Yes~and vhy a puppel in Ielioushka`
D: No~lhals diffeienl. Aflei aII a puppel is soil of hunan~and lhal pailicuIai
puppel is veiy hunan. I: Moie hunan lhan lhe peopIe`
D: Yes.
I: ul sliII onIy soil of hunan` And aflei aII lhe svan is aIso soil of hunan.
D: Yes.
* * *
D: ul vhal aloul lhe dancei` Is she hunan` Of couise she rca||q is, lul, on lhe slage,
she seens inhunan oi inpeisonaI~peihaps supeihunan. I donl knov.
I: You nean~lhal vhiIe lhe svan is onIy a scr| cf svan and has no velling lelveen
hei loes, lhe dancei seens onIy scr| cf hunan.
D: I donl knov~peihaps ils sonelhing Iike lhal.
* * *
I: No~I gel confused vhen I speak of lhe svan and lhe dancei as lvo diffeienl
lhings. I vouId ialhei say lhal lhe lhing I see on lhe slage~lhe svan figuie~is
lolh
l.
Oi
Hov vas I,
Iasl nighl`
ul in any case she can have no diiecl conlioI ovei lhe nallei.
* * *
D: Do you nean lhal anylody vho knev lhis seciel vouId have il in lheii povei lo
le a gieal dancei oi a gieal poel`
I: No, no, no. Il isnl Iike lhal al aII. I nean fiisl lhal gieal ail and ieIigion and aII lhe
iesl of il is aloul lhis seciel, lul knoving lhe seciel in an oidinaiy conscious vay
vouId nol give lhe knovei conlioI.
* * *
D: Daddy, vhal has happened` We veie liying lo find oul vhal soil of neans
vhen ve say lhal lhe svan is soil of hunan. I said lhal lheie nusl le lvo
senses of soil of. One in lhe phiase lhe svan figuie is a `soil of svan, and
anolhei in lhe phiase lhe svan figuie is `soil of hunan. And nov you aie
laIking aloul nysleiious seciels and conlioI.
I: AII iighl. III slail again. The svan figuie is nol a ieaI svan lul a pielend svan. Il
is aIso a pielend-nol hunan leing. Il is aIso ieaIIy a young Iady veaiing a
vhile diess. And a ieaI svan vouId iesenlIe a young Iady in ceilain vays.
D: ul vhich of lhese is sacianenlaI`
I: Oh Loid, heie ve go again. I can onIy say lhis: lhal il is nol one of lhese slalenenls
lul lheii conlinalion vhich conslilules a sacianenl. The pielend and lhe
pielend-nol and lhe ieaIIy sonehov gel fused logelhei inlo a singIe
neaning.
D: ul ve oughl lo keep lhen sepaiale.
I: Yes. Thal is vhal lhe Iogicians and lhe scienlisls liy lo do. ul lhey do nol cieale
laIIels lhal vay~noi sacianenls.
,"$ 789:;<=>8?%0@:9%3E%:C%3CE9BCK9H
I
Daughlei: Daddy, vhal is an inslincl`
Ialhei: An inslincl, ny deai, is a expIanaloiy piincipIe. D: ul vhal does il expIain`
I: Anylhing~aInosl anylhing al aII. Anylhing you vanl il lo expIain.
D: Donl le siIIy. Il doesnl expIain giavily.
I: No. ul lhal is lecause nolody vanls inslincl lo expIain giavily. f lhey did, il
vouId expIain il. We couId sinpIy say lhal lhe noon has an inslincl vhose
slienglh vaiies inveiseIy as lhe squaie of lhe dislance.
D: ul lhals nonsense, Daddy.
I: Yes, suieIy. ul il vas you vho nenlioned inslincl, nol I.
D: AII iighl~lul lhen vhal does expIain giavily`
I: Nolhing, ny deai, lecause giavily is an expIanaloiy piincipIe.
D: Oh.
D: Do you nean lhal you cannol use one expIanaloiy piincipIe lo expIain anolhei`
Nevei`
I: Hnn. haidIy evei. Thal is vhal Nevlon neanl vhen he said, hypolheses non
fingo.
D: And vhal does lhal nean` IIease.
I: WeII, you knov vhal hypolheses aie. Any slalenenl Iinking logelhei lvo
desciiplive slalenenls is an hypolhesis. If you say lhal lheie vas a fuII noon on
Ieliuaiy 1sl and anolhei on Maich 1sl, and lhen you Iink lhese lvo olseivalions
logelhei in any vay, lhe slalenenl vhich Iinks lhen is an hypolhesis.
D: Yes~and I knov vhal non neans. ul vhals fingo`
I: WeII~fingo is a Iale Lalin void foi nake.
inslincl.
l quile knov.
D: WeII. Do dieans go ly opposiles` Is lhe noiaI lhe opposile of vhal lhe diean
seens lo say`
I: Oh yes. Oflen. Dieans oflen have an iionic oi saicaslic lvisl. A soil of ieduclio
ad alsuidun.
D: Ioi exanpIe`
I: AII iighl. A fiiend of nine vas a fighlei piIol in WoiId Wai II. Aflei lhe vai he
lecane a psychoIogisl and had lo sil foi his Ih. D. oiaI exan. He legan lo le
leiiified of lhe oiaI, lul, lhe nighl lefoie lhe exan, he had a nighlnaie in vhich
he expeiienced again leing in a pIane vhich had leen shol dovn. Nexl day he
venl inlo lhe exaninalion vilhoul feai.
D: Why`
I: ecause il vas siIIy foi a fighlei piIol lo le afiaid of a lunch of univeisily
piofessois vho couIdnl ieaIIy shool hin dovn.
D: ul hov did he knov lhal` The diean couId have leen leIIing hin lhal lhe
piofessois vouId shool hin dovn. Hov did he knov il vas iionic`
I: Hnn. The ansvei is he didnl knov. The diean doesnl have a IaleI on il lo say il
is iionic. And vhen peopIe aie leing iionic in vaking conveisalion, lhey oflen
donl leII you lhey aie leing iionic.
D: No. Thals liue. I aIvays lhink ils soil of ciueI.
I: Yes. Il oflen is.
D: Daddy, aie aninaIs evei iionic oi saicaslic`
I: No. I guess nol. ul I an nol suie lhal lhose aie quile lhe voids ve shouId use.
Iionic and saicaslic aie voids foi lhe anaIysis of nessage naleiiaI in
Ianguage. And aninaIs donl have Ianguage. Ils peihaps pail of lhe viong soil
of oljeclivily.
D: AII iighl. Then do aninaIs deaI in opposiles`
I: WeII, yes. As a nallei of facl, lhey do. ul In nol suie ils lhe sane lhing.
D: Co on. Hov do lhey` And vhen`
I: WeII. You knov hov a puppy Iies on his lack and piesenls his leIIy lo a liggei
dog. Thals soil of inviling lhe liggei dog lo allack. ul il voiks in lhe opposile
vay. Il slops lhe liggei dog fion allacking.
D: Yes. I see. Il is a soil of use of opposiles. ul do lhey knov lhal`
I: You nean does lhe lig dog knov lhal lhe IillIe dog is saying lhe opposile of vhal
he neans` And does lhe IillIe dog knov lhal lhal is lhe vay lo slop lhe lig dog`
D: Yes.
I: I donl knov. I sonelines lhink lhe IillIe dog knovs a IillIe noie aloul il lhan
lhe lig dog. Anyhov, lhe IillIe dog does nol give any signaIs lo shov lhal he
knovs. He olviousIy couIdnl do lhal.
D: Then ils Iike lhe dieans. Theies no IaleI lo say lhal lhe diean is deaIing in
opposiles.
I: Thal
s iighl.
D: I lhink veie gelling sonevheie. Dieans deaI in opposiles, and aninaIs deaI in
opposiles, and neilhei caiiies IaleIs lo say vhen lhey aie deaIing in opposiles.
I: Hnn.
D: Why do aninaIs fighl`
I: Oh, foi nany ieasons. Teiiiloiy, sex, food.
D: Daddy, youie laIking Iike inslincl lheoiy. I lhoughl ve agieed nol lo do lhal.
I: AII iighl. ul vhal soil of an ansvei do you vanl lo lhe queslion, vhy aninaIs
fighl`
D: WeII. Do lhey deaI in opposiles`
I: Oh. Yes. A Iol of fighling ends up in sone soil of peace-naking. And ceilainIy
pIayfuI fighling is pailIy a vay of affiining fiiendship. Oi discoveiing oi
iediscoveiing fiiendship.
D: I lhoughl so..
D: ul vhy aie lhe IaleIs nissing` Is il foi lhe sane ieason in lolh aninaIs and
dieans`
I: I donl knov. ul, you knov, dieans do nol aIvays deaI in opposiles.
D: No~of couise nol~noi do aninaIs.
I: AII iighl lhen.
D: Lels go lack lo lhal diean. Ils lolaI effecl on lhe nan vas lhe sane as if
sonelody had said lo hin, `you in a fighlei pIane is nol equaI lo `you in an
oiaI exan.
I: Yes. ul lhe diean didnl speII lhal oul. Il onIy says, you in a fighlei pIane. Il
Ieaves oul lhe nol, and il Ieaves oul lhe insliuclion lo conpaie lhe diean vilh
sonelhing eIse and il doesnl say vhal he shouId conpaie il vilh.
D: AII iighl. Lels lake lhe nol fiisl. Is lheie any nol in aninaI lehavioi`
I: Hov couId lheie le`
D: I nean can an aninaI say ly ils aclions, I viII nol lile you`
I: WeII, lo legin vilh. Connunicalion ly aclions cannol possilIy have lenses. They
aie onIy possilIe in Ianguage.
D: Didnl you say lhal dieans have no lenses`
I: Hnn. Yes, I did.
D: Okay. ul vhal aloul nol. Can lhe aninaI say, I an nol liling you`
I: Thal sliII has a lense in il. ul nevei nind. If lhe aninaI is nol liling lhe olhei, hes
nol liling il, and lhals il.
D: ul he nighl le nol doing aII soils of olhei lhings, sIeeping, ealing, iunning, and
so on. Hov can he say, Ils liling lhal In nol doing`
I: He can onIy do lhal if liling has sonehov leen nenlioned.
D: Do you nean lhal he couId say, I an nol liling you ly fiisl shoving his fangs
and lhen nol liling`
I: Yes. Sonelhing Iike lhal.
D: ul vhal aloul lvo aninaIs` Theyd lolh have lo shov lheii fangs.
I: Yes.
D: And, il seens lo ne, lhey nighl nisundeisland each olhei, and gel inlo a fighl.
I: Yes. Theie is aIvays lhal dangei vhen you deaI in opposiles and do nol oi
cannol say vhal you aie doing, especiaIIy vhen you do nol knov vhal you aie
doing. D: ul lhe aninaIs vouId knov lhal lhey laied lheii fangs in oidei lo say,
I vonl lile you.
I: I doull vhelhei lhey vouId knov. CeilainIy neilhei aninaI knovs il aloul lhe
olhei. The dieanei doesnl knov al lhe leginning of lhe diean hov lhe diean is
going lo end.
D: Then il
s a soil of expeiinenl..
I: Yes.
D: So lhey nighl gel inlo a fighl in oidei lo find oul vhelhei fighling vas vhal lhey
had lo do.
I: Yes~lul Id ialhei pul il Iess puiposiveIy~lhal lhe fighl shovs lhen vhal soil of
ieIalionship lhey have, aflei il. Ils nol pIanned.
D: Then nol is ieaIIy nol lheie vhen lhe aninaIs shov lheii fangs`
I: I guess nol. Oi oflen nol. Ieihaps oId fiiends nighl engage in pIayfuI fighling and
knov al lhe leginning vhal lhey aie doing.
D: AII iighl. Then lhe nol is alsenl in aninaI lehavioi lecause nol is pail of
veilaI Ianguage, and lheie can-nol le any aclion signaI foi
,
nol. And lecause
lheie is no nol, lhe onIy vay lo agiee on a negalive is lo acl oul lhe vhoIe
ieduclio ad alsuidun. You have lo acl oul lhe lallIe lo piove il isnl one, and
lhen you have lo acl oul lhe sulnission lo piove lhal lhe olhei von
l eal you.
I: Yes.
D: Did lhe aninaIs have lo lhink lhal oul`
I: No. ecause ils aII necessaiiIy liue. And lhal vhich is necessaiiIy liue viII
govein vhal you do iegaidIess of vhelhei you knov lhal il is necessaiiIy liue. If
you pul lvo appIes vilh lhiee appIes you viII gel five appIes~even lhough you
cannol counl. Ils anolhei vay of expIaining lhings.
D : Oh.
D: ul, lhen, vhy does lhe diean Ieave oul lhe nol`
I: I lhink ieaIIy foi a ialhei siniIai ieason. Dieans aie noslIy nade of inages and
feeIings, and if you aie going lo connunicale in inages and feeIings and such,
you again aie goveined ly lhe facl lhal lheie is no inage foi nol.
D: ul you couId diean of a Slop sign vilh a Iine lhiough il, vhich vouId nean
No Slopping.
I: Yes. ul lhals haIfvay lovaid Ianguage. And lhe deIeling Iine isnl lhe void
nol. Ils lhe void donl. Donl can le conveyed in aclion Ianguage~if lhe
olhei peison nakes a nove lo nenlion vhal you vanl lo foilid. You can even
diean in voids, and lhe void nol nighl le anong lhen. ul I doull if you
can diean a nol vhich is aloul lhe diean. I nean a nol vhich neans This
diean is nol lo le laken IileiaIIy. Sonelines, in veiy Iighl sIeep, one knovs lhal
one is dieaning.
D: ul, Daddy, you sliII havenl ansveied lhe queslion aloul hov dieans aie pul
logelhei.
I: I lhink ieaIIy I have ansveied il. ul Iel ne liy again. A diean is a nelaphoi oi a
langIe of nelaphois. Do you knov vhal a nelaphoi is`
D: Yes. If I say you aie Iike a pig lhal is a siniIe. ul if I say you aie a pig, lhal is a
nelaphoi.
I: AppioxinaleIy, yes. When a nelaphoi is IaleIed as a nelaphoi il lecones a
siniIe.
D: And ils lhal IaleIing lhal a diean Ieaves oul.
I: Thals iighl. A nelaphoi conpaies lhings vilhoul speIIing oul lhe conpaiison. Il
lakes vhal is liue of one gioup of lhings and appIies il lo anolhei. When ve say a
nalion decays, ve aie using a nelaphoi, suggesling lhal sone changes in a
nalion aie Iike changes vhich lacleiia pioduce in fiuil. ul ve donl slop lo
nenlion lhe fiuil oi lhe lacleiia.
D: And a diean is Iike lhal`
I: No. Ils lhe olhei vay aiound. The diean vouId nenlion lhe fiuil and possilIy
lhe lacleiia lul vouId nol nenlion lhe nalion. The diean eIaloiales on lhe
ieIalionship lul does nol idenlify lhe lhings lhal aie ieIaled.
D: Daddy, couId you nake a diean foi ne`
I: You nean, on lhis iecipe` No. Lels lake lhe piece of veise vhich I iead you jusl
nov and luin il inlo a diean. Ils aInosl diean naleiiaI lhe vay il slands. Ioi
nosl of il, you have onIy lo sulslilule inages foi lhe voids. And lhe voids aie
vivid enough. ul lhe vhoIe sliing of nelaphois oi inages is pegged dovn,
vhich vouId nol le so in a diean.
D: Whal do you nean ly pegged dovn`
I: I nean ly lhe fiisl void: Thoughl. Thal void lhe viilei is using IileiaIIy, and
lhal one void leIIs you vhal aII lhe iesl is aloul.
D: And in a diean`
I: Thal void, loo, vouId have leen nelaphoiic. Then lhe vhoIe poen vouId have
leen nuch noie difficuIl.
D: AII iighl~change il lhen.
I: Whal aloul ailaia changed lhe infinile. and so on.
D: ul vhy` Who is she`
I: WeII, shes lailaious, and shes fenaIe, and she is lhe nnenonic nane of a
syIIogislic nood. I lhoughl she vouId do ialhei veII as a nonslious synloI foi
Thoughl. I can see hei nov vilh a paii of caIipeis, pinching hei ovn liain lo
change hei univeise.
D: Slop il.
I: AII iighl. ul you see vhal I nean ly saying lhal in dieans lhe nelaphois aie nol
pegged dovn.
D: Do aninaIs peg dovn lheii nelaphois`
I: No. They donl have lo. You see, vhen a giovn-up liid nakes Iike a laly liid in
appioaching a nenlei of lhe opposile sex, hes using a nelaphoi laken fion lhe
ieIalionship lelveen chiId and paienl. ul he doesnl have lo peg dovn vhose
ieIalionship he is laIking aloul. Ils olviousIy lhe ieIalionship lelveen hin-seIf
and lhe olhei liid. Theyie lolh of lhen piesenl.
D: ul donl lhey evei use nelaphois~acl oul nelaphois ~aloul sonelhing olhei
lhan lheii ovn ieIalionships`
I: I donl lhink so. No~nol nannaIs. And I donl lhink liids do eilhei. ees~
peihaps. And, of couise, peopIe.
D: Theies one lhing I donl undeisland.
I: Yes`
D: Weve found a vhoIe Iol of lhings in connon lelveen dieans and aninaI
lehavioi. They lolh deaI in opposiles, and lhey lolh have no lenses, and lhey
lolh have no nol, and lhey lolh voik ly nelaphoi, and neilhei of lhen pegs
lhe nelaphois dovn. ul vhal I donl undeisland is~vhy, vhen lhe aninaIs do
lhese lhings, il nakes sense. I nean foi lhen lo voik in opposiles. And lhey
donl have lo peg dovn lheii nelaphois~lul I donl see vhy dieans shouId le
Iike lhal, loo.
I: Noi do I.
D: And lheies anolhei lhing.
I: Yes`
D: You laIked aloul genes and chionosones caiiying nessages aloul
deveIopnenl. Do lhey laIk Iike aninaIs and dieans` I nean in nelaphois and
vilh no nols` Oi do lhey laIk Iike us`
I: I donl knov. ul I an suie lheii nessage syslen conlains no sinpIe liansfoin of
Inslincl Theoiy.
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I
The Menoiandun viillen ly a Connillee of lhe SociaI Sciences Reseaich
CounciI (Man, 1935, 162) has slinuIaled ne lo pul foivaid a poinl of viev vhich
diffeis consideialIy fion lheiis, and, lhough lhe leginning of lhis ailicIe nay appeai
lo le ciilicaI of lheii Menoiandun, I vish lo nake il cIeai fion lhe oulsel lhal I
iegaid as a ieaI conliilulion any seiious allenpl lo devise calegoiies foi lhe sludy of
cuIluie conlacl. Moieovei, since lheie aie seveiaI passages in lhe Menoiandun
(anong lhen lhe Definilion) vhich I do nol peifeclIy undeisland, ny ciilicisns aie
offeied vilh sone hesilalion, and aie diiecled nol so nuch againsl lhe Connillee as
againsl ceilain eiiois pievaIenl anong anlhiopoIogisls.
(1) Tnc uscs cf sucn sqs|cns cf ca|cgcrics. In geneiaI il is unvise lo consliucl
syslens of lhis soil unliI lhe piolIens vhich lhey aie designed lo eIucidale have
leen cIeaiIy foinuIaled, and so fai as I can see, lhe calegoiies diavn up ly lhe
Connillee have leen consliucled nol in iefeience lo any specificaIIy defined
piolIens, lul lo lhiov a geneiaI Iighl on lhe piolIen of accuIluialion, vhiIe lhe
piolIen ilseIf ienains vague.
(2) Iion lhis il foIIovs lhal oui innediale need is nol so nuch lhe consliuclion
of a sel of calegoiies vhich viII lhiov a Iighl on aII lhe piolIens, lul ialhei lhe
schenalic foinuIalion of lhe piolIens in such a vay lhal lhey nay le sepaialeIy
invesligalIe.
(3) AIlhough lhe Connillee Ieave lheii piolIens undefined, ve nay fion a
caiefuI ieading of lhe calegoiies galhei ioughIy vhal queslions lhey aie asking of lhe
naleiiaI. Il seens lhal lhe Connillee have, as a nallei of facl, leen infIuenced ly lhe
soil of queslions vhich adninislialois ask of anlhiopoIogisls~
Is il a good lhing lo
use foice in cuIluie conlacls` Hov can ve nake a given peopIe accepl a ceilain
soil of liail` and so on. In iesponse lo lhis lype of queslion ve find in lhe definilion
of accuIluialion an enphasis upon diffeience in cuIluie lelveen lhe gioups in
conlacl and upon lhe iesuIling changes, and such dicholonies as lhal lelveen
eIenenls foiced upon a peopIe oi ieceived voIunlaiiIy ly lhen
1
nay Iikevise le
iegaided as synplonalic of lhis lhinking in leins of adninislialive piolIens. The
sane nay le said of lhe calegoiies V, A, , and C, acceplance, adaplalion and
ieaclion.
(4) We nay agiee lhal ansveis aie ladIy needed lo lhese queslions of
adninislialion and, fuilhei, lhal a sludy of cuIluie conlacls is IikeIy lo give lhese
ansveis, ul il is aInosl ceilain lhal lhe scienlific foinuIalion of lhe piolIens of con-
lacl viII nol foIIov lhese Iines. Il is as if in lhe consliuclion of calegoiies foi lhe sludy
of ciininoIogy ve slailed vilh a dicholony of individuaIs inlo ciininaI and
*
The vhoIe conlioveisy of vhich lhis ailicIe vas a pail has leen iepiinled in !"#$%&'()"'
*+$%(,"+-'ediled ly IauI ohannon and Iied IIog. ul lhe iippIes of lhis conlioveisy have Iong
since died dovn, and lhe ailicIe is incIuded heie onIy foi ils posilive conliilulions. Il is iepiinled,
unchanged, fion ./%-'AilicIe 199, VoI. XXXV, 1935, ly peinission of lhe RoyaI AnlhiopoIogicaI
Inslilule of Cieal iilain and IieIand.
1
In any case il is cIeai lhal in a scienlific sludy of piocesses and naluiaI Iavs lhis invocalion of
fiee viII can have no pIace.
nonciininaI ~and, indeed, lhal cuiious science vas hanpeied foi a Iong vhiIe ly
lhis veiy allenpl lo define a ciininaI lype.
(5) The Menoiandun is lased upon a faIIacy: lhal ve can cIassify lhe liails of a
cuIluie undei such headings as econonic, ieIigious, elc. We aie asked, foi exanpIe,
lo cIassify liails inlo lhiee cIasses, piesenled iespecliveIy lecause of: (a) econonic
piofil oi poIilicaI doninance, (l) desiialiIily of liinging aloul confoinily lo vaIues
of donoi gioup, and (c) elhicaI and ieIigious consideialions. This idea, lhal each liail
has eilhei a singIe funclion oi al Ieasl sone one funclion vhich oveilops lhe iesl,
Ieads ly exlension lo lhe idea lhal a cuIluie can le suldivided inlo inslilulions
vheie lhe lundIe of liails vhich nake up one inslilulion aie aIike in lheii najoi
funclions. The veakness of lhis nelhod of suldividing a cuIluie has leen
concIusiveIy denonslialed ly MaIinovski and his pupiIs, vho have shovn lhal
aInosl lhe vhoIe of a cuIluie nay le seen vaiiousIy as a nechanisn foi nodifying
and salisfying lhe sexuaI needs of lhe individuaIs, oi foi lhe enfoicenenl of lhe
noins of lehavioi, oi foi suppIying lhe individuaIs vilh food.
2
Iion lhis exhauslive
denonslialion ve nusl expecl lhal any singIe liail of a cuIluie viII piove on
exaninalion lo le nol sinpIy econonic oi ieIigious oi sliucluiaI, lul lo pailake of aII
lhese quaIilies accoiding lo lhe poinl of viev fion vhich ve Iook al il. If lhis le liue
of a cuIluie seen in synchionic seclion, lhen il nusl aIso appIy lo lhe diachionic
piocesses of cuIluie conlacl and change, and ve nusl expecl lhal foi lhe offeiing,
acceplance oi iefusaI of eveiy liail lhal aie sinuIlaneous causes of an econonic,
sliucluiaI, sexuaI, and ieIigious naluie.
(6) Iion lhis il foIIovs lhal oui calegoiies ieIigious, econonic,
successive
vhen il
can le shovn lhal lhey have siniIai sliucluie oi leai siniIai sliucluiaI ieIalions lo
olhei oigans, e.g., lhe liunk of lhe eIephanl is honoIogous vilh lhe nose and Iip of a
nan le-cause il has lhe sane foinaI ieIalion lo olhei pails~eyes, elc., lul lhe liunk
of an eIephanl is anaIogous lo lhe hand of a nan lecause lolh have lhe sane uses.
Iifleen yeais ago conpaialive analony ievoIved endIessIy aiound lhese lvo soils of
conpaialiIily, vhich incidenlaIIy aie good exanpIes of vhal I nean ly alsliaclions
vhich define lhe leins of a conpaiison lelveen enlilies.
My allack on lhe syslen vas lo suggesl lhal lheie nighl le olhei soils of
conpaialiIily and lhal lhese vouId con-fuse lhe issue lo such a degiee lhal neie
noiphoIogicaI anaIysis vouId nol suffice. I aigued lhal lhe liIaleiaI fins of a fish
vouId convenlionaIIy le iegaided as honoIogous vilh lhe liIaleiaI Iinls of a
nannaI, lul lhal lhe laiI of a fish, a nedian oigan, vouId convenlionaIIy le
iegaided a diffeienl fion oi al nosl onIy anaIogous lo lhe fins. ul vhal aloul
lhe doulIe-laiIed }apanese goIdfish` In lhis aninaI lhe faclois causing an anonaIy of
lhe laiI aIso cause lhe sane anonaIy in lhe liIaleiaI fins, lheiefoie lheie vas heie
anolhei soil of conpaialiIily, an equivaIence in leins of piocesses and Iavs of
giovlh. WeII, I donl knov vhal naik I gol foi ny ansvei. I found oul nuch Ialei
lhal, as a nallei of facl, lhe IaleiaI fins of lhe goIdfish aie scaiceIy, if al aII, affecled ly
lhe faclois vhich cause lhe anonaIy in lhe laiI, lul I doull if lhe exaninei caughl ne
in ny lIuff, and I found aIso lhal, cuiiousIy, HaekeI in 1854 had acluaIIy coined lhe
void hononony foi lhe veiy lype of equivaIence lhal I vas invenling. The void
is, so fai as I knov, olsoIele, and vas olsoIele vhen I viole ny ansvei.
So fai as I vas conceined, hovevei, lhe idea vas nev and I had lhoughl of il
nyseIf. I feIl lhal I had discoveied hov lo lhink. Thal vas in 1926, and lhis sane oId
cIue~iecipe, if you Iike~has ienained vilh ne evei since. I did nol ieaIize lhal I
had a iecipe, and il vas nol unliI len yeais Ialei lhal I fuIIy giasped lhe significance
of lhis anaIogyhonoIogy-hononony lusiness.
Ieihaps il viII le of inleiesl lo iecounl in sone delaiI ny vaiious liushes vilh
lhese concepls and lhe iecipe vhich lhey conlained. Soon aflei lhe exaninalion lo
vhich I have iefeiied, I venl inlo anlhiopoIogy and foi sone line slopped lhinking
~vondeiing ialhei vhal couId le nade of lhis suljecl, lul nol gelling anylhing
cIeai excepl a iepudialion of nosl of lhe convenlionaI appioaches vhich, lo ne,
seened neaningIess. I viole a IillIe skil on lhe concepl of lolenisn in 193O, fiisl
pioving lhal lhe lolenisn of lhe IalnuI is |ruc lolenisn lecause il conlains a high
peicenlage of chaiacleiislics of lolenisn Iisled in Noles and Queiies on
AnlhiopoIogy issued noie oi Iess ex calhedia ly lhe RoyaI AnlhiopoIogicaI
Inslilule, and lhen going on lo lhe queslion, vhal soil of equivaIence ve lhoughl ve
veie iefeiiing lo vhen ve equale sone lils of IalnuI cuIluie vilh lhe lolen-isn of
Noilh Aneiica, and diagging in honoIogy-hononony, elc.
In lhis discussion of liue lolenisn I sliII had lhe hononony-honoIogy
alsliaclions peifeclIy cIeai and vas using lhe concepls vilh a cIean (lhough
inailicuIale) undeislanding of vhal soil of alsliaclions lhey veie~lul il is
inleiesling lhal I afleivaids nade sone olhei conpaialIe alsliaclions foi lhe
anaIysis of IalnuI naleiiaI and nuddIed lhe issues lhiough foigelling lhis veiy
lhing.
I vas especiaIIy inleiesled in sludying vhal I caIIed lhe feeI of cuIluie, and I
vas loied vilh lhe convenlionaI sludy of lhe noie foinaI delaiIs. I venl oul lo Nev
Cuinea vilh lhal nuch vagueIy cIeai~and in one of ny fiisl Ielleis hone I
conpIained of lhe hopeIessness of pulling any soil of saIl on lhe laiI of such an
inpondeialIe concepl as lhe feeI of cuIluie. I had leen valching a casuaI gioup of
nalives cheving leleI, spilling, Iaughing, joking, elc., and I feIl aculeIy lhe lanlaIizing
inpossiliIily of vhal.I vanled lo do.
A yeai Ialei, sliII in Nev Cuinea, I iead Araoia Dcscr|a and iecognized vilh a
lhiiII lhal Doughly had in a sense done vhal I vanled lo do. He had pul saIl on lhe
laiI of lhe veiy liid lhal I vas hunling. ul I ieaIized aIso~sadIylhal he had used lhe
viong kind of saIl. I vas nol inleiesled in achieving a Iileiaiy oi ailislic
iepiesenlalion of lhe feeI
of lhe cuIluie vas in sone uaq causa|itc in shaping nalive lehavioi. This
encouiaged ne lo go on lhinking lhal I vas liying aflei sonelhing lhal vas
inpoilanl~so fai so good. ul il aIso guided ne inlo iegaiding lhe feeI of lhe
cuIluie as nuch noie conciele and causaIIy aclive lhan I had any iighl lo do.
This faIse concieleness vas ieinfoiced Ialei ly an accidenl of Ianguage. RadcIiffe-
iovn caIIed lo ny allenlion lhe oId void c|ncs and loId ne lhal lhal vas vhal I
vas liying lo sludy. Woids aie dangeious lhings, and il so hap-pens lhal elhos is
in sone vays a veiy lad void. If I had leen conpeIIed lo nake up ny ovn void foi
vhal I vanled lo say, I nighl have done lellei and saved nyseIf a gieal deaI of
confusion. I vouId, I hope, have pul foivaid sonelhing Iike elhonony, vhich
vouId have ieninded ne lhal I vas iefeiiing lo an alsliaclion of lhe sane oidei as
honoIogy oi hononony. The lioulIe vilh lhe void elhos is jusl lhis~lhal il is |cc
sncr|. Il is a unil void, a singIe Cieek sulslanlive, and as such heIped ne lo go on
lhinking lhal il iefeiied lo a unil sonelhing vhich I couId sliII iegaid as causa|itc. |
handIed lhe void as if il veie a calegoiy of lehavioi oi a soil of facloi vhich shaped
lehavioi.
We aie aII faniIiai vilh lhis Ioose use of voids in such phiases as: lhe causes of
vai aie econonic,
econonic lehavioi,
elhos
~I had eidos,
nalionaI chaiaclei
aiises
aflei lhe fiisl has leen negolialed. Those vho gianl lhal chaiaclei nusl le consideied
can sliII doull vhelhei any unifoinily oi ieguIaiily is IikeIy lo ollain vilhin such. a
sanpIe of hunan leings as conslilules a nalion. Lel us gianl al once lhal unifcrni|q
olviousIy does nol occui, and Iel us pioceed lo considei vhal soils of rcgu|ari|q naq
le expecled.
The ciilicisn vhich ve aie liying lo neel is IikeIy lo lake five foins. (1) The
ciilic nay poinl lo lhe occuiience of sulcuIluiaI diffeienlialion, lo diffeiences
lelveen lhe sexes, oi lelveen cIasses, oi lelveen occupalionaI gioups vilhin lhe
connunily. (2) He nay poinl lo lhe exliene heleiogeneily and confusion of cuIluiaI
noins vhich can le olseived in neIling-pol connunilies. (3) He nay poinl lo lhe
accidenlaI devianl, lhe individuaI vho has undeigone sone accidenlaI liaunalic
expeiience, nol usuaI anong lhose in his sociaI enviionnenl. (4) He nay poinl lo lhe
phenonena of cuIluiaI change, and especiaIIy lo lhe soil of diffeienlialion vhich
iesuIls vhen one pail of lhe connunily Iags lehind sone olhei in iale of change. (5)
LaslIy, he nay poinl lo lhe aililiaiy naluie of nalionaI loundaiies.
These oljeclions aie cIoseIy inleiieIaled, and lhe iepIies lo lhen aII deiive
uIlinaleIy fion lvo posluIales: fiisl, lhal lhe individuaI, vhelhei fion a
physioIogicaI oi a psycho-IogicaI poinl of viev, is a singIe crganizcd enlily, such lhal
aII ils pails oi aspecls aie nuluaIIy nodifialIe and nuluaIIy inleiacling, and
second, lhal a connunily is Iike-vise crganizcd in lhis sense.
If ve Iook al sociaI diffeienlialion in a slalIe connunily~say, al sex
diffeienlialion in a Nev Cuinea liile
8
~ve find lhal il is nol enough lo say lhal lhe
halil syslen oi lhe chaiaclei sliucluie of one sex is diffcrcn| fion lhal of anolhei. The
significanl poinl is lhal lhe halil syslen of each sex cogs inlo lhe halil syslen of lhe
olhei, lhal lhe lehavioi of each pionoles lhe halils of lhe olhei.
9
We find, foi
exanpIe, lelveen lhe sexes, such conpIenenlaiy palleins as speclaloiship-
exhililionisn, doninance-sulnission, and succoiing-dependence, oi nixluies of
lhese. Nevei do ve find nuluaI iiieIevance lelveen such gioups.
AIlhough il is unfoilunaleIy liue lhal ve knov veiy IillIe aloul lhe leins of
halil diffeienlialion lelveen cIasses, sexes, occupalionaI gioups, elc., in Weslein
nalions, lheie is, I lhink, no dangei in appIying lhis geneiaI concIusion lo aII cases of
slalIe diffeienlialion lelveen gioups vhich aie Iiving in nuluaI conlacl. Il is, lo ne,
inconceivalIe lhal lvo diffeiing gioups couId exisl side ly side in a connunily vilh-
8
Cf. M. Mead (Scx and Tcnpcrancn| in Tnrcc Prini|itc Sccic|ics, Nev Yoik, Moiiov, 1935),
especiaIIy Iail III, foi an anaIysis of sex diffeienlialion anong lhe ChanluIi, aIso C. aleson
(Natcn, Canliidge, Canliidge Univeisily Iiess, 1936) foi an anaIysis of sex diffeienlialion anong
aduIls in IalnuI, Nev Cuinea.
9
We aie consideiing heie onIy lhose cases in vhich elhoIogicaI diffeienlialion foIIovs lhe sex
dicholony. Il is aIso piolalIe lhal, vheie lhe elhos of lhe lvo sexes is nc| shaipIy diffeienlialed, il
vouId sliII le coiiecl lo say lhal lhe elhos of each pionoles lhal of lhe olhei, e.g., lhiough such
nechanisns as conpelilion and nuluaI inilalion. Cf. M. Mead (cp. ci|.).
oul sone soil of nuluaI ieIevance lelveen lhe speciaI chaiacleiislics of one gioup
and lhose of lhe olhei. Such an occuiience vouId le conliaiy lo lhe posluIale lhal a
connunily is an oiganized unil. We shaII, lheiefoie, piesune lhal lhis geneiaIizalion
appIies lo aII slalIe sociaI diffeienlialion.
Nov, aII lhal ve knov of lhe nechanics of chaiaclei foinalion~especiaIIy lhe
piocesses of piojeclion, ieaclion foinalion, conpensalion, and lhe Iike~foices us lo
iegaid lhese lipoIai palleins as unilaiy vilhin lhe individuaI. If ve knov lhal an
individuaI is liained in oveil expiession of one-haIf of one of lhese palleins, e.g., in
doninance lehavioi, ve can piedicl vilh ceilainly (lhough nol in piecise Ianguage)
lhal lhe seeds of lhe olhei haIf~sulnission~aie sinuIlaneousIy sovn. in his
peisonaIily. We have lo lhink of lhe individuaI, in facl, as liained in doninance-
sulnission, nol in eilhei doninance cr sulnission. Iion lhis il foIIovs lhal vheie
ve aie deaIing vilh slalIe diffeienlialion vilhin a connunily, ve aie juslified in
asciiling connon chaiaclei lo lhe nenleis of lhal connunily, piovided ve lake
lhe piecaulion of desciiling lhal connon chaiaclei in leins of lhe nolifs of
ieIalionship lelveen lhe diffeienlialed seclions of lhe connunily.
The sane soil of consideialions viII guide us in deaIing vilh oui second
ciilicisn~lhe exlienes of heleiogeneily, such as occui in nodein neIling-pol
connunilies. Suppose ve allenpled lo anaIyze oul aII lhe nolifs of ieIalionship
lelveen individuaIs and gioups in such a connunily as Nev Yoik Cily, if ve did
nol end in lhe nadhouse Iong lefoie ve had conpIeled oui sludy, ve shouId aiiive
al a picluie of connon chaiaclei lhal vouId le aInosl infinileIy conpIex~ceilainIy
lhal vouId conlain noie fine diffeienlialions lhan lhe hunan psyche is capalIe of
iesoIving vilhin ilseIf. Al lhis poinl, lhen, lolh ve and lhe individuaIs vhon ve aie
sludying aie foiced lo lake a shoil cul: lo lieal heleiogeneily as a posilive
chaiacleiislic of lhe connon enviionnenl, +;A 'gcncris. When, vilh such an
hypolhesis, ve legin lo Iook foi connon nolifs of lehavioi, ve nole lhe veiy cIeai
lendencies lovaid gIoiying in heleiogeneily foi ils ovn sake (as in lhe Rolinson
Lalouche aIIad foi Aneiicans) and lovaid iegaiding lhe voiId as nade up of an
infinily of disconnecled quiz-lils (Iike RipIey
s eIieve Il oi Nol
).
The lhiid oljeclion, lhe case of lhe individuaI devianl, faIIs in lhe sane fiane of
iefeience as lhal of lhe diffeienlialion of slalIe gioups. The loy on vhon an LngIish
pulIic-schooI educalion does nol lake, even lhough lhe oiiginaI iools of his deviance
veie Iaid in sone accidenlaI liaunalic incidenl, is ieacling |c lhe pulIic-schooI
syslen. The lehavioiaI halils vhich he acquiies nay nol foIIov lhe noins vhich lhe
schooI inlends lo inpIanl, lul lhey aie acquiied in ieaclion lo lhose veiy noins. He
nay (and oflen does) acquiie palleins lhe exacl opposile of lhe noinaI, lul he cannol
conceivalIy acquiie iiieIevanl palleins. He nay lecone a lad pulIic-schooI
LngIishnan, he nay lecone insane, lul sliII his devianl chaiacleiislics viII le
syslenalicaIIy ieIaled lo lhe noins vhich he is iesisling. We nay desciile his
chaiaclei, indeed, ly saying lhal il is as syslenalicaIIy ieIaled lo lhe slandaid pulIic-
schooI chaiaclei as lhe chaiaclei of IalnuI nalives of one sex is syslenalicaIIy ieIaled
lo lhe chaiaclei of lhe olhei sex. His chaiaclei is oiienled lo lhe nolifs and palleins of
ieIalionship in lhe sociely in vhich he Iives.
The sane fiane of iefeience appIies lo lhe fouilh consideialion, lhal of changing
connunilies and lhe soil of diffeienlialion vhich occuis vhen one seclion of a
connunily Iags lehind anolhei in change. Since lhe diieclion in vhich a change
occuis viII necessaiiIy le condilioned ly lhe, s|a|us quc an|c, lhe nev palleins, leing
ieaclions lo lhe oId, viII le syslenalicaIIy ieIaled lo lhe oId. As Iong as ve confine
ouiseIves lo lhe leins and lhenes of lhis syslenalic ieIalionship, lheiefoie, ve aie
enlilIed lo expecl ieguIaiily of chaiaclei in lhe individuaIs. Iuilheinoie, lhe
cxpcc|a|icn and cxpcricncc cf cnangc nay, in sone cases, le so inpoilanl as lo lecone a
connon chaiaclei-deleinining facloi
1O
sui gcncris, in lhe sane soil of vay lhal
heleiogeneily nay have posilive effecls.
LaslIy, ve nay considei cases of shifling nalionaI loundaiies, oui fiflh ciilicisn.
Heie, of couise, ve cannol expecl lhal a dipIonals signaluie on a liealy viII
innedialeIy nodify lhe chaiacleis of lhe individuaIs vhose nalionaI aIIegiance is
lheiely changed. Il nay even happen~foi exanpIe, in cases vheie a pieIileiale
nalive popuIalion is lioughl foi lhe fiisl line in conlacl vilh Luiopeans~lhal, foi
sone line aflei lhe shifl, lhe lvo pailies lo such a silualion viII lehave in an
expIoialoiy oi aInosl iandon nannei, each ielaining ils ovn noins and nol yel
deveIoping any speciaI adjuslnenls lo lhe silualion of conlacl. Duiing lhis peiiod, ve
shouId sliII nol expecl any geneiaIizalions lo appIy lo lolh gioups. Veiy soon,
hovevei, ve knov lhal each side does deveIop speciaI palleins of lehavioi lo use in
ils conlacls vilh lhe olhei.
11
Al lhis poinl, il lecones neaningfuI lo ask vhal
syslenalic leins of ieIalionship viII desciile lhe connon chaiaclei of lhe lvo
gioups, and fion lhis poinl on, lhe degiee of connon chaiaclei sliucluie viII
inciease unliI lhe lvo gioups lecone ieIaled lo each olhei jusl as lvo cIasses oi lvo
sexes in a slalIe, diffeienlialed sociely.
12
In sun, lo lhose vho aigue lhal hunan connunilies shov loo gieal inleinaI
diffeienlialion oi conlain loo gieal a iandon eIenenl foi any nolion of connon
chaiaclei lo appIy, oui iepIy vouId le lhal ve expecl such an appioach lo le usefuI
(a) piovided ve desciile connon chaiaclei in leins of lhe lhenes of ieIalionship
oc|uccn gioups and individuaIs vilhin lhe connunily, and (l) piovided lhal ve
aIIov sufficienl line lo eIapse foi lhe connunily lo ieach sone degiee of
equiIiliiun oi lo accepl eilhei change oi heleiogeneily as a chaiacleiislic of lheii
hunan enviionnenl.
10
Ioi a discussion of lhe ioIe pIayed ly change and heleiogeneily in neIling-pol
connunilies, cf. M. Mead (Lducalive effecls of sociaI enviionnenl as discIosed ly
sludies of piinilive socielies. Iapei iead al lhe Synposiun on Lnviionnenl and Lducalion,
Univeisily of Chicago, Seplenlei 22, 1941). AIso I. AIexandei (Lducalive infIuence of
peisonaIily faclois in lhe enviionnenl.
ve shaII use
such phiases as doninanl-sulnissive
Responding lo lhe
chaIIenge of difficuIlies, lhey cannol, vilhoul guiIl, kick lhe undeidog.
17
Ioi iilish
noiaIe Dunkiik vas a slinuIus, nol a depiessanl.
In Ceinany, on lhe olhei hand, lhe sane cIiches aie appaienlIy Iacking, and lhe
connunily is chiefIy oiganized on lhe lasis of a conpIenenlaiy hieiaichy in leins
of doninance-sulnission. The doninance lehavioi is shaipIy and cIeaiIy deveIoped,
yel lhe picluie is nol peifeclIy cIeai and needs fuilhei invesligalion. Whelhei a puie
doninance-sulnission hieiaichy couId evei exisl as a slalIe syslen is doullfuI. Il
seens lhal in lhe case of Ceinany, lhe sulnission end of lhe pallein is nasked, so
lhal oveil sulnissive lehavioi is aInosl as sliongIy lalooed as il is in Aneiica oi
LngIand. In pIace of sulnission, ve find a soil of paiade-giound inpassivily.
A hinl as lo lhe piocess ly vhich lhe sulnissive ioIe is nodified and iendeied
loIeialIe cones lo us oul of lhe inlei-vievs in a iecenlIy legun sludy of Ceinan Iife
hisloiies.
18
One Ceinan suljecl desciiled hov diffeienl vas lhe liealnenl vhich he,
as a loy, ieceived in his Soulh Ceinan hone, fion lhal vhich his sislei ieceived. He
said lhal nuch noie vas denanded of hin, lhal his sislei vas aIIoved lo evade
16
The lein coopeialion, vhich is sonelines used as lhe opposile of conpelilion, coveis a
veiy vide vaiiely of palleins, sone of lhen synneliicaI and olheis conpIenenlaiy, sone lipoIai
and olheis in vhich lhe coopeialing individuaIs aie chiefIy oiienled lo sone peisonaI oi
inpeisonaI goaI. We nay expecl lhal sone caiefuI anaIysis of lhese palleins viII give us
vocaluIaiy foi desciiling olhei soils of nalionaI chaiacleiislics. Such an anaIysis cannol le
allenpled in lhis papei.
17
io Il is, hovevei, possilIe lhal in ceilain seclions of lhese nalions, conpIenenlaiy palleins
occui vilh sone fiequency~pailicuIaiIy anong gioups vho have suffeied fion pioIonged
insecuiily and unceilainly, e.g., iaciaI ninoiilies, depiessed aieas, lhe slock exchange, poIilicaI
ciicIes, elc.
18
C. aleson, unpulIished ieseaich foi lhe CounciI on Hunan ReIalions.
discipIine, lhal vheieas he vas aIvays expecled lo cIick his heeIs and oley vilh
piecision, his sislei vas aIIoved nuch noie fieedon. The inleivievei al once legan
lo Iook foi inleisex silIing jeaIousy, lul lhe suljecl decIaied lhal il vas a giealei
honoi foi lhe loy lo oley. One doesnl expecl loo nuch of giiIs, he said.
Whal one
feIl lhey (loys) shouId acconpIish and do vas veiy seiious, lecause lhey had lo le
piepaied foi Iife. An inleiesling inveision of nco|cssc co|igc.
=3=34 -%?TA,)*A%,+'%M'9%*AM+
Anong lhe conpIenenlaiy nolifs, ve have nenlioned onIy lhiee~doninance-
sulnission, exhililionisn-speclaloiship, and succoiance-dependence~lul lhese
lhiee viII suffice lo iIIusliale lhe soil of veiifialIe hypolheses al vhich ve can aiiive
ly desciiling nalionaI chaiaclei in lhis hyphenaled leininoIogy.
19
Since, cIeaiIy, aII lhiee of lhese nolifs occui in aII Weslein cuIluies, lhe
possiliIilies foi inleinalionaI diffeience aie Iiniled lo lhe piopoilions and vays in
vhich lhe nolifs aie conlined. The piopoilions aie IikeIy lo le veiy difficuIl lo
delecl, excepl vheie lhe diffeiences aie veiy Iaige. We nay le suie ouiseIves lhal
Ceinans aie noie oiienled lovaid doninance-sulnission lhan aie Aneiicans, lul
lo denonsliale lhis ceilainly is IikeIy lo le difficuIl. To eslinale diffeiences in lhe
degiee of deveIopnenl of exhililionisnspeclaloiship oi succoiance-dependence in
lhe vaiious nalions viII, indeed, piolalIy le quile inpossilIe.
If, hovevei, ve considei lhe possilIe vays in vhich lhese nolifs nay le
conlined logelhei, ve find shaip quaIilalive diffeiences vhich aie susceplilIe of
easy veiificalion. Lel us assune lhal aII lhiee of lhese nolifs aie deveIoped in aII
ieIalionships in aII Weslein cuIluies, and fion lhis assunplion go on lo considei
unicn inditidua| p|aqs unicn rc|c.
Il is IogicaIIy possilIe lhal in one cuIluiaI enviionnenl A viII le doninanl and
exhililionisl, vhiIe is sulnissive and speclaloi, vhiIe in anolhei cuIluie X nay le
doninanl and speclaloi, vhiIe Y is sulnissive and exhililionisl.
LxanpIes of lhis soil of conliasl ialhei easiIy cone lo nind. Thus ve nay nole
lhal vheieas lhe doninanl Nazis pieen lhenseIves lefoie lhe peopIe, lhe czai of
Russia kepl his piivale laIIel, and SlaIin eneiges fion secIusion onIy lo ieviev his
lioops. We nighl peihaps piesenl lhe ieIalionship lelveen lhe Nazi Iaily and lhe
peopIe lhus:
Iaily IeopIe
Doninance Sulnission
Lxhililionisn Speclaloiship
WhiIe lhe czai and his laIIel vouId le iepiesenled:
Czai aIIel
Doninance Sulnission
Speclaloiship Lxhililionisn
Since lhese Luiopean exanpIes aie conpaialiveIy unpioved, il is voilhvhiIe al
lhis poinl lo denonsliale lhe occuiience of such diffeiences ly desciiling a ialhei
19
Ioi a fuIIei sludy, ve oughl lo considei such olhei nolifs as aggiession-passivily, possessive-
possessed, agenl-looI, elc. And aII of lhese nolifs viII iequiie sonevhal noie ciilicaI definilion
lhan can le allenpled in lhis papei.
sliiking elhnogiaphic diffeience vhich has leen docunenled noie fuIIy. In Luiope,
vheie ve lend lo associale succoiing lehavioi vilh sociaI supeiioiily, ve consliucl
oui paienl synloIs accoidingIy. Oui Cod, oi oui king, is lhe falhei of his peopIe.
In aIi, on lhe olhei hand, lhe gods aie lhe chiIdien of lhe peopIe, and vhen a god
speaks lhiough lhe noulh of a peison in liance, he addiesses anyone vho viII Iislen
as falhei. SiniIaiIy, lhe iajah is sajanganga (spoiIl Iike a chiId) ly his peopIe. The
aIinese, fuilhei, aie veiy fond of pulling chiIdien in lhe conlined ioIes of god and
dancei, in nylhoIogy, lhe peifecl piince is poIished and naicissislic. Thus lhe
aIinese pallein nighl le sunnaiized lhus:
High Slalus Lov Slalus
Dependence Succoiing
Lxhililionisn Speclaloiship
And lhis diagian vouId inpIy, nol onIy lhal lhe aIinese feeI dependence and
exhililionisn and supeiioi slalus lo go naluiaIIy logelhei, lul aIso lhal a aIinese
viII nol ieadiIy conline succoiing vilh exhililionisn (lhal is, aIi conpIeleIy Iacks
lhe oslenlalious gifl-giving chaiacleiislic of nany piinilive peopIes) oi viII le
enlaiiassed if foiced ly lhe conlexl lo allenpl such a conlinalion.
AIlhough lhe anaIogous diagians foi oui Weslein cuIluies cannol le diavn
vilh lhe sane ceilainly, il is voilhvhiIe lo allenpl lhen foi lhe paienl-chiId
ieIalionships in LngIish, Aneiican, and Ceinan cuIluies. One exlia conpIicalion
nusl, hovevei, le faced, vhen ve Iook al paienl-chiId ieIalionships inslead of al
ieIalionships lelveen piinces and peopIe, ve have lo nake specific aIIovance foi lhe
changes in lhe pallein vhich occui as lhe chiId giovs oIdei. Succoiance-dependence
is undoulledIy a doninanl nolif in eaiIy chiIdhood, lul vaiious nechanisns Ialei
nodify lhis exliene dependence, lo liing aloul sone degiee of psychoIogicaI in-
dependence.
The LngIish uppei- and niddIe-cIass syslen vouId le iepiesenled
diagiannalicaIIy lhus:
Iaienls ChiIdien
Doninance Sulnission
(nodified ly leinaiy nuise syslen)
Succoiing Dependence
(dependence halils lioken ly
sepaialion~chiIdien senl lo schooI)
Lxhililionisn Speclaloiship
(chiIdien Iislen siIenlIy al neaIs)
In conliasl vilh lhis, lhe anaIogous Aneiican pallein seens lo le:
Iaienls ChiIdien
Doninance (sIighl) Sulnission (sIighl)
Succoiing Dependence
Speclaloiship Lxhililionisn
And lhis pallein diffeis fion lhe LngIish nol onIy in lhe ieveisaI of lhe
speclaloiship-exhililionisn ioIes, lul aIso in lhe conlenl of vhal is exhililed. The
Aneiican chiId is encouiaged ly his paienls lo shov off his independence. UsuaIIy
lhe piocess of psychoIogicaI veaning is nol acconpIished ly sending lhe chiId avay
lo a loaiding schooI, inslead, lhe chiIds exhililionisn is pIayed off againsl his
independence, unliI lhe Iallei is neuliaIized. Lalei, fion lhis leginning in lhe
exhililion of independence, lhe individuaI nay sonelines go on in aduIl Iife lo shov
off succoiance, his vife and faniIy leconing in sone degiee his exhilils.
Though lhe anaIogous Ceinan pallein piolalIy iesenlIes lhe Aneiican in lhe
aiiangenenl of lhe paiied conpIenenlaiy ioIes, ceilainIy il diffeis fion lhe
Aneiican in lhal lhe falheis doninance is nuch sliongei and nuch noie consislenl,
and especiaIIy in lhal lhe conlenl of lhe loys exhililionisn is quile diffeienl. He is,
in facl, doninaled inlo a soil of heeI-cIicking exhililionisn vhich lakes lhe pIace of
oveil sulnissive lehavioi. Thus, vhiIe in lhe Aneiican chaiaclei exhililionisn is
encouiaged ly lhe paienl as a nelhod of psychoIogicaI veaning, lolh ils funclion
and ils conlenl aie foi lhe Ceinan enliieIy diffeienl.
Diffeiences of lhis oidei, vhich nay le expecled in aII Luiopean nalions, aie
piolalIy lhe lasis of nany of oui naive and oflen unkind inleinalionaI connenls.
They nay, indeed, le of consideialIe inpoilance in lhe nechanics of inleinalionaI
ieIalions, in as nuch as an undeislanding of lhen nighl dispeI sone of oui
nisundeislandings. To an Aneiican eye, lhe LngIish loo oflen appeai aiioganl,
vheieas lo an LngIish eye lhe Aneiican appeais lo le loaslfuI.
If ve couId shov
pieciseIy hov nuch of liulh and hov nuch of disloilion is piesenl in lhese
inpiessions, il nighl le a ieaI conliilulion lo inleiaIIied coopeialion.
In leins of lhe diagians alove, lhe aiiogance of lhe LngIishnan vouId le due
lo lhe conlinalion of doninance and exhililionisn. The LngIishnan in a peifoining
ioIe (lhe paienl al lieakfasl, lhe nevspapei ediloi, lhe poIilicaI spokesnan, lhe
Iecluiei, oi vhal nol) assunes lhal he is aIso in a doninanl ioIe~lhal he can decide
in accoidance vilh vague, alsliacl slandaids vhal soil of peifoinance lo give ~and
lhe audience can lake il oi Ieave il. His ovn aiiogance he sees eilhei as naluiaI oi
as niligaled ly his huniIily in face of lhe alsliacl slandaids. Quile unavaie lhal his
lehavioi couId conceivalIy le iegaided as a connenl upon his audience, he is, on
lhe conliaiy, avaie onIy of le-having in lhe peifoineis ioIe, as he undeislands lhal
ioIe. ul lhe Aneiican does nol see il lhus. To hin, lhe aiioganl lehavioi of lhe
LngIishnan appeais lo le diiecled agains| lhe audience, in vhich case lhe inpIicil
invocalion of sone alsliacl slandaid appeais onIy lo add insuIl lo injuiy.
SiniIaiIy, lhe lehavioi vhich an LngIishnan inleipiels as loaslfuI in an
Aneiican is nol aggiessive, aIlhough lhe LngIishnan nay feeI lhal he is leing
suljecled lo sone soil of invidious conpaiison. He does nol knov lhal, as a nallei of
facl, Aneiicans viII onIy lehave Iike lhis lo peopIe vhon lhey ialhei Iike and
iespecl. Accoiding lo lhe hypolhesis alove, lhe loasling pallein iesuIls fion lhe
cuiious Iinkage vheiely exhililion of seIf-sufficiency and independence is pIayed off
againsl oveidependence. The Aneiican, vhen he loasls, is Iooking foi appiovaI of
his upslanding independence, lul lhe naive LngIishnan inleipiels lhis lehavioi as a
lid foi sone soil of doninance oi supeiioiily.
In lhis soil of vay, ve nay suppose lhal lhe vhoIe fIavoi of one nalionaI cuIluie
nay diffei fion lhal of anolhei, and lhal such diffeiences nay le consideialIe
enough lo Iead lo seiious nisundeislandings. Il is piolalIe, hovevei, lhal lhese
diffeiences aie nol so conpIex in lheii naluie as lo le leyond lhe ieach of
invesligalion. Hypolheses of lhe lype vhich ve have advanced couId le easiIy
lesled, and ieseaich on lhese Iines is uigenlIy needed.
=3=3G /)*A%,):'-C)")J*#"'),@'B?#"AJ),'9%"):#
Using lhe nolifs of inleipeisonaI and inleigioup ieIalion-ship as oui cIues lo
nalionaI chaiaclei, ve have leen alIe lo indicale ceilain oideis of ieguIai diffeience
vhich ve nay expecl lo find anong lhe peopIes vho shaie oui Weslein civiIizalion.
Of necessily, oui slalenenls have leen lheoielicaI ialhei lhan enpiiicaI, sliII, fion
lhe lheoielicaI sliucluie vhich ve have luiIl up, il is possilIe lo exliacl ceilain
foinuIas vhich nay le usefuI lo lhe luiIdei of noiaIe.
AII of lhese foinuIas aie lased upon lhe geneiaI assunplion lhal peopIe viII
iespond nosl eneigelicaIIy vhen lhe conlexl is sliucluied lo appeaI lo lheii haliluaI
palleins of ieaclion. Il is nol sensilIe lo encouiage a donkey lo go up hiII ly offeiing
hin iav neal, noi viII a Iion iespond lo giass.
(1) Sinnce aII Weslein nalions lend lo lhink and lehave in lipoIai leins, ve shaII
do veII, in luiIding Aneiican noiaIe, lo lhink of oui vaiious enenies as a singIe
hosliIe enlily. The dislinclions and giadalions vhich inleIIecluaIs nighl piefei aie
IikeIy lo le disluiling.
(2) Since lolh Aneiicans and LngIish iespond nosl eneigelicaIIy lo synneliicaI
slinuIi, ve shaII le veiy unvise if ve sofl-pedaI lhe disasleis of vai. If oui enenies
defeal us al any poinl, lhal facl oughl lo le used lo lhe naxinun as a chaIIenge and
a spui lo fuilhei effoil. When oui foices have suffeied sone ieveise, oui nevspapeis
oughl lo le in no huiiy lo leII us lhal eneny advances have leen checked. MiIilaiy
piogiess is aIvays inleinillenl, and lhe nonenl lo sliike, lhe nonenl vhen
naxinun noiaIe is needed, occuis vhen lhe eneny is soIidifying his posilion and
piepaiing lhe nexl lIov. Al such a nonenl, il is nol sensilIe lo ieduce lhe aggiessive
eneigy of oui Ieadeis and peopIe ly snug ie-assuiance.
(3) Theie is, hovevei, a supeificiaI disciepancy lelveen lhe halil of synneliicaI
nolivalion and lhe need foi shoving seIf-sufficiency. We have suggesled lhal lhe
Aneiican loy Ieains lo sland upon his ovn feel lhiough lhose occasions in
chiIdhood vhen his paienls aie appioving speclalois of his seIf-sufficiency. If lhis
diagnosis is coiiecl, il vouId foIIov lhal a ceilain lullIing up of seIf-appiecialion is
noinaI and heaIlhy in Aneiicans and is peihaps an essenliaI ingiedienl of Aneiican
independence and slienglh.
A loo IileiaI foIIoving of lhe foinuIa alove, lheiefoie, a loo gieal insislence
upon disasleis and difficuIlies, nighl Iead lo sone Ioss of eneigy lhiough lhe
danning up of lhis sponlaneous exuleiance. A ialhei concenlialed diel of lIood,
sveal, and leais nay le good foi lhe LngIish, lul Aneiicans, vhiIe no Iess
dependenl upon synneliicaI nolivalion, cannol feeI lheii oals vhen fed on nolhing
lul disaslei. Oui pulIic spokesnen and nevspapei edilois shouId nevei soflpedaI
lhe facl lhal ve have a nan-sized jol on oui hands, lul lhey viII do veII lo insisl aIso
lhal Aneiica is a nan-sized nalion. Any soil of allenpl lo ieassuie Aneiicans ly
nininizing lhe slienglh of lhe eneny nusl le avoided, lul fiank loasls of ieaI
success aie good.
(4) ecause oui vision of lhe peace is a facloi in oui vai-naking noiaIe, il is
voilhvhiIe lo ask al once vhal Iighl lhe sludy of nalionaI diffeiences nay lhiov
upon lhe piolIens of lhe peace lalIe.
We have lo devise a peace liealy (a) such lhal Aneiicans and iilish viII fighl lo
achieve il, and (l) such lhal il viII liing oul lhe lesl ialhei lhan lhe voisl
chaiacleiislics of oui enenies. If ve appioach il scienlificaIIy, such a piolIen is ly no
neans leyond oui skiII.
The nosl conspicuous psychoIogicaI huidIe lo le negolialed, in inagining such a
peace liealy, is lhe conliasl lelveen iilish and Aneiican synneliicaI palleins and
lhe Ceinan conpIenenlaiy pallein, vilh ils laloo on oveil sul-nissive lehavioi.
The aIIied nalions aie nol psychoIogicaIIy equipped lo enfoice a haish liealy, lhey
nighl diav up such a liealy, lul in six nonlhs lhey vouId liie of keeping lhe
undeidog dovn. The Ceinans, on lhe olhei hand, if lhey see lheii ioIe as
sulnissive, viII nol slay dovn vilhoul haish liealnenl. We have seen lhal lhese
consideialions appIied even lo such a niIdIy punilive liealy as vas devised al
VeisaiIIes, lhe aIIies onilled lo enfoice il, and lhe Ceinans iefused lo accepl il. Il is,
lheiefoie, useIess lo diean of such a liealy, and voise lhan useIess lo iepeal such
dieans as a vay of iaising oui noiaIe nov, vhen ve aie angiy vilh Ceinany. To do
lhal vouId onIy olscuie lhe issues in lhe finaI sellIenenl.
This inconpaliliIily lelveen conpIenenlaiy and synneliicaI nolivalion
neans, in facl, lhal lhe liealy cannol le oiganized aiound sinpIe doninance-
sulnissive nolifs, hence ve aie foiced lo Iook foi aIleinalive soIulions. We nusl ex-
anine, foi exanpIe, lhe nolif of exhililionisn-speclaloiship ~vhal dignified ioIe is
each of lhe vaiious nalions lesl filled lo pIay`~and lhal of succoiing-dependence~
in lhe slaiving poslvai voiId, vhal nolivalionaI palleins shaII ve evoke lelveen
lhose vho give and lhose vho ieceive food` And, aIleinalive lo lhese soIulions, ve
have lhe possiliIily of sone lhieefoId sliucluie, vilhin vhich lolh lhe aIIies and
Ceinany vouId sulnil, nol lo each olhei, lul lo sone alsliacl piincipIe.
."2 N:;B?%5@8%Z:;>8%OAE98L%<[%:%O98:GA%O9:98
I
=343< U1*C%+V'),@'U2JCA+?%$#,#+A+V
Il vouId le an oveisinpIificalion~il vouId even le faIse ~lo say lhal science
necessaiiIy advances ly lhe consliuclion and enpiiicaI lesling of successive voiking
hypolheses. Anong lhe physicisls and chenisls lheie nay le sone vho ieaIIy
pioceed in lhis oilhocIox nannei, lul anong lhe sociaI scienlisls lheie is peihaps nol
one. Oui concepls aie IooseIy defined~a haze of chiaioscuio piefiguiing shaipei
Iines sliII undiavn~and oui hypolheses aie sliII so vague lhal iaieIy can ve inagine
any ciuciaI inslance vhose invesligalion viII lesl lhen.
The piesenl papei is an allenpl lo nake noie piecise an idea vhich I pulIished
in 1936
2O
and vhich has Iain faIIov since lhal line. The nolion of c|ncs had pioved a
usefuI concepluaI looI foi ne, and vilh il I had leen alIe lo gel a shaipei
undeislanding of IalnuI cuIluie. ul lhis expeiience ly no neans pioved lhal lhis
looI vouId necessaiiIy le usefuI in olhei hands oi foi lhe anaIysis of olhei cuIluies.
The nosl geneiaI concIusion I couId diav vas of lhis oidei: lhal ny ovn nenlaI
piocesses had ceilain chaiacleiislics, lhal lhe sayings, aclions, and oiganizalion of lhe
IalnuI had ceilain chaiacleiislics, and lhal lhe alsliaclion, elhos, peifoined sone
ioIe~calaIylic, peihaps~in easing lhe ieIalion lelveen lhese lvo specificilies, ny
nind and lhe dala vhich I nyseIf had coIIecled.
InnedialeIy aflei conpIeling lhe nanusciipl of Natcn, | venl lo aIi vilh lhe
inlenlion of liying upon aIinese dala lhis looI vhich had leen evoIved foi lhe
anaIysis of IalnuI. Ioi one ieason oi anolhei, hovevei, I did nol do lhis, pailIy
lecause in aIi Maigaiel Mead and I veie engaged in devising olhei looIs~
phologiaphic nelhods of iecoid and desciiplion~and pailIy lecause I vas Ieaining
lhe lechniques of appIying genelic psychoIogy lo cuIluiaI dala, lul noie especiaIIy
lecause al sone inailicuIale IeveI I feIl lhal lhe looI vas unsuilalIe foi lhis nev lask.
Il vas nol lhal elhos vas in any sense dispioved~indeed, a looI oi a nelhod can
scaiceIy le pioved faIse. Il can onIy le shovn lo le nol usefuI, and in lhis case lheie
vas nol even a cIeai denonslialion of useIessness. The nelhod ienained aInosl
unliied, and lhe nosl I couId say vas lhal, aflei lhal suiiendei lo lhe dala vhich is
lhe fiisl slep in aII anlhiopoIogicaI sludy, elhoIogicaI anaIysis did nol seen lo le lhe
nexl lhing lo do.
Il is nov possilIe lo shov vilh aIinese dala vhal pecuIiaiilies of lhal cuIluie
nay have infIuenced ne avay fion elhoIogicaI anaIysis, and lhis denonslialion viII
Iead lo a giealei geneiaIizalion of lhe alsliaclion, elhos. We shaII in lhe piocess nake
*
This essay appeaied in Sccia| S|ruc|urc. S|udics Prcscn|cd |c A. R. Radc|iffc-8rcun, ediled ly
Meyei Ioiles, 1949. Il is iepiinled ly peinission of lhe CIaiendon Iiess. Iiepaialion of lhe essay vas
aided ly a Cuggenhein IeIIovship.
20
C. aleson, Natcn, Canliidge, Canliidge Univeisily Iiess, 1936.
ceilain heuiislic advances vhich nay guide us lo noie iigoious desciiplive
pioceduies in deaIing vilh olhei cuIluies.
(1) The anaIysis of IalnuI dala Ied lo lhe definilion of elhos as The expiession of
a cuIluiaIIy slandaidized syslen of oiganizalion of lhe inslincls and enolions of lhe
individuaIs.
21
(2) AnaIysis of IalnuI elhos~consisling in lhe oideiing of dala so as lo nake
evidenl ceilain iecuiienl enphases oi lhenes
~Ied lo iecognilion of
schisnogenesis. Il appeaied lhal lhe voiking of IalnuI sociely invoIved in|cr a|ia lvo
cIasses of iegeneialive
22
oi vicious ciicIes. olh of lhese veie sequences of sociaI
inleiaclion such lhal As acls veie slinuIi foi s acls, vhich in luin lecane slinuIi
foi noie inlense aclion on lhe pail of A, and so on, A and leing peisons acling
eilhei as individuaIs oi as gioup nenleis.
(3) These schisnogenic sequences couId le cIassified inlo lvo cIasses: (a)
sqnnc|rica| scnisncgcncsis, vheie lhe nuluaIIy pionoling aclions of A and veie
essenliaIIy siniIai, e.g., in cases of conpelilion, iivaIiy, and lhe Iike, and ( l)
ccnp|cncn|arq scnisncgcncsis, vheie lhe nuluaIIy pionoling aclions aie essenliaIIy
dissiniIai lul nuluaIIy appiopiiale, e.g., in cases of doninance-sulnission,
succoiing-dependence, exhililionisn-speclaloiship, and lhe Iike.
(4) In 1939 a consideialIe advance vas nade in defining lhe foinaI ieIalions
lelveen lhe concepls of synneliicaI and conpIenenlaiy schisnogenesis. This cane
fion an allenpl lo slale schisnogenic lheoiy in leins of Richaidsons equalions foi
inleinalionaI ainanenls iaces
23
. The equalions foi iivaIiy evidenlIy gave a fiisl
appioxinalion lo vhal I had caIIed synneliicaI schisnogenesis. These equalions
assune lhal lhe inlensily of As aclions (lhe iale of his aining, in Richaidsons case)
is sinpIy piopoilionaI lo lhe anounl ly vhich is ahead of A. The slinuIus lein in
facl is ( ~A), and vhen lhis lein is posilive il is expecled lhal A viII en-gage in
effoils lo ain. Richaidsons second equalion nakes lhe sane assunplion nu|a|is
nu|andis aloul s aclions. These equalions suggesled lhal olhei sinpIy iivaIious oi
conpelilive phenonena~e.g., loasling~lhough nol suljecl lo such sinpIe
neasuienenl as expendiluie on ainanenl, nighl yel vhen uIlinaleIy neasuied le
ieducilIe lo a sinpIy anaIogous sel of ieIalions.
The nallei vas, hovevei, nol so cIeai in lhe case of conpIenenlaiy
schisnogenesis. Richaidson
seIf-coiieclive ciicIe
diffeis frcn a ie-geneialive ciicIe in conlaining al Ieasl one Iink of lhe lype: inciease in N causes
dccrcasc in M. The house lheinoslal oi lhe slean engine vilh a goveinoi aie exanpIes of such
seIf-coiiecling syslens. Il viII le noled lhal in nany inslances lhe sane naleiiaI ciicuil nay le
eilhei iegeneialive oi degeneialive accoiding lo lhe anounl of Ioading, fiequency of inpuIses
liansnilled aiound lhe palh, and line chaiacleiislics of lhe lolaI palh.
23
L. I. Richaidson, CeneiaIized Ioieign IoIilics, iilish }ouinaI of IsychoIogy,
Monogiaph SuppIenenl xxiii, 1939.
sIovs dovn and uIlinaleIy ieveises lhe sign of vaiIike effoil. Whal vas, hovevei,
iequiied lo desciile conpIenenlaiy schisnogenesis vas an equalionaI foin giving.
a shaip and disconlinuous ieveisaI of sign. Such an equalionaI foin is achieved ly
supposing As aclions in a conpIenenlaiy ieIalionship lo le piopoilionaI lo a
slinuIus lein of lhe lype (A ~). Such a foin has aIso lhe advanlage of
aulonalicaIIy defining lhe aclions of one of lhe pailicipanls as negalive, and lhus
gives sone nalhenalicaI anaIogue foi lhe appaienl psychoIogicaI ieIaledness of
doninalion lo sulnission, exhililionisn lo speclaloiship, succoiing lo dependence,
elc.
NolalIy lhis foinuIalion is ilseIf a negalive of lhe foinuIalion foi iivaIiy, lhe
slinuIus lein leing lhe opposile. Il had leen olseived lhal synneliicaI sequences of
aclions lend shaipIy lo ieduce lhe sliain of excessiveIy conpIenenlaiy ieIalionships
lelveen peisons oi gioups.
24
Il is lenpling lo asciile lhis effecl lo sone hypolhesis
vhich vouId nake lhe lvo lypes of schisnogenesis in sone degiee psychoIogicaIIy
inconpalilIe, as is done ly lhe alove foinuIalion.
(5) Il is of inleiesl lo nole lhal aII lhe nodes associaled vilh lhe eiogenous
zones,
25
lhough nol cIeaiIy quanlifialIe, define lhenes foi ccnp|cncn|arq ieIalionship.
(6) The Iink vilh eiogenous zones suggesled in 5, alove, indicales lhal ve oughl,
peihaps, nol lo lhink of sinpIe iising exponenliaI cuives of inlensily Iiniled onIy ly
faclois anaIogous lo faligue, such as Richaidsons equalions vouId inpIy, lul ialhei
lhal ve shouId expecl oui cuives lo le lounded ly phenonena conpaialIe lo
oigasn~lhal lhe achievenenl of a ceilain degiee of lodiIy oi neuiaI invoIvenenl oi
inlensily nay le foIIoved ly a ieIease of schisnogenic lension. Indeed, aII lhal ve
knov aloul hunan leings in vaiious soils of sinpIe conlesls vouId seen lo indicale
lhal lhis is lhe case, and lhal lhe conscious oi unconscious vish foi ieIease of lhis
kind is an inpoilanl facloi vhich diavs lhe pailicipanls on and pievenls lhen fion
sinpIy vilhdiaving fion conlesls vhich vouId olheivise nol connend lhenseIves
lo
connon sense. If lheie le any lasic hunan chaiacleiislic vhich nakes nan
pione lo sliuggIe, il vouId seen lo le lhis hope of ieIease fion lension lhiough lolaI
invoIvenenl. In lhe case of vai lhis facloi is undoulledIy oflen polenl. (The ieaI
liulh~lhal in nodein vaifaie onIy a veiy fev of lhe pailicipanls achieve lhis
cIinaclic ieIease~seens haidIy lo sland againsl lhe insidious nylh of lolaI vai.)
(7) In 1936 il vas suggesled lhal lhe phenonenon of faIIing in Iove nighl le
conpaialIe lo a schisnogenesis vilh lhe signs ieveised, and even lhal if lhe couise
of liue Iove evei ian snoolh il vouId foIIov an exponenliaI cuive.
26
Richaidson
27
has since, independenlIy, nade lhe sane poinl in noie foinaI leins. Iaiagiaph 6,
alove, cIeaiIy indicales lhal lhe exponenliaI cuives nusl give pIace lo sone lype of
cuive vhich viII nol iise indefinileIy lul viII ieach a cIinax and lhen faII. Ioi lhe
24
Naven, p. 173.
25
L. H. Honluigei, Configuialions in IIay: Isycho-IogicaI Noles, IsychoanaIylicaI
QuaileiIy, 1937, vi: 138-214. This papei, one of lhe nosl inpoilanl in lhe Iileialuie seeking lo
slale psychoanaIylic hypolheses in noie iigoious leins, deaIs vilh lhe nodes appiopiiale lo
lhe vaiious eiogenous zones~inliusion, incoipoialion, ielenlion, and lhe Iike~and shovs hov
lhese nodes nay le liansfeiied fion one zone lo anolhei. This Ieads lhe viilei lo a chail of lhe
possilIe peinulalions and conlinalions of such liansfeiied nodaIilies. This chail piovides
piecise neans of desciiling lhe couise of lhe deveIopnenl of a Iaige vaiiely cf diffeienl lypes of
chaiaclei sliucluie (e.g., as nel vilh in diffeienl cuIluies).
26
Natcn, p. 197.
27
Op. cil., 1939.
iesl, hovevei, lhe olvious ieIalion-ship of lhese inleiaclive phenonena lo cIinax and
oigasn veiy nuch slienglhens lhe case foi iegaiding schisnogenesis and lhose
cunuIalive sequences of inleiaclion vhich Iead lo Iove as oflen psychoIogicaIIy
equivaIenl. (Wilness lhe cuiious confusions lelveen fighling and Iovenaking, lhe
synloIic idenlificalions of oigasn vilh dealh, lhe iecuiienl use ly nannaIs of
oigans of offense as oinanenls of sexuaI alliacllion, elc.)
(8) Scnisncgcnic scqucnccs ucrc nc| fcund in 8a|i. This negalive slalenenl is of such
inpoilance and confIicls vilh so nany lheoiies of sociaI opposilion and Maixian
deleininisn lhal, in oidei lo achieve ciediliIily, I nusl heie de-sciile schenalicaIIy
lhe piocess of chaiaclei foinalion, lhe iesuIling aIinese chaiaclei sliucluie, lhe
exceplionaI in-slances in vhich sone soil of cunuIalive inleiaclion can le
iecognized, and lhe nelhods ly vhich quaiieIs and slalus diffeienlialion aie
handIed. (DelaiIed anaIysis of lhe vaiious poinls and lhe suppoiling dala cannol heie
le iepioduced, lul iefeiences viII le given lo pulIished souices vheie lhe dala can
le exanined.)
28
=3435 ():A,#+#'-C)")J*#"
(a) The nosl inpoilanl exceplion lo lhe alove geneiaIizalion occuis in lhe
ieIalionship lelveen aduIls (especiaIIy paienls) and chiIdien. TypicaIIy, lhe nolhei
viII slail a snaII fIiilalion vilh lhe chiId, puIIing ils penis oi olheivise slinuIaling il
lo inleipeisonaI aclivily. This viII excile lhe chiId, and foi a fev nonenls cunuIalive
inleiaclion viII occui. Then jusl as lhe chiId, appioaching sone snaII cIinax, fIings
ils ains aiound lhe nolheis neck, hei allenlion vandeis. Al lhis poinl lhe chiId viII
lypicaIIy slail an aIleinalive cunuIalive inleiaclion, luiIding up lovaid lenpei
lanliun. The nolhei viII eilhei pIay a speclalois ioIe, enjoying lhe chiIds lanliun,
oi, if lhe chiId acluaIIy allacks hei, viII liush off his allack vilh no shov of angei on
hei pail. These sequences can le seen eilhei as an expiession of lhe nolheis dislasle
foi lhis lype of peisonaI invoIvenenl oi as conlexl in vhich lhe chiId acquiies a deep
disliusl of such invoIvenenl. The peihaps lasicaIIy hunan lendency lovaids
cunuIalive peisonaI inleiaclion is lhus nuled.
29
Il is possilIe lhal sone soil of
conlinuing pIaleau of inlensily is sulsliluled foi cIinax as lhe chiId lecones noie
fuIIy adjusled lo aIinese Iife. This cannol al piesenl le cIeaiIy docunenled foi
sexuaI ieIalions, lul lheie aie indicalions lhal a pIaleau lype of sequence is
chaiacleiislic foi liance and foi quaiieIs (see d, leIov).
(l)SiniIai sequences have lhe effecl of dininishing lhe chiIds lendencies
lovaid conpelilive and iivaIious lehavioi. The nolhei viII, foi exanpIe, lease lhe
chiId ly suckIing lhe laly of sone olhei vonan and viII enjoy hei ovn chiIds
effoils lo push lhe inliudei fion lhe lieasl.
3O
(c)In geneiaI lhe Iack of cIinax is chaiacleiislic foi aIinese nusic, diana, and
olhei ail foins. The nusic lypicaIIy has a piogiession, deiived fion lhe Iogic of ils
foinaI sliucluie, and nodificalions of inlensily deleinined ly lhe duialion and
28
See especiaIIy C. aleson and M. Mead, aIinese Chaiaclei: A Ihologiaphic AnaIysis.
Since lhis pholo-giaphic iecoid is avaiIalIe, no phologiaphs aie incIuded in lhe piesenl papei.
29
aIinese Chaiaclei: A Ihologiaphic AnaIysis, pI. 47, and pp. 32-6.
30
Ilid., pIs. 49, 52, 53, and 69-72.
piogiess of lhe voiking oul of lhese foinaI ieIalions. Il does nol have lhe soil of
iising inlensily and cIinax sliucluie chaiacleiislic of nodein OccidenlaI nusic, lul
ialhei a foinaI piogiession.
31
(d) aIinese cuIluie incIudes definile lechniques foi deaIing vilh quaiieIs. Tvo
nen vho have quaiieIIed viII go foinaIIy lo lhe office of lhe IocaI iepiesenlalive of
lhe Rajah and viII lheie iegislei lheii quaiieI, agieeing lhal vhichevei speaks lo lhe
olhei shaII pay a fine oi nake an offeiing lo lhe gods. Lalei, if lhe quaiieI leininales,
lhis conliacl nay le foinaIIy nuIIified. SnaIIei~lul siniIai~avoidances (pui|) aie
piacliced, even ly snaII chiIdien in lheii quaiieIs. Il is significanl, peihaps, lhal lhis
pioceduie is nol an allenpl lo infIuence lhe piolagonisls avay fion hosliIily and
lovaid fiiendship. Ralhei, il is a foinaI iecognilion of lhe slale of lheii nuluaI
ieIalionship, and possilIy, in sone soil, a pegging of lhe ieIalionship al lhal slale. If
lhis inleipielalion is coiiecl, lhis nelhod of deaIing vilh quaiieIs vouId coiiespond
lo lhe sulslilulion of a pIaleau foi a cIinax.
(e) In iegaid lo vaifaie, conlenpoiaiy connenl on lhe oId vais lelveen lhe
Rajahs indicales lhal in lhe peiiod vhen lhe connenls veie coIIecled (1936-39) vai
vas lhoughl of as conlaining Iaige eIenenls of nuluaI avoidance. The viIIage of
ajoeng Cede vas suiiounded ly an oId vaIIun and foss, and lhe peopIe expIained
lhe funclions of lhese foilificalions in lhe foIIoving leins: If you and I had a
quaiieI, lhen you vouId go and dig a dilch aiound youi house. Lalei I vouId cone
lo fighl vilh you, lul I vouId find lhe dilch and lhen lheie vouId le no fighl~a
soil of nuluaI Maginol Line psychoIogy. SiniIaiIy lhe loundaiies lelveen
neighloiing kingdons veie, in geneiaI, a deseiled no-nans Iand inhaliled onIy ly
vagianls and exiIes. (A veiy diffeienl psychoIogy of vaifaie vas no doull deveIoped
vhen lhe kingdon of Kaiangasen enlaiked on lhe conquesl of lhe neighloiing
isIand of Lonlok in lhe leginning of lhe eighleenlh cenluiy. The psychoIogy of lhis
niIilaiisn has nol leen invesligaled, lul lheie is ieason lo leIieve lhal lhe line
peispeclive of lhe aIinese coIonisls in Lonlok is loday significanlIy diffeienl fion
lhal of aIinese in aIi.)
32
(f) The foinaI lechniques of sociaI infIuence~oialoiy and lhe Iike~aie aInosl
lolaIIy Iacking in aIinese cuIluie. To denand lhe conlinued allenlion of an
individuaI oi lo exeil enolionaI infIuence upon a gioup aie aIike dislaslefuI and
viiluaIIy inpossilIe, lecause in such ciicunslances lhe allenlion of lhe viclin iapidIy
vandeis. Lven such conlinued speech as vouId, in nosl cuIluies, le used foi lhe
leIIing of sloiies does nol occui in aIi. The naiialoi viII, lypicaIIy, pause aflei a
senlence oi lvo, and vail foi sone nenlei of lhe audience lo ask hin a conciele
queslion aloul sone delaiI of lhe pIol. He viII lhen ansvei lhe queslion and so
iesune his naiialion. This pioceduie appaienlIy lieaks lhe cunuIalive lension ly
iiieIevanl inleiaclion.
(g) The piincipaI hieiaichicaI sliucluies in lhe sociely~lhe casle syslen and lhe
hieiaichy of fuII cilizens vho aie lhe viIIage counciI~aie iigid. Theie aie no conlexls
in vhich one individuaI couId conceivalIy conpele vilh anolhei foi posilion in
eilhei of lhese syslens. An individuaI nay Iose his nenleiship in lhe hieiaichy foi
vaiious acls, lul his pIace in il cannol le aIleied. ShouId he Ialei ieluin lo oilhodoxy
31
See CoIin McIhee, The AlsoIule Music of aIi, Mcdcrn Music, 1935, and A Hcusc in 8a|i,
London, CoIIancz, 1947.
32
See C. aleson, An OId TenpIe and a Nev Mylh, Djaua, xvii, alavia, 1937.
and le accepled lack, he viII ieluin lo his oiiginaI posilion in ieIalion lo lhe olhei
nenleis.
33
The foiegoing desciiplive geneiaIizalions aie aII pailiaI ansveis lo a negalive
queslion~
Anong
AngIo-Saxons, il is ialhei usuaI lo lhink of lhe ieasons
conlexl. I
lhoughl lhal lhe piocesses of schisnogenesis veie inpoilanl and nonliiviaI lecause
in lhen I seened lo see evoIulion al voik: if inleiaclion lelveen peisons couId
undeigo piogiessive quaIilalive change as in-lensily incieased, lhen suieIy lhis couId
le lhe veiy sluff of cuIluiaI evoIulion. Il foIIoved lhal aII diieclionaI change, even in
lioIogicaI evoIulion and phyIogeny, nighl~oi nusl ~le due lo piogiessive
inleiaclion lelveen oiganisns. Undei naluiaI seIeclion, such change in ieIalionships
vouId favoi piogiessive change in analony and physioIogy.
The piogiessive inciease in size and ainanenl of lhe dinosauis vas, as I sav il,
sinpIy an inleiaclive ainanenls iace~a schisnogenic piocess. ul I couId nol lhen
see lhal lhe evoIulion of lhe hoise fion |cnip pus vas nol a one-sided adjuslnenl lo
Iife on giassy pIains. SuieIy lhe giassy pIains lhenseIves veie evoIved pari passc
vilh lhe evoIulion of lhe leelh and hooves of lhe hoises and olhei unguIales. Tuif
vas lhe evoIving iesponse of lhe vegelalion lo lhe evoIulion of lhe hoise. Il is lhe
ccn|cx| vhich evoIves.
The cIassificalion of schisnogenic piocess inlo synneliicaI and
Hov does lhe dog acquiie a halil of punclualing oi appeiceiving lhe infinileIy
conpIex sliean of evenls (incIuding his ovn lehavioi) so lhal lhis sliean appeais lo
le nade up of one lype of shoil sequences ialhei lhan an-olhei` Oi, sulsliluling lhe
scienlisl foi lhe dog, ve nighl ask, Whal ciicunslances deleinine lhal a given
scienlisl viII puncluale lhe sliean of evenls so as lo concIude lhal aII is
piedeleinined, vhiIe anolhei viII see lhe sliean of evenls as so ieguIai as lo le
susceplilIe of conlioI` Oi, again, on lhe sane IeveI of alsliaclion Iel us ask~and
lhis queslion is veiy ieIevanl lo lhe pionolion of denociacy~Whal ciicunslances
pionole lhal specific haliluaI phiasing of lhe univeise vhich ve caII `fiee viII and
lhose olheis vhich ve caII `iesponsiliIily, `consliucliveness, `eneigy, `passivily,
`doninance, and lhe iesl` Ioi aII lhese alsliacl quaIilies, lhe essenliaI slock-in-liade
of lhe educalois, can le seen as vaiious halils of punclualing lhe sliean of
expeiience so lhal il lakes on one oi anolhei soil of coheience and sense. They aie
alsliaclions vhich legin lo assune sone opeialionaI neaning vhen ve see lhen
lake lheii pIace on a concepluaI IeveI lelveen lhe slalenenls of sinpIe Ieaining and
lhose of geslaIl psychoIogy.
We can, foi exanpIe, pul oui fingei veiy sinpIy on lhe piocess vhich Ieads lo
liagedy and disiIIusion vhenevei nen decide lhal lhe end juslifies lhe neans in
lheii effoils lo achieve eilhei a Chiislian oi a lIuepiinled heaven-on-eailh. They
ignoie lhe facl lhal in sociaI nanipuIalion, lhe looIs aie nol hanneis and
scievdiiveis. A scievdiivei is nol seiiousIy affecled vhen, in an eneigency, ve use
il as a vedge, and a hanneis oulIook on Iife is nol affecled lecause ve sonelines
use ils handIe as a sinpIe Ievei. ul in sociaI nanipuIalion oui looIs aie peopIe, and
peopIe Ieain, and lhey acquiie halils vhich aie noie sullIe and peivasive lhan lhe
liicks vhich lhe lIuepiinlei leaches lhen. Wilh lhe lesl inlenlions in lhe voiId, he
nay liain chiIdien lo spy upon lheii paienls in oidei lo eiadicale sone lendency
piejudiciaI lo lhe success of his lIuepiinl, lul lecause lhe chiIdien aie peopIe lhey
viII do noie lhan Ieain lhis sinpIe liick~lhey viII luiId lhis expeiience inlo lheii
vhoIe phiIosophy of Iife, il viII coIoi aII lheii fuluie alliludes lo-vaid aulhoiily.
Whenevei lhey neel ceilain soils of con-lexl, lhey viII lend lo see lhese conlexls as
sliucluied on an eaiIiei faniIiai pallein. The lIuepiinlei nay deiive an iniliaI
advanlage fion lhe chiIdiens liicks, lul lhe uIlinale success of his lIuepiinl nay le
deslioyed ly lhe halils of nind vhich veie Ieained vilh lhe liick. (UnfoilunaleIy,
lheie is no ieason lo leIieve lhal lhe Nazi lIuepiinl viII lieak dovn foi lhese
ieasons. Il is piolalIe lhal lhe unpIeasanl alliludes heie iefeiied lo aie envisaged as
lasic oc|n lo lhe pIan ilseIf and lo lhe neans of achieving il. The ioad lo heII can aIso
le paved vilh lad inlenlions, lhough veII-inlenlioned peopIe find lhis haid lo
leIieve.)
We aie deaIing, appaienlIy, vilh a soil of halil vhich is a ly-pioducl of lhe
Ieaining piocess. When Di. Mead leIIs us lhal ve shouId Ieave off lhinking in leins
of lIue-piinls and shouId inslead evaIuale oui pIanned acls in leins of lheii
innediale inpIicil vaIue, she is saying lhal in lhe upliinging and educalion of
chiIdien, ve oughl lo liy lo incuIcale a soil of ly-pioducl halil ialhei diffeienl fion
lhal vhich ve acquiied and vhich ve daiIy ieinfoice in ouiseIves in oui conlacls
vilh science, poIilics, nevspapeis, and so on.
She slales peifeclIy cIeaiIy lhal lhis nev shifl in lhe enphasis oi geslaIl of oui
lhinking viII le a selling foilh inlo unchailed valeis. We cannol knov vhal nannei
of hunan leings viII iesuIl fion such a couise, noi can ve le suie lhal ve ouiseIves
vouId feeI al hone in lhe voiId of 198O. Di. Mead can onIy leII us lhal if ve pioceed
on lhe couise vhich vouId seen nosl naluiaI, pIanning oui appIicalions of sociaI
science as a neans of allaining a defined goaI, ve shaII suieIy hil a iock. She has
chailed lhe iock foi us, and advises lhal ve enlaik on a couise in a diieclion vheie
lhe iock is nol, lul in a nev, sliII unchailed diieclion. Hei papei iaises lhe queslion
of hov ve aie lo chail lhis nev diieclion.
AcluaIIy, science can give us- sonelhing appioaching a chail. I indicaled alove
lhal ve nighl see a nixed lunch of alsliacl leins~fiee viII, piedeslinalion,
iesponsiliIily, consliucliveness, passivily, doninance, elc.~as aII of lhen desciiplive
of appeiceplive halils, haliluaI vays of Iooking al lhe sliean of evenls of vhich oui
ovn lehavioi is a pail, and fuilhei lhal lhese halils nighl aII le, in sone sense, ly-
pioducls of lhe Ieaining piocess. Oui nexl lask, if ve aie lo achieve sone soil of
chail, is cIeaiIy lo gel sonelhing lellei lhan a iandon Iisl of lhese possilIe halils. We
nusl ieduce lhis Iisl lo a cIassificalion vhich shaII shov hov each of lhese halils is
syslenalicaIIy ieIaled lo lhe olheis.
We neel in connon agieenenl lhal a sense of individuaI aulonony, a halil of
nind sonehov ieIaled lo vhal I have caIIed fiee viII, is an essenliaI of denociacy,
lul ve aie sliII nol peifeclIy cIeai as lo hov lhis aulonony shouId le defined
opeialionaIIy. Whal, foi exanpIe, is lhe ieIalion lelveen aulonony and
conpuIsive negalivisn` The gas slalions vhich iefuse lo confoin lo lhe cuifev~aie
lhey oi aie lhey nol shoving a fine denocialic spiiil` This soil of negalivisn is
undoulledIy of lhe sane degiee of alsliaclion as fiee viII oi deleininisn, Iike
lhen il is an haliluaI vay of appeiceiving conlexls, evenl sequences and ovn
lehavioi, lul il is nol cIeai vhelhei lhis negalivisn is a sulspecies of individuaI
aulonony, oi is il ialhei sone enliieIy diffeienl halil` SiniIaiIy, ve need lo knov
hov lhe nev halil of lhoughl vhich Di. Mead advocales is ieIaled lo lhe olheis.
LvidenlIy oui need is foi sonelhing lellei lhan a iandon Iisl of lhese halils of
nind. We need sone syslenalic fiane-voik oi cIassificalion vhich shaII shov hov
each of lhese halils is ieIaled lo lhe olheis, and such a cIassificalion nighl piovide us
vilh sonelhing appioaching lhe chail ve Iack. Di. Mead leIIs us lo saiI inlo as yel
unchailed valeis, adopling a nev halil of lhoughl, lul if ve knev hov lhis halil is
ieIaled lo olheis, ve nighl le alIe lo judge of lhe lenefils and dangeis, lhe possilIe
pilfaIIs of such a couise. Such a chail nighl piovide us vilh lhe ansveis lo sone of
lhe queslions vhich Di. Mead iaises~as lo hov ve aie lo judge of lhe
diieclion
and vaIue inpIicil in oui pIanned acls.
You nusl nol expecl lhe sociaI scienlisl lo pioduce such a chail oi cIassificalion
al a nonenls nolice, Iike a iallil oul of a hal, lul I lhink ve can lake a fiisl slep in
lhis diieclion, ve can suggesl sone of lhe lasic lhenes~lhe caidinaI poinls, if you
Iike~upon vhich lhe finaI cIassificalion nusl le luiIl.
We have noled lhal lhe soils of halil vilh vhich ve aie conceined aie, in sone
sense, ly-pioducls of lhe Ieaining piocesses, and il is lheiefoie naluiaI lhal ve Iook
fiisl lo lhe phenonena of sinpIe Ieaining as IikeIy lo piovide us vilh a cIue. We aie
iaising queslions one degiee noie alsliacl lhan lhose chiefIy sludied ly lhe
expeiinenlaI psychoIogisls, lul il is sliII lo lheii Ialoialoiies lhal ve nusl Iook foi
oui ansveis.
Nov il so happens lhal in lhe psychoIogicaI Ialoialoiies lheie is a connon
phenonenon of a sonevhal highei degiee of alsliaclion oi geneiaIily lhan lhose
vhich lhe expeiinenls aie pIanned lo eIucidale. Il is a connonpIace lhal lhe
expeiinenlaI suljecl~vhelhei aninaI oi nan, lecones a lellei suljecl aflei
iepealed expeiinenls. He nol onIy Ieains lo saIivale al lhe appiopiiale nonenls, oi
lo iecile lhe appiopiiale nonsense syIIalIes, he aIso, in sone vay, |carns |c |carn.%He
nol onIy soIves lhe piolIens sel hin ly lhe expeiinenlei, vheie each soIving is a
piece of sinpIe Ieaining, lul, noie lhan lhis, he lecones noie and noie skiIIed in
lhe soIving of piolIens.
In senigeslaIl oi senianlhioponoiphic phiaseoIogy, ve nighl say lhal lhe
suljecl is Ieaining lo oiienl hinseIf lo ceilain lypes of conlexls, oi is acquiiing
insighl inlo lhe conlexls of piolIen soIving. In lhe jaigon of lhis papei, ve nay say
lhal lhe suljecl has acquiied a halil of Iooking foi conlexls and sequences of one lype
ialhei lhan anolhei, a halil of punclualing lhe sliean of evenls lo give iepelilions
of a ceilain lype of neaningfuI sequence.
The Iine of aigunenl vhich ve have foIIoved has lioughl us lo a poinl al vhich
slalenenls aloul sinpIe Ieaining neel slalenenls aloul geslaIl and conlexluaI
sliucluie, and ve have ieached lhe hypolhesis lhal Ieaining lo Ieain is a synonyn
foi lhe acquisilion of lhal cIass of alsliacl halils of lhoughl vilh vhich lhis papei is
conceined, lhal lhe slales of nind vhich ve caII fiee viII, insliunenlaI lhinking,
doninance, passivily, elc., aie acquiied ly a piocess vhich ve nay equale vilh
Ieaining lo Ieain.
This hypolhesis is lo sone exlenl nev
2
lo psychoIogisls as veII as lo Iaynen, and
lheiefoie I nusl digiess al lhis poinl lo suppIy lechnicaI ieadeis vilh a noie piecise
slalenenl of ny neaning. I nusl denonsliale al Ieasl ny viIIingness lo slale lhis
liidge lelveen sinpIe Ieaining and geslaIl in opeialionaI leins.
Lel us coin lvo voids, piolo-Ieaining
and
Nov, lhis phenonenon, pIay, couId onIy occui if lhe pailicipanl oiganisns veie
capalIe of sone degiee of nela-connunicalion, i.e., of exchanging signaIs vhich
vouId caiiy lhe nessage lhis is pIay.
(4) The nexl slep vas lhe exaninalion of lhe nessage This is pIay, and lhe
ieaIizalion lhal lhis nessage conlains lhose eIenenls vhich necessaiiIy geneiale a
paiadox of lhe RusseIIian oi Lpinenides lype -a negalive slalenenl conlaining an
inpIicil negalive nelaslalenenl. Lxpanded, lhe slalenenl This is pIay
Iooks
sonelhing Iike lhis: These aclions in vhich ve nov engage do nol denole vhal
lhose aclions fcr unicn |ncq s|and vouId denole.
We nov ask aloul lhe ilaIicized voids,
And lhis lype of inleiaclion aIso has ils iiluaI foins, e.g., in
lhe hazing of inilialion.
(11) Iaiadox is doulIy piesenl in lhe signaIs vhich aie exchanged vilhin lhe
conlexl of pIay, fanlasy, lhieal, elc. Nol onIy does lhe pIayfuI nip nol denole vhal
vouId le denoled ly lhe lile foi vhich il slands, lul, in addilion, lhe lile ilseIf is
ficlionaI. Nol onIy do lhe pIaying aninaIs nol quile nean vhal lhey aie saying lul,
aIso, lhey aie usuaIIy connunicaling aloul sonelhing vhich does nol exisl. Al lhe
hunan IeveI, lhis Ieads lo a vasl vaiiely of conpIicalions and inveisions in lhe fieIds
of pIay, fanlasy, and ail. Conjuieis and painleis of lhe |rcnpc |cci| schooI concenliale
upon acquiiing a viiluosily vhose onIy ievaid is ieached aflei lhe vievei delecls
lhal he has leen deceived and is foiced lo sniIe oi naiveI al lhe skiII of lhe deceivei.
HoIIyvood fiIn-nakeis spend niIIions of doIIais lo inciease lhe ieaIisn of a shadov.
Olhei ailisls, peihaps noie ieaIislicaIIy, insisl lhal ail le noniepiesenlalionaI, and
pokei pIayeis achieve a sliange addiclive ieaIisn ly equaling lhe chips foi vhich
lhey pIay vilh doIIais. They sliII insisl, hovevei, lhal lhe Iosei accepl his Ioss as pail
of lhe gane.
IinaIIy, in lhe din iegion vheie ail, nagic, and ieIigion neel and oveiIap,
hunan leings have evoIved lhe
He lhen lIushed, and she said, Deai, you nusl nol le so easiIy
enlaiiassed and afiaid of youi feeIings. The palienl vas alIe lo slay vilh hei onIy a
fev ninules noie and foIIoving hei depailuie he assauIled an aide and vas pul in
lhe luls.
OlviousIy, lhis iesuIl couId have leen avoided if lhe young nan had leen alIe
lo say, Molhei, il is olvious lhal you lecone unconfoilalIe vhen I pul ny ain
aiound you, and lhal you have difficuIly accepling a gesluie of affeclion fion ne.
Hovevei, lhe schizophienic palienl doesnl have lhis possiliIily open lo hin. His
inlense dependency and liaining pievenls hin fion connenling upon his nolheis
connunicalive lehavioi, lhough she connenls on his and foices hin lo accepl and
lo allenpl lo deaI vilh lhe conpIicaled sequence. The conpIicalions foi lhe palienl
incIude lhe foIIoving:
(1) The nolheis ieaclion of nol accepling hei sons affeclionale gesluie is
nasleifuIIy coveied up ly hei condennalion of hin foi vilhdiaving, and lhe palienl
denies his peiceplion of lhe silualion ly accepling hei condennalion.
(2) The slalenenl Donl you Iove ne any noie in lhis conlexl seens lo inpIy:
(a) I an IovalIe.
(l) You shouId Iove ne and if you donl you aie lad oi al fauIl.
(c) Wheieas you did Iove ne pieviousIy you donl any Iongei, and lhus focus
is shifled fion his expiessing affeclion lo his inaliIily lo le affeclionale. Since lhe
palienl has aIso haled hei, she is on good giound heie, and he iesponds
appiopiialeIy vilh guiIl, vhich she lhen allacks.
(d) Whal you jusl expiessed uas nc| affeclion, and in oidei lo accepl lhis
slalenenl, lhe palienl nusl deny vhal she and lhe cuIluie have laughl hin aloul
hov one expiesses affeclion. He nusl aIso queslion lhe lines vilh hei, and vilh
olheis, vhen he lhoughl he vas expeiiencing affeclion and vhen lhey sccncd lo lieal
lhe silualion as if he had. He expeiiences heie Ioss-of-suppoil phenonena and is pul
in doull aloul lhe ieIialiIily of pasl expeiience.
(3) The slalenenl, You nusl nol le so easiIy enlaiiassed and afiaid of youi
feeIings, seens lo inpIy:
(a) You aie nol Iike ne and aie diffeienl fion olhei nice oi noinaI peopIe
lecause ve expiess oui feeIings.
35
D. D. }ackson, The Queslion of IaniIy Honeoslasis, piesenled al lhe
Aneiican Isychialiic Associalion Meeling, Sl. |cuis, May 7, 1954, aIso }ackson,
Sone Iaclois InfIuencing lhe Oedipus ConpIex, Psqcncana|q|ic Quar|cr|q, 1954,
23. 566-81.
(l) The feeIings you expiess aie aII iighl, ils onIy lhal qcu canl accepl lhen.
Hovevei, if lhe sliffening on hei pail had indicaled These aie unacceplalIe
feeIings, lhen lhe loy is loId lhal he shouId nol le enlaiiassed ly unacceplalIe
feeIings. Since he has had a Iong liaining in vhal is and is nol acceplalIe lo lolh hei
and sociely, he again cones inlo confIicl vilh lhe pasl. If he is unafiaid of his ovn
feeIings (vhich nolhei inpIies is good), he shouId le unafiaid of his affeclion and
vouId lhen nolice il vas she vho vas afiaid, lul he nusl nol nolice lhal le-cause hei
vhoIe appioach is ained al coveiing up lhis shoil-coning in heiseIf.
The inpossilIe diIenna lhus lecones: If I an lo keep ny lie lo nolhei, I nusl
nol shov hei lhal I Iove hei, lul if I do nol shov hei lhal I Iove hei, lhen I viII Iose
hei.
The inpoilance lo lhe nolhei of hei speciaI nelhod of conlioI is sliikingIy
iIIuslialed ly lhe inleifaniIy silualion of a young vonan schizophienic vho gieeled
lhe lheiapisl on lheii fiisl neeling vilh lhe ienaik, Molhei had lo gel naiiied and
nov In heie. This slalenenl neanl lo lhe lheiapisl lhal:
(1) The palienl vas lhe iesuIl of an iIIegilinale piegnancy.
(2) This facl vas ieIaled lo hei piesenl psychosis (in hei opinion).
(3) Heie iefeiied lo lhe psychialiisls office and lo lhe palienls piesence on
eailh foi vhich she had lo le eleinaIIy indelled lo hei nolhei, especiaIIy since hei
nolhei had sinned and suffeied in oidei lo liing hei inlo lhe voiId.
(4) Had lo gel naiiied iefeiied lo lhe sholgun naluie of nolheis vedding
and lo lhe nolheis iesponse lo piessuie lhal she nusl naiiy, and lhe iecipiocaI, lhal
she iesenled lhe foiced naluie of lhe silualion and lIaned lhe palienl foi il.
AcluaIIy, aII lhese supposilions sulsequenlIy pioved lo le facluaIIy coiiecl and
veie coiioloialed ly lhe nolhei duiing an aloilive allenpl al psycholheiapy. The
fIavoi of lhe nolheis connunicalions lo lhe palienl seened essenliaIIy lhis: I an
IovalIe, Ioving, and salisfied vilh nyseIf. You aie IovalIe vhen you aie Iike ne and
vhen you do vhal I say. Al lhe sane line lhe nolhei indicaled lo lhe daughlei
lolh ly voids and lehavioi: You aie physicaIIy deIicale, uninleIIigenl, and diffeienl
fion ne (
`
nol noinaI). You need ne and ne aIone lecause of lhese handicaps, and I
viII lake caie of you and Iove you.
l exisl, and lhal vhoIe voiId of youis doesnl exisl. To you il does, and fai le il
fion ne lo lhink lhal I can lake lhal avay fion you, I have no idea vhal il neans. So
In viIIing lo laIk vilh you in leins of lhal voiId, if onIy you knov I do il so lhal ve
have an undeislanding lhal il doesn
Oh, did you sign` He said, Yes, vilh an odd giin. His ieaI nane, ve viII
say, vas Ldvaid W. }ones. Whal he had acluaIIy signed vas W. Ldvaid }ones. The
vaid officiaIs did nol nolice lhe diffeience. Il appeaied lo lhen lhal lhey had von a
lallIe and had succeeded in foicing hin lo acl saneIy. ul lo hinseIf lhe nessage
vas, He (lhe ieaI ne) did nol sign. He had von lhe lallIe. Il vas as if his fingeis
veie ciossed lehind his lack.
AII connunicalion has lhis chaiacleiislic~il can le nagicaIIy nodified ly
acconpanying connunicalion. In lhis confeience, ve have leen discussing vaiious
vays of inleiacling vilh palienls, desciiling vhal ve do and vhal oui slialegy
seens lo us lo le. Il vouId have leen noie difficuIl lo discuss oui aclions fion lhe
palienls poinl of viev. Hov do ve quaIify oui connunicalions lo lhe palienls, so
lhal lhe expeiience vhich lhey ieceive viII le lheiapeulic`
AppIely, foi exanpIe, desciiled a sel of pioceduies on his vaid, and if I veie a
schizophienic Iislening lo hin, I vouId have leen lenpled lo say, Il aII sounds Iike
occupalionaI lheiapy lo ne. He leIIs us veiy convincingIy and vilh figuies lhal his
piogian is successfuI, and in docunenling his success he is no doull leIIing lhe
liulh. If lhis is so, lhen his desciiplion of lhe piogian nusl necessaiiIy le
inconpIele. The expeiiences vhich lhe piogian piovides foi lhe palienls nusl le
sonelhing a IillIe noie aIive lhan lhe diy lones of lhe piogian vhich he has
40
R. L. Slevenson, The Iooi Thing, Nctc|s and Ta|cs cf Rcocr| |cuis S|ctcnscn, VoI. 20, Nev
Yoik, Sciilneis, 1918, pp. 496-502.
desciiled. The vhoIe seiies of lheiapeulic pioceduies nusl have leen quaIified,
possilIy vilh enlhusiasn oi vilh hunoi, vilh sone sel of signaIs vhich aIleied lhe
nalhenalicaI sign~pIus oi ninus~of vhal vas leing done. AppIely has loId us
onIy aloul lhe shoe of lhe hoise, nol aloul lhe nuIlilude of ieaIilies vhich
deleinined foi vhal lhal hoiseshoe slood.
Il is as if he had ieIaled lhal a given nusicaI conposilion vas sel in lhe key of C
najoi, and asked us lo leIieve lhal lhis skeIelaI slalenenl vas a sufficienl desciiplion
lo enalIe us lo undeisland vhy lhis pailicuIai conposilion aIleied lhe nood of lhe
Iislenei in a pailicuIai vay. Whal is onilled in aII such desciiplions is lhe enoinous
conpIexily of noduIalion of connunicalion. Il is lhis noduIalion vhich is nusic.
Lel ne shifl fion a nusicaI lo a vide lioIogicaI anaIogy in oidei lo exanine
fuilhei lhis nagicaI ieaIn of connunicalion. AII oiganisns aie pailiaIIy deleinined
ly genelics, i.e., oq conpIex consleIIalions of nessages caiiied piincipaIIy in lhe
chionosones. We aie pioducls of a connunicalionaI piocess, nodified and
quaIified in vaiious vays ly enviionnenlaI inpacl. Il foIIovs, lheiefoie, lhal lhe
diffeiences lelveen ieIaled oiganisns, say, a cial and a Iolslei, oi lelveen a laII pea
and a shoil pea, nusl aIvays le lhe soil of diffeiences lhal can le ciealed ly changes
and noduIalions in a consleIIalion of nessages. Sonelines lhese changes in lhe
nessage syslen viII le ieIaliveIy conciele~a shifl fion yes lo no in lhe ansvei
lo sone queslion goveining a ieIaliveIy supeificiaI delaiI of lhe analony. The lolaI
picluie of lhe aninaI nay le aIleied ly as IillIe as one spol in lhe vhoIe haIflone
lIock, oi lhe change nay le one vhich nodifies oi noduIales lhe vhoIe syslen of
genelic nessages, so lhal eveiy nessage in lhe syslen lakes on a diffeienl Iook vhiIe
ielaining ils foinei ieIalion-ship lo aII neighloiing nessages. Il is, I leIieve, lhis
slaliIily of lhe ieIalionship lelveen nessages undei lhe inpacl of lhe change in one
pail of lhe consleIIalion lhal piovides a lasis foi lhe Iiench aphoiisn IIus gel
cnangc, p|us ccs| |a ncnc cncsc. Il is a iecognized facl lhal lhe skuIIs of lhe vaiious
anlhiopoids can le diavn upon diveiseIy skeved cooidinales 'lo denonsliale lhe
fundanenlaI siniIaiily of ieIalions and lhe syslenalic naluie of lhe liansfoinalion
fion one species lo anolhei.
41
My falhei vas a genelicisl, and he used lo say, Ils aII vilialions,
42
and lo
iIIusliale lhis he vouId poinl oul lhal lhe sliiping of lhe connon zelia is an oclave
highei lhan lhal of Cievys zelia. WhiIe il is liue lhal in lhis pailicuIai case lhe
fiequency is doulIed, I donl lhink lhal il is enliieIy a nallei of vilialions as he
endeavoied lo ex-pIain il. Ralhei, he vas liying lo say lhal il is aII a nallei of lhe soil
of nodificalions vhich couId le expecled anong syslens vhose deleininanls aie
nol a nallei of physics in lhe ciude sense, lul a nallei of nessages and noduIaled
syslens of nessages.
Il is voilh noling, loo, lhal peihaps oiganic foins aie leaulifuI lo us and lhe
syslenalic lioIogisl can find aeslhelic salisfaclion in lhe diffcrcnccs lelveen ieIaled
oiganisns sinpIy lecause lhe diffeiences aie due lo noduIalions of connunicalion,
vhiIe ve ouiseIves aie lolh oiganisns vho connunicale and vhose foins aie
deleinined ly consleIIalions of genelic nessages. This is nol lhe pIace, hovevei, foi
41
D. W. Thonpson, On Grcu|n and |crn, VoI. 2, Ox-foid, Oxfoid Univeisily Iiess, 1952.
42
ealiice C. aleson, li||ian 8a|cscn, Na|ura|is|, Canliidge, Canliidge Univeisily Iiess,
1928.
such a ievision of aeslhelic lheoiy. An expeil in lhe lheoiy of nalhenalicaI gioups
couId nake a najoi conliilulion in lhis fieId.
AII nessages and pails of nessages aie Iike phiases oi segnenls of equalions
vhich a nalhenalician puls in liackels. Oulside lhe liackels lheie nay aIvays le a
quaIifiei oi nuIlipIiei vhich viII aIlei lhe vhoIe lenoi of lhe phiase. Moie-ovei,
lhese quaIifieis can aIvays le added, even yeais Ialei.
They do nol have lo piecede lhe phiase inside lhe liackels. Olheivise, lheie
couId le no psycholheiapy. The palienl vouId le enlilIed and even conpeIIed lo
aigue, My nolhei sIapped ne dovn in such and such vays, and, lheiefoie, I an
nov sick, and lecause lhose liaunala occuied in lhe pasl lhey cannol le aIleied, and
I, lheiefoie, cannol gel veII. In lhe ieaIn of connunicalion, lhe ctcn|s of lhe pasl
conslilule a chain of oId hoiseshoes so lhal lhe neaning of lhal chain can le changed
and is conlinuaIIy leing changed. Whal exisls loday aie onIy nessages aloul lhe pasl
vhich ve caII nenoiies, and lhese nessages can aI-vays le fianed and noduIaled
fion nonenl lo nonenl.
Up lo lhis poinl lhe ieaIn of connunicalion appeais lo le noie and noie
conpIex, noie fIexilIe, and Iess anenalIe lo anaIysis. Nov lhe inlioduclion of lhe
gioup concepl~lhe consideialion of nany peisons~suddenIy sinpIifies lhis
confused ieaIn of sIipping and sIiding neanings. If ve shake up a nunlei of
iiieguIai slones in a lag, oi suljecl lhen lo an aInosl iandon lealing ly lhe vaves
on lhe seashoie, even al lhe ciudeIy physicaI IeveI, lheie viII le a giaduaI
sinpIificalion of lhe syslen~lhe slones viII iesenlIe each olhei. In lhe end, lhey
viII aII lecone spheiicaI, lul in piaclice ve usuaIIy encounlei lhen as pailIy
iounded pellIes. Ceilain foins of honogenizalion iesuIl fion nuIlipIe inpacl even
al lhe ciude physicaI IeveI, and vhen lhe inpacling enlilies aie oiganisns capalIe of
conpIex Ieaining and connunicalion, lhe lolaI syslen opeiales iapidIy lo-vaid
eilhei unifoinily oi lovaid syslenalic diffeienlialion~an inciease of sinpIicily~
vhich ve caII oiganizalion. If lheie aie diffeiences lelveen lhe inpacling enlilies,
lhese diffeiences viII undeigo change, eilhei in lhe diieclion of ieducing lhe
diffeience, oi in lhe diieclion of achieving a nuluaI filling oi conpIenenlaiily.
Anong gioups of peopIe, vhelhei lhe diieclion of change is lovaid honogeneily oi
lovaid conpIenenlaiily, lhe achievenenl is a shaiing of pienises iegaiding lhe
neaning and appiopiialeness of nessages and olhei acls in lhe conlexl of lhe
ieIalionship.
I shaII nol go inlo lhe conpIex piolIens of Ieaining invoIved in lhis piocess lul
shaII pioceed lo lhe piolIen of schizophienia. An individuaI, i.e., lhe idenlified
palienl, exisls vilhin a faniIy selling, lul vhen ve viev hin singuIaiIy, ceilain
pecuIaiilies of his connunicalionaI halils aie noled.
These pecuIiaiilies nay le pailIy deleinined ly genelics oi physioIogicaI
accidenl, lul il is sliII ieasonalIe lo queslion lhe funclion of lhese pecuIiaiilies vilhin
lhe connunicalionaI syslen of vhich lhey aie a pail lhe faniIy. A nunlei of Iiving
ciealuies have leen, in a sense, shaken up logelhei and one of lhen has cone oul
appaienlIy diffeienl fion lhe iesl, ve have lo ask nol onIy aloul diffeiences in lhe
naleiiaI of vhich lhis pailicuIai individuaI nay le nade, lul aIso hov his pailicuIai
chaiacleiislics veie deveIoped in lhis faniIy syslen. Can lhe pecuIiaiilies of lhe
idenlified palienl le seen as apprcpria|c, i.c., as eilhei honogeneous vilh, oi
conpIenenlaiy lo, lhe chaiacleiislics of lhe olhei nenleis of lhe gioup` We do nol
doull lhal a Iaige pail of schizophienic. synplonaloIogy is, in sone sense, Ieained
oi deleinined ly expeiience, lul an oiganisn can Ieain onIy lhal vhich il is laughl
ly lhe ciicunslances of Iiving and lhe expeiiences of exchanging nessages vilh
lhose aiound hin. He cannol Ieain al iandon, lul onIy lo le Iike oi unIike lhose
aiound hin. We have, lheiefoie, lhe necessaiy lask of Iooking al lhe expeiienliaI
selling of schizophienia.
We shaII oulIine liiefIy vhal ve have leen caIIing lhe doulIe lind hypolhesis,
vhich has leen noie fuIIy desciiled eIsevheie.
43
This hypolhesis conlains lvo pails,
a foinaI desciiplion of lhe connunicalionaI halils of lhe schizophienic, and a
foinaI desciiplion of lhe sequences of expeiience vhich vouId undeislandalIy liain
lhe individuaI in his pecuIiai disloilions of connunicalion. LnpiiicaIIy ve find lhal
one desciiplion of lhe synplons is, on lhe vhoIe, salisfacloiy, and lhal lhe faniIies
of schizophienics aie chaiacleiized ly lhe lehavioiaI sequences vhich aie piedicled
ly lhe hypolhesis.
TypicaIIy, lhe schizophienic viII eIininale fion his nessages eveiylhing lhal
iefeis expIicilIy oi inpIicilIy lo lhe ieIalionship lelveen hinseIf and lhe peison he is
addiessing. Schizophienics connonIy avoid lhe fiisl and second peison pionouns.
They avoid leIIing you vhal soil of a nessage lhey aie liansnilling~vhelhei il le
IileiaI oi nelaphoiic, iionic oi diiecl and lhey aie IikeIy lo have difficuIly vilh aII
nessages and neaningfuI acls vhich inpIy inlinale conlacl lelveen lhe seIf and
sone olhei. To ieceive food nay le aInosl inpossilIe, lul so aIso nay le lhe
iepudialion of food.
When Ieaving foi lhe A.I.A. neelings in HonoIuIu, I loId ny palienl lhal I vouId
le avay and vheie I vas going. He Iooked oul lhe vindov and said, Thal pIane
fIies avfuIIy sIovIy. He couId nol say, I shaII niss you, lecause he vouId lhus le
idenlifying hinseIf in a ieIalionship lo ne, oi ne in ieIalionship lo hinseIf. To say, I
shaII niss you vouId le lo asseil a lasic pienise aloul oui nuluaI ieIalionship ly
defining lhe soils of nessages vhich shouId le chaiacleiislic of lhal ieIalionship.
OlseivalIy, lhe schizophienic avoids oi disloils anylhing vhich nighl seen lo
idenlify eilhei hinseIf oi lhe peison vhon he is addiessing. He nay eIininale
anylhing vhich inpIies lhal his nessage iefeis lo, and is a pail of, a ieIalionship
lelveen lvo idenlifialIe peopIe, vilh ceilain slyIes and pienises goveining lheii
lehavioi in lhal ieIalionship. He nay avoid anylhing vhich nighl enalIe lhe olhei
lo inleipiel vhal he says. He nay olscuie lhe facl lhal he is speaking in nelaphoi oi
in sone speciaI code, and he is IikeIy lo disloil oi onil aII iefeience lo line and pIace.
If ve use a Weslein Union leIegian foin as an anaIogy, ve nighl say lhal he onils
vhal vouId le pul on lhe pioceduiaI pails of lhe leIegiaph foin and viII nodify lhe
43
C. aleson, D. D. }ackson, }. HaIey, and }. H. Weak-Iand, Tovaid a Theoiy of
Schizophienia, 8cnaticra| Scicncc, 1956, 1. 251-64, aIso C. aleson, Language and
Isycholheiapy, Iiieda Iionn-Reichnann's Lasl Iiojecl, Psqcnia|rq, 1958, 21. 96-100, aIso C.
aleson (nodeialoi), Schizophienic Disloilions of Connunicalion, Psqcnc|ncrapq cf Cnrcnic
Scnizcpnrcnic Pa|icn|s, C. A. Whilackei, ed., oslon and Toionlo, LillIe, iovn and Co., 1958, pp.
31-56, aIso C. aleson, AnaIysis of Cioup Theiapy in an Adnission Waid, Uniled Slales NavaI
HospilaI, OakIand, CaIifoinia, Sccia| Psqcnia|rq in Ac|icn, H. A. WiInei, SpiingfieId, III., ChaiIes
C. Thonas, 1958, pp. 334-49, aIso }. HaIey, The Ail of IsychoanaIysis, c|c., 1958, .15. 190-200, aIso
}. HaIey, An InleiaclionaI LxpIanalion of Hypnosis, Ancrican ]curna| cf C|inica| Hqpncsis, 1958, 1:
41-57, aIso }. H. WeakIand and D. D. }ackson, Ialienl and Theiapisl Olseivalions on lhe
Ciicunslances of a Schizophienic Lpisode, AMA Arcnitcs cf Ncurc|cgica| Psqcnia|rq, 1958, 79. 554-
74.
lexl of his nessage lo disloil oi onil any indicalion of lhese nelaconnunicalive
eIenenls in lhe lolaI noinaI nessage. Whal ienains is IikeIy lo le a nelaphoiic
slalenenl unIaleIIed as lo conlexl. Oi, in exliene cases, lheie nay le nolhing Iefl lul
a sloIid acling oul of lhe nessage, Theie is no ieIalionship lelveen us.
This nuch is olseivalIe and nay le sunnaiized ly saying lhal lhe
schizophienic connunicales as if he expecled lo le punished eveiy line he indicales
lhal he is iighl in his viev of lhe conlexl of his ovn nessage.
The doulIe lind,
aloul,
see seveiaI.
ul aie lheie doulIe linds in lhe nind` The queslion is nol liiviaI. As lheie aie
in lhe nind no coconuls lul onIy peicepls and liansfoins of coconuls, so aIso, vhen
I peiceive (consciousIy oi unconsciousIy) a doulIe lind in ny loss
lehavioi, I
acquiie in ny nind no doulIe lind lul onIy a peicepl oi liansfoin of a doulIe lind.
And |na| is nol vhal lhe lheoiy is aloul.
We aie laIking lhen aloul sone soil of langIe in lhe iuIes foi naking lhe
liansfoins and aloul lhe acquisilion oi cuIlivalion of such langIes. DoulIe lind
lheoiy asseils lhal lheie is an expeiienliaI conponenl in lhe deleininalion oi
elioIogy of schizophienic synplons and ieIaled lehavioiaI palleins, such as hunoi,
ail, poeliy, elc. NolalIy lhe lheoiy does nol dislinguish lelveen lhese sulspecies.
*
This papei vas given in Augusl, 1969, al a Synposiun on lhe DoulIe ind, Chaiinan, Di.
Roleil Rydei, sponsoied ly lhe Aneiican IsychoIogicaI Associalion. Il vas piepaied undei Caieei
DeveIopnenl Avaid (MH-21,931) of lhe NalionaI Inslilule of MenlaI HeaIlh.
Wilhin ils leins lheie is nolhing lo deleinine vhelhei a given individuaI shaII
lecone a cIovn, a poel, a schizophienic, oi sone conlinalion of lhese. We deaI nol
vilh a singIe syndione lul vilh a genus of syndiones, nosl of vhich aie nol
convenlionaIIy iegaided as palhoIogicaI.
Lel ne coin lhe void liansconlexluaI as a geneiaI lein foi lhis genus of
syndiones.
Il seens lhal lolh lhose vhose Iife is eniiched ly lians-conlexluaI gifls and lhose
vho aie inpoveiished ly liansconlexluaI confusions aie aIike in one iespecl: foi
lhen lheie is aIvays oi oflen a doulIe lake.
shouId le
desciilalIe in leins of lhe sane Iavs of ieinfoicenenl.
e il said al once: fiisl, lhal enpiiicaI dala shov lhal lhe concIusion (c) is
unliue, and second, lhal if lhe concIusion (c) veie denonslialIy liue, lhen eilhei (a)
oi (o) vouId le unliue.
55
55
is conceivalIe lhal lhe sane ucrds nighl le used in desciiling lolh a cIass and ils
nenleis and le liue in lolh cases. The void vave is lhe nane of a cIass of novenenls of
Logic and naluiaI hisloiy vouId le lellei seived ly an expanded and coiiecled
veision of lhe concIusion (c) sone-vhal as foIIovs:
(c) If, as asseiled in (l), expIoialion is nol an i|cn of nannaIian lehavioi
lul is a ca|cgcrq of such ilens, lhen no desciiplive slalenenl vhich is
liue of i|cns of lehavioi can le liue of expIoialion. If, hovevei,
desciiplive slalenenls vhich aie liue of ilens of lehavioi aie aIso liue
of expIoialion, lhen expIoialion is an ilen and nol a calegoiy of
ilens.
The vhoIe nallei luins on vhelhei lhe dislinclion lelveen a c|ass and ils
ncnocrs is an oideiing piincipIe in lhe lehavioiaI phenonena vhich ve sludy.
In Iess foinaI Ianguage: you can ieinfoice a ial (posiliveIy oi negaliveIy) vhen
he invesligales a pailicuIai sliange oljecl, and he viII appiopiialeIy Ieain lo
appioach oi avoid il. ul lhe veiy puipose of expIoialion is lo gel infoinalion aloul
vhich oljecls shouId le appioached and vhich avoided. The discoveiy lhal a given
oljecl is dangeious is lheiefoie a succcss in lhe lusiness of gelling infoinalion. The
success viII nol discouiage lhe ial fion fuluie expIoialion of olhei sliange oljecls.
A piioii il can le aigued lhal aII peiceplion and aII iesponse, aII lehavioi and aII
cIasses of lehavioi, aII Ieaining and aII genelics, aII neuiophysioIogy and
endociinoIogy, aII oiganizalion and aII evoIulion~one enliie suljecl nallei nusl le
iegaided as connunicalionaI in naluie, and lheie-foie suljecl lo lhe gieal
geneiaIizalions oi Iavs vhich appIy lo connunicalive phenonena. We lheiefoie
aie vained lo expecl lo find in oui dala lhose piincipIes of oidei vhich fundanenlaI
connunicalion lheoiy vouId pio-pose. The Theoiy of LogicaI Types, Infoinalion
Theoiy, and so foilh, aie expeclalIy lo le oui guides.
43K35 0C#'UX#)",A,$V'%M'-%?D;*#"+Z'F)*+Z'),@'9#,
The void Ieaining undoulledIy denoles cnangc of sone kind. To saq una| |ind
of change is a deIicale nallei.
Hovevei, fion lhe gioss connon denoninaloi,
change. The
piocess nay acceIeiale, il nay sIov dovn, oi il nay undeigo olhei lypes of change
such lhal ve shaII say lhal il is nov a
diffeienl piocess.
These consideialions suggesl lhal ve shouId legin lhe oideiing of oui ideas
aloul Ieaining al lhe veiy sinpIesl IeveI.
Lel us considei lhe case of specificily of iesponse, oi zcrc |carning. This is lhe case
in vhich an enlily shovs nininaI change in ils iesponse lo a iepealed ilen of
sensoiy inpul. Ihenonena vhich appioach lhis degiee of sinpIicily occui in vaiious
conlexls:
(a) In expeiinenlaI sellings, vhen Ieaining is conpIele and lhe aninaI
gives appioxinaleIy 1OO pei cenl coiiecl iesponses lo lhe iepealed
slinuIus.
(l) In cases of halilualion, vheie lhe aninaI has ceased lo give oveil
iesponse lo vhal vas foineiIy a disluiling slinuIus.
(c) In cases vheie lhe pallein of lhe iesponse is nininaIIy deleinined ly
expeiience and naxinaIIy deleinined ly genelic faclois.
(d) In cases vheie lhe iesponse is nov highIy sleieo-lyped.
(e) In sinpIe eIeclionic ciicuils, vheie |nc circui| s|ruc|urc is nc| i|sc|f suojcc|
|c cnangc rcsu||ing frcn |nc passagc cf inpu|scs ui|nin |nc circui|i.c.,
vheie lhe causaI Iinks lelveen slinuIus and iesponse aie as lhe
engineeis say soIdeied in.
In oidinaiy, nonlechnicaI paiIance, lhe void Ieain is oflen appIied lo vhal is
heie caIIed zeio Ieaining, i.e., lo lhe sinpIe ieceipl of infoinalion fion an exleinaI
evenl, in such a vay lhal a siniIai evenl al a Ialei (and appiopiiale) line viII convey
lhe sane infoinalion: I Ieain fion lhe facloiy vhislIe lhal il is lveIve ocIock.
Il is aIso inleiesling lo nole lhal vilhin lhe fiane of oui definilion nany veiy
sinpIe nechanicaI devices shov al Ieasl lhe phenonenon of zeio Ieaining. The
queslion is nol, Can nachines Ieain` lul vhal IeveI oi oidei of Ieaining does a
given nachine achieve` Il is voilh Iooking al an exliene, if hypolhelicaI, case:
The pIayei of a Von Neunannian gane is a nalhenalicaI ficlion, conpaialIe
lo lhe LucIidean sliaighl Iine in geoneliy oi lhe Nevlonian pailicIe in physics. y
definilion, lhe
is nol liiviaI
and nusl nov le exanined.
Theie is a sense in vhich lhe pIayei can le viong. Ioi exanpIe, he nay lase a
decision upon piolaliIislic consideialions and lhen nake lhal nove vhich, in lhe
Iighl of lhe Iiniled avaiIalIe infoinalion, vas nosl piolalIy iighl. When noie
infoinalion lecones avaiIalIe, he nay discovei lhal lhal nove vas viong. ul |nis
discctcrq can ccn|riou|c nc|ning |c nis fu|urc s|i||. y definilion, lhe pIayei used
coiieclIy aII lhe atai|ao|c infoinalion. He eslinaled lhe piolaliIilies coiieclIy and
nade lhe nove vhich vas nosl piolalIy coiiecl. The discoveiy lhal he vas viong
in lhe pailicuIai inslance can have no leaiing upon fuluie in-slances. When lhe sane
piolIen ieluins al a Ialei line, he viII ccrrcc||q go lhiough lhe sane conpulalions
and ieach lhe sane decision. Moieovei, lhe sel of aIleinalives anong vhich he nakes
his choice viII le lhe sane sel~and coiieclIy so.
In conliasl, an oiganisn is capalIe of leing viong in a nunlei of vays of vhich
lhe pIayei is incapalIe. These viong choices aie appiopiialeIy caIIed eiioi vhen
lhey aie of such a kind lhal lhey vouId piovide infoinalion lo lhe oiganisn vhich
nighl conliilule lo his fuluie skiII. These viII aII le cases in vhich sone of lhe
avaiIalIe infoinalion vas eilhei ignoied oi incoiieclIy used. Vaiious species of such
piofilalIe eiioi can le cIassified.
Suppose lhal lhe exleinaI evenl syslen conlains delaiIs vhich nighl leII lhe
oiganisn: (a) fion vhal sel of aIleinalives he shouId choose his nexl nove, and (o)
vhich nenlei of lhal sel he shouId choose. Such a silualion peinils lvo crdcrs of
eiioi:
The oiganisn nay use coiieclIy lhe infoinalion vhich leIIs hin fion vhal sel of
aIleinalives he shouId choose, lul choose lhe viong aIleinalive vilhin lhis sel, oi
He nay choose fion lhe viong sel of aIleinalives. (Theie is aIso an inleiesling
cIass of cases in vhich lhe sels of aIleinalives conlain connon nenleis. Il is lhen
possilIe foi lhe oiganisn lo le iighl lul foi lhe viong ieasons. This foin of eiioi
is inevilalIy seIf-ieinfoicing.)
If nov ve accepl lhe oveiaII nolion lhal aII Ieaining (olhei lhan zeio Ieaining) is
in sone degiee slochaslic (i.e., conlains conponenls of liiaI and eiioi), il foIIovs
lhal an oideiing of lhe piocesses of Ieaining can le luiIl upon an hieiaichic
cIassificalion of lhe lypes of eiioi vhich aie lo le coiiecled in lhe vaiious Ieaining
piocesses. Zeio Ieaining viII lhen le lhe IaleI foi lhe innediale lase of aII lhose acls
(sinpIe and conpIex) vhich aie nol suljecl lo coiieclion ly liiaI and eiioi. Leaining
I viII le an appiopiiale IaleI foi lhe ievision of choice vilhin an unchanged sel of
aIleinalives, Leaining II viII le lhe IaleI foi lhe ievision of lhe sc| fion vhich lhe
choice is lo le nade, and so on.
43K3= X#)",A,$'7
IoIIoving lhe foinaI anaIogy piovided ly lhe Iavs of nolion (i.e., lhe iuIes
foi desciiling nolion), ve nov Iook foi lhe cIass of phenonena vhich aie
appiopiialeIy desciiled as cnangcs in zeio Ieaining (as nolion desciiles change of
posilion). These aie lhe cases in vhich an enlily gives al Tine 2 a diffeienl iesponse
fion vhal il gave al Tine 1, and again ve encounlei a vaiiely of cases vaiiousIy
ieIaled lo expeiience, physioIogy, genelics, and nechanicaI piocess:
(a)Theie is lhe phenonenon of halilualion~lhe change fion iesponding lo
each occuiience of a iepealed evenl lo nol oveilIy iesponding. Theie is aIso lhe
exlinclion oi Ioss of halilualion, vhich nay occui as a iesuIl of a noie oi Iess Iong
gap oi olhei inleiiuplion in lhe sequence of iepelilions of lhe slinuIus evenl.
(Halilualion is of especiaI inleiesl. Specificily of iesponse, vhich ve aie caIIing zeio
Ieaining, is chaiacleiislic of aII piolopIasn, lul il is inleiesling lo nole lhal
halilualion is peihaps lhe onIy foin of Leaining I vhich Iiving lhings can achieve
vilhoul a neuiaI ciicuil.)
The nosl faniIiai and peihaps nosl sludied case is lhal of lhe cIassicaI IavIovian
condilioning. Al Tine 2 lhe dog saIivales in iesponse lo lhe luzzei, he did nol do lhis
al Tine 1.
(l)Theie is lhe Ieaining vhich occuis in conlexls of insliunenlaI ievaid and
insliunenlaI avoidance.
Theie is lhe phenonenon of iole Ieaining, in vhich an ilen in lhe lehavioi of lhe
oiganisn lecones a slinuIus foi anolhei ilen of lehavioi.
Theie is lhe disiuplion, exlinclion, oi inhililion of conpIeled Ieaining vhich
nay foIIov change oi alsence of ieinfoicenenl.
In a void, lhe Iisl of Leaining I conlains lhose ilens vhich aie nosl connonIy
caIIed Ieaining in lhe psycho-IogicaI Ialoialoiy.
Nole lhal in aII cases of Leaining I, lheie is in oui desciiplion an assunplion
aloul lhe conlexl. This assunplion nusl le nade expIicil. The definilion of
Leaining I assunes lhal lhe luzzei (lhe slinuIus) is sonehov lhe sane al Tine 1
and al Tine 2. And lhis assunplion of saneness nusl aIso deIinil lhe conlexl,
vhich nusl (lheoielicaIIy) le lhe sane al lolh lines. Il foIIovs lhal lhe evenls vhich
occuiied al Tine 1 aie nol, in oui desciiplion, incIuded in oui definilion of lhe
conlexl al Tine 2, lecause lo incIude lhen vouId al once cieale a gioss diffeience
lelveen con-lexl al Tine 1 and conlexl al Tine 2. (To paiaphiase HeiacIilus:
No nan can go lo led vilh lhe sane giiI foi lhe fiisl line lvice.)
The convenlionaI assunplion lhal conlexl can le iepealed, al Ieasl in sone cases,
is one vhich lhe viilei adopls in lhis essay as a coineislone of lhe lhesis lhal lhe
sludy of lehavioi nusl le oideied accoiding lo lhe Theoiy of LogicaI Types. li|ncu|
lhe assunplion of iepealalIe conlexl (and lhe hypolhesis lhal fcr |nc crganisns vhich
ve sludy lhe sequence of expeiience is ieaIIy sonehov punclualed in lhis nannei), il
vouId foIIov lhal aII Ieaining vouId le of one lype: naneIy, aII vouId le zeio
Ieaining. Of lhe IavIovian expeiinenl, ve vouId sinpIy say lhal lhe dogs neuiaI
ciicuils conlain soIdeied in fion lhe leginning such chaiacleiislics lhal in Conlexl
A al Tine 1 he viII nol saIivale, and lhal in lhe lolaIIy diffeienl Conlexl al Tine 2
he viII saIivale. Whal pieviousIy ve caIIed Ieaining ve vouId nov desciile as
disciininalion lelveen lhe evenls of Tine 1 and lhe evenls of Tine 1 p|us Tine 2.
Il vouId lhen foIIov IogicaIIy lhal aII queslions of lhe lype, Is lhis lehavioi `Ieained
oi `innale` shouId le ansveied in favoi of genelics.
We vouId aigue lhal vilhoul lhe assunplion of iepeal-alIe conlexl, oui lhesis
faIIs lo lhe giound, logelhei vilh lhe vhoIe geneiaI concepl of Ieaining. If, on lhe
olhei hand, lhe assunplion of iepealalIe conlexl is accepled as sonehov liue of lhe
oiganisns vhich ve sludy, lhen lhe case foi IogicaI lyping of lhe phenonena of
Ieaining necessaiiIy slands, lecause lhe nolion conlexl is ilseIf suljecl lo IogicaI
lyping.
Lilhei ve nusl discaid lhe nolion of conlexl, oi ve ielain lhis nolion and, vilh
il, accepl lhe hieiaichic seiies~slinuIus, conlexl of slinuIus, conlexl of conlexl of
slinuIus, elc. This seiies can le speIIed oul in lhe foin of a hieiaichy of IogicaI lypes
as foIIovs:
SlinuIus is an eIenenlaiy signaI, inleinaI oi exleinaI. Conlexl of slinuIus is a
nelanessage vhich c|assifics lhe eIenenlaiy signaI.
Conlexl of conlexl of slinuIus is a nela-nelanessage vhich cIassifies lhe
nelanessage.
And so oiI.
The sane hieiaichy couId have leen luiIl up fion lhe nolion of iesponse oi
lhe nolion of ieinfoicenenl.
AIleinaliveIy, foIIoving up lhe hieiaichic cIassificalion of eiiois lo le coiiecled
ly slochaslic piocess oi liiaI and eiioi, ve nay iegaid conlexl as a coIIeclive
lein foi aII lhose evenls vhich leII lhe oiganisn anong vhal sc| of aIleinalives he
nusl nake his nexl choice.
Al lhis poinl il is convenienl lo inlioduce lhe lein con-lexl naikei. An
oiganisn iesponds lo lhe sane slinuIus diffeienlIy in diffeiing conlexls, and ve
nusl lheiefoie ask aloul lhe souice of lhe oiganisnss infoinalion. Iion vhal
peicepl does he knov lhal Conlexl A is diffeienl fion Con-lexl `
In nany inslances, lheie nay le no specific signa| oi IaleI vhich viII cIassify and
diffeienliale lhe lvo conlexls, and lhe oiganisn viII le foiced lo gel his infoinalion
fion lhe acluaI congeiies of evenls lhal nake up lhe conlexl in each case. ul,
ceilainIy in hunan Iife and piolalIy in lhal of nany olhei oiganisns, lheie occui
signaIs vhose najoi funclion is lo cIassify conlexls. Il is nol unieasonalIe lo sup-pose
lhal vhen lhe hainess is pIaced upon lhe dog, vho has had pioIonged liaining in lhe
psychoIogicaI Ialoialoiy, he knovs fion lhis lhal he is nov enlaiking upon a seiies
of conlexls of a ceilain soil. Such a souice of infoinalion ve shaII caII a conlexl
naikei, and nole innedialeIy lhal, al Ieasl al lhe hunan IeveI, lheie aie aIso
naikeis of conlexls of conlexls. Ioi exanpIe: an audience is valching Han|c| on
lhe slage, and heais lhe heio discuss suicide in lhe con-lexl of his ieIalionship vilh
his dead falhei, OpheIia, and lhe iesl. The audience nenleis do nol innedialeIy
leIephone foi lhe poIice lecause lhey have ieceived infoinalion aloul lhe conlexl of
HanIels conlexl. They knov lhal il is a pIay and have ieceived lhis infoinalion
fion nany naikeis of conlexl of conlexl~lhe pIayliIIs, lhe sealing aiiangenenls,
lhe cuilain, elc., elc. The King, on lhe olhei hand, vhen he Iels his conscience le
piicked ly lhe pIay vilhin lhe pIay, is ignoiing nany naikeis of conlexl of
conlexl.
Al lhe hunan IeveI, a veiy diveise sel of evenls faIIs vilhin lhe calegoiy of
conlexl naikeis. A fev exanpIes aie heie Iisled:
(1) The Iopes lhione fion vhich he nakes announcenenls ex calhedia,
vhich announcenenls aie lheie.. ly endoved vilh a speciaI oidei of
vaIidily.
(2) The pIacelo, ly vhich lhe docloi sels lhe slage foi a change in lhe
palienls suljeclive expeiience.
(3) The shining oljecl used ly sone hypnolisls in inducing liance.
(4) The aii iaid siien and lhe aII cIeai.
(5) The handshake of loxeis lefoie lhe fighl.
(6) The olseivances of eliquelle.
These, hovevei, aie exanpIes fion lhe sociaI Iife of a highIy conpIex oiganisn,
and il is noie piofilalIe al lhis slage lo ask aloul lhe anaIogous phenonena al lhe
pie-veilaI IeveI.
A dog nay see lhe Ieash in his nasleis hand and acl as if he knovs lhal lhis
indicales a vaIk, oi he nay gel in-foinalion fion lhe sound of lhe void vaIk lhal
lhis lype of conlexl oi sequence is coning.
When a ial slails a sequence of expIoialoiy aclivilies, does he do so in iesponse
lo a slinuIus` Oi in iesponse lo a conlexl` Oi in iesponse lo a conlexl naikei`
These queslions liing lo lhe suiface foinaI piolIens aloul lhe Theoiy of LogicaI
Types vhich nusl le discussed. The lheoiy in ils oiiginaI foin deaIs onIy vilh
iigoiousIy digilaI connunicalion, and il is doullfuI hov fai il nay le appIied lo
anaIogue oi iconic syslens. Whal ve aie heie caIIing conlexl naikeis nay le
digilaI (e.g., lhe void vaIk nenlioned alove) , oi lhey nay le anaIogue signaIs ~
a liiskness in lhe nasleis novenenls nay indicale lhal a vaIk is pending, oi sone
par| of lhe coning conlexl nay seive as a naikei (lhe Ieash as a pail of lhe vaIk) , oi
in lhe exliene case, lhe vaIk ilseIf in aII ils conpIexily nay sland foi ilseIf, vilh no
IaleI oi naikei lelveen lhe dog and lhe expeiience. The peiceived evenl ilseIf nay
connunicale ils ovn occuiience. In lhis case, of couise, lheie can le no eiioi of lhe
nenu caid lype. Moieovei, no paiadox can le geneialed lecause in puieIy
anaIogue oi iconic connunicalion lheie is no signaI foi nol.
Theie is, in facl, aInosl no foinaI lheoiy deaIing vilh anaIogue connunicalion
and, in pailicuIai, no equivaIenl of Infoinalion Theoiy oi LogicaI Type Theoiy. This
gap in foinaI knovIedge is inconvenienl vhen ve Ieave lhe iaiified voiId of Iogic
and nalhenalics and cone face lo face vilh lhe phenonena of naluiaI hisloiy. In lhe
naluiaI voiId, connunicalion is iaieIy eilhei puieIy digilaI oi puieIy anaIogic. Oflen
disciele digilaI pips aie conlined logelhei lo nake anaIogic picluies as in lhe
piinleis haIflone lIock, and sonelines, as in lhe nallei of conlexl naikeis, lheie is a
conlinuous giadalion fion lhe oslensive lhiough lhe iconic lo lhe puieIy digilaI. Al
lhe digilaI end of lhis scaIe aII lhe lheoiens of infoinalion lheoiy have lheii fuII
foice, lul al lhe oslensive and anaIogic end lhey aie neaningIess.
Il seens aIso lhal vhiIe nuch of lhe lehavioiaI connunicalion of even highei
nannaIs ienains oslensive oi anaIogic, lhe inleinaI nechanisn of lhese ciealuies
has lecone digilaIized al Ieasl al lhe neuionaI IeveI. Il vouId seen lhal anaIogic
connunicalion is in sone sense noie piinilive lhan digilaI and lhal lheie is a lioad
evoIulionaiy liend lovaid lhe sulslilulion of digilaI foi anaIogic nechanisns. This
liend seens lo opeiale faslei in lhe evoIulion of inleinaI nechanisns lhan in lhe
evoIulion of exleinaI lehavioi.
RecapiluIaling and exlending vhal vas said alove:
(a)The nolion of iepealalIe conlexl is a necessaiy pienise foi any lheoiy vhich
defines Ieaining as cnangc.
This nolion is nol a neie looI of oui desciiplion lul conlains lhe inpIicil
hypolhesis lhal foi lhe oiganisns vhich ve sludy, lhe sequence of Iife expeiience,
aclion, elc., is sonehov segnenled oi punclualed inlo sulsequences oi conlexls
vhich nay le equaled oi diffeienlialed ly lhe oiganisn.
The dislinclion vhich is connonIy diavn lelveen peiceplion and aclion,
affeienl and effeienl, inpul and oul-pul, is foi highei oiganisns in conpIex silualions
nol vaIid. On lhe one hand, aInosl eveiy ilen of aclion nay le ie-poiled eilhei ly
exleinaI sense oi endoceplive nechanisn lo lhe C.N.S., and in lhis case lhe iepoil of
lhis ilen le-cones an inpul. And, on lhe olhei hand, in highei oiganisns, peiceplion
is nol ly any neans a piocess of neie passive ieceplivily lul is al Ieasl pailIy
deleinined ly effeienl conlioI fion highei cenleis. Ieiceplion, noloiiousIy, can le
changed ly expeiience. In piincipIe, ve nusl aIIov lolh foi lhe possiliIily lhal eveiy
ilen of aclion oi oulpul nay cieale an ilen of inpul, and lhal peicepls nay in sone
cases pai-lake of lhe naluie of oulpul. Il is no accidenl lhal aInosl aII sense oigans
aie used foi lhe enission of signaIs lelveen oiganisns. Anls connunicale ly lheii
anlennae, dogs ly lhe piicking of lheii eais, and so on.
In piincipIe, even in zeio Ieaining, any ilen of expeiience oi lehavioi nay le
iegaided as eilhei
slinuIus oi
(CS),
aninaI
ieveisaI Ieaining. TypicaIIy in lhese expeiinenls lhe suljecl is fiisl laughl a linaiy
disciininalion. When lhis has leen Ieained lo ciileiion, lhe neaning of lhe slinuIi is
ieveised. If X iniliaIIy neanl R
1
, and Y iniliaIIy neanl R
2
, lhen aflei ieveisaI X
cones lo nean R
2
, and
,
Y cones lo nean R
1
. Again lhe liiaIs aie iun lo ciileiion vhen
again lhe neanings aie ieveised. In lhese expeiinenls, lhe ciuciaI queslion is: Does
lhe suljecl Ieain aloul lhe ieveisaI` I.e., aflei a seiies of ieveisaIs, does lhe suljecl
ieach ciileiion in fevei liiaIs lhan he did al lhe leginning of lhe seiies`
In lhese expeiinenls, il is conspicuousIy cIeai lhal lhe queslion asked is of IogicaI
lype highei lhan lhal of queslions aloul sinpIe Ieaining. If sinpIe Ieaining is lased
upon a sc| of liiaIs, lhen ieveisaI Ieaining is lased upon a sel of such sels. The
paiaIIeIisn lelveen lhis ieIalion and RusseIIs ieIalion lelveen cIass and cIass of
cIasses is diiecl.
(d) Leaining II is aIso exenpIified in lhe veII-knovn phenonena of
expeiinenlaI neuiosis. TypicaIIy an aninaI is liained, eilhei in a IavIovian oi
insliunenlaI Ieaining con-lexl, lo disciininale lelveen sone X and sone Y, e.g.,
lelveen an eIIipse and a ciicIe. When lhis disciininalion has leen Ieained, lhe lask is
nade noie difficuIl: lhe eIIipse is nade piogiessiveIy fallei and lhe ciicIe is fIallened.
IinaIIy a slage is ieached al vhich disciininalion is inpossilIe. Al lhis slage lhe
aninaI slails lo shov synplons of seveie disluilance.
NolalIy, (a) a naive aninaI, piesenled vilh a silualion in vhich sone X nay (on
sone iandon lasis) nean eilhei A oi 8, does nol shov disluilance, and (o) lhe
disluilance does nol occui in alsence of lhe nany conlexl naikeis chaiacleiislic of
lhe Ialoialoiy silualion.
6O
Il appeais, lhen, lhal Leaining II is a necessaiy piepaialion foi lhe lehavioiaI
disluilance. The infoinalion, This is a conlexl foi disciininalion, is connunicaled
al lhe leginning of lhe sequence and undcr|incd in lhe seiies of slages in vhich
disciininalion is nade piogiessiveIy noie difficuIl. ul vhen disciininalion
lecones inpossilIe, lhe sliucluie of lhe conlexl is lolaIIy changed. The conlexl
naikeis (e.g., lhe sneII of lhe Ialoialoiy and lhe expeiinenlaI hainess) nov lecone
nisIeading lecause lhe aninaI is in a silualion vhich denands guessvoik oi
ganlIing, nc| disciininalion. The en-liie expeiinenlaI sequence is, in facl, a
pioceduie foi pulling lhe aninaI in lhe viong al lhe IeveI of Leaining 11.
60
H. S. LiddeII, RefIex Melhod and LxpeiinenlaI Neuiosis, !"#$%&'()*+,'&-,."/'0)%#,
1)$%#-"#$2,Nev Yoik, RonaId Iiess, !"##
In ny phiase, lhe aninaI is pIaced in a lypicaI doulIe lind, vhich is
expeclalIy schizophienogenic.
61
In lhe sliange voiId oulside lhe psychoIogicaI Ialoialoiy, phenonena vhich
leIong lo lhe calegoiy Leaining II aie a najoi pieoccupalion of anlhiopoIogisls,
educalois, psychialiisls, aninaI liaineis, hunan paienls, and chiIdien. AII vho lhink
aloul lhe piocesses vhich deleinine lhe chaiaclei of lhe individuaI oi lhe piocesses
of change in hunan (oi aninaI) ieIalionship nusl use in lheii lhinking a vaiiely of
assunplions aloul Leaining II. Iion line lo line, lhese peopIe caII in lhe Ialoialoiy
psychoIogisl as a consuIlanl, and lhen aie confionled vilh a Iinguislic laiiiei. Such
laiiieis nusl aIvays iesuIl vhen, foi exanpIe, lhe psychialiisl is laIking aloul
Leaining II, lhe psychoIogisl is laIking aloul Leaining I, and neilhei iecognizes lhe
IogicaI sliucluie of lhe diffeience.
Of lhe nuIliludinous vays in vhich Leaining II eneiges in hunan affaiis, onIy
lhiee viII le discussed in lhis essay:
(a) In desciiling individuaI hunan leings, lolh lhe scienlisl and lhe Iaynan
connonIy iesoil lo adjeclives desciiplive of chaiaclei. Il is said lhal Mi. }ones is
dependenl, hosliIe, fey, finicky, anxious, exhililionislic, naicissislic, passive,
conpelilive, eneigelic, loId, covaidIy, falaIislic, hunoious, pIayfuI, canny,
oplinislic, peifeclionisl, caieIess, caiefuI, casuaI, elc. In lhe Iighl of vhal has aIieady
leen said, lhe ieadei viII le alIe lo assign aII lhese adjeclives lo lheii appiopiiale
IogicaI lype. AII aie desciiplive of (possilIe) iesuIls of Leaining II, and if ve vouId
define lhese voids noie caiefuIIy, oui definilion viII consisl in Iaying dovn lhe
conlingency pallein of lhal conlexl of Leaining I vhich vouId expeclalIy liing
aloul lhal Leaining II vhich vouId nake lhe adjeclive appIicalIe.
We nighl say of lhe falaIislic nan lhal lhe pallein of his liansaclions vilh lhe
enviionnenl is such as he nighl have acquiied ly pioIonged oi iepealed expeiience
as suljecl of IavIovian expeiinenl, and nole lhal lhis definilion of falaIisn is
specific and piecise. Theie aie nany olhei foins of falaIisn lesides lhal vhich is
defined in leins of lhis pailicuIai conlexl of Ieaining. Theie is, foi exanpIe, lhe noie
conpIex lype chaiacleiislic of cIassicaI Cieek liagedy vheie a nans ovn aclion is
feIl lo aid lhe inevilalIe voiking of fale.
(l) In lhe punclualion of hunan inleiaclion. The ciilicaI ieadei viII have
olseived lhal lhe adjeclives alove vhich puipoil lo desciile individuaI chaiaclei aie
ieaIIy nol sliiclIy appIicalIe lo lhe individuaI lul ialhei desciile |ransac|icns lelveen
lhe individuaI and his naleiiaI and hunan enviionnenl. No nan is iesouicefuI oi
dependenl oi falaIislic in a vacuun. His chaiacleiislic, vhalevei il le, is nol his
lul is ialhei a chaiacleiislic of vhal goes on lelveen hin and sonelhing (oi
sonelody) eIse.
This leing so, il is naluiaI lo Iook inlo vhal goes on lelveen peopIe, lheie lo find
conlexls of Leaining I vhich aie IikeIy lo Iend lheii shape lo piocesses of Leaining II.
In such syslens, invoIving lvo oi noie peisons, vheie nosl of lhe inpoilanl evenls
aie posluies, aclions, oi ulleiances of lhe Iiving ciealuies, ve nole innedialeIy lhal
lhe sliean of evenls is connonIy punclualed inlo conlexls of Ieaining ly a lacil
agieenenl lelveen lhe peisons iegaiding lhe naluie of lheii ieIalionship~oi ly
conlexl naikeis and lacil agieenenl lhal lhese conlexl naikeis shaII nean lhe
sane foi lolh pailies. Il is insliuclive lo allenpl anaIysis of an ongoing inleichange
61
C. aleson, "*,'(32 ,Tovaid a Theoiy of Schizophienia, ."/'0)%#'(,45)"&5"2 ,!"$%& '67 ,
($!)%#*
lelveen A and . We ask aloul any pailicuIai ilen of As lehavioi: Is lhis ilen a
slinuIus foi ` Oi is il a iesponse of A lo sonelhing said eaiIiei` Oi is il a
ieinfoicenenl of sone ilen piovided ly ` Oi is A, in lhis ilen, consunnaling a
ieinfoicenenl foi hinseIf` Llc.
Such queslions viII ieveaI al once lhal foi nany ilens of As lehavioi lhe ansvei
is oflen quile uncIeai. Oi if lheie le a cIeai ansvei, lhe cIaiily is due onIy lo a lacil
(iaieIy fuIIy expIicil) agieenenl lelveen A and as lo lhe naluie of lheii nuluaI
ioIes, i.e., as lo lhe naluie of lhe conlexluaI sliucluie vhich lhey viII expecl of each
olhei.
If ve Iook al such an exchange in lhe alsliacl:
a1l1a2l2a3l3a4l4a5l5 vheie lhe as iefei lo ilens of As lehavioi, and lhe
os lo ilens of s lehavioi, ve can lake any a
i
and consliucl aiound il lhiee sinpIe
conlexls of Ieaining. These viII le:
(a
i
o
i
a,+
1
)
,
in vhich a
i
is lhe slinuIus foi o
i
.
(o
1
_
1
a
i
o
i
) , in vhich a
i
is lhe iesponse lo o
.
-
1
, vhich iesponse ieinfoices vilh o
i
.
(a
1
_
1
oi
_1
a
i
) , in vhich a
i
is nov As ieinfoicenenl of s o
i
-
1
,
vhich vas iesponse
lo a
i
_
1
.
Il foIIovs lhal a
i
nay le a slinuIus foi oi il nay le As iesponse lo , oi il nay
le As ieinfoicenenl of .
eyond lhis, hovevei, if ve considei lhe anliguily of lhe nolions slinuIus
and iesponse, affeienl and effeienl~as discussed alove~ve nole lhal any a
i
nay aIso le a slinuIus foi A, il nay le As ieinfoicenenl of seIf, oi il nay le As
iesponse lo sone pievious lehavioi of his ovn, as is lhe case in sequences of iole
lehavioi.
This geneiaI anliguily neans in facl lhal lhe ongoing sequence of inleichange
lelveen lvo peisons is sliucluied onIy ly lhe peisons ovn peiceplion of lhe
sequence as a seiies of conlexls, each conlexl Ieading inlo lhe nexl. The pailicuIai
nannei in vhich lhe sequence is sliucluied ly any pailicuIai peison viII le
deleinined ly lhal peisons pievious Leaining II (oi possilIy ly his genelics).
In such a syslen, voids Iike doninanl and sulnissive, succoiing and
dependenl viII lake on definalIe neaning as desciiplions of segnenls of
inleichange. We shaII say lhal A doninales if A and shov ly lheii lehavioi
lhal lhey see lheii ieIalionship as chaiacleiized ly sequences of lhe lype a
1
o
1
a
2,
vheie
a
1
is seen (ly A and ) as a signaI defining condilions of insliunenlaI ievaid oi
punishnenl, l
1
as a signaI oi acl oleying lhese condilions, and a
5
as a signaI
ieinfoicing l
1
.
SiniIaiIy ve shaII say lhal A is dependenl on if lheii ieIalionship is
chaiacleiized ly sequences a
1
o
1
a
,\\
vheie a
I
is seen as a signaI of veakness, o
1
as a
heIping acl, and a
5
as an acknovIedgenenl of o
1
.
ul il is up lo A and lo dislinguish (consciousIy oi unconsciousIy oi nol al aII)
lelveen doninance and dependence. A connand can cIoseIy iesenlIe a ciy
foi heIp.
(c) In psycholheiapy, Leaining II is exenpIified nosl conspicuousIy ly lhe
phenonena of
:
Tc scc |nc lcr|d in a Grain cf Sand, And a Hcatcn in a li|d ||cucr,
Hc|d |nfini|q in |nc pa|n cf qcur nand, And ||crni|q in an ncur.
43K3E 0C#'F%:#'%M'!#,#*AJ+'A,'6+&JC%:%$&
Whalevei can le said aloul an aninaIs Ieaining oi in-aliIily lo Ieain has leaiing
upon lhe genelic nake-up of lhe aninaI. And vhal has leen said heie aloul lhe
IeveIs of Ieaining has leaiing upon lhe vhoIe inleipIay lelveen genelic nake-up
and lhe changes vhich lhal individuaI can and nusl achieve.
Ioi any given oiganisn, lheie is an uppei Iinil leyond vhich aII is deleinined
ly genelics. IIanaiians can piolalIy nol go leyond Leaining I. MannaIs olhei lhan
nan aie piolalIy capalIe of Leaining II lul incapalIe of Leaining III. Man nay
sonelines achieve Leaining III.
This uppei Iinil foi any oiganisn is (IogicaIIy and piesunalIy) sel ly genelic
phenonena, nol peihaps ly individuaI genes oi conlinalions of genes, lul ly
vhalevei faclois conlioI lhe deveIopnenl of lasic phyIai chaiacleiislics.
Ioi eveiy change of vhich an oiganisn is capalIe, lheie is lhe fac| of lhal
capaliIily. This facl nay le genelicaIIy deleinined, oi lhe capaliIily nay have leen
Ieained. If lhe Iallei, lhen genelics nay have deleinined lhe capaliIily of Ieaining lhe
capaliIily. And so on.
This is in geneiaI liue of aII sonalic changes as veII as of lhose lehavioiaI
changes vhich ve caII Ieaining. A nans skin lans in lhe sun. ul vheie does
genelics enlei lhis picluie` Does genelics conpIeleIy deleinine his aoi|i|q lo lan` Oi
can sone nen inciease lheii aliIily lo lan` In lhe Iallei case, lhe genelic faclois
evidenlIy have effecl al a highei IogicaI IeveI.
The piolIen in iegaid lo any lehavioi is cIeaiIy nol U7+ 'il Ieained oi is il
innale` lul Up lo vhal IogicaI IeveI is Ieaining effeclive and dovn lo vhal IeveI
does genelics pIay a deleininalive oi pailIy effeclive ioIe`
The lioad hisloiy of lhe evoIulion of Ieaining seens lo have leen a sIov pushing
lack of genelic deleininisn lo IeveIs of highei IogicaI lype.
43K3L B'/%*#'%,'YA#")"JCA#+
The nodeI discussed in lhis papei assunes, lacilIy, lhal lhe IogicaI lypes can le
oideied in lhe foin of a sinpIe, unlianching Iaddei. I leIieve lhal il vas vise lo deaI
fiisl vilh lhe piolIens iaised ly such a sinpIe nodeI.
ul lhe voiId of aclion, expeiience, oiganizalion, and Ieaining cannol le
conpIeleIy napped onlo a nodeI vhich excIudes pioposilions aloul lhe ieIalion
oc|uccn cIasses of diffeienl IogicaI lype.
If C
1
is a cIass of pioposilions, and C
5
is a cIass of pioposilions aloul lhe
nenleis of C
1
, C
=
lhen leing a cIass of pioposilions aloul lhe nenleis of C
2
, hov
lhen shaII ve cIassify pioposilions aloul lhe ieIalion oc|uccn lhese cIasses` Ioi
exanpIe, lhe pioposilion As nenleis of C
1
aie lo nenleis of C
5
, so nenleis of C
5'
aie lo nenleis of C
=
cannol le cIassified vilhin lhe unlianching Iaddei of lypes.
The vhoIe of lhis essay is luiIl upon lhe pienise lhal lhe ieIalion lelveen C
5'
and C
=
can le conpaied vilh lhe ieIalion lelveen C1 and C2. I have again and again
laken a slance lo lhe side of ny Iaddei of IogicaI lypes lo discuss lhe sliucluie of lhis
Iaddei. The essay is lheiefoie ilseIf an exanpIe of lhe facl lhal lhe Iaddei is nol
unlianching.
Il foIIovs lhal a nexl lask viII le lo Iook foi exanpIes of Ieaining vhich cannol
le cIassified in leins of ny hieiaichy of Ieaining lul vhich faII lo lhe side of lhis
hieiaichy as Ieaining aloul lhe ieIalion lelveen sleps of lhe hieiaichy. I have
suggesled eIsevheie (SlyIe, Ciace, and Infoinalion in Iiinilive Ail) lhal ail is
connonIy conceined vilh Ieaining of lhis soil, i.e., vilh liidging lhe gap lelveen
lhe noie oi Iess unconscious pienises acquiied ly Leaining II and lhe noie episodic
conlenl of consciousness and innediale aclion.
Il shouId aIso le noled lhal lhe sliucluie of lhis essay is induc|itc in lhe sense lhal
lhe hieiaichy of oideis of Ieaining is piesenled lo lhe ieadei fion lhe lollon
upvaid, fion IeveI zeio lo IeveI III. ul il is nol inlended lhal lhe expIanalions of lhe
phenonenaI voiId vhich lhe nodeI affoids shaII le unidiieclionaI. In expIaining lhe
nodeI lo lhe ieadei, a unidiieclionaI appioach vas necessaiy, lul vilhin lhe nodeI il
is assuned lhal highei IeveIs aie expIanaloiy of Iovei IeveIs and vice veisa. Il is aIso
assuned lhal a siniIai iefIexive ieIalion~lolh induclive and deduclive~ollains
anong ideas and ilens of Ieaining as lhese exisl in lhe Iives of lhe ciealuies vhich
ve sludy.
IinaIIy, lhe nodeI ienains anliguous in lhe sense lhal vhiIe il is asseiled lhal
lheie aie expIanaloiy oi deleininalive ieIalions lelveen ideas of adjacenl IeveIs lolh
upvaid and dovnvaid, il is nol cIeai vhelhei diiecl expIanaloiy ieIalions exisl
lelveen sepaialed IeveIs, e.g., lelveen IeveI III and IeveI I oi lelveen IeveI zeio and
IeveI II.
This queslion and lhal of lhe slalus of pioposilions and ideas coIIaleiaI lo lhe
hieiaichy of lypes ienains unexanined.
2"# 5@8%+AM8JC89BKE%<[%`O8;[a?%*%5@8<JA%<[ %
*;K<@<;BEL
I
The Iogic
He leIieves lhal he couId le, oi, al Ieasl, oughl lo le lhe caplain of his
souI.
64
ul il is a cIiche of aIcohoIisn lhal aflei lhal fiisl diink, lhe nolivalion lo
slop diinking is zeio. TypicaIIy lhe vhoIe nallei is phiased oveilIy as a lallIe
lelveen seIf and }ohn aiIeycoin.
goveinoi has no conlioI ovei lhese faclois. Lven a hunan goveinoi in a sociaI
syslen is lound ly lhe sane Iinilalions. He is conlioIIed ly infoinalion fion lhe
syslen and nusl adapl his ovn aclions lo ils line chaiacleiislics and lo lhe effecls of
his ovn pasl aclion.
Thus, in no syslen vhich shovs nenlaI chaiacleiislics can any pail have
uniIaleiaI conlioI ovei lhe vhoIe. In olhei voids, lhe nenlaI chaiacleiislics of lhe
syslen aie innanenl, nol in sone pail, lul in lhe syslen as a vhoIe.
The significance of lhis concIusion appeais vhen ve ask, Can a conpulei
lhink` oi, Is lhe nind in lhe liain` And lhe ansvei lo lolh queslions viII le
negalive unIess lhe queslion is focused upon one of lhe fev nenlaI chaiacleiislics
vhich aie conlained vilhin lhe conpulei oi lhe liain. A conpulei is seIf-coiieclive
in iegaid lo sone of ils inleinaI vaiialIes. Il nay, foi exanpIe, incIude lheinoneleis
oi olhei sense oigans vhich aie affecled ly diffeiences in ils voiking lenpeialuie,
and lhe iesponse of lhe sense oigan lo lhese diffeiences nay affecl lhe aclion of a fan
vhich in luin coiiecls lhe lenpeialuie. We nay lheiefoie say lhal lhe syslen shovs
nenlaI chaiacleiislics in iegaid lo ils inleinaI lenpeialuie. ul il vouId le incoiiecl
lo say lhal lhe nain lusiness of lhe conpulei~lhe liansfoinalion of inpul
diffeiences inlo oulpul diffeiences~is a nenlaI piocess. The conpulei is onIy an
aie of a Iaigei ciicuil vhich aIvays incIudes a nan and an enviionnenl fion vhich
infoinalion is ieceived and upon vhich effeienl nessages fion lhe conpulei have
effecl. This lolaI syslen, oi ensenlIe, nay IegilinaleIy le said lo shov nenlaI
chaiacleiislics. Il opeiales ly liiaI and eiioi and has ciealive chaiaclei.
SiniIaiIy, ve nay say lhal nind is innanenl in lhose ciicuils of lhe liain
vhich aie conpIele vilhin lhe liain. Oi lhal nind is innanenl in ciicuils vhich aie
conpIele vilhin lhe syslen, liain pIus lody. Oi, finaIIy, lhal nind is innanenl in
lhe Iaigei syslen~nan pIus enviionnenl.
In piincipIe, if ve desiie lo expIain oi undeisland lhe nenlaI aspecl of any
lioIogicaI evenl, ve nusl lake inlo accounl lhe syslen~lhal is, lhe nelvoik of cIosed
ciicuils, vilhin vhich lhal lioIogicaI evenl is deleinined. ul vhen ve seek lo
expIain lhe lehavioi of a nan oi any olhei oiganisn, lhis syslen viII usuaIIy nol
have lhe sane Iinils as lhe seIf~as lhis lein is connonIy (and vaiiousIy)
undeislood.
Considei a nan feIIing a liee vilh an axe. Lach slioke of lhe axe is nodified oi
coiiecled, accoiding lo lhe shape of lhe cul face of lhe liee Iefl ly lhe pievious slioke.
This seIf-coiieclive (i.e., nenlaI) piocess is lioughl aloul ly a lolaI syslen, liee-eyes-
liain-nuscIes-axe-slioke-liee, and il is lhis lolaI syslen lhal has lhe chaiacleiislics of
innanenl nind.
Moie coiieclIy, ve shouId speII lhe nallei oul as: (diffeiences in liee) -
(diffeiences in ielina) -(diffeiences in liain) - (diffeiences in nuscIes) -(diffeiences in
novenenl of axe) -(diffeiences in liee), elc. Whal is liansnilled aiound lhe ciicuil is
liansfoins of diffeiences. And, as noled alove, a diffeience vhich nakes a diffeience
is an idca oi unil of infoinalion.
ul lhis is nc| hov lhe aveiage OccidenlaI sees lhe evenl sequence of liee feIIing.
He says, I cul dovn lhe liee and he even leIieves lhal lheie is a deIiniled agenl,
lhe seIf, vhich peifoined a deIiniled puiposive aclion upon a de-Iiniled oljecl.
Il is aII veiy veII lo say lhal iIIiaid laII A hil liIIiaid laII and senl il inlo lhe
pockel, and il vouId peihaps le aII iighl (if ve couId do il) lo give a conpIele haid-
science accounl of lhe evenls aII aiound lhe ciicuil conlaining lhe nan and lhe liee.
ul popuIai paiIance incIudes nind in ils ulleiance ly invoking lhe peisonaI
pionoun, and lhen achieves a nixluie of nenlaIisn and physicaIisn ly iesliicling
nind vilhin lhe nan and ieifying lhe liee. IinaIIy lhe nind ilseIf lecones ieified ly
lhe nolion lhal, since lhe seIf acled upon lhe axe vhich acled upon lhe liee, lhe
seIf nusl aIso le a lhing. The paiaIIeIisn of synlax lelveen I hil lhe liIIiaid
laII and The laII hil anolhei laII is lolaIIy nisIeading.
If you ask anylody aloul lhe IocaIizalion and loundaiies of lhe seIf, lhese
confusions aie innedialeIy dispIayed. Oi considei a lIind nan vilh a slick. Wheie
does lhe lIind nans seIf legin` Al lhe lip of lhe slick` Al lhe handIe of lhe slick` Oi
al sone poinl haIfvay up lhe slick` These queslions aie nonsense, lecause lhe slick is
a palhvay aIong vhich diffeiences aie liansnilled undei liansfoinalion, so lhal lo
diav a deIiniling Iine acrcss lhis palhvay is lo cul off a pail of lhe syslenic ciicuil
vhich deleinines lhe lIind nans Ioconolion.
SiniIaiIy, his sense oigans aie liansduceis oi palhvays foi infoinalion, as aIso
aie his axons, elc. Iion a syslens-lheoielic poinl of viev, il is a nisIeading nelaphoi
lo say lhal vhal liaveIs in an axon is an inpuIse. Il vouId le noie coiiecl lo say
lhal vhal liaveIs is a diffeience, oi a liansfoin of a diffeience. The nelaphoi of
inpuIse suggesls a haid-science Iine of lhoughl vhich viII ianify onIy loo easiIy
inlo nonsense aloul psychic eneigy, and lhose vho laIk lhis kind of nonsense viII
disiegaid lhe infoinalion conlenl of quicsccncc. The quiescence of an axon diffcrs as
nuch fion aclivily as ils aclivily does fion quiescence. Theiefoie quiescence and
aclivily have equaI infoinalionaI ieIevance. The nessage of aclivily can onIy le
accepled as vaIid if lhe nessage of quiescence can aIso le liusled.
Il is even incoiiecl lo speak of lhe nessage of aclivily and lhe nessage of
quiescence. AIvays lhe facl lhal in-foinalion is a liansfoin of diffeience shouId le
ienenleied, and ve nighl lellei caII lhe one nessage
quiescence~nol aclivily.
SiniIai consideialions appIy lo lhe iepenlanl aIcohoIic. He cannol sinpIy eIecl
soliiely. Al lesl he couId onIy eIecl soliiely~nol diunkenness, and his univeise
ienains poIaiized, caiiying aIvays lolh aIleinalives.
The lolaI seIf-coiieclive unil vhich piocesses infoinalion, oi, as I say, lhinks
and acls and decides, is a sqs|cn vhose loundaiies do nol al aII coincide vilh lhe
loundaiies eilhei of lhe lody oi of vhal is popuIaiIy caIIed lhe seIf oi
consciousness, and il is inpoilanl lo nolice lhal lheie aie nu||ip|c diffeiences
lelveen lhe lhinking syslen and lhe seIf as popuIaiIy conceived:
The syslen is nol a lianscendenl enlily as lhe seIf is connonIy supposed lo le.
The ideas aie innanenl in a nelvoik of causaI palh-vays aIong vhich
liansfoins of diffeience aie conducled. The
piide
vhich is chaiacleiislic of
aIcohoIics lo shov lhal lhis piincipIe of lheii lehavioi is deiived fion lhe sliange
duaIislic epislenoIogy chaiacleiislic of OccidenlaI civiIizalion.
A convenienl vay of desciiling such piincipIes as piide, dependency,
falaIisn, and so foilh, is lo exanine lhe piincipIe as if il veie a iesuIl of deuleio-
67
R. C. CoIIingvood, Tnc |dca cf Na|urc, Oxfoid, Ox-foid Univeisily Iiess, 1945.
68
C. aleson, A SociaI Scienlisl Vievs lhe Lnolions, |xprcssicn cf |nc |nc|icns in Man, I.
Knapp, ed., InleinalionaI Univeisily Iiess, 1963.
Ieaining
69
and lo ask vhal conlexls of Ieaining nighl undeislandalIy incuIcale lhis
piincipIe.
(1) Il is cIeai lhal lhe piincipIe of aIcohoIic Iife vhich AA caIIs piide is nol
conlexluaIIy sliucluied aiound pasl achievenenl. They do nol use lhe void lo nean
piide in sonelhing acconpIished. The enphasis is nol upon I succeeded, lul
ialhei upon I can.. Il is an olsessive acceplance of a chaIIenge, a iepudialion of
lhe pioposilion I cannol.
(2)Aflei lhe aIcohoIic has legun lo suffei fion~oi le lIaned foi~aIcohoIisn,
lhis piincipIe of piide is noliIized lehind lhe pioposilion, I can slay solei. ul,
nolicealIy, success in lhis achievenenl deslioys lhe chaIIenge. The aIcohoIic
lecones
He is sliII
lhe caplain of his souI~foi vhal ils voilh.
MeanvhiIe, his ieIalionships vilh vife and loss and fiiends have leen
deleiioialing. He nevei did Iike lhe conpIenenlaiy slalus of his loss as an aulhoiily,
and nov as he deleiioiales his vife is noie and noie foiced lo lake a conpIenenlaiy
ioIe. She nay liy lo exeil aulhoiily, oi she lecones pioleclive, oi she shovs
foileaiance, lul aII lhose piovoke eilhei iage oi shane. His synneliicaI piide can
loIeiale no conpIenenlaiy ioIe.
In sun, lhe ieIalionship lelveen lhe aIcohoIic and his ieaI oi ficlilious olhei is
cIeaiIy synneliicaI and cIeaiIy schisnogenic. Il escaIales. We shaII see lhal lhe
ieIigious conveision of lhe aIcohoIic vhen saved ly AA can le de-sciiled as a
dianalic shifl fion lhis synneliicaI halil, oi epislenoIogy, lo an aInosl puieIy
conpIenenlaiy viev of his ieIalionship lo olheis and lo lhe univeise oi Cod.
43]3L 6"A@#'%"'7,I#"*#@'6"%%M\
AIcohoIics nay appeai lo le sliff-necked, lul lhey aie nol slupid. The pail of lhe
nind in vhich lheii poIicy is decided ceilainIy Iies loo deep foi lhe void slupidily
lo le appIicalIe. These IeveIs of lhe nind aie pieIinguislic and lhe conpulalion
vhich goes on lheie is coded in prinarq prcccss.
olh in diean and in nannaIian inleiaclion, lhe onIy vay lo achieve a
pioposilion vhich conlains ils ovn negalion (I viII nol lile you,
oi I an nol afiaid
of hin) is ly an eIaloiale inagining oi acling oul of lhe pioposilion lo le negaled,
Ieading lo a rcduc|ic ad aosurdun. I viII nol lile you is achieved lelveen lvo
nannaIs ly an expeiinenlaI conlal vhich is a nol conlal,
sonelines caIIed
pIay. Il is foi lhis ieason lhal agonislic
In favoi of lhis hypolhesis, lheie is lhe undoulled facl lhal lhe lesling of seIf-
conlioI Ieads lack inlo diinking. And, as I have aigued alove, lhe vhoIe
epislenoIogy of seIf-conlioI vhich his fiiends uige upon lhe aIcohoIic is nonslious.
If lhis le so, lhen lhe aIcohoIic is iighl in iejecling il. He has achieved a rcduc|ic ad
aosurdun of lhe convenlionaI epislenoIogy.
ul lhis desciiplion of achieving a rcduc|ic ad aosurdun veiges upon leIeoIogy. If
lhe pioposilion Il vonl voik can-nol le enleilained vilhin lhe coding of piinaiy
piocess, hov lhen can lhe conpulalions of piinaiy piocess diiecl lhe oiganisn lo liy
oul lhose couises of aclion vhich viII denonsliale lhal Il vonl voik`
IiolIens of lhis geneiaI lype aie fiequenl in psychialiy and can peihaps onIy le
iesoIved ly a nodeI in vhich, undei ceilain ciicunslances, lhe oiganisns
disconfoil aclivales a posilive feedlack Ioop lo incrcasc lhe lehavioi vhich pieceded
lhe disconfoil. Such posilive feedlack vouId piovide a veiificalion lhal il vas ieaIIy
lhal pailicuIai lehavioi vhich lioughl aloul lhe disconfoil, and nighl in-ciease lhe
disconfoil lo sone lhieshoId IeveI al vhich change vouId lecone possilIe.
In psycholheiapy such a posilive feedlack Ioop is connonIy piovided ly lhe
lheiapisl vho pushes lhe palienl in lhe diieclion of his synplons~a lechnique
vhich has leen caIIed lhe lheiapeulic doulIe lind. An exanpIe of lhis lechnique is
quoled Ialei in lhis essay, vheie lhe AA nenlei chaIIenges lhe aIcohoIic lo go and
do sone conlioIIed diinking in oidei lhal he nay discovei foi hinseIf lhal he has
no conlioI.
Il is aIso usuaI lhal lhe synplons and haIIucinalions of lhe schizophienic~Iike
dieans~conslilule a coiieclive expeiience, so lhal lhe vhoIe schizophienic episode
lakes on lhe chaiaclei of a seIf-inilialion. ailaia Oiiens accounl of hei ovn
psychosis
77
is peihaps lhe nosl sliiking exanpIe of lhis phenonenon, vhich has leen
discussed eIsevheie.
78
Il viII le noled lhal lhe possilIe exislence of such a posilive feedlack Ioop,
vhich viII cause a iunavay in lhe diieclion of incieasing disconfoil up lo sone
lhieshoId (vhich nighl le on lhe olhei side of dealh), is nol incIuded in convenlionaI
lheoiies of Ieaining. ul a lendency lo veiify lhe unpIeasanl ly seeking iepealed
expeiience of il is a connon hunan liail. Il is peihaps vhal Iieud caIIed lhe dealh
inslincl.
43]3K 0C#'P";,^#,'2*)*#
Whal has leen said alove aloul lhe lieadniII of synneliicaI piide is onIy one
haIf of lhe picluie. Il is lhe picluie of lhe slale of nind of lhe aIcohoIic oa|||ing vilh
lhe lollIe. CIeaiIy lhis slale is veiy unpIeasanl and cIeaiIy il is aIso unieaIislic. His
77
. O'iien, Opeialois and Things: The Innei Life of a Schizophienic, Canliidge, Mass.,
AiIinglon ooks, 1958.
78
C. aleson, ed., Pcrccta|'s Narra|itc, Slanfoid, CaIif., Slanfoid Univeisily Iiess, 1961,
Inlioduclion
olheis aie eilhei lolaIIy inaginaiy oi aie gioss disloilions of peisons on vhon he
is dependenl and vhon he nay Iove. He has an aIleinalive lo lhis unconfoilalIe
slale~he can gel diunk. Oi, a| |cas|, have a diink.
Wilh lhis conpIenenlaiy suiiendei, vhich lhe aIcohoIic viII oflen see as an acl
of spile~a ailhian dail in a synneliicaI sliuggIe~his enliie epislenoIogy changes.
His anxielies and iesenlnenls and panic vanish as if ly nagic. His seIf-conlioI is
Iessened, lul his need lo conpaie hinseIf vilh olheis is ieduced even fuilhei. He
feeIs lhe physioIogicaI vainlh of aIcohoI in his veins and, in nany cases, a
coiiesponding psychoIogicaI vainlh lovaid olheis. He nay le eilhei naudIin oi
angiy, lul he has al Ieasl lecone again a pail of lhe hunan scene.
Diiecl dala leaiing upon lhe lhesis lhal lhe slep fion soliiely inlo inloxicalion is
aIso a slep fion synneliicaI chaIIenge inlo conpIenenlaiily aie scaice, and aIvays
confused lolh ly lhe disloilions of iecaII and ly lhe conpIex loxicily of lhe aIcohoI.
ul lheie is sliong evidence fion song and sloiy lo indicale lhal lhe slep is of lhis
kind. In iiluaI, pailaking of vine has aIvays slood foi lhe sociaI aggiegalion of
peisons uniled in ieIigious connunion oi secuIai Gcn||icn|ci|. In a veiy IileiaI
sense, aIcohoI supposedIy nakes lhe individuaI see hinseIf as and acl as a par| cf lhe
gioup. Thal is, il enalIes conpIenenlaiily in lhe ieIalionships vhich suiiound hin.
43]3] YA**A,$'(%**%?
AA allaches gieal inpoilance lo lhis phenonenon and iegaids lhe aIcohoIic vho
has nol hil lollon as a pooi piospecl foi lheii heIp. ConveiseIy, lhey aie incIined lo
expIain lheii faiIuie ly saying lhal lhe individuaI vho goes lack lo his aIcohoIisn
has nol qc| hil lollon.
CeilainIy nany soils of disaslei nay cause an aIcohoIic lo hil lollon. Vaiious
soils of accidenls, an allack of deIiiiun lienens, a palch of diunken line of vhich he
has no nenoiy, iejeclion ly vife, Ioss of jol, hopeIess diagnosis, and so on~any of
lhese nay have lhe iequiied effecl. AA says lhal lollon is diffeienl foi diffeienl
nen and sone nay le dead lefoie lhey ieach il.
79
Il is possilIe, hovevei, lhal lollon is ieached nany lines ly any given
individuaI, lhal lollon is a speII of panic vhich piovides a favoialIe nonenl foi
change, lul nol a nonenl al vhich change is inevilalIe. Iiiends and ieIalives and
even lheiapisls nay puII lhe aIcohoIic oul of his panic, eilhei vilh diugs oi
ieassuiance, so lhal he ie-coveis and goes lack lo his piide and aIcohoIisn~
onIy lo hil a noie disaslious lollon al sone Ialei line, vhen he viII again le iipe
foi a change. The allenpl lo change lhe aIcohoIic in a peiiod oc|uccn such nonenls
of panic is unIikeIy lo succeed.
The naluie of lhe panic is nade cIeai ly lhe foIIoving desciiplion of a lesl.
We do nol Iike lo pionounce any individuaI as aIcohoIic, lul you can quickIy
diagnose youiseIf. Slep ovei lo lhe neaiesl laiioon and liy sone conlioIIed
diinking. Tiy lo diink and slop aliuplIy. Tiy il noie lhan once. Il viII nol lake Iong
foi you lo decide, if you aie honesl vilh youiseIf aloul il. Il nay le voilh a lad case
of jilleis if you gel a fuII knovIedge of youi condilion.
8O
We nighl conpaie lhe lesl quoled alove lo connanding a diivei lo liake
suddenIy vhen liaveIing on a sIippeiy ioad: he viII discovei fasl lhal his conlioI is
79
IeisonaI connunicalion fion a nenlei.
Iiniled. (The nelaphoi skid iov foi lhe aIcohoIic seclion of lovn is nol
inappiopiiale.)
The panic of lhe aIcohoIic vho has hil lollon is lhe panic of lhe nan vho
lhoughl he had conlioI ovei a vehicIe lul suddenIy finds lhal lhe vehicIe can iun
avay vilh hin. SuddenIy, piessuie on vhal he knovs is lhe liake seens lo nake lhe
vehicIe go faslei. Il is lhe panic of discoveiing lhal i| (lhe syslen, seIf p|us vehicIe) is
liggei lhan he is.
In leins of lhe lheoiy heie piesenled, ve nay say lhal hilling lollon
exenpIifies syslens lheoiy al lhiee IeveIs:
(1)The aIcohoIic voiks on lhe disconfoils of soliiely lo a lhieshoId poinl al vhich
he has lankiupled lhe epislenoIogy of seIf-conlioI. He lhen gels diunk~lecause
lhe syslen is liggei lhan he is~and he nay as veII suiiendei lo il.
(2)He voiks iepealedIy al gelling diunk unliI he pioves lhal lheie is a sliII Iaigei
syslen. He lhen encounleis lhe panic of hilling lollon.
(3)If fiiends and lheiapisls ieassuie hin, he nay achieve a fuilhei unslalIe
adjuslnenl~leconing addicled lo lheii heIp~unliI he denonsliales lhal lhis syslen
vonl voik, and hils lollon again lul al a Iovei IeveI. In lhis, as in aII cyleinelic
syslens, lhe sign (pIus oi ninus) of lhe effecl of any inliusion upon lhe syslen
depends upon lining.
(4)LaslIy, lhe phenonenon of hilling lollon is conpIexIy ieIaled lo lhe expeiience
of doulIe lind.
81
iII W. naiiales lhal he hil lollon vhen diagnosed as a hopeIess
aIcohoIic ly Di. WiIIian D. SiIkvoilh in 1939, and lhis evenl is iegaided as lhe
leginning of AA hisloiy.
82
Di. SiIkvoilh aIso suppIied us vilh lhe looIs vilh vhich
lo puncluie lhe loughesl aIcohoIic ego, lhose shalleiing phiases ly vhich he
desciiled oui iIIness: |nc coscssicn cf |nc nind lhal conpeIs us lo diink and |nc a||crgq
cf |nc ocdq lhal condenns us lo go nad oi die.
83
This is a doulIe lind coiieclIy
founded upon lhe aIcohoIics dicholonous epislenoIogy of nind veisus lody. He is
foiced ly lhese voids lack and lack lo lhe poinl al vhich onIy an invoIunlaiy
change in deep unconscious epislenoIogy~a spiiiluaI expeiience~viII nake lhe
IelhaI desciiplion iiieIevanl.
43]3<N 0C#'0C#%:%$&'%M'B:J%C%:AJ+'B,%,&?%;+
Sone oulslanding poinls of lhe lheoIogy of AA aie:
(1) Tncrc is a Pcucr grca|cr |nan |nc sc|f. Cyleinelics vouId go sonevhal fuilhei
and iecognize lhal lhe seIf as oidinaiiIy undeislood is onIy a snaII pail of a nuch
Iaigei liiaI-and-eiioi syslen vhich does lhe lhinking, acling, and deciding. This
syslen incIudes aII lhe infoinalionaI palh-vays vhich aie ieIevanl al any given
nonenl lo any given decision. The seIf is a faIse ieificalion of an inpiopeiIy de-
Iiniled pail of lhis nuch Iaigei fieId of inleiIocking piocesses. Cyleinelics aIso
80
AIcohoIics Anonynous, cp. ci|., p. 43.
81
aleson, c| a|., Tovaid a Theoiy of Schizophienia, 8cnaticra| Scicncc, 1956, 1: 251-64.
82
A A Ccncs cf Agc, cp. ci|., p. tii
83
|oid., p. 13. (IlaIics in lhe oiiginaI)
iecognizes lhal lvo oi noie peisons ~any gioup of peisons~nay logelhei foin
such a lhinkingand-acling syslen.
(2) This Iovei is feIl lo le peisonaI and lo le inlinaleIy Iinked vilh each peison.
Il is Cod as you undeisland hin lo le.
CyleinelicaIIy speaking, ny ieIalion lo any Iaigei syslen aiound ne and
incIuding olhei lhings and peisons viII le diffeienl fion youi ieIalion lo sone
siniIai syslen aiound you. The ieIalion pail of nusl necessaiiIy and IogicaIIy aI-
vays le conpIenenlaiy lul lhe neaning of lhe phiase pail of viII le diffeienl foi
eveiy peison.
84
This diffeience viII le especiaIIy inpoilanl in syslens conlaining
noie lhan one peison. The syslen oi povei nusl necessaiiIy appeai diffeienl fion
vheie each peison sils. Moieovei, il is expecl-alIe lhal such syslens, vhen lhey
encounlei each olhei, viII iecognize each olhei as syslens in lhis sense. The leauly
of lhe voods lhiough vhich I vaIk is ny iecognilion lolh of lhe individuaI liees and
of lhe lolaI ecoIogy of lhe voods as syslens. A siniIai eslhelic iecognilion is sliII
noie sliiking vhen I laIk vilh anolhei peison.
(3) A favoialIe ieIalionship vilh lhis Iovei is discoveied lhiough hilling
lollon and suiiendei.
(4) y iesisling lhis Iovei, nen and especiaIIy aIcohoIics liing disaslei upon
lhenseIves. The naleiiaIislic phiIosophy vhich sees nan as pilled againsl his
enviionnenl is iapidIy lieaking dovn as lechnoIogicaI nan lecones noie and noie
alIe lo oppose lhe Iaigesl syslens. Lveiy lallIe lhal he vins liings a lhieal of
disaslei. The unil of suivivaI~eilhei in elhics oi in evoIulion~is nol lhe oiganisn oi
lhe species lul lhe Iaigesl syslen oi povei vilhin vhich lhe ciealuie Iives. If lhe
ciealuie deslioys ils enviionnenl, il deslioys il-seIf.
(5) ul
~
and lhis is inpoilanl~lhe Iovei does nol ie-vaid and punish. Il does
nol have povei in lhal sense. In lhe lilIicaI phiase, AII lhings voik logelhei foi
good lo lhen lhal Iove Cod. And, conveiseIy, lo lhen lhal do nol. The idea of
povei in lhe sense of uniIaleiaI conlioI is foieign lo AA. Theii oiganizalion is sliiclIy
denocialic (lheii void), and even lheii deily is sliII lound ly vhal ve nighl caII a
syslenic deleininisn. The sane Iinilalion appIies lolh lo lhe ieIalionship lelveen
lhe AA sponsoi and lhe diunk vhon he hopes lo heIp and lo lhe ieIalionship
lelveen AA cenliaI office and eveiy IocaI gioup.
(6) The fiisl lvo sleps of AIcohoIics Anonynous laken logelhei idenlify lhe
addiclion as a nanifeslalion of lhis Iovei.
(7) The heaIlhy ieIalion lelveen each peison and lhis Iovei is conpIenenlaiy.
Il is in piecise conliasl lo lhe piide of lhe aIcohoIic, vhich is piedicaled upon a
synneliicaI ieIalionship lo an inagined olhei. The schisnogenesis is aIvays noie
poveifuI lhan lhe pailicipanls in il.
(8) The quaIily and conlenl of each peisons ieIalion lo lhe Iovei is indicaled oi
iefIecled in lhe sociaI sliucluie of AA. The secuIai aspecl of lhis syslen~ils
goveinance~is deIinealed in TveIve Tiadilions
85
vhich suppIenenl lhe TveIve
Sleps, lhe Iallei deveIoping nans ieIalionship lo lhe Iovei. The lvo docunenls
oveiIap in lhe TveIflh Slep, vhich enjoins aid lo olhei aIcohoIics as a necessaiy
spiiiluaI exeicise vilhoul vhich lhe nenlei is IikeIy lo ieIapse. The lolaI syslen is a
84
This diveisily in slyIes of inlegialion couId accounl foi lhe facl lhal sone peisons lecone
aIcohoIic vhiIe olheis do nol.
85
AA Cones of Age, op. cil. 24 Ilid., p. 288. 25 Ilid., pp. 286-94.
Duikheinian ieIigion in lhe sense lhal lhe ieIalionship lelveen nan and his
connunily paiaIIeIs lhe ieIalionship lelveen nan and Cod. AA is a povei giealei
lhan any of us.
86
In sun, lhe ieIalionship of each individuaI lo lhe Iovei is lesl defined in lhe
voids is par| cf.
(9) Anonynily. Il nusl le undeislood lhal anonynily neans nuch noie in AA
lhinking and lheoIogy lhan lhe neie pioleclion of nenleis fion exposuie and
shane. Wilh incieasing fane and success of lhe oiganizalion as a vhoIe, il has
lecone a lenplalion foi nenleis lo use lhe facl of lheii nenleiship as a posilive
assel in pulIic ieIalions, poIilics, educalion, and nany olhei fieIds. iII W., lhe co-
foundei of lhe oiganizalion, vas hinseIf caughl ly lhis lenplalion in eaiIy days and
has discussed lhe nallei in a pulIished ailicIe.
87
He sees fiisl lhal any gialling of lhe
spolIighl nusl le a peisonaI and spiiiluaI dangei lo lhe nenlei, vho cannol affoil
such seIf-seeking, and leyond lhis lhal il vouId le falaI foi lhe oiganizalion as a
vhoIe lo lecone invoIved in poIilics, ieIigious conlioveisy, and sociaI iefoin. He
slales cIeaiIy lhal lhe eiiois of lhe aIcohoIic aie lhe sane as lhe foices vhich aie
loday iipping lhe voiId apail al ils seans, lul lhal il is nol lhe lusiness of AA lo
save lhe voiId. Theii singIe puipose is lo caiiy lhe AA nessage lo lhe sick aIcohoIic
vho vanls il.
88
He concIudes lhal anonynily is lhe giealesl synloI of seIf-saciifice
lhal ve knov. LIsevheie lhe lveIflh of lhe TveIve Tiadilions slales lhal
anonynily is lhe spiiiluaI foundalion of oui liadilions, evei ieninding us lo pIace
piincipIes lefoie peisonaIilies.
To lhis ve nay add lhal anonynily is aIso a piofound slalenenl of lhe syslenic
ieIalion, pail-lo-vhoIe. Sone syslens lheoiisls vouId go even fuilhei, lecause a
najoi lenplalion foi syslens lheoiy Iies in lhe ieificalion of lheoielicaI concepls.
AnaloI HoIl says he vanls a lunpei slickei vhich vouId (paiadoxicaIIy) say,
Slanp oul nouns.
89
(1O) Iiayei. The AA use of piayei siniIaiIy affiins lhe conpIenenlaiily of pail-
vhoIe ieIalionship ly lhe veiy sinpIe lechnique of asking foi lhal ieIalionship. They
ask foi lhose-peisonaI chaiacleiislics, such as huniIily, vhich aie in facl-exeicised in
lhe veiy acl of piayei. If lhe acl of piayei le sinceie (vhich is nol so easy), Cod
cannol lul gianl lhe iequesl. And lhis is pecuIiaiIy liue of Cod, as qcu undcrs|and
nin. This seIf-affiining lauloIogy, vhich conlains ils ovn leauly, is pieciseIy lhe
laIn iequiied aflei lhe anguish of lhe doulIe linds vhich venl vilh hilling lollon.
Sonevhal noie conpIex is lhe fanous Seienily Iiayei: Cod gianl us lhe
seienily lo accepl lhe lhings ve cannol change, couiage lo change lhe lhings ve can,
and visdon lo knov lhe diffeience.
V]N
If doulIe linds cause anguish and despaii and deslioy peisonaI epislenoIogicaI
pienises al sone deep IeveI, lhen il foIIovs, conveiseIy, lhal foi lhe heaIing of lhese
vounds and lhe giovlh of a nev epislenoIogy, sone conveise of lhe doulIe lind
86
|oid, p. 288.
87
|oid, pp.286-294
88
Ilid.
89
M. C. aleson, ed., Our Oun Mc|apncr, Wennei-Cien Ioundalion, Confeience on
lhe Lffecls of Conscious Iuipose on Hunan Adaplalion, 1968, Nev Yoik, Knopf, in piess.
90
This vas nol oiiginaIIy an AA docunenl and ils aulhoiship is unknovn. SnaII vaiialions in
lhe lexl occui. I have quoled lhe foin vhich I peisonaIIy piefei fion AA Ccncs cf Agc, cp. ci|., p.
196.
viII le appiopiiale. The doulIe lind Ieads The Seienily Iiayei expIicilIy fiees lhe
voishippei fion lhese naddening londs.
lo lhe concIusion of despaii, Theie aie no aIleinalives.
In lhis conneclion il is voilh nenlioning lhal lhe gieal schizophienic, }ohn
IeicevaI, olseived a change in his
voices.
91
aleson, IeicevaI . . . , op. cil.
The queslion lhen ienains iegaiding vhal is epislenoIogicaIIy iighl and vhal
is epislenoIogicaIIy viong.
conlexl.
This heuiislic eiioi~copied Iike so nany olheis fion lhe vays of lhoughl of lhe
physicisl and chenisl~iequiies coiieclion.
Il is inpoilanl lo see lhe pailicuIai ulleiance oi aclion as par| of lhe ecoIogicaI
sulsyslen caIIed conlexl and nol as lhe pioducl oi effecl of vhal ienains of lhe
conlexl aflei lhe piece vhich ve vanl lo expIain has leen cul oul fion il.
The nislake in queslion is lhe sane foinaI eiioi as lhal nenlioned in lhe
connenl on Iail II vheie I discuss lhe evoIulion of lhe hoise. We shouId nol lhink of
lhis piocess jusl as a sel of changes in lhe aninaIs adaplalion lo Iife on lhe giassy
pIains lul.as a ccns|ancq in |nc rc|a|icnsnip lelveen aninaIs and enviionnenl. Il is lhe
ecoIogy vhich suivives and sIovIy evoIves. In lhis evoIulion, lhe ieIala~lhe aninaIs
and lhe giass~undeigo changes vhich aie indeed adaplive fion nonenl lo
nonenl. ul if lhe piocess of adaplalion veie lhe vhoIe sloiy, lheie couId le no
syslenic palhoIogy. TioulIe aiises pieciseIy lecause lhe Iogic of adaplalion is a
diffeienl Iogic fion lhal of lhe suivivaI and evoIulion of lhe ecoIogicaI syslen.
In Waiien iodeys phiase, lhe line-giain of lhe adaplalion is diffeienl fion
lhal of lhe ecoIogy.
SuivivaI neans lhal ceilain desciiplive slalenenls aloul sone Iiving syslen
conlinue lo le liue lhiough sone peiiod of line, and, conveiseIy, evoIulion iefeis
lo changes in lhe liulh of ceilain desciiplive slalenenls aloul sone Iiving syslen.
The liick is lo define vhich slalenenls aloul vhich syslens ienain liue oi undeigo
change.
The paiadoxes (and lhe palhoIogies) of syslenic piocess aiise pieciseIy lecause
lhe conslancy and suivivaI of sone Iaigei syslen is nainlained ly changes in lhe
consliluenl sulsyslens.
The ieIalive conslancy~lhe suivivaI~of lhe ieIalionship lelveen aninaIs and
giass is nainlained ly changes in lolh ieIala. ul any adaplive change in eilhei of
lhe ieIala, if uncoiiecled ly sone change in lhe olhei, viII aIvays jeopaidize lhe
ieIalionship lelveen lhen. These aigunenls piopose a nev concepluaI fiane foi lhe
doulIe lind hypolhesis, a nev concepluaI fiane foi lhinking aloul
schizophienia, and a nev vay of Iooking al conlexl and IeveIs of Ieaining.
In a void, schizophienia, deuleio-Ieaining, and lhe doulIe lind cease lo le
nalleis of individuaI psychoIogy and le-cone pail of lhe ecoIogy of ideas in syslens
oi ninds vhose loundaiies no Iongei coincide vilh lhe skins of lhe pailicipanl
individuaIs.
G 6)"*'7H8'(A%:%$&'),@'1I%:;*A%,
T"! /C%(LX9A]P8:G8GC8EE%*L<CD%NB<;<DBE9E%:CG
O9:98%N<:JGE%<[%(G>K:9B<C
I
My falhei, lhe genelicisl WiIIian aleson, used lo iead us passages of lhe ilIe al
lieakfasl~Iesl ve giov up lo le cnp|q-ncadcd alheisls, and so I find il naluiaI lo
vondei vhal lioadening of lhe nind nay cone fion lhe sliange anli-evoIulionaiy
iuIing of lhe Slale oaid of Lducalion in CaIifoinia.
1
LvoIulion has Iong leen ladIy laughl. In pailicuIai, sludenls~and even
piofessionaI lioIogisls~acquiie lheoiies of evoIulion vilhoul any deep
undeislanding of vhal piolIen lhese lheoiies allenpl lo soIve. They Ieain lul IillIe
of lhe evoIulion of evoIulionaiy lheoiy.
The exliaoidinaiy achievenenl of lhe viileis of lhe fiisl chaplei of Cenesis vas
lheii peiceplion of lhe piolIen: lncrc dccs crdcr ccnc frcn? They olseived lhal lhe
Iand and lhe valei veie, in facl, sepaiale and lhal species veie sepaiale, lhey sav
lhal such sepaialion and soiling in lhe univeise piesenled a fundanenlaI piolIen. In
nodein leins, ve nay say lhal lhis is lhe piolIen inpIicil in lhe Second Lav of
Theinodynanics: If iandon evenls Iead lo lhings gelling nixed up, ly vhal
noniandon evenls did lhings cone lo le soiled` And vhal is a iandon
evenl`
This piolIen has leen cenliaI lo lioIogy and lo nany olhei sciences foi lhe Iasl
5OOO yeais, and lhe piolIen is nol liiviaI.
Wilh vhal Woid shouId ve designale lhe piincipIe of oidei vhich seens lo le
innanenl in lhe univeise`
The CaIifoinia iuIing suggesls lhal sludenls le loId of olhei allenpls lo soIve
lhis ancienl piolIen. I nyseIf coIIecled one of lhese anong lhe Slone Age head-
hunleis of lhe IalnuI liile in Nev Cuinea. They, loo, nole lhal lhe Iand and lhe
valei aie sepaiale even in lheii svanpy iegion. They say lhal in lhe leginning lheie
vas a vasl ciocodiIe, KavvoknaIi, vho paddIed vilh his fionl Iegs and paddIed
vilh his lack Iegs, and lheiely kepl lhe nud in suspension. The cuIluie heio,
Kevenluangga, speaied lhe ciocodiIe, vho lhen ceased lo paddIe, causing lhe nud
and lhe valei lo sepaiale. The iesuIl vas diy Iand upon vhich Kevenluangga
slanped his fool in liiunph. We nighl say he veiified lhal il vas good.
Oui sludenls nighl have lheii ninds lioadened sonevhal if lhey vouId Iook al
olhei lheoiies of evoIulion and considei hov a nans spiiil nusl lake a diffeienl
shape if he leIieves lhal aII soiling in lhe univeise is due lo an exleinaI agenl, oi if,
Iike lhe IalnuI and nodein scienlisls, he sees lhal lhe polenliaIily foi oidei and
pallein is innanenl lhioughoul lhis voiId.
And lhen lhe sludenl nay le foiced ly lhe nev syslen lo Iook al lhe Cieal
Chain of eing, vilh Supiene Mind al lhe lop and lhe piolozoa al lhe lollon. He
viII see hov Mind vas invoked as an expIanaloiy piincipIe aII lhiough lhe MiddIe
Ages and hov Mind Ialei lecane lhe prco|cn. Mind lecane lhal vhich needed
expIanalion vhen Lanaick shoved lhal lhe Cieal Chain of eing shouId le inveiled
*
This ilen in 8icScicncc, Vc|. 20, 197O, is iepioduced ly peinission fion lhal jouinaI.
1
See CaIifoinia's Anli-LvoIulion RuIing, 8icScicncc, Maich 1, 197O.
lo give an evoIulionaiy sequence fion lhe piolozoa upvaid. The piolIen lhen vas
lo expIain Mind in leins of vhal couId le knovn of lhis sequence.
And vhen lhe sludenl ieaches lhe nid-nineleenlh cenluiy, he nighl le given as
a lexllook IhiIip Heniy Cosse
).
Accoiding lo such a hypolhesis, genolypic change in an oiganisn lecones
conpaialIe lo IegisIalive change in a sociely. The vise IegisIaloi viII onIy iaieIy
iniliale a nev iuIe of lehavioi, noie usuaIIy he viII confine hinseIf lo affiining in
Iav lhal vhich has aIieady lecone lhe cuslon of lhe peopIe. An innovalive iuIe can
le inlioduced onIy al lhe piice of aclivaling and peihaps oveiIoading a Iaige nunlei
of honeoslalic ciicuils in lhe sociely.
Il is inleiesling lo ask hov a hypolhelicaI piocess of evoIulion vouId voik if
Lanaickian inheiilance veie lhe iuIe, i.e., if chaiacleiislics achieved ly sonalic
honeoslasis veie inheiiled. The ansvei is sinpIe: i| ucu|d nc| ucr|, foi lhe foIIoving
ieasons:
(1)The queslion luins upon lhe concepl of econony in lhe use of honeoslalic
ciicuils, and il vouId le lhe ieveise of econonicaI lo fix ly genolypic change aII lhe
vaiialIes vhich acconpany a given desiialIe and honeoslalicaIIy achieved
chaiacleiislic. Lveiy such chaiacleiislic is achieved ly anciIIaiy honeoslalic changes
aII aiound lhe ciicuils, and il is nosl undesiialIe lhal lhese anciIIaiy changes shouId
le fixed ly inheiilance, as vouId IogicaIIy happen accoiding lo any lheoiy invoIving
an indisciininale Lanaickian inheiilance. Those vho vouId defend a Lanaickian
lheoiy nusl le piepaied lo suggesl hov in lhe genolype an appiopiiale seIeclion can
le achieved. Wilhoul such a seIeclion, lhe inheiilance of acquiied chaiacleiislics
vouId neieIy in-ciease lhe piopoilion of nonvialIe genolypic changes.
(2)Lanaickian inheiilance vouId disluil lhe ieIalive lining of lhe piocesses
upon vhich evoIulion nusl~accoiding lo lhe piesenl hypolhesis~depend. Il is
essenliaI lhal lheie le a line Iag lelveen lhe unecononicaI lul ieveisilIe sonalic
achievenenl of a given chaiacleiislic and lhe econonicaI lul noie enduiing
aIleialions of lhe genolype. If ve Iook upon eveiy sona as a voiking nodeI vhich
can le nodified in vaiious vays in lhe voikshop, il is cIeai lhal sufficienl lul nol
infinile line nusl le given foi lhese voikshop liiaIs lefoie lhe iesuIls of lhese liiaIs
aie incoipoialed inlo lhe finaI lIuepiinl foi nass pioduclion. This deIay is piovided
ly lhe indiieclion of slochaslic piocess. Il vouId le unduIy shoilened ly Lanaickian
inheiilance.
The piincipIe invoIved heie is geneiaI and ly no neans liiviaI. Il ollains in aII
honeoslalic syslens in vhich a given effecl can le lioughl aloul ly neans of a
honeoslalic ciicuil, vhich ciicuil can, in luin, le nodified in ils chaiacleiislics ly
sone
-
highei syslen of conlioI. In aII such syslens (ianging fion lhe house
lheinoslal lo syslens of goveinnenl and adninislialion) il is inpoilanl lhal lhe
highei syslen of conlioI |ag ocnind lhe evenl sequences in lhe peiipheiaI honeoslalic
ciicuil.
In evoIulion lvo conlioI syslens aie piesenl: lhe honeoslases of lhe lody vhich
deaI vilh loIeialIe inleinaI sliess, and lhe aclion of naluiaI seIeclion upon lhe
(genelicaIIy) nonvialIe nenleis of lhe popuIalion. Iion an engineeiing poinl of
viev, lhe piolIen is lo |ini| connunicalion fion lhe Iovei, ieveisilIe sonalic
syslen lo lhe highei iiieveisilIe genolypic syslen.
Anolhei aspecl of lhe pioposed hypolhesis aloul vhich ve can onIy specuIale is
lhe piolalIe ieIalive fiequency of lhe lvo cIasses of genolypic change: lhose vhich
iniliale sonelhing nev and lhose vhich affiin sone honeoslalicaIIy achieved
chaiacleiislic. In lhe Melazoa and nuIliceIIuIai pIanls, ve face conpIex nelvoiks of
nuIlipIe inleiIocking honeoslalic ciicuils, and any given nulalion oi gene
ieconlinalion vhich iniliales change viII piolalIy iequiie veiy vaiious and
nuIlipIe sonalic chaiacleiislics lo le achieved ly honeoslasis. The hypolhelicaI
piegiiaffe vilh lhe nulanl gene Iong neck viII need lo nodify nol onIy ils heail
and ciicuIaloiy syslen lul aIso peihaps ils seniciicuIai canaIs, ils inleiveileliaI
discs, ils posluiaI iefIexes, lhe ialio of Ienglh and lhickness of nany nuscIes, ils
evasive laclics vis-a-vis piedalois, elc. This suggesls lhal in such conpIex oiganisns,
lhe neieIy affiinalive genolypic changes nusl fai oulnunlei lhose vhich iniliale
change, if lhe species is lo avoid lhal cuI-de-sac in vhich lhe fIexiliIily of lhe sona
appioaches zeio.
ConveiseIy, lhis picluie suggesls lhal nosl oiganisns, al any given line, aie
piolalIy in such a slale lhal lheie aie nuIlipIe possiliIilies foi affiinalive genolypic
change. If, as seens piolalIe, lolh nulalion and gene iedisliilulion aie in sone
sense iandon phenonena, al Ieasl lhe chances aie consideialIe lhal one oi olhei of
lhese nuIlipIe possiliIilies viII le nel.
IinaIIy, il is appiopiiale lo discuss vhal evidence is avaiI-alIe oi nighl le
soughl lo suppoil oi dispiove such a hypolhesis. Il is cIeai al lhe oulsel lhal such a
lesling viII le difficuIl. The affiinalive nulalions upon vhich lhe hypolhesis
depends viII usuaIIy le intisio|c. Iion anong lhe nany nenleis of a popuIalion
vhich aie achieving a given adjuslnenl lo enviionnenlaI ciicunslances ly sonalic
change, il viII nol le possilIe innedialeIy lo pick oul lhose fev in vhich lhe sane
adjuslnenl is piovided ly lhe genolypic nelhod. In such a case, lhe genolypicaIIy
changed individuaIs viII have lo le idenlified ly lieeding and iaising lhe offspiing
undei noie noinaI condilions.
A sliII giealei difficuIly aiises in cases vheie ve vouId invesligale lhose
honeoslalicaIIy acquiied chaiacleiislics vhich aie achieved in iesponse lo sone
innovalive genolypic change. Il viII oflen le inpossilIe, ly neie inspeclion of lhe
oiganisn, lo leII vhich of ils chaiacleiislics aie lhe piinaiy iesuIls of genolypic
change and vhich aie secondaiy sonalic adjuslnenls lo lhese. In lhe inaginaiy case
of lhe piegiiaffe vilh a sonevhal eIongaled neck and an enIaiged heail, il nay le
easy lo gucss lhal lhe nodificalion of lhe neck is genolypic vhiIe lhal of lhe heail is
sonalic. ul aII such guesses viII depend upon lhe veiy inpeifecl piesenl
knovIedge of vhal an oiganisn can achieve in vay of sonalic adjuslnenl.
Il is a najoi liagedy lhal lhe Lanaickian conlioveisy has defIecled lhe allenlion
of genelicisls avay fion lhe phenonenon of sonalic adaplaliIily. Aflei aII, lhe
nechanisns, lhieshoIds, and naxina of individuaI phenolypic change undei sliess
nusl suieIy le genolypicaIIy deleinined.
Anolhei difficuIly, of ialhei siniIai naluie, aiises al lhe popuIalion IeveI, vheie
ve encounlei anolhei econonics of polenliaI change, lheoielicaIIy dislinguishalIe
fion lhal vhich opeiales vilhin lhe individuaI. The popuIalion of a viId species is
loday convenlionaIIy iegaided as genolypicaIIy heleiogeneous in spile of lhe high
degiee of supeificiaI iesenlIance lelveen lhe individuaI phenolypes. Such a
popuIalion expeclalIy funclions as a sloiehouse of genolypic possiliIilies. The
econonic aspecl of lhis sloiehouse of possiliIilies has, foi exanpIe, leen sliessed ly
Sinnonds.
6
He poinls oul lhal faineis and lieedeis vho denand 1OO pei cenl
phenolypic unifoinily in a highIy seIecl ciop aie in facl lhioving avay nosl of lhe
nuIlipIe genelic possiliIilies accunuIaled lhiough hundieds of geneialions in lhe
viId popuIalion. Iion lhis Sinnonds aigues lhal lheie is uigenl need foi
inslilulions vhich shaII conseive lhis sloiehouse of vaiialiIily ly nainlaining
unseIecled popuIalions.
Leinei
7
has aigued lhal seIf-coiieclive oi luffeiing nechanisns opeiale lo hoId
conslanl lhe conposilion of lhese nixluies of viId genolypes and lo iesisl lhe effecls
of ailificiaI seIeclion. Theie is lheiefoie al Ieasl a piesunplion lhal lhis econonics of
vaiialiIily vilhin lhe popuIalion viII luin oul lo le of lhe nuIlipIicalive kind.
Nov, lhe difficuIly of disciininaling lelveen a chaiacleiislic achieved ly
sonalic honeoslasis and lhe sane chaiacleiislic achieved (noie econonicaIIy) ly a
genolypic shoil cul is cIeaiIy going lo le conpounded vhen ve cone lo considei
popuIalions inslead of physioIogic individuaIs. AII acluaI expeiinenlalion in lhe fieId
viII inevilalIy voik vilh popuIalions, and, in lhis voik, il viII le necessaiy lo
disciininale lhe effecls of lhal econonics of f|cxioi|i|q vhich opeiales inside lhe
individuaIs fion lhe effecls of lhe econonics of tariaoi|i|q vhich opeiales al lhe
popuIalion IeveI. These lvo oideis of econonics nay le easy lo sepaiale in lheoiy,
lul lo sepaiale lhen in expeiinenlalion viII suieIy le difficuIl.
e aII lhal as il nay, Iel us considei vhal evidenliaI sup-poil nay le avaiIalIe foi
sone of lhe pioposilions vhich aie ciuciaI lo lhe hypolhesis:
(1) Thal lhe phenonena of sonalic adjuslnenl aie appiopiialeIy desciiled in
leins of an econonics of f|cxioi|i|q. In geneiaI, ve leIieve lhal lhe piesence of sliess A
nay ieduce an oiganisns aliIily lo iespond lo sliess and, guided ly lhis opinion,
ve connonIy piolecl lhe sick fion lhe vealhei. Those vho have adjusled lo lhe
office Iife nay have difficuIly in cIinling nounlains, and liained nounlain cIinleis
nay have difficuIly vhen confined lo offices, lhe sliesses of ieliienenl fion lusiness
nay le IelhaI, and so on. ul scienlific knovIedge of lhese nalleis, in nan oi olhei
oiganisns, is veiy sIighl.
(2) Thal lhis econonics of fIexiliIily has lhe IogicaI sliucluie desciiled alove~
each successive denand upon fIexiliIily fiaclionaling lhe sel of avaiIalIe
possiliIilies. The pioposilion is expeclalIe, lul so fai as I knov lheie is no evidence
foi il. Il is, hovevei, voilhvhiIe lo exanine lhe ciileiia vhich deleinine vhelhei a
given econonic syslen is noie appiopiialeIy desciiled in addilive oi
nuIlipIicalive leins. Theie vouId seen lo le lvo such ciileiia:
(a)A syslen viII le addilive insofai as lhe unils of ils cuiiency aie nuluaIIy
inleichangealIe and, lheiefoie, can-nol neaningfuIIy le cIassified inlo sels such as
veie used eaiIiei in lhis papei lo shov lhal lhe econonics of fIexiliIily nusl suieIy
le nuIlipIicalive. CaIoiies in lhe econonics of eneigy aie conpIeleIy inleichangealIe
and uncIassifialIe, as aie doIIais in lhe individuaI ludgel. olh lhese syslens aie
lheiefoie addilive. The peinulalions and conlinalions of vaiialIes vhich define lhe
slales of an oiganisn aie cIassifialIe and~lo lhis exlenl~noninleichangealIe. The
syslen is lheiefoie nuIlipIicalive. Ils nalhenalics viII iesenlIe lhal of infoinalion
lheoiy oi negalive enliopy ialhei lhan lhal of noney oi eneigy conseivalion.
6
N. W. Sinnonds, VaiialiIily in Ciop IIanls, Ils Use and Conseivalion, ioI. Reviev,
1962, 37: 422-62.
7
I. M. Leinei, Gcnc|ic Hcnccs|asis, Ldinluigh, OIivei and oyd, 1954.
A syslen viII le addilive insofai as lhe unils of ils cuiiency aie nuluaIIy
independenl. Heie lheie vouId seen lo le a diffeience lelveen lhe econonic syslen
of lhe individuaI, vhose ludgelaiy piolIens aie addilive (oi sul-liaclive) and lhose
of sociely al Iaige, vheie lhe oveiaII disliilulion oi fIov of veaIlh is goveined ly
conpIex (and peihaps inpeifecl) honeoslalic syslens. Is lheie, peihaps, an
econonics of econonic fIexiliIily (a nelaecononics) vhich is nuIlipIicalive and so
iesenlIes lhe econonics of physioIogicaI fIexiliIily discussed alove` Nolice,
hovevei, lhal lhe unils of lhis videi econonics viII le nol doIIais lul palleins of
disliilulion of veaIlh. SiniIaiIy, Leineis genelic honeoslasis, insofai as il is liuIy
honeoslalic, viII have nuIlipIicalive chaiaclei.
The nallei is, hovevei, nol sinpIe and ve cannol expecl lhal eveiy syslen viII
le eilhei lolaIIy nuIlipIicalive oi lolaIIy addilive. Theie viII le inleinediale cases
vhich conline lhe lvo chaiacleiislics. SpecificaIIy, vheie seveiaI indcpcndcn|
aIleinalive honeoslalic ciicuils conlioI a singIe vaiialIe, il is cIeai lhal lhe syslen
nay shov addilive chaiacleiislics~and even lhal il nay pay lo incoipoiale such
aIleinalive palhvays in lhe syslen piovided lhey can le effecliveIy insuIaled fion
each olhei. Such syslens of nuIlipIe aIleinalive conlioIs nay give suivivaI
advanlage insofai as lhe nalhenalics of addilion and sulliaclion viII pay lellei lhan
lhe nalhenalics of IogicaI fiaclionalion.
(3) Tna| inncta|itc gcnc|qpic cnangc ccnncn|q na|cs dcnands upcn |nc adjus|itc
aoi|i|q cf |nc scna"%This pioposilion is oilhodoxIy leIieved ly lioIogisls lul cannol in
lhe naluie of lhe case le veiified ly diiecl evidence.
(4) Tna| succcssitc gcnc|qpic inncta|icns na|c nu||ip|ica|itc dcnands upcn |nc scna.
This pioposilion (vhich invoIves oc|n lhe nolion of nuIlipIicalive econonics of
fIexiliIily and lhe nolion lhal each innovalive genolypic change has ils sonalic piice)
has seveiaI inleiesling and peihaps veiifialIe inpIicalions.
(a)We nay expecl lhal oiganisns in vhich nuneious iecenl genolypic changes
have accunuIaled (e.g., as a iesuIl of seIeclion, oi pIanned lieeding) viII le deIicale,
i.e., viII need lo le piolecled fion enviionnenlaI sliess. This sensilivily lo sliess is lo
le expecled in nev lieeds of doneslicaled aninaIs and pIanls and expeiinenlaIIy
pioduced oiganisns caiiying eilhei seveiaI nulanl genes oi unusuaI (i.e., iecenlIy
achieved) genolypic conlinalions.
(l)We nay expecl lhal foi such oiganisns fuilhei genolypic innovalion (of any
kind olhei lhan lhe affiinalive changes discussed alove) viII le piogiessiveIy
deIeleiious.
(c)Such nev and speciaI lieeds shouId lecone noie iesislanl lolh lo
enviionnenlaI sliess and lo genolypic change, as seIeclion voiks upon successive
geneialions lo favoi lhose individuaIs in vhich genelic assiniIalion of acquiied
chaiacleiislics is achieved (Iioposilion 5).
(5) Thal enviionnenlaIIy induced acquiied chaiacleiislics nay, undei
appiopiiale condilions of seIeclion, le iepIaced ly siniIai chaiacleiislics vhich aie
genelicaIIy deleinined. This phenonenon has leen denonslialed ly Waddinglon
8
foi lhe lilhoiax phenolypes of DiosophiIa.
He caIIs il lhe genelic assiniIalion of acquiied chaiacleiislics. SiniIai
phenonena have aIso piolalIy occuiied in vaiious expeiinenls vhen lhe
expeiinenleis sel oul lo piove lhe inheiilance of acquiied chaiacleiislics lul did nol
8
C. H. Waddinglon, Cenelic AssiniIalion of an Acquiied Chaiaclei, |tc|u|icn, 1953, 7.
118, aIso Waddinglon, Tnc S|ra|cgq cf Gcncs, London, AIIen and Unvin, 1957.
achieve lhis pioof lhiough faiIuie lo conlioI lhe condilions of seIeclion. We have,
hovevei, no evidence al aII as lo lhe fiequency of lhis phenonenon of genelic
assiniIalion. Il is voilh noling, hovevei, lhal, accoiding lo lhe aigunenls of lhis
essay, il nay le inpossilIe, in piincipIe, lo excIude lhe facloi of seIeclion fion
expeiinenls vhich vouId lesl lhe inheiilance of acquiied chaiacleiislics. Il is
pieciseIy ny lhesis lhal lhe sinu|a|icn of Lanaickian inheiilance viII have suivivaI
vaIue undei ciicunslance of undcfincd oi nuIlipIe sliess.
(6). Thal il is, in geneiaI, noie econonicaI of fIexiliIily lo achieve a given
chaiacleiislic ly genolypic lhan ly sona-lic change. Heie lhe Waddinglon
expeiinenls do nol lhiov any Iighl, lecause il vas lhe expeiinenlei vho did lhe
seIecling. To lesl lhis pioposilion, ve need expeiinenls in vhich lhe popuIalion of
oiganisns is pIaced undei doulIe sliess: (a) lhal sliess vhich viII induce lhe
chaiacleiislic in vhich ve aie inleiesled, and (l) a second sliess vhich viII
seIecliveIy decinale lhe popuIalion, favoiing, ve hope, lhe suivivaI of lhose
individuaIs vhose fIexiliIily is noie alIe lo neel lhis second sliess aflei adjusling lo
lhe fiisl. Accoiding lo lhe hypolhesis, such a syslen shouId favoi lhose individuaIs
vhich achieve lheii adjuslnenl lo lhe fiisl sliess ly genolypic piocess.
(7) IinaIIy, il is inleiesling lo considei a coioIIaiy vhich is lhe conveise of lhe
lhesis of lhis essay. Il has leen aigued heie lhal sinuIaled Lanaickian inheiilance
viII have suivivaI vaIue vhen lhe popuIalion nusl adjusl lo a sliess vhich ienains
conslanl ovei successive geneialions. This case is in facl lhe one vhich has leen
exanined ly lhose vho vouId denonsliale an inheiilance of acquiied
chaiacleiislics. A conveise piolIen is piesenled ly lhose cases in vhich a popuIalion
faces a sliess vhich changes ils inlensily unpiediclalIy and ialhei oflen~peihaps
eveiy lvo oi lhiee geneialions. Such silualions aie peihaps veiy iaie in naluie, lul
couId le pioduced in lhe Ialoialoiy.
Undei such vaiialIe ciicunslances, il nighl pay lhe oiganisns in suivivaI leins
lo achieve lhe ccntcrsc of lhe genelic assiniIalion of acquiied chaiacleiislics. Thal is,
lhey nighl piofilalIy hand ovei lo sonalic honeoslalic nechanisns lhe conlioI of
sone chaiacleiislic vhich had pieviousIy leen noie iigidIy conlioIIed ly lhe
genolype.
Il is evidenl, hovevei, lhal such expeiinenlalion vouId le veiy difficuIl. MeieIy
lo eslalIish lhe genelic assiniIalion of such chaiacleiislics as lilhoiax iequiies
seIeclion on an asliononicaI scaIe, lhe finaI popuIalion in vhich lhe genelicaIIy
deleinined lilhoiax individuaIs can le found leing a seIecled sanpIe fion a
polenliaI popuIalion of sonelhing Iike 1O5O. oi 1O6O individuaIs. Il is veiy doullfuI
vhelhei, aflei lhis seIeclive piocess, lheie vouId sliII. exisl in lhe sanpIe enough
genelic heleiogeneily lo undeigo a fuilhei conveise seIeclion favoiing lhose
individuaIs vhich sliII achieve lheii lilhoiax phenolype ly sonalic neans.
NeveilheIess, lhough lhis conveise coioIIaiy is possilIy nol denonslialIe in lhe
Ialoialoiy, sonelhing of lhe soil seens lo opeiale in lhe lioad picluie of evoIulion.
The nallei nay le piesenled in dianalic foin ly consideiing lhe dicholony
lelveen ieguIalois and adjusleis.
9
Iiossei pioposes lhal vheie inleinaI
physioIogy conlains sone vaiialIe of lhe sane dinensions as sone exleinaI
enviionnenlaI vaiialIe, il is convenienl lo cIassify oiganisns accoiding lo lhe degiee
lo vhich lhey hoId lhe inleinaI vaiialIe conslanl in spile of changes in lhe exleinaI
9
C. L. Iiossei, IhysioIogicaI Vaiialion in AninaIs, ioI. Reviev, 1955, 3O: 22-262.
vaiialIe. Thus, lhe honoiolheinic aninaIs aie cIassified as ieguIalois in iegaid lo
lenpeialuie vhiIe lhe poikiIolheinic aie adjusleis. The sane dicholony can le
appIied lo aqualic aninaIs accoiding lo hov lhey handIe inleinaI and exleinaI
osnolic piessuie.
We usuaIIy lhink of ieguIalois as leing in sone lioad evoIulionaiy sense
highei lhan adjusleis. Lel us nov considei vhal lhis nighl nean. If lheie is a
lioad evoIulionaiy liend in favoi of ieguIalois, is lhis liend consislenl vilh vhal has
leen said alove aloul lhe suivivaI lenefils vhich acciue vhen conlioI is liansfeiied
lo genolypic nechanisns`
CIeaiIy, nol onIy lhe ieguIalois lul aIso lhe adjusleis nusl ieIy upon
honeoslalic nechanisns. If Iife is lo go on, a Iaige nunlei of essenliaI physioIogicaI
vaiialIes nusl le heId vilhin naiiov Iinils. Il lhe inleinaI osnolic piessuie, foi
exanpIe, is aIIoved lo change, lheie nusl le nechanisns vhich viII defend lhese
essenliaI vaiialIes. Il foIIovs lhal lhe diffeience lelveen adjusleis and ieguIalois is a
nallei of uncrc, in lhe conpIex nelvoik of physioIogic causes and effecls,
honeoslalic piocess opeiales.
In lhe ieguIalois, lhe honeoslalic piocesses opeiale al oi cIose lo lhe inpul and
oulpul poinls of lhal nelvoik vhich is lhe individuaI oiganisn. In lhe adjusleis, lhe
enviionnenlaI vaiialIes aie peinilled lo enlei lhe lody and lhe oiganisn nusl lhen
cope vilh lheii effecls, using nechanisns vhich viII invoIve deepei Ioops of lhe
lolaI nelvoik.
In leins of lhis anaIysis, lhe poIaiily lelveen adjusleis and ieguIalois can le
exliapoIaled anolhei: slep lo incIude vhal ve nay caII exliaieguIalois vhich
achieve honeoslalic conlioIs cu|sidc lhe lody ly changing and conlioIIing lhe
enviionnenl~nan leing lhe nosl conspicuous exanpIe of lhis cIass.
In lhe eaiIiei pail of lhis essay, il vas aigued lhal in adjusling lo high aIlilude
lheie is a lenefil lo le ollained, in leins of an econonics of fIexiliIily, ly shifling
fion, e.g., panling lo lhe noie piofound and Iess ieveisilIe changes of accIinalion,
lhal halil is noie econonicaI lhan liiaI and eiioi, and lhal genolypic conlioI nay le
noie econonicaI lhan accIinalion. These aie aII ccn|ripc|a| changes in lhe Iocalion of
conlioI.
In lhe lioad picluie of evoIulion, hovevei, il seens lhal lhe liend is in lhe
opposile diieclion: lhal naluiaI seIeclion, in lhe Iong iun, favois ieguIalois noie lhan
adjusleis, and exliaieguIalois noie lhan ieguIalois. This seens lo indicale lhal lheie
is a Iong line evoIulionaiy advanlage lo le gained ly ccn|rifuga| shifls in lhe Iocus of
conlioI.
To specuIale aloul piolIens so vasl is peihaps ionanlic, lul il is voilh noling
lhal lhis conliasl lelveen lhe oveiaII evoIulionaiy liend and lhe liend in a
popuIalion faced vilh conslanl sliess is vhal ve nighl expecl fion lhe conveise
coioIIaiy heie leing consideied. If conslanl sliess favois cenliipelaI shifl in lhe Iocus
of conlioI, and vaiialIe sliess favois cenliifugaI shifl, lhen il shouId foIIov lhal in lhe
vasl spans of line and change vhich deleinine lhe lioad evoIulionaiy picluie,
cenliifugaI shifl of conlioI viII le favoied.
G353< 2;??)"&
In lhis essay lhe aulhoi uses a deduclive appioach. Slailing fion pienises of
convenlionaI physioIogy and evoIulionaiy lheoiy and appIying lo lhese lhe
aigunenls of cyleinelics, he shovs lhal lheie nusl le an cccncnics cf scna|ic
f|cxioi|i|q and lhal lhis econonics nusl, in lhe Iong iun, le coeicive upon lhe
evoIulionaiy piocess. LxleinaI adaplalion ly nulalion oi genolypic ieshuffIing, as
oidinaiiIy lhoughl of, viII inevilalIy use up lhe avaiIalIe sonalic fIexiliIily. Il
foIIovs~if evoIulion is lo le conlinuous~lhal lheie nusl aIso le a cIass of genolypic
changes vhich viII confei a lonus of sonalic fIexiliIily.
In geneiaI, lhe sonalic achievenenl of change is unecononicaI lecause lhe
piocess depends upon honeoslasis, i.e., upon vhoIe ciicuils of inleidependenl
vaiialIes. Il foIIovs lhal inheiilance of acquiied chaiacleiislics vouId le IelhaI lo lhe
evoIulionaiy syslen lecause il vouId fix lhe vaIues of lhese vaiialIes aII aiound lhe
ciicuils. The oiganisn oi species vouId, hovevei, lenefil (in suivivaI leins) ly
genolypic change vhich vouId sinu|a|c Lanaickian inheiilance, i.e., vouId liing
aloul lhe adaplive conponenl of sonalic honeoslasis vilhoul invoIving lhe vhoIe
honeoslalic ciicuil. Such a genolypic change (eiioneousIy caIIed lhe aId-vin
effecl) vouId confei a lonus of sonalic fIexiliIily and vouId lheiefoie have naiked
suivivaI vaIue.
IinaIIy, il is suggesled lhal a conliaiy aigunenl can le appIied in lhose cases
vheie a popuIalion nusl accIinale lo tariao|c sliess. Heie naluiaI seIeclion shouId
favoi an anli-aIdvin effecl.
T". &J<M;8LE%BC%+89:K8:C%:CG%/9@8J%7:LL:;B:C%
+<LL>CBK:9B<CI
G3=3< 0C#'-%??;,AJ)*A%,'%M'6"#I#"T):'9)??):+
O
Of lhe Celacea I have had IillIe expeiience. I once dissecled in lhe Canliidge
ZooIogicaI Laloialoiies a specinen of Pnccccna loughl fion lhe IocaI fishnongei,
and did nol ieaIIy encounlei celaceans again unliI lhis yeai, vhen I had an
oppoilunily lo neel Di. LiIIys doIphins. I hope lhal ny discussion of sone of lhe
queslions lhal aie in ny nind as I appioach lhese pecuIiai nannaIs viII assisl you
in exanining eilhei lhese oi ieIaled queslions.
My pievious voik in lhe fieIds of anlhiopoIogy, aninaI elhoIogy, and
psychialiic lheoiy piovides a lheoielicaI fianevoik foi lhe liansaclionaI anaIysis of
lehavioi. The pienises of lhis lheoielicaI posilion nay le liiefIy sunnaiized: (1)
lhal a ieIalionship lelveen lvo (oi noie) oiganisns is, in-facl, a sequence of S-R
sequences (i.e.,. of conlexls in vhich piolo-Ieaining occuis) , (2) lhal deuleioIeaining
(i.e., Ieaining lo Ieain) is, in facl, lhe acquiiing of infoinalion aloul lhe conlingency
palleins of lhe conlexls in vhich piolo-Ieaining occuis, and (3) lhal lhe chaiaclei of
lhe oiganisn is lhe aggiegale of ils deuleio-Ieaining and lheiefoie iefIecls lhe
conlexluaI palleins of pasl pioloIeaining.
1O
These pienises aie essenliaIIy a hieiaichic sliucluiing of Ieaining lheoiy aIong
Iines ieIaled lo RusseIIs Theoiy of LogicaI Types.
11
The pienises, foIIoving lhe
Theoiy of Types, aie piinaiiIy appiopiiale foi lhe anaIysis of digi|a| connunicalion.
To vhal exlenl lhey nay le appIicalIe lo anaIogic connunicalion oi lo syslens lhal
conline lhe digilaI vilh lhe anaIogic is piolIenalic. I hope lhal lhe sludy of doIphin
connunicalion viII lhiov Iighl on lhese fundanenlaI piolIens. The poinl is nol
eilhei lo discovei lhal doIphins have conpIex Ianguage oi lo leach lhen LngIish, lul
lo cIose gaps in oui lheoielicaI knovIedge of ccnnunica|icn ly sludying a syslen
lhal, vhelhei iudinenlaiy oi conpIex, is aInosl ceilainIy of a lolaIIy unfaniIiai
kind.
Lel ne slail fion lhe facl lhal lhe doIphin is a nannaI. This facl has, of couise,
aII soils of inpIicalions foi analony and physioIogy, lul il is nol vilh lhese lhal I an
conceined. I an inleiesled in his connunicalion, in vhal is caIIed his lehavioi,
Iooked al as an aggiegale of dala peiceplilIe and ncaningfu| lo olhei nenleis of lhe
sane species. Il is neaningfuI, fiisl, in lhe sense lhal il affecls a iecipienl aninaIs
*
This ailicIe appeaied as Chaplei 25, pp. 569-799, in lna|cs, Dc|pnins and Pcrpciscs,
ediled ly Kennelh S. Noiiis, Univeisily of CaIifoinia Iiess, 1966. Repiinled ly peinission of The
Regenls of lhe Univeisily of CaIifoinia.
10
}. Ruesch and C. aleson, Ccnnunica|icn. Tnc Sccia| Ma|rix cf Psqcnia|rq, Nev Yoik, Noilon,
1951.
11
A. N. Whilehead and . RusseII, Principia Ma|ncna|ica, London, Canliidge Univeisily Iiess,
191O.
lehavioi, and, second, in lhe sense lhal peiceplilIe faiIuie lo achieve appiopiiale
neaning in lhe fiisl sense viII affecl lhe lehavioi of lolh aninaIs. Whal I say lo you
nay le lolaIIy ineffeclive, lul ny incffcc|itcncss, if peiceplilIe, viII affecl lolh you
and ne. I sliess lhis poinl lecause il nusl le ienenleied lhal in aII ieIalionships
lelveen nan and sone olhei aninaI, especiaIIy vhen lhal aninaI is a doIphin, a
veiy Iaige piopoilion of lhe lehavioi of lolh oiganisns is deleinined ly lhis kind of
ineffecliveness.
When I viev lhe lehavioi of doIphins as connunicalion, lhe nannaIian IaleI
inpIies, foi ne, sonelhing veiy definile. Lel ne iIIusliale vhal I have in nind ly an
exanpIe fion enson Cinsluigs voIf pack in lhe iookfieId Zoo.
Anong lhe Canidae, veaning is peifoined ly lhe nolhei. When lhe puppy asks
foi niIk, she piesses dovn vilh hei open noulh on lhe lack of his neck, ciushing
hin dovn lo lhe giound. She does lhis iepealedIy unliI he slops asking. This nelhod
is used ly coyoles, dingoes, and lhe doneslic dog. Anong voIves lhe syslen is
diffeienl. The puppies giaduale snoolhIy fion lhe nippIe lo ieguigilaled food. The
pack cones lack lo lhe den vilh lheii leIIies fuII. AII ieguigilale vhal lhey have gol
and aII eal logelhei. Al sone poinl lhe aduIls slail lo vean lhe puppies fion lhese
neaIs, using lhe nelhod enpIoyed ly lhe olhei Canidae, lhe aduIl ciushes lhe
puppy dovn ly piessing ils open noulh on lhe lack of lhe puppys neck. In lhe voIf
lhis funclion is nol confined lo lhe nolhei, lul is peifoined ly aduIls of lolh sexes.
The pack Ieadei of lhe Chicago pack is a nagnificenl naIe aninaI vho endIessIy
palioIs lhe acie of Iand lo vhich lhe pack is confined. He noves vilh a leaulifuI liol
lhal appeais liieIess, vhiIe lhe olhei eighl oi nine nenleis of lhe pack spend nosl of
lheii line dozing. When lhe fenaIes cone in heal lhey usuaIIy pioposilion lhe
Ieadei, lunping againsl hin vilh lheii ieai ends. UsuaIIy, hovevei, he does nol
iespond, lhough he does acl lo pievenl olhei naIes fion gelling lhe fenaIes. Lasl
yeai one of lhese naIes succeeded in eslalIishing coilus vilh a fenaIe. As in lhe
olhei Canidae, lhe naIe voIf is Iocked in lhe fenaIe, unalIe lo vilhdiav his penis,
and lhis aninaI vas heIpIess. Up iushed lhe pack Ieadei. Whal did he do lo lhe
heIpIess naIe vho daied lo infiinge lhe Ieadeis pieiogalives` Anlhioponoiphisn
vouId suggesl lhal he vouId leai lhe heIpIess naIe lo pieces. ul no. The fiIn shovs
lhal he piessed dovn lhe head of lhe offending naIe foui lines vilh his open javs
and lhen sinpIy vaIked avay.
Whal aie lhe inpIicalions foi ieseaich fion lhis iIIuslialion` Whal lhe pack
Ieadei does is nol desciilalIe, oi onIy insufficienlIy desciiled, in S-R leins. He does
nol negaliveIy ieinfoice
Ianguage. (Il nighl, noie piolalIy, iesenlIe nusic.) I shaII lheiefoie nol
expecl lhe lechniques foi ciacking hunan Iinguislic codes lo le innedialeIy
appIicalIe lo lhe vocaIizalion of doIphins.
(3)The fiisl iequiienenl, lhen, is lo idenlify and lo cIassify lhe vaiielies and lhe
conponenls of ieIalionship exisling anong lhe aninaIs lhiough delaiIed elhoIogicaI
sludy of lheii aclions, inleiaclions, and sociaI oiganizalion. The eIenenls of vhich
lhese palleins aie luiIl aie doullIess sliII piesenl in lhe kinesics and aclions of lhe
species. We lheie-foie legin vilh a Iisling of lhe kinesic signaIs of individuaI
doIphins, and lhen liy lo ieIale lhen lo lhe conlexls in vhich lhey aie used.
(4)No doull, jusl as lhe pack Ieadeis lehavioi leIIs us lhal
doninance anong
voIves is nelaphoiicaIIy ieIaled lo veaning, so aIso lhe doIphins viII leII us lheii
kinesic nelaphois foi
s RuIe. ul il viII le noled lhal lhe dala on synneliy in lhe Iegs of leelIes
have, in facl, leen oveiexpIained.
Tvo dislincl lul nol nuluaIIy excIusive~lypes of ex-pIanalion have leen
invoked: (a) lhe Ioss of infoinalion vhich shouId have leen deiived fion a cenlio-
peiipheiaI giadienl, and (l) infoinalion deiived fion shaied peiipheiaI
noiphoIogy.
Neilhei of lhese lypes of expIanalion is sufficienl ly ilseIf lo expIain lhe
phenonena, lul vhen conlined lhe lvo piincipIes oveiIap so lhal sone delaiIs of
lhe lolaI picluie can le iefeiied sinuIlaneousIy lo lolh
piincipIes.
Such iedundancy is, no doull, lhe iuIe ialhei lhan lhe exceplion in lioIogicaI
syslens, as il is in aII olhei syslens of oiganizalion, diffeienlialion, and
connunicalion. In aII such syslens, iedundancy is a najoi and necessaiy souice of
slaliIily, piediclaliIily, and inlegialion.
Redundancy vilhin lhe syslen viII inevilalIy appeai as oveiIapping lelveen
oui expIanalions of lhe syslen. Indeed, vilhoul oveiIapping, oui expIanalions viII
connonIy le insufficienl, faiIing lo expIain lhe facls of lioIogicaI inlegialion.
We knov IillIe aloul hov lhe palhvays of evoIulionaiy change aie infIuenced
ly such noiphogenelic and physioIogicaI iedundancies. ul ceilainIy such inleinaI
iedundancies nusl inpose noniandon chaiacleiislics upon lhe phenonena of
vaiialion.
2O
G3434 F#@;D:AJ)*#@'XA?T+'A,'B?DCATA)
Al lhis poinl il is inleiesling lo luin fion anaIysis of iedupIicalion in leelIes Iegs
lo anolhei lody of dala in vhich iedupIicalion connonIy occuis and has leen
iefeiied lo alesons RuIe.
21
These aie lhe dala on iedupIicalion in lhe expeiinenlaIIy
lianspIanled Iinls of IaivaI nevls.
(1) Theie aie sone cases, noslIy of heleiolopic lians-pIanls in vhich lhe giafled
Iinl lud deveIops inlo a sinpIe and appaienlIy equaI linaiy syslen, in vhich lhe
lvo conponenls aie in niiioi inage synneliy. I vas shovn aloul lhiee yeais ago a
veiy sliiking piepaialion ly Di. Lneison Hillaid of lhe CaIifoinia Inslilule of
TechnoIogy. In lhis specinen lhe Iinl lud had leen iolaled lhiough 18O, so lhal lhe
anleiioi edge of lhe lud faced lovaid lhe posleiioi end of lhe hosl, and had leen
inpIanled in a nedian doisaI posilion on lhe posleiioi iegion of lhe head of lhe hosl.
This lianspIanl had deveIoped inlo lvo ienaikalIy conpIele Iegs in niiioi inage
ieIalionship. This linaiy syslen vas connecled lo lhe head of lhe hosl onIy ly a
sIendei liidge of lissue.
Such piepaialions, vheie lhe pioducl is linaiy and lhe pails equaI, ceilainIy
Iook Iike vhal vouId le expecled fion a sinpIe Ioss of one dinension of oiienling
infoinalion. (Il vas Di. Hillaids specinen lhal suggesled lo ne lhal lhe hypolhesis
of Iosl infoinalion nighl le appIicalIe lo lhe anphilian naleiiaI.)
(2) Hovevei, apail fion lhese inslances of equaI linaiy iedupIicalion, lhe
anphilian naleiiaI does nol al aII fil vilh any hypolhesis lhal vouId expIain lhe
iedupIicalion as due lo a sinpIe Ioss of infoinalion. Indeed, if alesons RuIe veie
iesliicled lo cases vheie lhe expIanalion is foinaIIy anaIogous lo lhal vhich fils lhe
20
C. aleson, The RoIe of Sonalic Change in LvoIulion, |tc|u|icn, 1962, 17: 5 2 9 - 3 9 .
21
Haiiison, cp. ci|., aIso I. H. Svell, On The Iioduclion of DoulIe Linls in Anphilians,
]curna| cf |xpcrincn|a| Zcc|cgq, 1926, 44: 419-72.
iedupIicalion in lhe leelIes Iegs, lhen lhe anphilian cases vouId piolalIy nol faII
undei lhis iuliic.
The Iinilalions of a hypolhesis aie, hovevei, as inpoilanl as ils appIicalions,
and I shaII lheiefoie sunnaiize heie lhe veiy conpIex dala on oilholopic
lianspIanls.
One schenalic paiadign viII suffice: if lhe iighl anleiioi Iinl lud is excised,
luined lhiough 18O and iepIaced in lhe vound, il viII giov lo le a |cf| Iinl. ul lhis
piinaiy Iinl nay sulsequenlIy foin secondaiy Iinl luds al ils lase, usuaIIy eilhei
innedialeIy anleiioi oi posleiioi lo lhe poinl of inseilion. The secondaiy viII le a
niiioi inage of lhe piinaiy, and nay even Ialei deveIop a leiliaiy vhich viII
lypicaIIy le foined oulside lhe secondaiy, i.e., on lhal side of lhe secondaiy vhich is
failhesl fion lhe piinaiy.
The foinalion of lhe Iefl piinaiy on lhe iighl side of lhe lody is expIained
22
ly
assuning lhal anleio-posleiioi oiienlalion is ieceived ly lhe Iinl lud eaiIiei lhan
doiso-venliaI infoinalion, and lhal, once ieceived, lhis anleio-posleiioi infoinalion
is iiieveisilIe. Il is supposed lhal lhe giafl is aIieady anleio-posleiioiIy deleinined
al lhe line of giafling lul Ialei ieceives doiso-venliaI infoinalion fion lhe lissues
vilh vhich il is nov in conlacl. The iesuIl is a Iinl vhose doiso-venliaI oiienlalion
is coiiecl foi ils nev selling lul vhose anleio-posleiioi oiienlalion is ieveised. Il is
lacilIy assuned lhal lhe pioxino-dislaI oiienlalion of lhe lud is undisluiled. The
iesuIl is a Iinl vhich is ieveised in iegaid lo cnc of ils lhiee soils of asynneliy.
Such a Iinl nusl IogicaIIy le a Iefl.
This expIanalion I accepl and pioceed lo considei lhe iedupIicalions.
These diffei in foui inpoilanl iespecls fion lhe iedupIicalions in leelIes Iegs
discussed alove:
(a)In lhe leelIes, lhe iedupIicalion is usuaIIy equaI. The lvo haIves of lhe
supeinuneiaiy doulIel aie equaI in size, and aie usuaIIy appioxinaleIy equaI in size
lo lhe coiiesponding pails of lhe piinaiy Ieg. Such diffeiences as do appeai anong
lhe lhiee conponenls aie such as nighl expeclalIy iesuIl fion liophic diffeiences.
ul in lhe IaivaI nevls, gieal diffeiences in size occui lelveen lhe conponenls of lhe
iedupIicaled syslen, and il appeais lhal lhese diffeiences aie deleinined ly |inc.
The secondaiies aie snaIIei lhan lhe piinaiies lecause lhey aie pioduced Ialei and,
siniIaiIy, lhe iaie leiliaiies aie Ialei and snaIIei lhan lhe secondaiies. This spacing of
evenls in line indicales cIeaiIy lhal lhe piinaiy Iinl ieceived aII lhe infoinalion
necessaiy lo deleinine ils ovn asynneliy. Il ieceived, in-deed, viong
infoinalion and giev lo le a Iefl Ieg on lhe iighl side of lhe lody lul il did nol suffei
fion such a deficiency of infoinalion as vouId nake il innedialeIy faiI lo achieve
asynneliy. The iedupIicalion cannol sinpIy le asciiled lo Ioss of oiienling
infoinalion in lhe piinaiy.
(l)The iedupIicalions in leelIes Iegs nay occui al any poinl aIong lhe Ienglh of
lhe Ieg. ul lhose of anphilian Iaivae usuaIIy aiise fion lhe iegion of allachnenl of
lhe Iinl lo lhe lody. Il is nol even suie lhal lhe secondaiy aIvays shaies lissue vilh
lhe piinaiy.
(c)In lhe case of lhe leelIes, lhe supeinuneiaiy doulIels foin a conlinuous
seiies, leing given off fion any poilion of lhe peiipheiy of lhe piinaiy. In conliasl,
22
'Svell, cp. ci|., aIso Haiiison, cp. ci|.
lhe iedupIicalion of Iinls in anphilian Iaivae is IocaIized eilhei anleiioi oi posleiioi
lo lhe piinaiy.
In lhe leelIes il is cIeai lhal lhe lvo supeinuneiaiy conponenls foin logelhei a
singIe unil. In nany cases lheie is acluaI conpounding of lhe lvo conponenls (as in
Iiguie 1). In no case
23
is lhal conponenl of lhe doulIel vhich is neaiei lo lhe piinaiy
conpounded vilh il ialhei lhan vilh lhe olhei supeinuneiaiy. In lhe anphilian
piepaialions, on lhe olhei hand, il is nol cIeai lhal secondaiy and leiliaiy foin a
sulunil. The ieIalion lelveen leiliaiy and secondaiy seens no cIosei lhan lelveen
secondaiy and piinaiy. Alove aII, lhe ieIalion is asynneliic in lhe line dinension.
These piofound foinaI diffeiences lelveen lhe lvo lodies of dala indicale lhal
lhe expIanalions foi lhe anphilian dala nusl le of a diffeienl oidei. Il vouId seen
lhal lhe piocesses aie Iocaled nol in lhe shafl of lhe Iinl lul in ils lase and lhe
lissues suiiounding lhe lase. TenlaliveIy ve nay guess lhal lhe piinaiy in sone
vay pioposes lhe Ialei foinalion of a secondaiy ly a ieveisaI of giadienl
infoinalion, and lhal lhe secondaiy siniIaiIy pioposes a ieveised leiliaiy. ModeIs
foi such syslens aie avaiIalIe in cyleinelic lheoiy in lhose ciicuil sliucluies vhich
piopose RusseIIian paiadoxes.
24
To allenpl lo consliucl any such nodeI al lhe
piesenl line vouId le pienaluie.
G343G 2;??)"&
This essay on lhe synneliy of iedupIicaled IaleiaI appendages slails fion an
expIanaloiy piincipIe, viz., lhal any slep of onlogenelic diffeienlialion vhich ieduces
lhe synneliy of an oigan (e.g., fion iadiaI lo liIaleiaI synneliy, oi fion liIaleiaI
synneliy lo asynneliy) iequiies addilionaI oiienling infoinalion. Iion lhis
piincipIe il is aigued lhal a noinaIIy asynneliicaI IaleiaI appendage, |ac|ing sone
necessaiy piece of oiienling infoinalion, viII onIy le alIe lo achieve liIaleiaI
synneliy, i.e., inslead of a noinaI asynneliicaI appendage, lhe iesuIl viII le a
liIaleiaIIy synneliicaI doulIel.
To exanine lhis expIanaloiy piincipIe, lhe viilei has al-lenpled lo consliucl a
hypolhesis lo expIain alesons RuIe as lhis ieguIaiily is exenpIified in lhe iaie
supeinuneiaiy doulIe Iegs of CoIeopleia. In lhe consliuclion of lhis hypolhesis, il
vas assuned lhal noiphogenelic oiienling infoinalion nay undeigo liansfoinalion
fion one lype of coding lo anolhei, and lhal each liansfoin oi code is suljecl lo
chaiacleiislic Iinilalions:
(a) The infoinalion nay le enlodied in gradicn|s (peihaps liochenicaI). In lhis
coding, lhe infoinalion can le diffused fion neighloiing lissues and piovide lhe
fiisl deleininanls of asynneliy in lhe deveIoping appendage. Il is suggesled lhal
infoinalion coded in lhis vay is onIy liiefIy avaiIalIe, and lhal once lhe asynneliy
of lhe Iinl is eslalIished, lhe infoinalion conlinues lo exisl, lul lians-foined inlo
noiphoIogy.
(o) Il is suggesled lhal infoinalion coded as noiphoIogicaI diffeience is
essenliaIIy slalic. Il cannol le diffused lo neighloiing lissues and il cannol inhilil
23
aleson (Ma|cria|s ., op. cil., p. 5O7) desciiles and figuies one doullfuI exceplion lo lhis
slalenenl. This is a iedupIicalion in lhe Iefl hind laisus of pIalyceius caialoides.
24
C. aleson, MininaI Requiienenls foi a Theoiy of Schizophienia, A.M.A. Arcnitcs cf
Gcncra| Psqcnia|rq, 196O, 2. 477-91.
lianching. Il can, hovevei, le used ly a lianch vhich al ils inceplion shaies lissue
vilh lhe piinaiy Iinl fion vhich il lianches off. In lhis case, lhe infoinalion passed
on ly lhe nelhod of shaied peiipheiy viII le necessaiiIy inveiled: if lhe piinaiy le a
iighl, lhe lianch viII le a Iefl.
(c) The infoinalion in noiphoIogicaI foin leing (ly hypolhesis) unalIe lo
inhilil lianching, lhe asynneliy of a gioving piinaiy nusl le pieseived ly a
cenlio-peiipheiaI giadienl~nol ilseIf a deleininanl of lhal asynneliy.
(d) Il is suggesled lhal lhe |css of such a cenlio-peiipheiaI giadienl nighl have
lvo effecls: lhal of peinilling lianching and lhal of depiiving lhe iesuIling lianch of
one dinension of necessaiy oiienling infoinalion, so lhal lhe lianch can onIy le a
liIaleiaIIy synneliicaI unil vilh a pIane of synneliy al iighl angIes lo lhe Iosl
cenliopeiipheiaI giadienl.
The dala on iedupIicalion in lhe expeiinenlaIIy lians-pIanled Iinl luds of
anphilia aie aIso exanined. Il is aigued lhal lhese dala aie nol lo le expIained ly
sinpIe Ioss of oiienling infoinalion. SinpIe Ioss, il is suggesled, viII expeclalIy
iesuIl in equaI and synchionous liIaleiaI synneliy. The anphilian iedupIicales aie,
in geneiaI, unequaI and successive. In a fev cases, synchionous and equaI ie-
dupIicalion occuis in lhe anphilian expeiinenls, especiaIIy in heleiolopic inpIanls.
Such cases couId peihaps le iegaided as due lo sinpIe Ioss of oiienling infoinalion.
G343E 6%+*+J"AD*Z'<]L<
Conpaie lhe liIaleiaI synneliy in lhe supeinuneiaiy doulIel of lhe leelIes Ieg
vilh lhe liIaleiaI synneliy in lhe sveel pea oi oichid fIovei. olh in lhe pIanl and
in lhe aninaI, lhe liIaleiaIIy synneliicaI unil cones off fion a poinl of lianching.
In lhe pIanl, lhe noiphoIogy of lhe foik prctidcs infoinalion enalIing lhe fIovei
lo le nol iadiaIIy lul liIaleiaIIy synneliicaI, i.e., infoinalion vhich viII diffeienliale
lhe doisaI slandaid fion lhe venliaI Iip of lhe fIovei.
In lhe doulIel on lhe leelIes Ieg, lhe pIane of liIaleiaI synneliy is oilhogonaI lo
lhal in lhe fIovei.
We nighl say lhal lhe infoinalion vhich lhe leelIes Ieg has Iosl is pieciseIy lhal
infoinalion vhich lhe pIanl cieales ly lhe acl of lianching.
T"T +<LL8C9%<C%&:J9%3Z
The papeis pIaced logelhei in lhis pail aie diveise in lhal vhiIe each papei is a
lianch fion lhe nain slen of lhe aigunenl of lhe look, lhese lianches cone off
fion veiy diffeienl Iocalions. The RoIe of Sonalic Change in LvoIulion
is an
expansion of lhe lhoughl lehind MininaI Requiienenls foi a Theoiy of
Schizophienia,
A Re-exaninalion of aleson
s RuIe
oi iigoious nelaphoi.
An aIgeliaic pioposilion nay, foi exanpIe, le napped onlo a syslen of geoneliic
cooidinales and lheie pioven ly geoneliic nelhods. In cyleinelics, napping
appeais as a lechnique of expIanalion vhenevei a concepluaI nodeI is invoked oi,
noie concieleIy, vhen a conpulei is used lo sinuIale a conpIex connunicalionaI
piocess. ul lhis is nol lhe onIy appeaiance of napping in lhis science. IoinaI
piocesses of napping, liansIalion, oi liansfoinalion aie, in piincipIe, inpuled lo
ctcrq slep of any sequence of phenonena vhich lhe cyleinelicisl is allenpling lo
expIain. These nappings oi lians-foinalions nay le veiy conpIex, e.g., vheie lhe
oulpul of sone nachine is iegaided as a liansfoin of lhe inpul, oi lhey nay le veiy
sinpIe, e.g., vheie lhe iolalion of a shafl al a given poinl aIong ils Ienglh is iegaided
as a liansfoin (aIleil idenlicaI) of ils iolalion al sone pievious poinl.
The ieIalions vhich ienain conslanl undei such liansfoinalion nay le of any
conceivalIe kind.
This paiaIIeI, lelveen cyleinelic expIanalion and lhe laclics of IogicaI oi
nalhenalicaI pioof, is of noie lhan liiviaI inleiesl. Oulside of cyleinelics, ve Iook
foi expIanalion, lul nol foi anylhing vhich vouId sinuIale IogicaI pioof. This
sinuIalion of pioof is sonelhing nev. We can say, hovevei, vilh hindsighl visdon,
lhal expIanalion ly sinuIalion of IogicaI oi nalhenalicaI pioof vas expeclalIe. Aflei
aII, lhe suljecl nallei of cyleinelics is nol evenls and oljecls lul lhe infcrna|icn
caiiied ly evenls and oljecls. We considei lhe oljecls oi evenls onIy as pioposing
facls, pioposilions, nessages, peicepls, and lhe Iike. The suljecl nallei leing
pioposilionaI, il is expeclalIe lhal expIanalion vouId sinuIale lhe IogicaI.
Cyleinelicians have speciaIized in lhose expIanalions vhich sinuIale rcduc|ic ad
aosurdun and napping. Theie aie peihaps vhoIe ieaIns of expIanalion availing
discoveiy ly sone nalhenalician vho viII iecognize, in lhe infoinalionaI aspecls of
naluie, sequences vhich sinuIale olhei lypes of pioof.
ecause lhe suljecl nallei of cyleinelics is lhe pioposilionaI oi infoinalionaI
aspecl of lhe evenls and oljecls in lhe naluiaI voiId, lhis science is foiced lo
pioceduies ialhei diffeienl fion lhose of lhe olhei sciences. The diffeienlialion, foi
exanpIe, lelveen nap and leiiiloiy, vhich lhe senanlicisls insisl lhal scienlisls shaII
iespecl in lheii viilings nusl, in cyleinelics, le valched foi in lhe veiy phenonena
aloul vhich lhe scienlisl viiles. LxpeclalIy, connunicaling oiganisns and ladIy
piogianned conpuleis viII nislake nap foi leiiiloiy, and lhe Ianguage of lhe
scienlisl nusl le alIe lo cope vilh such anonaIies. In hunan lehavioiaI syslens,
especiaIIy in ieIigion and iiluaI and vheievei piinaiy piocess doninales lhe scene,
lhe nane oflen is lhe lhing naned. The liead is lhe ody, and lhe vine is lhe Iood.
SiniIaiIy, lhe vhoIe nallei of induclion and deduclion ~and oui docliinaiie
piefeiences foi one oi lhe olhei~viII lake on a nev significance vhen ve iecognize
induclive and deduclive sleps nol onIy in oui ovn aigunenl lul in lhe ieIalionships
anong dala.
Of especiaI inleiesl in lhis conneclion is lhe ieIalionship lelveen ccn|cx| and ils
conlenl. A phonene exisls as such onIy in conlinalion vilh olhei phonenes vhich
nake up a void. The void is lhe ccn|cx| of lhe phonene. ul lhe void onIy exisls as
such~onIy has neaning~in lhe Iaigei conlexl of lhe ulleiance, vhich again has
neaning onIy in a ieIalionship.
This hieiaichy of conlexls vilhin conlexls is univeisaI foi lhe connunicalionaI
(oi enic) aspecl of phenonena and diives lhe scienlisl aIvays lo seek foi
expIanalion in lhe evei Iaigei unils. Il nay (peihaps) le liue in physics lhal lhe
expIanalion of lhe nacioscopic is lo le soughl in lhe nicioscopic. The opposile is
usuaIIy liue in cyleinelics: vilhoul conlexl, lheie is no connunicalion.
In accoid vilh lhe negalive chaiaclei of cyleinelic ex-pIanalion, infoinalion is
quanlified in negalive leins. An evenl oi-oljecl such as lhe Iellei K in a given
posilion in lhe lexl of a nessage nign| have leen any olhei of lhe Iiniled sel of
lvenly-six Ielleis in lhe LngIish Ianguage. The acluaI Iellei excIudes (i.e., eIininales
ly iesliainl) lvenly-five aIleinalives. In conpaiison vilh an LngIish Iellei, a Chinese
ideogiaph vouId have excIuded seveiaI lhousand aIleinalives. We say, lheiefoie,
lhal lhe Chinese ideogiaph caiiies noie infoinalion lhan lhe Iellei. The quanlily of
infoinalion is convenlionaIIy expiessed as lhe Iog lo lase 2 of lhe inpiolaliIily of
lhe acluaI evenl oi oljecl.
IiolaliIily, leing a ialio lelveen quanlilies vhich have siniIai dinensions, is
ilseIf of zeio dinensions. Thal is, lhe cenliaI expIanaloiy quanlily, infoinalion, is of
zeio dinensions. Quanlilies of ieaI dinensions (nass, Ienglh, line) and lheii
deiivalives (foice, eneigy, elc.) have no pIace in cyleinelic expIanalion.
The slalus of eneigy is of speciaI inleiesl. In geneiaI in connunicalionaI syslens,
ve deaI vilh sequences vhich iesenlIe slinuIus-and-iesponse ialhei lhan cause-
and-effecl. When one liIIiaid laII sliikes anolhei, lheie is an eneigy liansfei such
lhal lhe nolion of lhe second laII is eneigized ly lhe inpacl of lhe fiisl. In
connunicalionaI syslens, on lhe olhei hand, lhe eneigy of lhe iesponse is usuaIIy
piovided ly lhe iespondenl. If I kick a dog, his innedialeIy sequenliaI lehavioi is
eneigized ly his nelaloIisn, nol ly nq kick. SiniIaiIy, vhen one neuion fiies
anolhei, oi an inpuIse fion a niciophone aclivales a ciicuil, lhe sequenl evenl has
ils ovn eneigy souices.
Of couise, eveiylhing lhal happens is sliII vilhin lhe Iinils defined ly lhe Iav of
eneigy conseivalion. The dogs nelaloIisn nighl in lhe end Iinil his iesponse, lul,
in geneiaI, in lhe syslens vilh vhich ve deaI, lhe eneigy suppIies aie Iaige
conpaied vilh lhe denands upon lhen, and, Iong lefoie lhe suppIies aie exhausled,
econonic
palleining.
1
Il is inpoilanl
lo nole lhal lhis palleining of nessage naleiiaI aIvays heIps lhe ieceivei lo
diffeienliale lelveen signaI and noise. In facl, lhe ieguIaiily caIIed signaI/noise ialio
is ieaIIy onIy a speciaI case of iedundancy. CanoufIage (lhe opposile of
connunicalion) is achieved (1) ly ieducing lhe signaI/noise ialio, (2) ly lieaking up
lhe palleins and ieguIaiilies in lhe signaI, oi (3) ly inlioducing siniIai palleins inlo
lhe noise.
y confining lheii allenlion lo lhe inleinaI sliucluie of lhe nessage naleiiaI, lhe
engineeis leIieve lhal lhey can avoid lhe conpIexilies and difficuIlies inlioduced inlo
connunicalion lheoiy ly lhe concepl of neaning. I vouId aigue, hovevei, lhal
lhe concepl iedundancy
vilhin lhe
iesliicled univeise of lhe nessage sequence is nol, of couise, synonynous vilh
neaning in lhe videi univeise lhal incIudes lolh nessage and exleinaI iefeienl.
Il viII le noled lhal lhis vay of lhinking aloul connunicalion gioups aII
nelhods of coding undei lhe singIe iuliic of pail-foi-vhoIe. The veilaI nessage Il
is iaining is lo le seen as a par| of a Iaigei univeise vilhin vhich lhal nessage
cieales iedundancy oi piediclaliIily. The digilaI, lhe anaIogic, lhe iconic, lhe
nelaphoiic,
and aII olhei nelhods of coding aie sulsuned undei lhis singIe
heading. (Whal lhe giannaiians caII synecdoche
)
This appioach lo lhe nallei has ceilain advanlages: lhe anaIysl is foiced al aII
lines lo define lhe univeise of discouise vilhin vhich iedundancy oi neaning is
supposed lo occui. He is foiced lo exanine lhe IogicaI lyping
of aII nessage
naleiiaI. We shaII see lhal lhis lioad viev of lhe nallei nakes il easy lo idenlify
najoi sleps in lhe evoIulion of connunicalion. Lel us considei lhe scienlisl vho is
olseiving lvo aninaIs in a physicaI enviionnenl. The foIIoving conponenls lhen
nusl le consideied:
(1)The physicaI enviionnenl conlains inleinaI palleining oi iedundancy, i.e.,
lhe peiceplion of ceilain evenls oi oljecls nakes olhei evenls oi oljecls piediclalIe
foi lhe aninaIs and/oi foi lhe olseivei.
(2)Sounds oi olhei signaIs fion one aninaI nay con-liilule iedundancy lo lhe
syslen, cntircnncn| p|us signa|, i.c., lhe signaIs nay le aloul lhe enviionnenl.
(3)The sequence of signaIs viII ceilainIy conlain iedundancy~one signaI fion an
aninaI naking anolhei signaI fion lhe sane aninaI noie piediclalIe.
(4)The signaIs nay conliilule iedundancy lo lhe univeise, As signa|s p|us 8s
signa|s, i.c., lhe signaIs nay le aocu| lhe inleiaclion of vhich lhey aie conponenl
pails.
(5)If aII iuIes oi codes of aninaI connunicalion and undeislanding veie
genolypicaIIy fixed, lhe Iisl vouId end al lhis poinl. ul sone aninaIs aie capalIe of
|carning, c.g., lhe iepelilion of sequences nay Iead lo lheii leconing effeclive as
palleins. In Iogic, eveiy pioposilion pioposes ils ovn liulh, lul in naluiaI hisloiy
ve deaI aIvays vilh a conveise of lhis geneiaIizalion. The peiceivalIe evenls vhich
acconpany a given peicepl piopose lhal lhal peicepl shaII nean lhese evenls. y
sone such sleps an oiganisn nay Ieain lo use lhe infoinalion conlained in
palleined sequences of exleinaI evenls. I can lheiefoie piedicl vilh lel-lei lhan
iandon success lhal in lhe univeise, oiganisn p|us enviionnenl, evenls viII occui
lo conpIele palleins oi configuialions of Ieained adaplalion lelveen oiganisn and
enviionnenl.
(6)The lehavioiaI Ieaining vhich is usuaIIy sludied in psychoIogicaI
Ialoialoiies is of a diffeienl oidei. The iedundancy of lhal univeise, vhich consisls
of lhe aninaIs aclions p|us exleinaI evenls, is incieased, fion lhe aninaIs poinl of
viev, vhen lhe aninaI ieguIaiIy iesponds lo ceilain evenls vilh ceilain aclions.
SiniIaiIy, lhis univeise gains iedundancy vhen lhe aninaI succeeds in pioducing
lhose aclions vhich funclion as ieguIai prccurscrs (oi causes) of specific exleinaI
evenls.
(7)Ioi eveiy oiganisn lheie aie Iinilalions and ieguIaiilies vhich define vhal
viII le Ieained and undei vhal ciicunslances lhis Ieaining viII occui. These
ieguIaiilies and palleins lecone lasic pienises foi lhe individuaI adaplalion and
sociaI oiganizalion of any species.
(8)Lasl lul nol Ieasl, lheie is lhe nallei of phyIogenelic Ieaining and phyIogeny
in geneiaI. Theie is iedundancy in lhe syslen, oiganisn-pIus-enviionnenl, such
lhal fion lhe noiphoIogy and lehavioi of lhe oiganisn a hunan olseivei can
guess vilh lellei lhan iandon success al lhe naluie of lhe enviionnenl. This
infoinalion aloul lhe enviionnenl has lecone Iodged in lhe oiganisn lhiough a
Iong phyIogenelic piocess, and ils coding is of a veiy speciaI kind. The olseivei vho
vouId Ieain aloul lhe aqualic enviionnenl fion lhe shape of a shaik nusl deduce
lhe hydiodynanics fion lhe adaplalion vhich copes vilh lhe valei. The
infoinalion conlained in lhe phenolypic shaik is inpIicil in foins vhich aie
conpIenenlaiy lo chaiacleiislics of olhei pails of lhe univeise, pncnc|qpc p|us
cntircnncn| vhose iedundancy is incieased ly lhe phenolype.
This veiy liief and inconpIele suivey of sone of lhe soils of iedundancy in
lioIogicaI syslens and lhe univeises of lheii ieIevance indicales lhal undei lhe
geneiaI iuliic pail-foi-vhoIe a nunlei of diffeienl soils of ieIalionship lelveen
pail and vhoIe aie incIuded. A Iisling of sone of lhe chaiacleiislics of lhese foinaI
ieIalions is in oidei. We considei sone of lhe iconic cases:
(1)The evenls oi oljecls vhich ve heie caII lhe pail oi signaI nay le ieaI
conponenls of an exisling sequence oi vhoIe. A slanding liunk of a liee indicales
lhe piolalIe piesence of invisilIe iools. A cIoud nay indicale lhe coning sloin of
vhich il is a pail. The laied fang of a dog nay le pail of a ieaI allack.
(2)The pail nay have onIy a condilionaI ieIalionship lo ils vhoIe: lhe cIoud
nay indicale lhal ve shaII gel vel if ve donl go indoois, lhe laied fang nay le lhe
leginning of an allack vhich viII le conpIeled unIess ceilain condilions aie nel.
(3)The pail nay le conpIeleIy spIil fion lhe vhoIe vhich is ils iefeienl. The
laied fang al lhe given inslanl naq ncn|icn an allack vhich, if and vhen il occuis,
viII incIude a ncu laiing of lhe fangs. The pail has nov lecane a liue iconic
signaI.
(4)Once a liue iconic signaI has evoIved~nol necessaiiIy lhiough sleps 1, 2, oi
3, alove~a vaiiely of olhei palhvays of evoIulion lecone possilIe:
(a)The pail nay lecone noie oi Iess digilaIized, so lhal nagniludes vilhin il
no Iongei iefei lo nagniludes vilhin lhe vhoIe vhich is ils iefeienl lul, foi
exanpIe, conliilule lo an inpiovenenl of lhe signaI/noise ialio.
(l)The pail nay lake on speciaI iiluaI oi nelaphoiic neanings in conlexls
vheie lhe oiiginaI vhoIe lo vhich il once iefeiied is no Iongei ieIevanl. The gane
of nuluaI noulhing lelveen nolhei dog and puppy vhich once foIIoved hei
veaning of lhe pup nay lecone a iiluaI aggiegalion. The aclions of feeding a laly
liid nay lecone a iiluaI of couilship, elc.
Thioughoul lhis seiies, vhose lianches and vaiielies aie heie onIy liiefIy
indicaled, il is nolalIe lhal aninaI connunicalion is confined lo signaIs vhich aie
deiived fion aclions of lhe aninaIs lhenseIves, i.e., lhose vhich aie pails of such
aclions. The exleinaI univeise is, as aIieady noled, iedundanl in lhe sense lhal il is
iepIele vilh pail-foi-vhoIe nessages, and~peihaps foi lhal ieason~lhis lasic slyIe
of coding is chaiacleiislic of piinilive aninaI connunicalion. ul in so fai as
aninaIs can signaI al aII aloul lhe exleinaI univeise, lhey do so ly neans of aclions
vhich aie pails of lheii iesponse lo lhal univeise. The jackdavs indicale lo each
olhei lhal Loienz is a jackdav-ealei nol ly sinuIaling sone pail of lhe acl of
ealing jackdavs lul ly sinuIaling pail of lheii aggiession vis-a-vis such a ciealuie.
OccasionaIIy acluaI pieces of lhe exleinaI enviionnenl~sciaps of polenliaI nesl-
luiIding naleiiaI, liophies, and lhe Iike~aie used foi connunicalion, and in lhese
cases again lhe nessages usuaIIy conliilule iedundancy lo lhe univeise ncssagc p|us
|nc rc|a|icnsnip oc|uccn |nc crganisns ialhei lhan lo lhe univeise ncssagc p|us cx|crna|
cntircnncn|.
In leins of evoIulionaiy lheoiy, il is nol sinpIe lo ex-pIain vhy ovei and ovei
again genolypic conlioIs have leen evoIved lo deleinine such iconic signaIing. Iion
lhe poinl of viev of lhe hunan olseivei such iconic signaIs aie ialhei easy lo
inleipiel, and ve nighl expecl iconic coding lo le conpaialiveIy easy foi aninaIs lo
decode~in so fai as lhe aninaIs nusl |carn lo do so. ul lhe genone is piesuned nol
capalIe of Ieaining in lhis sense, and ve nighl lheiefoie expecl genolypicaIIy
deleinined signaIs lo le aniconic oi aililiaiy ialhei lhan iconic.
Thiee possilIe expIanalions of lhe iconic naluie of genolypic signaIs can le
offeied:
(1)Lven genolypicaIIy deleinined signaIs do nol occui as sepaiale and isoIaled
eIenenls in lhe Iife of lhe phenolype lul aie necessaiiIy conponenls in a conpIex
naliix of lehavioi sone, al Ieasl, of vhich is Ieained. Il is possilIe lhal lhe iconic
coding of genolypicaIIy deleinined signaIs iendeis lhese easy lo assiniIale inlo
lhis naliix. Theie nay le an expeiienliaI schooInain vhich acls seIecliveIy lo
favoi lhose genolypic changes vhich viII give iise lo iconic ialhei lhan aililiaiy
signaIing.
(2)A signaI of aggiession vhich pIaces lhe signaIei in a posilion of ieadiness lo
allack piolalIy has noie suivivaI vaIue lhan vouId a noie aililiaiy signaI.
(3)When lhe genolypicaIIy deleinined signaI affecls lhe lehavioi of anolhei
species~e.g., eye naiks oi posluies vhich have a vaining effecl, novenenls
vhich faciIilale canoufIage oi aposenalic niniciy~cIeaiIy lhe signaI nusl le
iconic lo lhe peiceplive syslen of lhal olhei species. Hovevei, an inleiesling
phenonenon aiises in nany inslances vheie vhal is achieved is a secondaiy
slalislicaI iconicisn. |aorcidcs dinidia|us, a snaII Indo-Iacific viasse, vhich Iives on
lhe eclopaiasiles of olhei fishes, is sliikingIy coIoied and noves oi dances in a
vay vhich is easiIy iecognized. No doull lhese chaiacleiislics alliacl olhei fish
and aie pail of a signaIing syslen vhich Ieads lhe olhei fish lo peinil lhe
appioaches of lhe cIeanei. ul lheie is a ninic of lhis species of |aorcidcs, a salei-
loolhed lIenny (Aspidcn|us |acnia|us), vhose siniIai coIoiing and novenenl
peinil lhe ninic lo appioach~and lile off pieces of lhe fins of olhei fishes.
2
CIeaiIy lhe coIoiing and novenenls of lhe ninic aie iconic and iepiesenl lhe
cIeanei. ul vhal of lhe coIoiing and novenenls of lhe Iallei` AII lhal is piinaiiIy
iequiied is lhal lhe cIeanei le conspicuous oi dislinclive. Il is nol iequiied lhal il
iepiesenl sonelhing eIse. ul vhen ve considei lhe slalislicaI aspecls of lhe syslen,
il lecones cIeai lhal if lhe lIennies lecone loo nuneious, lhe dislinclive fealuies of
lhe viasses viII lecone iconic vainings and lheii hosls viII avoid lhen. Whal is
necessaiy is lhal lhe signaIs of lhe viasse shaII cIeaiIy and indulilalIy iepiesenl
viasse, i.e., lhe signaIs, lhough peihaps aniconic in lhe fiisl inslance, nusl achieve
and nainlain ly nuIlipIe inpacl a soil of auloiconicisn. When I say il lhiee lines,
il is liue. ul lhis necessily foi auloiconicisn nay aIso aiise vilhin lhe species.
Cenolypic conlioI of signaIing ensuies lhe necessaiy iepeliliveness (vhich nighl le
onIy foiluilous if lhe signaIs had lo le Ieained).
(4) Theie is a case foi asseiling lhal lhe genolypic deleininalion of adaplive
chaiacleiislics is, in a speciaI sense, noie econonicaI lhan lhe achievenenl of siniIai
chaiacleiislic ly sonalic change oi phenolypic Ieaining. This nallei has leen aigued
eIsevheie.
3
iiefIy il is asseiled lhal lhe sonalic adaplive fIexiliIily and/oi Ieaining
capacily of any oiganisn is Iiniled and lhal lhe denands pIaced upon lhese
capacilies viII le ieduced ly genolypic change in any appiopiiale diieclion. Such
changes vouId lheiefoie have suivivaI vaIue lecause lhey sel fiee piecious adaplive
oi Ieaining capacily foi olhei uses. This anounls lo an aigunenl foi 8a|duin effecls.
An exlenlion of lhis aigunenl vouId suggesl lhal lhe iconic chaiaclei of
genolypicaIIy conlioIIed signaIing chaiacleiislics nay, in sone cases, le expIained ly
supposing lhal lhese chaiacleiislics veie once Ieained. (This hypolhesis does nol, of
couise, inpIy any soil of Lanaickian inheiilance. Il is olvious (1) lhal lo fix lhe vaIue
of any vaiialIe in a honeoslalic ciicuil ly such inheiilance vouId soon gun up lhe
honeoslalic syslen of lhe lody, and (2) lhal no anounl of nodificalion of lhe
dependenl vaiialIes in a honeoslalic ciicuil viII change lhe lias of lhe ciicuil.)
(5) Lasl, il is uncIeai al vhal IeveI genolypic deleininalion of lehavioi nighl acl.
Il vas suggesled alove lhal iconic codes aie easiei foi an oiganisn lo Ieain lhan
noie aililiaiy codes. Il is possilIe lhal lhe genolypic conliilulion lo such an
oiganisn nighl lake lhe foin, nol of fixing lhe given lehavioi, lul ialhei of naking
lhis lehavioi easiei lo Ieain~a change in specific Ieaining capacily ialhei lhan a
change in genolypicaIIy deleinined lehavioi. Such a conliilulion fion lhe genolype
vouId have olvious advanlages in lhal il vouId voik aIong vilh onlogenelic change
inslead of voiking possilIy al cioss-puiposes vilh il.
To sun up lhe aigunenl so fai:
(1)ul lhe evoIulion of aniconic veilaI coding ienains unexpIained. Il is
undeislandalIe lhal an eaiIy (in an evoIulionaiy sense) nelhod of ciealing
2
} . L. RandaII and H. S. RandaII, LxanpIes of Miniciy and Iioleclive ResenlIance in
TiopicaI Maiine Iishes, 8u||c|in cf Marinc Scicncc cf |nc Gu|f and Carioocan, 196O, 1O: 444-8O.
3
C. aleson, The RoIe of Sonalic Change in LvoIulion, |tc|u|icn, 1963, 17: 529-
39.
iedundancy vouId le lhe use of iconic pail-foi-vhoIe coding. The exleinaI
nonlioIogicaI univeise conlains iedundancy of lhis kind, and in evoIving a code of
connunicalion il is expeclalIe lhal oiganisns vouId faII inlo lhe sane liick. We
have noled lhal lhe pail can le spIil fion lhe vhoIe, so lhal a shoving of lhe fangs
can denole a possilIe lul as yel nonexislenl fighl. AII lhis piovides an expIanaloiy
lackgiound foi connunicalion ly neans of inlenlion novenenls and lhe Iike.
(2)Il il pailIy undeislandalIe lhal such liicks of coding ly iconic pails nighl
lecone genolypicaIIy fixed.
(3)Il has leen suggesled lhal lhe suivivaI of such piinilive (and lheiefoie
invoIunlaiy) signaIIing in hunan connunicalion aloul peisonaI ieIalionship is
expIained ly a need foi honesly in such nalleis.
We knov fion sludies of aphasia, fion Hockells enuneialion al lhis neeling of
lhe chaiacleiislics of Ianguage and fion eIenenlaiy connon sense lhal lhe
conponenl piocesses of ciealing and undeislanding veilaI connunicalion aie nany
and lhal Ianguage faiIs vhen any one of lhose conponenl piocesses is inleiiupled. Il
is possilIe lhal each of lhese piocesses shouId le lhe focus of a sepaiale sludy. Heie,
hovevei, I shaII considei onIy one aspecl of lhe nallei: lhe evoIulion of sinpIe
indicalive asseilion.
An inleiesling inleinediale lelveen lhe iconic coding of aninaIs and lhe veilaI
coding of hunan speech can le iecognized in hunan dieaning and hunan nylh. In
psychoanaIylic lheoiy, lhe pioduclions of diean piocess aie said lo le chaiacleiized
ly piinaiy-piocess lhinking.
4
Dieans, vhelhei veilaI oi nol, aie lo le consideied
as nelaphoiic slalenenls, i.e., lhe iefeienls of diean aie rc|a|icnsnips vhich lhe
dieanei, consciousIy oi unconsciousIy, peiceives in his vaking voiId. As in aII
nelaphoi, lhe ieIala ienain unnenlioned and in lheii pIaces appeai olhei ilens such
lhal lhe ieIalionships lelveen lhese sulslilule ilens shaII le lhe sane as lhose
lelveen lhe ieIala in lhe vaking voiId.
To idenlify lhe ieIala in lhe vaking voiId lo vhich lhe diean iefeis vouId
conveil lhe nelaphoi inlo a siniIe, and, in geneiaI, dieans conlain no nessage
naleiiaI vhich oveilIy peifoins lhis funclion. Theie is no signaI in lhe diean vhich
leIIs lhe dieanei lhal lhis is nelaphoi oi vhal lhe iefeienl of lhe nelaphoi nay le.
SiniIaiIy, diean conlains no lenses. Tine is leIescoped, and iepiesenlalions of pasl
evenls in ieaI oi disloiled foins nay have lhe piesenl as lheii iefeienl~oi vice
veisa. The palleins of diean aie lineIess.
In a lhealei, lhe audience is infoined ly lhe cuilain and lhe fianing of lhe slage
lhal lhe aclion on lhe slage is onIy a pIay. Iion vilhin lhal fiane lhe pioduceis
and aclois nay allenpl lo invoIve lhe audience in an iIIusion of ieaIily as seeningIy
diiecl as lhe expeiience of diean. And, as in diean, lhe pIay has nelaphoiic
iefeience lo lhe oul-side voiId. ul in diean, unIess lhe sIeepei le pailIy conscious
of lhe facl of sIeep, lheie is no cuilain and no fianing of lhe aclion. The pailiaI
negalive~This is cn|q nelaphoi~is alsenl.
I suggesl lhal lhis alsence of nelaconnunicalive fianes and lhe peisislence in
diean of pallein iecognilion aie aichaic chaiacleiislics in an evoIulionaiy sense. If
lhis le coiiecl, lhen an undeislanding of diean shouId lhiov Iighl lolh on hov
iconic connunicalion opeiales anong aninaIs and on lhe nysleiious evoIulionaiy
slep fion lhe iconic lo lhe veilaI.
4
4 O. IenicheI, Psqcncana|q|ic Tnccrq cf Ncu Yoik,
Noilon, 1945.
Undei lhe Iinilalion inposed ly lhe Iack of a nelaconnunicalive fiane, il is
cIeaiIy inpossilIe foi diean lo nake an indicalive slalenenl, eilhei posilive oi
negalive. As lheie can le no fiane vhich IaleIs lhe conlenl as nelaphoiic,
so lheie
can le no fiane lo IaleI lhe conlenl as IileiaI. Diean can inagine iain oi dioughl,
lul il can nevei asseil Il is iaining oi Il is nol iaining.
s as naleiiaIislic as lhal.
Lel ne liy lo desciile foi you lhal oidei of conpIexily, vhich is in sone degiee a
lechnicaI nallei. RusseI WaIIace senl a fanous essay lo Daivin fion Indonesia. In il
he announced his discoveiy of naluiaI seIeclion, vhich coincided vilh Daivins. Iail
of his desciiplion of lhe sliuggIe foi exislence is inleiesling:
The aclion of lhis piincipIe |lhe sliuggIe foi exislencej is exaclIy Iike lhal of lhe
slean engine, vhich checks and coiiecls any iiieguIaiilies aInosl lefoie lhey lecone
evidenl, and in Iike nannei no unlaIanced deficiency in lhe aninaI kingdon can
evei ieach any conspicuous nagnilude, lecause il vouId nake ilseIf feIl al lhe veiy
fiisl slep, ly iendeiing exislence difficuIl and exlinclion aInosl suie lo foIIov.
The slean engine vilh a goveinoi is sinpIy a ciicuIai liain of causaI evenls, vilh
sonevheie a Iink in lhal chain such lhal lhe noie of sonelhing, lhe Iess of lhe nexl
lhing in lhe ciicuil. The uidcr lhe laIIs of lhe goveinoi diveige, lhe |css lhe fueI
suppIy. If causaI chains vilh lhal geneiaI chaiacleiislic aie piovided vilh eneigy, lhe
iesuIl viII le (if you aie Iucky and lhings laIance oul) a seIf-coiieclive syslen.
WaIIace, in facl, pioposed lhe fiisl cyleinelic nodeI.
Novadays cyleinelics deaIs vilh nuch noie conpIex syslens of lhis geneiaI
kind, and ve knov lhal vhen ve laIk aloul lhe piocesses of civiIizalion, oi evaIuale
hunan lehavioi, hunan oiganizalion, oi any lioIogicaI syslen, ve aie conceined
vilh seIf-coiieclive syslens. asicaIIy lhese syslens aie aIvays ccnscrta|itc of
sonelhing. As in lhe engine vilh a goveinoi, lhe fueI suppIy is changed lo conseive
~lo keep conslanl~lhe speed of lhe fIyvheeI, so aIvays in such syslens changes
occui lo conseive lhe liulh of sone desciiplive slalenenl, sone conponenl of lhe
s|a|us quc. WaIIace sav lhe nallei coiieclIy, and naluiaI seIeclion acls piinaiiIy lo
keep lhe species unvaiying, lul il nay acl al highei IeveIs lo keep conslanl lhal
conpIex vaiialIe vhich ve caII suivivaI.
Di. Laing noled lhal lhe olvious can le veiy difficuIl foi peopIe lo see. Thal is
lecause peopIe aie seIf-coiieclive syslens. They aie seIf-coiieclive againsl
disluilance, and if lhe olvious is nol of a kind lhal lhey can easiIy assiniIale vilhoul
inleinaI disluilance, lheii seIf-coiieclive nechanisns voik lo sideliack il, lo hide il,
even lo lhe exlenl of shulling lhe eyes if necessaiy, oi shulling off vaiious pails of lhe
piocess of peiceplion. Disluiling infoinalion can le fianed Iike a peaiI so lhal il
doesnl nake a nuisance of ilseIf, and lhis viII le done, accoiding lo lhe
undeislanding of lhe syslen ilseIf of vhal vouId le a nuisance. This loo~lhe
pienise iegaiding vhal vouId cause disluilance~is sonelhing vhich is Ieained
and lhen lecones peipelualed oi con-seived.
Al lhis confeience, fundanenlaIIy, ve deaI vilh lhiee of lhese enoinousIy
conpIex syslens oi aiiangenenls of conseivalive Ioops. One is lhe hunan
individuaI. Ils physioIogy and neuioIogy conseive lody lenpeialuie, lIood
chenisliy, lhe Ienglh and size and shape of oigans duiing giovlh and enliyoIogy,
and aII lhe iesl of lhe lodys chaiacleiislics. This is a syslen vhich conseives
desciiplive slalenenls aloul lhe hunan leing, lody oi souI. Ioi lhe sane is liue of
lhe psychoIogy of lhe individuaI, vheie Ieaining occuis lo conseive lhe opinions and
conponenls of lhe s|a|us quc.
Second, ve deaI vilh lhe sociely in vhich lhal individuaI Iives~and lhal sociely
is again a syslen of lhe sane geneiaI kind.
And lhiid, ve deaI vilh lhe ecosyslen, lhe naluiaI lioIogicaI suiioundings of
lhese hunan aninaIs.
Lel ne slail fion lhe naluiaI ecosyslens aiound nan. An LngIish oak vood, oi a
liopicaI foiesl, oi a piece of deseil, is a connunily of ciealuies. In lhe oak vood
peihaps 1OOO species, peihaps noie, in lhe liopicaI foiesl peihaps len lines lhal
nunlei of species Iive logelhei.
I nay say lhal veiy fev of you heie have evei seen such an undisluiled syslen,
lheie aie nol nany of lhen Iefl, lheyve noslIy leen nessed up ly Hcnc sapicns vho
eilhei exleininaled sone species oi inlioduced olheis vhich le-cane veeds and
pesls, oi aIleied lhe valei suppIy, elc., elc. We aie iapidIy, of couise, deslioying aII
lhe naluiaI syslens in lhe voiId, lhe laIanced naluiaI syslens. We sinpIy nake
lhen unlaIanced~lul sliII naluiaI.
e lhal as il nay, lhose ciealuies and pIanls Iive logelhei in a conlinalion of
conpelilion and nuluaI dependency, and il is lhal conlinalion lhal is lhe inpoilanl
lhing lo considei. Lveiy species has a piinaiy MaIlhusian capacily. Any species lhal
does nol, polenliaIIy, pioduce noie young lhan lhe nunlei of lhe popuIalion of lhe
paienlaI geneialion is oul. Theyie dooned. Il is alsoIuleIy necessaiy foi eveiy
species and foi eveiy such syslen lhal ils conponenls have a polenliaI posilive gain
in lhe popuIalion cuive. ul, if eveiy species has polenliaI gain, il is lhen quile a liick
lo achieve equiIiliiun. AII soils of inleiaclive laIances and dependencies cone inlo
pIay, and il is lhese piocesses lhal have lhe soil of ciicuil sliucluie lhal I have
nenlioned.
The MaIlhusian cuive is exponenliaI. Il is lhe cuive of popuIalion giovlh and il
is nol inappiopiiale lo caII lhis lhe popuIalion cxp|csicn.
You nay iegiel lhal oiganisns have lhis expIosive chaiacleiislic, lul you nay as
veII sellIe foi il. The ciealuies lhal donl aie oul.
On lhe olhei hand, in a laIanced ecoIogicaI syslen vhose undeipinnings aie of
lhis naluie, il is veiy cIeai lhal any nonkeying vilh lhe syslen is IikeIy lo disiupl lhe
equiIiliiun. Then lhe exponenliaI cuives viII slail lo appeai. Sone pIanl viII
lecone a veed, sone ciealuies viII le exleininaled, and lhe syslen as a oa|anccd
syslen is IikeIy lo faII lo pieces.
Whal is liue of lhe species lhal Iive logelhei in a vood is aIso liue of lhe
gioupings and soils of peopIe in a sociely, vho aie siniIaiIy in an uneasy laIance of
dependency and conpelilion. And lhe sane liulh hoIds iighl inside you, vheie lheie
is an uneasy physioIogicaI conpelilion and nuluaI dependency anong lhe oigans,
lissues, ceIIs, and so on. Wilhoul lhis conpelilion and dependency you vouId nol le,
lecause you cannol do vilhoul any of lhe conpeling oigans and pails. If any of lhe
pails did nol have lhe expansive chaiacleiislics lhey vouId go oul, and you vouId
go oul, loo. So lhal even in lhe lody you have a IialiIily. Wilh inpiopei disluilance
of lhe syslen, lhe exponenliaI cuives appeai.
In a sociely, lhe sane is liue.
I lhink you have lo assune lhal aII inpoilanl physioIogicaI oi sociaI change is in
sone degiee a sIipping of lhe syslen al sone poinl aIong an exponenliaI cuive. The
sIippage nay nol go fai, oi il nay go lo disaslei. ul in piincipIe if, say, you kiII off
lhe lhiushes in a vood, ceilain conponenls of lhe laIance viII iun aIong exponenliaI
cuives lo a nev slopping pIace.
In such sIippage lheie is aIvays dangei~lhe possiliIily lhal sone vaiialIe, e.g.,
popuIalion densily, nay ieach such a vaIue lhal fuilhei sIippage is conlioIIed ly
faclois vhich aie inheienlIy hainfuI. If, foi exanpIe, popuIalion is finaIIy conlioIIed
ly avaiIalIe food suppIy, lhe suiviving individuaIs viII le haIf slaived and lhe food
suppIy oveigiazed, usuaIIy lo a poinl of no ieluin.
Nov Iel ne legin lo laIk aloul lhe individuaI oiganisn. This enlily is siniIai lo
lhe oak vood and ils conlioIs aie iepiesenled in lhe |c|a| nind, vhich is peihaps onIy
a iefIeclion of lhe lolaI lody. ul lhe syslen is segnenled in vaiious vays, so lhal lhe
effecls of sonelhing in youi food Iife, shaII ve say, do nol lolaIIy aIlei youi sex Iife,
and lhings in youi sex Iife do nol lolaIIy change youi kinesic Iife, and so on. Theie is
a ceilain anounl of conpailnenlaIizalion, vhich is no doull a necessaiy econony.
Theie is one conpailnenlaIizalion vhich is in nany vays nysleiious lul ceilainIy
of ciuciaI inpoilance in nans Iife. I iefei lo lhe senipeinealIe Iinkage lelveen
consciousness and lhe ienaindei of lhe lolaI nind. A ceilain Iiniled anounl of in-
foinalion aloul vhals happening in lhis Iaigei pail of lhe nind seens lo le ieIayed
lo vhal ve nay caII lhe scieen of consciousness. ul vhal gels lo consciousness is
seIecled, il is a syslenalic (nol iandon) sanpIing of lhe iesl.
Of couise, lhe unc|c of lhe nind couId nol le iepoiled in a par| of lhe nind. This
foIIovs IogicaIIy fion lhe ieIalionship lelveen pail and vhoIe. The leIevision scieen
does nol give you lolaI coveiage oi iepoil of lhe evenls vhich occui in lhe vhoIe
leIevision piocess, and lhis nol neieIy lecause lhe vieveis vouId nol le inleiesled
in such a ie-poil, lul lecause lo iepoil on any exlia pail of lhe lolaI piocess vouId
iequiie exlia ciicuiliy.. ul lo iepoil on lhe evenls in lhis exlia ciicuiliy vouId
iequiie a sliII fuilhei addilion of noie ciicuiliy, and so on. Lach addilionaI slep
lovaid incieased consciousness viII lake lhe syslen failhei fion lolaI consciousness.
To add a iepoil on evenls in a given pail of lhe nachine viII acluaIIy dccrcasc lhe
peicenlage of lolaI evenls iepoiled.
We lheiefoie have lo sellIe foi veiy Iiniled consciousness, and lhe queslion
aiises: Hov is lhe seIecling done` On vhal piincipIes does youi nind seIecl lhal
vhich you viII le avaie of` And, vhiIe nol nuch is knovn of lhese piincipIes,
sonelhing is knovn, lhough lhe piincipIes al voik aie oflen nol lhenseIves
accessilIe lo consciousness. Iiisl of aII, nuch of lhe inpul is consciousIy scanned, lul
onIy af|cr il has leen piocessed ly lhe lolaIIy unconscious piocess of peiceplion. The
sensoiy evenls aie packaged inlo inages and lhese inages aie lhen conscious.
I, lhe conscious I, see an unconsciousIy ediled veision of a snaII peicenlage of
vhal affecls ny ielina. I an guided in ny peiceplion ly purpcscs. | see vho is
allending, vho is nol, vho is undeislanding, vho is nol, oi al Ieasl I gel a nylh aloul
lhis suljecl, vhich nay le quile coiiecl. I an inleiesled in gelling lhal nylh as I laIk.
Il is ieIevanl lo ny puiposes lhal you heai ne.
Whal happens lo lhe picluie of a cyleinelic syslen~an oak vood oi an
oiganisn~vhen lhal picluie is seIecliveIy diavn lo ansvei onIy queslions of
puipose`
Considei lhe slale of nedicine loday. Ils caIIed nedicaI science. Whal happens is
lhal doclois lhink il vouId le nice lo gel iid of poIio, oi lyphoid, oi cancei. So lhey
devole ie-seaich noney and effoil lo focusing on lhese piolIens, oi puiposes. Al a
ceilain poinl Di. SaIk and olheis soIve lhe piolIen of poIio. They discovei a
soIulion of lugs vhich you can give lo chiIdien so lhal lhey donl gel poIio. This is
lhe soIulion lo lhe piolIen of poIio. Al lhis poinl, lhey slop pulling Iaige quanlilies
of effoil and noney inlo lhe piolIen of poIio and go on lo lhe piolIen of cancei, oi
vhalevei il nay le.
Medicine ends up, lheiefoie, as a lolaI science, vhose sliucluie is essenliaIIy lhal
of a lag of liicks. Wilhin lhis science lheie is exliaoidinaiiIy IillIe knovIedge of lhe
soil of lhings In laIking aloul, lhal is, of lhe lody as a syslenicaIIy cyleinelicaIIy
oiganized seIf-coiieclive syslen. Ils inleinaI inleidependencies aie nininaIIy
undeislood. Whal has happened is lhal purpcsc has deleinined vhal viII cone
undei lhe inspeclion oi consciousness of nedicaI science.
If you aIIov puipose lo oiganize lhal vhich cones undei youi conscious
inspeclion, vhal you viII gel is a lag of liicks~sone of lhen veiy vaIualIe liicks. Il
is an exliaoidinaiy achievenenl lhal lhese liicks have leen discoveied, aII lhal I
donl aigue. ul sliII ve do nol knov lvo-pennoilh, ieaIIy, aloul lhe lolaI nelvoik
syslen. Cannon viole a look on Tnc lisdcn cf |nc 8cdq, lul nolody has viillen a
look on lhe visdon of nedicaI science, lecause visdon is pieciseIy lhe lhing vhich
il Iacks. Wisdon I lake lo le lhe knovIedge of lhe Iaigei inleiaclive syslen~lhal
syslen vhich, if disluiled, is IikeIy lo geneiale exponenliaI cuives of change.
Consciousness opeiales in lhe sane vay as nedicine in ils sanpIing of lhe
evenls and piocesses of lhe lody and of vhal goes on in lhe lolaI nind. Il is
oiganized in leins of puipose. Il is a shoil-cul device lo enalIe you lo gel quickIy al
vhal you vanl, nol lo acl vilh naxinun visdon in oidei lo Iive, lul lo foIIov lhe
shoilesl IogicaI oi causaI palh lo gel vhal you nexl vanl, vhich nay le dinnei, il
nay le a eelhoven sonala, il nay le sex. Alove aII, il nay le noney oi povei.
ul you nay say: Yes, lul ve have Iived lhal vay foi a niIIion yeais.
Consciousness and puipose have leen chaiacleiislic of nan foi al Ieasl a niIIion
yeais, and nay have leen vilh us a gieal deaI Iongei lhan lhal. I an nol piepaied lo
say lhal dogs and cals aie nol conscious, sliII Iess lhal poipoises aie nol conscious.
So you nay say: Why voiiy aloul lhal`
ul vhal voiiies ne is lhe addilion of nodein lechnoIogy lo lhe oId syslen.
Today lhe puiposes of consciousness aie inpIenenled ly noie and noie effeclive
nachineiy, lianspoilalion syslens, aiipIanes, veaponiy, nedicine, peslicides, and so
foilh. Conscious puipose is nov enpoveied lo upsel lhe laIances of lhe lody, of
sociely, and of lhe lioIogicaI voiId aiound us. A palhoIogy~a Ioss of laIance~is
lhiealened.
I lhink lhal nuch of vhal liings us heie loday is lasicaIIy ieIaled lo lhe lhoughls
lhal I have leen pulling lefoie you. On lhe one hand, ve have lhe syslenic naluie of
lhe individuaI hunan leing, lhe syslenic naluie of lhe cuIluie in vhich he Iives, and
lhe syslenic naluie of lhe lioIogicaI, ecoIogicaI syslen aiound hin, and, on lhe olhei
hand, lhe cuiious lvisl in lhe syslenic naluie of lhe individuaI nan vheiely
consciousness is, aInosl of necessily, lIinded lo lhe syslenic naluie of lhe nan
hinseIf. Iuiposive consciousness puIIs oul, fion lhe lolaI nind, sequences vhich do
nol have lhe Ioop sliucluie vhich is chaiacleiislic of lhe vhoIe syslenic sliucluie. If
you foIIov lhe connon-sense
, and
Adan found lhal gaidening vas nuch haidei voik. He had lo gel his liead ly lhe
sveal of his liov and he said, Ils a vengefuI Cod. I shouId nevei have ealen lhal
appIe.
Moieovei, lheie occuiied a quaIilalive change in lhe ieIalionship lelveen Adan
and Lve, aflei lhey had discaided Cod fion lhe Caiden. Lve legan lo iesenl lhe
lusiness of sex and iepioduclion. Whenevei lhese ialhei lasic phenonena inliuded
upon hei nov puiposive vay of Iiving, she vas ieninded of lhe Iaigei Iife vhich had
leen kicked oul of lhe Caiden. So Lve legan lo iesenl sex and iepioduclion, and
vhen il cane lo pailuiilion she found lhis piocess veiy painfuI. She said lhis, loo,
vas due lo lhe vengefuI naluie of Cod. She even heaid a Voice say In pain shaIl
lhou liing foilh and Thy desiie shaII le unlo lhy husland, and he shaII iuIe ovei
lhee.
The lilIicaI veision of lhis sloiy, fion vhich I have loiioved exlensiveIy, does
nol expIain lhe exliaoidinaiy peiveision of vaIues, vheiely lhe vonans capacily
foi Iove cones lo seen a cuise infIicled ly lhe deily.
e lhal as il nay. Adan venl on puisuing his puiposes and finaIIy invenled lhe
fiee-enleipiise syslen. Lve vas nol, foi a Iong line, aIIoved lo pailicipale in lhis
lecause she vas a vonan. ul she joined a liidge cIul and lheie found an oulIel foi
hei hale.
In lhe nexl geneialion, lhey again had lioulIe vilh Iove. Cain, lhe invenloi and
innovaloi, vas loId ly Cod lhal His |AleIsj desiie shaII le unlo lhee and lhou shaIl
iuIe ovei hin. So he kiIIed AleI.
A paialIe, of couise, is nol dala aloul hunan lehavioi. Il is onIy an expIanaloiy
device. ul I have luiIl inlo il a phenonenon vhich seens lo le aInosl univeisaI
vhen nan connils lhe eiioi of puiposive lhinking and disiegaids lhe syslenic
naluie of lhe voiId vilh vhich he nusl deaI. This phenonenon is caIIed ly lhe
psychoIogisls piojeclion. The nan, aflei aII, has acled accoiding lo vhal he lhoughl
vas connon sense and nov he finds hinseIf in a ness. He does nol quile knov
vhal caused lhe ness and he feeIs lhal vhal has happened is sonehov unfaii. He
sliII does nol see hin-seIf as pail of lhe syslen in vhich lhe ness exisls, and he eilhei
lIanes lhe iesl of lhe syslen oi he lIanes hinseIf. In ny paialIe Adan conlines
lvo soils of nonsense: lhe nolion I have sinned and lhe nolion Cod is vengefuI.
If you Iook al lhe ieaI silualions in oui voiId vheie lhe syslenic naluie of lhe
voiId has leen ignoied in favoi of puipose oi connon sense, you viII find a ialhei
siniIai ieaclion. Iiesidenl }ohnson is, no doull, fuIIy avaie lhal he has a ness on his
hands, nol onIy in Vielnan lul in olhei pails of lhe nalionaI and inleinalionaI
ecosyslens, and I an suie lhal fion vheie he sils il appeais lhal he foIIoved his
puiposes vilh connon sense and lhal lhe ness nusl le due eilhei- lo lhe
vickedness of olheis oi lo his ovn sin oi lo sone conlinalion of lhese, accoiding lo
his lenpeianenl.
And lhe leiiilIe lhing aloul such silualions is lhal inevilalIy lhey shoilen lhe
line span of aII pIanning. Lneigency is piesenl oi onIy jusl aiound lhe coinei, and
Iong-lein visdon nusl lheiefoie le saciificed lo expediency, even lhough lheie is a
din avaieness lhal expediency viII nevei give a Iong-lein soIulion.
Moievei, since ve aie engaged in diagnosing lhe nachineiy of oui ovn sociely,
Iel ne add one poinl: oui poIilicians~lolh lhose in a slale of povei and lhose in a
slale of piolesl oi hungei foi povei~aie aIike ulleiIy ignoianl of lhe nalleis vhich I
have leen discussing. You can seaich lhe CongiessionaI Recoid foi speeches vhich
shov avaieness lhal lhe piolIens of goveinnenl aie lioIogicaI piolIens, and you
viII find veiy, veiy fev lhal appIy lioIogicaI insighl. Lxliaoidinaiy!
In geneiaI, goveinnenlaI decisions aie nade ly peisons vho aie as ignoianl of
lhese nalleis as pigeons. Like lhe fanous Di. Skinnei, in Tnc laq cf A|| ||csn, lhey
conline lhe visdon of lhe dove vilh lhe hainIessness of lhe seipenl.
ul ve aie nel heie nol onIy foi diagnosis of sone of lhe voiIds iIIs lul aIso lo
lhink aloul ienedies. I have aI-ieady suggesled lhal no sinpIe ienedy lo vhal I
caIIed lhe Ronano-IaIeslinian piolIen can le achieved ly lacking lhe Ronans
againsl lhe IaIeslinians oi vice veisa. The piolIen is syslenic and lhe soIulion nusl
suieIy depend upon ieaIizing lhis facl.
Iiisl, lheie is huniIily, and I piopose lhis nol as a noiaI piincipIe, dislaslefuI lo a
Iaige nunlei of peopIe, lul sinpIy as an ilen of a scienlific phiIosophy. In lhe peiiod
of lhe IndusliiaI RevoIulion, peihaps lhe nosl inpoilanl disaslei vas lhe enoinous
inciease of scienlific aiiogance. We had discoveied hov lo nake liains and olhei
nachines. We knev hov lo pul one lox on lop of lhe olhei lo gel lhal appIe, and
OccidenlaI nan sav hinseIf as an aulocial vilh conpIele povei ovei a univeise
vhich vas nade of physics and chenisliy. And lhe lioIogicaI phenonena veie in
lhe end lo le conlioIIed Iike piocesses in a lesl lule. LvoIulion vas lhe hisloiy of
hov oiganisns Ieained noie liicks foi conlioIIing lhe enviionnenl, and nan had
lellei liicks lhan any olhei ciealuie.
ul lhal aiioganl scienlific phiIosophy is nov olsoIele, and in ils pIace lheie is
lhe discoveiy lhal nan is onIy a pail of Iaigei syslens and lhal lhe pail can nevei
conlioI lhe vhoIe.
CoelleIs lhoughl lhal he couId conlioI pulIic opinion in Ceinany vilh a vasl
connunicalion syslen, and oui ovn pulIic ieIalions nen aie peihaps IialIe lo
siniIai deIusions. ul in facl lhe vouId-le conlioIIei nusl aIvays have his spies oul
lo leII hin vhal lhe peopIe aie saying aloul his piopaganda. He is lheiefoie in lhe
posilion of leing rcspcnsitc lo vhal lhey aie saying. Theiefoie he cannol have a
sinpIe IineaI conlioI. We do nol Iive in lhe soil of univeise in vhich sinpIe IineaI
conlioI is possilIe. Life is nol Iike lhal.
SiniIaiIy, in lhe fieId of psychialiy, lhe faniIy is a cyleinelic syslen of lhe soil
vhich I an discussing and usuaIIy vhen syslenic palhoIogy occuis, lhe nenleis
lIane each olhei, oi sonelines lhenseIves. ul lhe liulh of lhe nallei is lhal lolh
lhese aIleinalives aie fundanenlaIIy aiioganl. Lilhei aIleinalive assunes lhal lhe
individuaI hunan leing has lolaI povei ovei lhe syslen of vhich he oi she is a pail.
Lven vilhin lhe individuaI hunan leing, conlioI is Iiniled. We can in sone
degiee sel ouiseIves lo Ieain even such alsliacl chaiacleiislics as aiiogance oi
huniIily, lul ve aie nol ly any neans lhe caplains of oui souIs.
Il is, hovevei, possilIe lhal lhe ienedy foi iIIs of conscious puipose :A#+'vilh lhe
individuaI. Theie is vhal Iieud caIIed lhe ioyaI ioad lo lhe unconscious. He vas
iefeiiing lo dieans, lul I lhink ve shouId Iunp logelhei dieans and lhe ciealivily of
ail, oi lhe peiceplion of ail, and poeliy and such lhings. And I vouId incIude vilh
lhese lhe lesl of ieIigion. These aie aII aclivilies in vhich lhe vhoIe individuaI is
invoIved. The ailisl nay have a conscious puipose lo seII his picluie, even peihaps a
conscious puipose lo nake il. ul in lhe naking he nusl necessaiiIy ieIax lhal
aiiogance in favoi of a ciealive expeiience in vhich his conscious nind pIays onIy a
snaII pail.
We nighl say lhal in ciealive ail nan nusl expeiience hinseIf~his lolaI seIf~as
a cyleinelic nodeI.
Il is chaiacleiislic of lhe 196Os lhal a Iaige nunlei of peopIe aie Iooking lo lhe
psychedeIic diugs foi sone soil of visdon oi sone soil of enIaigenenl of
consciousness, and I lhink lhis synplon of oui epoch piolalIy aiises as an allenpl
lo conpensale foi oui excessive puiposiveness. ul I an nol suie lhal visdon can le
gol lhal vay. Whal is iequiied is nol sinpIy a ieIaxalion of consciousness lo Iel lhe
unconscious naleiiaI gush oul. To do lhis is neieIy lo exchange one pailiaI viev of
lhe seIf foi lhe olhei pailiaI viev. I suspecl lhal vhal is needed is lhe synlhesis of lhe
lvo vievs and lhis is noie difficuIl.
My ovn sIighl expeiience of LSD Ied ne lo leIieve lhal Iiospeio vas viong
vhen he said, We aie such sluff as dieans aie nade on. Il seened lo ne lhal puie
diean vas, Iike puie puipose, ialhei liiviaI. Il vas nol lhe sluff of vhich ve aie
nade, lul onIy lils and pieces of lhal sluff. Oui conscious puiposes, siniIaiIy, aie
onIy lils and pieces.
The syslenic viev is sonelhing eIse again.
V". ([[8K9E%<[%+<CEKB<>E%&>JX<E8%<C%P>L:C%
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I
Iiogiess, Ieaining, evoIulion, lhe siniIaiilies and diffeiences lelveen
phyIogenelic and cuIluiaI evoIulion, and so on, have leen suljecls foi discussion foi
nany yeais. These nalleis lecone nevIy invesligalIe in lhe Iighl of cyleinelics and
syslens lheoiy.
In lhis Wennei-Cien confeience, a pailicuIai aspecl of lhis vide suljecl nallei
viII le exanined, naneIy lhe ioIe of consciousness in lhe ongoing piocess of hunan
adaplalion.
Thiee cyleinelic oi honeoslalic syslens viII le consideied: lhe individuaI
hunan oiganisn, lhe hunan sociely, and lhe Iaigei ecosyslen. Consciousness viII
le consideied as an inpoilanl conponenl in lhe ccup|ing of lhese syslens.
A queslion of gieal scienlific inleiesl and peihaps giave inpoilance is vhelhei
lhe infoinalion piocessed lhiough consciousness is adequale and appiopiiale foi lhe
lask of hunan adaplalion. Il nay veII le lhal consciousness conlains syslenalic
disloilions of viev vhich, vhen inpIenenled ly nodein lechnoIogy, lecone
desliuclive of lhe laIances lelveen nan, his sociely and his ecosyslen.
To inlioduce lhis queslion lhe foIIoving consideialions aie offeied:
AII lioIogicaI and evoIving syslens (i.e., individuaI oiganisns, aninaI and
hunan socielies, ecosyslens, and lhe Iike) consisl of conpIex cyleinelic nelvoiks,
and aII such syslens shaie ceilain foinaI chaiacleiislics. Lach syslen conlains
sulsyslens vhich aie polenliaIIy iegeneialive, i.e., vhich vouId go inlo exponenliaI
iunavay if uncoiiecled. (LxanpIes of such iegeneialive conponenls aie
MaIlhusian chaiacleiislics of popuIalion, schisnogenic changes of peisonaI
inleiaclion, ainanenls iaces, elc.) The iegeneialive polenliaIilies of such sulsyslens
aie lypicaIIy kepl in check ly vaiious soils of goveining Ioops lo achieve sleady
slale. Such syslens aie conseivalive in lhe sense lhal lhey lend lo conseive lhe
liulh of pioposilions aloul lhe vaIues of lheii conponenl vaiialIes~especiaIIy lhey
conseive lhe vaIues of lhose vaiialIes vhich olheivise vouId shov exponenliaI
change. Such syslens aie honeoslalic, i.e., lhe effecls of snaII changes of inpul viII
le negaled and lhe sleady slale nainlained ly rctcrsio|c adjuslnenl.
ul p|us ccs| |a ncnc cncsc, p|us a cnangc. This conveise of lhe Iiench aphoiisn
seens lo le lhe noie exacl desciiplion of lioIogicaI and ecoIogicaI syslens. A
conslancy of sone vaiialIe is nainlained ly changing olhei vaiialIes. This is
chaiacleiislic of lhe engine vilh a goveinoi: lhe conslancy of iale of iolalion is
nainlained ly aIleiing lhe fueI suppIy. Mu|a|is nu|andis, lhe sane Iogic undeiIies
evoIulionaiy piogiess: lhose nulalionaI changes viII le peipelualed vhich
*
This essay vas piepaied as lhe aulhoi's posilion papei foi Wennei-Cien Ioundalion
Confeience on Lffecls of Conscious Iuipose on Hunan Adaplalion. The aulhoi vas chaiinan
of lhis confeience, vhich vas heId in uig Wailenslein, Ausliia, }uIy 17-24, 1968. The
pioceedings of lhe confeience as a vhoIe aie lo le pulIished ly Knopf & Co. undei lhe lilIe Our
Oun Mc|apncr, ediled ly Maiy Calheiine aleson.
conliilule lo lhe conslancy of lhal conpIex vaiialIe vhich ve caII suivivaI. The
sane Iogic aIso appIies lo Ieaining, sociaI change, elc. The ongoing liulh of ceilain
desciiplive pioposilions is nainlained ly aIleiing olhei pioposilions.
In syslens conlaining nany inleiconnecled honeoslalic Ioops, lhe changes
lioughl aloul ly an exleinaI inpacl nay sIovIy spiead lhiough lhe syslen. To
nainlain a given vaiialIe (V
1
) al a given vaIue, lhe vaIues of V2, V
3
, elc., undeigo
change. ul V
2
and V
3
nay lhenseIves le suljecl lo honeoslalic conlioI oi nay le
Iinked lo vaiialIes (V4, V
5
, elc.) vhich aie suljecl lo conlioI. This second-oidei
honeoslasis nay Iead lo change in V6, V7, elc. And so on.
(1)This phenonenon of spieading change is in lhe videsl sense a soil of |carning.
AccIinalion and addiclion aie speciaI cases of lhis piocess. Ovei line, lhe syslen
lecones de-pendenl upon lhe conlinued piesence of lhal oiiginaI exleinaI inpacl
vhose innediale effecls veie neuliaIized ly lhe fiisl oidei honeoslasis.
LxanpIe: undei lhe inpacl of Iiohililion, lhe Aneiican sociaI syslen ieacled
honeoslalicaIIy lo nainlain lhe conslancy of lhe suppIy of aIcohoI. A nev piofession,
lhe loolIeggei, vas geneialed. To conlioI lhis piofession, changes occuiied in lhe
poIice syslen. When lhe queslion of iepeaI vas iaised, il vas expeclalIe lhal
ceilainIy lhe loolIeggeis and possilIy lhe poIice vouId le in favoi of nainlaining
Iiohililion.
In lhis uIlinale sense, aII lioIogicaI change is conseivalive and aII Ieaining is
aveisive. The ial, vho is ie-vaided
Conlacl lelveen nan and aninaIs and lelveen nan and lhe naluiaI voiId
lieeds, peihaps~sonelines~visdon.
(l)Theie is ieIigion.
(2O) To concIude, Iel us ienenlei lhal jols naiiov piely, his puiposiveness, his
connon sense, and his voiIdIy success aie finaIIy slignalized, in a naiveIous
lolenic poen, ly lhe Voice oul of lhe WhiiIvind:
lnc is |nis |na| dar|cnc|n ccunsc| oq ucrds ui|ncu| undcrs|anding.
Dcs| |ncu |ncu uncn |nc ui|d gca|s cf |nc rcc| oring fcr|n?
Or cans| |ncu |c|| uncn |nc ninds dc ca|tc?
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I
Lel ne say lhal il is an exliaoidinaiy honoi lo le heie lonighl, and a pIeasuie. I
an a IillIe fiighlened of you aII, lecause I an suie lheie aie peopIe heie vho knov
eveiy fieId of knovIedge lhal I have louched nuch lellei lhan I knov il. Il is liue
lhal I have louched a nunlei of fieIds, and I piolalIy can face any one of you and
say I have louched a fieId lhal you have nol louched. ul I an suie lhal foi eveiy
fieId I have louched, lheie aie peopIe heie vho aie nuch noie expeil lhan I. I an nol
a veII-iead phiIosophei, and phiIosophy is nol ny lusiness. I an nol a veiy veII-
iead anlhiopoIogisl, and anlhiopoIogy is nol exaclIy ny lusiness.
ul I have liied lo do sonelhing vhich Koizylski vas veiy nuch conceined
vilh doing, and vilh vhich lhe vhoIe senanlic novenenl has leen conceined,
naneIy, I have sludied lhe aiea of inpacl lelveen veiy alsliacl and foinaI
phiIosophic lhoughl on lhe one hand and lhe naluiaI hisloiy of nan and olhei
ciealuies on lhe olhei. This oveiIap lelveen foinaI pienises and acluaI lehavioi is, I
asseil, of quile dieadfuI inpoilance loday. We face a voiId vhich is lhiealened nol
onIy vilh disoiganizalion of nany kinds, lul aIso vilh lhe desliuclion of ils
enviionnenl, and ve, loday, aie sliII unalIe lo lhink cIeaiIy aloul lhe ieIalions
lelveen an oiganisn and ils enviionnenl. Whal soil of a lhing is lhis, vhich ve caII
oiganisn pIus enviionnenl`
Lel us go lack lo lhe oiiginaI slalenenl foi vhich Koizylski is nosl fanous~lhe
slalenenl lhal |nc nap is nc| |nc |crri|crq. This slalenenl cane oul of a veiy vide
iange of phiIosophic lhinking, going lack lo Cieece, and viiggIing lhiough lhe
hisloiy of Luiopean lhoughl ovei lhe Iasl 2OOO yeais. In lhis hisloiy, lheie has leen a
soil of iough dicholony and oflen deep conlioveisy. Theie has leen a vioIenl ennily
and lIoodshed. Il aII slails, I suppose, vilh lhe Iylhagoieans veisus lheii
piedecessois, and lhe aigunenl look lhe shape of Do you ask vhal ils nade of~
eailh, fiie, valei, elc`
ne
nuch of vhal
has leen said in eaiIiei pails of lhe look faIIs inlo pIace. In sun, vhal has leen said
anounls lo lhis: lhal in addilion lo ( and aIvays in confoinily vilh) lhe faniIiai
physicaI deleininisn vhich chaiacleiises oui univeise, lheie is a nenlaI
deleininisn. This nenlaI deleininisn is in no sense supeinaluiaI. Ralhei il is of lhe
veiy naluie of lhe nacioscopic
*
voiId lhal il exhilil nenlaI chaiacleiislics. The
nenlaI deleininisn is nol lianscendenl lul innanenl and is especiaIIy conpIex and
evidenl in lhose seclions of lhe univeise vhich aie aIive oi vhich incIude Iiving
lhings.
ul so nuch of occidenlaI lhinking is shaped on lhe pienise of lianscendenl
deily lhal il is difficuIl foi nany peopIe lo ielhink lheii lheoiies in leins of
innanence. Lven Daivin fion line lo line viole aloul NaluiaI SeIeclion in phiases
vhich aInosl asciiled lo lhis piocess lhe chaiacleiislics of lianscendence and
puipose.
Il nay le voilhvhiIe, lheiefoie, lo give an exliene skelch of lhe diffeience
lelveen lhe leIief in lianscendence and lhal in innanence.
Tianscendenl nind oi deily is inagined lo le peisonaI and onniscienl, and as
ieceiving infoinalion ly channeIs sepaiale fion lhe eailhIy. He sees a species acling
in vays vhich nusl disiupl ils ecoIogy and, eilhei in soiiov oi in angei, He sends
lhe vais, lhe pIagues, lhe poIIulion, and lhe faIIoul.
Innanenl nind vouId achieve lhe sane finaI iesuIl lul vilhoul eilhei soiiov oi
angei. Innanenl nind has no sepaiale and uneailhIy channeIs ly vhich lo knov oi
acl and, lheiefoie, can have no sepaiale enolion oi evaIualive connenl. The
innanenl viII diffei fion lhe lianscendenl in giealei deleininisn.
Sl. IauI (CaIalians VI) said lhal Cod is nol nocked,
nocked.
ul since oui ninds~and lhis incIudes oui looIs and aclions~aie onIy pails of
lhe Iaigei nind, ils conpulalions can le con-fused ly oui conliadiclions and
confusions. Since il conlains oui insanily, lhe innanenl nind is inevilalIy suljecl lo
possilIe in-sanily. Il is in oui povei, vilh oui lechnoIogy, lo cieale insanily in lhe
Iaigei syslen of vhich ve aie pails.
In lhe finaI seclion of lhe look, I shaII considei sone of lhese nenlaIIy
palhogenic piocesses.
*
I do nol agiee vilh SanueI ulIei, Whilehead, oi TeiIhaid de Chaidin lhal il foIIovs fion
lhis nenlaI chaiaclei of lhe nacioscopic voiId lhal lhe singIe alonies nusl have nenlaI
chaiaclei oi polenliaIily. I see lhe nenlaI as a funclion onIy of conpIex ieIalionship.
L 6)"*'H78'-"A+A+'A,'*C#'1J%:%$&'%M'
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I
I have lo laIk aloul iecenl hisloiy as il appeais lo ne in ny geneialion and lo
you in youis and, as I fIev in lhis noining, voids legan lo echo in ny nind. These
veie phiases noie lhundeious lhan any I nighl le alIe lo conpose. One of lhese
gioups of voids vas, The falheis have ealen lillei fiuil and lhe chiIdiens leelh aie
sel on edge. Anolhei vas lhe slalenenl of }oyce lhal hisloiy is lhal nighlnaie fion
vhich lheie is no avakening. Anolhei vas, The sins of lhe falheis shaII le visiled
on lhe chiIdien even lo lhe lhiid and fouilh geneialion of lhose lhal hale ne.
And
IaslIy, nol so innedialeIy ieIevanl, lul sliII I lhink ieIevanl lo lhe piolIen of sociaI
nechanisn, He vho vouId do good lo anolhei nusl do il in Minule IailicuIais.
CeneiaI Cood is lhe pIea of lhe scoundieI, hypociile, and fIalleiei.
We aie laIking aloul seiious lhings. I caII lhis Iecluie Iion VeisaiIIes lo
Cyleinelics, naning lhe lvo hisloiic evenls of lhe lvenlielh cenluiy. The void
cyleinelics is faniIiai, is il nol` ul hov nany of you knov vhal happened al
VeisaiIIes in 1919`
The queslion is, lna| is going lo counl as inpoilanl in lhe hisloiy of lhe Iasl sixly
yeais` I an sixly-lvo, and, as I legan lo lhink aloul vhal I have seen of hisloiy in
ny Iifeline, il seened lo ne lhal I had ieaIIy onIy seen lvo nonenls lhal vouId iale
as ieaIIy inpoilanl fion an anlhiopoIogisls poinl of viev. One vas lhe evenls
Ieading up lo lhe Tiealy of VeisaiIIes, and lhe olhei vas lhe cyleinelic lieaklhiough.
You nay le suipiised oi shocked lhal I have nol nenlioned lhe A-lonl, oi even
WoiId Wai II. I have nol nenlioned lhe spiead of lhe aulonoliIe, noi of lhe iadio
and TV, noi nany olhei lhings lhal have occuiied in lhe Iasl sixly yeais.
Lel ne slale ny ciileiion of hisloiicaI inpoilance:
MannaIs in geneiaI, and ve anong lhen, caie exlieneIy, nol aloul episodes,
lul aloul lhe palleins of lheii ieIalion-ships. When you open lhe iefiigeialoi dooi
and lhe cal cones up and nakes ceilain sounds, she is nol laIking aloul Iivei oi niIk,
lhough you nay knov veiy veII lhal lhal is vhal she vanls. You nay le alIe lo
guess coiieclIy and give hei lhal~if lheie is any in lhe iefiigeialoi. Whal she acluaIIy
says is sonelhing aloul lhe ieIalionship lelveen hei-seIf and you. If you liansIaled
hei nessage inlo voids, il vouId le sonelhing Iike, dependency, dependency,
dependency. She is laIking, in facl, aloul a ialhei alsliacl pal-lein vilhin a
ieIalionship. Iion lhal asseilion of a pallein, you aie expecled lo go fion lhe geneiaI
lo lhe specific~lo deduce niIk oi Iivei.
This is ciuciaI. This is vhal nannaIs aie aloul. They aie conceined vilh
palleins of ieIalionship, vilh vheie lhey sland in Iove, hale, iespecl, dependency,
liusl, and siniIai alsliaclions, vis--vis sonelody eIse. This is vheie il huils us lo le
pul in lhe viong. If ve liusl and find lhal lhal vhich ve have liusled vas
unliuslvoilhy, oi if ve disliusl, and find lhal lhal vhich ve disliusled vas in facl
liusl-voilhy, ve feeI oad. The pain lhal hunan leings and aII olhei nannaIs can
suffei fion lhis lype of eiioi is exliene. If, lheiefoie, ve ieaIIy vanl lo knov vhal
*
IieviousIy unpulIished. This Iecluie vas given ApiiI 21, 1966, lo lhe Tvo WoiIds
Synposiun al Sacianenlo Slale CoIIege.
aie lhe significanl poinls in hisloiy, ve have lo ask vhich aie lhe nonenls in hisloiy
vhen alliludes veie changed. These aie lhe nonenls vhen peopIe aie huil lecause
of lheii foinei vaIues.
Think of lhe house lheinoslal in youi hone. The vealhei changes ouldoois, lhe
lenpeialuie of lhe ioon faIIs, lhe lheinonelei svilch in lhe Iiving ioon goes
lhiough ils lusiness and svilches on lhe fuinace, and lhe fuinace vains lhe ioon
and vhen lhe ioon is hol, lhe lheinonelei svilch luins il off again. The syslen is
vhal is caIIed a honeoslalic ciicuil oi a seivociicuil. ul lheie is aIso a IillIe lox in
lhe Iiving ioon on lhe vaII ly vhich qcu sc| lhe lheinoslal. If lhe house has leen loo
coId foi lhe Iasl veek, you nusl nove il up fion ils piesenl selling lo nake lhe
syslen nov osciIIale aiound a nev IeveI. No anounl of vealhei, heal oi coId oi
vhalevei, viII change lhal selling, vhich is caIIed lhe lias of lhe syslen. The
lenpeialuie of lhe house viII osciIIale, il viII gel hollei and cooIei accoiding lo
vaiious ciicunslances, lul lhe selling of lhe nechanisn viII nol le changed ly lhose
changes. ul vhen qcu go and qcu nove lhal lias, you viII change vhal ve nay caII
lhe allilude of lhe syslen.
SiniIaiIy, lhe inpoilanl queslion aloul hisloiy is: Has lhe lias oi selling leen
changed` The episodic voiking oul of evenls undei a singIe slalionaiy selling is
ieaIIy liiviaI. Il is vilh lhis lhoughl in nind lhal I have said lhal lhe lvo nosl
inpoilanl hisloiic evenls in ny Iife veie lhe Tiealy of VeisaiIIes and lhe discoveiy of
cyleinelics.
Mosl of you piolalIy haidIy knov hov lhe Tiealy of VeisaiIIes cane inlo leing.
The sloiy is veiy sinpIe. WoiId Wai I diagged on and on, lhe Ceinans veie ialhei
olviousIy Iosing. Al lhis poinl, Ceoige CieeI, a pulIic ieIalions nan~and I vanl you
nol lo foigel lhal lhis nan vas a gianddaddy of nodein pulIic ieIalions~had an
idea: lhe idea vas lhal nayle lhe Ceinans vouId suiiendei if ve offeied lhen sofl
ainislice leins. He lheiefoie diev up a sel of sofl leins, accoiding lo vhich lheie
vouId le no punilive neasuies. These leins veie diavn up in fouileen poinls.
These Iouileen Ioinls he passed on lo Iiesidenl WiIson. If you aie going lo deceive
sonelody, you had lellei gel an honesl nan lo caiiy lhe nessage. Iiesidenl WiIson
vas an aInosl palhoIogicaIIy honesl nan and a hunanilaiian. He eIaloialed lhe
poinls in a nunlei of speeches: lheie veie lo le no annexalions, no conliilulions,
no punilive danages. and so on. And lhe Ceinans suiiendeied.
We, iilish and Aneiicans speciaIIy lhe iilish~conlinued of couise lo lIockade
Ceinany lecause ve didnl vanl lhen lo gel uppily lefoie lhe Tiealy vas signed.
So, foi anolhei yeai, lhey conlinued lo slaive.
The Ieace Confeience has leen vividIy desciiled ly aynaid Keynes in Tnc
|ccncnic Ccnscqucnccs of |nc Pcacc (1919).
The Tiealy vas finaIIy diavn up ly foui nen: CIenenceau, lhe ligei, vho
vanled lo ciush Ceinany, LIoyd Ceoige, vho feIl il vouId le poIilicaIIy expedienl
lo gel a Iol of iepaialions oul of Ceinany, and sone ievenge, and WiIson, vho had
lo le lanloozIed aIong. Whenevei WiIson vouId vondei aloul lhose Iouileen
Ioinls of his, lhey look hin oul inlo lhe vai ceneleiies and nade hin feeI ashaned
of nol leing angiy vilh lhe Ceinans. Who vas lhe olhei` OiIando vas lhe olhei, an
IlaIian.
This vas one of lhe gieal seIIouls in lhe hisloiy of oui civiIizalion. A nosl
exliaoidinaiy evenl vhich Ied faiiIy diieclIy and inevilalIy inlo WoiId Wai II. Il aIso
Ied (and lhis is peihaps noie inleiesling lhan lhe facl of ils Ieading lo WoiId Wai II)
lo lhe lolaI denoiaIizalion of Ceinan poIilics. If you pionise youi loy sonelhing,
and ienege on hin, fianing lhe vhoIe lhing on a high elhicaI pIane, you viII
piolalIy find lhal nol onIy is he veiy angiy vilh you, lul lhal nis noiaI alliludes
deleiioiale as Iong as he feeIs lhe unfaii vhipIash of vhal you aie doing lo hin. Ils
nol onIy lhal WoiId Wai II vas lhe appiopiiale iesponse of a nalion vhich had leen
liealed in lhis pailicuIai vay, vhal is noie inpoilanl is lhe facl lhal lhe
denoiaIizalion of lhal nalion vas expeclalIe fion lhis soil of liealnenl. Iion lhe
denoiaIizalion of Ceinany, ve, loo, lecane denoiaIized. This is vhy I say lhal lhe
Tiealy of VeisaiIIes vas an alliludinaI luining poinl.
I inagine lhal ve have anolhei coupIe of geneialions of afleieffecls fion lhal
pailicuIai seIIoul lo voik lhiough. We aie, in facl, Iike nenleis of lhe house of
Alieus in Cieek liagedy. Iiisl lheie vas Thyesles aduIleiy, lhen Alieus kiIIing of
Thyesles lhiee chiIdien, vhon he seived lo Thyesles al a peace-naking feasl. Then
lhe nuidei of Alieus son, Aganennon, ly Thyesles son, Aegislheus, and finaIIy
lhe nuidei of Aegislheus and CIylenneslia ly Oiesles.
Il goes on and on. The liagedy of osciIIaling and seIf-piopagaling disliusl, hale,
and desliuclion dovn lhe geneialions.
I vanl you lo inagine lhal you cone inlo lhe niddIe of one of lhese sequences of
liagedy. Hov is il foi lhe niddIe geneialion of lhe house of Alieus` They aie Iiving
in aciazy univeise. Iion lhe poinl of viev of lhe peopIe vho slailed lhe ness, ils nol
so ciazy, lhey knov vhal happened and hov lhey gol lheie. ul lhe peopIe dovn
lhe Iine, vho veie nol lheie al lhe leginning, find lhenseIves Iiving in a ciazy
univeise, and find lhenseIves ciazy, pieciseIy lecause lhey do nol knov hov lhey
gol lhal vay.
To lake a dose of LSD is aII iighl, and you viII have lhe expeiience of leing noie
oi Iess ciazy, lul lhis viII nake quile good sense lecause you |ncu qcu look lhe dose
of LSD. If, on lhe olhei hand, you look lhe LSD ly accidenl, and lhen find youiseIf
going ciazy, nol knoving hov you gol lheie, lhis is a leiiifying and hoiiilIe
expeiience. This is a nuch noie seiious and leiiilIe expeiience, veiy diffeienl fion
lhe liip vhich you can enjoy if you knov you look lhe LSD.
Nov considei lhe diffeience lelveen ny geneialion and you vho aie undei
lvenly-five. We aII Iive in lhe sane ciazy univeise vhose hale, disliusl, and
hypociisy ieIales lack (especiaIIy al lhe inleinalionaI IeveI) lo lhe Iouileen Ioinls
and lhe Tiealy of VeisaiIIes.
We oIdei ones knov hov ve gol heie. I can ienenlei ny falhei ieading lhe
Iouileen Ioinls al lhe lieakfasl lalIe and saying, y goIIy, lheyie going lo give
lhen a decenl ainislice, a decenl peace, oi sonelhing of lhe kind. And I can
ienenlei, lul I viII nol allenpl lo veilaIize, lhe soil of lhing he said vhen lhe
Tiealy of VeisaiIIes cane oul. Il vasnl piinlalIe. So I knov noie oi Iess hov ve gol
heie.
ul fion youi poinl of viev, ve aie alsoIuleIy ciazy, and you donl knov vhal
soil of hisloiic evenl Ied lo lhis ciaziness. The falheis have ealen lillei fiuil and lhe
chiIdiens leelh aie sel on edge.
Ils aII veiy veII foi lhe falheis, lhey knov vhal lhey
ale. The chiIdien donl knov vhal vas ealen.
Lel us considei vhal is lo le expecled of peopIe in lhe afleinalh of a najoi
deceplion. Iievious lo WoiId Wai 1, il vas geneiaIIy assuned lhal conpionise and
a IillIe hypociisy aie a veiy inpoilanl ingiedienl in lhe oidinaiy confoilalIeness of
Iife. If you iead SanueI ulIeis |rcuncn Rctisi|cd, foi exanpIe, you viII see vhal I
nean. AII lhe piincipaI chaiacleis in lhe noveI have gol lhenseIves inlo an avfuI
ness: sone aie due lo le execuled, and olheis aie due foi pulIic scandaI, and lhe
ieIigious syslen of lhe nalion is lhiealened vilh coIIapse. These disasleis and langIes
aie snoolhed oul ly Mis. Ydgiun (oi, as ve vouId say, Mis. Ciundy
), lhe
guaidian of Lievhonian noiaIs. She caiefuIIy ieconsliucls hisloiy, Iike a jigsav
puzzIe, so lhal nolody is ieaIIy huil and nolody is disgiaced~sliII Iess is anylody
execuled. This vas a veiy confoilalIe phiIosophy. A IillIe hypociisy and a IillIe
conpionise oiI lhe vheeIs of sociaI Iife.
ul aflei lhe gieal deceplion, lhis phiIosophy is unlenalIe. You aie peifeclIy
coiiecl lhal sonelhing is viong, and lhal lhe sonelhing viong is of lhe naluie of a
deceil and a hypociisy. You Iive in lhe nidsl of coiiuplion.
Of couise, youi naluiaI iesponses aie puiilanicaI. Nol sexuaI puiilanisn, lecause
il is nol a sexuaI deceil lhal Iies in lhe lackgiound. ul an exliene puiilanisn againsl
conpionise, a puiilanisn againsl hypociisy, and lhis ends up as a ieduclion of Iife
lo IillIe pieces. Il is lhe lig inlegialed sliucluies of Iife lhal seen lo have caiiied lhe
Iunacy, and so you liy lo focus dovn on lhe snaIIesl lhings. He vho vouId do good
lo anolhei nusl do il in Minule IailicuIais. CeneiaI Cood is lhe pIea of lhe
scoundieI, hypociile, and fIalleiei. The geneiaI good sneIIs of hypociisy lo lhe
iising geneialion.
I donl doull lhal if you asked Ceoige CieeI lo juslify lhe Iouileen Ioinls, he
vouId uige lhe geneiaI good. Il is possilIe lhal lhal IillIe opeialion of his saved a fev
lhousand Aneiican Iives in 1918. I donl knov hov nany il cosl in WoiId Wai II,
and since in Koiea and Vielnan. I iecaII lhal Hiioshina and Nagasaki veie juslified
ly lhe geneiaI good and saving Aneiican Iives. Theie vas a Iol of laIk aloul
ie nol laIking aloul lhe deai oId Supiene Mind of AiislolIe, Sl.
Thonas Aquinas, and so on dovn lhiough ages~lhe Supiene Mind vhich vas
incapalIe of eiioi and incapalIe of insanily. Weie laIking aloul innanenl nind,
vhich is onIy loo capalIe of insanily, as you aII piofessionaIIy knov. This is pieciseIy
vhy youie heie. These ciicuils and laIances of naluie can onIy loo easiIy gel oul of
kiIlei, and lhey inevilalIy gel oul of kiIlei vhen ceilain lasic eiiois of oui lhoughl
lecone ieinfoiced ly lhousands of cuIluiaI delaiIs.
I donl knov hov nany peopIe loday ieaIIy leIieve lhal lheie is an oveiaII nind
sepaiale fion lhe lody, sepaiale fion lhe sociely, and sepaiale fion naluie. ul foi
lhose of you vho vouId say lhal lhal is aII supeislilion, I an pie-paied lo vagei
lhal I can denonsliale vilh lhen in ) 'fev ninules lhal lhe halils and vays of
lhinking lhal venl vilh lhose supeisilions aie sliII in lheii heads and sliII deleinine a
Iaige pail of lheii lhoughls. The idea lhal qcu can scc nc sliII goveins youi lhoughl
and aclion in spile of lhe facl lhal you nay knov inleIIecluaIIy lhal il is nol so. In lhe
sane vay ve aie nosl of us goveined ly epislenoIogies lhal ve knov lo le viong.
Lel us considei sone of lhe inpIicalions of vhal I have leen saying.
Lel us Iook al hov lhe lasic nolions aie ieinfoiced and expiessed in aII soils of
delaiI of hov ve lehave. The veiy facl lhal I an nonoIoguing lo you~lhis is a noin
of oui acadenic sulcuIluie, lul lhe idea lhal I can leach you, uni|a|cra||q, is deiivalive
fion lhe pienise lhal lhe nind conlioIs lhe lody. And vhenevei a psycholheiapisl
Iapses inlo uniIaleiaI lheiapy, he is oleying lhe sane pienise. I, in facl, slanding up
in fionl of you, an peifoining a sulveisive acl ly ieinfoicing in youi ninds a piece
of lhinking vhich is ieaIIy nonsense. We aII do il aII lhe line lecause ils luiIl inlo
lhe delaiI of oui lehavioi. Nolice hov I sland vhiIe you sil.
The sane lhinking Ieads, of couise, lo lheoiies of conlioI and lo lheoiies of
povei. In lhal univeise, if you do nol gel vhal you vanl, you viII lIane sonelody
and eslalIish eilhei a jaiI oi a nenlaI hospilaI, accoiding lo lasle, and you viII pop
lhen in il if you can idenlify lhen. If you cannol idenlify lhen, you viII say, Ils lhe
syslen. This is ioughIy vheie oui kids aie novadays, lIaning lhe eslalIishnenl,
lul you knov lhe eslalIishnenls aienl lo lIane. They aie pail of lhe sane eiioi, loo.
Then, of couise, lheie is lhe queslion of veapons. If you leIieve in lhal uniIaleiaI
voiId and you lhink lhal lhe olhei peopIe leIieve in lhal voiId (and youie piolalIy
iighl, lhey do), lhen, of couise, lhe lhing is lo gel veapons, hil lhen haid, and
conlioI lhen.
They say lhal povei coiiupls, lul lhis, I suspecl, is non-sense. Whal is liue is
lhal lhe idca cf pcucr coiiupls. Iovei coiiupls nosl iapidIy lhose vho leIieve in il,
and il is lhey vho viII vanl il nosl. OlviousIy oui denocialic syslen lends lo give
povei lo lhose vho hungei foi il and gives eveiy oppoilunily lo lhose vho donl
vanl povei lo avoid gelling il. Nol a veiy salisfacloiy aiiangenenl if povei coiiupls
lhose vho leIieve in il and vanl il.
Ieihaps lheie is no such lhing as uniIaleiaI povei. Aflei aII, lhe nan in povei
depends on ieceiving infoinalion aII lhe line fion oulside. He iesponds lo lhal
infoinalion jusl as nuch as he causes lhings lo happen. Il is nol possilIe foi
CoelleIs lo conlioI lhe pulIic opinion of Ceinany le-cause in oidei lo do so he nusl
have spies oi Iegnen oi pulIic opinion poIIs lo leII hin vhal lhe Ceinans aie
lhinking. He nusl lhen liin vhal he says lo lhis infoinalion, and lhen again find oul
hov lhey aie iesponding. Il is an inlei-aclion, and nol a IineaI silualion.
ul lhe nq|n of povei is, of couise, a veiy poveifuI nylh and piolalIy nosl
peopIe in lhis voiId noie oi Iess leIieve in il. Il is a nylh vhich, if eveiylody
leIieves in il, lecones lo lhal exlenl seIf-vaIidaling. ul il is sliII epislenoIogicaI
Iunacy and Ieads inevilalIy lo vaiious soils of disaslei.
Lasl, lheie is lhe queslion of uigency. Il is cIeai nov lo nany peopIe lhal lheie
aie nany calasliophic dangeis vhich have giovn oul of lhe OccidenlaI eiiois of
epislenoIogy. These iange fion inseclicides lo poIIulion, lo alonic faIIoul, lo lhe
possiliIily of neIling lhe Anlaiclic ice cap. Alove aII, oui fanlaslic conpuIsion lo
save individuaI Iives has ciealed lhe possiliIily of voiId fanine in lhe innediale
fuluie.
Pcrnaps ve have an even chance of gelling lhiough lhe nexl lvenly yeais vilh no
disaslei noie seiious lhan lhe neie desliuclion of a nalion oi gioup of nalions.
I leIieve lhal lhis nassive aggiegalion of lhieals lo nan and his ecoIogicaI
syslens aiises oul of eiiois in oui halils of lhoughl al deep and pailIy unconscious
IeveIs.
As lheiapisls, cIeaiIy ve have a duly.
Iiisl, lo achieve cIaiily in ouiseIves, and lhen lo Iook foi eveiy sign of cIaiily in
olheis and lo inpIenenl lhen and ieinfoice lhen in vhalevei is sane in lhen.
And lheie aie palches of sanily sliII suiviving in lhe voiId. Much of OiienlaI
phiIosophy is noie sane lhan anylhing lhe Wesl has pioduced, and sone of lhe
inailicuIale effoils of oui ovn young peopIe aie noie sane lhan lhe convenlions of
lhe eslalIishnenl.
$". 5@8%'<<9E%<[%(K<;<DBK:;%+JBEBE
I
Sunnarq. Olhei leslinony has leen piesenled iegaiding liIIs lo deaI vilh
pailicuIai piolIens of poIIulion and enviionnenlaI degiadalion in Havaii. Il is
hoped lhal lhe pio-posed Office of LnviionnenlaI QuaIily ConlioI and lhe
LnviionnenlaI Cenlei al lhe Univeisily of Havaii viII go leyond lhis ad ncc
appioach and viII sludy lhe noie lasic causes of lhe cuiienl iash of enviionnenlaI
lioulIes.
The piesenl leslinony aigues lhal lhese lasic causes Iie in lhe ccnoincd aclion of
(a) lechnoIogicaI advance, (o) popuIalion inciease, and (c) convenlionaI (lul viong)
ideas aloul lhe naluie of nan and his ieIalion lo lhe enviionnenl.
Il is concIuded lhal lhe nexl five lo len yeais viII le a peiiod Iike lhe IedeiaIisl
peiiod in Uniled Slales hisloiy in vhich lhe vhoIe phiIosophy of goveinnenl,
educalion, and lechnoIogy nusl le delaled.
lc suoni|.
(1) Thal aII ad ncc neasuies Ieave uncoiiecled lhe deepei causes of lhe lioulIe
and, voise, usuaIIy peinil lhose causes lo giov sliongei and lecone conpounded.
In nedicine, lo ieIieve lhe synplons vilhoul cuiing lhe disease is vise and sufficienl
if and cn|q if eilhei lhe disease is suieIy leininaI cr viII cuie ilseIf.
The hisloiy of DDT iIIusliales lhe fundanenlaI faIIacy of ad ncc neasuies. When
il vas invenled and fiisl pul lo use, il vas ilseIf an ad ncc neasuie. Il vas discoveied
in 1939 lhal lhe sluff vas an inseclicide (and lhe discoveiei gol a NoleI Iiize).
Inseclicides veie needed (a) lo inciease agiicuIluiaI pioducls, and (o) lo save
peopIe, especiaIIy lioops oveiseas, fion naIaiia. In olhei voids, DDT vas a
synplonalic cuie foi lioulIes connecled vilh lhe inciease of popuIalion.
y 195O, il vas knovn lo scienlisls lhal DDT vas seiiousIy loxic lo nany olhei
aninaIs (RacheI Caisons popuIai look Si|cn| Spring vas pulIished in 1962).
ul in lhe neanvhiIe, (a) lheie vas a vasl indusliiaI connilnenl lo DDT
nanufacluie, (o) lhe insecls al vhich DDT vas diiecled veie leconing innune, (c)
lhe aninaIs vhich noinaIIy ale lhose insecls veie leing exleininaled, (d) lhe
popuIalion of lhe voiId vas peinilled ly DDT lo inciease.
In olhei voids, lhe voiId lecane addic|cd lo vhal vas once an ad ncc neasuie
and is nov knovn lo le a najoi dangei. IinaIIy in 1970, ve legin lo piohilil oi
conlioI lhis dangei. And ve sliII do nol knov, foi exanpIe, vhelhei lhe hunan
species on ils piesenl diel can suieIy suivive lhe DDT vhich is aIieady ciicuIaling in
lhe voiId and viII le lheie foi lhe nexl lvenly yeais even if ils use is innedialeIy
and lolaIIy disconlinued.
Il is nov ieasonalIy ceilain (since lhe discoveiy of significanl anounls of DDT in
lhe penguins of Anlaiclica) lhal a|| lhe fish-ealing liids as veII as lhe Iand-going
cainivoious liids and lhose vhich foineiIy ale insecl pesls aie dooned. Il is
*
This docunenl vas leslinony on lehaIf of lhe Univeisily of Havaii Connillee on LcoIogy
and Man, piesenled in Maich, 197O, lefoie a Connillee of lhe Slale Senale of Havaii, in favoi of
a liII (S.. 1132). This liII pioposed lhe selling up of an Office of LnviionnenlaI QuaIily ConlioI
in Coveinnenl and an LnviionnenlaI Cenlei in lhe Univeisily of Havaii. The liII vas passed.
piolalIe lhal aII lhe cainivoious fish
1
viII soon conlain loo nuch DDT foi hunan
consunplion and nay lhenseIves lecone exlincl. Il is possilIe lhal lhe eailhvoins,
al Ieasl in foiesls and olhei spiayed aieas, viII vanish~vilh vhal effecl upon lhe
foiesls is anylodys guess. The pIanklon of lhe high seas (upon vhich lhe enliie
pIanelaiy ecoIogy depends) is leIieved lo le sliII unaffecled.
Thal is lhe sloiy of one lIind appIicalion of an ad ncc neasuie, and lhe sloiy can
le iepealed foi a dozen olhei invenlions.
(2) Thal lhe pioposed conlinalion of agencies in Slale Coveinnenl and in lhe
Univeisily shouId addiess ilseIf lo diagnosing, undeislanding and, if possilIe,
suggesling ienedies foi lhe videi piocesses of sociaI and enviionnenlaI degiadalion
in lhe voiId and shouId allenpl lo define Havaiis poIicy in viev of lhese piocesses.
(3) Thal a|| cf lhe nany cuiienl lhieals lo nans suivivaI aie liacealIe lo lhiee
iool causes:
lechnoIogicaI piogiess
popuIalion inciease
ceilain eiiois in lhe lhinking and alliludes of OccidenlaI cuIluie. Oui vaIues
aie viong.
We leIieve lhal aII lhiee of lhese fundanenlaI faclois aie necessaiy condilions
foi lhe desliuclion of oui voiId. In olhei voids, ve cp|inis|ica||q leIieve lhal lhe
coiieclion of anq <C8%of lhen vouId save us.
(4) Thal lhese fundanenlaI faclois ceilainIy inleiacl. The inciease of popuIalion
spuis lechnoIogicaI piogiess and cieales lhal anxiely vhich sels us againsl oui
enviionnenl as an eneny, vhiIe lechnoIogy lolh faciIilales inciease of popuIalion
and ieinfoices oui aiiogance, oi huliis, vis--vis lhe naluiaI enviionnenl.
The allached diagian iIIusliales lhe inleiconneclions. Il viII le noled lhal in lhis
diagian each coinei is cIockvise, denoling lhal each is ly ilseIf a seIf-pionoling (oi,
as lhe scienlisls say, aulocalaIylic) phenonenon: lhe liggei lhe popuIalion, lhe
faslei il giovs, lhe noie lechnoIogy ve have, lhe faslei lhe iale of nev invenlion,
and lhe noie ve leIieve in oui povei ovei an eneny enviionnenl, lhe noie
povei ve seen lo have and lhe noie spilefuI lhe enviionnenl seens lo le.
SiniIaiIy lhe paiis of coineis aie cIockvise connecled lo nake lhiee seIf-
pionoling sulsyslens.
The piolIen facing lhe voiId and Havaii is sinpIy hov lo inlioduce sone
anlicIockvise piocesses inlo lhis syslen. Hov lo do lhis shouId le a najoi piolIen
foi lhe pioposed Slale Office of LnviionnenlaI QuaIily ConlioI and lhe Univeisily
LnviionnenlaI Cenlei.
Il appeais, al piesenl, lhal lhe onIy possilIe enliy poinl foi ieveisaI of lhe
piocess is lhe convenlionaI alliludes lo-vaid lhe enviionnenl.
(5) Thal fuilhei lechnoIogicaI piogiess cannol nov le pievenled lul lhal il can
possilIy le sleeied in appiopiiale diieclions, lo le expIoied ly lhe pioposed offices.
(6) Thal lhe popuIalion expIosion is lhe singIe nosl inpoilanl piolIen facing lhe
voiId loday. As Iong as popuIalion conlinues lo inciease, ve nusl expecl lhe
conlinuous ciealion of nev lhieals lo suivivaI, peihaps al a iale of one pei yeai, unliI
ve ieach lhe uIlinale. condilion of fanine (vhich Havaii is in no posilion lo face).
We offei no soIulion heie lo lhe popuIalion expIosion, lul ve nole lhal eveiy
1
IionicaIIy, il luins oul lhal fish viII piolalIy lecone poisonous as caiiieis of neicuiy ialhei
lhan DDT. |C.. 1971j
soIulion vhich ve can inagine is nade difficuIl oi inpossilIe ly lhe lhinking and
alliludes of OccidenlaI cuIluie.
(7) Thal lhe veiy fiisl iequiienenl foi ecoIogicaI slaliIily is a laIance lelveen lhe
iales of liilh and dealh. Ioi lel-lei oi foi voise, ve have lanpeied vilh lhe dealh
iale, especiaIIy ly conlioIIing lhe najoi epidenic diseases and lhe dealh of infanls.
AIvays, in any Iiving (i.e., ecoIogicaI) syslen, eveiy incieasing inlaIance viII
geneiale ils ovn Iiniling faclois as side effecls of lhe incieasing inlaIance. In lhe
piesenl inslance, ve legin lo knov sone of Naluies vays of coiiecling lhe
inlaIance~snog, poIIulion, DDT poisoning, indusliiaI vasles, fanine, alonic
faIIoul, and vai. 8u| |nc inoa|ancc nas gcnc sc far |na| uc cannc| |rus| Na|urc nc| |c
ctcrccrrcc|.
(8) Thal lhe ideas vhich doninale oui civiIizalion al lhe piesenl line dale in
lheii nosl viiuIenl foin fion lhe IndusliiaI RevoIulion. They nay le sunnaiized
as:
(a)Ils us agains| lhe enviionnenl.
(l)Ils us agains| olhei nen.
Ils lhe individuaI (oi lhe individuaI conpany, oi lhe individuaI nalion) lhal
nalleis.
We can have uniIaleiaI conlioI ovei lhe enviionnenl and nusl sliive foi lhal
conlioI.
(c)We Iive vilhin an infinileIy expanding fionliei.
(d)Lcononic deleininisn is connon sense.
(e)TechnoIogy viII do il foi us.
We sulnil lhal lhese ideas aie sinpIy pioved fa|sc ly lhe gieal lul uIlinaleIy
desliuclive achievenenls of oui lechnoIogy in lhe Iasl 15O yeais. Likevise lhey
appeai lo le faIse undei nodein ecoIogicaI lheoiy. Tnc crca|urc |na| uins agains| i|s
cntircnncn| dcs|rcqs i|sc|f.
(9) Thal olhei alliludes and pienises~olhei syslens of hunan vaIues~have
goveined nans ieIalion lo his enviionnenl and his feIIov nan in olhei civiIizalions
and al olhei lines. NolalIy, lhe ancienl Havaiian civiIizalion and lhe Havaiians of
loday aie unconceined aloul OccidenlaI huliis. In olhei voids, oui vay is nol lhe
onIy possilIe hunan vay. || is ccnccitao|q cnangcao|c.
(1O) Thal change in oui lhinking has aIieady legun~anong scienlisls and
phiIosopheis, and anong young peopIe. ul il is nol onIy Iong-haiied piofessois and
Iong-haiied youlh vho aie changing lheii vays of lhoughl. Theie aie aIso nany
lhousands of lusinessnen and even IegisIalois vho uisn lhey couId change lul feeI
lhal il vouId le unsafe oi nol connon sense lo do so. The changes viII conlinue as
inevilalIy as lechnoIogicaI piogiess.
(11) Thal lhese changes in lhoughl viII inpacl upon oui goveinnenl, econonic
sliucluie, educalionaI phiIosophy, and niIilaiy slance lecause lhe oId pienises aie
deepIy luiIl inlo aII lhese sides of oui sociely.
(12) Thal nolody can piedicl vhal nev palleins viII eneige fion lhese diaslic
changes. We hope lhal lhe peiiod of change nay le chaiacleiized ly visdon, ialhei
lhan ly eilhei vioIence oi lhe feai of vioIence. Indeed, lhe uIlinale goaI of lhis liII is
lo nake such a liansilion possilIe.
(13) We concIude lhal lhe nexl five lo len yeais viII le a peiiod conpaialIe lo
lhe IedeiaIisl peiiod in Uniled Slales hisloiy. Nev phiIosophies of goveinnenl,
educalion, and lechnoIogy nusl le delaled lolh inside lhe goveinnenl and in lhe
pulIic piess, and especiaIIy anong Ieading cilizens. The Univeisily of Havaii and
lhe Slale Coveinnenl couId lake a Iead in lhese delales.
$"2 (K<;<DA%:CG%);8WBMB;B9A%BC%6JM:C%
+BUB;B_:9B<C
I
Iiisl, il viII le convenienl lo have, nol a specific oi uIlinale goaI, lul an alsliacl
idea of vhal ve nighl nean ly ecoIogicaI heaIlh. Such a geneiaI nolion viII lolh
guide lhe coIIeclion of dala and guide lhe evaIualion of olseived liends.
I suggesl lhen lhal a heaIlhy ecoIogy of hunan civiIizalion vouId le defined
sonevhal as foIIovs:
A singIe syslen of cntircnncn| ccnoincd ui|n nign nunan citi|iza|icn in vhich lhe
fIexiliIily of lhe civiIizalion shaII nalch lhal of lhe enviionnenl lo cieale an ongoing
conpIex syslen, open-ended foi sIov change of even lasic (haid-piogianned)
chaiacleiislics.
We nov pioceed lo considei sone of lhe leins in lhis definilion of syslenic
heaIlh and lo ieIale lhen lo condilions in lhe exisling voiId.
L343< UB'YA$C'-AIA:A`)*A%,V
Il appeais lhal lhe nan-enviionnenl syslen has ceilainIy leen piogiessiveIy
unslalIe since lhe inlioduclion of nelaIs, lhe vheeI, and sciipl. The defoieslalion of
Luiope and lhe nan-nade deseils of lhe MiddIe Lasl and Noilh Afiica aie evidence
foi lhis slalenenl.
CiviIizalions have iisen and faIIen. A nev lechnoIogy foi lhe expIoilalion of
naluie oi a nev lechnique foi lhe expIoilalion of olhei nen peinils lhe iise of a
civiIizalion. ul each civiIizalion, as il ieaches lhe Iinils of vhal can le expIoiled in
lhal pailicuIai vay, nusl evenluaIIy faII. The nev invenlion gives eIlov ioon oi
fIexiliIily, lul lhe using up of lhal fIexiliIily is dealh.
Lilhei nan is loo cIevei, in vhich case ve aie dooned, oi he vas nol cIevei
enough lo Iinil his gieed lo couises vhich vouId nol deslioy lhe ongoing lolaI
syslen. I piefei lhe second hypolhesis.
Il lecones lhen necessaiy lo voik lovaid a definilion of high.
(a)Il vouId nol le vise (even if possilIe) lo ieluin lo lhe innocence of lhe
AusliaIian aloiigines, lhe Lskino, and lhe ushnen. Such a ieluin vouId invoIve
Ioss of lhe visdon vhich pionpled lhe ieluin and vouId onIy slail lhe vhoIe
piocess ovei.
(l)A high civiIizalion shouId lheiefoie le piesuned lo have, on lhe
lechnoIogicaI side, vhalevei gadgels aie necessaiy lo pionole, nainlain (and even
*
In Oclolei, 197O, lhe aulhoi convened and chaiied a snaII five-day confeience on
Resliucluiing lhe LcoIogy of a Cieal Cily, sponsoied ly lhe Wennei-Cien Ioundalion. A
puipose of lhe confeience vas lo join vilh pIanneis in lhe office of }ohn Lindsay, nayoi of Nev
Yoik Cily, in exanining ieIevanl conponenls of ecoIogicaI lheoiy. This essay vas viillen foi lhis
confeience and sulsequenlIy ediled. Seclion VI on lhe Tiansnission of Theoiy has leen added and
iepiesenls afleilhoughls foIIoving lhe confeience.
inciease) visdon of lhis geneiaI soil. This nay veII incIude conpuleis and conpIex
connunicalion devices.
(c)A high civiIizalion shaII conlain vhalevei is necessaiy (in educalionaI and
ieIigious inslilulions) lo nainlain lhe necessaiy visdon in lhe hunan popuIalion
and lo give physicaI, aeslhelic, and ciealive salisfaclion lo peopIe. Theie shaII le a
nalching lelveen lhe fIexiliIily of peopIe and lhal of lhe civiIizalion. Theie shaII le
diveisily in lhe civiIizalion, nol onIy lo acconnodale lhe genelic and expeiienliaI
diveisily of peisons, lul aIso lo piovide lhe fIexiliIily and pieadaplalion
necessaiy foi unpiediclalIe change.
(d)A high civiIizalion shaII le Iiniled in ils liansaclions vilh enviionnenl. Il
shaII consune uniepIacealIe naluiaI ie-souices cn|q as a neans lo faciIilale
necessaiy change (as a chiysaIis in nelanoiphosis nusl Iive on ils fal). Ioi lhe iesl,
lhe nelaloIisn of lhe civiIizalion nusl depend upon lhe eneigy incone vhich
Spaceship Lailh deiives fion lhe sun. In lhis conneclion, gieal lechnicaI advance is
necessaiy. Wilh piesenl lechnoIogy, il is piolalIe lhal lhe voiId couId onIy
nainlain a snaII fiaclion of ils piesenl hunan popuIalion, using as eneigy souices
onIy pholosynlhesis, vind, lide, and valei povei.
L3435 >:#RATA:A*&
To achieve, in a fev geneialions, anylhing Iike lhe heaIlhy syslen dieaned of
alove oi even lo gel oul of lhe giooves of falaI desliny in vhich oui civiIizalion is
nov caughl, veiy gieal f|cxioi|i|q viII le needed. Il is iighl, lheiefoie, lo ex-anine lhis
concepl vilh sone caie. Indeed, lhis is a ciuciaI concepl. We shouId evaIuale nol so
nuch lhe vaIues and liends of ieIevanl vaiialIes as lhe ieIalion lelveen lhese liends
and ecoIogicaI fIexiliIily.
IoIIoving Ross Ashly, I assune lhal any lioIogicaI syslen (e.g., lhe ecoIogicaI
enviionnenl, lhe hunan civiIizalion, and lhe syslen vhich is lo le lhe conlinalion
of lhese lvo) is desciilalIe in leins of inleiIinked vaiialIes ' such lhal foi any given
vaiialIe lheie is an uppei and a Iovei lhieshoId of loIeiance leyond vhich
disconfoil, palhoIogy, and uIlinaleIy dealh nusl occui. Wilhin lhese Iinils, lhe
vaiialIe can nove (and is noved) in oidei lo achieve adap|a|icn. When, undei sliess,
a vaiialIe nusl lake -a vaIue cIose lo ils uppei oi Iovei Iinil of loIeiance, ve shaII
say, loiioving a phiase fion lhe youlh cuIluie, lhal lhe syslen is up lighl in
iespecl lo lhis vaiialIe, oi Iacks fIexiliIily in lhis iespecl.
ul, lecause lhe vaiialIes aie inleiIinked, |c le up lighl in iespecl lo one vaiialIe
connonIy neans lhal olhei vaiialIes cannol le changed vilhoul pushing lhe up-
lighl vaiialIe. The Ioss of fIexiliIily lhus spieads lhiough lhe syslen. In exliene
cases, lhe syslen viII onIy accepl lhose changes vhich cnangc |nc loIeiance Iinils foi
lhe up-lighl vaiialIe. Ioi exanpIe, an oveipopuIaled sociely Iooks foi lhose changes
(incieased food, nev ioads, noie houses, elc.) vhich viII nake lhe palhoIogicaI and
palhogenic condilions of oveipopuIalion noie confoilalIe. ul lhese ad ncc changes
aie pieciseIy lhose vhich in Iongei line can Iead lo noie fundanenlaI ecoIogicaI
palhoIogy.
The palhoIogies of oui line nay lioadIy le said lo le lhe accunuIaled iesuIls of
lhis piocess~lhe ealing up of fIexiliIily in iesponse lo sliesses of one soil oi anolhei
(especiaIIy lhe sliess of popuIalion piessuie) and lhe iefusaI lo leai vilh lhose ly-
pioducls of sliess (e.g., epidenics and fanine) vhich aie lhe age-oId coiieclives foi
popuIalion excess.
The ecoIogicaI anaIysl faces a diIenna: on lhe one hand, if any of his
ieconnendalions aie lo le foIIoved, he nusl fiisl ieconnend vhalevei viII give
lhe syslen a posilive ludgel of fIexiliIily, and on lhe olhei hand, lhe peopIe and
inslilulions vilh vhich he nusl deaI have a naluiaI piopensily lo eal up aII avaiIalIe
fIexiliIily. He nusl cieale fIexiliIily and pievenl lhe civiIizalion fion innedialeIy
expanding inlo il.
Il foIIovs lhal vhiIe lhe ecoIogisls goaI is lo inciease fIexiliIily, and lo lhis
exlenl he is Iess lyiannicaI lhan nosl veIfaie pIanneis (vho lend lo inciease
IegisIalive conlioI), he nusl aIso exeil aulhoiily lo pieseive such fIexiliIily as exisls
oi can le ciealed. Al lhis poinl (as in lhe nallei of uniepIacealIe naluiaI iesouices),
his ieconnendalions nusl le lyiannicaI.
SociaI fIexiliIily is a iesouice as piecious as oiI oi lilaniun and nusl le ludgeled
in appiopiiale vays, lo le spenl (Iike fal) upon needed change. ioadIy, since lhe
ealing up of fIexiliIily is due lo iegeneialive (i.e., escaIaling) sul-syslens vilhin
lhe civiIizalion, il is, in lhe end, lhese lhal nusl le conlioIIed.
Il is voilh noling heie lhal fIexiliIily is lo speciaIizalion as enliopy is lo
negenliopy. IIexiliIily nay le defined as >Cccnni|cd pc|cn|ia|i|q fcr cnangc.
A leIephone exchange exhilils naxinun negenliopy, naxinun speciaIizalion,
naxinun infoinalion Ioad, and naxinun iigidily vhen so nany of ils ciicuils aie
in ;+# 'lhal one noie- caII vouId piolalIy jan lhe syslen. Il exhilils naxinun.
enliopy and naxinun fIexiliIily vhen none of ils palhvays aie connilled. (In. lhis
pailicuIai exanpIe, lhe slale of nonuse is nol a connilled slale.)
Il viII le noled lhal lhe ludgel of fIexiliIily is fiaclionaling (nol sulliaclive, as is
a ludgel of noney oi eneigy).
L343= 0C#'PA+*"AT;*A%,'%M'>:#RATA:A*&
Again foIIoving Ashly, lhe dis|riou|icn of fIexiliIily anong lhe nany vaiialIes of
a syslen is a nallei of veiy gieal inpoilance.
The heaIlhy syslen, dieaned of alove, nay le conpaied lo an aciolal on a high
viie. To nainlain lhe ongoing liulh of his lasic pienise (I an on lhe viie), he
nusl le fiee lo nove fion one posilion of inslaliIily lo anolhei, i.e., ceilain vaiialIes
such as lhe posilion of his ains and lhe iale of novenenl of his ains nusl have
gieal fIexiliIily, vhich he uses lo nainlain lhe slaliIily of olhei noie fundanenlaI
and geneiaI chaiacleiislics. If his ains aie fixed oi paiaIyzed (isoIaled fion
connunicalion), he nusl faII.
In lhis conneclion, il is inleiesling lo considei lhe ecoIogy of oui IegaI syslen. Ioi
olvious ieasons, il is difficuIl lo conlioI ly Iav lhose lasic elhicaI and alsliacl
piincipIes upon vhich lhe sociaI syslen depends. Indeed, hisloiicaIIy, lhe Uniled
Slales vas founded upon lhe pienise of fieedon of ieIigion and fieedon of
lhoughl--lhe sepaialion of Chuich and Slale leing lhe cIassic exanpIe.
On lhe olhei hand, il is ialhei easy lo viile Iavs vhich shaII fix lhe ncrc cpiscdic
and supeificiaI delaiIs of hunan lehavioi. In olhei-voids, as Iavs pioIifeiale, oui
aciolal is piogiessiveIy Iiniled in his ain novenenl lul is given fiee peinission lo
faII cff lhe viie.
Nol
c
, in passing, lhal lhe anaIogy of lhe aciolal can le apps al a highei IeveI.
Duiing lhe peiiod. vhen lhe aciola| is |carning lo nove his ains in an appiopiiale
vay, il is necessaiy lo have a safely nel undei hin, i.e., pieciseIy lo give hin lhe
fieedon lo faII off lhe viie. Iieedon and fIexiliIily in iegaid-lo lhe nosl lasic
vaiialIes nay le necessaiy duiing -lhe piocess of Ieaining and. ciealing a nev
syslen ly sociaI change:
These aie paiades of oidei and disoidei- vhich lhe ecoIogicaI anaIysl and
pIannei nusl veigh.
e-aII lhal as i| naq, i| is al Ieasl aigualIe lhal lhe liend of sociaI change in lhe
Iasl one hundied yeais, especiaIIy in lhe USA, has leen lovaids an inappiopiiale
disliilulion of fIexiliIily anong lhe vaiialIes of lhe civiIizalion. Those vaiialIes
vhich shouId le fIexilIe have leen pegged, vhiIe lhose vhich shouId le
conpaialiveIy sleady, changing onIy sIovIy, have leen casl Ioose.
ul, even so, lhe Iav is suieIy nol lhe appiopiiale nelhod foi slaliIizing lhe
fundanenlaI vaiialIes. This shouId le done ly lhe piocesses of educalion and
chaiaclei foinalion ~lhose pails of oui sociaI syslen vhich aie cuiienlIy and
cxpcc|ao|q undeigoing naxinun peiluilalion.
L3434 0C#'>:#RATA:A*&'%M'7@#)+
A civiIizalion iuns on ideas of aII degiees of geneiaIily. These ideas aie piesenl
(sone expIicil, sone inpIicil) in lhe aclions and inleiaclions of peisons~sone
conscious and cIeaiIy defined, olheis vague, and nany unconscious. - Sone of lhese
ideas aie videIy shaied, olheis diffeienlialed in vaiious sulsyslens of lhe sociely.
If a ludgel of fIexiliIily is lo le a cenliaI conponenl of oui undeislanding of
hov lhe enviionnenl-civiIizalion voiks, and if a calegoiy of palhoIogy is ieIaled lo
unvise spending of lhis ludgel, lhen suieIy lhe fIexiliIily of ideas viII pIay an
inpoil anl ioIe in oui lheoiy and piaclice.
A fev exanpIes of lasic cuIluiaI ideas viII nake lhe nallei cIeai:
The CoIden RuIe, An eye foi an eye, and }uslice.
The -connon-sense of scaicily econonics veisus The connon sense : of
affIuence.
The nane of lhal lhing is `chaii and nany of lhe ieifying pienises of
Ianguage.
The suivivaI of lhe fillesl veisus The suivivaI of oiganisn-pIus-
enviionnenl.
Iienises of nass pioduclion, chaIIenge, piide, elc.
The pienises of liansfeience, ideas aloul hov chaiaclei is deleinined, lheoiies
of educalion, elc.
Ialleins of peisonaI ieIaledness, doninance, Iove, elc.
The ideas in a civiIizalion aie (Iike aII olhei vaiialIes) inleiIinked, pailIy ly sone
soil of psycho-Iogic and pailIy ly consensus aloul lhe quasi-conciele effecls of
aclion.
Il is chaiacleiislic of lhis conpIex nelvoik of deleininalion of ideas (and aclions)
lhal pailicuIai Iinks in lhe nel aie oflen veak lul lhal any given idea oi aclion is
suljecl lo nuIlipIe deleininalion ly nany inleivoven sliands. We luin off lhe Iighl
vhen ve go lo led, infIuenced pailIy ly lhe econonics of scaicily, pailIy ly
pienises of liansfeience, pailIy ly ideas of piivacy, pailIy lo ieduce sensoiy inpul,
elc.
This nuIlipIe deleininalion is chaiacleiislic of aII lioIogicaI fieIds.
ChaiacleiislicaIIy, eveiy fealuie of lhe analony of an aninaI oi pIanl and eveiy delaiI
of lehavioi is deleinined ly a nuIlilude of inleiacling faclois al lolh lhe genelic and
physioIogicaI IeveIs, and, coiiespondingIy, lhe piocesses of any ongoing ecosyslen
aie lhe oulcone of nuIlipIe deleininalion.
Moieovei, il is ialhei unusuaI lo find lhal any fealuie of a lioIogicaI syslen is al
aII diieclIy deleinined ly lhe need vhich il fuIfiIIs. Laling is goveined ly appelile,
halil, and sociaI convenlion ialhei lhan ly hungei, and iespiialion is goveined ly
CO2, excess ialhei lhan ly oxygen Iack. And so on.
In conliasl, lhe pioducls of hunan pIanneis and engineeis aie consliucled lo
neel specified needs in a nuch noie diiecl nannei, and aie coiiespondingIy Iess
vialIe. The nuIlipIe causes of ealing aie IikeIy lo ensuie lhe peifoinance of lhis
necessaiy acl undei a Iaige vaiiely of ciicunslances and sliesses vheieas, if ealing
veie conlioIIed onIy ly hypogIycaenia, any disluilance of lhe singIe palhvay of
conlioI vouId iesuIl in dealh. LssenliaI lioIogicaI funclions aie nol conlioIIed ly
IelhaI vaiialIes, and pIanneis viII do veII lo nole lhis facl.
Againsl lhis conpIex lackgiound, il is nol easy lo consliucl a lheoiy of fIexiliIily
of ideas and lo conceive of a oudgc| cf fIexiliIily. Theie aie, hovevei, lvo cIues lo lhe
najoi lheoielicaI piolIen. olh of lhese aie deiived fion lhe slochaslic piocess of
evoIulion oi Ieaining vheiely such inleiIocked syslens of ideas cone inlo leing.
Iiisl ve considei lhe naluiaI seIeclion vhich goveins vhich ideas shaII suivive
Iongesl, and second ve shaII considei hov lhis piocess sonelines voiks lo cieale
evoIulionaiy cuIs-de-sac.
(Moie lioadIy, I iegaid lhe giooves of desliny inlo vhich oui civiIizalion has
enleied as a speciaI case of evoIulionaiy cuI-de-sac. Couises vhich offeied shoil-lein
advanlage have leen adopled, have lecone iigidIy piogianned, and have legun lo
piove disaslious ovei Iongei line. This is lhe paiadign foi exlinclion ly vay of Ioss
of fIexiliIily. And lhis paiadign is noie suieIy IelhaI vhen lhe couises of aclion aie
chosen in oidei lo naxinize singIe vaiialIes.)
In a sinpIe Ieaining expeiinenl (oi any olhei expeiience), an oiganisn,
especiaIIy a hunan leing, acquiies a vasl vaiiely of infoinalion. He Ieains sonelhing
aloul lhe sneII of lhe Ial, he Ieains sonelhing aloul lhe palleins of lhe
expeiinenleis lehavioi, he Ieains sonelhing aloul his ovn capacily lo Ieain and
hov il feeIs lo le iighl oi viong, he Ieains lhal lheie is iighl and viong in
lhe voiId. And so on.
If he nov is suljecled lo anolhei Ieaining expeiinenl (oi expeiience), he viII
acquiie sone nev ilens of infoinalion: sone of lhe ilens of lhe fiisl expeiinenl viII
le iepealed oi affiined, sone viII le conliadicled.
In a void, sone of lhe ideas acquiied in lhe fiisl expeiience viII surtitc lhe
second expeiience, and naluiaI seIeclion viII lauloIogicaIIy insisl lhal lhose ideas
vhich suivive viII suivive Iongei lhan lhose vhich do nol suivive.
ul in nenlaI evoIulion, lheie is aIso an econony of fIexiliIily. Ideas vhich
suivive iepealed use aie acluaIIy handIed in a speciaI vay vhich is diffeienl fion lhe
vay in vhich lhe nind handIes nev ideas. The phenonenon of naoi| fcrna|icn soils
oul lhe ideas vhich suivive iepealed use and puls lhen in a noie oi Iess sepaiale
calegoiy. These liusled ideas lhen lecone avaiIalIe foi innediale use vilh-oul
lhoughlfuI inspeclion, vhiIe lhe noie fIexilIe pails of lhe nind can le saved foi use
on nevei nalleis.
In olhei voids, lhe frcqucncq of use of a given idea le-cones a deleininanl of ils
suivivaI in lhal ecoIogy of ideas vhich ve caII Mind, and leyond lhal lhe suivivaI of
a fiequenlIy used idea is fuilhei pionoled ly lhe facl lhal halil foinalion lends lo
ienove lhe idea fion lhe fieId of ciilicaI inspeclion.
ul lhe suivivaI of an idea is aIso ceilainIy deleinined ly ils ieIalions vilh olhei
ideas. Ideas nay suppoil oi conliadicl each olhei, lhey nay conline noie oi Iess
ieadiIy. They nay infIuence- each olhei in conpIex unknovn vays in poIaiized
syslens.
Il is connonIy lhe noie geneiaIized and alsliacl ideas lhal suivive iepealed
use. The noie geneiaIized ideas lhus lend lo lecone prcniscs upon vhich olhei ideas
depend. These pienises lecone ieIaliveIy infIexilIe.
In olhei voids, in lhe ecoIogy of ideas lheie is an evoIulionaiy piocess, ieIaled lo
lhe econonics of fIexiliIily, and lhis piocess deleinines vhich ideas shaII lecone
haid piogianned.
The sane piocess. deleinines lhal lhese haid-piogianned ideas lecone nucIeai
oi nodaI vilhin consleIIalions of olhei ideas, lecause lhe suivivaI of lhese olhei ideas
depends on hov lhey fil vilh lhe haid-piogianned ideas.
1
Il foIIovs lhal any
change in lhe haid-piogianned ideas nay invoIve change in lhe vhoIe ieIaled
consleIIalion.
ul fiequency of vaIidalion of an idea vilhin a given segnenl of line is nol lhe
sane as prccf lhal lhe idea is eilhei liue oi piagnalicaIIy usefuI ovei Iong line. We
aie discoveiing loday lhal seveiaI of lhe pienises vhich aie deepIy ingiained in oui
vay of Iife aie sinpIy unliue and lecone palhogenic vhen inpIenenled vilh
nodein lechnoIogy.
L343G 1R#"JA+#'%M'>:#RATA:A*&
Il is asseiled alove lhal lhe oveiaII fIexiliIily of a syslen depends upon keeping
nany of ils vaiialIes in lhe niddIe of lheii loIeialIe Iinils. ul lheie is a pailiaI
conveise of lhis geneiaIizalion:
AnaIogous ieIalions ceilainIy ollain in lhe ecoIogy of a
iedvood foiesl oi a coiaI ieef. The nosl fiequenl oi doninanl
species aie IikeIy lo le nodaI lo consleIIalions of olhei species,
lecause lhe suivivaI of a nev-conei lo lhe syslen viII connonIy
le deleinined ly hov ils vay of Iife fils vilh lhal of one oi noie
doninanl species.
In lhese conlexls~lolh ecoIogicaI and nenlaI~lhe void fil is
a Iov-IeveI anaIogue of nalching fIexiliIily.
Oving lo lhe facl lhal inevilalIy nany of lhe sulsyslens of lhe sociely aie
iegeneialive, lhe syslen as a vhoIe lends lo
Occania 2. 334-41.
1932l
SociaI sliucluie of lhe IalnuI peopIe of lhe Sepik Rivei (Iails I and II).
Occania 2.
245-91.
1932c
SociaI sliucluie of lhe IalnuI peopIe of lhe Sepik Rivei (Iail III).
Occania 2: 4O1-53.
1935a
j
*1935l
CuIluie conlacl and schisnogenesis.
Pni|cscpnq cf
Scicncc 8. 53-68. Iapei iead al lhe Sevenlh Confeience on Melhods in IhiIosophy
and lhe Sciences, 28 ApiiI 194O, al lhe Nev SchooI foi SociaI Reseaich, Nev Yoik,
Nev Yoik.
1941l
Cnarac|cr and
Pcrscna|i|q 11: 76-82. Repiinled in Pcrscna| Cnarac|cr and Cu||ura| Mi|icu, ediled ly
DougIas C. Haiing, pp. 71-77. Syiacuse, Nev Yoik, 1948. Rev. ed. Syiacuse Univ.
Iiess, 1949.
*1942c Connenl on
8u||c|in cf
|nc A|cnic Scicn|is|s 2, nos. 5 & 6: 1O-11. Repiinled in Pcrscna| Cnarac|cr and Cu||ura|
Mi|icu, ediled ly DougIas C. Haiing, pp. 85-88. Syiacuse, Nev Yoik, 1948.
1946d
The pallein of an ainanenls iace, Iail II: An anaIysis of nalionaIisn.
8u||c|in cf
|nc A|cnic Scicn|is|s 2, nos. 7 & 8: 26-28. Repiinled in Pcrscna| Cnarac|cr and Cu||ura|
Mi|icu, ediled ly DougIas C. Haiing, pp. 89-93. Syiacuse, Nev Yoik, 1948.
1946e Iion one sociaI scienlisl lo anolhei.
Anna|s cf |nc Ncu Ycr| Acadcnq cf Scicnccs 47: 647-6O. Iapei iead
lo lhe Confeience on IhysioIogicaI and IsychoIogicaI Iaclois in Sex ehavioi, Nev
Yoik Acadeny of Sciences, Seclions of ioIogy and IsychoIogy, 1 Maich 1946.
Repiinled in Pcrscna| Cnarac|cr and Cu||ura| Mi|icu, ediled ly DougIas C. Haiing,
pp. 94-1O7. Syiacuse, Nev Yoik, 1948.
1947l Alons, nalions, and cuIluies.
Apprcacncs |c |nc
S|udq cf Hunan Pcrscna|i|q, pp. 39-51. Aneiican Isychialiic Associalion.
Isychialiic Reseaich Repoils, no. 2. Iapei deIiveied lo a synposiun of lhe
Aneiican Isychialiic Associalion on CuIluiaI, AnlhiopoIogicaI, and
Connunicalions Appioaches, 11 Maich 1954, al Mexico Cily.
*1955l Hov lhe devianl sees his sociely.
In Scnizcpnrcnia, an
|n|cgra|cd Apprcacn. |Aneiican Isychialiic Associalion synposiun of lhe Havaiian
DivisionaI Meeling, 1958, San Iiancisco.j Synposiun on Schizophienia. Ldiled ly
AIfied Auei-lack, pp. 125-48. Nev Yoik: RonaId Iiess Co.
*196Oa The gioup dynanics of schizophienia.