COMPARATIVE THEORIES OF SOCIAL CHANGE

COMPARATIVE THEORIES

OF

SOCIAL CHANGE

FOUNDATION FOR RESEARCH ON HUMAN BEHAVIOR

C O M P A R A T I V E T H E O R I E S OF

S O C I A L C H A N G E

T h i s r e p o r t was pr e p a r e d by t h e Found a t i o n f o r Research on Human Behavior under C o n t r a c t AID/ csd-756 w i t h t h e Agency f o r I n t e r n a t i o n a l Development, an agency o f t h e Government o f the U n i t e d S t a t e s o f America. The m a t e r i a l c o n t a i n e d h e r e i n may be reproduced i n whole o r p a r t w i t h acknowledgment o f source.

FOUNDATION FOR RESEARCH ON HUMAN BEHAVIOR 508 E. W i l l i a m S t r e e t

Ann A r b o r , M i c h i g a n 48108

E d i t o r H o l l i s W. Pe t e r

E d i t o r i a l Committee Warren G. Bennis D a n i e l L e r n e r

E v e r e t t E. Hagen

Cover Design & P r o d u c t i o n Lena M. Behnke

A s s i s t e d by C h a r l o t t e W a t z l

November 1966

L i t h o p r i n t e d i n U.S.A. Brauh & B r u m f i e l d , I n c .

Ann A r b o r , M i c h i g a n

Foreword

The r a p i d r a t e o f s o c i a l and economic changes t h r o u g h o u t t h e w o r l d has n o t o n l y w h e t t e d man's i n t e r e s t i n u n d e r s t a n d i n g h i m s e l f and the processes o f change. I t has made i t more t h a n ever necessary t o u n d e r s t a n d t h e dynamics o f many k i n d s o f s o c i a l change, so t h a t d e s i r e d changes may be p l a n n e d , g u i d e d and e f f e c t i v e l y b r o u g h t about. I t w o u l d be a t r a g e d y i f , i n our age o f m a g n i f i c e n t s c i e n t i f i c achievement, man's means o f a c h i e v i n g a l i v e l i h o o d , o p t i m a l s o c i a l o r g a n i z a t i o n , happiness and w e l l - b e i n g s h o u l d c o n t i n u e t o be l a r g e l y dependent on chance, unplanned events and t h e v a g a r i e s o f n a t u r e . I t i s d i s c o n c e r t i n g t o observe t h a t s o c i a l knowledge seems u s u a l l y t o l a g b e h i n d t e c h n i c a l knowledge, when a t t h e same time i t i s s o c i a l o r g a n i z a t i o n t h a t determines t h e e f f e c t i v e use o f new t e c h n o l o g y .

The Agency f o r I n t e r n a t i o n a l Development i s one o f many o r g a n i z a t i o n s , p u b l i c and p r i v a t e , t h a t have been engaged i n planned programs o f s o c i a l and economic development i n t h e l e s s developed c o u n t r i e s o f t h e w o r l d . The o b j e c t i v e o f AID programs, which are always f o r m u l a t e d i n c o o p e r a t i o n w i t h r e c i p i e n t governments, are b o t h i d e a l i s t i c and p r a c t i c a l . The e x p e r i e n c e o f n e a r l y two decades, however, has made i t c l e a r t h a t economic a s s i s t a n c e does n o t a u t o m a t i c a l l y b r i n g d e s i r e d economic development, and t h a t s o c i a l change i s v a s t l y more complex t h a n economic change. New approaches, and b e t t e r unders t a n d i n g o f how s o c i a l systems r e a l l y work, have been r e q u i r e d .

Even u n d e r s t a n d i n g s o c i a l systems, as d i f f i c u l t as t h a t may be, i s n o t enough. I t i s a l s o i m p e r a t i v e t o know t h e s t r a t e g i c p o i n t s o f l e v e r a g e , and t h e a p p r o p r i a t e s t r a t e g i e s o f i n t e r v e n t i o n , so t h a t changes can be e f f e c t i v e l y s t i m u l a t e d t o w a r d t h e d e s i r e d g o a l s o f t h e communities o r n a t i o n s i n v o l v e d .

We a r e o f t e n reminded t h a t " t h e r e i s n o t h i n g more p r a c t i c a l t h a n a good t h e o r y . " A p p l y i n g t h i s t o complex development problems, p r o gram p l a n n e r s , a d m i n i s t r a t o r s and s o c i a l s c i e n t i s t s m i g h t agree t h a t o u r t h e o r i e s are n o t y e t good enough, b u t a l s o t h a t we are not u s i n g i n our a s s i s t a n c e o p e r a t i o n s a l l t h a t i s known, w i t h reasonable c e r t a i n t y , about s o c i a l change.

Convinced t h a t t h e p o t e n t i a l c o n t r i b u t i o n o f t h e s o c i a l s c i e n c e s t o development programs can be v e r y s u b s t a n t i a l , t h e Human Resources D i v i s i o n o f t h e O f f i c e o f T e c h n i c a l C o o p e r a t i o n and Research o f AID a c c e p t e d t h e p l a n s o f t h e F o u n d a t i o n f o r Research on Human Behavior t o o r g a n i z e a symposium on c omparative s o c i a l change, w i t h t h e h e l p

o f a S t e e r i n g Committee. 1 AID w i s e l y decided t h a t i t s h o u l d n o t seek i n t h i s c o n f e r e n c e , t h e h e l p and a d v i c e o f t h e s c h o l a r l y comm u n i t y on i t s own o p e r a t i n g problems or on s h o r t - r u n d e c i s i o n s c o n c e r n i n g t h e a l l o c a t i o n o f i t s r e s o u r c e s t o s p e c i f i c p r o j e c t s . R e c o g n i z i n g t h a t t h e program o f f o r e i g n a s s i s t a n c e must be viewed i n a l o n g - t e r m p e r s p e c t i v e , AID expected t h a t t h e symposium would c o n t r i b u t e t o : (1) sounder programs o f r e s e a r c h and development i n t h e f i e l d o f f o r e i g n a i d , and (2) t h e f o r m u l a t i o n o f p o l i c i e s _ r e l a t e d d i r e c t l y t o t h e b e s t s c i e n t i f i c knowledge and t h e o r i e s o f s o c i a l change a v a i l a b l e . I n o t h e r words, what was b e i n g sought was a b e t t e r frame o f r e f e r e n c e f o r r e s e a r c h e f f o r t s on g u i d e d s o c i a l change, and f o r o p e r a t i n g p o l i c i e s .

The S t e e r i n g Committee dec i d e d t h a t what was most needed a t t h i s stage was a sta t e m e n t o f t h e t h e o r y o f change and development viewed from t h e p e r s p e c t i v e o f major s o c i a l d i s c i p l i n e s . There are a l r e a d y a number o f t h e o r i e s o f economic development which d e s c r i b e t h e necessary p r e c o n d i t i o n s , t h e dynamic elements and m o t i v a t i o n s , t h e stages and sequences o f s e c t o r g r o w t h , and o t h e r c h a r a c t e r i s t i c s t h a t l e a d t o s u s t a i n e d c a p i t a l a c c u m u l a t i o n and economic d e v e l o p ment. However, economic w e l l - b e i n g i s o n l y one o f t h e many s o c i a l v a l u e s , w i t h t h e p a r t i c u l a r c h a r a c t e r i s t i c t h a t i t s development u s u a l l y produces r e s o u r c e s u s e f u l f o r t h e shaping and s h a r i n g o f o t h e r v a l u e s . There d i d n o t seem t o be comparable development t h e o r i e s which e x p l a i n s o c i e t a l g r o w t h and maintenance, n o t i n terms o f w e a l t h , b u t i n terms o f p o l i t i c a l o r g a n i z a t i o n , s o c i a l and c l a s s s t r u c t u r e , e d u c a t i o n , h e a l t h , communication, f a m i l y p a t t e r n s , e t h i c s , o r o t h e r i m p o r t a n t dimensions. I t was f e l t t h a t more comprehensive t h e o r i e s i n these areas c o u l d p r o v i d e g u i d e l i n e s f o r p r e d i c t i o n , f o r p l a n n i n g and f o r c a r r y i n g o u t s o c i a l development programs.

The s o c i a l s c i e n t i s t s p l a n n i n g t h e symposium r e c o g n i z e d t h e tendency o f s c h o l a r s and r e s e a r c h e r s t o l o o k a t t h e development process w i t h i n t h e l i m i t s o f t h e i r own p r o f e s s i o n a l d i s c i p l i n e s . Consequently, t h e o r g a n i z i n g theme s e l e c t e d by t h e Committee was t h e problem o f l i n k i n g and r e c o n c i l i n g t h e v a r i o u s p a r t i a l t h e o r i e s o f s o c i a l change and development. A good d e a l o f e f f o r t was devoted t o e x p l o r i n g t h e i n t e r f a c e s and i n t e r r e l a t i o n s h i p s between t h e s i g n i f i c a n t v a r i a b l e s o f d i f f e r e n t t h e o r e t i c a l systems. The papers p r e p a r e d f o r t h e symposium d e a l w i t h a wide v a r i e t y o f v a l u e and i n s t i t u t i o n a l areas o f s o c i e t y . These amply i l l u s t r a t e t h e c o m p l e x i t y o f i n t e g r a t i n g p a r t i a l t h e o r i e s , w i t h o u t e x h a u s t i n g t h e range o f a p p r o p r i a t e s u b j e c t m a t t e r . For example, comparable essays on e t h i c s , r e l i g i o n and t h e f a m i l y would have been r e l e v a n t and m i g h t have been i n c l u d e d .

The Steering Committee consisted of the following members who took a active part in the symposium planning: Dr. Allan R. Eolmberg, Cornel University; Dr. Donald D. Humphrey> Tufts University; Dr. Eugene Jacobson3 Michigan State University; Dr. Harold D. Lasswellj Yale University; Dr. William A. Lybrand* Agency for International Develop ment; and Dr. Hollis W. Reter3 Foundation for Research on Human Behavior.

i v

The F o u n d a t i o n and t h e symposium members are g r a t e f u l t o AID f o r f u n d i n g t h i s j o i n t e f f o r t t o b r i n g somewhat c l o s e r t o g e t h e r t h e numerous d i s c i p l i n e s concerned w i t h s o c i a l change and development. By r e s t r a i n i n g a n a t u r a l urge t o g e t p r a c t i c a l h e l p i n s o l v i n g t o d a y ' s o p e r a t i n g problems, AID has made p o s s i b l e an exchange among s c i e n t i s t s t h a t s h o u l d h e l p p r o v i d e a b a s i s f o r more e f f e c t i v e programs i n t h e f u t u r e .

H o l l i s W. Pet e r

The theories presented in this volume and the interpretations and conclusions derived from them3 are those of/ the authors and do not purport to represent the policies of the Agency for International Development.

v

Contents Page

Foreword i i i

Chapter 1 Summary 1

Rollis W. Peter

2 Toward a General Theory o f D i r e c t e d Value A c c u m u l a t i o n and I n s t i t u t i o n a l Development . . . - 12

Harold n. Lasswell and Allan R. Holmberg

D i s c u s s i o n 51

3 Toward a Theory o f Power and P o l i t i c a l S t r u c t u r e . . 6 0 Karl W. Deutsch


4 Wealth and t h e Economy 8 2 Everett E. Hagen


5 H e a l t h and W e l l - b e i n g Values i n t h e P e r s p e c t i v e o f S o c i o c u l t u r a l Change 118

Charles C. Hughes D i s c u s s i o n 16 3

6 S o c i a l Change S k i l l s and C r e a t i v i t y 166 P a r t I : General Parameters 169 P a r t I I : O r g a n i z a t i o n and Roles 182 P a r t I I I : The I n t e r m e d i a r i e s 190 P a r t IV: A Case Study 195

Morris D. Stein


7 E n l i g h t e n m e n t and Communication 212 Daniel Lerner

D i s c u s s i o n 24 3

Chapter Page

8 General E q u i l i b r i u m Model o f t h e S o c i a l System. . . 246 P a r t I : The A m e r i c a n i z a t i o n o f Emily 248 P a r t I I : V e r b a l Statement o f a General S o c i a l ,

P o l i t i c a l and Economic E q u i l i b r i u m f o r a System o f Regions 256

Walter Isard and C. Peter Rydell


9 A p p l y i n g B e h a v i o r a l Science f o r O r g a n i z a t i o n a l Change

Warren G, Bennis and Hollis W. Peter


10 I n s t i t u t i o n B u i l d i n g i n N a t i o n a l Development: An Approach t o Induced S o c i a l Change i n T r a n s i t i o n a l S o c i e t i e s 318

Milton J. Esman and Fred C. Bruhns


S e l e c t e d G l o s s a r y o f Terms 348

References 352

About t h e Au t h o r s 366

P a r t i c i p a n t s 372

About t h e F o u n d a t i o n 374

SUMMARY

by Eollis W. Peter

Foundation for Research on Euman Behavior

A. Q U E S T I O N S OF A N A L Y T I C A L METHODS

1. Interdependence in Social Science

S p e c i a l i z a t i o n w i t h i n t h e s o c i a l s c i e n c e s , necessary f o r ease and d e p t h o f s t u d y , has meant t h e s e p a r a t i o n o f t h e s i n g l e f a b r i c o f s o c i e t y i n t o r a t h e r a r b i t r a r y s u b j e c t areas. One r e s u l t i s a g r o w i n g w e a l t h o f knowledge about man, b u t another i s t h a t a r t i f i c i a l b o u n d a r i e s , which do n o t e x i s t i n t h e r e a l w o r l d , t e n d t o become e s t a b l i s h e d between t h e v a r i o u s s o c i a l science d i s c i p l i n e s ; f i n d i n g s and t h e o r y become c o m p a r t m e n t a l i z e d . I t i s , t h e r e f o r e , a h e a l t h y s i g n whenever s o c i a l s c i e n t i s t s , o u t s t a n d i n g i n t h e i r d i s t i n c t f i e l d s , j o i n f o r c e s t o e x p l o r e a common problem area o f i n t e r e s t , such as s o c i a l change, w i t h o u t t h e u s u a l academic c o n s t r a i n t s . Each member o f t h e symposium c o n t r i b u t e d , t h r o u g h h i s d i s c i p l i n a r y approach, t o u n d e r s t a n d i n g o f p a r t i c u l a r key v a r i a b l e s , processes and sequences i n v o l v e d i n s o c i a l change. I n t h i s e x e r c i s e , t h e accepted concept o f open, g e n e r a l systems t h e o r y h e l p e d t h e group t o see i t s own p a r t i a l t h e o r i e s i n b r o a d e r p e r s p e c t i v e .

2. Progress Toward a General Theory

S o c i a l s c i e n t i s t s agree t h a t t h e r e i s a t p r e s e n t no s a t i s f a c t o r y g e n e r a l t h e o r y o f s o c i a l change. The papers and d i s c u s s i o n s a t the symposium showed, however, t h a t t h e r e have been advances i n r e c e n t y e a r s tow a r d t h e f o r m a t i o n o f such a t h e o r y . The major L a s s w e l l -Holmberg paper p r o v i d e s a paradigm designed t o be s u f f i c i e n t l y g e n e r a l i n scope t o accommodate any and a l l human a c t i v i t y f o r s o c i a l change and economic development. The Hughes paper p r o v i d e s an e q u a l l y a l l - e n c o m p a s s i n g e c o l o g i c a l framework f o r v i e w i n g man's h e a l t h , w e l l - b e i n g and c o n t i n u a l a d a p t i o n t o h i s environment. Lerner shows how g l o b a l communication, seen as t h e main i n s t r u m e n t o f s o c i a l i z a t i o n , i n f l u e n c e s people i n t r a d i t i o n a l s o c i e t i e s , c r e a t i n g h i g h e r e x p e c t a t i o n s and r e a d i n e s s even b e f o r e m o d e r n i z i n g a c t i v i t i e s t a k e p l a c e . Hagen delv e s i n t o t h e p s y c h o l o g i c a l needs o f persons engaged i n pre-modern economic a c t i v i t y , p r o v i d i n g an e x p l a n a t i o n f o r t h e l a c k o f dynamics i n t r a d i t i o n a l economic development t h e o r y . S t e i n shows how c r e a t i v i t y and i n n o v a t i o n , so h i g h l y p r i z e d i n the s c i e n c e and knowledge i n d u s t r i e s , are i n e x t r i c a b l y i n t e r a c t i v e w i t h

2

t h e p h y s i c a l and c u l t u r a l e nvironment. Esman and Bruhns s t r e s s i n s t i t u t i o n b u i l d i n g as t h e most needed area i n s o c i a l development a c t i v i t i e s . P e t e r and Bennis s k e t c h t h e elements o f a b e h a v i o r a l t h e o r y o f s o c i a l change focussed on o r g a n i z a t i o n a l improvement, i n t h e b e l i e f t h a t such change comes l a r g e l y v i a o r g a n i z a t i o n s . Deutsch p r o v i d e s f u r t h e r i n s i g h t s r e g a r d i n g t h e r o l e o f p o l i t i c a l power i n s o c i a l change. I s a r d and R y d e l l p r e s e n t a d e l i g h t f u l and t h o u g h t -p r o v o k i n g essay o f two p a r t s . One i s a f i c t i t i o u s case s t u d y w h i c h r e v e a l s some o f our Western c u l t u r a l b l i n d e r s , and suggests how r e s e a r c h can be improved. The o t h e r i s a r i g o r o u s s t a t i c e q u i l i b r i u m model o f a s o c i a l system (which has a l s o been developed as a m a t h e m a t i c a l m o d e l ) .

The symposium d i d n o t reach a s a t i s f a c t o r y i n t e g r a t i o n o f t h e v a r i o u s p a r t i a l t h e o r i e s , a l t h o u g h , d i s c u s s i o n d i d r e v e a l a number o f themes and common i s s u e s r u n n i n g t h r o u g h t h e papers. The d i f f e r e n c e s between these themes and those which o c c u p i e d t h e a t t e n t i o n o f s o c i a l t h e o r i s t s a decade ago g i v e some i n d i c a t i o n o f t h e i n c r e a s i n g growth and s o p h i s t i c a t i o n o f s o c i a l s c i e n c e knowledge.

3. Meaning of Values

I n t h e papers p r e s e n t e d , t h e r e were s e v e r a l q u i t e d i f f e r e n t uses o f t h e t e r m " v a l u e . " These need c l a r i f i c a t i o n i n o r d e r t o d i s t i n g u i s h between t h e t r a d i t i o n a l and c e r t a i n s p e c i a l meanings t h r o u g h which some o f t h e a u t h o r s have extended t h e concept. Hughes, Esman and Bruhns, and P e t e r and Bennis i n t h e i r papers r e t a i n t h e more conv e n t i o n a l i d e a o f v a l u e as an a b s t r a c t s t a n d a r d o f what i s d e s i r a b l e , by w h i c h events o r o b j e c t s are e v a l u a t e d . I n c o n t r a s t , L a s s w e l l and Holmberg i n t h e i r framework paper, use v a l u e n o t as a y a r d s t i c k , b u t i n a s p e c i a l , r e s t r i c t e d sense t o mean any one o f a t l e a s t e i g h t g e n e r a l c a t e g o r i e s o f s o c i a l commodities sought a f t e r by i n d i v i d u a l s i n any s o c i e t y . They have o f t e n l i n k e d t h e word " v a l u e " i n c o n j u n c t i o n w i t h a n o t h e r word t o h e l p make t h e i r usage c l e a r , as, f o r example, "v a l u e outcomes" ( c u l m i n a t i n g .events) , "val u e u n i t " (symbol o r s i g n d e s c r i b i n g t h e p a r t i c u l a r commodity and t h e d i r e c t i o n o f commitment), "value i n s t i t u t i o n " ( p r a c t i c e s t o achieve s o c i a l g o a l s ) , e t c . The e i g h t Lasswell-Holmberg v a l u e s are power, r e s p e c t , e n l i g h t e n m e n t , w e a l t h , s k i l l s , w e l l - b e i n g , a f f e c t i o n and r e c t i t u d e ; these may be r e p r e s e n t e d by t h e acronym PREWSWAR.

I s a r d and R y d e l l accept t h e Lasswell-Holmberg concept o f v a l u e i n t h e i r s t a t i c e q u i l i b r i u m model, b u t p l a c e t h e symbol "c" b e f o r e t h e s o c i a l commodity ( f o r example, c - r e s p e c t ) t o i n d i c a t e t h a t t h e y are i n t e r p r e t i n g t h e word which f o l l o w s i n t he r e s t r i c t e d sense o f t h e i r d e f i n i t i o n . The c-values used by I s a r d and R y d e l l o v e r l a p b u t do n o t c o i n c i d e w i t h t h e e i g h t i n t h e Lasswell-Holmberg paradigm. For example, c - s o c i a l i t y , c - s o l i d a r i t y , c - t r a n s f e r , c - s a n c t i o n s and c- l o v e t e n d e r e d are v a l u e c a t e g o r i e s which t h e y have found h e l p f u l i n d e v e l o p i n g and e x p l a i n i n g t h e i r e q u i l i b r i u m model, b u t which are

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n o t mentioned i n t h e Lasswell-Holmberg model. These f o u r a u t h o r s p o i n t o u t t h a t t h e i r c a t e g o r i e s are t e n t a t i v e . L e r n e r a l s o f o l l o w s L a s s w e l l i n d i s c u s s i n g t h e v a l u e v a r i a b l e o f e n l i g h t e n m e n t i n h i s paper.

W h i l e t h e v a r i e d uses o f " v a l u e " may be somewhat c o n f u s i n g , t h e a t t e m p t s o f these a u t h o r s t o develop c o n c e p t u a l e q u i v a l e n t s across th e complete range o f non-economic as w e l l as economic s o c i a l commodities make a s u b s t a n t i a l s t e p t o w a r d a more g e n e r a l t h e o r y .

4. Distinguishing Progress from Change

I d e n t i f y i n g , c l a s s i f y i n g , measuring and t r y i n g t o understand t h e r e l a t i o n s h i p s among s i g n i f i c a n t i n t e r a c t i v e v a r i a b l e s i n s o c i a l change i s t h e f o r m i d a b l e t a s k t o which many s o c i a l s c i e n t i s t s are d e v o t i n g t h e i r s k i l l s and e n e r g i e s . D i s t i n g u i s h i n g such change " f o r t h e b e t t e r " from t h a t which i s " f o r t h e worse" o r i s n e u t r a l , r e a l l y r e q u i r e s two d i f f e r e n t k i n d s o f judgments o r e v a l u a t i o n s . One i s e s s e n t i a l l y a statement about t h e p r e f e r r e d g o a l s a g a i n s t w h i c h t h e d i r e c t i o n and n a t u r e o f t h e change are compared; t h i s must n e c e s s a r i l y be a s u b j e c t i v e ( o r va l u e ) judgment. The o t h e r i s an e v a l u a t i o n o f whether a p a r t i c u l a r new a c t i o n or change moves t o w a r d o r away from t h e achievement o f t h e p r e f e r r e d g o a l s . An o b j e c t i v e e v a l u a t i o n i s p o s s i b l e i f t h e f u n c t i o n i n g o f t h e system i n q u e s t i o n i s u n d e r s t o o d , and i f c r i t e r i a are a v a i l a b l e f o r d i s t i n g u i s h i n g between t h e r e s u l t s o f d i f f e r e n t k i n d s o f performance w i t h i n t h e system. I n t h i s s i t u a t i o n , "good" or "bad" does n o t i n v o l v e t h e s u b j e c t i v e c h o i c e o f g o a l s , b u t r e q u i r e s a p r o f e s s i o n a l judgment based on s c i e n t i f i c knowledge and demonstrable l i n k a g e s between a c t i o n and r e s u l t . Most b u t n o t a l l symposium members f e l t t h a t t h e s c i e n t i f i c knowledge now a v a i l a b l e does p e r m i t an o b j e c t i v e d i s t i n c t i o n t o be made between improvement and r e t r o g r e s s i o n i n many (b u t n o t a l l ) s o c i a l change s i t u a t i o n s , once t h e p r i o r c h o i c e o f p r e f e r r e d g o a l s has been made.

To i l l u s t r a t e , a s o c i a l change i n which t h e l i t e r a c y r a t e i n c r e a s e s t o f i f t y p e r c e n t w h i l e u r b a n i z a t i o n remains a t t e n p e r c e n t i s "good" i f t h e s o c i e t y ' s g o a l ( s u b j e c t i v e v a l u e p r e f e r e n c e ) i s s o l e l y t o i n c r e a s e l i t e r a c y . However, t h i s r a p i d an i n c r e a s e may a l s o be e v a l u a t e d o b j e c t i v e l y as "bad" i f , as L e r n e r demonstrates, a lower r a t i o between l i t e r a c y and u r b a n i z a t i o n i s necessary t o p r e v e n t i m b a l a n c e , f r u s t r a t i o n and p o l i t i c a l i n s t a b i l i t y , a l l o f which may h i n d e r t h e a t t a i n m e n t o f m o d e r n i z a t i o n g o a l s ( i n c l u d i n g even f u r t h e r l i t e r a c y ) t o which t h e people i n t h e s o c i e t y a s p i r e . Data on l i t e r a c y - u r b a n i z a t i o n r a t i o s c o l l e c t e d from s e v e n t y - t h r e e c o u n t r i e s p r o v i d e t h e b a s i s f o r t h e c r i t e r i a i n t h i s e v a l u a t i o n .

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5. The Multiple Roles of the Social Scientist

The q u e s t i o n o f what are a p p r o p r i a t e r o l e s f o r t h e s o c i a l s c i e n t i s t , a s u b j e c t w h ich r e c e i v e d a good d e a l o f a t t e n t i o n , i s i n t i m a t e l y r e l a t e d t o v a l u e i s s u e s . S e v e r a l symposium p a r t i c i p a n t s r e f l e c t e d t h e p o s i t i o n t h a t s o c i a l s c i e n t i s t s w i l l most r a p i d l y a c q u i r e knowledge about s o c i a l change i f t h e y observe and do r e s e a r c h , b u t remain e s s e n t i a l l y a l o o f from a c t i o n programs.

I t was agreed t h a t t h e p r o f e s s i o n a l t a s k o f r e s e a r c h e r s and t h e o r i s t s i s t o t r y t o un d e r s t a n d s o c i a l systems and processes w e l l enough t o be a b l e t o p r e d i c t what r e s u l t s f o l l o w what a c t i o n s , i n p a r t i c u l a r s i t u a t i o n s . I t i s p a r t o f t h e i r j o b t o s t u d y how i n d i v i d u a l and group v a l u e s d e v e l o p , change and a f f e c t o t h e r b e h a v i o r .

Some symposium members f e l t , however, t h a t t h e n e u t r a l r o l e o f t h e pure s c i e n t i s t i s no l o n g e r adequate nor necessary, and t h a t s o c i a l s c i e n t i s t s can become a c t i v e i n o t h e r c a p a c i t i e s t h a n r e s e a r c h — as c o n s u l t a n t s , f o r i n s t a n c e — w i t h o u t l o s i n g t h e i r p r o f e s s i o n a l o b j e c t i v i t y o r i n t e g r i t y and w i t h o u t g o i n g beyond t h e i r competence. Whether t h e c o n s u l t a n t s h o u l d l i m i t h i s a c t i v i t i e s i n t h e v a l u e area t o h e l p i n g a c l i n e t system understand and a r t i c u l a t e i t s own g o a l s , o r whether i t i s a l s o p e r m i s s a b l e f o r him t o i n f l u e n c e t h e go a l s o f o t h e r s , was an u n r e s o l v e d i s s u e i n t h e m e e t i n g .

The o p t i m a l s o l u t i o n does n o t seem t o be e i t h e r a c h o i c e o r a compromise between extreme p o s i t i o n s , b u t i n t h e p r o l i f e r a t i o n o f r o l e s t o meet a range o f r e q u i r e m e n t s . A l r e a d y i n t h e p h y s i c a l s c i e n c e s , f o r example, t h e r e are many d i s t i n c t b u t r e l a t e d r o l e s , — from t h e pure r e s e a r c h e r t o the a p p l i e d r e s e a r c h e r t o t h e development man and f i n a l l y t o t h e p r a c t i t i o n e r . What i s b a d l y needed i n t h e s o c i a l s c i e n c e s i s a comparable (not i d e n t i c a l ) s e r i e s o f r o l e s t h r o u g h which i n d i v i d u a l s and teams can g a i n new knowledge (pure r e s e a r c h ) , c o n s i d e r how i t m i g h t be used ( a p p l i e d r e s e a r c h ) , f o r m u l a t e , e x p e r i m e n t w i t h and t e s t the methods f o r p r a c t i c a l a p p l i c a t i o n (development) and, f i n a l l y , h e l p program a d m i n i s t r a t o r s i n c o r p o r a t e t hese s o c i a l i n n o v a t i o n s i n t o improved n o r m a t i v e o p e r a t i o n s ( c o n s u l t a t i o n and p r a c t i c e ) .

The c o n s i d e r a b l e a t t e n t i o n g i v e n t o t h e a p p r o p r i a t e r o l e s o f t h e s o c i a l s c i e n t i s t i n s o c i a l change r e f l e c t s t h e s t r o n g i n c l i n a t i o n o f most symposium members t o w a r d t h e o r i e s w h i ch are n o t o n l y d e s c r i p t i v e , n o t o n l y p r e d i c t i v e , b u t which s p e c i f y where s t r a t e g i c change i n t e r v e n t i o n i s p o s s i b l e .

6. Micro and Macro Systems

Another r e c u r r e n t theme i n t h e meeting r e v o l v e d around t h e i n t e r a c t i v e l i n k a g e s between m i c r o and macro systems. The s m a l l e s t u n i t i n s o c i a l s c i e n c e i s a man, w h i l e t h e l a r g e s t u n i t s d i s c u s s e d i n r e l a t i o n t o s o c i a l change were n a t i o n s t a t e s . To u n d e r s t a n d t h e i n d i v i d u a l as a

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"system" r e q u i r e s p r o b i n g t h e m y r i a d m i c r o systems o f which he i s composed, and t h e i r complex i n t e r - r e l a t i o n s h i p s , w h i ch make up t h e human b e i n g as an e n t i t y . I n d i s c u s s i n g s o c i a l change, however, man and t h e s m a l l groups o f which he i s i n e v i t a b l y a p a r t comprise t h e m i c r o systems, whereas l a r g e r groups o r g a n i z a t i o n s , communities, r e g i o n s and n a t i o n s approach t h e macro systems.

I t was i n t h i s c o n t e x t o f i n t e r a c t i v e m i c r o and macro s o c i a l systems t h a t t h e o r i z i n g was c a r r i e d on, w h i c h i n the e a r l i e r days o f s o c i a l s c i e n c e would have been i n t e r - d i s c i p l i n a r y arguments about t h e most s u i t a b l e approach. The accepted m u l t i - l e v e l , m u l t i - v a r i a t e framework o f t h e symposium s t i m u l a t e d c o r r e s p o n d i n g l y v a r i e d responses. For example, S t e i n , as a - c l i n i c a l p s y c h o l o g i s t i n t e r e s t e d i n c r e a t i v i t y i n t h e i n d i v i d u a l (micro s y s t e m ) , e x p l o r e d t h e c u l t u r a l c o n d i t i o n s a f f e c t i n g c r e a t i v i t y , under t h e assumption t h a t i t i s a f u n c t i o n o f t h e t r a n s a c t i o n a l r e l a t i o n s h i p s between t h e i n d i v i d u a l and h i s environment (macro system). The c a p a c i t y which L e r n e r d e s c r i b e d as empathy develops w i t h t h e s t i m u l i o f communication from t h e environment and becomes an i n d i s p e n s a b l e p e r s o n a l s k i l l f o r p e o p l e moving o u t o f t r a d i t i o n a l s e t t i n g s . Deutsch showed how feedback loops i n t h e t h e o r e t i c a l models i n c r e a s e t h e i r e x p l a n a t o r y power by l i n k i n g t h e i n t e r a c t i o n o f m i c r o and macro systems t h r o u g h t i m e .

As a g e n e r a l p r o p o s i t i o n , one can s t a t e t h a t models o f s o c i a l change are more r e a l i s t i c e x p r e s s i o n s o f t h e r e a l w o r l d t o t h e e x t e n t t h a t t h e y c o n t a i n feedback loops o r s i m i l a r r e p r e s e n t a t i o n s o f t h e i n t e r a c t i v e l i n k a g e s among m i c r o and macro systems, and over t i m e . T h i s k i n d o f f o r m u l a t i o n seems more u s e f u l t h an t h e t h e o r e t i c a l arguments over t h e i s s u e o f " p e r s o n a l i t y v s . environment" or " n a t u r e vs. n u r t u r e . "

I t was n o t always easy f o r p a r t i c i p a n t s t o see t h e r e l e v a n c e o f f i n d i n g s and t h e o r y w h ich were n o t o n l y from o u t s i d e t h e i r own p a r t i c u l a r d i s c i p l i n e s , b u t a l s o a t q u i t e d i f f e r e n t l e v e l s o f system a n a l y s i s . For example, how can knowledge about s m a l l group dynamics i n a few modernized c o u n t r i e s be made u s e f u l t o p o l i t i c a l t h e o r y or t o t h e s o l u t i o n o f p o l i t i c a l problems i n d e v e l o p i n g n a t i o n s t a t e s ? There e x i s t s among s o c i a l s c i e n t i s t s a c e r t a i n f a i t h t h a t f u l l e r u n d e r s t a n d i n g o f t h e v a r i a b l e s and r e l a t i o n s h i p s i n t h e f u n c t i o n i n g o f p a r t i c u l a r m i c r o systems must n o t o n l y be c o n s i s t e n t w i t h , b u t w i l l c o n t r i b u t e t o e x p l a i n i n g l a r g e r s o c i a l systems which are c h a r a c t e r i z e d by o t h e r v a r i a b l e s and r e l a t i o n s h i p s . The whole i s b o t h d i f f e r e n t and more t h a n t h e sum o f i t s p a r t s ; t h e p r i n c i p l e o f s y n e r g i s m p e r s i s t s .

7. Distinguishing Institutions and Practices

I t was n o t s u r p r i s i n g t h a t a c e n t r a l focus o f t h e a u t h o r s w r i t i n g p a p e r s f o r t h i s meeting was on t h e t r a n s f o r m a t i o n o f s o c i a l p r a c t i c e s — a f t e r a l l , t h i s i s what m o d e r n i z a t i o n and s o c i a l change

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are a l l about. To L a s s w e l l and Holmberg t h e r e l a t i v e l y s t a b l e p a t t e r n s o f p r a c t i c e s w h ich are somewhat s p e c i a l i z e d t o p a r t i c u l a r v a l u e outcomes, and employed t o maximize n e t v a l u e outcomes, are d e f i n e d as i n s t i t u t i o n s . S i m i l a r l y , L e r n e r uses i n s t i t u t i o n s t o mean t h e b e h a v i o r a l p a t t e r n s o f performance o f people whose g o a l i s t o enhance as much as p o s s i b l e t h e v a l u e s which t h e y h o l d i m p o r t a n t ; i n s h o r t , i n s t i t u t i o n s are codes o f r a t i o n a l , r o u t i n i z e d a c t i v i t y . He s t r e s s e s t h a t changing these codes ( i n s t i t u t i o n s ) i n t r a d i t i o n a l s o c i e t i e s r e q u i r e s an i n i t i a l i n t r u s i o n from o u t s i d e , u s u a l l y t h r o u g h communications media. Thus, t o these t h r e e a u t h o r s i n s t i t u t i o n s and p r a c t i c e s (codes) are e q u i v a l e n t t a r g e t s o f change; t h e t r a n s f o r m a t i o n and m o d e r n i z a t i o n o f p a t t e r n s o f p r a c t i c e is t h e t r a n s f o r m a t i o n o f i n s t i t u t i o n s .

Esman and Bruhns, i n c o n t r a s t , d e f i n e i n s t i t u t i o n s n o t as p r a c t i c e s b u t as f u n c t i o n a l l y s p e c i f i c organizations which i n c o r p o r a t e , f o s t e r and p r o t e c t n o r m a t i v e r e l a t i o n s h i p s and a c t i o n p a t t e r n s , and p e r f o r m f u n c t i o n s and s e r v i c e s which are v a l u e d i n t h e environment. They b e l i e v e t h a t by s t u d y i n g t h e way i n s t i t u t i o n s ( o r g a n i z a t i o n s ) a r e b u i l t and grow i n d e v e l o p i n g c o u n t r i e s w i l l e v e n t u a l l y suggest how improvements can be made i n p r a c t i c e s . I s a r d and R y d e l l m e n t i o n i n s t i t u t i o n s o n l y i n d e s c r i b i n g o r g a n i z a t i o n s which a r e , i n t h e sense o f T a l c o t t Parsons 1 p a t t e r n - m a i n t a i n i n g sub-systems, concerned w i t h the p r e s e r v a t i o n o f c e r t a i n v a l u e s . Other a u t h o r s do n o t r e f e r a t a l l t o i n s t i t u t i o n s i n e x p l a i n i n g how p r a c t i c e s can be changed.

Bennis and P e t e r a l s o d i s c u s s how t r a n s f o r m a t i o n o f p r a c t i c e s can be b r o u g h t about w i t h i n o r g a n i z a t i o n s , b u t a v o i d t h e t e r m " i n s t i t u t i o n . " •• Hagen i s q u i t e s p e c i f i c about t h e c o n d i t i o n s t h a t have t o be met i n changing economic p r a c t i c e s from t h o s e o f t h e t r a d i t i o n a l bazaar t o th e modern f a c t o r y system. Hughes analyses t h e r e q u i r e m e n t s o f r e d i r e c t i n g h e a l t h p r a c t i c e s , and h i s e c o l o g i c a l model has many a p p l i c a t i o n s beyond t h i s s u b j e c t a r ea. Deutsch, w i t h o u t r e f e r r i n g t o i n s t i t u t i o n s , e l a b o r a t e s on t h e processes o f m o d e r n i z i n g p o l i t i c a l p r a c t i c e s .

Thus, though i n s t i t u t i o n s seem t o be a t t h e h e a r t o f t h e p a r t i a l change models d i s c u s s e d , t h e major common concern was, i n f a c t , p r i m a r i l y w i t h t h e t r a n s f o r m a t i o n o f a t t i t u d e s and b e h a v i o r a l p a t t e r n s . P e r c e p t i o n s , a t t i t u d e s and b e l i e f s were g e n e r a l l y f e l t t o change p r i o r t o o v e r t b e h a v i o r and p r a c t i c e s , a l t h o u g h i t was r e c o g n i z e d t h a t t h e r e v e r s e sequence sometimes o c c u r s .

8. Technology and Social Change

The i m p o r t a n c e o f t e c h n o l o g y as a m a j o r f a c t o r i n shaping t h e d i r e c t i o n , n a t u r e and speed o f s o c i a l change was r e c o g n i z e d i n t h e symposium. C o n v e r s e l y , t h e r e q u i r e m e n t s and a v a i l a b l e r e s o u r c e s w i t h i n s o c i a l systems a l s o p a r t i a l l y d e t e r m i n e t e c h n i c a l p o s s i b i l i t i e s and r e s u l t a n t t e c h n o l o g y . The term " s o c i o - t e c h n i c a l system," used by s e v e r a l a u t h o r s , r e f l e c t s t h i s i n t e r a c t i o n w i t h r e s p e c t t o b o t h cause and e f f e c t .

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That s o c i a l change seems more t y p i c a l l y t o occur as a l a g g i n g response t o t e c h n o l o g i c a l developments i s due t o s e v e r a l f a c t o r s . A g r e a t d e a l more t i m e , money and e f f o r t i s devoted by p r o f e s s i o n a l l y q u a l i f i e d s c i e n t i s t s , a p p l i e d r e s e a r c h e r s and development engineers i n a l l c o u n t r i e s t o t h e p r o d u c t i o n o f t e c h n o l o g i c a l improvements. Thus, a l a r g e r number o f such s i g n i f i c a n t i n n o v a t i o n s ( w i t h t h e i r e a s i l y demonstrated p o t e n t i a l b e n e f i t s t o mankind) appear. Many o f t h e s e r e q u i r e s o c i a l a d a p t a t i o n f o r t h e i r e f f i c i e n t use. Moreover, p h y s i c a l systems are g e n e r a l l y e a s i e r t o t r a n s f o r m t h a n s o c i a l s y s t e m s , ' s i n c e people must overcome t h e i n e r t i a o f h a b i t and a c q u i r e t h e new a t t i t u d e s , b e l i e f s and p r a c t i c e s which are co n c o m i t a n t s o f s o c i a l change.

9. Time

The i m p o r t a n c e o f t i m e i n t h e m o d e r n i z i n g process r e c e i v e d emphasis i n many ways. S o c i a l development may t a k e p l a c e i n a number o f sequences o r t i m e p a t h s ; each o f th e s e r e p r e s e n t s a t any p o i n t a process made up o f components which form an i n t e r d e p e n d e n t system, and w h i c h must go t o g e t h e r ; s i g n i f i c a n t v a r i a t i o n i n one component e n t a i l s a t l e a s t some v a r i a t i o n i n a l l t h e o t h e r s .

Symposium p a r t i c i p a n t s made t h e o b s e r v a t i o n t h a t f u n c t i o n a l r e l a t i o n s h i p s w i t h i n a s o c i a l system do n o t seem t o have t h e s t a b i l i t y over t i m e t h a t would be c o m f o r t i n g t o b o t h t h e o r i s t s and p r a c t i t i o n e r s . The p r o b l e m i s n o t s o l v e d by j u s t b u i l d i n g known r a t e s o f change and e x i s t i n g t r e n d s i n t o c u r r e n t t h e o r i e s (though t h i s i s d i f f i c u l t enough); t h e r a t e s o f change may a l s o v a r y whenever something new and s u f f i c i e n t l y p o w e r f u l i s i n t r o d u c e d i n t o t h e system. We know t h a t b o t h m ajor t e c h n o l o g i c a l and s o c i a l i n n o v a t i o n s , i n t h e p a s t , have had t h i s e f f e c t . W h i l e these d i f f i c u l t i e s h e l p t o e x p l a i n , one o f t h e in a d e q u a c i e s o f e x i s t i n g p a r t i a l t h e o r i e s , t h e y a l s o d e s c r i b e a d e s i r a b l e f e a t u r e o f b e t t e r p r e d i c t i v e models. Using a l l t h e e x p e r i e n c e and knowledge o f p a s t and p r e s e n t t r e n d s , these newer models s h o u l d i n c l u d e a way o f a c c o u n t i n g f o r t h e l i k e l y f u t u r e i mpact on f u n c t i o n a l r e l a t i o n s h i p s , o f y e t - t o - b e - d i s c o v e r e d i n n o v a t i o n s o f b o t h a t e c h n o l o g i c a l and a s o c i a l n a t u r e .

B. D E V E L O P M E N T S T R A T E G I E S

1, Reappraising Development Strategies

Since t h e e a r l y days o f t h e modest P o i n t Four program o f t e c h n i c a l a s s i s t a n c e , U.S. f o r e i g n a i d has p r o g r e s s i v e l y expanded i n concept, f i r s t t o i n c l u d e economic a i d , and more r e c e n t l y , many aspects o f s o c i a l development. The j u s t i f i c a t i o n f o r the e x p e n d i t u r e o f t a x funds f o r development abroad has, d u r i n g t h i s p e r i o d o f more t h a n a decade, been one o f e n l i g h t e n e d s e l f - i n t e r e s t , w i t h i n t h e c o n t e x t o f t h e c o l d war. But t h i s c o n s i s t e n t and a d m i r a b l e i d e o l o g y has n o t , o f i t s e l f , p r o v i d e d t h e o r i e s o r models o f t h e change processes which

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match the g r o w i n g c o m p l e x i t y o f t h e development components w i t h w h i ch t h e a i d program has become i n v o l v e d . From c o o p e r a t i o n i n s e l e c t e d " s e l f - h e l p " a s s i s t a n c e t o p a r t n e r s h i p i n t o t a l socio-economic development r e p r e s e n t s a g i g a n t i c l e a p . I t would be s u r p r i s i n g i f t h e r e were n o t s t i l l remnants o f t h e s i m p l e , s i n c e r e and o p t i m i s t i c b e l i e f s t h a t d o l l a r s , t e c h n i c i a n s and m u t u a l good i n t e n t l e a d q u i t e s t r a i g h t f o r w a r d l y t o h i g h e r l i v i n g s t a n d a r d s , s o c i a l improvement, democracy and i n c r e a s e d p o l i t i c a l s t a b i l i t y .

The d i s a p p o i n t m e n t s and f r u s t r a t i o n s a r i s i n g from d i s c r e p a n c i e s between e x p e c t a t i o n s and r e s u l t s a c h i e v e d ar e c e r t a i n l y n o t l i m i t e d t o t h e d e v e l o p i n g c o u n t r i e s themselves. T h e i r gap between a c h i e v e ment and e x p e c t a t i o n s has i t s c o u n t e r p a r t i n a domestic gap f e l t i n most Western donor n a t i o n s . Many p r i v a t e c i t i z e n s and t h e i r r e p r e s e n t a t i v e s i n government have expressed d i s i l l u s i o n m e n t w i t h t h e programs because t h e i r e a r l y t h a t o p t i m i s t i c hopes have n o t been r e a l i z e d .

The r e s u l t i n g f r u s t r a t i o n w i l l be d y s f u n c t i o n a l , a t l e a s t i n t h e U n i t e d S t a t e s , i f i t c o n t i n u e s t o express i t s e l f s o l e l y as c r i t i c i s m e i t h e r o f t h e f o r e i g n a i d programs o r o f t h e e f f o r t s o f d e v e l o p i n g c o u n t r i e s . I t c o u l d be a p o w e r f u l p o s i t i v e f o r c e i f d i r e c t e d t o w a r d a r e a l i s t i c r e a p p r a i s a l o f c a p a b i l i t i e s and s t r a t e g i e s f o r i n t e r v e n i n g i n s o c i a l change. Time p e r s p e c t i v e s , the s c a l e and mix o f r e s o u r c e i n p u t s , and o f course change s t r a t e g i e s themselves a l l need r e v i e w and p o s s i b l y r e v i s i o n . Working w i t h i n e x i s t i n g a i d c o n c e p t s , i t w i l l p r o b a b l y t a k e l o n g e r f o r l e s s developed n a t i o n s t o a c h i e v e t h e i r d e s i r e d s o c i a l and economic advances t h a n e i t h e r t h e y o r we have been w i l l i n g t o admit. Perhaps our r e l u c t a n c e i s p a r t l y because t h e s p e c t r e s o f runaway p o p u l a t i o n g r o w t h , d e c l i n i n g l i v i n g s t a n d a r d s and p o l i t i c a l i n s t a b i l i t y a l l i n d i c a t e t h a t t h e r e may n o t be a l l t h a t much t i m e . Yet, u n l e s s t h e a t t a c k on t h e problems o f s o c i a l and economic development can be made more e f f i c i e n t t h r o u g h t h e use o f b e t t e r knowledge about t h e dynamics o f these g r o w t h p r o c e s s e s , t h e r e i s no p a r t i c u l a r reason t o b e l i e v e t h a t f o r w a r d p r o g r e s s w i l l become more r a p i d o r e f f e c t i v e t h a n i t i s a t p r e s e n t . Thus, a c r u c i a l i s s u e i s : how soon and t o what e x t e n t improved s o c i a l change t h e o r y , t r a n s l a t e d i n t o t e c h n o l o g y and a p p l i e d i n programs, can i n c r e a s e t h e e f f e c t i v e n e s s o f human, f i n a n c i a l and p h y s i c a l r e s o u r c e s i n v o l v e d i n s o c i a l development. The p r e s s i n g need i s . t o m o b i l i z e s o c i a l s c i e n c e r e s e a r c h and development f a c i l i t i e s and t a l e n t s on an a p p r o p r i a t e p a t t e r n and s c a l e , as has been done t o a c h i e v e n o t a b l e b r e a k t h r o u g h s i n a t o m i c and space problems.

2. Research Guidelines

S t a t i n g t h a t s o c i a l change i s n o t random and can be approached more s c i e n t i f i c a l l y m e r e l y r e a f f i r m s t h e b e l i e f i n t h e o r d e r l i n e s s o f n a t u r e , s u p p o r t e d by e very new b i t o f s c i e n t i f i c e vidence. R e i t e r a t i n g t h a t s o c i a l change i s m u l t i v a r i a t e and v a s t l y complex o n l y emphasizes t h e need f o r b e t t e r t h e o r i e s t o d e s c r i b e , e x p l a i n and p r e d i c t . T h i s i s t h e c h a l l e n g e f o r f u r t h e r r e s e a r c h and l a t e r p r a c t i c a l a p p l i c a t i o n .

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S p e c i f i c r e s e a r c h p r o p o s a l s are made i n s e v e r a l o f t h e papers, and i t i s n o t t h e i n t e n t i o n i n t h i s summary t o r e p e a t what v a r i o u s a u t h o r s have proposed o r i m p l i c i t l y suggested. For example, L e r n e r would p r e f e r a r e s e a r c h - p o l i c y program based on Want:Get R a t i o s ; Deutsch suggests a r e s e a r c h program based on p o l i t i c a l d a t a - b a n k i n g ; L a s s w e l l and Holmberg are w r i t i n g about m i l t i - v a l u e and h i g h l y m u l t i - v a r i a t e r e s e a r c h programs. What f o l l o w s are suggested g u i d e l i n e s f o r needed r e s e a r c h on s o c i a l change, from t h e symposium, as i n t e r p r e t e d by one member o f the group.

a. C r o s s - n a t i o n a l r e s e a r c h teams. As a r e s u l t o f t h e p r e v i o u s programs f o r e d u c a t i n g and t r a i n i n g s o c i a l s c i e n t i s t s , most o f t h e l e s s developed c o u n t r i e s have s u b s t a n t i a l numbers o f q u a l i f i e d people a v a i l a b l e t o s t u d y s o c i a l change i n t h e i r own c o u n t r i e s . These s c i e n t i s t s are becoming r e s e n t f u l o f " i m p o r t i n g t h e o r y and e x p o r t i n g d a t a " i n t h e i r unbalanced i n t e l l e c t u a l t r a d e w i t h t h e U n i t e d S t a t e s and o t h e r donor c o u n t r i e s . W i t h o u t t h e c o l l a b o r a t i o n o f o u t s i d e e x p e r t s and t h e i r sponsors, however, t h e i n d i g e n o u s s o c i a l s c i e n t i s t s may be w i t h o u t f i n a n c i a l means, and may be p o l i t i c a l l y v u l n e r a b l e when s t u d y i n g s e n s i t i v e problems i n t h e i r own c o u n t r i e s . On t h e o t h e r hand, f o r e i g n r e s e a r c h e r s , l e f t t o t h e i r own d e v i c e s , o f t e n study " t h e wrong problems a t t h e wrong t i m e s " because o f t h e i r own (unperceived) c u l t u r a l . b l i n d e r s . More t r u l y c o l l a b o r a t i v e r e s e a r c h teams and c r o s s -n a t i o n a l designs would g r e a t l y speed b o t h t h e p e n e t r a t i o n and i m p a c t o f r e s e a r c h on s o c i a l change. More long-range i n t e r -u n i v e r s i t y programs i s one p o s s i b i l i t y . Among the b e n e f i t s t o be g a i n e d from such c r o s s - n a t i o n a l r e s e a r c h are (1) b u i l d i n g t h e i n d i g e n o u s c a p a c i t y f o r complex approaches, and (2) j o i n t o r m u l t i l a t e r a l auspices p e r m i t t i n g t h e groups t o work w i t h l e s s l i k e l i h o o d o f charges o f p o l i t i c a l i n t e r f e r e n c e o r undue i n f l u e n c e by any o f t h e c o u n t r i e s p a r t i c i p a t i n g i n t h e programs.

b. I n t e r d i s c i p l i n a r y approaches. The problem u n i t chosen f o r r e s e a r c h by most s o c i a l s c i e n t i s t s i s s t i l l g e n e r a l l y one o f p e r s o n a l p r e f e r e n c e and convenience, and c r o s s - d i s c i p l i n a r y teams are much more unusual i n t h i s f i e l d t h a n i n p h y s i c a l s c i e n c e o r o p e r a t i o n s r e s e a r c h . I t seems c l e a r , however, t h a t s o c i a l change cannot c o n t i n u e u s e f u l l y t o be e x p l o r e d t h r o u g h n a r r o w and u n c o o r d i n a t e d approaches. AID c o u l d break new ground w i t h e x p e r i m e n t a l s t u d i e s i n c l u d i n g a number o f d i f f e r e n t d i s c i p l i n e s . T h i s r e s e a r c h might a l s o encompass (1) c o n s i d e r a b l e c o n t i n u i t y over t i m e , and (2) a r e a s o n a b l y s m a l l study area where b o t h i n d i g e n o u s and exogenous v a r i a b l e s can be i d e n t i f i e d , measured, and f i t t e d i n t o change programs.

c. P r a c t i t i o n e r g u i d e l i n e s . A r e v i e w o f t h e p a r t i a l t h e o r i e s p r e s e n t e d i n t h e meeting showed many l a r g e gaps and inadequacies w h i c h need t o be overcome. Not w i t h s t a n d i n g t h e d e f i c i e n c e s , d i s c u s s a n t s f e l t t h a t more o f what i s now known c o u l d be conv e r t e d i n t o usable form f o r program a d m i n i s t r a t o r s , f i e l d

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t e c h n i c i a n s and o t h e r s p a r t i c i p a t i n g d i r e c t l y i n s o c i a l and economic development programs. T h i s suggests t h a t AID m i g h t sponsor an e f f o r t t o t r a n s l a t e and adapt c u r r e n t f i n d i n g s i n t o p r a c t i c a l w o r k i n g g u i d e l i n e s f o r o p e r a t i o n a l s t a f f , many o f whom r e c o g n i z e t h a t t h e y c o u l d use such i n f o r m a t i o n . For example, a good d e a l i s a l r e a d y understood about how t o be a s u c c e s s f u l change agent, about t h e processes o f i n s t i t u t i o n b u i l d i n g , about communication and about methods o f overcoming r e s i s t a n c e t o change. Guidance f o r programmers and o p e r a t o r s c o u l d come n o t o n l y from use o f t h e p a r t i a l t h e o r i e s o f t h e s o c i a l s c i e n t i s t s , b u t from an a n a l y s i s o f t h e ex p e r i e n c e s o f more than a decade o f f o r e i g n a i d a c t i v i t i e s .

d. P r a c t i t i o n e r - r e s e a r c h e r d i a l o g u e . A more encompassing, s y s t e m a t i c and c o n t i n u i n g d i a l o g u e between change p r a c t i t i o n e r s and s o c i a l r e s e a r c h e r s i s a l s o needed. T h i s would encourage a g r e a t e r f l o w o f ideas and knowledge i n b o t h d i r e c t i o n s , t a p p i n g t h e work o f s o c i a l s c i e n t i s t s i n many r e s e a r c h c e n t e r s and t h e program e x p e r i e n c e from many c o u n t r i e s . The l i k e l y r e s u l t s o f such a d i a l o g u e would be t o s t r e n g t h e n r e s e a r c h and t h e o r y -b u i l d i n g on t h e one hand and t o improve p r a c t i c e s w i t h i n development programs on t h e o t h e r .

e. Research on change-agent r o l e s . The growing emphasis on t h e o r i e s o f d e l i b e r a t e changing, and t h e u n r e s o l v e d i s s u e s o f a p p r o p r i a t e f u n c t i o n s and v a l u e o r i e n t a t i o n i n t h e wide range o f p o s s i b l e r o l e s f o r s o c i a l s c i e n t i s t s , suggest a need f o r more d i r e c t r e s e a r c h on t h e m u l t i p l e change-agent r o l e s t h a t c o u l d be made use o f i n AID and o t h e r development programs.

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® TOWARD A GENERAL THEORY OF DIRECTED VALUE ACCUMULATION AND INSTITUTIONAL DEVELOPMENT

Harold D. Lass we 11 Yale University

and

Allan f?« Holmberg

Cornell University

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The p r e s e n t paper i s a s k e t c h o f t h e c r i t e r i a o f a g e n e r a l t h e o r y o f d i r e c t e d s o c i a l change and a p r o v i s i o n a l o u t l i n e o f a t h e o r y t h a t meets these s p e c i f i c a t i o n s . Given t h e enormous scope o f t h e t a s k i t i s perhaps unnecessary t o say more by way o f d i s c l a i m e r than t o u n d e r s c o r e the words " s k e t c h " and " p r o v i s i o n a l o u t l i n e . "

The fundamental c r i t e r i o n o f a g e n e r a l t h e o r y i s c o n t e x t u a l i t y - I t must be i n c l u s i v e enough t o take i n t o c o n s i d e r a t i o n a l l s i g n i f i c a n t i n t e r a c t i o n s i n the s o c i a l c o n t e x t o f change. Because o f t h e i m p o r t a n c e o f the n a t i o n s t a t e as t h e u n i t o f d e c i s i o n i n t h e cont e m p o r a r y w o r l d we g i v e prominence t o t h e n a t i o n a l frame o f r e f e r e n c e . However, a g e n e r a l t h e o r y must be f o r m u l a t e d i n ways t h a t can be adapted t o t h e w o r l d community as a whole, t o t r a n s - n a t i o n a l r e g i o n s , o r t o s u b - n a t i o n a l communities.

C o n t e x t u a l i t y i n c l u d e s t h e r e q u i r e m e n t o f v e r s a t i l i t y i n r e g a r d t o t h e g o a l s o f d i r e c t e d change, s i n c e development can be conceived i n many d i f f e r e n t , even i n c o m p a t i b l e , terms. The g e n e r a l t h e o r y i s p r i m a r i l y a s y s t e m a t i c model o f s o c i a l change whose p r i m a r y c a t e g o r i e s p r o v i d e an i n v e n t o r y o f t h e most r e l e v a n t v a r i a b l e s i n t h e p r o c e s s , and whose r u l e s o f i n t e r a c t i o n a l l o w f o r t h e statement o f s t a t i c and dynamic e q u i l i b r i a c o n f i r m a b l e by e m p i r i c a l o b s e r v a t i o n . The t h e o r y must be equal t o t h e c h a l l e n g e o f s t u d y i n g t h e s a l i e n t f e a t u r e s o f the p a s t , and o f i n c o r p o r a t i n g m o d i f i c a t i o n s o f d e t a i l i n t h e l i g h t o f a c c u m u l a t i n g knowledge. A s u i t a b l e t h e o r y i s a l s o r e q u i r e d , t o p r o v i d e guidance f o r t h e p r o j e c t i o n o f p a s t and p r e s e n t t r e n d s and c o n d i t i o n i n g f a c t o r s i n t o t h e f u t u r e . A s a t i s f a c t o r y t h e o r e t i c a l system w i l l , i n a d d i t i o n , guide t h e p o l i c y a d v i s o r o r d e c i s i o n maker i n i n v e n t i n g and e v a l u a t i n g t h e n e t advantages o f p o l i c y o p t i o n s .

The c r i t e r i a may be summarized as p r i n c i p l e s o f guidance i n p e r f o r m i n g t h e i n t e l l e c t u a l t a s k s o f problem s o l v i n g i n r e f e r e n c e t o d i r e c t e d s o c i a l change. The i n t e l l e c t u a l t a s k s are c l a r i f i c a t i o n o f g o a l , t h e d i s c o v e r y o f s a l i e n t t r e n d s , t h e p r o g r e s s i v e a n a l y s i s o f c o n d i t i o n i n g f a c t o r s , t h e p r o j e c t i o n o f f u t u r e s , and t h e i n v e n t i o n , e v a l u a t i o n and commitment t o v a l u e m a x i m i z i n g p o l i c i e s .

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P R E F E R E N C E N O V E L S

I t may be w o r t h emphasizing t h e p o i n t t h a t s o c i a l change can be d i r e c t e d toward t e r m i n a l s t a t e s t h a t d i f f e r f rom one a n o t h e r i n fundamental c h a r a c t e r i s t i c s . Some p r e f e r e n c e models are i n c l u s i v e o f t h e v a l u e - i n s t i t u t i o n processes o f t h e community, w h i l e o t h e r s a r e l i m i t e d t o a s i n g l e s e c t o r . We are accustomed t o t h i n k o f economic models, and t o an i n c r e a s i n g e x t e n t p r e f e r e n c e models a r e g a i n i n g d e f i n i t i o n i n terms o f p o l i t i c s , h e a l t h , e d u c a t i o n , and r e l a t e d s e c t o r s . I n c l u s i v e g o a l s can be f o r m u l a t e d i n r e f e r e n c e t o human d i g n i t y o r i n d i g n i t y , t h e former e x p r e s s i n g a s p i r a t i o n s t o w a r d a f r e e s o c i e t y , t h e l a t t e r g i v i n g v o i c e t o t h e i d e o l o g y o f c a s t e . P r e f e r e n c e models d i f f e r i n t i m e span, e x t e n d i n g from l o n g -range t h r o u g h m i d d l e range t o immediate p e r i o d s . I n g e n e r a l , when we speak o f g o a l v a l u e s , we have i n mind t h e o v e r r i d i n g d i s t r i b u t i o n p a t t e r n o f power, w e a l t h and o t h e r v a l u e s ; l e s s long-range and more p a r t i c u l a r o b j e c t i v e s emerge i n t h e c o n t e x t o f immediate p o l i c y u r g e n c i e s .

S O C I A L CHANGE G E N E R A L I Z E ! ? We i n t r o d u c e a t t h i s p l a c e i n t h e d i s c u s s i o n a h i g h l y g e n e r a l i z e d mode o f c h a r a c t e r i z i n g t h e process o f s o c i a l change. Change i s s o c i a l s i n c e i t i s i n t e r a c t i v e , i n v o l v i n g i n v a r y i n g f r e q u e n c y and i n t e n s i t y a l l p a r t i c i p a n t s . S o c i a l change i s a p r o c e s s , s i n c e i t i s n o t c h a o t i c . As human beings a r e i n v o l v e d , v a l u e d outcomes are sought t o be maximized (such v a l u e d outcomes ar e o f t e n c a l l e d "needs," " d e s i r e s , " "wants," " p r e f e r e n c e s " ) . The c o l l e c t i v e p r o cess o f i n t e r a c t i o n i s pursued by r e l a t i v e l y s t a b l e p a t t e r n s o f p r a c t i c e which are somewhat s p e c i a l i z e d t o p a r t i c u l a r v a l u e o u t comes, which we c a l l i n s t i t u t i o n s . I n s t i t u t i o n s t h a t p r epare t h e outcomes are c h i e f l y concerned w i t h v a l u e s h a p i n g ( p r o d u c t i o n ) ; i n s t i t u t i o n s f u n c t i o n i n g a t t h e outcome and post-outcome l e v e l a r e concerned f o r t h e most p a r t w i t h v a l u e s h a r i n g . I n a phrase, s o c i a l change i s a process i n which participants seek t o maximize n e t v a l u e outcomes {values) by employing p r a c t i c e s (institutions) , a f f e c t i n g resources.

T H E C H O I C E OF V A L U E - I N S T I T U T I O N G R O U P I N G S

The g e n e r a l model t h a t we propose uses e i g h t c a t e g o r i e s f o r t h e purpose o f d i s t i n g u i s h i n g t h e p r i n c i p a l v a l u e - i n s t i t u t i o n g r o u p i n g s i n s o c i a l p r o c e s s . I t need s c a r c e l y be s a i d t h a t t h e r e i s no magic about t h e number e i g h t . The c h o i c e was made w i t h s e v e r a l c o n s i d e r a t i o n s i n mind. F i r s t o f a l l , an i n c l u s i v e l i s t o f terms i s r e q u i r e d i n o r d e r t o f o s t e r t h e c omparative s t u d y and management o f any s o c i a l c o n t e x t . Unless an i n c l u s i v e l i s t i s employed t o r e p o r t o b s e r v a t i o n s , i t i s i m p o s s i b l e t o e s t a b l i s h e q u i v a l e n c i e s among o b s e r v a t i o n a l f i e l d s , o r among e q u a l l y i n c l u s i v e , though d i f f e r e n t , l i s t s . We n o t e , second, t h a t a s h o r t l i s t i s r e q u i r e d , s i n c e t h e

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number o f s p e c i f i c outcomes sought i s an u n w i e l d y t o t a l . For i n s t a n c e , thousands o f words are necessary t o d e s i g n a t e t h e a r t i c l e s on s a l e i n a supermarket o r the i t e m s o f f o o d and c l o t h i n g i n a g i v e n c u l t u r e .

A t h i r d p o i n t i s t h a t t h e p r i n c i p a l v a l u e - i n s t i t u t i o n c a t e g o r i e s are e s p e c i a l l y c o n v e n i e n t i f t h e y can be c l o s e l y r e l a t e d t o t h e s e v e r a l branches o f s p e c i a l i z e d knowledge i n t h e sciences r e l a t i n g t o s o c i a l p r o c e s s . I t i s e v i d e n t t h a t our terms r e f e r t o s e c t o r s o f s o c i e t y t h a t a r e i n v e s t i g a t e d by r e a d i l y d i s c e r n i b l e groups o f s c h o l a r s . The power v a l u e and t h e i n s t i t u t i o n s o f government ar e t h e p r o v i n c e o f p o l i t i c a l s c i e n t i s t s , s t u d e n t s o f i n t e r n a t i o n a l r e l a t i o n s and j u r i s t s . The e n l i g h t e n m e n t v a l u e and i n s t i t u t i o n s o f communication and i n q u i r y are s t u d i e d by p r o f e s s o r s o f j o u r n a l i s m and o t h e r s . The w e a l t h v a l u e and economic i n s t i t u t i o n s a r e t h e economist's concern. The w e l l - b e i n g v a l u e and i n s t i t u t i o n s o f s a f e t y , h e a l t h and c o m f o r t ar e i n v e s t i g a t e d by s o c i a l b i o l o g i s t s and p u b l i c h e a l t h . The s k i l l v a l u e and i n s t i t u t i o n s o f pedagogy and o f o c c u p a t i o n a l and p r o f e s s i o n a l s t a n d a r d s are o b j e c t s o f r e s e a r c h by educators and o c c u p a t i o n a l s o c i o l o g i s t s . The a f f e c t i o n v a l u e and i n s t i t u t i o n s of f r i e n d s h i p , f a m i l y and l o y a l t y come w i t h i n t h e domain o f a n t h r o p o l o g i s t s and s o c i o l o g i s t s o f f a m i l y and k i n s h i p s t r u c t u r e s . The r e s p e c t v a l u e and i n s t i t u t i o n s o f c a s t e and c l a s s f a l l w i t h i n the scope o f a n t h r o p o l o g i s t s and s o c i o l o g i s t s who d e a l w i t h s o c i a l s t r u c t u r e . The r e c t i t u d e v a l u e and i n s t i t u t i o n s are t h e p r o v i n c e o f s c h o l a r s o f c o m p a r a t i v e r e l i g i o n and e t h i c s .

V alue outcomes are c u l m i n a t i n g e vents i n t h e n e v e r c e a s i n g i n t e r p l a y among p a r t i c i p a n t s i n t h e s o c i a l p r o c e s s . Power outcomes are t h e g i v i n g (and r e c e i v i n g ) , t h e w i t h h o l d i n g (and r e j e c t i n g ) o f support i n m a t t e r s o f community-wide concern. E n l i g h t e n m e n t outcomes a r e t h e g i v i n g (and r e c e i v i n g ) , t h e w i t h h o l d i n g (and r e j e c t i n g ) o f i n f o r m a t i o n about t h e s o c i a l and n a t u r a l c o n t e x t . Wealth outcomes are t h e g i v i n g (and r e c e i v i n g ) , t h e w i t h h o l d i n g (and r e j e c t i n g ) of c l a i m s t o processed and unprocessed r e s o u r c e s . W e l l - b e i n g outcomes are t h e g i v i n g (and r e c e i v i n g ) , t h e w i t h h o l d i n g (and r e j e c t i n g ) o f o p p o r t u n i t i e s d i r e c t l y a f f e c t i n g s a f e t y , h e a l t h and c o m f o r t . S k i l l outcomes are t h e g i v i n g (and r e c e i v i n g ) , t h e w i t h h o l d i n g (and r e j e c t i n g ) o f o p p o r t u n i t i e s d i r e c t l y a f f e c t i n g t h e a c q u i s i t i o n and e x e r c i s e o f p r o f i c i e n c y i n the performance o f t e a c h a b l e (and l e a r n a b l e ) o p e r a t i o n s . A f f e c t i o n outcomes are t h e g i v i n g (and r e c e i v i n g ) , t h e w i t h h o l d i n g (and r e j e c t i n g ) o f i n t i m a c y and l o y a l t y . Respect i s the g i v i n g (and r e c e i v i n g ) , t h e w i t h h o l d i n g (and r e j e c t i n g ) o f r e c o g n i t i o n . R e c t i t u d e i s t h e g i v i n g (and r e c e i v i n g ) , t h e w i t h h o l d i n g (and r e j e c t i n g ) o f c h a r a c t e r i z a t i o n s o f conduct i n terms of r e s p o n s i b i l i t y ( r e l i g i o u s , e t h i c a l ) .

16

V A L U E S H A P I N G ANV S H A P I N G

I n t h e s e c u l m i n a t i n g s i t u a t i o n s , p a r t i c i p a n t s i n t h e s o c i a l p r o c e s s a r e s e e k i n g t o maximize t h e i r n e t v a l u e p o s i t i o n . A v a l u e i n d u l g e n c e i s a p o s i t i v e g a i n o r an a v o i d e d l o s s ; a v a l u e d e p r i v a t i o n i s a p o s i t i v e l o s s o r a b l o c k e d g a i n . To maximize n e t v a l u e s i s t o use a v a i l a b l e v a l u e s (base v a l u e s ) t o i n f l u e n c e outcomes i n ways t h a t l e a v e t h e p a r t i c i p a n t ( o r p a r t i c i p a n t s ) r e l a t i v e l y w e l l o f f i n terms o f i n d u l g e n c e s and d e p r i v a t i o n s o f scope v a l u e s ( p r e f e r r e d v a l u e s ) . O b v i o u s l y any v a l u e may be a base f o r i t s e l f as a scope v a l u e (power f o r power, e n l i g h t e n m e n t f o r e n l i g h t e n m e n t , w e a l t h f o r w e a l t h , e t c ) r o r a base f o r a n o t h e r v a l u e as t h e scope v a l u e (power f o r e n l i g h t e n m e n t , power f o r w e a l t h , e t c . ) . The m a x i m i z a t i o n p o s t u l a t e may be g i v e n a s t r i c t o r a l o o s e i n t e r p r e t a t i o n by the s o c i a l a n a l y s t . A loose i n t e r p r e t a t i o n c a l l s f o r a r e s u l t t h a t i s r e l a t i v e l y advantageous,' though n o t t h e b e s t p o s s i b l e .

The f l o w o f p r e p a r a t o r y events p r i o r t o t h e c u l m i n a t i n g outcome a r e " v a l u e s h a p i n g " ; outcome events o f " v a l u e s h a r i n g " f o s t e r v a l u e a c c u m u l a t i o n o r v a l u e enjoyment, t h e f o r m e r r e f e r r i n g t o t h e p o t e n t i a l use o f a v a l u e t o shape more o f i t s e l f , t h e l a t t e r r e f e r r i n g t o t h e p o t e n t i a l use o f a v a l u e t o o b t a i n o t h e r v a l u e s .

F U N C T I O N A L ANV C O N V E N T I O N A L M E A N I N G

Equipped w i t h a v a l u e - m o d e l , t h e s o c i a l s c i e n t i s t who approaches a s p e c i f i c s o c i a l c o n t e x t employs i t t o scan t h e i n t e r a c t i o n s o c c u r r i n g t h e r e i n f o r ' t h e purpose o f i d e n t i f y i n g i n s t i t u t i o n s t h a t p e r f o r m a f u n c t i o n a l l y e q u i v a l e n t r o l e . The p r a c t i c e s t h a t are r e l a t i v e l y s p e c i a l i z e d t o power outcomes ( d e c i s i o n s ) , pre-outcomes and p o s t -outcomes a r e t h e g o v e r n m e n t a l , l e g a l o r p o l i t i c a l i n s t i t u t i o n s . S i m i l a r l y , t h e i n s t i t u t i o n s o f e n l i g h t e n m e n t , w e a l t h , w e l l - b e i n g and t h e o t h e r v a l u e s can be l o c a t e d .

A t t h i s p o i n t we emphasize t h e d i s t i n c t i o n between f u n c t i o n a l . a n d c o n v e n t i o n a l c a t e g o r i e s . The terms i n t r o d u c e d i n t h e s c i e n t i f i c model a r e d e f i n e d t o serve t h e purposes o f c o m p a r a t i v e r e s e a r c h on a l l s o c i a l c o n t e x t s , r e g a r d l e s s o f i n c l u s i v e n e s s o r l o c a t i o n i n t h e time-space m a n i f o l d o f e v e n t s . There a r e , however, rough e q u i v a l e n t s c u r r e n t i n t h e usage o f most c u l t u r e s . The i n v e s t i g a t o r must, as a r u l e , b e g i n h i s s t u d y o f s t r a n g e s o c i a l c o n t e x t s by i d e n t i f y i n g t h e s i t u a t i o n s t h a t are c o n v e n t i o n a l l y r e g a r d e d as a p p r o x i m a t i o n s t o power and o t h e r i n s t i t u t i o n s .

The i n i t i a l c l a s s i f i c a t i o n o f s i t u a t i o n s may be d r a s t i c a l l y m o d i f i e d as r e s e a r c h d i s c l o s e s t h e f i n e r s t r u c t u r e o f t h e t o t a l p r o c e s s . A t f i r s t , "medicine men" and t h e i r a c t i v i t i e s may be a s s i g n e d t o t h e c a t e g o r y o f w e l l - b e i n g . I n t h e end, some o f these persons and o p e r a t i o n s may be r e a s s i g n e d t o power, as i t becomes c l e a r t h a t t h e y are d e e p l y i n v o l v e d i n t h e making o f community-wide d e c i s i o n s w h i c h are s u p p o r t e d by t h e use o f what a r e r e c o g n i z e d t o be severe v a l u e

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d e p r i v a t i o n s . I t i s a commonplace o f s c i e n t i f i c i n q u i r y on a c r o s s -c u l t u r a l s c a l e t o f i n d t h a t c o n v e n t i o n a l i n s t i t u t i o n s , when f u n c t i o n a l l y c o n s i d e r e d , p l a y r o l e s t h a t d i f f e r from t h e l o c a l l a b e l . P r i v a t e m o n o p o l i s t s o f l a n d , f o r i n s t a n c e , may belong t o t h e power e l i t e , n o t o n l y t o the e l i t e o f w e a l t h .

A comprehensive value-model makes i t p o s s i b l e t o s e l e c t any i n s t i t u t i o n a l p a t t e r n t o e x p l o r e i t s s i g n i f i c a n c e i n the shaping and s h a r i n g o f a l l v a l u e s , n o t s i m p l y t h e one o r two i n r e g a r d t o w h i c h i t has t h e h e a v i e s t i m p a c t .

I n u s i n g t h e g e n e r a l i z e d v a l u e map i n r e l a t i o n t o c o n c r e t e c i r c u m s t a n c e s i t i s u l t i m a t e l y d e s i r a b l e t o choose o p e r a t i o n a l i n d i c e s o f each c o n c e p t u a l t e r m . These i n d i c e s must r e f e r t o i n s t i t u t i o n a l p a t t e r n s even though t h e y a r e s e l e c t e d w i t h v a l u e c a t e g o r i e s i n mind.

T H E FLOW OF G R O S S AHV MET O U T C O M E S

One t a s k o f any value-model i s t o g u i d e i n v e s t i g a t i o n s i n t h e s e a r c h f o r c o n v e n i e n t ways O-F d e s c r i b i n g t h e f l o w o f outcome events d u r i n g any s e l e c t e d p e r i o d , .whether we speak o f y e a r s , o r o f m u l t i p l e s o r f r a c t i o n s o f y e a r s . Since t h e p r e s e n t frame o f r e f e r e n c e g i v e s prominence t o v a l u e a c c u m u l a t i o n and i n s t i t u t i o n a l development, t he s c i e n t i f i c i n v e s t i g a t o r must d e f i n e t h e changes which he assumes t o be t h e g o a l model. I t i s n o t necessary t h a t t h e p r e f e r e n c e model g i v e s e x p r e s s i o n t o h i s p e r s o n a l demands. I n h i s s t r i c t l y s c i e n t i f i c r o l e , t h e s p e c i a l i s t may go no f u r t h e r t h a n t o adopt a model as a p o i n t o f d e p a r t u r e f o r r e s e a r c h .

An i n c l u s i v e p r e f e r e n c e model p r e s c r i b e s (1) a p a t t e r n o f p a r t i c i p a t i o n i n v a l u e shaping and s h a r i n g , and (2) a p a t t e r n o f b a s i c i n s t i t u t i o n a l s t r u c t u r e s . Such a model d e f i n e s t h e system o f p u b l i c ( o r c i v i c ) o r d e r which i t i s proposed t o a c h i e v e o r m a i n t a i n . For convenience we l a b e l as " p r e f e r r e d " t h e p a t t e r n s t h a t conform t o t h e g o a l ( o t h e r s are " n o n - p r e f e r r e d " ) . The t e r m " p r e f e r r e d " i s not t o be un d e r s t o o d as e x p r e s s i n g a p e r s o n a l judgment by t h e i n v e s t i g a t o r .

D u r i n g any g i v e n p e r i o d v a l u e outcomes can be d e s c r i b e d t o b r i n g o u t t h e r e l a t i o n s h i p between c u r r e n t i n d u l g e n c e s and d e p r i v a t i o n s . A l l p a r t i c i p a n t s i n t h e s o c i a l process who i d e n t i f y themselves w i t h p r e f e r r e d p a t t e r n s are v a l u e - i n d u l g e d when these are approximated and v a l u e - d e p r i v e d when they are n o t . The gross outcome i s t h e sum o f i n d u l g e n c e s ; t h e n e t income i s t h e sum when d e p r i v a t i o n s have been deducted.

The f i r s t s t e p i n examining power outcomes i s t o i d e n t i f y a l l changes t h a t have o c c u r r e d i n t h e g i v e n p e r i o d i n t h e s t r u c t u r e of t h e d e c i s i o n process ( t h e c o n s t i t u t i v e p r o c e s s ) . Some o f th e s e changes a r e i s s u e s , s i n c e t h e y reach a s p e c i f i e d minimum o f a t t e n t i o n . Even p r e f e r r e d i n n o v a t i o n s c a r r y d e p r i v a t i o n s ( c o s t s )

18

w i t h them, and a balance sheet must take c o s t s i n t o account. A t t h i s s tage o f r e s e a r c h i t i s n o t necessary t o i n s i s t on a s o l e method o f measurement. L e t us assume t h a t s p e c i f i c c o s t s a r e t h e base v a l u e s r e q u i r e d t o n e u t r a l i z e o r overcome non-support on i s s u e s . I t i s n o t unreasonable t o assume t h a t c o s t v a r i e s i n v e r s e l y w i t h t h e margin o f success o r f a i l u r e , which i m p l i e s t h a t t h e narrower t h e m a r g i n , t h e more opposing or n o n - c o m m i t t a l elements are n e u t r a l i z e d . Non-issue changes i n v o l v e n o n - s p e c i f i c c o s t s o r g a i n s . ( I s s u e and non-issue changes can be c o n s i d e r e d as e q u a l , o r w e i g h t e d a c c o r d i n g t o scope.)

Power Outcome ( d u r i n g s e l e c t p e r i o d )

gross = m a r g i n a l s u p p o r t on s u c c e s s f u l p r e f e r r e d i s s u e s

+

p r e f e r r e d non-issue changes

n e t = g r o s s outcome

m a r g i n a l s u p p o r t on u n s u c c e s s f u l p r e f e r r e d i s s u e s

n o n - p r e f e r r e d non-issue changes

The p r e f e r r e d model o f e n l i g h t e n m e n t p r e s c r i b e s c r i t e r i a f o r t h e c o n t e n t o f communication, c h a r a c t e r i z i n g t h e degree t o which community members are exposed t o (or have access t o ) i n t e l l i g i b l e , comprehensive and r e a l i s t i c s t a t e m e n t s about p a s t and f u t u r e e v e n t s . The t e c h n i q u e s o f c o n t e n t a n a l y s i s are a v a i l a b l e f o r t h e t a s k , whether t h e media a r e o r a l o r documentary, and whether i n f o r m a t i o n i s d i s s e m i n a t e d o r s t o r e d .

E n l i g h t e n m e n t Outcomes

gross = exposure t o p r e f e r r e d communications (news r e p o r t s , r e s e a r c h r e p o r t s , f o r e c a s t s , s t o r a g e o f p o t e n t i a l i n f o r m a t i o n ; exposure t o media and t o educat i o n a l p r e s e n t a t i o n s )

ne t = g r o s s exposure

exposure t o u n p r e f e r r e d communication

The p r e f e r r e d w e a l t h model p r e s c r i b e s t h e l e v e l o f aggregate income sought, and t h e volume and c o m p o s i t i o n o f t h e p r o d u c t s r e s u l t i n g from p r o d u c t i o n . The l a t t e r s p e c i f i c a t i o n may be i n such vague terms as " i n c r e a s e " i n p r o d u c t s r e q u i r i n g i m p e r s o n a l t e c h n o l o g y , o r i n e x p l i c i t o b j e c t i v e s expressed i n money u n i t s . The aggregate r e s u l t may be f o r m u l a t e d i n terms o f t h e r e s o u r c e c h a r a c t e r i s t i c s

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o f p r o d u c t s ( a n i m a l s , p l a n t s , m i n e r a l s , c l o t h i n g , s h e l t e r , e t c - ) . The p r e f e r r e d model p r e s c r i b e s a p a t t e r n o f income s h a r i n g ( d i s t r i b u t i o n ) .

W ealth Outcome

n a t i o n a l income

gross ( i n money = p r e f e r r e d l e v e l sought u n i t s ) - ( o r +)1

gross n a t i o n a l income (income r e c e i v e d by a l l p r o d u c t i o n u n i t s , l e s s m a t e r i a l s and s e r v i c e payments made by product i o n u n i t s )

n e t = (above)

( i n money u n i t s ) n e t n a t i o n a l income ( d e p r e c i a t i o n on

p l a n t and equipment, i n d i r e c t b u s iness t a x e s )

gross ( i n r e - = p r e f e r r e d l e v e l o f p r o d u c t ( a n i m a l s , e t c . ) source c h a r a c t e r - - ( o r +) i s t i c s ) g ross l e v e l o f p r o d u c t n e t ( i n r e s o u r c e = (above) c h a r a c t e r i s t i c s )

p r o d u c t s u t i l i z e d i n p r o d u c t i o n

p e r s o n a l incomes

gross ( p a t t e r n o f = p r e f e r r e d p a t t e r n o f d i s t r i b u t i o n d i s t r i b u t i o n ) - ( o r +)

p a t t e r n o f aggregate p e r s o n a l income payments

ne t ( p a t t e r n o f = (above) aggregate d i s p o s a b l e p e r s o n a l taxes and savings income

e x p e n d i t u r e )

The gross outcome usually falls short of the goal; however> the f indicates the possibility that a goal may be exceeded.

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The p r e f e r r e d w e l l - b e i n g v a l u e g o a l p r e s c r i b e s t h e aggregate l e v e l s ought, p a r t i c u l a r i z e d as t o s a f e t y , h e a l t h and c o m f o r t c a t e g o r y ; and t h e p a t t e r n o f i n c i d e n c e ( s h a r i n g ) .

W e l l - b e i n g Outcomes

gross = p r e f e r r e d l e v e l sought - ( or +) p o p u l a t i o n a d d i t i o n s ( b i r t h s , i m m i g r a n t s ) + p o s i t i v e v i g o r ( h e a l t h , i n j u r y - f r e e , d e f e c t - f r e e ,

a n x i e t y - f r e e , c o m f o r t )

n e t = (above)

p o p u l a t i o n s u b t r a c t i o n s ( d e a t h s , e m i g r a n t s )

n e g a t i v e v i g o r ( i n j u r i e s , i l l n e s s e s , d e f e c t s , a n x i e t i e s , d i s c o m f o r t s )

c are ( t i m e i n a c t i v i t i e s s p e c i a l i z e d t o c u s t o d y , t r e a t m e n t , p r e v e n t i v e measures)

d e s t r u c t i v e n e s s ( t i m e i n a c t i v i t i e s s p e c i a l i z e d t o k i l l i n g , maiming, e t c . )

The p r e f e r r e d a f f e c t i o n g o a l p r e s c r i b e s t h e d e s i r e d l e v e l o f i n d i v i d u a l c o n g e n i a l i t y . For example, our o b j e c t i v e may be t o e l i m i n a t e quarrelsomeness. However, some models may c o n c e i v a b l y aim a t m a i n t a i n i n g a t t i t u d e s o f i n d i f f e r e n c e , o r even d i s l i k e among i n d i v i d u a l s . The p r e f e r r e d g o a l a l s o p r e s c r i b e s l o y a l t y a c t i v i t i e s t o ward t h e symbols o f t h e whole (as when a n a t i o n a l g o a l r e q u i r e s e x p r e s s i o n s o f l o y a l t y t o t h e f l a g ) . The g o a l model a l s o p r e s c r i b e s c o l l e c t i v e c o n g e n i a l i t y ( o r u n c o n g e n i a l i t y ) , emphasizing a f f i r m a t i v e (or -negative) e x p r e s s i o n s among groups i n s i d e o r o u t s i d e t h e c o n t e x t . T h i s d i f f e r s from t h e f i r s t o b j e c t i v e mentioned above i n t h a t i t concerns i n t e r a c t i o n s among i n d i v i d u a l s i n terms o f t h e i r group i d e n t i t i e s r a t h e r t h a n s i m p l y as human b e i n g s who b e l o n g t o t h e n a t i o n . (The accent may be on s e c t i o n a l , e t h n i c o r o t h e r g r o u p i n g s . )

As a m a t t e r o f convenience i n examining a s o c i a l c o n t e x t , we a s s i g n such c o n v e n t i o n a l i n s t i t u t i o n s as t h e f a m i l y t o t he a f f e c t i o n c a t e g o r y . I n complex s o c i e t i e s , t h e f a m i l y does appear t o be d i v e s t e d o f t h e economic, power and o t h e r v a l u e shaping and s h a r i n g f u n c t i o n s w i t h which i t i s so h i g h l y i m p l i c a t e d i n f o l k o r peasant s o c i e t i e s . I f k i n s h i p and immediate f a m i l y i n s t i t u t i o n s are f u n c t i o n a l l y s t u d i e d i n a peasant s o c i e t y , t h e i n i t i a l c l a s s i f i c a t i o n as an a f f e c t i o n - o r i e n t e d i n s t i t u t i o n i s almost sure t o be d r a s t i c a l l y

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r e v i s e d . T h is i s a t y p i c a l i n s t a n c e o f t h e end r e s u l t o f e x p l o r i n g any i n s t i t u t i o n c o n t e x t u a l l y w i t h a m u l t i - v a l u e d model.

A f f e c t i o n Outcomes

gr o s s = p r e f e r r e d l e v e l sought - (or +)1 i n d i v i d u a l c o n g e n i a l i t y ( p o s i t i v e a c t i v i t i e s t o w a r d o t h e r s and by o t h e r s )

+ l o y a l t y (own group i d e n t i t y ; p o s i t i v e a c t i v i t i e s )

+ c o l l e c t i v e c o n g e n i a l i t y ( p o s i t i v e a c t i v i t i e s t o w a r d o t h e r groups)

n e t = (above)

i n d i v i d u a l u n c o n g e n i a l i t y ( n e g a t i v e a c t i v i t i e s t oward o t h e r s and by o t h e r s )

d i s l o y a l t y ( n e g a t i v e a c t i v i t i e s )

c o l l e c t i v e u n c o n g e n i a l i t y ( n e g a t i v e a c t i v i t i e s t oward o t h e r groups and by o t h e r groups)

The p r e f e r r e d r e s p e c t model p r e s c r i b e s t h e l e v e l and p a t t e r n o f r e c o g n i t i o n s ( or d i s c r i m i n a t i o n s ) among i n d i v i d u a l s . I f t he g o a l i s an open s o c i e t y , t h e aim i s t o a b o l i s h d i s c r i m i n a t i o n s t h a t depend on r a c e , sex and o t h e r c h a r a c t e r i s t i c s beyond t h e c o n t r o l of t h e i n d i v i d u a l , and t o i n s i s t on a minimum base l e v e l o f r e s p e c t f o r a l l p e rsons as human b e i n g s . Beyond t h i s , t h e g o a l - i s f o r r e s p e c t t o be accorded on t h e b a s i s o f m e r i t . I n s o c i e t i e s t h a t are conc e r n e d w i t h m a i n t a i n i n g o r a c h i e v i n g a s e l f - p e r p e t u a t i n g c a s t e , t h e a l l o c a t i o n s o f r e c o g n i t i o n and d i s c r i m i n a t i o n a r e a p p r o p r i a t e l y s t r a t i f i e d . We c l a s s i f y outcomes a c c o r d i n g t o t h e i n d i v i d u a l - t o -i n d i v i d u a l p a t t e r n sought, and a c c o r d i n g t o t h e c o l l e c t i v e p a t t e r n ( group i d e n t i t y t o group i d e n t i t y ) sought.

The - indicates not only that positive activities may fall short of the goal but that they may not be included in it.

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Respect Outcomes

gross p r e f e r r e d l e v e l sought - (or +) i n d i v i d u a l i n d u l g e n c e s ( i n d i v i d u a l r e c o g n i t i o n s o f o t h e r s by others)

+ c o l l e c t i v e i n d u l g e n c e s ( r e c o g n i t i o n s o f groups by groups)

n e t = (above)

i n d i v i d u a l d e p r i v a t i o n s

c o l l e c t i v e d e p r i v a t i o n s

The p r e f e r r e d r e c t u n i f o r m standards m e t a p h y s i c a l r i t e s t h e p r e f e r r e d o b j e t o l e r a t e no o t h e r s who demand o f them i n t o account. The d e n u n c i a t i o n s o f i and who o t h e r w i s e

i t u d e g o a l p r e s c r i b e s t h e l e v e l o f c o n f o r m i t y t o o f r e s p o n s i b l e c o n d u c t , i n c l u d i n g r e l i g i o u s o r and a r t i c u l a t e d b e l i e f s . I n some ci r c u m s t a n c e s

c t i v e i s t o achieve a s t a t e r e l i g i o n and t o The open s o c i e t y seeks t o develop i n d i v i d u a l s

s e l v e s and o t h e r s t h a t t h e y t a k e t h e common good open s o c i e t y a l s o condemns mora l and r e l i g i o u s

n d i v i d u a l s o r groups who w o r s h i p i n t h e i r own way, impose no unwarranted d e p r i v a t i o n s on o t h e r s .

R e c t i t u d e Outcomes

gross = p r e f e r r e d l e v e l sought - (or + ) c o n f o r m i t y t o standards

n e t = (above)

n o n - c o n f o r m i t y

VALUE ACCUMULATION ANV ENJOVMENT

Values are accumulated when t h e l e v e l a t t he b e g i n n i n g o f an outcome p e r i o d i s h e i g h t e n e d by t h e end o f t h e p e r i o d . D i s a c c u m u l a t i o n i s a l s o p o s s i b l e when t h e t o t a l s i t u a t i o n i s a p p r a i s e d i n r e f e r e n c e t o a g i v e n p r e f e r e n c e model. I t i s t o be s t r e s s e d t h a t any assessment o f v a l u e s a t a c r o s s - s e c t i o n i n t i m e i s l a r g e l y a c h a r a c t e r i z a t i o n o f p o t e n t i a l responses t o a f u t u r e s e t o f s p e c i f i e d e n v i r o n m e n t a l c i r c u m s t a n c e s . I n f e r e n c e s a r e based on o v e r t responses observed i n the r e c e n t o r remote p a s t . We do n o t a t p r e s e n t express a judgment on whether a s i n g l e comprehensive model t h a t employs a l l v a l u e s , and summarizes a s i t u a t i o n i n q u a n t i t a t i v e t e r m s , i s w o r t h a t t e m p t i n g .

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The o n l y s o l i d c o n c l u s i o n t h a t we p r e s e n t l y recommend i s t h a t a g e n e r a l i z e d i n c l u s i v e model p r o v i d e s a frame of r e f e r e n c e i n which a g r e a t many p a r t i a l models can be e x p l i c i t l y p e r c e i v e d i n r e l a t i o n t o one a n o t h e r . Value a c c u m u l a t i o n , we have i n d i c a t e d , i s change or a d d i t i o n o f p r e d i s p o s i t i o n among i n d i v i d u a l s , and change o f r e s o u r c e c a p a b i l i t i e s . Power a c c u m u l a t i o n i s p o s i t i v e when t h e p r e d i s p o s i t i o n s i n s u p p o r t of t h e p r e f e r r e d system o f p u b l i c and c i v i c o r d e r a t t h e o u t s e t have been m a i n t a i n e d w i t h o u t l o s s o r i n t e n s i f i e d , and when t h e r e s o u r c e c a p a b i l i t i e s a t t h e b e g i n n i n g o f t h e outcome p e r i o d have been r e p l e n i s h e d i n case o f d e p l e t i o n , or added t o . I n r e g a r d t o t h e p e r s p e c t i v e s o f t h e p a r t i c i p a n t s i n t h e s o c i a l p r o c e s s , t h e i n f e r e n c e i s t h a t i n i t i a l responses were able t o o b t a i n n e t i n d u l g e n c e s s u f f i c i e n t t o s u s t a i n o r i n t e n s i f y themselves, and t h a t these per s p e c t i v e s were e f f e c t i v e i n i n f l u e n c i n g c a p a b i l i t i e s t o m a i n t a i n or expand t h e t o t a l s t o c k . Such a t h e o r e t i c a l model, a t l e a s t , i s suggested by t h e m a x i m i z a t i o n p o s t u l a t e . I t s r e l e v a n c e t o c o n c r e t e c i r c u m s t a n c e s depends on t h e r e s u l t s o f e m p i r i c a l i n q u i r y .

We have c a l l e d a t t e n t i o n t o t h e f a c t t h a t p a r t i c i p a n t s who o b t a i n a v a l u e i n d u l g e n c e may employ t h e i n d u l g e n c e t o i n f l u e n c e t h e f u t u r e o f t h e v a l u e i m m e d i a t e l y i n v o l v e d , o r use t h e i n d u l g e n c e t o o b t a i n a n o t h e r v a l u e . The former i s v a l u e a c c u m u l a t i o n ; t h e l a t t e r i s : v a l u e enjoyment. The p a r t i c i p a n t who r e c e i v e s a v a l u e indulgence, i n r e t u r n f o r p r o v i d i n g p a r t i c i p a n t A w i t h enjoyment may r e g a r d t h i s i n p u t as p a r t o f h i s gross income as a v a l u e shaper, and make v a r i o u s s e t - o f f s a g a i n s t i t b e f o r e a r r i v i n g a t h i s n e t . The n e t v a l u e c l a i m may be accumulated (used as a base f o r t h e same v a l u e ) o r e n j o y e d . I t need n o t be assumed t h a t a l l o r even a h i g h p r o p o r t i o n o f v a l u e i n d u l g e n c e s are d e l i b e r a t e l y c l a s s i f i e d by p a r t i c i p a n t s i n s o c i a l i n t e r a c t i o n as a v a l u e i n p u t , o r as a gross o r n e t i n p u t , o r t h a t h i s d i s p o s a l responses are s e l f - a p p r a i s e d as a c c u m u l a t i o n o r enjoyment.

R e t u r n i n g t o t h e aggregate o u t l i n e , n o t e t h a t t h e power model i s r e s t r i c t e d t o c o n s t i t u t i v e changes i n a n a t i o n s t a t e . Hence, i t does n o t d e a l w i t h t h e power p o s i t i o n o f t h e s t a t e i n t h e w o r l d arena except t o t h e e x t e n t r e q u i r e d t o complete the c o n s t i t u t i v e s p e c i f i c a t i o n . For example, t h e p r e f e r r e d c o n s t i t u t i v e model p r e sumably i n c l u d e s enough independence o f e x t e r n a l c o n t r o l t o m a i n t a i n t h e r o l e o f a n a t i o n s t a t e . But t h e p r e s e n t p r e f e r r e d models do n o t i n c l u d e , f o r i n s t a n c e , a demand t o dominate t h e s t a t e s i n a g i v e n r e g i o n , or t o conquer and i n c l u d e them w i t h i n an expanded n a t i o n s t a t e . Such models, however, can be e x p l o r e d w i t h i n t h e compreh e n s i v e map o f s o c i a l process i n w h ich we are o p e r a t i n g .

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A c c u m u l a t i o n :

Power

Wealth

i n i t i a l s u p p o r t o f p r e f e r r e d c o n s t i t u t i v e p a t t e r n sought + n e t outcomes

= i n i t i a l l e v e l o f p r e f e r r e d a s s e t s ( r e p r o d u c i b l e t a n g i b l e s f o r p r o d u c t i o n , l a n d ( s u r f a c e ) , n e t f o r e i g n b a l a n c e , consumers 1 semidurables and p e r i s h a b l e s , s u b s o i l , and p a t t e r n o f income d i s t r i b u t i o n

+ n e t income ( i n terms o f r e s o u r c e c h a r a c t e r i s t i c s ) and

p a t t e r n o f aggregate d i s p o s a b l e income e x p e n d i t u r e s

E n l i g h t e n m e n t = i n i t i a l l e v e l o f p r e f e r r e d knowledge s t o r e d , o r r e p o r t i n g ,

o f f o r e c a s t i n g , o f exposure t o media, o f exposure t o e d u c a t i o n a l p r e s e n t a t i o n s '

+ n e t outcomes

W e l l - b e i n g = i n i t i a l l e v e l o f p r e f e r r e d p o p u l a t i o n and v i g o r (expec

t a t i o n o f d e a t h , i n j u r y , i l l n e s s , d e f e c t , a n x i e t y , d i s c o m f o r t ) , c a r e , and d e s t r u c t i v e n e s s

+ n e t outcome ( e x p e c t a t i o n s a t t e r m i n a l date)

S k i l l = i n i t i a l l e v e l o f p r e f e r r e d t r a i n i n g and e x p e r i e n c e

+ n e t outcome

A f f e c t i o n = i n i t i a l l e v e l o f p r e f e r r e d p a t t e r n s o f i n d i v i d u a l

c o n g e n i a l i t y , o f l o y a l t y , o f c o l l e c t i v e c o n g e n i a l i t y + n e t outcome

Respect = i n i t i a l l e v e l o f p r e f e r r e d p a t t e r n s o f r e c o g n i t i o n and

d i s c r i m i n a t i o n , i n d i v i d u a l and c o l l e c t i v e + n e t outcome

R e c t i t u d e = i n i t i a l l e v e l o f p r e f e r r e d p a t t e r n s o f r e s p o n s i b l e

conduct + n e t outcome

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A l t h o u g h t h e d a t a r e q u i r e d f o r an enjoyment model have n o t been c a l l e d f o r i n t h e p r e c e d i n g o u t l i n e s , t h e t h e o r e t i c a l model i s c l e a r :

Enjoyment = n e t power i n d u l g e n c e s used t o i n d u l g e o r d e p r i v e o t h e r s

i n o b t a i n i n g e n l i g h t e n m e n t , w e a l t h , w e l l - b e i n g , s k i l l , a f f e c t i o n , r e s p e c t , r e c t i t u d e ( a p p r a i s e d a c c o r d i n g t o p r e f e r r e d p a t t e r n s )

n e t i n d u l g e n c e s o f each o t h e r v a l u e ( e n l i g h t e n m e n t , e t c . ) used t o i n d u l g e o r d e p r i v e o t h e r p a r t i c i p a n t s i n o b t a i n i n g o t h e r v a l u e s ( a p p r a i s e d a c c o r d i n g t o p r e f e r r e d p a t t e r n s )

Assuming t h a t t h e comprehensive v a l u e model can be a p p l i e d t o a n a t i o n a l c o n t e x t , i t becomes p o s s i b l e t o c h a r a c t e r i z e the r e l a t i v e s i g n i f i c a n c e f o r each v a l u e o f a c c u m u l a t i o n o r enjoyment, and t h e s i g n i f i c a n c e o f each v a l u e f o r every o t h e r . I n p u t - o u t p u t a n a l y s i s among t h e s e c t o r s w i l l r e v e a l t h e r a t i o s o f i n t e r c h a n g e among them. The shaping o f each v a l u e c a l l s f o r i n p u t s from o t h e r v a l u e s e c t o r s w h i c h t y p i c a l l y a r e c o s t s t h a t t a k e t h e form o f o u t p u t s t o a l l o t h e r v a l u e s e c t o r s ; and t h e enjoyment o f each v a l u e a l s o c a l l s f o r o u t p u t s t o a l l o t h e r s e c t o r s .

A c c o r d i n g t o t h e m a x i m i z a t i o n p o s t u l a t e , t h e a l l o c a t i o n o f v a l u e s i s c a r r i e d on i n ways t h a t are expected t o achieve o r m a i n t a i n n e t v a l u e i n d u l g e n c e s . L e t us assume t h a t t h e r e l e v a n t p e r s p e c t i v e s o f demand and e x p e c t a t i o n can be measured by such r e l a t i v e l y d i r e c t p r o c e d u r e s as i n t e r v i e w i n g . I t i s t h e r e f o r e p o s s i b l e t o examine t h e a l l o c a t i o n o f v a l u e s t o d i s c o v e r t h e degree t o which t h e ag g r e g a t e p a t t e r n r e a l i z e s n e t e x p e c t a t i o n s , o r , on account o f e r r o r o r chance, d e v i a t e s from them.

I f t h e a l l o c a t i o n does, i n f a c t , conform t o t h e p a t t e r n sought, i t may be s t a t i c or dynamic. I n t h e form e r case, t h e expected n e t advantage c a l l s f o r no s t r u c t u r a l changes i n t h e system. I n t h e l a t t e r case, s t r u c t u r a l changes are r e q u i r e d . Since we are conc e r n e d w i t h v a l u e a c c u m u l a t i o n and i n s t i t u t i o n a l development, t h e p r e f e r r e d models a r e l i k e l y t o be dynamic, and t o c a l l f o r s t r u c t u r a l changes o f demand and expectation-.

When events conform t o a s t a t i c model, changes i n the r a t e o f v a l u e a c c u m u l a t i o n do n o t oc c u r , s i n c e no change i s expected t o y i e l d a n e t advantage. The s i t u a t i o n i s p a r a l l e l t o t h e i n d i f f e r e n c e model employed i n d e s c r i b i n g s i t u a t i o n s i n which economic change i s p e r c e i v e d as c u l m i n a t i n g i n no n e t advantage.

We have a n a t i o n a l c o n t e x t i n view i n t h e p r e s e n t d i s c u s s i o n ; b u t we have g i v e n l i t t l e e x p l i c i t a t t e n t i o n t o t h e i n t e r a c t i o n between one n a t i o n and i t s n e i g h b o r s . I t i s f e a s i b l e t o a p p l y c o n t e x t u a l a n a l y s i s t o t h i s i n t e r p l a y . S i m i l a r l y , i t i s p e r t i n e n t t o d e s c r i b e t h e balance o f i n t e r a c t i o n between a s u b - n a t i o n a l comm u n i t y and i t s environment.

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VMUE LIMITS

I f t h e i n c l u s i v e model i s t o be r e l a t e d t o c o n c r e t e e v e n t s , approp r i a t e v a l u e u n i t s must be d e v i s e d and a p p l i e d . The fundamental u n i t s must be f o r m u l a t e d i n terms t h a t r e f e r t o t h e e l e m e n t a r y components o f an i n t e r a c t i o n . Two c a t e g o r i e s o f e l e m e n t a r y components are p a t t e r n e d i n every such i n t e r p l a y . There a r e t h e s u b j e c t i v e events ( t h e moods and images) o f each p a r t i c i p a n t , and n o n - s u b j e c t i v e e v e n t s . A s c i e n t i f i c o b s e r v e r i s unable t o o b t a i n d i r e c t access t o t h e s u b j e c t i v i t i e s o f anyone b u t h i m s e l f . He can, however, make i n f e r e n c e s about t h e s u b j e c t i v e events o f o t h e r s by examining n o n - s u b j e c t i v e p a t t e r n s . I f we c a l l these t h e mass and energy events t h a t can be indexed by p h y s i o c h e m i c a l measures, a t t e n t i o n can be focussed on somatic happenings i n t h e body, on body movement, and on any r e s o u r c e f e a t u r e s o f the environment t h a t are i m p l i c a t e d . An i n t e r a c t i o n i s any sequence o f e v e n t s among p a r t i c i p a n t s i n a s o c i a l process whose r e l a t i o n s h i p t o v a l u e o u t comes can be c o n v e n i e n t l y c h a r a c t e r i z e d . Such a sequence, we have i n d i c a t e d , can be d e s c r i b e d as a p a t t e r n o f s u b j e c t i v i t i e s , o f somatic e v e n t s , o f body movements, and o f r e s o u r c e changes.

An i n t e r a c t i o n can be summarized as a sequence o f communication and c o l l a b o r a t i o n . The d i s t i n c t i v e mark o f communication i s t h e use o f s i g n s , which are somatic e v e n t s , body movements or r e s o u r c e s t h a t are s p e c i a l i z e d m e d i a t o r s between t h e s u b j e c t i v i t i e s o f p a r t i c i p a n t s . The c o l l a b o r a t i v e dimension o f an a c t i s composed o f n o n - s i g n e v e n t s . As i n d i c a t e d i n t h e d e f i n i t i o n o f an i n t e r a c t i o n , communication and c o l l a b o r a t i o n are i m p l i c a t e d i n every a c t , though i n v a r y i n g degree.

To say t h a t a s i g n mediates i s t o u n d e r l i n e t h e p o i n t t h a t i n a d d i t i o n t o p h y s i o c h e m i c a l dimensions, i t r e f e r s ; i t s r e f e r e n t s are the i n t e r p r e t a t i o n s by those who i n i t i a t e a s i g n sequence o r are exposed t o s i g n s .

Since v a l u e events are d e f i n e d as i n t e r a c t i o n s , t h e y can i n p r i n c i p l e be d e s i g n a t e d by the use o f t h r e e k i n d s o f elementary u n i t s w h ich can be combined i n t o p a t t e r n s o f any degree o f c o m p l e x i t y . The u n i t s are symbols, s i g n s and r e s o u r c e s . The i n t e r a c t i o n s s p e c i a l i z e d t o any v a l u e can be d e s c r i b e d d u r i n g any p e r i o d as f r e q u e n c i e s o f symbol r e f e r e n c e s , o f s i g n s , and o f r e s o u r c e changes a p p r o p r i a t e t o the v a l u e .

A power u n i t must be a fundamental u n i t o f s u p p o r t (non-support) i n a d e c i s i o n . I f i t i s d e s i r e d t o have a d i s t i n c t i v e t erm f o r t h e u n i t , we may borrow t h e word " v o t e " from c o n v e n t i o n a l usage. R e c a l l t h a t t h e u n i v e r s e o f d e c i s i o n events d u r i n g a t i m e i n t e r v a l may be p e a c e f u l e l e c t i o n or a b a t t l e . The number o f v o t e s i s the number o f d e c i s i o n s and d e c i s i o n makers. The u n i t o f s u p p o r t i s p a r t i a l l y d e f i n e d as a symbol r e f e r e n c e i n d i c a t i n g who i s s u p p o r t i n g ( n o n - s u p p o r t i n g ) i n t h e c o n t e x t . I n a d d i t i o n t o t h e d i r e c t i o n a l r e f e r e n c e , a v o t e has an i n t e n s i t y dimension. I n a f r e e e l e c t i o n , t h e i n t e n s i t y o f a v o t e can be d e s c r i b e d a c c o r d i n g t o t h e hours spent i n s e e k i n g t o i n f l u e n c e

27

t h e outcome, and t h e resources devoted t o t h i s o b j e c t i v e . (Resources can be summarized a c c o r d i n g t o t h e v o t e r ' s p r o p o r t i o n o f a l l t h e re s o u r c e s m o b i l i z e d i n t h e e l e c t i o n . ) I n a b a t t l e , t h e d i r e c t i o n may be a r t i c u l a t e d ("Long l i v e t h e K i n g " ) ; i n t e n s i t i e s i n c l u d e t h e man ho u r s and res o u r c e s committed (a p r o p o r t i o n o f a l l the man hours and r e s o u r c e s m o b i l i z e d f o r t h e s t r u g g l e ) . Not a l l d e c i s i o n s become i s s u e s ; and ob s e r v e r s may d i s c o v e r t h a t t h e c u l m i n a t i n g events a r e spread over t i m e r a t h e r t h a n bunched i n an e l e c t i o n or b a t t l e . These c u l m i n a t i n g events must be l o c a t e d b e f o r e t h e a l i g n m e n t o f v o t e s can be i d e n t i f i e d and measured. Power i n t e r a c t i o n s o b v i o u s l y v a r y i n t h e degree o f awareness among p a r t i c i p a n t s , as w e l l as i n t h e e x p e c t a t i o n s i n r e g a r d t o t h e c h a r a c t e r o f t h e commitment events themselves (whether t h e b a l l o t s o f a c i v i l arena, or t h e v i c t o r i e s o r d e f e a t s i n combat o f a m i l i t a r y a r e n a ) .

An e n l i g h t e n m e n t u n i t i s an a c t d i r e c t i n g an i n f o r m a t i o n a l communic a t i o n d u r i n g a s t i p u l a t e d t i m e p e r i o d , w i t h a degree o f i n t e n s i t y t h a t i s d e s c r i b a b l e by t h e ti m e and res o u r c e s i n v o l v e d i n p r e -outcome a c t i v i t i e s . The s c i e n t i f i c o b s e r v e r must i d e n t i f y t h e c u l m i n a t i n g e v e n t s , n o t i n g t h e t o t a l f l o w o f r e l e v a n t communications, and t h e number o f p a r t i c i p a n t s . As i m p l i e d above, he must a l s o d e s c r i b e pre-outcome hours and r e s o u r c e s . A l t h o u g h t h e r e i s no agreement on a b a s i c u n i t o f e n l i g h t e n m e n t , communication c o n t e n t i s o f t e n d e s c r i b e d i n terms o f s t a t e m e n t s , o r o f s i g n s ( i n f o r m a t i o n b i t s ) . I t may be u s e f u l t o g e n e r a l i z e t h e term " v o t e , " and t o d e f i n e t h e fundamental u n i t o f e n l i g h t e n m e n t as t h e e n l i g h t e n m e n t v o t e , meaning an a c t o f d i s c l o s u r e ( o r n o n - d i s c l o s u r e ) o f i n f o r m a t i o n .

A w e a l t h u n i t (or v o t e ) i s a c l a i m o v e r r e s o u r c e s , whose i n t e n s i t y can be d e s c r i b e d a c c o r d i n g t o t h e t i m e and resources i n v o l v e d i n pre-outcome and outcome a c t i v i t i e s . The s c i e n t i f i c o b server o f the s o c i a l process must i d e n t i f y t h e c u l m i n a t i n g e v e n t s , t a k i n g account o f t h e t r a n s f e r o f c l a i m s , t h e number o f p a r t i c i p a n t s , t h e p r e -outcome hours and res o u r c e s i n v o l v e d , and the re s o u r c e s r e f e r r e d t o by t h e c l a i m s a t t h e outcome phase. When p a r t i c i p a n t s i n t h e o u t come phase c a l c u l a t e t h e n e t advantage o f t r a n s f e r r i n g t h e i r c l a i m i n r e t u r n f o r a c l a i m t o a common medium o f exchange (money), a pricing i n s t i t u t i o n i s i n v o l v e d . I f t h e p a r t i c i p a n t s c a l c u l a t e c l a i m s i n k i n d , b a r t e r i s used. When a c l a i m i s t r a n s f e r r e d w i t h o u t an e x p l i c i t l y n e g o t i a t e d agreement t o r e c e i v e an e q u i v a l e n t , though w i t h t h e e x p e c t a t i o n o f sooner o r l a t e r o b t a i n i n g an e q u i v a l e n t i n a c c o r d w i t h customary e x p e c t a t i o n s , we speak o f reciprocity. Mutuality i s a r e l a t i o n s h i p i n which t h e t r a n s f e r o f a c l a i m i s u n r e f l e c t i v e , and hence n o t accompanied by e x p e c t a t i o n s o f o b t a i n i n g any e x p l i c i t e q u i v a l e n t ; however, t h e i m p l i c i t e x p e c t a t i o n i s t h a t t h e c h a i n o f m u t u a l i t y w i l l c o n t i n u e i n d e f i n i t e l y .

A w e l l - b e i n g u n i t (or v o t e ) i s a c l a i m t o o p p o r t u n i t y f o r s a f e t y , h e a l t h and c o m f o r t , o r f o r t h e l i m i t a t i o n o r d e s t r u c t i o n o f such o p p o r t u n i t y . The c l a i m can be d e s c r i b e d as a communication ( e x p l i c i t , i m p l i c i t ) whose i n t e n s i t y can be gauged by the pre-outcome and o u t come t i m e and re s o u r c e s i n v o l v e d . The s c i e n t i f i c o b s e r v e r o f t h e

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s o c i a l process must i d e n t i f y t h e c u l m i n a t i n g events o f r e a l i z e d o r damaged o p p o r t u n i t y , and t h e number o f p a r t i c i p a n t s . Some i n t e r a c t i o n s can be l o c a t e d as episodes t h a t a r e r a t h e r n a r r o w l y d e l i m i t e d i n t i m e and space, such as g i v i n g or r e c e i v i n g l i f e ( b i r t h ) , o r a m o r t a l blow. Some outcome events a r e spread t h r o u g h t i m e and can be d e s c r i b e d a c c o r d i n g t o t h e u n i t s o f t i m e d u r i n g which t h e y c o n t i n u e , and t h e magnitude and c h a r a c t e r o f t h e r e s o u r c e i n v o l v e d (a m e n t a l o r p h y s i c a l d e f e c t , f o r example).

A s k i l l u n i t (or v o t e ) i s a c l a i m o f o p p o r t u n i t y t o a c q u i r e or e x e r c i s e p r o f i c i e n c y . The s c i e n t i f i c o b s e r v e r must i d e n t i f y t h e c u l m i n a t i n g e v e n t s , t h e numbers i n v o l v e d , t h e ti m e and res o u r c e s i m p l i c a t e d a t pre-outcome and outcome phases. P r o f i c i e n c y i s t h e arrangement o f component elements i n an o p e r a t i o n . The t e r m i n a l event t h a t c a l l s f o r s k i l l may be a v a l u e o t h e r t h a n s k i l l , as i n p r o f i c i e n c i e s connected w i t h o b t a i n i n g p o l i t i c a l and o t h e r r e s u l t s . I f t h e outcome event i s an arrangement o f elements as an e x e r c i s e f o r i t s own sake, t h e s k i l l i s a e s t h e t i c , as i n t h e case o f "pure music" r a t h e r t h a n m i l i t a r y band music, where e f f e c t s are d i s c i p l i n e d by t h e impact sought on s o l d i e r s and c i v i l i a n s .

An a f f e c t i o n u n i t ( o r v o t e ) i s a c l a i m o f o p p o r t u n i t y i n v o l v i n g l o v e o r l o y a l t y . The s c i e n t i f i c o b s e r v e r must i d e n t i f y t h e outcomes, t h e number o f p a r t i c i p a n t s , and t h e t i m e arid r e s o u r c e s i n v o l v e d a t pre-outcome phases.

The r e s p e c t u n i t (or v o t e ) i s a c l a i m t o o p p o r t u n i t y f o r r e c o g n i t i o n . The s c i e n t i f i c o b s e r v e r must i d e n t i f y t h e outcome e v e n t s , t h e number o f p a r t i c i p a n t s , t h e ti m e and res o u r c e s i n v o l v e d .

The r e c t i t u d e u n i t (or v o t e ) i s a c l a i m o f o p p o r t u n i t y t o a c t r e s p o n s i b l y . The s c i e n t i f i c o b s e r v e r must i d e n t i f y t h e outcome e v e n t s , t h e p a r t i c i p a n t s , t h e ti m e and t h e resources employed.

The f o r e g o i n g a n a l y s i s o u t l i n e s t h e p o s s i b i l i t y o f d e v i s i n g v a l u e u n i t s by t h e use o f composite i n d i c e s t h a t r e l a t e t o communication (or communication e q u i v a l e n t s ) i n s e l e c t e d t i m e i n t e r v a l s . The o p e r a t i o n a l i n d i c e s are t h e s c i e n t i f i c o b s e r v e r 1 s bases o f i n f e r e n c e about t h e d i r e c t i o n and i n t e n s i t y o f demands ( c l a i m s ) made by p a r t i c i p a n t s a t t h e outcome phase o f i n t e r a c t i o n . The s c i e n t i f i c o b s e r v e r t a k e s r e s p o n s i b i l i t y f o r i d e n t i f y i n g t h e aggregate f l o w o f outcome events d u r i n g chosen p e r i o d s , and c a t e g o r i z e s them a c c o r d i n g t o t h e v a l u e s a v a i l a b l e f o r t r a n s f e r , and t h e number o f p a r t i c i p a n t s i n v o l v e d . An a v a i l a b l e v a l u e i s inde x e d a c c o r d i n g t o t h e message c o n t e n t o f communication (or communication e q u i v a l e n t s ) . ( " I v o t e . . . " [power].) A v a l u e u n i t i s a p a r t i c i p a n t ' s direction o f commitment; t h i s t o o , i s indexed by message c o n t e n t ( " I v o t e f o r o r a g a i n s t ; I don't v o t e " ) . The intensity dimension o f a v a l u e u n i t i s i n d e x e d by t h e p a r t i c i p a n t ' s p r o p o r t i o n o f a l l t h e r e s o u r c e s m o b i l i z e d i n t h e c o n t e x t a t pre-outcome and outcome phases, and by h i s p r o p o r t i o n o f a c t i v i t y i n symbol and s i g n m a n i p u l a t i o n d u r i n g t h e pre-outcome phase.

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I n d i c e s are adapted t o t h e shaping o r s h a r i n g r o l e s performed by the p a r t i c i p a n t s d e s c r i b e d , s i n c e every p a r t i c i p a n t f u n c t i o n s t o some e x t e n t b o t h as a shaper and sh a r e r o f every v a l u e . P a r t i c i p a n t s a c t as i n d i v i d u a l p e r s o n a l i t i e s , o r as members o f o r g a n i z e d and un o r g a n i z e d c o l l e c t i v i t i e s .

VALUE S H A P I N G ANV S H A R I N G R O L E S ( w i t h some examples)

Power shapers = o f f i c i a l s , l e a d e r s s h a r e r s = p a r t i c i p a n t s i n a domain

E n l i g h t e n m e n t shapers = r e p o r t e r s , r e s e a r c h e r s , f o r e c a s t e r s , s t o r e r s ( l i b r a r i a n s , e t c . )

s h a r e r s = l e a r n e r s ( o f accumulated knowledge), v i e w e r s , r e a d e r s o r l i s t e n e r s t o news

Wealth shapers = producers ( c o n t r o l l e r s o f p r o d u c t i o n f a c t o r s ) s h a r e r s = income r e c e i v e r s , consumers

W e l l - b e i n g shapers = c a r e t a k e r s , t h e r a p i s t s , p r e v e n t e r s , d e s t r o y e r s s h a r e r s = e x p e r i e n c e r s o f s a f e t y , h e a l t h and c o m f o r t

S k i l l shapers = p r a c t i t i o n e r s ( l e v e l s o f t r a i n i n g and e x p e r i e n c e , o f p e r f o r m a n c e ) , a p p r e n t i c e s , masters ( t r a i n e r s )

s h a r e r s = e v a l u a t o r s ( c r i t i c s , c o n noisseurs) A f f e c t i o n shapers = p r o j e c t o r s o f a f f e c t i o n ( f r i e n d s , p a r e n t s ,

l o y a l t y models) s h a r e r s = e x p e r i e n c e r s o f l o v e and l o y a l t y ( o f

i n d i f f e r e n c e , d i s l i k e ) Respect shapers = f o r m u l a t o r s o f r e s p e c t standards and

a p p l i e r s ( e t i q u e t t e models) s h a r e r s = r e c i p i e n t s o f r e c o g n i t i o n (or d i s c r i m i n a t i o n )

R e c t i t u d e shapers = f o r m u l a t o r s and a p p l i e r s o f r e l i g i o u s and e t h i c a l s t a n d a r d s o f r e s p o n s i b i l i t y

s h a r e r s = r e c i p i e n t s o f e v a l u a t i o n

Examining t h e v a l u e d i s t r i b u t i o n a t any c r o s s - s e c t i o n i n t i m e , t h e p a r t i c i p a n t s i n any s o c i a l c o n t e x t can be c l a s s i f i e d by each v a l u e , or i n terms o f a l l v a l u e s , as elite, mid-elite, rank and file, o r i n any c o n v e n i e n t number o f c l a s s e s ( o r c a s t e s ) .

Institutions: Sub-outcomes ( P r e s c r i p t i o n , I n t e l l i g e n c e , Promotion, I n v o c a t i o n , A p p l i c a t i o n , A p p r a i s a l , T e r m i n a t i o n )

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The v a l u e map o f s o c i a l p r o c e s s , though p r o v i d i n g a c o n t e x t u a l g u i d e f o r t h e e x a m i n a t i o n o f any m a t r i x o f i n t e r a c t i o n , must be b r o u g h t i n t o c l o s e r e l a t i o n s h i p t o t he i n s t i t u t i o n a l p a t t e r n s c u r r e n t i n any p a r t i c u l a r s i t u a t i o n . T h i s can be accomplished by su c c e s s i v e breakdowns o f t h e fundamental pre-outcome, outcome, and post-outcome phases o f t h e v a l u e shaping and s h a r i n g process. I t i s , f o r example, u s e f u l t o d e s c r i b e t h e v a r i o u s c u l m i n a t i o n s as components o f a system whose i n t e r r e l a t i o n s h i p s are viewed as a system. Some c o l l e c t i v e movements may pass t h r o u g h every c o n c e i v a b l e outcome phase i n any i m a g i n a b l e sequence; many c o l l e c t i v e o p e r a t i o n s , however, are focu s s e d around a s i n g l e phase.

We b e g i n w i t h prescription ( c h i e f l y because o f i t s obvious importance)-. To e s t a b l i s h a p r e s c r i p t i o n i s t o f o r m u l a t e e x p e c t a t i o n s about a g e n e r a l norm o f conduct. Every p r e s c r i p t i o n i s a n a l y z a b l e i n t o t h r e e components: norms, contingencies, sanctions. The norms r e f e r t o t h e r e q u i r e d s t a n d a r d , c o n t i n g e n c i e s t o t h e ci r c u m s t a n c e s i n w h i c h t h e norm i s a p p r o p r i a t e , and s a n c t i o n s t o t h e i n d u l g e n c e s or d e p r i v a t i o n s expected t o achieve and m a i n t a i n c o n f o r m i t y . P r e s c r i p t i o n s are sometimes " i s s u e s " t h a t are e x p l i c i t l y r e s o l v e d by a s p e c i a l i z e d f o r m a l s t r u c t u r e (e.g. l e g i s l a t u r e s ) ; o r t h e y are "non-issues" whose c r y s t a l l i z a t i o n i s d i s p e r s e d (e.g. changing customs about f a m i l y f o r m a t i o n ) and t y p i c a l l y must be d i s c o v e r e d by s p e c i a l i z e d r e s e a r c h . We d e f i n e p r e s c r i p t i o n t o i n c l u d e more t h a n words; i t i s necessary t o demonstrate a minimum fr e q u e n c y o f conf o r m i t y i n a p p r o p r i a t e s i t u a t i o n s . Since programs o f development i n v o l v e new p r e s c r i p t i o n s , i t i s i m p o r t a n t t o i d e n t i f y t h e t i m e when articulated p r e s c r i p t i o n s become effective p r e s c r i p t i o n s . P r e s c r i p t i o n s d e f i n e t h e r o l e o f any o r g a n i z e d p o l i c y i n s t i t u t i o n s s p e c i a l i z e d t o t h e v a l u e i n q u e s t i o n . Constitutive p r e s c r i p t i o n s make e x p l i c i t how t h e p o l i c y s t r u c t u r e s are s e t up and o p e r a t e d . Supervisory p r e s c r i p t i o n s cover p r i v a t e c o n t r o v e r s i e s r e g a r d i n g t h e v a l u e w hich are r e f e r r e d t o p o l i c y makers f o r s e t t l e m e n t . These p r e s c r i p t i o n s i n d i c a t e how t h e c o n t r o v e r s i e s are t o be b r o u g h t t o th e a t t e n t i o n o f t h e judges or a r b i t r a t o r s , and how t h e y are t o be d i s p o s e d o f . Regulatory s t a n d a r d s d e a l w i t h a c t i v i t i e s t h a t are l e f t p r i v a t e p a r t i c i p a n t s , y e t may r e q u i r e i n t e r v e n t i o n by t h e p o l i c y makers concerned w i t h t h e v a l u e i n q u e s t i o n i f c o n f o r m i t y i s t o be m a i n t a i n e d t o c o l l e c t i v e norms. Enterprisory p r e s c r i p t i o n s , though perceived' as d i s t i n c t from t h e c o n s t i t u t i v e p r o c e s s , a r e a d m i n i s t e r e d by s t r u c t u r e s t h a t a c t f o r p a r t i c i p a n t s i n t h e v a l u e process i n v o l v e d . Corrective p r e s c r i p t i o n s , s t r i c t l y d e f i n e d , do n o t c o v e r a l l s a n c t i o n s ( a l t h o u g h i t i s o f t e n c o n v e n i e n t t o c o n s i d e r a l l s a n c t i o n s t o g e t h e r ) . C o r r e c t i v e measures r e f e r t o i n d i v i d u a l s who r e q u i r e p e r s o n a l i t y r e c o n s t r u c t i o n o r permanent e x c l u s i o n from f u l l p a r t i c i p a t i o n i n t h e v a l u e p r o c e s s . D u r i n g t h e t r a n s i t i o n a l phases o f development r i g i d p e r s o n a l i t i e s may r e q u i r e s p e c i a l methods o f r e - e d u c a t i o n o r c o n t r o l . I n f o l k or peasant s o c i e t i e s , as w e l l as i n c i v i l i z a t i o n s , c o r r e c t i v e measures are used t o cope w i t h t h e young, t h e d e f e c t i v e , t h e c h r o n i c o f f e n d e r and r e l a t e d c h a l l e n g e r s o f t h e e s t a b l i s h e d o r d e r .

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By public order o f a n a t i o n we mean t h e p a t t e r n o f v a l u e d i s t r i b u t i o n , and o f b a s i c i n s t i t u t i o n s , which need t o be p r o t e c t e d by t h e use o f power, i f necessary. Power r e l a t i o n s i n v o l v e t h e expect a t i o n t h a t d e c i s i o n s , i f d e f i e d , w i l l be e n f o r c e a b l e a g a i n s t d e f i e r s by extreme v a l u e d e p r i v a t i o n s . I t i s a l s o assumed i n t h e c o n t e x t t h a t d e f i a n c e r a r e l y , i f e v e r , achieves the l e v e l o f c i v i l war. By t h e eivio order o f a n a t i o n we mean t h e p r o t e c t i o n o f b a s i c v a l u e and i n s t i t u t i o n a l p a t t e r n s by the use o f r e l a t i v e l y m i l d , r a t h e r t h a n severe, s a n c t i o n s . The s c i e n t i f i c o b s e r v e r must take r e s p o n s i - -b i l i t y f o r s p e c i f y i n g i n t h e c o n t e x t the p r e s c r i p t i o n s w h ich he c l a s s i f i e s as i n c l u s i v e o f t h e n a t i o n , and as i n v o l v i n g severe or m i l d d e p r i v a t i o n s .

I t i s p e r t i n e n t t o bear i n mind t h e d i s t i n c t i o n between f u n c t i o n a l and c o n v e n t i o n a l c a t e g o r i e s i n t h e s t u d y o f p u b l i c and c i v i c o r d e r . From t h e c o n v e n t i o n a l p o i n t o f view, l e g i s l a t i v e s t a t u t e s are commonly assumed t o be p a r t o f t h e p u b l i c o r d e r . Research may, however, show t h a t some o f them belong t o t h e c i v i c o r d e r ( f u n c t i o n a l l y d e f i n e d ) . Many s t a t u t e s are n o t expected t o be, and are n o t , e n f o r c e d ; many o t h e r s i n v o l v e o n l y m i l d d e p r i v a t i o n a l s a n c t i o n s a g a i n s t o f f e n d e r s . Note a l s o , t h a t from t h e c o n v e n t i o n a l p o i n t o f v i e w , many e c c l e s i a s t i c a l , b u s i n e s s and o t h e r p r e s c r i p t i o n s are n o t p a r t o f t h e n a t i o n a l system o f s t a t u t e s . They are p e r c e i v e d as p a r t o f t h e c i v i c o r d e r . Research may, n e v e r t h e l e s s , demonstrate t h a t some o f these p r e s c r i p t i o n s have i m p o r t a n t v a l u e consequences t h r o u g h o u t t h e n a t i o n , and t h a t t h e y are e n f o r c e d a g a i n s t non-c o nformers by severe s a n c t i o n s . Hence, i n t h e f u n c t i o n a l sense, t h e y belong t o the p u b l i c o r d e r . The s c i e n t i f i c observer must take r e s p o n s i b i l i t y f o r s p e c i f y i n g t h e minimum l e v e l o f v a l u e consequences i n t h e community which are " i m p o r t a n t , " and t h e meaning o f s e v e r i t y . S i n c e t h e aim o f c o n t e x t u a l a n a l y s i s i s t o e x h i b i t t h e f u l l r i c h n e s s o f i n t e r a c t i o n i n a s o c i a l p r o c e s s , i t i s f a r l e s s h e l p f u l t o draw l i n e s i n a c o n t i n u i n g g r a d a t i o n o f events t h a n t o make sure t h a t the e n t i r e g r a d a t i o n i s covered. The g r a d a t i o n from p u b l i c t h r o u g h c i v i c o r d e r poses problems o f g r e a t r e l e v a n c e t o development p o l i c i e s , s i n c e a major s t r a t e g i c q u e s t i o n i s when t o proceed on a n a t i o n w i d e or a f u n c t i o n a l program, and when t o employ severe or m i l d sanct i o n i n g measures.

I t i s u s e f u l t o use t h e concepts o f p u b l i c and c i v i c o r d e r w i t h i n o t h e r than n a t i o n a l s o c i a l c o n t e x t s . The p u b l i c o r d e r o f a b u s i n e s s , f o r example, i n c l u d e s t h e p a t t e r n s which are s u p p o r t e d a g a i n s t d e v i a n t s by s a n c t i o n s t h a t , w i t h i n t h e business s e t t i n g , a r e severe r a t h e r t h a n m i l d . I f a l l i n t e r a c t i o n s i n t h e s o c i a l process are i n c l u d e d w i t h i n t h e power p r o c e s s , t h e s o c i e t y would be e n t i r e l y p o l i t i c i z e d .

For convenience, t h e f o l l o w i n g comments w i l l o f t e n r e f e r t o convent i o n a l l y p e r c e i v e d i n s t i t u t i o n s . I t i s , however, t o be understood t h a t f u n c t i o n a l f i n d i n g s must u l t i m a t e l y be o b t a i n e d t o l o c a t e t h e i r t r u e s i g n i f i c a n c e .

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E n l i g h t e n m e n t p r e s c r i p t i o n s t h a t r e f e r t o t h e c o n s t i t u t i v e s t r u c t u r e o f p o l i c y f o r m u l a t e t h e norms c o n c e r n i n g who, u s i n g what base v a l u e s , f o r what o b j e c t i v e s , i n what manner, i s a u t h o r i z e d t o make what p o l i c y c h o i c e s . I n s o c i e t i e s where mass media e x i s t , t h e main p o l i c y makers are a b l e n d o f government and p r i v a t e o r g a n i z a t i o n s and i n d i v i d u a l s . Hence, some c o n s t i t u t i v e p o l i c i e s are a l s o p a r t o f t h e power p r o c e s s . S u p e r v i s o r y p r e s c r i p t i o n s p r o v i d e guidance f o r p o l i c y makers, such as th o s e who are asked t o s e t t l e t h e c o m p l a i n t s o f two newspapers or t e l e v i s i o n s t a t i o n s c o n c e r n i n g v i o l a t i o n s o f an agreement about t h e r e t e n t i o n o r d i s s e m i n a t i o n o f i n f o r m a t i o n . The r e g u l a t o r y p r e s c r i p t i o n s o f a p r i v a t e code o f b r o a d c a s t e r s may s e t stan d a r d s which a u t h o r i z e a c t i o n by t h e a d m i n i s t r a t o r s o f t h e p r i v a t e code. E n t e r p r i s o r y p r e s c r i p t i o n s cover t h e scope o f t h e a c t i v i t i e s u n d e r t a k e n by a j o i n t agency o f r e s e a r c h , s t o r a g e , o r d i s s e m i n a t i o n . C o r r e c t i v e p r e s c r i p t i o n s d e a l w i t h t h e enforcement measures a t t h e d i s p o s a l o f p o l i c y makers.

P r e s c r i p t i o n s i n r e g a r d t o t h e c o n s t i t u t i v e processes o f w e a l t h may l a r g e l y depend on agreements made i n a market t h a t i s l a r g e l y f r e e o f government c o n t r o l . The s u p e r v i s o r y code may p r o v i d e f o r m e d i a t i o n , a r b i t r a t i o n , o r p r i v a t e a d j u d i c a t i o n o f c o n t r o v e r s i e s a r i s i n g under f o r m a l or i n f o r m a l codes. R e g u l a t o r y p r e s c r i p t i o n s may a u t h o r i z e t r a d e a s s o c i a t i o n s t o s t e p i n t o a l t e r p r a c t i c e s t h a t v i o l a t e t h e code. E n t e r p r i s o r y a c t i v i t i e s , such as a c o o p e r a t i v e p u r c h a s i n g o r g a n i z a t i o n , may be r u n a c c o r d i n g t o a p r e s c r i p t i v e code. Correct i v e p r e s c r i p t i o n s cover v a r i o u s enforcement i n s t r u m e n t s a t t h e d i s p o s a l o f p o l i c y makers.

The code o f w e l l - b e i n g p r e s c r i p t i o n s c o n t a i n s c o n s t i t u t i v e a r r a n g e ments c o n c e r n i n g p o l i c y makers, such as who i s a u t h o r i z e d t o d e f i n e d i s e a s e o r d e f e c t . The s u p e r v i s o r y code p r e s c r i b e s f o r t h e h a n d l i n g o f d i s a g r e e m e n t s , i n c l u d i n g t hose r e f e r r e d t o h e a l t h a s s o c i a t i o n s f o r s e t t l e m e n t . (Also t h e r e are r e g u l a t o r y , e n t e r p r i s o r y and c o r r e c t i v e p r e s c r i p t i o n s . )

S k i l l p r e s c r i p t i o n s t h a t s e t f o r t h t h e c o n s t i t u t i v e code cover such q u e s t i o n s as who i s a u t h o r i z e d t o s e t s t a n d a r d s o f e x c e l l e n c e f o r -o c c u p a t i o n a l , p r o f e s s i o n a l and a r t i s t i c o p e r a t i o n s . A f f e c t i o n p r e s c r i p t i o n s t h a t d e a l w i t h c o n s t i t u t i v e r e l a t i o n s p r e s c r i b e who i s a u t h o r i z e d t o f o r m u l a t e norms o f l o v e and l o y a l t y . Respect p r e s c r i p t i o n s r e l a t i n g t o c o n s t i t u t i v e m a t t e r s i n d i c a t e who can l e g i t i m a t e l y f o r m u l a t e norms o f r e c o g n i t i o n ( or d i s c r i m i n a t i o n ) . R e c t i t u d e p r e s c r i p t i o n s o f t h e c o n s t i t u t i v e code s p e c i f y t h e p o l i c y makers who may p r e s c r i b e norms o f r e s p o n s i b l e b e h a v i o r ( r e l i g i o u s , e t h i c a l ) . S k i l l , a f f e c t i o n , r e s p e c t and r e c t i t u d e codes a l s o i n c l u d e s u p e r v i s o r y r e g u l a t o r y , e n t e r p r i s o r y , and c o r r e c t i v e s t a n d a r d s .

A l t h o u g h t h e outcome events s p e c i a l i z e d t o p r e s c r i p t i o n have been c o n s i d e r e d f i r s t , t h e y a r e preceded by i n t e l l i g e n c e and p r o m o t i o n a l outcomes i n a t y p i c a l s o c i a l movement. Intelligence outcomes t h a t r e l a t e t o power are d e c i s i o n s t o d i s s e m i n a t e o r w i t h h o l d i n f o r m a t i o n o f p o s s i b l e concern t o p u b l i c p o l i c y (e.g. t o r e l e a s e a r e p o r t on

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o f f i c i a l p l a n n i n g ; t o d e f e r p u b l i c a t i o n ) . I n t e l l i g e n c e outcomes, when s p e c i a l i z e d t o e n l i g h t e n m e n t a c t i v i t i e s , p e r t a i n t o p o l i c i e s r e g a r d i n g t h e a c q u i s i t i o n and d i s s e m i n a t i o n o f knowledge. I n c l u d e d i s t h e c h o i c e o f i n f o r m a t i o n about news, r e s e a r c h and f o r e c a s t i n g o p e r a t i o n s a t home and abroad. I n t e l l i g e n c e outcomes, when r e l a t e d t o w e a l t h , i n c l u d e choices t o p u b l i s h o r w i t h h o l d i n f o r m a t i o n about economic t r e n d s , c o n d i t i o n s , p r o j e c t i o n s , g o a l s and o b j e c t i v e s . S i m i l a r l y , i n t e l l i g e n c e c h o i c e s p e r t a i n i n g t o o t h e r v a l u e s concern i n f o r m a t i o n about t h e a p p r o p r i a t e t r e n d s , c o n d i t i o n s , p r o j e c t i o n s , g o a l s and o b j e c t i v e s ( s k i l l , a f f e c t i o n , r e s p e c t , r e c t i t u d e ) .

Promotional outcomes, i f s p e c i a l i z e d t o power, are d e c i s i o n s t o advocate o r r e f r a i n from a d v o c a t i n g p u b l i c p o l i c i e s . Thus, governments sometimes f o r b i d themselves t o engage i n s p e c i f i c propaganda campaigns, o r d ecide t o cooperate i n them. E n l i g h t e n m e n t promotions aire commitments t o advocate ( o r a b s t a i n from a d v o c a t i n g ) s p e c i f i c news, r e s e a r c h , s t o r a g e and r e l a t e d o p e r a t i o n s . The t y p e o f p r o m o t i o n p a r t i c u l a r i z e d t o o t h e r v a l u e s i s f a i r l y c l e a r .

Power invocations are d e c i s i o n s t h a t p r o v i s i o n a l l y c h a r a c t e r i z e c o n c r e t e cases i n p r e s c r i p t i v e terms (as when a p o l i c e o f f i c e r a l l e g e s a v i o l a t i o n , o r a grand j u r y r e t u r n s an i n d i c t m e n t ) . P a r a l l e l o p e r a t i o n s occur i n o t h e r v a l u e i n s t i t u t i o n s .

Power applications are d e c i s i o n s t h a t f i n a l l y c h a r a c t e r i z e c o n c r e t e cases i n terms o f p r e s c r i p t i o n s . The d e c i s i o n s o f most a d m i n i s t r a t i v e organs are covered. Other i n s t i t u t i o n s engage i n p a r a l l e l a c t i v i t i e s .

Power appraisals are d e c i s i o n s i n w h ich o f f i c i a l a c t i v i t i e s are c h a r a c t e r i z e d a c c o r d i n g t o t h e i r e f f e c t i v e n e s s i n the i m p l e m e n t a t i o n o f p o l i c y o b j e c t i v e s . L e g i s l a t i v e committees, f o r example, may-v o t e t o censor o f f i c i a l s f o r f a i l u r e o r i n e f f i c i e n c y .

The terminating outcome i n t h e power process i s a d e c i s i o n t o end a p r e s c r i p t i o n and t o d e a l w i t h t h e e x p e c t a t i o n s r a i s e d d u r i n g t h e p e r i o d when t h e p r e s c r i p t i o n was i n e f f e c t . Development programs t y p i c a l l y e n t a i l t h e obsolescence and f i n a l t e r m i n a t i o n o f o l d e r norms. Compensation o r f a i l u r e t o compensate a f f e c t s t h e smoothness o f t r a n s i t i o n . Whole areas o f human i n t e r a c t i o n , p r e v i o u s l y subj e c t t o customary c l a i m s , are f o r c i b l y moved by t h e s t a t e i n t o zones o f n e g o t i a t e d agreement. The t r a n s f o r m a t i o n "from s t a t u s t o c o n t r a c t , " i n S i r Henry Maine's phrase, does n o t n e c e s s a r i l y p r o v i d e compensation, f o r example, t o t h e h o l d e r s o f p r e v i o u s c l a i m s t o t h e use o f communal l a n d s . The t e r m i n a t i o n f u n c t i o n , l i k e ' a p p r a i s a l , i s performed i n a l l v a l u e i n s t i t u t i o n s .

INSTITUTIONS: INTERACTION SITUATIONS {ARENAS, ETC.)

I n f i t t i n g g e n e r a l i z e d v a l u e maps t o i n s t i t u t i o n a l d e t a i l , a t t e n t i o n must go t o i n t e r a c t i o n s i t u a t i o n s where t h e b o u n d a r i e s o f any s o c i a l

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c o n t e x t a r e , i n f a c t , d e f i n e d . The n a t i o n ' s arena o f power i s t h e l o c u s o f i n t e r a c t i o n among n a t i o n members. For convenience i t i s c o n v e n t i o n a l l y d e l i m i t e d by b o u n d a r i e s . There are many l e s s e r arenas i n w h ich p a r t i c i p a n t s r e c o g n i z e t h a t power i s a dominant v a l u e . Many o f these s i t u a t i o n s are e x p l i c i t l y o r g a n i z e d as p a r t o f g o v e r n m e n t a l , p o l i t i c a l p a r t y , o r p r e s s u r e group s t r u c t u r e s .

P o l i t i c a l p a r t i e s and p r e s s u r e groups are among t h e d i s t i n c t i v e s t r u c t u r e s e v o l v e d by modern, l a r g e - s c a l e p o p u l a r governments. A p o l i t i c a l p a r t y i s o r g a n i z e d t o o b t a i n v o t e s i n e l e c t i o n s by p r e s e n t i n g b o t h c a n d i d a t e s and an i n c l u s i v e p l a t f o r m o f i s s u e s . A p r e s s u r e group focuses on p a r t i c u l a r i s s u e s ; i n e l e c t i o n s i t may o r may n o t t r y t o o b t a i n v o t e s i n i t s own name. I n a f u n c t i o n a l sense, i t may be n o t e d , some c o n v e n t i o n a l l y l a b e l e d p a r t i e s are p r e s s u r e groups ( t h e p r o h i b i t i o n p a r t y i n t h e U.S., f o r example). Recent t o t a l i t a r i a n movements have p a r t i a l l y i n c o r p o r a t e d t h e p r a c t i c e s o f p o p u l a r governments, such as e l e c t i o n s and p o l i t i c a l p a r t i e s . Because a u t h o r i t y • a n d c o n t r o l i s monopolized by a s i n g l e o r g a n i z a t i o n , t h e N a z i , F a s c i s t and Communist " p a r t i e s " are n o t t r u e p a r t i e s . (They may be c a l l e d " p o l i t i c a l o r d e r s ; " and power seeking groups which c o e r c i v e l y pursue s p e c i f i c outcomes are "gangs.")

Organized arenas are t e r r i t o r i a l l y centralized or de-centralized ( w i t h many i n t e r m e d i a t e steps between t h e most and t h e l e a s t i n c l u s i v e u n i t s ) . A t any t e r r i t o r i a l l e v e l p o l i c y o r g a n i z a t i o n s are concentrated or de-concentrated, depending on the number o f c o o r d i n a t e organs i n v o l v e d . - I n t h e U.S. body p o l i t i c , f o r i n s t a n c e , the l e g i s l a t i v e , e x e c u t i v e and j u d i c i a l branches are independent; i n a system o f f o r m a l and e f f e c t i v e k i n g s h i p , t h e monarchy e x e r c i s e s c o n c e n t r a t e d a u t h o r i t y a t t h e t o p . A t any t e r r i t o r i a l l e v e l o r g a n i z a t i o n s may be monopolistic o r pluralistic. We speak o f a n a t i o n a l s o c i e t y as h i g h l y g o v e r n m e n t a l i z e d when i n t e r a c t i o n s are f o r m a l l y and e f f e c t i v e l y monopolized by government ( r e l a t i v e t o t h e r o l e o f p r i v a t e o r g a n i z a t i o n s ) . The degree t o w h ich i n d i v i d u a l a c t i v i t i e s are regimented o r individualized i s a l s o t o be n o t e d , whether t h e r e g i m e n t a t i o n i s by governmental o r p l u r a l i s t i c a s s o c i a t i o n s .

We u n d e r l i n e t h e p o i n t t h a t an o r g a n i z a t i o n i s t o be u n d e r s t o o d as a p a t t e r n o f s i t u a t i o n s which a r e i n t e r c o n n e c t e d by communicative and c o l l a b o r a t i v e a c t i v i t y . An o f f i c i a l agency e x i s t s (whether o f f i c i a l f o r power or some o t h e r v a l u e ) when a s t a b l e r o u t i n e o f f o r m a l and i n f o r m a l messages reaches t h e a t t e n t i o n o f o f f i c i a l s (and o t h e r s i g n i f i c a n t p a r t i c i p a n t s ) , and when messages are i n t e r p r e t e d by common c r i t e r i a . The message f l o w must be managed i n a way t h a t p e r m i t s t h e o v e r t c o l l a b o r a t i v e o p e r a t i o n s o f t h e o r g a n i z a t i o n t o be s t a b i l i z e d . The p e r s o n n e l , equipment, and o t h e r f a c i l i t i e s o f t h e t o t a l e n t e r p r i s e are assembled, processed, and r e l e a s e d as a stream o f o u t p u t s . Each s i t u a t i o n a l component o f an o r g a n i z a t i o n i s a p p r o p r i a t e l y s t r u c t u r e d when i t m o b i l i z e s t h e v a l u e e x p e c t a t i o n s , demands, and i d e n t i f i c a t i o n s which are necessary t o l e a d t h e p a r t i c i p a n t s i n t h e s i t u a t i o n t o expect t o be b e t t e r o f f by p e r f o r m i n g t h e o p e r a t i o n s r e q u i r e d t h a n by f a i l i n g t o do so, o r by a c t i n g i n e f f i c i e n t l y .

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VALUE I N S T I T U T I O N S : MVTH ( D O C T R I N E , FORMULA, M I R A N P A ) The p a r t i c i p a n t s i n every s o c i a l process a c t i n t h e frame o f r e f e r ence o f t h e myth. The s u b j e c t i v e events o f i n d i v i d u a l s ( p e r s p e c t i v e s ) can be c l a s s i f i e d a c c o r d i n g t o t h e symbols o f i d e n t i t y ( " I , " "we," "you," " t h e y " ) , o f demand (va l u e p r e f e r e n c e or v o l i t i o n ) , o f e x p e c t a t i o n ( m a t t e r o f f a c t r e f e r e n c e t o p a s t , p r e s e n t and f u t u r e e v e n t s ) . The myth i s t h e p a t t e r n o f s t a b l e p e r s p e c t i v e s among the members o f a c o l l e c t i v i t y . The myth c l a r i f i e s g o a l , p r o v i d e s a • h i s t o r i c a l panorama o f t r e n d , f o r m u l a t e s assumptions about c o n d i t i o n i n g f a c t o r s , p r o j e c t s t h e f u t u r e course o f e v e n t s , and f o s t e r s t h e i n v e n t i o n and e v a l u a t i o n o f p o l i c y .

A myth comprises doctrinal statements ( t h e h i g h l e v e l a b s t r a c t i o n s or p h i l o s o p h y ) , s t atements o f t h e formula ( p r e s c r i p t i o n s o f p u b l i c and c i v i c o r d e r ) , and miranda ( p o p u l a r v e r s i o n s o f p a s t , p r e s e n t and f u t u r e ) . I n i s o l a t e d f o l k s o c i e t i e s t h e myth i s u n c h a l l e n g e d . A t t e m p t s a t development are l i k e l y t o i n t r o d u c e a n o v e l s e t o f c o n f l i c t e x p e r i e n c e s i n which t h e t r a d i t i o n a l myth becomes t h e i d e o l o g y o f t h e e s t a b l i s h e d o r d e r ( o r one s e c t i o n o f the e l i t e ) , w h i l e new p e r s p e c t i v e s become a c o u n t e r - i d e o l o g y propagated by some members o f t h e e l i t e (or n o n - e l i t e ) .

For c o m p a r a t i v e purposes i t i s e s s e n t i a l t o d e s c r i b e t h e i n t e n s i t y w i t h which myths, and myth components, are h e l d by r e p r e s e n t a t i v e p a r t i c i p a n t s i n a s o c i a l c o n t e x t . (Methods o f v a r y i n g depth are a v a i l a b l e . ) I n complex s o c i e t i e s i t i s n o t d i f f i c u l t t o d i s t i n g u i s h somewhat d i s t i n c t i v e v a l u e myths f r o m one a n o t h e r . Among t h e c u r r e n t myths o f power are l i b e r a l democracy, t o t a l i t a r i a n i s m , r a c i s m . The p r i n c i p a l e n l i g h t e n m e n t myth p r e s e n t s a s c i e n t i f i c map o f man and n a t u r e , and a demand f o r freedom o f i n f o r m a t i o n . Among t h e i d e o l o g i e s o f w e a l t h are p r i v a t e c a p i t a l i s m , s o c i a l i s m , and consumers 1 c o o p e r a t i o n . W e l l - b e i n g myths d i f f e r i n t h e i r degree of r e l i a n c e on s c i e n t i f i c methods o f i n q u i r y , and on the i n c l u s i o n or e x c l u s i o n o f s u b j e c t i v e events as s i g n i f i c a n t f a c t o r s i n d i s e a s e . S k i l l myths g l o r i f y v a r i o u s forms o f e x c e l l e n c e as ends i n thems e l v e s ( " a r t f o r a r t ' s s a k e " ) , or as i n d i s p e n s a b l e c o n t r i b u t o r s t o o t h e r s o c i a l outcomes. A f f e c t i o n myths magnify t h e importance o f l o v e and l o y a l t y i n i n d i v i d u a l and group r e l a t i o n s , o f t e n s e e k i n g t o d i r e c t l o v e a l o n g t h e c o n v e n t i o n a l channels p r o v i d e d by t h e e s t a b l i s h e d p a t t e r n s o f sex and f a m i l y r e l a t i o n s . Respect myths c h a r a c t e r i s t i c a l l y g l o r i f y i n d i v i d u a l human beings and m e r i t o r i o u s achievement, or c l a i m r e c o g n i t i o n f o r r a c i a l o r o t h e r c a s t e s . R e c t i t u d e myths i n c l u d e t h e many r e l i g i o u s and e t h i c a l systems o f t h e g l o b e .

I n f o l k s o c i e t i e s t h e d i f f e r e n t i a t i o n s o f myth may be l a c k i n g , or r e q u i r e s u b t l e o b s e r v a t i o n .

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INSTITUTIONS: STRATEGIES

The l e v e l o f development o f any s o c i e t y i s d i r e c t l y r e f l e c t e d i n t h e s t r a t e g i e s i n use f o r m a n i p u l a t i n g t h e base v a l u e s o f t h e community. These s t r a t e g i e s can be v a r i o u s l y c l a s s i f i e d t o h i g h l i g h t d i s t i n c t i v e o p e r a t i o n s . There i s , f o r example, t h e d i s t i n c t i o n between assembling and processing. The o b j e c t i v e o f s t r a t e g i e s s p e c i a l i z e d t o assembling i s t o b r i n g t o g e t h e r t h e p e r s o n n e l and f a c i l i t i e s e s s e n t i a l t o complete t h e p r e p a r a t i o n o f impacts a t t h e outcome phase. I n an i n d u s t r i a l i z e d s o c i e t y , where p o p u l a r government p r e v a i l s , t h e e x e r c i s e o f i n f l u e n c e on d e c i s i o n c a l l s f o r t h e e s t a b l i s h m e n t o f a p a r t y or p r e s s u r e group o r g a n i z a t i o n t o o l e d t o manage campaigns. E n l i g h t e n m e n t o p e r a t i o n s need p e r s o n n e l and equipment i f t h e y are t o engage i n news g a t h e r i n g and d i s s e m i n a t i o n , and i n o t h e r f u n c t i o n s a p p r o p r i a t e t o t h e o b t a i n i n g and c i r c u l a t i o n o f knowledge. P r o d u c t i o n a c t i v i t i e s r e q u i r e t h e assembling o f u n i t s o f p e r s o n n e l and f a c i l i t i e s capable o f m a n u f a c t u r i n g o r o t h e r w i s e p r o c e s s i n g commodities f o r t h e market. P a r a l l e l o p e r a t i o n s are r e q u i r e d i n c o n n e c t i o n w i t h a l l t h e o t h e r v a l u e s , as suggested by r e f e r r i n g t o h o s p i t a l s and w e l l - b e i n g , s c h o o l s and s k i l l , f a m i l y f o r m a t i o n and a f f e c t i o n , e c c l e s i a s t i c a l o r g a n i z a t i o n and r e c t i t u d e .

S t r a t e g i e s can be c l a s s i f i e d a c c o r d i n g t o t h e degree t o which r e l i a n c e i s p u t on communication and c o l l a b o r a t i o n . More p r e c i s e l y , the d i s t i n c t i o n i s a c c o r d i n g t o t h e r e l a t i v e p o s i t i o n o f u n i t s (symbols or signs, resources). When power i s used, we commonly r e f e r t o d iplomacy and propaganda, or t o economic and m i l i t a r y i n s t r u m e n t s . (Diplomacy i s e l i t e t o e l i t e n e g o t i a t i o n ; propaganda i s e l i t e t o rank and f i l e communication.) E n l i g h t e n m e n t i n c l u d e s s c i e n t i f i c and i n f o r m a t i v e s t a t e m e n t s ; such s t a t e m e n t s can be used f o r i n f l u e n c i n g purposes as p a r t o f diplomacy o r o f a g e n e r a l program o f e n l i g h t e n ment. Resources s p e c i a l i z e d t o r e s e a r c h o r d i s s e m i n a t i o n can be employed p r o d u c t i v e l y ( o r d e s t r u c t i v e l y ) . Wealth i n s t r u m e n t s i n c l u d e t h e s t a t e m e n t s , s p e c i a l i z e d t o p r o d u c t i o n and consumption, which e n t e r i n t o n e g o t i a t i o n and a d v e r t i s i n g . Economic means a l s o comprise t h e goods w i t h h e l d i n b o y c o t t , o r s u p p l i e d f o r weapon m a n u f a c t u r e . W e l l - b e i n g i n s t r u m e n t s a r e statements from e l i t e t o e l i t e , o r a r e p u b l i c communications about s a f e t y , h e a l t h and c o m f o r t . A l s o i n c l u d e d are f a c i l i t i e s r e l a t i n g t o h e a l t h , and s p e c i a l i z e d p h y s i c a l r e s o u r c e s ( i n f e c t i o u s a g ents, e t c . ) . P a r a l l e l d i s t i n c t i o n s a p p l y t o s k i l l , a f f e c t i o n , r e s p e c t and r e c t i t u d e .

A fundamental dimension o f s t r a t e g y i s t h e management o f indulgences and deprivations ( p o s i t i v e g a i n s , a v o i d e d l o s s e s ; l o s s e s , b l o c k e d g a i n s ) . The most complex problems i n t h i s c o n n e c t i o n appear when t h e base v a l u e s m a n i p u l a t e d by t h e s t r a t e g i s t are n o t p e r c e i v e d i n t h e same terms by t h e t a r g e t s o f i n f l u e n c e . The " t r a d i n g beads" o f t h e e a r l y e x p l o r e r s and a d v e n t u r e r s were viewed as w o r t h l e s s by th e e x p l o r e r s b u t n o t by t h e t a r g e t s o f n e g o t i a t i o n , u n t i l t h e y g a i n e d more e n l i g h t e n m e n t about t h e l a r g e r w o r l d .

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Another i m p o r t a n t dimension o f s t r a t e g y i s alo n g t h e continuum o f persuasion and coercion. I n t h e former case, t h e p a r t i c i p a n t s have s e v e r a l c h o i c e s which t h e y r e g a r d as y i e l d i n g f a v o r a b l e r e s u l t s ; i n th e l a t t e r , some p a r t i c i p a n t s have few i f any o p t i o n s , and a l l are p e r c e i v e d as s e v e r e l y d e p r i v a t i o n a l .

We d i s t i n g u i s h f u r t h e r between s t r a t e g i e s o f isolation and joint a c t i o n ( i n g e n e r a l , s t r a t e g i e s o f c o a l i t i o n ) .

I n t h i s c o n n e c t i o n , we comment on t h e aggregate p a t t e r n formed by t h e f l o w o f s t r a t e g i c a c t i v i t y i n an arena, o r i n any o t h e r s i t u a t i o n . I f a s i n g l e p a r t i c i p a n t were t o e x e r c i s e a predominant r o l e over the o t h e r s , t h e p a t t e r n would be u n i p o l a r . Other c o m b i n a t i o n s are b i - , t r i - , p l u r i - and m u l t i - p o l a r ; and each seems t o e x h i b i t somewhat d i s t i n c t i v e f e a t u r e s .

INNOVATION, DIFFUSION, ANV R E S T R I C T I O N The s o c i a l process o f any n a t i o n i s i n p e r p e t u a l i n t e r a c t i o n , whether c a s u a l or i n t e n s i v e , w i t h o t h e r n a t i o n s . Viewed i n t h e g l o b a l s e t t i n g , i n s t i t u t i o n a l p a t t e r n s i d e n t i f i a b l e d u r i n g a g i v e n p e r i o d can be c l a s s i f i e d as i n n o v a t i o n s , or as i n s t a n c e s o f t h e d i f f u s i o n or r e s t r i c t i o n o f p r e v i o u s p a t t e r n s . A comprehensive-model o f s o c i a l p r o c e s s must p o i n t t o t h e r e l a t i o n s t h a t account f o r t h e occurrence o f t h e s e t h r e e responses. The m a x i m i z a t i o n p o s t u l a t e i s a guide t o th e f o r m a t i o n o f r e a l i s t i c hypotheses, s i n c e i t suggests t h a t i n n o v a t i o n , f o r i n s t a n c e , o c c u r s when a l t e r n a t i v e responses are ex p e c t e d t o y i e l d n e t d i s a d v a n t a g e s , hence t h e search f o r new p a t t e r n s i s f a v o r a b l y viewed. I n modern i n d u s t r i a l s o c i e t i e s , t h e d e l i b e r a t e p u r s u i t o f i n n o v a t i o n i s a b u i l t - i n c h a r a c t e r i s t i c . I t i s e x h i b i t e d i n t h e p u r s u i t o f new p o l i t i c a l t a c t i c s , new s c i e n t i f i c and s c h o l a r l y knowledge, new commodities and modes o f p r o d u c t i o n , new means o f d i a g n o s i s and t h e r a p y , n o v e l forms o f s k i l l e d e x p r e s s i o n , n o v e l e x p e r i e n c e s o f l o v e , n o v e l modes o f f a s h i o n a b l e d i s t i n c t i o n , n o v e l e x p e r i e n c e s o f r e s p o n s i b i l i t y . A t h e o r e t i c a l model o f an e x t r e m e l y s t a t i c s o c i e t y emphasizes t h e s e v e r i t y o f t he s a n c t i o n s imposed on d e v i a t i o n from e s t a b l i s h e d norms. The e n t i r e web o f i n s t i t u t i o n a l p r a c t i c e i s comprehended w i t h i n t h e p u b l i c o r d e r o f such a s o c i e t y . To adopt a n o v e l p a t t e r n i s t o p e r f o r m an a c t whose s i g n i f i c a n c e can be f a i n t l y communicated t o a modern man by c h a r a c t e r i z i n g i t as an a c t o f t r e a s o n , o f s a c r i l e g e , o f i m m o r a l i t y ; i t i s sh a m e f u l , v i l l a i n o u s , s t u p i d , d i s l o y a l . The a d j e c t i v e s t h a t evoke some sense o f what i s i n v o l v e d come f r o m t h e s e c t o r s o f power and r e c t i t u d e , as a r u l e , w i t h some embellishment from o t h e r components (such as r e s p e c t — "shameful," e n l i g h t e n m e n t — " s t u p i d , " a f f e c t i o n " d i s l o y a l " ) . I n t h e s t a t i c model, p e r s o n a l i t i e s are so de e p l y molded by s o c i a l i z a t i o n t h a t t h e p u n i t i v e super-ego may a c t u a l l y impose s e l f - d e s t r u c t i o n on t h e v i o l a t o r o f t h e common norm. The s p e c i a l i s t s on t h e t r a n s e m p i r i c a l f o r c e s t h a t a r e p e r c e i v e d as d e t e r m i n i n g t h e f a t e o f t h e community are b e n e f i c i a r i e s o f t h e sacred myth; t h e y are o f t e n t h e power e l i t e , s u p e r i o r t o c h i e f s and s p e c i a l i s t s on such

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l i m i t e d f o r c e s as those connected w i t h i n d i v i d u a l w o r r i e s about l o v e , d i s e a s e , o r c r a f t s m a n s h i p .

The t h e o r e t i c a l model o f a w h o l l y s t a t i c s o c i e t y ( o f t h e savage "caked w i t h custom") i s i n v a r y i n g degree i n a p p l i c a b l e t o t h e f a c t s o f f o l k and peasant s o c i e t y . A f t e r a l l , i n n o v a t i o n s d i d occur i n f o l k s o c i e t i e s , and spread from one s o c i e t y t o an o t h e r . I n p r i n c i p l e , t h e r e i s n o t h i n g new about t h e spread o f modern s c i e n c e , t e c h n o l o g y , and i t s accompanying p a t t e r n s ; d i s t i n c t i v e n e s s r e s i d e s i n speed and depth o f change.

I f our t h e o r e t i c a l models are t o be d i s c i p l i n e d by t h e r e s u l t s o f p r e d i c t i o n , i t i s d e s i r a b l e t o map t h e zones o f c u l t u r e d i s t r i b u t i o n t h r o u g h o u t t h e g l o b e , w i t h p a r t i c u l a r a t t e n t i o n t o t h e l i n e s t h a t d e l i m i t e q u a l i t y o f access t o competing i n s t i t u t i o n a l p a t t e r n s . From t h e p r e s e n t evidence, i t seems t h a t t h e spread o f s c i e n c e and t e c h n o l o g y i s f a r from u n i f o r m a l o n g t h e spokes o f p o t e n t i a l d i f f u s i o n from t h e c e n t e r s i n Western Europe o r N o r t h America, o r t h e sub - c e n t e r s o u t s i d e Europe and N o r t h America. The same o b s e r v a t i o n a p p l i e s t o a s s o c i a t e d i n s t i t u t i o n a l p a t t e r n s / s u c h as " s o c i a l i s m " from t h e USSR and " c a p i t a l i s m " from t h e Western powers. S o c i a l s c i e n t i s t s have s c a r c e l y begun t o c h a r t t h e "zones o f e q u i -d e p r i v a t i o n , " t h e l o c a l i t i e s where a v a i l a b l e p a t t e r n s are p e r c e i v e d as a f f o r d i n g n e t .disadvantages.

I n t h i s c o n n e c t i o n , we suggest t h a t i n s u f f i c i e n t s c i e n t i f i c a t t e n t i o n has been g i v e n t o t h e l a t e n t ( t h e r e p r e s s e d and suppressed) r e b e l l i o u s n e s s o f p r i m i t i v e and peasant s o c i e t i e s a g a i n s t t h e i r c u l t u r e s . The p o t e n t i a l i n t e n s i t y o f th e s e responses i s suggested by t h e a l a c r i t y w i t h w h ich f e a t u r e s o f t h e u n i v e r s a l i z i n g p a t t e r n o f s c i e n t i f i c t e c h n o l o g y are p a r t i a l l y i n c o r p o r a t e d i n many areas. The image o f t h e s e l f as f a i n t l y r i d i c u l o u s ("naked" savage; " q u a i n t " costumes) and more t h a n a l i t t l e u n e n l i g h t e n e d i s p r o b a b l y much more g e n e r a l among underdeveloped peoples t h a n i s u s u a l l y assumed. The s t a t i c model o f s o c i e t y may u n d e r p l a y t h e i n t e n s i t y o f t h e unacknowledged i n t e r n a l c o n f l i c t s g e n e r a t e d by t h e d e p r i v a t i o n s o f c u r i o s i t y ( e n l i g h t e n m e n t ) which are i n s e p a r a b l e from s m a l l group l i v i n g . As l a t e n t t e n d e n c i e s a r e s t i r r e d , many d e f e n s i v e mechanisms o f t h e i n d i v i d u a l p s y c h i c system come i n t o a c t i o n (boredom, f o r example).

T H E VALUE INSTITUTION MODEL

The p r e c e d i n g d i s c u s s i o n has suggested how t o adapt t h e h i g h l y g e n e r a l i z e d s o c i a l process model t o the f i n e r d e t a i l s o f a s o c i a l c o n t e x t :

39

P a r t i c i p a n t s

E f f e c t s

VALUE A c c u m u l a t i o n Enjoyment

INSTITUTIONAL I n n o v a t i o n C o n t i n u a t i o n R e j e c t i o n

The d i agram r e s t a t e s t h e s o c i a l process as " p a r t i c i p a n t s i n t e r a c t i n g i n s i t u a t i o n s , c o n t r o l l i n g base v a l u e s , employing s t r a t e g i e s t o i n f l u e n c e outcomes, w i t h e f f e c t s on v a l u e a c c u m u l a t i o n and enjoyment, and a l s o i n s t i t u t i o n a l i n n o v a t i o n , c o n t i n u a t i o n and r e j e c t i o n . "

We suggest t h a t t h e c o n c e p t i o n o f development as g r o w t h , i f somewhat r e f o r m u l a t e d , i s a s a t i s f a c t o r y model o f t h e process. The c o n c e p t i o n must be g e n e r a l i z e d beyond one v a l u e ( w e a l t h ) t o a l l v a l u e s i n t h e s o c i a l p r o c e s s . I n o r d e r t o remove t h e a m b i g u i t i e s o f a model t h a t i s e x c l u s i v e l y s t a t e d i n v a l u e terms, i t i s i m p o r t a n t t o complete t h e p r e f e r e n c e map i n i n s t i t u t i o n a l t e r m s . As i n d i c a t e d above, our recommended g o a l i s widespread p a r t i c i p a t i o n i n a l l p r e f e r r e d v a l u e s ; f u r t h e r m o r e , we s t i p u l a t e d some o f t h e p r i n c i p a l i n s t i t u t i o n a l f e a t u r e s o f such a model. I t i s o n l y when a v a l u e - i n s t i t u t i o n p a t t e r n i s c l a r i f i e d t h a t i t becomes p o s s i b l e t o p i n p o i n t t h e p r e d i s p o s i t i o n s and t h e r e s o u r c e c a p a b i l i t i e s t h a t are r e q u i r e d t o a c h i e v e t h e g o a l .

The t h e o r y o f d e f i n i t e stages o f v a l u e a c c u m u l a t i o n and i n s t i t u t i o n a l development i s m i s l e a d i n g and ought t o be dropped. The i d e a o f " s e l f - s u s t a i n i n g " g r o w t h i s s e r v i c e a b l e o n l y i f i t i s understood t o mean t h a t t h e p r e f e r r e d model, once e s t a b l i s h e d , can p e r p e t u a t e i t s e l f as a system o f p u b l i c and c i v i c , o r d e r . Goals are most l i k e l y t o be approximated a t d i f f e r e n t tempos, i n d i f f e r e n t s e c t o r s o f a n a t i o n , and i n v a r i o u s n a t i o n s .

A l t h o u g h i t i s t h e o r e t i c a l l y p o s s i b l e ' t o q u a n t i f y the dimensions of a p r e f e r r e d system o f p u b l i c and c i v i c o r d e r , t h e d a t a r e q u i r e d f o r such a model, or f o r a p p r o x i m a t i n g t o w a r d i t , are n o t p r e s e n t l y a v a i l a b l e . No doubt i t w i l l be p o s s i b l e t o move toward i n c l u s i v e q u a n t i f i c a t i o n by a s e r i e s o f p a r t i a l models, adapted t o t h e c o n t o u r s o f s p e c i f i c n a t i o n s and n a t i o n a l groups.

A p a r t i a l model o f power outcomes, f o r i n s t a n c e , can be d e v i s e d t o summarize t h e i n t e r d e p e n d e n c i e s among sub-outcomes w i t h i n t h e n a t i o n a t any l e v e l . Such a t h e o r e t i c a l image must be a b l e t o p r e d i c t how

P e r s p e c t i v e s —1>

S i t u a t i o n s — p

Base Values -

S t r a t e g i e s

Outcomes

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any f l o w o f d e c i s i o n outcomes ( i n t e l l i g e n c e d e c i s i o n s , f o r i n s t a n c e ) w i l l i n f l u e n c e (and be i n f l u e n c e d by) a l l o t h e r d e c i s i o n s . I f worked o u t i n d e t a i l , i t ought t o be p o s s i b l e t o p r e d i c t changes i n d e c i s i o n outcomes r e l a t e d t o the process o f development i t s e l f .

The p r e d i c t i v e r o l e o f a s t r i c t l y outcome model i s c o n s t r u c t e d t o i g n o r e data t h a t , i f i n c l u d e d i n a more complex t h e o r e t i c a l s t r u c t u r e , i n c r e a s e the scope and f i t o f p r e d i c t i o n s . Suppose we e n l a r g e t h e model t o cover changes i n t h e number o f p a r t i c i p a n t s i n t h e d e c i s i o n p r o c e s s . I f t h e v o t i n g p o p u l a t i o n i n c r e a s e s , t h e demand t o modernize may become more u r g e n t .

The image can be f u r t h e r r e f i n e d by i n c l u d i n g i n f o r m a t i o n about t h e p r e d i s p o s i t i o n s o f newcomers i n t o t h e arena. Survey r e s e a r c h may show t h a t t h e younger g e n e r a t i o n a t a l l l e v e l s i s p r o - m o d e r n i z a t i o n .

F u r t h e r m o d i f i c a t i o n s may i n t r o d u c e d a t a about arenas, base v a l u e s and s t r a t e g i e s . The model may a l l o w f o r enlargements o f t h e f r a n c h i s e f o r i n c r e a s e d funds a t t h e d i s p o s a l o f m o d e r n i z i n g p a r t i e s , o r f o r new p o l i t i c a l propaganda methods.

Each o f these c a t e g o r i e s o f t h e power process can be d e a l t w i t h i n g r e a t d e t a i l . To choose a s i n g l e example: t h e p e r s p e c t i v e s o f power p a r t i c i p a n t s can be d e s c r i b e d i n ways t h a t d i s c l o s e t h e d i r e c t i o n and i n t e n s i t y o f t h e i r s u p p o r t f o r , o r r e j e c t i o n o f , e s t a b l i s h e d myths. D i s t i n c t i o n s can be drawn between p e r s p e c t i v e s r e l e v a n t t o d o c t r i n e s , f o r m u l a and miranda. The model may i n c l u d e s t i p u l a t i o n s about t h e r o u t i n e s o f i n f l u e n c e , i n d i c a t i n g w h i ch changes i n d o c t r i n e , f o r i n s t a n c e , b r i n g about changes i n f o r m u l a and miranda. Or — t o choose a n o t h e r example o f e l a b o r a t i o n — power s t r u c t u r e s can be d e a l t w i t h i n d e t a i l . Perhaps any s h i f t from c e n t r a l i z a t i o n t o dec e n t r a l i z a t i o n w i l l i m m e d i a t e l y p r e c i p i t a t e movement i n t h e o p p o s i t e d i r e c t i o n o r changes from c o n c e n t r a t i o n t o d e - c o n c e n t r a t i o n .

I n t h e f o r m a t i o n o f e x p l a n a t o r y t h e o r i e s o f development, i t i s i m p o r t a n t t o g i v e prominence t o t h e r o l e o f s i g n i f i c a n t p a r t i c i p a n t s (communities, classes 3 -interests3 personalities) . The p r e s e n t d i s c u s s i o n , o f c o u r s e , g i v e s prominence t o n a t i o n a l communities. However, the model can be extended t o cover any t e r r i t o r i a l l y o r i e n t e d group ( t r a n s n a t i o n a l , n a t i o n a l , s u b n a t i o n a l ) . A key s c i e n t i f i c q u e s t i o n i s how n a t i o n s f u n c t i o n as f a c t o r s i n development; and t h i s c a l l s f o r t h e i d e n t i f i c a t i o n and assessment o f f a c t o r c o m b i n a t i o n s t h a t c h a r a c t e r i z e a n a t i o n ' s p o t e n t i a l .

Since the response t o be e x p l a i n e d i s acceptance o r r e j e c t i o n o f changes which are p a r t i a l l y modeled i n o t h e r n a t i o n s , p r e d i s p o s i t i o n a l f a c t o r s i n r e g a r d t o such changes ar e p e r t i n e n t f a c t o r s . There i s t h e d e l i c a t e problem o f matching r e a d i n e s s t o p e r c e i v e w i t h t h e .presented c o n f i g u r a t i o n . I n extreme cases o f c u l t u r a l d i s c r e p a n c y , n o v e l p a t t e r n s are seen as c o n f u s i o n , n o t as p a t t e r n . An image o f t h e s e l f as a p a s t b e n e f i c i a r y o f change — as i n t h e Japanese case — i s a f a v o r a b l y d i s p o s i n g p r o p e n s i t y . E s t i m a t e s o f p a s t e x p e r i e n c e

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w i t h i n n o v a t i o n o p e r a t e as s i g n i f i c a n t s e l e c t i v e elements i n t h e p r e s e n t . The a p p l i c a t i o n o f t h e t o t a l model t o dynamic s i t u a t i o n s can be expected t o b r i n g o u t t h e d i s t i n c t i v e c o m b i n a t i o n o f p e r t i n e n t f a c t o r s .

We a r e concerned w i t h class i n t e r a c t i o n s as t h e y r e l a t e t o development. The term " c l a s s , " i t w i l l be r e a l i z e d , r e f e r s t o t he upper, m i d d l e o r lower p o s i t i o n o f i n d i v i d u a l s i n r e f e r e n c e t o one o r a l l v a l u e s . The c l a s s s t r u c t u r e o f any s t a b l e community i s a s e t o f s o c i a l environments t h a t a f f e c t t h e p r e d i s p o s i t i o n s o f each member. A t any g i v e n moment t h e s i g n i f i c a n t q u e s t i o n i s whether and t o what e x t e n t t h e a c t i v e e l i t e p e r c e i v e s i t s e l f as t h r e a t e n e d from w i t h i n , o r w i t h o u t , by n o v e l p a t t e r n s . I f i n d i g e n o u s e l i t e s have been s u b o r d i n a t e d by f o r e i g n empires (though p e r m i t t e d t o c o n t i n u e ) , t h e i r p r e d i s p o s i t i o n s are deeply a f f e c t e d by t h e s t r a t e g i e s o f t he i m p e r i a l r u l e t o which t h e y are s u b j e c t . I f m o d e r n i z i n g p a t t e r n s have been p a r t i a l l y i n c o r p o r a t e d by t h e i n d i g e n o u s e l i t e s , i t i s pr o b a b l e t h a t a s p l i t w i l l e v e n t u a l l y o c c u r , i n which d i s s e n t i n g elements break away f r o m accommodation w i t h t h e c o l o n i a l master and j o i n a c o a l i t i o n o f m i d d l e and lower c l a s s elements who s t r i v e t o secede from t h e empire and ac h i e v e independent s t a t e h o o d . Since Japan, Turkey and T h a i l a n d were n o t f o r m a l l y c o l o n i a l i z e d , t h e i r e v o l u t i o n d i v e r g e s from I n d i a , P a k i s t a n , or Burma, f o r example, o r much o f A f r i c a . The g e n e r a l i z a t i o n t h a t appears t o account f o r t h e p e c u l i a r i t i e s o f " i n n o v a t i o n from above" i s the principle of minimum power loss ar risk, w h i c h means t h a t p o l i t i c a l e l i t e s seek t o make the fewest changes i n power t h a t t h e y expect t o be able t o g e t away w i t h .

I n a d d i t i o n t o t h e r o l e o f communities and c l a s s e s , i t i s r e l e v a n t t o examine i n t e r e s t groups, t h a t i s , groups t h a t are l e s s i n c l u s i v e t h a n t h e former c a t e g o r i e s ( o f community and c l a s s ) , or c u t across them. Every v a l u e , v a l u e phase and i n s t i t u t i o n can p r o v i d e an e x p e r i e n c e o f i d e n t i t y , demand and e x p e c t a t i o n t h a t f u n c t i o n s as an i n t e r e s t f a c t o r i n r e l a t i o n t o g r o w t h . I n some f e u d a l s o c i e t i e s t h e " l e a d " as a g a i n s t t h e " l a g " r o l e i s taken by m i l i t a r y s p e c i a l i s t s when t h e y see t r a d i t i o n a l weapons and t a c t i c s c o l l a p s e b e f o r e t h e p r o d u c t s and s t r a t e g y o f i n d u s t r y . C r u c i a l i n i t i a t i v e s may germ i n a t e i n t h e minds o f t o p o f f i c i a l s o r d i p l o m a t s who see t h e h a n d w r i t i n g on t h e w a l l ; o r i n i t i a t i v e s may o r i g i n a t e w i t h t r a d e r s and go-betweens who r e c o g n i z e how t o e x p l o i t n o v e l t y f o r g a i n . A new c l a s s o f s c h o l a r s may appear i n c o n n e c t i o n w i t h t r a n s l a t i o n , j o u r n a l i s m , t e a c h i n g , and e v e n t u a l l y r e s e a r c h . C o n t r a s t i n g r o l e s may be p l a y e d by i n t e l l e c t u a l s o f s k i l l and o f e n l i g h t e n m e n t . A s k i l l s p e c i a l i s t i s prone t o a c t l i k e . P y e ' s c i v i l s e r v a n t s i n Burma who h o l d t e n a c i o u s l y i n p o s t -independence years t o a l a b o r i o u s l y a c q u i r e d s e t o f o p e r a t i o n s which t h e y use t o o b t a i n such p e r s o n a l o b j e c t i v e s as economic s e c u r i t y , r e s p e c t and shreds o f power. An e n l i g h t e n m e n t o r i e n t e d i n t e l l e c t u a l , on t h e c o n t r a r y , i s concerned w i t h an i n c l u s i v e v e r s i o n o f man and n a t u r e which i s a t once i n n o v a t i v e and r e a l i s t i c , m e d i t a t i v e y e t c o m p a t i b l e w i t h a c t i v e p a r t i c i p a t i o n i n l i f e . ( I n t e r e s t s can be c o n v e n i e n t l y c l a s s e d a c c o r d i n g t o v a l u e i n s t i t u t i o n c a t e g o r y . )

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C o l l e c t i v e r o l e s f u r n i s h us w i t h many c l u e s t o the dynamics o f g r o w t h . I t i s , n e v e r t h e l e s s , i m p o r t a n t t o l o o k a t human be i n g s as whole personalities, and t o e x p l o r e t h e s i g n i f i c a n c e o f t h e i r i n t e r p l a y i n t h e g r o w t h p r o c e s s . P e r s o n a l i t i e s d i f f e r from one a n o t h e r i n v a l u e o r i e n t a t i o n , i n balance o f conscious and unconscious components, and i n r e l i a n c e on mechanisms o f i n t e g r a t i o n . S c i e n t i f i c i n t e r e s t has been b r o u g h t t o bear on t h e s e f a c t o r s by M c C l e l l a n d ' s emphasis on t h e demand f o r achievement, Hagen's a n a l y s i s o f t h e deeper m o t i v a t i o n s and mechanisms o f e n t e r p r i s e r s , and L e r n e r 1 s evidence o f t h e p l a c e o f empathy i s e n a b l i n g i n d i v i d u a l s t o e n t e r t a i n a wide and r a t h e r a c c u r a t e image o f the p e r s p e c t i v e s o f o t h e r human b e i n g s .

I n commenting on s u b j e c t i v e e v e n t s , we mentioned images (which r e f e r t o p a r t i c u l a r events) and moods (which a r e s u f f u s e e x p e r i e n c e s — e u p h o r i a , d e p r e s s i o n , and so o n ) . As a c t s move from unconscious l e v e l s t o conscious awareness and e x p r e s s i o n , t h e p s y c h i c systems o f i n d i v i d u a l s and groups appear t o m a i n t a i n c h a r a c t e r i s t i c p a t t e r n s o f e q u i l i b r i u m . These p a t t e r n s are o f t e n d e s c r i b e d i n terms o f "temperament," and p r o v i d e r e l a t i v e l y s t a b l e s u b j e c t i v e f e a t u r e s o f c u l t u r e . The moods are c l a s s i f i a b l e a c c o r d i n g t o t h e v a l u e s t h a t are i n d u l g e d o r d e p r i v e d i f t h e a c t s are p e r m i t t e d t o r u n t o comp l e t i o n (e.g. i m p e r i o u s n e s s , i n t e l l e c t u a l c u r i o s i t y , a c q u i s i t i v e n e s s , a n x i e t y , a e s t h e t i c a b s o r p t i o n , l o v e , p r i d e , r i g h t e o u s n e s s ) .

When a c t systems c o n f l i c t w i t h one a n o t h e r t h e y g e n e r a t e a mood o f a n x i e t y ( n e g a t i v e w e l l - b e i n g ) ; and o t h e r moods, images, o r somatic a c t i v i t i e s are employed as defenses a g a i n s t a n x i e t y . The mechanisms o f r e p r e s s i o n and r e s i s t a n c e o p e r a t e t o s t a b i l i z e a mechanism o f c o n t i n u e d e x c l u s i o n from conscious awareness. However, i f i n t e n s e c o n f l i c t s a r e r e s t o r e d , these mechanisms can be overcome.

Since c u l t u r e t r a n s f o r m a t i o n i n v a r i a b l y i n v o l v e s p e r s o n a l i t y r e o r i e n t a t i o n , i t i s i m p o r t a n t t o encourage i n t e n s i v e i n q u i r y i n t o t h e sequences o f acceptance o r r e j e c t i o n o f n o v e l t y . Some success i o n s a r e w e l l known: i n d i v i d u a l s i n c u l t u r e A, a f t e r e a r l y n o n - a t t e n t i o n and r e j e c t i o n , i d e a l i z e c u l t u r e S, and e i t h e r d e s e r t A or seek t o r e v o l u t i o n i z e i t . A t a l a t e r phase o f p a r t i a l i n c o r p o r a t i o n o f myth and t e c h n i q u e from B, B becomes a t a r g e t o f a c t i v e r e j e c t i o n . U l t i m a t e l y , a complex b l e n d o f elements from A and B becomes r e l a t i v e l y s t a b l e and a c c e p t a b l e . I n t h e s e s e v e r a l sequences we d i s t i n g u i s h between t h e p a t t e r n s o f A and B, and t h e i d e n t i t i e s o f t h e c u l t u r e s i n v o l v e d . A o f t e n r e j e c t s B as an e n t i t y , a t t h e t i m e A i s i n c o r p o r a t i n g many o f £ fs p r i n c i p a l i n s t i t u t i o n s .

I n r e f i n i n g t h e a n a l y s i s , we may c o n s i d e r t h e f a c t o r o f crisis levelr

meaning t h a t responses are a f f e c t e d by t h e i n t e n s i t y o f c o n f l i c t between t h e n a t i o n and o t h e r n a t i o n a l o r s u b n a t i o n a l groups; and among and w i t h i n c l a s s e s , i n t e r e s t groups and p e r s o n a l i t i e s . I f power e l i t e s , f o r i n s t a n c e , are i n i n t e r n a l c o n f l i c t (or engaged w i t h o t h e r power c l a s s e s ) , c o a l i t i o n s may b r i n g e x t e r n a l i n d i v i d u a l s and groups i n t o t h e n a t i o n a l p i c t u r e . C o n f l i c t s o f i n t e r e s t may a i d i n weakening t h e h o l d o f t r a d i t i o n a l i d e n t i f i c a t i o n s by c r i s s - c r o s s i n g t r i b a l , c e r e m o n i a l and r e l a t e d d r i v e s .

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We e s p e c i a l l y note t h e s i g n i f i c a n c e o f c r i s e s i n t h e course o f n a t i o n a l g r o w t h . They are c h a r a c t e r i z e d by changing l e v e l s o f mood among p a r t i c i p a n t s i n t h e s o c i a l p r o cess, and by t h e c o m p e t i t i o n o f s t r a t e g i e s t o g i v e d i r e c t i o n t o c o l l e c t i v e e x p r e s s i o n . C r i s e s range from n e a r - t o t a l d i s o r g a n i z a t i o n t o r e a f f i r m a t i o n o f s o l i d a r i t y and c o o p e r a t i o n w i t h t h e emerging frame o f p u b l i c and c i v i l o r d e r .

DIRECTIONAL ANV LATERAL VIMENSIONS

The c o n t e x t u a l model o f s o c i a l p r o c e s s , m o d i f i e d t o emphasize t h e problems o f v a l u e a c c u m u l a t i o n and economic development, can be v a r i o u s l y a p p l i e d f o r t h e purpose o f g i v i n g prominence t o p a r t i c u l a r frames o f r e f e r e n c e whose s i g n i f i c a n c e emerges as r e s e a r c h and p o l i c y c o n s i d e r a t i o n s change. One advantage o f t h e i n c l u s i v e model i s t h a t i t can be r o t a t e d or t u r n e d on i t s s i d e as an a i d t o t h e o r y f o r m a t i o n and i n v e s t i g a t i o n .

By u n d e r l i n i n g t h e arrow o f t i m e — t h e d i r e c t i o n a l f l o w o f e v e n t s , t h e model d i r e c t s a t t e n t i o n t o t h e sequence o f shaping and s h a r i n g o f e v e r y v a l u e . When t h e v a l u e c a t e g o r i e s are a p p l i e d t o the sequence o f e v e n t s i n any s i t u a t i o n , i t i s p o s s i b l e t o d e s c r i b e t h e e x t e n t t o w h i c h a c t i v i t i e s a re p a s s i n g t h r o u g h t h e same o r d i f f e r e n t phases a t t h e same t i m e . By moving back and f o r t h between t h e d i r e c t i o n a l and t h e l a t e r a l dimensions o f p r o c e s s , t h e c o n t e x t g a i n s i n t e l l i g i b i l i t y .

The i n s t i t u t i o n a l c a t e g o r i e s r e f e r t o d i r e c t i o n a l phases o f the shaping and s h a r i n g model (pre-outcome, outcome, post-outcome). A t any c r o s s -s e c t i o n o f t i m e t h e i n s t i t u t i o n a l c a t e g o r i e s g i v e f i n e r v i s i b i l i t y t o th e l a t e r a l sequence o f events i n each v a l u e s e c t o r .

Because o f t h e r e l a t i v e n o v e l t y o f some o f t h e d i s t i n c t i o n s employed, i t may be c l a r i f y i n g t o comment on t h e r e l a t i o n s h i p between t h e v a l u e i n s t i t u t i o n model o u t l i n e d here and some t o p i c s o f i n t e r e s t as phrased i n more c o n v e n t i o n a l language.

Assume, f o r example, t h a t we are i n t e r e s t e d i n socialization, t h e i n d u c t i o n o f newcomers i n t o r o l e s a p p r o p r i a t e t o a mature p a r t i c i p a n t i n a g i v e n p o l i t i c a l and c i v i c o r d e r . A l l c a r e e r l i n e s are conceived as i n t e r a c t i n g sequences o f ev e n t s ; hence, t h e s o c i a l i z a t i o n o f the i n f a n t b e g i n s as soon as he i s exposed t o , and capable o f i n t e r a c t i n g w i t h , t h e s o c i a l environment. The t r a d i t i o n a l emphasis i s on t h e face t o f a c e r e l a t i o n s between t h e t a r g e t o f s o c i a l i z a t i o n and a l l who i n f l u e n c e him (t h e s o c i a l i z e r s ) , e s p e c i a l l y f a m i l y , s c h o o l and neig h b o r h o o d members. T h i s image i s inad e q u a t e t o d e a l w i t h t h e f a c t s i n a s o c i e t y i n which mass media o f communication supplement, or i n some m a t t e r s s u p p l a n t , t h e models o f conduct p r e s e n t e d t o the g r o w i n g i n d i v i d u a l i n p r i m a r y r e l a t i o n s h i p s . Whatever and whoever i n f l u e n c e s t h e f o r m a t i o n o f p r e d i s p o s i t i o n s i n t h e p r e - a d u l t are components o f t h e s o c i a l i z a t i o n p r o c e s s .

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Since our g e n e r a l model emphasizes t h e i n t e r a c t i v e c h a r a c t e r o f s o c i e t y , i t suggests t h a t any conception, o f s o c i a l i z a t i o n i s in a d e q u a t e t h a t d e a l s s o l e l y w i t h changes on t h e p a r t o f p r e - a d u l t s , and i g n o r e s t h e impact o f s o c i a l i z a t i o n on a d u l t s . Where mass markets and mass communication e x i s t , t h e changing p e r s p e c t i v e s o f t h e young i n f l u e n c e t h e p e r s p e c t i v e s o f a d u l t s , i n s i d e and o u t s i d e t h e f a m i l y c i r c l e . These e f f e c t s can be t r a c e d i n every v a l u e -i n s t i t u t i o n s e c t o r . I n d e v e l o p i n g s o c i e t i e s i t i s p a r t i c u l a r l y p e r t i n e n t t o i n q u i r e i n t o , and t o d e v i s e s t r a t e g i e s f o r , managing and t r a i n i n g and s e l e c t i o n o f p e r s o n n e l f o r common and s p e c i a l i z e d r o l e s i n every i n s t i t u t i o n a l c o n t e x t , whether arenas o f power, o r th e s i t u a t i o n s i n which a f f e c t i o n , r e c t i t u d e , w e a l t h , o r some o t h e r v a l u e predominates. To stu d y s o c i a l i z a t i o n i s t o i n v e s t i g a t e a l a t e r a l f e a t u r e o f a l l s o c i a l i n t e r a c t i o n , a f e a t u r e d e f i n e d by t h e presence o f p r e - a d u l t p a r t i c i p a n t s .

A c t i v i t i e s r e l a t i n g t o development a r e no e x c e p t i o n t o t h e g e n e r a l i z a t i o n t h a t a s p e c i a l i z e d e l i t e b e g i n s t o emerge i n c o n n e c t i o n w i t h e v e r y c o n t i n u i n g p o l i c y problem. Specialists on social development, e s p e c i a l l y t r a n s n a t i o n a l development, have come i n t o e x i s t e n c e t o fa c e t h e c h a l l e n g e s and o p p o r t u n i t i e s o f a s s i s t a n c e programs. A l l t h e u s u a l q u e s t i o n s a r i s e i n c o n n e c t i o n w i t h t h i s new g e n e r a t i o n o f s p e c i a l i s t s . From what sources i n t h e s o c i e t y a r e t h e y drawn? How do t h e i r p r e d i s p o s i t i o n s i n f l u e n c e t h e p e r s p e c t i v e s which t h e y b r i n g t o t h e arena o f p o l i t i c s ? What a s s e t s and l i a b i l i t i e s (base v a l u e s ) do t h e y s t a r t w i t h ? What s t r a t e g i e s a r e t h e y d i s p o s e d t o use i n se e k i n g t o a f f e c t outcomes? What impact do t h e y have? How are t h e y m o d i f i e d by t h e s i t u a t i o n s , f o r m a l and i n f o r m a l , i n which t h e y f i n d themselves? What i s t h e p r o b a b l e f u t u r e o f these new o c c u p a t i o n s and p r o f e s s i o n s ?

I n t h i s c o n n e c t i o n , i t w i l l be o f g r e a t i n t e r e s t t o assess i n d e t a i l t h e d i f f u s i o n , r e s t r i c t i o n and i n n o v a t i o n p r o c e s s . How does t h e new e l i t e o f d e v e l o p e r s conform t o or d e v i a t e from t h e r o l e s p r e v i o u s l y e v o l v e d by f o r e i g n i n v e s t o r s and e n t e r p r i s e r s ; m i s s i o n a r i e s ; p r i v a t e f o u n d a t i o n s devoted t o m e d i c a l , e d u c a t i o n a l , and s c i e n t i f i c purposes; a d v i s o r s o f governments?

Another frame o f r e f e r e n c e r e l a t e d t o t h e whole process o f development i s t h e reciprocal impact of participation i n th e s e o p e r a t i o n s on t h e a s s i s t i n g n a t i o n s . A t t h e o u t s e t o f programs connected w i t h t r a n s n a t i o n a l development, t h e e f f e c t i v e i n i t i a t i v e may be t a k e n by a few, n o t a b l y by s m a l l c l i q u e s o f i m p o r t a n t p o l i t i c a l , m i l i t a r y and f i n a n c i a l f i g u r e s . As t h e p o l i c y becomes s t a b i l i z e d , more elements i n t h e a s s i s t i n g c o u n t r y are i n v o l v e d , e i t h e r by d i r e c t p a r t i c i p a t i o n i n s p e c i f i c programs, o r as opponents o f t h e p o l i c y . L a t e n t p r e d i s p o s i t i o n s i n t h e body p o l i t i c s e t l i m i t s on which i s sought t o be done, and how.

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GOAL MODELS RECONS1VEREV A POWfJR SKETCH

Having come t h i s f a r , i t may be c l a r i f y i n g t o c o n s i d e r some o f the i m p l i c a t i o n s f o r a p o l i t i c a l model o f v a l u e a c c u m u l a t i o n and i n s t i t u t i o n development. A power model must be f a r more e x p l i c i t t h a n an economic model i n r e f e r r i n g t o t h e t o t a l s o c i e t y .

1. We acc e p t the c o n c e p t i o n o f p o l i t i c a l development as a sequence of approximations toward a self-sustaining level of power accumulation. T h i s means t h a t when t h e s t r u c t u r a l c h a r a c t e r i s t i c s o f t h e p r e f e r r e d g o a l have been made a r t i c u l a t e , a t t e n t i o n w i l l be d i r e c t e d t o t h e p r e d i s p o s i t i o n s and c a p a b i l i t i e s i n terms of w h i c h v a l u e a c c u m u l a t i o n can be assessed.

2. We j o i n w i t h those who d e s i r e t o achieve an ideology of progress, of commitment to wide participation in power as a long-run goal. A p r i m a r y f u n c t i o n o f any p o l i c y model i s t o p r o v i d e a gu i d e f o r t a k i n g s i d e s i n c o n t r o v e r s i e s o v e r b a s i c o b j e c t i v e s . We concur i n recommending t h e c o n c e p t i o n o f human d i g n i t y as an o v e r r i d i n g g o a l . We understand t h i s t o i n c l u d e e f f e c t i v e (and f o r m a l ) p a r t i c i p a t i o n i n t he d e c i s i o n process. Such a p o s i t i o n i m p l i e s t h e w i l l i n g n e s s t o make s a c r i f i c e s o f economic g r o w t h , i f necessary t o s u s t a i n p r o g r e s s toward p o p u l a r government. We accept as p r o b l e m a t i c — and t h e r e f o r e as an a p p r o p r i a t e t o p i c o f cont i n u i n g r e s e a r c h -- t h e f r e q u e n t assumption t h a t economic growth a u t o m a t i c a l l y guarantees t h e a t t a i n m e n t o f p o l i t i c a l development. The m o t i v a t i o n s and i n s t r u m e n t s o f c o n t r o l a v a i l a b l e t o modern g a r r i s o n - p o l i c e 'States are so f o r m i d a b l e t h a t i t i s no foregone c o n c l u s i o n t h a t t h e y w i l l be i n s u f f i c i e n t t o p e r p e t u a t e an o l i g a r c h i c a l or even c a s t e system.

3. An adequate model o f p o l i t i c a l development emphasizes t h e im p o r t a n c e o f obtaining sufficient power to maintain national independence, and t h e r e f o r e i n c l u d e s effective political demands not only for economic development> but for growth in all the value-institution sectors of the body politic.

S i n c e e f f e c t i v e independence i s a c o l l e c t i v e demand t o f u n c t i o n as a n a t i o n s t a t e , i t c a r r i e s r e c o g n i t i o n o f t h e n e c e s s i t y f o r c o n t r o l over t h e base v a l u e s on w h i c h e f f e c t i v e power depends. I n t h i s frame o f r e f e r e n c e i t i s obvious t h a t p o l i t i c a l d evelopment c a l l s f o r economic g r o w t h , and t h a t l a g g i n g economic growth i s a t l e a s t a p a r t i a l consequence o f p o l i t i c a l underdevelopment. I f t h e p a s t d e c i s i o n process had been more r e a l i s t i c i n p l a n n i n g f o r t h e f u t u r e , many s t a t e s would n o t have lagged b e h i n d s t a t e s w h i c h e v e n t u a l l y i n f r i n g e d t h e i r independence, a f t e r f i r s t a t t a i n i n g economic s u p e r i o r i t y . As we l o o k back a t t h e expansion o f Europe, a f a s c i n a t i n g q u e s t i o n i s why t h e e l i t e s o f t h e e x t r a -European w o r l d f a i l e d t o e s t i m a t e t h e s i g n i f i c a n c e o f t h e t h e n p r e s e n t f o r t h e f u t u r e . E q u a l l y i m p r e s s i v e are t h e examples of e f f e c t i v e a c c e l e r a t i o n which power e l i t e s have o f t e n been a b l e t o g i v e t o economic g r o w t h . For p r e s e n t purposes, t h e

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s i g n i f i c a n c e o f t h e r e c o r d i s t h a t i t draws a t t e n t i o n t o t h e r e a l i t y - o r i e n t i n g t a s k t h a t faces t h e d e c i s i o n process o f e v e r y p o l i t i c a l u n i t i n w o r l d p o l i t i c s , and u n d e r l i n e s t h e s i g n i f i c a n c e o f p o l i t i c a l r e a l i s m f o r development.

4. P o l i t i c a l development i n c l u d e s willingness and capacity to play a responsible role in world politics. I n 2 above we emphasized t h e c r u c i a l i t y o f power f o r t h e t a s k o f m a i n t a i n i n g an independent r o l e i n t h e w o r l d arena. The p r e s e n t c r i t e r i o n makes t h e r e l a t e d p o i n t t h a t unrestricted p u r s u i t o f power i s n o t an a c c e p t a b l e component o f t h e o b j e c t i v e s o f a developed n a t i o n a l s t a t e . P o l i t i c a l m o d e r n i z a t i o n i s n o t t o be ach i e v e d by w i t h d r a w a l from w o r l d p o l i t i c s ; w i t h d r a w a l i s n o t p e r m i t t e d . A developed n a t i o n s t a t e e x p e c t s , and i s expected by most o t h e r members o f the w o r l d arena, t o conform t o an i n c l u s i v e body o f a u t h o r i t a t i v e p r e s c r i p t i o n ; and t h i s e x p e c t a t i o n i m p l i e s an i n t e r n a l system o f p u b l i c o r d e r b o t h w i l l i n g and a b l e t o comply.

I n a p o l i t i c a l sense, every n a t i o n s t a t e must remain somewhat underdeveloped so l o n g as t h e arena o f w o r l d p o l i t i c s f a l l s s h o r t o f i n c l u s i v e p u b l i c o r d e r i n which t r a n s n a t i o n a l r e s p o n s i b i l i t i e s a r e e f f e c t i v e l y d e f i n e d i n terms o f human d i g n i t y . There a r e , o f c o u r s e , g r e a t d i f f e r e n c e s among n a t i o n s i n t h e l e v e l s o f r e s p o n s i b l e p a r t i c i p a t i o n i n w o r l d a f f a i r s . Among contemporary s t a t e s , no one doubts t h a t Great B r i t a i n s u s t a i n s a r e l a t i v e l y h i g h l e v e l . On t h e o t h e r hand, t h e s t a t e s o f t h e S o v i e t b l o c t h a t have depended on t h e K r e m l i n a r e o n l y b e g i n n i n g t o move tow a r d a s u f f i c i e n t b r e a d t h o f c o n t a c t w i t h o t h e r s t a t e s t o g a i n t h e c u m u l a t i v e e x p e r i e n c e and d i s c i p l i n e needed f o r f u l l acceptance as i n t e r n a t i o n a l l y r e s p o n s i b l e .

The f o l l o w i n g i n d i c e s are among those t h a t show t h e a c c u m u l a t i o n o r d i s a c c u m u l a t i o n o f p r e d i s p o s i t i o n s t o a c t r e s p o n s i b l y i n e x t e r n a l a f f a i r s : u n i v e r s a l i t y o f f o r m a l r e c o g n i t i o n by o t h e r s t a t e s ; exchange o f d i p l o m a t i c o f f i c i a l s ; membership i n t r a n s n a t i o n a l o r g a n i z a t i o n s ; acceptance o f t h i r d p a r t y a s s i s t a n c e i n t h e p e r s u a s i v e s e t t l e m e n t o f d i s p u t e s ; p a r t i c i p a t i o n as a t h i r d p a r t y i n t h e p e r s u a s i v e s e t t l e m e n t o f d i s p u t e s ; acceptance o f o b l i g a t i o n t o a i d i n the s a n c t i o n i n g a c t i v i t i e s o f t r a n s n a t i o n a l b o d i e s ; maintenance o f i m p a r t i a l l e g a l p r o t e c t i o n o f a l i e n s i n harmony w i t h t r a n s n a t i o n a l norms.

5. I t i s i m p l i e d i n t h e f o r e g o i n g , b u t must be made e x p l i c i t , t h a t p o l i t i c a l development c a l l s f o r an internal process of decision whose structures -- both formal and informal> organized and unorganized constitute a system of public order capable of creative3 realistic problem solving in pursuit of a rising level of participation in all values.

We c h a r a c t e r i z e b r i e f l y (and i n c o m p l e t e l y ) t h e seven phases o f t h e d e c i s i o n p r o c e s s . The intelligence phase f u n c t i o n s a p p r o p r i a t e l y when i t s u p p l i e s a f l o w o f r e a l i s t i c i n f o r m a t i o n

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about t r e n d s , c o n d i t i o n s , and p r o j e c t i o n s w h ich f o s t e r t h e c l a r i f i c a t i o n o f o v e r r i d i n g g o a l s , and t h e i n v e n t i o n and e v a l u a t i o n o f p o l i c y a l t e r n a t i v e s . As t e c h n o l o g y advances, i t becomes b o t h necessary and p o s s i b l e t o r e l y h e a v i l y on mass media and r e s e a r c h agencies t o s u p p l y c u r r e n t i n t e l l i g e n c e , and, i n c o n j u n c t i o n w i t h s c h o o l s , t o shape t h e s o c i a l i z a t i o n p r o c e s s .

The promotional phase o f d e c i s i o n i s i n some ways the.most d i s t i n c t i v e mark o f advanced p o l i t i c s . Promotions must i n c l u d e d i v e r s e demands and e x p e c t a t i o n s which are n o n - c o e r c i v e l y pursued f o r t h e purpose o f a f f e c t i n g t h e course o f d e c i s i o n . I n caste-bound s o c i e t i e s i t i s u n t h i n k a b l e t h a t t h e p o l i t i c a l p r o c e s s o p e r a t e s on the b a s i s o f a u t h o r i t a t i v e and c o n t r o l l i n g e x p e c t a t i o n s t h a t t h e non-power cas t e s s h a l l have a n y t h i n g t o say about what goes on. Under c o n d i t i o n s o f v a s t d i s t r e s s t h e y may e r u p t i n t o t h e arena o f p o l i t i c s ; b u t t h i s i s a s i g n o f chaos, n o t o f o r d e r l y p a r t i c i p a t i o n . P o l i t i c a l p a r t y systems ( n o t o n e - p a r t y d i c t a t o r s h i p s , p o l i t i c a l o r d e r s ) , p r e s s u r e groups and p u b l i c commentary are fundamental f e a t u r e s o f power s h a r i n g i n b i g - s c a l e s t a t e s ; and t h e y a r e s u b s t a n t i a l l y m i s s i n g f r o m " v i l l a g e p l u s o l i g a r c h y " o r " v i l l a g e p l u s monocracy" a t t h e i n c l u s i v e l e v e l .

The prescribing f u n c t i o n i n modern s o c i e t i e s must be a b l e and w i l l i n g t o f o s t e r t h e growth o f e x p e c t a t i o n s i n r e g a r d t o a p p r o p r i a t e norms by means o f e x p l i c i t l e g i s l a t i o n , r a t h e r t han by r e l y i n g on unacknowledged l e g i s l a t i o n (customary usage). I t i s o f t e n a l l e g e d — though r e s e a r c h i s meagre on t h e p o i n t — t h a t t h e d i s c i p l i n e o f r u l e w r i t i n g , r e s e n t e d and evaded as i t may be a t f i r s t , spreads t h e e x p e c t a t i o n t h a t c o n t r o v e r s i e s w i l l be i m p a r t i a l l y r e s o l v e d , and t h a t t r a d i t i o n a l l o y a l t i e s t o f a m i l y , n eighborhood and t r i b e w i l l be undermined f o r t h e u l t i m a t e b e n e f i t o f s t a t e l o y a l t y . The p r e s c r i b i n g f u n c t i o n as an i n s t r u m e n t o f development t a k e s t h e l e a d i n c l a r i f y i n g and r e p e a t i n g t h e aims o f t h e body p o l i t i c and t h e p r a c t i c e o f j u s t i f y i n g s p e c i f i c measures i n these terms.

The phases o f invocation and application are f o c a l i z e d i n a d m i n i s t r a t i v e organs, c i v i l and m i l i t a r y . A d e t a i l e d s p e c i f i c a t i o n o f r e l e v a n t c r i t e r i a must be i n c l u d e d i n a f u l l model. The same p o i n t a p p l i e s t o appraisal and termination.

6. Adequate p o l i t i c a l models p r o v i d e strategical guidance for timing the component elements in sequences of development.

S t r a t e g i e s o f g r o w t h are c o n f r o n t e d by t h e t a s k o f t i m i n g and p l a c i n g t h e f a c t o r s t h a t are e s t i m a t e d t o c o n t r i b u t e t o t h e t e r m i n a l r e s u l t . Programs o f n a t i o n a l development must keep t r a n s n a t i o n a l t r e n d s and p r o s p e c t s i n view i f f a v o r a b l e oppor-, ' t u n i t i e s are t o be s e i z e d and adverse c i r c u m s t a n c e s n u l l i f i e d . The d e v e l o p e r s o f t e n o p e r a t e across n a t i o n a l l i n e s from a

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n a t i o n a l base, o r i n t h e framework o f an i n t e r g o v e r n m e n t a l o r g a n i z a t i o n . Whatever t h e i r g e o g r a p h i c a l s i t u s , d e v e l o p e r s a r e a c t i v e agents o f i n n o v a t i o n , d i f f u s i o n and r e s t r i c t i o n . A g r o w i n g c o u n t r y responds s e l e c t i v e l y t o t he models i n i t s i n t e r n a t i o n a l environment a t d i f f e r e n t t i m e s . P o l i c y and sci e n c e a r e b o t h concerned w i t h i d e n t i f y i n g t h e c o n t e x t s i n w h i c h i n n o v a t i o n s come t o t h e n o t i c e o f i n d i v i d u a l s who are l o c a t e d a t v a r i o u s g e o g r a p h i c a l and s o c i a l d i s t a n c e s from where t h e a c t i v i t i e s o c c u r . Who p e r c e i v e s h i m s e l f b e t t e r o f f by d i r e c t i n g a t t e n t i o n t o them? By i g n o r i n g them? Among those who hear o f change, who sees h i m s e l f as b e t t e r o f f ( i n terms o f a l l v a l u e s ) by f a c i l i t a t i n g o r b l o c k i n g d i f f u s i o n ? As a r e s u l t , what p a t t e r n s o f r o u t e and zone are f o l l o w e d i f i n n o v a t i o n s spread?

As a means o f s t i m u l a t i n g f u r t h e r i n q u i r y , we f o r m u l a t e a few p r i n c i p l e s addressed t o a d v i s o r s o r f i n a l d e c i s i o n makers who a r e r e s p o n s i b l e f o r programs o f v a l u e a c c u m u l a t i o n and i n s t i t u t i o n a l development.

a. Think contextually; keep policy questions related to the goal values of all whose effective support is required for success.

P a r t o f t h e problem i s t o i n v e n t p o l i c i e s and t o d e v i s e p r o grams o f p o l i c y p r e s e n t a t i o n t h a t e l i c i t t h e c o a l i t i o n s needed t o o b t a i n an e f f e c t i v e demand t o i n n o v a t e . Expectat i o n s must be s t r e n g t h e n e d o r m o d i f i e d t h a t a f f e c t v a l u e demands and s e l f - i d e n t i f i c a t i o n .

b. Among more p a r t i c u l a r i z e d g u i d e s i s t h e principle of decisiveness. I t a f f i r m s t h e imp o r t a n c e o f a v o i d i n g conf u s i o n o r p a r a l y s i s d u r i n g n a t i o n b u i l d i n g by m a i n t a i n i n g a d e c i s i o n process t h a t produces r e a l i s t i c and t i m e l y commitments. As K a r l Deutsch has emphasized, communication networks may be o v e r l o a d e d ; b u t i n d e c i s i v e n e s s may be a consequence o f poor c o l l a b o r a t i v e as w e l l as poor communic a t i v e s y n c h r o n i z a t i o n s .

The p r i n c i p l e must be d i s r e g a r d e d when t h e e f f e c t i v e e l i t e o f a n a t i o n i s l a r g e l y h o s t i l e t o t h e i n n o v a t i o n s t h a t i t f e e l s c o n s t r a i n e d t o make. The s t r a t e g y o f development c a l l s f o r measures t h a t i n c r e a s e t h e s t r e n g t h o f whatever f a c t o r s make f o r i n d e c i s i v e n e s s i n t h e o f f i c i a l process o f d e c i s i o n , w h i l e s i m u l t a n e o u s l y g i v i n g a i d and c o m f o r t t o a modern-minded a l t e r n a t i v e .

c. A l t h o u g h e x t e r n a l a s s i s t a n c e i n development programs i s l i k e l y t o be welcomed by i m p o r t a n t e l i t e and n o n - e l i t e e l e m e n t s , dependence i s a l s o r e s e n t e d . Hence, outside assistance ought to be given tactfully, which means giving respect to nationals of the receiving country.

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d. The devolution of effective power to recipients of aid needs to be a reward for responsible performance by t h e e l i t e elements which i t i s proposed t o encourage on a l o n g - t e r m b a s i s .

N a t i o n a l e l i t e s can be ex p e c t e d , as p a r t o f t h e o r d i n a r y power b a l a n c i n g p r o c e s s , t o seek t o d i l u t e t h e i r dependence on one f o r e i g n source by m u l t i p l y i n g these sources. As f a r as p o s s i b l e , t h e r e l i n q u i s h m e n t o f whatever e f f e c t i v e power r e s u l t s from p r o v i d i n g a s s i s t a n c e should be used t o s t r e n g t h e n modern-minded elements who are w i l l i n g and g r o w i n g l y compet e n t t o a c t r e s p o n s i b l y . The problem i s t o a v o i d t h e use o f a i d as b l a c k m a i l by a r c h a i c o r incompetent s o c i a l f o r m a t i o n s .

e. Sound s t r a t e g y r e q u i r e s t h e ideological incorporation of the entire nation into the challenging task of development, and the encouragement of self-awareness of the process. D o c t r i n e , f o r m u l a and miranda g a i n i m p a c t , e l a b o r a t i o n and s t a b i l i t y as a b y - p r o d u c t o f c o l l e c t i v e problem s o l v i n g . I f economic development i s an a t t r a c t i v e i d e a l , i t s h o u l d be i n t e g r a t e d w i t h t h e demand t o achieve a n a t i o n t h a t i s t r u l y modern i n a l l dimensions o f l i f e .

f . N a t i o n a l development r e q u i r e s simultaneous emphasis on a universal minimum of literacy and. education, and on the-rapid preparation of highly expert personnel.

T h i s i s a wa r n i n g a g a i n s t unbalanced s k i l l and e n l i g h t e n m e n t p o l i c i e s ; more c o n c r e t e l y , i t i s a wa r n i n g a g a i n s t t h e n e g l e c t o f u n i v e r s a l e d u c a t i o n , or t h e o v e r - p r o d u c t i o n o f u n i v e r s i t y - t r a i n e d s t u d e n t s w i t h o u t a f u t u r e .

g. A g e n e r a l p r i n c i p l e i n r e g a r d t o t h e i n s t i t u t i o n s o f d e c i s i o n making i s t o encourage administrative competence without precluding the growth of responsible legislatures, parties and other plural associations.

One i m p l i c a t i o n o f t h i s p r i n c i p l e i s t h a t a d m i n i s t r a t i v e i n e f f i c i e n c y and c o r r u p t i o n i s n o t t o be t r e a t e d w i t h t o o much alarm i f i t c o n t r i b u t e s t o the growth o f l e a d e r s and o r g a n i z a t i o n s who develop a new s e t o f i d e n t i t i e s , expect a t i o n s and demands t h a t c r o s s - c u t and supersede o l d e r s o c i a l f o r m a t i o n s .

h . International organizations should be used as far as possible to assist in strengthening ideological and organizationaI adherence to civil order3 including the protection of basic human rights.

Since underdeveloped n a t i o n s are o f t e n power vacuums, they p r o v i d e an o c c a s i o n f o r c o n s o l i d a t i n g t h e i n s t i t u t i o n s o f t r a n s n a t i o n a l o r d e r w h i l e a i d i n g t h e process o f n a t i o n a l g r o w t h .

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Discussion

7. I N T E G R A T I N G FRAMEWORK One o f t h e g o a l s o f t h e c o n f e r e n c e , s a i d P e t e r , was t o f i t t o g e t h e r p o r t i o n s o f t h e p a r t i a l t h e o r i e s o f s o c i a l change coming from t h e s p e c i a l i s t s - t h e a n t h r o p o l o g i s t s , t h e economists, t h e p o l i t i c a l s c i e n t i s t s , t h e s o c i o l o g i s t s , t h e p s y c h o l o g i s t s . To do t h i s some i n t e l l e c t u a l framework was r e q u i r e d a g e n e r a l t h e o r y however p r o v i s i o n a l , t h a t would be i n c l u s i v e enough t o t a k e i n t o c o n s i d e r a t i o n t h e many s i g n i f i c a n t i n t e r a c t i o n s i n s o c i a l change t h a t m i g h t be proposed f r o m any o f these d i s c i p l i n e s . T h i s c r i t e r i o n - b r e a d t h o f c o n t e x t u a l i t y i s met by t h e Lasswell-Holmberg model o f d i r e c t e d s o c i a l change. I t has been f o r m u l a t e d i n such a way t h a t i t can be adapted n o t o n l y t o any s u b j e c t m a t t e r b u t t o any s i z e o f u n i t -t o t h e w o r l d community, t o the n a t i o n s t a t e , t o r e g i o n s , o r t o s m a l l e r communities. The a u t h o r s themselves have summarized t h e r e q u i r e m e n t s o f a g e n e r a l t h e o r y f o r d i r e c t e d s o c i a l change; t h e i r own f o r m u l a t i o n o f s o c i a l change i s i n n o v a t i v e and p o w e r f u l i n s e v e r a l dimensions.

As Hughes summarized t h e Lasswell-Holmberg model, i t i s "based i n p r o c e s s , a c t i v i t y , purpose, r a t h e r t h a n i n e r t s t r u c t u r e ; i t i s f u n c t i o n a l , r a m i f y i n g , c o n t e x t u a l . I t uses i n s t i t u t i o n a l c a t e g o r i e s h e u r i s t i c a l l y , as ways o f o r d e r i n g t h e d a t a o f c o n c r e t e complex s o c i a l b e h a v i o r i n t o e i g h t v a l u e areas. I n p u r s u i t o f these v a l u e -ends, man (and, by e x t e n s i o n , s o c i e t y ) a c t s t h r o u g h t h e i n s t r u m e n t a l i t y o f i n s t i t u t i o n s c o n c e i v e d i n v a l u e t e r m s , and v a l u e s themselves seem t o be viewed more as " a c c u m u l a t a b l e " it e m s t h a n as " s u b s t i t u t a b l e " elements o f s o c i a l b e h a v i o r . A c t i o n i s a n a l y z e d i n t o two p r i n c i p l e components: t h e phenomenological ( i n c l u d i n g " p e r s p e c t i v e s , " images, v a l u e s , b e l i e f s , a t t i t u d e s , e t c . ) and t h e b e h a v i o r a l ( " a c t i o n , " I n s t i t u t i o n , p r a c t i c e , e t c . ) s o c i a l change i s c o n c e i v e d m u l t i f a c t o r i a l l y r a t h e r t h a n i n terms o f u n i t a r y d e t e r m i n a n t s . "

2. T H E "PREWSO/AR" V A L U E S

S o c i a l change i s seen as a process i n which p a r t i c i p a n t s seek t o maximize n e t v a l u e outcomes ( s o c i a l commodities) by employing

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p r a c t i c e s ( i n s t i t u t i o n s ) , a f f e c t i n g r e s o u r c e s . I t i s i n t h e range o f n e t v a l u e outcomes ( v a l u e s ) t h a t t h e Lasswell-Holmberg f o r m u l a t i o n f i r s t demonstrates i t s a l l - i n c l u s i v e scope and potency.

The g e n e r a l model uses e i g h t c a t e g o r i e s f o r t h e purpose o f d i s t i n g u i s h i n g t h e p r i n c i p a l v a l u e s i n s o c i e t i e s . T h i s l i s t o f v a l u e s i s i n c l u s i v e (though n o t a l l - i n c l u s i v e ) , so t h a t i t covers every major v a l u e which i s t h o u g h t t o e x i s t i n s o c i a l processes. The p a r t i c u l a r terms f o r t h e s e v a l u e s have been s e l e c t e d t o l i n k c o n v e n i e n t l y t o t h e values a l r e a d y b e i n g s t u d i e d and used by o t h e r s i n the s e v e r a l s p e c i a l i z e d branches o f s o c i a l s c i e n c e . The g o a l o f h a v i n g such an i n c l u s i v e l i s t i s t o p r o v i d e e q u i v a l e n c i e s among t h e v a r i o u s d i s c i p l i n a r y f i e l d s and t o s i m p l i f y t h e comparative s t u d y o f these v a l u e s and t h e i r a c c u m u l a t i o n .

The e i g h t c a t e g o r i e s o f v a l u e s a r e :

1. Power 2. Respect 3. E n l i g h t e n m e n t 4. ' Wealth

5. S k i l l 6. W e l l - b e i n g 7. A f f e c t i o n 8. R e c t i t u d e

The acronym PREWSWAR was co i n e d a t t h e symposium as a handy reminder f o r t h e s e key v a l u e s .

These e i g h t v a l u e s and g o a l s . I n t h e measure - money -and o t h e r v a l u e s , more d i f f i c u l t t o p a r t i c i p a n t s , t h a t g o a l o f p e r s o n a l s many o f these e i g h f a c i l i t a t i n g g o a l s o t h e r v a l u e s would g o r i z a t i o n .

seem t o cover t h e major c a t e g o r i e s o f human needs case o f w e a l t h t h e r e i s a r e l i a b l e , q u a n t i t a t i v e

a v a i l a b l e f o r use; i n t h e case o f h e a l t h , power some v a l i d measures have been developed b u t a r e use. There was some f e e l i n g among symposium a n i n t h v a l u e e x i s t e d , r e p r e s e n t i n g t h e u l t i m a t e a t i s f a c t i o n , h a p p i n e s s , o r enjoyment f o r which t v a l u e s are i n s t r u m e n t a l i n t e r m e d i a t e o r

There was a l s o t h e r e c o g n i t i o n t h a t adding n o t a f f e c t t h e e s s e n t i a l purpose o f t h i s c a t e -

3. S E A R C H I N G FOR CONCEPTUAL EQUIVALENTS

The Lasswell-Holmberg model has so much i n i t t h a t v e r y p r e c i s e language and d e f i n i t i o n s were found necessary by t h e a u t h o r s t o make c l e a r how t h e y were u s i n g v a r i o u s t e r m s . They are t o be c o n g r a t u l a t e d on t h e v i g o r w i t h which t h i s was done. S t i l l , more has t o be done t o make these terms as r i g o r o u s ( i . e . o p e r a t i o n a l ) as t h e y are v i g o r o u s . The reade r may e x p e r i e n c e some d i f f i c u l t y i n a d a p t i n g t o t h i s language and i n knowing how t o i n t e r p r e t s i m i l a r terms used i n o t h e r papers. For example, t h e Lasswell-Holmberg meaning o f " v a l u e s " as " s o c i a l commodities," however i n t a n g i b l e t h e y may be, i s n o t shared by a l l o t h e r a u t h o r s . For t h i s reason, a g l o s s a r y of terms i s i n c l u d e d a t t h e end o f t h i s r e p o r t .

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T h i s p roblem o f u s i n g terms i n the same way i s o f course a g e n e r a l one i n s o c i a l s c i e n c e . An e x p l i c i t g o a l o f the symposium was t o d i s c o v e r c o n c e p t u a l e q u i v a l e n t s , and t h e n t o determine what t e r m i n o l o g y m i g h t make these c l e a r .

4. VALUE-INSTITUTION GROUPINGS

The e i g h t v a l u e s (PREWSWAR) used i n t h e Lasswell-Holmberg model are o n l y t h e b e g i n n i n g o f t h e c o n t r i b u t i o n s t h e y have made t o f o r m u l a t i n g a more i n c l u s i v e framework o f g e n e r a l t h e o r y f o r d i r e c t e d s o c i a l change. A c t u a l l y t h e y d e s c r i b e these e i g h t c a t e g o r i e s as " v a l u e -i n s t i t u t i o n " g r o u p i n g s . A c c o r d i n g t o t h e i r d e f i n i t i o n o f s o c i a l change (see 2 above), human bei n g s are i n v o l v e d i n m a x i m i z i n g n e t v a l u e outcomes. The c o l l e c t i v e process f o r d o i n g t h i s i n v o l v e s a l l s o r t s o f s o c i a l i n t e r a c t i o n , b u t i s c a r r i e d o u t by r e l a t i v e l y s t a b l e p a t t e r n s o f p r a c t i c e w hich the a u t h o r s d e f i n e as institutions. " I n s t i t u t i o n s , as p a t t e r n s o f p r a c t i c e which are somewhat s p e c i a l i z e d t o p a r t i c u l a r v a l u e outcomes, a l s o d i f f e r from one a n o t h e r i n t h e i r c o n c e r n w i t h t h e p r o d u c t i o n o f v a l u e s , c a l l e d v a l u e s h a p i n g , and t h e d i f f u s i o n o f v a l u e s , c a l l e d v a l u e s h a r i n g . Thus v a l u e s can b e s t be seen and d i s c u s s e d i n r e l a t i o n t o t h e i n s t i t u t i o n s w h i ch h e l p produce and n u r t u r e them. L a s s w e l l and Holmberg p o i n t o u t t h a t a comprehensive value-model makes i t p o s s i b l e t o s e l e c t any i n s t i t u t i o n a l p a t t e r n and t o e x p l o r e i t s s i g n i f i c a n c e i n t h e shaping and s h a r i n g o f a l l v a l u e s , n o t s i m p l y t h e one o r two i n which t h e i n s t i t u t i o n may s p e c i a l i z e .

5. VEVISING VALUE UNITS

The a u t h o r s o f t h i s comprehensive model o f s o c i a l change t a c k l e d t h e e x t r e m e l y d i f f i c u l t problem o f d e v i s i n g a p p r o p r i a t e v a l u e u n i t s . Value e v e n t s a r e ' d e f i n e d as i n t e r a c t i o n s and t h e y can i n p r i n c i p l e be d e s i g n a t e d by t h r e e k i n d s o f e l e m e n t a r y u n i t s , symbols, s i g n s and r e s o u r c e s .

Examples are d e s c r i b e d o f v a r i o u s k i n d s o f u n i t s , r e p r e s e n t i n g i n t e r a c t i o n s s p e c i a l i z e d t o p a r t i c u l a r v a l u e s . A power u n i t , o r v o t e ( i n c o n v e n t i o n a l usage) i s t h e fundamental u n i t o f s u p p o r t o r n o n - s u p p o r t i n a d e c i s i o n . An e n l i g h t e n m e n t u n i t i s an a c t d i r e c t i n g an i n f o r m a t i o n a l communication; g e n e r a l i z i n g the term v o t e , an e n l i g h t e n m e n t v o t e i s an a c t o f d i s c l o s u r e (or n o n - d i s c l o s u r e ) o f i n f o r m a t i o n . A w e a l t h u n i t o r v o t e i s a c l a i m over r e s o u r c e s . A w e l l - b e i n g u n i t ( o r v o t e ) i s a c l a i m t o o p p o r t u n i t y f o r s a f e t y , h e a l t h and c o m f o r t . And so on f o r o t h e r v a l u e u n i t s .

The a u t h o r s ' a n a l y s i s o u t l i n e s t h e p o s s i b i l i t y o f d e v i s i n g v a l u e u n i t s by t h e use o f composite i n d i c e s , t a k i n g i n t o account a p a r t i c i p a n t ' s d i r e c t i o n o f commitment and t h e i n t e n s i t y o f h i s c l a i m s .

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D i s c u s s a n t s a t t h e symposium agreed t h a t d e v i s i n g v a l u e u n i t s which are p r e c i s e and r e a d i l y u s a b l e c o n s t i t u t e s a major t a s k .

6. INSTITUTIONAL TASKS

The v a l u e map o f s o c i a l process i n t h e Lasswell-Holmberg model i s p a r t l y e x p l a i n e d by b r e a k i n g down and examining i n s t i t u t i o n a l t a s k s i n t h e s e v e r a l phases o f v a l u e shaping and s h a r i n g . These i n s t i t u t i o n a l t a s k s , performed by t h e e l i t e , i n c l u d e p r e s c r i p t i o n , i n t e l l i g e n c e , p r o m o t i o n , i n v o c a t i o n , a p p l i c a t i o n , a p p r a i s a l and t e r m i n a t i o n - each d e s c r i b e d w i t h examples from s e v e r a l v a l u e s . D i s c u s s a n t s n o t e d t h a t w h i l e t h e s e i n s t i t u t i o n a l t a s k s a r e q u i t e s i m i l a r t o what are g e n e r a l l y r e c o g n i z e d as t h e manager's r e s p o n s i b i l i t i e s i n o r g a n i z a t i o n s , t h e Lasswell-Holmberg model views them more e x p l i c i t l y i n terms o f a p p r o p r i a t e v a l u e c a t e g o r i e s .

An o r g a n i z a t i o n i s t o be un d e r s t o o d as a p a t t e r n o f s i t u a t i o n s which are i n t e r c o n n e c t e d by communicative and c o l l a b o r a t i v e a c t i v i t y . L a s s w e l l and Holmberg make c l e a r t h a t p a r t i c i p a n t s i n every s o c i a l p r o c e s s a c t i n t h e frame o f r e f e r e n c e o f t h e i r c o l l e c t i v e myths ( t h e p a t t e r n s o f s t a b l e p e r s p e c t i v e s among members) which g i v e r i s e t o doctrinal statements ( t h e h i g h l e v e l a b s t r a c t i o n s o r p h i l o s o p h y ) , t o formulae ( p r e s c r i p t i o n s o f p u b l i c and c i v i c o r d e r ) , and t o miranda ( p o p u l a r v e r s i o n s o f p a s t , p r e s e n t and f u t u r e ) . I t f o l l o w s t h a t t h e s t r a t e g i e s used f o r m a n i p u l a t i n g t h e base v a l u e s o f a community must r e f l e c t t h e l e v e l o f development o f t h a t s o c i e t y , and can be c l a s s i f i e d and d e s c r i b e d t o h i g h l i g h t d i s t i n c t i v e o p e r a t i o n s and r e q u i r e m e n t s .

7. THE SCIENTIFIC OBSERVER'S TASKS

There are q u i t e d i f f e r e n t t a s k s f o r t h e s o c i a l s c i e n t i s t s o b s e r v i n g and a n a l y z i n g t h e s o c i a l p r o c e s s . L a s s w e l l mentioned f i v e i n t e l l e c t u a l t a s k s i n v o l v e d i n c o n s i d e r i n g s o c i a l change and t h e i n t e r r e l a t i o n s h i p s among f a c t o r s . One must ask and answer t h e q u e s t i o n s :

(1) What are the goals? ( L a s s w e l l f s p r e f e r r e d events) (2) What are t h e t r e n d s ? (3) What are the c o n d i t i o n s ? (and t h e interdependences) (4) What i s t h e p r o j e c t i o n , t h e p r o b a b l e course? (5) What are t h e a l t e r n a t i v e s , and t h e s t r a t e g i e s ?

8. RESEARCH ON RECEPTIVE PROPENSITIES

The a u t h o r s view a l l i n s t i t u t i o n a l p a t t e r n s , i n a g l o b a l s e t t i n g , as i n n o v a t i o n s , o r as i n s t a n c e s o f t h e d i f f u s i o n o r r e s t r i c t i o n o f

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p r e v i o u s p a t t e r n s . While s o c i a l process i s i n p e r p e t u a l i n t e r a c t i o n , t h e y suggest t h a t i t would be h i g h l y d e s i r a b l e t o map o u t zones o f c u l t u r e d i s t r i b u t i o n t h r o u g h o u t t h e g l o b e , w i t h p a r t i c u l a r a t t e n t i o n t o t h e l i n e s t h a t d e l i m i t e q u a l i t y o f access t o competing i n s t i t u t i o n a l p a t t e r n s . What seems t o be suggested i s a b e t t e r b a s i s f o r e s t i m a t i n g r e c e i p t i v e p r o p e n s i t i e s as a g u i d e f o r p r e d i c t i o n and program p l a n n i n g .

9. DEVELOPMENT AS MULTJ-VALUE GROWTH

The s o c i a l process i s d e s c r i b e d by L a s s w e l l and Holmberg as " p a r t i c i p a n t s i n t e r a c t i n g i n s i t u a t i o n s , c o n t r o l l i n g base v a l u e s , employing s t r a t e g i e s t o i n f l u e n c e outcomes, w i t h e f f e c t s on v a l u e a c c u m u l a t i o n and enjoyment, and on i n s t i t u t i o n a l i n n o v a t i o n , c o n t i n u a t i o n and r e j e c t i o n . " They suggest t h a t t h e c o n c e p t i o n o f development as g r o w t h i s a s a t i s f a c t o r y model o f t h e p r o c e s s , p r o v i d e d t h e concept i o n i s g e n e r a l i z e d beyond one v a l u e ( w e a l t h ) t o a l l v a l u e s i n t h e s o c i a l p r o c e s s . I t t h e n becomes i m p o r t a n t t o complete t h e p r e f e r e n c e map i n i n s t i t u t i o n a l terms f o r a l l v a l u e s , a t which p o i n t i t becomes p o s s i b l e t o i d e n t i f y t h e p r e d i s p o s i t i o n s and r e s o u r c e c a p a b i l i t i e s t h a t a r e r e q u i r e d t o achieve t h e g o a l .

Symposium d i s c u s s a n t s d i d n o t d i s a g r e e w i t h t h e a u t h o r s ' s u g g e s t i o n t h a t t h e t h e o r y o f d e f i n i t e stages o f v a l u e a c c u m u l a t i o n and i n s t i t u t i o n a l development s h o u l d be dropped. The g o a l s f o r d i f f e r e n t v a l u e s i n a more i n c l u s i v e p r e f e r e n c e map a r e most l i k e l y t o be approximated a t d i f f e r e n t tempos i n d i f f e r e n t s e c t o r s o f a n a t i o n and i n v a r i o u s n a t i o n s . Moreover, t h e d a t a f o r q u a n t i f y i n g t h e dimensions o f p r e f e r r e d systems i n t h e s e v e r a l v a l u e - i n s t i t u t i o n a l areas are n o t p r e s e n t l y a v a i l a b l e .

I n d i s c u s s i n g t h e dynamics o f growth and development, t h e a u t h o r s p r o v i d e u s e f u l o b s e r v a t i o n s on the p a r t p l a y e d by c l a s s i n t e r a c t i o n s , s p e c i a l i n t e r e s t g r oups, p e r s o n a l i t y t y p e s , and c r i s e s which change th e mood o f p a r t i c i p a n t s i n t h e s o c i a l p r o c e s s .

10. QUALITY ANV PATTERN OF VALUE BUILVING

Had space and t i m e p e r m i t t e d , t h e Lasswell-Holmberg model would have seemed more d e s c r i p t i v e o f r e a l l i f e and somewhat l e s s i n t e l l e c t u a l l y a b s t r a c t , had some i l l u s t r a t i o n and case examples been b u i l t i n t o i t . T h i s w i l l , h o p e f u l l y , be added i n t h e more complete s t a t e m e n t t h e a u t h o r s are p r e p a r i n g f o r s e p a r a t e p u b l i c a t i o n .

A more b a s i c c r i t i c a l comment i s t h a t developed by Hughes i n h i s own paper. He f e e l s t h a t t h e Lasswell-Holmberg model i s d e r i v a t i v e l y based on an economic paradigm, p r i m a r i l y t o t a k e magnitude and n o t q u a l i t y o r p a t t e r n as t h e b a s i c e s s e n t i a l o f t h e v a l u e - b u i l d i n g p r o c e s s .

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M. M A N I F E S T ANV LATENT VALUES

Members o f t h e symposium f e l t t h e r e was s t i l l some a m b i g u i t y i n t h e ways t h e word " v a l u e s " was used. »

Hagen proposed t h a t v a l u e s can be seen e i t h e r as (1) y a r d s t i c k s f o r making comparisons, o r (2) as amounts o r q u a l i t i e s as measured by some y a r d s t i c k . L a s s w e l l p o i n t e d o u t t h a t i t i s t h e f u n c t i o n and r e s p o n s i b i l i t y o f t h e s c i e n t i f i c o b s e r v e r t o c h a r a c t e r i z e outcome e v e n t s . The p a r t i c i p a n t i n the event may s t a t e h i s m a n i f e s t v a l u e s , b u t t h e s c i e n t i f i c o b s e r v e r must a l s o l o o k f o r l a t e n t v a l u e s . Deutsch suggested t h i s meant a double e n t r y system o f bookkeeping, i n w h i c h every event i s scored t w i c e , once as t o t h e p r e f e r r e d v a l u e r e p o r t e d by t h e p a r t i c i p a n t , and once as seen by t h e s c i e n t i f i c o b s e r v e r . Hagen observed t h a t t h e v a l u e o f a s t e e l m i l l m i g h t be r e p o r t e d by t h e c o u n t r y ' s l e a d e r s as w e a l t h a c c u m u l a t i o n ( m a n i f e s t v a l u e o f p a r t i c i p a n t s ) w h i l e t h e s c i e n t i f i c o b s e r v e r m i g h t a l s o note t h e p r e s t i g e o r r e s p e c t v a l u e ( l a t e n t ) b e i n g sought. The a c t u a l c o n s t r u c t i o n o f t h e s t e e l m i l l c o u l d l e a d t o any number o f outcomes -perhaps e i t h e r an i n c r e a s e o r decrease i n w e a l t h v a l u e , perhaps some p r e s t i g e s a t i s f a c t i o n o f t h e l e a d e r s o r none a t a l l , o r perhaps even a' change i n power d i s t r i b u t i o n i n c r e a s i n g t h e sense o f t h r e a t i n n e i g h b o r i n g c o u n t r i e s . P r o f e s s o r L a s s w e l l c h a r a c t e r i z e d e v e n t s as a c t u a l o r p o t e n t i a l , whole o r i n p a r t , s u b j e c t i v e and non-s u b j e c t i v e . A l l events are doubly r e f e r r e d t o , i n terms o f v a l u e s and i n s t i t u t i o n s .

72. VALUES IN SHORT ANV LONG TERM PERSPECTIVE

Jacobson commented t h a t b o t h t h e p a r t i c i p a n t ' s and t h e s c i e n t i f i c o b s e r v e r ' s u n d e r s t a n d i n g o f t h e v a l u e a c c u m u l a t i o n may be inadequate and t h a t an o b j e c t i v e subsequent measure o f a c t u a l r esource changes m i g h t be d i f f e r e n t from e i t h e r .

Deutsch s t r e s s e d t h a t v a l u e a c c u m u l a t i o n may be q u i t e d i f f e r e n t i n s h o r t and l o n g r u n p e r s p e c t i v e s , so o r i g i n a l l y t h e outcome i s q u i t e u n c e r t a i n . T h i s means t h a t t i m e c o d i n g i s r e q u i r e d . For example, i n e a r l y c o l o n i a l days i n t h e U.S., i r o n w o r k s were e s t a b l i s h e d t h a t b r o u g h t new s k i l l s and e n l i g h t e n m e n t i n t o t h e c o u n t r y , which t u r n e d o u t t o be v e r y i m p o r t a n t t o economic development and w o r t h a g r e a t d e a l more t h a n the v a l u e o f the i r o n produced. On t h e o t h e r hand, t h e e s t a b l i s h m e n t o f p o r t wine p r o d u c t i o n i n P o r t u g a l d i d n o t b u i l d a base f o r m u l t i p l y i n g s k i l l s and e n l i g h t e n m e n t .

I t seemed q u i t e p o s s i b l e t o seminar p a r t i c i p a n t s t o use t h e cont e x t u a l model o f s o c i a l process i n g i v i n g s p e c i a l a t t e n t i o n t o time or t h e d i r e c t i o n a l f l o w o f e v e n t s .

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13. EXCHANGES ANV T R A D E - O F F S AMONG VALUES

P e t e r suggested t h a t t h e r e were p o s s i b i l i t i e s f o r a n a l y z i n g t h e t r a d e - o f f s among d i f f e r e n t k i n d s o f v a l u e a c c u m u l a t i o n s , i n v a r i o u s d i r e c t i o n s among v a l u e s and over t i m e . The Lasswell-Holmberg model s t a t e s t h a t any v a l u e may be a base f o r g r o w t h i n t h i s p a r t i c u l a r v a l u e ( i . e . power f o r more power, e n l i g h t e n m e n t f o r f u r t h e r e n l i g h t e n m e n t ) , and a l s o t h a t v a l u e s serve as bases f o r o t h e r v a l u e s ( i . e . power f o r w e a l t h , w e a l t h f o r e n l i g h t e n m e n t , e t c . ) . For example, t h e s t r a t e g y o f b u i l d i n g or assembling an e d u c a t i o n a l f a c i l i t y ( e n l i g h t e n m e n t i n s t i t u t i o n ) r e q u i r e s n o t o n l y w e a l t h , b u t a l s o e n l i g h t e n m e n t i t s e l f , s k i l l and p r o b a b l y some r e s p e c t v a l u e . I t i s e a s i e r t o see how one c o u l d work from base v a l u e s o f power o r w e a l t h t o o t h e r v a l u e s , b u t c o n c e p t u a l l y one c o u l d show exchanges s t a r t i n g f r om any v a l u e .

Deuschle d e s c r i b e d the case o f a d o c t o r he knew, who had s t a r t e d w i t h s k i l l v a l u e s i n m e d i c i n e and who had done a m a g n i f i c i e n t j o b i n b u i l d i n g on t h i s s k i l l v a l u e t o augment h i s w e a l t h , power and r e s p e c t v a l u e s i n h i s community.

S t e i n observed t h a t an i n d i v i d u a l ' s v a l u e p o s i t i o n , and what he i s s t r i v i n g t o a t t a i n as p r e f e r r e d outcomes, may t u r n o u t t o be q u i t e d i f f e r e n t from what he wants because he does n o t a c t u a l l y know t h e c h a i n o f c a u s a t i o n . H e a l t h taboos are a good example. People may n o t do what i s a c t u a l l y r e q u i r e d t o improve t h e i r h e a l t h because t h e i r approach i s q u i t e d i f f e r e n t i n a s c r i b i n g causes o f i l l n e s s .

B lock observed t h a t L a s s w e l l 1 s model d i d n o t make'assumptions as t o whether v a l u e s t r a d e d o f f were expendable o r n e c e s s a r i l y even decreased. L a s s w e l l agreed t h a t t h i s was a key p o i n t . Whether v a l u e s decrease o r a c t u a l l y grow when used i s a m a t t e r o f e m p i r i c a l e n q u i r y . P e t e r suggested t h a t s k i l l and e n l i g h t e n m e n t v a l u e s a r e among those n o t exhausted w i t h use, w h i l e w e a l t h v a l u e s seem g e n e r a l l y expendable. L a s s w e l l a l s o n o t e d t h a t g i v i n g a f f e c t i o n and r e s p e c t does n o t n e c e s s a r i l y d i m i n i s h the a v a i l a b l e s u p p l y , b u t t h a t e m p i r i c a l i n v e s t i g a t i o n s would det e r m i n e under what c o n d i t i o n s g i v i n g t o o much r e s p e c t m i g h t "cheapen t h e c u r r e n c y . " For example, m i l i t a r y d e c o r a t i o n s are symbols o f r e s p e c t . At what p o i n t would g i v i n g o u t t o o many d i m i n i s h t h e i r r e s p e c t value?

A c c o r d i n g t o Hughes, t h e model s h o u l d be more e x p l i c i t i n s t a t i n g t h a t t h e r e i s a change i n c o n f i g u r a t i o n among the v a l u e s e c t o r s when change and development are about t o t a k e p l a c e . I n t h e process o f development a change agent comes i n , and t h r o u g h a s e r i e s o f i n i t i a t i n g p rocesses, he i n s t i t u t e s change and t r i e s t o upgrade some

14. EKVENVABILJTV OF VALUES

15. INITIATING CHANGE

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o f t h e s e v a l u e s e c t o r s r a t h e r t h a n o t h e r s . The t o t a l c o n f i g u r a t i o n o f v a l u e s changes t o o , as i d e n t i f i e d w i t h t h e s o c i a l c o n t e x t . Even among t h e N i g e r i a n "bush g i l l i e s " you f i n d t h e same s e r i e s o f value s e c t o r s and processes, b u t r e l a t i n g t o d i f f e r e n t s o c i a l o b j e c t s .

L a s s w e l l commented on t h e way an o b s e r v e r would c h a r a c t e r i z e t h e changing. One, t h e p a r t i c i p a n t s change. Some change processes b e g i n by changing t h e p a r t i c i p a n t s i n t h e s i t u a t i o n , by s h i f t i n g t h e v a l u e p e r s p e c t i v e o f t h e p a r t i c i p a n t s . Sometimes t h i s s h i f t i s i d e n t i f i a b l e and v a r i o u s p a r t s can be q u i c k l y c h a r a c t e r i z e d by t h e i r v a l u e s . I n t h e e a r l y days o f V i c o s , an I n d i a n v i l l a g e i n Peru, P r o f e s s o r Holmberg d i d i t by i d e n t i f y i n g how t h e p a r t i c i p a n t v i l l a g e r s p e r c e i v e d themselves. The s o c i a l s c i e n t i s t s were i n t e r e s t e d i n g e t t i n g t h e people o f Vic o s t o adopt a new method o f p o t a t o r a i s i n g . The new method o f f e r e d t h e p o s s i b i l i t y o f change i n the e x p e c t a t i o n s o f t h e people n o t o n l y i n w e a l t h , b u t i n w e l l - b e i n g and r e s p e c t v a l u e s . M o d i f y i n g t h e p a r t i c i p a n t ' s p e r s p e c t i v e s l e d t o m o d i f y i n g t h e s i t u a t i o n a l o r g a n i z a t i o n and t h e i n t e r a c t i o n o f i n d i v i d u a l s and sub-groups. One can say t h a t a change c o u l d be i n i t i a t e d a t any p o i n t i n t h e v a l u e s e c t o r s . A t V i c o s , t h e c r i t i c a l i n n o v a t i o n may have been i n t h e s t r a t e g y o f i n i t i a t i o n .

58

TOWARD A THEORY OF POWER AND POLITICAL STRUCTURE

by

Karl W. Deutseh Yale University

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As c u l t u r a l and s o c i a l change moves c o u n t r i e s from t r a d i t i o n a l i s m t o m o d e r n i t y , and economic change moves them from s t a g n a t i o n i n p o v e r t y t o s e l f - s u s t a i n i n g economic g r o w t h , so p o l i t i c a l change moves t h e i r governments, t h e i r a d m i n i s t r a t i o n s and t h e i r e n t i r e p o l i t i c a l systems from low l e v e l s o f c a p a b i l i t y t o s u b s t a n t i a l l y h i g h e r ones. M o d e r n i z a t i o n i s p o l i t i c i z a t i o n . I t s p r o g r e s s depends i n s u b s t a n t i a l p a r t on p o l i t i c a l i n p u t s and s e r v i c e s , and i t produces i n t u r n a s u b s t a n t i a l l y e n l a r g e d p o l i t i c a l s e c t o r i n t h e l i f e and t h e i n s t i t u t i o n s o f t h e c o u n t r y .

I f t h i s i s so, t h e n t h e r e s h o u l d c o rrespond t o each l e v e l o f s o c i a l , c u l t u r a l and economic development an a p p r o p r i a t e s e t o f c h a r a c t e r i s t i c s o f i t s p o l i t i c a l s t r u c t u r e and i n s t i t u t i o n s , as w e l l as o f i t s p o l i t i c a l processes and t h e p o l i t i c a l b e h a v i o r . I f t h e c h a r a c t e r i s t i c s are approximated i n f a c t , we may expect t h e d i f f i c u l t i e s and t e n s i o n s o f s o c i a l , c u l t u r a l and economic t r a n s i t i o n t o be l e s s , and t h e government i t s e l f t o be r e l a t i v e l y p o p u l a r and s t a b l e . Where t h e r e are gross d e v i a t i o n s from these c h a r a c t e r i s t i c s o f t h e p o l i t i c a l s e c t o r , t h e y would need t o be compensated f o r by o t h e r s t r u c t u r e s o r processes; o r , i n t h e absence o f such compens a t i o n , we s h o u l d expect g r e a t e r t e n s i o n s and c o n f l i c t s , d i m i n i s h e d p o l i t i c a l s t a b i l i t y , and i n severe cases, even a break-up o f t h e body p o l i t i c i n some u n c o n t r o l l e d c o n f l i c t between r e g i o n s , o r e t h n i c or c u l t u r a l communities, o r s o c i a l c l a s s e s and s t r a t a , o r e l s e a p a r t i a l h a l t i n g o f m o d e r n i z a t i o n and economic g r o w t h .

What has been sketched here i s n o t a t h e o r y , b u t a t most some r u d i m e n t s o f one.

The t a s k o f t h i s paper o n l y can be t o i n d i c a t e a few d i r e c t i o n s i n w h i c h a more adequate t h e o r y c o u l d be developed.

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SOME T H E O R E T I C A L CONCEPTS Of POWER 1. THE POWER TO OVERCOME RESISTANCE

Power i s o f t e n v i s u a l i z e d as t h e a b i l i t y t o overcome r e s i s t a n c e , e i t h e r o f one's environment i n g e n e r a l , o r o f some s p e c i f i c o b s t a c l e , r i v a l o r opponent. I n t h i s sense, gross power c o u l d be measured i n p r i n c i p l e as t h e a c t o r ' s p r o b a b i l i t y o f c a r r y i n g o u t h i s own i n n e r program, over and a g a i n s t any programs o f h i s envir o n m e n t . Gross power i n t h i s sense p r e s e r v e s t h e i n n e r s t r u c t u r e o r o r d e r o f t h e a c t o r and a c t s o u t i t s i m p l i c a t i o n s , w h i l e o v e r r i d i n g , m o d i f y i n g , d e s t r o y i n g o r d e g r a d i n g t h e o r d e r o f h i s environment. I t t h u s c o u l d be s a i d t o p r e s e r v e t h e negat i v e e n t r o p y o f t h e a c t o r , w h i l e i n c r e a s i n g t h e e n t r o p y o f t h e w o r l d around him. The more power o f t h i s k i n d an a c t o r has, t h e l e s s he has t o a d j u s t h i s own s t r u c t u r e and b e h a v i o r . Gross power i s t h u s t h e power n o t t o have t o l e a r n . I

Where an a c t o r ' s g r o s s power i s n o t o v e r w h e l m i n g l y s u p e r i o r t o h i s e n v i r o n m e n t , however, h i s e f f o r t s t o c a r r y o u t h i s own program w i l l a t b e s t o n l y succeed i n p a r t , and i n t h e course o f t h e s t r u g g l e o r i n t e r a c t i o n w i t h h i s s u r r o u n d i n g s , o r w i t h h i s a d v e r s a r y , he w i l l have t o accept some changes i n h i s own s t r u c t u r e and h i s own b e h a v i o r . To keep p r i s o n e r s i n j a i l , some guards must s t a y i n j a i l w i t h them. To occupy a c o u n t r y w i t h an u n w i l l i n g p o p u l a t i o n , t h e occupying power must keep an army t h e r e . Power t h u s has a cost which c o n s i s t s i n t h o s e changes which t h e a c t o r must ac c e p t i n h i s own c u r r e n t s t r u c t u r e and i n h i s program and o p t i o n s f o r t h e f u t u r e . The l a t t e r changes a r e r e l a t e d t o what c o u l d be c a l l e d t h e o p p o r t u n i t y c o s t o f power. Net power can be t h o u g h t o f , t h e r e f o r e , as t h e d i f f e r e n c e between t h e change imposed by t h e a c t o r upon h i s environment and t h e change accepted by him i n r e g a r d t o h i m s e l f . C o r r e s p o n d i n g l y , t h e r a t i o o f n e t power t o gross power c o u l d be c o n s i d e r e d a measure o f t h e efficiency of power.

2. THE POWER TO ATTAIN SPECIFIC GOALS

Even t h e s e views o f power, however, a r e q u i t e i n a d e q u a t e . Power i s t h o u g h t o f n o t m e r e l y as t h e g e n e r a l a b i l i t y t o overcome o b s t a c l e s , b u t a l s o as t h e a b i l i t y t o produce s p e c i f i c r e s u l t s . I n t h i s sense, power has been t r e a t e d by Robert Dahl as c o r r e s ponding t o c a u s a l i t y , r e m i n i s c e n t o f i t s view by F r a n c i s Bacon 2

The argument of this and the following paragraphs is pursued at greater length in K.W. Deutsch, THE NERVES OF GOVERNMENT, New York, Free Press, 1963, esp. Ch. 7, pp. 110-127.

Robert A. Dahl, "On Power," Paper at Annual Meeting^ New England Political Science Association, Northampton, Mass., April 25, 1965, unpublished.

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as t h e a b i l i t y t o accomplish " a l l t h i n g s p o s s i b l e . " Here the power o f an a c t o r can be measured by t h e i n c r e a s e i n the probab i l i t y o f some outcome which t h e a c t o r p r e f e r s . To measure o r e s t i m a t e t h i s power o f an a c t o r t o produce r e s u l t s , we must know w h i c h outcome he aimed a t or p r e f e r r e d , and we must a l s o know the autonomous probability o f t h i s outcome; t h a t i s , we must know how l i k e l y i t would have been t o occur i n any case, w i t h o u t t h e a c t o r ' s i n t e r v e n t i o n . Such e s t i m a t e s can be made d i r e c t l y o n l y f o r r e p e t i t i v e c l a s s e s o f outcomes, such as t h e passage of b i l l s t h r o u g h a l e g i s l a t u r e , and t h e y can o n l y be extended by more or l e s s u n c e r t a i n analogy t o r e l a t i v e l y unique cases.

The more s p e c i f i c and imp r o b a b l e t h e g o a l o r r e s u l t i s a t which an a c t o r i s a i m i n g , t h e more i n f o r m a t i o n w i l l be needed f o r i t s d e s c r i p t i o n , and t h e g r e a t e r w i l l have t o be t h e a c t o r ' s power i n o r d e r t o a t t a i n i t . T h i s power t o a t t a i n s p e c i f i e d and im p r o b a b l e r e s u l t s presupposes some self-control o f t h e a c t o r , t h a t i s , some power t o c o n t r o l h i m s e l f and t h e d i s t r i b u t i o n s of h i s d e c i s i o n s , h i s re s o u r c e s and h i s a c t i o n s . A c h a r g i n g e l e p h a n t can o v e r r u n an o b s t a c l e b u t he i s powerless t o t h r e a d a n e e d l e . A n u c l e a r bomb can wipe o u t a c i t y , b u t i t may be powerless as an i n s t r u m e n t t o govern i t .

I n d e e d , t h e power t o produce s p e c i f i c r e s u l t s t h u s r e q u i r e s s e v e r a l t h i n g s . From t h e a c t o r i t r e q u i r e s power resources and a n e t power margin v i s - a - v i s h i s environment. I t r e q u i r e s h i s s e l f - c o n t r o l . I t a l s o r e q u i r e s h i s a b i l i t y t o make d e c i s i o n s and t o keep t o them. T h i s c a p a c i t y f o r d e c i s i o n maintenance i m p l i e s t h e a b i l i t y t o s u b o r d i n a t e t h e e f f e c t s o f p o s t - d e c i s i o n messages t o those o f p r e - d e c i s i o n ones. T h i s i s a g a i n a form o f t h e c a p a c i t y n o t t o l e a r n ; and i t i s what we may c a l l will. -F i n a l l y , any complex a c t o r - whether an i n d i v i d u a l or a group -may have t o d e a l w i t h s e v e r a l streams o f i n f o r m a t i o n and s e v e r a l d e c i s i o n sequences a t one and t h e same t i m e . T h i s w i l l r e q u i r e some c a p a b i l i t i e s f o r t h e i r s i m u l t a n e o u s m o n i t o r i n g , i n s p e c t i o n and c o n f r o n t a t i o n s i n h i g h l y a b b r e v i a t e d f o r m , so as t o p e r m i t t h e making o f o v e r a l l d e c i s i o n s t o m a i n t a i n t h e i r c o m p a t i b i l i t y w i t h one a n o t h e r , w i t h t h e r e a l i t i e s o f t h e environment, and w i t h t h e image o f t h e s t a t e t o be p r e s e r v e d or t h e g o a l t o be a t t a i n e d . Complex a c t o r s w i l l t h u s r e q u i r e some c a p a b i l i t i e s s i m i l a r t o consciousness.

3. POWER -AND THE FEEDBACK PROCESS

A l r e a d y t h e a b i l i t y t o a c c o m p l i s h some s i n g l e s p e c i f i c r e s u l t r e q u i r e s t h e a c t o r t o be a b l e t o u t i l i z e feedback i n f o r m a t i o n . 1

For a recent application of the feedback concept to politics, see also David Easton, A SYSTEMS ANALYSIS OF POLITICAL LIFE, New York, Wiley, 1965.

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From t h e o u t s i d e w o r l d t h e a c t o r must r e c e i v e i n f o r m a t i o n as t o where h i s t a r g e t o r g o a l s i t u a t i o n i s l o c a t e d i n some r e l e v a n t • space; he must a l s o r e c e i v e i n f o r m a t i o n about t h e s t a t e o f h i s own a c t i n g system and about i t s d i s t a n c e from t h e t a r g e t ; and he must be a b l e t o use t h i s i n f o r m a t i o n i n g u i d i n g h i s f u t u r e a c t i o n s so as t o reduce h i s d i s t a n c e from h i s g o a l . T h i s i m p l i e s t h e o p e r a t i o n a l e q u i v a l e n t o f a c r i t i c i s m o f h i s own b e h a v i o r . I f t h e c u r r e n t b e h a v i o r o f an a c t o r i s c a r r y i n g him c l o s e r t o w a r d h i s g o a l , feedback i n f o r m a t i o n o f t h i s k i n d w i l l t e n d t o maint a i n o r i n c r e a s e h i s c u r r e n t a c t i o n s . I f h i s c u r r e n t b e h a v i o r , however, i s c a r r y i n g him f a r t h e r away from h i s g o a l - f o r i n s t a n c e , he may have o v e r s h o t i t , o r t h e g o a l i t s e l f may be moving away from i t s o l d l o c a t i o n toward which t h e a c t o r s t i l l i s g o i n g - t h e n t h e e f f e c t o f such feedback i n f o r m a t i o n s h o u l d be t o oppose i t , t o reduce i t , o r t o change o r r e v e r s e i t s d i r e c t i o n . For t h i s r e a s o n , feedback" o f t h i s t y p e i s c a l l e d negative feedback, o r goal-seeking feedback, s i n c e i t tends t o negate o r change a l l b e h a v i o r t h a t does n o t b r i n g t h e a c t o r c l o s e r t o h i s g o a l .

I n a l l f i e l d s , n e g a t i v e feedback r e q u i r e s t h a t t h e a c t o r s g u i d e t h e i r f u t u r e b e h a v i o r by t a k i n g i n t o account some i n f o r m a t i o n about t h e s t a t e o f t h e o u t s i d e w o r l d , t h e s t a t e o f t h e i r own system, t h e r e s u l t s o f t h e i r own b e h a v i o r , and t h e o p e r a t i o n a l e q u i v a l e n t o f some memory o r image o f t h e i r own g o a l . I n p o l i t i c s , t h i s means t h a t governments, p a r t i e s , o r l e a d e r s must know r e a l i s t i c a l l y n o t o n l y t h e i r own g o a l , and t h e s t a t e o f t h e o u t s i d e w o r l d , b u t a l s o and f i r s t o f a l l t h e s t a t e o f t h e i r own r e s o u r c e s , s u p p o r t e r s , and o r g a n i z a t i o n s , and t h e r e s u l t s o f t h e i r own p a s t a c t i o n s . They must know n o t o n l y whether t h e i r r e c e n t s u p p o r t e r s s t i l l ought t o be w i t h them, b u t whether t h e y a r e i n f a c t s t i l l w i t h them, and n o t o n l y whether t h e i r r e c e n t p o l i c i e s ought t o have worked, b u t whether i n f a c t t h e y d i d work, i n what d i r e c t i o n and t o what e x t e n t . P o l i t i c a l a c t o r s need, t h e r e f o r e , q u i c k and r e a l i s t i c internal intelligence about t h e i r own s u p p o r t e r s and t h e i r own r e c e n t performance, even more t h a n t h e y need e x t e r n a l i n t e l l i g e n c e about t h e i r a d v e r s a r i e s and about t h e l a r g e r p o l i t i c a l e n v i r o n m e n t , b o t h domestic and i n t e r n a t i o n a l .

P r a c t i c a l p o l i t i c i a n s know t h i s a l l t o o w e l l . J u s t as a g e n e r a l must know f i r s t o f a l l who and where h i s own s o l d i e r s a r e , b e f o r e w o r r y i n g about t h e i d e n t i t y and l o c a t i o n o f h i s enemy, so many a p o l i t i c a l l e a d e r pays a t t e n t i o n f i r s t and foremost t o h i s own s u p p o r t e r s , f o r t h e y a r e n o r m a l l y t h e f i r s t source and b a s i s o f h i s power. Indeed, he may do t h i s so t h o r o u g h l y t h a t he may have l i t t l e o r no t i m e and a t t e n t i o n l e f t over t o watch o r u n d e r s t a n d h i s a d v e r s a r i e s , and he may pay l e a s t a t t e n t i o n t o t h e b u l k o f t h e as y e t uncommitted, undecided or a p a t h e t i c p o p u l a t i o n w h i c h may be t h e d e c i s i v e group f o r t h e l o n g - r u n outcome.

Communication and a t t e n t i o n o v e r l o a d o f t e n t e n d t o i n c r e a s e f u r t h e r t h i s u s u a l p r o p e n s i t y t o s e l f - p r e o c c u p a t i o n on t h e p a r t o f p o l i t i c a l l e a d e r s , i n t e r e s t g r o u p s , and p a r t i c u l a r l y o f

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n a t i o n a l s t a t e s and governments, and they thus t e n d t o reduce t h e i r power t o a t t a i n t h e i r g o a l s o r even t o p r e s e r v e themselves as e f f e c t i v e p o l i t i c a l a c t o r s .

4. THE INTERCHANGE OF POLITICAL SERVICES AND LOYALTIES

The feedback r e l a t i o n s between governments, on t h e one hand, and t h e i r a c t u a l or p o t e n t i a l s u p p o r t e r s , as r e p r e s e n t e d by t h e i n d i v i d u a l s , f a m i l i e s , and households o f a c o u n t r y , on t h e o t h e r hand, are a major source o r t h e i r power. T a l c o t t Parsons has a n a l y z e d t h i s feedback r e l a t i o n s h i p i n t o two major interchanges.-^ The f i r s t c o n s i s t s i n the stream o f s p e c i f i c demands and expect a t i o n s d i r e c t e d by t h e p o p u l a t i o n t o t h e p o l i t i c a l s e c t o r , and hence t o t h e government, and i n t h e exchange o f t h i s "upward" str e a m f o r a "downward" stream o f s p e c i f i c and r e l a t i v e l y b i n d i n g d e c i s i o n s and a l l o c a t i o n s which a r e f l o w i n g from t h e p o l i t i c a l system and from t h e government t o t h e p o p u l a t i o n . T h i s i s a form o f " l o g - r o l l i n g " o r t h e p o l i t i c a l e q u i v a l e n t o f b a r t e r . To t h e e x t e n t t h a t a p o l i t i c a l l e a d e r o r government makes s p e c i f i c a l l o c a t i o n s or d e c i s i o n s wanted by the p o p u l a t i o n , t h e y r e c e i v e s p e c i f i c s u p p o r t i n r e g a r d t o t h e s e p a r t i c u l a r m a t t e r s .

As t h e l e a d e r or government c o n t i n u e s , however, t o produce a l l o c a t i o n s and d e c i s i o n s most o f w h i c h are needed and wanted by t h e p e o p l e , and few o r none o f which are b i t t e r l y r e s e n t e d , . h i s a c t i o n s may t e n d t o b u i l d up among t h e people a s e t o f memories and e x p e c t a t i o n s r e g a r d i n g n o t o n l y t h i s o r t h a t s p e c i f i c d e c i s i o n o r a l l o c a t i o n , b u t r a t h e r p o p u l a r e x p e c t a t i o n s r e g a r d i n g much b r o a d e r c l a s s e s o f such a l l o c a t i o n s and d e c i s i o n s , and f i n a l l y r e g a r d i n g - a l l d e c i s i o n s t h e i r government o r l e a d e r i s ex p e c t e d t o make i n t h e s a l i e n t f u t u r e .

T h i s l e a d s t o t h e second k i n d o f i n t e r c h a n g e . Now t h e government accepts t h e general r o l e o f r e s p o n s i b i l i t y f o r l a r g e c l a s s e s o f d e c i s i o n s , and e v e n t u a l l y perhaps even t h e r e s i d u a l r e s p o n s i b i l i t y f o r a l l d e c i s i o n s , a l l o c a t i o n s and needed s e r v i c e s t h a t a r e n o t s u p p l i e d e f f e c t i v e l y and a c c e p t a b l y by any o t h e r a c t o r o r agency i n the s o c i e t y . I n European h i s t o r y , something o f t h i s s h i f t i s i l l u s t r a t e d by t he change from t h e l i m i t e d s e c u l a r government o f t h e m i d d l e ages t o t h e p r i n c e l y s t a t e s o f t h e 16th and 1 7 t h c e n t u r i e s , whose r u l e r s c l a i m e d t h e r o l e o f " f a t h e r s o f t h e c o u n t r y " b u t who accepted w i t h i t , a t l e a s t i n p r i n c i p l e .

Talcott Parsons and Neil J. Smelser, ECONOMY AND SOCIETY, Glenooe, III., Free Press, 1956, pp. 46-85. Cf. also K. W. Deutsch, "Integration and the Social System: Implications of Functional Analysis," in Philip E. Jacob and J. V. Toscano, THE INTEGRATION OF POLITICAL COMMUNITIES, Philadelphia, Lippincott, 1964, pp. 179-208.

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some r e s p o n s i b i l i t y f o r peace, p r o s p e r i t y , f o o d s u p p l i e s , p u b l i c h e a l t h , and e d u c a t i o n — i n s h o r t f o r e v e r y t h i n g t h a t happened t o t h e i r s u b j e c t s - e x c e p t , i n those days, any r e s p o n s i b i l i t y f o r e n s u r i n g them an expanding sphere o f s e l f - g o v e r n m e n t and freedom.

I n exchange f o r t h i s g e n e r a l - and i t s h o u l d be n o t e d o f t e n p o p u l a r l y d e s i r e d - acceptance o f r e s p o n s i b i l i t y , t h e p o p u l a t i o n i n t u r n may t e n d t o develop generalized f e e l i n g s o f l o y a l t y t o w a r d a p a r t i c u l a r l e a d e r , c o v e r i n g now a l s o some unpopular d e c i s i o n s . T h i s g e n e r a l i z e d l o y a l t y may exten d f a r t h e r . I t may cover some r o l e s o r o f f i c e s , such as k i n g s h i p o r t h e p r e s i dency, i n c l u d i n g even some unpopular incumbents; o r i t may cover e n t i r e governments, c o v e r i n g a l s o some unpopular i n s t i t u t i o n s as w e l l as p o l i c i e s . I t may exten d t o regimes o r t o systems o f government, such as c o n s t i t u t i o n a l i s m , c o v e r i n g a l s o some unpopular laws, or l o y a l t y may become a t t a c h e d t o p a r t i c u l a r p o l i c i e s , such as economic and e d u c a t i o n a l development, r e g a r d l e s s o f t h e change o f c o n s t i t u t i o n s o r t h e i r a b o l i t i o n . F i n a l l y , g e n e r a l i z e d l o y a l t i e s may become a t t a c h e d t o i d e o l o g i e s , such as Communism o r Anticommunism; o r t h e y may become a t t a c h e d t o a c o u n t r y o r n a t i o n , r e g a r d l e s s o f t h e changing regimes, p o l i c i e s , c o n s t i t u t i o n s and i d e o l o g i e s t h a t may c u r r e n t l y p r e v a i l i n i t .

I n a l l these cases, however, g e n e r a l i z e d p o l i t i c a l l o y a l t y i s a p r o d u c t o f s o c i a l l e a r n i n g . I t i s a s e t o f h a b i t s and expect a t i o n s l e a r n e d from e x p e r i e n c e s o f s p e c i f i c responses made by governments, p a r t i e s o r l e a d e r s i n answer t o s p e c i f i c p o p u l a r needs. I n t h e l o n g r u n , g e n e r a l i z e d p o l i t i c a l l o y a l t y w i l l p e r s i s t unchanged o r become s t r o n g e r , i f t h e stream o f s p e c i f i c e x p e r i e n c e s w i t h s p e c i f i c p o l i t i c a l d e c i s i o n s w i l l c o n t i n u e t o r e i n f o r c e i t . Where t h i s i s n o t t h e case, g e n e r a l i z e d p o l i t i c a l l o y a l t i e s are l i k e l y t o erode. They may a g a i n become s p e c i f i c , so t h a t s u p p o r t a g a i n becomes piecemeal and c o n t i n g e n t on p r i o r o r c o n c u r r e n t p o l i t i c a l performance. Or t h e d i s a p p o i n t e d popul a t i o n - and p a r t i c u l a r l y i t s most d i s a p p o i n t e d o r f r u s t r a t e d groups o r s e c t o r s - may t r a n s f e r some or most o f t h e i r s u p p o r t t o some c o u n t e r - e l i t e , o p p o s i t i o n group o r o t h e r source o f a l t e r n a t i v e l e a d e r s h i p ; o r t h e y may even f o r a t i m e f a l l i n t o more g e n e r a l p o l i t i c a l a l i e n a t i o n , anomie, and apathy.

G e n e r a l i z e d l o y a l t y i s t h u s a form o f p o l i t i c a l c r e d i t extended by t h e p o p u l a t i o n t o the government. L i k e economic c r e d i t , i t u s u a l l y must be earned and m a i n t a i n e d by a c t u a l performance, even though i t sometimes can be gaine d b r i e f l y by t h e shrewd m a n i p u l a t i o n o f symbols and appearances. T h i s performance r e q u i r e d t o m a i n t a i n f o r a government i t s p o l i t i c a l c r e d i t i n t h e fo r m o f the g e n e r a l i z e d p o p u l a r l o y a l t i e s o f t h e p o p u l a t i o n has a t w o - f o l d c h a r a c t e r . F i r s t , t h e preponderance o f t h e ensemble o f s p e c i f i c d e c i s i o n s o f t h e government must c o n t i n u e t o be p o p u l a r , and second, t h e y must s t i c k . They must be " b i n d i n g "

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o r " a u t h o r i t a t i v e . " That i s t o say, t h e y must be t o l e r a t e d and co m p l i e d w i t h v o l u n t a r i l y by a s u f f i c i e n t l y l a r g e p r o p o r t i o n of t h e p o p u l a t i o n t o make i t p r a c t i c a l f o r t h e government t o e n f o r c e them a g a i n s t t h e s m a l l m i n o r i t y o f v i o l a t o r s ; and t h e y must be so e n f o r c e d w i t h a s u f f i c i e n t l y h i g h p r o b a b i l i t y , so as t o r e i n f o r c e t h e h a b i t s o f compliance o f t h e mass o f t h e people. ( I f e n f o r c e ment s h o u l d a l s o be f r e q u e n t enough t o reduce t h e p r o b a b i l i t y o f non-compliance, t h i s would be o f a d d i t i o n a l a s s i s t a n c e t o t h e government, b u t i t i s n o t e s s e n t i a l . I f every s i n g l e r e b e l or law b r e a k e r s h o u l d r e p e a t h i s o f f e n s e a f t e r punishment, or i f f o r e v e r y executed o f f e n d e r a n o t h e r would s t e p f o r w a r d t o c o n t i n u e t h e o f f e n s e , t h e government s t i l l c o u l d cope w i t h t h e s i t u a t i o n , so l o n g as t h e p r o p o r t i o n o f such r e b e l s , lawbreakers or o f f e n d e r s remained low.)

5. POWER AND COORDINATED EXPECTATIONS

G e n e r a l i z e d p o l i t i c a l l o y a l t y and p o l i t i c a l c r e d i t are a l s o based on t h e c o o r d i n a t i o n o f e x p e c t a t i o n s among t h e p o p u l a t i o n , as w e l l as among t h e s o l d i e r s and o f f i c i a l s o f t h e government themselves. 2

The i n d i v i d u a l s i n t he armed s e r v i c e s , p u b l i c a d m i n i s t r a t i o n , and among t h e g e n e r a l p o p u l a t i o n obey t h e government i n p a r t f r o m p r e f e r e n c e o r h a b i t , b u t some o f them a l s o obey i t because they e x p e c t most o t h e r men t o obey i t , and because t h e y f e a r , t h e r e f o r e , t o be i s o l a t e d o r punished f o r any a c t o f d i s o b e d i e n c e , o r n o n c o n f o r m i t y . Once t h i s g e n e r a l e x p e c t a t i o n o f widespread obedience t o , o r s u p p o r t o f , t h e government s h o u l d be weakened o r abandoned, i t s l a t e n t opponents may oppose i t openly. I t s 11 f a i r - w e a t h e r " s u p p o r t e r s may r e t r e a t i n t o c a u t i o u s t a c i t sympathy, o r i n t o i n d i f f e r e n c e , o r t h e y may even s h i f t t h e i r l o y a l t i e s s t i l l f a r t h e r . The converse h o l d s , o f course, f o r any h a r d - c o r e opponents o f t h e government. I f they succeed i n e s t a b l i s h i n g widespread e x p e c t a t i o n s among t h e people t h a t the government w i l l f a l l , many o f t h e i r o p p o r t u n i s t i c o r p a s s i v e s y m a t h i z e r s may become a c t i v e i n p o l i t i c s o r even i n c i v i l war, w h i l e many government s u p p o r t e r s o f t h i s t y p e may w i t h d r a w from t h e arena.

The c o o r d i n a t i o n o f e x p e c t a t i o n s i n e i t h e r d i r e c t i o n i n a s i t u a t i o n o f l i m i t e d o r l a t e n t c o n f l i c t sometimes can be e s t a b l i s h e d , o r broken up, by an a c t o f d e l i b e r a t e escalation. T h i s m i g h t c o n s i s t i n some s p e c t a c u l a r e v e n t or move, such as a b o l d c h a l l e n g e , a r e s o u n d i n g v i c t o r y , o r a q u i c k and s p e c t a c u l a r r e s o r t t o enforcement o r v i o l e n c e i n a tense s i t u a t i o n o f l a t e n t

Cf. Talcott Parsons, "An Outline of the Social System," in T. Parsons, et al., eds., THEORIES OF SOCIETY, New York, Free Press, 1961. p. 53; and David Easton, op. cit., pp. 352-357.

For the concept of coordination of expectations, and of "games of coordination," see Thomas C. Schelling, THE STRATEGY OF CONFLICT, Cambridge, Harvard, 1960, pp. 92-99, 283-286, 293-295.

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o r l i m i t e d c o n f l i c t . Such a d e l i b e r a t e a c t o f e s c a l a t i o n w i l l be t h e more p r o f i t a b l e t o t h e a c t o r who r e s o r t s t o i t , t h e more th e b e h a v i o r o f t h e ensemble o f r e l e v a n t a c t o r s depends on t h e c o o r d i n a t i o n o f e x p e c t a t i o n s , and t h e l e s s i t depends upon t h e i r own autonomous p r e f e r e n c e s or upon o t h e r autonomous f a c t o r s i n f l u e n c i n g i t s p r o b a b i l i t y . Where, when and i f i n d i v i d u a l s o r n a t i o n s are m a i n l y o p p o r t u n i s t i c , c o w a r d l y , greedy, and l a c k i n g i n any s t r o n g autonomous m o t i v e s and p r e f e r e n c e s o f t h e i r own, -or wherever t h e y are p e r c e i v e d as b e i n g such weak and s h a l l o w o p p o r t u n i s t s - t h e r e t h e f a m i l i a r images o f t h e "band-wagon e f f e c t " t h e "row o f dominoes," or o f B r i t i s h n a v a l d i s c i p l i n e o f t h e days o f C a p t a i n B l i g h o r o f B i l l y Budd w i l l seem t o a p p l y . Wherever, on t h e c o n t r a r y , autonomous f a c t o r s and m o t i v a t i o n s e x e r c i s e a s t r o n g i n f l u e n c e on mass b e h a v i o r , even i f t h i s i n f l u e n c e s h o u l d be l a t e n t f o r a t i m e , t h e r e a t t e m p t s a t e s c a l a t i o n , i n t i m i d a t i o n , "making an example," o r o t h e r w i s e t r y i n g t o p r e v e n t , break-up, o r r e v e r s e an autonomous change i n mass e x p e c t a t i o n s a r e e x t r e m e l y r i s k y . I n i n t e r n a t i o n a l c o n f l i c t s , e s c a l a t i o n may p r o l o n g and i n t e n s i f y a war, o r p r e c i p i t a t e a l a r g e r one. I n domestic p o l i t i c s , e s c a l a t i o n may be f a t a l t o t h e s i d e o r regime t h a t i s t r y i n g t o compensate by a show o f f i r m n e s s f o r i t s d w i n d l i n g p o p u l a r i t y .

Where t h e government has s u f f i c i e n t s u p p o r t , however, among t h e p o l i t i c a l l y r e l e v a n t s t r a t a o f i t s c o u n t r y - and i n t h e course o f m o d e r n i z a t i o n these s t r a t a t e n d t o i n c l u d e an ever l a r g e r s e c t o r o f t h e p o p u l a t i o n - t h e r e t h e government can use t h e power which i t has a t any one moment, so as t o s t r e n g t h e n b o t h t h e c o o r d i n a t i o n o f p o p u l a r e x p e c t a t i o n s o f i t s c o n t i n u e d power and t h e p o p u l a r s u p p o r t f o r the substance o f i t s p o l i c i e s as g e n u i n e l y r e s p o n s i v e t o the needs and a s p i r a t i o n s o f t h e popul a t i o n .

I n t h i s manner, t h e government can b u i l d up i t s p o l i t i c a l p r e s t i g e a t home and abroad, and t h u s i t s p o l i t i c a l c r e d i t . By so d o i n g , i t can s t r e n g t h e n i t s a c t u a l power, and t h u s i t s p o l i t i c a l e q u i v a l e n t o f cash; and i t can s t r e n g t h e n i t s r e s o u r c e s t o a p p l y f o r c e as a l a s t r e s o r t on damage c o n t r o l mechanisms, and t h u s i n c r e a s e i t s p o l i t i c a l e q u i v a l e n t o f a g o l d r e s e r v e t h a t can be thrown on t h e market i n an emergency, and t h a t can be p u b l i c l y d i s p l a y e d even e a r l i e r i n o r d e r t o s t o p an i n c i p i e n t p a n i c .

6. POWER AS A CURRENCY

Power, so c o n s i d e r e d , f u n c t i o n s as a c u r r e n c y i n f a c i l i t a t i n g and c o o r d i n a t i n g p o l i t i c a l c o o p e r a t i o n and s u p p o r t among i n d i v i d u a l s , groups, and n a t i o n s , somewhat as money f a c i l i t a t e s t h e c o o r d i n a t i o n o f t h e i r economic e f f o r t s . !

Talcott Parsons has developed the concept of generalized currencies of social interchange, analgous to money, and applied it to politics. See works cited in notes mentioned previously.

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Governments f u n c t i o n i n t h i s r e s p e c t somewhat as bankers do. Both governments and bankers use promises as a means t o c o o r d i n a t e many a c t i o n s o f t h e i r c l i e n t s , or i n t h e community a t l a r g e . Bankers promise t o repay t h e d e p o s i t s o f t h e i r c l i e n t s , w h i l e governments promise t o e n f o r c e t h e i r laws and commands. I n f a c t , however, bankers l e n d o u t f a r more money, and thus c r e a t e f a r l a r g e r d e p o s i t s , t h a n t h e y c o u l d repay from t h e i r r e s e r v e s , i f a l l d e p o s i t o r s s h o u l d ask a t the same t i m e f o r t h e i r money; and governments promise t o e n f o r c e f a r more laws and o r d e r s t h a n t h e y c o u l d i n f a c t e n f o r c e , i f a l l o r most o f t h e i r s u b j e c t s s h o u l d d e c i d e a t t h e same time t o c h a l l e n g e them.

From t h i s v i e w p o i n t , a r e v o l u t i o n i s t o a government as a run i s t o a bank. I n t h e s h o r t r u n , each can be met by s h o r t - t e r m methods: a bank r u n by g o l d o r cash, and a r e v o l u t i o n by f o r c e o r power. I n t h e l o n g r u n , however, b o t h banks and governments t e n d t o s u r v i v e b e t t e r , t h e l e s s o f t e n t h e y have t o meet such s p e c t a c u l a r s h o r t - t e r m c r i s e s and t h e more they prove themselves a b l e t o cope w i t h t h e s t r e s s e s o f t h e i r environment and t o s a t i s f y t h e needs and a s p i r a t i o n s o f t h e people upon whose supp o r t t h e y must depend.

I f power resembles money i n these r e s p e c t s , i t d i f f e r s from money i n o t h e r s . Though b o t h power and money can be t h o u g h t of i n such l i m i t e d q u a n t i t a t i v e terms as "more" or " l e s s ; " power resembles t h e pre-monetary media o f exchange i n some p r i m i t i v e s o c i e t i e s i n t h a t i t l a c k s any g e n e r a l n u m e r i c a l s t a n d a r d . As i n t h e case o f money, any n u m e r i c a l s t a n d a r d f o r power would have t o be w i d e l y accepted i n t h e s o c i e t y i n which i t was t o h o l d . A t most, however, s t u d e n t s o f power have atte m p t e d t o use o n l y v e r y p a r t i a l standards such as v o t e s , s o l d i e r s , t a n k s and a i r c r a f t , t a x payments, compliance r a t e s w i t h laws, or t h e more vague c a l c u l a t i o n s o f aggregate resources t h a t are used t o e s t i m a t e t h e "power p o t e n t i a l " or "war p o t e n t i a l " o f a c o u n t r y ; and whatever consensus t h e r e has been reached on any o f these p a r t i a l i n d i c a t o r s o f power re s o u r c e s has been vague r a t h e r than p r e c i s e .

7. EFFECTIVE POWER AS "THE CHANCE OF BEING OBEYED"

I f t h e res o u r c e s and c a p a b i l i t i e s o f an a c t o r i n d i c a t e h i s p o t e n t i a l power, t h e r a t e o f t h e compliance or obedience o f o t h e r s t o h i s demands i n d i c a t e s h i s e f f e c t i v e power i n o p e r a t i o n . T h i s n o t i o n resembles t h e n o t i o n o f t h e e f f e c t i v e p u r c h a s i n g power o f money. S t r i c t l y s p e a k i n g , e f f e c t i v e p o l i t i c a l power would be t h e n e t r a t e o f compliance which would measure the d i f f e r e n c e between t h e gross r a t e o f o b s e r v a b l e c o m p l i a n t b e h a v i o r and the autonomous p r o b a b i l i t y o f such b e h a v i o r , t h a t i s , t h e l i k e l i h o o d t h a t i t would have o c c u r r e d i n any case w i t h o u t t h e i n t e r v e n t i o n o f t h e power w i e l d e r . Using t h i s non-autonomous s h i f t i n t h e r a t e o f compliance o f o t h e r s as an i n d i c a t o r o f e f f e c t i v e power comes c l o s e t o the well-known d e f i n i t i o n by Max Weber o f

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"dominance" (Herrschaft) as t h e "chance o f b e i n g obeyed."

T h i s view o f e f f e c t i v e power, as t h e i n c r e a s e i n the p r o b a b i l i t y o f b e i n g obeyed, has t h r e e i m p l i c a t i o n s f o r t h e problem o f p o l i t i c a l development.

F i r s t , i t suggests t h a t f o r a wide range o f s i t u a t i o n s and l e v e l s o f development t h e r e may e x i s t an a m p l i f y i n g feedback r e l a t i o n s h i p between t h e power o f a government and t h e c a p a c i t i e s o f t h e p o p u l a t i o n f o r complying w i t h i t s o r d e r s . The s t r o n g e r t h e government, t h e more e a s i l y i t can t e a c h , t r a i n , i n d o c t r i n a t e and r e o r g a n i z e i t s s u b j e c t s t o comply more f u l l y and e f f e c t i v e l y w i t h i t s o r d e r s . The more i t s s u b j e c t s o r c i t i z e n s do so, t h e more p o w e r f u l t h e government w i l l become. T h i s a m p l i f y i n g f e e d back c y c l e seems t o have been repeat e d s u c c e s s f u l l y i n such c o u n t r i e s and p e r i o d s as Tudor England, t h e r i s e o f Brandenburg P r u s s i a , and perhaps i n t h e r i s e o f t h e S o v i e t Union a f t e r 1917.

The second i m p l i c a t i o n i s somewhat d i f f e r e n t . As a government becomes more p o w e r f u l , i t becomes more capable o f e n f o r c i n g i t s demands. When t h e government uses i t s c a p a b i l i t i e s f o r e n f o r c e ment, however, t h e r e s u l t s w i l l depend i n l a r g e p a r t on t h e autonomous probability o f t h e c o m p l i a n t b e h a v i o r t h a t i s now t o be e n f o r c e d a g a i n s t t r a n s g r e s s o r s among t h e p o p u l a t i o n .

I f such t r a n s g r e s s o r s would be few i n any case, enforcement a g a i n s t such a s m a l l m i n o r i t y should resemble a weak a m p l i f y i n g feedback p r o c e s s : i t s h o u l d be cheap, and i t should reduce t h e number o f t r a n s g r e s s o r s s t i l l somewhat f u r t h e r . Since t h e t r a n s g r e s s o r s were few t o b e g i n w i t h , t h e process w i l l slow down v e r y q u i c k l y and e v e n t u a l l y come t o a h a l t . I f such t r a n s g r e s s o r s s h o u l d be many i f enforcement were h i g h l y p r o b a b l e , b u t few, i f i t were n o t , t h e n enforcement would indeed be a s t r o n g a m p l i f y i n g feedback p r o c e s s , h i g h l y p r o d u c t i v e o f b o t h p o p u l a r compliance and o f governmental power.

I f , however, o v e r t or l a t e n t t r a n s g r e s s o r s s h o u l d be v e r y numerous, and i f t h e autonomous p r o b a b i l i t y o f no n - c o m p l i a n t b e h a v i o r s h o u l d be h i g h , t h e n t h e a t t e m p t s t o e n f o r c e t h e government's commands may w e l l prove t o be c o u n t e r - p r o d u c t i v e . They may t h e n s h i f t more o f t h e l a t e n t t r a n s g r e s s o r s i n t o o v e r t o p p o s i t i o n , and t r i g g e r o f f more a c t i v e r e s i s t a n c e . I n extreme cases, t h i s s h o u l d l e a d t o an a m p l i f y i n g feedback process i n t h e o p p o s i t e d i r e c t i o n t o t h a t i n t e n d e d by t h e government, w i t h enforcement b r e e d i n g

Max Weber, THE THEORY OF SOCIAL AND ECONOMIC ORGANIZATION, transl. by A* M. Henderson and Taloott Parsons, Glenooe, III., Free Press, 1947, p. 152. Cf. Karl W. Deutsch, "Diskussion uber 'Max Weber und die Machtpolitik'," in Deutsche Gesellschaft fur Soziologie, MAX WEBER UND DIE SOZIOLOGIE HEUTE, Verhandlungen des 15, deutschen Soziologentages, Tubingen, Mohr, 196 5, pp. 138-145.

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p o p u l a r resentment and d e f i a n c e , d e f i a n c e b r e e d i n g more e n f o r c e ment, t h e i n c r e a s e d enforcement p r o v o k i n g more p o p u l a r h o s t i l i t y , u n t i l t h e o v e r s t r a i n e d p o l i t i c a l system breaks down i n c i v i l war o r r e v o l u t i o n . H i s t o r y i s r e p l e t e w i t h examples o f t h i s process.

A c t u a l c o u n t r i e s and p o l i t i c a l systems most o f t e n seem t o be somewhere i n the m i d d l e between t h e a l t e r n a t i v e extreme cases j u s t s k e t c h e d here. T h e i r p o p u l a t i o n s are s u f f i c i e n t l y w i l l i n g t o obey t h e i r governments, and t h e i r governments are s u f f i c i e n t l y c a u t i o u s and l i m i t e d i n t r y i n g t o e n f o r c e o n l y those commands t h a t a r e l i k e l y t o be obeyed i n any case by most o f t h e people, so t h a t a moderate amount o f enforcement makes t h e government s t r o n g e r . A t t h e same t i m e , t h e r e a r e s u f f i c i e n t l i m i t s t o what t h e people w i l l obey, and what t h e government can e n f o r c e w i t h o u t p r o v o k i n g widespread p o p u l a r h o s t i l i t y , so t h a t t h e government becomes weaker, n o t s t r o n g e r , whenever i t o v e r s t e p s t h e s e l i m i t s . The e n t i r e process f o r most c o u n t r i e s resembles most n e a r l y a n e g a t i v e feedback p r o c e s s , which tends t o enhance o r reward more government enforcement up t o some optimum p o i n t , b u t t o oppose or p e n a l i z e i t beyond i t .

8. POWER AND VALUE PRODUCTION

I n a l l cases, t h e power o f t h e r u l e r s depends on t h e c a p a c i t y and w i l l i n g n e s s o f t h e r u l e d t o obey. I f t h e r u l e r s want and v a l u e power, and w i s h t o g e t more o f i t , t h e n t h e y are f a c i n g h e r e an i n s t a n c e o f t h e g e n e r a l r u l e t h a t t h e a l l o c a t i o n o f any v a l u e a l s o depends upon t h e a b i l i t y o f t h e s o c i e t y and popul a t i o n t o produce i t . As t h e a l l o c a t i o n o f w e a l t h a l s o depends on t h e people's a b i l i t y t o produce w e a l t h , so t h e a l l o c a t i o n of d e f e r e n c e a l s o depends on t h e i r a b i l i t y t o express r e s p e c t , the a l l o c a t i o n o f a f f e c t i o n depends upon t h e a b i l i t y o f persons t o f e e l and express a f f e c t i o n , and t h e a l l o c a t i o n o f power depends upon t h e p o p u l a t i o n ' s a b i l i t y t o a c t , t o comply, and t o obey.l

I t f o l l o w s from t h i s , t h a t - i f o t h e r t h i n g s remain equal - the power p o t e n t i a l o f a government i n c r e a s e s w i t h t h e c a p a c i t y o f i t s s u b j e c t s t o a c t . I f p o p u l a r w i l l i n g n e s s t o obey i s taken f o r g r a n t e d , then governmental power s h o u l d i n c r e a s e w i t h t h e p o p u l a t i o n ' s w e a l t h , t h e i r s k i l l , t h e i r w e l l - b e i n g , t h e i r e n l i g h t enment - i n s h o r t , w i t h t h e i r command o f c a p a b i l i t i e s and v a l u e s .

E x a c t l y t h i s g e n e r a l p o p u l a r l e v e l o f c a p a b i l i t i e s and v a l u e s , however, may reduce men's m o t i v a t i o n s t o obey any commands t h a t a r e n o t autonomously a c c e p t a b l e t o them. I n s o f a r as moderniz a t i o n i m p l i e s an i n c r e a s e i n t h e c a p a b i l i t i e s and v a l u e p o s i t i o n s o f t h e p o p u l a t i o n , t h e r e f o r e , i t may l e a d t o a paradox. I t

This point is developed at length in K. W. Deutsch, "Some Quantitative Constraints on Value Allocation in Society and Politics," BEHAVIORAL SCIENCE, pub. sched. 1966-67.

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makes governments more p o w e r f u l a g a i n s t o u t s i d e r s o r o u t s i d e i n f l u e n c e s , b u t more dependent upon p o p u l a r consent a t home. M o d e r n i z a t i o n t h u s g e n e r a l l y makes c o u n t r i e s h a r d e r t o g o v e r n . I t imposes a r i s i n g c o s t upon f o r e i g n i n t e r v e n t i o n . And i f i t a l s o r e q u i r e s , as i t u s u a l l y does, a l a r g e r f l o w o f government d e c i s i o n s and government s e r v i c e s , t h e n i t makes g r e a t e r governmental power b o t h more u r g e n t l y needed and h a r d e r t o a t t a i n and t o p r e s e r v e . T h i s makes v i a b l e s o l u t i o n s t o problems o f p o l i t i c a l development n o t i m p o s s i b l e , b u t d i f f i c u l t .

SOME IMPLICATIONS FOR DEVELOPING COUNTRIES

I f t h e t h e o r e t i c a l approach j u s t s k e t c h e d s h o u l d have any m e r i t , t h e n i t s h o u l d be p o s s i b l e t o develop q u a n t i t a t i v e i n d i c a t o r s f o r many o f t h e v a r i a b l e s and parameters, o f t h e p r o c e s s . I t s h o u l d a l s o be p o s s i b l e t o develop a sharper and more e x p l i c i t model o f t h e power process i n d e v e l o p i n g c o u n t r i e s , and t o d e v e l o p i n g t e c h n i q u e s f o r a t l e a s t p a r t i a l computer s i m u l a t i o n . A b e g i n n i n g i n these d i r e c t i o n s i s b e i n g made a t t h e Yale P o l i t i c a l Data Program, and s i g n i f i c a n t r e s e a r c h i s g o i n g on a t many c e n t e r s i n t h e U n i t e d S t a t e s ; b u t t h e road w i l l n o t be s h o r t .

Pending these long-range developments i n r e s e a r c h , we can s k e t c h o u t some t e n t a t i v e g u i d e l i n e s f o r f u r t h e r t h o u g h t about t h e t h e o r y and p o l i c y o f p o l i t i c a l development, and suggest some hypotheses f o r e x p l o r a t i o n and t e s t i n g :

1. I n a d e v e l o p i n g c o u n t r y where s o c i a l and p o l i t i c a l s t a b i l i t y i s r e l a t i v e l y h i g h , t h e government w i l l need t h e more power, t h e g r e a t e r t h e changes are which i t aims a t p r o d u c i n g i n i t s s o c i e t y . The need f o r p o l i t i c a l power w i l l t h u s i n c r e a s e w i t h t h e e x t e n t o f t h e economic, c u l t u r a l and s o c i a l t r a n s f o r m a t i o n needed by t h e c o u n t r y , or aimed a t by i t s r u l e r s ; and t h i s need f o r p o l i t i c a l power w i l l f u r t h e r i n c r e a s e w i t h t h e i m p r o b a b i l i t y o f t h i s t r a n s f o r m a t i o n b e i n g accomplished a u t o m a t i c a l l y w i t h i n a r e l e v a n t t i m e by some f o r c e s o f t h e market o r o f s o c i a l e v o l u t i o n .

2. I n d e v e l o p i n g c o u n t r i e s t h a t have e n t e r e d a phase o f v e r y r a p i d s o c i a l change, or o f r e v o l u t i o n , i t may r e q u i r e much more p o l i t i c a l power f o r a government t o s t o p o r slow down t h i s p r o cess t h a n t o adapt t o i t and t o t r y t o g i v e t o t h e process o f change some l i m i t e d guidance. While more power would be needed t o a r r e s t f a r - r e a c h i n g s o c i a l changes i n c o u n t r i e s , t h e f a c t t h a t such changes are a l r e a d y underway may make i t d i f f i c u l t o r i m p o s s i b l e t o r e c r u i t s u f f i c i e n t c o n s e r v a t i v e p o l i t i c a l power w i t h i n t h e c o u n t r y ; and f o r e i g n i n t e r v e n t i o n may r u n i n t o r i s i n g c o s t s , i f i t s main t h r u s t s h o u l d be opposed t o t h e t r e n d o f autonomous change a l r e a d y a t work i n t h e s o c i e t y .

3. To guide d e v e l o p i n g c o u n t r i e s and s o c i e t i e s t h r o u g h t h i s s tage o f t r a n s f o r m a t i o n , r a p i d l y and y e t i n a c o n t r o l l e d manner, may

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r e q u i r e t h e l a r g e s t amounts o f power and t h e h i g h e s t s k i l l s .

4. The e d u c a t i o n a l , c u l t u r a l and b i o l o g i c a l v a r i a b l e s i n d i c a t e d by s i x o f H a r o l d L a s s w e l l ' s v a l u e c a t e g o r i e s - e n l i g h t e n m e n t , w e l l -b e i n g , s k i l l , a f f e c t i o n , r e c t i t u d e , and deference - are n o t m a i n l y m a t t e r s o f " s u p e r - s t r u c t u r e , " as some p o p u l a r i z e d v e r s i o n s o f M a r x i s t d o c t r i n e have asserted.1 They f u r n i s h , on t h e c o n t r a r y , c r u c i a l elements and p a r t i a l p r e c o n d i t i o n s f o r economic development and p o l i t i c a l m o d e r n i z a t i o n . The r e c e n t acceptance by some economists o f the concept o f an " i n f r a s t r u c t u r e " f o r economic development - a concept which i n c l u d e s l i t e r a c y , v o c a t i o n a l s k i l l s , p u b l i c h e a l t h , and h a b i t s o f d i s c i p l i n e i n r e g a r d t o work and t h r i f t - perhaps i n d i c a t e s a growing acceptance o f t h i s v iew.

5. V i g o r o u s economic and s o c i a l development may r e q u i r e , t h e r e f o r e , f i r s t o f a l l an e a r l y , l i m i t e d "down payment" i n terms o f these s i x e d u c a t i o n a l , c u l t u r a l and b i o l o g i c a l v a l u e s a n d - c a p a b i l i t i e s , as w e l l as an e a r l y "down payment" i n terms o f a l i m i t e d amount o f accumulated w e a l t h .

6. A c r u c i a l second stage o f the m o d e r n i z a t i o n o f a c o u n t r y may t h e n be t h e e a r l y a c c u m u l a t i o n o f p o l i t i c a l power i n t h e hands o f a government t h a t has the s t r e n g t h , e n l i g h t e n m e n t and s k i l l t o a c t , and t h a t i s backed by p o l i t i c a l mass s u p p o r t and by t h e p o p u l a r v a l u e s and a t t i t u d e s o f d e f e r e n c e , r i g h t e o u s n e s s , and a f f e c t i o n .

7. A government w i t h such c a p a b i l i t i e s and powers, backed by such mass s u p p o r t may t h e n be most l i k e l y t o succeed i n g u i d i n g i t s c o u n t r y and people t h r o u g h t h e h i g h e r stages o f economic and p o l i t i c a l development. These stages w i l l t h e n i n v o l v e f a s t e r r a t e s o f c a p i t a l f o r m a t i o n , i n c r e a s e s i n economic and s o c i a l s k i l l s , l a r g e r s e c t o r s o f government spending and o f a d m i n i s t r a t i v e s k i l l s , manpower, and r e s p o n s i b i l i t i e s .

I t s h o u l d be p o s s i b l e t o s p e c i f y q u a n t i t a t i v e data f o r many o f t h e l e v e l s o f development and c a p a b i l i t i e s , s k e t c h e d i n t h e p r e c e e d i n g seven p o i n t s . To do t h i s even b r i e f l y , and t o d i s c u s s t h e r e l e v a n t problems o f measurement and judgment, would r e q u i r e another paper. To do i t w i t h any thoroughness would r e q u i r e a major s t u d y . I t may be w o r t h b e a r i n g i n mind, however, t h a t a t l e a s t i n t e l l e c t u a l l y and i n p r i n c i p l e , t h e j o b can be done.

For a list and discussion of these categories, see Harold D. Las swell and Abraham Kaplan, POWER AND SOCIETY, New Haven, Yale, 1950, pp. 55-102.

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Discussion

7. G0fERNMENT C A P A B I L I T I E S US. POPULAR DEMAND Esman q u e s t i o n e d t h e p r o p o s i t i o n t h a t m o d e r n i z a t i o n makes c o u n t r i e s h a r d e r t o g overn. I t appeared t o him t h a t t h e e a r l y t r a n s i t i o n a l s t ages m i g h t be h a r d e s t , when severe economic, e t h n i c , r e l i g i o u s and c l a s s problems e x i s t , and when governments ar e i n e x p e r i e n c e d and have low c a p a b i l i t i e s . Deutsch s a i d t h a t as a n a t i o n grows from t h e i n i t i a l , p a r o c h i a l , t r i b a l i z e d system o f government, and s h i f t s t o a more r e a s o n a b l y c e n t r a l i z e d s t a t e , government c a p a b i l i t i e s u s u a l l y i n c r e a s e f a s t e r , a t f i r s t , t h a n demands on i t s s e r v i c e s do, as i l l u s t r a t e d i n t h e diagram.

Government C a p a b i l i t i e s Burdens on Government

Amount

Time

There o f t e n f o l l o w s a p e r i o d d u r i n g w h ich t h e c a p a b i l i t i e s o f the s t a t e t o p r o v i d e s e r v i c e s i n c r e a s e r a t h e r s l o w l y . I n a l a t e r p e r i o d , i t b e g i n s t o b u i l d roads and t o s e t up e d u c a t i o n a l systems, a g a i n s u b s t a n t i a l l y i n c r e a s i n g i t s c a p a b i l i t i e s . I n the meantime, however, p o p u l a r demands on t h e s t a t e o f t e n f o l l o w q u i t e a d i f f e r e n t c u r v e o f g r o w t h , depending on t h e c u l t u r a l s e t t i n g . I n t h e e a r l y s t a g e s , t h e r e are peasants i n v i l l a g e s and townspeople i n g u i l d s o r bazaars who make few demands which cause problems f o r t h e government. W i t h t h e g r o w t h o f more i n d u s t r y , more m e r c a n t i l i s m - t h e e f f e c t s , i n a way, o f a commercial r e v o l u t i o n , t h e r e are d e m o n s t r a t i o n e f f e c t s i n a l l d i r e c t i o n s . Then, t h e p o p u l a t i o n b e g i n s t o make wid e s p r e a d p o l i t i c a l and s e r v i c e demands, s e v e r e l y t a x i n g the government's c a p a b i l i t i e s i n t h e p u b l i c s e c t o r . R e v o l u t i o n s , such as r e s u l t e d i n France, may seek f o r c i b l y t o e q u a l i z e t h e d i s t r i b u t i o n o f a v a i l a b l e s e r v i c e s . However, t h e government may n o t be o v e r t h r o w n ; i t

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w i l l have a h a r d t i m e s t a y i n g i n power, and may r e s o r t t o e x p e d i e n t s such as m i l i t a r y t a k e - o v e r , d i c t a t o r s h i p and f o r e i g n adventure t o r e t a i n i t s p o s i t i o n . E v e n t u a l l y , i f i t s u r v i v e s , i t i n c r e a s e s i t s c a p a b i l i t i e s a g a i n q u i t e c o n s i d e r a b l y , even beyond t h e c u r r e n t l e v e l o f p o p u l a r demand. The p e r i o d s when t h e government's c a p a b i l i t i e s l a g b e h i n d t h e people's demands f o r s e r v i c e s a r e , o f course, t h e dangerous decades. Many former c o l o n i e s went t h r o u g h p e r i o d s i n which t h e y were c o n s i d e r a b l y undergoverned o r u n d e r s e r v i c e d i n t h e p u b l i c s e c t o r i n r e l a t i o n t o t h e i r needs.

The diagram does n o t d e s c r i b e a curve o f f a t e , b u t a curve people make by t h e i r own d e c i s i o n s . A p h y s i c a l improvement i n government s e r v i c e s may i n c r e a s e n o t o n l y t h e governmental c a p a b i l i t i e s , b u t , a f t e r o n l y a modest l a g , t h e c l a i m s made on t h e government i n t h e n e x t t i m e p e r i o d . For example, p r o v i d i n g a good road system i n creases t h e government's c a p a b i l i t i e s because t r o o p s and o f f i c i a l s can now g e t around. I t a l s o i n c r e a s e s governmental burdens because th e p e o p l e can a l s o g e t around. M o b i l i t y s t i m u l a t e s t h e a c q u i s i t i o n o f a d d i t i o n a l needs.

2. MEASURING SERVICE VEMANVS ANV GOVERNMENT CAPABILITIES

L a s s w e l l suggested t h a t t h e m o d e r n i z a t i o n sequence i s u s u a l l y accomplished a t c o s t s ( v a l u e d e p r i v a t i o n ) t o those i n v o l v e d , whatever t h e g o a l s o f f u t u r e v a l u e i n d u l g e n c e s . He t h o u g h t t h a t a g e n e r a l i z e d f o r m u l a m i g h t be f o u n d , t o guide r e s e a r c h , comparing t h e c u r v e o f v a l u e l o s s and g a i n d u r i n g the development sequences i n d i f f e r e n t s i t u a t i o n s .

Deutsch b e l i e v e d t h a t t h e curve o f p u b l i c c l a i m s f o r government s e r v i c e s p r o b a b l y has t o be t a k e n as g i v e n . I t i s d i f f i c u l t t o argue t h a t a government s h o u l d slow down the g r o w t h o f l i t e r a c y demanded by a p o p u l a t i o n even i f some o t h e r program seems, i n t h e o r y , t o be more i m p o r t a n t . The c l a i m f o r s e r v i c e s which w i l l i n c r e a s e t h e s u r v i v a l r a t e o f c h i l d r e n cannot be slowed down f o r p e o p l e know t h a t i t i s n o t i n e v i t a b l e f o r c h i l d r e n t o d i e .

One o f t h e f i r s t t h i n g s t h a t s h o u l d be done, however, i s t o l e a r n t o u n d e r s t a n d and measure t h e curve o f p u b l i c c l a i m s as c l e a r l y as p o s s i b l e , t h r o u g h s t u d i e s i n a number o f c o u n t r i e s . We would t h e n know where we s t a n d - n o t o n l y what a r e t h e p r e s e n t burdens on t h e governments, b u t what burdens are expected t e n o r f i f t e e n y ears i n th e f u t u r e . T h i s would h e l p those concerned s y s t e m a t i c a l l y t o p l o t f u t u r e c a p a b i l i t i e s needed, and would make i t p o s s i b l e t o i n c r e a s e t h e a c c u r a c y and u s e f u l n e s s o f s o c i a l f o r e c a s t i n g .

Deutsch f e l t t h a t t h e r e c e n t h i s t o r y o f Kenya as c o n t r a s t e d w i t h Rhodesia i l l u s t r a t e s t h e p o s s i b i l i t i e s o f a n t i c i p a t i n g problems and p l a n n i n g a m e l i o r a t i v e government s o l u t i o n s i n advance o f c r i s e s . Both c o u n t r i e s f a c e d t h e p r o s p e c t o f independence and t h e problems posed by t h e i r m i n o r i t y w h i t e s e t t l e r s . I n Kenya, a compensation

76

scheme was worked o u t , p r e v i o u s t o independence, g u a r a n t e e i n g a f a i r p r i c e t o w h i t e s e t t l e r s s h o u l d t h e y p r e f e r t o s e l l o u t r a t h e r t h a n s t a y . I n Rhodesia, no comparable p l a n was made f o r e a s i n g e i t h e r t h e economics nor t h e p o l i t i c s o f t h e t r a n s i t i o n . The d i f f e r e n c e i n t h e t e c h n i q u e s o f u n d e r w r i t i n g and a s s u r i n g t h e w h i t e s e t t l e r s u n d o u b t e d l y h e l p e d account f o r t h e i n c r e a s e d h o s t i l i t y and antagonism among negroes and w h i t e s i n Rhodesia, as compared w i t h Kenya.

What seems t o be needed i s more s t u d y o f t h e psychology o f reassurance i n p o l i t i c a l development and m o d e r n i z a t i o n programs. We a l s o need t o know more about p r e j u d i c e o f a l l k i n d s and i t s decay r a t e s , t o l e a r n which p r e d i s p o s i t i o n s t o p r e j u d i c e o f d i f f e r e n t k i n d s and s t r e n g t h s are s u b j e c t t o what change and r e d u c t i o n .

3. WELL-BEING ANV SKILLS IN INFRASTRUCTURE

Deuschle commented t h a t p u b l i c h e a l t h , i n e a r l i e r y e a r s o f A I D 1 s predecessor agencies, had been exc l u d e d from t h e concept o f i n f r a s t r u c t u r e f o r economic development. Now, i t appears t o be accepted, a l o n g w i t h concern f o r p o p u l a t i o n g r o w t h and e d u c a t i o n . S p e r l i n g r e p o r t e d t h a t t h i s was a r e l a t i v e l y r e c e n t development, b u t conf i r m e d t h a t p u b l i c h e a l t h i s now among t h e h i g h e s t AID p r i o r i t i e s as one o f t h e t h r e e "new i n i t i a t i v e " - f o o d ( a g r i c u l t u r e ) , e d u c a t i o n , and h e a l t h . Deutsch c o n c u r r e d w i t h Deuschle t h a t t h i s was most e n c o u r a g i n g . He t h o u g h t i t fundamental t h a t people s h o u l d p l a n f o r t h e long-range f u t u r e - should i n v e s t i n t h e i r s k i l l s , and t h e r e f o r e i n t h e i n s i d e s o f t h e i r s k u l l s ( e d u c a t i o n ) . We are assuming t h a t p e o p l e have a f u t u r e when we p l a n f o r i t . The p l a n s are p r e d i c a t e d on a reasonable l i f e expectancy, which r e q u i r e s . p u b l i c h e a l t h . A preponderance o f modern t h i n k i n g i s concerned w i t h i n v e s t i n g i n p e o p l e and i n v e s t i n g i n s k i l l s as i n v e s t m e n t s i n t h e f u t u r e .

One can b u i l d a system e i t h e r by making a more and more complex system o u t o f cheaper and cheaper p a r t s , o r a l t e r n a t i v e l y , by i n c r e a s i n g t h e v a l u e and c a p a b i l i t y o f t h e components. Human p r o g r e s s has been t y p i c a l l y based on u p g r a d i n g t h e c a p a b i l i t i e s o f t h e human components o f s o c i a l systems. Deutsch s e t t h i s up as a g e n e r a l p r o p o s i t i o n i n systems t h e o r y : human systems improve n o t by d e g r a d i n g b u t by b u i l d i n g up t h e human components. The b e t t e r governmental and i n d u s t r i a l o r g a n i z a t i o n s o f the f u t u r e w i l l be t h o s e i n w h ich i n d i v i d u a l s are more v a l u a b l e .

4. EEEVBACK TO GOVERNMENT

S e v e r a l members o f t h e group r a i s e d t h e q u e s t i o n o f how a government can a c c u r a t e l y g e t c r i t i c a l , o r n e g a t i v e , feedback from t h e p o p u l a t i o n i n o r d e r t o g u i d e i t s a c t i o n s . Deutsch e x p l a i n e d t h a t one way would be t o t o l e r a t e a m u l t i - p a r t y system, as i n I n d i a . O p p o s i t i o n p a r t i e s are n o t s t r o n g enough t o r e p l a c e t h e r u l e o f t h e Congress P a r t y , b u t are c e r t a i n l y a b l e t o s u p p l y n e g a t i v e feedback and f o r c e

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a good many l o c a l changes. Other methods o f o b t a i n i n g feedback are t o have t h e b u r e a u c r a t s d i s g u i s e themselves and m i n g l e w i t h t h e c i t i z e n r y . Or, t h e government can g e t r e p o r t s from t h e s e c r e t p o l i c e , c o n c i e r g e s , p a r t y b l o c k members and o t h e r eyes and ears o f t h e s t a t e . These l a s t methods t e n d t o be h i g h l y i n e f f i c i e n t because s u b o r d i n a t e s r e p o r t what t h e i r s u p e r i o r s want t o hear. There i s no government, however d i c t a t o r i a l on t h e s u r f a c e , t h a t does not t r y , a t l e a s t , t o g e t some s o r t o f feedback. One m i g h t even argue t h a t a government which makes e x p l i c i t p r o v i s i o n f o r c r i t i c i s m i s l i k e l y t o be a l o t more e f f i c i e n t t h a n one w h i c h does n o t .

The t r a d i t i o n a l i n t e r e s t groups -- landowners, army and church - may g i v e a l i t t l e feedback t o government, b u t t y p i c a l l y are b e t t e r a t d i s s e m i n a t i n g i n f o r m a t i o n downward t h a n upward. I n a few c o u n t r i e s t h e churches are b e g i n n i n g t o become t h e spokesmen f o r t h e poor.

The l e g a l i z a t i o n o f s y s t e m a t i c o p i n i o n p o l l i n g on a sampling b a s i s h e l p s . The v e r y i d e a t h a t thousands o f people can be asked somet h i n g p r o v i d e s t h e p o s s i b i l i t y o f feedback.

A government i s more l i k e l y t o make e f f e c t i v e use o f feedback, t h i n k s Deutsch, i f i t p e r m i t s d i f f e r e n t o p i n i o n s t o be h e l d among i t s b u r e a u c r a t s , as t h e feedback o f p u b l i c i n f o r m a t i o n t h en h e l p s r e s o l v e the d i f f e r e n c e s i n f a v o r o f one s i d e o r a n o t h e r . I f t h e r e i s o n l y one " l i n e , " one bureaucracy and one " t r u t h , " t h e n , even i f t h e r e i s feedback, i t i s l i k e l y t o be accepted when i t c o n f i r m s t h e " l i n e , " b u t r e j e c t e d i f i t c o n t r a d i c t s t h e ' t r u t h . ' " Deutsch f e l t t h a t t h e feedback problem i s a c r u c i a l one f o r a l l governments.

5. SOURCE OF ELITES FOR CHANGE ANV MODERNIZATION L a s s w e l l i n i t i a t e d a d i s c u s s i o n o f t h e components o f t h e e l i t e which i s t a k e n as the s t a r t i n g p o i n t f o r t h e sequence o f development a c t i v i t i e s s k etched by Deutsch. Where do t h e y come f r o m , and how do t h e y become m o d e r n i z i n g i n t h e i r approach?

Deutsch s a i d t h a t t h e image o f development which he d e s c r i b e d i s t h a t o f an assembly l i n e . There are a number, though n o t an i n f i n i t e number, o f v i a b l e processes f o r assembling a developmental sequence. At l e a s t a m i n i m a l s o c i e t a l c a p a b i l i t y i n economics and c u l t u r e i s necessary f o r t h e a c c u m u l a t i o n o f any p o l i t i c a l power. There must be some c a p a c i t y f o r mass communications, f o r m a i n t a i n i n g d i s c i p l i n e , and f o r t h e c o o r d i n a t i o n o f s o c i a l change; these a l l c o n t r i b u t e t o t h e e c o l o g y o f p o l i t i c a l power.

I f everyone's b e h a v i o r i s c o m p l e t e l y d e t e r m i n e d by h a b i t , power cannot be e x e r c i s e d . Indeed, i f a l l t h e resources o f s o c i e t y a r e a l r e a d y committed t o a p a r t i c u l a r c u l t u r e p a t t e r n , change w i l l be i m p o s s i b l e . There must be some loose ends, some a t t e n t i o n t h a t can be s h i f t e d , some uncommitted manpower and r e s o u r c e s . I t f o l l o w s t h a t t h e l e a s t committed members o f t h e e l i t e s are t h e most p r o m i s i n g

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groups t o s t a r t some d i f f e r e n t power and p o l i t i c a l development. H i s t o r i c a l l y , t h e y have been members o f m a r g i n a l e l i t e s . There have a l s o been c r o s s - c l a s s c o a l i t i o n s o f p e r i p h e r a l members o f i n - g r o u p e l i t e s w i t h t h e a b l e s t and most e n e r g e t i c members o f o u t - g r o u p s . I t seems t o be a f a i r l y r e g u l a r p a t t e r n t h a t i t i s these e l i t e s w h i c h form t h e t a k e - o f f group and g e t change g o i n g .

Which e l i t e s are most p r o - m o d e r n i z i n g i s a f a s c i n a t i n g q u e s t i o n t h a t c o u l d be answered t h r o u g h a m a j o r r e s e a r c h p r o j e c t . For i n s t a n c e , Deutsch s a i d , t h e m i l i t a r y c o u l d be s t u d i e d , t h e h y p o t h e s i s b e i n g t h a t those groups r e q u i r i n g h i g h t e c h n i c a l s k i l l s , and t h e r e f o r e h i g h w i l l i n g n e s s and c a p a c i t y t o l e a r n , would be more p r o - m o d e r n i z i n g t h a n t h o s e who do n o t r e q u i r e such s k i l l s . An Army e l i t e dominated by n o n - t e c h n i c a l c a v a l r y c o l o n e l s (such as t h e P o l i s h Army b e f o r e 1939 who t u r n e d down tanks because t h e y d o n f t e a t h a y ) , i s n o t l i k e l y t o be p r o - m o d e r n i z i n g . On t h e o t h e r hand, such groups as t h e A i r Force, the Motor and Tank Corps, t h e S i g n a l Corps, t h e Engineers and M e d i c a l Corps, are l i k e l y t o have h i g h e r t e c h n i c a l r e q u i r e m e n t s , be more open t o p r o - m o d e r n i z i n g i d e a s , and hence be p o t e n t i a l l y more i n n o v a t i v e .

The same approach m i g h t be used i n s t u d y i n g t h e r e l a t i o n s h i p between e l i t e groups and t h e i r t e c h n i c a l r e q u i r e m e n t s and i n n o v a t i o n -o r i e n t a t i o n i n o t h e r p u b l i c s e c t o r s , and i n t h e p r i v a t e s e c t o r . The e l i t e s i n t e r e s t e d i n road b u i l d i n g , c i v i l a v i a t i o n , a u t o m o b i l e s and communications m i g h t be o f s p e c i a l i n t e r e s t f o r s t u d y . The i m p o r t a n c e o f h a v i n g e l i t e groups w i t h h i g h t e c h n i c a l r e q u i r e m e n t s and i n n o v a t i o n - o r i e n t a t i o n h e l p s e x p l a i n why i t i s n o t d e s i r a b l e t o have a l l h i g h l y t e c h n i c a l i n d u s t r i e s f o r e i g n - o w n e d and o p e r a t e d , even i f t h i s were more e f f i c i e n t i n t h e s h o r t r u n . Companies i n t h e s e i m p o r t a n t s e c t o r s have n o t o n l y an immediate p r o d u c t i o n and s e r v i c e f u n c t i o n , b u t a l s o a t r a i n i n g f u n c t i o n . They h e l p t o s u p p l y the e x t e r n a l economies and i n n o v a t i o n s t o o t h e r branches o f i n d u s t r y . T h i s i s done i n n a t i v e companies, which n a t u r a l l y p r o v i d e e x p e r i e n c e f o r n a t i v e t e c h n i c i a n s and e x e c u t i v e s . I t can a l s o be done t h r o u g h s y s t e m a t i c n a t i v i z a t i o n a t a l l l e v e l s ; such programs are u n d e r t a k e n by many f o r e i g n i n d u s t r i a l o r g a n i z a t i o n s .

A n o t her q u e s t i o n , which has t o be answered e m p i r i c a l l y , i s what t h e sons o f e x i s t i n g e l i t e s i n t h e d e v e l o p i n g c o u n t r i e s s t u d y , and what t h e y do w i t h t h e i r t r a i n i n g . To what e x t e n t are t h e y b e i n g t r a i n e d i n . t h e t e c h n i c a l and i n n o v a t i o n - o r i e n t e d f i e l d s necessary f o r m o d e r n i z a t i o n and development o f t h e i r c o u n t r i e s ?

L a s s w e l l q u e s t i o n e d whether the m a r g i n a l e l i t e s committed t o change are n e c e s s a r i l y p r e d i s p o s e d t o m o d e r n i z a t i o n , and proposed t h a t o n l y those e l i t e s are pro-modernized who expect t o g e t some advantage from t h e m o d e r n i z i n g process. Moreover, i t seemed t h a t what c o n s t i t u t e s a m o d e r n i z i n g p a t t e r n would have t o be d e f i n e d by t h e s c i e n t i f i c r e s e a r c h e r s . Deutsch agreed t h a t t h e uncommitted e l i t e may be f o r any change, whereas t h e m o d e r n i z i n g e l i t e i s i n t e r e s t e d i n c o n t i n u i n g t e c h n i c a l m o d e r n i z a t i o n , n o t j u s t m o d e r n i z i n g i t s consumption

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f u n c t i o n . I t i s i n t e r e s t i n g t h a t t e c h n i c a l development g e t s among o t h e r t h i n g s , a feedback from n a t u r e . Every machine i s , i n a c e r t a i n sense, a p i e c e o f n a t u r e ; the machine works i f i t i s t r e a t e d r i g h t , b u t doesn't work i f t r e a t e d b a d l y . M o d e r n i z i n g a p r o d u c t i o n p a t t e r n r e q u i r e s a l s o i n c r e a s i n g s k i l l and e n l i g h t e n m e n t v a l u e s so t h a t t h e c a p a b i l i t i e s f o r c o n t i n u i n g m o d e r n i z i n g p r o d u c t i o n e x i s t s .

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© WEALTH AND THE ECONOMY

by

Evundtt E . Hage,n MaA&achu&tttA Institute, O& Technology

Parts of this paper are a summary from a manuscript on "Technical Advance and Economic Theory," now in process.

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INTRODUCTION

I i n t e r p r e t my assignment as b e i n g t o d i s c u s s economic "growth," th e p r o c e s s by which t h e a f f l u e n c e o f a s o c i e t y i n c r e a s e s . (Economic p r o g r e s s m i g h t be a b e t t e r t e r m , b u t s i n c e t h e term economic g r o w t h i s n o r m a l l y used, I s h a l l use i t . ) The c e n t r a l f e a t u r e o f t h e process i s t e c h n i c a l change, and t h i s i n t u r n i n v o l v e s changes i n t h e economic r o l e s o f i n d i v i d u a l s . By t h i s l a s t I do n o t r e f e r m e r e l y t o the change i n economic r o l e which i s n o r m a l l y a s s o c i a t e d w i t h advancement i n • t h e age o f t h e i n d i v i d u a l . I n a fundamental sense, t h a t i s n o t a change i n r o l e a t a l l , b u t m e r e l y a s h i f t from one aspect t o a n o t h e r o f a normal l i f e - t i m e r o l e . R a t h e r , I r e f e r t o acceptance o f an economic r o l e w h i c h , i n t h e s o c i e t y b e i n g d i s c u s s e d , has n o t p r e v i o u s l y been adopted a t any s t a g e i n t h e l i f e c y c l e o f t h e i n d i v i d u a l . Such acceptance o f new economic r o l e s , i n o r d e r t o g a i n i n c r e a s e d income o r f o r some o t h e r purpose, i s a necessary p a r t o f economic g r o w t h .

I t h i n k i t may be t a k e n as an axiom t h a t almost every i n d i v i d u a l of any s o c i e t y i s , i n a c e r t a i n sense, an "economic man." Except f o r a few d e v i a n t s , every i n d i v i d u a l p r e f e r s more goods—more income--t o l e s s , other types of satisfaction being equaI.

M a r i o n Levy 2 has summarized t h e m a t t e r : "There are no doubt import a n t d i f f e r e n c e s o f degree as t o how much t h e g e n e r a l members o f a s o c i e t y are i n t e r e s t e d i n m a t e r i a l f a c t o r s ; b u t sanctimony a s i d e , t h e r e a r e no s o c i e t i e s i n which t h e members as a whole are bent on s p i r i t u a l m a t t e r s t o t h e t o t a l e x c l u s i o n o f m a t e r i a l ones."

On t h e f o u n d a t i o n o f t h i s f a c t o f t h e u n i v e r s a l i t y o f economic i n t e r e s t , many economists and some s o c i o l o g i s t s have c o n s t r u c t e d a n a l y t i c a l models which e x p l i c i t l y o r i m p l i c i t l y assume t h a t t h e economic v a r i a b l e s w h ich a f f e c t human b e h a v i o r o p e r a t e i n d e p e n d e n t l y o f t h e o t h e r v a r i a b l e s which a f f e c t i t . Such models--models which have no v a r i a b l e s except economic o n e s — a r e o f course t h e b a s i s o f

Marion J. Levy, Jr., "Some Structural Problems of Modernization and 'Uigh Modernization': China and Japan," in PROCEEDINGS OF TEE SYMPOSIUM ON ECONOMIC AND SOCIAL PROBLEMS OF THE FAR EAST, E. F. Szcepanik, ed., Hong Kong University Press, 19 62.

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a l l modern economic t h e o r y . But economists ( n o t a l l e c o n o m i s t s , o f course) have a p p l i e d them n o t o n l y t o s o c i e t i e s c o n s i d e r e d a t a g i v e n p o i n t o r s h o r t p e r i o d o f t i m e , b u t t o economic p r o g r e s s . The b a r r i e r s t o economic advance i n low-income c o u n t r i e s are t h o u g h t t o be t h a t income i s t o o low t o p e r m i t s a v i n g , o r t h a t markets ar e t o o s m a l l t o induce i n v e s t m e n t i n modern f a c t o r i e s , and so on; t h e o n l y inducements which ar e c o n c e i v e d o f as s t i m u l a t i n g economic p r o g r e s s are t h e economic inducements; and few f a c t o r s o t h e r t h a n these economic ones are t h o u g h t o f as i m p o r t a n t .

And some s o c i o l o g i s t s have co n c e i v e d o f economic r e l a t i o n s h i p s as f o r m i n g a subsystem w i t h i n s o c i e t y w h i ch can be a n a l y z e d as a s e p a r a t e system, i t s r e l a t i o n s h i p s w i t h o t h e r subsystems such as t h e p o l i t i c a l t h e n b e i n g c o n s i d e r e d i n a second stage o f a n a l y s i s .

The economic t h e o r i z i n g has p r o v i d e d p o w e r f u l i n s i g h t s i n t o economic b e h a v i o r w i t h i n a s o c i a l system whose s t r u c t u r e , i n t h e a p p r o p r i a t e sense, i s n o t changing m a t e r i a l l y . Perhaps t h e s o c i o l o g i c a l models r e f e r r e d t o may be u s e f u l f o r s i m i l a r a n a l y s i s . However, f o r t h e s t u d y o f t e c h n i c a l p r o g r e s s o r o t h e r processes which i n v o l v e change i n t h e s t r u c t u r e o f t h e s o c i e t y , t h e s e s o c i o l o g i c a l models seem t o me t o r u n the danger o f b e i n g s t e r i l e , and t h e economic ones o f b e i n g n o t m e r e l y s t e r i l e b u t p e r n i c i o u s .

To be most f r u i t f u l , I suggest, c o n s i d e r a t i o n o f whether an i n d i v i d u a l (or a group o f i n d i v i d u a l s ) w i l l seek o r accept a new economic r o l e , i n t h e sense d e f i n e d above, must r e c o g n i z e t h a t d o i n g so w i l l a f f e c t h i s p o s i t i o n i n t h e power and p o l i t i c a l s t r u c t u r e ; t h e r e c o g n i t i o n , i . e . l o v e and a f f e c t i o n , accorded him; h i s w e l l b e i n g and h e a l t h ; h i s o p p o r t u n i t y f o r e n l i g h t e n m e n t as he c o n c e i v e s o f e n l i g h t e n m e n t ; h i s o p p o r t u n i t y t o e x e r c i s e h i s s k i l l s , and t h e degree o f c r e a t i v i t y he must e x e r c i s e (an i n c r e a s e i n w h ich may cause him e i t h e r s a t i s f a c t i o n o r a n x i e t y , and t h us be an inducement o r a d e t e r r e n t ) ; and h i s sense o f r e c t i t u d e and m o r a l i t y . ( I would add t h a t i t w i l l a l s o a f f e c t h i s p o s i t i o n i n t h e r e l i g i o u s s t r u c t u r e ; I t h i n k t h a t h i s r e l a t i o n s h i p w i t h t h e s u p e r n a t u r a l powers he b e l i e v e s i n comprehends something more t h a n p o s i t i o n i n t h e power s t r u c t u r e o r sense o f r e c t i t u d e and m o r a l i t y . ) His a c t i o n w i l l be d e t e r m i n e d by t h e n e t w e i g h t he accords t o a l l o f these changes i n s a t i s f a c t i o n ; t h e y a r e elements w i t h i n a s i n g l e system o f a c t i o n .

I t i s t h e purpose o f t h i s paper t o s p e l l o u t as s p e c i f i c a l l y as p o s s i b l e w i t h i n t h e l i m i t s o f my u n d e r s t a n d i n g and t h e l e n g t h o f t h e paper, t h e n a t u r e o f some o f t h e g a i n s and l o s s e s i n t h e s e v a r i o u s dimensions i n v o l v e d i n economic p r o g r e s s i n low-income s o c i e t i e s . I t seems t o me t h a t i t w i l l be most u s e f u l t o s p e l l o u t , a t some l e n g t h , t h e n a t u r e o f t h e r e l a t i o n s h i p s between economic and non-economic v a r i a b l e s w h i ch i n my judgment a f f e c t t h e process o f economic g r o w t h i n i m p o r t a n t ways. The b u l k o f t h e paper w i l l be concerned w i t h t hese r e l a t i o n s h i p s i n two i l l u s t r a t i v e cases, change from bazaar t o r e t a i l s t o r e and from c o t t a g e i n d u s t r y t o f a c t o r y . ( T h i s m a t e r i a l i s summarized and i n p a r t d i r e c t l y q u o t e d

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from a m a n u s c r i p t on " T e c h n i c a l Advance and Economic Theory,!1 on which I am now w o r k i n g . ) The n a r r a t i o n o f these processes o f change, as I view them, i n i t s e l f makes a n a l y t i c a l p o i n t s which I t h i n k are d i r e c t l y r e l e v a n t t o t h e i n t e r e s t s o f t h e symposium. I n a c o n c l u d i n g s e c t i o n I suggest some c o r o l l a r i e s and e x t e n s i o n s and a l s o add some obiter dicta t h a t seem r e l e v a n t .

1. FROM BAZAAR TO STORE L e t me t a k e as t h e f i r s t case t h e d i f f i c u l t y o f a s h i f t from t h e bazaar t o Western s t y l e r e t a i l t r a d i n g . I n t h e bazaar, every s m a l l t r a n s a c t i o n i n v o l v e s a p r o l o n g e d process o f h a g g l i n g over t h e p r i c e . I t seems f a i r l y o b v i o u s , a t l e a s t t o a Westerner, t h a t c o n v e r s i o n t o a Western t y p e o f f i x e d - p r i c e d e a l i n g would save much t i m e and t h e r e b y i n c r e a s e p r o d u c t i v i t y markedly. The concept o f f i x e d - p r i c e d e a l i n g i s n o t a complex one, and t h e knowledge n e e d e d — t h e s i m p l e a c c o u n t i n g o f overhead c o s t s and i n v e n t o r y c o n t r o l — i s a v a i l a b l e . Why, t h e n , does t h e process go f o r w a r d so s l o w l y i n many areas?

I summarize some o f t h e f a c t s o f t h e bazaar system from t h e d i s c u s s i o n by C l i f f o r d Geertz i n one s e c t i o n o f h i s book Peddlers and Princes.3 His d i s c u s s i o n i s o f a town i n Java, b u t w i t h some a d a p t a t i o n s i t has widespread a p p l i c a b i l i t y .

The Bazaar System

The most conspicuous f e a t u r e o f t h e bazaar system i s t h e bazaar i t s e l f , i n which many p e t t y t r a d e r s , i n s t a l l s o r on p o r t a b l e s t a n d s or s i m p l y a t c o n v e n i e n t spaces on t h e ground, s e l l u n b u l k y , e a s i l y p o r t a b l e , e a s i l y s t o r a b l e goods. Each s e l l s them i n a l a r g e number o f s m a l l t r a n s a c t i o n s ; t h e t o t a l number o f t r a n s a c t i o n s per day i n t h e bazaar as a whole may be enormous. There may be v e r y r a p i d t u r n o v e r o f goods and t h e r e b y o f c a p i t a l ; t h e s a l e s o f each day may r e p r e s e n t a l a r g e f r a c t i o n o f t h e d e a l e r ' s t o t a l s t o c k .

The p r i c e i n each t r a n s a c t i o n i s f i x e d i n a process o f p r o l o n g e d h a g g l i n g w i t h each customer. T h i s s l i d i n g p r i c e system, which i n i t s t u r n i s t h e most conspicuous f e a t u r e o f t h e bazaar i t s e l f , seems i n e v i t a b l y t o develop where goods are unstandardized,and t h e v a l u e o f t h e l a b o r t i m e spent i n b a r g a i n i n g i s low r e l a t i v e t o t h e g a i n i n t h e p r i c e o f t h e goods which may be achieved.2 I t i s

PEDDLERS AND PRINCES: SOCIAL DEVELOPMENT AND ECONOMIC CHANGE IN TWO INDONESIAN TOWNS (Chicago; Chicago University Press, 1963.)

These reasons are mine. Geertz states that it occurs "where economic conditions are unstable, market information poor, and trading hyper individuated." (PEDDLERS AND PRINCES, p. 36). The hyper individuation seems to me to be a result rather than a cause.

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w o r t h w h i l e t o r e f l e c t .that b a r g a i n i n g occurs i n h i g h income s o c i e t i e s when t h e same c o n d i t i o n s p e r t a i n , as f o r example,in exchanging a used a u t o m o b i l e i n p a r t payment f o r a new one, o r i n a r r a n g i n g a l a r g e b u s i n e s s l o a n from a bank.

W i t h i n t h e volume o f patronage o f t h e bazaar as a whole, each d e a l e r , s i t u a t e d between n e i g h b o r s s e l l i n g ' t h e same i t e m , o b t a i n s h i s customers more o r l e s s by chance. The conspicuous c o m p e t i t i o n i s between s e l l e r and buyer, n o t between s e l l e r and s e l l e r . The gleam i n each s e l l e r ' s eye i s a t t h e p r o s p e c t o f making a " k i l l i n g " on an i n d i v i d u a l s a l e . I f t h i s i s b a r r e d by t h e shrewdness o f t h e buyer opposing him, a t l e a s t he must a v o i d b e i n g d e f e a t e d i n t h e h a g g l i n g process by f a i l i n g t o make a s a l e w i t h a t l e a s t a minimum p r o f i t once t h e process has been e n t e r e d i n t o . There i s l i t t l e a t t e m p t t o l u r e customers from o t h e r s e l l e r s , and t o a t t r a c t a steady c l i e n t e l e i s o f v e r y minor importance among t h e g o a l s o f t h e i n d i v i d u a l t r a d e r . Presumably; a t t r a c t i n g customers would have t o be p r i m a r i l y by p r i c e c o m p e t i t i o n , and h o l d i n g them by b u i l d i n g a r e p u t a t i o n f o r s e l l i n g a t low p r i c e s . Not o n l y i s e s t a b l i s h i n g a c l e a r p r i c e d i f f e r e n t i a l d i f f i c u l t , s i n c e u s u a l l y t h e goods a r e u n s t a n d a r d i z e d . I n a d d i t i o n , t o dev e l o p a r e p u t a t i o n f o r s e l l i n g a t low p r i c e s would r e q u i r e f o r e g o i n g most o f t h e h a g g l i n g w h ich lends s p i c e t o the o c c u p a t i o n , and by which an e n l a r g e d p r o f i t can o c c a s i o n a l l y be made.

Behind t h e bazaar l i e s an e l a b o r a t e m a n u f a c t u r i n g , p r o c e s s i n g and t r a d i n g mechanism, p a r t l y a t t h e bazaar s i t e i t s e l f , p a r t l y e l s e where. There are p r i m a r y p r o d u c e r s , t r a d e r s i n t h e i r p r o d u c t s , p r o c e s s o r s , perhaps i n two o r more s t e p s , assemblers o f processed goods i n t o l a r g e r l o t s , w h o l e s a l e r s , j o b b e r s , r e t a i l e r s , and perhaps an added l i n k between each o f t h e s e . T y p i c a l l y , t h e r e i s extreme s p e c i a l i z a t i o n o f f u n c t i o n and commodity among p r o c e s s o r s and o f commodity among t h e p e t t y r e t a i l d e a l e r s . The s t a n d a r d I n d o n e s i a n s t o r y c o n c e r n i n g t h e l a t t e r s p e c i a l i z a t i o n i s o f t h e t r a d e r who d e a l s o n l y i n l e f t shoes. However, i t i s p o s s i b l e t h a t b o t h t h e m u l t i p l i c a t i o n o f middlemen and e x t r e m i t y o f d i v i s i o n o f l a b o r a r e r e s u l t s o f r e c e n t economic s t a g n a t i o n and d i s r u p t i o n l e a d i n g t o a g r e a t o v e r s u p p l y o f l a b o r , and a r e n o t i n t r i n s i c p a r t s o f t h e system.

A system o f c r e d i t e x t e n s i o n b i n d s t o g e t h e r these v a r i o u s l i n k s i n t h e p r o d u c t i v e and d i s t r i b u t i v e c h a i n . F i n a n c i e r s are n o t a se p a r a t e group; r a t h e r , t h e s e l l e r or on o c c a s i o n , t h e owner o f goods i n p r o c e s s , c o n t r a c t i n g f o r work t o be done on them, extends t h e c r e d i t . One aim o f each d e a l e r i s t o spread h i s c a p i t a l as w i d e l y as p o s s i b l e by d o i n g b u s i n e s s as much as p o s s i b l e w i t h someone e l s e ' s c a p i t a l . A d e l i c a t e process o f e x t e n d i n g as much c r e d i t as any o t h e r f i n a n c i e r - t r a d e r w i l l o f f e r , b u t n o t so much t h a t t h e d e a l e r w i l l d e f a u l t , serves n o t mere l y t o f i n a n c e t r a d e b u t a l s o t o cement t r a d e r e l a t i o n s h i p s . C r e d i t e x t e n s i o n a l s o i s t h e r e f o r e a h a g g l i n g p r o c e s s .

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Each t r a d e r s h o r t o f t h e r e t a i l l e v e l (and any b u t t h e p e t t i e s t d e a l e r o p e r a t e s a t wholesale a t times r a t h e r t h a n merely a t r e t a i l ) i s t y p i c a l l y engaged s i m u l t a n e o u s l y i n a number o f d e a l s , o f t e n c a r r i e d o u t t h r o u g h a v a r i e t y o f temporary c o m b i n a t i o n s w i t h o t h e r b u y e r s o r s e l l e r s . To d i v e r s i f y h i s r i s k s and h i s chances o f p r o f i t , and a l s o perhaps s i m p l y because i t i s more e x c i t i n g , he would r a t h e r have one f i f t h o f each o f f i v e d e a l s t h a n a l l o f any o f them. I n deed, i f he comes upon a d e a l o f more than average p r o f i t a b i l i t y , he has some o b l i g a t i o n t o l e t o t h e r d e a l e r s share i n i t .

The c o n v e n t i o n a l concept o f i n t e r p e r s o n a l r e l a t i o n s h i p s i n t r a d i t i o n a l s o c i e t y i s t h a t t h e y always t a k e i n t o account i n a d d i t i o n t o economic f a c t o r s k i n s h i p , community, and o t h e r group r e l a t i o n s h i p s , r e l a t i v e p o l i t i c a l and s o c i a l power, t h e need t o c o n t i n u e t o l i v e i n c o n t a c t w i t h t h e o t h e r p a r t y a f t e r t h e t r a n s a c t i o n i s completed, and so on. T h i s , i n d e e d , i s t r u e among o t h e r g roups, e s p e c i a l l y non-e l i t e ones, b u t n o t o f the t r a d e r . I n t h e b u y e r - s e l l e r r e l a t i o n s h i p o f t h e bazaar b u s i n e s s i s b u s i n e s s , detached from o t h e r aspects o f i n t e r p e r s o n a l r e l a t i o n s h i p s . The bazaar d e a l e r ' s a c t i v i t y i s s u b j e c t t o e t h i c a l r u l e s ( f o r i n s t a n c e t h a t o f s h a r i n g d e a l s ) f o r which t h e r e a r e s t r o n g s a n c t i o n s w i t h i n h i s community, b u t these are n o t t h e r u l e s o r t h e s a n c t i o n s o f t h e o t h e r groups i n t h e s o c i e t y . The bazaar d e a l e r i s a t r a d e r f o r t r a d i n g ' s sake. The s t i m u l u s o f h i s way o f l i f e c o n s i s t s n o t o n l y o f h i s f i n a n c i a l success b u t a l s o o f h i s m u l t i t u d e o f c o n t a c t s , t h e changing p l a y o f d i v e r s i f i c a t i o n o f h i s r i s k s and o p p o r t u n i t i e s , and t h e c h a l l e n g e o f the b a r g a i n i n g o f each t r a n s a c t i o n .

P e t t y r e t a i l t r a d e r s and t h e l a r g e f i n a n c i e r - t r a d e r a l i k e are u s u a l l y a d i s t i n c t s o c i a l group, looked upon by the r e s t o f t h e s o c i e t y as " d i f f e r e n t . " More o f t e n than n o t t h e y are f o r e i g n e r s , b u t i t may be suggested t h a t t h e y are n o t lo o k e d down upon p r i m a r i l y because they a r e f o r e i g n e r s . Rather, t h e dog-eat-dog e t h i c s o f t r a d i n g v i o l a t e s t h e sense o f f i t n e s s o f b o t h t h e peasant and e l i t e c l a s s e s , and o f t h e b o u r g e o i s i e as w e l l , so f a r as one has come i n t o being.1 Because t h e f u n c t i o n i s spurned", t h e i n d i v i d u a l s p e r f o r m i n g i t are de r o g a t e d , and o n l y a group which e t h n i c a l l y o r s o c i a l l y c o n s i s t s o f " o u t s i d e r s " w i l l choose t o p e r f o r m i t . The s t a t u s o f t r a d e r s i n Java, Geertz s t a t e s , i s "ambiguous a t b e s t , p a r i a h - l i k e a t w o r s t . " The Javanese word f o r t r a d e r , a l s o means " f o r e i g n e r , " "wanderer," and "tramp."

It is likely that, for reasons whose presentation need not occupy space here, trading as such is spurned, quite apart from its dog-eat-dog aspect, so that only groups with a dog-eat-dog ethic will indulge in it.

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Requisites for Change

What must such a bazaar t r a d e r do t o make t h e t r a n s i t i o n t o Western-type r e t a i l t r a d i n g ?

He must possess o r a c q u i r e enough c a p i t a l t o cover t h e c o s t o f a b u i l d i n g , showcases, s t o r a g e s h e l v e s , perhaps d i s p l a y windows, and o t h e r equipment, and a somewhat d i v e r s i f i e d s t o c k o f goods. Having t h i s c a p i t a l , he must g i v e up t h e s e c u r i t y o f d i v e r s i f i c a t i o n o f r i s k s and i n s t e a d r i s k i n a s i n g l e v e n t u r e perhaps t h e l i f e s a v i n g s on which t h e s e c u r i t y o f h i s f a m i l y depends. He has comm i t t e d h i m s e l f t o overhead c o s t s which are f a i r l y l a r g e r e l a t i v e t o h i s c a p i t a l and e x p e r i e n c e , and he must t h e r e f o r e e n t e r upon bookkeeping-based p r i c e p l a n n i n g , by which each s a l e w i l l c o n t r i b u t e a s u f f i c i e n t b u t , f o r c o m p e t i t i o n ' s sakeynot an e x c e s s i v e amount t o c o v e r i n g those overhead c o s t s .

I n t h e m s e l v e s , these are perhaps n o t e x t r e m e l y d i f f i c u l t t e c h n i c a l changes. But t o make t h e v e n t u r e succeed, he must a l s o handle a new q u a l i t y o f goods. The reason i s t h i s . Since he has h i g h c a p i t a l c o s t s r e l a t i v e t o a bazaar t r a d e r , he must achieve lower l a b o r c o s t s i f he i s t o compete s u c c e s s f u l l y . H i s s a l e p r i c e s must t h e r e f o r e be f i x e d , t o a v o i d t h e time-consuming h a g g l i n g process which c h a r a c t e r i z e s almost every bazaar s a l e . I f he handles t h e same goods as t h e bazaar t r a d e r s , goods v a r y i n g i n q u a l i t y and s p e c i f i c a t i o n s ( s i z e s , shapes, s l e e v e l e n g t h s , e t c . , e t c . ) b o t h over t i m e and among u n i t s a t any g i v e n t i m e , he cannqt s u c c e s s f u l l y m a i n t a i n f i x e d p r i c e s .

To e s t a b l i s h f i x e d p r i c e s and t h u s reduce t h e t i m e r e q u i r e d f o r each s a l e , h e must o b t a i n goods o f r e a s o n a b l y u n i f o r m q u a l i t y and s p e c i f i c a t i o n s . He w i l l n o t f i n d t h e t y p i c a l c r a f t s m a n who p r o duces f o r t h e bazaar p r e p a r e d t o p r o v i d e them. Geertz w r i t e s t h a t t a i l o r s i n t h e Javanese town he s t u d i e d draw a " f a i r l y c l e a r l i n e " between "modern" c r a f t s m e n who can f o l l o w a p a t t e r n a c c u r a t e l y and s p e e d i l y and " o l d f a s h i o n e d " ones, by f a r t h e m a j o r i t y , who cannot.^ The d i s t i n c t i o n e x i s t s n o t m e r e l y i n garment-making, and n o t mere l y i n Java. Q u i t e g e n e r a l l y , i n d u c i n g t h e new q u a l i t y o f c r a f t work i s n o t easy. Moreover, t h e would-be s t o r e p r o p r i e t o r w i l l n o t f i n d t h e t y p i c a l p e t t y m e r c h a n t - c a p i t a l i s t who o r g a n i z e s p r o d u c t i o n o f items f o r t h e bazaar ready t o e n t e r i n t o a c o n t i n u i n g agreement, even i f he c o u l d arrange t h e necessary p r e c i s i o n o f p r o d u c t i o n . The a t t r a c t i o n o f ever-renewed b a r g a i n i n g and t h e p o s s i b l e " q u i c k k i l l i n g " a re t o o g r e a t . The s t o r e k e e p e r must t h e r e f o r e e n j o y t h e c o i n c i d e n c e o f f i n d i n g a s u p p l i e r who, l i k e h i m s e l f , i s s e e k i n g a new way o f l i f e , and i s w i l l i n g and a b l e t o produce t o unpre-c e d e n t e d l y e x a c t i n g s t a n d a r d s , and w i l l e n t e r i n t o a c o n t i n u i n g agreement t o do so; o r he must e n t e r i n t o p r o d u c t i o n h i m s e l f .

PEDDLERS AND PRINCES, p. 64.

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He must a l s o manage a s t a f f o f permanent employees. I f he does h i s own m a n u f a c t u r i n g , t h e s t a f f w i l l be f a i r l y l a r g e ; i f n o t , i t w i l l be s m a l l ; i n any e v e n t , he must become a s u p e r v i s o r . T h i s t y p e o f c o n t i n u i n g i n t e r p e r s o n a l r e l a t i o n s h i p , q u i t e a l i e n t o t h e somewhat a b r a s i v e dog-eat-dog t a c t i c s o f t h e bazaar, i s one i n which th e t y p i c a l bazaar t r a d e r may f e e l u n c o m f o r t a b l e .

Even i f he does a l l o f these t h i n g s w e l l , he w i l l f a i l u nless he meets one o t h e r c o n d i t i o n . He must develop o r f i n d i n h i s community a new t y p e o f c l i e n t e l e , one whose members w i l l f o r e g o t h e p l e a s u r e s o f b a r g a i n i n g i n t h e bazaar and be c o n t e n t t o buy i n a b r i e f t r a n s a c t i o n a t a f i x e d p r i c e . Moreover, because o f t h e i r more e x a c t i n g s p e c i f i c a t i o n s h i s goods w i l l a lmost c e r t a i n l y be h i g h e r , n o t l o w e r , p r i c e d t han those o f t h e bazaar. T h i s does n o t n e c e s s a r i l y f o l l o w ; he m i g h t c o n c e i v a b l y save enough on l a b o r c o s t s b o t h t o cover h i s h i g h e r overhead c o s t s p e r u n i t and t o s e l l b e t t e r goods a t bazaar p r i c e s ; b u t i n p r a c t i c e , t h e v a r i o u s c o s t elements u s u a l l y work o u t so t h a t h i g h e r p r i c e s are necessary.^ Because o f h i s h i g h e r p r i c e s and d i f f e r e n t t r a d i n g s t y l e , h i s success almost i n e v i t a b l y depends on t h e c o i n c i d e n c e o f t h e e x i s t e n c e i n t h e community o f a group o f i n d i v i d u a l s who are s o c i a l l y r e s t l e s s , are endeavoring t o s t r e n g t h e n t h e i r f l e d g l i n g b o u r g e o i s s t a t u s , and as a s i g n o f t h e i r new s t a t u s are s e e k i n g f o r b e t t e r q u a l i t y and a somewhat d i f f e r e n t s t y l e o f goods t h a n those found i n t h e bazaar. I f he a t t e m p t s t h e t r a n s i t i o n i n t h e absence o f s o c i a l f e r m e n t which produces a c o n s i d e r a b l e number o f such persons, he w i l l p r o b a b l y f a i l .

A measure o f h i s t a s k i s t h e f a c t t h a t a l a r g e m a j o r i t y o f i n d i v i d u a l s o r f i r m s e n t e r i n g upon r e t a i l b u s i ness i n t h e U n i t e d S t a t e s o r B r i t a i n f a i l w i t h i n one y e a r , because o f e r r o r s i n j u d g i n g problems which are o n l y p a l e shadows o f th o s e f a c e d by t h e e r s t w h i l e bazaar t r a d e r .

I n summary, t h e t r a d e r must adopt a s e t o f t e c h n i q u e s new t o him, m a i n t a i n f i x e d p r i c e s and a l a r g e r and more v a r i e d s t o c k o f goods th a n c a r r i e d by any one bazaar t r a d e r , d i r e c t a c o n t i n u i n g s t a f f o f w o r k e r s , and manage t h e economics o f overhead c o s t s . These may be d i f f i c u l t , b u t t h e g r e a t e r d i f f i c u l t i e s l i e o u t s i d e h i s f i r m and w i t h i n h i m s e l f . To make t h e changes, he must e i t h e r a l t e r elements i n t h e socio-economic system o u t s i d e h i s e n t e r p r i s e o r , more p r e c i s e l y , sense c o r r e c t l y t h e e x i s t e n c e o f an environment which i s a l t e r i n g i n d e p e n d e n t l y o f him, and t a k e advantage o f i t . That i s , he must a s s o c i a t e w i t h h i s v e n t u r e b o t h producers and buyers who w i l l

Ultimately, the dominance in the market of uniform manufactured goods wil-l work to his advantage, but initially he must deal in products made from the same materials available to producers for the bazaar. Imported goods already possess the uniformity which works to his advantage, but these are relatively expensive goods, purchased only by a limited clientele, and are not relevant here.

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behave i n ways a l i e n t o t h e t r a d i t i o n a l e nvironment. And t o do these t h i n g s he must, so t o speak, a l t e r h i m s e l f . T h i s p h r a s e o l o g y i s o n l y f i g u r a t i v e ; he cannot change h i s own v a l u e s and g o a l s on command. However, he i s d e v i a n t from h i s a s s o c i a t e s ; i f he were n o t , he would n o t have been m o t i v a t e d t o make t h e t r a n s i t i o n . But even so he must overcome t e n s i o n s i n t h e new s i t u a t i o n . He must abandon h i s o l d s k i l l s , g i v e up t h e c o n s t a n t c h a l l e n g e and s t i m u l u s and s a t i s f a c t i o n s o f bazaar l i f e , and remove h i m s e l f t o a l o n e l y manag e r i a l f u n c t i o n . He i s p r o b a b l y seeking t o become b o u r g e o i s . I n making t h e a t t e m p t , he must presume t o i n t r u d e i n t o t h e s t a t u s one o f t h e lower e l i t e s o c i a l c l a s s e s now become b o u r g e o i s , which has p r e v i o u s l y , l o o k e d w i t h d i s t a s t e on h i s f u n c t i o n and t h e r e f o r e h i s p e r s o n , and w i l l c e r t a i n l y w i s h no l e s s t o d i s c r i m i n a t e themselves from him now t h a t t h e y are seeking t o e s t a b l i s h a new s t a t u s .

O b v i o u s l y o n l y an i n d i v i d u a l o f e x c e p t i o n a l a b i l i t y , d r i v e n by unusual l o n g i n g s and w i l l i n g t o f a c e t h e e m o t i o n a l s t r a i n o f a d r a s t i c a l l y a l t e r e d way o f l i f e , w i l l succeed. And o b v i o u s l y he w i l l succeed o n l y i f c e r t a i n changes i n s o c i a l s t r u c t u r e and f u n c t i o n are p r o c e e d i n g i n h i s community.

2. FROM COTTAGE INDUSTRY TO FACTORY

L e s t you s h o u l d t h i n k t h a t such p s y c h o - s o c i a l problems are a s s o c i a t e d w i t h o n l y one t y p e o f economic change, t h a t away from t h e bazaar, c o n s i d e r t h e t r a n s i t i o n from c o t t a g e i n d u s t r y t o f a c t o r y .

I n a p r i m i t i v e economy, v i r t u a l l y a l l p r o c e s s i n g o f goods beyond t h e stage o f p r i m a r y p r o d u c t i o n i s done e i t h e r i n peasant homes as t h e p a r t - t i m e o r o f f - s e a s o n work o f f a m i l y members, o r by s e l f - e m p l o y e d c r a f t s m e n i n shops i n t h e i r homes. The e s t a b l i s h m e n t o f c o t t a g e i n d u s t r y a l r e a d y makes a d e f i n i t e stage i n t e c h n i c a l p r o g r e s s . However, c o t t a g e i n d u s t r y i s common i n m o s t low-income c o u n t r i e s , and i t s e x i s t e n c e may be t a k e n f o r g r a n t e d h e r e . Moving from i t t o e s t a b l i s h m e n t o f t h e f i r s t f a c t o r i e s p r e s e n t s d i f f i c u l t i e s p a r a l l e l t o t h o s e o f e a r l y change i n t r a d e .

I f p r o s p e c t i v e i n d u s t r i a l e n t e r p r i s e r s had t o a n t i c i p a t e d u p l i c a t i n g t h e f a c t o r y p r o d u c t s o f i n d u s t r i a l economies as cheaply as those economies produce them, t h e i r problem would be v i r t u a l l y i n s o l u b l e . For w h i l e t h e f a c t o r y managers o f an i n d u s t r i a l economy produce w i t h t h e handicap o f a h i g h c o s t o f l a b o r per manhour, t h e y have a g r e a t o f f s e t t i n g advantage i n a d d i t i o n t o t h e i r e x p e r i e n c e , namely,

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o p e r a t i o n w i t h i n an i n d u s t r i a l complex. T h i s advantage, which i s o f t e n n o t f u l l y a p p r e c i a t e d by s t u d e n t s o f economic growth o r o f co m p a r a t i v e c o s t s , i s so g r e a t t h a t , u n t i l an i n d u s t r i a l complex has developed i n a low income economy,, almost no owner o f a f a c t o r y , no m a t t e r how capable a manager he i s , can produce t h e common f a c t o r y p r o d u c t s o f i n d u s t r i a l economies as cheaply as can t h e i n d u s t r i a l i s t s o f t h o s e economies.2' T h i s i s t r u e e v e n — o r perhaps e s p e c i a l l y — i f t h e p r o d u c e r i n a n o n - i n d u s t r i a l economy i m p o r t s t h e machinery used i n i n d u s t r i a l c o u n t r i e s , and uses t e c h n i q u e s i d e n t i c a l w i t h those used t h e r e so f a r as t h i s i s t e c h n i c a l l y p o s s i b l e and economic i n h i s s o c i e t y .

However, p r o s p e c t i v e i n d u s t r i a l e n t e r p r i s e r s can u s u a l l y e n t e r any o f a v a r i e t y o f i n d u s t r i e s s e r v i n g t h e i r home market w i t h o u t f e a r o f f o r e i g n c o m p e t i t i o n . There are v a r i o u s reasons f o r t h i s : t r a n s p o r t a t i o n c o s t s , t h e u n s u i t a b i l i t y o f many p r o d u c t s o f i n d u s t r i a l c o u n t r i e s , and so on. The u l t i m a t e reason i s t h a t p r o t e c t i o n a g a i n s t i m p o r t s w i l l u s u a l l y be a f f o r d e d t o any o f a low income c o u n t r y who o f f e r s a p l a u s i b l e p r o p o s a l t o produce a wanted i n d u s t r i a l p r o d u c t .

For many p r o d u c t s , t h e te c h n i q u e s o f p r o d u c t i o n are s i m p l y beyond a n o n - i n d u s t r i a l c o u n t r y . For some, t h e market may be so s m a l l t h a t t h e c o s t per u n i t would be p r o h i b i t i v e even i f t h e te c h n i q u e s were manageable. A s i m p l e example i n t r o p i c a l o r s u b - t r o p i c a l c o u n t r i e s i s canned f r u i t s and v e g e t a b l e s o f many k i n d s ; t o o g r e a t a v a r i e t y o f f r e s h f r u i t and v e g e t a b l e s i s a v a i l a b l e t o o cheaply. But f o r o t h e r p r o d u c t s , t h e problem i s n o t h i n g more than t h a t o f f i n d i n g a p l a c e i n t h e domestic market i n c o m p e t i t i o n w i t h c o t t a g e i n d u s t r y o r o t h e r t r a d i t i o n a l methods.

It is common to list a third advantage, namely, the large market available to him. The market in low income economies is visualized as small. It is small, for some commodities, but for the products in common use by consumers or in construction, the market within a feasible radius of a central production point is usually amply large to absorb the capacity output of not merely one but several modern factories. The major difficulty concerning large scale production is that it is not efficient except within an industrial complex. This advantage of the producer in an industriaI country is an aspect of the one already mentioned in the text. For some products whose production is technically feasible in an economy just beginning to enter industry, the market is too small--see the text below--but these are not numerically important.

>

'Converted into his own currency at market rates of exchange. There are some qualifications to this statement, mainly related to conditions in which the exchange rate is not consistent with "equilibrium" relative prices of transportable goods in the two countries. I shall not take space here to spell them out.

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I t w o u ld seem t o many Western o b s e r v e r s t h a t t h e r e s h o u l d be l i t t l e d i f f i c u l t y i n making f a c t o r y p r o d u c t i o n o f these p r o d u c t s e c o n o m i c a l l y s u c c e s s f u l . For i s i t n o t f a r more e f f i c i e n t t h a n t r a d i t i o n a l methods? I n t h e minds o f many i n d i v i d u a l s a s k i n g t h e q u e s t i o n , i t i s a r h e t o r i c a l one, t o which t h e answer o b v i o u s l y i s , Yes. But, i n t h e r e l e v a n t c o n t e x t , i n many cases t h e c o r r e c t answer i s , No. A modern p r o d u c t i v e system as a whole i s c l e a r l y v a s t l y more e f f i c i e n t ; t h e q u a n t i t y o f goods t u r n e d o u t per manhour i n i n d u s t r i a l s o c i e t i e s i s a m u l t i p l e o f t h e q u a n t i t y t u r n e d o u t i n low income s o c i e t i e s . T h i s i s t r u e , i n c l u d i n g t h e manhours o f l a b o r i n v o l v e d i n p r o d u c i n g t h e machines used, as w e l l as t h a t i n d i r e c t p r o d u c t i o n . But whether a g i v e n modern process i s e c o n o m i c a l l y s u p e r i o r when i n t r o d u c e d i n d i v i d u a l l y i n t o a n o n - i n d u s t r i a l economy, and s p e c i f i c a l l y , whether an e n t e r p r i s e r can i n t r o d u c e i t i n c o m p e t i t i o n w i t h c o t t a g e i n d u s t r y o r o t h e r t r a d i t i o n a l methods o f p r o d u c t i o n i s a much more complex q u e s t i o n , t o w h ich t h e answer i s much l e s s c e r t a i n .

The p e r son i n a n o n - i n d u s t r i a l s o c i e t y who would most n a t u r a l l y be t h o u g h t o f as a p r o s p e c t i v e f a c t o r y manager i s t h e o p e r a t o r o f a c o t t a g e i n d u s t r y e n t e r p r i s e . T h i s i s an e s t a b l i s h m e n t i n w h ich perhaps h a l f a dozen s i m i l a r o p e r a t i o n s on s i m p l e machines have been g a t h e r e d t o g e t h e r under one r o o f . Examples are weaving on s i m p l e looms and t h e p r o d u c t i o n o f shoes or a r t i c l e s o f c l o t h i n g by hand o r on household sewing machines. A p a r t from l a c k o f c a p i t a l , a c o t t a g e i n d u s t r y p r o p r i e t o r would seem t o be b e t t e r equipped t h a n anyone e l s e i n a n o n - i n d u s t r i a l s o c i e t y t o become a f a c t o r y manager, f o r a t l e a s t he has s e l e c t e d management o f a p r o c e s s i n g e n t e r p r i s e as h i s c a r e e r , and has some minimum acquaintance w i t h machinery. L e t us c o n s i d e r t h e problems he would f a c e .

The f i r s t i s f a m i l i a r : h i g h l y mechanized methods may be d i s a d vantageous i n a n o n - i n d u s t r i a l s o c i e t y s i m p l y because l a b o r c o s t s are low.

Economic Problems

The d i f f i c u l t y i s t h a t known t o economists as t h e problem o f r e l a t i v e f a c t o r p r i c e s . The " f a c t o r s " r e f e r r e d t o are l a b o r and c a p i t a l . The h i g h degree o f m e c h a n i z a t i o n c h a r a c t e r i s t i c o f modern i n d u s t r i a l p r o d u c t i v e processes has been adopted i n i n d u s t r i a l s o c i e t i e s f o r two reasons. One i s t h a t t h e machinery embodies t e c h n i c a l l y s u p e r i o r processes. For example, i t would h a r d l y be p o s s i b l e t o bore c y l i n d e r h o l e s i n a l l o y s t e e l motor b l o c k s even t o the f a i r l y crude t o l e r a n c e o f , s a y y one one-thousandth o f an i n c h by hand, no m a t t e r how much l a b o r was a v a i l a b l e f o r t h e purpose. Nor i s i t p o s s i b l e t o make aluminum i n hand f o r g e s o r t o brew modern ch e m i c a l s i n home workshops, even w i t h hundreds o f h e l p e r s .

However, t h e second reason f o r a h i g h degree o f m e c h a n i z a t i o n i s t o save l a b o r . As t h e c o s t o f l a b o r per manhour i n i n d u s t r i a l c o u n t r i e s has r i s e n w i t h r i s i n g p r o d u c t i v i t y , i t has become cheaper t o use much machinery and few w o r k e r s i n d o i n g many t a s k s w h ich can

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be done w i t h complete t e c h n i c a l adequacy by a l a r g e r number o f wo r k e r s u s i n g s i m p l e r equipment.

The p o i n t becomes c l e a r e r i f an example i s s p e l l e d o u t . Machines c o s t as much i n a n o n - i n d u s t r i a l c o u n t r y as i n an i n d u s t r i a l one, and even more, f o r they must be i m p o r t e d from t h e i n d u s t r i a l c o u n t r y , and t h e t r a n s p o r t c o s t and a s s o c i a t e d c o s t s must be added t o t h e i r c o s t a t t h e p l a c e where t h e y are produced. The r a t e o f i n t e r e s t on t h e c a p i t a l i n v e s t e d i s a l s o l i k e l y t o be h i g h e r . But .labor may c o s t o n l y one t e n t h as much per manhour. Hence a degree o f m e c h a n i z a t i o n which i s economic i n an i n d u s t r i a l c o u n t r y , because i t saves f i v e l a b o r e r s and c o s t s l e s s a n n u a l l y than t h e i r s e r v i c e s w o u l d , may be an expensive l u x u r y i n a n o n - i n d u s t r i a l country,-where t w e n t y workers c o u l d be h i r e d a t an annual c o s t much l e s s t h a n t h e annual c a p i t a l and i n t e r e s t c o s t o f t h e i n c r e a s e d degree o f m e c h a n i z a t i o n .

I f t h e producer i n t h e n o n - i n d u s t r i a l c o u n t r y c o u l d choose those a s p e c t s o f m e c h a n i z a t i o n which are t e c h n i c a l l y necessary,-and r e j e c t those i n t r o d u c e d i n t h e i n d u s t r i a l c o u n t r y o n l y because they a r e l a b o r - s a v i n g , a l l would be w e l l . But o f t e n t h e two aspects o f t h e m e c h a n i z a t i o n cannot be s e p a r a t e d ; t h e y are b u i l t i n t o t h e same machine. To g e t t h e advanced t e c h n i q u e s t h e e n t e r p r i s e r i n t h e n o n - i n d u s t r i a l c o u n t r y must a l s o t a k e t h e expensive l a b o r -s a v i n g aspects. Hence,-modern methods are o f t e n much more expensive r e l a t i v e t o s i m p l e r ones i n a low-income c o u n t r y t h a n i n a h i g h ^ income c o u n t r y . T h i s f a c t g r e a t l y reduces t h e p r o b a b i l i t y t h a t a f a i r l y complex f a c t o r y w i l l be economic i n a n o n - i n d u s t r i a l c o u n t r y .

That t h i s c o n s i d e r a t i o n i s i m p o r t a n t i n o t h e r t h a n merely extreme cases i s i n d i c a t e d by P r o f e s s o r Hoffmann's s t a t e m e n t t h a t i t was i m p o r t a n t i n Germany i n t h e n i n e t e e n t h c e n t u r y . M e c h a n i z a t i o n i n German weaving, he s t a t e s , proceeded s l o w l y u n t i l a f t e r 1865 because "so l o n g as t h e wages were low, t h e mechanical loom had no c o s t advantage over t h e hand loom"!

However, these c o n s i d e r a t i o n s are o f t e n n o t c o n c l u s i v e . The modern t e c h n i q u e s i n c o r p o r a t e d i n many types o f m a n u f a c t u r i n g machinery ar e so advantageous t h a t i f t h e r e were no unique o p e r a t i n g d i f f i c u l t i e s i n n o n - i n d u s t r i a l c o u n t r i e s , t h e use o f t h e machinery would be advantageous i n s p i t e o f i t s c o s t l y l a b o r - s a v i n g f e a t u r e s .

There are unique o p e r a t i n g d i f f i c u l t i e s . B e fore c o n s i d e r i n g them, however, c o n s i d e r t h e problem o f o b t a i n i n g t h e necessary c a p i t a l . The p r oblem i s n o t s i m p l y , as some economic t h e o r i s t s have assumed, t h a t because t h e average l e v e l o f income i n t h e c o u n t r y i s low, no one i n t h e c o u n t r y has t h e necessary c a p i t a l . R e l a t i v e t o t h e

W. G. Hoffmann, "The Take-Off in Germany," p. 109, in THE ECONOMICS OF TAKE-OFF INTO SUSTAINED GROWTH, W. W. Rostow, ed., Macmillan, London, 1964.

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number o f i n d u s t r i a l e n t e r p r i s e s which a r e t e c h n i c a l l y f e a s i b l e , a f a i r l y l a r g e number o f i n d i v i d u a l s i n t h e c o u n t r y have o r c o u l d borrow t h e necessary f u n d s . But f o r non-economic reasons t h e y a r e n o t l i k e l y t o be i n t e r e s t e d .

The c o t t a g e i n d u s t r y p r o p r i e t o r i s t y p i c a l l y a man w i t h l i m i t e d c a p i t a l . Many such p r o p r i e t o r s w i l l never accumulate t h e funds necessary t o move t o g r e a t e r m e c h a n i z a t i o n . Some o t h e r s c o u l d make t h e move, b u t o n l y by v e n t u r i n g a l l o f t h e i r f i n a n c i a l r e s o u r c e s . A t b e s t , a c o t t a g e i n d u s t r y p r o p r i e t o r would l i k e l y be a b l e t o f i n a n c e o n l y a s m a l l advance i n m e c h a n i z a t i o n . A more e l a b o r a t e f a c t o r y c o u l d be f i n a n c e d p r i v a t e l y w i t h i n t h e s o c i e t y o n l y i f i t seemed an a t t r a c t i v e v e n t u r e t o some member or members o f t h e w e a l t h i e r c l a s s e s , who o f course are c o m p l e t e l y w i t h o u t i n d u s t r i a l e x p e r i e n c e ( f o r by assumption no i n d u s t r i a l i s t s o t h e r t h a n t h e c o t t a g e i n d u s t r y p r o p r i e t o r s y e t e x i s t ) . Only a landowner o r a man who i s a f i n a n c i e r - t r a d e r on a f a i r l y l a r g e s c a l e w i l l be a b l e t o p r o v i d e two or t h r e e hundred thousand d o l l a r s from h i s own p l u s borrowed f u n d s . N e i t h e r would n o r m a l l y be a t t r a c t e d t o an i n d u s t r i a l v e n t u r e . The d i s t a s t e o f members o f t h e landed c l a s s f o r a s s o c i a t i o n w i t h manual l a b o r i s p r o v e r b i a l . By e x t e n s i o n , t h e y f e e l e q u a l l y s t r o n g repugnance toward b e i n g concerned w i t h t h e o p e r a t i o n o f machines.-*

The f i n a n c i e r - t r a d e r i s n o t l i k e l y t o be a t t r a c t e d , f o r reasons analogous t o those which make i t d i f f i c u l t f o r a p e t t y bazaar t r a d e r t o make t h e t r a n s i t i o n t o Western t y p e r e t a i l i n g . The s t i m u l u s o f the t h r u s t and p l a y o f f i n a n c i a l and t r a d i n g d e a l s i s m i s s i n g . I t i s necessary t o s h i f t from i n t e r e s t i n money t o i n t e r e s t i n goods, and from t h e t h r i l l o f s h o r t - r u n t o t h e s a t i s f a c t i o n o f l o n g - r u n r e s u l t s ; and t h e e x c i t e m e n t o f t h e s h o r t - r u n and t h e immediate h a n d l i n g o f money are " i n h i s b l o o d . " I n s h o r t , i m p o r t a n t non-economic i n c e n t i v e s work i n t h e wrong d i r e c t i o n . I n a d d i t i o n , i f t h e t r a d e r i s o f a r a t h e r d i s t i n c t s o c i a l g roup, s u b j e c t t o some s o c i a l d i s c r i m i n a t i o n , he may f e a r t o p u t h i s res o u r c e s i n t o somet h i n g so un c o n c e a l a b l e and s u b j e c t t o d i s c r i m i n a t o r y t a x a t i o n o r governmental i n t e r f e r e n c e as a f a c t o r y .

Some members of the landed gentry were among the early innovators in England. Most of them seem to have been newly landed, of families that had made fortunes in trade or public service and had then bought land to attain a higher social status. Some of these became more traditional than the traditional, but others became innovators--or continued to be innovators, for in a sense their families previously had been. Even so, almost without exception their innovations were in agriculture or in activities closely connected with the land, such as road and canal building. For an analysis of a sample of British innovators which shows this latter point, see ON THE THEORY OF SOCIAL CHANGE, Table 13-3, page 301.

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Thus, t h e p r i v a t e f i n a n c i n g o f e i t h e r s m a l l o r l a r g e r f a c t o r y v e n t u r e s i s l i k e l y t o be o n l y by i n d i v i d u a l s who, t h r o u g h some i d i o s y n c r a t i c c i r c u m s t a n c e s i n t h e i r environments,have a c q u i r e d a t t i t u d e s r a t h e r unusual i n t h e i r s o c i e t i e s . However, some such i n d i v i d u a l s may appear. Moreover, i f f i n d i n g t h e c a p i t a l f o r f a c t o r y v e n t u r e s were t h e o n l y o r major d i f f i c u l t y , i t c o u l d f a i r l y e a s i l y be remedied by government e r e c t i o n o f t h e f a c t o r y o r p r o v i s i o n o f t h e necessary f u n d s .

THE TECHNICAL PROBLEMS

Given t h e c a p i t a l , t h e would-be f a c t o r y manager faces t h e problem o f s e l e c t i n g t h e machinery and o f a r r a n g i n g t h e management o f i t s o p e r a t i o n . W i t h r e s p e c t t o p u r e l y m e c h a n i c a l problems he w i l l have i n s t r u c t i o n and su p p o r t from t h e company from which he purchased t h e machinery. Yet f o r a c o n s i d e r a b l e t i m e he would n o t i n any r e a l sense be managing 1 a f a c t o r y ; he would be an a p p r e n t i c e p l a y i n g a game whose outcome he c o u l d t a k e o n l y on f a i t h b u t on wh i c h , i f he i s a p r i v a t e e n t e r p r i s e r , he has r i s k e d say s e v e r a l hundred t h o u sand d o l l a r s o f h i s w e a l t h .

The d i f f i c u l t i e s so f a r sketched are those which a r i s e i n t h e management o f any f a c t o r y anywhere. The o n l y handicap f a c e d by t h e e n t e r p r i s e r i n a n o n - i n d u s t r i a l c o u n t r y - - w h i c h o f course i s a major o n e — i s h i s own i n e x p e r i e n c e and t h e absence o f t e c h n i c a l l y t r a i n e d and ex p e r i e n c e d i n d i v i d u a l s w i t h i n h i s c o u n t r y . However, w i t h r e s p e c t t o c e r t a i n o t h e r t e c h n i c a l problems--the management of h i s work f o r c e , foremanship, and h i s r e l a t i o n s h i p s w i t h h i s managers and w i t h persons from whom he buys and t o whom he s e l l s - -he w i l l f a c e problems which a t l e a s t i n degree are unique; problems w h i c h t h e manager i n an i n d u s t r i a l s o c i e t y does n o t c o n f r o n t .

The u n i q u e t e c h n i c a l problems r e s u l t from t h e f a c t t h a t t h e f a c t o r y i s n o t s i t u a t e d w i t h i n an i n d u s t r i a l complex. For t h e i r economical o p e r a t i o n , a l l except t h e s i m p l e s t i n d u s t r i a l p l a n t s depend t o a degree n o t r e a l i z e d by t h e l a y m a n — a n d o f t e n n o t by t h e e c o n o m i s t — on t h e t e c h n i c a l and i n s t i t u t i o n a l complex w i t h i n which t h e y o p e r a t e , and n o t m e r e l y on t h e i r own equipment, management and l a b o r f o r c e . A t y p i c a l f a c t o r y depends on o t h e r p l a n t s , from week t o week and day t o day,- f o r a v a r i e t y o f m a t e r i a l i n p u t s - - s e v e r a l types o f b a s i c m a t e r i a l s , a u x i l i a r y m a t e r i a l s such as chemicals and l u b r i c a n t s , and p a r t l y processed components. I f o t h e r i n d u s t r i a l p l a n t s do not e x i s t i n t h e c o u n t r y , i t w i l l have t o i m p o r t many o f these s u p p l i e s . To be sure o f h a v i n g s u p p l i e s when needed, and t o m i n i m i z e s h i p p i n g c o s t s by s h i p p i n g i n l a r g e q u a n t i t i e s , i t w i l l have t o m a i n t a i n u n u s u a l l y l a r g e s t o c k s . I n a c o u n t r y s h o r t o f f o r e i g n exchange, th e f i r m may face an a d d i t i o n a l d i f f i c u l t y : t h e e c c e n t r i c i t y w i t h w h i c h i m p o r t l i c e n s e s are g r a n t e d or de n i e d by o f f i c i a l s who do not a p p r e c i a t e t h e c o m p l e x i t i e s o f r u n n i n g an i n d u s t r i a l p l a n t .

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The absence o f o t h e r i n d u s t r i a l p l a n t s w i l l cause s a l e s as w e l l as s u p p l y d i f f i c u l t i e s . A f a c t o r y i n an i n d u s t r i a l c o u n t r y may s e l l some o f i t s b y - p r o d u c t s t o o t h e r i n d u s t r i a l f i r m s , even though i t s main p r o d u c t s a r e consumer i t e m s . I n a n o n - i n d u s t r i a l c o u n t r y , t h i s source o f revenue may be s m a l l o r n o n - e x i s t e n t .

These d i f f i c u l t i e s i n o b t a i n i n g i n p u t s o r i n s e l l i n g b y - p r o d u c t s a r e l a r g e l y a v o i d e d i n t h e s i m p l e r t y p e s o f p r o d u c t i o n . For example, a p a r t from raw c o t t o n , a c o t t o n t e x t i l e f a c t o r y needs h a r d l y any c u r r e n t i n p u t b u t l u b r i c a n t s ; and i t s o n l y b y - p r o d u c t s are c o t t o n wastes which may have a market almost anywhere and i n any event are o f l i t t l e v a l u e . But even such a f a c t o r y w i l l e x p e r i e n c e two i m p o r t a n t t e c h n i c a l d i f f i c u l t i e s n o t f a c e d i n an i n d u s t r i a l c o u n t r y .

One i s i t s power s u p p l y . I n a n o n - i n d u s t r i a l c o u n t r y , t h e e l e c t r i c i t y s u p p l y i s l i k e l y t o be u n c e r t a i n , because b o t h management and t e c h n i c a l e x p e r t i s e are l i k e l y t o be i n a d e q u a t e . The f i r m must t h e n e i t h e r p r o v i d e i t s own power, a t a r e l a t i v e l y h i g h c o s t because o f i t s low volume o f use and low p e r i o d o f use per day, o r m a i n t a i n an a u x i l i a r y power su p p l y a l s o a t a r e l a t i v e l y h i g h c o s t .

The o t h e r i s i n machine r e p a i r and maintenance. I n an i n d u s t r i a l c o u n t r y , a f a c t o r y may on v e r y s h o r t n o t i c e o b t a i n a spare p a r t o r have a p i e c e d u p l i c a t e d i n a f o u n d r y o r machine shop. I n a non-i n d u s t r i a l c o u n t r y , t h e u n i t w h i ch i s d i s a b l e d because a p a r t i s broken may be i d l e f o r two weeks r a t h e r t h a n o v e r n i g h t , because t h e r e i s no f o u n d r y nearby capable o f c a s t i n g a replacement. Or, i f t h e r e i s a f o u n d r y , t h e r e may be no p r e c i s i o n machining shop which can t o o l t h e p i e c e t o a m o d e r a t e l y c l o s e t o l e r a n c e . Not o n l y w i l l t h e p r e v e n t i v e measure o f m a i n t a i n i n g a s t o c k o f replacement p a r t s much g r e a t e r t h a n t h a t needed i n an i n d u s t r i a l c o u n t r y be c o s t l y ; i t may n o t be p o s s i b l e t o a n t i c i p a t e a l l c o n t i n g e n c i e s .

The p l a n t must depend on a network o f t r a n s p o r t a t i o n and communic a t i o n f a c i l i t i e s . I f t h i s network i s r u d i m e n t a r y , as i t may be,-i f f o r no o t h e r reason t h a n t h a t t h e volume o f t r a n s p o r t i n t h e c o u n t r y does n o t j u s t i f y an e l a b o r a t e n e t w o r k , t h e c o s t s o f p r o d u c t i o n w i l l be i n c r e a s e d .

L a s t l y , among t h e t e c h n i c a l d i f f i c u l t i e s caused by absence o f an i n d u s t r i a l complex, any i n d u s t r i a l f i r m has o c c a s i o n a l need f o r s c i e n t i f i c , t e c h n i c a l , l e g a l , a c c o u n t i n g , o r economic t a l e n t n o t a v a i l a b l e w i t h i n i t s own s t a f f . I n an i n d u s t r i a l c o u n t r y , i t w i l l o b t a i n any such t a l e n t q u i c k l y when needed. I n a n o n - i n d u s t r i a l c o u n t r y , an e x p e r t must be f l o w n i n from t h r e e thousand m i l e s away, r a t h e r t h a n b r o u g h t a few m i l e s by t a x i .

M u l t i p l y these e l e m e n t a r y examples by t e n , and one may o b t a i n a s u g g e s t i o n o f t h e importance o f an i n d u s t r i a l complex.

So i m p o r t a n t i s t h e immediate i n d u s t r i a l environment t o a f i r m t h a t i n s p i t e o f r a t h e r generous f i n a n c i a l i n c e n t i v e s and t h e p r o v i s i o n

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o f t r a n s p o r t and power f a c i l i t i e s , t h e government o f I t a l y has had g r e a t d i f f i c u l t y i n a t t r a c t i n g f i r m s t o t h e r e g i o n i n and near the " h e e l " o f I t a l y ' s "boot," s i m p l y because many l i t t l e b u t v i t a l l y i m p o r t a n t a u x i l i a r y f i r m s do n o t e x i s t t h e r e .

However, i m p o r t a n t though t h e t e c h n i c a l d i f f i c u l t i e s r e s u l t i n g from absence o f an i n d u s t r i a l complex are f o r some f a c t o r i e s a t a l l times and f o r a l l f a c t o r i e s a t some t i m e s , f a r more s e r i o u s a r e c e r t a i n d i f f i c u l t i e s o f i n t e r p e r s o n a l r e l a t i o n s n o t e x p e r i e n c e d except i n minor degree i n i n d u s t r i a l c o u n t r i e s .

The Soc-io-psycholog-ical Problems

One o f these i s a c e r t a i n t y p e o f d i f f i c u l t y i n o b t a i n i n g c a r e f u l work by f a c t o r y o p e r a t i v e s . The d i f f i c u l t y i s n o t m e r e l y l a c k o f f a m i l i a r i t y w i t h t h e c h a r a c t e r i s t i c s o f machines. That d i f f i c u l t y i s r a t h e r q u i c k l y remedied. Workers i n any s o c i e t y l e a r n w i t h g r e a t speed when m o t i v a t e d t o do so, as f o r example;in d r i v i n g and c a r i n g f o r a t r u c k o r t r a c t o r o f which they are proud. The d i f f i c u l t y w h i c h i s u n i q u e , a t l e a s t i n degree, seems t o be due t o t h e sense o f i s o l a t i o n and a l i e n a t i o n f e l t by workers coming from a t r a d i t i o n a l s o c i a l environment i n t o t h e i m p e r s o n a l s o c i a l s t r u c t u r e o f a f a c t o r y .

A c r a f t s m a n o r c u l t i v a t o r who becomes a f a c t o r y worker s u f f e r s a c o n s i d e r a b l e measure o f l o s s o f b o t h h i s sense o f independence and h i s sense o f p r o d u c t i v e n e s s . The c u l t i v a t o r worked w i t h a rhythm s e t p a r t l y by n a t u r e b u t i n d e t a i l by h i s own body. He a l s o saw t h e seed push t h r o u g h t h e s o i l , t h e s t a l k grow, and t h e g r a i n appear, and knew t h a t he was p r o d u c t i v e . The c r a f t s m a n had a sense o f p r o d u c t i v e workmanship. I n moving t o t h e f a c t o r y , t h e c u l t i v a t o r or t h e c r a f t s m a n must s u b j e c t h i m s e l f t o t h e performance o f a r e p e t i t i v e t a s k h a v i n g l i t t l e meaning i n i t s e l f , a t a rhythm f o r c e d by a machine.

I n l o s i n g h i s i n d i v i d u a l p r o d u c t i v i t y he a l s o l o s e s i n s o c i a l s t a t u s . Performance o f a c r a f t has i t s modest s t a t u s i n a t r a d i t i o n a l s o c i e t y . So a l s o does p r o p r i e t o r s h i p o f l a n d , even as a r e n t e r , and o wnership o f c a t t l e . Compared w i t h t h e s e p o s i t i o n s , a p o s i t i o n as a f a c t o r y o p e r a t i v e , i n s p i t e o f i t s p o s s i b l e h i g h e r income, i s t h a t o f a m e n i a l .

The c u l t i v a t o r o r c r a f t s m a n s u f f e r s a c o n s i d e r a b l e l o s s o f e m o t i o n a l s e c u r i t y i n o t h e r ways as w e l l , and even o f economic s e c u r i t y . He i s no l o n g e r a b l e t o p r o v i d e the non-market t y p e s o f p r o d u c t i o n o f f a m i l y needs which he used t o p r o v i d e i n o f f - s e a s o n s .

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A c u l t i v a t o r a l s o i s a p a r t y t o a c a r e f u l l y i n s t i t u t i o n a l i z e d exchange o f s e r v i c e s i n peasant p r o d u c t i o n . 1 I n moving t o t h e f a c t o r y he s e p a r a t e s h i m s e l f from i t . He p a r t i a l l y s e parates hims e l f a l s o from t h e r e c r e a t i o n a l and r i t u a l community l i f e o f t h e o f f - s e a s o n . The exchange o f s e r v i c e s had p r o v i d e d some economic s e c u r i t y ; these p l u s t h e r e c r e a t i o n a l and r i t u a l a c t i v i t y had p r o v i d e d t h e much more i m p o r t a n t reassurance o f membership i n a group. He can accept a j o b i n a f a c t o r y o n l y a t t h e s a c r i f i c e o f t h i s sense o f community f e l l o w s h i p .

E q u a l l y i m p o r t a n t , he c u t s h i m s e l f o f f from a p e r s o n a l r e l a t i o n s h i p w i t h a member o f t h e l e s s e r e l i t e . B e f ore t h e t r a d i t i o n a l l i f e o f n o n - i n d u s t r i a l s o c i e t i e s became d i s r u p t e d by t h e impact o f t h e West, almost every n o n - e l i t e i n d i v i d u a l , and e s p e c i a l l y every m e n i a l , had a r e l a t i o n s h i p o f p e r s o n a l dependence on a s o c i a l s u p e r i o r . The m e n i a l depended on a p a t r o n i n t h e v i l l a g e o r town t o whom he p r o v i d e d s e r v i c e s , t h e c u l t i v a t o r on h i s l a n d l o r d , t h e c o t t a g e i n d u s t r y worker o r c r a f t s m a n on h i s employer or an i m p o r t a n t c l i e n t . 2 ' The s u b o r d i n a t e p r o v i d e d economic s e r v i c e s t o t h e s u p e r i o r ; t h e s u p e r i o r p r o v i d e d r i t u a l l e a d e r s h i p i n t i m e s o f e m o t i o n a l s t r e s s , some economic s e c u r i t y i n times o f p e t t y c r i s i s , and guidance conc e r n i n g a f f a i r s o u t s i d e o f t h e narrow range w i t h i n which t h e i n f e r i o r has c o m p e t e n c e — c o n c e r n i n g v o t i n g , a r r a n g i n g t h a t an u n u s u a l l y g i f t e d son m i g h t go t o s c h o o l , and so on. The l i f e e n vironment o f t h e s i m p l e f o l k i n a t r a d i t i o n a l s o c i e t y , i n c l u d i n g n o t m e r e l y t h e l a r g e r s o c i a l environment b u t a l s o t h e n a t u r e o f t h e i r i n f a n c y and c h i l d h o o d , g i v e s them a need f o r t h e e m o t i o n a l s e c u r i t y d e r i v e d from dependence on a s u p e r i o r . T h i s s u b o r d i n a t e -s u p e r i o r r e l a t i o n s h i p , a p p a r e n t l y u n i v e r s a l i n n o n - i n d u s t r i a l s o c i e t i e s , t hus y i e l d s a s a t i s f a c t i o n beyond t h e o v e r t exchanges i n v o l v e d .'3 Even when t h e r e l a t i o n s h i p i s somewhat c o r r u p t e d , as i t

This exohange is recorded in many studies of traditional village life. See almost any of the community studies listed in the bibliography on "Traditional Society" in ON THE THEORY OF SOCIAL CHANGE, pp. 52 5-5 28. For example, the following studies show such relationships in each of the four major societies of Asia: J.F. Embree, SUYE MURA: A JAPANESE VILLAGE (Chicago, 1939), Clifford Geertz, "Form and Variation in Balinese Village Structure," AMERICAN ANTHROPOLOGIST, 61 (December,'1959), 991-1012, McKim Marriott ed., VILLAGE INDIA: STUDIES IN THE LITTLE COMMUNITY (Chicago, 19 55); or Martin C. Yang, A CHINESE VILLAGE, TAITOU, SHANTUNG PROVINCE (London, 1948).

See the sources cited in the preceding footnote.

For hypotheses concerning the sources of the sense of powerlessness of the simple folk in traditional societies, the attractions for them of traditional life in general, and especially the attraction of this superior-subordinate relationship, see ON THE THEORY OF SOCIAL CHANGE, Chapters 4-8.

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commonly has been under t h e p r e s s u r e s o f modern l i f e , so t h a t t h e s u p e r i o r more n e a r l y e x p l o i t s t h a n s u p p o r t s t h e s u b o r d i n a t e , s t i l l t h e p e r c e p t i o n o f dependence on a s o c i a l s u p e r i o r seems t o have r e m a r k a b l y h i g h v a l u e . Somewhere o u t o f the w o r l d view which makes t h i s dependence on human s u p e r i o r s y i e l d r e l i e f from a n x i e t y , t h e n o n - e l i t e s o f t r a d i t i o n a l s o c i e t i e s had a l s o l e a r n e d t o g a i n r e l i e f from a n x i e t y by homage or p r o p i t i a t i o n o f t he unseen powers by whose i n t e r v e n t i o n t h e y e x p l a i n e d t h e c a l a m i t i e s or t h e good f o r t u n e s which b e f e l l them which c o u l d n o t be accounted f o r by t h e i r own e x e r t i o n s . I n p a r t , t h i s homage o r p r o p i t i a t i o n was a s s o c i a t e d w i t h t h e i r t r a d i t i o n a l f u n c t i o n s . When an i n d i v i d u a l moves t o a j o b i n a f a c t o r y , he n o t o n l y s a c r i f i e s a t i e o f e m o t i o n a l s i g n i f i c a n c e t o a human s u p e r i o r ( or r e c o g n i z e s b i t t e r l y t h a t the s u p e r i o r has a l r e a d y c u t t h e t i e ) . I n a d d i t i o n , i n some degree he abandons h i s gods, and e x p e c t s t o be abandoned by them.

Because o f these i m p l i c a t i o n s o f a s h i f t t o f a c t o r y work, i n d i v i d u a l s whose l i v e s as c u l t i v a t o r s o r c r a f t s m e n or menials i s pr o c e e d i n g s a t i s f a c t o r i l y do n o t lea v e them f o r t h e f a c t o r y . Rather, f a c t o r y w o r k e r s a r e drawn from t h e most u n f o r t u n a t e and t h e l e a s t capable i n d i v i d u a l s i n t he community. As W i l b e r t Moore has s a i d i n a c l a s s i c s t u d y , " I t i s among t h e l a n d l e s s , t h e hungry, t h e p o l i t i c a l l y p o w e r l e s s , and t h e s o c i a l l y d i s a f f e c t e d t h a t t h e f i r s t i n d u s t r i a l r e c r u i t s a r e most l i k e l y t o be found."!

I t i s n o t s u r p r i s i n g t h a t these r e c r u i t s f e e l h u m i l i a t i o n and b i t t e r n e s s a t t h e ci r c u m s t a n c e s which have f o r c e d them i n t o t h e f a c t o r y — a t t h e c o s t a t which t h e y a r e b u y i n g a wage income; and t h a t t h i s b i t t e r n e s s i s t r a n s f e r r e d t o t h e machines which dominate them i n the f a c t o r y , and t o t h e i r employers. T h i s u n d e r l y i n g bed of f r u s t r a t i o n p r e d i s p o s e s them t o f i n d innumerable causes f o r d i s s a t i s f a c t i o n w i t h t h e i r w o r k i n g environment, t o l a c k i n t e r e s t i n t h e i r work, and even, w i t h i n t h e l i m i t s o f what i s r e q u i r e d t o keep t h e i r j o b s , t o use s l i p s h o d work as an (unconscious) means o f a t t a c k upon t h e i r employer.2

1Wilbert E. Moore, INDUSTRIALIZATION AND LABOR (Cornell, 1951), p. 307. Concerning the phenomenon summarised in this quotation, see ibid., passim.

2 Having lost their old community group, they are likely to seek a sense of belonging to a group in labor union membership, but since their employer is seen as an enemy (they have transferred their sense of abandonment against him), the union will not join him in working out procedures to handle grievances or procedures for effective employer-employee communications. Rather, it is likely to find in political officials of the country substitutes for the former patron, and gain its ends by political rather than industrial action. For that matter, the employer, being also traditional in background, is likely to be little more inclined than the workers to work out procedures for mutual accommodation.

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Such a t t i t u d e s are n o t unknown i n i n d u s t r i a l s o c i e t i e s . I n d u s t r i a l r e l a t i o n s e x p e r t s have o f t e n observed t h a t t h e p u r p o r t e d causes o f i n d u s t r i a l d i s p u t e s a r e sometimes m a i n l y r a t i o n a l i z a t i o n s , and t h a t t h e u n d e r l y i n g cause i s a g e n e r a l sense o f f r u s t r a t i o n and a l i e n a t i o n . However, t h e problem a r i s e s i n f a r g r e a t e r degree i n newly i n d u s t r i a l i z i n g s o c i e t i e s .

I n t h e s e c i r c u m s t a n c e s , t o o p e r a t e a f a c t o r y w i t h a r e a s o n a b l e degree o f e f f i c i e n c y would r e q u i r e u n u s u a l l y capable foremanship. The foreman i s t h e immediate s u p e r v i s o r o f t h e o p e r a t i v e s ; i f i t were no t t h a t as a r e p r e s e n t a t i v e o f t h e employer he i s an enemy, he m i g h t be a person t h r o u g h whom t h e worker c o u l d s a t i s f y h i s need t o depend on a s u p e r i o r . Moreover, i f t h e foreman i s t e c h n i c a l l y competent and i n t e r e s t e d i n h i s f u n c t i o n , he m i g h t c o n c e i v a b l y r e s t o r e , i n p a r t , t h e worker's sense o f c r a f t s m a n s h i p . U n f o r t u n a t e l y , however, b e i n g a foreman p r e s e n t s a l m o s t as g r e a t d i f f i c u l t i e s t o an i n d i v i d u a l i n a n o n - i n d u s t r i a l s o c i e t y as does b e i n g a f a c t o r y o p e r a t i v e , and almost u n i v e r s a l l y t h e e f f i c i e n c y o f f a c t o r i e s s u f f e r from low q u a l i t y f oremanship.

I n f u n c t i o n , a foreman i s n o t m e r e l y a s u p e r v i s o r ; he i s a l s o a h e l p e r . He i s o f course r e s p o n s i b l e f o r d i r e c t i n g t h e w o r k e r s t o p e r f o r m t h e t a s k s a s s i g n e d t o them, b u t he s h o u l d a l s o know more • about t h e p e t t y t e c h n i c a l problems and sources o f d i f f i c u l t y i n each worker's j o b t h a n does t h e w o r k e r , and t h r o u g h t h a t knowledge h e l p each worker t o meet t h e day t o day mishaps and u n f o r e s e e n c o n t i n g e n c i e s i n p r o d u c t i o n , a n d t o m a i n t a i n t h e f l o w o f o u t p u t . He s h o u l d on o c c a s i o n be a spare workman, p i t c h i n g i n t o break b o t t l e necks .

However, s i n c e t h e foreman has t h e a u t h o r i t y t o d i r e c t a group o f s u b o r d i n a t e s , he i s on t h e verge o f becoming one o f t h e l e s s e r e l i t e s . As i s noted above, t h e s i g n o f e l i t e n e s s i n t r a d i t i o n a l s o c i e t y , almost l i t e r a l l y one o f t h e necessary q u a l i f i c a t i o n s o f b e i n g one o f t h e e l i t e , i s t h a t t h e i n d i v i d u a l does n o t demean hims e l f by c o n c e r n i n g h i m s e l f w i t h t h e d e t a i l s o f manual l a b o r . Moreover, by v i r t u e o f h i s e l i t e p o s i t i o n i t s e l f , t h e e l i t e i n d i v i d u a l has a u t h o r i t y . I n e x e r t i n g i t , he i s d e m o n s t r a t i n g h i s e l i t e n e s s . Whether he performs a f u n c t i o n e f f e c t i v e l y i s l a r g e l y i r r e l e v a n t .

The n o n - e l i t e i n d i v i d u a l who has become a foreman does n o t have t h e sense,found i d e a l l y among t h e t r u e e l i t e , o f o b l i g a t i o n t o w a r d t h o s e who depend on him, b u t he i s l i k e l y t o have i n exaggerated form t h e sense t h a t an e l i t e (a) g i v e s o r d e r s and (b) i s above concern w i t h m e n i a l t a s k s . Concern w i t h m e n i a l t a s k s would negate h i s p e t t y e l i t e n e s s , would make i t almost u s e l e s s f o r him t o have become a foreman.

Consequently, i f , f o r convenience,workers i n a s p i n n i n g m i l l d i s c a r d b o b b i n s on which, say, one f o u r t h o f t h e y a r n remains when a break o c c u r s , r a t h e r t h a n t i e i n g t h e y a r n , and s u b s e q u e n t l y r u i n t h e bobbins by s l a s h i n g c a r e l e s s l y w i t h a k n i f e t o c u t o f f the r e m a i n i n g

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y a r n , a foreman w i t h t r a d i t i o n a l a t t i t u d e s may g i v e s t e r n o r d e r s t h a t t h e damage must cease- But he i s n o t l i k e l y t o s u p e r v i s e t h e wo r k e r s c o n s i s t e n t l y enough t o ensure t h a t t h e y d o , i n f a c t , e x e r c i s e g r e a t e r c a r e . N e i t h e r i s he l i k e l y t o r e l i e v e t h e t i m e p r e s s u r e on them by h e l p i n g them t i e b r o ken y a r n , i f t h e breakage r a t e i s t e m p o r a r i l y above t h e i r c a p a c i t y (or z e a l ) t o cope w i t h . These are examples o f l i k e l y d e f i c i e n c i e s i n every area o f h i s work.

To p u t t h e m a t t e r i n a n o t h e r way, e f f e c t i v e foremanship r e q u i r e s , . i n c o m b i n a t i o n , a t t i t u d e s o f e l i t e n e s s and a l e r t concern w i t h grubby t a s k s . These a t t i t u d e s a r e a n t i t h e t i c a l i n a t r a d i t i o n a l s o c i e t y , and an i n d i v i d u a l a t t e m p t i n g t o combine them i s l i k e l y t o be so c o n f l i c t e d w i t h i n h i m s e l f t h a t he i s n o t a b l e t o f u n c t i o n w i t h h i g h e f f i c i e n c y .

T h i s e x p l a n a t i o n i s o f course o n l y h y p o t h e t i c a l . However, t h e problem o f foremanship i s so u b i q u i t o u s i n e a r l y i n d u s t r y t h a t some f o r c e s as deep-seated as these must cause i t .

I n m a r k e t i n g , s t i l l a n o t h e r d i f f i c u l t y u nique t o e a r l y i n d u s t r i a l i z a t i o n , or a t l e a s t unique i n degree, i s f a c e d . I n i n d u s t r i a l s o c i e t i e s , one s e l l s one's p r o d u c t s i n w e l l o r g a n i z e d m a r k e t s , by means o f c o n t r a c t s , and w i t h f i n a n c i a l and t r a d i n g r e l a t i o n s h i p s p r o t e c t e d by law and, more i m p o r t a n t l y , by i n s t i t u t i o n a l i z e d p r a c t i c e s . I n a p p a r e n t l y every t r a d i t i o n a l s o c i e t y , however, t h e e t h i c a l r u l e s c o n c e r n i n g i n t e r p e r s o n a l t r a n s a c t i o n s a p p l y o n l y t o t r a n s a c t i o n s w i t h members o f one's community o r p r o p e r l y sponsored o t h e r s . 1 T h i s i s a l s o t r u e i n a degree i n modern s o c i e t i e s , b u t t h e concept o f who i s a member o f one's community has g r e a t l y broadened, and i n a d d i t i o n , t h e c o n v e n t i o n o f t h e o b l i g a t i o n imposed by a c o n t r a c t , even i f n o t w i t h a member o f one's own s o c i a l group, has developed.

The c o n t r a s t i n g s i t u a t i o n i n t r a d i t i o n a l s o c i e t i e s i s i l l u s t r a t e d i n P r o f e s s o r Levy's s t a t e m e n t o f t h e e t h i c s o f i n t e r p e r s o n a l d e a l i n g s i n t r a d i t i o n a l China. His s t a t e m e n t i s w i d e l y a p p l i c a b l e e l s e w h e r e , and t h e p a s t tense i n which he couches i t m i g h t a p p r o p r i a t e l y be a l t e r e d t o t h e p r e s e n t tense w i t h r e f e r e n c e t o n o n - i n d u s t r i a l c o u n t r i e s . "One was a d e q u a t e l y p r o t e c t e d i n p r i v a t e d e a l i n g s , " he s t a t e s , " i f one had e s t a b l i s h e d e i t h e r d i r e c t l y o r t h r o u g h a c a r e f u l l y chosen go-between a p e r s o n a l bond w i t h t h o s e w i t h whom one d e a l t . S t r a n g e r s , however, were f a i r game i n a r a d i c a l l y caveat emptor f a s h i o n t h a t would h o r r i f y t h e most r a p t l a i s s e z - f a i r e i d e a l i s t s o f t h e modern West." 2

In the concepts of Professor Parsons, particularism rather than universalism prevails. See the discussion of patterns of value-orientation in Talcott A. Parsons, THE SOCIAL SYSTEM (Glencoe, Illinois, 1951) and Talcott Parsons and Edward A. Shils, eds., TOWARD A GENERAL THEORY OF ACTION (Cambridge, Mass.), 1952).

'Levy, Marion J., Jr., in CAPITAL FORMATION AND ECONOMIC GROWTH, M. Abramovitz, S. Kuznets, et al., eds. (Princeton, 19 56), p. 4 63.

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As a r e s u l t o f these e t h i c a l r u l e s , t h e f a c t o r y manager faces d i f f i c u l t i e s i n h i s t r a d i n g r e l a t i o n s h i p s w h i ch add t o t h e i n e f f i c i e n c i e s a l r e a d y n o t e d . The p e r s i s t e n c e , even i n some c o u n t r i e s w e l l a l o n g i n i n d u s t r i a l i z a t i o n , o f t h e tendency t o seek s e c u r i t y i n p e r s o n a l r e l a t i o n s h i p s i n d i c a t e s how g r e a t t h e need p r e v i o u s l y must have been. I n p r e s e n t - d a y Japan, i n commerce w i t h i n t h e c o u n t r y t h e r e i s s t i l l a marked degree o f r e l i a n c e on p e r s o n a l r e l a t i o n s h i p s between manufact u r e r and d i s t r i b u t o r . I n unique Japanese f a s h i o n , t h e r e i s a l s o a c o n s i d e r a b l e degree o f o b l i g a t i o n t o m a i n t a i n such a r e l a t i o n s h i p , once i t has been e s t a b l i s h e d f i r m l y , because o f p e r s o n a l l o y a l t y . 2 " *

Nor i s t h e heed f o r p e r s o n a l c o n t a c t one w h i c h i s mere l y Japanese o r A s i a n . I n t h e i n d u s t r i a l c i t y o f M e d e l l i n , Colombia, a l e a d i n g businessman, g e n e r a l i z i n g about b u s i n e s s p r a c t i c e s i n t h e r e g i o n , s a i d t o t h e w r i t e r : " I n our c o n t r a c t u a l r e l a t i o n s h i p s we do n o t depend on enforcement i n t h e c o u r t s . C o u r t processes a r e t o o cumbersome t o be e f f e c t i v e . I f we have n o t g a i n e d c o n f i d e n c e i n a man t h r o u g h p e r s o n a l c o n t a c t s o r recommendations, we do n o t d e a l w i t h him."

Put n e g a t i v e l y , t h e e t h i c a l r u l e t h a t f o r c e s businessmen t o t a k e these p r e c a u t i o n s i s : " S t r a n g e r s are f a i r game." The p o s i t i v e s i d e o f t h i s r u l e i s t h e o v e r r i d i n g o b l i g a t i o n t o t a k e care o f one's f a m i l y , b r o a d l y d e f i n e d , and t h e members o f one's group. I t i s o v e r r i d i n g i n t h e sense t h a t i t t a k e s precedence over t h e r e q u i r e m e n t o f honesty t o o t h e r s . ( T h i s a l s o i s t r u e i n t h e West, though we do n o t u s u a l l y a d m i t i t f r e e l y , b u t t h e d e f i n i t i o n o f t h e group w i t h i n w h i ch honesty i s r e q u i r e d has broadened so g r e a t l y t h a t t h e d i f f e r e n c e i s one i n k i n d ratv.er t h a n m e r e l y i n degree.) Because t h e o b l i g a t i o n t o t a k e care o f one's f a m i l y and t h e members o f one's group has such h i g h p r i o r i t y , i n f o r m i n g h i s management s t a f f an e n t e r p r i s e r cannot a p p o i n t t h e most competent a v a i l a b l e persons from h i s e n t i r e s o c i e t y ; he must a l s o c o n s i d e r whether he can t r u s t them, and a l s o whether he h i m s e l f has an o b l i g a t i o n t o a r e l a t i v e even though t h a t r e l a t i v e i s n o t e x t r e m e l y competent.2

Incidents related to the writer in conversation by J. C. Abeg glen.

Bis decisions are not necessarily conscious ones* He "instinctively" distrusts Strangers and is unwilling to entrust -policy decisions, the hiring of staff members, the firm's financial secrets, or the handling of money, to persons not members of his group. (The meaning of "a group" is a complex matter, varying for different purposes. The nature of the ties which bind and form groups varies among societies. Western managers also act on a combination of rational and unconscious bases. Thus a Western firm may decide against appointment of a Negro to a managerial position for no specific reason, i.e., on prejudice; or a firm with a plant in a low-income country may refrain from appointing an indigenous individual to a managerial post because the officials of the firm believe that they cannot trust him to place the financial welfare of the firm above the welfare of his country as he interprets it.

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The tendency t o employ o n l y r e l a t i v e s o r members o f one's group, n a r r o w l y d e f i n e d , t o m a n a g e r i a l p o s i t i o n s , and so f a r as p o s s i b l e t o d e a l o n l y w i t h p e r s o n a l acquaintances or w e l l - s p o n s o r e d persons i s thus due n o t mere l y t o n o n - r a t i o n a l c o n s i d e r a t i o n s . Rather, i t i s i n p a r t an e n t i r e l y r a t i o n a l and optimum defense a g a i n s t problems p e c u l i a r t o n o n - i n d u s t r i a l s o c i e t i e s . But though t h e i n d i g e n o u s e n t e r p r i s e r knows how t o d e a l w i t h these problems, t h e y n e v e r t h e l e s s add t o t h e c o m p l e x i t y and t h e p o s s i b i l i t y o f f a i l u r e i n e s t a b l i s h i n g a f a c t o r y .

One f i n a l p o i n t . I n t h e main, i n t h e a n a l y s i s above, i t has been assumed t h a t t h e e n t e r p r i s e r a t t e m p t i n g i n d u s t r i a l advance i s hims e l f t h e possessor o f a t t i t u d e s and v a l u e s c o n d u c t i v e t o e f f e c t i v e i n n o v a t i o n . I t has been assumed, t h a t i s , t h a t t h e problems i n v o l v e d l i e o u t s i d e him, n o t w i t h i n him. However, t h e t y p i c a l b u s i n e s s p r o p r i e t o r ( o t h e r t h a n a t r a d e r - f i n a n c i e r ) i n a non-indust r i a l s o c i e t y i s h i m s e l f l a r g e l y t r a d i t i o n a l i n o u t l o o k , l i k e t h e w o r k e r s he employs. He i s i n h i b i t e d i n h i s d e s i r e t o a t t a c k t h e problems o f t e c h n i c a l change by h i s own l a c k o f i n t e r e s t i n manual-t e c h n i c a l problems; h i s view o f the p r o p e r r e l a t i o n s h i p s between members o f t h e e l i t e (which he may be s t r u g g l i n g t o j o i n ) and t h e c l a s s e s beneath them; and p r o b a b l y a l s o by t h e f a c t t h a t , i n a s o c i e t y where so many d e c i s i o n s are v a l i d a t e d by t h e a u t h o r i t y o f t h e p e r s o n d e c i d i n g , he f e e l s a n x i e t y a t f a c i n g major new problems, i n w h i c h a u t h o r i t y i s i r r e l e v a n t .

I n p r i v a t e e n t e r p r i s e , t hese p e r s o n a l i t y t r a i t s s i m p l y reduce t h e number o f a t t e m p t s a t t e c h n i c a l change. I n d i v i d u a l s w i t h these t r a i t s a re n o t l i k e l y t o a t t e m p t t o o r g a n i z e i n d u s t r i a l v e n t u r e s . However, where a government seeking t o remove r a p i d l y t h e s t i g m a o f "backwardness" e s t a b l i s h e s a f a c t o r y w i t h a r a t h e r n a i v e i d e a of t h e r e q u i r e m e n t s f o r i t s s u c c e s s f u l o p e r a t i o n , i n a p p o i n t i n g d i r e c t o r s and managers t h e government o f f i c i a l s may g i v e predominant w e i g h t t o t h e poss e s s i o n o f t h e p r o p e r s o c i o - p o l i t i c a l c r e d e n t i a l s , and may t h e r e f o r e choose i n d i v i d u a l s w i t h p r e c i s e l y such t r a d i t i o n a l a t t i t u d e s . These i n d i v i d u a l s are l i k e l y t o a c c e p t t h e p o s t s because o f t h e i r own need f o r symbols o f e l i t e n e s s , and because, n o t u n d e r s t a n d i n g t h e r e q u i r e m e n t s f o r e f f e c t i v e f a c t o r y o p e r a t i o n , t h e y do n o t understand t h e i r own incompetence.

They w i l l n o t manage t h e f a c t o r y w e l l . Not o n l y w i l l they n o t co n c e r n themselves w i t h t h e grubby t e c h n i c a l problems o f t h e f a c t o r y ; t h e y w i l l n o t even be aware t h a t i t i s t h e f u n c t i o n o f the g e n e r a l manager and d i r e c t o r s t o do so. An a d d i t i o n a l f a c t o r t e n d i n g t o cause mismanagement i s t h a t t h e y are l i k e l y t o r e g a r d t h e i r e l i t e n e s s as r e q u i r i n g them t o r e t a i n a u t h o r i t y i n t h e i r own hands. They a r e l i k e l y t o f e e l t h a t i f t h e y d e l e g a t e a u t h o r i t y t o subo r d i n a t e s , t h e y are g i v i n g away p a r t o f t h a t e l i t e n e s s , are l o w e r i n g t hemselves t o t h e l e v e l o f t h e i r s u b o r d i n a t e s , so t o speak, and thus demeaning themselves. I f t h e y are n o t o f t h e t r u e e l i t e , b u t are r a t h e r "nouveau e l i t e " who have g a i n e d a u t h o r i t y d u r i n g a n a t i o n a l f i g h t f o r independence, t h e y may, c u r i o u s l y enough, h o l d t h i s a t t i t u d e a l l t h e more c o m p u l s i v e l y .

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The p o s s i b l e r e s u l t s may perhaps be i n d i c a t e d more v i v i d l y by an extreme example t h a n by a t h e o r e t i c a l d i s c u s s i o n . Burma i s an economy w i t h o u t i n d u s t r y , an economy such as has been d i s c u s s e d above. I n Burma, i n 1951, a S t a t e C o t t o n S p i n n i n g and Weaving F a c t o r y began t o o p e r a t e . The board o f d i r e c t o r s c o n s i s t e d o f h i g h government o f f i c i a l s p l u s o t h e r i n d i v i d u a l s w i t h t h e p r o p e r s o c i o p o l i t i c a l c r e d e n t i a l s . Though t h e board showed much concern w i t h i t s p r o cedures and p r e r o g a t i v e s , i t showed r a t h e r l i t t l e w i t h t h e o p e r a t i n g e f f i c i e n c y o f t h e f a c t o r y . One m inor i n c i d e n t w i l l i l l u s t r a t e how i t s a t t i t u d e s plagued t h e f a c t o r y . D u r i n g t h e second year o f o p e r a t i o n , one u n i t o f t h e f a c t o r y was i d l e f o r some two o r t h r e e weeks because a s p e c i a l t y p e o f b e l t i n g had broken and no spare b e l t i n g was on hand. For a l o n g p r e v i o u s p e r i o d , a r e q u e s t f o r a u t h o r i t y t o o r d e r had l a i n b e f o r e t h e b o a r d o f d i r e c t o r s , b u t t h e b o a r d had n e i t h e r d e l e g a t e d a u t h o r i t y f o r t h i s v e r y minor p u r chase t o an o p e r a t i n g o f f i c i a l nor found t i m e , amid t h e o t h e r d e c i s i o n s w h ich i t r e t a i n e d t o i t s e l f and w i t h which i t o c c u p i e d i t s e l f , t o v o t e t h e o r d e r i t s e l f , and so when t h e b e l t i n g f i n a l l y wore o u t no replacement was on hand.

I t i s w o r t h w h i l e t o emphasize t h a t such b e h a v i o r i m p l i e s n e i t h e r i r r e s p o n s i b i l i t y nor s t u p i d i t y . I t does i m p l y b o t h a tremendous compulsion t h a t one's c o u n t r y s h a l l have t h e symbols o f m o d e r n i t y and a tremendous compulsion t o m a n i f e s t one's own e l i t e n e s s . Both o f t h e s e are q u i t e u n d e r s t a n d a b l e r e s u l t s o f t h e g r e a t s o c i a l t e n s i o n s o f c o l o n i a l r u l e , i n w h i ch i n d i g e n o u s i n d i v i d u a l s were t r e a t e d as persons o f i n f e r i o r w o r t h . I n d i v i d u a l s i n i n d u s t r i a l s o c i e t i e s who have been s u b j e c t e d t o t h e same i n t e n s e s o c i a l d e r o g a t i o n from b i r t h onward a c t as a d u l t s i n analogous i f n o t p r e c i s e l y s i m i l a r ways. However, even though t h e b e h a v i o r i s u n d e r s t a n d a b l e , i t i s a t e c h n i c a l f a c t , n o t a v a l u e judgment, t h a t i t p r e v e n t s t h e e f f i c i e n t o p e r a t i o n o f an i n d u s t r i a l e n t e r p r i s e . Moreover, t h e emergence o f such p e r s o n a l i t y o u t o f t h e t e n s i o n s o f c o l o n i a l r u l e i s n o t uncommon, and any a n a l y s i s o f t h e problems o f economic development i n p r e s e n t low-income c o u n t r i e s must t a k e t h e l i k e l i h o o d o f r e s u l t i n g f a i l u r e s i n i n d u s t r i a l i z a t i o n i n t o a ccount.

3. -SUMMARY: A SOCIETY I S A SYSTEM I n summary, t h e n , t h e d i f f i c u l t i e s o f moving d i r e c t l y t o modern f a c t o r y p r o d u c t i o n i n a n o n - i n d u s t r i a l s o c i e t y a r e n o t m e r e l y economic and t e c h n i c a l , b u t a l s o s o c i o - p s y c h o l o g i c a l . The economic problems a r e "the economic i n a p p r o p r i a t e n e s s o f much modern machinery f o r use i n a low income s o c i e t y , and t h e f a c t t h a t most moneyed men i n such a s o c i e t y have a d i s t a s t e f o r e n t e r i n g i n d u s t r y . The p u r e l y t e c h n i c a l problems are t h e complex problems o f machine management and, much more i m p o r t a n t , t h e absence o f an i n d u s t r i a l and r e l a t e d i n s t i t u t i o n a l complex. The p s y c h o - s o c i a l problems are t h e r e a c t i o n o f w o r k e r s t o t h e p a r t i a l d e s t r u c t i o n o f t h e i r w o r l d , i n v o l v e d i n t h e i r s h i f t t o f a c t o r y work, t h e p s y c h o l o g i c a l c o n t r a d i c t i o n s o f f o r e m a n s h i p , and t h e narrowness o f t h e group whose members are

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members o f one's community and hence a r e t r u s t w o r t h y i n economic t r a n s a c t i o n s .

I f space p e r m i t t e d , these examples o f t h e r e s i s t a n c e s t o change i n t r a d e o r i n d u s t r y caused by the i n t e r r e l a t i o n s o f t h e s o c i a l system c o u l d be p a r a l l e l e d by a d i s c u s s i o n o f t h e d i f f i c u l t i e s i n a g r i c u l t u r e . A f a i r l y common c o n c e p t i o n , t h a t t h e d i f f i c u l t i e s i n a g r i c u l t u r e cons i s t o f t h e i n e r t n e s s o f t h e peasant and t h e d i s d a i n f o r p l e b i a n m a t t e r s o f t h e land-owner, i s a t b e s t a p a r t i a l t r u t h . These elements e x i s t ( i f t h e f i g u r a t i v e term " i n e r t n e s s " i s i n t e r p r e t e d a p p r o p r i a t e l y i n a n a l y z i n g peasant a t t i t u d e s ) , b u t t h e problem i s f a r more complex t h a n mere r e f e r e n c e t o th e s e two s e t s o f a t t i t u d e s i m p l i e s .

By way o f e x c e p t i o n , c e r t a i n i s o l a t e d t e c h n i c a l advances i n any o f the s e t h r e e f i e l d s or i n s e r v i c e s may r e q u i r e no i m p o r t a n t change i n economic r o l e , and can t h e r e f o r e be b r o u g h t about f a i r l y r e a d i l y . These cases, however, are e x c e p t i o n a l ones. A c o n t i n u i n g process o f economic g r o w t h r e q u i r e s c o n t i n u i n g i m p o r t a n t changes i n economic r o l e s i n a g r i c u l t u r e , t r a d e i n d u s t r y , s e r v i c e s , and a l s o i n t h e f u n c t i o n i n g o f economic i n s t i t u t i o n s , and runs i n t o t h e d i f f i c u l t i e s i l l u s t r a t e d above. I n t h e most g e n e r a l terms, t h e d i f f i c u l t y i s t h a t a s o c i e t y i s a system. I n a n o n - i n d u s t r i a l s o c i e t y t h e s o c i a l r e l a t i o n s h i p s , t h e a t t i t u d e s and v a l u e s b r e d i n t o members o f t h e s o c i e t y , and t h e t e c h n i q u e s used i n p r o d u c t i o n a r e i n t e r r e l a t e d . A system o f many elements, n o t m e r e l y t h r e e , s h o u l d be v i s u a l i z e d ; t h e r e are many elements o f each t y p e . These elements and t h e i n t e r r e l a t i o n s h i p s among them are such t h a t t h e e n t i r e system has many s a t i s f y i n g elements, and change i n elements o f any o f t h e t h r e e t y p e s causes d i s s a t i s f y i n g changes i n o t h e r elements.! T h i s , i n t h e most g e n e r a l t erms, i s t h e fundamental problem o f economic g r o w t h .

A traditional society in its ideal form (in Weber's sense of the term ideal), and many historical traditional societies must have been fairly good approximations to the ideal type, is highly satisfying as a whole. In the terms a physical scientist, mathematician, or economist would use, a model of traditional society as a system in stable equilibrium has empirical relevance. In ON THE THEORY OF SOCIAL CHANGE, Chapters 4-8, I argue this at length. Even when the stability has been disrupted by powerful disruptive factors, many relationships remain such that further change in one element may cause dissatisfying changes in others, and therefore resistances.

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4. CONCLUDING COMMENTS

There f o l l o w s a near-decalogue o f comments, some o f them a n a l y t i c a l , some h o r t a t o r y . Not a l l f o l l o w d i r e c t l y f rom t h e d i s c u s s i o n above, though perhaps a l l are i m p l i c i t i n i t , and a l l are c e r t a i n l y cons i s t e n t w i t h i t . For l a c k o f space, some are p r e s e n t e d w i t h o u t s u p p o r t i n g argument except i n s o f a r , as suggested, t h e y are i m p l i c i t l y s u p p o r t e d above. These must be c o n s i d e r e d hypotheses o f f e r e d f o r d i s c u s s i o n .

1. Since economic p r o g r e s s i n v o l v e s an i n t e r w o v e n s e t o f changes t h r o u g h o u t t h e s o c i a l system, and s i n c e t h e system i n q u e s t i o n i s l a r g e and complex enough, namely a whole s o c i e t y , so t h a t a l l o f i t s elements cannot be r e p l a c e d a t a s t r o k e , ! i t f o l l o w s t h a t economics i s i n a sense an e v o l u t i o n a r y o r e p i g e n e t i c p r o c e s s . The concept o f r e p l a c i n g t r a d i t i o n a l methods w i t h " e f f i c i e n t " modern methods a t a s t r o k e i s a f a n t a s y . There i s no h i s t o r i c a l r e c o r d o f a b r u p t i n d u s t r i a l i z a t i o n o r o t h e r a b r u p t economic m o d e r n i z a t i o n . Russia i s n o t an example; Russia had had a c e n t u r y o f g r a d u a l i n d u s t r i a l i z a t i o n b e f o r e t h e B o l s h e v i k R e v o l u t i o n o f 1917.2-

The example most f a v o r a b l e t o t h e c l a i m t h a t an a b r u p t t r a n s i t i o n from p r e - f a c t o r y t o f a c t o r y p r o d u c t i o n i s poss i b l e i s t h a t o f Japan, whose t r a n s i t i o n , f rom an h i s t o r i c a l v i e w p o i n t , was indee d a b r u p t . However, s o c i a l s c i e n t i s t s suggest t h a t t h e Japanese s o c i e t y has been unique t h r o u g h o u t t h e h i s t o r i c a l p e r i o d i n i t s tendency t o absorb and t o adapt advantageously it e m s o f c u l t u r e from o t h e r s o c i e t i e s . Moreover, though Japan's i n d u s t r i a l e x p e r i e n c e was n o t g r e a t a t t h e t i m e o f t h e M e i j i r e s t o r a t i o n i n 1868, she a l r e a d y had a l o n g h i s t o r y o f h i g h l y e f f e c t i v e economic i n n o v a t i o n . She was a t l e a s t two

The story is told of the anthropologist who, after studying the problems of a certain traditional village, said, "The thing to do with this community is to jack it up and put a new culture under it, " but the advice did not go on to explain the. method to be pursued.

'Around 1900, after fifteen years of especially rapid advance in Russia, her average rank among the countries of the world in various indices of industrialization--production of steel, generation of electricity, etc.--was about fifth. That is, she was already highly industrialized. See V. K. Jatsunsky, "Main Features of Industrialization in Russia before 1917," PROCEEDINGS of the First International Congress of Economic History (held at Stockholm in 1960), p. 306. I owe this reference to Mr. David M. Joslin.

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c e n t u r i e s (perhaps one sh o u l d say f i v e c e n t u r i e s ) away from a " t r a d i t i o n a l " s t a t e . F i n a l l y , one o f t h e c r u c i a l s e c r e t s o f Japan's success i s t h a t she d i d n o t i m i t a t e t h e West, except t e c h n i c a l l y , and even t e c h n i c a l l y o n l y i n p a r t . Western methods o f f a c t o r y management would have been even more immoral i n Japan t h a n i n o t h e r n o n - i n d u s t r i a l s o c i e t i e s , because o f t h e n a t u r e o f her t r a d i t i o n s . She accomplished her r a p i d t r a n s i t i o n t o i n d u s t r y by a b j u r i n g Western management methods, and i n s t e a d m a i n t a i n i n g management o r g a n i z a t i o n and management-worker r e l a t i o n s h i p s c o n s i s t e n t w i t h her c u l t u r a l i m p e r a t i v e s . They a r e methods which v i o l a t e t h e Western t e x t b o o k r u l e s o f management, and ones under which any Western e x e c u t i v e would e x p e c t every Japanese f a c t o r y t o become b a n k r u p t w i t h i n a y e a r ; b u t i n Japan t h e y b r o u g h t t h e w o r l d ' s f a s t e s t i n d u s t r i a l i z a t i o n . The l e s s o n o f Japan i s t h a t u n l e s s some o t h e r c o u n t r y m a n i f e s t s t h e genius ( i n t h i s f i e l d ) o f Japan, i t need n o t expect t o be a b l e t o match Japan's r e c o r d . The evidence of Japan's i n n o v a t i o n a l g enius i s her two c e n t u r i e s o f p r e -i n d u s t r i a l economic i n n o v a t i o n . * I t i s ar g u a b l e t h a t t h a t r e c o r d was caused n o t by something w h i c h i n some m y s t e r i o u s way i s u n i q u e l y Japanese, b u t by c e r t a i n s o c i a l t e n s i o n s and c e r t a i n r e l a t i o n s h i p s w i t h t h e o u t s i d e w o r l d which b r o u g h t about c e r t a i n changes i n p e r s o n a l i t y and i n i n t a n g i b l e elements o f s o c i a l s t r u c t u r e . Even i f t h i s i s c o r r e c t ( I b e l i e v e t h a t i t i s , though as suggested above t h e r e were p r o b a b l y a l s o some p r e - e x i s t i n g c u l t u r a l and p e r s o n a l i t y d i f f e r e n c e s ) , s i n c e no o t h e r c o u n t r y has ex p e r i e n c e d t h e same f a v o r a b l e complex o f t e n s i o n s o r has m a n i f e s t e d t h e same i n n o v a t i o n a l t a l e n t d u r i n g p a s t c e n t u r i e s , one may r e a s o n a b l y expect t h a t Japan p r e s e n t s t h e l i m i t i n g case, which w i l l n e i t h e r be matched nor approached, even though t h e Chinese m a n i f e s t t r a i t s p a r a l l e l t o t h e Japanese i n some degree and t h e Chinese community on Taiwan may e s t a b l i s h a h i g h l y e n v i a b l e r e c o r d o f economic p r o g r e s s .1

A b r u p t m o d e r n i z a t i o n , even i n the s m a l l , w i l l o f t e n be s t e r i l e . Even a s i n g l e modern f a c t o r y , s e t down and o p e r a t e d i n a p r e d o m i n a n t l y n o n - i n d u s t r i a l s o c i e t y — a t c o n s i d e r a b l e n e t c o s t t o the s o c i e t y because o f t h e c o s t s o f meeting t h e i n e f f i c i e n c i e s caused by absence o f an i n d u s t r i a l c o m p l e x — i s n o t l i k e l y t o cause any sequence

These comments imply no judgment about Japan's future record. Japan is running into management-labor tensions now which are probably the inevitable outcome of the factors which brought her past very rapid progress. On general belief in her capacity in this field, one might assume that she will solve the difficultiesj but there are no specific reasons to conclude that she will.

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o f t e c h n i c a l advance t o occur elsewhere i n t h e s o c i e t y , or indeed t o have a p p r e c i a b l e i n f l u e n c e on t e c h n i q u e s e l s e where except f o r some s l i g h t t r a n s f e r r a b l e t r a i n i n g i n c r a f t s which i t may p r o v i d e . I t s t e c h n i q u e s are so f a r removed from t h o s e elsewhere i n t h e s o c i e t y t h a t i t does n o t p r o v i d e a u s e f u l model.

2. Only i f change i n s o c i a l s t r u c t u r e and i n p e r s o n a l i t y are p r o c e e d i n g i n p l a c e s i n t h e s o c i e t y ( o r , perhaps, i f t h e l a t t e r i s p r e s e n t and t h e former i s imminent) w i l l economic p r o g r e s s proceed. Then, a l o n g s i d e a few l a r g e "lumps"- o f "mod e r n i t y " which may be i m p o r t e d , i t w i l l proceed by f a i r l y s m a l l i n c r e m e n t s , a t f i r s t t e c h n i c a l l y d i s t i n c t ("One t e c h n i c a l problem a t a t i m e i s enough"), t h e n becoming g r a d u a l l y t e c h n i c a l l y i n t e r r e l a t e d .

Change i n s m a l l s t e p s i s a l s o d i f f i c u l t . I t almost c e r t a i n l y i n v o l v e s some i n c r e a s e i n t e c h n i c a l c o m p l e x i t y and i n t h e amount o f c a p i t a l r e q u i r e d . I t may i n v o l v e some new dependence on o t h e r i n d u s t r i a l e n t e r p r i s e s o r on f o r e i g n sources o f sup p l y o f main o r a u x i l i a r y i n p u t s . There i s l i k e l y t o be some i n c r e a s e i n m a n a g e r i a l comp l e x i t y , i n t h e p s y c h o l o g i c a l d i s t a n c e between employer and w o r k e r s , i n t h e need f o r f o r e m a n s h i p , and i n t h e " s o c i a l d i s t a n c e " over which b u y i n g and s e l l i n g must be done.

And t h e r e i s always t h e t e c h n i c a l problem. I n d e c i d i n g what moderate s t e p i n m e c h a n i z a t i o n and development t o w a r d a f a c t o r y w i l l be economic, t h e e n t e r p r i s e r must f i n d a n i c h e somewhat on t h e modern s i d e o f t r a d i t i o n a l methods o f p r o d u c t i o n . W h i l e he w i l l adopt t e c h n i c a l elements from t h e West, he w i l l f i n d no Western model t o i m i t a t e ; he must s e l e c t , s i m p l i f y , and adapt. He i s a t e c h n i c a l i n n o v a t o r i n t h e f u l l e s t sense, and he must a l s o be a s u f f i c i e n t l y good judge o f t h e economic r e s u l t s so t h a t th e r e d u c t i o n i n l a b o r c o s t s i n s p i t e o f t h e added management t e n s i o n s , o r t h e improvement i n q u a l i t y , w i l l j u s t i f y t h e added overhead or machinery c o s t s . T h i s does n o t always happen. There are many f a i l u r e s . But i t i s o n l y by a l a r g e number o f such s m a l l i n n o v a t i o n s , a l o n g s i d e t h e e s t a b l i s h m e n t o f a few f a c t o r i e s whole, t h a t i n d u s t r i a l i z a t i o n s proceeds.

I f t h e s o c i a l and p s y c h o l o g i c a l f e r m e n t which u n d e r l a y t h e s e i n i t i a l s t e p s p e r s i s t s , t h e process w i l l proceed. Some workers w i l l adapt f a i r l y w e l l t o t h e l o n e l i n e s s o f f a c t o r y work, o r w i l l f i n d ways o f p r o t e c t i n g themselves p a r t i a l l y a g a i n s t i t . I f t h e ways which e v o l v e c o n s t i t u t e t o o g r e a t b a r r i e r s , i n d u s t r i a l i z a t i o n may come t o a h a l t . But i f managers or t h e government can h e l p t o f i n d ways w h i c h are n o t such b a r r i e r s , t h e s o c i a l d e r o g a t i o n o f f a c t o r y work

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w i l l l e s s e n somewhat, and t h e commitment o f workers t o i n d u s t r y w i l l proceed.

Some men w i l l adapt s u c c e s s f u l l y t o f o r e m a n s h i p , and w i l l g a i n e x p e r i e n c e i n i t . More e l a b o r a t e management s t r u c t u r e s w i l l become p o s s i b l e . Management w i l l g a i n e x p e r i e n c e i n t h e management o f machines. C o n t r o l o f q u a l i t y and o f s p e c i f i c a t i o n s w i l l improve, and p r e c i s i o n w i l l i n c r e a s e . More complex e n t e r p r i s e s w i l l e v o l v e . I n d u s t r i a l p l a n t s w i l l b e g i n t o feed i n d u s t r i a l p l a n t s , and g r a d u a l l y an i n d u s t r i a l complex w i l l d evelop.

P a r a l l e l change w i l l go on i n t r a d e and a g r i c u l t u r e , and i n economic i n s t i t u t i o n s . T e c h n i c a l p r o g r e s s i n a g r i c u l t u r e o f t e n does n o t b e g i n u n t i l t e c h n i c a l progress i n i n d u s t r y has proceeded some d i s t a n c e and t h e s u c c e s s f u l i n d u s t r i a l i n n o v a t o r s l o o k around f o r new f i e l d s t o conquer. While t h e r e i s no reason t o t h i n k o f t h e process o f o v e r a l l t e c h n i c a l advance as set/-sustaining, modern h i s t o r y i n d i c a t e s t h a t t h e i n t e r w o v e n process o f f a i r l y r a p i d change i n p e r s o n a l i t y , s o c i a l ( i n c l u d i n g p o l i t i c a l ) s t r u c t u r e , t e c h n i q u e s , and economic s t r u c t u r e may c o n t i n u e f o r a t l e a s t s e v e r a l c e n t u r i e s .

Change i n t h e s m a l l f o r many decades i s l i k e l y t o be r e q u i r e d b e f o r e t h e process becomes c o n s p i c u o u s — w h e r e a f t e r some Western o b s e r v e r , f i n a l l y n o t i n g t h a t change i s o c c u r r i n g , may t a k e t h e date o f h i s o b s e r v a t i o n as t h e date when i n d u s t r i a l i z a t i o n began, and observe t h a t once i n d u s t r i a l i z a t i o n b e g i n s , i t proceeds r a p i d l y .

The process i s n o t i r r e v e r s i b l e or i n e v i t a b l e . Perhaps Mexico i n t h e 1820 fs and 1830 fs and I n d o n e s i a i n t h e 1950's and 1960 ,s p r o v i d e examples o f e a r l y economic g r o w t h b e i n g b r o u g h t t o a h a l t by r e s i s t a n c e s w i t h i n t h e s o c i a l s t r u c t u r e . A r g e n t i n a i n t h e postwar p e r i o d and p o s s i b l y some o t h e r L a t i n American c o u n t r i e s i l l u s t r a t e t h a t t h e pace of p r o g r e s s may a t l e a s t be s h a r p l y slowed down even a t l a t e r s t a g e s . And i t i s n o t y e t c e r t a i n t h a t t h e p r e s e n t extreme d i s r u p t i o n o f t h e A r g e n t i n i a n s o c i a l s t r u c t u r e may n o t b r i n g t h e process t o a complete h a l t . But i n g e n e r a l , i f t h e f o r c e s t e n d i n g t o w a r d growth are p o w e r f u l enough t o cause i t t o go f o r w a r d f o r s e v e r a l decades t h e y seem a l s o t o be p e r s i s t e n t enough t o cause i t t o c o n t i n u e f o r a much l o n g e r t i m e .

3. There i s no reason whatever, e i t h e r i n e x p e r i e n c e o r i n t h e t h e o r e t i c a l c o n s i d e r a t i o n s i n v o l v e d , t o assume t h a t i f a degree o f economic m o d e r n i z a t i o n o r knowledge o f i t i s i m p o r t e d from t h e o u t s i d e , i t s a t t r a c t i o n w i l l predominate over o t h e r f a c t o r s and b r i n g s o c i a l and p o l i t i c a l moderniz a t i o n (whatever those terms a r e t a k e n t o mean) and

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c o n t i n u i n g economic growth- That i s , t h e r e i s no p r i o r c a u s a l importance t o t h e economic.

4. The t h e o r i e s o f p u r e l y economic b a r r i e r s s u f f i c i e n t t o p r e v e n t economic p r o g r e s s , and t h u s i n themselves s u f f i c i e n t e x p l a n a t i o n s o f l a c k o f p r o g r e s s , are m i s p l a c e d . They are e m p i r i c a l l y unfounded; t h u s t h e markets i n non-i n d u s t r i a l c o u n t r i e s , a c c e s s i b l e t o pr o d u c e r s from c e n t r a l p o i n t s o f p r o d u c t i o n , a r e i n f a c t n o t so s m a l l as t o d i s c o u r a g e i n v e s t m e n t ; t h e r e are i n d i v i d u a l s w i t h enough funds t o f i n a n c e i n v e s t m e n t ; l a r g e " i n f r a s t r u c t u r e " p r o j e c t s are n o t i n i t i a l l y necessary, and so on.

5. One i n g r e d i e n t o f p e r s o n a l i t y which must e x i s t i n an o c c a s i o n a l i n d i v i d u a l i n t h e s o c i e t y i f economic g r o w t h i s t o proceed i s c r e a t i v i t y , o r , more s p e c i f i c a l l y , a r e a c t i o n on balance o f p l e a s u r a b l e a n t i c i p a t i o n r a t h e r t h a n a n x i e t y a t f a c i n g a problem.! P l e a s u r a b l e a n t i c i p a t i o n when f a c i n g a problem i m p l i e s c o n f i d e n c e i n one's judgment. ( I n t e c h n i c a l terms, need autonomy i s an i n g r e d i e n t e s s e n t i a l t o need achievement.) I n t h e g e n e r a l case, i n d i v i d u a l s who f e e l such c o n f i d e n c e i n t h e i r own judgment i n t e c h n i c a l o r economic a f f a i r s w i l l a l s o f e e l i t w i t h r e s p e c t t o s o c i a l - p o l i t i c a l a f f a i r s , and w i l l be d i s s a t i s f i e d w i t h a u t h o r i t a r i a n government. There w i l l t h e r e f o r e t e n d t o be c o r r e l a t i o n between t h e presence o f economic p r o g r e s s and movement from a u t h o r i t a r i a n t o de m o c r a t i c o r " c o m p e t i t i v e " p o l i t i c a l s t r u c t u r e . Prof e s s o r L i p s e t was t h e f i r s t t o p r e s e n t t h e e m p i r i c a l e vidence o f such a c o r r e l a t i o n . Coleman and t h e p r e s e n t w r i t e r , among o t h e r s , have f o l l o w e d him.2''

6. However, t h e r e i s a l s o a tendency f o r an i n d i v i d u a l t o c o n c e n t r a t e h i s c r e a t i v i t y i n t h e area o f g r e a t e s t i n t e r e s t t o him, and t o s o l v e t h e problem o f d e c i s i o n s i n o t h e r f i e l d s by a c c e p t i n g t h e c o n v e n t i o n a l d e c i s i o n s . So t o speak, he saves t i m e and energy i n t h a t way. Another

Another is values which channel creativity into solving the technical and institutional -problems involved in economic progress, rather than into warfare, political organization, philosophy, art, e tc.

See S. Lipset, "Some Social Requisites of Democracy: Economic Development and Political Legitimacy," TEE AMERICAN POLITICAL SCIENCE REVIEW, LIII, No. 1 (March, 1959); G. A. Almond, J. S. Coleman, et al., THE POLITICS OF THE DEVELOPING AREAS (Princeton, N. J.: Princeton University Press, 1960), final chapter; and E. E. Hagen, "A General Framework for Analyzing Economic and Political Change," in R. E. Asher, E. E. Hagen, A. 0. Eirschman, et al., DEVELOPMENT OF THE EMERGING COUNTRIES (Washington, D.C.: The Brookings Institution, 1962).

I l l

way o f e x p l a i n i n g t h e m a t t e r i s t o say t h a t by b e i n g c o n v e n t i o n a l i n most f i e l d s o f a c t i v i t y , he g a i n s enough e m o t i o n a l s e c u r i t y t o be b o l d i n t h e f i e l d o f g r e a t e s t i n t e r e s t t o him. I n some s o c i e t i e s t h i s b i f u r c a t i o n occurs w i d e l y , and t h e phenomenon o f c o n t i n u i n g t e c h n i c a l p r o g r e s s under a u t h o r i t a r i a n government o c c u r s , as i n the S o v i e t Union and Japan and i n l e s s extreme degree i n some o t h e r s o c i e t i e s . Some d i s c u s s i o n o f t h e circ u m s t a n c e s i n which i t o ccurs i s p r e s e n t e d i n t h e essays r e f e r r e d t o i n t h e f o o t n o t e j u s t above. L i t t l e i s known about t h e p r e c i s e mechanisms by which t h i s t y p e o f p e r s o n a l i t y i s b r e d i n these c i r c u m s t a n c e s .

7. There i s no reason t o assume a u n i v e r s a l human p r e f e r e n c e f o r more freedom, more s e l f - g o v e r n m e n t , more o p p o r t u n i t y t o s o l v e problems, r a t h e r t h a n l e s s . I have argued a t l e n g t h elsewhere t h a t t r a d i t i o n a l a u t h o r i t a r i a n s o c i o p o l i t i c a l systems have p e r s i s t e d as l o n g as t h e y have, n o t because by i n s t r u m e n t s o f b r u t e f o r c e a s m a l l e l i t e was a b l e t o h o l d 95 p e r c e n t o r more o f t h e p o p u l a t i o n i n s u b j e c t i o n f o r c e n t u r i e s , b u t because t h e a u t h o r i t a r i a n h i e r a r c h y , i n which even t h e l o w l i e s t peasant had a p l a c e o f i n c r e a s i n g a u t h o r i t y as his- l i f e p r o g r e s s e d , was cons i s t e n t w i t h t h e p e r s o n a l i t i e s o f t h e members o f those s o c i e t i e s . Facing problems o u t s i d e a narrow area o f t r a d i t i o n a l c r a f t , I have suggested, caused a n e t bal a n c e o f a n x i e t y r a t h e r t h a n p l e a s a n t a n t i c i p a t i o n ; t h e p e r s o n a l i t y o f which t h i s i s t r u e i s a l s o one t o which t h e e x e r c i s e o f a u t h o r i t y over o t h e r s y i e l d s s a t i s f a c t i o n ; and t h e h i e r a r c h y o f a u t h o r i t y , i n w h i c h each i n d i v i d u a l escaped a n x i e t y by r e s t i n g on t h e d e c i s i o n s o f s u p e r i o r s , and g a i n e d s a t i s f a c t i o n by e x e r c i s i n g h i s own a u t h o r i t y and by t h e a n t i c i p a t i o n o f g r e a t e r a u t h o r i t y as he grew o l d e r , was f a r more s a t i s f y i n g t h a n a system i n which ones e l f had t o make p o l i t i c a l , economic, and o t h e r choices.2

C o n s i s t e n t w i t h t h i s a n a l y s i s , I b e l i e v e t h a t P r o f e s s o r L a s s w e l l 1 s d i c t u m t h a t " t h e p r e f e r r e d model r e q u i r e s an i d e o l o g y o f p r o g r e s s and commitment t o wide p a r t i c i p a t i o n i n power as a l o n g - r u n g o a l " 2 i s n o t w h o l l y t e n a b l e . I would add, " i n s o f a r as t h e people o f t h e s o c i e t y p r e f e r i t . "

2See my book, ON THE THEORY OF SOCIAL CHANGE, Chapters 4-8.

2,tThe Political Sciences of Development," WORLD POLITICS, XVII, No. 2 (January, 1965, p. 290).

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8. An i n d i v i d u a l ' s degree o f p l e a s u r a b l e a n t i c i p a t i o n r a t h e r t h a n a n x i e t y a t f a c i n g a problem does n o t seem much a f f e c t e d by f o r m a l e d u c a t i o n . I t i s a f f e c t e d f a r more by t h e environment i n t h e home from e a r l i e s t i n f a n c y t o s c h o o l d a y s — b y what t h e p a r e n t s are and b e l i e v e and a u t o m a t i c a l l y do, r a t h e r t h a n by any d e l i b e r a t e c h i l d - t r a i n i n g m e t h o d s — and by t h e models w h i c h t h e c h i l d and a d o l e s c e n t l a t e r sees around him, and t h e e m o t i o n a l tone a s s o c i a t e d w i t h them, i n t h e home, i n s c h o o l and i n t h e w i d e r community.

E d u c a t i o n , i n s h o r t , does n o t make i n n o v a t o r s . The s t a t e ment needs s l i g h t q u a l i f i c a t i o n . A s t r o n g l y i n n o v a t i o n a l i n d i v i d u a l , i f he f a c e s a problem w h i c h i s i m p o r t a n t t o him, w i l l seek o u t t h e t o o l s necessary t o f a c e i t most e f f e c t i v e l y . However, a person who i s , so t o speak, i n th e m i d d l e o f t h e continuum w i t h r e s p e c t t o problem-s o l v i n g , or who i s a m b i v a l e n t about f a c i n g p r o b l e m s — b o t h drawn t o them and made anxious by them, w i t h about e q u a l f o r c e s — w i l l f e e l somewhat g r e a t e r c o n f i d e n c e , and be a somewhat b e t t e r s o l v e r o f minor problem, i f he has i n f o r m a t i o n which i s a p p l i c a b l e . E d u c a t i o n may make him somewhat more i n n o v a t i o n a l . Beyond t h i s , e d u c a t i o n i s o f i m p o r t a n c e , n o t i n t h a t i t g i v e s i n d i v i d u a l s a more i n n o v a t i o n a l b e n t o f mind b u t i n t h a t i t g i v e s them u s e f u l , t o o l s o f knowledge.

S i m i l a r l y , I judge t h a t e d u c a t i o n does n o t do much t o i n c r e a s e a people's d e s i r e f o r s e l f - g o v e r n m e n t . Some i n d i v i d u a l s f i n d making p o l i t i c a l d e c i s i o n s s a t i s f y i n g ; i n o t h e r s i t c r e a t e s a n x i e t y , and t h e y p r e f e r m e r e l y t o choose a l e a d e r , o r t o l e t t h e man who i n t h e i r v iew o f t h e w o r l d i s t h e " r i g h t " l e a d e r assume power. I judge t h a t e d u c a t i o n does n o t much a f f e c t t h e s e a t t i t u d e s . I t may cause t h e i n t r o d u c t i o n or maintenance o f Western forms, i f t h e s e seem " p r o p e r , " b u t n o t t h e i n t r o d u c t i o n o r maintenance o f t h e substance o f s e l f - g o v e r n m e n t .

Consequently, i n e d u c a t i o n a l p o l i c y I would s t r e s s t h e ( e x t r e m e l y i m p o r t a n t ) i n s t r u m e n t a l a spects o f e d u c a t i o n , r a t h e r t h a n t h i n k o f i t as an agent f o r g e n e r a l s o c i a l change.

9. L a s t l y , what does t h i s s e t o f assumptions and c o n c l u s i o n s suggest about research?

a. F i r s t , a t e c h n i c a l m a t t e r . I f I am c o r r e c t , on p u r e l y t e c h n i c a l grounds o f m a n a g e r i a l c a p a b i l i t y t h e r e a r e f a i r l y u n i f o r m necessary g e n e r a l sequences o f t e c h n i c a l and e s p e c i a l l y i n d u s t r i a l advance, even though t h e s p e c i f i c i n d u s t r i e s which w i l l a r i s e , as d e f i n e d by t h e m a t e r i a l s t h e y work o r t h e p r o d u c t s t h e y produce, w i l l depend on t h e n a t u r a l r e s o u r c e s and o t h e r c i r -

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cumstances o f t h e economy. P r o j e c t s which are o t h e r wise e c o n o m i c a l l y j u s t i f i e d are burdensome i f t h e economy does n o t y e t have t h e necessary t e c h n i c a l base f o r them. Economic a i d t o such p r o j e c t s i s w a s t e f u l . I suggest t h a t r e s e a r c h i n t o sequences o f i n d u s t r i a l development would be much w o r t h w h i l e . The c o u n t r y s t a f f s o f t h e U n i t e d S t a t e s Agency f o r I n t e r n a t i o n a l Development a r e , o f c o u r s e , e x c e l l e n t l y s i t u a t e d t o do th e necessary f i e l d work.

b. Secondly, f u r t h e r r e s e a r c h i n t o t h e r e l a t i o n s h i p s between economic and s o c i o - p o l i t i c a l change may be i l l u m i n a t i n g . I n t e r r e l a t i o n s much more complex t h a n those mentioned b r i e f l y above are suggested i n t h e w r i t i n g s mentioned above. A c o m b i n a t i o n o f f i e l d and r e f l e c t i v e r e s e a r c h m i g h t be w o r t h i n v e s t i n g a cons i d e r a b l e amount o f r e s o u r c e s on. The c o m p l e x i t y o f th e r e s e a r c h s h o u l d n o t be u n d e r e s t i m a t e d . A g r e a t d e a l o f f o r m u l a t i o n o f concepts would be needed. They c o u l d n o t be f o r m u l a t e d by a r b i t r a r i l y d e c i d i n g on them. I n some aspects o f t h e s t u d y needed, we do n o t y e t know what t o measure, and we must improve our u n d e r s t a n d i n g o f t h e elements a t work and t h e r e l a t i o n s h i p s among them b e f o r e we w i l l know what t o measure. The r e s e a r c h problem i s much more c o m p l i c a t e d t h a n t h a t suggested i n t h e paragraph above. But p e r haps p o l i t i c a l s c i e n t i s t s can carve o u t manageable areas w i t h i n t h i s g e n e r a l f i e l d .

c. T h i r d , a c r i t i c a l l o o k a t some o f t h e a s s e r t e d e f f e c t s of f o r m a l e d u c a t i o n i s w o r t h w h i l e . Some rat l e a s t , o f t h e a r t i c l e s by i n d i v i d u a l s who b e l i e v e t h a t e d u c a t i o n i s i m p o r t a n t i n shaping p e r s o n a l i t y p r e s e n t evidence which i s m e r e l y post hoc propter hoc. Schools have t a u g h t new a t t i t u d e s o r g i v e n w i d e r i n f o r m a t i o n ; new a t t i t u d e s o r changed b e h a v i o r have appeared; hence i t i s assumed t h a t t h e e d u c a t i o n was t h e cause. But t h e change i n e d u c a t i o n o c c u r r e d i n t h e m i d s t o f g r e a t f e r m e n t i n s o c i a l s t r u c t u r e and home env i r o n m e n t , and a n a l y s i s w hich was more d i s p a s s i o n a t e and c r i t i c a l m i g h t suggest h a l f a dozen o t h e r p l a u s i b l e causes w i t h which t h e e m p i r i c a l c o r r e l a t i o n i s as h i g h . An a t t e m p t a t de-bunking would e i t h e r cause one t o be more s k e p t i c a l o f the r e s u l t s o f e d u c a t i o n , o r i f i n some cases no p l a u s i b l e a l t e r n a t i v e cause i s apparent., would suggest l i m i t a t i o n s on t h e s k e p t i c a l view expressed above. I n e i t h e r e v e n t , t h e i m p l i c a t i o n s f o r t h e n a t u r e ( r a t h e r t h a n t h e amount) o f e d u c a t i o n a l p r o j e c t s s u p p o r t e d by t h e U n i t e d S t a t e s Agency f o r I n t e r n a t i o n a l Development m i g h t be i m p o r t a n t .

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Discussion

1. D I F F E R E N T VALUES IN TRADITIONAL S O C I E T I E S S t e i n f e l t t h a t t h e paper makes i m p l i c i t assumptions about t h e n a t u r e o f man t h a t s h o u l d be q u e s t i o n e d . People i n t h e l e s s developed areas may p r e f e r non-economic s a t i s f a c t i o n s t o economic. Hagen agreed t h a t when t r a d i t i o n a l s o c i e t i e s are s a t i s f i e d , i t i s a l l r i g h t t o l e a v e them a l o n e . But i f t h e y are d i s s a t i s f i e d as many seem t o be, t h e n t r y i n g t o g i v e h e l p i s d e s i r a b l e . The m o t i v e s and v a l u e s are d i f f e r e n t , however, which Western s o c i a l s c i e n t i s t s o f t e n f a i l t o r e c o g n i z e . Most people want more w e a l t h , b u t i f t h i s has t o be o b t a i n e d a t a c o s t t o r e s p e c t o r some o t h e r p r e f e r r e d v a l u e , no t r a d e - o f f may be d e s i r e d . T r a d i t i o n a l s o c i e t i e s a r e c h a r a c t e r i z e d by people w i t h a much h i g h e r dependency need and a n x i e t y a t f a c i n g new problems. T h i s i s a s s o c i a t e d w i t h b e i n g n o n - i n n o v a t i o n a l , and h i g h dependency needs a l s o means low empathy. There i s , i n a d d i t i o n , t h e f a m i l i a r b u t r e a l repugnance-of e l i t e s i n t r a d i t i o n a l s o c i e t i e s t o engage i n manual work. Even i n d u s t r i a l a c t i v i t y may be c o n s i d e r e d d i s t a s t e f u l , so t h a t savers w i t h money t o i n v e s t may f i n d t h e s o c i a l c o s t t o o g r e a t t o j u s t i f y t h e i n c r e a s e d w e a l t h .

2. VRE-VISV0SIT10N FOR CHANGE THROUGH PERSONALITY CHANGE

Hagen emphasized a g a i n t h a t home environment p e r p e t u a t e s p e r s o n a l i t y t y p e s . He r e f e r r e d t o L e r n e r 1 s s t a t e m e n t t h a t t h e peasant becomes urban, t h e n l i t e r a t e , t h e n a media p a r t i c i p a n t and f i n a l l y becomes a p o l i t i c a l p a r t i c i p a n t . I s t h i s t h e c a u s a l chain? Hagen suggested t h a t empathy comes f i r s t , even b e f o r e communication reaches t h e p e a s a n t s , and t h a t t h e f i r s t f o r c e i s t h e c i r c u m s t a n c e s i n t h e home envi r o n m e n t , caused by t e n s i o n s i n t h e s o c i a l s t r u c t u r e . Only i f t h e r e i s a p e r s o n a l i t y change which i s a p r e - d i s p o s i t i o n f o r change, he b e l i e v e d , can changes be b r o u g h t about by mass communication o r f o r e i g n a i d .

3. CHALLENGE FOR ELITES

Hagen doubted t h a t o u t s i d e c u l t u r e c o n t a c t s w i t h t r a d i t i o n a l s o c i e t i e s change t r a d i t i o n a l v a l u e s any more t h a n those o f more modern s o c i e t i e s . Moreover, the e x i s t i n g e l i t e s i n t r a d i t i o n a l s o c i e t i e s may s a t i s f y t h e

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l o w e r c l a s s e s q u i t e w e l l . A breakdown o f these e l i t e s can be a m ajor t r i g g e r f o r change, when t h e y can no l o n g e r p r o v i d e r i t u a l , s u p p o r t , guidance or l e a d e r s h i p t o t h e lower c l a s s e s . He a l s o q u e s t i o n e d t h e assumption (made i n t h e Esman-Bruhns paper) t h a t l e a d e r s i n t r a d i t i o n a l s o c i e t i e s want m o d e r n i z a t i o n and n a t i o n a l u n i t y ; t h e l e a d e r s may indeed want t h e f r u i t s o f m o d e r n i t y , b u t a t what c o s t ?

Humphrey f e l t t h a t t h e l e a d e r s i n t r a d i t i o n a l s o c i e t i e s s h o u l d focus on c r e a t i n g t h e b e s t c o n d i t i o n s f o r c a p i t a l a c c u m u l a t i o n and i n f l o w from o u t s i d e , and commented t h a t t e n s i o n s do n o t n e c e s s a r i l y mean, or l e a d t o , m o d e r n i t y .

4. NEED FOR SYSTEMS APPROACH WITH CHANGE RATES

Hughes s a i d t h a t t h e r e was a s t r o n g need f o r more o f a g e n e r a l systems approach i n Hagen fs, and o t h e r models, such as he had a t t e m p t e d i n t h e e c o l o g i c a l model. A systems model p r o v i d e s a s t a t e m e n t o f f u n c t i o n a l r e l a t i o n s h i p s f o r each p a r t , showing how m u t u a l v a r i a t i o n among f a c t o r s occurs (as w i t h t h e t e m p e r a t u r e and p r e s s u r e o f g a s ) . A s e t o f such r e l a t i o n s h i p s t h e n p r o v i d e s a w o r k i n g e x p l a n a t i o n o f t h e system as a whole. I f c o n t i n u i t i e s are f o u n d , t h e n i t means we d i d n ' t u n d e r s t a n d t h e system.

Deutsch suggested t h a t i n a d d i t i o n t o a systems model, one needs a t i m e dimension and change r a t e s . I n c o n s i d e r i n g economic models of g r o w t h i n r e l a t i o n t o a c t u a l e v e n t s , one observes t h a t much o f what K a r l Marx c a l l e d " s u p e r s t r u c t u r e " t u r n s o u t t o be e s s e n t i a l " i n f r a s t r u c t u r e . " A l s o needed i s a t l e a s t a C a l v i n i s t l e v e l o f l i f e e x pectancy. How l o n g i s l o n g , when l i t e r a c y i n c r e a s e s , on t h e average, by one p e r c e n t o f t h e p o p u l a t i o n per year and i n urban c e n t e r s by 0.7 p e r c e n t a n n u a l l y ? What do t h e t r e n d s add up t o i n t h e p r o s p e c t s f o r t h e f u t u r e , -when i n the n e x t 30 y e a r s o f t h e average d e v e l o p i n g c o u n t r y (a) p o p u l a t i o n w i l l d o u b l e , (b) per c a p i t a income w i l l be up 50 p e r c e n t , (c) the u r b a n - i n d u s t r i a l s e c t o r w i l l grow by 15-20 p e r c e n t , and (d) s c h o o l e n r o l l m e n t w i l l go from i t s p r e s e n t 30 p e r c e n t t o 60 p e r c e n t ? I n d i c a t i n g change r a t e s whould h e l p t o show what c r i s e s are i n t h e p i p e l i n e .

5. INCREASING INNOVATION

The d i s c u s s i o n t u r n e d t o p o s s i b l e ways o f i n c r e a s i n g t h e s u p p l y o f i n n o v a t i o n and h i g h need a c h i e v e r s . There seemed g e n e r a l agreement t h a t t h e b a s i c s o c i a l o r i e n t a t i o n o f c h i l d r e n ( i n Western s o c i e t y ) i s s e t by about t h e age o f s i x when t h e y e n t e r s c h o o l , b u t t h a t a good d e a l c o u l d be done t o t r a i n o r educate young people t o be h i g h e r need a c h i e v e r s . C h i l d r e n grow from normal i n f a n t i l e dependency e i t h e r t o a d u l t dependency or t o mature independence and i n t e r dependence as a r e s u l t o f many f a c t o r s n o t y e t t h o r o u g h l y u n d e r s t o o d . M e n t i o n was made o f t h e work David M c C l e l l a n d , John A t k i n s o n and

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others on i n c r e a s i n g the need achievement of a d u l t s through s p e c i f i c t r a i n i n g . Hagen a l s o pointed out th a t e f f e c t i v e innovation can a l s o be i n c r e a s e d without any p e r s o n a l i t y change, by providing c a p i t a l on good terms so t h a t a moderate innovator has a lessened r i s k . Economic progress means people t a l k i n g new economic r o l e s .

Deutsch suggested t h a t a study of re t u r n i n g servicemen from t r a d i t i o n a l s o c i e t i e s would be worthy of r e s e a r c h , and might y i e l d u s e f u l i n s i g h t s on how in c r e a s e d innovation and need achievement motivation could be enhanced.

6. ECONOMIC VARIABLES LINKED TO OTHERS

There was strong agreement with a number of the points which Hagen made i n summarizing h i s paper, i n c l u d i n g the fol l o w i n g : (1) The c e n t r a l feature of the process of economic growth i s t e c h n i c a l change, which i n v o l v e s acceptance of new economic r o l e s by i n d i v i d u a l s ; (2) the d i f f i c u l t i e s of moving d i r e c t l y to f a c t o r y production i n a n o n - i n d u s t r i a l s o c i e t y are not merely economic and t e c h n i c a l , but a l s o s o c i o - p s y c h o l o g i c a l ; (3) a s o c i e t y i s a system of many i n t e r - r e l a t e d elements which are s a t i s f y i n g to i t s members. Changes i n the system, to enhance c e r t a i n v a l u e s , may cause d i s s a t i s f y i n g changes i n others.

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© HEALTH AND WELL-BEING VALUES IN THE PERSPECTIVE OF SOCIOCULTURAL CHANGE

CkaklzA Campbell Hugke,*

Michigan Statz UnLv <LK& tty

Parts of this paper were adapted from a presentation at the University of Kentucky Centennial Conference on "Cross-Cultural Psychiatry and. P'sychoethnologySeptember, 1965 (in press), and have also appeared in an article "Ethnomedicine" in the INTERNATIONAL ENCYCLOPEDIA OF THE SOCIAL SCIENCES, (1966). They are reprinted here with the permission of the editors.

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I N T R O D U C T I O N

L e t me f i r s t review terms of reference- We are to consider the i n s t i t u t i o n a l area or s e c t o r with which we are i n d i v i d u a l l y concerned as a h e u r i s t i c point of focus i n a complex of e m p i r i c a l l y r e l a t e d p r o c e s s e s . One task i s therefore to t r a c e out some of those e m p i r i c a l r e l a t i o n s h i p s of one i n s t i t u t i o n a l area to another, i n an e f f o r t to d i s c e r n ramifying p a t t e r n s of mutual i n f l u e n c e . T h i s i s to be done e x p e c i a l l y with r e f e r e n c e to a dynamic dimension of such r e l a t i o n s h i p s , i . e . , c a u s a t i v e and consequent f a c t o r s of s o c i a l change. More s p e c i f i c a l l y , we are to consider whether the type of conceptual framework developed i n one i n s t i t u t i o n a l area to account f or change and development—that of economics—can be applied to the course of s o c i a l transformation i n others such t h a t u n i v e r s a l c h a r a c t e r i s t i c s of the change process can be b e t t e r understood.

I n attempting to discharge these t a s k s , I w i l l i n i t i a l l y consider at some length the values and i n s t i t u t i o n a l p r a c t i c e s r e l a t e d to h e a l t h , and then express some thoughts on the a p p l i c a b i l i t y of the value-a n a l y t i c framework proposed by P r o f e s s o r s L a s s w e l l and Holmberg as a -background for t h i s conference.

At the most introductory l e v e l , I would f i r s t of a l l remark p a r e n t h e t i c a l l y t h a t what we are asked to do i s , i n e f f e c t , so to shape our c o n s i d e r a t i o n s t h a t they conform to the mainstream s t r a t e g i e s f or developing s c i e n t i f i c knowledge about any sector of nature ( c f . , e.g., Bronowski, 1955). I n c o n t r a s t to the search for the i s o l a t e d o b j e c t or event, such a s t r a t e g y focuses, by s u c c e s s i v e approximations, on the network of contingent r e l a t i o n s of the object of i n t e r e s t , and i s a process of what may be c a l l e d "progressive con-t e x t u a l i z a t i o n " of the problem area.

I would a l s o observe t h a t when we do begin to view human phenomena i n a comprehensive framework of t h i s nature, we are, i n f a c t , approaching our s u b j e c t ecologically. Indeed, I would go f u r t h e r and suggest t h a t we must a c t i n such a f a s h i o n and develop r e s e a r c h frameworks ac c o r d i n g l y i f we are to advance understanding of the many-sided thing which i s human l i f e . With a n t i c i p a t i o n of a general paper on ecology from Pr o f e s s o r I s a r d , I w i l l not a t t h i s point develop d i s c u s s i o n of the background and d e f i n i t i o n of the f i e l d . But I must i n t r u d e on the s u b j e c t matter of h i s paper to a c e r t a i n extent, a t l e a s t , i n unfolding the focus of my own; for i t i s simply impossible

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to d i s c u s s h e a l t h and w e l l being i n e i t h e r an organic or p s y c h o s o c i a l sense without taking a thoroughly e c o l o g i c a l point of view, i n the dynamic, not the merely ca r t o g r a p h i c sense i n which i t i s sometimes used i n the s o c i a l s c i e n c e s .

I w i l l t h e r e f o r e repeatedly s t r e s s the relevance of, i f not the formal d e f i n i t i o n and development of, the e c o l o g i c a l framework. For i n s o f a r as ecology considers the m u l t i p l e patterns of f u n c t i o n a l i n t e r r e l a t i o n s among populations, and between populations and t h e i r h a b i t a t s more g e n e r a l l y conceived, then much of what we attempt to do i n the b e h a v i o r a l s c i e n c e s may be considered as i n the s p i r i t and i n t e n t of a g e n e r a l ecology. When, for example, we speak of " m u l t i - f a c t o r i a l " c a u s a t i o n ; of the h o l i s t i c approach which s t r e s s e s the importance of g e s t a l t or of context i n i n t e r p r e t a t i o n of the meaning of an a n a l y t i c a l l y i s o l a t e d event or o b j e c t ; of the balances and e q u i l i b r i a (both endogenous and exogenous) maintained by l i v i n g t h i n g s ; of the e s s e n t i a l p o p u l a t i o n a l or s o c i a l c h a r a c t e r of most phenomena; or of the need for c l o s e , i n d u c t i v e a t t e n t i o n to e m p i r i c a l data as the b a s i s for f u r t h e r , guided search—when we do t h i s , then (maybe l i k e Monsieur Jourdain, with h i s d i s c o v e r y of the meaning of "prose") we are, i n f a c t , speaking a t l e a s t a d i a l e c t of the language of ecology.

I n t h i s paper, I s h a l l a l s o argue t h a t s o c i o c u l t u r a l change of the type we are concerned with here i s -predispositional to i n c r e a s e d i n c i d e n c e of d i s e a s e , i n s o f a r as i t u s u a l l y d i s r u p t s e s t a b l i s h e d p a t t e r n s of adaptation, of homeostasis; t h a t whether s i c k n e s s does, i n f a c t , consequently ensue as a r e s u l t of such disrupted c o n d i t i o n s of l i f e depends upon the compensatory resources of an organic and p s y c h o l o g i c a l nature to be found i n the newly-created s i t u a t i o n of a c t i o n , and t h a t adequate compensatory mechanisms are u s u a l l y l a c k i n g i n times of p e r v a s i v e and r a p i d change; t h a t i t may be h e l p f u l to separate the concept of disease as a p a t h o l o g i c a l process defined by t i s s u e a l t e r a t i o n or b e h a v i o r a l malfunction, from illness , viewed as the s u b j e c t i v e or phenomenological perception of disturbed f u n c t i o n i n g ; t h a t , i n t h i s l i g h t , d e f i n i t i o n s of "normality" are l a r g e l y a f u n c t i o n of a group's c u l t u r a l l y - s t r u c t u r e d l e v e l of h e a l t h a s p i r a t i o n , and t h a t the l a t t e r , i n t u r n , i s dependent upon h i s t o r i c a l and e x p e r i e n t i a l f a c t o r s , both those of an " i n f o r m a t i o n a l " or c o g n i t i v e c h a r a c t e r and those of s t r e s s and t h r e a t . I t w i l l be .also argued t h a t one of the main concomitants of s o c i o c u l t u r a l change i s the "conjunction of a l t e r n a t i v e s " i n a c o g n i t i v e sense, which c r e a t e s a s i t u a t i o n of c o n f l i c t i n r e f e r e n c e c u l t u r e s , i n values and b e l i e f systems, and may w e l l r e d e f i n e standards of "normality" to such an extent t h a t the same phenomenon- may be viewed as a "normal" occurrence at one time and as a p a t h o l o g i c a l c o n d i t i o n at another. Such c o g n i t i v e conjunction of a l t e r n a t i v e s f r e q u e n t l y a l s o leads to s u s t a i n e d and i n g r a i n e d f e e l i n g s of r e l a t i v e d e p r i v a t i o n , change i n the b a s i s of self-esteem, perhaps a l i e n a t i o n from s e l f and from ot h e r s , psychoneurotic and psychophysiologic complaints or other more s e r i o u s i n d i c a t o r s of disturbance of the p s y c h o s o c i a l homeostasis achieved under pre-change conditions of l i f e .

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One i m p l i c a t i o n from the foregoing i s very c l e a r : the p r i n c i p a l and most v i t a l questions f a c i n g p o l i c y makers of d i r e c t e d developments are t h e r e f o r e those of b u i l d i n g i n t o the s t r u c t u r e of the change process the compensatory and a m e l i o r a t i v e mechanisms c a l l e d for by the d i s r u p t i o n i n a d a p t a t i o n a l p a t t e r n s , and by the s p e c i f i c nature and scope of new adaptive t h r e a t s .

THE MATURE AND N O R M A L I T Y OF V J S E A S E

D i s c u s s i o n of the f u n c t i o n a l r o l e of h e a l t h and well-being values i n a context of s o c i o c u l t u r a l change w i l l be enhanced by p r i o r conside r a t i o n , however b r i e f , of h e a l t h and d i s e a s e i n the more general context of l i f e and a d a p t a t i o n a l a c t i v i t i e s . I n such a d i s c u s s i o n I s h a l l hope to bring out the p r i n c i p a l premises, mainly of an ecologic nature, which guide both b a s i c and a p p l i e d a c t i v i t i e s i n i n s t i t u t i o n s d e a l i n g with h e a l t h and well-being v a l u e s .

I n speaking of " h e a l t h and w e l l being" we are, e s s e n t i a l l y , conf r o n t i n g one aspect of the ancient and p e r s i s t e n t conceptual problem of adaptation, adjustment, and e q u i l i b r i u m . D i s l i k e i t as we may because of the methodological and o p e r a t i o n a l snares involved i n use of t h e s e terms, we cannot avoid them^; for he a l t h and w e l l being are but i n d i c a t o r s or phases of the more comprehensive phenomenon, l i f e i t s e l f ; and l i f e i s rooted i n processes of ad a p t a t i o n a l e f f o r t s d i r e c t e d a t s p e c i f i c environments, e i t h e r i n t e r n a l or e x t e r n a l .

I n the s u b - t i t l e to t h i s s e c t i o n I have used the phrase "normality of d i s e a s e " to s t r e s s the point that the p a t h o l o g i c a l i s l a r g e l y an ext e n s i o n of the "normal," i s best considered an inappropriate, e x c e s s i v e , or d e f i c i e n t v e r s i o n of "normal" t r a n s a c t i v e processes.

Despite efforts to deny them. It is curious how some behavioral scientists. dealing with the phenomena of life and the organization of social forms at various levels of complexity eschew all discussion of adaptation and, in effect, take leave of the obvious in an attempt to be rigorous. As an example, Zollschan has recently remarked in a discussion dealing with social change and its psychological involvements: "Concepts such as ADAPTATION, ADJUSTMENT, and FUNCTION have exercised a truly pernicious influence in the study of behavior. They appear to be hanging on in psychology and sociology, although biology is on the verge of abandoning them." (1964: p . 18?n) It is surely unarguable that any science purporting to deal with the centra I phenomenon of life must straight-forwardly confront the concept of adaptation and somehow find techniques to deal with it--and not simplyj ex cathedra , dismiss this quintessential characteristic as "pernicious"! A much more sophisticated and, to my mind, acceptable criticism of naive functionalism in the group sciences than Zollschan's is that by Romans in his recent Presidential Address to the American Sociological Association (1964).

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Such a " p h y s i o l o g i c a l " as opposed to an " o n t o l o g i c a l " view of the p a t h o l o g i c a l process was w e l l expressed decades ago by the noted p a t h o l o g i s t , Virchow:

...The discovery of some p a r a s i t i c a l p l a n t s and animals which take the human body as t h e i r host was i n no way whatsoever proof of the general p a r a s i t i s m of d i s e a s e s .... For our p a r t , we d i s t i n g u i s h , n e i t h e r i n s i c k n e s s i n g eneral nor i n i t s p a r t i c u l a r e f f e c t s , anything which i s d i s t i n c t i v e from l i f e and i t s performance. Everywhere, i t i s a question e i t h e r of the o b s t r u c t i o n of normal p h y s i o l o g i c a l processes or of the s t i m u l a t i o n of the same i n unusual l o c a t i o n s or a t unusual times... yet i n such a way t h a t the p a t h o l o g i c a l process d i f f e r s from the p h y s i o l o g i c a l process by the character of danger which i t e n t a i l s f o r the continuance of l i f e i n general or of i n d i v i d u a l l i v i n g components. (In Leighton, D.C., e t a l . , 1963, p. xv)

L i f e and adaptation (and t h e r e f o r e health) i s , then, a contingent phenomenon, not to be d i s c u s s e d except with r e f e r e n c e to the s p e c i f i c conditions of l i f e . One must ask what i s a d j u s t i n g , i s attempting to adapt, and to what?

I n the same l i g h t , i n introducing the question of change, we must ask whether c o n s i d e r a t i o n of i t can f a l l outside the conceptual framework of adaptation, of maintenance processes. For i n s o f a r as a l l t h e o r e t i c a l c o n s i d e r a t i o n s of the e m p i r i c a l world must a t l e a s t i m p l i c i t l y be rooted i n f a c t o r s of change, of flow and dynamic i n t e r a c t i o n , then change, too, must be analyzed only under the aegis of adaptation. "Change" simply cannot be s e t a s i d e as another v a r i a b l e any more than can "adaptation." Rather, a change dimension must be i n c l u d e d i n any c o n s i d e r a t i o n of the contingent nature of the organism's attempts a t adaptation. Put most simply, i n a d d i t i o n to the phyloge-n e t i c a l l y acquired p a t t e r n s , the organism i n the course of l i f e ( e s p e c i a l l y the r e l a t i v e l y i n s t i n c t - f r e e human organism) develops a r e p e r t o r y of a d a p t a t i o n a l techniques based on the premise of approximate c o n t i n u i t y and s t a b i l i t y of environmental c o n d i t i o n s . Yet the environment i s always changing to some degree. Hence c o n t i n u i t y of l i f e c o n s i s t s i n success i n , as i t were, adapting the adaptational techniques to the new s i t u a t i o n s , i n a t t a i n i n g and maintaining p r e f e r r e d patterns of energy interchange with the environment. Adaptability i s thus the key o p e r a t i o n a l f e a t u r e of the c o n t i n u i t y of l i f e , and perhaps the d i a g n o s t i c or d e f i n i n g c r i t e r i o n of h e a l t h and w e l l being.

P u t t i n g the matter at the most a b s t r a c t l e v e l , the e s s e n t i a l q u a l i t y of l i f e has been d i s c u s s e d i n terms of organizational capacity, and of adaptation as o r g a n i z a t i o n . L i f e i s an "un-natural" phenomenon i n t h a t i t d e f i e s the second law of thermodynamics, which i s t h a t a l l o r g a n i z a t i o n , a l l energy, tends toward a s t a t e of randomness, of maximum wn-organization and d i s o r d e r , of "entropy." I t has been s a i d

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t h a t " l i f e feeds on 'negative entropy 1" (Schrodinger, 1956); i t i s a process during which there i s s u s t a i n e d or even inc r e a s e d capt u r e and i n c o r p o r a t i o n of energy from outside the system such t h a t fo r a time the organism i s an energy system organizing energy i n the attempt to compensate for the i n e v i t a b l e l o s s of i n t e r n a l o r g a n i z a t i o n through the wear and t e a r of l i v i n g . One way of o p e r a t i o n a l i z i n g the process of adaptation, i n f a c t , i s t h a t of considering i t as optimal organization of energy flow toward p a r t i c u l a r ends (e.g., P i t t e n d r i g h , 1958); or as a s t a t e of e q u i l i b r i u m (e.g., Ashby, 1940).

Health and d i s e a s e are thus concepts which i n h e r e n t l y imply the n e c e s s i t y of c o n s i d e r i n g context, both i n terms of d e f i n i t i o n and of c a u s a t i o n . For "health" i s , f i r s t of a l l , rooted i n t r a n s a c t i o n , i n the continuous a c t i v i t y on the p a r t of the organism to e s t a b l i s h and maintain p a t t e r n s of r e l a t i v e adaptive success i n dealing with i t s environment, both i t s " e x t e r n a l " environment and i t s " i n t e r n a l " m i l i e u . I n t h i s l i g h t h e a l t h i s , then, an e c o l o g i c a l phenomenon, always to be considered i n terms of contextual r e l a t i o n s .

The d e f i n i t i o n of h e a l t h o f f e r e d by the World Health Organization may be c i t e d as a c u r i o u s l y abstruse and u n f r u i t f u l c o n t r a s t to the above d i s c u s s i o n : "Health i s a s t a t e of complete p h y s i c a l , mental, and s o c i a l w e l l being and not merely the absence of d i s e a s e or i n f i r m i t y " ( i n Brockington, 1958, p. 19). Such a d e f i n i t i o n p o s i t s an i d e a l condition, a s t a t e of " p e r f e c t i o n " devoid of reference to mundane circumstances. Moreover, by saying t h a t h e a l t h i s a " s t a t e , " i t seems to imply a s t a t i c , an i n e r t q u a l i t y to h e a l t h , makes he a l t h a " t h i n g , " an acquired a t t r i b u t e a s s o c i a t e d with l i f e and not-a process i n h e r e n t l y c o n s t i t u t i v e and d e f i n i t i v e of the e n t i r e l i f e p r o c e s s . I t makes no reference to the potential mode, to the capacity for performance, adjustment, mastery which are s t r e s s e d by numerous authors i n medical l i t e r a t u r e . For l i f e (and t h e r e f o r e h e a l t h or non-health) i s pre-eminently a c o n d i t i o n a l phenomenon rooted i n a c t i v i t y , i n p r o c e s s - - i s contingent upon the maintenance of p a r t i c u l a r p a t t e r n s of r e l a t i o n s h i p to p a r t i c u l a r environmental f a c t o r s , p a r t i c u l a r ranges and magnitudes i n the c o n s t e l l a t i o n of processes comprising the homeostatic balance by which l i f e i s maintained. "Health" once a t t a i n e d provides no guarantee f o r the future. Thus the s p e c i f i c q u a l i t i e s and a t t r i b u t e s of the environment become determining f a c t o r s regarding the type of l i f e t h a t can be maintained t h e r e i n ; as we have r e c e n t l y been t o l d , we should not expect to f i n d " l i f e as we know i t " on the p l a n e t Mars, given the nature of i t s atmosphere. Dubos and Pines have remarked:

. . . ( I t ) i s c l e a r that the r e a l measure of h e a l t h i s not the Utopian absence of a l l d i s e a s e , but the a b i l i t y to f u n c t i o n e f f e c t i v e l y w i t h i n a given environment. And s i n c e the environment keeps changing, good h e a l t h i s a process of continuous adaptation to the myriad microbes, i r r i t a n t s , p r e s s u r e s and problems which d a i l y challenge man. (Dubos and Pines, 1965, p. 10)

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And continuing:

Darwinism holds t h a t only those i n d i v i d u a l s and s p e c i e s s u r v i v e and m u l t i p l y which are f i t t e d to t h e i r e x t e r n a l environments. Bernard went one step f u r t h e r , d e s c r i b i n g t h i s f i t n e s s as the a b i l i t y to adapt to e x t e r n a l changes whi l e maintaining a constant i n t e r n a l environment. I n t h i s sense, f i t n e s s depends on the e x i s t e n c e of c o n t r o l mechanisms which permit the organism to maintain i t s i n d i v i d u a l i t y i n the face of a l l c h a l l e n g e s . I n Bernard's famous phrase, "The f i x i t y of the i n t e r n a l environment i s the e s s e n t i a l requirement for a f r e e l i f e . " ( i b i d , p. 11)

L i f e i s t h e r e f o r e an expression of a s t a b l e , continuing c o n s t e l l a t i o n of adaptive processes, and d i s e a s e r e p r e s e n t s an exaggerated or abnormal use of defense r e a c t i o n s or mechanisms on the p a r t of the organism i n i t s attempts a t adaptation to threatening circumstances, e i t h e r i n t e r n a l or e x t e r n a l . Dubos's rece n t book, Man Adapting, comprehensively d i s c u s s e s t h i s framework from the bio-chemical through the s o c i o c u l t u r u a l l e v e l s of phenomena (1965). Any d i s c u s s i o n of h e a l t h must, i n t h i s l i g h t , t h e r e f o r e somehow invo l v e c o n s i d e r a t i o n of adaptation of the organism as a whole or of i t s subsystems, i n the manner, f o r example, of Engle (1963), who d i s c u s s e s " u n i f i e d concept of h e a l t h and d i s e a s e , " or B r o s i n (1960), who enlarges the meaning of pathogenic environment to i n c l u d e s o c i a l l y and c u l t u r a l l y r e l e v a n t f a c t o r s , v i z . :

I f " d i s e a s e " i s considered as a r e l a t i v e f a i l u r e i n adaptation to e x i s t i n g l i f e - c i r c u m s t a n c e s , i n c l u d i n g gaseous, f l u i d , and mineral intake and output, n u t r i t i o n , family and job a c t i v i t i e s , aims, hopes, f e a r s , and t a l e n t s , we can begin to d e s c r i b e more c o n c r e t e l y the p h y s i c a l , p s y c h o s o c i a l , and s o c i o c u l t u r a l i n t e r a c t i o n s i n the c u l t u r a l s e t t i n g . (p. 386) ...Disease w i l l be understood as an aspect of continuing processes both i n a b i o l o g i c a l organism and i n the ongoing c u l t u r e of which the d i s e a s e i s an intimate p a r t . T h i s process of disordered adaptation may be more or l e s s r e v e r s i b l e under appropriate c o n d i t i o n s . . . . D i s e a s e i s not an e n t i t y but the name given to adaptive f a i l u r e s of a l r e a d y e x i s t i n g and operating processes which are thems e l v e s always i n an unstable s t a t e of change....(p. 387)

The p r i n c i p a l p r o p o s i t i o n s from the medical f i e l d which appear to summarize my d i s c u s s i o n thus f a r are these:

a. Maintenance of l i f e (and t h e r e f o r e of h e a l t h ) i s based on s u c c e s s f u l adaptations of the organism to i t s environment at many l e v e l s of system o r g a n i z a t i o n .

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b. The organism i s a p s y c h o b i o l o g i c a l whole, to be considered with reference to problems of adapting both to bio-geo-chemical parameters, as w e l l as to a p s y c h o s o c i a l , c u l t u r a l world.

c. Health and d i s e a s e are but po i n t s along a continum of adaptive p a t t e r n s and proce s s e s .

d. Disease r e p r e s e n t s a defense mechanism, an attempt a t adaptation and r e t u r n of the ps y c h o b i o l o g i c a l organism to the status quo ante, or to a new pattern of homeostasis, or "steady s t a t e . "

e. Disease i s , however, often a maladaptive p a t t e r n of r e a c t i o n , s e l f - d e s t r u c t i v e of the system i n t e g r i t y of the organism, or conductive to s h o r t -term, circumscribed r e s u l t s r a t h e r than f r u i t f u l of growth, expansion, extended function.

f. I f l i f e i s based i n establishment of a balance i n i n t e r a c t i o n with the environment, change i n t h a t environment (or i n the m i l i e u i n t e r i e u r ) d i s r u p t s such a pa t t e r n of adaptation, or- of e q u i l i b r i u m .

g. Change i s t h e r e f o r e p r e d i s p o s i t i o n a l to d i s e a s e (or a l t e r n a t i v e l y , to d i f f e r e n t or enhanced pa t t e r n s of h e a l t h ) , i n the sense t h a t a new pattern must be e s t a b l i s h e d i n the context of the new co n d i t i o n s .

h. Whether i l l n e s s (or, c onversely, c a p a c i t y for expanded functioning) ensues from conditions of d i s r u p t i o n depends upon the p a r t i c u l a r s of the s i t u a t i o n as these are r e l a t e d to c a p a c i t y of the organism to meet the challenges of the changed e c o l o g i c a l niches i n which i t i s now functioning.

i . H e a l t h — a n d t h e r e f o r e d i s e a s e — m u s t consequently always be considered c o n t e x t u a l l y , i n terms of causation, m a n i f e s t a t i o n , and prevention.

THE D E F I N I T I O N AND VVblAMICS OF D I S E A S E I N HUMAN S O C I E T Y From the point of view of f u n c t i o n a l requirements f or the s o c i a l system, Parsons, among othe r s , has commented on the e x i s t e n t i a l b a s i s for h e a l t h v a l u e s . A b r i e f e x t r a c t w i l l serve to i l l u s t r a t e t h i s type of conceptual l i n k a g e :

(The) problem of h e a l t h i s i n t i m a t e l y involved i n the f u n c t i o n a l p r e r e q u i s i t e s of the s o c i a l system.... C e r t a i n l y by almost any d e f i n i t i o n h e a l t h i s included i n the f u n c t i o n a l needs of the i n d i v i d u a l member of the

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s o c i e t y so t h a t from the point of view of funct i o n i n g of the s o c i a l system, too low a general l e v e l of h e a l t h , too high an incidence of i l l n e s s , i s dysfunct i o n a l . T h i s i s i n the f i r s t i n s t a n c e because i l l n e s s i n c a p a c i t a t e s for the e f f e c t i v e performance of s o c i a l r o l e s . I t could of course be th a t t h i s incidence was completely u n c o n t r o l l a b l e by s o c i a l a c t i o n , an independently given c o n d i t i o n of s o c i a l l i f e . But i n so f a r as i t i s c o n t r o l l a b l e , through r a t i o n a l a c t i o n or otherwise, i t i s c l e a r t h a t there i s a f u n c t i o n a l i n t e r e s t of the s o c i e t y i n i t s c o n t r o l , broadly i n the minimization of i l l n e s s . As one s p e c i a l aspect of t h i s , a t t e n t i o n may be c a l l e d to premature death. From a v a r i e t y of points of view, the b i r t h and r e a r i n g of a c h i l d c o n s t i t u t e a "cost " to the s o c i e t y , through pregnancy, c h i l d c a r e , s o c i a l i z a t i o n , formal t r a i n i n g and many other channels. Premature death, before the i n d i v i d u a l has had the opportunity to play out h i s f u l l quota of s o c i a l r o l e s , means th a t only a p a r t i a l " r e t u r n " f o r t h i s c o s t has been r e c e i v e d . (1951: 430)

Whatever the degree of conscious social f u n c t i o n i n the p u r s u i t of h e a l t h , i n d i v i d u a l s i n any group are a c u t e l y involved i n the personally-motivated p u r s u i t of h e a l t h and w e l l b e i n g — i n the search for r e l i e f and r e s p i t e from b o d i l y and emotional p a i n — a n d the h e a l t h v a l u e s of any group are undoubtedly a r e f l e c t i o n of these twin o r i g i n s . Throughout human h i s t o r y , h e a l t h and w e l l being have been lodestones by which much of man's " s o c i a l " and " i n d i v i d u a l " a c t i v i t y has been guided, by which many of h i s deepest longings and most profound f e a r s are to be explained. Man pursues h e a l t h both s i n g l y and through group a c t i o n ; d e f i n e s d i s e a s e i n a framework of s o c i a l experience, and e x p l a i n s i t both by i d i o s y n c r a t i c s p e c u l a t i o n and by group p h i l o -s o p h i c o - r e l i g i o u s s a n c t i o n ; h e a l s both through the body's own e f f o r t s , and through the i n s t r u m e n t a l i t y of s o c i a l knowledge and p r a c t i c e .

Judging from p a l e o p a t h o l o g i c a l evidence, d i s e a s e s of one kind or another have always a f f l i c t e d humankind. Indeed, given the nature of l i f e and the nature of d i s e a s e , i t could s c a r c e l y be otherwise. And even as there has always been s i c k n e s s , a c c i d e n t , deformity, and anxi e t y to tro u b l e man, so, too, has there been an organized, purposef u l response by s o c i e t y to such t h r e a t s . I n a l l human groups, no matter how t e c h n o l o g i c a l l y p r i m i t i v e or how s m a l l , there e x i s t s a body of b e l i e f about the nature of d i s e a s e , i t s c a u s a t i o n and cure, and i t s r e l a t i o n s to other aspects of group l i f e . The v a r i a b i l i t y of s o c i e t i e s and c u l t u r a l systems precludes easy g e n e r a l i z a t i o n about the r o l e of h e a l t h i n s o c i e t y , but one - c h a r a c t e r i s t i c does stand out apropos of medicine i n the predominantly n o n l i t e r a t e (or "underdeveloped") s o c i e t i e s of the world: i t s c l o s e i n t e g r a t i o n with other i n s t i t u t i o n s of the s o c i e t y . " R e l i g i o n , " "medicine, 1 1 and "morality" often meet i n the concrete b e h a v i o r a l a c t or event, and, to an extent not found i n h i g h l y i n d u s t r i a l i z e d s o c i e t i e s , " f o l k medicine" i s " s o c i a l medicine."

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But w h i l e the image of unbounded h e a l t h and r e l e a s e from a n x i e t y has long haunted man, the attainment and enjoyment of p e r f e c t health has eluded h i s e a r t h l y grasp and has consequently u s u a l l y been proj e c t e d d i s t a n t i n time and p l a c e . E i t h e r there has been a golden age i n the past from which man f e l l to h i s present p i t i a b l e s t a t e , or e l s e the time of r e s p i t e from i l l s l i e s i n the f u t u r e , i n e i t h e r t h i s world or another. But whatever the mythological reckoning, " h e a l t h " seems always to have been one human d e s i r e i n h e r e n t l y transcendent from contemporary circumstances and c o n d i t i o n s . I t i s always a statement of the imagined i d e a l which enlarges upon, goes beyond, improves or modifies what p r e s e n t l y e x i s t s . The values of h e a l t h or w e l l being partake, then, of the Utopian conception; and, given the e x i s t e n t i a l c h a r a c t e r i s t i c s of the human con d i t i o n , never w i l l be reached although perhaps approximated to a greater degree than now found i n non-developed nations of the world ( c f . Dubos, 1959; Burnet, 1959). For, f a r from being u n i t a r y or simple g o a l s , h e a l t h and w e l l being are i n a c t u a l i t y rooted i n multidimensional r e l a t i o n s h i p s of the organism—and s o c i e t y — t o i t s environment. Moreover, the phenomenological e v a l u a t i o n of acceptable h e a l t h l e v e l s i s a r e l a t i v e , an evolutionary matter. The "nagging back pain" which prevents work i n normal times i s forgotten i n the panic of wartime d i s a s t e r , or the s u b - c l i n i c a l chronic cough which was t o l e r a t e d i n the busy, a c t i v e l i f e becomes the p r e s e n t i n g complaint i n the i d l e n e s s of r e t i r e m e n t .

Health must, then, pre-eminently be considered c o n t e x t u a l l y i n a s o c i a l as w e l l as organic sense (as the noted medical h i s t o r i a n , Henry S i g e r i s t , i n s i s t e d i n h i s many works - for example i n h i s C i v i l i z a t i o n and Disease/ 1945). The presence of the b a c i l l u s or the t h r e a t may be a necessary but i s not a s u f f i c i e n t cause for the t r i g g e r i n g of the symptom; for the t h r e a t s to h e a l t h — a n d they' are c o - e x i s t e n t with l i f e i t s e l f — a l w a y s operate i n a context, and i t i s the p a r t i c u l a r q u a l i t y of r e l a t i o n s h i p between t h r e a t , host, and t o t a l environmental f a c t o r s which i s r e s p o n s i b l e for the i n c i d e n c e of most i l l n e s s . No doubt everyone i n t h i s room harbors the tubercle bacillus, yet i n c r e a s i n g l y fewer people i n modern Euro-American s o c i e t y show c l i n i c a l symptoms, a very d i f f e r e n t p i c t u r e from t h a t p r e v a i l i n g even a generation ago. The reasons, of course, l i e i n the operation of f a c t o r s a s s o c i a t e d with the presence of the d i s e a s e a g e n t — s t r e s s t h r e s h o l d s , defense mechanisms, f a c t o r s of n u t r i t i o n , housing, s a n i t a t i o n , general b o d i l y w e l l b e i n g — i n other words, i n the scope and v a r i e t y of the body's adaptive c a p a c i t i e s to r e s i s t i n c u r s i o n s of t h i s m i c r o b i a l t h r e a t , and such adaptive c a p a c i t i e s can very g e n e r a l l y be a s s o c i a t e d with d i s t i n c t i v e q u a l i t i e s of s o c i a l experience.

I n the same v e i n , solution of one h e a l t h problem of i t s e l f may w e l l c r e a t e f u r t h e r problems. For example, lowering the i n f a n t death r a t e i n c r e a s e s population pressure on a v a i l a b l e food supply and may thereby f o s t e r s d i s e a s e s of m a l n u t r i t i o n or overcrowding i n housing, with the l a t t e r ' s demonstrated i n c r e a s e s i n morbidity incidence of many types. Conversely, an o v e r l y hygienic environment i n h i s c h i l d -

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hood ye a r s many render the a d u l t more s u s c e p t i b l e to the v i r u l e n c e of "childhood" d i s e a s e s through l a c k of immunity developed by e a r l y exposure to the d i s e a s e (e.g., Dubos, 1959). I n another i l l u s t r a t i o n , perhaps one of the c l e a r e s t expressions of the c y c l i c , contingent nature of the r e l a t i o n a l matrix i n which a l l l i f e i s enmeshed would be the hordes of people i n Southern C a l i f o r n i a (or other t h i c k l y populated p a r t s of t h i s country) who crowd the highways, bumper to bumper, to get away from a smog-polluted atmosphere on a warm summer weekend and, because of t h e i r very numbers and t h e i r mode of attempted s o l u t i o n , simply i n c r e a s e and slow down the t r a f f i c flow, i n e f f e c t , f u r t h e r b e f o u l i n g the very atmosphere they are attempting to f l e e .

Against an ethnographic background, l e t us examine some of the co n t e x t u a l r e l a t i o n s of b e l i e f s and p r a c t i c e s r e l a t e d to h e a l t h and d i s e a s e i n s o c i e t y .

T H E O R Y OF D I S E A S E . Everywhere man d e v i s e s or d i v i n e s causes for the s i g n i f i c a n t events i n h i s l i f e . The a f f l i c t i o n s which beset body and mind are explained i n both n a t u r a l i s t i c and s u p e r n a t u r a l i s t i c terms. A cut f i n g e r , a broken limb, a snake b i t e , a f e v e r , the h a l t i n g speech and wandering mind of s e n i l i t y — a l l may be regarded as sometime hazards i n the process of l i v i n g . ' For e x p l a i n i n g such events there i s always some type of conceptual framework rooted i n commonsense empiricism. But often a wound does not h e a l , a s i c k n e s s does not respond to treatment, and the normally expected and e m p i r i c a l l y p r e d i c t a b l e does not happen. I n such cases another order of explanation i s employed, one which attempts to come to terms with the more b a s i c meaning of the event seen i n metaphysical p e r s p e c t i v e . For most non-western s o c i e t i e s t h i s t r a n s c e n d e n t a l explanation for the occurrence of d i s e a s e tends to f i g u r e more p e r v a s i v e l y i n the t o t a l body of medical l o r e and p r a c t i c e than does the e m p i r i c a l framework. Seen i n f u n c t i o n a l terms, reasons for t h i s degree of i n f l u e n c e no doubt l i e i n the f a r g r e a t e r morbidity from many d i s e a s e s i n the underdeveloped world than i n i n d u s t r i a l i z e d s o c i e t i e s , coupled with the comparative inadequacy of ethnomedical knowledge and techniques for d e a l i n g with these common t h r e a t s to group and personal e x i s t e n c e .

Widespread throughout the world are f i v e b a s i c c a t e g o r i e s of events or s i t u a t i o n s which, i n f o l k e t i o l o g y , are b e l i e v e d r e s p o n s i b l e f o r i l l n e s s : (1) s o r c e r y ; (2) breach of taboo; (3) i n t r u s i o n of a d i s e a s e - o b j e c t ; (4) i n t r u s i o n of a d i s e a s e - c a u s i n g s p i r i t ; and (5) l o s s of soul (Clements, 1932). Not every s o c i e t y employs a l l f i v e explanations to an equal degree; indeed, many groups are s e l e c t i v e i n the emphasis placed upon one or a combination of causes from t h i s c a t e g o r i z a t i o n . For example, soul l o s s and breach of taboo are p a r t i c u l a r l y important as reputed causes of d i s e a s e among the Eskimos, while the malevolence of a s o r c e r e r s or witches i s e s p e c i a l l y emphasized i n many A f r i c a n s o c i e t i e s . Sometimes, however, such c a t e g o r i e s are more u s e f u l a n a l y t i c a l l y than d e s c r i p t i v e l y i n c h a r a c t e r i z i n g the e t i o l o g i c a l b e l i e f s of a p a r t i c u l a r group; f o r i n s t a n c e , i n some s o c i e t i e s d i s e a s e i s conceived to be brought about

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by i n t r u s i o n of an o b j e c t which contains a s p i r i t , and i t i s the l a t t e r to which primary c a u s a t i v e i n f l u e n c e i s a t t r i b u t e d (e.g. , H a l l o w e l l , 1939).

Among the world's peoples, h e a l t h i s r a r e l y , i f ever, a narrowly r e s t r i c t e d conception having i t s l o c u s only i n the w e l l being of the i n d i v i d u a l body. They do not, i n other words, f a l l prey to the " f a l l a c y of the separate capsule," i n t h i n k i n g about the r e l a t i o n s of h e a l t h to other aspects of l i f e , as Polgar (1962) r e c e n t l y put i t . The Greeks were not alone i n viewing d i s e a s e as a m a n i f e s t a t i o n of disharmony i n man's o v e r a l l r e l a t i o n to the u n i v e r s e . I n d i s c u s s i n g conceptions of i l l n e s s among a West A f r i c a n people, for example, P r i c e - W i l l i a m s gives a modern i l l u s t r a t i o n s t a t i n g t h a t while d i s e a s e s are recognized and conceptually d i s t i n g u i s h e d i n common with a great many other people, T i v do not regard i l l n e s s or d i s e a s e as a completely separate category d i s t i n c t from misfortunes to compound and farm, from r e l a t i o n s h i p between k i n , and from more complicated matters r e l a t i n g to the c o n t r o l of land. But i t would be completely erroneous to say t h a t T i v are not able, i n a c o g n i t i v e sense, to recognize d i s e a s e . . . . What i s meant i s that d i s e a s e i s seldom viewed i n i s o l a t i o n " ( P r i c e - W i l l i a m s , 1962: 125).

Such a notion i s widely found elsewhere, as i n c e r t a i n American I n d i a n groups (examples are the Navaho and Ojibwa), where b o d i l y or mental a f f l i c t i o n i s often viewed as an i n d i c a t o r of moral t r a n s g r e s s i o n , i n thought or i n deed, a g a i n s t the norms of s o c i e t y . Thus i n many groups man i s conceived to be continuous with both the s o c i a l and n o n - s o c i a l aspects of h i s environment, and what happens i n h i s surroundings a f f e c t s h i s b o d i l y w e l l being. Not only a person's own a c t i o n s , t h e r e f o r e , but a l s o those of kinsmen or neighbors, can cause s i c k n e s s . Such an e t i o l o g i c a l conception has obvious i m p l i c a t i o n s for treatment. A widely employed c u r a t i v e technique, for i n s t a n c e , i s magically-based d i e t a r y r e s t r i c t i o n s . Among some South American I n d i a n groups such r e s t r i c t i o n s apply to a l l members of the p a t i e n t ' s f a m i l y , and offenses of the l a t t e r , no l e s s than those of the p a t i e n t , w i l l undermine h i s h e a l t h . S i m i l a r l y / among the Thonga of South A f r i c a sexual r e l a t i o n s between i n h a b i t a n t s of the p a t i e n t ' s v i l l a g e can aggravate h i s condition, and some Eskimo groups b e l i e v e t h a t the p a t i e n t ' s family should do no work during the period of convalescence for f e a r of g i v i n g offense to the s p i r i t causing the s i c k n e s s .

The b e l i e f t h a t by h i s own a c t i o n s a man can i n f l u e n c e the s t a t e of h i s f e l l o w ' s h e a l t h a l s o has malevolent i m p l i c a t i o n s , as i n the i n s t i t u t i o n s of w i t c h c r a f t and s o r c e r y , and often t h i s underlying b e l i e f s t r u c t u r e may be an important f a c t o r deciding the s u c c e s s or f a i l u r e of attempts a t introducing new medical programs i n underdeveloped s o c i e t i e s . C a s s e l l (1955) c i t e s an i l l u s t r a t i o n to t h i s end. The Zulus b e l i e v e t h a t only s o r c e r e r s and witches have the a b i l i t y to t r a n s m i t d i s e a s e , p a r t i c u l a r l y d i s e a s e s which show thems e l v e s i n symptoms normally a s s o c i a t e d with pulmonary t u b e r c u l o s i s . Progress i n community acceptance of a h e a l t h program i n a p a r t i c u l a r area was brought to an abrupt h a l t a t one point when a p h y s i c i a n ,

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t h i n k i n g the time apt for i n t r o d u c t i o n of the view of contagion held by western medicine, t r a c e d the course of t u b e r c u l o s i s through the f a m i l y , showing how one member had been the o r i g i n a l source of the d i s e a s e i n the group and had t h e r e f o r e been the agent r e s p o n s i b l e for s i c k n e s s i n a l l o t h e r s . But upon t h i s r e v e l a t i o n , what had been up to t h a t point cautious cooperation with the p h y s i c i a n on the p a r t of the family e l d e r turned immediately i n t o a h o s t i l e r e j e c t i o n , which was assuaged only a f t e r the doctor r e t r a c t e d h i s ( i n Zulu b e l i e f ) de facto a c c u s a t i o n t h a t the daughter of the family was a witch.

A theory of d i s e a s e i m p l i e s a theory of normality. Yet the "normal" i s i n no way easy to define f o r a l l time and circumstances. Aside from a b s t r a c t questions of a " s t a t i s t i c a l " versus " f u n c t i o n a l " b a s i s for normality ( c f . Wegrocki, 1953), there i s the c u l t u r a l d e f i n i t i o n . A f f l i c t i o n s common enough i n a group to be considered endemic, though they be c l i n i c a l d e f o r m i t i e s , may by v i r t u e of t h e i r very i n c i d e n c e be accepted simply as p a r t of man's n a t u r a l c o n d i t i o n . Ackerknecht (1946) has commented i n t h i s v e i n , noting t h a t the Thonga, f o r i n s t a n c e , b e l i e v e i n t e s t i n a l worms, which are very common, to be necessary f o r d i g e s t i o n ; the Manos, a l s o of A f r i c a , f e e l t h a t primary and secondary yaws are so common tha t they say "that i s no s i c k n e s s , everybody has t h a t " ; or t h a t North Amazonian I n d i a n s , among whom dyschronic s p i r o c h e t o s i s i s widely p r e v a l e n t , accept i t s endemicity to such an extent t h a t i t s v i c t i m s are thought to be normal, and i n d i v i d u a l s who have not had the d i s f i g u r i n g d i s e a s e are s a i d to be looked upon as p a t h o l o g i c a l and consequently unable to c o n t r a c t marriage. I t i s c u l t u r e , not nature, t h a t p r i n c i p a l l y d e f i n e s i l l n e s s , although i t i s u s u a l l y c u l t u r e and nature which f o s t e r d i s e a s e and i l l n e s s .

T heories of d i s e a s e developed by non-developed peoples i n the absence of s c i e n t i f i c medicine g e n e r a l l y have major relevance to the moral order, to the normative c o n t r o l of man's behavior i n s o c i e t y ; for f r e q u e n t l y d i s e a s e i s seen as a warning s i g n , a v i s i t a t i o n from punishing agents for a broken taboo or h o s t i l e impulse, an aberrant urge to depart from the approved way. I n a s e r i e s of outstanding a n a l y t i c papers, H a l l o w e l l (e.g. 1963) has analyzed the f u n c t i o n of a n x i e t i e s over s i c k n e s s among the Ojibwa India n s of North America, and other i n v e s t i g a t o r s have looked a t the same problem i n d i f f e r e n t c u l t u r a l s e t t i n g s (e.g., Lieban, 1962). Both to the i l l person and to h i s f e l l o w s , s i c k n e s s i s often i n t e r p r e t e d as the s u p e r n a t u r a l s 1

way of i n d i c a t i n g an a c t or i n t e n t i o n of s o c i a l l y d i s r u p t i v e behavior. E s p e c i a l l y i n s o c i e t i e s which l a c k strong, c e n t r a l i z e d s o c i o p o l i t i c a l o r g a n i z a t i o n s the occurrence and imminence of d i s e a s e — w i t h the b e l i e f t h a t i t r e p r e s e n t s punishment f o r aberrant, d y s s o c i a l impulse or a c t i o n — c a n be f u n c t i o n a l l y of great importance i n maintaining group cohesion and r e s t r a i n i n g d i s r u p t i v e tendencies.

The t h e r a p e u t i c p r a c t i c e s attendant upon occurrence of d i s e a s e may a l s o have s o c i a l l y cohesive r e s u l t s and, though often e m p i r i c a l l y e f f e c t i v e i n a medical framework, they may be more v i t a l i n the t o t a l

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f a b r i c of s o c i e t y for reasons other than t h e i r organic outcomes. T y p i c a l l y , the c u r a t i v e s e s s i o n (and often the d i a g n o s t i c occasion as w e l l ) i n c l u d e s not only the p a t i e n t and h e a l e r , but a l s o the p a t i e n t ' s f a m i l y and neighbors. Often the therapy i n v o l v e s confession by the p a t i e n t , and under such conditions the confession may w e l l r e l i e v e him of d i f f u s e as w e l l as focussed a n x i e t i e s and g u i l t . When followed by concrete expiatory a c t s (as such a s e s s i o n u s u a l l y i s ) , i t may a l s o give him a chance to p a r t i c i p a t e i n h i s own treatment through a c t i o n . ( I t i s doubtful whether most of such c u r a t i v e r i t e s do more than provide temporary symptomatic r e l i e f — b u t the same can be s a i d of much modern psychotherapy.) At the same time group cohesion i s often enhanced, f o r such confessions dramatize fundamental s o c i a l v a l u e s through i l l u s t r a t i n g the harm th a t can come from s o c i a l deviance. They provide a s e t t i n g i n which a l l p a r t i c i p a n t s are enveloped i n the aura of forgiveness and, through s t r e s s on the prot e c t i o n afforded by adherence to group v a l u e s , assurance of good h e a l t h . I n shor t , the th e r a p e u t i c context i s u s u a l l y a s o c i a l context and during the course of the therapy the r e c i p r o c a l p s y c h o s o c i a l involvement of the p a t i e n t w i t h ' h i s f e l l o w s i s r i t u a l l y underscored. As noted above, i f t h e r a p e u t i c d i r e c t i v e s for behavior are i s s u e d , they fre q u e n t l y apply to the group, or s e l e c t e d members of the group, as w e l l as to the p a t i e n t ; and i f s u c c e s s f u l recovery i s as dependent upon good thoughts as upon e f f e c t i v e t e c h n i q u e s — a s frequently h a ppens—then the assembled company must be devoid of i l l wishes and h o s t i l i t i e s toward not only the p a t i e n t but a l s o each other. The c u r a t i v e r i t e may thus serve i n m u l t i p l e ways as an occasion f o r r e i n t e g r a t i o n of the group around common s o c i a l v a l u e s .

T H E S O C I A L " C O h t T E X T U A L H A T J O h l " Of H E A L T H ANV D I S E A S E . A great part of the task of indigenous medical i n s t i t u t i o n s , e s p e c i a l l y of prev e n t i v e medicine, i s borne not by "medicine" as such but by c u l t u r a l p r a c t i c e s which, while o r i e n t e d to d i f f e r e n t s o c i a l purposes, have import-ant f u n c t i o n a l i m p l i c a t i o n s f o r h e a l t h — r e p r e s e n t i n g another area i n which a thorough-going e c o l o g i c a l framework must be applied to t h e a n a l y s i s of h e a l t h i n s o c i e t y . I n t h i s connection, f or example, may be mentioned many r e l i g i o u s and magical p r a c t i c e s , such as avoidance of the house i n which a death has occurred; t h e o r i e s of "bad body humors" as agents of contagion which, i n a c t u a l i t y , encourage d a i l y bathing (e.g., Erasmus, 1 9 5 2 ) ; "hot" versus "cold" d i s t i n c t i o n s i n regard to food and water which r e q u i r e b o i l i n g or cooking before consumption; hiding of f e c a l and other bodily waste through f e a r of t h e i r use by s o r c e r e r s or witches, and numerous oth e r s .

Other c u l t u r a l p r a c t i c e s i n a d v e r t e n t l y r e l e v a n t to h e a l t h have not a p r i m a r i l y r e l i g i o u s or p h i l o s o p h i c a l b a s i s but a more general e c o l o g i c a l one. Cosmetic and c l o t h i n g customs or housing s t y l e s and settlement p a t t e r n s may be c i t e d i n t h i s connection. Regardless of t h e i r value to the a r c h e o l o g i s t , the midden heaps of sedentary communities have r a t h e r more b a l e f u l i m p l i c a t i o n s f o r the p u b l i c h e a l t h of the group than do the l e s s cumulative waste d i s p o s a l p a t t e r n s c h a r a c t e r i s t i c of nomadic groups. Changing economic incent i v e s and circumstances which d i s r u p t the adaptive harmonies between

1 3 2

a c u l t u r a l form and i.ts environment frequently a l s o c r e a t e h e a l t h hazards. May (1960) provides a s t r i k i n g i l l u s t r a t i o n of the i n t e r s e c t i o n between c u l t u r a l and e c o l o g i c a l f a c t o r s i n North Vietnam. Dwellers on the p l a i n s l i v e d i n low, squat houses i n which they s h e l t e r e d t h e i r c a t t l e on one s i d e of the s t r u c t u r e and did t h e i r cooking on the other. When these rice-growers moved i n t o the h i l l s i n s e arch of b e t t e r economic o p p o r t u n i t i e s , they continued cons t r u c t i n g t h e i r houses according to the same general p l a n . I n the h i l l s , however, the incidence of m a l a r i a among them became so high as to discourage f u r t h e r such movement, despite governmental urging. The people themselves a s c r i b e d the calamitous d i s e a s e to the i l l - w i l l of the h i l l d e i t i e s . I n f a c t , however, the gods of ecology are more l i k e l y r e s p o n s i b l e , * s i n c e the incidence of m a l a r i a was low among the indigenous h i l l people, who constructed t h e i r houses on s t i l t s , s h e l t e r e d t h e i r animals underneath, and did t h e i r cooking i n s i d e the house. I n May's view these s e v e r a l f a c t o r s were f u n c t i o n a l l y instrumental i n keeping down the spread of m a l a r i a from the f i e r c e mosquito vector found i n the h i l l s ; f o r the f l i g h t c e i l i n g of the Anopheles minimus i s r e s t r i c t e d to about ten f e e t above the ground, and, d e s p i t e i t s preference for human blood, the presence of animals underneath the house and of smoke i n s i d e the house (where the cooking was done) created an u n r e a l i z e d p r o t e c t i o n f o r the human i n h a b i t a n t s .

Highly graphic, May's a n a l y t i c i n s i g h t s by no means stand alone. I n c r e a s i n g l y , i n f a c t , modern medicine i s adopting an operating model i n terms of an e c o l o g i c a l view of the d i s e a s e process ( c f . , for example, Gordon, 1958; Dubos, 1959, 1965; Burnet, 1959; B r o s i n , 1959 and many o t h e r s ) . The successes of experimental l a b o r a t o r y medicine i n the l a s t century i n i s o l a t i n g the t r a n s m i t t a l agent of so many of the major communicable d i s e a s e s r e s u l t e d i n a long p e r i o d of apotheosis of the "doctrine of s p e c i f i c e t i o l o g y , " which focussed on the i n f e c t i v e agent as the necessary (and, by i m p l i c a t i o n , a l s o the s u f f i c i e n t ) cause i n p r e d i c t i n g and c o n t r o l l i n g the incidence of d i s e a s e . Environing circumstances were disregarded as l a r g e l y i r r e l e v a n t .

But the study of d i s e a s e has gone outside the experimental l a b o r a t o r y , i n t o the r e a l world, where the c a u s a t i v e relevance of context can c l e a r l y be seen; and the s i g n i f i c a n t u n i t of a n a l y s i s i s more g e n e r a l l y viewed as a syndrome of agent plus v e c t o r or host plus environmental s i t u a t i o n . The " d i s e a s e u n i t " i s , then, c o n t e x t u a l l y conceived. And t h i s i s true not only for organic d i s e a s e s per se, but a l s o for psychogenic d i s o r d e r s . Stainbrook has w e l l s t a t e d t h i s newer theor e t i c a l p e r s p e c t i v e , e s p e c i a l l y apropos of the s o c i o c u l t u r a l environment:

A f i e l d theory of human a c t i o n i n a f a r more complicated sense than t h a t envisioned by the e a r l y 20th century G e s t a l t and t o p o l o g i c a l p s y c h o l o g i s t s u n d e r l i e s the modern medical and p u b l i c h e a l t h concerns with the s o c i a l and c u l t u r a l environment. For not only i s each i n d i v i d u a l a h i g h l y d i f f e r e n t i a t e d and organized l i v i n g system

133

i n t e g r a t e d i n t o an organized and d i f f e r e n t i a t e d world, but much of the here-and-now behavior of the person i s dependent upon the l i f e h i s t o r y of the encounter with h i s s o c i e t y and c u l t u r e which has already transformed him.

Since there are concomitant p h y s i o l o g i c a l processes a s s o c i a t e d with every i n d i v i d u a l b e h a v i o r a l event, and s i n c e probably no a c t of i n d i v i d u a l behavior i s unrel a t e d to the s o c i a l space i n which i t i s oc c u r r i n g , body and s o c i e t y are i n a constant t r a n s a c t i o n across a t o t a l f i e l d of r e c i p r o c a l determination. I n many co n s t a n t l y s h i f t i n g p a t t e r n s , body and person are the environment of s o c i e t y as s o c i e t y becomes the environment of person and body.

Moreover a comprehensive theory of di s e a s e , i n t e r r e l a t i n g body, person, human group, and the p h y s i c a l environment, s i g n i f i e s , d i a g n o s t i c a l l y , an i n s i s t e n c e upon e t i o l o g i c patterns or f i e l d s even i f the major search f or s t r u c t u r a l defect or dysfunction i s conf i n e d to the body. Hence, every d i s e a s e , i n some balance of e t i o l o g i c p a t t e r n i n g , i s a psychosomatic, a p s y c h o s o c i a l and a b i o - s o c i a l i l l - a t - e a s e n e s s .

A l l these statements are a t h e o r e t i c a l prelude to an i n s i s t e n c e t h a t much of what goes on i n s i d e bodies i s i n t i m a t e l y r e l a t e d to what goes on between bodies. The understanding of the s t r u c t u r e s , f u n c t i o n s , and values of s o c i a l o r g a n i z a t i o n i s not opt i o n a l and e l e c t i v e f o r medicine and the p u b l i c h e a l t h , but imperative. The s c i e n c e s of s o c i a l man and of i n d i v i d u a l behavior, the be h a v i o r a l s c i e n c e s i f you w i l l , are an i n t e g r a l p a r t of b a s i c medical s c i e n c e . (1961, pp. 1005ff.)

Some of the ways i n which the s o c i o c u l t u r a l environment.structures the e c o l o g i c a l r e l a t i o n s h i p s of a group,so f a r as s u s c e p t i b i l i t y to or p r o t e c t i o n from d i s e a s e are concerned,may be summarized by a sy n o p t i c paradigm. Though n e c e s s a r i l y sketchy and i l l u s t r a t i v e , the f o l l o w i n g t a b l e may be u s e f u l i n i n d i c a t i n g the wide range of th r e a t e n i n g pathogens and pathogenic s i t u a t i o n s to which r e s e a r c h must be i n d u c t i v e l y s e n s i t i v e i f i t i s to l o c a l i z e the s i g n i f i c a n t s o c i o c u l t u r a l parameters of d i s e a s e and w e l l being.

The f o l l o w i n g t a b l e i s taken from a more exte n s i v e d i s c u s s i o n e l s e where of some of the f u n c t i o n a l i n t e r r e l a t i o n s h i p s between c a t e g o r i e s of c u l t u r a l behavior and types of d i s e a s e s (Hughes, 1963), and i s ob v i o u s l y suggestive r a t h e r than exhaustive of pat t e r n s of r e l a t i o n s h i p :

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I l l u s t r a t i o n 1 HEALTH-RELEVANT ASPECTS OF THE CULTURAL PATTERNING OF BEHAVIOR

Source of Threat To Health

Food and Consumables C l o t h i n g , Bodily Adornment, And M u t i l a t i o n Source of Threat

To Health P r o t e c t i v e I n j u r i o u s P r o t e c t i v e I n j u r i o u s

Animal-borne diseases

taboos on eat i n g diseased animals

ea t i n g f l e s h of diseased animals

use o f mi t t e n s , boots, e t c . , i n handling animals

p u t t i n g harnesses, e t c . , i n t o mouth

Geophysical and chemical f a c t o r s

magical or e s t h e t i c use of i n j u r i o u s o i n t ments

Disease of i n d i r e c t human contact

c u l t u r a l p r e f erence f o r d r i n k i n g t e a , chicha, wine, e t c . i n place of water; "hot" vs. "cold" b e l i e f s r e q u i r i n g b o i l i n g of water

d r i n k i n g p o l l u t e d water; f o l k medical b e l i e f s excluding germ theory of disease transmission

c l o t h i n g harboring of parasit e s

Diseases of d i r e c t human contact

pre-mastication of food; d r i n k ing bouts w i t h sharing of vessel

magical b e l i e f s about d i s c a r d i n g c l o t h i n g of deceased

Diseases of phy s i c a l malf u n c t i o n { i n c l . n u t r i t i o n a l )

e f f i c i e n t a g r i c u l t u r a l , cooking techniques

some food taboos; c u l t u r a l change

adequate prot e c t i o n against c o l d , heat, e t c .

c o n s t r i c t i o n of movement; poor v e n t i l a t i o n ; cliterodectomy

Degenerative diseases and neoplasms

s i t u a t i o n a l or c u l t u r a l low c h o l e s t e r o l d i e t a r y p a t t e r n s

smoking; i n h a l a t i o n of house smoke, use of some types of s t i m u l a n t s , etc.

e s t h e t i c or magical c i c a t r i z a t i o n

Stress and behavioral disorders

.some food taboos, e s p e c i a l l y i f inadv e r t e n t l y v i o l a t e d ; low socioeconomic status

lack of SES importance i n c l o t h i n g

low SES

I l l u s t r a t i o n 1 (Contd) HEALTH-RELEVANT ASPECTS OF THE CULTURAL PATTERNING OF BEHAVIOR


Shelter Technological Behavior Source of Threat To Health

P r o t e c t i v e I n j u r i o u s P r o t e c t i v e I n j u r i o u s Animal-borne diseases

segregation of animal stables

s t a b l i n g of animals i n l i v i n g quarters


unsafe l o c a t i o n of house s i t e s (e.g., wet ground)

e m p i r i c a l knowl-tedge of p l a n t c h a r a c t e r i s t i c s ("ethnobotany") techniques t o e x t r a c t poisons from food p l a n t s , etc.

f a i l u r e t o cont r o l smog, i n d u s t r i a l gases

Disease of i n d i r e c t human contact

f a u l t y household s a n i t a t i o n


some housing s t y l e s

overcrowding i n l i v i n g quarters

i s o l a t e d working tasks; d i s p e r s a l of group

mixing of popul a t i o n s (e.g., markets)

Diseases of phys i c a l malf u n c t i o n f ( i n c l . n u t r i t i o n a l )

work r o l e s r e q u i r i n g b o d i l y exercise

dangerous subsistence r o l e s (e.g., Eskimo h u n t e r ) ; c e r t a i n work postures

Degenerative diseases and neoplasms Stress and behavioral disorders

overcrowding, e s p e c i a l l y w i t h c o n f l i c t i n g r o l e r e l a t i o n s h i p s ; low SES

adequate tech-.nology ( i n absence of r e l a t i v e d e p r i v a t i o n )

t e c h n o l o g i c a l changes c r e a t i n g f r u s t r a t i o n s , sense o f d e p r i v a t i o n

I l l u s t r a t i o n I (Contd) HEALTH-RELEVANT ASPECTS OF THE CULTURAL PATTERNING OF BEHAVIOR


M a t e r i a l Culture Bodily Habits, Hygiene Medical Lore Source of Threat



i n n o c u l a t i o n against snakeb i t e

coprophagic dogs


s a n i t a r y , spacious housing

unsanitary and cramped housing

Diseases of i n d i r e c t human contact

sharing of u t e n s i l s , t o o l s , e t c .

h i d i n g of feces from w i t c h - f e a r ; nomadism; sweat baths; c l e a n l i n e s s

unsanitary h a b i t s of waste d i s posal; n i g h t s o i l as f e r t i l i z e r


nomadism passing e a t i n g u t e n s i l s from mouth t o mouth

segregation of i l l person; e m p i r i c a l medicine; some th e o r i e s of d i sease transmission

some th e o r i e s of disease t r a n s mission

Diseases of phy s i c a l malf u n c t i o n ( i n c l . n u t r i t i o n a l )

e f f i c i e n t a g r i c u l t u r a l techniques and t o o l s

inadequate unsafe technology

regimes of h a r d i hood and ph y s i c a l t r a i n i n g

c e r t a i n working, r e s t i n g , s i t t i n g postures; use of cradleboard

Degenerative diseases and neoplasms Stress and behavioral disorders

t r a d i t i o n -o r i e n t e d c u l t u r e

sense of r e l a t i v e d e p r i v a t i o n (esp. evident i n c u l t u r e change)

I l l u s t r a t i o n 1 (Contd) HEALTH-RELEVANT ASPECTS OF THE CULTURAL PATTERNING OF BEHAVIOR


Religion-Magic Social Relationships And Social P o s i t i o n Source of Threat



avoidance of dangerous animals or r e p t i l e s

worship and permissive treatment of animals (e.g., c a t t l e )


magical use of harmf u l drugs, decoctions, etc.

Diseases of i n d i r e c t human contact

some taboos, e.g., waste disposal from w i t c h - f e a r

r i t u a l sharing of o b j e c t s , u t e n s i l s


taboos on handling corpses or cont a c t w i t h belongings

curing r i t u a l s b r i n g i n g other people i n t o presence of i n f e c t i o u s p a t i e n t

Diseases of ph y s i c a l malf u n c t i o n ( i n c l . n u t r i t i o n a l )

some food or behavior taboos (e.g., on mens t r u a t i n g women)

some food taboos; cliterodectomy

p r i v i l e g e d SES; food taboos (e.g., on k i n s h i p basis)

d i f f e r e n t i a l food or task d i s t r i b u t i o n on basis of SES

Degenerative diseases and neoplasms

r e l i g i o u s l y based p r a c t i c e of circ u m c i s i o n

c i c a t r i z a t i o n p r i v i l e g e d SES

Stress and behavioral disorders

psychological support of sick person through group p a r t i c i p a t i o n i n r i t u a l , e t c .

w i t c h c r a f t b e l i e f s

guided, planned s o c i a l change; permissive c u l t u r e or s o c i a l i z a t i o n ; supportive s o c i a l network

occupational or s o c i a l r o l e s (e.g., class s i t u a t i o n ) c r e a t i n g f r u s t r a t i o n s , sense of d e p r i v a t i o n

A second e x e r c i s e i n synoptic " c o n t e x t u a l i z a t i o n i s the f o l l o w i n g t a b l e ( I l l u s t r a t i o n ) with the same purpose as the preceding p a r a d i g m — t h a t of exploring the m u l t i p l e e c o l o g i c a l and e t i o l o g i c a l r e l a t i o n s of h e a l t h (from Freeman, I960, p. 10). The d i s t i n c t i o n drawn between " s t r e s s " (or s t r e s s f u l f a c t o r s ) and " s t r a i n " f o l l o w s g e n e r a l l y from t r a d i t i o n a l " s t r e s s - s t r a i n " connotations i n engineering. I n t h i s sense, stress i s "any force t h a t would i n j u r e the body i f the l a t t e r did not bring appropriate counterforce to bear"; while strain i s "the r e s u l t of ' s t r e s s ' and manifests i t s e l f i n the form of ( t i s s u e ) i n j u r y , or compensating body mechanism." The a p p l i c a t i o n s to s o c i o c u l t u r a l s i t u a t i o n s are obvious.

THE S T R A T E G I E S OF S O C I O M E V Z C A L RESEARCH

I f the environmental concomitants are becoming i n c r e a s i n g l y import a n t i n the c o n c e p t u a l i z a t i o n of d i s e a s e processes, they have a l s o become important from a methodological p e r s p e c t i v e and serve as the guiding framework for the s c i e n c e of epidemiology, which i s d i s t i n c t i v e l y a s s o c i a t e d with r e s e a r c h on the d i s t r i b u t i o n a l and e t i o l o g i c a l aspects of d i s e a s e . I n some ways a new name f o r an o l d approach, epidemiology has been defined as "the study of the d i s t r i bution and determinants of d i s e a s e prevalence i n man" (MacMahon et a l . , 1960, p. 3 ) . Beginning with a concern for the mass communicable d i s e a s e s , epidemiology now has been appl i e d to the study of c h r o n i c degenerative d i s e a s e s , n u t r i t i o n a l d i s o r d e r s , a c c i d e n t s , and p s y c h i a t r i c d i s o r d e r s — i n other words, any d i s e a s e or i l l n e s s which i s s i g n i f i c a n t l y p o p u l a t i o n a l i n c h a r a c t e r . I n t h i s l i g h t , epidemiology i s a d i r e c t e x pression of the " n a t u r a l h i s t o r y stage of i n q u i r y , " (Northrop, 1947), i n which the necessary background data for subsequent more r e f i n e d approximations are gathered. Thus, i n i t i a l l y i n d u c t i v e i n approach, an e p i d e m i o l o g i c a l i n v e s t i g a t i o n s t a r t s from the simple q u e s t i o n — w h a t s i c k n e s s e s are there and where are they found?—and goes beyond t h i s to s u c c e s s i v e l e v e l s of r e f i n e ment both i n a n a l y s i s , data-gathering, and hypothesis formulation to guide subsequent f i e l d i n v e s t i g a t i o n . D i s t i n c t i v e c h a r a c t e r i s t i c s of epidemiology a r e , then, i t s i n d u c t i v e , then deductive nature; i t s focus on populations; i t s m u l t i - f a c t o r i a l approach to c a u s a t i o n ; and i t s consequent concern with a wide range of environmental f a c t o r s .

But epidemiology i s not simply the d e s c r i p t i v e c a t a l o g i n g of e m p i r i c a l events. Depending upon the stage of data-gathering and a n a l y s i s reached, other approaches toward conceptual and e m p i r i c a l c o n t r o l of the problem may be employed. Thus, beyond " d e s c r i p t i v e epidemiology," MacMahon and h i s colleagues would see two s u c c e s s i v e stages, " a n a l y t i c epidemiology" (the t e s t i n g of an i n d u c t i v e l y - d e r i v e d hypothesis a g a i n s t new d e s c r i p t i v e obervations gathered i n the f i e l d ) , and "experimental epidemiology" ( s t u d i e s of d i s e a s e i n c i d e n c e e i t h e r i n the l a b o r a t o r y or under c o n t r o l l e d f i e l d c o n d i t i o n s ) .

Put i n t h i s way, epidemiology might w e l l be viewed as the e c o l o g i c framework appl i e d to a p a r t i c u l a r problem area. Indeed, the c l o s e

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I l l u s t r a t i o n 2

ENVIRONMENTAL SOURCES OF HUMAN "STRESSES" AND ASSOCIATED "STRAINS

" S t r e s s " C a t e g o r i e s

I n o r g a n i c Environment ( p h y s i c a l )

O rganic Nonhuman Environment ( b i o l o g i c )

O rganic Human Environment ( s o c i a l ) " S t r e s s "

C a t e g o r i e s " S t r e s s e s " " S t r a i n s ' " " S t r e s s e s " " S t r a i n s " " S t r e s s e s " " S t r a i n s "

D e p r i v a t i o n Lack of water, e.g., a s i n a d e s e r t e x p e r i ence, drought

P a t h o l o g i c t h i r s t

V i t a m i n d e f i c i e n c y

B e r i b e r i , s c u r v y

"Sensory" d e p r i v a t i o n

Marooned and s o l i t a r y confinement syndromes

Oxygen d e p r i v a t i o n

A s p h y x i a t i o n Food def i c i e n c y

I n a n i t i o n , s t a r v a t i o n

I n t e r p e r s o n a l d e p r i v a t i o n

L o s s of r o l e and s t a t u s C u l t u r a l d e p r i v a t i o n

G r i e f , c l i n i c a l d e p r e s s i o n , p e p t i c u l c e r ? t u b e r c u l o s i s ? S u i c i d e ? Anomie? Crime? Delinquency?

E x c e s s E x c e s s i v e c o l d E x c e s s i v e snow s h o v e l i n g Atmospheric p o l lution,-, r a d i o a c t i v i t y

F r e e z i n g Coronary h e a r t d i s e a s e ? Cancer, cong e n i t a l d e formity

V i t a m i n and drug e x c e s s Food e x c e s s

P o i s o n i n g s , a d d i c t i o n s O b e s i t y , a t h e r o s c l e r o s i s

E x c e s s i v e i n t e r p e r s o n a l c o n f l i c t

Neuroses? rheumatoid a r t h r i t i s ? t u b e r c u l o s i s ? p s y c h o s e s ? " a c c i d e n t s " ? coronary h e a r t d i s e a s e ? a l c o h o l i s m ?

T u r b u l e n t and v i r u l e n t change

I n o r g a n i c t u r b u l e n c e : f l o o d s , t o r n a d o e s , e a r t h quakes , v o l c a n o s , e t c .

V a r i o u s k i n d s of shocks, traumas

V i r u l e n t microbes, epidemics

Smallpox, d i p t h e r i a t u b e r c u l o s i s t y p h o i d p o l i o

T u r b u l e n t s o c i a l change Rapid d i s r u p t i o n of norms and f u n c t i o n s

Wars , p a t h o l o g i c l e a d e r s , e . g . , H i t l e r , Napoleon L a w l e s s b e h a v i o r , s u i c i d e ?

I n t o l e r a n c e -d e viance

I n t o l e r a n c e o f s u n l i g h t , c o l d

E x h a u s t i o n , shock

Of a l l e r g e n s

Of fermented prod u c t s

Hayfever, food a l l e r g i e s Some ty p e s a l c o h o l i s m ?

I n i n t e r p e r s o n a l r e l a t i o n s

Some t y p e s of s c h i z o p h r e n i a and o t h e r p s y c h o s e s ?

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r e l a t i o n s h i p s i n s p i r i t and method between ecology and epidemiology have been pointed out, among others, by the epidemiologist, Gordon, who d i s c u s s e s the "sameness of epidemiology and medical ecology" i n h i s thorough review of the e c o l o g i c a l b a s i s of h e a l t h and d i s e a s e (1958):

I f morbid conditions of man are the r e s u l t of a r e a c t i o n between man and h i s environment, then a l l d i s e a s e cond i t i o n s can be i n t e r p r e t e d i n terms of three p r i n c i p a l f a c t o r s : an agent, separated from environment for convenience of i n t e r p r e t a t i o n and understanding; a host, the i n j u r e d or a f f e c t e d organism; and the broadly defined environment, i n which both host and agent e x i s t , i t s e l f e n t e r i n g s t r o n g l y i n t o the i n t e r a c t i o n between the two. I n the absence of a known or d e f i n a b l e agent, the b a s i c system of man opposed to environment serves u s e f u l l y . Thus looked upon, a l l d i s e a s e and i n j u r y i n t h e i r group m a n i f e s t a t i o n s are i n t e r p r e t e d as e c o l o g i c phenomena and amendable to the methods of epidemiology, (p. 352)

In the same v e i n are the e a r l y c l a s s i c works i n epidemiology such as Panum fs i n v e s t i g a t i o n s of measles (1940) and Snow's s t u d i e s of c h o l e r a (1936). More r e c e n t l y , Burnet's compendium of i n f e c t i o u s d i s e a s e (1959) c l e a r l y i s i n an e c o l o g i c a l - e p i d e m i o l o g i c a l framework. The review a r t i c l e on epidemiology and anthropology by F l e c k and I a n n i (1958) may a l s o be c i t e d as i l l u s t r a t i v e of a f f i n i t i e s i n concept and s t r a t e g i e s between those two f i e l d s ; and the recent impressive s e r i e s of volumes by May (1958, 1961, 1963, 1965) demonstrate both the extent of epidemiological knowledge concerning d i s e a s e p a t t e r n s i n the world t h a t does e x i s t , as w e l l as the l a r g e gaps remaining u n t i l more adequate c o n t r o l and preventive programs can be implemented. Of p a r t i c u l a r i n t e r e s t i n May's s t u d i e s i s the systematic d i s c u s s i o n of the i n f l u e n c e of s o c i o c u l t u r a l f a c t o r s i n the c a u s a t i o n and prevention of d i s e a s e .

In studying d i s e a s e and s o c i o c u l t u r a l change, epidemiology i s c l e a r l y the technique and methodological approach of choice, for so l i t t l e i s g e n e r a l l y known of the r e l e v a n t background data necessary for u t i l i z i n g more s p e c i f i c , deductive approaches.

S O C I O C U L T U R A L CHANGE AND T H E P U B L I C HEALTH VISEASE AS THE S T I M U L U S FOR SOCIOCULTURAL C H A N G E . Medicine i n s o c i e t y , e s p e c i a l l y , perhaps, i n underdeveloped s o c i e t i e s , does not e a s i l y change under the impact of s u s t a i n e d contact with the indust r i a l i z e d world, nor even as a r e s u l t of d e l i b e r a t e attempts a t change i n conceptions of d i s e a s e or h e a l t h - o r i e n t e d p r a c t i c e s . Paul (1955), F o s t e r (1962), and others have documented the v a r i e t y of i n s t i t u t i o n a l and n o n - s o c i a l f a c t o r s t h a t may impede or a l t o g e t h e r prevent s u c c e s s f u l i n t r o d u c t i o n of a modern h e a l t h program, even of so simple a custom as b o i l i n g d r i n k i n g water. Such f a c t o r s span the

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range from u s u a l e c o l o g i c a l c o n s i d e r a t i o n s to those of f u n c t i o n a l e f f i c i e n c y i n domestic t a s k s , s o c i a l s t r u c t u r a l p r e s s u r e s , esteem and p r e s t i g e of the innovator, and perception of t h r e a t or advantage to the r e c i p i e n t . The proper r o l e of the healer may be d i f f e r e n t l y defined; i n p a r t s of I n d i a , for example, the medical p r a c t i t i o n e r must a s s u r e the p a t i e n t of recovery, and any admission of u n c e r t a i n t y (even one couched i n the form of p r o b a b i l i t y ) i s not allowed. The g i v i n g of rudimentary p h y s i c a l t e s t s may be impossible or d i f f i c u l t i n a non-western context. Or i n s o c i e t i e s where blood, for i n s t a n c e , i s conceived to be a non-regenerative substance (as i t i s i n a number of s o c i e t i e s ) , e x t r a c t i n g of samples for t e s t i n g i s tantamount to d e l i b e r a t e harm.

I t has been found e a s i e r to introduce changes i n b e h a v i o r a l p r a c t i c e than changes i n b e l i e f about the nature of i l l n e s s , i t s cause, and prevention. Domestic hygiene and community h e a l t h thus may be b e t t e r e d through s u s t a i n e d a t t e n t i o n by the p u b l i c h e a l t h worker to change i n h a b i t s , while the underlying b e l i e f system'about the cause of i l l n e s s may be unaltered. One cogent reason for t h i s i s t h a t b e l i e f systems, p a r t i c u l a r l y those centered on c r i t i c a l areas of s o c i a l value such as h e a l t h , serve much more than a simple c o g n i t i v e f u n c t i o n . Being very l a r g e l y t i e d i n with r e l i g i o u s and magical systems of b e l i e f , as w e l l as with the moral order of the s o c i e t y , they impart a deeper sense of resigned acceptance of what happens than does an a l i e n concept t r e a t i n g of a germ theory of s i c k n e s s c a u s a t i o n . More adequately do they address themselves to the q u e s t i o n "Why did I and not my neighbor get s i c k ? " than does an .explanation phrased i n terms of communicability of a d i s e a s e , t h r e s h o l d s of r e s i s t a n c e , host, agent, and environment.

Yet i n many i n s t a n c e s modern medicine does get accepted. One of the c h i e f reasons i s i t s demonstrably g r e a t e r e f f e c t i v e n e s s i n the treatment and prevention of many d i s e a s e s . But even such acceptance as t h i s i s often compromised by the e x i s t e n c e of a l t e r n a t i v e d i a g n o s t i c and t h e r a p e u t i c frameworks: one r e l a t i n g to those d i s e a s e s f o r which i t i s f e l t modern medicine i s more e f f e c t i v e , and the second to d i s e a s e s conceived to be unamenable to modern medical treatment. The f i r s t framework i s often t h a t applied to d i s e a s e s introduced by the European (such as t u b e r c u l o s i s , measles, smallpox, and others of a s i m i l a r h i g h l y communicable n a t u r e ) , while i n the second group are t r a d i t i o n a l l y endemic d i s e a s e s and, e s p e c i a l l y , a ilments having a l a r g e component of p s y c h o l o g i c a l or psychophysiologic involvement.

But i n the extremity of f e a r for a p a t i e n t 1 s l i f e even such d i s t i n c t i o n s as these are often disregarded, and the i l l person may be taken to a modern medical f a c i l i t y a f t e r indigenous h e a l e r s have done t h e i r b e s t , taken e i t h e r to be cured or l e f t to d i e . Every h o s p i t a l — a n d not j u s t those i n non-western, "underdeveloped" g r o u p s — has admitted p a t i e n t s brought too l a t e f or the course of d i s e a s e to be h a l t e d even by the most advanced techniques of s c i e n t i f i c medicine. D i s e a s e being an unequivocal t h r e a t to l i f e , adaptive responses are

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many and sometimes o v e r r i d e i n g r a i n e d b e l i e f , e i t h e r of f o l k medicine on the one hand, or modern medicine on the other. I n t h i s l i g h t , given the avowedly l i m i t e d r o l e of s c i e n t i f i c medicine i n s o c i e t y — t o g e t h e r with the i n e v i t a b i l i t y of d i s e a s e — e l e m e n t s of f o l k medicine w i l l no doubt everywhere p e r s i s t , even as they do i n Europe and the United S t a t e s , so long as there i s u n c e r t a i n t y of outcome, or t e c h n i c a l i n e f f e c t i v e n e s s i n a l l e v i a t i n g pain, prolonging l i f e and guaranteeing cure.

V I S E A S E AS T H E R E S U L T OF S O C I O C U L T U R A L C H A N G E . Much can be p r e d i c t e d about the r e l a t i o n s h i p between s o c i o c u l t u r a l change and d i s e a s e (or h e a l t h ) by even a cursory review of the h i s t o r i c a l and epidemiologic evidence concerning r e c u r r e n t , g e n e r i c f e a t u r e s of the change s i t u a t i o n , which f e a t u r e s are both of a n o n - c u l t u r a l and, i n human populations, e s p e c i a l l y of a symbolic and phenomenological nature. In combination, however, they comprise a syndrome of pathogenic c o n d i t i o n s which presents a formidable challenge to the organism's (and to a group's) adaptive c a p a c i t i e s . T h i s i s not, of course, to say t h a t a simple t h e o r e t i c a l equation e x i s t s between s o c i a l change and the appearance of c l i n i c a l symptoms of d i s e a s e . But i t i s to emphasize again t h a t d i s r u p t e d p a t t e r n s of adaptation are •pre die positional to d i s e a s e . And prevalence data would s t r o n g l y support the use of conditions of change as u s e f u l short-hand pred i c t i v e i n d i c a t o r s of high morbidity (as Hippocrates i n s i s t e d c e n t u r i e s ago).

Throughout h i s t o r y there has been an i n v a r i a b l e a s s o c i a t i o n between periods of great s o c i a l t u r m o i l , such as war, and high d i s e a s e i n c i d e n c e . This i s e s p e c i a l l y t r u e i n those periods when the e a r l y , e x p l o i t a t i v e phases of i n d u s t r i a l i z a t i o n are accomplished—which i s happening now i n so many p a r t s of the world, and which i s the e x p l i c i t focus of our concern a t t h i s conference.

In the matter of population growth f o r example:

Overpopulation a f f e c t s the h e a l t h of the community, physi c a l l y and mentally. I t undermines p h y s i c a l h e a l t h by i n c r e a s i n g the r i s k s of i n f e c t i o n and by the more s u b t l e , but powerful, i n f l u e n c e of m a l n u t r i t i o n ; by shortening l i f e ; by d i s r u p t i n g the family through deaths of i t s younger members; by damaging the h e a l t h of the c h i l d -bearing population through frequent pregnancies without any corresponding gain; by denying the community many of the e s s e n t i a l s of h e a l t h . Mental h e a l t h s u f f e r s because of the hopelessness of l i f e i n circumstances where there e x i s t n e i t h e r houseroom, food, w e l l being nor any of the e s s e n t i a l s which make a l i f e of f u l f i l l ment and purpose p o s s i b l e . (Brockington, 1958: p. 95)

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Or m i g r a t i o n :

The migration of peoples from t h e i r homelands, which t e a r s up the family by i t s roots or d i s r u p t s i t by the removal of c h e r i s h e d members, although age-old, has i n recent c e n t u r i e s added enormously to the problem of p u b l i c h e a l t h . As a by-product of so many human a c t i v i t i e s — w a r , famine, d i s e a s e , i n d u s t r i a l i z a t i o n , r e l i g i o u s p e r s e c u t i o n , overpopulation, and e x p l o r a t i o n - -i t has taken m i l l i o n s f a r over the high seas and across land masses, or perhaps no f u r t h e r than to the newly b u i l t i n d u s t r i a l a r e a s , but a l s o to a new environment, where customs and c u l t u r a l t i e s d i f f e r and new hazards have to be met. ( i b i d . , p. 103)

Or of another e f f e c t of migration (and of the l a c k of i t ) , i l l u s t r a t e d by a s p e c i f i c and h i g h l y devastating d i s e a s e , smallpox:

Regardless of where they came from or how they spread, most of the major i n f e c t i o u s d i s e a s e s of h i s t o r y have had one c h a r a c t e r i s t i c i n common: they have done t h e i r g r e a t e s t damage among populations which were suddenly exposed to them for the f i r s t time. The i n h a b i t a n t s of 18th Century England, where smallpox was common, cons i d e r e d i t a childhood d i s e a s e . And i n f a c t i t was: one out of three E n g l i s h c h i l d r e n died of i t before h i s t h i r d b i r t h d a y . Many others were blinded by i t , and most were pockmarked f o r l i f e — b u t those who s u r v i v e d were immune to smallpox fore v e r . The I n d i a n s of the New World, on the other hand, had never been exposed to the d i s e a s e , and were p a r t i c u l a r l y v u l n e r a b l e to i t . S h o r t l y a f t e r Cortez a r r i v e d i n Mexico i n 1520, smallpox ravaged the Indians, there, k i l l i n g at l e a s t h a l f of them, c h i l d r e n and a d u l t s a l i k e , and so demoralizing the r e s t t h a t i t hastened t h e i r defeat. When the E n g l i s h came to f i g h t the Indians of North America a century l a t e r , they did not h e s i t a t e to take advantage of t h i s susc e p t i b i l i t y . By g i v i n g away contaminated b l a n k e t s , they w i l l f u l l y spread smallpox among t h e i r foes, while r e j o i c i n g t h a t the Lord had sent His "avenging angels to destroy the heathen."

The Europeans soon l o s t t h e i r advantage, however. I n the New World, t h e i r way of l i f e changed s u f f i c i e n t l y to prevent constant exposure to smallpox. The s c a t t e r e d settlements i n which they l i v e d had l i t t l e c o n t a c t with one another. While they remained i s o l a t e d , the c o l o n i s t s stayed g e n e r a l l y h e a l t h y ; smallpox i n f e c t i o n was often unknown for a whole generation. But meanwhile a l a r g e nonimmune population grew up. As a r e s u l t , whenever a ship brought f r e s h i n f e c t i o n s from Europe, smallpox, as w e l l as measles, s t r u c k with

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f e r o c i t y . Throughout the 17th Century, smallpox remained the major epidemic d i s e a s e i n the c o l o n i e s . (Dubos and Pi n e s , 1965, p. 37)

Or u r b a n i z a t i o n , which t r a d i t i o n a l l y has been a s s o c i a t e d with low po p u l a t i o n a l f e r t i l i t y and high incidence of a l l types of d i s e a s e s :

The growth of towns i n many p a r t s of the world i s now proceeding f a s t . . . . Outside the developed world, people are crowding i n t o the towns, often to l i v e i n circumstances of great discomfort and dangerous congestion,,and adding to the problems of p u b l i c h e a l t h i n c o u n t r i e s t h a t already have too many. Here they are reproducing again the e f f e c t s of i n d u s t r i a l i z a t i o n from which Europe and the New World have only r e c e n t l y escaped. What can be s a i d of the c i t i e s and towns t h a t now abound where i t i s not a question of one person or even one family to a room, but of many f a m i l i e s and even a family per bed space, without water or s a n i t a t i o n ? As Hammonds s a i d of England when the I n d u s t r i a l Revolution had done i t s worst, 'the idea of the town as a focus f o r c i v i l i z a t i o n , a centre where the emancipating and enl i g h t e n i n g i n f l u ences of the time can a c t r a p i d l y and with e f f e c t , the school of s o c i a l a r t s , the nursery of s o c i a l e n t e r p r i s e , the witness to beauty and order and freedom t h a t men can bring i n t o t h e i r l i v e s , had vanished from a l l minds.'

The I n d u s t r i a l Revolution has l e f t the world with a legacy of outworn towns, sprawling suburbs and d i s f i g u r e d countryside. (Brockington, 1958: p. 129)

And with r e f e r e n c e to one s p e c i f i c , and h i g h l y d i f f u s e d d i s e a s e , t u b e r c u l o s i s , which bears a c l o s e r e l a t i o n s h i p to s o c i a l change, e s p e c i a l l y u r b a n i z a t i o n and i n d u s t r i a l i z a t i o n :

There i s an undoubted c o r r e l a t i o n between low economic c o n d i t i o n s , such as poor n u t r i t i o n , s t r e s s , and c l o s e c o n t a c t s , and t u b e r c u l o s i s prevalence. i t i s a l s o accepted that poor housing i s a c o n t r i b u t i n g f a c t o r to t u b e r c u l o s i s t r a n s m i s s i o n , . . . . The e f f e c t i v e f a c t o r seems to be repeated i n f e c t i v e contacts between people s u f f e r i n g from m a l n u t r i t i o n . I n d u s t r i a l i z a t i o n has been and continues to be one of the most important s o c i a l f a c t o r s t h a t c o n t r i b u t e to these c o n d i t i o n s . T h i s i s e s p e c i a l l y t r u e i n areas t h a t draw t h e i r labor strength from underpaid people crowding i n the slums of newly creat e d c i t i e s under co n d i t i o n s remote from t h e i r o r i g i n a l c u l t u r e , such as are found i n South A f r i c a and other c o u n t r i e s where western i n d u s t r i a l i z a t i o n has been imposed upon n a t i v e labor. Another e f f e c t of i n d u s t r i a l i z a t i o n on the map of t u b e r c u l o s i s i s the development of p r o f e s s i o n s and occupations t h a t tax

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the i n t e g r i t y of the r e s p i r a t o r y apparatus... such as the i n h a l a t i o n of dust, c o a l , s i l i c o n and asbestos. The migration of newly i n f e c t e d populations should a l s o be l i s t e d among the important f a c t o r s r e s u l t i n g i n m u l t i p l i c i t y of c o n t a c t s .

War conditions sum up a l l these f a c t o r s because they r e s u l t i n poor n u t r i t i o n , the concentration of people i n housing areas t h a t are c o n s t a n t l y reduced by f u r t h e r d e s t r u c t i o n , and i n the migration of people from war areas to the crowded p l a c e s where they think they can f i n d s h e l t e r . Innumerable s t a t i s t i c s , c u l l e d from many co u n t r i e s following two world wars, have s u b s t a n t i a t e d t h i s statement. Even i n the United S t a t e s where the migration of populations to crowded c i t i e s was the only f a c t o r present (to the e x c l u s i o n of malnutrition),, the downward trend of t u b e r c u l o s i s m o r t a l i t y was i n t e r r u p t e d during the war. (May, 1958: p. 133)

Another p r e d i c t a b l e e f f e c t of unplanned s o c i a l change, e s p e c i a l l y change of a socioeconomic nature, i s d i e t a r y d e f i c i e n c y . I t may be argued t h a t i n underdeveloped areas of the world t h i s i s only an exchange of one type of m a l n u t r i t i o n for another; but frequently under indigenous conditions, some type of compensatory n u t r i t i o n a l balance has been achieved even with a p a u c i t y of foodstuff r e s o u r c e s . Thus, for example, necessary calcium i n the Mexican peasant's d i e t i s obtained through the lime-water i n which the maize for t o r t i l l a s i s s oaked—and u s u a l l y not replaced when the family migrates "to the c i t y and uses commercial foods. But more g e n e r a l l y , i n the course of development the d i r e c t i o n of movement i s c l e a r l y away from subs i s t e n c e a c t i v i t i e s . This means th a t t r a d i t i o n a l d i e t s are upset, r e p l a c e d i r r e g u l a r l y and e r r a t i c a l l y with commercial food products, and the r e s u l t a n t d i e t a r y i n t a k e i s not n u t r i t i o n a l l y s a t i s f a c t o r y e i t h e r by comparison with t r a d i t i o n a l d i e t s or by those of the i n d u s t r i a l i z e d c o u n t r i e s ( c f . H e l l e r , 1949; Dubos, 1959; F o s t e r , 1962) . Mead summarizes t h e " s i t u a t i o n commonly found:

I n g e n e r a l , the e f f e c t of a cash-crop or wage economy on n u t r i t i o n has been one of lowering the l e v e l by d i s t urbing the balance achieved under s u b s i s t e n c e economy, introducing processed foods as p r e s t i g e foods, l i m i t i n g the amount and q u a l i t y of su b s i s t e n c e crops i n favour of cash crops, or the amount of time spent i n preparation and p r e s e r v a t i o n of food f or home consumption. (1955, p. 244)

Another i l l u s t r a t i o n of some of these l i n k e d e c o l o g i c problems as they r e l a t e to s o c i a l change i n one area of the world i s given by May i n h i s The Ecology of M a l n u t r i t i o n i n Middle A f r i c a :

As a r e s u l t of the c o n t r o l the c o l o n i a l powers had establ i s h e d over endemic d i s e a s e s , the growth r a t e of the

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population has been s t e a d i l y i n c r e a s i n g i n p a s t decades. Ghana, N i g e r i a , and Chad were probably growing a t a r a t e of 2.5 percent a year. While the two Congos, Gabon, and the C e n t r a l A f r i c a n Republic were growing a t the lower r a t e of 1,8 or 2 percent. Rwanda and Burundi, however, are among the f a s t e s t growing c o u n t r i e s of A f r i c a , with a p o s s i b l e r a t e of 3 percent annually. The population under 15 probably r e p r e s e n t s about 4 0 percent of the t o t a l . T h i s i m p l i e s t h a t i f the death r a t e can be kept a t i t s present l e v e l or lower, an i n c r e a s e of about 60 percent i s to be expected w i t h i n 20 to 25 y e a r s . Unless considerable economic improvements takes p l a c e , unemployment, m a l n u t r i t i o n , and s o c i a l u n r e s t are to be expected. An i n d i c a t i o n of things to come i s found i n the c i t i e s of L e o p o l d v i l l e , B r a z z a v i l l e , and even Bangui. They give an i n k l i n g of what can become of a d e s t i t u t e group of d e t r i b a l i z e d people seeking to play a r o l e i n the money economy....As i t i s , there i s an overgrowth of petty t r a d e r s and government o f f i c i a l s , a d i s t r e s s i n g pool of t o t a l l y unemployed men separated from t h e i r t r i b e , and women whose meager resources do not meet the c o s t of l i v i n g i n c i t i e s . Urban d i e t s have l o s t t h e i r t r i b a l c h a r a c t e r , and the workers t r y to round up enough money to feed themselves white bread, canned foods, and imported s p i r i t s . I t has been s a i d t h a t N i g e r i a w i l l be confronted with 800,000 unemployed school graduates by 1966. I t can only be hoped t h a t other f a c t o r s w i l l develop soon t h a t w i l l allow the absorption of t h i s l i t e r a t e group i n t o some productive e n t e r p r i s e . (1965: p. xv)

THE F S V C H O C U L T U R A L ENt/IRONMENT. So f a r as environment i s concerned, n o n - c u l t u r a l and m a t e r i a l - c u l t u r a l f a c t o r s have t r a d i t i o n a l l y been the i n i t i a l and most obvious f e a t u r e s to be i n v e s t i g a t e d i n p u b l i c h e a l t h research—demographic c h a r a c t e r i s t i c s , housing, c l o t h i n g , n u t r i t i o n a l p a t t e r n s , a i r and water p o l l u t a n t s , biochemical hazards, e t c . But many psyche-cultural f a c t o r s loom e q u a l l y l a r g e i n the t o t a l e c o l o g i c a l adjustments of the human organism, e s p e c i a l l y i n t h e i r i m p l i c a t i o n s for both psychogenic and psychophysiologic types of d i s o r d e r . T h i s a r i s e s , i n the f i r s t i n s t a n c e , because of the extent to which the encompassing environment, for humans, i s s i g n i f i c a n t l y s t r u c t u r e d by c o g n i t i v e and, e s p e c i a l l y , emotionally-charged symbols and symbol-sets. More, s u r e l y , than i s true for any other s p e c i e s , man confronts the n a t u r a l environment through a perceptual s c r e e n t h i c k l y encrusted with the opinions of generations. Secondly, however, e x p l i c i t a t t e n t i o n to p s y c h o c u l t u r a l c h a r a c t e r i s t i c s of the environment i s important, because of the f u n c t i o n and r o l e of c u l t u r a l f a c t o r s i n both the conduct of o r d e r l y s o c i a l l i f e and i n the s t r u c t u r a l i z a t i o n of the s e l f . For c u l t u r e serves a profound orienta-tionaI purpose, c h a n n e l l i n g the energies of i n d i v i d u a l persons i n t o coordinated a c t i v i t y through the i n s t r u m e n t a l i t y of shared (or complementary) values and sentiments, a t the same time providing much of the d i r e c t i v e s t r u c t u r e for the i n d i v i d u a l p e r s o n a l i t y .

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I t i s i n t h i s s e n s e — t h a t o f d i r e c t i o n , o f c h a n n e l l i n g a c t i v i t y — t h a t t h e " o r i e n t a t i o n a l f u n c t i o n " e n t e r s i m p o r t a n t l y i n t o a dynamic system o f energy a c q u i s i t i o n and e x p e n d i t u r e , g o a l - s t r i v i n g , e v a l u a t i n g o f a l t e r n a t i v e s . I t .is a l s o i n t h i s sense t h a t t h e o r i e n t a t i o n a l f u n c t i o n s o f c u l t u r e may be seen t o have many congruent concerns w i t h t h e concepts of oommunication and information. I n r e c e n t years, a u t h o r s from d i v e r s e f i e l d s have converged i n t h e i r t h i n k i n g about t h e importance and p e r v a s i v e n e s s o f i n f o r m a t i o n and communication as b a s i c concepts i n u n d e r s t a n d i n g a c t i v i t y , energy f l o w s - - i n d e e d , i n u n d e r s t a n d i n g o r d e r , p r e d i c t a b i l i t y , and r e c u r r e n t s t r u c t u r e i n n a t u r e . The v a s t l i t e r a t u r e on t h e s u b j e c t need n o t be more t h a n a l l u d e d t o here. I would, however, make r e f e r e n c e t o t h e e x t e n t t o which o r d e r l y human s o c i a l b e h a v i o r ( w i t h i t s concomitant p s y c h o l o g i c a l dimensions) may p r o f i t a b l y be viewed i n terms o f an i n f o r m a t i o n paradigm, e s p e c i a l l y when t h e environment i s conceived t o i n c l u d e , as e c o l o g i c a l p arameters, such f e a t u r e s as c u l t u r a l symbols, v a l u e s , b e l i e f s , e t c . Numerous a u t h o r s , f o r example, have seen t h e concept o f c u l t u r e as p r o v i d i n g t h e i n f o r m a t i o n a l framework necessary t o b r i n g a degree o f c o o r d i n a t i o n and common purpose i n t o t h e o t h e r w i s e r a n d o m l y - o r i e n t e d b e h a v i o r o f i n d i v i d u a l men. I n s o f a r as, i n one o f i t s a s p e c t s , i n f o r m a t i o n i s based on s e l e c t i v i t y from a range o f t h e o r e t i c a l l y p o s s i b l e a l t e r n a t i v e s , on a r e s t r i c t i o n of randomness, much o f c u l t u r e can be a t l e a s t f u n c t i o n a l l y equated w i t h i n f o r m a t i o n , w i t h t h e s y m b o l i z i n g , c o d i n g , t r a n s m i s s i n g , dec o d i n g , i n t e r p r e t i n g processes i n v o l v e d i n t h e i m p l e m e n t a t i o n o f such i n f o r m a t i o n i n t o e m p i r i c a l p a t t e r n s o f energy e x p e n d i t u r e .

A decade ago the p o l i t i c a l s c i e n t i s t , Deutsch, saw t h i s s t r a i g h t f o r w a r d t r a n s l a t i o n o f " c u l t u r e " i n t o 11 i n f o r m a t i o n " i n t h e f o l l o w i n g t e r m s :

A common c u l t u r e , t h e n , i s a common s e t o f s t a b l e , h a b i t u a l p r e f e r e n c e s and p r i o r i t i e s i n men's a t t e n t i o n and b e h a v i o r , as w e l l as i n t h e i r t h o u g h t s and f e e l i n g s . Many o f these p r e f e r e n c e s may i n v o l v e communication.... (1953, p. 62)

A concept f o r t h a t which knowledge, v a l u e s , t r a d i t i o n s , news, g o s s i p and commands a l l have i n common has been developed by communications e n g i n e e r s . They have c a l l e d i t i n f o r m a t i o n . (1963, p. 64)

S o c i e t i e s produce, s e l e c t , and channel goods and s e r v i c e s . Cultures produce, select, and channel information. A r a i l r o a d o r a p r i n t i n g press i s a m a t t e r o f s o c i e t y . A t r a f f i c code o r an a l p h a b e t i s a m a t t e r o f c u l t u r e . S o c i e t y can b u i l d w a l l s , c u l t u r e can impose t a b u s . S o c i e t y communicates t a n g i b l e goods or i n p u t s o f energy c a l l e d work; c u l t u r e communicates p a t t e r n s . These may be p a t t e r n s o f t h e arrangement o f o b j e c t s i n space, from p o t t e r y and ornaments t o t o o l s and b u i l d i n g s . They may be p a t t e r n s o f a c t i o n , such as games, dances,

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o r models o f g r a c e f u l b e h a v i o r . Or t h e y may be p a t t e r n s o f p r e f e r e n c e , o f d o ? s and d o n ' t s , such as standards o f m o r a l i t y o r t a s t e . Or, f i n a l l y , t h e y may be codes and symbols, t h a t i s , p a t t e r n s so arranged as t o convey i n f o r m a t i o n about o t h e r p a t t e r n s , up t o t h e v a s t e x t e n t o f what t h e b i o l o g i s t J. S. Huxley c a l l e d "man's unique b i o l o g i c a l c h a r a c t e r i s t i c o f t r a d i t i o n . . . " (1953, p.66)

O t h e r s , t o m e n t i o n b u t a few, who have employed t h e concept o f c u l t u r e i n a s i m i l a r way are Ruesch and Bateson (1951), Roberts (1964), d'Andrade and Romney (1964), B o u l d i n g (1956, 1964), o r , o f c o u r s e , Parsons (1951; and Parsons and S h i l s , 1951).

I n a r e c e n t f o r m u l a t i o n o f t h e e c o l o g i c a l frame o f r e f e r e n c e and i t s r e l e v a n c e t o s o c i a l t h e o r y , Duncan d i s c u s s e s t h e concept o f i n f o r m a t i o n as one o f t h e t h r e e e l e m e n t a l dimensions o f t h e f l o w p a t t e r n s which c o n s t i t u t e t h e e m p i r i c a l w o r l d . He sees t h e fundamental parameters o f s o c i a l e x i s t e n c e i n terms o f a dynamic framework o f the f l o w o f m a t e r i a l s , energy, and i n f o r m a t i o n , a r g u i n g t h e case, i n p a r t , i n these t e rms:

...we may b e g i n by c h a r a c t e r i z i n g t h e ecosystem as a " n a t u r a l u n i t . . . i n which t h e exchange o f m a t e r i a l s between t h e l i v i n g and n o n - l i v i n g p a r t s f o l l o w s c i r c u l a r p a t h s , " w h i c h are c a l l e d " biogeochemical c y c l e s " . ...This s t a t e m e n t needs a m p l i f i c a t i o n , f i r s t , t o c a l l a t t e n t i o n t o t h e exchanges between d i v e r s e l i v i n g u n i t s as w e l l as between such u n i t s and t h e n o n - l i v i n g s u r r o u n d i n g s . Second, t h e dependence o f l i f e upon environment i n v o l v e s n o t o n l y t h e m a t e r i a l s t h a t f o l l o w c i r c u l a r p a t h s , b u t a l s o t h e n o n c i r c u l a r f l o w s o f two o t h e r "commodities," energy and i n f o r m a t i o n . (1964: p. 37)

L i v i n g systems, a t whatever l e v e l o f i n t e g r a t i o n -c e l l , i n d i v i d u a l , a s s o c i a t i o n o r s o c i e t y , species p o p u l a t i o n , i n t e r s p e c i e s a g g r e g a t i o n — a r e complex s t r u c t u r e s o f m a t t e r m a i n t a i n e d by energy i n p u t s . These i n p u t s , however, must be n o t m e r e l y random b u t r a t h e r p a t t e r n e d o r d i r e c t e d . The maintenance o f s t r u c t u r e c a l l s f o r information o r " i n s t r u c t i o n s " on how t h e energy i s t o be expended. "Even t h e s i m p l e s t l i v i n g c r e a t u r e i s an i n f o r m a t i o n - g a t h e r i n g and i n f o r m a t i o n - o r g a n i z i n g s t r u c t u r e " . . . . ( i b i d . , p. 39)

A d m i t t e d l y , i t may be q u i t e premature t o c l a i m t h a t a v a r i e t y o f phenomena d i v e r s e i n form and l e v e l may u s e f u l l y be subsumed under t h e concept " i n f o r m a t i o n . " Y e t one i s impressed by t h e m u l t i p l i c i t y o f i n v e s t i g a t i o n s i n which some r e c o g n i t i o n i s g i v e n t o g e n e r i c aspects o f i n f o r m a t i o n . More t h a n one o b s e r v e r has noted t h a t " 1 i n f o r m a t i o n ' . . . i s i n c r e a s i n g l y b e i n g

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r e c o g n i z e d as a fundamental economic and t e c h n o l o g i c a l " s t u f f " comparable t o m a t t e r and energy".... To g i v e b u t one example, t h e g e n e r a l s c i e n c e p e r i o d i c a l s b r i n g almost monthly news o f p r o g r e s s i n c r a c k i n g t h e "code"of t h e g e n e t i c "messages" which convey the " i n s t r u c t i o n s " on which t h e whole o r g a n i z a t i o n o f l i f e i n each new g e n e r a t i o n depends. Today's e f f o r t t o g e n e r a l i z e t h e i n f o r m a t i o n concept i s perhaps no more r a d i c a l f o r i t s t i m e t h a n were t h e hypotheses of energy c o n s e r v a t i o n and i n t e r c o n v e r t i b i l i t y o f forms o f energy a l i t t l e more t h a n a c e n t u r y ago. ( i b i d . , p. 40)

THE SELF I N PSVCHOCULTURAi CHANGE. Much o f what happens t o an i n d i -v i d u a l person i n a c o n t e x t o f s o c i a l change may be e l u c i d a t e d by an i n f o r m a t i o n paradigm o f the t y p e d i s c u s s e d above. For i n s o f a r as a. b a s i c s t r u c t u r a l element i n t h e p s y c h o s o c i a l l i f e o f any i n d i v i d u a l i s adaptational striving; and i n s o f a r as a l a r g e p a r t o f t h e psycho-c u l t u r a l environment i n which such s t r i v i n g o c curs i s s t r u c t u r e d informationally—i.e., c o n s t i t u t e d i n terms o f symbolic p a t t e r n s , images, v a l u e s and b e l i e f systems, e t c . ; and i n s o f a r as one o f t h e i n t e n t s o f c o n t i n u e d e n c u l t u r a t i o n i n any group i s t o make t h e p e r s o n a l i t y " f i t " i n t o o r be complementary t o t h a t s y m b o l i c , i n f o r m a t i o n a l environment, t h e n h a b i t a t changes which e f f e c t a l t e r a t i o n s i n t h e i n f o r m a t i o n a l environment are l i k e l y t o be d i s r u p t i v e , a t l e a s t i n t h e s h o r t - r u n . For such i n f o r m a t i o n a l s i g n s are n o t m$re c o g n i t i v e g u i d e s ; t h e y become, c o n c o m i t a n t l y , i n v e s t e d w i t h a f f e c t , t h e o b j e c t s o f e m o t i o n a l apprehension. Put i l l u s t r a t i v e l y , t h e t r i b a l N i g e r i a n who, as a s u b s i s t e n c e f a r m e r , has l e a r n e d t h e cues and s i g n s o f n a t u r e which enable him t o be h i g h l y e f f e c t i v e ( a l t h o u g h i l l i t e r a t e ) , whose sense o f s e l f - e s t e e m i s r o o t e d i n s k i l l e d manual a c t i v i t y , and whose f e e l i n g o f c o n t i n u i t y w i t h h i s t o r y and w i t h h i s f e l l o w s i n h e r e s i n work w i t h t h e s o i l , i s bound t o s u f f e r marked f e e l i n g s o f inadequacy and d e p r i v a t i o n i f suddenly he has t o l e a r n a d a p t a t i o n a l t e c h n i q u e s d i r e c t e d a t a v e r y d i f f e r e n t p s y c h o s o c i a l l y and p s y c h o c u l t u r a l l y s t r u c t u r e d environment. I f now he must r e a d , and c a n n o t ; must know how t o speak e f f e c t i v e l y , y e t i s u n s k i l l e d i n t h i s a c t i v i t y ; must use d i f f e r e n t mechanisms f o r r e l a t i n g t o o t h e r p e o p l e , y e t has few such i n t e r p e r s o n a l s k i l l s i n h i s r e p e r t o r y , then t h e r e i s a r i s e , perhaps t o a p a t h o l o g i c a l l e v e l , o f a n x i e t y and s t r e s s e s .

I t i s i n e x a c t l y t h i s sense t h a t h e a l t h i s t o be seen as a p p r o p r i a t e s o c i a l f u n c t i o n i n g i n t h e i n t e r e s t s o f p s y c h o b i o l o g i c a l a d a p t a t i o n , and t h e sense i n which Parsons (among o t h e r s ) has d e f i n e d h e a l t h w i t h r e f e r e n c e t o s o c i a l m a t r i x - - e . g . ,

H e a l t h may be d e f i n e d as t h e s t a t e o f optimum capacity . o f an i n d i v i d u a l f o r t h e e f f e c t i v e performance o f t h e r o l e s and t a s k s f o r w h ich he has been s o c i a l i z e d . I t i s t h u s d e f i n e d w i t h r e f e r e n c e t o t h e i n d i v i d u a l 1 s p a r t i c i p a t i o n i n t h e s o c i a l system. I t i s a l s o d e f i n e d

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as relative t o h i s " s t a t u s " i n t h e s o c i e t y , i . e . , t o d i f f e r e n t i a t e d t y p e o f r o l e and c o r r e s p o n d i n g t a s k s t r u c t u r e , e.g., by sex o r age, and by l e v e l o f e d u c a t i o n w h ich he has a t t a i n e d and t h e l i k e . (1964: p. 274)

I f t h e person i s now f o r c e d t o p e r f o r m r o l e s f o r which he has been i n a d e q u a t e l y s o c i a l i z e d and t r a i n e d , t h e n t h e r e w i l l be psycho-dynamic r e p e r c u s s i o n s w h ich may w e l l r e s u l t i n p s y c h o l o g i c a l , p s y c h o p h y s i o l o g i c , and even b e h a v i o r a l symptoms o f d i s o r d e r . Man i s s i m p l y n o t i n f i n i t e l y p l a s t i c i n a p s y c h o l o g i c a l and p s y c h o s o c i a l sense, any more than i n a p h y s i o l o g i c a l sense. People v a r y i n t h e i r c a p a c i t i e s f o r a d a p t a t i o n , o f co u r s e , and such c a p a c i t i e s f o r d e f e n s i v e m o b i l i z a t i o n are t r u l y i m p r e s s i v e ( c f . Selye, 1956), b u t t h e r e are l i m i t s . The appearance o f what has been c a l l e d a " d i s -a d a p t a t i o n syndrome" among H i g h l a n d I n d i a n s i n Peru who m i g r a t e t o t h e c u l t u r a l l y a l i e n urban slums o f Lima--and t h e r e develop p s y c h o l o g i c a l and p s y c h o p h y s i o l o g i c a l p a t h o l o g i c a l r e a c t i o n s — d r a m a t i c a l l y p o r t r a y s such l i m i t a t i o n s ( c f . F r i e d , 1959).

But t h e i d e a o f a d a p t i n g t o s p e c i f i c r e q u i r e m e n t s o f a r o l e serve o n l y as an example o f broader e n v i r o n m e n t a l changes w h i c h o f t e n r e q u i r e new t e c h n i q u e s o f a d a p t a t i o n . One o f t h e common m a n i f e s t a t i o n s o f s o c i a l change i s t h a t o f i n c r e a s e i n and p r o l i f e r a t i o n o f cultural standards c o n t e n d i n g i n t h e same s o c i a l arena, i n o t h e r words, o f information, and o f c o n f l i c t i n i n f o r m a t i o n a l i n p u t . Since one o f t h e c h i e f q u a l i t i e s o f i n f o r m a t i o n (and o f c u l t u r e , seen i n i n f o r m a t i o n a l terms) i s i t s l a r g e l y a r b i t r a r y n a t u r e , a burden i s p l a c e d on t h e i n d i v i d u a l caught up i n change s i t u a t i o n s t o s o r t o u t what i s a r b i t r a r y , a d v e n t i t i o u s so f a r as h i s i n t e r e s t s are concer n e d , from what i s r e l e v a n t . One o f t h e c h i e f psychodynamic t a s k s f o r t h e i n d i v i d u a l , t h e n , i n a s i t u a t i o n o f s o c i o c u l t u r a l change i s t h a t o f establishing for himself standards of relevance by w h i c h he can make sense o u t o f t h e c o n f l i c t f u l i n f o r m a t i o n he p e r c e i v e s . I t i s i n t h i s sense t h a t t h e n o t i o n o f " r e f e r e n c e group" o r , more a d e q u a t e l y " r e f e r e n c e c u l t u r e , " ( c f . Hughes, 1957) becomes i m p o r t a n t f o r u n d e r s t a n d i n g much o f t h e ps y c h o p a t h o l o g y o f s o c i o c u l t u r a l change. Some people by d e s i g n o r by s o c i a l a c c i d e n t can a l l y thems e l v e s w i t h v o l u n t a r y m u t u a l - a i d groups i n an urban s e t t i n g (as happens i n many towns o f West A f r i c a ) . But many o t h e r s a r e prompted t o i n t e r n a l i z e s t a n d a r d s o f and f o r b e h a v i o r (and groups which embody these s t a n d a r d s ) which a r e u n r e a l i s t i c , i n a p p r o p r i a t e , and d y s f u n c t i o n a l . The b a s i c psychodynamic process o f " s e l f - o t h e r comparisons," which w i t h i n t h e c o n f i n e s o f a t r a d i t i o n a l c u l t u r e r e s u l t s i n some ty p e o f h o m e o s t a t i c b a l a n c e between what a person can become and what he wants t o become ( w i t h a r e l a t i v e l a c k o f i n v i d i o u s c o n t r a s t i n most "pre-development" s o c i e t i e s ) , i s o f t e n h e i g h t e n e d i n a c o n t e x t o f s o c i o c u l t u r a l change, w i t h i t s u s u a l i n c r e a s e i n a r r a y o f c u l t u r a l symbols, i n f o r m a t i o n s e t s , v a l u e s , images, e t c . And i f t h e e m o t i o n a l bonding t o t h e t r a d i t i o n a l s e t o f c u l t u r a l symbols has s u f f e r e d t h e e r o s i o n s o f s t r e s s and c o n f l i c t , t h e j u x t a p o s i t i o n o f mere c o g n i t i v e a l t e r n a t i v e s may w e l l r e s u l t i n b e h a v i o r a l s h i f t . I n

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such a d r a s t i c move a common "anchorage," t h e n , o r base p o i n t o f t e n used as t h e e s s e n t i a l j u s t i f y i n g c r i t e r i o n i n such a r e f o r m u l a t i o n o f v a l u e s i s an extreme i d e o l o g i c a l o r s o c i o p o l i t i c a l movement— n a t i o n a l i s m , t r i b a l i s m , e t h n i c i s m , e t c .

I t i s n o t t h a t , i n a t r a d i t i o n a l c u l t u r e , people are n o t c h a l l e n g e d and t h r e a t e n e d i n terms of s e l f - e s t e e m , concepts o f t h e w o r t h y s e l f , e t c . , f o r t h e y a r e c h a l l e n g e d i n t h i s manner. And such t h r e a t may w e l l r e s u l t i n t h e development o f p s y c h i a t r i c d i s o r d e r s even i n n o n l i t e r a t e groups ( c f . L e i g h t o n e t a l . 1963; W i t t k o w e r , 1965). But one o f t h e h a l l m a r k s o f " t h e t r a d i t i o n a l c u l t u r e " which so f r e q u e n t l y marks i t o f f from t h e change s i t u a t i o n , e s p e c i a l l y t h e change t o mass i n d u s t r i a l s o c i e t y , i s t h a t t h e i n d i v i d u a l i s p r o v i d e d w i t h a s e t o f a p p r o p r i a t e defense mechanisms t o cope w i t h the c u l t u r a l l y - s t r u c t u r e d dilemmas. I n a change s i t u a t i o n , v e r y o f t e n t h e a f f e c t e d i n d i v i d u a l s a r e s t r i p p e d o f such defenses or e l s e f i n d what t h e y have i l l - a d a p t e d t o t h e new s e t t i n g . They are l e f t w i t h l i t t l e competence, t h e n , t o cope w i t h the changed c o n d i t i o n s o f i n t e r p e r s o n a l i n v o l v e m e n t and p e r s o n a l t h r e a t . What c u l t u r e and s o c i e t y have g i v e n them as t h e armamentarium o f t h e i n t e r p e r s o n a l l i f e , what s o c i a l e x p e r i e n c e has b u i l t them i n t o , may n o t be a p p r o p r i a t e , i n a new i n t e r p e r s o n a l s i t u a t i o n , and t h e r e w i l l be a h e i g h t e n e d sense o f t h r e a t . The case st u d y by J e w e l l (1960) o f the presumably " p s y c h o t i c " Navaho I n d i a n , who was s i m p l y r e a c t i n g w i t h t y p i c a l l y "Navaho" defense mechanisms i n an Anglo e n v i r o n m e n t a l s e t t i n g , v i v i d l y i l l u s t r a t e s t h i s i n a s p e c i f i c i n s t a n c e . And t h e d i s c u s s i o n by E r i c H o f f e r o f what he c a l l s "The O r d e a l o f Change" makes much t h e same p o i n t i n l e s s t e c h n i c a l language i n t h e broad p e r s p e c t i v e on s o c i a l upheaval i n t h e modern w o r l d :

The change I have i n mind i s o f a s p e c i f i c n a t u r e — t h e weakening and c r a c k i n g o f t h e communal framework. Everywhere i n A s i a b e f o r e t h e advent o f Western i n f l u e n c e t h e i n d i v i d u a l was i n t e g r a t e d i n t o a more o r l e s s comp a c t g r o u p — a p a t r i a r c h a l f a m i l y , a c l a n o r a t r i b e , a c o h e s i v e r u r a l o r urban u n i t , a compact r e l i g i o u s or p o l i t i c a l body. From b i r t h t o death t h e i n d i v i d u a l f e l t h i m s e l f p a r t o f a c o n t i n u o u s e t e r n a l whole. He never f e l t a l o n e , never f e l t l o s t , and never saw h i m s e l f as a speck o f l i f e f l o a t i n g i n an e t e r n i t y o f n o t h i n g n e s s . Western i n f l u e n c e i n v a r i a b l y tended t o weaken or even d e s t r o y t h i s c o r p o r a t e p a t t e r n . By t r a d e , l e g i s l a t i o n , e d u c a t i o n , i n d u s t r i a l i z a t i o n , and by example, i t cracked and c o r r o d e d t h e t r a d i t i o n a l way o f l i f e , and d r a i n e d e x i s t i n g communal s t r u c t u r e s o f t h e i r p r e s t i g e and e f f e c t i v e n e s s . The Western c o l o n i a l powers o f f e r e d i n d i v i d u a l freedom. They t r i e d t o shake t h e O r i e n t a l o u t o f h i s l e t h a r g y , r i d him o f h i s o s s i f i e d t r a d i t i o n a l i s m , and i n f e c t him w i t h a c r a v i n g f o r s elf-advancement. The r e s u l t was n o t e m a n c i p a t i o n b u t i s o l a t i o n and exposure. An immature i n d i v i d u a l was t o r n from t h e warmth and s e c u r i t y o f a c o r p o r a t e

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e x i s t e n c e and l e f t orphaned and empty i n a c o l d w o r l d . I t was t h i s shock o f abandonment and exposure w h i c h b r o u g h t about t h e awakening i n A s i a . The c r u m b l i n g o f a c o r p o r a t e body, w i t h t h e abandonment o f t h e i n d i v i d u a l t o h i s own d e v i c e s , i s always a c r i t i c a l phase i n s o c i a l development. The newly emerging i n d i v i d u a l can a t t a i n some degree o f . s t a b i l i t y and e v e n t u a l l y become i n u r e d t o t h e burdens and s t r a i n s o f an autonomous e x i s t e n c e o n l y when he i s o f f e r e d abundant o p p o r t u n i t i e s f o r s e l f - a s s e r t i o n o r s e l f - r e a l i z a t i o n . He needs an e n v i r o n m e n t i n which achievement, a c q u i s i t i o n , sheer a c t i o n , o r t h e development o f h i s c a p a c i t i e s and t a l e n t s seems w i t h i n easy reach. I t i s o n l y t h u s t h a t he can a c q u i r e t h e s e l f - c o n f i d e n c e and s e l f - e s t e e m t h a t make an i n d i v i d u a l e x i s t e n c e b e a r a b l e or even e x h i l a r a t i n g .

Where s e l f - c o n f i d e n c e and s e l f - e s t e e m seem u n a t t a i n a b l e , t h e emerging i n d i v i d u a l becomes a h i g h l y e x p l o s i v e e n t i t y . He t r i e s t o d e r i v e a sense o f c o n f i d e n c e and o f w o r t h by embracing some a b s o l u t e t r u t h and by i d e n t i f y i n g h i m s e l f w i t h t h e s p e c t a c u l a r doings o f a l e a d e r o r some c o l l e c t i v e body-~be i t a n a t i o n , c o n g r e g a t i o n , a p a r t y , o r a mass movement. He and h i s l i k e become a b r e e d i n g ground o f c o n v u l s i o n s and upheavals t h a t shake a s o c i e t y t o i t s f o u n d a t i o n s . I t needs a r a r e c o n s t e l l a t i o n o f c i r c u m s t a n c e s i f t h e t r a n s i t i o n from a communal t o an i n d i v i d u a l e x i s t e n c e i s t o run i t s c o u r s e w i t h o u t b e i n g d i v e r t e d or r e v e r s e d by c a t a s t r o p h i c c o m p l i c a t i o n s . (1964, pp. 8-9)

The c u l t u r a l framework o f any group t h u s has many f u n c t i o n s , b u t one o f t h e most i m p o r t a n t i s t h e manner and e x t e n t i n w h ich i t p r o v i d e s f o r i t s a dherents a s e t o f p s y c h o l o g i c a l mechanisms and s t r u c t u r e s more o r l e s s a p p r o p r i a t e t o t h e i n t e r p e r s o n a l m a t r i x i n w h ich i t o p e r a t e s . When t h a t c o n t e x t o f a c t i o n changes, such o r i e n t a t i o n a l mechanisms may w e l l be i n a p p r o p r i a t e , t h e r e b y f o s t e r i n g t h e emergence o f c l i n i c a l symptoms o f d i s t u r b a n c e ( c f . L e i g h t o n , 1959). S o c i a l p s y c h i a t r i c e p i d e m i o l o g i c a l s t u d i e s have documented such h i g h e r p r e v a l e n c e r a t e s o f p s y c h i a t r i c symptoms i n a v a r i e t y o f s i t u a t i o n s o f s o c i o c u l t u r a l change ( e . g . , Scotch and G e i g e r , 1963; W i t t k o w e r , 1965; or t h e s e v e r a l volumes o f t h e T r a n s c u l t u r a l P s y c h i a t r i c N e w s l e t t e r . )

A r e c u r r e n t theme i n many d i s c u s s i o n s o f t h e p l i g h t o f modern man i n mass s o c i e t y i s t h a t o f h i s r e l a t i v e d e f e n s e l e s s n e s s , h i s i n e f f e c t i v e n e s s , h i s i n a b i l i t y t o c o n t r o l — o r t o have a v o i c e i n h e l p i n g d e t e r m i n e — w h a t happens t o him. Much t h e same t y p e o f p s y c h o l o g i c a l consequence ensues i n s i t u a t i o n s o f s o c i o c u l t u r a l change i n a d e v e l o p i n g s o c i e t y , by w h i c h t h e a c t i v i t i e s w h i c h p r o v i d e t h e i n d i v i d u a l w i t h a sense o f e f f e c t i v e n e s s , o f competence i n r e g a r d t o events i n h i s environment, are changed. As one a s p e c t

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o f t h e problem o f "defense mechanisms" d i s c u s s e d above, such a p s y c h o l o g i c a l concept o f competence, o r " e f f e c t a n c e • m o t i v a t i o n " has been d i s c u s s e d i n r e c e n t papers by t h e p s y c h o l o g i s t , W h i t e , and i t seems p a r t i c u l a r l y a p p r o p r i a t e f o r u n d e r s t a n d i n g many o f the p s y c h o p a t h o l o g i c a l i m p l i c a t i o n s o f s o c i o c u l t u r a l change. Growing o u t o f r e c o n s i d e r a t i o n s o f ego psychology as e l a b o r a t e d i n the p s y c h o a n a l y t i c framework, t h e concept o f competence e l a b o r a t e s one key element o f p s y c h o s o c i a l a d a p t a t i o n i n s i t u a t i o n s o f change. I t i s p a r t i c u l a r l y e n l i g h t e n i n g i n o f f e r i n g an e x p l a n a t i o n f o r those sudden s h i f t s i n s e n t i m e n t , mood, sense o f c o n t r o l , and perhaps even i n sense o f psychodynamic balance t h a t ensue from t h e c u l t u r e cont a c t s i t u a t i o n s w h i ch j u x t a p o s e , i n t h e same p e r c e p t u a l arena, a l t e r n a t i v e s t y l e s o f l i f e , s t a n d a r d s , and l i f e - g o a l s . For t h e sense o f achievement i s a f u n c t i o n o f i n t e r n a l i z e d g o a l ; and hence sense o f f r u s t r a t i o n i s a s s o c i a t e d w i t h scope and magnitude o f bloc k a g e s i n s t r i v i n g s toward t h a t g o a l . Blockages e i t h e r endogenous or exogenous ( c f . L e i g h t o n , 1959, f o r an i l l u s t r a t i o n o f a dynamic p s y c h i a t r i c framework o f t h i s n a t u r e ) . The f l u i d i t y o f c u l t u r a l symbols and c u l t u r a l i n f o r m a t i o n makes i t p o s s i b l e f o r what was once a c c e p t a b l e t o be, suddenly, r e j e c t e d as demeaning; f o r what was t h e h i g h e s t g o a l i n l i f e t o be r e l e g a t e d t o one among s e v e r a l . Moreover, g o a l s and a c t i v i t i e s c o n s t i t u t i v e o f t h e s e l f and t h e b a s i s o f s e l f -esteem may be i n v o l v e d i n such a d i s p a r a g i n g comparison; and, g i v e n t h e wide range o f c u l t u r a l a l t e r n a t i v e s p r e s e n t i n most s i t u a t i o n s o f s o c i o c u l t u r a l change, t h e o p p o r t u n i t i e s a r e l e g i o n f o r t h e senti m e n t o f p e r s o n a l inadequacy, p e r s o n a l incompetence, and l a c k o f e f f e c t i v e ness i n d e a l i n g w i t h t h e now more complex symbolic and i n f o r m a t i o n a l e n v i r o n m e n t . Much o f t h e e f f e c t o f i n c r e a s e i n i n f o r m a t i o n and images i n a s o c i o c u l t u r a l change s i t u a t i o n focuses on t h e p e r c e i v i n g i n d i v i d u a l who i s e x h o r t e d t o new st a n d a r d s and forms o f p e r s o n a l appearance and manner, performance, b e l i e f and a t t i t u d e . Such new g o a l s become e m o t i o n a l l y charged, n o t s i m p l y c o g n i t i v e a l t e r n a t i v e s . And when t h e i n d i v i d u a l f a i l s t o measure up i n every r e s p e c t — a n d f a i l he must, g i v e n t h e v a r i e t y o f t h i n g s he i s t o a s p i r e t o w a r d — h e i n e v i t a b l y s u f f e r s i n h i s sense o f competence, adequacy, w o r t h w h i l e -ness. Sometimes t h e r e are defenses a g a i n s t such s e l f - d i s p a r a g e m e n t ( c o m p a r t m e n t a l i z a t i o n , r a t i o n a l i z a t i o n , r e p r e s s i o n , e t c . ) , b u t o f t e n n o t .

Many s o c i o c u l t u r a l changes are accomplished w i t h a degree o f r a p i d i t y o u t o f keeping w i t h t h e s t r e n g t h o f t h e s t i m u l u s , s u g g e s t i n g t h a t t h e course o f change, sometimes a t l e a s t , i s d i s c o n t i n u o u s and i s composed o f t h r e s h o l d s r a t h e r t h a n e v e n l y g r a d u a t e d steps on c o n t i n u a o f knowledge, r e s o u r c e s , even e m o t i o n a l c a p a c i t y . I n t h i s l i g h t , a r e c e n t a r t i c l e by B o u l d i n g i s h i g h l y u s e f u l i n s u g g e s t i n g some l i n e s o f a p p l i c a b i l i t y o f an i n f o r m a t i o n a l framework t o the s t u d y o f s o c i a l dynamics. I n t h e a r t i c l e "The Place o f t h e Image i n t h e Dynamics of S o c i e t y , " he c a r r i e s f u r t h e r some arguments f i r s t expressed i n h i s book, The Image (1956). I n t h e l a t t e r book, o f course, he was concerned w i t h t h e r o l e o f communication and c o n t r o l f u n c t i o n s i n e m p i r i c a l systems a t d i f f e r e n t l e v e l s o f c o m p l e x i t y and phenomenal o r g a n i z a t i o n . He uses t h e term "image" t o r e f e r t o t h e o r g a n i z i n g

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and c o n t r o l s t r u c t u r e s , t h e i n f o r m a t i o n a l p a t t e r n , w h i ch g u i d e s e m p i r i c a l processes o f energy e x p e n d i t u r e , whether i n t h e g e n e t i c code, e l e c t r o n i c a i m i n g d e v i c e s , b e h a v i o r , o r any o t h e r system. I n t h e more r e c e n t s t a t e m e n t , B o u l d i n g (1964) d i s c u s s e s two c h a r a c t e r i s t i c s o f human s o c i a l systems i n communications t h e o r y terms which b o t h d i f f e r e n t i a t e them from p h y s i c a l systems and a t t h e same t i m e p o i n t d i r e c t l y i n t o t h e h e a r t o f t h e problem o f p s y c h o c u l t u r a l dimensions o f s o c i a l change. He n o t e s :

The d i f f e r e n c e between s o c i a l and p h y s i c a l systems i s n o t c o n f i n e d t o t h e c o m p l e x i t y and o r d e r o f t h e d i f f e r e n c e o f d i f f e r e n t i a l e q u a t i o n s w hich govern them. S o c i a l systems are c h a r a c t e r i z e d by a t l e a s t two o t h e r p e c u l i a r i t e s which d i f f e r e n t i a t e them v e r y s h a r p l y from s i m p l e p h y s i c a l systems, such as c e l e s t i a l mechanics. The f i r s t c h a r a c t e r i s t i c i s t h e predominance o f " t h r e s h o l d " systems i n which s m a l l causes can sometimes produce v e r y l a r g e consequences. The second c h a r a c e r i s t i c i s t h a t s o c i a l systems a r e what I c a l l " i m a g e - d i r e c t e d , " t h a t i s , t h e y are systems i n wh i c h t h e knowledge o f t h e systems themselves i s a s i g n i f i c a n t p a r t o f t h e system's own dynamics and i n wh i c h , t h e r e f o r e , knowledge about t h e system changes t h e system. (p. 7)

The i d e a o f " t h r e s h o l d " i s a key one i n u n d e r s t a n d i n g s o c i a l t r a n s f o r m a t i o n ; f o r i t c o n t a i n s w i t h i n i t i m p l i c a t i o n s o f d i s c o n t i n u i t y , r a p i d r e o r g a n i z a t i o n o f g e s t a l t s , a c q u i s i t i o n o f i n s i g h t , sudden and c a t a l y t i c e f f e c t s o f an i d e o l o g y w h ich g i v e s purpose t o random a c t i v i t y , and t h e d r a s t i c change i n b e h a v i o r a l e x p r e s s i o n w h i c h seems o u t o f keeping w i t h t h e magnitude o f t h e s t i m u l u s — t h e " I ' v e had enough" r e a c t i o n . A n t h r o p o l o g i s t s o f t e n speak o f t h e p a t t e r n e d q u a l i t i e s o f c u l t u r e ; and, i n s t u d i e s o f c u l t u r e change, p o i n t t o t h e f r e q u e n t q u a n t u m - l i k e n a t u r e o f c u l t u r a l p r o c e s s e s , i n w h i c h , up t o a p o i n t , a d d i t i o n o f new c u l t u r a l elements and s o c i a l p a t t e r n s a r e absorbed, a s s i m i l a t e d i n t o t h e p r e - e x i s t i n g v a l u e c o n f i g u r a t i o n . A f t e r t h a t c r i t i c a l p o i n t i s reached, however, i t i s no l o n g e r a s u b s t i t u t i o n o f c o n t e n t , b u t a change i n o v e r a l l f o r m , i n g e s t a l t , d i r e c t i n g t h e a c t i v i t y .

Such c r i t i c a l t h r e s h o l d s e x i s t a l o n g s e v e r a l parameters o f s o c i a l b e h a v i o r . The c o g n i t i v e - i n f o r m a t i o n a l element i s s u r e l y one. I t i s s i m p l y n o t p o s s i b l e t o induce c e r t a i n t y p e s o f s o c i a l changes u n t i l r e q u i s i t e l e v e l s o f e d u c a t i o n , f o r example, a r e widespread t h r o u g h o u t t h e s o c i e t y — w i t n e s s t h e complex d i f f i c u l t i e s o f n a t i o n a l " development" i n A f r i c a and elsewhere.

But perhaps even more i m p o r t a n t i n d e t e r m i n i n g s o c i a l t r a n s f o r m a t i o n i s t h e t h r e s h o l d w h i ch r e l a t e s t o s t r e s s , t o defenses a g a i n s t s t r e s s , and t o t o l e r a b l e l e v e l s o f s t r e s s b e f o r e t h e organism s h i f t s t o a l t e r n a t i v e courses o f a c t i o n t o a m e l i o r a t e t h e p e r c e i v e d t h r e a t . Such t h r e a t s come i n v a r i o u s d i s g u i s e s ; and, i n d e e d , t h e wide scope o f s t r e s s a f f e c t i n g human b e h a v i o r — " r e a l " and s y m b o l i c — m a k e s t h e

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a n a l y s i s o f s t r e s s i n human p o p u l a t i o n s a h i g h l y complex a f f a i r . Beyond t h e s t r a i g h t f o r w a r d p h y s i o l o g i c a l t h r e a t s t o s u r v i v a l — w h i c h , o f course i n t h e a f f l u e n t West, we t e n d t o r e l e g a t e t o r e l a t i v e u nimportance b u t which are d a i l y companions t o much o f t h e w o r l d — t h e t h r e a t s t o s e l f - e s t e e m , t o s o c i a l acceptance and a c c e p t a b i l i t y , t o s t r i v i n g s f o r . c u l t u r a l "success," t o w o r l d l y s e c u r i t y a l l c r e a t e c o n t i n u a l problems f o r man i n modern s o c i e t y . Indeed, g i v e n t h e wide s p r e a d inducement o f "un-needed" needs y e t "wanted" wants by the power o f modern a d v e r t i s i n g , t h e p r o l i f e r a t i o n o f t r a n s p o r t a t i o n systems, and t h e c i r c u l a t i o n o f p o p u l a t i o n s - - i n s h o r t , t h e d i f f u s i o n o f images and i n f o r m a t i o n — i t i s d i f f i c u l t t o say t h a t t h e r e i s a s t a b l e "environment" t o which t h e human organism i s a d a p t i n g . For t h e e nvironment conceived i n i n f o r m a t i o n and image terms i s now i n e f f a b l y g r e a t e r t h a n has ever been t h e case i n human h i s t o r y . And, w i t h such i n f o r m a t i o n comes t h e p r e s e n t a t i o n o f a l t e r n a t i v e courses o f a c t i o n and t h e need f o r d e c i s i o n , f o r e v a l u a t i o n , f o r r e c o n c i l i a t i o n o f such p o s s i b i l i t i e s , r e c o n c i l i a t i o n e i t h e r by r e j e c t i o n and r e p r e s s i o n , by f i n d i n g means o f compromise among d i v e r s e p o s s i b i l i t i e s , by c o m p a r t m e n t a l i z a t i o n , o r any number o f o t h e r ego defense mechanisms. But i n t h e background i s t h e h a u n t i n g theme o f relative deprivation a l o n g any o f s e v e r a l dimensions; f o r t h e groups and c u l t u r a l images a v a i l a b l e f o r an i n d i v i d u a l t o compare h i m s e l f w i t h a r e now v a s t l y i n c r e a s e d . And t h e means a v a i l a b l e t o cope w i t h these new g o a l s and new c r i s e s i n d e c i s i o n - m a k i n g are r e l a t i v e l y fewer. U n q u e s t i o n a b l y White's concept o f " e f f e c t a n c e m o t i v a t i o n " and t h e s t r e s s e s a r i s i n g from i t s f r u s t r a t i o n along so many f r o n t s has much t o say about t h e e t i o l o g y o f b e h a v i o r a l d i s o r d e r s . I n many areas of l i f e , t h e c o n d i t i o n o f modern man i s indeed t h a t o f b e i n g "one-down," t o use Stephen P o t t e r ' s phrase from a n o t h e r c o n t e x t .

S t r e s s — i n c i p i e n t d i s o r g a n i z a t i o n a l processes—may a l s o a r i s e f r o m sheer i n f o r m a t i o n a l o v e r l o a d , as M i l l e r (196 0) suggests. The m u l t i p l e p o s s i b i l i t i e s open, t h e v a r i e t y o f commitments and r o l e i n v o l v e m e n t s , t h e d i s p e r s e d a l l e g i a n c e s , t h e i r r i t a t i o n s o f i n c o n g r u e n t demands a l l add up t o a r i s i n g t i d e o f s t r e s s and t h r e a t t o t h e v i a b i l i t y o f t h e p s y c h o b i o l o g i c a l system.

O f t e n , q u i t e a s i d e from o v e r l o a d , t h e s t r e s s i s induced by s t r a i g h t f o r w a r d c o n f l i c t i n c o n t e n t o f images c o n f r o n t i n g t h e i n d i v i d u a l . " C o g n i t i v e dissonance" and c o n f l i c t may i t s e l f l e a d t o pr e s s u r e s t o w a r d s t a b i l i z a t i o n o f t h e p e r c e i v e d environment. The S p i n d l e r s d i s c u s s t h e i m p l i c a t i o n s , ' f o r s t u d i e s o f p s y c h o c u l t u r a l f a c t o r s i n s o c i a l change, o f some p r o p o s i t i o n s o f t h i s n a t u r e developed by Osgood. The f i r s t p r o p o s i t i o n i s t h a t " C o g n i t i v e m o d i f i c a t i o n r e s u l t s from t h e p s y c h o l o g i c a l s t r e s s produced by c o g n i t i v e i n c o n s i s t e n c i e s . " Regarding t h i s p r o p o s i t i o n , t h e S p i n d l e r s comment i n a v e i n t h a t makes u n d e r s t a n d a b l e much a c t i v i t y seen i n a s i t u a t i o n o f c u l t u r e change:

T h i s p o s t u l a t e makes i t e x p l i c i t t h a t t h e search f o r and maintenance o f symmetry, o r consonance, i n c o g n i t i v e e lements can be i n c l u d e d among t h e s i g n i f i c a n t human

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d r i v e s , e.g., i t i s c o g n i t i v e l y i n c o n s i s t e n t t o b e l i e v e one way and behave a n o t h e r . I n c o n g r u i t y may be r e duced by changing b e l i e f t o t h e p o i n t where t h e p s y c h o l o g i c a l s t r e s s becomes t o l e r a b l e . (1963: p. 546)

The second p r o p o s i t i o n i s : " I f c o g n i t i v e elements are t o i n t e r a c t , t h e y must be b r o u g h t i n t o some r e l a t i o n w i t h one a n o t h e r . " N o t i n g t h a t t h e c u l t u r e - c h a n g e s i t u a t i o n i s one o f i n t e r p e r s o n a l c o n t a c t s , t h e y remark t h a t " A c c u l t u r a t i o n b r i n g s p o t e n t i a l l y i n c o n s i s t e n t c o g n i t i v e elements t o g e t h e r i n t h e framework o f i n d i v i d u a l e x p e r i e n c e " and t h a t one p r o t e c t i v e d e v i c e o f t e n employed i n such a s i t u a t i o n i s t h e f a m i l i a r one o f p s y c h i c c o m p a r t m e n t a l i z a t i o n .

The t h i r d p r o p o s i t i o n i l l u s t r a t e s a g a i n t h e v a l u e o f a n o t i o n such as " t h r e s h o l d , " as d i s c u s s e d by B o u l d i n g i n i n f o r m a t i o n t h e o r y o r c y b e r n e t i c s t e r m s , and t h e v a l u e o f c o n s i d e r i n g t h i s w i t h r e f e r e n c e t o s t r e s s as t h e i n p u t , a s m a l l degree o f which can e f f e c t much l a r g e r changes i n t h e d i r e c t i o n o f b e h a v i o r . The p r o p o s i t i o n i s : "The magnitude o f s t r e s s toward m o d i f i c a t i o n i n c r e a s e s w i t h t h e degree o f c o g n i t i v e i n c o n s i s t e n c y . " The S p i n d l e r s n o t e :

I n r a p i d and d i s j u n c t i v e c u l t u r e - c h a n g e s i t u a t i o n s , t h e degree o f c o g n i t i v e i n c o n s i s t e n c y may become so g r e a t t h a t t h e s t r e s s induced cannot be coped w i t h and t h e i n d i v i d u a l s t o p s t r y i n g t o reduce i n c o n s i s t e n c y . He w i t h d r a w s and becomes almost t o t a l l y p a s s i v e , o r he escapes t o a r e g r e s s i v e r e a f f i r m a t i o n o f nonfunct i o n a l t r a d i t i o n a l c o g n i t i v e c o n s i s t e n c i e s . I t seems p r o b a b l e t h a t n a t i v e - o r i e n t e d groups on American I n d i a n r e s e r v a t i o n s r e c r u i t new members l a r g e l y t h r o u g h t h i s p r o c e s s . (p. 547)

P o i n t i n g a g a i n t o t h e i n f l u e n c e s o f an o r g a n i z i n g image, and t o t h e need f o r i n c o r p o r a t i n g b o t h s t r e s s l e v e l and q u a l i t y o f i n f o r m a t i o n i n t o t h e r e s e a r c h paradigm, t h e y r e f e r t o some o f t h e r e c e n t s t u d i e s w h i c h have i l l u s t r a t e d t h e p o i n t :

On t h e o t h e r hand, a p o i n t can be reached r a t h e r q u i c k l y i n c u l t u r e - c h a n g e s i t u a t i o n s where i n c o n s i s t e n c i e s become r a d i c a l and s t r e s s i n t e n s e , and t h e t r a d i t i o n a l forms o f b e l i e f and b e h a v i o r ( t h e c o g n i t i v e c o n g r u i t i e s s t a b i l i z e d i n t h e t r a d i t i o n a l c u l t u r e ) are d i s c a r d e d i n a r a p i d r e f o r m u l a t i o n o f b e l i e f and b e h a v i o r , r e s u l t i n g i n a new s t a b i l i z a t i o n o f c o g n i t i v e c o n g r u i t i e s . I t i s p o s s i b l e t o i n t e r p r e t what happened i n t h e case o f t h e Manus s t u d i e d by Mead...and t h e Seneca I r o q u o i s s t u d i e d by W a l l a c e . . . i n t h i s way. (p. 547)

A summarizing p r o p o s i t i o n w h ich I have found u s e f u l elsewhere i n o u t l i n i n g t h e comprehensive e c o l o g i c a l background f o r major s o c i a l change (1960, 1965) can e a s i l y be t r a n s l a t e d i n t o B o u l d i n g f s t e r m s ,

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e s p e c i a l l y those concerned w i t h t h r e s h o l d s and w i t h t h e i n f l u e n c e o f i n f o r m a t i o n expressed i n t h e form o f competing images. The p r o p o s i ^ t i o n i s :

The t h i n g s w h ich a l t e r t h e systems o f b e l i e f t h a t people h o l d a r e :

a. O b s e r v a t i o n o f f a c t and reasoned t h i n k i n g .

b. C o n t a c t w i t h o t h e r systems o f b e l i e f .

c. A l l t y p e s o f s t r e s s .

d. New o p p o r t u n i t i e s f o r a c h i e v i n g s e c u r i t y and s a t i s f y i n g a s p i r a t i o n s .

I n t h i s f o r m u l a t i o n , t h e f i r s t two f a c t o r s (a and b) r e l a t e most d i r e c t l y t o t h e n o t i o n o f c o g n i t i v e i n f o r m a t i o n . Items c and d, w h i l e a l s o r e f e r r i n g t o c o n f l i c t i n i n f o r m a t i o n o r image, p o i n t t o s t r e s s t h r e s h o l d s .

A number o f i m p o r t a n t p s y c h o l o g i c a l p r i n c i p l e s ( n o t e x p l i c i t l y a l t h o u g h i m p l i c i t l y i n c l u d i n g t h e concept o f competence and a f f e c -t a n c e m o t i v a t i o n ) , as these bear on a s o c i o c u l t u r a l change s i t u a t i o n , were summarized a decade ago i n a h i g h l y u s e f u l compendium on c u l t u r a l p a t t e r n s and t e c h n o l o g i c a l change, e d i t e d by Margaret Mead, f o r a n a l y z i n g t h e p s y c h o s o c i a l p a t t e r n i n g o f change and development.

THE LASSWELL-HOLMBERG PARADIGM But what does a l l t h i s have t o say w i t h r e f e r e n c e t o t h e L a s s w e l l -Holmberg framework? L e t me r e t u r n b r i e f l y t o t h e a n a l y t i c scheme suggested f o r t h i s c o n f e r e n c e , t h a t by P r o f e s s o r s L a s s w e l l and H o l m b e r g — t h e " g e n e r a l i z e d model o f v a l u e shaping and s h a r i n g " — f o r t h e r e are a number o f p o i n t s a t which i t s a p p l i c a b i l i t y t o t h e f o r e g o i n g c o n c e p t u a l i z a t i o n o f h e a l t h and w e l l - b e i n g values i s m a n i f e s t l y c l e a r . There are a l s o , however, some o t h e r p o i n t s which r e q u i r e c r i t i c a l comment.

The model i s based i n pr o c e s s , a c t i v i t y , purpose, r a t h e r t han i n e r t s t r u c t u r e ; i t i s f u n c t i o n a l , r a m i f y i n g , c o n t e x t u a l . I t uses i n s t i t u t i o n a l c a t e g o r i e s h e u r i s t i c a l l y , as ways o f o r d e r i n g t h e data o f c o n c r e t e , complex s o c i a l b e h a v i o r i n t o e i g h t v a l u e areas. I n p u r s u i t o f t h e s e value-ends, man (and, by e x t e n s i o n , s o c i e t y ) a c t s t h r o u g h t h e i n s t r u m e n t a l i t y o f i n s t i t u t i o n s c o n c e i v e d i n v a l u e terms, and v a l u e s themselves seem t o be viewed more as "accumulatable" items t h a n as " s u b s t i t u t a b l e " elements o f s o c i a l b e h a v i o r . A c t i o n i s

CULTURAL PATTERNS ANV TECHNICAL CHANGE, Margaret Mead (Ed.), New York, Mentor Books, 1955, pp. 170-175.

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a n a l y z e d i n t o two p r i n c i p a l components: t h e phenomeriological ( i n c l u d i n g " p e r s p e c t i v e s , " images, v a l u e s , b e l i e f s , a t t i t u d e s , e t c . ) and t h e b e h a v i o r a l ( " a c t i o n , " i n s t i t u t i o n , p r a c t i c e , e t c . ) * As an e x p r e s s i o n o f c o n t e x t u a l i n t e r e s t , s o c i a l change i s c o n c e i v e d m u l t i -f a c t o r i a l l y r a t h e r t h a n i n terms o f u n i t a r y d e t e r m i n a n t s .

A l t h o u g h a p p l i e d t o a l l e i g h t v a l u e a r e a s , t h e model i s d e r i v a t i v e l y based on an economic paradigm, one t h a t speaks i n terms o f g a i n , a c c u m u l a t i o n , decrement, r e s o u r c e p o t e n t i a l , e t c . The model seems, t h e r e f o r e , p r i m a r i l y t o t a k e magnitude and n o t q u a l i t y o r p a t t e r n as t h e b a s i c e s s e n t i a l o f t h e v a l u e - b u i l d i n g p r o c e s s . The l a t t e r p o i n t can be seen i n a s u c c i n c t summary o f t h e framework:

I t b e g i n s by c o n c e i v i n g any s o c i a l p r o c e s s , whatever t h e s c a l e , as "man s e e k i n g t o maximize value outcomes t h r o u g h institutions u t i l i z i n g resources." D u r i n g any p e r i o d t h e f l o w o f i n t e r a c t i o n i s c h a r a c t e r i z e d as v a l u e shaping and sharing. Hence i t i s p o s s i b l e t o summarize t h e aggregate r e s u l t i n terms o f gross value outcome and o f net, and t h e r e f o r e t o a r r i v e a t a f i g u r e f o r net value a c c u m u l a t i o n ( o r d i s a c c u m u l a t i o n ) . The p a t t e r n o f aggregate value participation can be d e s c r i b e d as g e n e r a l or narrow. T h i s mode o f a n a l y s i s can be a p p l i e d t o any s o c i a l p r o c e s s . The model i s c o n t e x t u a l i z e d i n terms o f e i g h t p o s s i b l e v a l u e shaping and s h a r i n g s e c t o r s , w i t h t h e i r s p e c i a l i z e d i n s t i t u t i o n s .

What concerns me most about t h i s a n a l y t i c paradigm i s how t h e concept i o n o f " v a l u e " i s used, and t h e d i f f i c u l t i e s one can g e t i n t o i n t h i n k i n g o f v a l u e s i n p u r e l y a pseudo-economic framework. Using t h e term " v a l u e " i n i t s most g e n e r a l sense as, f o r example, an a b s t r a c t standard o f what i s d e s i r a b l e , by w h i c h c o n c r e t e e v e n t s o r o b j e c t s are e v a l u a t e d (e.g., Kluckhohn, 1951), we are here c o n f r o n t e d w i t h t h e i m p l i c a t i o n t h a t t h e r e can be v a l u e " l o s s " and " a c c u m u l a t i o n , " " d e p r e c i a t i o n " and "enjoyment," e t c . To use value's i n t h e l a t t e r way i n a n a l y s i s o f t h e change process may w e l l i m p l y t h a t t h e group b e i n g d i s c u s s e d has no v a l u e s p r i o r t o t h e p e r i o d o f development and change. I f such i s a p r o p e r i n t e r p r e t a t i o n o f t h e use o f " v a l u e , " we a r e c o n f r o n t e d w i t h a h i g h l y c o n t e n t i o u s c o n c l u s i o n . Take, f o r example, t h e concepts o f v a l u e "shaping" and v a l u e " s h a r i n g . " Something has t o be shaped, something shared. And who i s t o e s t a b l i s h what t y p e s o f v a l u e s are "shaped" and "shared"? I m p l i c i t i n t h e g e n e r a l s t a t e m e n t t h a t development c o n s i s t s i n v a l u e shaping and s h a r i n g a r e hidden assumptions as t o particular kinds o f v a l u e s as a g a i n s t o t h e r s which are "shaped" and "shared." Assumptions as t o content o f v a l u e areas must t h e r e f o r e be s p e l l e d o u t , f o r i t i s d i f f e r e n c e i n c o n t e n t , n o t t h e presence o r absence o f v a l u e s as o r i e n t a t i o n a l frameworks f o r t h e conduct o f s o c i a l l i f e , t h a t makes the d i f f e r e n c e i n processes o f development. Wherever t h e r e a r e v a l u e s (and t h e y are c o - e x i s t e n t w i t h o r g a n i z e d s o c i e t y ) t h e r e i s v a l u e shaping and s h a r i n g . Thus i f t h e d i s t i n c t i v e f e a t u r e o f development i s t o be found i n t h e g e n e r a l process o f v a l u e shaping

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and s h a r i n g ( w i t h o u t r e f e r e n c e t o content) , t h e n t h e r e i s no way of d i f f e r e n t i a t i n g development from non-development.

Another r e f e r e n c e i n t h e Lasswell-Holmberg framework i s t o "value a c c u m u l a t i o n . " A g a i n , I t h i n k t h a t t h e r e i s an i m p l i c i t assumption w h i c h s h o u l d be s p e l l e d o u t , an assumption about a c c u m u l a t i o n o f v a l u e s o f particular kinds. I f v a l u e s be, i n some sense, a b s t r a c t , g e n e r a l s t a n d a r d s f o r e v a l u a t i n g e m p i r i c a l e v e n t s , t h e n " v a l u e a c c u m u l a t i o n " must be t h e a c c u m u l a t i o n and p r o l i f e r a t i o n o f such s t a n d a r d s . But t h e c r i t i c a l q u e s t i o n i s t h e f u n c t i o n a l outcome o f a c c u m u l a t i o n f o r t h e i n t e g r a t i o n o f s o c i e t y . Whether a c c u m u l a t i o n as such would t h e n l e a d t o g r e a t e r convergence o f v a l u e standards ( " s h a r i n g " o r " p a r t i c i p a t i o n " ) — w h i c h seems t o be t h e i m p l i c i t a ssumption b e h i n d t h e d i s c u s s i o n o f development as a process o f v a l u e a c c u m u l a t i o n — i s , i t seems t o me, an e m p i r i c a l q u e s t i o n . C e r t a i n l y a n o t h e r c o n c e i v a b l e outcome d i f f e r e n t f r o m convergence i s t h a t o f conflict a r i s i n g o u t o f d i f f e r e n t v a l u e o r i e n t a t i o n s h e l d by d i f f e r e n t s e c t o r s o f t h e s o c i e t y w i t h r e s p e c t t o t h e same s o c i a l i s s u e s . Does t h e c r y s t a l l i z a t i o n o f economic c l a s s b o u n d a r i e s , as between management and l a b o r , r e p r e s e n t v a l u e " s h a r i n g " and "a c c u m u l a t i o n , " e x c e p t a t a v e r y g e n e r a l l e v e l ?

The r a t h e r more i m p o r t a n t q u e s t i o n i s n o t t h a t o f v a l u e accumulation, b u t r a t h e r t h a t o f hierarchies of value complementarity so f a r as t h e u n i t y and o r g a n i z a t i o n o f t h e s o c i e t y as a whole i s concerned. A l a b o r d i s p u t e may be c i t e d as an example. Management o p e r a t e s i n terms o f one v a l u e - d e f i n i t i o n o f t h e s i t u a t i o n , l a b o r i n terms o f a n o t h e r . C e r t a i n l y t h e r e i s no e x a c t congruence between t h e two s e t s o f v a l u e o r i e n t a t i o n s as t h e y p e r t a i n t o t h e q u e s t i o n a t i s s u e . The b e h a v i o r a l i n d i c a t o r s o f what i s c o n s i d e r e d as a p p r o p r i a t e and l e g i t i m a t e d i f f e r from one s i d e o f t h e t a b l e t o t h e o t h e r . Only a t th e l e v e l o f t h e legitimacy of the arbitration process do these two s e t s o f v a l u e - o r i e n t a t i o n merge, f i t t o g e t h e r , become adapted t o each o t h e r ; o n l y a t such an a b s t r a c t l e v e l would t h e r e be o v e r l a p and a p p r o x i m a t e i d e n t i t y o f v a l u e - e v a l u a t i o n s ( e . g . , s t a t e m e n t s c o n c e r n i n g t h e d i g n i t y o f work, t h e need f o r o r d e r l y , l a w f u l p r o c e d u r e , e t c . ) . Below t h a t l e v e l i t would be, r a t h e r , a q u e s t i o n of complementarity and i n t e r d i g i t a t i o n o f s p e c i f i c v a l u e - s e t s . And i n s o f a r as agreements are reached w h i c h p r o v i d e t h e b a s i s f o r cont i n u a n c e o f o r d e r l y s o c i a l a c t i o n , t h e n we must say t h a t t h e r e has n o t been v a l u e accumulation t h r o u g h t h i s a c t i o n , b u t , a c t u a l l y , v a l u e r e d u c t i o n or " h i e r a r c h i z a t i o n . "

I t i s something o f t h i s c o n c e p t i o n , i t seems t o me, t h a t l i e s b e h i n d t h e d i s t i n c t i o n made years ago by Durkheim, i n h i s c o n t r a s t between "mechanical" and " o r g a n i c " s o l i d a r i t y . The process o f development o f a n a t i o n - s t a t e , as f o r example t h e g r o w t h from t r i b a l i s m t o n a t i o n a l i s m , i s t h e r e f o r e more one o f t h e reduction and s u c c e s s i v e h i e r a r c h i c a l i n c o r p o r a t i o n o f s o c i a l l y and p s y c h o l o g i c a l l y r e l e v a n t s t a n d a r d s f o r g u i d i n g c o n c r e t e sequences o f b e h a v i o r , t h a n i t i s t h a t o f t h e p r o l i f e r a t i o n o f such s t a n d a r d s . T h i s i s much t h e same p o i n t made by Wallace i n h i s r e c e n t o v e r v i e w o f t h e f i e l d o f c u l t u r e and

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p e r s o n a l i t y , when he speaks o f t h e v a l u e b a s i s o f s o c i e t y as b e i n g , n o t t h e " r e p l i c a t i o n o f u n i f o r m i t y , " b u t r a t h e r t h e " o r g a n i z a t i o n o f d i v e r s i t y " (Wallace, 1961). The c r i t i c a l r e s e a r c h q u e s t i o n s , so f a r as t h i s m a t t e r i s concerned, a r e , t h e n , t o d i s c e r n t h e s t r u c t u r a l and t h e p s y c h o l o g i c a l processes o f p r o g r e s s i v e v a l u e i n c o r p o r a t i o n and r e d e f i n i t i o n i n t h e c a u l d r o n s o f s o c i o c u l t u r a l and n a t i o n a l development. For t h i s I suggest t h a t t h e economic paradigm, i f i t be s i m p l y m e t r i c a l l y and n o t c o n f i g u r a t i o n a l l y c o n c e i v e d , may n o t be th e most u s e f u l model.

To what e x t e n t can t h e n a t u r e o f h e a l t h and w e l l - b e i n g v a l u e s be e l u c i d a t e d by t h e Lasswell-Holmberg paradigm? I n terms o f t h e p r i n c i p a l t h r u s t o f t h a t paradigm, can t h e r e be " s e l f - s u s t a i n i n g " and c u m u l a t i v e h e a l t h and w e l l - b e i n g v a l u e s , w i d e r p a r t i c i p a t i o n and s h a r i n g ? The answers seem ap p a r e n t from t h e r e v i e w p r e s e n t e d above, e s p e c i a l l y t h a t p a r t o f t h e r e v i e w which s t r e s s e s t h e h i g h a s s o c i a t i o n between, on t h e one hand, c o n d i t i o n s o f p o v e r t y and low socioeconomic s t a t u s , and h i g h m o r b i d i t y and m o r t a l i t y on t h e o t h e r . C e r t a i n l y , e x c e p t i n e x t r e m e l y r a r e and i s o l a t e d cases, "underdevelopment" may be equated w i t h " p athogenic" so f a r as h e a l t h f u l i m p l i c a t i o n s o f ways o f l i f e a re concerned. To t h e e x t e n t , t h e n , t h a t socioeconomic development o c c u r s , i t may be s a i d t o o f f e r t h e chance o f m a x i m i z i n g t h e s h a r i n g and p a r t i c i p a t i o n i n m a n i f e s t a t i o n s o f h e a l t h v a l u e s f o r g r e a t e r numbers o f t h e p o p u l a t i o n . A t l e a s t t h i s i s t r u e a f t e r a c e r t a i n t h r e s h o l d o f development has been reached; some e a r l y stages o f d e v e l o p m e n t — s u c h as u n c o n t r o l l e d , rampant u r b a n i z a t i o n c o i n c i d e n t w i t h i n d u s t r i a l i z a t i o n — m a y w e l l r a i s e disease i n c i d e n c e over l e v e l s found under pre-development c o n d i t i o n s .

But even t h e a s s o c i a t i o n between l a t e r stages o f development and low di s e a s e p r e v a l e n c e i s n o t an e x p o n e n t i a l one, and once a g a i n t h e q u e s t i o n o f p a t t e r n , o f g e s t a l t , must be c o n s i d e r e d . For t h e e x i s t e n t i a l c o n d i t i o n s o f human l i f e r e c u r r e n t l y p r e s e n t e c o l o g i c a l c r i s e s w h i ch must be c o n f r o n t e d and mastered. There a r e p l a t e a u s , d i s c o n t i n u i t i e s i n t h e e v o l u t i o n o f h e a l t h v a l u e s , each o f w h i c h r e p r e s e n t s t h e s o l u t i o n o f one s e t o f problems b u t , as a consequence o f t h a t , may w e l l e n t a i l c r e a t i o n o f o t h e r s . The w e l l - f e d , w e l l - h o u s e d w e s t e r n w o r l d has a t l e a s t t e m p o r a r i l y curbed and c o n t a i n e d t h e mass i n f e c t i o u s d i s e a s e s ; b u t i n exchange i t i s p r e y t o t h e diseases o f s u r f e i t , a f f l u e n c e , abundance and l o n g e v i t y . More and more, as a d i s t i n g u i s h e d m e d i c a l c o l l e a g u e o f mine r e c e n t l y remarked, t h e p r i n c i p a l t a s k o f m e d i c a l i n s t i t u t i o n s i n t h e U n i t e d S t a t e s i s changing. F o r m e r l y i t was t o p r e v e n t e a r l y and "unnecessa r y " d e a t h ; t h a t t a s k l a r g e l y a c c o m p l i s h e d , t h e main problems now are t h o s e o f m a i n t a i n i n g and e n l a r g i n g t h e c a p a c i t y f o r living, l i v i n g i n a l l i t s dimensions, those o f p s y c h o l o g i c a l e x h i l a r a t i o n and m e a n i n g f u l s o c i a l purpose as w e l l as those o f sheer b o d i l y v i r t u o s i t y . I n t h i s l i g h t , one may w e l l ask what good i t w i l l do t o expand enormously t h e l e n g t h o f l i f e i n m e d i c a l terms (as i t i s s a i d w i l l soon be p o s s i b l e ) , i f t h i s w i l l o n l y mean t h a t l a r g e numbers o f people can s i m p l y be bored w i t h l i f e f o r t h a t much l o n g e r , o r t h a t

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o t h e r s w i l l s u f f e r t h e s e n t i m e n t s o f a l i e n a t i o n and h u m i l i a t i o n f o r more t h a n t h e " t h r e e score and ten"?

The i n e x o r a b l e parameters o f l i f e r e main: g r a d u a l i n c a p a c i t a t i o n and d e a t h . The p r i n c i p a l v a l u e q u e s t i o n s become which o f t h e a f f l i c t i o n s t h a t can t r o u b l e man s h a l l t h e s o c i e t y choose as the least t h r e a t e n i n g , t roublesome, annoying, and which w i l l d e l a y as l o n g as p o s s i b l e t h e i n e v i t a b l e c o n j u n c t i o n w i t h death?

The s a l i e n t r e s e a r c h areas i m m e d i a t e l y i m p l i e d by such s t a t e m e n t s w o u l d have t o do w i t h r e f i n i n g t h e phenomenological aspects o f changing s o c i o c u l t u r a l e n vironments, w i t h sharpening and f u r t h e r o p e r a t i o n a l i z i n g t h e concepts o f a d a p t a t i o n and e q u i l i b r i u m as they are m a n i f e s t e d i n a p s y c h o c u l t u r a l and p s y c h o s o c i a l framework, w i t h i n t e n s i v e l o n g i t u d i n a l case s t u d i e s o f i n d i v i d u a l s who are underg o i n g t h e t r a n s i t i o n s o f changing environments. As a background f o r such more h i g h l y focussed s t u d i e s , t h e r e s h o u l d o f course be t h o r o u g h coverage o f t h e p r e v a l e n c e and i n c i d e n c e data f o r t h e w i d e s t v a r i e t y o f d i s e a s e m a n i f e s t a t i o n s i n c o n d i t i o n s o f change. I n t h e l a t t e r t a s k t h e t e c h n i q u e and m e t h o d o l o g i c a l approach o f c h o i c e i s , o f course, e p i d e m i o l o g y — l i t e r a l l y t h e stu d y o f disease "on a p o p u l a t i o n , " a f i g u r e s u g g e s t i v e o f t h e m a n t l e , t h e burden w h i c h disease imposes on t h e f r e e v a l u e c h o i c e s o f men.

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Discussion

1. CONCEPTS OF HEALTH ANV VISEASE

Deuschle commented t h a t h e a l t h and d i s e a s e must be seen as a complex i n t e r a t i o n between h o s t , agent and environment, as i l l u s t r a t e d i n the diagram below.

Host Environment

Agent

H e a l t h and disease can a l s o be viewed as t h e ends o f a continuum, w i t h a g r e y area r a t h e r t h a n a d i s t i n c t boundary between t h e two.

R a t i n o f f n o t e d t h a t t h e t h e o r y o f empathy, as d e s c r i b e d i n L e r n e r 1 s paper, seemed based on an e c o l o g i c a l model. The Economic Commission f o r L a t i n America (ECLA) a l s o has a model o f economic development based on a w o r l d - w i d e e c o l o g i c a l image- One can r e a d i l y imagine t h a t "economic o r s o c i a l development i s d i s e a s e , " and t h e n e x p l o r e how i t spreads. Or c o n v e r s e l y , one can imagine d i s e a s e i s s t a g n a t i o n , and dete r m i n e how t o p r e v e n t t h i s happening. "But except f o r demographic change, where t h e e c o l o g i c a l model f i t s w e l l , one does n o t know how t o c a r r y t h e model beyond d e s c r i p t i o n i n t o e x p l a n a t i o n o f s o c i a l change - t h e c r i t i c a l v a r i a b l e s are n o t u n d e r s t o o d .

Z. HOMEOSTASIS ANV FRUSTRATION

How t o use t h e concept o f p s y c h o s o c i a l homeostasis p r e s e n t e d some d i f f i c u l t y t o t h e group. L e r n e r observed t h a t i t i s easy t o f i n d examples o f economic development a s s o c i a t e d w i t h d i s e a s e (e.g. dams and b i l h a r z i a ) , b u t v e r y d i f f i c u l t t o f i n d good examples o f p o s i t i v e p s y c h o - s o c i a l development. He f e l t t h a t p o v e r t y i s t h e main d i s e a s e o f t h e d e v e l o p i n g c o u n t r i e s , w e l l i l l u s t r a t e d by examples i n t h e paper. Hughes e x p l a i n e d t h a t homeostasis was n o t a n o t i o n r e a d i l y a p p l i e d t o s o c i e t y , b u t o n l y t o i n d i v i d u a l s , who are c o n s t a n t l y s t r i v i n g f o r balance and f o r an a d a p t a t i o n which i s d i f f i c u l t f o r

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t h e s c i e n t i f i c observer t o o p e r a t i o n a l i z e and q u a n t i f y . The problem o f c u t t i n g p o i n t s , o r t h r e s h h o l d s , f o r example, i s d i f f i c u l t t o s o l v e b o t h i n t h e o r y and i n p r a c t i c e . H e a l t h f o r " s o c i e t y " i s m e t a p h o r i c a l , a s t a t e o f s o c i a l r e l a t i o n s h i p s w h ich i n f l u e n c e s t h e s t a t e o f h e a l t h o f i n d i v i d u a l s . P e t e r suggested t h a t homeostasis m i g h t be t h o u g h t o f as balanced growth (a p r e f e r r e d p a t t e r n ) i n an i n d i v i d u a l ' s v a l u e a c c u m u l a t i o n , and t h a t f r u s t r a t i o n comes f r o m a c h i e v e d v a l u e changes l e s s t h a n expected.

We a r e l i v i n g i n a Toynebeean w o r l d , suggested Bennis, i n which no f r u s t r a t i o n a t a l l i s d y s f u n c t i o n a l , w h i l e massive f r u s t r a t i o n i s d e b i l i t a t i n g . He wondered i f we s h o u l d be t r y i n g t o g e t i n d i c a t o r s o f a d a p t a b i l i t y , t o i d e n t i f y t h e " v a r i a n t sensors," people who ,sense and f e e l f r u s t r a t e d by t h e d i s c r e p a n c y between a s p i r a t i o n and achievement, b u t who are s t i l l f u t u r e - o r i e n t e d . A c c o r d i n g t o H e r b e r t Simon, about a t e n p e r c e n t d i s c r e p a n c y between a s p i r a t i o n and achievement seems o p t i m a l f o r most people. L e r n e r added t h a t i n d i s c u s s i n g s o c i a l f r u s t r a t i o n , f r e q u e n c y i s a l s o a u s e f u l c oncept.

I n some t r a d i t i o n a l s o c i e t i e s , l i k e t h e Ibo i n N i g e r i a , t h e supp o r t i v e c l a n group h e l p s t o p r o v i d e a b r i d g e t o new r e a l i t y f o r th e i n d i v i d u a l who f e e l s f r u s t r a t i o n and a n x i e t i e s , Hughes e x p l a i n e d . There a r e , o f c o u r s e , o t h e r c o p i n g mechanisms l i k e xenophobia, which a r e d y s f u n c t i o n a l p r o j e c t i o n s o f group f r u s t r a t i o n .

D i s c u s s a n t s f e l t t h a t w h i l e t h e concept o f open systems was a v e r y p o w e r f u l one, i t was n e i t h e r an e q u i v a l e n t n o r a s u b s t i t u t e f o r homeostasis, and t h a t b o t h concepts are needed. I n the e c o l o g i c a l model, e q u i l i b r i u m can be a c h i e v e d t h r o u g h homeostasis a f t e r h e t e r o s t a s i s ; i n the systems model e q u i l i b r i u m i s t he r e s u l t o f a d j u s t m e n t s i n sub-systems. Some t e n s i o n i s necessary f o r g r o w t h and d i f f e r e n t i a t i o n u s i n g e i t h e r concept.

3. OPTIMIZING HOVEL WITH TIME VATHS

Regarding g o a l s , Bennis s t a t e d t h a t t h e absence o f disease was c l e a r l y n o t enough. Hughes agreed, adding t h a t some r e l a t i o n s h i p s expressed i n q u a n t i t a t i v e terms are a l s o needed. L a s s w e l l p o i n t e d o u t t h a t an o p t i m i z i n g model i s c a l l e d f o r , and t h a t t h i s r e q u i r e s an a p p r a i s a l f u n c t i o n . L e r n e r expressed t h i s as o p t i o n o r c h o i c e among known and e v a l u a t e d a l t e r n a t i v e s . A c c o r d i n g t o S t e i n , t h e s o c i a l s c i e n t i s t must show what t h e a v a i l a b l e c h o i c e s are and must a l s o s p e c i f y t h e s o c i a l s cience c h o i c e s and t h e reasons f o r them. Bennis f e l t t h a t more t h a n e n l i g h t e n m e n t would be necessary t o overcome t h e a n x i e t y o f i n d i v i d u a l s , and t h a t s k i l l s , w e l l - b e i n g and a f f e c t i o n m i g h t be needed.

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Deutsch f e l t t h e r e was need f o r a feedback l o o p i n t h e model, and suggested t h a t a t i m e p a t h concept p r o v i d e d more room f o r maneuvre th a n e i t h e r o p t i m i z i n g o r m a x i m i z i n g concepts- One s h o u l d t r y t o develop a f a m i l y o f v i a b l e t i m e paths versus a f a m i l y o f n o n - v i a b l e t i m e p a t h s t o t h e expressed g o a l s . Time pa t h s are v i a b l e o n l y i f t h e y a r e seen as l e g i t i m a t e by those i n v o l v e d , and i f t h e y do n o t impose an i n t o l e r a b l e b a r r i e r t o t h e achievement o f o t h e r v a l u e s .

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© SOCIAL CHANGE SKILLS AND CREATIVITY

Morris I. Stein New York University

This paper was prepared in terms of a Public Health research career program award (MH-k6-18, 679) to the author.

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T h i s paper i s d i v i d e d i n t o f o u r p a r t s . The f i r s t concerns i t s e l f w i t h s e v e r a l g e n e r a l parameters t h a t may be used t o c h a r a c t e r i z e a c u l t u r e and which c o n t a i n w i t h i n them some o f t h e necessary cond i t i o n s t h a t may a f f e c t t h e development and s u r v i v a l o f c r e a t i v e i d e a s , p r o d u c t s or processes. These parameters are q u i t e broad and i n d e e d volumes have been w r i t t e n about each o f them. I n p r e s e n t i n g them here i n a condensed form, one runs t h e r i s k o f b e i n g s u p e r f i c i a l and o f s t a t i n g the- obvious and well-known. T h i s r i s k has been t a k e n , s i n c e t h e obvious should n o t be o v e r l o o k e d , and a t t e n t i o n needs t o be c a l l e d t o how these parameters and c o n d i t i o n s may a f f e c t c r e a t i v i t y as one o f t h e f a c t o r s making f o r s o c i a l change.

The second p a r t o f t h i s paper d e a l s w i t h a s p e c i f i c o r g a n i z a t i o n w i t h i n our own s o c i e t y t h a t i s charged w i t h d e v e l o p i n g change — t h e i n d u s t r i a l r e s e a r c h o r g a n i z a t i o n . Our i n t e n t i s n o t t o d i s c u s s a l l of. t h e o r g a n i z a t i o n a l f a c t o r s r e l a t e d t o change b u t t o c o n c e n t r a t e on t h e r o l e s o f i n d i v i d u a l s w i t h i n t h e o r g a n i z a t i o n , f o r t h e t e c h n i q u e o f r o l e a n a l y s i s may be u s e f u l i n o t h e r s t u d i e s as w e l l .

I n t h e t h i r d p a r t o f t h e paper t h e r e w i l l be a d i s c u s s i o n o f a group o f i n d i v i d u a l s c a l l e d " i n t e r m e d i a r i e s " who e x i s t somewhere between t h e c r e a t i v e i n d i v i d u a l and t h e bro a d e r s o c i e t y . They serve c r i t i c a l f u n c t i o n s i n e i t h e r s t i m u l a t i n g o r i n h i b i t i n g t h e acceptance or r e j e c t i o n o f c r e a t i v e works, b u t they- have n o t a l l come under c a r e f u l r e s e a r c h s c r u t i n y .

The f o u r t h and l a s t p a r t o f t h i s paper i s n o t concerned w i t h change b r o u g h t about as a r e s u l t o f c r e a t i v i t y , b u t t h r o u g h a process t h a t i n v o l v e d t h e use o f change agents b r o u g h t i n from a n o t h e r c o u n t r y who h e l p e d i n d i v i d u a l s i n a newly d e v e l o p i n g c o u n t r y o b t a i n s i g n i f i c a n t change t h r o u g h t h e use o f Community Development pr o c e d u r e s . I t i s a stu d y o f one o f t h e v i l l a g e s i n Colombia where Peace Corps v o l u n t e e r s worked. I t i s a d m i t t e d l y one o f t h e most s u c c e s s f u l e x p e r i e n c e s i n t h e group s t u d i e d . A l t h o u g h t h e s t o r y i s n o t t y p i c a l , i t does i l l u s t r a t e some o f t h e f a c t o r s t h a t may a f f e c t change b r o u g h t about from w i t h i n a group o f people i t s e l f .

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Part I: General Parameters

C r e a t i v i t y i s a f u n c t i o n o f t h e t r a n s a c t i o n a l r e l a t i o n s h i p s between th e i n d i v i d u a l and h i s e nvironment. T h i s assumption u n d e r l i e s my d i s c u s s i o n o f t h e g e n e r a l parameters t o be c o n s i d e r e d . My purpose h e r e , however, i s n o t t o d i s c u s s t h e c h a r a c t e r i s t i c s o f t h e i n d i v i d u a l t h a t may p r e d i s p o s e him t o u n d e r t a k e c r e a t i v e developments nor i s i t t o d i s c u s s those c h a r a c t e r i s t i c s t h a t d i f f e r e n t i a t e t h e "more" from t h e " l e s s " c r e a t i v e person ( a l t h o u g h these m i g h t be c i t e d t o i l l u s t r a t e a c e r t a i n p o i n t ) . Rather, my purpose i s t o d i s c u s s some o f t h e environment c o n d i t i o n s t h a t , may e i t h e r s t i m u l a t e o r f o c u s t h e a c t i v i t i e s o f t h e c r e a t i v e i n d i v i d u a l and r e s u l t i n change, o r which i n h i b i t and r e s t r i c t t h e i n d i v i d u a l ' s a c t i v i t i e s so t h a t no change o r o n l y m i n i m a l change i s p o s s i b l e . Some o f these same cond i t i o n s a r e a l s o c r i t i c a l i n a f f e c t i n g t h e p u b l i c ' s acceptance o f whatever change i s i n t r o d u c e d .

PHYSICAL ENI/IROWMENT Man works w i t h what i s a v a i l a b l e . The v a r i e t y and q u a n t i t y o f n a t u r a l r e s o u r c e s w i l l a f f e c t b o t h t h e processes necessary t o o b t a i n t h e raw m a t e r i a l s as w e l l as t h e f i n a l p r o d u c t s t h a t can be produced. Man's p h y s i c a l environment a l s o p r o v i d e s him w i t h sense i m p r e s s i o n which may be u t i l i z e d i n h i s c r e a t i v e p u r s u i t s . I n t h e P a l e o l i t h i c , p e r i o d , man was a p a r a s i t e l i v i n g o f f n a t u r e as he found i t . H i s l i f e was dynamic and h i s a r t forms n a t u r a l i s t i c and e x p a n s i o n i s t i c . D u r i n g t h e N e o l i t h i c p e r i o d , however, man began p r o d u c i n g f o o d f o r h i m s e l f and began t o p r e s e r v e t h e means o f p r o d u c t i o n . He a l s o began t o congregate i n more s t a b l e communities. L i f e , t h e r e f o r e , s h i f t e d from a more " a n a r c h i s t i c " t o a more " s t a t i c and t r a d i t i o n a l -i s t i c " f orm. And, t h e a r t o f t h e p e r i o d t o o k on a g e o m e t r i c s t y l i z a t i o n . The changes i n v o l v e d i n b o t h economy and community l i v i n g from P a l e o l i t h i c t o N e o l i t h i c t i m e s o b v i o u s l y a l t e r e d t h e . s t i m u l i t o w h i ch men were exposed, and these changes became m a n i f e s t i n t h e i r a r t (Hauser, 1951).

P h y s i c a l o r g e o g r a p h i c f a c t o r s a l s o a f f e c t t h e communication between s o c i e t i e s , c u l t u r e s , l a n d s and i n d i v i d u a l s . Where t h e r e a r e few o r no g e o g r a p h i c a l b a r r i e r s (and where t h e c u l t u r e t o l e r a t e s d i f f e r ences) , communication between people i s enhanced and t h e y have an o p p o r t u n i t y t o become aware o f new o b j e c t s , i d e a s and ways o f l i f e .

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The exchange o f p o i n t s o f view and m a t e r i a l o b j e c t s may be a s t i m u l u s t o c u r i o s i t y and t h i n k i n g . People may i m i t a t e t h e i r n e i g h b o r s , improve upon what t h e y see, o r develop n o v e l i d e a s and p r o d u c t s from t h a t which e x i s t e d . Change occurs on b o t h t h e c u l t u r a l and i n d i v i d u a l l e v e l where d i f f e r e n c e s e x i s t and a r e t o l e r a t e d . I t i s , t h e r e f o r e , no s u r p r i s e t h a t "The o u t s t a n d i n g c u l t u r a l p a t t e r n s coalesced i n t h e v a l l e y s o f g r e a t r i v e r s i n n o r t h e r n s u b t r o p i c a l r e g i o n s . I t i s c l e a r t h a t a c u l t u r e o f g r e a t c o m p l e x i t y c o u l d develop o n l y where a s u f f i c i e n t number o f people were a b l e t o come t o g e t h e r i n r e l a t i v e peace and c o m f o r t , share t h e i r many t a s k s and t h e f r u i t s t h e r e o f , and s t i m u l a t e one ano t h e r " ( S a r t o n , 1952). On the i n d i v i d u a l l e v e l , we a l s o f i n d t h a t exposure t o d i f f e r e n t p o i n t s o f view i s a l s o an i m p o r t a n t i n g r e d i e n t i n performance. Pelz (1956) found t h a t among t h e f a c t o r s t h a t a f f e c t e d t h e l e v e l o f an i n d i v i d u a l ' s s c i e n t i f i c performance were: (a) f r e quent ( d a i l y ) c o n t a c t w i t h s e v e r a l s c i e n t i f i c c o l l e a g u e s who on the average have been employed i n s e t t i n g s d i f f e r e n t from one's own, who s t r e s s v a l u e s d i f f e r e n t f rom one's own, and who te n d t o work i n s c i e n t i f i c f i e l d s , d i f f e r e n t from one's own," (b) a t the same t i m e , f r e q u e n t c o n t a c t w i t h a t l e a s t one i m p o r t a n t c o l l e a g u e who has s i m i l a r p r o f e s s i o n a l v a l u e s , " and (c) "a c h i e f and a major c o l l e a g u e one o f whom i s i n t h e same s c i e n t i f i c d i s c i p l i n e and t h e o t h e r i n a d i f f e r e n t one, r a t h e r t h a n b o t h s i m i l a r o r b o t h d i s s i m i l a r . "

I t i s apparent from t h i s d i s c u s s i o n t h a t t h e p h y s i c a l environment i s h o t t o be regarded i n any s t a t i c sense b u t r a t h e r as a dynamic f o r c e t h a t , among o t h e r f a c t o r s , may a f f e c t t h e raw m a t e r i a l s and sense i m p r e s s i o n s a v a i l a b l e t o i n d i v i d u a l s i n t h e s o c i e t y . I t may a l s o serve as a c r i t i c a l f a c t o r i n communication which may a l l o w f o r t h e a c c e s s i b i l i t y o f d i f f e r e n t p o i n t s o f v i e w and m a t e r i a l s . I t i s a l s o a p p a r e n t t h a t t h e p h y s i c a l environment cannot be c o n s i d e r e d i n i s o l a t i o n f rom o t h e r s o c i a l and c u l t u r a l f a c t o r s . Where t h e p h y s i c a l e n v i r o n m e n t i s no b a r r i e r t o communication between p e o p l e , t h e val u e system o f t h e s o c i e t y has t o be such as t o t o l e r a t e and be w i l l i n g t o a c c e p t t h e d i f f e r e n c e s t o w h i c h one i s exposed.

PHILOSOPHICAL ORIENTATION

" P h i l o s o p h i c a l o r i e n t a t i o n " i s used here b r o a d l y t o r e f e r t o s o c i e t i e s ' p h i l o s o p h i c a l and r e l i g i o u s f o r m u l a t i o n s r e g a r d i n g t h e i r c o n c e p t u a l i z a t i o n s o f man, t h e meaning o f h i s b e h a v i o r , h i s r e l a t i o n s h i p t o God, t h e u n i v e r s e and h i s f e l l o w men. The term a l s o r e f e r s t o s p e c i f i c v a l u e s (which are elements o f a broader Weltanschauung) a t t r i b u t e d t o s p e c i f i c a c t i v i t i e s .

P h i l o s o p h i e s h e l p s t r u c t u r e man's environment so t h a t he can f i n d h i s p l a c e and f e e l secure i n i t . They p r o v i d e f o r c o n s i s t e n c y t o l i f e as w e l l as a frame o f r e f e r e n c e f o r s e l e c t i n g and e v a l u a t i n g new d a t a . A l t h o u g h c r e a t i v i t y may w e l l occur w i t h i n t h e framework o f any p h i l o s o p h i c a l system, t h e s p e c i f i c approach one adopts w i l l i n f l u e n c e t h e source t o which he t u r n s f o r h i s data and h i s c o n c e p t i o n

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o f t h e r e a l i t y w i t h which he works. C o n t r a s t Western and E a s t e r n p h i l o s o p h i e s i n r e s p e c t t o t h e r e l a t i o n s h i p between man and God, and w i t h t h e i r c o n c o m i t a n t d i f f e r e n c e s i n c r e a t i v e endeavor. I n t h e West, " t h e d i v i n e i s e x t e r n a l t o man" and t h e r e i s emphasis on t h e d i s t i n c t i o n between man and n a t u r e . Ego and non-ego a r e d i f f e r e n t i a t e d . Having made t h i s d i s t i n c t i o n between h i m s e l f and a l l e l s e , Western man c o n t i n u e s t o d i s t i n g u i s h between one o b j e c t and a n o t h e r i n h i s environment. The sources o f h i s d a t a a r e "out t h e r e , " and Western man makes p r o g r e s s by s e e k i n g new i d e a s , i n v e n t i o n s o r d i s c o v e r i e s w h ich p u t n a t u r e a t h i s s e r v i c e .

I n t h e East, however, " t h e d i v i n e element i s immanent f r o m t h e f i r s t i n Man, and t r u e human gr o w t h i s p r e c i s e l y t h e development o f t h i s element" (von Glasenapp,1953). E a s t e r n man does n o t seek t o subdue n a t u r e b u t " t o f i n d h i s p l a c e i n , and t o develop more f u l l y h i s c l o s e communion w i t h , n a t u r e . . . " He a l s o r e g a r d s " a l l t h i n g s as t h e m a n i f e s t a t i o n o f a fundamental r e a l i t y w h i ch c o u l d o n l y be d i s t o r t e d by a n a l y s i s . " He s t r i v e s f o r " s p i r i t u a l e l e v a t i o n i n which t h e mundane w o r l d i s abandoned." Hi s sources f o r d a t a are i n h i m s e l f ; "he seeks h i s r e a l b e i n g by t h e r e p u d i a t i o n o f t h e apparent s e l f , c h e e r f u l l y d e s p i s i n g t h e m a t e r i a l goods o f t h i s w o r l d " (von Glasenapp, 1953). I n t h e E a s t , t h e r e never developed a r e a l i s t i c , p e r s p e c t i v e - c o n s c i o u s form o f a r t such as o c c u r r e d i n Europe and post-Renaissance ti m e s i n t h e n i n e t e e n t h c e n t u r y . Even t h e Greek and Roman a r t i s t s p r e s e n t e d t h e i r gods as i d e a l i z e d human b e i n g s , i n c o n t r a s t t o t h e I n d i a n a r t i s t s , whose r e p r e s e n t a t i o n s o f gods were based on canon and symbol. "While Western a r t sought t o make an a e s t h e t i c a l l y b e a u t i f u l f orm by p o r t r a y i n g human f i g u r e s w h i c h were models o f p h y s i c a l p e r f e c t i o n and a t h l e t i c v i g o r , I n d i a n a r t s t a r t e d w i t h a b s t r a c t s p i r i t u a l concepts w h i c h had t o be t r a n s l a t e d i n t o p h y s i c a l shape" (Rowland, 1953). For t h e Muslim a r t i s t , " a b s t r a c t a r t was --and i s . . . n o t an escape b u t an acknowledgement o f h i s u n q u e s t i o n i n g submission t o God. He does n o t presume t o t h i n k he can compete w i t h God i n f a s h i o n i n g human images...." (Landau, 1955).

While v a r i a t i o n s i n t h e p e r c e p t i o n s o f r e a l i t y may w e l l produce c r e a t i v e approaches which a r e c o n s i s t e n t w i t h them, t h e y can become so w e l l - i n g r a i n e d and so l i m i t i n g i n terms o f what i s r e g a r d e d as r e a l t h a t u n l e s s o t h e r approaches t o " r e a l i t y " are u n d e r t a k e n , c r e a t i v i t y may be impeded. E i n s t e i n , f o r example, r e p o r t e d t o N o r t h r o p t h a t " i t was h i s r e a d i n g o f David Hume t h a t made him aware t h a t he d i d n o t have t o account f o r t h e e x p e r i m e n t a l f a c t s o f mechanics by Newton's concepts and laws." From a knowledge o f Hume's and Bishop B e r k e l e y ' s work, E i n s t e i n i s s a i d t o have l e a r n e d "what he would be r e s t r i c t e d t o i n h i s knowledge i f he had a d m i t t e d i n t o t h a t knowledge o n l y i m m e d i a t e l y sensed f a c t s . B e r k e l e y p o i n t e d o u t t h a t i f knowledge be r e s t r i c t e d t o i m m e d i a t e l y sensed f a c t s , we c o u l d n o t b e l i e v e t h a t t h e r e i s a s o l i d m a t e r i a l , t h r e e - d i m e n s i o n a l s t a n d here b e f o r e me now" ( N o r t h r o p , 1952).

P h i l o s o p h i c a l o r i e n t a t i o n s o f t e n i n c l u d e w i t h i n them i m p l i c i t o r e x p l i c i t s t a t e m e n t s r e g a r d i n g h i g h l y v a l u e d a c t i v i t i e s — t h o s e which

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man i s encouraged t o engage i n because t h e y may e i t h e r l e a d t o o r t h e y a r e i n and o f themselves m a n i f e s t a t i o n s o f l e a d i n g t h e "good l i f e " — as w e l l as statements r e g a r d i n g l e s s v a l u e d and/or tabooed a c t i v i t i e s . T h i s h i e r a r c h y i s r e i n f o r c e d by a v a r i e t y o f s o c i a l p r e s s u r e s . The v a l u e d i f f e r e n c e s a t t r i b u t e d t o v a r i o u s a c t i v i t i e s a r e l i k e l y t o a f f e c t t h e areas open t o c r e a t i v i t y , as w e l l as t h e i n d i v i d u a l s who engage i n d i f f e r e n t k i n d s o f endeavor. Among t h e Greeks, t h e p h i l o s o p h e r s and n o b i l i t y "had contempt f o r every form o f manual l a b o r . " The knowledge o f t h e c r a f t s m a n and e n g i n e e r a c q u i r e d t h r o u g h p h y s i c a l work had low s t a t u s , w h i l e " p h i l o s o p h i c a l knowledge was c u l t i v a t e d and promoted by men o f h i g h s o c i a l s t a t u s , i n p a r t i c u l a r , p r i e s t s and statesmen" (Frank, 1952) . I n h i s t i m e , Archimedes i n c u r r e d t h e d i s a p p r o v a l o f t h e s c i e n t i s t s and p h i l o s o p h e r s , among whom he counted h i m s e l f , when he served as s c i e n t i f i c a d v i s o r t o t h e armed f o r c e s o f Syracuse and i n s t r u c t e d them i n b u i l d i n g machines which would make enemy v e s s e l s i n e f f e c t u a l (Usher, 1954). Among t h e Romans, however, t h e v e r y o p p o s i t e was t r u e . The Romans were d i s i n t e r e s t e d i n r e s e a r c h which d i d n o t have u t i l i t a r i a n v a l u e . The Dark and M i d d l e Ages i n Europe showed a l m o s t complete i g n o r a n c e o f n a t u r a l phenomena and l a c k o f o r i g i n a l i t y i n s c i e n c e because " t h e i n f o r m e d men o f t h e day were s c h o l a s t i c s ; t h e y were d e d i c a t e d t o t h e s t u d y o f books, n o t n a t u r e . They were g i v e n t o metaphysics and l o g i c , n o t o b s e r v a t i o n : They v a l u e d n i c e t i e s and s u b t l e t i e s o f r e a s o n i n g r a t h e r t h a n t h e t e s t i m o n y o f t h e senses" ( B a r n e t t , 1953).

I n o u r own c u l t u r e , t h e r e l a t i v e absence o f P r o t e s t a n t church a r t has been r e l a t e d t o Locke's p h i l o s o p h y i n which emotions and a e s t h e t i c s a r e g i v e n second r a t e s t a t u s . The i m p o r t a n t t h i n g s a r e t h e m a t e r i a l o b j e c t s o f t h e work week or t h e "mental substances" w i t h w h i c h man communes on t h e Sabbath t h r o u g h i n t r o s p e c t i o n . W i t h i n such a framework, r i t u a l or a e s t h e t i c o b j e c t s would "get i n t h e way and g i v e r i s e t o i d o l a t r y , d r a wing one's a t t e n t i o n away from t h e supposedly r e a l r e l i g i o u s o b j e c t w h i c h i s w i t h i n one's own. p r i v a t e , i n t r o s p e c t i v e s e l f beneath t h e sensuous appearances. I t i s n o t an a c c i d e n t t h a t t h e e a r l y P r o t e s t a n t s i n England t o o k t h e c o l o r o u t o f t h e church windows and a t t a c k e d t h e t h e a t e r " ( N o r t h r o p , 1950). I n o u r t i m e , t h e g r e a t e r r e l a t i v e emphasis t h a t i s p l a c e d on r a t i o n a l i s m and s c i e n c e as a g a i n s t t h e a r t s and h u m a n i t i e s may w e l l o p e r a t e t o t h e d e t r i m e n t o f t h e l a t t e r . On t h e o t h e r hand, t h e v a l u e p l a c e d on t h e a c c u m u l a t i o n o f m a t e r i a l w e a l t h and goods i n our own s o c i e t y , i n c o n t r a s t t o t h e v a l u e p l a c e d on s c i e n t i f i c e ndeavors, no doubt has had a s i g n i f i c a n t e f f e c t on t h e number o f young people who s e l e c t p r o f e s s i o n s o r o c c u p a t i o n s i n which t h e y can make more money t h a n i n t h e s c i e n c e s .

Even i f t h e same area o f i n q u i r y i s s t u d i e d i n two d i f f e r e n t c u l t u r e s , t h e s p e c i f i c emphasis t h a t occurs w i t h i n t h a t area v a r i e s and may be r e l a t e d t o t h e p h i l o s o p h i c a l o r i e n t a t i o n s o f t h e s o c i e t y . T h i s i s i l l u s t r a t e d i n Western and E a s t e r n approaches t o h i s t o r y . I n the f o r m e r , based on t h e c o n c e p t i o n s o f H e g e l i a n p h i l o s o p h y w i t h i t s b e l i e f t h a t an " a b s o l u t e " can be reached, every e v e n t i s a unique

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e v e n t , and i t s d a t e must be f i x e d . Among t h e Hindus and B u d d h i s t s , however, t h e r e i s no such b e l i e f i n a p e r i o d o f a b s o l u t e p e r f e c t i o n on e a r t h , e n d u r i n g f o r e t e r n i t y . E v e r y t h i n g e x i s t e d and w i l l cont i n u e t o e x i s t . There i s an "endless s u c c e s s i o n o f r e i n c a r n a t i o n s . . . (and) i t i s q u i t e meaningless t o know when something o c c u r r e d ; o n l y t h e f a c t i t s e l f and i t s m o r a l i m p l i c a t i o n s a r e i m p o r t a n t " (von Glasenapp, 1953).

A l s o r e l a t e d t o t h e p h i l o s o p h i c a l o r i e n t a t i o n o f t h e c u l t u r e i s t h e c u l t u r e ' s t i m e p e r s p e c t i v e . C u l t u r e s have a p a s t , p r e s e n t and f u t u r e , b u t t h e y v a r y i n how t h e y r e g a r d each o f these t i m e p e r i o d s and c o n s e q u e n t l y i n how t h e y v a l u e change. Some people a r e steeped i n t h e p a s t ; t h e y s o l v e t h e i r p r e s e n t problems i n t h e same manner i n w h i c h t h e i r f o r e f a t h e r s d i d . For them, t r a d i t i o n has t h e f o r c e o f a u t h o r i t y , and d e v i a t i o n s from a u t h o r i t y are n o t p e r m i t t e d . Other people may emphasize t h e p r e s e n t , and t h e s i g n i f i c a n t d a t a f o r them are those w h ich occur i n t h e i r own l i f e t i m e . F i n a l l y , a t h i r d group o f people s t u d y h i s t o r y t o u n d e r s t a n d i t s meaning and t o o r i e n t themselves t o t h e f u t u r e . I n d i v i d u a l s i n t h e f i r s t two types o f c u l t u r e s , i n c o n t r a s t t o t h e t h i r d , a r e n o t p r e p a r e d f o r change. They do n o t ex p e c t change and do n o t a c c e p t n o v e l t y even i f i t i s a v a i l a b l e t o them, w h i l e t h e t h i r d group may n o t o n l y a n t i c i p a t e change and accept i t , b u t change and c r e a t i v i t y become v a l u e s i n and o f themselves. For example, t h e Zuni I n d i a n s o f New Mexico " n e i t h e r hope f o r nor a n t i c i p a t e changes i n any p a r t o f t h e i r c u l t u r e , and t h e y are r e s o l u t e a g a i n s t any s u g g e s t i o n o f t h e i d e a . They are e x t r e m e l y e t h n o c e n t r i c and are u n i n t e r e s t e d i n t h e w o r l d around them; t h e y , i n f a c t , r e g a r d t h e i r v i l l a g e as t h e c e n t e r o f t h e w o r l d . . . . The Navajo, who l i v e c l o s e t o t h e Z u n i , t a k e a n o t h e r view. They expect new developments i n t h e i r c u l t u r e ; and t h e i r h i s t o r y , i n s o f a r as i t i s known, r e v e a l s t h a t t h e y have been r e c e i v e r s and a d a p t e r s o f a l i e n customs t h r o u g h o u t t h e p e r i o d o f t h e i r o c c u p a t i o n o f t h e i r p r e s e n t h a b i t a t . They welcome change, a c c e p t i n g i t as a r e a l i s t i c a d j u s t m e n t t o t h e w o r l d around them. The Samoans are a l s o a n t i c i p a t o r s o f change, b u t i n a way d i f f e r e n t from t h a t o f t h e Navajo. They expect each i n d i v i d u a l among them t o be uniq u e i n e v e r y t h i n g t h a t he does. I m i t a t i o n i s d e p l o r e d . Every woman has her own d e s i g n f o r tapa c l o t h , even d i f f e r e n t d esigns f o r each p i e c e and t h e o p p o s i t e ends o f t h e same p i e c e . Each person i s expected t o i m p r o v i s e songs and dance s t e p s f o r h i m s e l f . I t i s t h e same f o r house b u i l d e r s , t a t t o o e r s , and o t h e r s p e c i a l i s t s . The e x p e c t a t i o n o f d e v i a t i o n even extends t o r e l i g i o n and p o l i t i c a l o r g a n i z a t i o n , b o t h f o r i n d i v i d u a l s and v i l l a g e s . I n n o v a t i o n i s t h e r u l e , and i n consequence t h e i n n o v a t o r r e c e i v e s o n l y p a s s i n g r e c o g n i t i o n . He i s me r e l y d o i n g what i s ex p e c t e d o f him" ( B a r n e t t , 1953) .

Even when a c u l t u r e has a s p e c i f i c v a l u e t h a t f a v o r s change, t h e r e are l i m i t s w i t h i n w h i ch t h e change may occ u r . " I f i t f a l l s below t h e minimum, i t i s re g a r d e d as n o t h i n g new, as a mere v a r i a n t , even though t o t h e o b j e c t i v e o b s e r v e r t h i s pronouncement may seem e n t i r e l y a r b i t r a r y . On t h e o t h e r hand, i f i t goes beyond t h e l i m i t s o f

17 3

e x p e c t a t i o n i t w i l l be greeted with varying degrees of r e s i s t a n c e , as happens when someone suggests a s i g n i f i c a n t change i n our s o c i a l or p o l i t i c a l s t r u c t u r e " (Barnett, 1953). Thus, the l i m i t s of change c o i n c i d e with the values that the people have toward the area t h a t i s being changed. We may a n t i c i p a t e i t " i n our technology, i n our a r t forms, i n our women's fa s h i o n s , and to some extent (slang) i n our language. We do not a n t i c i p a t e i t i n our r e l i g i o n , i n our p o l i t i c a l s t r u c t u r e , or i n our family o r g a n i z a t i o n " (Barnett, 1953).

LANGUAGE

"Language i s a guide to ' s o c i a l r e a l i t y ' " (Mandlebaum, 1949). I f a s o c i e t y ' s language system l a c k s c e r t a i n concepts, i t may w e l l l i m i t the p o s s i b i l i t i e s for change i n c e r t a i n areas. Whorf points out t h a t although i t i s p o s s i b l e to develop the idea of absolute s i m u l t a n e i t y from our concept of time and use i t for a v a r i e t y of t h e o r e t i c a l developments, i t i s impossible to do the same from the Hopi concept which i s most a p p r o p r i a t e l y t r a n s l a t e d as "duration." Our "time" i s conceptualized as "a space of s t r i c t l y l i m i t e d dimens i o n s , or sometimes as a motion upon such a space, and employed as an i n t e l l e c t u a l t o o l , accordingly. Hopi 'duration'... ( i s ) . . . t h e mode i n which l i f e d i f f e r s from form, and consciousness in toto from the s p a t i a l elements of consciousness" ( H o i j e r , 1954). Whorf a l s o observed "that a c u l t u r a l r e s u l t a n t of the Western European view of time i s our l i n g u i s t i c a l l y conditioned i n t e r e s t i n recordkeeping , d i a r i e s , h i s t o r i e s , and the concern with the 'past 1

g e n e r a l l y , as w e l l as our emphasis on devices such as c l o c k s , c a l e n d a r s , and time graphs for exact q u a n t i f i c a t i o n of time" ( H o i j e r , 1954).

Language serves not only as a means f o r recording experience but a l s o as a means of d e f i n i n g and r e f i n i n g i t . C r e a t i v e ideas and products are r e l a t e d not only to environmental s t i m u l i but to the concepts t h a t are a v a i l a b l e - f o r d e a l i n g with them.

DEVELOPMENTAL LEVEL OF THE CULTURE

C u l t u r e s go through wave-like p a t t e r n s of growth and d e c l i n e (Kroeber, 1944) . The shape of the curves as w e l l as t h e i r durations vary. Consequently, a t c e r t a i n points i n the development of a c u l t u r e change might be most d i f f i c u l t , while on other occasions i t would be a r e l a t i v e l y simple matter. Where a c u l t u r e i s moving up on a developmental slope, change and c r e a t i v i t y might almost be regarded as part of the demand c h a r a c t e r i s t i c s of the environment, and i n d i v i d u a l s who b r i n g novelty to f r u i t i o n are regarded by some as interchangeable with each other. Ogburn and Thomas (1922), for example, omitting developments p r i o r to 1605, name some twelve i n d i v i d u a l s who had c o n t r i b u t e d to the development of the steam engine between 1605 and 1785, when Watt gave the engine i t s d i s t i n c t i v e form. These authors then argue that "contrary to popular impression, Watt, great man

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though he was, does n o t seem t o have been i n d i s p e n s a b l e t o t h e p e r f e c t i o n o f t h e steam engine.' I t would be an a b s u r d i t y t o conc l u d e t h a t , even i f he had d i e d i n i n f a n c y , t h e I n d u s t r i a l R e v o l u t i o n would n o t have o c c u r r e d . " When a c u l t u r e i s i n a deve l o p m e n t a l t r o u g h , few i n d i v i d u a l s i n t h e s o c i e t y may be a b l e t o r i s e above t h e r e s t r i c t i n g c u l t u r a l i n f l u e n c e s . Kroeber (1944) mentions o n l y f i v e men — K e p l e r , L e i b n i t z , C o p e r n i c u s , Tycho and Goya -- who "were a b l e t o r i s e t o f u l l g r e a t n e s s over an environment which l o n g p a r a l y z e d a l l o t h e r s . "

When a c u l t u r e i s i n a developmental t r o u g h and any expected change from i n d i v i d u a l s w i t h i n i t may be l i m i t e d , new developments m i g h t occur when change agents are i m p o r t e d from o t h e r s o c i e t i e s . A contemporary example i s Peace Corps v o l u n t e e r s , who have served i m p o r t a n t f u n c t i o n s o f r e s t i m u l a t i n g and r e v i t a l i z i n g communities, as w i l l be i n d i c a t e d i n t h e l a s t p a r t o f t h i s paper. Where t h e e f f o r t s o f such change agents or c u l t u r a l d i f f u s o r s do n o t r e s u l t i n immediate accomplishments, t h e y a t l e a s t serve t h e f u n c t i o n o f p l a n t i n g t h e seeds o f ideas f o r f u t u r e accomplishments, o r they l a y th e groundwork, by exposing t h e people t o some d i s c u s s i o n o f change, f o r o t h e r s who f o l l o w .

CHILD REARING PRACTICES AND PARENT-CHILD RELATIONSHIPS

C h i l d r e a r i n g p r a c t i c e s may a f f e c t how an i n d i v i d u a l w i l l r e g a r d h i m s e l f , and c o n s e q u e n t l y / h i s a t t i t u d e toward h i s own c a p a b i l i t y t o a f f e c t and accept change. The r u l e s and r e g u l a t i o n s t o which t h e c h i l d has been exposed, and t h e rewards and punishments he has ex p e r i e n c e d i n c h i l d h o o d , may be a t t h e r o o t s o f t h e a d u l t ' s s e l f -concept. He may have l e a r n e d t h a t he i s good and ca p a b l e , t h a t he can master h i s f u n c t i o n s and i s competent, and t h u s seek new e x p e r i e n c e s . Or, he may have i n t e r n a l i z e d an image t h a t he i s bad, and c o n s e q u e n t l y develop f e e l i n g s o f a n x i e t y and g u i l t t h a t r e s t r i c t h i s f u t u r e development.

P a r e n t - c h i l d r e l a t i o n s h i p s r e p r e s e n t i n microcosm t h e p r o t o t y p e s o f i n t e r p e r s o n a l e x p e r i e n c e s t o be encountered l a t e r i n l i f e . And, a t t i t u d e s and p a t t e r n s developed e a r l y i n l i f e may a f f e c t f u t u r e i n t e r p e r s o n a l r e l a t i o n s h i p s . I n i n t e r a c t i o n w i t h p a r e n t s , t h e i n d i v i d u a l develops a t t i t u d e s toward f u t u r e a u t h o r i t y — b o t h s p e c i f i c a u t h o r i t y f i g u r e s such as t e a c h e r s , managers, s u p e r v i s o r s , e t c . , as w e l l as dogmatic p r i n c i p l e s and a u t h o r i t a r i a n modes o f b e h a v i o r . Adorno and a s s o c i a t e s (1950) found t h a t c h i l d r e n who had been s u b m i s s i v e t o t h e i r p a r e n t s were l i k e w i s e a c c e p t a n t o f a u t h o r i t a r i a n i d e o l o g i e s , and one would t h e r e f o r e a l s o e x p e c t them t o a v o i d d e v i a t i n g from t h e status quo, t o s t a y w i t h t h e t r i e d and t h e t r u e r a t h e r t h a n e x p e r i e n c e t h e n o v e l and t h e new.

The c h a r a c t e r o f p a r e n t - c h i l d r e l a t i o n s h i p s has a l s o been r e l a t e d t o an i n d i v i d u a l ' s i n t e r e s t p a t t e r n s , and hence, t o t h e o c c u p a t i o n s he may s e l e c t l a t e r i n l i f e (Roe, 1957). I n t e r e s t s f o r Roe " a r i s e o u t

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o f t h e c h i l d ' s e a r l i e s t e x p e r i e n c e s i n the f a m i l y . They are d e t e r mined p r i m a r i l y by t h e areas i n which h i s a t t e n t i o n i s g i v e n f r e e f l o w i n t h e f a m i l y s t r u c t u r e and t h e way i n which he i s handled i n p a r t i c u l a r s i t u a t i o n s . " As a framework f o r d e a l i n g w i t h t h e v a r i o u s ways i n which t h e c h i l d may be handled i n t h e f a m i l y , Roe p r e s e n t s a s e r i e s o f c r i t i c a l v a r i a b l e s t h a t she r e p r e s e n t s d i a g r a m m a t i c a l l y by a s e r i e s o f c o n c e n t r i c c i r c l e s . A t t h e c e n t e r i s t h e b a s i c a t t i t u d e o f t h e f a m i l y t o w a r d c h i l d r e n , which may be c l a s s i f i e d on a cont i n u u m r a n g i n g from warm t o c o l d . T h i s b a s i c a t t i t u d e may be s u b d i v i d e d i n t o t h r e e a t t i t u d e s t o w a r d h a n d l i n g c h i l d r e n : (1)"emot i o n a l c o n c e n t r a t i o n on t h e c h i l d [ t h a t i s , where t h e c h i l d i s t h e p r i m a r y f o c u s o f t h e p a r e n t s ' concern] can be expressed i n v a r i o u s ways r a n g i n g f r o m ' o v e r p r o t e c t i o n o f t he c h i l d ' t o 'overdemanding' o f t h e c h i l d ; (2) 'avoidance' which may be s u b d i v i d e d i n t o ' r e j e c t i o n and n e g l e c t ' ; and (3) 'acceptance' which may be subd i v i d e d i n t o ' casual acceptance' and ' l o v i n g acceptance.'"

Roe t h e n h y p o t h e s i z e s t h a t , " t h e f i r s t d i s t i n c t i o n i n b a s i c a t t i t u d e s which l a t e r develops i n t o i n t e r e s t s i s whether o r n o t y o u r b a s i c o r i e n t a t i o n i s toward persons, w h i l e t h e o t h e r s have a b a s i c o r i e n t a t i o n 'not toward persons.'"

The m a j o r o r i e n t a t i o n t o w a r d persons can be s u b d i v i d e d i n t o an o r i e n t a t i o n t o w a r d t h e s e l f as a person o r towa r d o t h e r persons, and i t may be d e f e n s i v e o r n o n d e f e n s i v e . From t h i s group o f i n d i v i d u a l s , Roe suggests, come those i n d i v i d u a l s who are 11 s u i t e d , t o o c c u p a t i o n s i n which t h e most i m p o r t a n t element i s t h e r e l a t i o n s h i p o f one i n d i v i d u a l t o a n o t h e r . For example, a t t h e upper l e v e l o f o c c u p a t i o n s w i l l be p e r s o n a l t h e r a p i s t s , v o c a t i o n a l guidance p e o p l e , w e l f a r e workers -- o f one s o r t or anot h e r — s o c i a l workers and so on. A t t h e lower l e v e l o f o c c u p a t i o n s t h e r e w i l l be b a r b e r s , b e a u t i c i a n s , e t c . , i n which t h e r e i s a d i r e c t p e r s o n a l r e l a t i o n s h i p . You w i l l a l s o g e t what I c a l l t h e a r t s and e n t e r t a i n m e n t group o f o c c u p a t i o n s , where I t h i n k a major element i s a form o f n a r c i s s i s m w h i c h d e r i v e s o u t o f t h i s framework. I do n o t separate music and p a i n t i n g and o t h e r a r t s , because I t h i n k t h e e s s e n t i a l element i s t h e same i n them, and I would i n c l u d e b i g league b a s e b a l l p l a y e r s , f o r example, i n t h e same group. Here t h e n a r c i s s i s m r e f e r s t o a d i f f e r e n t s o r t o f body s t r u c t u r e t h a n i t would i n terms o f t h e a r t i s t .

" I n groups w i t h b a s i c o r i e n t a t i o n not toward persons, t h e r e can be an o r i e n t a t i o n t o w a r d t h i n g s o r o b j e c t s i n t h e environment w h i c h may be animate o r i n a n i m a t e , or perhaps toward t h e i d e a s , a l t h o u g h you w i l l g e t some o r i e n t a t i o n o f a v e r y l i m i t e d s o r t toward i d e a s i n the o t h e r p r e v i o u s group. P r i m a r i l y many s c i e n t i s t s — except s o c i a l s c i e n t i s t s — w i l l come o u t o f t h i s l a t t e r group. O b v i o u s l y , I am g e n e r a l i z i n g v e r y b r o a d l y , and t h e r e may be some e x c e p t i o n s .

" I n t h e n e g l e c t e d group and i n t h e c a s u a l acceptance group, you w i l l g e t p ersons whose b a s i c o r i e n t a t i o n i s n o t towa r d persons — i n a n o n d e f e n s i v e way. I do n o t agree w i t h t h e a n a l y s t s t h a t i f you are

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n o t b a s i c a l l y oriented.- t o w a r d persons i t i s because o f defense a g a i n s t them. I know t o o many s c i e n t i s t s who do n o t show t h i s , b u t i n whom t h e p r i m a r y i n t e r e s t — t h e t h i n g t h e y t h i n k about most e a s i l y , t h e t h i n g t h e y a t t e n d t o most e a s i l y — i s a t h i n g o r o b j e c t o r a n i m a l , n o t persons. These persons w i l l d e velop i n t o a t e c h n o l o g i c a l g roup, i . e . , a b i o l o g i c a l s ciences group, a p h y s i c a l s c i e n c e s group, e t c . "

W i t h r e g a r d t o c r e a t i v i t y , Roe says t h a t among i n d i v i d u a l s w i t h a major o r i e n t a t i o n toward p e r s o n s, i t i s more d i f f i c u l t t o g e t f r e e f l o w i n g c r e a t i v i t y t h a n from i n d i v i d u a l s whose major o r i e n t a t i o n i s n o t t o w a r d persons. Among t h e f o r m e r , c r e a t i v i t y i s l i k e l y t o occur on a d e f e n s i v e b a s i s . " I was r a t h e r s u r p r i s e d t o f i n d , " she says, " i n some o f my s t u d i e s o f p h y s i c a l s c i e n t i s t s p a r t i c u l a r l y , a freedom and ease o f w o r k i n g c r e a t i v e l y , much more t h a n I found i n t h e s o c i a l s c i e n t i s t s , r a t h e r more t h a n I found i n t h e b i o l o g i c a l s c i e n t i s t s , and I t h i n k c o n s i d e r a b l y more t h a n I found i n t h e a r t i s t s I s t u d i e d . The a r t i s t s u s u a l l y g o t themselves i n t o a t e r r i f i c stew j u s t b e f o r e t h e y were about t o c r e a t e something. To some e x t e n t t h i s s t i r r e d - u p c o n d i t i o n happens i n s c i e n t i s t s , b u t I t h i n k i t occurs t o a l e s s e r e x t e n t and has a d i f f e r e n t , q u a l i t y . "

P a r e n t s may serve as models f o r t h e i r c h i l d r e n , and t h e i r i n t e r e s t s may a l s o prove t o be th o s e f o l l o w e d by t h e i r c h i l d r e n . S i m i l a r l y , p a r e n t s may p r o v i d e d i r e c t i o n f o r t h e i r c h i l d r e n ' s a c t i v i t i e s t h r o u g h t h e g o a l s t h a t t h e y s e t up f o r them. S t e i n and h i s co-workers ( u n p u b l i s h e d ) p r o v i d e some evidence f o r how b o t h these f a c t o r s may be r e l a t e d t o c r e a t i v i t y . The s u b j e c t s i n t h i s s t u d y were more and l e s s c r e a t i v e Ph.D. chemists employed i n i n d u s t r i a l r e s e a r c h o r g a n i z a t i o n s . I n a b i o g r a p h i c a l q u e s t i o n n a i r e , b o t h groups o f s u b j e c t s were asked t o i n d i c a t e t h e i r p a r e n t s i n t e r e s t s by c h e c k i n g a l i s t w i t h w h i c h t h e y were p r o v i d e d . The r e s u l t s i n d i c a t e d t h a t , on t h e average, t h e f a t h e r s o f t h e more c r e a t i v e men had more i n t e r e s t s t h a n d i d those o f t h e l e s s c r e a t i v e men. The mothers o f b o t h groups had t h e same number o f i n t e r e s t s . The one i n t e r e s t w h i ch d i s t i n g u i s h e d t h e f a t h e r s o f t h e more c r e a t i v e men was t h e i r i n t e r e s t i n s c i e n c e . While 18% o f t h e f a t h e r s o f t h e l e s s c r e a t i v e men were s a i d t o be i n t e r e s t e d i n s c i e n c e , t h i s was t r u e o f 45% o f th e f a t h e r s o f t h e more c r e a t i v e men (and by no means were 45% o f th e f a t h e r s o f t h e more c r e a t i v e " men s c i e n t i s t s ) . The m o t h e r s , on th e o t h e r hand, were d i f f e r e n t i a t e d o n l y by t h e i r i n t e r e s t i n b u s i n e s s . While o n l y 12% o f t h e mothers o f t h e l e s s c r e a t i v e men were s a i d t o be i n t e r e s t e d i n b u s i n e s s , t h i s was t r u e o f 35% o f t h e mothers o f t h e more c r e a t i v e men.

S t e i n and h i s a s s o c i a t e s a l s o sought d a t a on t h e t y p e s o f g o a l s t h a t t h e p a r e n t s o f t h e i r s u b j e c t s had f o r t h e i r sons. The men were p r e s e n t e d w i t h s i x t y p e s o f g o a l s and asked t o i n d i c a t e w h ich o f them were h e l d by t h e f a t h e r and which were h e l d by t h e mother. Some o f t h e r e s u l t s o b t a i n e d were: i n 94% o f t h e cases o f t h e more c r e a t i v e group, b o t h p a r e n t s did h o l d g o a l s f o r t h e i r sons compared t o 70% o f t h e l e s s c r e a t i v e men. Both p a r e n t s had no g o a l s i n one

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case of the more c r e a t i v e group and i n 21% of the l e s s c r e a t i v e group.

EDUCATIONAL OPPORTUNITIES ANV EDUCATIONAL EXPERIENCES

The e d u c a t i o n a l i n s t i t u t i o n s i n a s o c i e t y not only prepare i n d i v i d u a l s i n the c u l t u r a l h e r i t a g e , but a l s o predispose them to the acceptance and r e j e c t i o n of new information (and, hence, p o s s i b l y change), depending on the nature of the content t h a t i s taught, the c h a r a c t e r of the l e a r n i n g process and the teaching models with which the student i s presented. Some edu c a t i o n a l systems emphasize the need for demonstrating mastery and p e r f e c t i o n i n memorizing a l l t h a t i s taught, while i n o t h e r s , the i n d i v i d u a l i s taught the past as a stepping stone to the f u t u r e . The student i s encouraged to demonstrate h i s o r i g i n a l i t y , and he i s rewarded for developing an i n d i v i d u a l i z e d program. I n some c u l t u r e s , the f a c u l t y i s h i g h l y regarded and i s made up of persons with whom the student can i d e n t i f y . I n o t h e r s , however, the f a c u l t y may be composed of i n d i v i d u a l s who are l i k e l y to be inadequate or u n s u c c e s s f u l i n other s o c i e t a l p u r s u i t s or whose general s t a t u s i s r a t h e r low.

E d u c a t i o n a l o p p o r t u n i t i e s may be l i m i t e d only to those who have the n e c e s s a r y economic resources or s o c i a l s t a t u s . Therefore, i f change i s dependent on the s o p h i s t i c a t i o n of the p u b l i c , the p r o b a b i l i t y of change oc c u r r i n g under these circumstances i s l i m i t e d . I f adm i s s i o n to educational i n s t i t u t i o n s i s not a function of finances or s o c i a l s t a t u s , then the c r i t e r i a t h a t are used are not n e c e s s a r i l y always the best for encouraging or s t i m u l a t i n g c r e a t i v i t y or change, d e s p i t e a l l p u b l i c pronouncements to the contrary. I n our own s o c i e t y , f o r example, there i s much hope, and even i n t e n t , t h a t our e d u c a t i o n a l system s h a l l produce c r e a t i v e i n d i v i d u a l s . Evidence of s c h o l a s t i c achievement (grades) a t the lower l e v e l s i s u s u a l l y regarded as a c r i t e r i o n for acceptance i n t o c o l l e g e . And, evidence f o r achievement i n the l a t t e r i s u s u a l l y regarded as a c r i t e r i o n for acceptance i n t o u n i v e r s i t i e s or f o r providing the i n d i v i d u a l with a job opportunity i n which he can manifest h i s c r e a t i v i t y . I f the p s y c h o l o g i c a l c h a r a c t e r i s t i c s a s s o c i a t e d with these achievements were indeed those t h a t have been a s s o c i a t e d with c r e a t i v i t y , then we might be c l o s e to achieving the goals of our educational i n s t i t u t i o n s . A v a i l a b l e evidence suggests t h a t t h i s i s not the c a s e . Holland (1960) studied the p e r s o n a l i t y c h a r a c t e r i s t i c s of students with high high school rank and the p e r s o n a l i t y c h a r a c t e r i s t i c s a s s o c i a t e d with c o l l e g e freshmen grades. He then compared the p e r s o n a l i t y c h a r a c t e r i s t i c s r e l a t e d to both v a r i a b l e s with the data t h a t C a t t e l l and h i s co-workers ( C a t t e l l and Drevdahl, 1955; Drevdahl, 1956; Drevdahl and C a t t e l l , 1958) found to be a s s o c i a t e d with c r e a t i v e i n d i v i d u a l s . Although C a t t e l l 1 s s u b j e c t s are not comparable to Holland's students i n terms of age and other f a c t o r s , i t i s n e v e r t h e l e s s tenable, at l e a s t as a f i r s t hypothesis, t h a t i f h i g h schools were rewarding c r e a t i v i t y , the p e r s o n a l i t y charact e r i s t i c s a s s o c i a t e d with high grades i n high school or the f i r s t

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year o f c o l l e g e m i g h t be s i m i l a r t o o r t h e same as th o s e o b t a i n e d by C a t t e l l . A comparison o f t h e p e r s o n a l i t y c h a r a c t e r i s t i c s found by H o l l a n d and those found by C a t t e l l a r e q u i t e d i f f e r e n t . H o l l a n d (1960) says, "Only two o f t h e 16 PF ( t h e t e s t used) s c a l e s i n d i c a t i v e o f c r e a t i v e p o t e n t i a l are c o r r e l a t e d w i t h grades i n t h e expected d i r e c t i o n — e m o t i o n a l l y s e n s i t i v e and f e m i n i n e — w h i l e f i v e s c a l e s are s i g n i f i c a n t l y c o r r e l a t e d w i t h grades i n d i r e c t i o n s w h i ch sugg e s t a l a c k o f c r e a t i v e p o t e n t i a l , and t h e r e m a i n i n g f i v e s c a l e s c h a r a c t e r i s t i c o f 'more c r e a t i v e 1 people are n o t s i g n i f i c a n t l y r e l a t e d t o grades. The i m p l i c a t i o n t h a t t h e c o l l e g e a c h i e v e r has l e s s p o t e n t i a l f o r c r e a t i v e a c t i v i t y i s su p p o r t e d by our f i n d i n g s about t h e c o r r e l a t e s o f HSR ( h i g h s c h o o l r a n k ) . " T h i s f i n d i n g i s f u r t h e r s u p p o r t e d by another o f H o l l a n d ' s s t u d i e s (1959) i n which he i n v e s t i g a t e d t h e p e r s o n a l i t y c o r r e l a t e s o f t e a c h e r s ' r a t i n g s o f m a t u r i t y , and a l s o found " t h a t s t u d e n t s w i t h h i g h HSR ( h i g h s c h o o l rank) may have l e s s c r e a t i v e p o t e n t i a l t h a n s t u d e n t s w i t h low HSR, assuming t h a t t h e l a t t e r a l s o have o t h e r a t t r i b u t e s a s s o c i a t e d w i t h c r e a t i v e b e h a v i o r . " And t h e n t h e r e i s MacKinnon's (1959) s t u d y i n w h i c h he r e p o r t s t h a t c r e a t i v e r e s e a r c h s c i e n t i s t s and a r c h i t e c t s had u n d i s t i n g u i s h e d c o l l e g e grades. The p o i n t o f t h i s d i s c u s s i o n cannot be made b e t t e r t h a n H o l l a n d (1960) h i m s e l f does, "The i m p l i c a t i o n s o f t h e p r e s e n t i n v e s t i g a t i o n , which are cons i s t e n t w i t h o u r growing knowledge o f c r e a t i v i t y , argue a g a i n s t t h e u n c r i t i c a l use o f h i g h s c h o o l and c o l l e g e grades as p r e d i c t o r s o f p o s t - c o l l e g e achievement and as u n q u a l i f i e d c r i t e r i a f o r s e l e c t i n g persons f o r a d m i s s i o n s , s c h o l a r s h i p s , f e l l o w s h i p s , o r j o b s . " Thus , i n s t u d y i n g t h e e f f e c t i v e n e s s o f a s o c i e t y ' s e d u c a t i o n a l i n s t i t u t i o n s as p o s s i b l e sources o f change, one needs t o a t t e n d t o b o t h t h e v e r b a l i z e d and u n v e r b a l i z e d g o a l s o f t h e i n s t i t u t i o n . On t h e v e r b a l l e v e l , t h e r e may be much t a l k o f t h e d e s i r e f o r c r e a t i v i t y , b u t i n a c t u a l i t y , t a k i n g many i n s t i t u t i o n s i n our own s o c i e t y as an example, t h e g o a l i s t o c o n t i n u e t h e s o c i a l i z a t i o n p r o c e s s .

P O L I T I C A L F A C T O R S P o l i t i c a l systems t h a t p r o t e c t men's r i g h t s and i n s u r e h i s freedom p r o v i d e man w i t h a sense o f s e c u r i t y . The s e c u r i t y f e l t i n t h e p o l i t i c a l area may w e l l extend t o o t h e r a r e a s , so t h a t s e l f - e x p r e s s i o n i s enhanced and f r e e , and autonomous development may occur i n a v a r i e t y o f o t h e r areas. R e s t r i c t i v e p o l i t i c a l systems are n o t , however, w i t h o u t c a p a c i t y f o r change. They may s e l e c t s p e c i f i c areas i n w h i c h change i s d e s i r e d w h i l e t h e y l i m i t and even c u r t a i l a c t i v i t i e s i n o t h e r areas.

I n g e n e r a l , t h e r e l a t i o n s h i p between p o l i t i c a l f a c t o r s and change i s such t h a t where t h e p o l i t i c a l power f i g u r e s f e e l t h a t t h e i r s t a t u s , p o s i t i o n and power w i l l be t h r e a t e n e d by t h e change, t h e y w i l l s e t up b a r r i e r s o r t r y t o b l o c k t h e p o s s i b i l i t y o f change-. "Thus i n a n c i e n t Rome, t h e hand and stone m i l l was never d i s p l a c e d by t h e w a t e r m i l l , d e s p i t e t h e f a c t t h a t t h e wat e r m i l l had been d e s c r i b e d by S t r a b o . The r i s k o f s l a v e l a b o r on t h e p l a n t a t i o n s ,

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t h e c o n s t a n t danger o f r e b e l l i o n and sabotage, made more c o m p l i c a t e d and c o s t l y machinery u n p r o f i t a b l e " ( Gerth and M i l l s , 1953). On t h e o t h e r hand, where p o l i t i c a l power f i g u r e s f e e l t h a t t h e i r p o s i t i o n i s l i k e l y t o be m a i n t a i n e d o r enhanced by t h e encouragement o f change, t h e y w i l l l i k e l y r e i n f o r c e and s u p p o r t i t — w i t n e s s the sums spent f o r defense and t h e development o f t h e atomic bomb, r o c k e t r y and j e t a i r c r a f t .

The r e l a t i o n s h i p between t h e p o l i t i c a l power f i g u r e s and change a l s o has a n o t h e r dimension. I t i n v o l v e s t h e r e l a t i o n s h i p between the change agents and t h e p o l i t i c a l a u t h o r i t i e s . S p e c i f i c a l l y , p o l i t i c a l power f i g u r e s may f o s t e r t h e e f f o r t s o f change agents whose p o l i t i c a l v i e w s t h e y approve o f , w h i l e t h e y may o b s t r u c t t h e e f f o r t s o f those whose views are c o u n t e r t o t h e i r own. E i t h e r when i t i s a m a t t e r o f a p p r o v a l o r d i s a p p r o v a l o r when i t i s o n l y a m a t t e r o f s c r u t i n y , i t may have a s e l e c t i v e e f f e c t on those i n d i v i d u a l s who are w i l l i n g t o u n d e r t a k e work t h a t m i g h t p o s s i b l y l e a d t o change ( S h i l s , 1956).

ECONOMIC FACTORS

Economic f a c t o r s , i n t h e sense o f t r a d e and commerce, i n c r e a s e the f r e q u e n c y and t y p e o f communication between c u l t u r e s , and thus change may come about as a r e s u l t o f c u l t u r a l d i f f u s i o n and from t h e m a t r i x o f d i f f e r e n c e s f r o m which new c o m b i n a t i o n s and new developments may be formed. Economic f a c t o r s , however, have t h e i r g r e a t e s t e f f e c t on change i n terms o f t h e p r o f i t m o t i v e and t h e amount o f c a p i t a l a v a i l a b l e f o r i n v e s t m e n t purposes. Where t h e r e i s a p o s s i b i l i t y of i n c r e a s e d p r o f i t o r more economical ways o f p e r f o r m i n g o l d processes, change may be encouraged. Where new developments are n o t l i k e l y t o r e s u l t i n t h e d e s i r e d l e v e l o f p r o f i t s , o r where new developments a r e l i k e l y t o r e s u l t i n much economic d i s p l a c e m e n t , t h e y may be d i s c o u r a g e d . Thus, economic f a c t o r s may a f f e c t t h e k i n d s o f areas i n w h i c h one m i g h t expect change by f o c u s i n g a t t e n t i o n upon them and t h u s drawing persons t o these areas e i t h e r w i t h t h e p r o s p e c t and o p p o r t u n i t y f o r d e v e l o p i n g o r i n d u c i n g change o r w i t h t h e p r o s p e c t o f h i g h economic rewards.

SOCIAL FACTORS

People o f d i f f e r e n t c l a s s e s e n j o y d i f f e r e n t p r i v i l e g e s . Being a member o f a c e r t a i n group, t h e r e f o r e , may e n t i t l e t h e i n d i v i d u a l t o c e r t a i n o p p o r t u n i t i e s f o r g a i n i n g t h e background and t r a i n i n g n e c e s sary t o i n i t i a t e change. Depending on h i s s o c i a l s t a t u s , an i n d i v i d u a l may o r may n o t be l i m i t e d i n h i s exposure t o t h e new developments i n t h e s o c i e t y . He may o r may n o t a l s o be l i m i t e d i n terms o f t h e i n d i v i d u a l s r e p r e s e n t i n g t h e d i f f e r e n t l e v e l s o f t h e s o c i e t y w i t h whom he can communicate and so share d i f f e r e n t p o i n t s o f v i e w .

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The acceptance o f change i n d i f f e r e n t f i e l d s o f endeavor i s o f t e n a s s o c i a t e d w i t h d i f f e r e n t s o c i a l c l a s s e s . The f a c t t h a t a new development has been accepted by a c e r t a i n p r e s t i g e group may encourage o t h e r s t o f o l l o w and so i n d i c a t e t h a t t h e y "belong" o r w i s h t o b e l o n g .

I n s o c i e t i e s t h a t are c h a r a c t e r i z e d by s o c i a l m o b i l i t y , i n d i v i d u a l s may t r y t o become change a g e n t s , c r e a t o r s o r i n n o v a t o r s so t h a t t h e y may g a i n e n t r e e i n t o t h e groups t h e y d e s i r e . However, as Tumin (1954) p o i n t s o u t , " C r e a t i v i t y , as a search f o r and c a p a c i t y t o e n j o y self-consummating e x p e r i e n c e s , comes subsequent t o s t a t u s -s t r i v i n g f o r t h e average man. For those i n d i v i d u a l s — t h e r a r e few — who break t h r o u g h t o i n d i v i d u a l i t y and c r e a t i v i t y w i t h o u t s t a t u s - a s s u r a n c e , t h e c r e a t i v e l i f e s erves as t h e compensation f o r , t h e e q u i l i b r a t o r , i f you w i s h , o f t h e imbalance p r e s e n t e d i n t h e s t a t u s - l i f e . Most i n d i v i d u a l s , however, cannot and w i l l n o t dare t a k e t h e c h a l l e n g e o f t h e c r e a t i v e l i f e u n t i l t h e y r e a c h a cons i d e r a b l e amount o f s t a t u s s a f e t y and assurance."

S o c i a l f a c t o r s a r e a l s o r e l a t e d t o t h e change process i n t h e sense t h a t i n t e r p e r s o n a l t r u s t i s necessary i f change i s t o come about. Change, and i t s consequent d e v i a t i o n from t h a t w h ich has e x i s t e d , and i s bound t o s t i m u l a t e a n x i e t y i n some i n d i v i d u a l s . The l e v e l and e x t e n t o f a n x i e t y w i l l be a f u n c t i o n o f t h e area i n w h i c h change o c c u r s . I f t h e l e v e l o f a n x i e t y i s h i g h , t h e n change may be o b s t r u c t e d , b u t t h e e f f e c t s o f t h e a n x i e t y may be c o u n t e r a c t e d under c o n d i t i o n s o f i n t e r p e r s o n a l t r u s t which l i m i t t h e p o s s i b i l i t i e s o f t h r e a t and p r o v i d e a s e c u r i t y system u n t i l t h e change has been i n t e g r a t e d i n t o t h e s o c i a l m a t r i x .

The p h y s i c a l e n v i r o n m e n t , t h e p h i l o s o p h i c a l o r i e n t a t i o n o f t h e c u l t u r e , t h e language system, t h e de v e l o p m e n t a l l e v e l o f t h e c u l t u r e , c h i l d r e a r i n g p r a c t i c e s and p a r e n t - c h i l d r e l a t i o n s h i p s , e d u c a t i o n a l o p p o r t u n i t i e s and e x p e r i e n c e s , p o l i t i c a l , economic and s o c i a l f a c t o r s , are some o f t h e parameters t h a t may a f f e c t b o t h t h e development and s u r v i v a l o f c r e a t i v e i d e a s , p r o d u c t s o r p r o cesses. I n some ways, each o f t h e parameters c o n t r i b u t e s some uniqueness, b u t i n most i n s t a n c e s t h e y o v e r l a p . My t r e a t m e n t o f t h e v a r i o u s parameters has, no doubt, been t o o b r i e f , b u t h o p e f u l l y , what has been p r e s e n t e d w i l l serve t o i l l u s t r a t e t h e v a r i o u s areas t h a t r e q u i r e s t u d y as one d e s i r e s t o e f f e c t change.

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Part II: Organization and Roles

W i t h i n a s o c i e t y , t h e r e are o f t e n o r g a n i z a t i o n s charged w i t h r e s p o n s i b i l i t y f o r d e v e l o p i n g or s t i m u l a t i n g change. These o r g a n i z a t i o n s have t h e i r own processes f o r s e l e c t i n g t h e i r members, t h e i r s p e c i f i c g o a l s , p r e s c r i b e d s t a t u s system, v a l u e system, communication netwo r k and system o f rewards and punishments. They a l s o have p r e s c r i b e d r o l e s ^ t h a t t h e i r members are expected t o f u l f i l l .

One such o r g a n i z a t i o n i n our own s o c i e t y i s t h e i n d u s t r i a l r e s e a r c h o r g a n i z a t i o n . My i n t e n t i n what f o l l o w s i s n o t t o d i s c u s s a l l t h e c h a r a c t e r i s t i c s o f t h i s o r g a n i z a t i o n and how t h e y may be r e l a t e d t o change, b u t r a t h e r t o l i m i t m y s e l f t o a d i s c u s s i o n o f t h e r o l e s t h a t i n d u s t r i a l r e s e a r c h e r s a r e expected t o f u l f i l l , and how c o n f l i c t between r o l e s may develop and p o s s i b l y a f f e c t c r e a t i v i t y . The d i s c u s s i o n , t h e r e f o r e , i s an example o f t h e a p p l i c a t i o n o f r o l e a n a l y s i s which may prove o f v a l u e i n s t u d y i n g o r g a n i z a t i o n s i n o t h e r s o c i e t i e s .

The i n d u s t r i a l r e s e a r c h e r i s expected t o f u l f i l l f i v e major r o l e s : S c i e n t i s t , P r o f e s s i o n a l , A d m i n i s t r a t i v e , Employee and S o c i a l .

THE SCIENTIST ROLE

As t h e " s c i e n t i s t , " t h e i n d u s t r i a l r e s e a r c h e r , l i k e a l l s c i e n t i s t s , i s e x p e c t e d " t o d i s c o v e r , s y s t e m a t i z e and communicate knowledge about some o r d e r o f phenomena" (Hughes, 1952). I n h i s r o l e as s c i e n t i s t , t h e r e s e a r c h e r undertakes a c t i v i t i e s n o t because they w i l l be o f b e n e f i t t o anyone who may be c o n s i d e r e d h i s c l i e n t b u t because t h e y w i l l r e s u l t i n more knowledge. " S c i e n t i s t s , i n t h e p u r e s t case, do n o t have c l i e n t s " (Hughes, 1952).

I n f u l f i l l i n g h i s r o l e as s c i e n t i s t , t h e i n d i v i d u a l conforms t o the ethos o f modern s c i e n c e , w h i c h , as d e s c r i b e d by Merton (1949), i n v o l v e s t h e f o l l o w i n g f o u r i n s t i t u t i o n a l i m p e r a t i v e s o r c o n s t r a i n t s :

A summary of the psychological characteristics of creative individuals may be found in Stein and Heinze, 1960.

What follows is based on the authorTs study on creativity among industrial research chemists.

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1. Universalism. The source and c l a i m s f o r t r u t h a r e t o be subj e c t e d t o " p r e - e s t a b l i s h e d i m p e r s o n a l c r i t e r i a . "

2. Communism. T h i s r e f e r s t o t h e f a c t t h a t " t h e s u b s t a n t i v e f i n d i n g s o f s c i e n c e are a p r o d u c t o f s o c i a l c o l l a b o r a t i o n and are a s s i g n e d t o t h e community. They c o n s t i t u t e a common h e r i t a g e i n w h i c h t h e e q u i t y o f t h e i n d i v i d u a l p r oducer i s s e v e r e l y l i m i t e d . . . . ( F u r t h e r more) secrecy i s t h e a n t i t h e s i s o f t h i s norm; f u l l and open communication i t s enactment."

3. Disinterestedness. Science demands o b j e c t i v i t y and has no p l a c e f o r t h e p e r s o n a l and s u b j e c t i v e m o t i v a t i o n s o f t h e i n d i v i d u a l .

4. Organised Skepticism. T h i s l a s t i n s t i t u t i o n a l i m p e r a t i v e i n v o l v e s " t h e suspension o f judgment u n t i l 'the f a c t s are a t hand' and t h e detached s c r u t i n y o f b e l i e f s i n terms o f e m p i r i c a l and l o g i c a l c r i t e r i a . . . . "

THE P R O F E S S I O N A L ROLE

O v e r l a p p i n g w i t h t h e s c i e n t i s t r o l e i s t h e p r o f e s s i o n a l r o l e . As a p r o f e s s i o n a l , t h e i n d u s t r i a l r e s e a r c h e r earns h i s l i v e l i h o o d by p r o v i d i n g what Hughes (1952) has c a l l e d " e s o t e r i c s e r v i c e " t o a c l i e n t . The c l i e n t f o r t h e i n d u s t r i a l r e s e a r c h e r i s "the company." By a c c e p t i n g a p o s i t i o n w i t h a company, a r e s e a r c h e r b o t h i m p l i c i t l y and e x p l i c i t l y a c c e p t s t h e t a s k o f w o r k i n g on problems r e l a t e d t o t h e p r o d u c t s t h a t t h e company produces. But t h e company i s n o t o n l y t h e r e s e a r c h e r ' s c l i e n t , i t i s a l s o h i s p a t r o n i n t h a t i t p r o v i d e s him w i t h t h e f i n a n c i a l s e c u r i t y , t h e equipment, t h e p e r s o n n e l , e t c . , t o c a r r y o u t h i s work. I t i s t h i s c l i e n t - p a t r o n r o l e , t h e company v i s a' v i s t h e r e s e a r c h e r , t h a t p u t s c e r t a i n r e s t r a i n t s on t h e f u l f i l l m e n t o f t h e s c i e n t i s t ' s r o l e f o r t h e i n d u s t r i a l r e s e a r c h e r , and i s m a n i f e s t i n t h e f o l l o w i n g :

1. Limited Communism. While t h e s c i e n t i s t r o l e demands t h a t p r o cedures and r e s u l t s s h ould be shared w i t h t h e s c i e n t i f i c f r a t e r n i t y , t h e p r o f e s s i o n a l r o l e demands t h a t t h e y are t o be shared o n l y w i t h c e r t a i n s e l e c t e d i n d i v i d u a l s , whose number may v a r y from none t o many, b u t never o u t s i d e t h e company. To be s u r e , t h i s i s a f u n c t i o n o f t i m e , s i n c e once a company has secured t h e p a t e n t r i g h t s t o a process or p r o d u c t , i t may t h e n p e r m i t i t s employees t o d i s c u s s i t . U n t i l such a t i m e , even papers t o be p r e s e n t e d a t s c i e n t i f i c meetings o f t e n have t o be " c l e a r e d " by t h e company's p a t e n t o f f i c e , t o p r o t e c t t h e company' s i n t e r e s t s .

2. Focused Truth. F o l l o w i n g t h e i n s t i t u t i o n a l i m p e r a t i v e s o f t h e s c i e n t i s t r o l e , t h e i n d i v i d u a l i s f r e e as w e l l as o b l i g a t e d t o pursue t h e problems and unknowns t h a t a r i s e i n t h e course o f h i s work. He need n o t encumber h i m s e l f w i t h t h e a r t i f i c i a l i t i e s o r p r a c t i c a l i t i e s o f t he d i f f e r e n t i a t i o n between pure and a p p l i e d

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r e s e a r c h . I n t h e i n d u s t r i a l system, however, t h e g o a l o f each man's work i s t o be focused on t h e p r o d u c t o r p r o d u c t s t h a t can be produced and s o l d by t h e company t o t h e consumer. Fur t h e r m o r e , t h e b e s t p o s s i b l e p r o d u c t need n o t be developed a t one t i m e , s i n c e t h e r e are always p o s s i b i l i t i e s f o r "new and improved" p r o d u c t s .

3. Selflessness. The r e s e a r c h e r who has many ideas has t o be capable o f y i e l d i n g them t o o t h e r s . T h i s d e c i s i o n i s o f t e n a r r i v e d a t by b o t h t h e a d m i n i s t r a t o r o f r e s e a r c h and t h e r e s e a r c h e r h i m s e l f , a l t h o u g h i t i s p o s s i b l e t h a t t h e a d m i n i s t r a t o r alone may assume such r e s p o n s i b i l i t y . A t such t i m e s , i t i s o f t e n necessary t h a t t h e r e s e a r c h e r w i t h d r a w any s e l f - i n v o l v e m e n t i n h i s i d e a s , even t h o u g h , i f t h e y do n o t work o u t , h i s r e p u t a t i o n may s u f f e r when t h e people t o whom h i s i d e a s a r e ass i g n e d make mi s t a k e s t h a t he m i g h t n o t have made and i n v a l i d a t e h i s i d e a s . The need f o r s e l f l e s s n e s s a l s o e x i s t s when a p r o j e c t o r problem has been completed. A t such t i m e , t h e p r o d u c t s o f a man's l a b o r are s e n t t o t h e p i l o t p l a n t and a d d i t i o n a l a l t e r a t i o n s may be made.

4. Communieat ions with Lay Personnel. The i n d u s t r i a l r e s e a r c h e r , by v i r t u e o f h i s c l i e n t - p a t r o n r e l a t i o n s h i p w i t h n o n s c i e n t i f i c p e r s o n n e l who are i n d e c i s i o n - m a k i n g p o s i t i o n s , must be a b l e t o communicate w i t h them i n n o n t e c h n i c a l terms. Emphasis on t h i s t y p e o f communication may occur e a r l y i n t h e r e s e a r c h p r o c e s s where t h e r e s e a r c h e r needs t o convin c e management o f the v a l u e o f h i s i d e a s , as w e l l as a t t h e end o f t h e r e s e a r c h when h i s e f f o r t s must be condensed i n t o t h e u b i q u i t o u s "one page o r l e s s " so t h a t management can l e a r n whether i t s i n v e s t m e n t has been a wise one.

5. Vested Interest. The p r o f e s s i o n a l r o l e demands t h a t t h e i n d u s t r i a l r e s e a r c h e r be l o y a l t o and m a i n t a i n t h e i n t e r e s t o f h i s company, h i s d i v i s i o n , d epartment, s e c t i o n o r work group. A t s c i e n t i f i c meetings or i n c o n t a c t s w i t h customers, t h e i n d u s t r i a l r e s e a r c h e r i s expected t o s u p p o r t t h e v e s t e d i n t e r e s t o f h i s company. He must keep h i s eyes and ears open t o see how t h e company can be o f g r e a t e r v a l u e t o i t s customers and how i t can m a i n t a i n i t s p o s i t i o n among and/or surpass i t s c o m p e t i t o r s .

THE A D M I N I S T R A T I V E ROLE

The i m p e r a t i v e s o f t h e a d m i n i s t r a t i v e r o l e depend on t h e p r e c i s e s t a t u s and p o s i t i o n o f t h e r e s e a r c h e r i n t h e company h i e r a r c h y . A t t h e l o w e r l e v e l s and when t h e r e s e a r c h e r i s a s u b o r d i n a t e , he has t o be p r e p a r e d t o t a k e on r e s e a r c h assignments from o t h e r s and t o t a k e on p r o j e c t s t h a t a r e n o t n e c e s s a r i l y o f h i s own choosing. As he r i s e s i n t h e a d m i n i s t r a t i v e h i e r a r c h y , he assumes i n c r e a s i n g respons i b i l i t y f o r t h e s e l e c t i o n o f problems t o be i n v e s t i g a t e d , t h e r e c r u i t m e n t o f b o t h s c i e n t i f i c and n o n - t e c h n i c a l s u b o r d i n a t e s . He a l s o assumes i n c r e a s e d r e s p o n s i b i l i t y f o r communicating w i t h manage-

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ment and o t h e r p a r t s o f t h e company. He has t o have t h e f i n a n c i a l know-how t o p a r t i c i p a t e i n t h e development o f t h e budget and be s u f f i c i e n t l y e f f i c i e n t t o keep up w i t h h i s "paper work."

THE E M P L O Y E E ROLE

The f o u r t h r o l e f o r t h e i n d u s t r i a l r e s e a r c h e r i s t h e employee r o l e . I t i s t o be d i s t i n g u i s h e d from t h e t h r e e p r e v i o u s r o l e s i n t h a t their adequate f u l f i l l m e n t adds new i n f o r m a t i o n t o t h e system, w h i l e t h e performance o f t h e employee r o l e p e r t a i n s t o t h e f l o w o f a l r e a d y e x i s t i n g i n f o r m a t i o n and t o t h e maintenance o f t h e system as an ongoing e n t e r p r i s e . The i n d u s t r i a l r e s e a r c h e r shares t h i s r o l e w i t h o t h e r s i n t h e company. Some o f t h e f a c t o r s i n v o l v e d a r e :

1. Consistent Productivity. The man on t h e j o b must produce w i t h some degree o f c o n s i s t e n c y . To be s u r e , i t i s expected t h a t t h e c o n s i s t e n c y w i l l be a f u n c t i o n o f t h e d i f f i c u l t y o f t h e problems t h a t t h e man i s i n v e s t i g a t i n g . But-even on t h e most d i f f i c u l t problems he i s expected t o show p r o g r e s s i n t h e course o f h i s work.

2. Financial Awareness. From t h e p l a n n i n g stage t h r o u g h t h e p r o d u c t i o n s t a g e , r e s e a r c h and development c o s t money. The t i m e i t c o s t s t o s i t and t h i n k i s budgeted and charged f o r l i k e equipment. The r e s e a r c h e r must always be aware o f t h e c o s t s o f h i s a c t i v i t i e s , as w e l l as be concerned w i t h whether o r n o t h i s r e s u l t s w i l l " r i n g t h e cash r e g i s t e r . "

3. Efficiency. Since t i m e , equipment and p e r s o n n e l a r e c o s t l y , t h e i n d u s t r i a l r e s e a r c h chemist i s expected t o be q u i t e e f f i c i e n t i n a l l h i s u n d e r t a k i n g s . The b e s t i d e a and w o r k i n g p r o c e d u r e i s one t h a t r e s u l t s i n a n o v e l p r o d u c t t h a t r e q u i r e s a minimum o f r e t o o l i n g and r e a l l o c a t i o n o f p e r s o n n e l and f u n c t i o n s . Those id e a s which r e q u i r e much s h i f t i n g about o f p e r s o n n e l may g e n e r a t e m orale problems, and those ideas which r e q u i r e t h e e x p e n d i t u r e o f l a r g e amounts o f money may i n v o l v e many groups o f i n d i v i d u a l s i n t h e d e c i s i o n - m a k i n g process who must g i v e t h e i r a p p r o v a l on t h e problem.

4. Accepting Status Position and Adjusting to Authority, While i n h i s r e s e a r c h e f f o r t s t h e i n d u s t r i a l r e s e a r c h e r may be i c o n o c l a s t i c and even d e f i a n t o f a u t h o r i t y — i . e . , e x p l o r e areas i n w h i c h t h e a u t h o r i t i e s i n h i s f i e l d say t h a t c e r t a i n t h i n g s are i m p o s s i b l e — t h e employee r o l e demands t h a t he accept t h e l i m i t a t i o n s and c i r c u m s c r i b e d power as s i g n e d t o h i s s t a t u s p o s i t i o n . He has t o go t h r o u g h channels and work t h r o u g h o t h e r s i n more p o w e r f u l p o s i t i o n s i n o r d e r t o g e t what he wants. I f he i s op e n l y d e f i a n t o f those above him, he may w e l l j e o p a r d i z e h i s p o s i t i o n . He has t o l e a r n t o a d j u s t t o them o r t o g e t around them w i t h o u t t o o f r e q u e n t o r open c o n f l i c t s .

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5. Regularity and Flexibility . A l t h o u g h t h e i n d u s t r i a l r e s e a r c h e r may work i n d e p e n d e n t l y on h i s own r e s e a r c h and s e t h i s own r u l e s i n t h i s a rea, he i s , n e v e r t h e l e s s , p a r t o f a w o r k i n g comm u n i t y , and he must abide by t h e r u l e s and r e g u l a t i o n s t h a t a f f e c t t h e t o t a l w o r k i n g community. He must a t t e n d h i s j o b r e g u l a r l y and be t h e r e f o r t h e p r e s c r i b e d w o r k i n g hours. He may n o t have the o p p o r t u n i t y t o pursue a "hot i d e a " a f t e r " c l o s i n g t i m e , " f o r t o do so may r e q u i r e s p e c i a l p e r m i s s i o n and c l e a r a n c e from t h e s a f e t y engineer and t h e n i g h t watchman. The r e s e a r c h e r i s r e q u i r e d t o keep a c c u r a t e r e c o r d s o f h i s res e a r c h e f f o r t s , because o f p a t e n t o f f i c e r e q u i r e m e n t s , and a l s o f o r c o s t - a c c o u n t i n g purposes, so t h a t t h e t o t a l c o s t o f t h e development o f a p r o d u c t may be c a l c u l a t e d . W i t h i n t h i s emphasis on r e g u l a r i t y t h e r e i s t h e emphasis on f l e x i b i l i t y . The r e s e a r c h man h i m s e l f may come up a g a i n s t a problem on which he r e q u i r e s t h e e f f o r t s o f an o t h e r person, or someone e l s e may come t o him f o r a i d , o r a problem may a r i s e i n p r o d u c t i o n t h a t i n v o l v e s a p r e v i o u s problem o f h i s , and f o r t h e s e and o t h e r i n t e r f e r e n c e s t h e r e s e a r c h e r has t o be i n a p o s i t i o n where he s t o p s what he i s d o i n g f o r a reasonable amount o f t i m e t o h e l p them.

T H E S O C I A L R O L E The s o c i a l r o l e r e f e r s t o t h e b e h a v i o r p a t t e r n s t h a t an i n d i v i d u a l i s e x p e c t e d t o m a n i f e s t i n h i s i n t e r p e r s o n a l r e l a t i o n s h i p s w i t h s u p e r i o r s , c o l l e a g u e s , and s u b o r d i n a t e s . The i n d i v i d u a l ' s s o c i a l r o l e v a r i e s as a f u n c t i o n o f h i s p o s i t i o n i n t h e company's s t a t u s h i e r a r c h y . The h i g h e r t h e s t a t u s p o s i t i o n , t h e more i m m u n i t i e s and p r i v i l e g e s accrue t o him; and he m i g h t even be a b l e t o a l t e r t h e r o l e so t h a t i t i s more congruent w i t h h i s own p e r s o n a l i t y . A t lower l e v e l s i n t h e s t a t u s h i e r a r c h y , however, t h e i n d i v i d u a l may f e e l t h a t i t i s i m p o s s i b l e t o a l t e r t h e r o l e t o s u i t h i s needs.

The s o c i a l r o l e d i f f e r s i n one v e r y c r i t i c a l aspect from t h e r o l e s c o n s i d e r e d p r e v i o u s l y . For t h e s c i e n t i s t , p r o f e s s i o n a l , and employee r o l e s t h e r e are u s u a l l y e i t h e r w r i t t e n o r v e r b a l i z e d codes and r e g u l a t i o n s w i t h which t h e i n d i v i d u a l may a c q u a i n t h i m s e l f . B ut, f o r t h e s o c i a l r o l e t h e p r e s c r i p t i o n s are n o t c o d i f i e d and n o t v e r b a l i z e d . One l e a r n s about them t h r o u g h p e r s o n a l e x p e r i e n c e , or t h e i n d i v i d u a l may be i n f o r m e d about them by c l o s e f r i e n d s . A t times when t h e y are v e r b a l i z e d i n a p r o f e s s i o n a l d i s c u s s i o n t h e y may be d e n i e d , f o r t h e s o c i a l r o l e i n c l u d e s t h e " i r r a t i o n a l " f a c t o r s i n t h e s o c i a l process w i t h w h ich t h e s c i e n t i s t does n o t want t o concern h i m s e l f , e s p e c i a l l y s i n c e he may n o t be t o o adept a t f u l f i l l i n g them. Y e t , f u l f i l l i n g t h e s o c i a l r o l e a d e q u a t e l y i s a p r e r e q u i s i t e f o r e s t a b l i s h i n g smoothly f u n c t i o n i n g communication networks t h a t f a c i l i t a t e s one's work and o f t e n g a i n f o r one t h e opportunity to be creative — a f a c t o r t h a t has o f t e n been o v e r l o o k e d i n r e s e a r c h i n t h i s a r e a .

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The d i s c u s s i o n o f t h e s o c i a l r o l e t h a t f o l l o w s i s n o t i n t e n d e d t o be a l l - i n c l u s i v e , nor does i t a t t e m p t t o account f o r a l l t h e nuances and v a r i a t i o n s t h a t occur as a f u n c t i o n o f t i m e i n t h e company o r s t a t u s p o s i t i o n . Indeed, t h e frame o f r e f e r e n c e f o r t h i s a n a l y s i s i s t h e h y p o t h e t i c a l i n d i v i d u a l who "succeeds" -- i . e . , r i s e s i n t h e a d m i n i s t r a t i v e h i e r a r c h y . While no s i n g l e i n d i v i d u a l may f u l f i l l a l l t h e r e q u i r e m e n t s , t h e more s u c c e s s f u l ones are a b l e t o f u l f i l l most o f them.

The e x p e c t a t i o n s w i t h r e g a r d t o s o c i a l b e h a v i o r a r e :

1. The i n d u s t r i a l r e s e a r c h e r i s t o be a s s e r t i v e w i t h o u t b e i n g h o s t i l e or a g g r e s s i v e .

2. He i s t o be aware o f h i s s u p e r i o r s , c o l l e a g u e s , and s u b o r d i n a t e s as persons; b u t he i s n o t t o g e t t o o i n v o l v e d w i t h them as persons.

3. He may be a l o n e w o l f on t h e j o b ; b u t he i s n o t t o be i s o l a t e d , w i t h d r a w n , o r uncommunicative. I f he i s any o f t h e s e , he had b e s t be c r e a t i v e so t h a t h i s work speaks f o r i t s e l f .

4. On the j o b he i s expected t o be c o n g e n i a l b u t n o t s o c i a b l e .

5. O f f t h e j o b he i s expected t o be s o c i a b l e b u t n o t i n t i m a t e .

6. W i t h s u p e r i o r s he i s expected t o "know h i s p l a c e " w i t h o u t b e i n g t i m i d , obsequious, submissive o r a c q u i e s c e n t .

7. But he i s a l s o expected t o "speak h i s mind" w i t h o u t b e i n g d o m i n e e r i n g .

8. As he t r i e s t o g a i n a p o i n t , more f u n d s , o r more p e r s o n n e l , he can be s u b t l e b u t n o t c u n n i n g .

9. I n a l l r e l a t i o n s h i p s he i s expected t o be s i n c e r e , h o n e s t , p u r p o s e f u l and d i p l o m a t i c , b u t n o t u n w i l l i n g t o accept " s h o r t c u t s , " be i n f l e x i b l e , and M a c h i a v e l l i a n .

10. F i n a l l y , i n t h e i n t e l l e c t u a l area he i s t o be broad w i t h o u t s p r e a d i n g h i m s e l f t h i n , deep w i t h o u t b e i n g p e d a n t i c , and "sharp" w i t h o u t b e i n g o v e r c r i t i c a l .

These, t h e n , a r e t h e f i v e r o l e s o f t h e i n d u s t r i a l r e s e a r c h e r -- t h e s c i e n t i f i c r o l e , t h e p r o f e s s i o n a l r o l e , t h e a d m i n i s t r a t i v e r o l e , t h e employee r o l e and t h e s o c i a l r o l e . While t h e r e s e a r c h e r can b r i n g change and c r e a t i v e p r o d u c t s t o t h e broader s o c i e t y t h r o u g h t h e f u l f i l l m e n t o f t h e s c i e n t i f i c o r p r o f e s s i o n a l r o l e s , he cannot d e v o t e h i m s e l f t o these r o l e s i n a manner t h a t i s c o m p l e t e l y f r e e o f s t r e s s and c o n f l i c t . And, t o t h e degree t h a t s t r e s s o r c o n f l i c t does e x i s t , t o t h a t e x t e n t may h i s c a p a c i t y t o develop change or t o be c r e a t i v e be reduced. S t r e s s o r c o n f l i c t may a r i s e because i t s i m p l y t a k e s

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t i m e and energy t o f u l f i l l t h e d i f f e r e n t r o l e s . The r o l e s , i n some i n s t a n c e s , demand d i f f e r e n t a t t i t u d e s . For example, i n f u l f i l l i n g t h e s c i e n t i f i c r o l e , t h e r e s e a r c h e r i s n o t concerned w i t h s e c r e c y or whether t h e p r o j e c t he i s w o r k i n g on w i l l o r w i l l n o t make money f o r h i s company. But as a p r o f e s s i o n a l , he needs t o be concerned w i t h b o t h . There are o t h e r sources o f p o t e n t i a l s t r e s s . The s o c i a l r o l e , as i n d i c a t e d above, i s r a r e l y made e x p l i c i t , b u t t h e r e s e a r c h e r needs t o l e a r n i t , and he o f t e n does t h r o u g h t r i a l and e r r o r , and i n t h e process makes a v a r i e t y o f m i s t a k e s . He may n o t be w i l l i n g t o unde r t a k e t h e r e s p o n s i b i l i t i e s o f an a d m i n i s t r a t i v e r o l e , b u t he soon l e a r n s t h a t u n l e s s he does, h i s o p p o r t u n i t y t o r i s e i n t h e company and t h e consequent g r e a t e r freedom t o s e l e c t h i s own r e s e a r c h problems ( s h o u l d t h i s i n t e r e s t him) w i l l be l i m i t e d . The r e s e a r c h e r i n our s o c i e t y may a l s o be c o n f l i c t e d i n t h e t i m e and energy he devotes t o t h e d i f f e r e n t r o l e s when he q u e s t i o n s whether b e i n g c r e a t i v e w i l l a l s o l e a d t o success as r e f l e c t e d i n t h e v a l u e s i n t h e broader s o c i e t y . T h i s q u e s t i o n i s a s i g n i f i c a n t one f o r many r e s e a r c h o r g a n i z a t i o n s , and s e v e r a l o f them have c o n s i d e r e d t h e p o s s i b i l i t y o f c o p i n g w i t h t h i s problem by hav i n g "two l a d d e r s " on which one c o u l d r i s e — an a d m i n i s t r a t i v e l a d d e r and a s c i e n t i f i c l a d d e r . Presumably, a man c o u l d make as much money g o i n g up one l a d d e r as he c o u l d g o i n g up anot h e r . The i d e a appears t o be a good one, b u t i t i s n o t y e t i n s t i t u t i o n a l i z e d i n a l l o r even many r e s e a r c h o r g a n i z a t i o n s . The s i g n i f i c a n c e o f t h e problem was a l s o r e f l e c t e d i n o u r s t u d y o f r e s e a r c h e r s i n i n d u s t r y . When we asked how i m p o r t a n t i t was t o i n d e p e n d e n t l y pursue one 1s own i d e a s (a f a c t o r t h a t we r e g a r d as c h a r a c t e r i s t i c o f b o t h s c i e n t i f i c and p r o f e s s i o n a l r o l e s ) i f one wanted t o be s u c c e s s f u l and i f one wanted t o be c r e a t i v e , we l e a r n e d t h a t i t was reg a r d e d as much more i m p o r t a n t f o r c r e a t i v i t y t h a n f o r success. Presumably, independence may r e s u l t i n new i d e a s , p r o d u c t s and processes, b u t i t may n o t l e a d t o success i n t h e o r g a n i z a t i o n . We a l s o asked t h e r e s e a r c h e r s how i m p o r t a n t i t was t o know " t h e r i g h t people" i n t h e o r g a n i z a t i o n , f o r success and f o r c r e a t i v i t y . Our r e s e a r c h e r s , as w e l l as t h e i r t o p l e v e l s u p e r i o r s , agrered t h a t knowing t h e r i g h t people was one o f t h e l e a s t i m p o r t a n t f a c t o r s f o r c r e a t i v i t y . And our r e s e a r c h e r s , b u t n o t t h e i r s u p e r i o r s , a l s o agreed t h a t i t was r a t h e r i m p o r t a n t t o know t h e r i g h t people i f one wanted t o be s u c c e s s f u l . These are o n l y some o f the sources o f c o n f l i c t t h a t m i g h t c u r t a i l t h e e f f o r t s o f t h e r e s e a r c h e r as a change agen t . But sh o u l d he prove t o be competent i n f u l f i l l i n g h i s s c i e n t i f i c and p r o f e s s i o n a l r o l e s , and sh o u l d he be i n an o r g a n i z a t i o n where h i s own v a l u e s are congruent w i t h h i s s u p e r i o r ' s , t h e n n o t o n l y w i l l he g a i n t h e o p p o r t u n i t y t o m a n i f e s t h i s c r e a t i v i t y , b u t he w i l l a l s o be w e l l s u p p o r t e d t h r o u g h a v a r i e t y o f endeavors.

Thus, w h i l e some o r g a n i z a t i o n s i n a s o c i e t y may t r y t o achieve and d e v e l o p change, t h e v e r y s t r u c t u r e o f these o r g a n i z a t i o n s may be such as t o r e q u i r e i n d i v i d u a l s w i t h i n them t o f u l f i l l a v a r i e t y o f r o l e s , t h e c o m p l e x i t y o f which m i g h t i n t e r f e r e w i t h t h e e f f e c t i v e f u l f i l l m e n t o f t h e i r d e s i r e s and r e s p o n s i b i l i t i e s .

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Research o r g a n i z a t i o n s are c e r t a i n l y n o t c h a r a c t e r i s t i c o f newly d e v e l o p i n g c o u n t r i e s on whom our a t t e n t i o n i s focused a t t h i s conf e r e n c e . Nevertheless., t h e example o f r o l e a n a l y s i s p r e s e n t e d above m i g h t w e l l be u t i l i z e d i n s t u d y i n g t h e change agents i n these s o c i e t i e s , t o remove some o f t h e sources o f c o n f l i c t so t h a t t h e y m i g h t be b e t t e r a b l e t o f u l f i l l t h e i r g o a l s .

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Part III: The Intermediaries

I f we assume t h a t c r e a t i v i t y i s a process t h a t extends from t h e c r e a t i v e i n d i v i d u a l t o t h e p u b l i c o r audience, then we must a l s o c o n s i d e r t h e f u n c t i o n s o f t h e i n t e r m e d i a r i e s who f u l f i l l i m p o r t a n t f u n c t i o n s between t h e two end p o i n t s . These i n d i v i d u a l s p r o v i d e t h e c r e a t i v e person w i t h e i t h e r e m o t i o n a l o r f i n a n c i a l s u p p o r t , o r t h e y p l a y t h e r o l e o f e v a l u a t o r s f o r t h e p u b l i c . I n t h e i r l a t t e r r o l e , a l t h o u g h t h e i r c r i t e r i a o f e v a l u a t i o n a r e n o t always c l e a r l y s t a t e d , t h e y are n e v e r t h e l e s s i n v e s t e d w i t h i m p o r t a n t d e c i s i o n making f u n c t i o n s f o r t h e s o c i e t y . W i t h o u t t h e i r a p p r o v a l , newly developed p r o d u c t s , processes or ideas may n o t be accepted by t h e s o c i e t y a t l a r g e .

Among t h e i n t e r m e d i a r i e s are t h e f o l l o w i n g :

THE "PSVCHE" G R O U P

The "psyche" group i s an i n f o r m a l group o f i n d i v i d u a l s t h a t g a t h e r s around, o r i s sought o u t by, t h e c r e a t i v e i n d i v i d u a l . I t may be bound by e m o t i o n a l o r p r o f e s s i o n a l t i e s t o t h e c r e a t i v e p erson. I t s s i g n i f i c a n c e l i e s i n t h e f a c t t h a t t h e c r e a t i v e person f e e l s f r e e t o go t o t h e group i n v a r i o u s stages o f t h e c r e a t i v e process f o r a d v i c e , c r i t i c i s m , c l a r i f i c a t i o n o r even f o r t h e t e s t i n g o f some o f h i s i d e a s . D i s c u s s i o n s w i t h i n t h i s group may be one o f t h e e a r l y m a n i f e s t a t i o n s t h a t new i d e a s are d e v e l o p i n g o r t h a t s t i l l newer ones are y e t t o come.

The s i z e o f t h i s group may v a r y from one t o s e v e r a l persons. An example o f a s m a l l e r group i s t h e r e l a t i o n s h i p between Freud and F l i e s s . I n t h e e a r l y days o f h i s work, Freud found t h i s r e l a t i o n s h i p p a r t i c u l a r l y i m p o r t a n t . One day Freud w r o t e him " . . . I f e e l v e r y i s o l a t e d , s c i e n t i f i c a l l y b l u n t e d , s t a g n a n t and r e s i g n e d . When I t a l k e d t o you, and saw t h a t you t h o u g h t something o f me, I a c t u a l l y s t a r t e d t h i n k i n g something o f m y s e l f , and t h e p i c t u r e o f c o n f i d e n t energy which you o f f e r e d was n o t w i t h o u t i t s e f f e e t . . . . f o r y e a r s now I have been w i t h o u t anyone who c o u l d t e a c h me a n y t h i n g and have s e t t l e d down more or l e s s e x c l u s i v e l y t o t h e t r e a t m e n t o f t h e neuroses" (Bonaparte, M a r i e , et al., 1954).

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A p a r t i c u l a r l y f r u i t f u l example o f a l a r g e r "psyche" group can be found i n t h e c o l l e c t i o n o f a r t i s t s who formed around D i a g h i l e v i n t h e e a r l y n i n e t e e n t h c e n t u r y . Dancers, p a i n t e r s , m u s i c i a n s , w r i t e r s , many o f whom l a t e r became fo r e m o s t i n t h e i r f i e l d s , h e l p e d and s t i m u l a t e d each o t h e r i n t h e f a c e o f a s k e p t i c a l p u b l i c .

THE PATRON A second t y p e o f i n t e r m e d i a r y i s t h e patron, who g e n e r a l l y p r o v i d e s t h e c r e a t i v e i n d i v i d u a l w i t h o p p o r t u n i t y f o r c r e a t i v i t y by r e l i e v i n g him o f f i n a n c i a l concerns. The p a t r o n may g i v e t h e c r e a t i v e i n d i v i d u a l complete freedom t o do what he wants t o do, b u t on o t h e r o c c a s i o n s he may s e t l i m i t s on what he w i l l a c c e p t o r r e j e c t , o r make o t h e r p e r s o n a l demands.

T H E E N T R E P R E N E U R

A t h i r d t y p e o f i n t e r m e d i a r y i s t h e entrepreneur. He may be t h e r e s e a r c h e r ' s employer i n an i n d u s t r i a l r e s e a r c h o r g a n i z a t i o n who develops e x p e c t a t i o n s t h a t we have p r e v i o u s l y d i s c u s s e d i n terms o f r o l e s . But he may a l s o be one o r a member o f a group o f i n d i v i d u a l s who p r o v i d e t h e c a p i t a l t o "back" t h e development o f an i d e a o r p r o d u c t . P o s i t i v e d e c i s i o n s f r o m such groups have no doubt r e s u l t e d i n many t h i n g s we e n j o y t o d a y , and w h i l e t h e i r n e g a t i v e d e c i s i o n s may have e l i m i n a t e d many c r a c k p o t i d e a s , t h e y may a l s o have s t i f l e d new developments because t h e e n t r e p r e n e u r s were n o t f a r - s e e i n g . Thus, "though Hooke i n v e n t e d t h e s p r i n g b a l a n c e , w h ich was designed and i n f a c t d e s t i n e d t o be t h e b a s i s o f a marine ti m e k e e p e r , he l o s t i n t e r e s t i n t h e m a t t e r a f t e r t h e f a i l u r e o f h i s a t t e m p t t o form a s y n d i c a t e t o e x p l o i t t h e i n v e n t i o n , and never h i m s e l f c o n s t r u c t e d a t i m e p i e c e i n v o l v i n g t h a t d e v i c e " (Usher, 1954). A more happy i n s t a n c e was t h e experiment o f Dr. F r i t z Z e r n i k e , 1953 Nobel P r i z e w i n n e r i n p h y s i c s , who had d i f f i c u l t i e s g a i n i n g s u p p o r t f o r h i s phase c o n t r a s t microscope. "When Dr. Z e r n i k e t o o k h i s i n v e n t i o n t o t h e g r e a t C a r l Zeiss Works a t Jena, Germany, i n 1932, he was t o l d : ' I t i s i m p r a c t i c a l , and i f i t were n o t , we would have p r o duced i t a l r e a d y . 1 But when U.S. t r o o p s reached Jena i n 1945 t h e y found m i c r o p i c t u r e s t a k e n w i t h Dr. Z e r n i k e ' s system. Since t h e n i t has been adopted by l a b o r a t o r i e s a l l over t h e w o r l d " (Time Magazine, 1953).

Not a l l t h e problems between t h e c r e a t i v e i n d i v i d u a l and t h e e n t r e p r e n e u r i a l i n t e r m e d i a r y r e s u l t from t h e l a c k o f v i s i o n o f t h e e n t r e p r e n e u r . Some o f i t , o f c o u r s e , stems from t h e inad e q u a t e b u s i n e s s sense o f t h e c r e a t i v e i n d i v i d u a l . I n a survey conducted by Rossman (1931), p a t e n t a t t o r n e y s n o t e d t h e f r e q u e n t l a c k o f bu s i n e s s a b i l i t y i n i n v e n t o r s , w h i l e t h e i n v e n t o r s themselves had s t r e s s e d t h e impo r t a n c e o f bu s i n e s s sense f o r success.

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THE S A L E S M A N

Another t y p e o f e n t r e p r e n e u r i s the e n t e r p r i s i n g salesman. Once he acc e p t s t h e i d e a o r p r o d u c t , he promotes w i t h g a i n t o h i m s e l f and t h e c r e a t i v e i n d i v i d u a l , b u t i n t h e proces s he i s an i m p o r t a n t change agent. A good example o f t h i s i n t h e a r t w o r l d i s Duveen whose e f f o r t s have been d e s c r i b e d as f o l l o w s :

P r o b a b l y never b e f o r e had a merchant b r o u g h t t o such e x q u i s i t e p e r f e c t i o n t h e large-minded a r t o f c a s t i n g bread upon t h e w a t e r s . There was almost n o t h i n g Duveen w o u l d n f t do f o r h i s i m p o r t a n t c l i e n t s . Immensely r i c h Americans, shy and s u s p i c i o u s o f c a s u a l c o n t a c t s because o f t h e i r w e a l t h , o f t e n d i d n ' t know where t o go o r what t o do w i t h themselves when t h e y were abroad. Duveen p r o v i d e d e n t r e e t o t h e g r e a t c o u n t r y homes o f t h e n o b i l i t y ; t h e c o i n c i d e n c e t h a t t h e i r n o b l e owners o f t e n had a n c e s t r a l p o r t r a i t s t o s e l l d i d n o t d e t e r Duveen. He a l s o wangled h o t e l accommodations and passage on s o l d - o u t s h i p s . He g o t h i s c l i e n t s houses, o r he p r o v i d e d a r c h i t e c t s t o b u i l d them houses, and t h e n saw t o i t t h a t t h e a r c h i t e c t s planned t h e i n t e r i o r s w i t h w a l l space t h a t demanded p l e n t y o f p i c t u r e s . He even s e l e c t e d b r i d e s o r bridegrooms f o r some o f h i s c l i e n t s , and p r e s i d e d o v e r t h e weddings w i t h a v u n c u l a r benevolence. These s e l e c t i o n s had t o meet t h e same r e f i n e d s t a n d a r d t h a t g overned h i s c h o i c e o f houses f o r h i s c l i e n t s — a p o t e n t i a l r e c e p t i v i t y t o expensive a r t (Behrman, 1951) .

THE SPECIALISTS ANV AUTHORITIES

The f o u r t h group o f i n t e r m e d i a r i e s a r e t h e p r o f e s s i o n a l and s c i e n t i f i c s o c i e t i e s whose members serve as specialists and authorities. These s o c i e t i e s p r o v i d e a h e a r i n g ground f o r new i d e a s , some o f w h i c h t h e y r e i n f o r c e , and f o r o t h e r s t h e y p u t up many o b s t a c l e s . For example, i n t h e h i s t o r y o f me d i c i n e we f i n d t h e f o l l o w i n g :

V e s a l i u s was a t t a c k e d by h i s co n t e m p o r a r i e s because he c h a l l e n g e d t h e a u t h o r i t y o f Galen on human anatomy. He was c a l l e d a madman, and h i s r e s o r t t o d i s s e c t i o n t o a c q u i r e knowledge was l a b e l e d i m p i o u s . Harvey met w i t h o p p o s i t i o n o f t h e same s o r t , and on t h e same grounds, w i t h t h e p u b l i c a t i o n o f h i s resea r c h e s upon t h e c i r c u l a t i o n o f t h e b l o o d . A t l e a s t t w e n t y a u t h o r i t i e s upon anatomy c h a l l e n g e d h i s views i n p r i n t , and many o t h e r s i g n o r e d h i s d i s c o v e r i e s or abused him p e r s o n a l l y . L i s t e r ' s i n s i s t e n c e t h a t a n t i s e p s i s would p r e v e n t s u p p u r a t i o n o f wounds provoked a t t a c k s from many q u a r t e r s , and f o r s e v e r a l reasons; b u t t h e r e a l l y damaging c o n t e n t i o n s were t h o s e o f m e d i c a l a u t h o r i t i e s , l i k e James Simpson and James M o r t o n , who e i t h e r d e n i e d h i s method any o r i g i n a l i t y , b e l i t t l e d i t s e f f e c t s , o r advocated some o t h e r causes f o r

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t h e good r e s u l t s t h a t he was a b l e t o demonstrate. When Semmelweis announced h i s t h e o r y t h a t p u e r p e r a l f e v e r was a c o n t a g i o u s d i s e a s e and was n o t due t o any s u p e r n a t u r a l i n f l u e n c e s , he, was v i o l e n t l y a s s a i l e d by members o f t h e m e d i c a l p r o f e s s i o n and e x p e r t s i n r e l a t e d f i e l d s . V i rchow i g n o r e d him w i t h p o n t i f i c a l d i s d a i n . Others f e l l upon him w i t h r i d i c u l e , m i s r e p r e s e n t a t i o n , and p e r s o n a l v i l i f i c a t i o n ( B a r n e t t , 1953) .1

Newton a l s o had h i s problems w i t h t h e " a u t h o r i t i e s . " A l t h o u g h t h e Royal S o c i e t y accepted h i s t e l e s c o p e , i t was n o t as r e c e p t i v e t o t h e paper s p e l l i n g o u t t h e work on which i t s d i s c o v e r y was based. "The paper (on o p t i c s ) touched o f f a storm — n o t because t h e ex p e r i m e n t s were n o t a c c u r a t e and t h e c o n c l u s i o n s drawn from them i n d i s p u t a b l e , b u t because h i s f i n d i n g s d i d n o t square w i t h c e r t a i n t h e o r i e s t h e n h e l d . So many v o i c e s were r a i s e d i n c o m p l a i n t t h a t Newton f i n a l l y e x c l a i m e d i n d i s g u s t , f I see a man must e i t h e r r e s o l v e t o p u t o u t n o t h i n g new, o r become a s l a v e t o defend i t . ' From t h a t t i m e f o r ward he was more r e l u c t a n t t h a n ever t o make h i s d i s c o v e r i e s known" ( S t r o t h e r , 1955) .2

THE C R I T I C S A f i f t h group o f i n t e r m e d i a r i e s a r e t h e critics. Among them a r e t h e book r e v i e w e r s , t h e a r t c r i t i c s , t h e e d i t o r s o f j o u r n a l s o r magaz i n e s , t h e c u r a t o r s o f museums, e t c . These i n d i v i d u a l s need n o t have demonstrated t h e c a p a c i t i e s o r a b i l i t i e s t o do what t h e y a r e e v a l u a t i n g ( t h i s i s what d i f f e r e n t i a t e s them from t h e s p e c i a l i s t s o r a u t h o r i t i e s ) . The c r i t i c need n o t be an a u t h o r , a dancer, a w r i t e r , e t c . B u t, due t o o t h e r a b i l i t i e s , he i s chosen t o "pass" on new developments and t o " t e l l " t h e p u b l i c what h i s e v a l u a t i o n i s . The c r i t i c ' s e v a l u a t i o n may c l o s e o f f c o n t a c t between t h e c r e a t i v e i n d i v i d u a l and t h e p u b l i c o r t h e y may i n c r e a s e c o n t a c t depending on t h e n a t u r e o f t h e e v a l u a t i o n . C r i t i c s may a l s o p l a y s i g n i f i c a n t r o l e s i n d e c i d i n g what i s or i s n o t c r e a t i v e , and s i n c e t h e r e a r e no a b s o l u t e c r i t e r i a , e v a l u a t i o n s may change as a f u n c t i o n o f t i m e .

It should also be noted that some of the conflicts might also have been attributed to the personalities of the creative individuals (Barnett, 1953) .

Strother makes the following comment about Newton's PRINCIPIA which may well be related to experiences such as those described above: "Even mathematicians found the book difficult to read, not only because the problems dealt with are difficult, but because Newton purposely made it tough so that he wouldn't be bothered by 'little smatterers in mathematics'" (Strother, 1955).

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Barzun a r r i v e s a t " t h e s t r a n g e c o n c l u s i o n t h a t g r e a t c r e a t i o n s a r e made such a f t e r t h e f a c t , by a r e t r o a c t i v e decree o f t h e human s p i r i t . As t h e L o r d looked back upon His c r e a t i o n and saw t h a t i t was good, so among m o r t a l s a p r o v i d e n t i a l c r i t i c coming a f t e r a l o n g e r o r s h o r t e r t i m e , f a l l s i n l o v e w i t h .a c e r t a i n work and persuades t h e heedless t h r o n g t o l o o k back and s t a r e . U n t i l t h e n t h e c r e a t i o n l a c k s t h e v e r y q u a l i t i e s t h a t l a t e r make i t unique and w o n d e r f u l . A hundred y e a r s ago, a l l t h e m e r i t s o f Moby Dick were d e f e c t s , and M e l v i l l e was a b u n g l e r . And i n t h i s c e n t e n n i a l year o f homage t o Whitman, we f i n d i t h a r d t o acknowledge t h a t Leaves of Grass was t h e n an obscure and obscene o d d i t y " (Barzun, 1955).

There are no doubt o t h e r i n t e r m e d i a r i e s , b u t l e t these s u f f i c e as examples o f groups t h a t m i g h t be l o o k e d a t f u r t h e r i f one i s t o g a i n a b e t t e r u n d e r s t a n d i n g o f t h e c r e a t i v e process and t h e f a c t o r s i n v o l v e d i n change.

19'4

Part IV: A Case Study1

The p r e v i o u s p a r t s o f t h i s paper have concerned themselves p r i m a r i l y w i t h change b r o u g h t about t h r o u g h t h e c r e a t i v e p r o c e s s . I n t h i s p a r t o f t h e paper, we t u r n t o another k i n d o f change. I t i n v o l v e s change t h a t was b r o u g h t about by members o f a community i n Colombia, South America, by p a r t i c i p a t i n g i n a process o f Community Development. I n t h i s p r o c e s s , two Peace Corps v o l u n t e e r s p l a y e d i m p o r t a n t r o l e s .

To f a c i l i t a t e u n d e r s t a n d i n g o f what f o l l o w s , i t should be p o i n t e d o u t t h a t Community Development, i n t h i s i n s t a n c e , i n v o l v e d t h e o r g a n i z a t i o n o f community juntas (or c o u n c i l s ) a t which community hopes and problems were d i s c u s s e d . From these d i s c u s s i o n s , p l a n s would be developed t o s o l v e t h e problems and t o come c l o s e r t o t h e hopes. The people i n t h e community n o t o n l y planned t h e a c t i v i t i e s , b u t a c t u a l l y c a r r i e d o u t t h e work i n teams which were g e n e r a l l y c a l l e d minga's.

Two v o l u n t e e r s worked i n t h e community t o g e t h e r w i t h t h e i r Colombian c o u n t e r - p a r t who was c a l l e d a promotor. I t s h o u l d a l s o be p o i n t e d o u t t h a t t h e term "community" i s used here i n t h e c o l l e c t i v e sense r e f e r r i n g t o t h e number o f veredas ( o u t l y i n g v i l l a g e s ) t h a t are p a r t o f a municipio (town o r county s e a t ) . The Community Development program r e f e r r e d t o i n t h i s s e c t i o n was known as Accion Comunal.

Before p r e s e n t i n g t h i s community, one sh o u l d be fo r e w a r n e d t h a t t h i s is a success s t o r y . There i s no t e l l i n g how many more such s t o r i e s w i l l be f o r t h c o m i n g from t h e Peace Corps v o l u n t e e r s c u r r e n t l y w o r k i n g

This case study is part of a larger work by the author entitled VOLUNTEERS FOR PEACE, New York: Wiley (in press), and is reproduced with permission* The case study is devoted to the first group of Peace Corps volunteers assigned to Colombia, South America. Information about this community was obtained while the author was gathering data with the aid of Colombian interviewers about the attitudes of a sample of Colombian villagers toward the Peace Corps* The above presentation is based on one of the interviewer's reports as well as the report of the two volunteers who worked in the community. The study of Colombians' attitudes was supported by a research grant from the National Institutes of Mental Health (MH-09188-01).

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i n Colombia, o r whether t h e r e w i l l be any more. We do know t h a t t h i s was one o f t h e b e s t d e m o n s t r a t i o n s o f what c o u l d happen. A l t h o u g h i t i s n o t a t y p i c a l s i t u a t i o n , and indeed t h e r e were s i t u a t i o n s i n which t h e v o l u n t e e r s c o u l d a c c o m p l i s h almost n o t h i n g , i t i s w e l l t o t e l l t h i s s t o r y because i t r e f l e c t s what t h e p o s s i b i l i t i e s o f Community Development a r e ; i t i n d i c a t e s how a community i t s e l f can h e l p b r i n g about change, and i t i n d i c a t e s how a group o f young Peace Corps v o l u n t e e r s can p a r t i c i p a t e i n such change.

The community I s h a l l p r e s e n t i s i n t h e n o r t h - c e n t r a l p a r t o f Colombia. I t has 14 veredas and a p o p u l a t i o n o f 6,000 people. I t has one main road t h a t goes t h r o u g h s e v e r a l v i l l a g e s and a bus t h a t makes i t s d a i l y t o u r t h r o u g h t h e v i l l a g e s . O u t s ide o f t h e municipio t h e v i l l a g e s are q u i t e d i s p e r s e d , and communication between them i s by means o f w i n d i n g d i r t roads. The p r i n c i p a l o c c u p a t i o n o f t h e community i s t h e c u l t i v a t i o n o f hemp. For t h e i r own needs they a l s o c u l t i v a t e yucca, c o r n , bananas, s t r i n g beans, curubas ( t a s t y , sweet f r u i t ) , and, i n a few cases, b a r l e y and wheat.

The l a n d i n many i n s t a n c e s i s eroded and inadequate f o r c u l t i v a t i o n . I n t h i s community t h e r e are no major e s t a t e s b u t p r i m a r i l y s m a l l l a n d p a r c e l s and farms o f between f i v e and 20 hectares.2 There are l a r g e areas o f i n f e r t i l e l a n d t h a t had been c u l t i v a t e d i n a t r a d i t i o n a l manner, i n which l i t t l e a t t e n t i o n had been p a i d t o p r o t e c t i n g and m a i n t a i n i n g t h e l a n d . A p p r o x i m a t e l y 30 k i l o m e t e r s from t h e municipio t h e r e i s a s e c t i o n o f l a n d which c o u l d be devoted t o g r o w i n g tobacco. I t had t o be abandoned because t h e r e i s no r o a d and because t h e r e were o u t b r e a k s o f v i o l e n c e i n t h i s area. W i t h a l l t h i s , t h i s tobacco area s t i l l has n a t u r a l resources t o be developed, and t h e people are v e r y much concerned w i t h opening roads t o i t . .

The p e o p l e o f t h e area are p r i m a r i l y mestizo (mixed breeds) and, i n g e n e r a l , have been s u b j e c t t o t h e v a c i l l a t i o n s and whims o f l o c a l and e x t e r n a l p o l i t i c a l l e a d e r s . The community has been t h r e a t e n e d w i t h d i s i n t e g r a t i o n due t o t h e b a t t l e s between t h e p o l i t i c a l f a c t i o n s i n which people, p o l i t i c i a n s , and p r i e s t s p a r t i c i p a t e d . The p o l i t i c a l c o n f l i c t has sowed t h e seeds o f h a t e , revenge, l a c k o f r e s p e c t , d i s s a t i s f a c t i o n , i n s e c u r i t y , doubt, d i s t r u s t and m a l i c e , n o t o n l y among t h e t o w n s f o l k i n t h e municipio b u t a l s o among t h e v i l l a g e r s and peasants i n t h e s u r r o u n d i n g area.

Some t i m e ago t h e r e d i d e x i s t a k i n d o f Community Development p r o gram i n t h e area. I t was u s e f u l b u t i t d i d n o t g e t v e r y far'because o f t h e p o l i t i c a l c o n f l i c t .

A hectare is 2.471 acres.

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The people do n o t r e c a l l t h a t any p r i e s t s coming t o t h e area from 1955 t o about 1960 were i n t e r e s t e d i n h e l p i n g m a t e r i a l l y o r i n p r o m o t i n g community p r o g r e s s even f o r t h e v e r y b a s i c needs o f t h e community. One p r i e s t had come who l a i d some o f t h e f o u n d a t i o n s f o r Community Development b u t , due t o a s e r i e s o f b o t h i n t e r n a l and e x t e r n a l f a c t o r s , h i s program d i d n o t g e t o f f t h e ground and n o t h i n g was accomplished. He was f o l l o w e d by a n o t h e r p r i e s t who d i d l i t t l e o r n o t h i n g f o r t h e community.

I n 1960, a new p r i e s t a r r i v e d who was d e c i s i v e i n g e t t i n g t h i n g s g o i n g . He was a dynamic o r g a n i z e r , o p t i m i s t i c and p r a c t i c a l , who u n d e r s t o o d Community Development. A c c o r d i n g t o t h e i n t e r v i e w e r , he was a community l e a d e r and " n o t o n l y a V i c a r o f C h r i s t . " He knew what b o t h e r e d t h e people and what b r o u g h t them happiness. He t r i e d t o u n d e r s t a n d and analyze t h e community's socio-economic problems.

He began t o p u t i n t o p r a c t i c e what he c a l l e d t h e " s o c i a l f u n c t i o n o f t h e Church." He d i d n o t spend much t i m e i n h i s home, b u t f r e q u e n t l y v i s i t e d t h e v i l l a g e s , g e t t i n g accustomed t o t h e atmosphere o f t h e humble d w e l l i n g s , b r i n g i n g s p i r i t u a l a i d and, on many o c c a s i o n s , w o r k i n g w i t h t h e people. The people admired him.

Wi t h t h i s base o f good f e e l i n g , t h e p r i e s t p l anned a s m a l l work program. The people wanted t o t a k e on as t h e i r f i r s t j o b r e p a i r i n g t h e c h u r c h r o o f a t a c o s t o f 30,000 pesos, b u t t h e p r i e s t s a i d , " T h is i s a poor community. We cannot make such an i n v e s t m e n t . I f t h e c h u r c h f a l l s down we w i l l c e l e b r a t e Mass i n my house, and i f t h a t i s n o t p o s s i b l e , t h e n o u t d o o r s . "

I n i t i a l l y , t h e people d i d n o t agree, b u t t h e y l a t e r accepted t h e p r i e s t ' s d e t e r m i n a t i o n , and t h e program he developed had t h e f o l l o w i n g g o a l s : To o r g a n i z e a Community Development program so t h a t t h e people would n o t be pawns i n t h e hands o f t h e p o l i t i c i a n s ; t o cons t r u c t a h e a l t h c e n t e r and sc h o o l s t o p r o v i d e b a s i c m e d i c a l c a r e and e d u c a t i o n f o r t h e peasants; t o o r g a n i z e a c o o p e r a t i v e s a v i n g s and l o a n a s s o c i a t i o n ; t o ask f o r a i d from l o c a l , d e p a r t m e n t a l and n a t i o n a l governments; t o ask f o r t h e c o o p e r a t i o n o f American groups — t h e A l l i a n c e f o r P r o g r e s s , CARE, CARITAS, and e s p e c i a l l y t h e Peace Corps; t o b r i n g i n t o t h e community p r o f e s s i o n a l r e s o u r c e s such as a pvomotov, a d o c t o r , a d e n t i s t , a nurse and a home economist; t o promote u n i f i c a t i o n o f t h e community.

About s i x months a f t e r t h i s p r i e s t a r r i v e d i n t h e community, he o b t a i n e d t h e s e r v i c e s o f an a g r i c u l t u r a l e x p e r t t o h e l p him. T h i s man was d e s c r i b e d by one o f t h e v o l u n t e e r s as an i n t e l l i g e n t , humble, d e d i c a t e d i n d i v i d u a l w i t h o u t s t r o n g p o l i t i c a l a t t i t u d e s , b u t w i t h a s t r o n g f e e l i n g f o r t h e p e o p l e . He s t a y e d i n t h e community f o r about a y e a r , and l e f t h i s mark on i t by f o s t e r i n g t h e g r o w t h o f Community Development programs.

B e f o r e t h e v o l u n t e e r s a r r i v e d i n t h i s s i t e , t h e p r i e s t had a l r e a d y o r g a n i z e d s e v e r a l juntas. A l t h o u g h t h e y were n o t v e r y e f f e c t i v e

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and were l a t e r r e o r g a n i z e d by the v o l u n t e e r s , t h e y were a demons t r a t i o n o f t h e people's i n t e r e s t i n p r o g r e s s . E s s e n t i a l l y , when the v o l u n t e e r s had a r r i v e d , t h e r e was something o f a b a s i s f o r t h e i r work.

The p r i e s t l e f t t h e community two months a f t e r t h e v o l u n t e e r s a r r i v e d . One s t o r y has i t t h a t h i s dynamic q u a l i t y , f o r c e f u l n e s s and p o l i t i c a l , i n v o l v e m e n t had r e s u l t e d i n s e r i o u s p o l i t i c a l d i v i s i o n s i n t he comm u n i t y . I t was a l s o r e p o r t e d t h a t t h e a g r i c u l t u r a l e x p e r t a l s o l e f t t h e community because o f p o l i t i c a l d i f f e r e n c e s w i t h t h e p r i e s t . The p r i e s t was r e p l a c e d by anot h e r p r i e s t who was more n e u t r a l i n h i s p o l i t i c a l a t t i t u d e s , and i t became p o s s i b l e t o r e p a i r some o f t h e i l l - w i l l t h a t e x i s t e d and t o g e t on w i t h Community Development programs.

The two v o l u n t e e r s i n t h i s community are b e s t d e s c r i b e d i n t h e terms used by t h e people themselves. V o l u n t e e r I , t h e y s a i d , s t u d i e d the community's problems, i t s n a t u r a l and human r e s o u r c e s . He was a l i t t l e s e r i o u s , e n t e r p r i s i n g , v e r y n i c e and f i r m i n h i s d e c i s i o n s . The second v o l u n t e e r was d e s c r i b e d as more o f a r o m a n t i c , a d i p l o m a t , who had g r e a t f a c i l i t y w i t h people and a c a p a c i t y t o e s t a b l i s h n a t u r a l and modest s o c i a l r e l a t i o n s h i p s . He was t h e k i n d o f person who laughed w h i l e he worked and c o n s e q u e n t l y always k e p t t h e people happy. T n e c o m b i n a t i o n o f these two v o l u n t e e r s was d e s c r i b e d by the i n t e r v i e w e r as c r i t i c a l t o t h e success o f t h e program; one b r o u g h t i n t e l l e c t u a l know-how, and t h e o t h e r knew how t o c o n v e r t ideas - i n t o p r a c t i c e .

The v o l u n t e e r s ' a c t i v i t i e s i n t h i s area were q u i t e d i v e r s i f i e d and f r e q u e n t l y q u i t e i n t e n s e , as r e f l e c t e d by t h e f o l l o w i n g e x c e r p t s from t h e i r d a i l y l o g f o r 1962.

A p r i l 24 Saw t h e r e g i o n a l pvomotov, he gave us some scho o l s u p p l i e s . Went t o t h e model farm r u n by t h e S e c r e t a r y o f A g r i c u l t u r e and bought t h r e e r a b b i t s f o r t h e r a b b i t h u t c h . Then l e f t f o r S.G.I Had t o spend t h e n i g h t t h e r e ; missed l a s t bus.

A p r i l 25 Saw our z o n a l a g r i c u l t u r a l s p e c i a l i s t s about a p l a n f o r r e f o r e s t r a t i o n . Caught f i r s t bus t o S.J. (home base) and a r r i v e d l a t e i n t h e a f t e r n o o n .

Names of places are indicated only by initials to maintain their anonymity.

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A p r i l 26 Spent day t y p i n g up f i v e c o p i e s o f r e q u e s t f o r s c h o o l . Washed horses and changed t h e i r p a s t u r e ground. Began o r g a n i z i n g E n g l i s h c l a s s e s .

A p r i l . 27 Went t o vereda S.B. w i t h padre and promotor * Had an Acaion Comunal meeting w i t h 50 people. They wanted a s c h o o l . Walked t o vereda and back 8 kms.l

A p r i l 28 Spent day w i t h man from Servioio Cooperative Inter amerioano . Took him around town g e t t i n g ' p r i c e s f o r m a t e r i a l s f o r h e a l t h c e n t e r t h a t i s t o be b u i l t .

A p r i l 29 A f t e r Mass had meet i n g w i t h people. Covered program f o r h e a l t h c e n t e r . We t h e n walked t o vereda P. and met w i t h p e o p l e . S i x t y p eople a t t e n d e d . Walked b o t h ways 10 kms.

A p r i l 30 Spent t h e day h e l p i n g one o f t h e women b u i l d f u r n i t u r e from fique (hemp p l a n t ) . Gave her a few c o n s t r u c t i o n h i n t s .

May 1 V i s i t e d vereda S.C. t o check and see how t h e work on t h e s c h o o l was coming a l o n g . Four thousand b r i c k s made t o da t e . Decided t o t a k e t h e b r i c k - m a k i n g machines f o r r e p a i r s . Worked w i t h t h e d a i l y group o f wor k e r s .

May 2 Market day, spoke w i t h a l l t h e veredal l e a d e r s . I n a f t e r n o o n we worked w i t h a bunch o f c h i l d r e n i n r e c o n s t r u c t i n g t h e town b a s k e t b a l l c o u r t . Gave f i r s t E n g l i s h c l a s s .

May 3 Worked a l l day w i t h s u r v e y o r and crew from S e c r e t a r y o f Hygiene h e l p i n g them survey l o t f o r h e a l t h c e n t e r .

"And so t h e work went.

The i n t e r v i e w e r who g a t h e r e d t h e d a t a i n t h i s area s a i d he encountered n o t h i n g b u t p o s i t i v e comments about t h e v o l u n t e e r s . Both were r e garded as n o t d i s c r i m i n a t i n g between t h e r i c h and t h e poor, t h e c o n s e r v a t i v e s and t h e l i b e r a l s , a town man and a c o u n t r y man, between t h e p r i e s t and t h e o t h e r p r o f e s s i o n a l s . A l t h o u g h • t h e v o l u n t e e r s were somewhat b e w i l d e r e d a t f i r s t , and had some d i f f i c u l t y i n speaking

^A kilometer is approximately 5/8 of a mile*

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Spanish, t h e y caught on f a s t and g o t t o know t h e area r a p i d l y , v i s i t e d many homes, and whatever they were asked f o r t h e y t r i e d t o g e t o r accomplish w i t h o u t d e l a y . A t f i r s t , t h e people, t h o u g h t t h e v o l u n t e e r s were g o i n g t o work o n l y i n the town. ' They were s u r p r i s e d when t h e y saw them i n t h e c o u n t r y s i d e and s a i d they f e l t s o r r y when t h e y saw t h e v o l u n t e e r s w o r k i n g as day l a b o r e r s . I n t a l k i n g about t h e v o l u n t e e r s some o f t h e v i l l a g e r s s a i d , "The t r u t h i s t h a t we w i l l never a g a i n meet such persons." To be s u r e , t h i s m i g h t be an e x a g g e r a t i o n . The people were aware t h e y c o u l d have achieved c e r t a i n accomplishments w i t h o u t t h e v o l u n t e e r s , b u t t h e y were a l s o aware t h a t t h e y c o u l d n o t have ach i e v e d t h e success t h e y d i d , and wh i c h s h a l l be d e s c r i b e d , w i t h o u t t h e v o l u n t e e r s . I n t a l k i n g about t h e v o l u n t e e r s t h e people would a l s o say, "We are very i n d e b t e d because t h e Americans gave us so much and we gave them n o t h i n g . We do n o t know how t o thank them."

One o f t h e v o l u n t e e r s ' b e s t f r i e n d s i n t h e community was t h e second p r i e s t . He l i k e d them a g r e a t d e a l b u t he was a l i t t l e t r o u b l e d by one doubt. "The ide a has been .put i n my head," he s a i d , " t h a t s i n c e t h e y know t h e c u l t u r a l and economic c o n d i t i o n s so w e l l , i n o t h e r words they know t h e r e g i o n l i k e n a t i v e s — t h e y make maps, r e p o r t s , t a k e p i c t u r e s and have o t h e r i n f o r m a t i o n w i t h o u t doubt t h e y a r e sen d i n g t h e r e p o r t s t o t h e U n i t e d S t a t e s . W e l l , t h e moment I d i s cover t h a t t h e y are i n s i n c e r e and t h a t t h e y are a c t u a l l y s p i e s I w i l l d e c l a r e m y s e l f i n p u b l i c as t h e i r enemy and war a g a i n s t them u n t i l t h e y l e a v e Colombia."

On t h e i r p a r t , t h e v o l u n t e e r s commented v e r y p o s i t i v e l y about t h e promo tor and t h e padre. I n one o f t h e v o l u n t e e r s ' r e p o r t s t h e r e i s t h i s comment, "The promotor o f t h i s community was p r o b a b l y t h e b e s t one i n t h e c o u n t r y ; he u n d e r s t o o d f u l l y what Community Development was and had t h e knowledge t o c a r r y i t o u t . The promo t o r - v o l u n t e e r r e l a t i o n s were e x c e l l e n t , we worked as a r e a l team, i n c l u d i n g t h e padre. One member o f t h e team never made a d e c i s i o n w i t h o u t f i r s t c o n s u l t i n g t h e o t h e r s . Whenever one member v i s i t e d a vereda he would come back and g i v e a r e p o r t t o t h e o t h e r members so t h a t everyone would be w e l l v e r s e d i n what was g o i n g on i n t h e vereda."

The padre was l e a d e r o f t h e group, and t o g e t h e r w i t h t h e promotor and v o l u n t e e r s t h e y r e o r g a n i z e d t h e juntas and o b t a i n e d t h e coopera t i o n o f o t h e r p r o f e s s i o n a l s i n t h e community — d o c t o r , d e n t i s t , t e a c h e r s and o t h e r s . The nurse and home economist d i d n o t coop e r a t e .

W h i l e t h e p r i e s t , promotor, v o l u n t e e r s and o t h e r s were b e g i n n i n g t o o r g a n i z e t h e Community Development programs, t h e Governor, Mayor and one l o c a l p o l i t i c a l l e a d e r p u t up many o b s t a c l e s and t r i e d t o sabotage t h e Peace Corps' e f f o r t s , because t h e y were b e g i n n i n g t o l e a r n t h a t t h e community was n o t g o i n g t o be t o r n a p a r t by p o l i t i c a l d i f f e r e n c e s . They t h e r e f o r e a s s o c i a t e d t h e p r i e s t , t h e v o l u n t e e r s and t h e program w i t h communism, b u t t h e people r e a c t e d by s a y i n g , " I f i t i s t r u e t h a t Community Development i s communism t h e n we l i k e i t and don't have t o be a g a i n s t i t . "

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Through Community Development a c t i v i t i e s , t h e people and v o l u n t e e r s i n t h i s area were a b l e t o ac h i e v e t h e f o l l o w i n g (as d e s c r i b e d i n t h e v o l u n t e e r s 1 f i n a l r e p o r t t o g e t h e r w i t h some a d d i t i o n a l comments from o t h e r s o u r c e s ) :

1. "The b i g g e s t m a t e r i a l p r o j e c t was a s c h o o l b u i l t w i t h funds from t h e A l l i a n c e f o r P r o g r e s s . T h i s s c h o o l had been s t a r t e d i n March o f 1962 and t h e b r i c k s were f a b r i c a t e d i n two months, b u t a c t u a l work wasn't s t a r t e d u n t i l t h e end o f November because o f t h e l a c k o f a i d . The p l a n t was i n a u g u r a t e d on t h e f i r s t o f June...every s i n g l e person c o n t r i b u t e d t o t h e c o n s t r u c t i o n . " The d e d i c a t i o n ceremonies were d e l a y e d t h r e e t i m e s , and because i t was such a momentous o c c a s i o n , t h e v o l u n t e e r s i n v i t e d t h e t h e n U.S. Ambassador F u l t o n Freeman who accepted. T h i s was much a p p r e c i a t e d , because h i s schedule had t o be a l t e r e d on t h r e e d i f f e r e n t o c c a s i o n s .

2. "The second l a r g e p r o j e c t planned was a r u r a l aqueduct t o serve 35 homes. The o r g a n i z a t i o n o f t h i s vereda was e x c e l l e n t a t t h e t i m e t h e p r o j e c t was i n i t i a t e d . We were t o l d by t h e Division of Accion Comunal t h a t t h e y would g i v e us a l l t h e p i p e needed f o r as many aqueducts as we wanted t o b u i l d ; t h e r e f o r e we p r o mised t h e people t h a t we would b u i l d i t -- boy, was t h a t a m i s t a k e . We had t h e e n g i n e e r s from t h e S e c r e t a r y o f Hygiene come o u t and do a complete st u d y which we t u r n e d i n , and t o t h i s day we haven't heard a t h i n g . We were ashamed t o f a c e t h e s e people — what c o u l d we do? We never made t h e same m i s t a k e o f p r o m i s i n g a g a i n ; s u r e l y t h e D i v i s i o n r e a l i z e d t h a t i t cannot c o n t i n u e t o work on th e s e s o - c a l l e d promises."

3. "The H e a l t h Center was b u i l t by Accion Comunal and w i t h t h e a i d o f t h e Servioio Cooperative Inter amerioano de Salud Publico. They sup p l y a l l o f t h e m a t e r i a l and t h e community does a l l t h e work. The b u i l d i n g a t p r e s e n t i s about h a l f c o n s t r u c t e d ; i t i s , a l o n g w i t h t h e r o a d , t h e b i g g e s t county-wide program and has h e l p e d immensely t o o r g a n i z e t h e whole county — t h a t i s , a l l t h e veredas w o r k i n g w i t h each o t h e r . The road had been p r o j e c t e d s i n c e June b u t t h e b u l l d o z e r never a r r i v e d . Three months ago t h e people s a i d , 'Let's s t a r t i t by hand,' so we d i d , and b u i l t about 600 meters b e f o r e t h e b u l l d o z e r a r r i v e d l a s t Wednesday."

4. "A program o f home improvement has been one o f t h e most successf u l , as f a r as s m a l l p r o j e c t s go. We, a f t e r t h e vereda had asked f o r o u r h e l p , decided i t would be b e s t t o b u i l d t h e p r o j e c t around a CINVA-RAM machine (a m a n u a l l y o p e r a t e d machine f o r making b r i c k s ) t h a t was s u p p l i e d by CARE a f t e r t h e vereda made up a program t e l l i n g e x a c t l y what t h e y were g o i n g t o do w i t h i t . We b u i l t a s t a b l e , a p i g pen and a house, and made r e p a i r s on s e v e r a l houses. From t h i s vereda t h e r e are s e v e r a l o t h e r s t h a t have p i c k e d up the same i d e a . The b e a u t i f u l p a r t o f t h i s i s t h a t t h e r e i s no monetary a i d needed, t h e r e c i p i e n t f o o t s a l l t h e b i l l s and t h e work i s done by t h e minga."

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5. "A communal sugar m i l l has been s t a r t e d , b u t t h e l a c k o f funds has h i n d e r e d t h e p r o j e c t tremendously; CARE was unable t o h e l p us w i t h t h e a c t u a l c r u s h i n g u n i t , t h e b i g g e s t expense, b u t we have found out t h a t one o f t h e c r u s h e r s can be o b t a i n e d i n some o f t h e areas where t h e y are be i n g r e p l a c e d by motor powered u n i t s . The new v o l u n t e e r s are g o i n g t o f i n d o u t about t h i s r i g h t away t o g e t t h e p r o j e c t r o l l i n g . I f t h i s one i s a success, t h e r e w i l l be about t h r e e more t o f o l l o w . "

6. "The housing program f o r t h e poor i n t h e town pro p e r i s n o t g e t t i n g o f f i t s f e e t . The r e c i p i e n t s o f t h e a i d t h a t CARE promised s h o u l d be chosen by t h i s t i m e . One house has a l r e a d y been b u i l t . The p l a n was f o r 10 houses b u t CARE wasn't a b l e t o f i n a n c e them a l l , so t h e r e w i l l be o n l y f i v e . "

7. "Other s m a l l p r o j e c t s : swimming p o o l , road maintenance, and ev e r y vereda has a t l e a s t one communal a g r i c u l t u r a l work team t h a t goes o u t one o r two times a week, depending on t h e work, t o work on each o t h e r ' s farms. S e v e r a l s p o r t s f i e l d s have been s t a r t e d w i t h CARE-furnished equipment. Numerous sc h o o l r e p a i r j o b s , v e g e t a b l e gardens, c l a s s e s i n c a r p e n t r y , masonry, e t c . , and d i t c h e s b r i n g i n g w a t e r t o the r u r a l homes have been comp l e t e d . "

8. "Each vereda has i t s junta and mingas. The juntas are e l e c t e d once a year. There a r e now 14 juntas i n e x i s t e n c e t h a t v a r y i n degree o f e f f e c t i v e o r g a n i z a t i o n . S ix o f them work c o m p l e t e l y a l o n e , and t h e promotor i s o n l y t h e r e e s s e n t i a l l y as an observer o r t o p r o v i d e o r i e n t a t i o n . Two g e t t o g e t h e r when t h e promotor v i s i t s them, and t h e remainder are h a r d l y w e l l o r g a n i z e d . "

I n a d d i t i o n t o t h e c o n c r e t e accomplishments l i s t e d above, t h i s comm u n i t y has begun t o a s s e r t i t s r i g h t s o f s e l f - d e t e r m i n a t i o n a g a i n s t s t r o n g p o l i t i c a l odds. For example: (1) Mayors i n Colombia a r e p o l i t c a l a p p o i n t e e s o f t h e Governor. They are p a r t o f the patronage system and do n o t u s u a l l y r e s i d e i n t h e community t o which they a r e a p p o i n t e d ; c o n s e q u e n t l y , t h e people r e g a r d them as doin g no more t h a n c o l l e c t i n g t h e i r s a l a r i e s . I n t h i s community, t h e people had g o t t e n r i d o f two mayors and now were u r g i n g t h e Governor t o a p p o i n t from t h e l o c a l i t y a new mayor who w i l l n o t i n t e r f e r e i n p o l i t i c a l a f f a i r s and who w i l l work f o r t h e good o f t h e community.

(2) The community now expects every p r o f e s s i o n a l who comes t o i t t o accommodate h i m s e l f t o t h e l o c a l atmosphere, t o l e a r n t h e people's c u l t u r e , and t o be pr e p a r e d t o work w i t h t h e community. As i n s t a n c e s o f t h i s t h e y o b j e c t e d t o a new promotor who was assi g n e d t o them. They were t i r e d o f h i s excuses t h a t l i t t l e c o u l d be done because no economic a i d was f o r t h c o m i n g from t h e government. The people t o l d him, " A l l can be done i f one wants i t " — they themselves can make s t o v e s , improve t h e i r v e g e t a b l e gardens, make b r i c k s and l a t r i n e s w i t h o u t government a i d . A second i n s t a n c e i n v o l v e d a group o f women who were a s s o c i a t e d w i t h t h e Church. They g o t t o g e t h e r and

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asked f o r a home economist. They a l l went o u t t o g r e e t her when she a r r i v e d , and t o l d h e r t h e i r g r i e v a n c e s and problems. But she had o t h e r i d e a s and wasn't v e r y a c t i v e . The committee o f women t h e n g o t t o g e t h e r , worked up a s p e c i f i c program o f t h e i r d e s i r e s c o n s i s t i n g of l e s s o n s i n sewing, c o o k i n g , n u t r i t i o n and how t o care f o r c e r t a i n i l l n e s s e s ; an i l l i t e r a c y program, a b a s i c e d u c a t i o n a l program f o r a d u l t s ; and a c u l t u r a l hour. A f t e r t e n months, when t h e home economist s t i l l had n o t accomplished a n y t h i n g , t h e women asked t h a t she be removed. A t h i r d i n s t a n c e i n v o l v e d t h e p r i e s t who r e p l a c e d th e one who s t a r t e d t h e community on i t s Community Development program. He s t a r t e d by a s k i n g t h e people t o r e p a i r t h e r o o f o f t h e c h u r c h , and t h e y i n f o r m e d him t h a t t h e p r e v i o u s padre had t o l d them t h i s c o u l d w a i t u n t i l t h e y had t a k e n care o f t h e i r community needs. They a l s o p o i n t e d o u t t o him t h a t r e p a i r i n g t h e church r o o f was on t h e i r agenda and t h a t i t had t o w a i t i t s t u r n . The people l i v e d up t o t h e i r word.

(3) The i n t e r v i e w e r r e p o r t s h i s i m p r e s s i o n t h a t t h e r e have a l s o been some o t h e r i n t e r e s t i n g v a l u e changes i n t h e community: (a) t h e p e o p l e have become more p r a c t i c a l ; (b) t h e y now b e l i e v e t h a t a l l are e q u a l and t h a t no one has t o be a f r a i d o f a u t h o r i t i e s and s u p e r i o r s ; (c) t h e y now b e l i e v e t h a t a man i s r i c h i n i n t e l l e c t u a l p o t e n t i a l i t i e s , and everyone can use h i s i n t e l l i g e n c e t o improve h i s socio-economic c o n d i t i o n s ; (d) t h e y have become somewhat more i n f o r m a l w i t h each o t h e r and- presumably more f r i e n d l y ; (e) t h e y have become more p u n c t u a l i n a t t e n d i n g meetings and more aware o f the i m portance and r e s p o n s i b i l i t y o f community work; and ( f ) t h e y are b e g i n n i n g t o adopt some de m o c r a t i c ways — f o r example, e l e c t i n g the junta every y e a r and becoming aware o f t h e d i f f e r e n c e between democracy i n t h e o r y and democracy i n p r a c t i c e . They say, " I n Colombia democracy i s n o t y e t w e l l i m p l a n t e d and, what i s worse, the government o f f i c i a l s t h i n k t h e y are p r a c t i c i n g democracy."

The c o n s t r u c t i o n o f roads, aqueducts, s c h o o l s , e t c . have s e v e r a l v a l u e s . F i r s t , t h e y r e p r e s e n t means t h r o u g h which t h e community can o r g a n i z e and see c o n c r e t e accomplishments. Secondly, t h e y have v a l u e i n t h e i r own r i g h t as f a c i l i t a t i n g t r a n s p o r t a t i o n and communic a t i o n . But t h i r d l y , t h e y a l s o s t i m u l a t e t h e people and open up new v i s t a s f o r them. For example, t h e c o n s t r u c t i o n o f roads, aqueducts, d i t c h e s , e t c . has s t i m u l a t e d t h e people i n t h e sense t h a t t h e y now f e e l t h e y can work t o g e t h e r and want t o t a k e advantage of t h e i r n a t u r a l r e s o u r c e s by o r g a n i z i n g t h e i r p r i v a t e hemp work i n t o an i n d u s t r i a l c o o p e r a t i v e .

The b u i l d i n g o f t h e s c h o o l s has a l s o had an i n t e r e s t i n g e f f e c t on t h e p e o p l e . F i r s t , t h e r e i s an i n c r e a s e i n l o c a l p r i d e . The people are proud o f t h e i r s chools and t h e y go about s a y i n g , "We have sch o o l s l i k e Bogota." Secondly, now t h a t t h e s c h o o l s are b u i l t , t h e r e i s a d e s i r e f o r more e d u c a t i o n . Thus, t h e i n t e r v i e w e r r e p o r t s t h e r e i s a group o f people who go about s a y i n g , "To b u i l d s c h o o l s i n t h e v i l l a g e s i s t r u l y p r o g r e s s , b u t u n h a p p i l y t h e s e n i c e l i t t l e s c h o o l s are wasted because they do n o t f u l f i l l t h e e d u c a t i o n a l needs o f t h e

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p e o p l e . The programs are r i d i c u l o u s and s t u p i d , because t h e town c h i l d has f i v e years o f s c h o o l i n g and t h e c o u n t r y c h i l d has two. We d o n ' t understand these d i f f e r e n c e s . Two years o f s c h o o l are w o r t h l e s s . A s h o r t w h i l e a f t e r t h e c h i l d r e n leave s c h o o l t h e y w i l l a g a i n be i l l i t e r a t e . We want c o u n t r y schools schools e q u a l w i t h those o f t h e town. T h i s i s u r g e n t , we w i l l have a t e c h n i c a l s c h o o l , and we want n o t o n l y t h e town y o u t h b u t a l s o t h e c o u n t r y y o u t h t o study t h e r e . "

The p e o p l e have a l s o developed t h e i r own agenda o f p r i m a r y and secondary g o a l s . Among t h e i r p r i m a r y g o a l s t h e y have t h e f o l l o w i n g : t e c h n i c a l s c h o o l , p r i m a r y s c h o o l s , improvement i n e d u c a t i o n , development o f t h e hemp i n d u s t r y , r o a d c o n s t r u c t i o n , e l e c t r i c i t y , i n t r o d u c t i o n o f machinery and t h e o r g a n i z a t i o n o f c o o p e r a t i v e s . Among t h e i r secondary g o a l s , t h e y have l i s t e d : r e p a i r t h e chur c h , home improvement, home gardens, r e p a i r r oads, s p o r t s and r e c r e a t i o n f a c i l i t i e s , t e l e p h o n e s , aqueducts, c a n a l s and b r i d g e s .

There are two f i n a l t h i n g s t o be r e p o r t e d about t h i s community. F i r s t , t h e r e were a number o f people who d i d n o t p a r t i c i p a t e i n t h e Community Development programs. They had as t h e i r reasons e i t h e r p o l i t i c a l problems o r g e o g r a p h i c a l i s o l a t i o n . A f t e r t h e y had seen t h e e f f e c t i v e n e s s o f t h e program, t h e y would l i k e t o cooperate i n f u t u r e programs because o t h e r w i s e t h e y would c o n t i n u e t o f e e l " i n f e r i o r . " Secondly, t h e r e i s a municipio t h a t b o r d e r s on t h e one j u s t d e s c r i b e d ; i t has been o b s e r v i n g and s p e c u l a t i n g about what i t has seen and now i t , t o o , has begun t o i n q u i r e about how i t can g e t maximum b e n e f i t from a group o f Peace Corps v o l u n t e e r s — and so b o t h Community Development and Peace Corps a c t i v i t i e s spread.

B e f o r e c o n c l u d i n g t h e d i s c u s s i o n o f t h i s community, i t i s w e l l t o r e v i e w t h e ex p e r i e n c e t o h i g h l i g h t some o f t h e f a c t o r s t h a t i t had w o r k i n g f o r i t and which no doubt p l a y e d c r i t i c a l r o l e s i n t h e success o f t h e program.

F i r s t , i t w i l l be r e c a l l e d t h a t t h e community had a h i s t o r y and t r a d i t i o n o f community a c t i o n , so t h a t when t h e Community Development program was p r e s e n t e d t o t h e pe o p l e i t d i d n o t f a l l on c o m p l e t e l y i g n o r a n t e a r s . Some o f t h e e a r l y e x p e r i e n c e s i n Community Development had been s u c c e s s f u l ; b u t t h e method f e l l i n t o d i s u s e o n l y t o be r e v i v e d by p r i e s t s who, a l t h o u g h n o t s u c c e s s f u l i n t h e i r own programs, p r o b a b l y k e p t some i d e a s a l i v e . T h i s l a s t p o i n t i s w e l l w o r t h emphasizing, f o r i t i s r e l e v a n t i n e v a l u a t i n g t h e Peace Corps e x p e r i e n c e s i n o t h e r s i t e s . When a Peace Corps group was a s s i g n e d t o a d i f f i c u l t s i t e and had t o leave i t , one m i g h t r e g a r d t h e e x p e r i e n c e as a f a i l u r e . T h i s need n o t n e c e s s a r i l y be the case, s i n c e i n any a t t e m p t t o make f o r some k i n d o f s o c i a l change t h e p e o p l e have t o be pr e p a r e d o r made ready. The f i r s t o r second wave o f p e r s o n n e l may encounter r e s i s t a n c e and d i f f i c u l t y , as d i d one o f t h e p r i e s t s i n t h e community d e s c r i b e d , b u t a t l e a s t t h e y may be s u c c e s s f u l i n p l a n t i n g t h e seeds f o r t h e f u t u r e . L a t e r groups t h a t were s u c c e s s f u l m i g h t n o t have been as e f f e c t i v e w i t h o u t t h e e f f o r t s o f t h e e a r l i e r ones.

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Secondly, t h e program t h a t f i n a l l y became e f f e c t i v e was l e d by a s i g n i f i c a n t power f i g u r e i n t h e community. I n t h i s i n s t a n c e , i t was t h e p r i e s t who was i n an acknowledged p o s i t i o n o f l e a d e r s h i p i n t h e community. I n a d d i t i o n , he had a s o c i a l conscience and was ready and w i l l i n g t o cooperate w i t h o t h e r groups t h a t were w i l l i n g t o a i d t h e community. Moreover, he r e p r e s e n t e d t h e Church, w h i c h had an i m p o r t a n t e f f e c t on s a n c t i o n i n g t h e a c t i v i t i e s i n t h e comm u n i t y . For t h e people o f t h i s community, Community Development was n o t o n l y i m p o r t a n t i n u n i f y i n g them b u t was a l s o something o f a " s a c r e d " a c t i v i t y because i t had Church s p o n s o r s h i p .

A t h i r d f a c t o r t h a t c o n t r i b u t e d t o t h e e f f e c t i v e n e s s o f t h e program, i n t h e sense t h a t i t h e l p e d i n g e t t i n g i t s t a r t e d , was a m a t t e r o f t i m i n g . The people had been t o r n a p a r t w i t h p o l i t i c a l s t r i f e , and t h e y had become f r u s t r a t e d and d i s a p p o i n t e d i n t h e promises o f t h e p o l i t i c i a n s which were never f u l f i l l e d . Community Development was one means o f overcoming some o f t h e i r problems.

A f o u r t h f a c t o r , t h a t was no doubt i m p o r t a n t , was t h a t t h e people had worked on p r o j e c t s t h a t were i m p o r t a n t t o t h e i r immediate needs. They c o u l d see t a n g i b l e r e s u l t s t h a t e f f e c t e d t h e i r p e r s o n a l l i v e s d i r e c t l y and t h u s were r e i n f o r c e d i n t h e i r e f f o r t s .

F i f t h was t h e p e r s o n a l i t y and p s y c h o l o g i c a l c h a r a c t e r i s t i c s o f t h e p e o p l e , which we can o n l y i n f e r , t h a t a l l o w e d them t o devote thems e l v e s t o Community Development, t o experiment w i t h t h e p r o c e d u r e s , and t o l e a r n those w h ich t h e y c o u l d u t i l i z e most e f f e c t i v e l y . They were a b l e " t o bury t h e h a t c h e t , " a t l e a s t f o r a w h i l e ; and a l t h o u g h t h e y knew t h a t p o l i t i c a l d i f f e r e n c e s e x i s t e d i n t h e community, t h e y were w i l l i n g t o f o r g e t them w h i l e t h e y worked t o g e t h e r . They were a b l e t o c o n t r o l t h e i r f e e l i n g s i n t h i s r e g a r d .and d e l a y t h e i r e v a l u a t i o n s u n t i l t h e y c o u l d see what c o u l d be done. They s a i d , "Now we do n o t want t o hear a n y t h i n g about p o l i t i c s . I t does n o t h e l p us because we become f a t a l i s t i c . Our p r a c t i c a l p o l i t i c s i s Community Development. When t h e t i m e comes, we v o t e and i t i s over. On many occasions we need t o f r e e z e o u t t h e p o l i t i c i a n s and t o c o n t i n u e f i g h t i n g u n t i l t h e r e i s an end t o a l l t h e i r b a b b l i n g . " I n t a k i n g t h i s a t t i t u d e , t h e y c o u l d w a i t u n t i l t h e r e were r e a l i s t i c accomplishments t h a t c o u l d be e v a l u a t e d , and t h e y c o u l d d e t e r m i n e t h e s i g n i f i c a n c e o f t h e i r own e f f o r t s .

S i x t h , i t was e x t r e m e l y f o r t u n a t e t h a t t h e n u c l e a r w o r k i n g team c o n s i s t i n g o f p r i e s t , promotor, and v o l u n t e e r s was made up o f t h e k i n d s o f people t h e y were. A l l were a b l e t o c o o p e r a t e and work t o g e t h e r w i t h a minimum o f d i f f e r e n c e s and d i f f i c u l t i e s .

Seventh, a l t h o u g h t h e community r a n i n t o d i f f i c u l t i e s w i t h l o c a l and d e p a r t m e n t a l government o f f i c i a l s , i t had s u f f i c i e n t s t r e n g t h n o t t o p e r m i t these o f f i c i a l s t o be major o b s t a c l e s . The p e o p l e began t o l o o k upon Community Development "as a government," as a means t h r o u g h which t h e y c o u l d govern themselves, and t h e people were w i l l i n g t o t a k e on p r o j e c t s t h a t d i d n o t r e q u i r e governmental a i d . Where

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s u b s t a n t i a l a i d was necessary, t h e o f f i c i a l s who r e s i s t e d t h e p r o gram c o u l d be cir c u m v e n t e d because o f t h e a i d from t h e f e d e r a l government; and when t h i s source was n o t e f f e c t i v e , t h e y c o u l d depend upon re s o u r c e s o u t s i d e t h e immediate l o c a l government f o r a i d , such as CARE.

No doubt t h e r e are o t h e r t h a n these seven f a c t o r s t h a t were i m p o r t a n t t o t h e success o f t h e program. But those mentioned c e r t a i n l y were among t h e c r i t i c a l ones.

I n summary, t h e n , t h i s paper i n v o l v e d : (a) A d i s c u s s i o n o f s e v e r a l g e n e r a l s o c i a l parameters t h a t m i g h t a f f e c t t h e development and/or s u r v i v a l o f c r e a t i v e i d e a s , p r o d u c t s o r processes. (b) A d i s c u s s i o n o f t h e r o l e s o f some i n d i v i d u a l s i n our own s o c i e t y who have t h e r e s p o n s i b i l i t y f o r b r i n g i n g n o v e l t y i n t o b e i n g . While t h e s p e c i f i c r o l e s d i s c u s s e d may n o t be r e l e v a n t t o s t u d i e s o f newly d e v e l o p i n g c o u n t r i e s , t h e t e c h n i q u e o f r o l e a n a l y s i s f o r d i f f e r e n t change agents i n a s o c i e t y i s suggested as a reasonable t e c h n i q u e f o r u n d e r s t a n d i n g some o f t h e f a c t o r s i n v o l v e d i n change. (c) A d i s c u s s i o n o f t h e " i n t e r m e d i a r i e s " i n t h e c r e a t i v e process. A t t e n t i o n i s c a l l e d t o t h e f a c t t h a t , a l t h o u g h these persons p l a y s i g n i f i c a n t f u n c t i o n s i n t h e change p r o c e s s , r e l a t i v e l y l i t t l e i s known about t h e i r r o l e s or t h e c r i t e r i a t h e y u t i l i z e i n f u l f i l l i n g t h e i r f u n c t i o n s , (d) F i n a l l y , t h e paper was concluded w i t h a case st u d y o f a community i n Colombia, South America*, i n which change was br o u g h t about t h r o u g h Community Development a c t i v i t i e s . Some o f t h e f a c t o r s d i s c u s s e d i n t h e p r e v i o u s p a r t s o f t h i s paper served as a background f o r d i s c u s s i n g t h e changes t h a t t o o k p l a c e i n t h i s community.

My i n t e n t has n o t been t o p r e s e n t a t h e o r y o f s o c i a l change, b u t some o f t h e parameters and v a r i a b l e s mentioned i n t h i s paper w i l l , h o p e f u l l y , f i n d a p l a c e f o r themselves i n such a t h e o r y a t some f u t u r e d a t e .

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Discussion

7 . CHOICE OF CREATIVITY VARIABLES

S t e i n f e l t t h e Lasswell-Holmberg p o s i t i o n paper p r e s e n t e d a b r o a d e r and b e t t e r s e t o f v a r i a b l e s t h a n h i s own, b u t t h a t h i s c r e a t i v i t y v a r i a b l e s are perhaps more c o n c r e t e . He e x p l a i n e d t h a t h i s concent r a t i o n on i n d i v i d u a l c h a r a c t e r i s t i c s r e f l e c t e d h i s background as a c l i n i c a l p s y c h o l o g i s t . One o f h i s i n t e r e s t s i s i n d e t e r m i n i n g how n o v e l t y g e t s i m p l a n t e d i n a c u l t u r e . T h i s means f o c u s s i n g on t h e process o f c r e a t i v i t y and i t s d i f f u s i o n . The Peace Corps case stu d y i l l u s t r a t e s t h e l a t t e r .

2. P H I L O S O P H I C A L ORIENTATION

Hagen commented on s e v e r a l a spects o f t h e p h i l o s o p h i c a l o r i e n t a t i o n d e s c r i b e d i n t h e paper. He p o i n t e d o u t t h a t an A s i a n o r i e n t a t i o n i s t y p i c a l l y t o w a r d t h e p r e s e n t and p a s t , and t h a t man f e e l s h i s l i f e i s dominated by t h e f o r c e s o f n a t u r e . I n c o n t r a s t Western man i s more l i k e l y t o be o r i e n t e d t o w a r d t h e f u t u r e and i s c o n v i n c e d t h a t he can c o n t r o l n a t u r e . Do t hese d i f f e r e n c e s stem from e n v i r o n m e n t a l c o n d i t i o n s o r from man h i m s e l f ?

3. LANGUAGE AS CAUSE OR EFFECT

Hagen f e l t t h a t language m i g h t be a r e s u l t o f c u l t u r e and e n v i r o n ment as w e l l as a cause. The i m p r e c i s i o n o f t h e Japanese language i s f u n c t i o n a l l y r e l a t e d t o t h e i m p o r t a n t concept o f " f a c e . " Some A f r i c a n t r i b e s have words f o r d i f f e r e n t c o n f i g u r a t i o n s o f t r e e s b u t no word f o r " t r e e . " Perhaps t o o much s t r e s s was g i v e n t o language as a shaper, whereas a t t i t u d e s may a l s o d e t e r m i n e a language p a t t e r n . S t e i n responded t h a t he agreed t h a t language c o u l d be r e g a r d e d as b o t h cause and e f f e c t .

4. N O R M A L DISTRIBUTION OF CREATIVITY

Esman i n q u i r e d i f c r e a t i v i t y i s b e s t v i s u a l i z e d as a continuum. S t e i n responded t h a t some continuum i s assumed i n e m p i r i c a l r e s e a r c h and j u s t what t h e d i s t r i b u t i o n i s i s an i m p i r i c a l q u e s t i o n . One

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als.o needs t o know about t h e d i s t r i b u t i o n o f c r e a t i v e persons, added Hughes, and t h e i r r e l e v a n c e as r e s o u r c e s t o a p o p u l a t i o n , i n e c o l o g i c a l terms. An inadequate s u p p l y o r d i s t r i b u t i o n o f c r e a t i v e p e o p l e m i g h t be seen as analagous t o d i s ease among animals on which a h u n t i n g t r i b e l i v e s . P e t e r remarked t h a t t h e r e i s a normal d i s t r i b u t i o n o f c r e a t i v i t y , o r a t l e a s t c r e a t i v e p o t e n t i a l , i n any p o p u l a t i o n , j u s t as t h e r e i s f o r i n t e l l i g e n c e or h e i g h t . The p r o blem o f changing c r e a t i v i t y i s how t o p r o v i d e an environment i n w h i c h c h i l d r e n are b r o u g h t up and t r a i n e d t o become more c r e a t i v e , and a l s o how t o encourage more c r e a t i v i t y among a d u l t members o f a s o c i e t y . The shape o f t h e normal c u r v e o f c r e a t i v i t y d i s t r i b u t i o n i n d i f f e r e n t s o c i e t i e s i s n o t known, nor how much i t can be s h i f t e d .

5. NEED FOR MEASURING C R E A T I V I T Y P R E D I S P O S I T I O N L a s s w e l l wondered about t h e adequacy o f t h e s o c i a l s c i e n t i s t s ' t o o l s f o r m a t c h i n g o r comparing s i t u a t i o n s r e l a t i v e t o c r e a t i v i t y . How can we measure p r e d i s p o s i t i o n f o r a d o p t i n g i n n o v a t i o n , f o r example? Where do we s t a n d i n making s k i l l i n v e n t o r i e s o f communities?

He a l s o expressed concern about s t r a t e g i e s f o r h a n d l i n g o b s o l e s c i n g s k i l l s . I s t h e r e a p o s s i b i l i t y o f f o r m a l i z i n g t h e r e l a t i o n s h i p s between h i g h s k i l l s needed i n t h e o l d s i t u a t i o n , and t h e a c q u i s i t i o n o f new s k i l l s ? Do t h e most h i g h l y s k i l l e d or t h e mid- o r l e s s e r s k i l l e d have t h e b e s t chance o f o p p o r t u n i t y a c q u i r i n g new s k i l l s ?

6. PROCESSES FOR B R I N G I N G ABOUT hlOVELTV

Esman i n q u i r e d whether c r e a t i v i t y i s s p e c i f i c t o a r o l e o r g e n e r a l i z e d . S t e i n r e p l i e d t h a t t h e o r e t i c a l l y c r e a t i v i t y can occur i n a l l r o l e s b u t i n f a c t some r o l e s a l l o w f o r more c r e a t i v i t y than do o t h e r r o l e s . F u r t h e r m o r e , w i t h i n a t y p e , i t i s c o n c e i v a b l e t h a t some t y p e s o f i n d i v i d u a l s may be more e f f e c t i v e t h a n o t h e r s . There are some s u g g e s t i o n s i n t h e Peace Corps st u d y t h a t t h i s i s so.

7. CONDITIONS FOR CREATIVITY

S t e i n went on t o say t h a t w i t h i n t h e c r e a t i v e process d i s c i p l i n e i s r e q u i r e d . C h i l d r e n are n o t so much c r e a t i v e as e x p r e s s i v e and spontaneous - q u a l i t i e s w h i c h , u n f o r t u n a t e l y , t e n d t o be l o s t as t h e y grow up. C r e a t i v i t y a l s o r e q u i r e s an a b i l i t y t o d e a l w i t h comp l e x i t y . S t e i n b e l i e v e s t h a t c h i l d r e n who l e a r n f i r s t how t o handle c o m p l e x i t y are r e a d i e r t o be c r e a t i v e . Some o f t h i s c o m p l e x i t y may o c c u r i n i n t e r - p e r s o n a l r e l a t i o n s h i p s . Research on c r e a t i v e r e s e a r c h c h e m i s t s shows t h a t t h e y tended t o see t h e i r mothers as more i n c o n s i s t e n t t h a n was t r u e o f t h e i r l e s s c r e a t i v e c o l l e a g u e s and t h e r e f o r e t h e y had t o draw on t h e i r own r e s o u r c e s t o r e s o l v e c o m p l e x i t y ; a t t h e same t i m e t h e i r mothers' a f f e c t i o n p r o v i d e d e m o t i o n a l s e c u r i t y .

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Hagen commented t h a t t h e r e i s a danger i n s o c i e t i e s 1 c o n c e n t r a t i o n on p a r t i c u l a r s p e c i a l i z a t i o n s . For example, t h e Ph o e n i c i a n s f o c u s s e d on c o l o n i z a t i o n t o t h e n e g l e c t o f o t h e r d e v e l o p m e n t a l a c t i v i t i e s . I n t h e U n i t e d S t a t e s , he b e l i e v e d t h a t an overemphasis on p r i v a t e e n t e r p r i s e has i n h i b i t e d o p p o r t u n i t i e s f o r l a r g e s c a l e r e s e a r c h .

C R E A T I V I T Y AND I N S T I T U T I O N A L I Z E D S O C I A L CHAMGE Hughes i n q u i r e d what t h e r e l a t i o n s h i p i s between c r e a t i v e p e o p l e and i n s t i t u t i o n a l i z e d s o c i a l change. He f e l t t h a t t h i s i s t h e c r i t i c a l t r a n s a c t i o n a l r e l a t i o n s h i p . C r e a t i v e people must have f o l l o w e r s and a c c e p t o r s o f t h e i r new i d e a s .

Reference was made t o t h e v a r i o u s r o l e s o f t h e i n d u s t r i a l r e s e a r c h e r ( d e s c r i b e d i n S t e i n ' s paper) which i l l u s t r a t e how c r e a t i v e a c t i v i t i e s are l i n k e d t o o r g a n i z a t i o n s charged w i t h b r i n g i n g about change.

P e t e r suggested t h a t i t m i g h t be h e l p f u l t o d i s t i n g u i s h more e x p l i c i t l y between c r e a t i v i t y and p r o d u c t i v i t y , and a l s o t o s t r e s s t h e d i f f u s i o n l i n k s between c r e a t i v i t y ( r e s u l t i n g i n an i n n o v a t i o n ) and i t s w i d e spread a d o p t i o n . I t seems accepted t h a t " c r e a t i v i t y has t o do w i t h t h e development, p r o p o s a l and i m p l e m e n t a t i o n o f new and b e t t e r s o l u t i o n s , w h i l e p r o d u c t i v i t y i s concerned w i t h t h e e f f i c i e n t a p p l i c a t i o n o f c u r r e n t s o l u t i o n s . " 2 Some d e f i n i t i o n s s t r e s s t h e c r i t e r i o n o f w i d e s p r e a d acceptance, s t a t i n g t h a t c r e a t i v i t y i s t h e process by which something new ( p r o d u c t , method, system) and u s e f u l , as seen by a s u b s t a n t i a l number o f people i n some p o i n t i n t i m e , i s b r o u g h t i n t o b e i n g . S o c i a l change r e q u i r e s b o t h c r e a t i v i t y and i n c r e a s e d p r o d u c t i v i t y i f t h e i n n o v a t i o n s a r e t o a f f e c t a s u b s t a n t i a l p o r t i o n o f a p o p u l a t i o n .

9. THE D I F F U S I O N OF IHUQVkTlOU

P e t e r a l s o commented t h a t t h e r e has been a good d e a l o f r e s e a r c h on t h e d e l i b e r a t e d i f f u s i o n o f i n n o v a t i o n s . Any comprehensive d i s c u s s i o n o f s o c i a l change would be i n c o m p l e t e w i t h o u t r e c o g n i z i n g t h e work i n t h i s f i e l d . I t has h e l p e d t o show how p a r t i c u l a r t a r g e t audiences f i r s t hear about i n n o v a t i o n s , become i n t e r e s t e d i n and c o n s i d e r t h e i r use, e v a l u a t e t h e i r f e a s i b i l i t y , t r y o u t and t e s t them, and, f i n a l l y , adopt them as p a r t o f t h e i r h a b i t u a l ways o f l i f e . 5 Among t h e u s e f u l m e t h o d o l o g i c a l f e a t u r e s o f t h i s r e s e a r c h a r e : (1) t h e p l o t t i n g o f c u m u l a t i v e a d o p t i o n over t i m e , so t h a t t i m e p a t h s and r e q u i r e m e n t s can be compared from one i n n o v a t i o n t o a n o t h e r , (2) a n a l y s i s o f t h e socio-economic c h a r a c t e r i s t i c s o f d i f f e r e n t a d o p t e r p o p u l a t i o n s w h ich a l s o shows t h e t y p i c a l r e l a t i o n s h i p s among p a r t s o f t h e t a r g e t g r o u p s , (3) i d e n t i f i c a t i o n o f t h e

Steiner, Gary A., TEE CREATIVE ORGANIZATION. University of Chicago Press, 1965.

Everett M. Rogers, TEE DIFFUSION OF INNOVATION, New York: Free Press of Glencoe, 1962.

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sources o f i n f o r m a t i o n , communication and i n f l u e n c e a t each stage o f a d o p t i o n f o r t h e s e v e r a l groups. T h i s throws l i g h t on t he r e l a t i v e e f f e c t i v e n e s s o f mass communication and p e r s o n a l i n f l u e n c e a t each stage.

10. PEACE CORPS CASE STUVV

Esman wondered how t h e Peace Corps 2 case f i t t e d i n t o t h e d i s c u s s i o n o f c r e a t i v i t y , and asked f o r comments on t h e s t r a t e g y o f c r e a t i n g change t h r o u g h t h i s program. For example, how do t h e i n d u c e r s o f change i d e n t i f y t h e i r t a r g e t audience? He s a i d t h a t t h e u n d e r l y i n g s t r a t e g y o f community development programs has been t o g e t p a r t i c i p a t i o n by members o f a v i l l a g e i n w o r k i n g on f e l t needs o f t h e community. But, t h e r e s u l t s have been d i s a p p o i n t i n g , and t h e r e i s now a view t h a t i t i s t h e r e s p o n s i b i l i t y o f the change agent t o t a c k l e problems he b e l i e v e s are d i r e c t l y r e l a t e d t o development even i f t h e y are n o t s t r o n g l y seen as d e s i r a b l e by t h e community. For example, t h e change agent s h o u l d t r y t o g e t c o o p e r a t i o n on i n c r e a s i n g a g r i c u l t u r a l p r o d u c t i o n (perhaps an u n f e l t need) i n s t e a d o f b u i l d i n g a new mosque (perhaps f e l t need).

S t e i n r e p o r t e d t h a t h i s work suggested a r e l a t i o n s h i p between p e r s o n a l i t y t y p e and t h e s t y l e o f f u l f i l l i n g t h e community developer r o l e : (1) The S o c i a l l y O r i e n t e d persons emphasized p e r s o n a l c o n t a c t . (2) The I n t e l l e c t u a l l y O r i e n t e d were i n c l u d e d t o c a l l meetings. (3) The A c t i o n O r i e n t e d used s t a t u s and power. (4) The Unconvent i o n a l were q u i t e easy g o i n g . (5) The R e s o u r c e f u l developed gimmicks t o i n t e r e s t t h e v i l l a g e r s . The o r i e n t a t i o n o f t h e i n d i v i d u a l v o l u n t e e r a f f e c t s h i s s t y l e , b e h a v i o r and success i n a t t e m p t i n g t o move t o w a r d t h e same Peace Corps g o a l s .

Hagen suggested t h a t t h e c r u c i a l q u e s t i o n i s what happens f i v e y ears a f t e r t h e Peace Corps v o l u n t e e r s have l e f t . He r e f e r r e d t o s i m i l a r programs o f h e l p t o Sioux v i l l a g e s i n t h e U n i t e d S t a t e s , where improvements had d i s i n t e g r a t e d w i t h i n a few years a f t e r t h e o u t s i d e l e a d e r s h i p had gone. He wondered what would be the f a t e o f t h e V i c o s program i n Peru i f a s s i s t a n c e from C o r n e l l and t h e Peace Corps s h o u l d cease.

Stein, M. I., VOLUNTEERS FOR PEACE, New York, John Wiley and Sons, 1966.

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ENLIGHTENMENT AND COMMUNICATION

by

Daniel Lerner

Massachusetts Institute of Teohnology

Parts of this paper are adapted from the paperback edition of THE PASSING OF TRADITIONAL SOCIETY (Free Press, 1964).

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The m u l t i v a l u e , m u l t i v a r i a t e framework i n which we have been i n v i t e d t o compose our t h o u g h t s on s o c i a l change p r e s e n t s a deep c h a l l e n g e . The c h a l l e n g e i s deep because i t r e q u i r e s n o t h i n g l e s s t h a n a m u l t i v a l u e , m u l t i v a r i a t e response. Every s t u d e n t o f c o n o n i c a l L a s s w e l l w i l l be a l e r t t o t h e c o m p l e x i t i e s o f h a n d l i n g a p a r t i c u l a r v a l u e v a r i a b l e w i t h i n a f u l l y m u l t i v a r i a t e m a t r i x , c o m p l e x i t i e s t h a t are r a t h e r a m p l i f i e d t han d i m i n i s h e d when t h e m a t r i x i s taken t o r e p r e s e n t an i n t e r a c t i v e system each o f whose components f i g u r e s s i m u l t a n e o u s l y as i n p u t and o u t p u t . So, w h i l e i t i s encouraging t o read i n t h e Lasswell-Holmberg i n t e g r a t i v e paper t h a t " i n p u t - o u t p u t a n a l y s i s among t h e s e c t o r s w i l l r e v e a l t h e r a t i o s o f i n t e r c h a n g e among them," a reader w i t h an eye on t h e o r e t i c a l l y - b a s e d r e s e a r c h d e s i g n s i s l i k e l y t o s i g h , "C'est la vie!" By t h i s he w i l l mean, I presume, t h a t i t i s w o r t h c o m p l i c a t i n g h i s r e s e a r c h t o make i t y i e l d a f u l l e r account o f r e a l i t y .

C o m p l e x i t y i s compounded when one c o n s i d e r s , as I have been asked t o do, t h e v a l u e v a r i a b l e o f e n l i g h t e n m e n t . A c c o r d i n g t o t h e framework paper: "The p r e f e r r e d model o f e n l i g h t e n m e n t p r e s c r i b e s c r i t e r i a f o r t h e c o n t e n t o f communication, c h a r a c t e r i z i n g t h e degree t o which community members are exposed t o (or have access t o ) i n t e l l i g i b l e , comprehensive and r e a l i s t i c s t a tements about p a s t o r f u t u r e e v e n t s . " T h i s p u t s a s p e c i a l burden on communication. For, w h i l e a l l "value e v e n t s are d e f i n e d as i n t e r a c t i o n s , " any such i n t e r a c t i o n "can be summarized as a sequence o f communication and c o l l a b o r a t i o n . " From t h e v a l u e v a r i a b l e o f e n l i g h t e n m e n t , t h e n , we are t o d e r i v e p r e s c r i p t i v e c r i t e r i a f o r communication c o n t e n t as w e l l as d e s c r i p t i v e c r i t e r i a f o r t h e communication sequence i n a l l v a l u e i n t e r a c t i o n s .

T h i s i s a v e r y t a l l o r d e r . While I do n o t d e s p a i r o f i t s ever b e i n g f i l l e d , t h e r e q u i r e m e n t s exceed my own p r e s e n t c a p a c i t y . We can make a s t a r t , i n any case, by s k e t c h i n g some o f t h e t h e o r e t i c a l c o n d i t i o n s t h a t e v e n t u a l l y must be s a t i s f i e d i n terms o f t h e h i s t o r i c a l cond i t i o n s t h a t now p r e v a i l i n t h e w o r l d arena. I n t h i s s k e t c h we s h a l l f o c u s on e n l i g h t e n m e n t as t h e communication o f i n f o r m a t i o n t h a t a f f e c t s t h e p r e f e r e n c e models o f peoples i n t h e m o d e r n i z i n g most-of-t h e - w o r l d . We choose t h i s emphasis p a r t l y t o a v o i d e x c e s s i v e i n t r u s i o n i n t o P r o f e s s o r S t e i n ' s d i s c u s s i o n o f s k i l l s , which are c o n s t r u e d as th e o p e r a t i o n a l e x p r e s s i o n o f e n l i g h t e n m e n t v i a income-producing o c c u p a t i o n s and p r o f e s s i o n s . While t h e sha p i n g - a n d - s h a r i n g f u n c t i o n s

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i n t e r a c t w i t h i n as w e l l as between a l l v a l u e s e c t o r s , an a p p r o p r i a t e d i s t a n c e from t h e s p e c i a l i z e d s k i l l - f u n c t i o n s may be m a i n t a i n e d i f we c o n c e n t r a t e our a t t e n t i o n h ere on e n l i g h t e n m e n t as t h e o p e r a t i o n a l e x p r e s s i o n o f i n f o r m a t i o n v i a a t t i t u d e s and o p i n i o n s - and, more p a r t i c u l a r l y , o f those a t t i t u d e s t h a t convey i d e n t i f i c a t i o n s , e x p e c t a t i o n s and demands.

So c o n s t r u e d , e n l i g h t e n m e n t o r i e n t s our a t t e n t i o n t o t h e dynamics and d i s t r i b u t i o n o f p u b l i c o p i n i o n . Among t h e p r i n c i p a l c o n d i t i o n s o f t h e c u r r e n t w o r l d arena, however, i s one t h a t e n j o i n s e x c e s s i v e a r b i t r a r i n e s s i n d i f f e r e n t i a t i n g dynamics from d i s t r i b u t i o n - even f o r reasons o f e x p o s i t o r y convenience. T h i s c o n d i t i o n i s t h e emergence o f a w o r l d communication network, which i n t r o d u c e s i n t o t h e communication o f i n f o r m a t i o n a g l o b a l f a c t o r n o t p r e v i o u s l y p r e s e n t on a o p e r a t i o n a l b a s i s . R i t c h i e C a l d e r , w r i t i n g i n t h e December 1964 BULLETIN OF THE ATOMIC SCIENTISTS, p u t s t h e m a t t e r i n a sentence: 1 1 1 have been i n most p a r t s o f t h e w o r l d i n r e c e n t y e a r s and t h e r e i s no p l a c e where I have been where t h e awareness o f a new w o r l d has n o t p e n e t r a t e d . "

P r o f e s s o r Calder i s r e f e r r i n g p r i m a r i l y t o s c i e n c e and t e c h n o l o g y , where t h e d i f f e r e n t i a t i o n between advancing new i n f o r m a t i o n and d i s t r i b u t i n g e x t a n t i n f o r m a t i o n m i g h t most r e a d i l y be assumed. B ut, when such an assumption i s a l l o w e d t o c o n s i g n t h e dynamics o f new i n f o r m a t i o n t o developed c o u n t r i e s and t h e d i s t r i b u t i o n o f e x t a n t i n f o r m a t i o n t o d e v e l o p i n g c o u n t r i e s , t h e n i t becomes e m p i r i c a l l y erroneous and t h e o r e t i c a l l y m i s l e a d i n g . For m o d e r n i z a t i o n , i n today's w o r l d , o f t e n seeks t o d i s t r i b u t e t h e newest i n f o r m a t i o n t h r o u g h i t s communication network - and sometimes succeeds. I n t h e Geneva l a b o r a t o r i e s o f CERN, where s c i e n t i s t s from a score o f n a t i o n s ( i n c l u d i n g s e v e r a l t h a t a r e d e v e l o p i n g ) work t o g e t h e r on t h e o r e t i c a l problems o f hi g h - e n e r g y n u c l e a r p h y s i c s , a l e v e l o f pure s c i e n c e has been a t t a i n e d t h a t can be matched - I am t o l d by competent judges -o n l y a t Brookhaven i n t h e U.S. and Dubna i n t h e U.S.S.R. At Ciudad B o l i v a r , i n t h e s o u t h e r n j u n g l e s o f Venezuela, I watched t h e operat i o n o f a s t e e l m i l l t h a t - a g a i n , i n t h e judgment o f competent commentators - can h a r d l y be matched i n e i t h e r t h e U.S. or t h e U.S.S.R.

I do n o t w i s h t o o v e r s t a t e t h e " l e a p f r o g g i n g e f f e c t " i n r a p i d l y -d e v e l o p i n g s o c i e t i e s . There i s s u f f i c i e n t b a s i s , i n t h e l i t e r a t u r e o f economic development, t o q u e s t i o n b o t h i t s f r e q u e n c y and i t s a m p l i t u d e . Our concern i s r a t h e r w i t h t h e p r e v a l e n c e , i n t h e d e v e l o p i n g m o s t - o f - t h e - w o r I d , o f p r e f e r e n c e models which o r i e n t popul a r a s p i r a t i o n s t o w a r d l e a p f r o g g i n g as a g o a l . Since t h e s e p r e f e r e n c e models a r i s e i n t h e e n l i g h t e n m e n t s e c t o r o f s o c i e t y , t h e y are a problem a p p r o p r i a t e f o r our c o n s i d e r a t i o n h e r e . Since t h e s e p r e f e r e n c e s u s u a l l y l e a d t o outcomes t h a t are i n a d e q u a t e l y f r e q u e n t , ample, o r d u r a b l e - t h e r e b y r e f l e c t i n g a b a s i c f a u l t i n t h e commun i c a t i o n o f i n f o r m a t i o n t h a t shapes and d i s t r i b u t e s such p r e f e r e n c e s -th e y are indeed a p r i m a r y concern f o r t h i s paper.

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THE MIDDLE E A S T AS AM INSTANCE

While s t u d y i n g t h e communication process i n t h e M i d d l e East, a decade ago, I was f i r s t s t r u c k by t h e r a d i c a l new t u r n t h a t appeared q u i t e g e n e r a l l y i n t h e e n l i g h t e n m e n t o p e r a t i o n s o f t h i s d i v e r s e d e v e l o p i n g area. The " t u r n " was r a d i c a l i n t h a t i t i n v o l v e d t h e t r a n s f e r o f power t o types o f people, who had never b e f o r e made d e c i s i o n s t h a t m a t t e r e d i n t h i s r e g i o n h a b i t u a t e d o v e r l o n g c e n t u r i e s t o c e n t r a l , h i e r a r c h i c , a u t h o r i t a r i a n r u l e . I t was new i n t h a t t h e t r a n s f e r o f power was accomplished l a r g e l y by t h e use o f a new t e c h n o l o g y o f comm u n i c a t i o n t h a t had n o t been a v a i l a b l e t o these peoples e a r l i e r i n t h e i r l o n g h i s t o r y . I t was g e n e r a l i n t h a t t h e t r a n s f e r o f power o c c u r r e d t h r o u g h o u t t h e d i v e r s e n a t i o n s o f t h e M i d d l e East.

To w i t : I n t h e s t u n n i n g T u r k i s h e l e c t i o n o f 1950, t h e p a r t y o f A t a t u r k was t u r n e d o u t o f power by t h e f i r s t honest e l e c t i o n i n a g enuine t w o - p a r t y system under t h e r u l e o f n e a r - u n i v e r s a l s u f f r a g e . I n 1951, Mossadegh governed I r a n , a f t e r h a v i n g o b l i g e d the Shah t o e m i g r a t e and h i s tame M a j l i s t o t r a n s f e r compliance, by r a d i o - t h i s i n a c o u n t r y t h a t had known o n l y monarchic r u l e s i n c e p r e - B i b l i c a l t i m e s . I n 1952, Naguib governed Egypt - a f t e r h a v i n g e x i l e d King Farouk, d i s i n t e g r a t e d h i s tame Wafd p a r t y , and r e a l i g n e d the o l d e s t b u r e a u c r a c y i n r e c o r d e d h i s t o r y . Such r a d i c a l new changes, g e n e r a l i z e d t h r o u g h o u t t h e M i d d l e East and o t h e r r e g i o n s o f t h e w o r l d , gave r i s e t o t h e h y p o t h e s i s o f a " r e v o l u t i o n o f r i s i n g e x p e c t a t i o n s . "

Yet, w i t h i n a few y e a r s , these r a d i c a l leaps f o r w a r d t u r n e d o u t t o be i n a d e q u a t e i n a m p l i t u d e and d u r a b i l i t y ( d e s p i t e t h e i r f r e q u e n c y ) . I n T u rkey: the m i l i t a r y t ook o v e r ; t h e y hanged Menderes and f r a c t u r e d h i s p o p u l i s t p a r t y ; b u t t h e y have n o t y e t succeeded i n c r e a t i n g a n y t h i n g more e x p e c t a t i o n - r e w a r d i n g t h a n an uneasy (and p r o b a b l y unendurable) p a r t y c o a l i t i o n . I n Egypt: t h e m i l i t a r y t o o k o v e r ; t h e y p l a c e d t h e i r own commander Naguib under house a r r e s t (where he has remained i n s i l e n c e f o r over a decade) and i n s t a l l e d young C o l o n e l Nasser i n supreme power; b u t t h e New Egypt l o o k s t o d a y , a f t e r t h i r t e e n y e a r s , l i k e a c o u n t r y t h a t has m u l t i p l i e d i t s problems f a s t e r t h an i t s s o l u t i o n s .

The " r e v o l u t i o n o f r i s i n g e x p e c t a t i o n s " has n o t y e t , i n t h e M i d d l e E a s t , found i t s a p p r o p r i a t e q u o t i e n t o f s a t i s f a c t i o n s . The main re a s o n f o r t h i s may be the e x c e s s i v e i m p l a n t a t i o n among these p e o p l e s , by t h e i r new enlighenment i n s t i t u t i o n s (mass m e d i a ) , o f demands t o consume t h a t f a r o u t r u n the c a p a c i t y o f t h e i r e x t a n t socioeconomic i n s t i t u t i o n s t o produce. T h e i r " p r e f e r e n c e models" d e r i v e from l o n g - t e r m Western achievements t h a t exceed by f a r t h e s h o r t - t e r m r e s o u r c e s o f those poor, and r e l a t i v e l y i m p o v e r i s h i n g , c o u n t r i e s . The m a j o r term o f r i s i n g f r u s t r a t i o n s has been excessive a s p i r a t i o n -t h e e x p e c t a t i o n t h a t one c o u l d emulate, h o p e f u l l y " o v e r t a k e and s u r p a s s , " t h e West. T h i s has l e d v i r t u a l l y a l l t h e emerging l a n d s -w h e t h e r d e s i g n a t e d as new n a t i o n s o r d e v e l o p i n g areas - t o r e c a s t t h e i r s e l f - i m a g e r y i n t h e g e n e r a l terms o f " m o d e r n i z a t i o n " r a t h e r

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than t h e l e s s g l o b a l p e r s p e c t i v e s o f t h e i r p r e v i o u s c o l o n i z e r s . The modern w o r l d has acquiesced i n t h i s unprecendented expansion o f a s p i r a t i o n s .

M o d e r n i z a t i o n , t h e n , i s t h e u n i f y i n g term i n contemporary t h i n k i n g about s o c i a l change i n t h e d e v e l o p i n g l a n d s . The te r m i s imposed by r e c e n t h i s t o r y . The p a s s i n g o f empires a n n u l l e d such terms as A n g l i c i z a t i o n and G a l l i c i z a t i o n . Subsequently one spoke o f E u r o p e a n i z a t i o n , t o denote t h e common elements u n d e r l y i n g French and B r i t i s h i n f l u e n c e i n t h e i r former domains. More r e c e n t l y , f o l l o w i n g a c e n t u r y o f e d u c a t i o n a l and m i s s i o n a r y a c t i v i t y , A m e r i c a n i z a t i o n became a s p e c i f i c f o r c e as a r e s u l t o f which t h e common s t i m u l i o f t h e A t l a n t i c c i v i l i z a t i o n came t o be c a l l e d W e s t e r n i z a t i o n . Since World War I I , t h e c o n t i n u i n g search f o r new ways has been coupled w i t h o f f i c i a l r e p u d i a t i o n o f t h e Western a e g i s . S o v i e t and o t h e r m o d e r n i z i n g models, as i l l u s t r a t e d by Japan, have become v i s i b l e . Any l a b e l t h a t today l o c a l i z e s t h e m o d e r n i z a t i o n process i s bound t o be c o n s i d e r e d p a r o c h i a l . For t h e d e v e l o p i n g people more t h a n ever want t h e modern package, b u t r e j e c t t h e l a b e l "Made i n U.S.A." ( o r , f o r t h a t m a t t e r , "Made i n U.S.S.R."). Hence we speak, nowadays, o f m o d e r n i z a t i o n .

Whether from East o r West, m o d e r n i z a t i o n poses t h e same b a s i c c h a l l e n g e - t h e i n f u s i o n o f "a r a t i o n a l i s t and p o s i t i v i s t s p i r i t " a g a i n s t w h i c h , many s c h o l a r s seem agreed, t r a d i t i o n a l s o c i e t y i s " a b s o l u t e l y d e f e n s e l e s s . " The phasing and m o d a l i t y o f t h e process have changed, however, i n t h e p a s t decade. Where E u r o p e a n i z a t i o n once p e n e t r a t e d o n l y t h e upper l e v e l o f t r a d i t i o n a l s o c i e t y , a f f e c t i n g m a i n l y l e i s u r e - c l a s s f a s h i o n s , m o d e r n i z a t i o n today d i f f u s e s e n l i g h t e n ment among a w i d e r p o p u l a t i o n and touches p u b l i c i n s t i t u t i o n s as w e l l as p r i v a t e a s p i r a t i o n s w i t h i t s d i s q u i e t i n g " p o s i t i v i s t s p i r i t . " C e n t r a l t o t h i s change i s t h e s h i f t i n modes o f communicating i d e a s and a t t i t u d e s - f o r s p r e a d i n g among a l a r g e p u b l i c v i v i d images o f i t s own New Ways i s what m o d e r n i z a t i o n d i s t i n c t l y does. Not t h e c l a s s media o f books and t r a v e l , b u t t h e mass media o f t a b l o i d s , r a d i o and movies, are now t h e dominant modes. Today's c o n c e p t i o n o f s o c i a l change i s l a r g e l y due t o the s h i f t o f m o d e r n i s t i n s p i r a t i o n from t h e d i s c r e e t d i s c o u r s e o f a few i n O x f o r d c o l l e g e s and P a r i s s a l o n s t o t h e b r o a d c a s t e x h o r t a t i o n s among t h e m u l t i t u d e s by t h e mass media.

That some m i l l i o n s o f Turks now l i v e i n towns, work i n shops,"wear t r o u s e r s and have o p i n i o n s who, a g e n e r a t i o n ago, l i v e d i n t h e c e n t u r i e s - o l d sholvars s y m b o l i z i n g t h e a g r a r i a n , i l l i t e r a t e , i s o l a t e d l i f e o f t h e A n a t o l i a n v i l l a g e , - i s what m o d e r n i z a t i o n has a l r e a d y done t o some people. That o t h e r m i l l i o n s t h r o u g h o u t t h e w o r l d are y e a r n i n g t o t r a d e i n t h e i r o l d l i v e s f o r such newer ways i s what m o d e r n i z a t i o n promises t o most people. The r a p i d spread o f th e s e new d e s i r e s , which p r o v i d e t h e dynamic power o f m o d e r n i z a t i o n , i s most c l e a r l y p e r c e i v e d i n t h e coming o f t h e mass media. To see why t h i s i s so -t o comprehend what t h e d e v e l o p i n g peoples a r e e x p e r i e n c i n g under t h e t i t l e o f m o d e r n i z a t i o n - we remind o u r s e l v e s o f what, h i s t o r i c a l l y ,

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happened i n the West. For t h e sequence o f s o c i a l change i n the d e v e l o p i n g m o s t - o f - t h e - w o r l d can be understood as a d e v i a t i o n , i n some measure a d e l i b e r a t e d e f o r m a t i o n , o f t h e Western model.

T h i s o b s e r v a t i o n a l s t a n d p o i n t i m p l i e s no e t h n o c e n t r i s m . As we s h a l l show, t h e Western model o f m o d e r n i z a t i o n e x h i b i t s c e r t a i n components and sequences whose r e l e v a n c e i s g l o b a l . Everywhere, f o r example, i n c r e a s i n g u r b a n i z a t i o n has tended t o r a i s e l i t e r a c y ; r i s i n g l i t e r a c y has t e n d e d t o i n c r e a s e media exposure; i n c r e a s i n g media exposure has "gone w i t h " w i d e r economic p a r t i c i p a t i o n (per c a p i t a income) and p o l i t i c a l p a r t i c i p a t i o n ( v o t i n g ) . The model e v o l v e d i n t h e West i s a h i s t o r i c a l f a c t . That t h e same b a s i c model reappears i n v i r t u a l l y a l l m o d e r n i z i n g s o c i e t i e s on a l l c o n t i n e n t s o f t h e w o r l d , r e g a r d l e s s of v a r i a t i o n s i n r a c e , c o l o r , c r e e d , has been demonstrated t o my s a t i s f a c t i o n . The p o i n t i s t h a t t h e s e c u l a r process o f s o c i a l change, which b r o u g h t m o d e r n i z a t i o n t o t h e Western w o r l d , has more t h a n a n t i q u a r i a n r e l e v a n c e t o today's problems o f s o c i a l change. I n d e e d , t h e l e s s o n i s t h a t contemporary modernisers everywhere w i l l , do w e l l t o stu d y t h e h i s t o r i c a l sequence o f Western g r o w t h .

T a k i n g t h e Western model o f m o d e r n i z a t i o n as a b a s e l i n e i s f o r c e d upon us, moreover, by t h e t a c i t assumptions and p r o c l a i m e d g o a l s which p r e v a i l among t h e spokesmen f o r t h e emerging n a t i o n s . That some o f these l e a d e r s , when c o n v e n i e n t f o r d i p l o m a t i c maneuver, denounce t h e West i s p o l i t i c a l l y i m p o r t a n t and e x p l a i n s why i t i s more t a c t f u l t o speak o f " m o d e r n i z a t i o n " r a t h e r t h a n " W e s t e r n i z a t i o n . " R a t h e r more i m p o r t a n t , Western s o c i e t y s t i l l p r o v i d e s t h e most developed model o f s o c i e t a l a t t r i b u t e s (power, w e a l t h , s k i l l , r a t i o n a l i t y ) which these spokesmen c o n t i n u e t o advocate as t h e i r own g o a l . T h e i r own d e c l a r e d p o l i c i e s and programs s e t our c r i t e r i a of m o d e r n i z a t i o n . From t h e West came t h e s t i m u l i which undermined t r a d i t i o n a l s o c i e t y everywhere; f o r r e c o n s t r u c t i o n o f a modern s o c i e t y t h a t w i l l o p e r a t e e f f i c i e n t l y i n t h e w o r l d t o d a y , t h e West i s s t i l l a u s e f u l model. What t h e West i s , i n t h i s sense, t h e r e s t o f t h e w o r l d seeks t o become.

But t h e s e s o c i e t i e s - i n - a - h u r r y have l i t t l e p a t i e n c e w i t h t h e h i s t o r i c a l tempo o f Western development; what happened i n t h e West over c e n t u r i e s , some M i d d l e E a s t e r n e r s now seek t o acco m p l i s h i n y e a r s . Moreover, t h e y want t o do i t t h e i r "own way." A c o m p l i c a t i o n o f m o d e r n i z a t i o n i s l o c a l e t h n o c e n t r i s m - expressed p o l i t i c a l l y i n extreme n a t i o n a l i s m , p s y c h o l o g i c a l l y i n p a s s i o n a t e xenophobia. The h a t r e d shown by a n t i c o l o n i a l i s m i s h a r v e s t e d i n t h e r e j e c t i o n o f eve r y appearance o f f o r e i g n t u t e l a g e . Wanted are modern i n s t i t u t i o n s b u t n o t modern i d e o l o g i e s , modern power b u t n o t modern purposes, modern w e a l t h b u t n o t modern wisdom, modern commodities b u t n o t modern c a n t . I t i s n o t c l e a r , however, t h a t modern ways and words can be so e a s i l y and so t o t a l l y sundered. U n d e r l y i n g t h e v a r i a n t i d e o l o g i c a l forms which m o d e r n i z a t i o n t o o k i n Europe, America, R u s s i a , Japan t h e r e have been c e r t a i n b e h a v i o r a l and i n s t i t u t i o n a l c o mpulsions common t o a l l . These h i s t o r i c a l r e g u l a r i t i e s some l e a d e r s o f t h e new n a t i o n s now seek t o o b v i a t e , t r y i n g i n s t e a d new r o u t e s and r i s k y by-passes.

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TRANSFORMATION OF ARENAS The c o n d i t i o n s j u s t s k e t c h e d , from our e x p e r i e n c e o f t h e M i d d l e East over t h e p a s t decade, have now come i n t o view i n v i r t u a l l y e v e r y r e g i o n o f t h e g l o b e . They have a l r e a d y t r a n s f o r m e d t h e arena o f w o r l d p o l i t i c s and t h e y are i n process o f t r a n s f o r m i n g t h e arenas o f n a t i o n a l p o l i c y . T h i s i s what P r o f e s s o r Calder has i n mind when he i n s i s t s t h a t t h e r e i s "no p l a c e where t h e awareness o f a new w o r l d has n o t p e n e t r a t e d . "

The t r a n s f o r m a t i o n o f t h e w o r l d p o l i t i c a l arena i s i l l u s t r a t e d by th e U n i t e d N a t i o n s , which has more t h a n doubled i t s membership over t h e two decades o f i t s h i s t o r y . The advent o f so many new n a t i o n s so f a s t t o a f u l l v o i c e i n t h e major w o r l d forum i s n o t w i t h o u t r e l e v a n c e t o t h e p o w e r - b a l a n c i n g processes i n t h e w o r l d arena. That Guinea has an eq u a l v o i c e w i t h France i n t h e General Assembly i s d i s t u r b i n g t o many Frenchmen, as t h e p o p u l a r response t o De G a u l l e ' s s t r i c t u r e s on the U.N. has shown.1 But the d i s t u r b a n c e i s n o t o n l y s y m b o l i c . I t a f f e c t s t h e way France v o t e s - o r a b s t a i n s from v o t i n g -on many i s s u e s t h a t come t o t h e General Assembly f o r d e c i s i o n and thus a c t s as a r e a l c o n s t r a i n t on French p o l i c y i n t h e w o r l d arena.

We need n o t exaggerate t h e power o f t h e A f r o - A s i a n b l o c i n o r d e r t o form a j u s t a p p r e c i a t i o n o f t h e i n f l u e n c e i t has accrued by i t s s t r a t e g i c e n t r y i n t o t h e w o r l d communication network. I t s r o l e i n U.N. peacekeeping o p e r a t i o n s i s c l e a r and p r e s e n t - whether as l e a d t e n o r i n t h e Congo o r as f i g u r e d bass i n t h e M i d d l e East. More s u b t l e , and perhaps more s i g n i f i c a n t f o r t h e l o n g - t e r m shape o f t h e w o r l d arena, has been i t s c o n s t r a i n i n g i n f l u e n c e upon t h e e v o l u t i o n o f t h e Cold War. The b i p o l a r s t r u c t u r e which shaped postwar p o l i t i c s i n t h e f i r s t postwar decade has n o t been o b v i a t e d b u t i t s o p e r a t i o n has been c o n s t r a i n e d t o l e s s c r u c i a l terms and l e s s a p o c a l y p t i c consequences t h a n had been w i d e l y f e a r e d .

I n t h i s e v o l u t i o n , c l e a r l y t h e major terms have been t h e " c o n t a i n ment" p o l i c y o f t h e U.S. and t h e " c o m p e t i t i v e c o e x i s t e n c e " p o l i c y o f t h e U.S.S.R. But i t i s j u s t t h i s s h i f t o f major terms i n t h e decade 1946-56 t h a t i l l u s t r a t e s t h e i n f l u e n c e o f t h e emerging n a t i o n s upon t h e shape o f t h e w o r l d arena. The s p l i t t i n g o f b i p o l a r a l l i a n c e s under c o n t r o l by t h e superpowers was i n i t i a t e d , a decade ago, when I r a q w i t h d r e w from MED0 and o b l i g e d t h e U.S. t o reshape i t s M i d d l e East a l l i a n c e i n t h e more l i m i t e d s t r u c t u r e o f CENTO ( i . e . , e f f e c t i v e l y removing t h e M i d d l e East a l t o g e t h e r from t h e w e s t e r n system o f a l l i a n c e s ) . A few yea r s l a t e r , h a v i n g p r o f i t e d f rom s u b s t a n t i a l i n c r e m e n t s o f S o v i e t a i d i n t h e post-MEDO a f t e r m a t h , I r a q imposed a s i m i l a r c o n s t r a i n t upon t h e U.S.S.R. - by denying i t access t o t h e M i d d l e East v i a I r a q .

The recent elections indicate no need to revise this sentence.

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Egypt's Nasser was n o t slow t o p e r c e i v e t h e advantage o f the b l a c k m a i l game. He, t o o , k i c k e d a s e r i e s o f w e s t e r n s h i n s ( B r i t i s h , F r e n c h , American) and reaped e a s t e r n kudos and cash as a reward. But when S o v i e t s t r a t e g y began t o move from i n d u l g e n c e o f independence (as i n t h e Aswan Dam su b v e n t i o n s ) t o d e p r i v a t i o n o f autonomy, Nasser k i c k e d S o v i e t s h i n s j u s t as hard as ever he had k i c k e d t h e west's -h a r d enough t h a t Khrushchev renounced him p u b l i c l y as an "impetuous young man."

The r e s h a p i n g o f t h e b i p o l a r s t r u c t u r e o f Cold War p o l i t i c s began when t h e superpowers became c o n v i n c e d , owing t o e f f e c t i v e n u c l e a r p a r i t y , t h a t t h e y had l i t t l e t o g a i n by l a r g e - s c a l e v i o l e n c e a g a i n s t each o t h e r . I t was promoted when the emerging n a t i o n s , p e r c e i v i n g t h e o p p o r t u n i t i e s p r e s e n t e d t o them by t h e b i p o l a r s t a n d o f f , developed autonomous demands upon t h e w o r l d arenas. I n i t i a l l y , t h i s took the form o f r e f u s a l t o b i p o l a r i z e - v a r i o u s l y d e s i g n a t e d along a p o l i c y continuum from "non-alignment" t o " p o s i t i v e n e u t r a l i s m . " I n t h e l o n g e r t e r m , i t has r e f o c u s s e d t h e a t t e n t i o n o f t h e w o r l d arena from Cold War s t r a t e g i e s t o Development p o l i c i e s . The core o f t h i s s u c c e s s f u l o p e r a t i o n upon t h e w o r l d p o l i t i c a l arena can be summarized i n a s i n g l e sentence s t a t i n g a crude b u t p o t e n t l e s s o n o f t h e new w o r l d communication network: I t i s our needs, n o t yours, t h a t r e q u i r e w o r l d a t t e n t i o n .

That e v e r y developed area o f t h e g l o b e has responded t o t h i s communic a t i o n from t h e d e v e l o p i n g m o s t - o f - t h e - w o r l d i s t h e measure o f i t s e f f i c a c i t y . The impact upon p o l i c y t h i n k i n g i n t h e U.S. ( t h e one n a t i o n t h a t can r e a d i l y a f f o r d b o t h guns and b u t t e r ) has been marked by t h e p o l i c y t r a n s i t i o n from " t e c h n i c a l a s s i s t a n c e " under P o i n t IV t o " i n t e r n a t i o n a l development" under AID - accompanied by t h e b u d g e t a r y t r a n s i t i o n t h a t n o r m a l l y assures t h e d e v e l o p i n g areas o f a m i n i m a l b i p a r t i s a n commitment o f U.S. funds i n excess o f $3 b i l l i o n per annum. The impact upon S o v i e t t h i n k i n g i s l e s s easy t o express i n n u m e r i c a l terms, owing t o t h e p a r t i c u l a r i t i e s o f S o v i e t b u d g e t i n g and r e p o r t i n g , b u t i s q u i t e e v i d e n t i n t h e r e s h a p i n g o f S o v i e t p o l i c y over t h e p a s t t e n y e a r s . Even such newer European Community i n s t i t u t i o n s as t h e Common Market - t h e o l d c o n t i n e n t ' s most i m a g i n a t i v e e f f o r t t o renew i t s e l f i n i t s p o s t - c o l o n i a l e ra of d i m i n i s h e d power - have s e t a s i d e i m p o r t a n t r e s o u r c e s i n an "Overseas Development Fund" designed t o a i d t h e m o d e r n i z a t i o n o f t h e r e s t - o f - t h e -w o r l d .

The m o d e r n i z a t i o n areas thus have won s i g n i f i c a n t v i c t o r i e s , over the. p a s t decade, i n r e s h a p i n g t h e w o r l d arena t o share t h e burden o f i t s own development problems. I n so d o i n g , however, t h e y have begun a p r o c e s s o f r e s h a p i n g t h e arena i n which t h e i r own n a t i o n a l l i v e s are l i v e d . They have embarked upon t h e f a t e f u l v e n t u r e which K a r l Deutsch c a l l s " t h e m o b i l i z a t i o n o f t h e p e r i p h e r y . " The " p e r i p h e r y " i s t h a t v a s t mass o f the w o r l d ' s peoples who have never b e f o r e f i g u r e d i n a n a t i o n a l o r w o r l d p o l i t i c a l arena. T h e i r " m o b i l i z a t i o n " r e q u i r e s t h e d i f f u s i o n among them o f m o b i l i t y - t h e d e s i r e and t h e c a p a c i t y t o move f r o m where t h e y a r e . The d i f f u s i o n o f m o b i l i t y has i n i t i a t e d a

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process t h a t may w e l l e n t a i l t h e g r e a t e s t t r a n s f o r m a t i o n o f human l i f e - w a y s t h a t has ever been r e c o r d e d i n h i s t o r y . I t i s o f t h i s t r a n s f o r m a t i o n - which may be c o n s i d e r e d as a simul t a n e o u s i n p u t -o u t p u t f u n c t i o n o f e n l i g h t e n m e n t and communication - t h a t we would now b r i e f l y speak. Our focus w i l l be on t h e communication o f i n f o r m a t i o n , p a r t i c u l a r l y v i a t h e mass media, which s u p p l i e s t h e new e n l i g h t e n m e n t u n d e r l y i n g t h e g l o b a l d i f f u s i o n o f m o b i l i t y , t h e c h a r a c t e r o l o g i c a l t r a n s f o r m a t i o n o f empathy, and t h e r e v o l u t i o n a r y r a i s i n g o f e x p e c t a t i o n s i n t h e m o d e r n i z i n g m o s t - o f - t h e - w o r l d .

THE NEW ENLIGHTENMENT: MOBILITY ANV MEPIA; EMPATHY ANV EXPECTATIONS

An e f f o r t i s needed f o r people i n t h e modern West t o a p p r e c i a t e t h e scope and d e p t h o f problems which m o d e r n i z a t i o n p r e s e n t s t o most o f th e contemporary w o r l d . T h i s i s so because people i n t h e Western c u l t u r e have become h a b i t u a t e d t o t h e sense o f change and a t t u n e d t o i t s v a r i o u s rhythms. Many g e n e r a t i o n s ago, i n t h e West, o r d i n a r y men found themselves unbound from t h e i r n a t i v e s o i l and r e l a t i v e l y f r e e t o move. Once t h e y a c t u a l l y moved i n l a r g e numbers, from farms t o f l a t s and from f i e l d s t o f a c t o r i e s , t h e y became i n t i m a t e w i t h t h e i d e a o f change by d i r e c t e x p e r i e n c e . P h y s i c a l m o b i l i t y so e x p e r i e n c e d n a t u r a l l y e n t r a i n e d s o c i a l m o b i l i t y , and g r a d u a l l y t h e r e grew i n s t i t u t i o n s a p p r o p r i a t e t o t h e proc e s s . S o c i a l i n s t i t u t i o n s founded on v o l u n t a r y p a r t i c i p a t i o n by m o b i l e i n d i v i d u a l s r e q u i r e d a new a r r a y o f s k i l l s and a new t e s t o f m e r i t , indeed a new p e r s o n a l i t y . The i d e a spread t h a t p e r s o n a l m o b i l i t y i s i t s e l f a f i r s t - o r d e r v a l u e ; t h e sense grew t h a t s o c i a l m o r a l i t y i s e s s e n t i a l l y t h e e t h i c s o f s o c i a l change. A man i s what he may become; a s o c i e t y i s i t s p o t e n t i a l . These n o t i o n s passed o u t o f t h e realm o f debate i n t o t h e Western law and mores.

I t t o o k much i n t e r w e a v i n g t h r o u g h t i m e , between ways o f d o i n g and ways o f t h i n k i n g , b e f o r e men c o u l d work o u t a s t y l e o f d a i l y l i v i n g w i t h change t h a t f e l t c o n s i s t e n t and seamless. The e x p e r i e n c e o f m o b i l i t y t h r o u g h s u c c e s s i v e g e n e r a t i o n s g r a d u a l l y e v o l v e d p a r t i c i pant l i f e w a y s which f e e l "normal" today. Indeed, w h i l e p a s t c e n t u r i e s e s t a b l i s h e d t h e p u b l i c p r a c t i c e s o f t h e m o b i l e s o c i e t y , i t has been t h e work o f t h e t w e n t i e t h c e n t u r y t o d i f f u s e w i d e l y a m o b i l e s e n s i b i l i t y so a d a p t i v e t o change t h a t rearrangement o f t h e s e l f - s y s t e m i s i t s d i s t i n c t i v e mode. The m o b i l e person i s d i s t i n g u i s h e d by a h i g h c a p a c i t y f o r i d e n t i f i c a t i o n w i t h new aspects o f h i s e n v i r o n ment; he comes equipped w i t h t h e mechanisms needed t o i n c o r p o r a t e new i d e n t i f i c a t i o n s and demands t h a t a r i s e o u t s i d e o f h i s h a b i t u a l e x p e r i e n c e . T h i s c a p a c i t y we c a l l empathy.

We a r e i n t e r e s t e d i n empathy as t h e i n n e r mechanism which enables newly m o b i l e persons t o o p e r a t e e f f i c i e n t l y i n a changing w o r l d . Empathy, t o s i m p l i f y t h e m a t t e r , i s t h e c a p a c i t y t o see o n e s e l f i n an o t h e r f e l l o w 1 s s i t u a t i o n . T h i s i s an i n d i s p e n s a b l e s k i l l f o r people moving o u t o f t r a d i t i o n a l s e t t i n g s . A b i l i t y t o empathize

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may make a l l t h e d i f f e r e n c e , f o r example, when t h e newly m o b i l e p erson i s a v i l l a g e r who grew up knowing a l l t h e i n d i v i d u a l s , r o l e s and r e l a t i o n s h i p s i n h i s environment. O u t s i d e h i s v i l l a g e o r t r i b e , he must meet new i n d i v i d u a l s , r e c o g n i z e new r o l e s , and l e a r n new r e l a t i o n s h i p s i n v o l v i n g h i m s e l f . A r i c h l i t e r a t u r e o f humor and pathos once d e a l t w i t h t h e adventures o f t h e c o u n t r y bumpkin i n the B i g C i t y , t h e b e w i l d e r e d immigrant i n a s t r a n g e l a n d . They had t o l e a r n t h e i r way i n these new s e t t i n g s . L e a r n , i n s w e l l i n g numbers, t h e y d i d . The s t o r y o f t h e 19th c e n t u r y West i n c l u d e s t h i s l e a r n i n g , which now e n t e r s the s t o r y o f t h e 2 0 t h c e n t u r y East. A c c o r d i n g l y , we a r e i n t e r e s t e d i n t h e m o b i l e p e r s o n a l i t y m a i n l y as a s o c i a l phenomenon w i t h a h i s t o r y . Our concern i s w i t h t h e l a r g e h i s t o r i c a l movement, now becoming v i s i b l e everywhere i n the m o s t - o f - t h e - w o r l d , o f w h i c h an e n l a r g e d c a p a c i t y f o r empathy i s t h e d i s t i n c t i v e p s y c h i c component. Our i n t e r e s t i s t o c l a r i f y t h e process whereby t h e h i g h e m p a t h i z e r tends t o become a l s o the cash customer, t h e r a d i o l i s t e n e r , t h e v o t e r .

A m a j o r h y p o t h e s i s i n t h i s t h e o r e t i c a l model i s t h a t h i g h empathic c a p a c i t y i s t h e predominant p e r s o n a l s t y l e o n l y i n modern s o c i e t y , w h i c h i s d i s t i n c t i v e l y i n d u s t r i a l , urban, l i t e r a t e and participant. T r a d i t i o n a l s o c i e t y i s n o n p a r t i c i p a n t : i t d e p l o y s people by k i n s h i p i n t o communities u s u a l l y i s o l a t e d from each o t h e r and o f t e n i s o l a t e d from any c e n t e r ; w i t h o u t an u r b a n - r u r a l d i v i s i o n o f l a b o r , i t d evelops few needs r e q u i r i n g economic i n t e r d e p e n d e n c e ; l a c k i n g t h e bonds o f b r e a d - a n d - b u t t e r i n t e r d e p e n d e n c e , people's h o r i z o n s are l i m i t e d by l o c a l e and t h e i r d e c i s i o n s i n v o l v e o n l y o t h e r known p e o p l e i n known s i t u a t i o n s . Hence, t h e r e i s no need f o r a t r a n s -p e r s o n a l d o c t r i n e f o r m u l a t e d i n terms o f shared secondary symbols -an " i d e o l o g y " which enables persons unknown t o each o t h e r t o engage i n p o l i t i c a l c o n t r o v e r s y o r achieve "consensus" by comparing t h e i r o p i n i o n s . Modern s o c i e t y i s p a r t i c i p a n t by c o n t r a s t , p r e c i s e l y because i t f u n c t i o n s by "consensus." I n d i v i d u a l s making p r i v a t e d e c i s i o n s on p u b l i c i s s u e s must concur o f t e n enough w i t h o t h e r i n d i v i d u a l s t h e y do not know t o make p o s s i b l e a s t a b l e common governance. Among t h e marks o f t h i s h i s t o r i c achievement i n s o c i a l o r g a n i z a t i o n , which we c a l l P a r t i c i p a n t S o c i e t y , a r e t h e s e ; most people go t h r o u g h s c h o o l ; r e a d newspapers and l i s t e n t o r a d i o s ; r e c e i v e cash payments i n j o b s t h e y are l e g a l l y f r e e t o change; buy goods f o r cash i n an open market; v o t e i n e l e c t i o n s which a c t u a l l y d e c i d e among competing c a n d i d a t e s ; and express o p i n i o n s on many m a t t e r s w hich ar e n o t t h e i r p r i v a t e b u s i n e s s .

E x p e c i a l l y i m p o r t a n t , f o r t h e P a r t i c i p a n t S t y l e , i s t h e enormous p r o p o r t i o n o f i n d i v i d u a l s who a r e expected t o "have o p i n i o n s " on p u b l i c m a t t e r s - and t h e c o r o l l a r y e x p e c t a t i o n o f these people t h a t t h e i r o p i n i o n s w i l l m a t t e r . I t i s t h i s s u b t l y c o m p l i c a t e d s t r u c t u r e o f r e c i p r o c a l e x p e c t a t i o n w h i ch s u s t a i n s widespread empathy. For, i n any s o c i e t y , o n l y when t h e accepted model o f b e h a v i o r i s emulated by t h e p o p u l a t i o n a t l a r g e does i t become t h e p r e d o m i n a n t ' p e r s o n a l s t y l e . The model o f b e h a v i o r developed by modern s o c i e t y i s c h a r a c t e r i z e d by empathy, a h i g h c a p a c i t y f o r r e a r r a n g i n g t h e s e l f -

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system on s h o r t n o t i c e . Whereas t h e i s o l a t e d communities o f t r a d i t i o n a l s o c i e t y f u n c t i o n e d w e l l i n t h e b a s i s o f a h i g h l y cons t r i c t i v e p e r s o n a l i t y , t h e i n t e r d e p e n d e n t s e c t o r s o f modern s o c i e t y •require widespread p a r t i c i p a t i o n . T h i s , i n t u r n , r e q u i r e s an expansive and a d a p t i v e s e l f - s y s t e m , ready t o i n c o r p o r a t e new r o l e s -which enables them t o i d e n t i f y p e r s o n a l v a l u e s w i t h p u b l i c i s s u e s , i n d i v i d u a l demand w i t h i n s t i t u t i o n a l s u p p l y . T h i s i s why m oderniz a t i o n o f any s o c i e t y has i n v o l v e d t h e g r e a t p e r s o n a l i t y t r a n s f o r m a t i o n we c a l l empathy. The l a t e n t s t a t i s t i c a l a s s e r t i o n i n v o l v e d here i s t h i s : I n modern s o c i e t y more i n d i v i d u a l s e x h i b i t higher empathic c a p a c i t y than i n any t r a d i t i o n a l s o c i e t y .

The expansion o f p s y c h i c m o b i l i t y means t h a t more people now command g r e a t e r s k i l l s i n i m a g i n i n g themselves as s t r a n g e persons i n s t r a n g e s i t u a t i o n s , p l a c e s and times than d i d people i n any p r e v i o u s h i s t o r i c a l epoch. I n our t i m e , i n d e e d , t h e spread o f empathy around t h e w o r l d i s a c c e l e r a t i n g . The e a r l i e r i n c r e a s e o f p h y s i c a l e x p e r i e n c e t h r o u g h t r a n s p o r t a t i o n has been m u l t i p l i e d by t h e spread o f mediated e x p e r i e n c e t h r o u g h mass communication. A g e n e r a t i o n b e f o r e Columbus s a i l e d t o t h e New World, Gutenberg a c t i v a t e d h i s p r i n t i n g p r e s s . The t e c h n i c a l h i s t o r y o f t h e p o p u l a r a r t s suggests t h e sequence. The t y p i c a l l i t e r a r y form o f t h e modern epoch, t h e n o v e l , i s a conveyance o f d i s c i p l i n e d empathy. Where t h e poet once s p e c i a l i z e d i n s e l f - e x p r e s s i o n , the modern n o v e l i s t r e p o r t s h i s s u s t a i n e d i m a g i n a t i o n o f t h e l i v e s o f o t h e r s . The process i s c a r r i e d f u r t h e r i n t h e movies and i n r a d i o - t e l e v i s i o n dramas. These have peopled t h e d a i l y w o r l d o f t h e i r audience w i t h s u s t a i n e d , even i n t i m a t e , e x p e r i e n c e o f t h e l i v e s o f o t h e r s .

Radio, f i l m and t e l e v i s i o n c l i m a x t h e e v o l u t i o n s e t i n t o m o t i o n by Gutenberg. The mass media opened t o t h e l a r g e masses o f mankind t h e i n f i n i t e vicarious u n i v e r s e . Many more m i l l i o n s o f persons i n t h e w o r l d were t o be a f f e c t e d d i r e c t l y , and perhaps more p r o f o u n d l y , by t h e communication media than by t h e t r a n s p o r t a t i o n conveyances. Moreover, by o b v i a t i n g t h e p h y s i c a l d i s p l a c e m e n t o f t r a v e l , t h e media accented t h e p s y c h i c d i s p l a c e m e n t o f v i c a r i o u s e x p e r i e n c e . For t h e i m a g i n a r y u n i v e r s e n o t o n l y i n v o l v e s more p e o p l e , b u t i t i n v o l v e s them i n a d i f f e r e n t o r d e r o f e x p e r i e n c e . There i s a w o r l d o f d i f f e r e n c e , we know, between "armchair t r a v e l " and a c t u a l l y " b e i n g t h e r e . " What i s t h e d i f f e r e n c e ?

P h y s i c a l e x p e r i e n c e o f a new environment a f f r o n t s t h e s e n s i b i l i t y w i t h a new p e r c e p t i o n o f Lasswell-Holmberg " i n t e r a c t i o n s " i n t h e i r complex n a t u r a l s e t t i n g . V i c a r i o u s e x p e r i e n c e occurs i n q u i t e d i f f e r e n t c o n d i t i o n s . I n s t e a d o f t h e c o m p l e x i t i e s t h a t a t t e n d a " n a t u r a l " e n v i r o n ment, mediated e x p e r i e n c e e x h i b i t s t h e s i m p l i c i t y o f " a r t i f i c i a l " s e t t i n g s c o n t r i v e d by t h e c r e a t i v e communicator. Thus, w h i l e the t r a v e l e r i s a p t t o become b e w i l d e r e d by t h e p r o f u s i o n o f s t r a n g e s i g h t s , sounds and s m e l l s , t h e r e c e i v e r o f m e d i a t e d communications i s l i k e l y t o be e n j o y i n g a composed and o r c h e s t r a t e d v e r s i o n o f t h e new r e a l i t y . He has t h e b e n e f i t o f more f a c i l e p e r c e p t i o n o f t h e new e x p e r i e n c e as a "whole," w i t h t h e c o n c o m i t a n t advantage (which

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i s sometimes i l l u s o r y ) o f f a c i l e comprehension. The s t i m u l i o f perc e p t i o n , which shape u n d e r s t a n d i n g , have been s i m p l i f i e d .

The s i m p l i f i c a t i o n o f s t i m u l i , however, i s accomplished a t a c e r t a i n c o s t . The d i s p l a c e d t r a v e l e r ' s g r e a t p r a g m a t i c advantage i s t h a t he must t a k e r e s p o n s i v e a c t i o n toward t h e s t i m u l i p r e s e n t e d by the new enviro n m e n t . However p a i n f u l t h i s may be - as when, t o t a k e a si m p l e case, he has l o s t h i s way and must ask d i r e c t i o n s i n a language o f which h i s mastery i s u n c e r t a i n - o v e r t a c t i o n does h e l p t o d i s c h a r g e t h e t r a v e l e r ' s i n t e r i o r t e n s i o n s . But t h e pas s i v e audience f o r mediat e d .communications has no such d i s c h a r g e c h a n n e l ; t h e r a d i o -l i s t e n e r ' s p e r s o n a l response t o new s t i m u l i remains c o n f i n e d t o h i s own i n t e r i o r . The i n h i b i t i o n o f o v e r t a c t i v e response i s a l e a r n e d b e h a v i o r and a d i f f i c u l t one. I t was common, i n t h e e a r l y days o f movies, f o r persons s t r a i n e d beyond endurance t o t h r o w themselves or some o b j e c t a t t h e screen t o sto p t h e v i l l a i n from s t r a n g l i n g t h e h e r o i n e . Even t h e " o l d media hands" among our y o u n s t e r s today w i l l sometimes, a t a p a r t i c u l a r l y a g o n i z i n g moment i n t h e t e l e v i s i o n show, h i d e t h e i r f a c e s .

Thus t h e mass media, by s i m p l i f y i n g perception (what we "see") w h i l e g r e a t l y c o m p l i c a t i n g response (what we " d o " ) , have been g r e a t t e a c h e r s o f i n t e r i o r m a n i p u l a t i o n . They d i s c i p l i n e d Western man i n the s e empathic s k i l l s w h i ch s p e l l m o d e r n i t y . They a l s o p o r t r a y e d f o r him t h e r o l e s he m i g h t c o n f r o n t and e l u c i d a t e d t h e o p i n i o n s he m i g h t need. T h e i r c o n t i n u i n g spread i n our c e n t u r y i s p e r f o r m i n g a s i m i l a r f u n c t i o n on a w o r l d s c a l e . The Mi d d l e East a l r e a d y shows t h e marks o f t h i s h i s t o r i c encounter. As .a yo.ung b u r e a u c r a t i n I r a n p u t i t : "The movies a r e l i k e a t e a c h e r t o us, who t e l l s us what t o do and what n o t . " The g l o b a l network o f mass media has a l r e a d y r e c r u i t e d enough new p a r t i c i p a n t s i n a l l c o r n e r s o f t h e e a r t h t o make th e " o p i n i o n s o f mankind" a r e a l f a c t o r i n s t e a d o f a f i n e phrase i n t h e arena o f w o r l d p o l i t i c s . There now e x i s t s , and i t s scope a c c e l e r a t e s a t an e x t r a o r d i n a r y pace, a genuine " w o r l d p u b l i c o p i n i o n . " T h i s has happened because m i l l i o n s o f pe o p l e , who never l e f t t h e i r n a t i v e h e a t h , now are l e a r n i n g t o imagine how l i f e i s o r g a n i z e d i n d i f f e r e n t lands and under d i f f e r e n t codes than t h e i r own. That t h i s s i g n i f i e s a n e t i n c r e a s e i n human i m a g i n a t i v e n e s s , so c o n s t r u e d , i s t h e p r o p o s i t i o n under c o n s i d e r a t i o n .

The i n c r e a s e o f human i m a g i n a t i v e n e s s , under t h e new e n l i g h t e n m e n t , has enormous s o c i e t a l consequences. * I n p a r t i c u l a r , i t t r a n s f o r m s a l l t h o s e " i n t e r a c t i o n s " by which our Lasswell-Holmberg framework paper d e f i n e d v a l u e e v e n t s ; and i t does so by t r a n s f o r m i n g t h e "sequence o f communication and c o l l a b o r a t i o n " which enable a l l such i n t e r a c t i o n s t o be summarized. M o b i l i t y i n i t i a t e s t h e process by d i s p l a c i n g persons i n t o new environments. Media - which we have c a l l e d t h e " m o b i l i t y m u l i p l i e r " - a c c e l e r a t e t h e process by d e p i c t i n g a l t e r n a t i v e v a l u e events and s u p p l y i n g v i c a r i o u s lessons i n t h e i n t e r a c t i v e sequences a p p r o p r i a t e t o them. Empathy, which enables i n d i v i d u a l s t o und e r s t a n d such v i c a r i o u s e x p e r iences and t o r e f i g u r e t h e i r sequences i n p e r s o n a l terms, i n v a r i a b l y leads t o r i s i n g

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e x p e c t a t i o n s . For, what can a c t i v a t e a man's i m a g i n a t i o n more e f f e c t i v e l y t h a n an i d e a o f something better t h a n what he has?

The empathy-based " r e v o l u t i o n o f r i s i n g e x p e c t a t i o n s " has been w i t h us now f o r two decades. We have l e a r n e d from i t s v i s i b l e consequences t h a t r i s i n g media p a r t i c i p a t i o n tends t o r a i s e p a r t i c i p a t i o n i n a l l s e c t o r s o f t h e s o c i a l system. I n a c c e l e r a t i n g t h e spread o f empathy, i t a l s o d i f f u s e s those o t h e r modern demands t o which p a r t i c i p a n t i n s t i t u t i o n s have responded: i n t h e consumer's economy v i a cash (and c r e d i t ) , i n t h e p u b l i c forum v i a o p i n i o n , i n t h e r e p r e s e n t a t i v e p o l i c y v i a v o t i n g .

But we have a l s o l e a r n e d t h a t no underdeveloped s o c i e t y can s a t i s f y such a simultaneous s e t o f r i s i n g demands - o r , a t l e a s t , t h a t no d e v e l o p i n g s o c i e t y has done so over t h e p a s t two decades. I t i s t o t h i s d i s e q u i l i b r i u m between i n d i v i d u a l demand and i n s t i t u t i o n a l s u p p l y t h a t we now t u r n .

'THE WANT:GET RATIO ANV RISING FRUSTRATIONS

The p a s t two decades have t a u g h t us t h a t m o b i l i t y , w h i l e i n d i s p e n s a b l e t o r a p i d s o c i a l change, i s n o t enough. I t i s a necessary b u t n o t s u f f i c i e n t c o n d i t i o n o f g r o w t h . Since m o b i l i t y i s a seeking f o r something b e t t e r , i t must be b a lanced by a f i n d i n g , - as, i n e q u i l i b r i u m , a demand must be b a lanced by a s u p p l y . I t i s t h e cont i n u i n g f a i l u r e o f most t r a n s i t i o n a l s o c i e t i e s t o m a i n t a i n t h e b a l a n c e o f p s y c h i c supply-and-demand t h a t u n d e r l i e s t h e new r e v o l u t i o n o f r i s i n g f r u s t r a t i o n s .

The spread o f f r u s t r a t i o n a c c e l e r a t e s when many people i n a s o c i e t y want f a r more t h a n t h e y can hope t o g e t . T h i s d i s p a r i t y i n t h e "want: g e t " r a t i o has been s t u d i e d i n t e n s i v e l y i n t h e s o c i a l s c i e n c e l i t e r a t u r e i n terms o f achievement and a s p i r a t i o n , as expressed i n t h e f o l l o w i n g e q u a t i o n (adapted from an i n g e n i o u s f o r m u l a o f W i l l i a m James):

Achievement S a t i s f a c t i o n =

A s p i r a t i o n

T h i s f o r m u l a t e s t h e p r o p o s i t i o n t h a t an i n d i v i d u a l ' s l e v e l o f s a t i s f a c t i o n i s always, a t any moment o f h i s l i f e , a r a t i o between what he wants and what he g e t s . A person w i t h low achievement may be s a t i s f i e d i f h i s a s p i r a t i o n s are e q u a l l y low. A person w i t h h i g h achievement may s t i l l be d i s s a t i s f i e d i f h i s a s p i r a t i o n s f a r exceed h i s accomplishments. R e l a t i v e d e p r i v a t i o n , as has been shown, i s t h e e f f e c t i v e measure o f s a t i s f a c t i o n among i n d i v i d u a l s and groups.

A wide and deep imbalance i n t h i s r a t i o c h a r a c t e r i z e s t h e d e v e l o p i n g areas t h a t are now b e s e t by r i s i n g f r u s t r a t i o n s . T y p i c a l l y i n t h e s e s i t u a t i o n s the denominator i n c r e a s e s f a s t e r t h a n t h e numerator - i . e . ,

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a s p i r a t i o n o u t r u n s achievement so f a r t h a t many pe o p l e , even i f they are making some p r o g r e s s toward t h e i r g o a l , are d i s s a t i s f i e d because t h e y g e t so much l e s s t h a n t h e y want. Indeed, i n some d e v e l o p i n g c o u n t r i e s a s p i r a t i o n s have r i s e n so h i g h as t o annul s i g n i f i c a n t achievements i n t h e s o c i e t y as a whole.

Our e x p e r i e n c e o f t h e a p p a r e n t l y i n s u p e r a b l e d i s e q u i l i b r i a i n t h e w a n t : g e t r a t i o a l s o has been a source o f deep f r u s t r a t i o n t o t h e o r i s t s and p l a n n e r s o f m o d e r n i z a t i o n . I t has f a l s i f i e d t h e p r e d i c t i o n s and b e l i e d t h e assumptions o f those who foresaw t h e coming of t h e good s o c i e t y t o t h e backward a r e a s . Among i t s c a s u a l t i e s has been t h e assumption t h a t i f some p a r t i c u l a r i n p u t was made - i . e . , i n v e s t m e n t c a p i t a l , i n d u s t r i a l p l a n t , a g r i c u l t u r a l methods, e n t r e p r e n e u r i a l t r a i n i n g , o r any o t h e r "key f a c t o r " p r e f e r r e d by the a n a l y s t - then a m o d e r n i z a t i o n process would be g e n e r a t e d more or l e s s spontaneously. T h i s i s a s e r i o u s c a s u a l t y . As L u c i a n Pye has a p t l y w r i t t e n : " F a i t h i n s p o n t a n e i t y d i e d soon a f t e r t h e f i r s t e x - c o l o n i a l people began t o e x p e r i e n c e f r u s t r a t i o n s and d i s a p p o i n t ment a t becoming a modern n a t i o n . "

T h i s f r u s t r a t i n g e x p e r i e n c e i s new t o us and r e q u i r e s c a r e f u l e v a l u a t i o n - p a r t i c u l a r l y by those who want t h e a n a l y s i s o f p a s t d e f e a t s t o h e l p prepare t h e modest v i c t o r i e s t h a t may s t i l l be hoped f o r . The postwar decades w i t n e s s e d t h e spread o f economic development p r o j e c t s around much o f t h e w o r l d . People t h r o u g h o u t t h e backward and i m p o v e r i s h e d areas o f the w o r l d suddenly a c q u i r e d t h e sense t h a t a b e t t e r l i f e was p o s s i b l e f o r them. New l e a d e r s arose who encouraged t h e i r people t o b e l i e v e i n the imminence o f progress and t h e f u l f i l l m e n t o f t h e i r new, o f t e n m i l l e n i a l , hopes. A g r e a t f o r w a r d surge o f expectancy and a s p i r a t i o n , o f d e s i r e and demand, was awakened among peoples who f o r c e n t u r i e s had remained hopeless and i n e r t . T h i s f o r w a r d f e e l i n g was shared by development a n a l y s t s .

A s i g n i f i c a n t l y d i f f e r e n t mood c h a r a c t e r i z e s t h i n k i n g about t h e decade b e f o r e us. While r i s i n g e x p e c t a t i o n s c o n t i n u e t o spread around t h e underdeveloped w o r l d , those o f us who r e t a i n an i n t e r e s t i n comprehending o r programming r a p i d g r o w t h have l e a r n e d t h a t t h e ways o f p r o g r e s s are hard t o f i n d , t h a t a s p i r a t i o n s are more easily-aroused t h a n s a t i s f i e d . There i s a new concern t h a t t h e 1960's may w i t n e s s t h e r a d i c a l c o u n t e r - f o r m a t i o n we have c a l l e d a r e v o l u t i o n o f r i s i n g f r u s t r a t i o n s . As t h e i n s t i t u t i o n a l l i m i t s on d u r a b l e i n c o r p o r a t i o n o f r a p i d g r o w t h have become more c l e a r l y v i s i b l e , we have become more concerned w i t h maintenance o f e q u i l i b r i u m i n d e v e l o p i n g s o c i e t i e s . Among o t h e r t h i n g s , we have l e a r n e d t h a t d i s e q u i l i b r i u m i s n o t always f u n c t i o n a l and t h a t t h e s u b v e r s i o n o f i n s t i t u t i o n s i s n o t always " p r o g r e s s i v e " - o r , a t l e a s t , t h a t t h e changes which f o l l o w t h e breakdown o f e x t a n t i n s t i t u t i o n s do n o t n e c e s s a r i l y s i g n a l p r o g r e s s i n the d i r e c t i o n p o s t u l a t e d by our own p r e f e r e n c e models or t h o s e o f the d e v e l o p i n g peoples. The r e c u r r e n c e o f " m i l i t a r y t a k e o v e r , " i n every m o d e r n i z i n g r e g i o n o f t h e w o r l d , i s a case i n p o i n t .

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We submit t h a t t h e inadequacy o f much b e h a v i o r a l t h e o r i z i n g about m o d e r n i z a t i o n i s due t o i n a t t e n t i o n t o t h e f u n c t i o n a l r o l e o f i n s t i t u t i o n s i n t h e shaping - as w e l l as s h a r i n g - o f t h e new va l u e s which m o t i v a t e and a c t i v a t e a l l s o c i a l change. We f u r t h e r submit t h a t i n s t i t u t i o n s comprise some o f t h e e s s e n t i a l t i m e - p l a c e c o n d i t i o n s o f m o b i l i t y and s t a b i l i t y - t h e i r tempo and balance i n any p a r t i c u l a r s o c i e t y a t any p a r t i c u l a r p e r i o d o f i t s h i s t o r y -t h a t must f i g u r e i n any s t r a t e g y o f a c c e l e r a t e d development.

Since t h e s e statements i n d i c a t e my c o n v i c t i o n t h a t b e h a v i o r i s t s have s i g n i f i c a n t l y u n d e r e s t i m a t e d t h e r e l e v a n c e o f i n s t i t u t i o n s f o r a l l t h e o r i e s o f induced s o c i a l change, I t u r n n e x t t o t h i s i t e m on t h e agenda a u t h o r i z e d by t h e Lasswell-Holmberg framework paper. I n t h e o r e t i c a l t erms, we seek t o r e p l a c e t h e m i s l e a d i n g n o t i o n o f a " t r a n s f e r o f i n s t i t u t i o n s " w i t h a b e h a v i o r a l l y - b a s e d argument t h a t any such t r a n s f e r can o n l y be e f f e c t i v e l y i n c o r p o r a t e d i n a m o d e r n i z i n g s o c i e t y when i t o p e r a t e s t h r o u g h an i n d i g e n o u s " t r a n s f o r m a t i o n o f i n s t i t u t i o n s . "

THE TRANSFORMAT TOM OF INSTITUTIONS2

We s t a r t from t h e d e f i n i t i o n t h a t i n s t i t u t i o n s a r e t h e b e h a v i o r a l p a t t e r n s performed by people whose g o a l i s t o enhance as much as p o s s i b l e t h e v a l u e s w h ich t h e y h o l d i m p o r t a n t . The process i n v o l v e s an e x p e n d i t u r e o f a v a i l a b l e s k i l l s and knowledge upon t h e raw m a t e r i a l s a t hand; t h e process i s a c t u a l l y one o f c o n v e r s i o n . The process becomes an i n s t i t u t i o n when t h e a p p l i c a t i o n o f t e c h n i q u e s t o t h e r e s o u r c e s i s f o r m u l a t e d i n t o a s e t p a t t e r n w h ich i s p r o d u c t i v e l y e f f i c i e n t . R o u t i n e b e h a v i o r w h ich conforms t o a m a x i m i z i n g p r i n c i p l e i s r a t i o n a l . An i n s t i t u t i o n , i n s h o r t , i s a code o f r a t i o n a l , r o u t i n e a c t i v i t y .

The s t y l e o f such codes i s v a r i o u s . They may be p r e s c r i b e d by s t a t u t e o r be made r o u t i n e t h r o u g h custom. The r u l e s may be numerous and d e t a i l e d , hence r i g i d ; o r t h e y may f i x o n l y scant r u l e s - o f - t h e -game w i t h i n w h i ch b e h a v i o r a l v a r i a t i o n i s p e r m i t t e d , hence f l e x i b l e . A code i s c o e r c i v e i f i t p r e s c r i b e s mandatory s a n c t i o n s a g a i n s t a l l s p e c i f i c t r a n s g r e s s i o n s , o r p e r s u a s i v e i f i t s m o t i v a t i n g mechanism i s inducement r a t h e r t h a n r e t r i b u t i o n . F i n a l l y , codes v a r y w i d e l y i n t h e i r e f f i c i e n c y — i . e . , t h e r a t i o o f c o s t t o g a i n i n t h e c o n v e r s i o n process.

For example, c o n s i d e r t h e m a r i t a l i n s t i t u t i o n , w h i ch r e g u l a t e s t h e b e h a v i o r o f spouses se e k i n g m u t u a l v a l u e s by t h e a p p l i c a t i o n o f m u t u a l t e c h n i q u e s t o m u t u a l r e s o u r c e s . No i n s t i t u t i o n i s more u n i v e r s a l ; no codes are more v a r i o u s . T h e i r d i v e r s i t y d e r i v e s from t h e v a r y i n g

Here I have adapted my somewhat polemical attack upon the management of a symposium on this problem. See my lead article "The Trans formation of Institutions" in THE TRANSFER OF INSTITUTIONS, ed. W. B. Hamilton (Duke 1964).

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c o n c e p t i o n s o f t h e v a l u e s which are t o be enhanced by marr i a g e . The d i f f e r i n g v a l u e s a t t a c h e d t o m a r r i a g e , i n t u r n , d i v e r s i f y t h e conc e p t i o n o f t h e b a s i c r e s o u r c e which i s t o be c o n v e r t e d . Where g r e a t e r importance i s a t t a c h e d t o c o n j u g a l b l i s s , t h e r e a f f e c t i o n i s t h e raw m a t e r i a l . Where s e l f - r e p r o d u c t i o n i s t h e p r i m a r y g o a l , t h e g e n e t i c r e s o u r c e becomes s a l i e n t . On t he o t h e r hand, j o i n t income and s o c i a l s t a t u s are fundamental t o t h e m a r r i a g e which i s i d e n t i f i e d w i t h socioeconomic g a i n .

U n d e r l y i n g these v a r i a t i o n s , which a n t h r o p o l o g y has e l a b o r a t e d i n a f o r m i d a b l e i n v e n t o r y , m a r i t a l codes e x h i b i t one remarkable r e g u l a r i t y : t h e y always s t i p u l a t e t h e c o n d i t i o n s o f a u t h o r i z e d p a r t i c i p a t i o n i n m a r i t a l r o u t i n e s . However-widely t h e codes may d i f f e r i n t h e i r d e f i n i t i o n s o f t h e v a l u e s o f m a r r i a g e , t h e y a l l j o i n i n r e c o g n i z i n g t h a t r a t i o n a l f o r m u l a t i o n o f m a r i t a l b e h a v i o r r e q u i r e s t h e e x p l i c i t s t i p u l a t i o n o f "who does what t o whom" ( t o adapt a phrase from L a s s w e l l ) . F u r t h e r m o r e , t h i s f u n c t i o n a l component i s p r e s e n t i n a l l m a r i t a l codes, though t h e i r s t r u c t u r a l s t i p u l a t i o n s may v a r y w i d e l y i n r i g i d i t y , c o e r c i v e n e s s , and e f f i c i e n c y .

I n t e r e s t i n t h i s r e g u l a r i t y i s i n d i c a t e d by a case s t u d y by P r o f e s s o r John Kemeny, who i s a mat h e m a t i c i a n and n o t an a n t h r o p o l o g i s t . He sought t o d i s c o v e r how e f f i c i e n t l y t h e r u l e s designed t o p r e v e n t i n c e s t u o u s and consanguineous m a r r i a g e s o p e r a t e i n c e r t a i n p r i m i t i v e s o c i e t i e s . The e f f i c a c y o f these r u l e s i s e x t r e m e l y i m p o r t a n t i n s o c i e t i e s where no w r i t t e n r e c o r d s a r e k e p t , f o r here f a m i l y r e l a t i o n s h i p s may be confused o r f o r g o t t e n , making p o s s i b l e i n n o c e n t m i s t a k e s . A c o n v e n t i o n a l procedure i s t o a s s i g n t o each person i n t h e s o c i e t y a c e r t a i n "marriage t y p e " and t o r u l e t h a t o n l y men and women o f t h e same t y p e may marry. I f every son and daughter i s a s s i g n e d a t y p e which d i f f e r s from t h e p a r e n t s 1 and from each o t h e r s 1 , t h e n i n c e s t u o u s m a r r i a g e can be stopped e f f e c t i v e l y .

A p r o b l e m a r i s e s , however, i n d e s i g n i n g an e f f i c i e n t r u l e t o p r e v e n t i n t e r m a r r i a g e between persons o f t h e n e x t degree o f b l o o d - r e l a t i o n s h i p , e.g., u n c l e s , a u n t s , f i r s t c o u s i n s . Most p r i m i t i v e s o c i e t i e s w h i c h i n c o r p o r a t e t h i s purpose i n t h e i r m a r i t a l code have d e v i s e d some r u l e t o accomplish i t — more o r l e s s . The e l u s i v e quantum o f e r r o r i n these codes, which o t h e r w i s e do r a t i o n a l l y govern marriage c h o i c e s , may p e r p e t u a t e t h r o u g h g e n e r a t i o n s and c e n t u r i e s a l e s s t h a n o p t i m a l l y - e f f i c i e n t r u l e t h a t causes deep and unnecessary unhappiness t o i n d i v i d u a l s i n these f o l k s o c i e t i e s .

I t was d o u b t l e s s t h e p l i g h t o f these people t h a t s t i m u l a t e d P r o f e s s o r Kemeny t o work o u t a m a t h e m a t i c a l - t y p e model f o r i m p r o v i n g t h e "more o r l e s s " e f f i c i e n t o p e r a t i o n o f m a r i t a l codes. He d i d t h i s by p e r c e i v i n g t h e a l g e b r a i c common c h a r a c t e r i s t i c o f these codes ( t h e i r "parameter") :

The m a r r i a g e group must be a r e g u l a r p e r m u t a t i o n group which i s g e n e r a t e d by t h e p a r e n t - t o - s o n t r a n s f o r m a t i o n and by the p a r e n t - t o - d a u g h t e r t r a n s f o r m a t i o n . Since r e g u l a r p e r m u t a t i o n

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groups a r e r e l a t i v e l y r a r e , t h i s theorem enables one t o f i n d e a s i l y a l l p o s s i b l e m a r r i a g e r u l e s f o r a g i v e n number of m a r r i a g e t y p e s . For example, i t i s shown t h a t t h e r e a r e b u t s i x p o s s i b l e s e t s o f r u l e s f o r a s o c i e t y h a v i n g f o u r m a r r i a g e t y p e s .

A p p l y i n g t h i s g e n e r a l model t o s o c i e t i e s w i s h i n g t o p r o h i b i t a l l f i r s t - c o u s i n m a r r i a g e s , Kemeny s t a t e s t h a t " t h e necessary and s u f f i c i e n t c o n d i t i o n f o r t h i s i s t h a t p a r e n t - t o - s o n and p a r e n t - t o -daughter t r a n s f o r m a t i o n s s h o u l d n o t commute and t h a t t h e i r squares should n o t be e q u a l . " R e l a t i n g t h e new g e n e r a l r u l e t o t h e two p a r t i c u l a r i n s t i t u t i o n a l codes which focused h i s a t t e n t i o n on t h i s problem, Kemeny concludes: "The K a r i e r a and Tarau s o c i e t i e s c o u l d h o t p o s s i b l y have e l i m i n a t e d a l l f i r s - c o u s i n m a r r i a g e s i f t h e y wanted t o use o n l y f o u r t y p e s . " !

P r o f e s s o r Kemeny, a humane as w e l l as b r i l l i a n t man, t h e n r e f l e c t s on t h e human meaning o f t h e problem he has s o l v e d . He w r i t e s :

I t i s most i m p r e s s i v e t h a t a s o c i e t y t h a t i s unable t o keep p r e c i s e r e c o r d s s h o u l d have been a b l e t o s o l v e , t h r o u g h t r i a l and e r r o r , a problem t h a t r e q u i r e s f a i r l y i n t r i c a t e m a t h e m a t i c a l o p e r a t i o n s f o r f o r m a l a n a l y s i s . I t a l s o shows, however, t h a t t h e i r procedures c o u l d have been c o n s i d e r a b l y improved i f t h e y had been i n a p o s i t i o n t o use modern a l g e b r a t o d e s i g n t h e r u l e s .

T h i s c o n c l u s i o n i s , i n my judgment, i n t e l l e c t u a l l y c o r r e c t and m o r a l l y good. Y et, i t leaves t h e h a r d e s t problem untouched f o r those o f us i n t e r e s t e d i n t he t r a n s f e r o f i n s t i t u t i o n s . L e t us be c l e a r about why I have p r e s e n t e d t h e Kemeny case s t u d y t o you. I am no s p e c i a l i s t i n t h e c o d i f i c a t i o n o f m a r r i a g e r u l e s , h a v i n g never g o t t e n beyond amateur s t a t u s i n m a r i t a l r e l a t i o n s . Nor do I p r e t e n d t o be e x p e r t i n t h e m a t h e m a t i z a t i o n o f "anybody's problems." Since I am more p r e o c c u p i e d w i t h who has which problems and why, I p a r t i c u l a r l y ask th o s e o f you who have expressed i n t e r e s t i n t h e l a t e n t - s t r u c t u r e a n a l y s i s o f my M i d d l e E a s t e r n m a t e r i a l s , t o probe deeper t h a n t h e mere l y m a r i t a l and m a t h e m a t i c a l s u r f a c e o f t h e p r e s e n t case.

See J. G. Kemeny, "Mathematics without Numbers," in D. Lerner (Ed.), QUANITY AND QUALITY, The Free Press, 1961.

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I i n v i t e you t o c o n s i d e r , r a t h e r , t h e poignancy o f Kemeny's c o n d i t i o n : " . . . i f t h e y had been i n a p o s i t i o n t o use modern a l g e b r a t o design t h e r u l e s . " I f u r t h e r i n v i t e you, i n t h i s roundabout b u t p o i n t e d way, t o c o n s i d e r t h e deep q u e s t i o n : What would such s o c i e t i e s as K a r i e r a and Tarau have t o become i n o r d e r t o p u t themselves i n a p o s i t i o n t o use modern a l g e b r a t o improve t h e i r m a r r i a g e r u l e s ? T h i s , I b e l i e v e , i s t h e basic q u e s t i o n f o r those o f us concerned w i t h t h e t r a n s f e r o f i n s t i t u t i o n s from more t o l e s s developed s o c i e t i e s .

Kemeny's encounter w i t h t h e u n t u t o r e d peoples suggests two lessons o f g e n e r a l i m p o r t f o r t h e t r a n s f o r m a t i o n o f i n s t i t u t i o n s . One i s t h a t t h e b e h a v i o r a l p a t t e r n s r o u t i n i z e d i n t r a d i t i o n a l s o c i e t i e s are r a t i o n a l i n some sense — i . e . , t h e y do a p p l y t h e b e s t a v a i l a b l e t e c h n i q u e s t o a v a i l a b l e r e s o u r c e s i n o r d e r t o maximize t h e i r v a l u e s . The K a r i e r a and Tarau "marriage t y p e s " became t r a d i t i o n a l , over many c e n t u r i e s o f usage, p r e c i s e l y because t h e y d i d p e r f o r m t h e i r f u n c t i o n o f p r e v e n t i n g consanguineous m a r r i a g e s w i t h t o l e r a b l e e f f i c i e n c y . Had t h e margin o f e r r o r i n h e r e n t i n t h e s e t y p e s produced more f i r s t -c o u s i n m a r r i a g e s t h a n c o u l d be t o l e r a t e d , these s o c i e t i e s d o u b t l e s s would have worked o u t i n due course some a p p r o p r i a t e a l t e r a t i o n s of t h e i r m a r i t a l code. I t i s n o t even i m p l a u s i b l e , g i v e n t h e h i s t o r y o f o t h e r u n t u t o r e d peoples, t h a t these a l t e r a t i o n s u n w i t t i n g l y would have moved t h e i r code f u r t h e r i n t h e d i r e c t i o n o f Kemeny's " r e g u l a r p e r m u t a t i o n groups." The l e s s o n , t h e n , i s t h a t t r a d i t i o n a l s o c i e t i e s can adapt t o i n t e r n a l l y g e n e r a t e d needs and can f o r m u l a t e indigenous s o l u t i o n s t o problems o f d y s f u n c t i o n w i t h i n t h e i r own system o f i n s t i t u t i o n s . (When t h e y can no l o n g e r do t h i s t h e y degenerate and d i s a p p e a r t h r o u g h d i s e a s e , e m i g r a t i o n , o r conquest.)

The second l e s s o n i s t h a t t r a d i t i o n a l s o c i e t i e s cannot respond so r e a d i l y t o c h a l l e n g e s e x t e r n a l t o t h e i r i n s t i t u t i o n a l system. Any i n s t i t u t i o n r e q u i r e s , s i n c e i t o p e r a t e s by t h e r o u t i n i z e d a c t i v i t y o f i t s c o n s t i t u e n t s , a s u f f i c i e n t quantum o f b e h a v i o r a l inertia t o m i n i m i z e f r i c t i o n a l d e v i a t i o n s from r o u t i n e . I n t r a d i t i o n a l s o c i e t i e s , t h e mean quantum o f b e h a v i o r a l i n e r t i a i s v e r y h i g h . T h i s r e f l e c t s t h e shaping i n f l u e n c e o f b e h a v i o r a l codes t h a t a r e customary r a t h e r than s t a t u t o r y . Customary codes e v o l v e d t h r o u g h c e n t u r i e s o f l i v e d - t h r o u g h e x p e r i e n c e t h a t make them " f e e l r i g h t " a re l e s s a d a p t i v e t o e x t e r n a l c h a l l e n g e s t h a n s t a t u t o r y codes, w h i c h , b e i n g based on some e x p l i c i t l y a r t i c u l a t e d r a t i o n a l e f o r t h e i r b e h a v i o r a l p r e s c r i p t i o n s , are more r e a d i l y m o d i f i e d when t h e reasons change.

There i s more t h a n l e g a l f o r m a l i s m i n t e n d e d by t h i s d i s t i n c t i o n . I t s h i s t o r i c a l voucher i s t h e p l a i n f a c t t h a t s o c i e t i e s moving from t h e t r a d i t i o n a l t o modern system invariably add the s t a t u t o r y t o t h e customary c o d i f i c a t i o n o f b e h a v i o r a l r u l e s . ( I i t a l i c i z e d t h e i n v a r i a n c e o f t h i s a s s o c i a t i o n because i t p u t s us on t h e t r a c k o f a "parameter" — o r , i n a s t r i c t e r v e r s i o n o f my p r e s e n t h y p o t h e s i s , an i t e m which belongs i n an index t h a t , when adequately t e s t e d i n e m p i r i c a l cases, w i l l y i e l d a parameter.) Our i n t e r e s t i n t h e codes embodying b e h a v i o r a l r e g u l a t i o n — whether l e g a l or e t h i c a l ,

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s t a t u t o r y or customary — i s s o c i o l o g i c a l i n t h e sense o f s o c i e t a l . We are concerned w i t h t h e process by which t h e b e h a v i o r a l codes o f more developed s o c i e t i e s are communicated t o l e s s developed s o c i e t i e s . T h i s means, i n my view, a process t h a t i s t y p i c a l l y (were I n o t l e e r y o f t h e m e t a p h y s i c a l resonance, I would say e s s e n t i a l l y ) intrusive upon t h e l e s s developed s o c i e t i e s .

To f o c u s t h i s p o i n t , we pause t o p i c k a t e r m i n o l o g i c a l bone. Note t h a t o u r p r e f e r r e d phrase i s "communication o f codes," n o t " t r a n s f e r o f i n s t i t u t i o n s . ' 1 . We i n s i s t upon t h e b e h a v i o r a l meaning o f " i n s t i t u t i o n " because any o t h e r sense o f t h i s h i g h l y ambiguous t e r m m i s l e a d s us i n t o a p r e o c c u p a t i o n w i t h pseudo-problems, i . e . , problems i n c a p a b l e o f e m p i r i c a l d i a g n o s i s and t h e r e f o r e , a f o r t i o r i , o f e m p i r i c a l s o l u t i o n . We r e j e c t u t t e r l y t h e term " t r a n s f e r " because i t i s t h e c o n t r a r y ( p o s s i b l y even t h e c o n t r a d i c t o r y ) o f t h e process t h a t concerns us. O x f o r d t e l l s us t h a t t o t r a n s f e r i s t o "convey, remove, hand o v e r . . . ; make over p o s s e s s i o n . . . ; convey... from one s u r f a c e t o a n o t h e r . . . " None o f these meanings corresponds w i t h t h e always i n t r u s i v e , o f t e n d i s r u p t i v e , and u s u a l l y v i o l e n t process t h a t i s on our agenda. Indeed, t h e l a s t d e f i n i t i o n suggests how s u p e r f i c i a l any n o t i o n o f " t r a n s f e r o f i n s t i t u t i o n s " t u r n s o u t t o be — i . e . , "convey from one s u r f a c e t o ano t h e r I "

We can exon e r a t e David A p t e r , who f i r s t gave c u r r e n c y t o t h i s u n f o r t u n a t e phrase, on t h e ground t h a t he abandoned i t f i r s t . A p t e r 1 s r e n u n c i a t i o n o f t h e phrase comes a t t h e b e g i n n i n g o f t h e o n l y c h a p t e r which uses i t as a t i t l e , i . e . : "Political institutional transfer, involving secular parliamentary structures, requires and in fact achieves disruption of traditional societies and is in fact composed of elements some of which are dysfunctional to the maintenance of traditional systems." Any process which " r e q u i r e s and i n f a c t a c h i e v e s d i s r u p t i o n " has l i t t l e o r n o t h i n g i n common w i t h a c t i v i t i e s d e f i n e d as "convey, hand o v e r , make over p o s s e s s i o n . " T h i s p o i n t , w h i l e t e r m i n o l o g i c a l , i s n o t t r i v i a l . The r o o t o f our u n d e r s t a n d i n g o f t h e m o d e r n i z a t i o n process i s embedded i n j u s t t h i s t e r m i n o l o g i c a l t e r r a i n .

The process whereby more developed s o c i e t i e s i n f l u e n c e l e s s developed s o c i e t i e s always i n v o l v e s some i n s t i t u t i o n a l " d i s c o n t i n u i t y " i n t h e l e s s developed s o c i e t i e s (some "break" w i t h t h e p a s t ) . T h i s i s so because t r a d i t i o n a l s o c i e t i e s , w h i l e a d a p t i v e t o i n t e r n a l l y g e n e r a t e d problems, l a c k e f f i c i e n t mechanisms o f consensual response t o e x t e r n a l c h a l l e n g e . The t r a d i t i o n a l code 1s a v a i l a b l e s t o c k o f responses t y p i c a l l y p r o v i d e s no c o m p e l l i n g b e h a v i o r a l , d i r e c t i v e f o r m e e t i n g an unprecedented new c h a l l e n g e . Some e n t h u s i a s t i c a l l y a c c e p t ; o t h e r s u n c o m p r o m i s i n g l y r e j e c t . W i t h such d i s s e n s i o n , which c a l l s i n t o q u e s t i o n t h e suddenly inadequate code o f t r a d i t i o n a l l i f e w a y s , i n t r u s i o n o ccurs and d i s r u p t i o n b e g i n s .

Note, however, t h a t t h e c o n t r o l l i n g component o f t h i s sequence i s internal t o t h e t r a d i t i o n a l s o c i e t y . The i n i t i a l i n t r u s i o n comes, i t i s t r u e , f rom t h e o u t s i d e . But i t s impact depends upon t h e

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r e a c t i o n o f the i n d i g e n o u s people. An i n t r u s i o n t h a t i s widely-i g n o r e d or evaded o r r e j e c t e d has l i t t l e or no impact. I t i s o n l y an i n t r u s i o n which i s " i n t e r n a l i z e d " by a s i g n i f i c a n t f r a c t i o n o f the p o p u l a t i o n t h a t can have any l a s t i n g e f f e c t . The i n c o r p o r a t i o n of d i s s e n t thus i s t h e f u l c r u m o f t h e a t t i t u d i n a l - b e h a v i o r a l sequence, w h i c h , on t h i s a n a l y s i s , p r e s e n t s i t s e l f p r i m a r i l y as a communication sequence.

THE COMMUNICATION NEXUS I N TRANSFORMATION The v i e w o f m o d e r n i z a t i o n as p r i m a r i l y a communication process i s n o t new. Over a c e n t u r y ago, i n h i s p r e f a c e t o Capital, K a r l Marx w r o t e : "The more developed s o c i e t y p r e s e n t s t o t h e l e s s developed s o c i e t y a p i c t u r e o f i t s own f u t u r e . " T h i s i n s i g h t , had he e x p l o r e d i t s meaning more e m p i r i c a l l y and c o m p a r a t i v e l y , m i g h t have made Marx t h e f a t h e r o f t w e n t i e t h - c e n t u r y communication s t u d i e s . I f the dynamic mechanism o f s o c i a l change i s a " p i c t u r e , " t h e n t h e r e l e v a n t q u e s t i o n s concern i t s f o r m , c o n t e n t , and t r a n s m i s s i o n from t h e more t o t h e l e s s developed s o c i e t y : who t r a n s m i t s what p i c t u r e t o whom by what means and w i t h what e f f e c t s ? A p i c t u r e e x e r t s no i n f l u e n c e s i m p l y by b e i n g p r e s e n t e d . I t must be p e r c e i v e d , e v a l u a t e d , a c t e d upon. Indeed, as i n most communications, i t i s t h e response s i d e o f t h e process t h a t determines i t s e f f e c t i v e n e s s — i . e . , how t h e l e s s developed s o c i e t y responds t o t h e incoming s t i m u l u s from the more developed s o c i e t y determines whether, as Marx p o s t u l a t e d , t h i s becomes "a p i c t u r e o f i t s own f u t u r e . "

Marx i n h i b i t e d t h e a r t i c u l a t i o n o f h i s own i n s i g h t , and s t u l t i f i e d r e s e a r c h on t h e process t h r o u g h which i t o p e r a t e s , by h i s p a r o c h i a l f o c u s on t h e s o c i a l c l a s s t h a t happened t o be most s a l i e n t i n h i s own t i m e and p l a c e — t h e new c l a s s o f urban i n d u s t r i a l workers w h i c h p r e o c c u p i e d much o f European s o c i a l t h o u g h t t h r o u g h o u t t h e n i n e t e e n t h c e n t u r y . T h i s was t h e " s p e c t r e h a u n t i n g Europe," i n Marx's s p l e n d i d propaganda phrase, t h a t d i v e r t e d European s o c i o l o g y from e m p i r i c a l o b s e r v a t i o n t o i d e o l o g i c a l t h e o r i z i n g u n t i l P a r e t o — equip p e d w i t h an I t a l i a n t i t l e , a French e d u c a t i o n , a European e n g i n e e r i n g e x p e r i e n c e , and a Swiss c h a i r o f m a t h e m a t i c a l economics — d e c i d e d , as t h e o l d c e n t u r y was t u r n i n g i n t o t h e new, t h a t i t was t i m e t o p u t s t e r i l e polemics a s i d e and have a f r e s h h a r d l o o k a t how E u r o p e a n . s o c i e t y was o p e r a t i n g . As a c o s m o p o l i t a n w i t h r o o t s i n Tuscany, which had seen t h e ebb and f l o w o f i n t e r r e g i o n a l and i n t e r n a t i o n a l power over c e n t u r i e s , P a r e t o was h i g h l y s e n s i t i z e d t o t h e p r o b l e m o f t r a n s f e r from more t o l e s s developed s o c i e t i e s . As an i n t e l l e c t u a l w i t h r o o t s i n science and t e c h n o l o g y , P a r e t o was s u f f i c i e n t l y m o t i v a t e d and endowed t o g i v e t h e i n h e r i t e d polemics o f h i s day an a u s t e r e no-nonsense t r e a t m e n t .

P a r e t o ' s c o n c e p t i o n o f t h e " c i r c u l a t i o n o f t h e e l i t e s " p r o v i d e d the most p o t e n t a n t i d o t e y e t a r t i c u l a t e d t o Marx's p a r o c h i a l i s m o f t h e p r o l e t a r i a t and l i b e r a t e d new o b s e r v a t i o n a l p e r s p e c t i v e s and r e s e a r c h p r e o c c u p a t i o n s among European s o c i o l o g i s t s . Mosca n e x t focused

a t t e n t i o n on t h e " r u l i n g e l i t e " — t h e p o l i t i c a l c l a s s toward whose r e c r u i t m e n t and c o m p o s i t i o n t h e ownership o f t h e means o f p r o d u c t i o n formed b u t one, and n o t n e c e s s a r i l y t h e d e c i s i v e , component. M i c h e l s then demonstrated t h e c r i t i c a l r o l e o f i n t e l l e c t u a l s i n t h e f o r m a t i o n and sustenance o f b o t h e l i t e s and c o u n t e r - e l i t e s i n t h e p o l i t i c a l p r o c e s s . L a s s w e l l b r o u g h t t h i s new t r a d i t i o n s q u a r e l y i n t o t h e t w e n t i e t h - c e n t u r y c o n t e x t by showing t h a t p s y c h o l o g i c a l v a r i a b l e s o f t e n o u t w e i g h t e d economic v a r i a b l e s i n t h e d i s t r i b u t i o n o f power. He t h e r e b y became what a l e s s p a r o c h i a l Marx m i g h t have been — t h e f a t h e r o f communication s t u d i e s .

I r e p r e s s my p a s s i o n f o r t h e h i s t o r y o f s o c i a l s c i e n c e a t t h i s p o i n t (begging your pardon f o r t h e c u r t t a k e - i t - o r - l e a v e - i t s t y l e o f these few condensed remarks) t o t a l k about a n o t h e r problem t h a t i s o n l y p a r t i a l l y i l l u m i n a t e d by i t s p r e h i s t o r y . What p o s t - M a r x i a n s o c i a l s c i e n c e has accomplished enables us, as i t were, t o i n v e s t i g a t e s y s t e m a t i c a l l y who g e t s what, when, how, and why. T h i s i s c r u c i a l l e g i s l a t i o n f o r i t g u i d e s us — as we t u r n t o c o n s i d e r t h e impact o f our own developed s o c i e t i e s upon t h e l e s s developed s o c i e t i e s today — i n e n r i c h i n g economic s o c i o l o g y w i t h communication s o c i o l o g y , i n f r a m i n g i n s t i t u t i o n a l change w i t h i n t h e l a r g e r c o n t e x t o f i n d i v i d u a l b e h a v i o r .

So, we a r e more concerned w i t h t h e t r a n s f o r m a t i o n o f i n s t i t u t i o n s as t h e y pass from more t o l e s s developed s o c i e t i e s i n t h e contemporary w o r l d . We f o c u s on t h e s o c i o l o g i c a l communication o f i d e a s and g i v e p a r t i c u l a r a t t e n t i o n t o t h e c h a r a c t e r i s t i c s o f i n d i v i d u a l s actually r e c r u i t e d i n t o t h e e l i t e s and c o u n t e r - e l i t e s ( r a t h e r t h a n i d e o l o g i c a l l y a t t r i b u t e d t o these c a t e g o r i e s ) . We now r e c o g n i z e t h e p l a i n f a c t t h a t t h e M a r x i a n p r o l e t a r i a t has p l a y e d a r e l a t i v e l y s m a l l r o l e i n t h e process o f s o c i a l change s i n c e h i s t o r y t o o k l e a v e o f n i n e t e e n t h -c e n t u r y Europe. Other modes, o t h e r codes have p l a y e d t h e key r o l e i n t h e p r e s e n t c e n t u r y . Contemporary s o c i a l r e s e a r c h , w i t h a l l i t s f l a w s and b l e m i s h e s , has a t l e a s t t h e v i r t u e — s i n c e t h e M a r x i a n " s p e c t r e h a u n t i n g Europe" was l a i d away — o f l o o k i n g h i s t o r y s t r a i g h t e r i n the f a c e .

Thus, E v e r e t t Hagen, a f i r s t - c l a s s economist w i t h a c u r i o s i t y f o r f i n d i n g o u t how t h i n g s r e a l l y are s o c i o l o g i c a l l y , w h ich i s uncommon i n h i s d i s c i p l i n e , p u t many years o f e f f o r t i n t o d e t e c t i n g how economic g r o w t h b e g i n s . A l t h o u g h Hagen f i r s t a p p l i e d h i s g e n e r a l model o n l y t o Japan, he has shown t h a t i t s a p p l i c a b i l i t y goes beyond t h i s i n p r i n c i p l e . For i t s key concept i s a r e f o r m u l a t i o n o f t h e L a s s w e l l i a n c o u n t e r - e l i t e , which Hagen c a l l s t h e " s u b o r d i n a t e d c l a s s , " i n terms t h a t encompass t h e urban p r o l e t a r i a t o f n i n e t e e n t h -c e n t u r y Europe as a p a r t i c u l a r case and go beyond i t t o i n c l u d e o t h e r s o c i a l f o r m a t i o n s t h a t have engineered a t r a n s f o r m a t i o n o f i n s t i t u t i o n s .

What Hagen's stu d y o f f e r s us i s an account o f t h e p s y c h o s o c i a l process whereby a d e v e l o p i n g s o c i e t y — s t i m u l a t e d by t h e p i c t u r e o f i t s own f u t u r e from abroad — accomplishes t h e i n t e r n a l r e d i s t r i b u t i o n o f

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power (which presumably i s what i s meant by t h e t r a n s f e r o f i n s t i t u t i o n s ) . His " s u b o r d i n a t e d c l a s s " i s composed o f i n d i v i d u a l s who want l a r g e r shares i n t h e d i s t r i b u t i o n o f s o c i a l v a l u e s t h a n e x i s t i n g i n s t i t u t i o n s are p r e p a r e d t o g i v e them. They l e a r n t o a r t i c u l a t e i n d i v i d u a l l y t h e i r f r u s t r a t e d d e s i r e s , t o aggregate t h e i r i n t e r e s t s i n t e r p e r s o n a l l y w i t h f r u s t r a t e d o t h e r s , and t o coalesce the power t h u s aggregated i n p o l i t i c a l a c t i o n designed t o reshape i n s t i t u t i o n s a c c o r d i n g t o t h e i r p l a n s . So c o n c e i v e d , t h e " s u b o r d i n a t e d c l a s s " can p e r f o r m i t s t r a n s f e r e n c e f u n c t i o n whatever may be t h e p a r t i c u l a r r e c r u i t m e n t and c o m p o s i t i o n o f i t s membership.

I n Hagen !s t r e a t i s e , t h e s u b o r d i n a t e d merchant c l a s s p l a y e d a p i v o t a l r o l e i n t h e p e r c e p t i o n , e v a l u a t i o n , and a p p l i c a t i o n o f new ideas w h i c h u l t i m a t e l y t r a n s f o r m e d Japanese s o c i e t y . I n Turkey, the c r u c i a l f u n c t i o n was performed by t h e m i l i t a r y c l a s s . I n t h e i d e o l o g i c a l r e v o l u t i o n s o f t h e t w e n t i e t h c e n t u r y , t h e i n t e l l i g e n t s i a t o o k t h e l e a d i n a r t i c u l a t i n g and a g g r e g a t i n g t h e i n t e r e s t s o f a c o u n t e r - e l i t e i n p o l i t i c a l t r a n s f o r m a t i o n . Our study group a t t h e M.I.T. Center f o r I n t e r n a t i o n a l S t u d i e s has concluded t h a t i n the contemporary w o r l d d u r a b l e t r a n s f o r m a t i o n o f i n s t i t u t i o n s i s l i k e l y t o be accomplished by t h e c o a l i t i o n o f i n t e l l e c t u a l s , s o l d i e r s , and b u r e a u c r a t s , w i t h e n t r e p r e n e u r s , w o r k e r s , and peasants p l a y i n g d i f f e r e n t i a l r o l e s i n t h e vanguard and r e a r guard.

The i n t e l l e c t u a l s p l a y t h e i r p i v o t a l r o l e i n the contemporary t r a n s f o r m a t i o n o f i n s t i t u t i o n s because t h e y a r e d i s t i n c t i v e l y t h e l i t e r a t e and i n f o r m e d s e c t o r o f t h e i r s o c i e t i e s . I t i s w i t h t h e l i t e r a t e and i n f o r m e d members o f t h e m i l i t a r y and b u r e a u c r a t i c f o r m a t i o n s t h a t t h e y a r e l i k e l y t o make t h e i r r e v o l u t i o n a r y c o a l i t i o n s . T h i s i s because t h e t r a n s f o r m a t i o n o f i n s t i t u t i o n s , i n our t i m e , has been qu i c k e n e d and broadened by t h e unprecedented t r a n s f e r o f i d e a s around t h e w o r l d ' s s u r f a c e . We have r e f e r e n c e here t o t h e n o t o r i o u s communication r e v o l u t i o n w h i c h , over t h e p a s t two decades, has a l t e r e d t h e b a s i c c o n d i t i o n s o f p o l i t i c a l b e h a v i o r , w i t h i n and between n a t i o n s . Most d r a m a t i c has been i t s i m p a c t upon the f l o w o f i n f l u e n c e from more t o l e s s developed n a t i o n s .

C o l o n e l Nasser, prime example o f t h e m i l i t a r y i n t e l l e c t u a l as contempo r a r y t r a n s f o r m e r o f t r a d i t i o n a l i n s t i t u t i o n s , has s t a t e d h i s v e r s i o n o f t h e communication r e v o l u t i o n i n these terms: " I t i s t r u e t h a t most o f our people are s t i l l i l l i t e r a t e . But p o l i t i c a l l y t h a t counts f a r l e s s t h a n i t d i d 20 y e a r s ago...Radio has changed e v e r y t h i n g . . . . Today peopl e i n t h e most remote v i l l a g e s hear o f what i s happening and f o r m t h e i r o p i n i o n s . Leaders cannot govern as t h e y once d i d . We l i v e i n a new w o r l d . "

"Radio has changed everything!" What does C o l o n e l Nasser i n t e n d us t o u n d e r s t a n d by t h i s emphatic statement? What, p r e c i s e l y , has changed? My own s t u d i e s o f t h e M i d d l e East d e s c r i b e d i n c o n s i d e r a b l e d e t a i l t h e sequence o f changes w h i c h , I b e l i e v e , has t r a n s f o r m e d the s t y l e o f l i f e o f t r a d i t i o n a l s o c i e t i e s around t h e g l o b e . I°shall n o t r e c a p i t u l a t e these f i n d i n g s here b u t r a t h e r f o c u s on t h e main

c o n c l u s i o n r e l a t i n g t o our p r e s e n t concern w i t h t h e t r a n s f o r m a t i o n o f i n s t i t u t i o n s — namely, t h a t t r a d i t i o n a l s o c i e t i e s are p a s s i n g from t h e f a c e o f t h e e a r t h because t h e people i n them no longer want to live by their rules. T h i s massive and si m u l t a n e o u s abandonment o f t r a d i t i o n a l codes o f b e h a v i o r i n every p a r t o f t h e w o r l d r a i s e s problems o f unprecedented s c a l e and scope f o r , t h e t r a n s f o r m a t i o n o f i n s t i t u t i o n s .

I have a l r e a d y i n d i c a t e d why I c o n s i d e r t h a t no s i g n i f i c a n t transfer o f i n s t i t u t i o n s from more t o l e s s developed s o c i e t i e s i s t a k i n g p l a c e i n our t i m e . The n o t i o n o f an o r d e r l y procedure t o "convey, hand o v e r , make over p o s s e s s i o n ; convey from one s u r f a c e t o a n o t h e r . . . " i s i n c o m p a t i b l e w i t h t h e i n t r u s i v e , d i s r u p t i v e , v i o l e n t process already a t work i n t h e l e s s developed s o c i e t i e s . My d i a g n o s i s o f t h i s process embodies t h e f o r e c a s t t h a t , i n t h e l i f e t i m e o f t h e p r e s e n t g e n e r a t i o n , t h e d i s r u p t i v e process must c o n t i n u e and i t s p o l i t i c a l consequences must deepen.

I t was never w i t h i n t h e power o f communications from more t o l e s s developed s o c i e t i e s t o p r e v e n t t h e d i s r u p t i o n o f t r a d i t i o n a l i n s t i t u t i o n s . Indeed, t h e i n t r u s i o n o f t h e more developed, and t h e consequent d i s r u p t i o n o f t h e l e s s developed, i l l u s t r a t e s t h a t "sequence o f communication and a f t e r c o l l a b o r a t i o n which our L a s s w e l l -Holmberg framework paper c o n s i d e r s e s s e n t i a l f o r t h e " i n t e r a c t i o n s " t h a t produce t h e new p r e f e r e n c e models u n d e r l y i n g m o d e r n i z a t i o n .

But, i f t h e s i t u a t i o n i s t h e o r e t i c a l l y i n d i s p e n s a b l e , t h e case i s an i n s t a n c e o f e m p i r i c a l i m p e r f e c t i o n . No reasonable man w i l l be astounded by t h e i d e a t h a t cases a l t e r s i t u a t i o n s . The m u l t i p l i c a t i o n s o f d i s r u p t i v e i n s t i t u t i o n a l cases, over r e c e n t decades, i n v i t e s r e c o n s i d e r a t i o n o f t h e i n t r u s i v e communication s i t u a t i o n . What we t h e o r i s t s and p l a n n e r s o f induced and a c c e l e r a t e d s o c i a l change must r e c o n s i d e r i s t h e tempo and balance o f our i n t r u s i o n s — f o r t h i s i s n o t o n l y a key v a r i a b l e i n t h e o r y , b u t a key v a r i a b l e over which p l a n n e r s s t i l l have ( d e s p i t e grave e r r o r s i n t h e p a s t ) some measure o f c o n t r o l . To a i d s e r i o u s r e c o n s i d e r a t i o n , I s h a l l now p r o f a n e some sacred cows — hoping t h e r e b y t h a t t o h e l p c o r r e c t t h e e x c e s s i v e l y d i s r u p t i v e imbalances t h a t now impede m o d e r n i z a t i o n .

DISRUPTIVE IMBALANCES I N MODERNIZING MODELS

We have a l r e a d y i n d i c a t e d our c o n v i c t i o n t h a t a f a v o r a b l e want: g e t r a t i o i s c r i t i c a l f o r t h e sense o f s a t i s f a c t i o n among peoples e v e r y where i n t h e w o r l d - and t h a t an u n f a v o r a b l e r a t i o leads t o f r u s t r a t i o n . We have f u r t h e r d e l i n e a t e d our p r o p o s i t i o n t o show t h a t t h e c r i t i c a l want: g e t r a t i o s have been f l o u t e d by t h e t h e o r y and p r a c t i c e o f i n duced s o c i a l change. We have t h e n suggested t h a t t h i s f l o u t i n g has o c c u r r e d , a l l t o o i n n o c e n t l y , because b e h a v i o r i s t s have been i n a t t e n t i v e t o t h e " i n t e r a c t i o n " ( i n t h e Lasswell-Holmberg sense) between i n d i v i d u a l p r e f e r e n c e models and i n s t i t u t i o n a l c o n s t r a i n t s under t h e c o n d i t i o n s o f l i m i t e d r e s o u r c e s t h a t p r e v a i l i n most

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m o d e r n i z i n g s o c i e t i e s . T h i s i n a t t e n t i o n , which has promoted " d i s r u p t i v e imbalances" by i g n o r i n g t h e n e c e s s i t y f o r a " t r a n s f o r m a t i o n " r a t h e r t h a n a " t r a n s f e r " o f i n s t i t u t i o n s as between more and l e s s developed n a t i o n s , endangers b e h a v i o r a l t h e o r y and i n s t i t u t i o n a l p r a c t i c e o f f o r e i g n a i d . Now, we t u r n t o r e c o n s i d e r a t i o n o f some model cases t h a t have t r a n s f o r m e d t h e s i t u a t i o n w i t h w h i ch m o d e r n i z a t i o n must d e a l b o t h i n p r a c t i c e and t h e o r y .

I t i s d i f f i c u l t , f o r example, t o induce Americans and o t h e r moderns, t o r e c o n s i d e r d i s p a s s i o n a t e l y t h a t l i t e r a c y may be d y s f u n c t i o n a l -i n d e e d a s e r i o u s impediment - t o m o d e r n i z a t i o n i n t h e s o c i e t i e s now s e e k i n g ( a l l t o o r a p i d l y ) t o t r a n s f o r m t h e i r i n s t i t u t i o n s . Y et, I s u b m i t , t h e " l i t e r a c y e x p l o s i o n " may c o n s t i t u t e a more s e r i o u s t h r e a t t o human hopes f o r a r a t i o n a l w o r l d o r d e r t h a n t h e h i g h l y p u b l i c i z e d " p o p u l a t i o n e x p l o s i o n " - j u s t as t h e u r b a n i z i n g f u r o r i n t r a n s i t i o n a l s o c i e t i e s has a l r e a d y passed t h e l i m i t s o f what we t r a n q u i l l y , i n the U n i t e d S t a t e s , r e f e r t o as t h e "expanding m e t r o p o l i s . "

Please understand t h e i n t e n t i o n o f t h e s e remarks. I am n o t opposed t o l i t e r a c y i n p r i n c i p l e , any more t h a n I am opposed t o babies o r u r b a n i t y i n p r i n c i p l e . I am opposed t o d y s f u n c t i o n a l l i t e r a c y -d y s f u n c t i o n a l i t y s i g n i f y i n g , i n t h i s c o n t e x t , t h e b e h a v i o r a l consequences which do more harm t h a n good t o t h e i n d i v i d u a l s a c q u i r i n g l i t e r a c y as w e l l as t h e h a r m f u l s o c i o l o g i c a l consequences o f an e x c e s s i v e l y r a p i d i n c r e a s e o f l i t e r a c y r a t e s i n many t r a n s i t i o n a l s o c i e t i e s .

The p o i n t I w i s h t o s t r e s s i s t h a t t r a n s i t i o n a l s o c i e t i e s can use o n l y a c e r t a i n amount o f l i t e r a c y w i t h i n a c e r t a i n t i m e . We must re m i n d o u r s e l v e s t h a t l i t e r a c y f i r s t pervaded t h e modern West as a s k i l l w i t h a p a y o f f b e f o r e i t became a p s y c h o c u l t u r a l adornment. We must r e c a l l t h a t l i t e r a c y was a p a s s p o r t , f o r newly m o b i l e men, t o j o b s and o t h e r s a t i s f y i n g o p p o r t u n i t i e s f o r a c h i e v i n g a b e t t e r l i f e . We must, i n sum, r e c a l l t h e p e n e t r a t i n g q u e s t i o n r a i s e d by George Bernard Shaw (who was, a f t e r a l l , a Fabian s o c i a l i s t ) : "How can you dare t o t e a c h a man how t o r e a d b e f o r e you have t a u g h t him e v e r y t h i n g e l s e ? "

The d i s r u p t i o n o f t r a n s i t i o n a l s o c i e t i e s - t h e f a c t o r which makes an o r d e r l y t r a n s f e r o f i n s t i t u t i o n s i m p o s s i b l e i n most o f t h e w o r l d . t o d a y - i s an outcome o f , among o t h e r t h i n g s , widespread d i s r e g a r d o f Shaw fs pr u d e n t query. Many m i l l i o n s o f people around t h e w o r l d a r e b e i n g t a u g h t t o read l o n g b e f o r e t h e y have l e a r n e d " e v e r y t h i n g e l s e , " indeed l o n g b e f o r e t h e y have t h e o p p o r t u n i t y t o a c q u i r e a n y t h i n g e l s e i n t h e h i s t o r i c a l " l i t e r a c y syndrome" o f the West.

My own e m p i r i c a l s t u d i e s c o n f i r m e d t h e f o c a l r o l e here a t t r i b u t e d t o l i t e r a c y . H i s t o r i c a l l y , i t i s d i s t i n c t i v e l y t h e l i t e r a t e who has become t h e newspaper r e a d e r , t h e o p i n i o n g i v e r , t h e cash customer, t h e v o t e r - i . e . , t h e p a r t i c i p a n t i n t h e modern s e c t o r s o f h i s s o c i e t y such as t h e communication net w o r k , t h e o p i n i o n forum, t h e market economy, t h e e l e c t o r a l p o l i t y . The g r a d u a l and c o n j o i n t growth

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o f urbanism and l i t e r a c y e v o l v e d t h e modern code o f p a r t i c i p a n t b e h a v i o r - a code w h i c h , s i n c e i t r e q u i r e s t h e t r a n s f o r m a t i o n o f m i l l i o n s o f i n d i v i d u a l l i f e - h i s t o r i e s t h r o u g h g e n e r a t i o n s , cannot s i m p l y be t r a n s f e r r e d from one s o c i e t y t o a n o t h e r .

W i t h o u t pausing t o r e v i e w t h e i n t e r p r e t a t i o n o f f i n d i n g s w h ich have been p u b l i s h e d elsewhere, we s t r e s s two c o n c l u s i o n s t h a t are e s p e c i a l l y r e l e v a n t t o t h e p r e s e n t d i s c u s s i o n . F i r s t , t h e demons t r a t i o n t h a t t h e i n d i c e s o f m o d e r n i t y go t o g e t h e r r e g u l a r l y i n a l l c o u n t r i e s - r e g a r d l e s s o f t h e i r g r e a t d i f f e r e n c e s i n geography, c l i m a t e , r a c e , c u l t u r e , and o t h e r presumably " b a s i c " t r a i t s -s u p p o r t s t h e h y p o t h e s i s t h a t , i n some sense, t h e y had t o go t o g e t h e r . The components o f modern p a r t i c i p a n t s o c i e t y form a g e n u i n e l y i n t e r dependent "system," i n which s i g n i f i c a n t v a r i a t i o n o f one component must e n t a i l s i g n i f i c a n t v a r i a t i o n o f a l l t h e o t h e r s .

The second c o n c l u s i o n we s t r e s s i s t h a t imbalance among t h e components o f m o d e r n i z a t i o n i s d i s r u p t i v e i n t h e t r a n s i t i o n a l s o c i e t y . By d i s r u p t i v e I mean more t h a n some t r a n s i t o r y impediment, o r t a c t i c a l d e l a y , i n t h e process o f m o d e r n i z a t i o n . I mean, r a t h e r , t h e i n c o r p o r a t i o n o f some s t o c h a s t i c element which i s l i k e l y t o r e n d e r t h e process a b o r t i v e o r t u r n i t i n a d i r e c t i o n q u i t e d i f f e r e n t from m o d e r n i z a t i o n as r e p r e s e n t e d by Western Europe and N o r t h America. T h i s i s so because t h e components o f m o d e r n i t y , as we have d e f i n e d them, must be b u i l t i n t o t h e l i f e - h i s t o r y o f i n d i v i d u a l s - and, once t h e r e , t h e y are n o t e a s i l y r e a r r a n g e d . People who move i n t o c i t i e s , f o r example, a r e l i k e l y t o s t a y t h e r e . ( B a c k - t o - t h e - s o i l movements, b e f o r e and s i n c e t h e New England Utopians o f t h e n i n e t e e n t h c e n t u r y , have u s u a l l y a t t r a c t e d o n l y a l i e n a t e d i n t e l l e c t u a l s and o t h e r d e v i a n t cases.) U r b a n i z a t i o n i s a s e c u l a r t r e n d t h a t has n o t , i n modern t i m e s , been s u c c e s s f u l l y r e v e r s e d .

The same i s t r u e o f l i t e r a c y , media p a r t i c i p a t i o n , and p o l i t i c a l p a r t i c i p a t i o n . These are b e h a v i o r a l codes w h i c h , once i n c o r p o r a t e d i n t h e d a i l y round o f l i f e by a community o f i n d i v i d u a l s , are n o t e a s i l y r e v i s e d . Indeed, t h e g r e a t despotisms o f t w e n t i e t h - c e n t u r y Europe - B o l s h e v i k , F a s c i s t , N a z i - were a b l e t o reimpose a u t h o r i t a r i a n c o n t r o l s upon p o p u l a t i o n s t h a t had g a i n e d some measure o f p o l i t i c a l p a r t i c i p a t i o n o n l y by r e v o l u t i o n a r y b l o o d - l e t t i n g . I n each o f these cases, I b e l i e v e , a s t o c h a s t i c process had d i s r u p t e d t h e "system" o f m o d e r n i t y and i n h i b i t e d i t s e f f i c i e n t f u n c t i o n i n g .

A s i m i l a r r e v o l u t i o n a r y s i t u a t i o n - t h e r e v o l u t i o n o f r i s i n g f r u s t r a t i o n s - e x i s t s i n t h e t r a n s i t i o n a l w o r l d t o d a y . I t s symptom i s t h e m i l i t a r y t a k e - o v e r . T h i s symptom has appeared, d u r i n g t h e p a s t f i v e y e a r s , i n ev e r y major t r a n s i t i o n a l r e g i o n o f t h e w o r l d . I n A s i a , m i l i t a r y t a k e - o v e r has o c c u r r e d i n Laos and Vietnam, Burma and P a k i s t a n . I n t h e M i d d l e East, v i r t u a l l y e v e r y Arab c o u n t r y as w e l l as I r a n and even Turkey have m a n i f e s t e d t h e system. The Sudan, t h e Congo and most r e c e n t l y N i g e r i a have, i n A f r i c a , e x h i b i t e d t h e p a t t e r n o f m i l i t a r y t a k e - o v e r t o a c o n t i n e n t t h a t i s l i k e l y t o m u l t i p l y examples r a p i d l y . I need h a r d l y i l l u s t r a t e t h e case i n L a t i n America.

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I f m i l i t a r y t a k e - o v e r i s t h e symptom, t h e n d i s r u p t i v e imbalance i n t h e m o d e r n i z i n g process i s t h e e t i o l o g y o f t h e r e v o l u t i o n a r y disease t h a t now pervades t h e t r a n s i t i o n a l w o r l d . Since t h i s s i t u a t i o n i n h i b i t s t h e t r a n s f o r m a t i o n o f i n s t i t u t i o n s - and, i n my judgment, even d i s t o r t s t h e m o d e r n i z a t i o n o f i n s t i t u t i o n s - i t i s f i t t i n g t h a t we t u r n , i n t h e c o n c l u d i n g s e c t i o n o f t h i s paper, t o a c l o s e r l o o k a t t h e m a t t e r .

I n t u r n i n g , we r e c a l l t h a t d i s r u p t i v e imbalance occurs when a subs t a n t i a l f r a c t i o n o f t h e t r a n s i t i o n a l p o p u l a t i o n a c q u i r e s one o f t h e c h a r a c t e r i s t i c s o f m o d e r n i t y b u t n o t t h e o t h e r elements. Since m o d e r n i t y i s a s t y l e o f l i f e - a s e t o f i n t e r d e p e n d e n t b e h a v i o r a l codes - t h e absence o f any element i n t h e s e t tends t o be d i s r u p t i v e upon t h e i n d i v i d u a l . When a s u f f i c i e n t number o f i n d i v i d u a l s are so a f f e c t e d , t h e n d i s r u p t i v e imbalance i s f e l t i n t h e community as a whole.

Thus, i n our t y p o l o g y , t h e modern person i s an urbane l i t e r a t e who p a r t i c i p a t e s f u l l y i n t h e p u b l i c f o r u m , market p l a c e , p o l i t i c a l a r e n a . I t i s c h a r a c t e r i s t i c o f t h e t r a n s i t i o n a l w o r l d t h a t most i n d i v i d u a l s do n o t e x h i b i t a l l o f t h e s e c h a r a c t e r i s t i c s . The t r a n s i t i o n a l w o r l d has, by d e f i n i t i o n , a tendency toward imbalance b u i l t i n t o i t . The tendency becomes d i s r u p t i v e when t h e p r o p o r t i o n o f i n d i v i d u a l s who a c q u i r e one c h a r a c t e r i s t i c w i t h o u t a c q u i r i n g t h e o t h e r s becomes t o o h i g h .

I n one s t u d y we were a b l e t o e s t a b l i s h c r i t i c a l r a t i o s between t h e f o u r components o f m o d e r n i t y i n s e v e n t y - t h r e e c o u n t r i e s . Thus, i t c o u l d be shown t h a t no s i g n i f i c a n t i n c r e a s e i n l i t e r a c y r a t e s c o u l d be e x p e c t e d b e f o r e a c o u n t r y was more t h a n 10 p e r c e n t u r b a n i z e d . T h e r e a f t e r , when u r b a n i z a t i o n passed beyond t h e 10 p e r c e n t mark, l i t e r a c y tended t o i n c r e a s e r a t h e r s t e a d i l y - i n a d i r e c t monotonic r e l a t i o n s h i p w i t h u r b a n i z a t i o n . T h i s r e l a t i o n s h i p remained c o n s t a n t u n t i l t h e c o u n t r y was 25 p e r c e n t u r b a n i z e d , by which t i m e i t s l i t e r a c y r a t e t y p i c a l l y was 50 p e r c e n t o r b e t t e r . T h e r e a f t e r l i t e r a c y c o n t i n u e d t o grow i n d e p e n d e n t l y o f f u r t h e r i n c r e a s e s i n u r b a n i z a t i o n .

We a r e n o t p a r t i c u l a r l y concerned here w i t h t h e n u m e r i c a l v a l u e s o b t a i n e d by our s t u d y . C l e a r l y , t h e c r i t i c a l minimum r a t i o o f 10 p e r c e n t and t h e c r i t i c a l optimum r a t i o o f 25 p e r c e n t a r e a r t i f a c t s o f o u r s t a t i s t i c a l i n p u t s - i . e., i f u r b a n i z a t i o n were d e f i n e d d i f f e r e n t l y (we used t h e p r o p o r t i o n o f p o p u l a t i o n l i v i n g i n c i t i e s over 50,000) t h e n t h e n u m e r i c a l v a l u e s would be d i f f e r e n t . Our c o n c e r n i s r a t h e r w i t h t h e d e m o n s t r a t i o n t h a t c r i t i c a l r a t i o s can be e s t a b l i s h e d t h a t demonstrate a c o n s t a n t r e l a t i o n s h i p between u r b a n i z a t i o n and l i t e r a c y , however d e f i n e d , i n s e v e n t y - t h r e e count r i e s t h a t are so d i f f e r e n t i n most o t h e r r e s p e c t s .

We c o n s i d e r t h a t these r a t i o s demonstrate t h e l i m i t s w i t h i n which i m b a lance can be t o l e r a t e d i n most c o u n t r i e s w i t h o u t becoming d i s r u p t i v e . A d i s r u p t i v e imbalance would e x i s t on t h i s v iew, i n a

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s o c i e t y t h a t was over 25 p e r c e n t urban b u t s i g n i f i c a n t l y l e s s t h a n 50 p e r c e n t l i t e r a t e . C o n v e r s e l y , a s o c i e t y t h a t was b e t t e r t h a n 50 p e r c e n t l i t e r a t e w h i l e s t i l l under 10 p e r c e n t urban would e x h i b i t a d i s r u p t i v e imbalance.

So, w i t h concern f o r t h e d i s r u p t i v e balances t h a t have a f f l i c t e d p a s t t h e o r y and p r a c t i c e o f induced s o c i a l change, we v e n t u r e t o p r e s e n t , as t h e inadequate c o n c l u s i o n t o an u n d u l y c o m p l i c a t e d a n a l y s i s , a model f o r f u t u r e t h i n k i n g about m o d e r n i z a t i o n . T h i s v e n t u r e i s designed t o s t i m u l a t e b e t t e r t h e o r y and r e s e a r c h i n moving from t h e v i c i o u s c i r c l e o f p o v e r t y t o t h e g r o w t h c y c l e t h a t s p e l l s m o d e r n i t y .

FROM V I C I O U S CIRCLE TO GROWTH CYCLE 1

The " v i c i o u s c i r c l e o f p o v e r t y " i s a phrase used t o c h a r a c t e r i z e t h e s i t u a t i o n i n which no s u s t a i n e d economic g r o w t h i s p o s s i b l e because each s p e c i f i c advance i s r a p i d l y checked by some c o u n t e r - t e n d e n c y i n t h e s o c i a l system. The most i m p o r t a n t o f such c o u n t e r - t e n d e n c i e s i s e x c e s s i v e p o p u l a t i o n g r o w t h . Any s i g n i f i c a n t economic p r o g r e s s tends t o p r o l o n g l i f e by r e d u c i n g famine and p e s t i l e n c e . When death r a t e s decrease more r a p i d l y t h a n b i r t h r a t e s - o f t e n , i n d e e d , w h i l e b i r t h r a t e s are i n c r e a s i n g - t h e n r a p i d p o p u l a t i o n g r o w t h o c c u r s . I n poor c o u n t r i e s p o p u l a t i o n g r o w t h tends t o " l e a d " economic g r o w t h by s e t t i n g r a t e s o f i n c r e a s e t h a t must be a t t a i n e d so t h a t t h e s o c i e t y can s t a y a t i t s e x i s t i n g l e v e l s o f p o v e r t y . No s u r p l u s e s can be g e n e r a t e d , hence no " l e a p f o r w a r d " i s p o s s i b l e . S i n g e r has s u c c i n c t l y summarized " t h e dominant v i c i o u s c i r c l e o f low p r o d u c t i o n no s u r p l u s e s f o r economic i n v e s t m e n t - no t o o l s and equipment - low s t a n d a r d s o f p r o d u c t i o n . An underdeveloped c o u n t r y i s poor because i t has no i n d u s t r y ; and i t has no i n d u s t r y because i t i s poor."

The p i c t u r e l o o k s q u i t e d i f f e r e n t i n a s o c i e t y which has broken o u t o f t h e v i c i o u s c i r c l e and s e t i t s course t o w a r d t h e achievement o f a g r o w t h c y c l e . The new s i t u a t i o n i s v i v i d l y i l l u s t r a t e d by t h e f o l l o w i n g diagram:

• System Outputs

r C a p i t a l Improvement

Hi g h e r I n v e s t m e n t

H i g h e r Saving

Higher Demand

Higher P r o d u c t i v i t y

H igher Real Income

1 For this concluding section, I have adapted a portion of my terminal chapter "Toward a Communication Theory of Modernization" in COMMUNI-"CATIONS AND POLITICAL DEVELOPMENT, ed. L. W. Pye (Princeton 1963)

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The s t o r y t o l d by t h i s diagram reaches i t s c l i m a x w i t h t h e achievement o f a s i g n i f i c a n t r i s e i n r e a l income. Such a r i s e becomes s i g n i f i c a n t when i t enables t h e s o c i e t y s i m u l t a n e o u s l y t o r a i s e b o t h demand and s a v i n g . We have seen t h a t o t h e r w i s e , i n a poor s o c i e t y , s m a l l i n c r e a s e s o f income t e n d t o be consumed p r o m p t l y - w i t h n o t h i n g l e f t o ver f o r s a v i n g , hence i n v e s t m e n t . But when income r i s e s r a p i d l y enough t o p e r m i t h i g h e r consumption and a l s o h i g h e r s a v i n g , t h e n t h e g r o w t h c y c l e i s i n i t i a t e d . H i g h e r i n v e s t m e n t l e a d s t o c a p i t a l improvement and r i s i n g p r o d u c t i v i t y , which i n t u r n r a i s e r e a l income enough t o encourage b o t h h i g h e r s a v i n g and demand. Thereby h i g h e r i n v e s t m e n t i s a g a i n s t i m u l a t e d - and the growth c y c l e becomes s e l f -s u s t a i n i n g .

S p e c i a l i s t s on economic development appear t o be g e n e r a l l y agreed on some v e r s i o n o f t h i s p i c t u r e o f t h e b r e a k - o u t from t h e v i c i o u s c i r c l e . There i s l e s s consensus, however, on the economic p o l i c i e s t h a t w i l l l e a d most e f f i c i e n t l y from t h e b r e a k - o u t t o t h e s e l f - s u s t a i n i n g g r o w t h c y c l e . Contemporary economic t h i n k i n g has tended t o emphasize two q u i t e d i f f e r e n t s e t s o f t h e o r e t i c a l analyses - which we may c h a r a c t e r i z e as " d i s e q u i l i b r i a " and "balanced g r o w t h " t h e o r i e s -l e a d i n g t o d i f f e r e n t p o l i c i e s and programs.

I t i s d i f f i c u l t t o r e s o l v e t h e i s s u e s between d i s e q u i l i b r i a and b a l a n c e d growth on a t h e o r e t i c a l l e v e l . The arguments r e s t i n b o t h cases on f a c t o r s extraneous t o t h e economy - i . e . , on the v a l u e s , b e l i e f s , and i n s t i t u t i o n s o f a c o u n t r y and, e s p e c i a l l y , on i t s c a p a c i t y t o change t h e s e p s y c h o s o c i a l f a c t o r s as may be r e q u i r e d f o r s u s t a i n e d economic g r o w t h . For example: h i g h e r income, even i f r a p i d and s u b s t a n t i a l , w i l l n o t n e c e s s a r i l y l e a d t o commensurate i n c r e a s e s o f s a v i n g and i n v e s t m e n t . There a r e numerous cases where h i g h e r income has l e d o n l y t o conspicuous consumption o f i m p o r t e d p r o d u c t s or t o s a v i n g s t h a t were i n v e s t e d o n l y abroad - hence w i t h no e f f e c t , on p r o d u c t i o n and g r o w t h a t home.

The g r o w t h c y c l e , which s t i p u l a t e d t h a t h i g h e r income must be c o u p l e d w i t h b o t h h i g h e r consumption and i n v e s t m e n t , i s l i k e l y t o o c c u r o n l y i n a s o c i e t y where e f f o r t i s a s s o c i a t e d w i t h reward -where s a v i n g i s l i k e l y t o compound i n t e r e s t , where i n v e s t m e n t a t home i s l i k e l y t o c o n j o i n p e r s o n a l w i t h p a t r i o t i c s a t i s f a c t i o n s ( r a t h e r t h a n e x p l o i t t h e l a t t e r and deny t h e f o r m e r ) . The a s s o c i a t i o n o f e f f o r t w i t h reward comes from t h e m a t r i x o f s o c i a l i n s t i t u t i o n s , p s y c h o l o g i c a l b e l i e f s , p o l i t i c a l e f f i c i e n c y ( i n managing p u b l i c a d a p t i o n t o i n n o v a t i o n ) w i t h i n which economic programs are o b l i g e d t o o p e r a t e .

T h i s a s s o c i a t i o n o f e f f o r t w i t h reward, o f a s p i r a t i o n w i t h a c h i e v e ment, i s a communication p r o c e s s . People must l e a r n t o make t h i s a s s o c i a t i o n i n t h e i r own d a i l y l i v e s - l i n k i n g what t h e y see w i t h what t h e y hear, what t h e y want w i t h what t h e y do, what t h e y do w i t h what t h e y g e t . Communication i s , i n t h i s sense, t h e main i n s t r u ment o f s o c i a l i z a t i o n , as s o c i a l i z a t i o n i s , i n t u r n , t h e main agency o f s o c i a l change. To p a r a l l e l t h e economist's model o f t h e g r o w t h

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c y c l e , we may r e p r e s e n t t h e c o n d i t i o n s f o r an expanding p o l i t y and m o d e r n i z i n g s o c i e t y as f o l l o w s ( a d a p t i n g t h e i n p u t f u n c t i o n s proposed by G a b r i e l Almond).

System Outputs

New I n t e r e s t A g g r e g a t i o n

New P u b l i c Communication

New P o l i t i c a l R e c r u i t m e n t New I n t e r e s t

A r t i c u l a t i o n

New S o c i a l i z a t i o n

The m o d e r n i z a t i o n process b e g i n s w i t h new p u b l i c communication - t h e d i f f u s i o n o f new i d e a s and new i n f o r m a t i o n w h i c h s t i m u l a t e people t o want t o behave i n new ways. I t s t i m u l a t e s t h e peasant t o want t o be a f r e e h o l d i n g f a r m e r , t h e farmer's son t o want t o l e a r n r e a d i n g so t h a t he can work i n the town, t h e f a r m e r ' s w i f e t o want t o s t o p b e a r i n g c h i l d r e n , t h e f a r m e r ' s d a u g h t e r t o want t o wear a dress and do her h a i r . I n t h i s way new p u b l i c communication lead s d i r e c t l y t o new a r t i c u l a t i o n o f p r i v a t e i n t e r e s t s .

S i m u l t a n e o u s l y - by analogy w i t h t h e s i g n i f i c a n t i n c r e a s e o f r e a l income t h a t enables b o t h s a v i n g and demand t o r i s e s i m u l t a n e o u s l y -new p u b l i c communication a c t i v a t e s new modes o f s o c i a l i z a t i o n . I f new i n t e r e s t - a r t i c u l a t i o n p a r a l l e l s demand, t h e n new s o c i a l i z a t i o n p a r a l l e l s s a v i n g - t h e f a c t o r t h a t w i l l make p o s s i b l e new i n v e s t ment and, u l t i m a t e l y , t h e s u p p l y o f new s a t i s f a c t i o n s f o r t h e new demands. So, w h i l e new communication i s p r o m o t i n g new a r t i c u l a t i o n o f i n t e r e s t s among t h e e x i s t i n g g e n e r a t i o n , i t i s a l s o p r e p a r i n g a new g e n e r a t i o n who w i l l i n c o r p o r a t e t h e s e i n t e r e s t s and go beyond them. The f a r m e r ' s daughter who wants t o show her f a c e i s l i k e l y t o r a i s e a daughter who wants t o speak her mind. The f a r m e r ' s son who wants l i t e r a c y and a town j o b i s l i k e l y t o r a i s e a son who wants a d i p l o m a and a w h i t e c o l l a r . S o c i a l i z a t i o n t h u s produces, i d e a l l y , t h e new man w i t h new i d e a s i n s u f f i c i e n t q u a l i t y t o s t a b i l i z e i n n o v a t i o n over t i m e .

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I n o r d e r t o i n c o r p o r a t e i n n o v a t i o n e f f i c i e n t l y , a s o c i e t y must t r a n s l a t e i t from p r i v a t e i n t e r e s t s i n t o p u b l i c i n s t i t u t i o n s . An e s s e n t i a l s t e p f o r w a r d must be made fr o m t h e a r t i c u l a t i o n t o t h e a g g r e g a t i o n o f p r i v a t e i n t e r e s t s - w h i c h , when aggregated and ac c e p t e d i n t h e p o l i t y , become t h e p u b l i c i n s t i t u t i o n s o f a s o c i e t y . I t i s a l s o necessary t h a t a new process o f p o l i t i c a l r e c r u i t m e n t come i n t o o p e r a t i o n . Among the newly s o c i a l i z e d g e n e r a t i o n some must be r e c r u i t e d i n t o p o l i t i c a l l i f e so t h a t t h e new a g g r e g a t i o n o f i n t e r e s t s i n t o i n s t i t u t i o n s may be accomplished and s u s t a i n e d . So i t i s t h a t , s t a r t i n g from a b r e a k t h r o u g h i n communication, r e i n f o r c e d by new ways o f s o c i a l i z a t i o n ( i d e a s o f what one's c h i l d r e n may be and p r a c t i c e s designed t o achieve t h e s e a s p i r a t i o n s ) , a new p o l i t i c a l c l a s s i s r e c r u i t e d t h a t aggregates t h e new i n t e r e s t s a r t i c u l a t e d w i t h i n t h e s o c i e t y i n such f a s h i o n as t o c r e a t e i t s new i n s t i t u t i o n s -i t s v e r s i o n o f m o d e r n i t y .

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Discussion

1. CONCEPT OF EMPATHY

L e r n e r d e f i n e d empathy s i m p l y as t h e c a p a c i t y t o see o n e s e l f i n a n o t h e r f e l l o w 1 s s i t u a t i o n - Empathy i n c l u d e s t h e c a p a c i t y f o r i d e n t i f i c a t i o n w i t h new aspects o f one's environment. The empathic i n d i v i d u a l i s equipped w i t h t h e i n n e r mechanisms needed t o i n c o r p o r a t e new i d e n t i f i c a t i o n s and demands t h a t a r i s e o u t s i d e o f h i s h a b i t u a l e x p e r i e n c e . I t i s , t h e r e f o r e , an i n d i s p e n s a b l e s k i l l w h i c h enables newly m o b i l e persons t o o p e r a t e e f f i c i e n t l y i n a changing w o r l d . 2

B e r l o f e l t t h a t t h e key concept o f empathy sh o u l d be e l u c i d a t e d f u r t h e r . I s i t j u s t p u t t i n g o n e s e l f i n a n o t h e r ' s p l a c e , o r does i t have a more g e n e r a l meaning i n p o i n t o f t i m e o r space? How does one t r a i n f o r empathy as a d e s i r a b l e c h a r a c e r i s t i c ? How can t h e d i f f e r e n t i n p u t s i n e a r l y c h i l d h o o d , w h ich r e s u l t i n i n c r e a s e d empathy, be d i f f e r e n t i a t e d ? I s empathy i m p o r t a n t i n a l l s o c i a l r o l e s ? I s t h e need f o r empathy reduced as i n s t i t u t i o n a l i s m proceeds?

S t e i n c o n s i d e r e d empathy t o be an E a s t e r n , i n t u i t i v e q u a l i t y , r e f l e c t i n g more f e e l i n g t h a n t h i n k i n g t o n e . Bennis saw empathy as t h e b r o a d e n i n g o f p e r c e p t i o n , n o t j u s t as p u t t i n g o n e s e l f i n a n o t h e r ' s role'. L e r n e r d e s c r i b e d empathy as t h e poor man's c r e a t i v i t y w h i c h enables a person t o p r o j e c t h i m s e l f i n t o o t h e r s i t u a t i o n s . He f e l t t h a t empathy c o u l d be t r a i n e d b u t t h i s i s o n l y a hunch and has n o t been demonstrated. He a l s o b e l i e v e d t h a t a g r e a t d e a l o f empathy i s needed f o r some s o c i a l r o l e s , and t h a t some empathy i s needed f o r e v e r y r o l e . Empathy can work even f o r " o r n e r y " persons. T y p i c a l l y , empathy n o t o n l y i n c r e a s e s b u t becomes r o u t i n i z e d as m o d e r n i t y p r o g r e s s e s .

I n r e s e a r c h done i n s e v e r a l M i d d l e East c o u n t r i e s , L e r n e r r e p o r t e d , empathy, as d e t e r m i n e d from responses t o a l a r g e q u e s t i o n n a i r e , t u r n e d o u t t o be t h e o n l y b a s i s f o r d i s c r i m i n a t i n g between m o d e r n i z i n g ( h i g h empathy) and t r a d i t i o n a l (low empathy) i n d i v i d u a l s l i v i n g i n

D. Lerner, THE PASSING OF TRADITIONAL SOCIETY (Gleneoe: The Free Press, 1958, paperback edition, 1965).

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communities which - i n terms o f such s t a n d a r d i n d i c e s as l i t e r a c y , u r b a n i z a t i o n , media consumption and socio-economic s t a t u s - were i n d i s t i n g u i s h a b l e . I n such t r a d i t i o n a l and e a r l y t r a n s i t i o n a l c ommunities, comparably low on a l l o b j e c t i v e i n d i c a t o r s , empathy t u r n e d o u t t o be t h e v a r i a b l e t h a t most e f f i c i e n t l y accounted f o r , and measured, t h e b e h a v i o r a l d i f f e r e n c e s between m o d e r n i z i n g and non-modernizing i n d i v i d u a l s .

2. FRUSTRATION AND WANTS

Humphrey, a g r e e i n g w i t h L e r n e r t h a t man a s p i r e s t o have something b e t t e r t h an what he has, quoted a remark by t h e l a t e economist Frank K n i g h t t o t h e e f f e c t t h a t "what we i n t h e West want i s b i g g e r and b e t t e r wants." And w h i l e Humphrey a d m i t t e d t h a t e x c e s s i v e f r u s t r a t i o n may be dangerous, he d i d n o t know how one c o u l d p r e d i c t whether f r u s t r a t i o n would have p o s i t i v e o r n e g a t i v e e f f e c t s . L e r n e r responded t h a t work i n p r o g r e s s on h i s Want:Get R a t i o , as r e v e a l e d by M.I.T. s t u d i e s i n Venezuela, m i g h t p r o v i d e a b a s i s f o r b e t t e r f o r e s i g h t on the e f f e c t s o f h i g h f r u s t r a t i o n - and w i t h b e t t e r f o r e s i g h t , p r e sumably, b e t t e r p r e d i c t i o n .

3. MILITARY TAKEOVERS

The l o s s e s v e r s u s t h e g a i n s o f m i l i t a r y t a k e o v e r s i n d e v e l o p i n g n a t i o n s were d i s c u s s e d i n r e l a t i o n t o s h o r t and l o n g e r term s o c i a l change p r o s p e c t s . Lerner f e l t t h a t m i l i t a r y t a k e o v e r may sometimes have a p o s i t i v e e f f e c t , and c i t e d t h e example o f Turkey under A t a t u r k - and s i n c e , however, m i l i t a r y governments n o r m a l l y have been n e i t h e r d u r a b l e nor a d m i n i s t r a t i v e l y capable o f o r g a n i z i n g and pu s h i n g t h r o u g h l a r g e programs o f s o c i a l development. The work o f Johnson, J a n o w i t z , and o t h e r s i n d i c a t e s t h a t c i v i l - m i l i t a r y r e l a t i o n s i n d e v e l o p i n g c o u n t r i e s i s a process t h a t w i l l r i c h l y repay i n t e n s i v e , c o m p a r a t i v e , and c o n t i n u i n g s t u d i e s .

4. E F F E C T S OF MASS MEDIA

Deutsch e l a b o r a t e d L e r n e r ' s p o i n t t h a t Paul L a z a r s f e l d ' s model o f a tw o - s t e p f l o w o f communication, i n which mass media o u t p u t i s r e l a y e d b y o p i n i o n l e a d e r s , i s more a p p l i c a b l e t o a m e d i a - s a t u r a t e d c o u n t r y l i k e t h e U n i t e d S t a t e s t h a n t o d e v e l o p i n g c o u n t r i e s . L e r n e r added t h a t o p i n i o n l e a d e r s i n t r a d i t i o n a l s o c i e t i e s t e n d t o be conserv a t i v e because t h e y are p a t r i a r c h a l - an " e l i t e " o f e l d e r males w i t h a k i n s h i p base and a p a r o c h i a l domain. Among t h e y o u t h and females who b e g i n t o doubt t h e a u t h o r i t y o f e l d e r males i n these c l a n s and p a r i s h e s , t h e e f f e c t o f mass media i s t o s t i m u l a t e , evoke, and d i r e c t l y shape a t t i t u d e s and o p i n i o n s , even w i t h o u t r e l a y p o i n t s and l o c a l o p i n i o n l e a d e r s . Hagen commented t h a t t h e s t a t e o f read i n e s s o f t r a d i t i o n a l s o c i e t i e s f o r s o c i a l change i s r e l a t e d t o how wides p r e a d and p o w e r f u l t h e e f f e c t s o f mass media have been.

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5. PARTICIPATION IN C H A N G E

Bennis n o t e d t h a t L e r n e r ' s p a r t i c i p a n t s o c i e t y f i t s h i s own n o t i o n o f m o b i l e , temporary s o c i a l systems, b u t wanted f u r t h e r d i s c u s s i o n o f how i n s t i t u t i o n s are t r a n s f o r m e d . He was c o n v i n c e d t h a t d u r a b l e s o c i a l change cannot be b r o u g h t about by c o e r c i o n o r i n t i m i d a t i o n . I n f l u e n c e i s a dependent v a r i a b l e caused by t h e independent v a r i a b l e c a l l e d power. Power i t s e l f may d e r i v e from t h e c o g n i t i v e i n f o r m a t i o n o f an e x p e r t , from c o e r c i o n w i t h e i t h e r rewards o r punishment, from i d e n t i f i c a t i o n ( r e f e r e n t p o w e r ) , or from l e g i t i m a t e a u t h o r i t y and r u l e s . I t would seem t h a t s o c i a l change i s more d u r a b l e t o t h e e x t e n t t h a t people a r e i n f l u e n c e d by t h e e x e r c i s e o f power e n c o u r a g i n g t h e i r v o l u n t a r y p a r t i c i p a t i o n . B ut, i t i s n o t c l e a r enough who s t a r t s t h e i n f l u e n c e process l e a d i n g t o change.

A c c o r d i n g t o Deutsch, i n t e l l e c t u a l s , b u r e a u c r a t s and s o l d i e r s i n most t r a d i t i o n a l s o c i e t i e s comprise l e s s t h a n t e n p e r c e n t o f t h e p o p u l a t i o n , even i f t h e y are c o l l a b o r a t i n g w i t h each o t h e r . While c r o s s - c l a s s c o a l i t i o n s have been found t o be a p o t e n t i n s t r u m e n t f o r c r e a t i n g s o c i a l change, t h e base o f a c t i v e p a r t i c i p a t i o n needs t o be broadened. He f e l t t h a t t h e communication r e v o l u t i o n , as d e s c r i b e d by L e r n e r , was a means o f a c c o m p l i s h i n g t h i s . Communication can be used t o i n c r e a s e n o t o n l y t h e w e a l t h v a l u e , b u t a l s o e n l i g h t e n m e n t , w e l l - b e i n g , r e s p e c t - as w e l l as t h e shaping and s h a r i n g o f power by means o f e n l a r g e d and d i f f e r e n t i a t e d p a r t i c i p a t i o n i n t h e p o l i t y .

6. WANT: GET RATIOS

Changes r e s u l t i n g from development have o f t e n produced an imbalance among p r e f e r r e d v a l u e s a c q u i r e d . S t u d y i n g t h e h i s t o r i c a l e x p e r i e n c e s o f Japan and Western Europe m i g h t g i v e c l u e s t o t h e l i m i t s o f imbalance i n the a c c u m u l a t i o n o f d i f f e r e n t v a l u e s t h a t t r a d i t i o n a l s o c i e t i e s can t o l e r a t e . Since imbalance can be c o n c e p t u a l i z e d as t h e d i f f e r e n c e between what people want and what t h e y g e t , o p e r a t i o n a l i n d e x i n g o f L e r n e r f s Want:Get R a t i o as an i n s t r u m e n t f o r d a t a -c o l l e c t i o n and d a t a - e v a l u a t i o n may make an i m p o r t a n t c o n t r i b u t i o n t o t h e c o n t i n u o u s i n t e r a c t i o n o f r e s e a r c h and p o l i c y i n t h e development p r o c e s s .

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© GENERAL EQUILIBRIUM MODEL OF

THE SOCIAL SYSTEM

by Walter Isard

Department of Regional Sciences University of Pennsylvania

and

C. Peter Rydell Hunter College of the City University of N. Y (Formerly of Wharton School, Univ. of Penn.)

The authors are grateful to the National Science Foundation for financial assistance in support of their research. Part II of this paper draws heavily upon material contained in W. Isard and P. Isard, "General Social, Political and Economic Equilibrium for a System of Regions," Regional Science Research Institute, G.P.O. 8776, Philadelphia 1, Pennsylvania, U.S.A., 1965; W. Isard and T. H. Tung, "Selected Non-Economic Commodities: Definitions, and Speculations on Supply and Demand, Measurement and Utility," PAPERS, Regional Science Association, Vol. XIII, 1964; and W. Isard, "Parsons and Types of Individual and Organizational Acts, " Regional Science Research Institute, 1964.

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Part I: The Americanization of Emily

INTRODUCTION

Em i l y i s an i s l a n d d i s c o v e r e d i n August,1966, by m e t e r e o l o g i c a l workers i n t e r e s t e d i n t h e o r i g i n o f H u r r i c a n e E m i l y . The i s l a n d i s l o c a t e d i n l a t i t u d e s 120-121 sout h and i n l o n g i t u d e s " 661-662 west o f Greenw i c h . Upon t h e r e p o r t o f t h e i s l a n d ' s d i s c o v e r y i t was i m m e d i a t e l y r e a l i z e d by t h e American s c i e n t i f i c community t h a t E m i l y was an i d e a l l o c a t i o n f o r M i s s i o n Zebra. A c c o r d i n g l y , t h e S t a t e Department and o t h e r concerned agencies o f t h e F e d e r a l government began t o f o r m u l a t e p l a n s t o e s t a b l i s h a secure and broad b a s i s f o r an e n d u r i n g r e l a t i o n s h i p w i t h E m i l i a n s .

The p o p u l a t i o n o f E m i l y numbers one m i l l i o n . The i s l a n d i s d i v i d e d i n t o f o u r r e g i o n s , t h e boundaries o f t h e s e r e g i o n s b e i n g w e l l - d e f i n e d by m o u n t a i n r i d g e s . I n each r e g i o n t h e r e i s a major c i t y o f from t e n t o , f i f t e e n thousand i n h a b i t a n t s , s i x t o e i g h t c i t i e s o f f r o m t h r e e t o f i v e thousand, and many v i l l a g e s . Only t w e n t y p e r c e n t of t h e p o p u l a t i o n l i v e s i n v i l l a g e s and c i t i e s , t h e r e s t b e i n g s e t t l e d i n r u r a l areas a t a d e n s i t y c o n s i s t e n t w i t h e f f i c i e n t food p r o d u c t i o n .

The economic, p o l i t i c a l , s o c i a l and c u l t u r a l subsystems o f E m i l i a n s o c i e t y are s t a b l e . Customs, p r o d u c t i o n methods, p o p u l a t i o n l e v e l s , e t c . , have r e s i s t e d change f o r a t l e a s t a c e n t u r y . The few s o c i a l s c i e n t i s t s who have had t h e o p p o r t u n i t y t o observe E m i l i a n s o c i e t y have been amazed a t i t s p e r f e c t r e p r e s e n t a t i o n o f a s o c i a l system i n s t a b l e e q u i l i b r i u m . Space l i m i t a t i o n s o f t h i s paper do n o t p e r m i t us t o d e s c r i b e f u r t h e r t h e many i n t r i g u i n g f e a t u r e s o f E m i l i a n s o c i e t y . . Our o b j e c t i v e , t o analyze t h e p o s s i b l e impact o f t h e impending A m e r i c a n i z a t i o n o f Emily, i s t o o p r e s s i n g f o r us t o engage a t t h i s t i m e i n t h e a e s t h e t i c s o f t r a d i t i o n a l s o c i a l s c i e n c e a n a l y s i s .

To i n s u r e a p o s i t i v e and e n d u r i n g r e l a t i o n s h i p w i t h E m i l y and t h e r e by t o a c h i e v e t h e g o a l s o f M i s s i o n Zebra, t h e S t a t e Department had on u r g e n t c a l l assembled i n Washington a t a s k f o r c e o f o u t s t a n d i n g s o c i a l s c i e n t i s t s and systems a n a l y s t s . A f t e r i n t e n s i v e work a r e p o r t was p r e p a r e d on t h e s o c i a l , p o l i t i c a l , economic, and c u l t u r a l i m p a c t on E m i l i a n s o c i e t y o f b o t h (1) t h e planned c o n s t r u c t i o n and o p e r a t i o n o f t h e Zebra m i s s i l e base, and (2) t h e c o n t e m p l a t e d " s t r a t e g i c and compensatory" f o r e i g n a i d . However, t h e few s o c i a l s c i e n t i s t s who had had f i r s t hand o p p o r t u n i t y t o observe E m i l i a n

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s o c i e t y d i s s e n t e d s t r o n g l y w i t h t h e f i n d i n g s o f t h e t a s k f o r c e ' s r e p o r t . I n l i g h t o f t h i s sharp d i s s e n t t h e S t a t e Department r e q u e s t e d t a s k f o r c e members t o observe E m i l i a n s o c i e t y d i r e c t l y . Arrangements were made f o r an o b s e r v a t i o n t o u r t o be under t h e guidance o f a l e a d i n g E m i l i a n e l d e r .

EMILIAN SOCIAL S T R U C T U R E

A t t h e v e r y s t a r t o f t h e t o u r t h e E m i l i a n e l d e r e v i n c e d an i n a b i l i t y t o u n d e r s t a n d t h e i m p l i c a t i o n i n t h e t a s k f o r c e ' s r e p o r t t h a t f o r e i g n a i d was l a r g e l y a u n i l a t e r a l g i f t . The e l d e r E m i l i a n p o i n t e d o u t t h a t t h e r e i s no such t h i n g as u n i l a t e r a l g i v i n g i n E m i l i a n s o c i e t y . There i s always " g i v e and t a k e . " E m i l i a n s have l o n g r e c o g n i z e d , he s a i d , t h a t when an i n d i v i d u a l g i v e s a so c a l l e d " g i f t " he r e c e i v e s i n r e t u r n something o f eq u a l v a l u e . For i n s t a n c e , t h e w i d t h o f a r e c i p i e n t ' s s m i l e measures t h e v a l u e t o him o f t h e g i f t r e c e i v e d . The w i d t h o f h i s s m i l e a l s o d e p i c t s t h e amount o f o-evol t h a t t h e g i v e r has r e c e i v e d from t h e r e c i p i e n t , a-evol b e i n g a v a l u e d non-economic commodity t h a t e n t e r s d i r e c t l y i n t o t h e g i v e r ' s u t i l i t y f u n c t i o n .

A t f i r s t i t was d i f f i c u l t f o r t h e U.S. s o c i a l s c i e n t i s t s t o conce i v e as v a l i d t h i s custom o f c o n s i d e r i n g a l l g i f t s as exchanges. However, l a t e r , upon o b s e r v i n g t h e e x t e n t and volume o f g i f t g i v i n g and c - e v o l p r o d u c t i o n t a k i n g p l a c e i n E m i l i a n s o c i e t y , t h e y came t o r e a l i z e t h e s i g n i f i c a n c e o f such exchange and p r o d u c t i o n . P a r e n t h e t i c a l l y , i t i s rumored t h a t t h e y now wonder whether t h e r e i s any u n i l a t e r a l g i f t -g i v i n g anywhere i n t h e w o r l d . I t i s a l s o heard t h a t t h e y are now s p e c u l a t i n g t h a t f o r e i g n a i d p r o v i d e d i n t h e p a s t by i n d u s t r i a l i z e d n a t i o n s may have been f u l l y r e p a i d by t h e r e c e i v e r s i n ways which t h e c o n v e n t i o n a l a c c o u n t i n g systems o f t h e i n d u s t r i a l i z e d n a t i o n s have n o t r e c o g n i z e d .

The e l d e r E m i l i a n went on t o p o i n t o u t t h a t t h e same a t t i t u d e t o w a r d g i f t - g i v i n g e x i s t e d among a l l r e g i o n s o f E m i l y , which had been a t peace w i t h each o t h e r f o r t i m e immemorial. He was shocked a t h e a r i n g o f t h e low magnitude o f t h i s k i n d o f exchange among t h e l e a d e r s o f t h e n a t i o n s t a t e s i n t h e w o r l d d e s c r i b e d by t h e s o c i a l s c i e n t i s t s .

The E m i l i a n e l d e r c o n t i n u e d w i t h h i s s u c c i n c t d e s c r i p t i o n o f E m i l i a n s o c i e t y . He observed t h a t , i n t h e terms o f t h e b e h a v i o r a l i s t s who had r e c e n t l y v i s i t e d E m i l y , one m i g h t say t h a t t h e r e were f o u r t y p e s o f a c t o r s i n E m i l i a n s o c i e t y , each m o t i v a t e d t o maximize u t i l i t y p a y o f f o r e f f e c t i v e p r o f i t s . The f i r s t s e t c o n s i s t s o f i n d i v i d u a l s , t h e second o f o r g a n i z a t i o n s , t h e t h i r d o f government a d m i n i s t r a t i v e agencies and t h e f o u r t h o f e x p o r t i n g u n i t s .

Each i n d i v i d u a l i s a s s o c i a t e d w i t h f o u r major r o l e s : (1) t h e r o l e o f one-man p r o d u c t i o n f o r f a m i l y consumption, a r o l e i n w h i c h each a b l e member o f a f a m i l y engages; (2) t h e r o l e o f one-man p r o d u c t i o n f o r p r o f i t i n s o c i e t y , a r o l e n o t t o o i m p o r t a n t f o r E m i l i a n s o c i e t y ;

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(3) t h e r o l e o f a c t i v e p a r t i c i p a t i o n i n o r g a n i z a t i o n s , i n v o l v i n g , i n essence, exchanges ( c o n t r i b u t i o n s and r e c e i p t s ) a t o r g a n i z a t i o n a l m a r k e t s ; and (4) t h e r o l e i n v o l v i n g t e n d e r i n g o f l o v e t h r o u g h t h e g i v i n g o f g i f t s t o f a m i l y members, f r i e n d s , and o t h e r i n d i v i d u a l s -The e l d e r observed t h a t two r o l e s p r e s e n t i n U.S. S o c i e t y were o n l y on o c c a s i o n p r a c t i c e d i n E m i l y ; namely, t h e r o l e s o f selling and buying economic goods a t an economic market i n a r e g i o n . Economic exchange, per se, i s p r a c t i c e d o n l y t o an e x t r e m e l y l i m i t e d degree i n E m i l y .

O r g a n i z a t i o n s were d e s c r i b e d as engaging i n b o t h p r o d u c t i v e a c t i v i t i e s and exchange. P r o d u c t i o n a c t i v i t i e s cover a l l k i n d s o f commodities and, u n l i k e t h e s i t u a t i o n i n i n d u s t r i a l i z e d n a t i o n s , t h e r e e x i s t s no l a r g e group o f o r g a n i z a t i o n s , which m i g h t be cons i d e r e d p u r e l y b u siness f i r m s , p r i m a r i l y engaged i n p r o d u c t i o n f o r money p r o f i t . Most o r g a n i z a t i o n s can and a r e i n v o l v e d i n p r o d u c i n g a whole range o f what t h e U.S. s o c i a l s c i e n t i s t s m i g h t d e s c r i b e as economic and non-economic commodities. E s p e c i a l l y i m p o r t a n t i s the p r o d u c t i o n o f t h e non-economic commodities: c - a f f e c t i o n and c-r e s p e c t . These are fundamental t o an u n d e r s t a n d i n g o f E m i l i a n c u l t u r e , b e i n g i n e x t r i c a b l y imbedded i n E m i l i a n s o c i a l s t r u c t u r e . Along w i t h p r o d u c t i o n , each o r g a n i z a t i o n p r o v i d e s a f o c a l p o i n t a t w h i c h i n d i v i d u a l s can exchange goods i n t h e sense o f making c o n t r i b u t i o n s t o t h e o r g a n i z a t i o n (such as l a b o r , c o r n , e t c . ) and r e c e i v i n g i n r e t u r n d i v e r s e commodities (such as c - r e c t i t u d e , c - r e s p e c t and money) .

Government a d m i n i s t r a t i v e agencies a r e g u i d e d i n Emily by a d m i n i s t r a t o r s who,out o f own s e l f - i n t e r e s t , a r e m o t i v a t e d t o behave t o maximize t h e w e l f a r e o f t h e i r c o n s t i t u e n c y . Taxes are c o l l e c t e d and government goods and s e r v i c e s are d i s t r i b u t e d . F i n a l l y , i n each r e g i o n t h e r e e x i s t e x p o r t i n g u n i t s w h ich engage i n what l i t t l e t r a d e i n economic goods e x i s t s among the f o u r r e g i o n s . The s m a l l amount o f i n t e r r e g i o n a l t r a d e i s accounted f o r b o t h by t h e s m a l l s i z e o f t h e economic market i n each r e g i o n and by t h e o b s t a c l e s t o t r a d e which t h e mountain r i d g e s impose. As w i t h o r g a n i z a t i o n s , a l l p r o f i t s earned by e x p o r t i n g u n i t s are d i s t r i b u t e d t o those i n d i v i d u a l s who have ownership r i g h t s , i n h e r i t e d o r accumulated over t i m e .

The E m i l i a n e l d e r went on t o i n d i c a t e some o f the b a s i c s o c i a l p r o cesses a t work i n E m i l i a n s o c i e t y . F i r s t , t h e r e e x i s t s a s e t o f c - s a n c t i o n s w h ich have v e r y s l o w l y e v o l v e d over t h e c e n t u r i e s , and which do n o t n o t i c e a b l y change over any l i f e t i m e . By a f f e c t i n g u t i l i t y o r e f f e c t i v e p r o f i t s r e a l i z e d , t h e c - s a n c t i o n s serve t o g uide b e h a v i n g u n i t s i n t h e choice o f a c t i o n s c o n s i s t e n t w i t h t h e wishes o f s o c i e t y as a whole.

Secondly, t h e r e are t h e market processes a t each o r g a n i z a t i o n which s e t t h e r a t i o s a t which goods are exchanged. These r a t i o s r i s e and f a l l i n such a manner as t o equate s u p p l y and demand f o r each

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commodity on each such market, t a k i n g i n t o account t h e use o f th e s e commodities as i n p u t s and o u t p u t s i n each o r g a n i z a t i o n ' s p r o d u c t i o n . The e q u a t i o n o f s u p p l y and demand o f economic commodities i s r e a l i z e d a t t h e s m a l l economic markets i n each r e g i o n where i n d i v i d u a l s , o r g a n i z a t i o n s , e x p o r t i n g u n i t s and government a d m i n i s t r a t i v e agencies may buy and s e l l goods, a l t h o u g h t h e e l d e r was n o t aware o f any government a d m i n i s t r a t i v e agency s e l l i n g goods on such m a r k e t s . F i n a l l y , t h e e l d e r e l a b o r a t e d upon t h e l e g i s l a t i v e p r o c e s s . I n p a r t / i t resembles t h a t e x i s t i n g i n t h e U n i t e d S t a t e s , b u t one i n which t h e pure r e p r e s e n t a t i o n f u n c t i o n i s much more developed, p a r t l y as a r e s u l t o f t h e h i g h n e g a t i v e - c - s a n c t i o n s p l a c e d upon r e p r e s e n t a t i v e s who make p r o p o s a l s f o r government programs and t a x r a t e s n o t c o n s i s t e n t w i t h t h e wishes o f t h e m a j o r i t y o f t h e i r c o n s t i t u e n t s . The l e g i s l a t i v e process i s a b l e t o r e s o l v e c o n f l i c t s on program p r i o r i t i e s and t a x r a t e s t h r o u g h r e g u l a r c o o p e r a t i v e v o t i n g p r ocedures.

I n c l o s i n g , t h e E m i l i a n e l d e r mentioned t h a t i n many ways t h e s o c i a l s t r u c t u r e o f Em i l y resembled a c o n c e p t u a l framework developed i n h i g h l y m a t h e m a t i c a l form a year o r so ago i n t h e U n i t e d S t a t e s . A v e r b a l d e s c r i p t i o n o f t h e framework i s p r e s e n t e d i n P a r t I I o f t h i s paper.

PROBLEMS OF INDUSTRIALIZATION [AMERICANIZATION)

I t became c r y s t a l c l e a r t o t h e t a s k f o r c e t h a t t h e f i n d i n g s o f t h e i r r e p o r t were i n l a r g e p a r t i r r e l e v a n t . Too g r e a t emphasis was p l a c e d on development o f economic a c t i v i t i e s , t o t h e n e g l e c t o f t r a n s a c t i o n s i n v o l v i n g non-economic commodities. The b e n e f i t - c o s t analysis,' t o be a p p l i e d f o r t h e d e s i g n o f p o l i c i e s t o c o n t r o l t h e a n t i c i p a t e d u r b a n i z a t i o n , - c o m p l e t e l y i g n o r e d t h e d i s r u p t i o n i n f a m i l y s t r u c t u r e t h a t would ensue. There was no r e c o g n i t i o n o f t h e h i g h n e g a t i v e - c - s a n c t i o n on t h e e a r n i n g o f money f o r money's sake, nor o f t h e h i g h p o s i t i v e c - s a n c t i o n on t h e e a r n i n g o f money as a means f o r e f f e c t i n g g i f t s and t h e r e b y p r o d u c i n g c - e v o l .

C l e a r l y , t h e use o f t h e t r a d i t i o n a l economic market mechanism t o o b t a i n t h e necessary l o c a l l a b o r f o r c e t o man t h e Zebra M i s s i o n f a c i l i t y and t o a t t r a c t t h e necessary s e r v i c e i n d u s t r i e s t o s u p p o r t t h i s b a s i c l a b o r f o r c e — a use designed i n a c c o r d w i t h t h e b e s t r e g i o n a l s c i e n c e t e c h n i q u e s p r e v i o u s l y found a p p l i c a b l e i n t h e U n i t e d S t a t e s — i s n o t f e a s i b l e . The d e c i m a t i o n o f k i n s h i p s t r u c t u r e , t h e i n e f f i c i e n c i e s from an i n t e n s i f i e d pace o f u r b a n i z a t i o n , and t h e excess m i g r a t i o n f l o w s w h ich would be e n t a i l e d would be u n d e s i r a b l e t o a l l p a r t i e s .

C o n s i d e r a t i o n o f t h e non-economic aspects o f E m i l i a n s o c i a l s t r u c t u r e l e d t h e t a s k f o r c e t o r e c o n s i d e r t h e p r e s s i n g o p e r a t i o n a l problem o f where t h e m i s s i l e base m i g h t be c o n s t r u c t e d . T h i s problem i s a v a r i a n t o f t h e g e n e r a l q u e s t i o n o f t e n posed i n t h e l i t e r a t u r e on underdeveloped r e g i o n s : what s i t e s h o u l d serve as

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t h e p o i n t f o r t h e f o s t e r i n g o f i n d u s t r i a l g r o w t h . The advantages o f l o c a t i n g t h e m i s s i l e base near one o f t h e main c i t i e s are c l e a r c u t — a l a r g e supply o f t h e most s k i l l e d l a b o r would be a t hand, i n f r a s t r u c t u r e would be p r e s e n t , easy and s e n s i t i v e access t o key E m i l i a n d e c i s i o n makers would be p o s s i b l e , and necessary c o n t r o l s c o u l d more r e l i a b l y and e a s i l y be e f f e c t e d . B u t , l o c a t i n g near a main c i t y would a l s o e n t a i l a r a t h e r r a p i d d i f f u s i o n o f new i d e a s and new concepts o f l i v i n g , which might, d e s t r o y c e r t a i n b a s i c underp i n n i n g s o f E m i l i a n s o c i e t y and s e t i n m o t i o n u n d e s i r a b l e c o u n t e r f o r c e s t o development.

L o c a t i n g t h e Zebra s i t e a t a remote p l a c e , d i s t a n t from c u l t u r a l c e n t e r s , would temper d i s r u p t i v e d i f f u s i o n e f f e c t s . On t h e o t h e r hand, such a remote l o c a t i o n would l e a d t o t h e emergence o f a second major c i t y i n t h e chosen r e g i o n , and would d e s t r o y t h a t r e g i o n ' s s t a b l e c e n t r a l p l a c e h i e r a r c h y which has e v o l v e d over c e n t u r i e s . (This s t a b l e h i e r a r c h y i n c l u d e s a customary p a t t e r n - o f m i g r a t i o n from r u r a l areas t o urban a r e a s , b i r t h r a t e s i n r u r a l areas b e i n g n o t i c e a b l y h i g h e r . ) Moreover, a remote l o c a t i o n would make i t d i f f i c u l t t o e x e r t i n f l u e n c e upon t h e nerve c e n t e r s o f E m i l i a n s o c i e t y , and t o e f f e c t s t r a t e g i c d e c i s i o n s a t t h e r i g h t moment o f t i m e , e s p e c i a l l y f o r a s o c i e t y so l i t t l e documented.

I n s h o r t , c o n s i d e r a t i o n o f t h i s l o c a t i o n problem p o i n t s o u t t h a t t h e c o s t d i f f e r e n t i a l s o f t r a d i t i o n a l l o c a t i o n a n a l y s i s a r e n o t a t a l l a p p l i c a b l e , a s i s t h e case w i t h so many o f the e x i s t i n g b a t t e r y o f economic and r e g i o n a l s c i e n c e t e c h n i q u e s . New c o s t d i f f e r e n t i a l s , c o m p e l l i n g t h e measurement o f non-economic commodities and t h e q u a n t i f i c a t i o n o f t r a n s a c t i o n s i n v o l v i n g these commodities, as w e l l as i m p a c t s upon p r e f e r e n c e f u n c t i o n s and fundamental f a c e t s o f t h e E m i l i a n s o c i a l system,need t o be developed.

Perhaps more c r i t i c a l i s t h e p o s s i b i l i t y o f d i s a s t r o u s l y u p s e t t i n g t h e d e l i c a t e balance a c h i e v e d by E m i l y ' s r e g i o n s . Such a p o s s i b i l i t y a r i s e s s i n c e f o r t e c h n o l o g i c a l and economic reasons o n l y one m i s s i l e base would be c o n s t r u c t e d . N e c e s s a r i l y , t h i s base would be i n a s i n g l e r e g i o n , and would d i s t u r b t h e harmonious e q u i l i b r i u m t h a t has so s u c c e s s f u l l y e v o l v e d over t i m e . I n t h i s e q u i l i b r i u m each r e g i o n senses i t s e l f e q u a l l y i m p o r t a n t as any o t h e r r e g i o n i n t h e making o f d e c i s i o n s . Per capita -incomes, and more i m p o r t a n t , per capita c-respect are each a p p r o x i m a t e l y t h e same among r e g i o n s . Yet t h i s c o u l d n o t p o s s i b l y remain so were a m i s s i l e base, p a r t l y o r i e n t e d t o a market economy, t o be c o n s t r u c t e d i n one r e g i o n . As y e t no s o c i a l s c i e n t i s t has been b o l d enough t o suggest s o c i a l and p o l i t i c a l development programs which m i g h t o f f s e t t h e imbalance caused by a h e i g h t e n e d economic development o f one r e g i o n and t o h e l p a v o i d t h e s u b t l e j e a l o u s i e s and i n t e r n a l i z e d c o n f l i c t s which would i n e v i t a b l y r e s u l t . On t h i s p o i n t o f non-economic development programs, t h e l i t e r a t u r e on t h e d i s r u p t i v e e f f e c t s o f i n d u s t r i a l i z a t i o n a t a f o c a l p o i n t i n a t r a d i t i o n a l s o c i e t y has l i t t l e t o say.

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I t i s w o r t h r e c a l l i n g t h a t i n t h e i r o r i g i n a l r e p o r t t h e t a s k f o r c e had suggested t h a t as compensation f o r t h e r i g h t s t o develop t h e Zebra base,the U n i t e d S t a t e s would p r o v i d e c a p i t a l f o r t h e cons t r u c t i o n o f an i n d u s t r i a l d i s t r i c t nearby t h e base. I t was reasoned, and w i t h a c e r t a i n amount o f j u s t i f i c a t i o n , t h a t c e r t a i n e n t e r p r i s e s m i g h t be encouraged t o process c e r t a i n e x o t i c a g r i c u l t u r a l produce w h i c h c o u l d be advantageously s o l d i n w o r l d m a r k e t s . I f l o c a t e d near t h e m i s s i l e base, such a c t i v i t y and o t h e r s o f an i n d u s t r i a l complex would have t h e advantage o f dr a w i n g upon t h e e n g i n e e r i n g t a l e n t a t t h e m i s s i l e s i t e and employing some o f t h e l o c a l l a b o r w i t h work e x p e r i e n c e on M i s s i o n Zebra. A l s o , b u i l d i n g t h e new i n d u s t r i e s and t h e m i s s i l e base i n t h e same r e g i o n would maximize t h e p r o b a b i l i t y o f d e v e l o p i n g an e f f i c i e n t e n t r e p r e n e u r s h i p t o e x p l o i t as w e l l as c o n t r i b u t e t o t h e i n f r a s t r u c t u r e r e q u i r e d by t h e i n d u s t r i a l d i s t r i c t and M i s s i o n Zebra.

However, upon c o n s i d e r i n g t h e c o s t s from p o l i t i c a l f r i c t i o n r e s u l t i n g f rom t h e c o n c e n t r a t i o n o f development i n one r e g i o n , as w e l l as t h e s o c i a l c o s t s o f excess m i g r a t i o n , and t h e c u l t u r a l c o s t s f r o m l o s s o f c - r e s p e c t i n t h e o t h e r r e g i o n s , some members o f t h e t a s k f o r c e urged t h a t t h e con t e m p l a t e d i n d u s t r i a l complex be s p l i t up among t h e s e v e r a l r e g i o n s . A d m i t t e d l y t h i s course o f a c t i o n would r e s u l t i n a g r e a t l o s s o f a g g l o m e r a t i o n ( e x t e r n a l ) economies which would be r e a l i z e d i f t h e new i n d u s t r i e s were t o g e t h e r , a d j a c e n t t o t h e m i s s i l e s i t e . The optimum t r a d e - o f f between d e c e n t r a l i z i n g i n d u s t r i a l development t o m i n i m i z e t h e d i r e c t l y imposed non-economic c o s t s o f r e g i o n a l imbalances and c e n t r a l i z i n g development t o g a i n t h e a g g l o m e r a t i o n economies a t a g r o w t h p o l e was seen t o r e q u i r e f u r t h e r c o n c e p t u a l and e m p i r i c a l r e s e a r c h .

An a d d i t i o n a l problem r e c o g n i z e d by t h e t a s k f o r c e was: how t o a d v i s e o r even make m e a n i n g f u l statements on how E m i l i a n s s h o u l d e s t a b l i s h a new l e v e l o f government. For c l e a r l y , t h e management o f f o r e i g n a f f a i r s would be beyond t h e ken and s t r u c t u r a l c a p a b i l i t i e s o f any o f t h e r e g i o n a l l e v e l s o f government. A f e d e r a l o r c e n t r a l l e v e l -would be r e q u i r e d t o c o o r d i n a t e t h e f o r e i g n r e l a t i o n s o f t h e s e v e r a l r e g i o n s , t o handle t h e d e l i c a t e problems o f n e g o t i a t i o n s w i t h t h e U n i t e d S t a t e s and o f t r a d e i n economic commodities w i t h o t h e r i n d u s t r i a l i z e d n a t i o n s o f t h e w o r l d . What concerned t h e s o c i a l s c i e n t i s t s was n o t o n l y how t o recommend procedures whereby r e g i o n a l governments m i g h t come t o g e t h e r under c o n d i t i o n s w h i c h would appear rea s o n a b l e and e q u i t a b l e t o each, b u t a l s o how t o p u t f o r t h recommendations on how much o f e x i s t i n g governmental f u n c t i o n s s h o u l d be ass i g n e d t o a c e n t r a l government as w e l l as how power and d e c i s i o n - m a k i n g a u t h o r i t y a s s o c i a t e d w i t h new f u n c t i o n s s h o u l d be a l l o c a t e d among t h e s e v e r a l l e v e l s o f government. I t was r e a l i z e d t h a t t h e problem o f i n i t i a t i n g such a new l e v e l o f government i s n o t u n l i k e t h e q u e s t i o n o f how t o i n t r o d u c e a m e t r o p o l i t a n government i n t o t h e h i e r a r c h y o f governments i n a r a p i d l y growing urban a r e a . I n b o t h cases economies o f s c a l e and a g g l o m e r a t i o n economies i n d e c i s i o n making make more c e n t r a l i z a t i o n necessary t o overcome i n e f f i c i e n c y i n government s t r u c t u r e .

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SOME OBSERVATIONS ON RESEARCH FRONTIERS

A t t h i s time/ t h e t a s k f o r c e came t o a p p r e c i a t e t h a t i n view o f i t s new knowledge, i t s i n i t i a l r e p o r t was l a r g e l y o b s o l e t e . I t a l s o came t o r e a l i z e t h e g l a r i n g d e f i c i e n c i e s i n many r e p o r t s c a r e f u l l y p r e p a r e d i n t h e p a s t r e : t h e i n d u s t r i a l i z a t i o n o f d i v e r s e r e g i o n s o f t h e w o r l d . The members o f t h e t a s k f o r c e r e t u r n e d t o t h e S t a t e Department i n Washington i n a v e r y sober c o n d i t i o n , much tempered i n t h e i r enthusiasm f o r own p e t frameworks f o r s o c i e t a l a n a l y s i s . They began t o t a c k l e t h e most d i f f i c u l t t a s k o f i n c o r p o r a t i n g t h e i r new i n s i g h t s i n t o a n a l y t i c a l t h i n k i n g . A t t h i s moment, i t can o n l y be s a i d t h a t these s o c i a l s c i e n t i s t s and t h e i r c o l l e a g u e s have n o t p r o g r e s s e d v e r y f a r i n t h e development o f a more adequate c o n c e p t u a l framework. However, some pro g r e s s may be r e p o r t e d . The R o s t o v i a n concept o f t a k e - o f f has now been c o n s i d e r a b l y g e n e r a l i z e d . I t has been r e f o r m u l a t e d t o i n c l u d e n o t i o n s about minimum l e v e l s o f non-economic c a p i t a l r e q u i r e d by a s o c i a l system t o s t a r t s u s t a i n e d g r o w t h i n a l l i t s subsystems. For o r g a n i z a t i o n s i n t h e s o c i a l system t o be v i a b l e , t h e y must have c a p i t a l s t o c k s o f such non-economic commodities as c - a f f e c t i o n , c - r e s p e c t and c-power as w e l l as c a p i t a l s t o c k s o f economic commodities. The c - r e s p e c t c a p i t a l may be needed t o i n s u r e t h a t any t h r e a t by a competing o r g a n i z a t i o n can be p a r r i e d . The c a p i t a l s t o c k s o f c - a f f e c t i o n may be r e q u i r e d t o g e n e r a t e t h e minimum c r i t i c a l mass o f c - s o l i d a r i t y needed f o r t h e e f f i c i e n t o p e r a t i o n o f an o r g a n i z a t i o n . I n t h e case o f a new r e g i o n a l p l a n n i n g a u t h o r i t y , f o r example, t h e c - r e s p e c t c a p i t a l m i g h t come w i t h t h e appointment o f a well-known statesman as d i r e c t o r , and c - a f f e c t i o n c a p i t a l m i g h t come from endorsement o f a s u f f i c i e n t l y l a r g e f r a c t i o n o f a c o n s t i t u e n c y .

P a r a l l e l t o t h e r e f o r m u l a t i o n o f " t a k e - o f f " d o c t r i n e t o embody non-economic subsystems has been t h e r e v i s i o n o f concepts o f i n c r e a s i n g r e t u r n s t o s c a l e and a g g l o m e r a t i o n f o r c e s . I t i s r e c o g n i z e d t h a t i n p r o d u c t i o n , non-economic commodities as w e l l as economic commodities are s u b j e c t t o these f o r c e s . Out o f t h i s r e e x a m i n a t i o n has come an i n c r e a s e d awareness o f j u s t what c h a r a c t e r i z e s a "g r o w t h p o l e " i n r e g i o n a l development, and o f some p r e v i o u s l y n e g l e c t e d aspects o f u r b a n i z a t i o n processes.

I t i s a l s o r e p o r t e d t h a t a r e s e a r c h group o f m a t h e m a t i c a l p s y c h o l o g i s t s and r e l a t e d s o c i a l s c i e n t i s t s a r e comprehensively and s y s t e m a t i c a l l y s t u d y i n g t h e E m i l i a n p r e f e r e n c e f u n c t i o n . The r e s e a r c h i s b r e a k i n g new ground b o t h because o f t h e v e r y unusual p r e f e r e n c e f u n c t i o n s found i n E m i l i a n s o c i e t y , and because o f t h e exp e c t e d s e n s i t i v i t y o f th e s e p r e f e r e n c e f u n c t i o n s t o A m e r i c a n i z a t i o n processes. I t i s a n t i c i p a t e d , from p r e l i m i n a r y r e s u l t s , t h a t t h e new communications media o f r a d i o s t a t i o n s , newspapers and t e l e v i s i o n w i l l l e a d t h e E m i l i a n p o p u l a t i o n t o r e v i s e d r a s t i c a l l y t h e v a l u a t i o n i t p l a c e s upon c-achievement and c - e n l i g h t e n m e n t .

As fu n d a m e n t a l as t h e changes a n t i c i p a t e d i n t h e E m i l i a n p r e f e r e n c e f u n c t i o n a r e t h e p r o j e c t e d s h i f t s i n s o c i e t a l v a l u e s and norms.

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The p a t t e r n o f c - s a n c t i o n s c o n f e r r e d on i n d i v i d u a l and group a c t i o n i s e x p ected t o undergo major- m o d i f i c a t i o n from t h e t e c h n o l o g i c a l s t i m u l u s and from opening o f t r a d e w i t h t h e o u t s i d e w o r l d . For example, w i t h o u t doubt t h e e x o r b i t a n t l y h i g h n e g a t i v e - c - s a n c t i o n s imposed on " e t t e r a g i c - i s m , " a p r a c t i c e o f w a t e r - s u c k i n g t h r o u g h chopped seaweed which i s h i g h l y t o x i c , w i l l be removed. I t i s hoped t h a t t h e s e s h i f t s w i l l be g r a d u a l so t h a t E m i l y w i l l be a b l e t o absorb shocks t o her e q u i l i b r i u m s t a t e as she adapts t o t h e t w e n t i e t h c e n t u r y . There i s , however, a most u n c o m f o r t a b l y h i g h chance o f c o s t l y d i s o r i e n t a t i o n and u n c o n t r o l l a b l e d i s e q u i l i b r i u m from t o o r a p i d changes i n c - s a n c t i o n s .

While t h e d i s c o v e r y o f E m i l y has d i s r u p t e d t h e s o c i a l s c i e n c e w o r l d — o n e systems a n a l y s t has r e p o r t e d t h a t i t s impact w i l l be t h e e q u i v a l e n t o f 2 ,000 megatons--we can conclude t h a t t h e r e are a few p o i n t s a t which more i n s i g h t f u l t h i n k i n g has been compelled.

(1) I t must be r e c o g n i z e d t h a t s i n c e t h e r e i s e q u a l v a l u e i n a l l exchanges, " s o - c a l l e d " u n i l a t e r a l g i f t g i v e r s among t h e i n d u s t r i a l n a t i o n s o f t h e w o r l d must ask themselves what r e t u r n s t h e y are e x a c t i n g f o r t h e i r f o r e i g n a i d . Are t h e s e i n d u s t r i a l n a t i o n s i n t h e i r m o n o p s o n i s t i c p o s i t i o n s underv a l u i n g t h e c o n t r i b u t i o n s o f l e s s developed s o c i e t i e s r e c e i v i n g " f o r e i g n a i d ? "

(2) There i s i n c r e a s i n g r e c o g n i t i o n t h a t l o c a l i n h a b i t a n t s are h i g h l y p e r c e p t i v e o f t r a n s a c t i o n s i n c e r t a i n commodities which t h e h i g h l y t r a i n e d s o c i a l s c i e n t i s t s from i n d u s t r i a l n a t i o n s are b l i n d t o . T h e r e f o r e , a n a l y s t s from t h e r e c e i v e r n a t i o n s s h o u l d be employed i n " f o r e i g n a i d " r e s e a r c h even i f a necessary e d u c a t i o n i n t h e i n d u s t r i a l i z e d n a t i o n ' s concepts must be s u p p l i e d f i r s t . I t i s even b e i n g s p e c u l a t e d t h a t t h e b e s t s o c i a l s c i e n t i s t s f o r f o r e i g n a i d problems come o u t o f t h e l o c a l p o p u l a t i o n a l e r t t o t h e fundamental s t r u c t u r e o f l o c a l s o c i a l systems.

(3) The s u c c e s s f u l i n d u s t r i a l i z a t i o n o f a t r a d i t i o n a l s o c i e t y r e q u i r e s t h a t a complex s e t o f p r e c o n d i t i o n s be met. These p r e c o n d i t i o n s go f a r beyond mere economic p r e p a r a t i o n s . I t i s now b e i n g h y p o t h e s i z e d t h a t more f r e q u e n t l y t h a n n o t i t i s t o be adjudged u n d e s i r a b l e t o d i s t u r b a s o c i e t y t h a t has been u n s u c c e s s f u l i n a c h i e v i n g s t a b i l i t y i n i t s s o c i a l s t r u c t u r e — a s t a t e o f a f f a i r s which most i n d u s t r i a l i z e d n a t i o n s have y e t t o savour.

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Part II: Verbal Statement of a General Social, Political, and Economic Equilibrium

for a System of Regions

INTRODUCTION I n t h i s paper we o u t l i n e t h e s t r u c t u r e o f a g e n e r a l s o c i a l , p o l i t i c a l and economic e q u i l i b r i u m framework f o r a system o f r e g i o n s . I t i s hoped t h a t t h i s g e n e r a l framework w i l l l e a d t o improved o p e r a t i o n a l t e c h n i q u e s f o r t h e a n a l y s i s of s o c i a l system development' The e f f o r t t o c o n s t r u c t such a framework stems from d i s s a t i s f a c t i o n w i t h t h e c u r r e n t g e n e r a l i n t e r r e g i o n a l e q u i l i b r i u m t h e o r y o f economics and r e g i o n a l s c i e n c e — d i s s a t i s f a c t i o n w i t h i t s a b i l i t y t o i d e n t i f y and e x p l a i n i n t e r r e l a t i o n s among numerous s o c i a l , p o l i t i c a l and economic f o r c e s . By and l a r g e , t h e c u r r e n t t h e o r y and assoc i a t e d o p e r a t i o n a l t e c h n i q u e s emphasize e f f i c i e n c y and p r o f i t m a x i m i z a t i o n i n economic s e c t o r s . I t i s no s e c r e t , however, t h a t i m p o r t a n t non-economic f o r c e s are a t p l a y , and, i n c r e a s i n g l y , a t t e m p t s are b e i n g made t o i n c o r p o r a t e these i n t o a n a l y s i s . B a s i c d e c i s i o n s on p l a n t l o c a t i o n s , on t h e a l l o c a t i o n o f i n v e s t m e n t funds among r e g i o n s , on t h e development o f i n f r a s t r u c t u r e w i t h i n urban a r e a s , on t h e d e s i g n a t i o n o f urban p l a c e s as p o l e s o f growth f o r a system o f r e g i o n s , on r e s o u r c e development i n g e n e r a l , and on f i n a n c i a l a s s i s t a n c e - - a l l these and many o t h e r d e c i s i o n s i n v o l v e such non-economic f o r c e s as:

(1) t h e d e s i r e by i n d i v i d u a l s t o accumulate and consume non-economic "commodities" such as c - r e s p e c t , c - a f f e c t i o n , c - r e c t i t u d e , c - w e l l b e i n g and c - e n l i g h t e n m e n t ;

(2) t h e o p e r a t i o n o f c u l t u r a l v a l u e s and s o c i a l norms which h i g h l y r e s t r i c t t h e s e t o f p o s s i b l e i n d i v i d u a l and o r g a n i z a t i o n a l a c t i o n s , making u n f e a s i b l e , f o r example, i n p u t -outcome schedules t h a t m i g h t o t h e r w i s e maximize p e r - c a p i t a income, employment, e t c ;

(3) t h e i n t e r p l a y o f p o l i t i c a l u n i t s , as i n d i v i d u a l s and groups seek t o maximize t h e i r p o s s e s s i o n and consumption o f c-power

H e n c e , i t becomes necessary t o d e v e l o p a more adequate g e n e r a l t h e o r y and a c c o u n t i n g framework.

B r i e f l y p u t , our g e n e r a l framework i s based on p r o d u c t i o n , exchange, and u n i l a t e r a l t r a n s f e r o f p o l i t i c a l and s o c i a l "commodities" as

w e l l as t h e f a m i l i a r economic commodities.- 1 There a r e f o u r k i n d s o f behaving u n i t s : o r g a n i z a t i o n s , government a d m i n i s t r a t i v e u n i t s , e x p o r t i n g u n i t s and i n d i v i d u a l s ( h a v i n g s i x r o l e s ) . Each behaving u n i t has an a c t i o n space, which may o r may n o t be r e s t r i c t e d by t h e a c t i o n s o f o t h e r s . Each u n i t r e c e i v e s a p a y o f f ( p r o f i t o r u t i l i t y ) from any s i n g l e or combined a c t i o n he may choose> and he i s m o t i v a t e d t o maximize t h i s p a y o f f . Among s o c i a l processes c o n s i d e r e d are t h o s e w h ich determine p r i c e s on b o t h economic and o r g a n i z a t i o n m a r k e t s , and those which d e t e r m i n e government program p r i o r i t i e s , and e l e c t i o n s and i s s u e d e t e r m i n a t i o n s .

We assume t h a t t h e space o f t h e s o c i a l system c o n s i s t s o f a f i n i t e number o f se p a r a t e and d i s t i n c t r e g i o n s . A l l consumption, p r o d u c t i o n , market exchange and o t h e r a c t i v i t y i n each r e g i o n t a k e s p l a c e a t a s i n g l e c e n t e r around which i n d i v i d u a l s i n t h e r e g i o n may r e s i d e . T r a n s p o r t a t i o n and communication c o s t s a r e i n c u r r e d p r i m a r i l y by commodities moving between r e g i o n s . I n r e a l i t y , o f c o u r s e , space i s c o n t i n u o u s , b u t i t can be approximated by t h e p o s t u l a t e o f a l a r g e , f i n i t e number o f r e g i o n s .

I n each r e g i o n t h e r e i s one economic market/where t h e economic commodities may be purchased and s o l d a t p r i c e s e s t a b l i s h e d f o r those commodities i n accordance w i t h t h e f o r c e s o f s u p p l y and demand i n t h e r e g i o n . To encompass exchanges o f non-economic commodities, we c o n c e i v e o f organizational markets, one w i t h i n each o r g a n i z a t i o n i n each r e g i o n . A t t h e o r g a n i z a t i o n m a r k e t s , exchanges o f economic commodities are governed by t h e p r i c e s e s t a b l i s h e d on t h e economic market o f t h a t r e g i o n . Exchanges o f non-economic commodities a r e governed by p r i c e s t h a t are e s t a b l i s h e d i n accordance w i t h t h e supp l y and demand f o r t h e non-economic commodities a t each o r g a n i z a t i o n a l market.

O r g a n i z a t i o n s are p r i v a t e l y - o w n e d u n i t s w h i ch engage i n t h e product i o n o f economic and non-economic goods t o maximize e f f e c t i v e p r o f i t s . ( E f f e c t i v e p r o f i t s are d e f i n e d t o embody much more t h a n money p r o f i t s . ) As such, t h e o r g a n i z a t i o n t o which we r e f e r i s n o t l i m i t e d t o t h e business f i r m o f t h e economic subsystem, b u t can be p a r t o f t h e p o l i t i c a l , s o c i a l and c u l t u r a l subsystems as w e l l .

Governments, however, are n o t seen as o r g a n i z a t i o n s . They are y e t anoth e r s e t o f a c t o r s i n our model, who o p e r a t e t o maximize t h e w e l f a r e o f t h e i r c o n s t i t u e n t s . Governments engage i n t h e product i o n and d i s t r i b u t i o n o f goods and s e r v i c e s r e q u i r e d t o r e a l i z e v a r i o u s programs. Each government i s a d m i n i s t e r e d by e l e c t e d p u b l i c o f f i c i a l s whose own i n t e r e s t s m o t i v a t e them t o maximize c o n s t i t u e n c y w e l f a r e . We have a t a x system t o p r o v i d e t h e revenue necessary t o

The symbol "c-" which is placed before many commodities (for example, c-respect) indicates that we are interpreting the word which follows in a restricted sense, namely in accordance with the commodity definition given in this paper.

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d e f r a y t h e c o s t s o f p r o d u c t i o n and d i s t r i b u t i o n i n c u r r e d by governments i n e f f e c t i n g programs. Our t a x r a t e and program p r i o r i t i e s ( i n t h e form o f revenue a l l o t m e n t s ) a r e d e termined t h r o u g h a p o l i t i c a l process i n v o l v i n g r e p r e s e n t a t i v e s e l e c t e d by d i v e r s e c o n s t i t u e n c i e s .

We l o o k a t t h e i n d i v i d u a l i n a m u l t i p l i c i t y o f a c t i v e r o l e s : as a one-man producer i n s o c i e t y , as a u n i l a t e r a l g i v e r o f g i f t s , as an a c t i v e p a r t i c i p a n t i n o r g a n i z a t i o n s and as a buyer and s e l l e r o f economic goods. The i n d i v i d u a l a l s o has p a s s i v e r o l e s : he i s a c o n s t i t u e n t o f one o r more governments, which e n t i t l e s him t o f i x e d shares o f t h e goods and s e r v i c e s d i s t r i b u t e d by these u n i t s and o b l i g a t e s him t o pay t a x e s t o them; he owns e q u i t y ( s t o c k ) i n o r g a n i z a t i o n s and e x p o r t i n g u n i t s w h i c h e n t i t l e s him t o f i x e d shares o f t h e i r money p r o f i t s . The i n d i v i d u a l ' s " u t i l i t y - m a x i m i z i n g " f i n a l p l a n o f a c t i o n i n v o l v e s a c o n s i s t e n t d e c i s i o n on how t o be i n v o l v e d i n each o f h i s r o l e s — c o n s i s t e n t i n t h e sense o f s a t i s f y i n g c e r t a i n c o n s t r a i n t s which i n t e r r e l a t e t h e r o l e s .

Commodities may be e x p o r t e d from or i m p o r t e d i n t o any r e g i o n . Economic commodities are shipped between t h e economic markets by p r o f i t - m a x i m i z i n g e x p o r t i n g units', by governments, and by i n d i v i d u a l s i n t h e i r o r g a n i z a t i o n a l p a r t i c i p a t i o n and g i f t - g i v i n g roles-. The e x p o r t and i m p o r t o f non-economic goods occurs t h r o u g h t h e a c t i v e p a r t i c i p a t i o n - o f i n d i v i d u a l s i n o r g a n i z a t i o n s o u t s i d e t h e i r own r e g i o n , and t h r o u g h governmental d i s t r i b u t i o n o f goods and s e r v i c e s . A l l e x p o r t s and i m p o r t s o f commodities a r e p a r t o f aggregate supply and demand i n t h e r e l e v a n t r e g i o n s . We may a l l o w t r a n s a c t i o n s f o r commodities t o be d e l i v e r e d a t one o f a f i n i t e number o f f u t u r e time p e r i o d s .

We a c c o u n t f o r t h e i n f l u e n c e s o f c u l t u r a l v a l u e s and s o c i a l norms on d e c i s i o n processes t h r o u g h t h e commodity " c - s a n c t i o n s . " U n i t s o f c - s a n c t i o n s accrue t o o r g a n i z a t i o n s and i n d i v i d u a l s i n accordance -w i t h s o c i e t y ' s f a v o r o r d i s f a v o r r e : t h e i r choices o f input-outcome p l a n s . An input-outcome p l a n o f an o r g a n i z a t i o n or i n d i v i d u a l s p e c i f i e s t h e v a r i o u s r e q u i r e m e n t s ( i n p u t s ) needed t o u n d e r t a k e some a c t i o n ( p r o d u c t i o n o r r o l e ) and t h e r e s u l t s (outcomes) o f t h e a c t i o n . The c - s a n c t i o n a s s o c i a t e d w i t h any input-outcome p l a n e n t e r s i n t o t h e a c c o u n t i n g framework as an i m p o s i t i o n upon (or r e w a r d t o ) t h e o r g a n i z a t i o n o r i n d i v i d u a l . The o r g a n i z a t i o n i n s e e k i n g t o maximize e f f e c t i v e p r o f i t s , and t h e i n d i v i d u a l i n seeking t o maximize u t i l i t y , w i l l c o n s i d e r t h e b e n e f i t s o f p o s i t i v e c-s a n c t i o n s and the c o s t s o r d i s u t i l i t y o f n e g a t i v e c - s a n c t i o n s when d e c i d i n g on t h e i r o p t i m a l c h o i c q o f a c t i o n s . Thus, by i t s e f f e c t upon e f f e c t i v e p r o f i t s and u t i l i t y , t h e award o f c - s a n c t i o n s by s o c i e t y a f f e c t s o r g a n i z a t i o n a l and i n d i v i d u a l b e h a v i o r .

To f a c i l i t a t e u n d e r s t a n d i n g o f our e q u i l i b r i u m model we p r e s e n t I l l u s t r a t i o n 3. I l l u s t r a t i o n 3 summarizes t h e v a r i o u s p o s s i b l e commodity f l o w s among t h e s e v e r a l behaving u n i t s and i n s t i t u t i o n s o f o u r model.

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As a l r e a d y mentioned, each a c t o r i n t h e s o c i a l system has a range o f p o s s i b l e a c t i o n s . T h i s range i s r e s t r i c t e d by r e s o u r c e l i m i t a t i o n s , p r i c e s , and t h e a c t i o n s o f o t h e r a c t o r s . Each a c t o r has a p r e f e r e n c e f u n c t i o n ( p r o f i t , w e l f a r e , o r u t i l i t y ) t h a t ranks h i s p o s s i b l e a c t i o n s . The s o c i a l system i s s a i d t o be i n " e q u i l i b r i u m " when each a c t o r , g i v e n t h e a c t i o n s o f a l l o t h e r a c t o r s , can f i n d among h i s f e a s i b l e a c t i o n s no a c t i o n which i s b e t t e r t h a n h i s p r e s e n t one.

B e f o r e d e v e l o p i n g o u r e q u i l i b r i u m model o f t h e s o c i a l system, and d i s c u s s i n g e q u i l i b r i u m c o n d i t i o n s , we may ask how we know t h a t an e q u i l i b r i u m s t a t e exists. Not a l l s o c i a l system models have e q u i l i b r i u m s t a t e s , and we want t o be sure t h a t ours does. I n g e n e r a l we are assured t h a t an e q u i l i b r i u m s t a t e e x i s t s i f :

(1) t h e s e t s o f a c t i o n s t o which a l l a c t o r s are r e s t r i c t e d .(by l i m i t e d r e s o u r c e s , debt l i m i t s , a c t i o n s o f o t h e r a c t o r s , e t c . ) are bounded, convex, c l o s e d , and c o n t a i n t h e p o s s i b i l i t y o f no a c t i o n a t a l l . Boundedness means t h a t u n l i m i t e d o u t p u t o r consumption i s i m p o s s i b l e . C o n v e x i t y means t h a t i f any two a c t i o n s are p o s s i b l e , t h e n any w e i g h t e d c o m b i n a t i o n of t h e a c t i o n s (where t h e w e i g h t s add t o u n i t y ) , i s a l s o a p o s s i b l e a c t i o n . C l o s u r e means t h a t t h e s e t s o f a c t i o n s c o n t a i n t h e i r b o u n d a r i e s , i . e . t h a t i f t h e r e i s an a c t i o n a r b i t r a r i l y c l o s e t o a second a c t i o n t h a t t h e a c t o r i s f r e e t o choose, t h e n t h e f i r s t a c t i o n i s a l s o among those w h i c h t h e a c t o r may choose.

(2) t h e s e t s o f a c t i o n s t o which a l l a c t o r s are r e s t r i c t e d (as d e f i n e d i n ( 1 ) ) v a r y c o n t i n u o u s l y w i t h t h e a c t i o n s o f o t h e r a c t o r s .

(3) t h e p r e f e r e n c e f u n c t i o n s o f a l l a c t o r s a r e such t h a t , i f a c t i o n s A and B are p r e f e r r e d t o C, t h e n any wei g h t e d combinat i o n o f A and B (where t h e w e i g h t s add t o u n i t y ) i s a l s o p r e f e r r e d t o C.

What i s i m p o r t a n t here i s t h a t under c e r t a i n n o t unreasonable cond i t i o n s l i k e n o n - i n c r e a s i n g r e t u r n s t o s c a l e we are assured t h a t an e q u i l i b r i u m does e x i s t .

We have n o t y e t mentioned t h e i n d i v i d u a l ' s r o l e o f v o t i n g i n t h e e l e c t i o n o f government o f f i c i a l s o r t h e i n d i v i d u a l ' s r o l e o f s a v i n g commodities from c u r r e n t consumption. Together w i t h changes i n i n d i v i d u a l t a s t e s , p r o d u c t i o n t e c h n o l o g y , f o r e i g n a i d , s o c i a l s a n c t i o n s and o t h e r f a c t o r s , - t h e i n d i v i d u a l ' s r o l e o f v o t i n g and s a v i n g a r e o u t s i d e our e q u i l i b r i u m model. Changes i n a l l such exogenous f a c t o r s can be r e c o g n i z e d i n our model o n l y a t t h e s t a r t o f a new e q u i l i b r i u m p e r i o d ( p o i n t o f t i m e ) , and n o t d u r i n g an e q u i l i b r i u m p e r i o d ( p o i n t o f t i m e ) . The r e v i s e d c o n d i t i o n s ( e .g. new e l e c t e d o f f i c i a l s , new p r o d u c t i o n t e c h n o l o g y , e t c . ) w i l l l e a d t o a new e q u i l i b r i u m s e t o f a c t i o n s by a l l t h e a c t o r s i n t h e s o c i a l system. I n t u r n t h e new e q u i l i b r i u m w i l l a f f e c t t h e outcome o f t h e

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I l l u s t r a t i o n 3 COMMODITY FLOWS

o •H e -M O <D C ^ O H U (0

O r g a n i z a t i o n s ( I n t e r n a l Market and P r o d u c t i o n )

One-man P r o d u c t i o n i n S o c i e t y

I n d i v i d u a l s

One-man P r o d u c t i o n f o r F a m i l y

E x p o r t i n g U n i t s

•t

1 1 t

Governments ( A d m i n i s t r a t i o n and P r o d u c t i o n )

A ! 7

Government L e g i s l a t i o n

Economic Markets i n o t h e r Regions

G e n e r a t i o n o f c - s a n c t i o n s by S o c i e t y

Other I n d i v i d u a l s t o whom G i f t s a re Given and from Whom G i f t s are Received

G e n e r a t i o n o f c-power by C o n s t i t u e n c y

*Arrows i n d i c a t e d i r e c t i o n o f commodity f l o w . U n l a b e l e d f l o w s are o f economic goods ( i n c l u d i n g money) and non-economic goods. L i g h t l i n e s are i n t r a r e g i o n a l f l o w s , heavy l i n e s a re f l o w s t h a t may be i n t e r r e g i o n a l .

1 money 2 economic commodities ( i n c l u d i n g money) 3 money and non-economic commodities 4 economic commodities ( e x c l u d i n g money) and non-economic

commodities 5 c - s a n c t i o n s 6 c-power 7 f l o w o f d e c i s i o n s on government programs and t a x r a t e s

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n e x t e l e c t i o n s , account f o r s h i f t s i n t a s t e s between e q u i l i b r i u m p e r i o d s , e t c . Such a l t e r n a t i o n between e q u i l i b r i u m a n a l y s i s o f changes i n exogenous f a c t o r s can be s u g g e s t i v e o f t h e p a t h o f development o f a s o c i a l system over t i m e , and l e a d t o a f i n a l s o c i a l system model which may be d e s i g n a t e d a recursive progression model.

The reason t h a t t h e use o f t h e v o t e must be excluded from our e q u i l i b r i u m model i s t h a t , g i v e n t h e customary p o l i t i c a l - l e g a l framework, the v o t e i s a n o n - r e t r a c t a b l e a c t i o n . I n c o n t r a s t , i n g e n e r a l e q u i l i b r i u m a n a l y s i s we assume t h a t each a c t o r can, w i t h o u t c o s t , r e c o n s i d e r and r e t r a c t h i s a c t i o n i f he can i d e n t i f y any o t h e r a c t i o n w h ich a l l o w s him t o a t t a i n a more p r e f e r r e d outcome. T h i s s t r o n g r e t r a c t a b i l i t y assumption o f g e n e r a l e q u i l i b r i u m a n a l y s i s i s o f t e n approximated i n r e a l i t y by t h e p o s s i b i l i t y o f r e s a l e o f goods a t v e r y near t h e purchase p r i c e , and more g e n e r a l l y by p e r m i t t i n g t h e a c t o r s t o a c t i n i n crements so t h a t by e x p e r i e n c e t h e y l e a r n what i s t h e b e s t a c t i o n . No such r e s a l e or i n c r e m e n t a l a c t i o n i s open t o t h e v o t e r ; he v o t e s , a c a n d i d a t e i s e l e c t e d , and t h e r e i s no r e c a l l .

I t i s n o t p o s s i b l e t o p u t t h e i n d i v i d u a l ' s c h o i c e between s a v i n g and consumption i n an e q u i l i b r i u m model. T h i s l i m i t a t i o n a r i s e s from t h e use o f a u t i l i t y f u n c t i o n t h a t accounts o n l y f o r s a t i s f a c t i o n s o c c u r r i n g d u r i n g t h e e q u i l i b r i u m p e r i o d , w h i l e t h e m o t i v a t i o n s f o r s a v i n g are l o n g range and cover a t l e a s t two p e r i o d s . T h u s . i f we w i s h t o d i s c u s s i n d i v i d u a l s a v i n g , and t h e consequent p o s s i b i l i t y o f i n v e s t m e n t i n o r g a n i z a t i o n a l c a p i t a l , we must c o n s i d e r t h e r o l e o u t s i d e t h e e q u i l i b r i u m model.

There ar e o t h e r l i m i t a t i o n s t o our model. As i n t r a d i t i o n a l g e n e r a l economic t h e o r y , we assume away u n c e r t a i n t y (except t h a t k i n d o f u n c e r t a i n t y w h ich can be t r e a t e d a c t u a r i a l l y as r i s k ) . We t h e r e b y deny t h e importance o f t h e a t t i t u d e v a r i a b l e i n t h e d e c i s i o n making, t h a t i s , i n t h e c h o i c e o f one input-outcome p l a n from among many r e l e v a n t ones i n a g i v e n s i t u a t i o n . Second, t o c o n s t r u c t a c o m p e t i t i v e e q u i l i b r i u m model we e x clude a l l monopoly and monopsony elements ( c o n t r o l o f p r i c e s , s u p p l y and demand). T h i r d , a l l processes w i t h i n t h e model t a k e p l a c e i n s t a n t a n e o u s l y , s o t h a t , i n e f f e c t , a l l outcomes occur i n t h e same p e r i o d as t h e use o f i n p u t s w h ich caused them. F i n a l l y , our i n a b i l i t y t o d e f i n e p r e c i s e l y u n i t s i n w h ich non-economic commodities may be measured leaves t h e concept o f i n t e r n a l o r g a n i z a t i o n a l markets and t h e a s s o c i a t e d exchanges f u l l o f problems. Though i n these, and many o t h e r r e s p e c t s , o u r model i s u n r e a l i s t i c , y e t i t s t i l l can be u s e f u l , as w i t h many economic models, i n a c q u i r i n g i n s i g h t about t h e r e a l w o r l d .

COMMODITIES

Our framework i n v o l v e s a f i n i t e number o f d i s t i n c t commodities, i n c l u d i n g a l l k i n d s o f s e r v i c e s . F i r s t , t h e r e are t h e f a m i l i a r economic commodities which i n c l u d e such goods as l a b o r , c - t r a n s f e r ( t r a n s p o r t and communication s e r v i c e s ) and money. Money i s t h e

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n u m e r a i r e commodity. I t can be used by an i n d i v i d u a l t o s t o r e w e a l t h . The h o l d i n g and use o f money i s viewed by s o c i e t y as a means o f im p l e m e n t i n g p r o d u c t i o n , e x p o r t and market i n t e r a c t i o n . Moreover, money serves as a numeraire n o t o n l y f o r t h e economic subsystem o f t h e s o c i a l system b u t a l s o f o r t h e system as a whole. A c c o r d i n g l y , we assume t h a t s o c i e t y l o o k s n e i t h e r f a v o r a b l y nor u n f a v o r a b l y upon t h e h o l d i n g and use o f money,and pla c e s no s a n c t i o n on i t .

I n o r d e r t o develop g e n e r a l e q u i l i b r i u m t h e o r y beyond t h e r e l a t i v e l y n a rrow c o n f i n e s o f economics, we f i n d i t necessary t o i d e n t i f y and d e f i n e s e v e r a l b a s i c non-economic commodities.! I t i s t o be emphasized t h a t t h e l i s t o f non-economic commodities p r e s e n t e d , as an addendum t o t h e l i s t o f economic commodities t h a t may be s a i d t o be i d e n t i f i a b l e , i s by no means a f i n a l o r f u l l l i s t o f b a s i c non-economic commodities. T h i s l i s t m erely r e p r e s e n t s some o f t h e non-economic commodities w h i c h , i n our judgment,ought t o be d e f i n e d a t t h i s t i m e .

An e s s e n t i a l d i f f e r e n c e between economic and non-economic goods l i e s i n t h e degree t o which each t y p e i s w e l l - d e f i n e d . I t i s assumed t h a t each economic commodity i s so w e l l - d e f i n e d t h a t i t i s n o t p o s s i b l e t o d i s t i n g u i s h between d i f f e r e n t u n i t s o f t h a t commodity i n u t i l i t y a n a l y s i s ; t h e u t i l i t y anyone d e r i v e s from consuming a. u n i t o f an economic commodity a t a g i v e n t i m e and l o c a t i o n i s independent o f which u n i t he consumes. For example, o f t h e many s t a n d a r d b o t t l e s o f coca-cola o f f e r e d f o r s a l e by the numerous s e l l e r s a t a p o i n t economic market, t h e u t i l i t y t o t h e i n d i v i d u a l of a b o t t l e o f co c a - c o l a i s independent o f t h e one consumed.

I n c o n t r a s t , non-economic goods are n o t so w e l l - d e f i n e d . I t , t h e r e f o r e , i s d i f f i c u l t t o d i s t i n g u i s h c o n c e p t u a l l y between d i f f e r e n t q u a l i t i e s or brands, or o t h e r s i g n i f i c a n t a t t r i b u t e s o f a broad c l a s s o f non-economic goods. When we speak o f t h e commodity c - r e s p e c t , where

c-respect i s the w e i g h t e d c o m b i n a t i o n o f s t a t u s , honor, r e c o g n i t i o n , p r e s t i g e , esteem, and e x p r e s s i v e s o c i a l a p p r o v a l which an i n d i v i d u a l o r group r e c e i v e s ,

we s h o u l d speak o f many d i f f e r e n t non-economic commodities which m i g h t f a l l under t h e heading o f " c - r e s p e c t - t y p e " commodities. For example, a Nobel P r i z e award f o r o u t s t a n d i n g r e s e a r c h and a Red Cross d e c o r a t i o n f o r an a c t o f b r a v e r y are two " c - r e s p e c t - t y p e " commodities w hich f a l l under t h e g e n e r a l heading o f c - r e s p e c t ; and

As will be very apparent 3 our definitions of non-economic commodities draw heavily upon Lasswell's writings.

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each may be t a k e n t o cor r e s p o n d t o s p e c i f i c numbers o f u n i t s o f t h e g e n e r a l commodity c - r e s p e c t .

Because o f inadequate d e f i n i t i o n s and complete absence o f i n v e s t i -g ation,we choose t o aggregate a l l 11 c - r e s p e c t - t y p e " commodities i n t o t h e same one b r o a d l y d e f i n e d commodity c - r e s p e c t ; y e t we may s t i l l d i s t i n g u i s h among t h e d i f f e r e n t u t i l i t i e s t h e i n d i v i d u a l r e c e i v e s from d i f f e r e n t u n i t s o f c - r e s p e c t when he o b t a i n s them a t d i f f e r e n t o r g a n i z a t i o n a l markets. I n o t h e r words, though from t h e s t a n d p o i n t o f a c c o u n t i n g i n t h e s u p p l y and demand framework, we may make no d i s t i n c t i o n between d i f f e r e n t u n i t s o f c - r e s p e c t on t h e same o r g a n i z a t i o n a l m arket; from t h e s t a n d p o i n t o f u t i l i t y d e r i v a t i o n , we do n o t assume t h a t t h e u t i l i t y o b t a i n e d from consuming a u n i t o f c-r e s p e c t i s independent o f t h e source o f t h e u n i t . For example, t h e u t i l i t y o f t h e c - r e s p e c t i n a p r e s i d e n t ' s handshake depends upon t h e o r g a n i z a t i o n a l market f r o m which t h i s u n i t o f c - r e s p e c t i s r e c e i v e d ( i . e . t h e o r g a n i z a t i o n t o which t h e p r e s i d e n t b e l o n g s ) .

Note t h a t c - r e s p e c t i s a commodity t h a t can be b o t h h e l d as s t o c k and consumed as a f l o w . The i n d i v i d u a l about whom t h e s t a t e m e n t , "He won t h e Nobel P r i z e , " can be s a i d , has a s t o c k o f t h e commodity c - r e s p e c t — a s t o c k i n t h e sense t h a t i n t h e f u t u r e s i m i l a r r e s p e c t f u l s t a t e m e n t s about him can be expected t o be made. I f t h e st a t e m e n t s ( o r s t a t e m e n t e q u i v a l e n t s ) c o n f e r r i n g r e s p e c t come t o be made l e s s f r e q u e n t l y per u n i t o f t i m e , o r each has a d e c r e a s i n g s i g n i f i c a n c e , t h e n t h e s t o c k o f c - r e s p e c t d e p r e c i a t e s over t i m e . I t i s i n t e r e s t i n g t o s p e c u l a t e on how much c - r e s p e c t an o r g a n i z a t i o n needs as o p e r a t i n g c a p i t a l . I t may be t h a t a l a r g e supply o f c - r e s p e c t i s needed t o achieve such p r a c t i c a l ends as low i n t e r e s t r a t e s on l o a n s .

I n c o n t r a s t t o c - r e s p e c t , we have t h e commodity c - s o c i a l i t y where

a-sociality i s t h e p l e a s a n t f e e l i n g g e n e r a t e d by i n t e r a c t i o n o f i n d i v i d u a l s i n a group o r c i r c l e . I t i s a commodity which can be produced by a c o l l e c t i v i t y o n l y , and n o t by an i n d i v i d u a l . As a member o f a group, an i n d i v i d u a l r e c e i v e s a share o f t h i s commodity as a r e t u r n . I t i s n a r r o w l y d e f i n e d t o exclude a f f e c t i o n t h a t may s i m u l t a n e o u s l y be g e n e r a t e d .

R e l a t i v e l y s p e a k i n g , c - s o c i a l i t y i s a commodity o f momentary c h a r a c t e r and o f which t h e r e can be no s t o c k . I t i s a f i n a l p r o d u c t commodity which can o n l y be consumed by t h e i n d i v i d u a l as i t i s ge n e r a t e d by s o c i a l i n t e r a c t i o n . That i s , i f t h e i n d i v i d u a l i s t o consume c - s o c i a l i t y he must consume i t a p p r o x i m a t e l y a t t h e same ti m e o r d u r i n g t h e same p e r i o d as i t i s produced. I n t h e process o f consumption, c - s o c i a l i t y d i r e c t l y y i e l d s u t i l i t y j u s t as any o t h e r s e r v i c e o f a r e l a t i v e l y momentary c h a r a c t e r , e.g. r e c r e a t i o n from a m u s i c a l performance.

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Another non-economic commodity t h a t i s produced o n l y by groups i s c - s o l i d a r i t y , where

a-solidarity i s t h e i n t e g r a t i o n o f d i v e r s i f i e d p e r s p e c t i v e s w i t h i n a c o l l e c t i v i t y . I t i s a comm o d i t y which has r e f e r e n c e t o a c o l l e c t i v i t y o n l y , and i s produced by i n t e r a c t i o n o f i n d i v i d u a l s w i t h i n the group. I t i s n o t a commodity which i s capable o f b e i n g possessed by i n d i v i d u a l s , and t h u s i s an i n t e r mediate and n o t a f i n a l p r o d u c t . I t embraces cohesiveness ( t h e s t r e n g t h o f a t t r a c t i o n o f i n d i v i d u a l s t o t h e group) as w e l l as l o y a l t y ( f a i t h f u l n e s s o f i n d i v i d u a l s t o t h e v a l u e s and standards o f t h e g r o u p ) . One hundred p e r c e n t s o l i d a r i t y i m p l i e s t h a t t h e group has a j o i n t p r e f e r e n c e o r d e r i n g .

I n o u r c o n c e p t u a l framework, group b e h a v i o r i s c o n s i d e r e d t o be p r i m a r y and n o t r e d u c i b l e t o i n d i v i d u a l b e h a v i o r . F u r t h e r , i n t h e e m p i r i c a l i m p l e m e n t a t i o n o f our framework, we w i l l w i s h t o employ t h e e x t e n s i v e s e t s o f data a v a i l a b l e on t h e b e h a v i o r o f d i v e r s e g r o u p s . Hence commodities such as c - s o c i a l i t y and c - s o l i d a r i t y which are produced by groups o n l y (and i n t h e case o f c - s o l i d a r i t y , consumed by groups o n l y ) a r e a p p r o p r i a t e f o r our a n a l y s i s . I n o t h e r c o n c e p t u a l frameworks, however, group b e h a v i o r may be reduced t o i n d i v i d u a l b e h a v i o r i n s i t u a t i o n s i n v o l v i n g more than one i n d i v i d u a l . Both c - a f f e c t i o n , where

c-affection i s t h e k i n d l i n e s s , f r i e n d l i n e s s , l o v e , and g o o d w i l l bestowed upon an i n d i v i d u a l or group by o t h e r i n d i v i d u a l s and groups, and embraces p o p u l a r i t y ,

and c - s o c i a l i t y m i g h t t h e n be combined i n t o a s i n g l e commodity. And, c - s o l i d a ' r i t y , which i s an i n t e r m e d i a t e commodity, m i g h t no l o n g e r be c o n s i d e r e d a commodity o f p r i m a r y s i g n i f i c a n c e .

Other i m p o r t a n t non-economic commodities a r e d e f i n e d as f o l l o w s :

c-rectitude i s a w e i g h t e d average o f r e l i g i o u s and mora l v a l u e s such as v i r t u e , goodness, r i g h t e o u s n e s s , r e s p o n s i b i l i t y , honesty and i n t e g r i t y . I t s p o s s e s s i o n by an i n d i v i d u a l i s r e c o g n i z e d by t h e i n d i v i d u a l , o t h e r i n d i v i d u a l s , and groups.

c-well being i s t h e h e a l t h and s a f e t y o f t h e i n d i v i d u a l . Each i n d i v i d u a l may be viewed as pos s e s s i n g a s t o c k o f c - w e l l b e i n g , no m a t t e r how s m a l l . Per u n i t o f t i m e ( t h a t i s , on a c u r r e n t b a s i s ) such s t o c k may be s a i d t o generat e a f l o w o f c - w e l l b e i n g ( i . e . p h y s i c a l v i g o u r , v i t a l i t y and s a f e t y ) , the amount o f which v a r i e s d i r e c t l y w i t h t h e s i z e o f t h e s t o c k .

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o-skill i s p r o f i c i e n c y i n p r a c t i c e , whether i n a r t s , c r a f t s , t r a d e o r p r o f e s s i o n . I t a l s o embraces t h e a b i l i t y t o be i n v e n t i v e and c r e a t i v e . An i n d i v i d u a l ' s s t o c k o f c - s k i l l may w e l l i n c r e a s e w i t h use, as f o r example i n a m u s i c a l performance where c a r e f u l e x e c u t i o n and s e n s i t i v e r e p e t i t i o n l e a d s t o g r e a t e r c o o r d i n a t i o n and c o n t r o l o f muscular a c t i v i t i e s .

(?*enlightenment i s knowledge and i n s i g h t c o n c e r n i n g t h e .p h y s i c a l environment and p e r s o n a l , s o c i a l and c u l t u r a l r e l a t i o n s . C-enlightenment may be used as an i n p u t i n an inputs-outcome v e c t o r t o y i e l d such outcomes as money, c-power, e t c . , as w e l l as c - e n l i g h t e n m e n t i t s e l f .

o-aohievement i s accomplishment o f an i n d i v i d u a l as e v a l u a t e d by t h a t i n d i v i d u a l . I t i s a commodity t h a t can be consumed by an i n d i v i d u a l o n l y , and i t s consumption may be a s s o c i a t e d w i t h t h e removal o f th e t e n s i o n a s s o c i a t e d w i t h t h e need f o r achievement.

c-power i s t h e a b i l i t y t o i n f l u e n c e d e c i s i o n s o f i n d i v i d u a l s and groups. I t may be possessed by b o t h i n d i v i d u a l s and groups, t h r o u g h d e l e g a t i o n o r o t h e r w i s e . By t h i s d e f i n i t i o n , p o w e r embraces t h e a b i l i t y t o e x e r c i s e a u t h o r i t y — t o compel obedience, t h e e x e r c i s e o f a u t h o r i t y i m p l y i n g an a s y m m e t r i c a l r e l a t i o n s h i p between two behaving u n i t s .

Note t h a t we t r e a t power as one o f many d e s i r e d and v a l u a b l e comm o d i t i e s t h a t can y i e l d u t i l i t y d i r e c t l y t o i t s possessor. However, by a l l o w i n g c-power t o be used as an i n p u t i n an input-outcome v e c t o r , ( t h a t i s , i n a p l a n o f a c t i v i t y o f an i n d i v i d u a l o r group) we a r e a b l e t o encompass fundamental i n f l u e n c e and power r e l a t i o n s h i p s . For c-power can be exchanged a t o r g a n i z a t i o n a l markets f o r such o t h e r commodities as c - r e s p e c t and c - a f f e c t i o n t h a t y i e l d u t i l i t y d i r e c t l y t o t h e i n d i v i d u a l , o r f o r such commodities as l a b o r t h a t y i e l d u t i l i t y i n d i r e c t l y t h r o u g h use as an i n t e r m e d i a t e good.

The most b a s i c use o f c-power, perhaps, i s t o i n f l u e n c e t h e outcomes of e l e c t i o n s and o t h e r i s s u e r e s o l u t i o n s . The use o f c-power t o i n f l u e n c e t h e outcome o f e l e c t i o n s i s , however, o u t s i d e our e q u i l i b r i u m a n a l y s i s . But such use o f c-power i n t h e p a s t o r f u t u r e r e l a t i v e t o t h e t i m e p e r i o d o f an e q u i l i b r i u m a n a l y s i s h e l p s d e f i n e t h e g i v e n environment i n which t h e e q u i l i b r i u m i s c a s t .

The vote i s a r e s o u r c e ( f r e q u e n t l y a p e r i s h a b l e r e s o u r c e ) . I t i s an i n p u t i n a s i t u a t i o n where t h e o u t p u t i s a d e c i s i o n . I t i s an e x p l i c i t u n i t e x p r e s s i o n o f s u p p o r t o r o p p o s i t i o n t o a l t e r n a t i v e s a v a i l a b l e f o r s e l e c t i o n .

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The use o f t h e . v o t e as an i n p u t takes p l a c e o u t s i d e the e q u i l i b r i u m p e r i o d , t h a t i s , d u r i n g t h e i n t e r i m between two successive t i m e p e r i o d s d u r i n g which .our e q u i l i b r i u m a n a l y s i s i s pursued.

F i n a l l y , we c o n s i d e r a t y p e o f n o n - p h y s i c a l p r o d u c t i o n which i s i m p o r t a n t f o r u n d e r s t a n d i n g t h e i n t e g r a t i v e and c u l t u r a l subsystems, and i n p a r t i c u l a r t h e r e l a t i o n s h i p o f the i n d i v i d u a l t o members o f h i s f a m i l y . T h i s p r o d u c t i o n occurs when o u t o f pure love an i n d i v i d u a l g i v e s another i n d i v i d u a l a g i f t o f commodities (e.g. c o r n , f l o w e r s , c - a f f e c t i o n ) which the f i r s t i n d i v i d u a l judges w i l l i n c r e a s e the w e l f a r e (happiness) o f t h e second i n d i v i d u a l . Such u n i l a t e r a l g i v i n g i s p r e s e n t most p e r v a s i v e l y i n f a m i l y r e l a t i o n s h i p s w h e r e i n human l o v e i s i n v o l v e d . One spouse g i v e s t o a n o t h e r w i t h o u t r e q u i r i n g o r e x p e c t i n g any commodity i n r e t u r n . S i m i l a r l y , p a r e n t s g i v e on a one-way b a s i s t o t h e i r c h i l d r e n ; and t o a l e s s e r e x t e n t , i n d i v i d u a l s make u n i l a t e r a l g i f t s t o f r i e n d s .

An i n d i v i d u a l ' s u t i l i t y ( i n w a r d l y e x p e r i e n c e d s a t i s f a c t i o n ) i n c r e a s e s when he makes a u n i l a t e r a l g i f t which he judges t o i n c r e a s e t h e r e c i p i e n t ' s u t i l i t y . We e s t a b l i s h t h i s u t i l i t y e f f e c t by h a v i n g the g i v e r consume a d d i t i o n a l amounts o f s p e c i f i c commodities. One method would be t o reward t h e g i v e r w i t h c - a f f e c t i o n o r c - r e s p e c t o r o t h e r commodity i n an amount d i r e c t l y p r o p o r t i o n a l t o t h e imagined i n c r e a s e i n t h e r e c i p i e n t ' s u t i l i t y caused by t h e u n i l a t e r a l g i f t . However, f o r o u r purposes, we have chosen t o d e f i n e a new commodity, namely, c - l o v e t e n d e r e d . C-love t e n d e r e d can o n l y be produced by i n d i v i d u a l s t h r o u g h the g i v i n g o f u n i l a t e r a l g i f t s . I t e n t e r s d i r e c t l y i n t o an i n d i v i d u a l ' s u t i l i t y f u n c t i o n and cannot be exchanged on any market.

C-love tendered i s t h e i n w a r d l y f e l t s a t i s f a c t i o n produced by i n d i v i d u a l s g i v i n g u n i l a t e r a l g i f t s , and as such i s d i r e c t l y consumed.

SOCIAL SANCTIONS

I n a d d i t i o n t o t h e economic and non-economic commodities d i s c u s s e d i n t h e p r e v i o u s s e c t i o n , we c o n c e i v e o f a commodity " c - s a n c t i o n s " t o e n a b l e us t o i n c l u d e c u l t u r a l v a l u e s and s o c i a l norms i n a c o m p e t i t i v e model- o f t h e s o c i a l system. U n l i k e o t h e r commodities, t h e g e n e r a t i o n ( p r o d u c t i o n ) and a l l o c a t i o n o f c - s a n c t i o n s i s c o m p l e t e l y c o n t r o l l e d by s o c i e t y as an e n t i r e t y . No o r g a n i z a t i o n can produce c - s a n c t i o n s , nor can any o r g a n i z a t i o n use c - s a n c t i o n s t o produce o t h e r commodit i e s . Nor can i n d i v i d u a l s produce o r use c - s a n c t i o n s i n t h e i r p r o d u c t i o n a c t i v i t i e s . However, u n i t s o f c - s a n c t i o n s are awarded, on a u n i l a t e r a l b a s i s , t o o r g a n i z a t i o n s and i n d i v i d u a l s i n t h e i r r e s p e c t i v e a c t i o n s . The e x a c t number o f u n i t s awarded f o r a. g i v e n a c t i o n i s w e l l - d e f i n e d , and r e f l e c t s t h e degree o f concordance between t h a t a c t i o n and t h e v a l u e s , norms, a s p i r a t i o n s , and e x p e c t a t i o n s o f t h e s o c i a l system w i t h r e f e r e n c e t o t h e g i v e n a c t o r .

The magnitude o f t h e c - s a n c t i o n s awarded t o an o r g a n i z a t i o n ' s o r i n d i v i d u a l ' s input-outcome p l a n may be t a k e n t o r e f l e c t s o c i e t y ' s net

a p p r o v a l o r d i s a p p r o v a l o f t h e p l a n . I n t h i s sense, c - s a n c t i o n s i s an a t y p i c a l commodity; y e t , we conce i v e i t t o have u t i l i t y f o r t h e i n d i v i d u a l and we conceive i t s v a l u e t o e n t e r i n t o t h e p r o f i t d e c i s i o n s o f o r g a n i z a t i o n s . I n t h i s l a t t e r sense, i t i s a r e a l commodity; so we t r e a t i t as such.

Rather t h a n a s s o c i a t i n g t h e award o f c - s a n c t i o n s w i t h an a c t i o n as a whole, we f i n d i t more m e a n i n g f u l t o a s s o c i a t e t h e award w i t h t h e i n d i v i d u a l components which t a k e n t o g e t h e r comprise t h e a c t i o n . From t h e s t a n d p o i n t o f g e n e r a l e q u i l i b r i u m a n a l y s i s , i t i s d e s i r a b l e as f a r as p o s s i b l e t o d i s a g g r e g a t e by commodity t h e c - s a n c t i o n s o f s o c i e t y i n o r d e r t o i d e n t i f y t h e i r d i f f e r e n t i a l e f f e c t s upon d i f f e r e n t commodity-producing and commodity-consuming a c t i v i t i e s . For each o r g a n i z a t i o n (or i n d i v i d u a l ) and each commodity, t h e n , t h e r e i s an amount ( t h a t can have e i t h e r a p o s i t i v e or a n e g a t i v e v a l u e ) or c - s a n c t i o n s w hich i s awarded f o r each u n i t outcome o f t h e commodity. When a p o s i t i v e amount o f c - s a n c t i o n s i s awarded t h e o r g a n i z a t i o n r e c e i v e s a p o s i t i v e award or g i f t f r om s o c i e t y whenever i t s a c t i o n s i n v o l v e t h e commodity as an outcome. And when t h e amount i s n e g a t i v e t h e o r g a n i z a t i o n r e c e i v e s a n e g a t i v e award o r i m p o s i t i o n from s o c i e t y ( t h a t i s , i t must pay a f i n e o r t a x t o s o c i e t y ) whenever i t s a c t i o n s i n v o l v e t h e commodity as an outcome. S i m i l a r l y , f o r each o r g a n i z a t i o n and each commodity t h e r e i s an amount o f c - s a n c t i o n s t h a t i s awarded t o the o r g a n i z a t i o n f o r each i n p u t o f t h e commodity. The t o t a l r e c e i p t s o f c - s a n c t i o n s a s s o c i a t e d w i t h an o r g a n i z a t i o n ' s a c t i o n , i . e . t h e t o t a l s o c i a l s a n c t i o n o f t h e a c t i o n , i s t h e a l g e b r a i c sum o f t h e c - s a n c t i o n s awarded f o r a l l t h e i n p u t s and outcomes o f t h e a c t i o n . I t i s c o n v e n i e n t t o assume t h a t f i v e u n i t s o f a commodity are a s s o c i a t e d w i t h f i v e t i m e s t h e amount o f c - s a n c t i o n s t h a n one u n i t o f t h e commodity. T h i s s i m p l e l i n e a r i t y assumption f a c i l i t a t e s c a l c u l a t i o n o f e q u i l i b r i u m c o n d i t i o n s and makes t h e p r o o f t h a t an e q u i l i b r i u m e x i s t s much e a s i e r ; however, a more e l a b o r a t e framework c o u l d be developed t o approximate r e a l i t y more c l o s e l y .

We assume t h a t s o c i e t y can bestow upon and e x a c t from i n d i v i d u a l s and o r g a n i z a t i o n s u n l i m i t e d q u a n t i t i e s o f c - s a n c t i o n s . A n a l y s i s o f t h e process by w h i c h s o c i e t y a c q u i r e s t h e a u t h o r i t y t o l e v y b o t h p o s i t i v e and n e g a t i v e amounts o f c - s a n c t i o n s , and o f t h e f o r c e s g o v e r n i n g t h e e x t e n t o f t h i s a u t h o r i t y , i n v o l v e s dynamic c o n s i d e r a t i o n o f t h e c u l t u r a l subsystem which i s beyond t h e s t a t i c framework employed i n t h i s paper.

I n many r e s p e c t s , c - s a n c t i o n s , as c o n s t a n t s p e r u n i t commodity, behave as t r a n s p o r t c o s t s do i n s t a n d a r d l o c a t i o n t h e o r y on su p p l y and market areas. I n such t h e o r y , t h e demand curves o f d i f f e r e n t i n d i v i d u a l s a t d i f f e r e n t l o c a t i o n s can be b r o u g h t t o g e t h e r and aggregated t o form t h e aggregate demand curve a t t h e market p l a c e t h r o u g h v e r t i c a l l y l o w e r i n g o f t h e demand curve o f each i n d i v i d u a l by a c o n s t a n t amount equal t o t h e c o s t o f overcoming t h e d i s t a n c e o f h i s l o c a t i o n from t h e market p l a c e . I n t h e case o f n e g a t i v e s a n c t i o n s p l a c e d on purchases, which may be d i f f e r e n t f o r d i f f e r e n t

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i n d i v i d u a l s , i n d i v i d u a l demand curves must be lowered by t h e v a l u e o f t h e c - s a n c t i o n . S i m i l a r l y , t o aggregate supply curves o f o r g a n i z a t i o n s , t h e s e p a r a t e curves must be r a i s e d by t h e amount o f t r a n s p o r t c o s t s o r s a n c t i o n s . When t h e c - s a n c t i o n s a r e p o s i t i v e on goods, t h e d i r e c t i o n o f t h e s h i f t o f t h e demand curve i s r e v e r s e d .

ORGANIZATIONS AND THEIR OPERATIONS

O r g a n i z a t i o n s are c o l l e c t i v i t i e s (systems o f i n t e r a c t i n g i n d i v i d u a l s n o r m a t i v e l y r e g u l a t e d by common v a l u e s ) which (1) engage i n the p r o d u c t i o n o f economic and non-economic commodities, (2) serve as a market where i n d i v i d u a l s can exchange economic and non-economic commodities, and (3) maximize e f f e c t i v e p r o f i t s . Examples o f o r g a n i z a t i o n s a r e business f i r m s , p o l i t i c a l c l u b s , churches, f a m i l i e s and s o c i a l groups. One-man p r o d u c t i o n i s a r o l e o f an i n d i v i d u a l and does n o t c o n s t i t u t e an o r g a n i z a t i o n a l a c t i o n . A l s o , governments are n o t c o n s i d e r e d o r g a n i z a t i o n s i n t h i s a n a l y s i s , b u t are t r e a t e d as se p a r a t e u n i t s i n s e c t i o n 5. A l t h o u g h governments are c o l l e c t i v i t i e s t h a t produce commodities, t h e y do n o t f i t o ur d e f i n i t i o n o f an o r g a n i z a t i o n ; t h e y o p e r a t e t o maximize c o n s t i t u e n c y w e l f a r e and n o t e f f e c t i v e p r o f i t s . A l s o , i n d i v i d u a l s a r e f r e e t o j o i n o r n o t j o i n a n y . o r g a n i z a t i o n , b u t b e i n g a member o f a government's c o n s t i t u e n c y u n a v o i d a b l y o b l i g a t e s an i n d i v i d u a l t o pay ta x e s and e n t i t l e s t h e i n d i v i d u a l t o a share o f t h e government's goods and s e r v i c e s . Note t h a t p o l i t i c a l c l u b s and p a r t i e s are o r g a n i z a t i o n s .

I n t h e d i s c u s s i o n t o f o l l o w we s h a l l / i n g e n e r a l , have i n mind t h e r e a l o r g a n i z a t i o n s which are amalgams o f two or more o f t h e f o u r types of o r g a n i z a t i o n s , each t y p e c h a r a c t e r i s t i c o f one o f T a l c o t t Parsons' f o u r subsystems.

(1) The t y p i c a l o r g a n i z a t i o n i n Parsons 1 a d a p t i v e subsystem i s concerned w i t h t h e overcoming o f e n v i r o n m e n t a l c o n s t r a i n t s and t h e a c t i v e m a n i p u l a t i o n o f t h e scarce r e s o u r c e s o f b o t h t h e environment and t h e s o c i a l system i n o r d e r t o a c q u i r e commodities m e a n i n g f u l f o r a v a r i e t y o f g o a l s . Such o r g a n i z a t i o n s have t y p i c a l l y been d e s i g n a t e d economic f i r m s . E x t e r n a l l y seen, t h e i n p u t s and o u t p u t s o f th e s e o r g a n i z a t i o n s f a l l , b y and l a r g e , w i t h i n t h e c l a s s o f economic commodities. F r e q u e n t l y , however, business f i r m s have r e q u i r e d as i n p u t s or y i e l d e d as o u t p u t s , or b o t h , some o f t h e non-economic commodities. For example, a b u s i n e s s f i r m may produce c - s o c i a l i t y , c - s o l i d a r i t y , and c - r e s p e c t t o use as i n t e r mediate goods i n c u r r e n t p r o d u c t i o n , r a i s i n g morale and p r o v i d i n g o t h e r i n c e n t i v e s t o ac h i e v e h i g h worker p r o d u c t i v i t y . For such economic o r g a n i z a t i o n s , t r a d i t i o n a l economic t h e o r y has been found w a n t i n g .

(2) The t y p i c a l o r g a n i z a t i o n o f Parsons' goal-attainment subsystem e v a l u a t e s t h e d i v e r s e g o a l s o f t h e s o c i a l system.

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These p o l i t i c a l , p o l i c y - f o r m i n g o r g a n i z a t i o n s possess p o t e n t i a l i n f l u e n c e and e x e r c i s e a u t h o r i t y , and mediate t h e i n t e r e s t s o f i n d i v i d u a l s and groups. T y p i c a l l y , i n making t h e i r cont r i b u t i o n , t hese o r g a n i z a t i o n s w i l l employ as i n p u t s c-power, c - r e s p e c t , and o t h e r non-economic as w e l l as economic commodities. They f r e q u e n t l y r e a l i z e as outcomes c-power, c - r e s p e c t , and o t h e r c o m m o d i t i e s — t h e r e a l i z a t i o n o f th e s e outcomes b e i n g r e l a t e d t o t h e e x t e n t o f t h e i r success i n m e d i a t i o n and i n c o m m i t t i n g f a c i l i t i e s and res o u r c e s t o t h e a t t a i n m e n t o f system g o a l s .

(3) The t y p i c a l o r g a n i z a t i o n o f Parsons' integrative subsystem c o n t r o l s c o n f l i c t and d i s r u p t i v e t e n d e n c i e s t o d e v i a n t b e h a v i o r and promotes harmony and c o o p e r a t i o n . Some examples of these o r g a n i z a t i o n s are t h e f a m i l y , o t h e r s o c i a l groups and c e r t a i n l e g a l i n s t i t u t i o n s . By and l a r g e , t h e o u t p u t s o f these o r g a n i z a t i o n s are t h e non-economic commodities, e s p e c i a l l y c - s o c i a l i t y and c - s o l i d a r i t y .

(4) The t y p i c a l o r g a n i z a t i o n o f Parsons' pattern-maintainanoe subsystem seeks t o e s t a b l i s h s t a b i l i t y o f i n s t i t u t i o n a l p a t t e r n s and v a l u e s , and, i n a more comprehensive sense t h a n an i n t e g r a t i v e - t y p e o r g a n i z a t i o n , t h e management o f f o r c e s of t e n s i o n among i n d i v i d u a l s and o r g a n i z a t i o n s . T h i s t y p e of o r g a n i z a t i o n i n c l u d e s r e l i g i o u s and e d u c a t i o n a l i n s t i t u t i o n s . These o r g a n i z a t i o n s a r e concerned w i t h p r e s e r v i n g c e r t a i n v a l u e s and t h e s i g n i f i c a n c e o f c e r t a i n symbols, or w i t h t h e r e s t o r a t i o n o f balance once f o r c e s o f change have i n j e c t e d themselves i n t o a c u l t u r e . Outputs o f these o r g a n i z a t i o n s are p r e d o m i n a n t l y c - r e s p e c t , c - r e c t i t u d e , c - a f f e c t i o n , c - s o l i d a r i t y , c - w e l l b e i n g , c - s k i 1 1 , c - e n l i g h t e n m e n t , and c-power. I n p u t s t y p i c a l l y range over t h e f u l l l i s t o f commodities.

Each o r g a n i z a t i o n serves as a market a t which i n d i v i d u a l s can exchange economic and non-economic commodities. T h i s m a r k e t , t h r o u g h a system o f p r i c e s , r e g u l a t e s t h e exchanges o f commodities among o r g a n i z a t i o n members and t h e o r g a n i z a t i o n . C u s t o m a r i l y , t i m e ( l a b o r ) , c - s k i l l , e t c . o f i n d i v i d u a l s are g i v e n t o t h e o r g a n i z a t i o n as i n p u t s t o t h e p r o d u c t i o n process, and i n r e t u r n t h e i n d i v i d u a l r e c e i v e s some of t h e o r g a n i z a t i o n ' s o u t p u t s o r p r o d u c t s . C o n c e i v i n g o f t h i s exchange as governed by a market, where b o t h economic and non-economic commodities are bought and s o l d f o r money, enables us t o i n c l u d e t h e i n t e r n a l b e h a v i o r o f an o r g a n i z a t i o n i n our g e n e r a l e q u i l i b r i u m model.

Any economic goods exchanged a t an o r g a n i z a t i o n a l market must be e v a l u a t e d a t t h e p r i c e p r e v a i l i n g a t t h e economic market i n t h e o r g a n i z a t i o n ' s r e g i o n . T h i s i s so because we p o s t u l a t e zero t r a n s p o r t c o s t s between a l l o r g a n i z a t i o n a l markets and t h e economic market i n a r e g i o n . P r i c e s on non-economic commodities, however, may v a r y between o r g a n i z a t i o n a l markets i n t h e same r e g i o n . The

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reason f o r t h e v a r y i n g p r i c e s o f non-economic goods i s l a c k o f s t a n d a r d i z a t i o n . R e c a l l our c o n c e p t u a l d i s t i n c t i o n between economic" and non-economic commodities; whereas t h e u t i l i t y o f consuming economic goods i s assumed independent o f t h e p a r t i c u l a r u n i t b e i n g consumed, t h e u t i l i t y o f non-economic goods depends upon where t h e consumer o b t a i n e d t h e u n i t o f t h e good, i . e . a t which o r g a n i z a t i o n a l m arket he made an exchange f o r t h a t good.

We have d e f i n e d an o r g a n i z a t i o n as a c o l l e c t i v i t y t h a t maximizes e f f e c t i v e p r o f i t s . The e n t r e p r e n e u r , and each member o f t h e e x e c u t i v e g r o u p , may be con c e i v e d t o be s h a r e h o l d e r s i n t h e o r g a n i z a t i o n , each o f whom r e c e i v e s a f i x e d share o f t h e o r g a n i z a t i o n ' s p r o f i t s . Thus t h e e x e c u t i v e i s m o t i v a t e d t o choose, from among a l l t e c h n o l o g i c a l l y p o s s i b l e o r g a n i z a t i o n a l p r o d u c t i o n p l a n s , t h a t input-outcome p l a n w h i ch maximizes e f f e c t i v e p r o f i t . The effective profit o f an o r g a n i z a t i o n c o n s i s t s o f t h e money v a l u e o f a l l outcomes l e s s t h e money v a l u e o f a l l i n p u t s p l u s t h e money v a l u e o f t h e c - s a n c t i o n s t h a t s o c i e t y c o n f e r s upon t h e p r o d u c t i o n p l a n .

I n c a l c u l a t i n g e f f e c t i v e p r o f i t , t h e money v a l u e o f commodities i s found u s i n g t h e p r i c e s a t t h e i n t e r n a l market o f t h e o r g a n i z a t i o n . The o r g a n i z a t i o n always takes p r i c e s as g i v e n s i n c e we assume p e r f e c t c o m p e t i t i o n i n our e q u i l i b r i u m model. We assume t h a t t h e o r g a n i z a t i o n has f u l l knowledge o f a l l p r i c e s , i n c l u d i n g t h e amounts and v a l u e o f c - s a n c t i o n s a s s o c i a t e d w i t h i n p u t s and o u t p u t s i n t h e p r o d u c t i o n p l a n . A c t u a l l y , t h e o r g a n i z a t i o n may have r a t h e r i n c o m p l e t e knowledge about t h e non-economic commodity p r i c e s and the c - s a n c t i o n s . Hence, t h e r e may be a c o n s i d e r a b l e amount o f s u b j e c t i v e e s t i m a t i o n i n c a l c u l a t i n g the e f f e c t i v e p r o f i t o f an o r g a n i z a t i o n .

We do n o t r e q u i r e t h a t an o r g a n i z a t i o n choose a p l a n o f a c t i o n t h a t r e s u l t s i n a p o s i t i v e t o t a l o f c - s a n c t i o n s . The income f o r i n t e r a c t i o n w i t h t h e economic market p l u s t h e income from t r a n s a c t i o n s on t h e o r g a n i z a t i o n ' s i n t e r n a l market may have a p o s i t i v e v a l u e and o u t w e i g h a n e g a t i v e s o c i a l s a n c t i o n . The o r g a n i z a t i o n seeks t o maximize i t s e f f e c t i v e p r o f i t s , and c - s a n c t i o n s comprise o n l y one p a r t o f t h e o r g a n i z a t i o n ' s income. On t h e o t h e r hand, i t i s a l s o p o s s i b l e f o r a p o s i t i v e s o c i a l s a n c t i o n t o balance o u t a n e g a t i v e m a r k e t income. I n m a x i m i z i n g e f f e c t i v e p r o f i t s an o r g a n i z a t i o n produces an o u t p u t up t o t h e p o i n t where, owing t o d i m i n i s h i n g m a r g i n a l p r o d u c t i v i t y and o t h e r f a c t o r s , i t s e f f e c t i v e m a r g i n a l c o s t e q u a l s e f f e c t i v e p r i c e ( m a r g i n a l r e v e n u e ) . Since e f f e c t i v e p r i c e exceeds t h e market p r i c e f o r o u t p u t s upon which a p o s i t i v e c - s a n c t i o n e x i s t s , t h e o r g a n i z a t i o n may l o s e money ( i n t h e r e s t r i c t e d economic sense) w h i l e e n j o y i n g a non-negative maximum e f f e c t i v e p r o f i t . I n f a c t , t h e o r g a n i z a t i o n ' s o v e r a l l o p e r a t i o n s may i n c u r n e g a t i v e money p r o f i t ; t h a t i s , i t s o p e r a t i o n s may i n v o l v e , on n e t , s m a l l o r l a r g e i n p u t s o f t h e commodity money. Such a s i t u a t i o n c h a r a c t e r i z e s many non-business o r g a n i z a t i o n s , e.g. e d u c a t i o n a l and r e l i g i o u s i n s t i t u t i o n s . Such i n s t i t u t i o n s f r e q u e n t l y b a l a n c e t h e i r books i n t h e narrow f i n a n c i a l sense p r i m a r i l y t h r o u g h t h e c o n t r i b u t i o n s o f money by i n d i v i d u a l s . Of co u r s e , business

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o r g a n i z a t i o n s p r i m a r i l y i n t h e economic subsystem t y p i c a l l y concent r a t e on t h e p r o d u c t i o n o f economic commodities, upon which s o c i e t y p l a c e s few, i f any, c - s a n c t i o n s .

As an example o f t h e s t r u c t u r e and m o t i v a t i o n o f o r g a n i z a t i o n s i n our e q u i l i b r i u m model, c o n s i d e r a r e l i g i o u s s o c i e t y . The members o f t h i s r e l i g i o u s s o c i e t y are d e d i c a t e d t o a p a r t i c u l a r s e t o f p r i n c i p l e s and cre e d . The s o c i e t y seeks an a c t i o n , p o s s i b l y t o open a m i s s i o n , which w i l l maximize i t s e f f e c t i v e p r o f i t . Among i t s p o s s i b l e a c t i o n s , i . e . i t s p o s s i b l e p r o d u c t i o n p l a n s o f i n p u t s and outcomes, .the r e l i g i o u s s o c i e t y i s p a r t i c u l a r l y i n t e r e s t e d i n those w i t h l a r g e outcomes o f c - r e c t i t u d e . C - r e c t i t u d e i s i n g r e a t demand among t h e o r g a n i z a t i o n ' s members, b r i n g s a h i g h p r i c e i n t h e o r g a n i z a t i o n ' s i n t e r n a l m a r k e t , and t h u s leads t o h i g h p r o f i t s .

E t h i c a l s t a n d a r d s and c u l t u r a l norms, as expressed i n our model by c - s a n c t i o n s , r e s t r i c t t h e ways i n which t h i s r e l i g i o u s s o c i e t y may seek c o n v e r t s i n o r d e r t o grow, and t h e ways i n which i t may compete w i t h o t h e r r e l i g i o u s s o c i e t i e s . F u r t h e r r e s t r i c t i n g t h e r e l i g i o u s s o c i e t y ' s c h o i c e o f a c t i o n i s t h e f a c t t h a t , i n c hoosing i t s product i o n p l a n i t must r e c o n c i l e whatever c o n f l i c t s e x i s t among i t s own members. Each member, i f he i s t o remain a c t i v e i n t h e o r g a n i z a t i o n , must f e e l p r o p e r l y " a p p r e c i a t e d . " T h i s s t a b i l i t y r e q u i r e m e n t , i n e f f e c t a r e q u i r e m e n t f o r t h e r e l i g i o u s s o c i e t y t o produce c - s o l i d a r i t y and o t h e r inducements t o c o o p e r a t i o n among members, e n t e r s i n t o t h e p r o d u c t i o n p l a n o f t h e o r g a n i z a t i o n and i s c o n s i d e r e d i n i t s search f o r an o p t i m a l input-outcome p l a n .

We t r e a t t h e f a m i l y as a s p e c i a l case o f an o r g a n i z a t i o n . We conc e i v e o f an i n d i v i d u a l b e l o n g i n g t o one and o n l y one f a m i l y , t h e k i n s h i p u n i t which i s r e s p o n s i b l e f o r h i s s u b s i s t e n c e ( i n t h e case o f c h i l d r e n , i n v a l i d s , and aged), o r t o which h i s f a m i l y s u b s i s t e n c e r e s p o n s i b i l i t i e s are a t t a c h e d ( i f he i s an a b l e - b o d i e d a d u l t ) . The f a m i l y i s unique as an o r g a n i z a t i o n because i t i s t h e s u b s i s t e n c e u n i t . (We o v e r l o o k , h e r e , t h e r a r e arrangement such as t h e K i b b u t z where t h e f a m i l y i s n o t t h e r e l e v a n t s u b s i s t e n c e u n i t . ) The f a m i l y i s a l s o d i s t i n g u i s h a b l e from o t h e r o r g a n i z a t i o n s by t h e h i g h r a t e o f exchange o f non-economic commodities, and by t h e p r e v a l e n c e o f u n i l a t e r a l g i v i n g t o l o v e d ones. I t i s t h e o r g a n i z a t i o n t h r o u g h which s o c i e t y , v i a c - s a n c t i o n s , t y p i c a l l y r e g u l a t e s r e p r o d u c t i o n o f t h e s p e c i e s , and one o f t h e c h i e f o r g a n i z a t i o n s t h r o u g h w h i c h s o c i e t y r e g u l a t e s t h e s o c i a l i z a t i o n o f c h i l d r e n and t h e p s y c h o l o g i c a l development and m o t i v a t i o n o f the i n d i v i d u a l .

The f a m i l y members are t h e a c t i v e p a r t i c i p a n t s o f t h e i r f a m i l y o r g a n i z a t i o n . Each member c o n t r i b u t e s l a b o r and o t h e r i n p u t s i n exchange, a t t h e s e t economic market and f a m i l y o r g a n i z a t i o n i o n market p r i c e s , f o r o t h e r commodities such as f o o d , c - a f f e c t i o n and c - e n l i g h t e n m e n t . S o c i e t y awards c - s a n c t i o n s t o t h e f a m i l y i n i t s a c t i o n s , t h e s i z e o f t h e award r e f l e c t i n g t h e norms o f s o c i e t y . As a p r o d u c t i o n u n i t , t h e f a m i l y seeks t o maximize i t s e f f e c t i v e p r o f i t , i n c l u s i v e o f c - s a n c t i o n s , t a k i n g t h e market p r i c e s and t h e i n t e r n a l p r i c e s on i t s own o r g a n i z a t i o n a l market as g i v e n .

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GOVERNMENT UNITS ANV THEIR OPERATIONS

Governments are c o l l e c t i v i t i e s w h i c h : (1) engage i n t h e p r o d u c t i o n o f economic and non-economic commodities, (2) c o l l e c t taxes from and d i s t r i b u t e goods and s e r v i c e s t o t h e i r c o n s t i t u e n t s , and (3) maximize t h e w e l f a r e o f t h e i r c o n s t i t u e n t s . A government u n i t has j u r i s d i c t i o n over an area which c o n s i s t s o f one o r more r e g i o n s . A l l t h e i n d i v i d u a l s l i v i n g i n t h i s area are c o n s t i t u e n t s o f t h e government u n i t . A l l c o n s t i t u e n t s pay taxes,'and each c o n s t i t u e n t r e c e i v e s a f i x e d share o f government goods and s e r v i c e s .

An a d m i n i s t r a t o r i s a s s o c i a t e d w i t h each government. The a d m i n i s t r a t o r has been e l e c t e d t o o f f i c e , as a c a n d i d a t e o f some p o l i t i c a l o r g a n i z a t i o n s , by t h e government's c o n s t i t u e n c y . The a d m i n i s t r a t o r knows and accepts as f i x e d t h e share o f government goods t h a t each c o n s t i t u e n t , i n c l u d i n g h i m s e l f , r e c e i v e s . The a d m i n i s t r a t o r r e c e i v e s from t h e government's l e g i s l a t i v e branch t h e d e f i n i t i o n o f d i f f e r e n t programs and the a l l o c a t i o n o f t a x revenue t o each program. The a d m i n i s t r a t o r ' s r o l e c o n s i s t s o f choosing a government p r o d u c t i o n p l a n t h a t maximizes t h e number o f u n i t s o f each program t h a t can be d i s t r i b u t e d , g i v e n t h e t a x a l l o c a t i o n . He i s r e s p o n s i b l e f o r o v e r s e e i n g t h e d i s t r i b u t i o n o f goods and s e r v i c e s t o t h e c o n s t i t u e n t s . The a d m i n i s t r a t o r i s m o t i v a t e d t o maximize go v e r n m e n t a l e f f i c i e n c y because,as a member o f t h e government's c o n s t i t u e n c y , he r e c e i v e s a f i x e d share o f t h e d i s t r i b u t e d goods and s e r v i c e s .

I n c h o o s i n g t h e government p r o d u c t i o n p l a n , t h e a d m i n i s t r a t o r examines p r o d u c t i o n p o s s i b i l i t i e s i n each r e g i o n and may d i v i d e government p r o d u c t i o n among s e v e r a l r e g i o n s . Since t h e government's c o n s t i t u e n c y may i n v o l v e s e v e r a l r e g i o n s , t h e d i s t r i b u t i o n as w e l l as t h e p r o d u c t i o n o f government commodities may i n v o l v e i n t e r r e g i o n a l ..commodity f l o w s . The i n p u t s t o p r o d u c t i o n i n each r e g i o n are purchased a t t h e economic market o f t h a t r e g i o n . We make t h e s i m p l i f y i n g assumption i n our model t h a t o n l y economic commodities are needed as i n p u t s t o government p r o d u c t i o n . T h i s a l l o w s us t o a v o i d p o s t u l a t i n g a governmental i n t e r n a l market where i n d i v i d u a l s can p r o v i d e t h e government w i t h non-economic commodities. Note t h a t our government can produce non-economic commodities and d i s t r i b u t e them t o c o n s t i t u e n t s .

Each government has a body o f r e p r e s e n t a t i v e s . The r e p r e s e n t a t i v e s have been e l e c t e d by a s u b c o n s t i t u e n c y o f t h e government's c o n s t i t u ency. The s u b c o n s t i t u e n c i e s o f t h e r e p r e s e n t a t i v e s form a m u t u a l l y e x c l u s i v e and e x h a u s t i v e s u b d i v i s i o n o f t h e c o n s t i t u e n c y o f t h e government. The body o f r e p r e s e n t a t i v e s i s i n v o l v e d i n a s e r i e s of me e t i n g s t o dete r m i n e t h e l e v e l s o f d i v e r s e government programs and th e amount o f taxes (expressed as t a x r a t e s on t a x a b l e income) t o be s p e n t on each program. T y p i c a l l y , an a c t i o n o f t h e body o f r e p r e s e n t a t i v e s made known a t t h e end o f any one meeting i n v o l v e s a p o l i t i c a l p rocess whereby an agreement i s reached on some compromise s e t o f programs and t a x r a t e s . Throughout t h e time p e r i o d o f any

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one m e e t i n g o f t h e body, p r i c e s and t h e t a x a b l e incomes o f t h e c o n s t i t u e n t s p r e v a i l i n g a t t h e b e g i n n i n g o f t h e p e r i o d are t a k e n as g i v e n . Since p r i c e s and t a x a b l e incomes may change, t h e body o f r e p r e s e n t a t i v e s h o l d s a s e r i e s o f m e e t i n g s , and a t each me e t i n g p a s t a c t i o n s may be a l t e r e d , and a new s e t o f compromise program l e v e l s and t a x r a t e s may r e s u l t .

We assume t h a t each r e p r e s e n t a t i v e seeks c-power,,which i s c o n f e r r e d on him by h i s s u b c o n s t i t u e n c y . The g r e a t e r t h e w e l f a r e t o t h e sub-c o n s t i t u e n c y r e s u l t i n g f rom government goods and s e r v i c e s , t h e g r e a t e r t h e amount o f c-power c o n f e r r e d on t h e r e p r e s e n t a t i v e . I n t h i s manner, t h e r e p r e s e n t a t i v e i s m o t i v a t e d t o maximize h i s cons t i t u e n t s - w e l f a r e . The r e p r e s e n t a t i v e may d e r i v e u t i l i t y d i r e c t l y from t h e c-power, exchange t h e c-power a t an o r g a n i z a t i o n a l market f o r o t h e r commodities such as c - r e s p e c t , o r h o l d a s t o c k o f c-power f o r f u t u r e use t o improve chances o f r e - e l e c t i o n .

I n r e f l e c t i n g on our d i s t i n c t i o n between o r g a n i z a t i o n s w h i c h maximize e f f e c t i v e p r o f i t s and government u n i t s which maximize c o n s t i t u e n c y w e l f a r e , note t h a t we c o u l d model c e r t a i n r e l i g i o u s , e d u c a t i o n a l , and o t h e r s o c i a l and c u l t u r a l c o l l e c t i v i t i e s i n t h e same way as we model governments, r a t h e r t h a n as1 o r g a n i z a t i o n s . As t o t h e problem o f d e f i n i n g an i n d e x o f c o n s t i t u e n c y w e l f a r e , about a l l t h a t can be s a i d here i s t h a t we p o s i t t h a t t h e i n d i v i d u a l s i n any one r e p r e s e n t a t i v e ' s s u b c o n s t i t u e n c y have s i m i l a r enough u t i l i t y f u n c t i o n s and s i m i l a r enough consumption p l a n s so t h a t an "average i n d i v i d u a l ' s " u t i l i t y f u n c t i o n can be used as a w e l f a r e i n d e x .

INDIVIDUALS AND T H E I R ROLES

For o u r purposes, an i n d i v i d u a l i s more t h a n t h e t r a d i t i o n a l consumer and producer ( l a b o r e r ) o f economics. He has o t h e r r o l e s i n a d d i t i o n t o t h e p u r e l y economic ones. We f o l l o w Parsons i n d e f i n i n g a " r o l e " as " t h e s t r u c t u r e d , i . e . n o r m a t i v e l y r e g u l a t e d , p a r t i c i p a t i o n o f a person i n a c o n c r e t e process o f s o c i a l i n t e r a c t i o n w i t h s p e c i f i e d , c o n c r e t e r o l e - p a r t n e r s . The system o f such i n t e r a c t i o n o f a p l u r a l i t y o f r o l e - p e r f o r m a n c e i s , so f a r as i t i s n o r m a t i v e l y r e g u l a t e d i n terms o f common v a l u e s and o f norms s a n c t i o n e d by these common v a l u e s , a c o l l e c t i v i t y . P e r f o r m i n g a r o l e w i t h i n a c o l l e c t i v i t y d e f i n e s t h e c a t e g o r y o f membership, i . e . t h e assumption o f o b l i g a t i o n s o f performance i n t h a t c o n c r e t e i n t e r a c t i o n system. O b l i g a t i o n s c o r r e l a t i v e l y i m p l y r i g h t s . " 2

The f i r s t o f s i x a c t i v e r o l e s t h a t an i n d i v i d u a l may choose i n our model i s one-man production for family consumption. Such p r o -

Talcott Parsons, et. al., THEORIES OF SOCIETY, the Free Press of Glencoe, New York, 1961, Vol. 1, p. 42.

d u c t i o n uses no o t h e r i n p u t s t h a n t h e i n d i v i d u a l ' s i n i t i a l s t o c k s . The o n l y l a b o r i n p u t t o t h e p r o d u c t i o n i s t h e i n d i v i d u a l ' s own t i m e , and no i n p u t s may be purchased a t any market. The outcomes or r e s u l t s o f t h e one-man p r o d u c t i o n i n t h i s r o l e are e i t h e r consumed by t h e p r o d u c i n g i n d i v i d u a l o r are g i v e n away as g i f t s t o members of h i s f a m i l y . Since t h i s r o l e i s performed i n i s o l a t i o n from s o c i e t y , no c - s a n c t i o n s are c o n f e r r e d upon an i n d i v i d u a l choosing an a c t i o n i n t h i s r o l e .

An i n d i v i d u a l may conduct a second t y p e o f one-man p r o d u c t i o n o p e r a t i o n . T h i s t i m e , a l t h o u g h s t i l l u s i n g o n l y h i s own l a b o r , he may purchase p r o d u c t i o n i n p u t s and s e l l outcomes a t m a r k e t s . We c a l l t h i s r o l e one-man production in society, because i t i n v o l v e s i n t e r a c t i o n s o u t s i d e t h e f a m i l y , namely exchange a t some market.

The t h i r d p o s s i b l e i n d i v i d u a l r o l e i s unilateral gift-giving. As d i s c u s s e d i n s e c t i o n 3, we l o o k upon t h e g i v i n g o f g i f t s t o i n d i v i d u a l s as t h e p r o d u c t i o n o f c- l o v e t e n d e r e d . ' T h i s commodity, c - l o v e t e n d e r e d , i s v a l u e d by t h e g i v e r , and a l l o w s our model t o account f o r the f e e l i n g o f s a t i s f a c t i o n g e nerated by u n i l a t e r a l g i v i n g .

I n s e c t i o n 4/we conceive t h a t an i n d i v i d u a l views each o r g a n i z a t i o n as a submarket t o which he can b r i n g commodities, i n c l u d i n g h i s own l a b o r , as c o n t r i b u t i o n s o r i n p u t s , and from which he t a k e s home commodities, i n c l u d i n g c - s a n c t i o n s , as outcomes or r e c e i p t s . T r a d i n g economic and non-economic commodities a t an o r g a n i z a t i o n a l m a r k e t c o n s t i t u e s a f o u r t h r o l e open t o an i n d i v i d u a l , here c a l l e d active participation in organizations. T h i s r o l e i n c l u d e s administ r a t i v e and n o n - a d m i n i s t r a t i v e , e n t r e p r e n e u r i a l and n o n - e n t r e p r e n e u r i a l , and o t h e r l e a d e r and non-lea d e r p a r t i c i p a t i o n i n o r g a n i z a t i o n s .

I t i s u s e f u l t o s p e c i f y some o f t h e input-outcome o r g a n i z a t i o n a l p a r t i c i p a t i o n p l a n s t h a t may c o n f r o n t an i n d i v i d u a l . I f t h e i n d i v i d u a l i s a p a r t i c i p a n t i n a b u s i n e s s o r g a n i z a t i o n i n h i s r e g i o n o f r e s i d e n c e , then i n one o f h i s input-outcome plans he may s i m p l y s u p p l y l a b o r s e r v i c e s ( i n h i s r o l e as an employee) i n r e t u r n f o r a p o s i t i v e amount o f money. However, i f t h e business o r g a n i z a t i o n i s h y b r i d and y i e l d s t o t h e i n d i v i d u a l some c - s o c i a l i t y (more o r l e s s as a b y - p r o d u c t ) , t h e n t h e i n d i v i d u a l ' s i n p u t - o u t c o m e p l a n w i l l have an outcome component o f c - s o c i a l i t y . C-respect and c - e n l i g h t e n ment w i l l a l s o be outcomes i f t h e p l a n i n v o l v e s t a k i n g advantage of an e d u c a t i o n a l program o f t h e b u s i n e s s o r g a n i z a t i o n . I f t h e i n d i v i d u a l devotes some t i m e t o h i s l o c a l c h u r c h , which a l s o sponsors s o c i a l a c t i v i t i e s , t h e n t h e commodities and c - s o c i a l i t y may be ou t comes i n h i s r o l e p l a n , and l a b o r and money may be i n p u t s . Where an i n d i v i d u a l a t t e n d s a u n i v e r s i t y , t h e r e w i l l be a c - e n l i g h t e n m e n t outcome which may i n t u r n be used as an i n p u t t o produce b o t h c - s k i l l and c-achievement.

Or commodities received as gifts from initial stocks of other family members.

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The f i f t h and s i x t h a c t i v e r o l e s t h a t an i n d i v i d u a l may p e r f o r m are t h e t r a d i t i o n a l ones o f economics: t h e sale of economic commodities and t h e purchase of economic commodities a t t h e economic market i n t h e i n d i v i d u a l ' s r e g i o n . The goods s o l d come from i n i t i a l s t o c k s augmented by any r e c e i p t s o f economic goods f r o m o r g a n i z a t i o n s o r as g i f t s . The goods purchased are f o r own consumption ( i . e . f i n a l s t o c k s ) and g i f t - g i v i n g .

A l l s i x a c t i v e r o l e s r e q u i r e i n p u t s o f commodities and r e s u l t i n outcomes o f o t h e r commodities. An i n d i v i d u a l ' s a b i l i t y t o p a r t i c i p a t e i n one o r more r o l e s t h u s depends upon h i s poss e s s i o n o f a s t o c k o f commodities t o use as i n p u t s . Each i n d i v i d u a l i s assumed t o have a f i n i t e s t o c k o f commodities a t t h e b e g i n n i n g o f each e q u i l i b r i u m p e r i o d . A l l these i n i t i a l s t o c k s must be n o n - n e g a t i v e , e x c e p t money, which i n t h e case o f a debt i s a n e g a t i v e amount. (By c onvention,.in our model a l l debts are i n money terms.) A l l i n d i v i d u a l s have an i n i t i a l s t o c k o f t i m e ( l a b o r ) . A l s o i n c l u d e d i n i n i t i a l s t o c k s may be non-economic goods w h i c h a u t o m a t i c a l l y a c c r u e t o an i n d i v i d u a l a t b i r t h (e.g. c - w e l l b e i n g ) , or a t t h e a t t a i n m e n t o f a c e r t a i n age (e.g. t h e v o t e ) . A f i n a l c o n t r i b u t i o n t o i n i t i a l s t o c k s i s t h a t p o r t i o n o f t h e p r e v i o u s e q u i l i b r i u m p e r i o d ' s f i n a l s t o c k s t h a t t h e i n d i v i d u a l saved from consumption.

I n a d d i t i o n t o t h e s i x a c t i v e r o l e s d i s c u s s e d above, t h e r e a r e two p a s s i v e r o l e s open t o an i n d i v i d u a l : membership in a government constituency and ownership of equity in an organization o r e x p o r t i n g u n i t . As a member o f a government c o n s t i t u e n c y , an i n d i v i d u a l has t h e r i g h t t o r e c e i v e h i s f i x e d share o f t h e goods and s e r v i c e s d i s t r i b u t e d by t h a t government, and t h e i n d i v i d u a l has t h e o b l i g a t i o n t o pay t h e r e q u i r e d t a x e s . I n t h e e q u i l i b r i u m model, t h e i n d i v i d u a l has no c o n t r o l over t h e government s e r v i c e s or over t h e t a x e s he pays, so t h i s r o l e i s c a l l e d p a s s i v e . As an owner o f e q u i t y ( c a p i t a l s t o c k ) i n an o r g a n i z a t i o n o r e x p o r t i n g u n i t , t h e i n d i v i d u a l r e c e i v e s , as d i v i d e n d s , a f i x e d share o f t h e money p r o f i t s o f t h a t o r g a n i z a t i o n o r e x p o r t i n g u n i t when these p r o f i t s are p o s i t i v e . He i s n o t r e q u i r e d t o bear a share o f any money l o s s o f an o r g a n i z a t i o n o r e x p o r t i n g u n i t . T h i s r o l e a l s o does n o t n e c e s s i t a t e a c t i v e p a r t i c i p a t i o n .

The o b j e c t i v e o f an i n d i v i d u a l i s t o maximize t h e u t i l i t y o f h i s f i n a l s t o c k s ( i . e . commodities h e l d by an i n d i v i d u a l a t t he end o f t h e e q u i l i b r i u m p e r i o d ) . We assume t h a t t h e i n d i v i d u a l ' s t a s t e s , a s p i r a t i o n s and v a l u e s are expressed i n a p r e f e r e n c e o r d e r i n g o f p o s s i b l e f i n a l s t o c k s . T h i s p r e f e r e n c e o r d e r i n g f u n c t i o n i n d i c a t e s w h i c h o f any two bundles o f f i n a l s t o c k s has t h e g r e a t e r u t i l i t y . The i n d i v i d u a l ' s problem, t h e n , i s t o choose a number o f r o l e s f r o m among h i s p o s s i b l e r o l e s i n such a way t h a t t h e combined a c t i o n o f a l l r o l e s l e a d s t o f i n a l s t o c k s t h a t maximizes h i s u t i l i t y o v er a l l p o s s i b l e f i n a l s t o c k s .

I n c a l c u l a t i n g t h e f i n a l s t o c k s r e s u l t i n g from a s e t o f roles,, t h e i n d i v i d u a l c o n s i d e r s t h e i n p u t s and outcomes o f a l l t h e r o l e s . One

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o f t h e outcomes c o n s i d e r e d i s t h e amount o f c - s a n c t i o n s c o n f e r r e d by s o c i e t y on a r o l e c h o i c e ; a l l exchanges a t economic, o r g a n i z a t i o n a l and governmental markets r e s u l t i n g i n t h e award o f c - s a n c t i o n s by s o c i e t y . A l s o , when an i n d i v i d u a l engages i n one-man p r o d u c t i o n i n s o c i e t y he r e c e i v e s c - s a n c t i b n s a c c o r d i n g t o h i s p r o d u c t i o n p l a n , j u s t l i k e an o r g a n i z a t i o n r e c e i v e s c - s a n c t i o n s t h r o u g h i t s p r o d u c t i o n a c t i v i t y . As i n the case o f c - s a n c t i o n s r e c e i v e d by o r g a n i z a t i o n s , t h e c - s a n c t i o n s r e c e i v e d by an i n d i v i d u a l are conf e r r e d per u n i t commodity i n v o l v e d as an i n p u t o r an outcome i n t h e i n d i v i d u a l ' s r o l e p l a n .

I n o u r model, we make t h e s i m p l i f y i n g assumptions t h a t t h e i n p u t -outcome v e c t o r s a s s o c i a t e d w i t h each o f t h e s e v e r a l r o l e s are additive. S u b j e c t t o t h e r e q u i r e m e n t t h a t we do n o t aggregate non-economic commodities from d i f f e r e n t o r g a n i z a t i o n s , t h i s assumption a l l o w s us t o f i n d t h e f i n a l s t o c k s r e s u l t i n g f rom t h e combined a c t i o n o f s e v e r a l r o l e s s i m p l y by adding t o an i n d i v i d u a l ' s i n i t i a l s t o c k s a l l t h e outcomes from h i s r o l e s and s u b t r a c t i n g a l l t h e i n p u t s t o h i s r o l e s .

There are f i v e c o n s t r a i n t s on an i n d i v i d u a l ' s c h o i c e o f r o l e s t h a t r e duce t h e number o f p o s s i b l e r o l e c o m b i n a t i o n s , i . e . t h a t make t h e r o l e s dependent from t h e p o i n t o f v i e w o f t h e i n d i v i d u a l . The f i r s t c o n s t r a i n t i s t h e budget constraint. Money e x p e n d i t u r e l e s s money -income must n o t exceed t h e maximum a l l o w e d d e b t . I n our system, d e b t s o f any k i n d , a t e i t h e r t h e b e g i n n i n g or t h e end o f an e q u i l i b r i u m p e r i o d , must be i n money. I n t h e model,we may s e t t h i s minimum l e v e l o f money h o l d i n g s a t zero i f we want t o a v o i d d e b t s e n t i r e l y , o r we may make t h e minimum l e v e l a p o s i t i v e amount i f we want t o r e q u i r e t h a t each i n d i v i d u a l save and h o l d money. From t h e -c o n v e n t i o n on debts we o b t a i n t h e consumption constraint, t h a t e x c e p t i n the-case o f money, o n l y n o n - n e g a t i v e amounts o f goods can be consumed.

The t h i r d and f o u r t h c o n s t r a i n t s on an i n d i v i d u a l ' s c h o i c e o f r o l e s i n v o l v e h i s i n i t i a l s t o c k s o f commodities, i . e . those commodities t h a t t h e i n d i v i d u a l has a t t h e s t a r t o f an e q u i l i b r i u m p e r i o d . The labor constraint r e q u i r e s t h a t t h e demand f o r an i n d i v i d u a l ' s t i m e f o r l e i s u r e , f o r one-man p r o d u c t i o n , and f o r o r g a n i z a t i o n a l p a r t i c i p a t i o n n o t exceed t h e t i m e a v a i l a b l e i n t h e e q u i l i b r i u m p e r i o d . The initial stocks constraint r e q u i r e s t h a t i n p u t s i n t o one-man p r o d u c t i o n f o r f a m i l y n o t be g r e a t e r t h a n i n i t i a l s t o c k s .

F i n a l l y , we have t h e subsistence constraint. I n d i v i d u a l consumption must exceed a minimum s u b s i s t e n c e l e v e l . I n t r e a t i n g t h e problem o f s u b s i s t e n c e , we l o o k a t each commodity s e p a r a t e l y . For every commodity, economic and non-economic, t h e r e i s a minimum amount w h i c h an i n d i v i d u a l must consume ( h o l d as f i n a l s t o c k ) i n o r d e r t o s u b s i s t . For many commodities and i n d i v i d u a l s t h i s minimum amount w i l l be p o s i t i v e , and i n some cases i t w i l l be z e r o . Money i s a g a i n an e x c e p t i o n . There i s no minimum amount o f money h o l d i n g s , e x c e p t f o r t h e debt l i m i t , s i n c e money i s n o t necessary f o r subs i s t e n c e . I t i s p o s s i b l e t o co n c e i v e t h a t an i n d i v i d u a l can

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s u b s i s t i n i s o l a t i o n f rom s o c i e t y , w i t h zero consumption o f a l l non-economic commodities. A l s o , f o r i n d i v i d u a l s l i v i n g o u t s i d e o f s o c i e t y , s u b s i s t e n c e on n e g a t i v e consumption o f commodities such as c - r e s p e c t i s c o n c e i v a b l e -

I n our s y s t e m , i t i s t h e f a m i l y , and n o t t h e i n d i v i d u a l , w h i ch i s t h e b a s i c s u b s i s t e n c e u n i t . Note t h a t u n l i k e o t h e r o r g a n i z a t i o n s , t h e f a m i l y may c o n s i s t o f o n l y one member. We assume t h a t t h e members o f a f a m i l y can s u b s i s t as a group o f one-man pr o d u c e r s f o r f a m i l y consumption, c o m p l e t e l y d i v o r c e d from a l l o t h e r p a r t i c i p a n t s i n t h e s o c i a l system. That i s , we assume t h a t t h e i n i t i a l s t o c k s o f t h e members o f a f a m i l y p l u s what commodities t h e y can produce i n i s o l a t i o n from s o c i e t y i s s u f f i c i e n t t o i n s u r e s u b s i s t e n c e f o r a l l f a m i l y members. Of co u r s e , j u s t because such s e p a r a t e s u b s i s t e n c e i s p o s s i b l e does n o t mean t h a t i n d i v i d u a l u t i l i t y f u n c t i o n s w i l l v e r y o f t e n be maximized by t h i s c h o i c e o f a c t i o n .

R e c a l l t h a t t h e members o f a f a m i l y a c t as s e p a r a t e i n d i v i d u a l s i n our c o m p e t i t i v e e q u i l i b r i u m . How t h e n do we account f o r t h e c o o p e r a t i o n among f a m i l y members t o i n s u r e s u b s i s t e n c e ? I n our system, t h e c o o p e r a t i v e element i s a major problem, t h e s t r u c t u r e o f g e n e r a l e q u i l i b r i u m a n a l y s i s b e i n g such t h a t each p a r t i c i p a n t t a k e s t h e a c t i o n s o f every o t h e r p a r t i c i p a n t as g i v e n — e a c h p a r t i c i p ant a c t s i n d e p e n d e n t l y i n a n o n - c o o p e r a t i v e way. Of c o u r s e , we c o u l d choose t o t r e a t t h e f a m i l y as a s i n g l e p a r t i c i p a n t . However, we choose t o t r e a t each f a m i l y member as an i n d i v i d u a l p a r t i c i p a n t i n t h e s o c i a l system, and we m o t i v a t e each i n d i v i d u a l t o a c t towa r d h i s b r o t h e r s i n such a way t h a t a t e q u i l i b r i u m e very i n d i v i d u a l i s s u b s i s t i n g . That i s t o say, b r o t h e r l y l o v e c o n s i d e r a t i o n s e n t e r i n t o each i n d i v i d u a l ' s u t i l i t y f u n c t i o n and m o t i v a t e each i n d i v i d u a l t o h e l p p r o v i d e f o r t h e s u b s i s t e n c e o f o t h e r f a m i l y members. We conceiv e t h a t an i n d i v i d u a l ' s u t i l i t y f u n c t i o n i s dependent upon t h e t o t a l consumption o r f i n a l h o l d i n g s o f each member o f h i s f a m i l y , such t h a t t h e i n d i v i d u a l i s h a p p i e r when each f a m i l y member i s supra-s u b s i s t e n t t h a n when some member i s i n f r a s u b s i s t e n t because t h e i n d i v i d u a l f a i l e d i n h i s r e s p o n s i b i l i t y . T h i s may be a r a t h e r poor s u b s t i t u t e f o r c o o p e r a t i o n , b u t we use i t pending t h e development o f f u r t h e r a n a l y s i s w h i ch w i l l p e r m i t t h e i n c o r p o r a t i o n o f c o o p e r a t i v e s o l u t i o n s i n t o g e n e r a l e q u i l i b r i u m a n a l y s i s .

I n a d d i t i o n t o t h e s i x p o s s i b l e a c t i v e r o l e s (two k i n d s o f one-man p r o d u c t i o n , g i f t - g i v i n g , a c t i v e membership i n o r g a n i z a t i o n s , and b u y i n g and s e l l i n g economic goods) and t h e two p a s s i v e r o l e s o f membership i n government c o n s t i t u e n c i e s and ownership o f e q u i t i e s , t h e r e are two r o l e s t h a t are e x t e r n a l t o t h e e q u i l i b r i u m model. These r o l e s o c c u r , i n our framework, between e q u i l i b r i u m p e r i o d s . The f i r s t o f these n o n - e q u i l i b r i u m r o l e s i s t h a t o f voting i n e l e c t i o n s . T h i s r o l e i s d i s c u s s e d i n s e c t i o n 9. The second non-e q u i l i b r i u m r o l e i s saving.

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E X P O R T I N G U N I T S AND SHIPMENT PLANS

I n d i v i d u a l s , governments, and e x p o r t i n g u n i t s are a l l i n v o l v e d i n e x p o r t i n g (and i m p o r t i n g ) commodities between r e g i o n s . When i n d i v i d u a l s a c t i v e l y o r p a s s i v e l y p a r t i c i p a t e i n o r g a n i z a t i o n s o f f o r e i g n r e g i o n s t h e i n d i v i d u a l s must e x p o r t from t h e i r own r e g i o n , t h e i n p u t s t o t h e i r o r g a n i z a t i o n a l r o l e s and i m p o r t t o t h e i r own r e g i o n t h e outcomes. A l s o , i n t h e u n i l a t e r a l g i f t - g i v i n g r o l e , i n d i v i d u a l s may e x p o r t commodities t o f a m i l y and f r i e n d s i n o t h e r r e g i o n s . I n d i v i d u a l s e x p o r t and i m p o r t b o t h economic and non-economic commodities, f o r a l l k i n d s o f commodities are i n v o l v e d i n t h e i r o r g a n i z a t i o n a l and g i f t - g i v i n g r o l e s . Governments may produce goods and s e r v i c e s i n whatever r e g i o n i s most e f f i c i e n t , and t y p i c a l l y e f f i c i e n t p r o d u c t i o n i n v o l v e s some economic goods v i a e x p o r t i n g u n i t s . A l s o , governments d i r e c t l y u n d e r t a k e e x p o r t i n g when d i s t r i b u t i n g t h e goods and s e r v i c e s t h e y produce t o t h e i r c o n s t i t u e n t s . A government's c o n s t i t u e n c y may embrace s e v e r a l economic r e g i o n s , and i n t h i s case i t s e x p o r t a c t i v i t y w i l l be e s p e c i a l l y h i g h .

I n a m u l t i - r e g i o n a l system,where t h e same economic commodity .may be d i f f e r e n t l y p r i c e d i n t h e v a r i o u s r e g i o n s , t h e r e i s o p p o r t u n i t y t o p r o f i t t h r o u g h t r a d e . Independent t r a d e r s buy economic goods i n one r e g i o n and s e l l them a t a p r o f i t i n a n o t h e r , whenever t h e p r i c e s pread between t h e two r e g i o n s covers t h e t r a n s f e r c o s t s . I n r e a l i t y , some o r g a n i z a t i o n s produce goods i n one r e g i o n and s h i p them t o a n o t h e r f o r s a l e w i t h o u t u s i n g independent t r a d e r s . However, i n our framework,we assume t h a t i m p o r t - e x p o r t a c t i v i t i e s o f an o r g a n i z a t i o n are independent o f p r o d u c t i o n and can be separated from t h e o r g a n i z a t i o n and performed by one o r more e x p o r t i n g u n i t s .

An e x p o r t i n g u n i t can engage i n t h e t r a d e o f economic goods o n l y . Non-economic commodities have u t i l i t y f o r t h e i n d i v i d u a l which i s dependent on t h e o r i g i n o f t h e commodity. Whereas t h e r e need o n l y be one s e t o f p r i c e s f o r economic goods i n any r e g i o n , t h e r e must be many s e t s o f n o n t a n g i b l e p r i c e s f o r non-economic g o o d s — o n e s e t f o r e v e r y p o s s i b l e o r i g i n or, e q u i v a l e n t l y , one s e t per o r g a n i z a t i o n . For t h e s e reasons,the i m p o r t and e x p o r t o f non-economic goods i s not done by e x p o r t i n g u n i t s , b u t i s l e f t t o t h e i m p o r t and e x p o r t a c t i v i t i e s o f i n d i v i d u a l s , t h r o u g h t h e i r a c t i v e p a r t i c i p a t i o n i n o r g a n i z a t i o n s o f f o r e i g n r e g i o n s and p a s s i v e p a r t i c i p a t i o n i n governments.

A l t h o u g h e x p o r t i n g u n i t s are p r o f i t - m a x i m i z i n g , t h e y are n o t o r g a n i z a t i o n s , have no i n t e r n a l m arket, do n o t d e a l w i t h non-economic goods and r e c e i v e no c - s a n c t i o n s . However, l i k e t h e o r g a n i z a t i o n , t h e e x p o r t i n g u n i t i s p r i v a t e l y - o w n e d , a n d i t s p r o f i t s are c o m p l e t e l y d i s t r i b u t e d t o i n d i v i d u a l s a c c o r d i n g t o t h e f i x e d share which they own. The e x p o r t i n g u n i t does n o t i n c o r p o r a t e i n i t s a c t i v i t i e s the e x p o r t o f goods f o r d i s t r i b u t i o n t o c o n s t i t u e n t s ; w h ich i s c a r r i e d o u t b y governmental u n i t s under w e l f a r e - m a x i m i z i n g m o t i v e s . N e i t h e r does i t i n c l u d e t h e e x p o r t a c t i v i t y o f i n d i v i d u a l s who

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b e l o n g t o f o r e i g n o r g a n i z a t i o n s f o r who send u n i l a t e r a l g i f t s t o f r i e n d s and r e l a t i v e s i n o t h e r r e g i o n s , under u t i l i t y - m a x i m i z i n g m o t i v e s .

Each e x p o r t i n g u n i t , government o r i n d i v i d u a l , r e q u i r e s as i n p u t s t o any e x p o r t p l a n b o t h t h e s e t o f commodities t o be e x p o r t e d (which may i n c l u d e t r a n s p o r t a t i o n and t r a n s m i s s i o n s e r v i c e s ) and t h e t r a n s p o r t a t i o n and t r a n s m i s s i o n i n p u t s r e q u i r e d t o e f f e c t t h e e x p o r t p l a n . We use t h e terms t r a n s p o r t a t i o n and t r a n s m i s s i o n i n t h e sense customary i n t h e l i t e r a t u r e on t r a d e and communications. We adopt a more g e n e r a l t e r m , c - t r a n s f e r , t o cover b o t h t r a n s p o r t a t i o n and t r a n s m i s s i o n o f c o m m o d i t i e s — f o r example, o f wheat, e l e c t r i c i t y , c - e n l i g h t e n m e n t ( i n books) and c - a f f e c t i o n ( i n s t a t e m e n t s ) . We p l a c e t h e symbol "c-" b e f o r e t h e word t r a n s f e r t o i n d i c a t e t h a t we i n t e r p r e t t h e word i n a r e s t r i c t e d s e n s e — a s a process i n v o l v i n g t h e movement o f a commodity from one p l a c e t o a n o t h e r .

E Q U I L I B R I U M C O N D I T I O N S AND S O C I A L PROCESSES (MARKET AND P O L I T I C A L ) When t h e s o c i a l system i s i n e q u i l i b r i u m , n o a c t o r can improve h i s c o r r e s p o n d i n g s i t u a t i o n by changing h i s a c t i o n . No i n d i v i d u a l can i n c r e a s e h i s u t i l i t y , no o r g a n i z a t i o n can i n c r e a s e i t s p r o f i t s , no governmental u n i t can i n c r e a s e i t s c o n s t i t u e n t s 1 w e l f a r e , and no e x p o r t i n g u n i t can make a d d i t i o n a l p r o f i t s f rom t r a d e . Thus, many -o f t h e c o n d i t i o n s d e f i n i n g a s o c i a l e q u i l i b r i u m d e r i v e from t h e r e q u i r e m e n t t h a t t h e o b j e c t i v e f u n c t i o n s o f a l l a c t o r s be maximized, when s u i t a b l y c o n s t r a i n e d by t h e g i v e n p r i c e s , a c t i o n s o f o t h e r s , and budget and r e s o u r c e l i m i t a t i o n s .

Other e q u i l i b r i u m c o n d i t i o n s stem from t h e e q u a t i n g o f s u p p l y and demand a t economic and o r g a n i z a t i o n a l m a r k e t s , and i n t h e p o l i t i c a l p r o c e s s . We assume t h a t many i n d i v i d u a l s and o r g a n i z a t i o n s come t o g e t h e r a t t h e economic market i n each r e g i o n t o buy and s e l l economic commodities. No one i n d i v i d u a l o r o r g a n i z a t i o n i s l a r g e o r s t r o n g enough t o i n f l u e n c e any p r i c e . Each assumes t h a t p r i c e s a r e independent o f h i s own a c t i o n s . Market e q u i l i b r i u m w i t h r e s p e c t t o a commodity e x i s t s when t h e s u p p l y and demand f o r t h e commodity are equated o r when t h e r e i s excess s u p p l y o f t h e commodity a t a zero p r i c e . Market e q u i l i b r i u m w i t h r e s p e c t t o an a c t o r e x i s t s when ( u s i n g t h e p r e v a i l i n g p r i c e s ) t h e v a l u e o f commodities s u p p l i e d e q u a l s t h e v a l u e o f commodities r e c e i v e d .

We c o n c e i v e t h a t t h e r e e x i s t s i n t e r n a l l y t o each o r g a n i z a t i o n i n each r e g i o n an o r g a n i z a t i o n a l market t o which i n d i v i d u a l s may b r i n g commodities f o r exchange and which g u i d e s i n d i v i d u a l s i n t h e i r a c t i v e p a r t i c i p a t i o n i n o r g a n i z a t i o n s . As w i t h t h e economic m a r k e t , a t e q u i l i b r i u m t h e v a l u e o f c o n t r i b u t i o n s o f t h e i n d i v i d u a l must e q u a l t h e v a l u e o f commodities r e c e i v e d ; a t t h e o r g a n i z a t i o n a l m arket e i t h e r t h e demand f o r each commodity must e q u a l i t s supply, o r t h e commodity i s a f r e e good. P r i c e s o f economic commodities a t o r g a n i z a t i o n a l markets are t h e same as on t h e economic market

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i n t h e r e g i o n i n which t h e o r g a n i z a t i o n i s l o c a t e d . P r i c e s o f non-economic commodities are s e t i n t e r n a l l y a t each o r g a n i z a t i o n a l m a r k e t .

The o r g a n i z a t i o n i t s e l f i s d i r e c t l y i n v o l v e d i n exchange a t i t s i n t e r n a l market. I t may s e l l c e r t a i n o f i t s outcomes ( o u t p u t s ) a t t h i s m arket, as w e l l as purchase some o f i t s i n p u t s . Hence, a l l outcomes which are marketed i n t e r n a l l y and s o l d t o i t s a c t i v e p a r t i c i p a n t s must be s u b t r a c t e d from an o r g a n i z a t i o n ' s p r o d u c t i o n p l a n , and t o t h i s p l a n must be added a l l i n p u t s which i t r e c e i v e s (purchases) on t h e i n t e r n a l market from i t s a c t i v e p a r t i c i p a n t s . Only t h e n do we have t h e n e t v e c t o r o f i n p u t s and outcomes w h i c h the o r g a n i z a t i o n buys and s e l l s on t h e economic market.

To d i s c u s s t h e system o f economic market p r i c e s , we need t o i n t r o d u c e t h e concepts o f excess demand and o f a market p a r t i c i p a n t . Excess demand f o r a commodity i s t h e t o t a l demand f o r t h a t commodity a t the m a r k e t l e s s i t s t o t a l s u p p l y , demand and s u p p l y b e i n g summed over a l l i n d i v i d u a l s , o r g a n i z a t i o n s , governments and e x p o r t e r s d e a l i n g w i t h t h i s economic market. On each economic market we p o s t u l a t e a f i c t i t i o u s market p a r t i c i p a n t who r e g u l a t e s p r i c e s and serves as the mechanism t h r o u g h which t h e c l a s s i c a l law o f s u p p l y and demand o p e r a t e s . R e c a l l t h a t each a c t o r i n our e q u i l i b r i u m system accepts p r i c e s as gi v e n , and a l t e r s h i s s u p p l y o f and demand f o r commodities t o maximize h i s o b j e c t i v e f u n c t i o n s . I n c o n t r a s t , t h e market p a r t i c i p a n t i s an a c t o r who must ac c e p t t o t a l s u p p l y and t o t a l demand as g i v e n , b u t can a l t e r p r i c e s . The market p a r t i c i p a n t ' s o b j e c t i v e i s t o maximize t h e t o t a l v a l u e o f excess demands over a l l commodities. He can n o t i n f l u e n c e t h e magnitude o f t h e excess demand o f any commodity, b u t he can and i s m o t i v a t e d t o r a i s e t h e p r i c e o f t h o s e commodities whose excess demand i s p o s i t i v e and lower t h e p r i c e o f t h o s e commodities whose excess demand i s n e g a t i v e .

Of c o u r s e , t h e market p a r t i c i p a n t i s a f i c t i o n , b u t t h i s f i c t i o n e n a b l e s us t o conce i v e o f t h e way p r i c e s equate s u p p l y and demand as s i m p l y t h e b e h a v i o r o f ano t h e r a c t o r i n our e q u i l i b r i u m framework. When t h e market p a r t i c i p a n t sees a p o s i t i v e excess demand f o r a commodity he r a i s e s t h e p r i c e t o i n c r e a s e t h e v a l u e o f h i s o b j e c t i v e f u n c t i o n , i . e . t h e v a l u e o f t h e excess demand. However, as t h e p r i c e r i s e s , i n d i v i d u a l s and o t h e r a c t o r s who accept t h e p r i c e as g i v e n , r e c a l c u l a t e t h e i r optimum exchanges and s u b s t i t u t e o t h e r goods f o r some o f t h e good whose p r i c e has r i s e n . Then t h e excess demand seen by t h e market p a r t i c i p a n t w i l l f a l l . T h i s process c o n t i n u e s u n t i l no change i n p r i c e w i l l increase, t h e v a l u e o f excess demand; a s t a t e o f e q u i l i b r i u m may be t h e n s a i d t o e x i s t f o r t h e market p a r t i c i p a n t . A t t h i s s t a t e o f e q u i l i b r i u m , t h e p r i c e s s e t by t h e p a r t i c i p a n t c a l l f o r t h s u p p l i e s and demands t h a t are e q u a l f o r each commodity, so t h a t excess demand i s zero f o r a l l commodities.

The e q u i l i b r i u m s e t o f p r i c e s on t h e economic markets i n d i f f e r e n t r e g i o n s are n o t independent. S p e c i f i c a l l y , t h e p r i c e s o f any commodity on t h e economic markets i n any p a i r o f r e g i o n s must n o t

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d i f f e r by more than t h e c o s t o f t r a n s f e r i n g a u n i t o f t h a t commodity from one r e g i o n t o t h e o t h e r ; f o r i f t h e y d i d , a d d i t i o n a l t r a d e would be p r o f i t a b l e and e q u i l i b r i u m would n o t y e t e x i s t . I f commodity movement between two r e g i o n s i s p o s i t i v e , t h e n t h e p r i c e o f t h e commodity i n t h e two r e g i o n s must d i f f e r by t he c - t r a n s f e r c o s t per u n i t o f t h a t commodity. When the p r i c e d i f f e r e n c e between two r e g i o n s f o r a commodity i s l e s s t h a n t h i s c - t r a n s f e r c o s t , no commodity movement takes p l a c e .

T u r n i n g t o t h e system o f p r i c e s i n t e r n a l t o each o r g a n i z a t i o n , we d e f i n e excess demand f o r commodities on an o r g a n i z a t i o n a l market as t o t a l demand l e s s t o t a l s u p p l y . W i t h i n each o r g a n i z a t i o n we p o s t u l a t e a f i c t i t i o u s o r g a n i z a t i o n a l p a r t i c i p a n t , . w h o seeks t o maximize t h e v a l u e o f excess demand. H i s b e h a v i o r r e f l e c t s t h e f o r c e s o f s u p p l y and demand upon t h e p r i c e s a t t h e o r g a n i z a t i o n a l market. Suppose t h e o r g a n i z a t i o n a l p a r t i c i p a n t r a i s e s t h e p r i c e o f a non-economic commodity. Then an i n d i v i d u a l w i l l r e c e i v e l e s s o f t h e commodity i n exchange f o r h i s g i v e n c o n t r i b u t i o n s , f o r t h e v a l u e of t h e i n d i v i d u a l ' s c o n t r i b u t i o n s must e q u a l t h e v a l u e o f h i s r e c e i p t s . C o n f r o n t e d by such a p r i c e change,the i n d i v i d u a l can e i t h e r accept l e s s o f t h e commodity, i n c r e a s e h i s c o n t r i b u t i o n s t o t h e o r g a n i z a t i o n a l m a r k e t , o r respond i n b o t h ways; o r he can lea v e t h e o r g a n i z a t i o n and a c t i v e l y j o i n a n o t h e r . N o r m a l l y , t o t a l demand f o r t h e commodity a t th e o r i g i n a l o r g a n i z a t i o n a l market w i l l d e c l i n e . A l s o , a p r i c e r i s e can be expected t o cause t h e demands o f t h e o r g a n i z a t i o n i t s e l f , a t t h e o r g a n i z a t i o n a l m a r k e t , t o d e c l i n e . I n c o n t r a s t , an i n c r e a s e i n p r i c e o f a commodity may be' expected t o i n c r e a s e t h e s u p p l i e s o f t h e commodity by the o r g a n i z a t i o n i t s e l f , by a c t i v e p a r t i c i p a n t s , and p o s s i b l y by s t i m u l a t i n g i n d i v i d u a l s t o l e a v e o t h e r o r g a n i z a t i o n s and become a c t i v e p a r t i c i p a n t s i n t h i s o r g a n i z a t i o n . Thus, on n e t , demand f o r a commodity f a l l s and s u p p l y i n c r e a s e s as t h e o r g a n i z a t i o n a l p a r t i c i p a n t r a i s e s t h e p r i c e . The p a r t i c i p a n t c o n t i n u e s t o a d j u s t p r i c e s u n t i l excess demand i s z e r o , i . e . u n t i l s u p p l y e q u a l s demand f o r a l l commodities.

I t i s c l e a r from t h e above d i s c u s s i o n t h a t , because o f freedom o f e x i t and e n t r y i n t o a l l o r g a n i z a t i o n s by i n d i v i d u a l s , t h e e q u i l i b r i u m p r i c e s on a l l o r g a n i z a t i o n a l markets are i n t e r r e l a t e d . Moreover, these p r i c e s are r e l a t e d t o t h e p r i c e s a t t h e economic m a r k e t s . Money courses t h r o u g h b o t h t y p e s o f m a r k e t , c r e a t i n g a l i n k between them ( f o r example, money i s donated t o a church i n exchange f o r c - r e c t i t u d e ) . Any change i n t h e p r i c e o f one good a f f e c t s exchange p o s s i b i l i t i e s , and t h u s t h e demand, s u p p l y and p r i c e o f a l l o t h e r goods a t a l l m a r k e t s ; such change a l s o a f f e c t s t h e l e v e l o f o u t p u t s , and i n p u t s o f d i v e r s e o r g a n i z a t i o n s .

The f a c t t h a t zero c - t r a n s f e r c o s t s are i n v o l v e d when i n d i v i d u a l s choose t o t a k e goods from one o r g a n i z a t i o n a l market t o a n o t h e r w i t h i n the same r e g i o n m i g h t suggest t h a t i n any g i v e n r e g i o n t h e e q u i l i b r i u m p r i c e o f a non-economic commodity must be t h e same on a l l o r g a n i z a t i o n a l m arkets. T h i s i s n o t t r u e ! F o r , r e t u r n i n g t o our n o t i o n o f t h e b a s i c d i f f e r e n c e between economic and non-economic commodities,

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we r e c a l l t h a t t h e u t i l i t y o f consuming a u n i t o f a non-economic good i s n o t independent o f which u n i t i s b e i n g consumed. Hence, a t e q u i l i b r i u m , a non-economic good, whose u t i l i t y i s i n p a r t dependent upon t h e o r g a n i z a t i o n o f purchase, may have g r e a t l y d i f f e r e n t p r i c e s on d i f f e r e n t o r g a n i z a t i o n a l markets.

A f i n a l c o n d i t i o n o f s o c i a l system e q u i l i b r i u m i s t h a t c o s t s o f each government program must e q u a l t a x revenue assigned t o i t . We assume p o l i t i c a l process by which a body o f r e p r e s e n t a t i v e s reaches agreement on a s e t o f programs and t a x r a t e s . T h i s process i s s u b j e c t t o c e r t a i n r u l e s which d e f i n e u n f e a s i b l e p r o p o s a l s . These r u l e s may be i n the form o f a l e g a l code, a code o f e t h i c s and r e s p o n s i b i l i t y , o b l i g a t i o n s t o f o l l o w p l a t f o r m commitments, and t a c i t agreements among r e p r e s e n t a t i v e s . A r e p r e s e n t a t i v e must obey these r u l e s i n s t r i v i n g f o r programs and t a x r a t e s t h a t maximize h i s c o n s t i t u e n t s 1 ' w e l f a r e . The r e p r e s e n t a t i v e c o n s i d e r s o n l y how taxes and programs e f f e c t h i s c o n s t i t u e n c y , and t h e r e i s no r e q u i r e m e n t t h a t a t any g i v e n p o i n t i n t i m e t a x e s and program c o s t s i n one c o n s t i t u e n c y be e q u a l . However, i n e q u i l i b r i u m , t h e government's budget must b a l a n c e , and some mechanism must e x i s t i n t h e r u l e s t o f o r c e r e p r e s e n t a t i v e s t o narrow t h e gap between program c o s t s and t a x e s , t h a t i s , between demand f o r t a x monies and t h e s u p p l y o f t a x monies. To l o o k a t such a budget b a l a n c i n g mechanism as a proces s i n our e q u i l i b r i u m system, we may p o s t u l a t e a f i c t i t i o u s p o l i t i c a l p a r t i c i p a n t whose r o l e i s s i m i l a r t o t he economic and o r g a n i z a t i o n a l market p a r t i c i p a n t s ' . The p o l i t i c a l p a r t i c i p a n t ' s p a y o f f f u n c t i o n i s r e l a t e d t o t h e gap between program c o s t s and t a x revenues, t h a t i s t o excess demand f o r t a x monies. More s p e c i f i c a l l y , h i s p a y o f f f u n c t i o n i s , t h e p r o d u c t of t h e excess demand f o r t a x monies over which he has no c o n t r o l , and a q f a c t o r , which he i s f r e e t o v a r y and which may be viewed as a p r i c e ( c o s t ) f o r t a x monies. When excess demand f o r t a x monies i s p o s i t i v e , he i s m o t i v a t e d t o r a i s e q. This, i n t u r n , l e a d s each r e p r e s e n t a t i v e t o propose s m a l l e r l e v e l s o f program and h i g h e r t a x r a t e s t o e f f e c t them. Most s i m p l y , t h e p o l i t i c a l p a r t i c i p a n t can be assumed a b l e t o adopt a c t i o n s which come t o r a i s e amounts o f taxes r e q u i r e d f o r t h e r e p r e s e n t a t i v e ' s p r o p o s a l s t o be a l l o w a b l e under t h e r u l e s . Faced w i t h such an i n c r e a s e i n t a x e s , each r e p r e s e n t a t i v e w i l l c o n s u l t h i s c o n s t i t u e n c y ' s w e l f a r e function,,and lower some demands f o r s e r v i c e s and r a i s e some tax e s and a r r i v e a t a new f e a s i b l e p r o p o s a l . The p o l i t i c a l p a r t i c i pant, i n t u r n , w i l l c a l c u l a t e t h e gap between program c o s t s and t a x revenues, and a g a i n r e q u i r e more taxes i f proposed revenue are s h o r t . On t h e o t h e r hand, i f proposed revenues come t o exceed program c o s t s , h i s a c t i o n s w i l l l e a d t o a r e l a x a t i o n o f t a x r e q u i r e m e n t s .

I n t h i s manner our c o n c e p t u a l framework accounts f o r t h e p o l i t i c a l p r o c e s s whereby a l l r e p r e s e n t a t i v e s a c t i n g t o g e t h e r (each, however, b e i n g concerned w i t h h i s own s e l f - i n t e r e s t ) d e t e r m i n e t h e l e v e l o f t a x monies t o be r a i s e d , and t h e a l l o c a t i o n ( c h a n n e l i n g ) o f these t a x monies t o d i v e r s e programs i n accordance w i t h r e p r e s e n t a t i v e s ' p r i o r i t i e s . These p r i o r i t i e s can, o f co u r s e , be r e l a t e d t o e l e c t i o n p l a t f o r m s . And c l e a r l y , t h r o u g h i t s use o f the v o t e resource., t h e

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c o n s t i t u e n c y i n t h e l o n g - r u n d e t e r m i n e s program p r i o r i t i e s , t h e r e p r e s e n t a t i v e , a d m i n i s t r a t o r and t h e i r p o l i t i c a l o r g a n i z a t i o n s b e i n g i n s t r u m e n t a l i t i e s .

ELECTIONS,

The e l e c t i o n p r o c e s s , or, more b r o a d l y , t h e i s s u e r e s o l u t i o n p r o c e s s , i n v o l v e s t h e making o f n o n - r e t r a c t a b l e d e c i s i o n s . Issues a r e de c i d e d once and f o r a l l by non-market p r o c e d u r e s . Such a d e c i s i o n p r ocedure i s u n l i k e t h a t o f t h e o r g a n i z a t i o n , t h e i n d i v i d u a l , o r any o f t h e p a r t i c i p a n t s i n our e q u i l i b r i u m framework. I n t h e i r cases, moves a r e always e s s e n t i a l l y r e t r a c t a b l e . I f , g i v e n p r i c e s , an o r g a n i z a t i o n i s n o t m a x i m i z i n g i t s p r o f i t , i t i s m o t i v a t e d and i s a b l e t o choose ano t h e r action'. But,,when a v o t e r p e r c e i v e s t h a t an e l e c t e d o f f i c i a l whom he su p p o r t e d i n t h e p r e v i o u s e l e c t i o n i s n o t a c t i n g i n t h e v o t e r f s i n t e r e s t , t h e v o t e r cannot r e t r a c t h i s v o t e . Thus,the e l e c t i o n process i s v e r y d i f f e r e n t from t h e o t h e r processes t h a t we c o n s i d e r i n our t h e o r y o f t h e s o c i a l system, and we must e x c l u d e i t from our e q u i l i b r i u m a n a l y s i s . N e v e r t h e l e s s , we d i s c u s s i t as a s o c i a l process t o p r o v i d e background f o r t h e p r e v i o u s d i s c u s s i o n o f t h e p o l i t i c a l process, and t o h e l p d e p i c t t h e o u t l i n e s o f a more complete t h e o r y o f t h e s o c i a l system.

The e l e c t i o n process may be d i v i d e d i n t o t h r e e s t a g e s . I n t h e f i r s t s tage c a n d i d a t e s are announced and campaign s t r a t e g i e s a r e chosen. Next, v o t e r s make t h e i r d e c i s i o n s and c a s t t h e i r b a l l o t s . F i n a l l y , t h e b a l l o t s a r e counted and t h e w i n n e r s a r e d e c l a r e d . The a c t i o n spaces o f b o t h s u c c e s s f u l and u n s u c c e s s f u l c a n d i d a t e s are a f f e c t e d by t h e r e s u l t s . The new mayor may be asked t o a t t e n d events o f o r g a n i z a t i o n s where he can exchange c - s o c i a l i t y and l a b o r f o r c-power (improved r e - e l e c t i o n chances), w h i l e t h e d e f e a t e d e x - r e p r e s e n t a t i v e s may no l o n g e r r e c e i v e such i n v i t a t i o n s .

For each c o n t e s t e d e l e c t o r a l o f f i c e , t h e r e are s e v e r a l p o l i t i c a l o r g a n i z a t i o n s w h ich a r e e l i g i b l e t o r u n c a n d i d a t e s . Each p o l i t i c a l o r g a n i z a t i o n may o n l y choose t o c o n t e s t f o r one e l e c t o r a l o f f i c e i n any g i v e n e l e c t i o n " . (We conceive o f a p o l i t i c a l p a r t y o f r e a l i t y as c o n s i s t i n g o f many such p o l i t i c a l o r g a n i z a t i o n s . ) The c a n d i d a t e o f a p o l i t i c a l o r g a n i z a t i o n i s a member o f t h a t o r g a n i z a t i o n , a n d we assume t h a t t h e i n t e r e s t s and m o t i v e s o f b o t h t h e c a n d i d a t e and t h e o r g a n i z a t i o n a r e i d e n t i c a l ; t h u s , we may speak o f them i n t e r c h a n g e a b l y . I n r e a l i t y , o f co u r s e , t h e r e are c o n f l i c t s o f i n t e r e s t between a c a n d i d a t e , a p o l i t i c a l l e a d e r and h i s o r g a n i z a t i o n . Treatment o f such c o n f l i c t s l i e o u t s i d e t h e scope o f t h i s m a n u s c r i p t . We do n o t s p e c i f y what t h e d e c i s i o n o f whether t o d e c l a r e a candidacy i n v o l v e s ; nor i f t h e d e c i s i o n i s p o s i t i v e , how a c a n d i d a t e i s chosen. The p o l i t i c a l o r g a n i z a t i o n must weigh t h e c o s t s o f campaigning f o r o f f i c e (which v a r y w i t h p o l i t i c a l know-how), g a i n s from w i n n i n g an e l e c t i o n , i n t e n s i t y and e f f e c t i v e n e s s o f competing o r g a n i z a t i o n s , and o t h e r f a c t o r s .

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The c a n d i d a t e ' s p r e - e l e c t i o n s t r a t e g y , whether he i s c o n t e s t i n g f o r an a d m i n i s t r a t i v e o f f i c e o r a p o s i t i o n as r e p r e s e n t a t i v e , c o n s i s t s o f s t a t i n g a p l a t f o r m o f proposed l e v e l s o f government goods and s e r v i c e s and proposed t a x r a t e s (and o t h e r i m p o s i t i o n s ) . T h i s p l a t f o r m i s designed t o y i e l d maximum s a t i s f a c t i o n t o h i s p o t e n t i a l c o n s t i t u e n c y o r t o a m a j o r i t y o f t h i s c o n s t i t u e n c y . The problem of d e f i n i n g such maximum s a t i s f a c t i o n cannot c u r r e n t l y be a d e q u a t e l y h a n d l e d by any s o c i a l s c i e n c e a n a l y s i s . Presumably, t h e c a n d i d a t e employs some m a k e - s h i f t d e v i c e . He may

(1) assume t h a t a m a j o r i t y o f h i s p o t e n t i a l c o n s t i t u e n c y , i n c l u d i n g t h e c a n d i d a t e h i m s e l f and members o f h i s p o l i t i c a l p a r t y , are a l i k e and have t h e same u t i l i t y f u n c t i o n , or

(2) assume t h a t s i n c e he i s a c a n d i d a t e t o be a r e p r e s e n t a t i v e , or has been p r e v i o u s l y e l e c t e d , h i s own u t i l i t y f u n c t i o n r e p r e s e n t s some k i n d o f a good average o f t h e d i f f e r e n t u t i l i t y f u n c t i o n s o f a m a j o r i t y o f h i s p o t e n t i a l c o n s t i t u e n c y , o r

(3) e s t i m a t e an average u t i l i t y f u n c t i o n o f a m a j o r i t y o f h i s p o t e n t i a l c o n s t i t u e n c y on t h e b a s i s o f correspondence, d i s c u s s i o n and o t h e r f o r m a l and i n f o r m a l s u r v e y s .

I n any o f these cases, and o t h e r s t h a t may be i d e n t i f i e d , we i n e f f e c t p o s t u l a t e t h a t t h e c a n d i d a t e assumes he knows t h e w e l f a r e i n d e x o f h i s p o t e n t i a l c o n s t i t u e n c y . To maximize t h e p r o b a b i l i t y o f b e i n g e l e c t e d , t h e c a n d i d a t e chooses t h a t p l a t f o r m which maximizes t h e w e l f a r e index he p e r c e i v e s .

A f t e r a l l c a n d i d a t e s f o r an o f f i c e have d e c l a r e d t h e i r p l a t f o r m s , the v o t i n g process takes p l a c e . Each i n d i v i d u a l has an i n i t i a l s t o c k o f t h e v o t e commodity, one u n i t f o r each o f t h e c o n t e s t s w h ich he i s e l e g i b i e t o h e l p d e c i d e . The v o t i n g process a l s o r e q u i r e s i n p u t s o f l a b o r t o c a s t a v o t e , u n l e s s t h e v o t e r chooses t o a b s t a i n . I f t h e v o t e r seeks a d d i t i o n a l i n f o r m a t i o n on t h e c a n d i d a t e s , t h e n a wide v a r i e t y o f o t h e r i n p u t s may be i n v o l v e d . A m i n i m a l i n p u t v o t i n g p l a n i n v o l v e s no i n f o r m a t i o n g a t h e r i n g , a n d t h e o n l y l a b o r expended i s t h a t o f g o i n g t o t h e p o l l s and p r e s s i n g t h e p a r t y l e v e r . A second p o s s i b l e v o t i n g p l a n m i g h t r e q u i r e such i n p u t s as t e lephone c a l l s , l a b o r t i m e spent r e a d i n g l i t e r a t u r e , e t c . , t o o b t a i n and p r o c e s s i n f o r m a t i o n . A t h i r d i n d i v i d u a l v o t i n g a c t i o n m i g h t i n v o l v e t h e r e c e i p t o f a c e r t a i n sum o f money from a p o l i t i c a l f i g u r e , o r the r e c e i p t o f a c e r t a i n amount o f c - w e l l b e i n g ( p o s s i b l y i n t h e form of p r o t e c t i o n from g a n g s t e r s ) when- the v o t e r e s o u r c e i s s o l d a t a p o l i t i c a l o r g a n i z a t i o n ' s m arket.

The i n d i v i d u a l i s m o t i v a t e d t o maximize h i s u t i l i t y . As a v o t e r and a c i t i z e n , he i s assumed t o know t h a t he w i l l r e c e i v e a f i x e d share o f t h e stream o f government goods and s e r v i c e s t o be d i s t r i b u t e d . T h i s f i x e d share i s e i t h e r t r a d i t i o n a l o r i m p l i c i t i n t h e p l a t f o r m s o f a c a n d i d a t e . T h e r e f o r e , when a c i t i z e n v o t e s , i t i s i n h i s

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i n t e r e s t t o v o t e f o r t h a t c a n d i d a t e whom he expects w i l l d i s t r i b u t e t o him a s e t o f goods and s e r v i c e s , which when combined w i t h h i s expected r e c e i p t o f commodities from a l l o t h e r sources, w i l l m a x i mize h i s u t i l i t y . Of course, i n view o f t h e expected impact o f h i s v o t e on t h e e l e c t i o n , t h e amount (or l a c k ) o f d i f f e r e n c e between a l t e r n a t i v e e l e c t i o n outcomes, and t h e i n p u t s r e q u i r e d i n a c t u a l l y v o t i n g , an i n d i v i d u a l v o t e r may c o n s i d e r t h a t h i s u t i l i t y m a x i m i z i n g a c t i o n i s t o a b s t a i n from v o t i n g .

We assume t h a t t h e outcome o f any e l e c t i o n i s always d e t e r m i n a t e , and t h a t somebody always w i n s . We assume a l e g a l - c o n s t i t u t i o n a l framework which c o n t a i n s a v o t e c o u n t i n g procedure which s e l e c t s from t h e many c a n d i d a t e s t h e one c a n d i d a t e (and p l a t f o r m ) t o serve u n t i l , the n e x t e l e c t i o n . By emphasizing t h e p l a t f o r m and n o t t h e c a n d i d a t e , we can see t h a t t h e e l e c t i o n process j u s t d e s c r i b e d i s a s p e c i a l case o f an i s s u e r e s o l u t i o n p r o c e s s .

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Discussion

I . PROBLEM OF MEASURING HOU-ECQHOMIC VALUES

Esman commented t h a t t h i s paper i s an i m a g i n a t i v e and c a r e f u l l y reasoned e f f o r t t o develop a more comprehensive d e c i s i o n model, w h i c h i n c o r p o r a t e s more t h a n c o n v e n t i o n a l economic v a r i a b l e s . I n t h e p a s t , even r a t h e r s o p h i s t i c a t e d methods o f c o s t - b e n e f i t a n a l y s i s have been l i m i t e d t o economic v a r i a b l e s and measurements where t h e models were q u a n t i t a t i v e . As a r e s u l t , models f o r p r o j e c t , r e g i o n a l , o r n a t i o n a l p l a n n i n g have been s e q u e n t i a l d e c i s i o n making. That i s , one s t a r t s w i t h an economic model and t h e n s e q u e n t i a l l y t r i e s t o m o d i f y i t t o t a k e i n t o account t h e non-economic v a r i a b l e s which are known t o be i m p o r t a n t b u t f o r which t h e model does n o t p r o v i d e q u a l i t a t i v e measurement. Now i n t h i s new e q u i l i b r i u m model, non-economic v a l u e s are t r e a t e d as s o c i a l c o m m o dities, each w i t h i t s own p a r t i c u l a r market and t r a n s a c t i o n a l r u l e s , so t h a t t h e y can be handled a l o n g w i t h economic v a r i a b l e s i n a s i n g l e d e c i s i o n system. The main problem, as Esman saw i t , was n o t a c o n c e p t u a l one a t t h i s s t a g e , b u t the problem t h e a u t h o r s have a l r e a d y i d e n t i f i e d , how t o measure t h e non-economic values and t h e n make them commensurate w i t h economic v a l u e s .

R y d e l l r e p l i e d t h a t t h e exchange r a t i o s between u n i t s o f t h e v a r i o u s s o c i a l commodities such as c - a f f e c t i o n and c - r e s p e c t i s s e t by t h e s u p p l y and demand on t h e market, and can be s e t d i f f e r e n t l y i n d i f f e r e n t markets. There i s no a t t e m p t i n t h e e q u i l i b r i u m model t o s t a t e these exchange r a t i o s , as one would i n a p a r t i a l model f o r c o s t - b e n e f i t s t u d i e s . There i s s t i l l t h e problem o f measuring t h e v a l u e o f these s o c i a l commodities i n some way where, as on t h e economic market, so many bushels o f wheat are made commensurate w i t h one a u t o m o b i l e .

R y d e l l s a i d t h e r e were t h r e e t h i n g s t h a t have t o be done. One i s t o t r y t o q u a n t i f y t h e non-economic v a r i a b l e s . The second i s t o develop t h e s p e c i f i c f u n c t i o n a l r e l a t i o n s h i p s c o n t a i n e d i n the model. The t h i r d t h i n g t o do i s t o t r a c e t h e i m p a c t s , t h e e f f e c t s on s o c i e t y , o f changes i n t h e b a s i c v a r i a b l e s .

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2. CONCEPT OF E Q U I L I B R I U M Hagen s t a t e d t h a t t h e m a t h e m a t i c a l appendix ( n o t p u b l i s h e d i n t h i s r e p o r t ) t o t h e prose summary s e c t i o n , does prove r i g o r o u s l y t h a t g i v e n t h e p r e c i s e l y s p e c i f i e d assumptions, t h e r e can be and i s e q u i l i b r i u m i n t h i s system; t h i s i s a f a c t o f some substance, a l t h o u g h i t i s i m p o r t a n t t o c o n s i d e r t h e assumptions made. I t i s a r e g i o n a l system; g i v e n the assumptions i n t h e model, t h e r e c o u l d be no change i n t h e s o c i e t y u n l e s s i t came from t h e o u t s i d e . No changes i n form o f government o r i n economic t e c h n i q u e s a r e p r o v i d e d f o r ; i n f a c t t h e e q u i l i b r i u m appears t o be s t a b l e . R y d e l l c o n f i r m e d t h a t t h e model i s i n t e n d e d t o d e s c r i b e a s t a b l e e q u i l i b r i u m .

Hagen a l s o b e l i e v e d t h a t a s t a b l e e q u i l i b r i u m model was n o t t o o f a r from r e a l i t y i n t r a d i t i o n a l s o c i e t i e s t o be u s e f u l , even though no such s o c i e t y i s c o m p l e t e l y w i t h o u t changes i n p o l i t i c a l s t r u c t u r e , knowledge, o r s o c i a l r e l a t i o n s h i p s . But he d i d n ' t t h i n k i t u s e f u l t o c o n c e i v e o f a modern s o c i e t y as i n e q u i l i b r i u m , even i n a s i m p l i f i e d model. Every modern s o c i e t y i s i n t h e process o f change, which i s a dynamic process w i t h i n i t - s e l f . There are l a g s i n f u n c t i o n a l r e l a t i o n s h i p s — a change i n one v a r i a b l e causes a change i n a n o t h e r , b u t o n l y a f t e r a y e a r , o r a g e n e r a t i o n . That change t h e n causes a change i n a n o t h e r one and we have a sequence o f change g o i n g on. Hagen suggested t h a t t h e s h i f t from " t r a d i t i o n a l " t o "modern" s o c i e t y i s n o t a s h i f t from one s t a t e s i t u a t i o n t o a n o t h e r , b u t a change from what c o u l d be c o n s i d e r e d a s t a b l e e q u i l i b r i u m t o what must t h e r e a f t e r be r egarded as i n dynamic p r o c e s s . Hagen n o t e d , however, t h a t some i n t r u s i o n s from t h e o u t s i d e d i d n o t appear s u f f i c i e n t t o move a t r a d i t i o n a l s o c i e t y i n t o a dynamic p r o c e s s , b u t o n l y succeeded i n moving t h e e q u i l i b r i u m p o s i t i o n a l i t t l e ; t h i s would be a moving e q u i l i b r i u m , n o t t h e same as t h e dynamic process d e s c r i b e d as l e a d i n g t o c o n t i n u o u s change.

L e r n e r added t h a t i n h i s v i e w , t h e v a l u e o f t h e system e q u i l i b r i u m model was h e u r i s t i c f o r development purposes. By f o l l o w i n g t h i s system model o u t , one b e g i n s t o a r r i v e a t p a r t i a l e q u i l i b r i a more e a s i l y . What i s needed f o r development p l a n n i n g i s n o t an . e q u i l i b r i u m model, b u t a " f a l l - b a c k " p o s i t i o n which says, " i f you g e t outcome A which i s c l o s e r t o t h e p l a n , t h e n your n e x t s t e p w i l l be t h i s ; i f you g e t outcome B, which i s somewhat l e s s t h a n t h e o u t come p r o j e c t e d i n your p l a n , t h e n your a l t e r n a t i v e w i l l be t h a t . " Here one i s t a l k i n g about p a r t i a l e q u i l i b r i a , r a t h e r t h a n s t a b l e e q u i l i b r i u m .

R y d e l l commented t h a t t h e r e seem t o be s e v e r a l ways i n w h ich t h e e q u i l i b r i u m model i s u s e f u l f o r development. You ask q u e s t i o n s o f t h e model. For example, i s t h e r e g o i n g t o be a sharp change from t h e o u t s i d e such t h a t t h e system cannot a d j u s t t o e q u i l i b r i u m b u t has t o be r e s t r u c t u r e d ? Or w i l l t h e a d j u s t m e n t t i m e t o a new s tage o f e q u i l i b r i u m be so l o n g as t o i n v a l i d a t e t h e model as a p r e d i c t o r ? I n e i t h e r example, t h e q u e s t i o n can a l s o be asked, how does t h e a d j u s t m e n t t o a new e q u i l i b r i u m t a k e p l a c e , w hich i s something

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o u t s i d e t h e e q u i l i b r i u m model, o f cours e . The e q u i l i b r i u m model a l s o h e l p s one u n d e r s t a n d whether t h e assumption t h a t supply equals demand i s u s e f u l i n non-economic commodities. There i s i n t h e model a d o u b l e e n t r y a c c o u n t i n g system f o r a n a l y z i n g t h e s o c i e t y and f o r p r o v i d i n g a c o n s i s t e n c y check.

R y d e l l p o i n t e d o u t t h a t an e q u i l i b r i u m model i s a good p l a c e t o s t a r t f o r r e s e a r c h s t r a t e g y , even though t h e s i t u a t i o n i n a s o c i e t y may r e q u i r e such m o d i f i c a t i o n i n t h e model t h a t i t becomes a dynamic one. S t a b i l i t y a n a l y s i s (whether e q u i l i b r i u m o r n o t ) leads t o i n q u i r y about r a t e s o f change, which may r e q u i r e dynamic a n a l y s i s .

R e f e r r i n g t o L e r n e r 1 s query about p a r t i a l e q u i l i b r i u m models r a t h e r t h a n s t a b l e e q u i l i b r i u m , R y d e l l c o n f i r m e d t h a t p a r t i a l models are an a c c e p t e d t e c h n i q u e f o r p r e d i c t i n g and p l a n n i n g . He mentioned L e o n t i e f 1 s i n p u t - o u t p u t a n a l y s i s model, which i s a s t a t i c , p a r t i a l e q u i l i b r i u m model found most u s e f u l f o r p l a n n i n g . By making assumptions which f i x ( f r e e z e ) most p a r t s o f t h e system, i t becomes p o s s i b l e t o examine impact o f a few b a s i c v a r i a b l e s . The p a r t i a l model t h e n h e l p s p r e d i c t how t o o p t i m i z e a v a l u e o r a c e r t a i n cont r o l . A p a r t i a l dynamic model can a l s o -be setup by adding r a t e s o f change b u t assuming t h a t t h e y cannot exceed a g i v e n l e v e l . He suggested - t h a t a good way t o approach p l a n n i n g o r development problems i s t o s t a r t w i t h a s t a t i c e q u i l i b r i u m model, make i t p a r t i a l and assume c e r t a i n t h i n g s f i x e d . Then w i t h i n t h e c o n t e x t o f t h e p a r t i a l model p u t i n some dynamic r e l a t i o n s i f you f e e l i n c r e m e n t a l s t a t i c e q u i l i b r i u m i s n o t g o i n g t o g e t you v e r y f a r .

S t e i n expressed concern t h a t t h e e q u i l i b r i u m model was d e s c r i p t i v e r a t h e r t h a n p r e d i c t i v e because i t c o u l d n o t i n i t s e l f account f o r th e k i n d s o f change from o u t s i d e t h a t move the system t o another k i n d o f e q u i l i b r i u m o r t o a dynamic p r o c e s s . He f e l t t h a t t h e s o c i a l s ciences need b e t t e r agreement on what t h e v a r i a b l e s a r e , and t h a t t h i s m i g h t mean s e t t i n g up a p e r i o d i c t a b l e o f elements as had been done i n p h y s i c a l s c i e n c e ; i t would a l s o h e l p show where t h e gaps a r e . A t t e m p t i n g t o p r e d i c t t h e f u t u r e on t h e b a s i s o f p a s t r e l a t i o n s h i p s always seems t o b r i n g i n new v a r i a b l e s w h ich were n o t t a k e n i n t o account. Hagen argued t h a t t h i s means the f u n c t i o n a l -e s p e c i a l l y t h e c a u s a l - r e l a t i o n s h i p s i n t h e system were r e a l l y n o t u n d e r s t o o d . A model i s bad t o the e x t e n t t h e f u n c t i o n a l r e l a t i o n s h i p s d e f i n e d i n i t do n o t r e f l e c t r e a l - l i f e phenomena; b u t c r e a t i n g a model i s h e l p f u l i n showing what you have n o t comprehended, p a r t i c u l a r l y when used f o r p r e d i c t i o n .

L e r n e r suggested t h a t t h e s e l e c t i o n o f a m i s s i l e base as t h e focus f o r i n t r u s i o n i n t o E m i l i a n s o c i e t y may obscure t h e p o i n t t h a t any l a r g e i n t e r v e n t i o n would have s i m i l a r e f f e c t s ; t h e r e would be t h e same n e c e s s i t y f o r f o l l o w i n g t h r o u g h t h e impact had i t been an auto assembly p l a n t o r a f a c t o r y making s t r i p e d candy f o r t h e c h i l d r e n o f t h e w o r l d .

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3. REGION AS UNIT OF ANALYSIS

Bennis asked f o r f u r t h e r d i s c u s s i o n o f why t h e r e g i o n was chosen as a u n i t o f a n a l y s i s r a t h e r t h a n t h e i n d i v i d u a l , an o r g a n i z a t i o n , an i n s t i t u t i o n o r o t h e r p o i n t s o f l e v e r a g e i n s o c i e t y . Behind any p r o f e s s i o n a l i n t e r e s t and t h e o r i e s o f approaches are assumptions about what r e a l i t y i s , ease o f measurement, and so on.

R y d e l l e x p l a i n e d how p r e d i c t i n g t h a t t h e exchange r a t i o s w i l l be d i f f e r e n t i n d i f f e r e n t markets i s a good way t o show where r e g i o n s g e t i n t o a n a t i o n a l model. I s a r d 1 s c o n c e p t u a l framework i n c l u d e s a n a t i o n o f r e g i o n s which are s e p a r a t e d by t h e f u n c t i o n s o f t r a n s p o r t and communication c o s t s . The d i f f e r e n c e between r e g i o n s i s t h u s s i m p l y one o f access.

Hagen gave as an example h i s f a m i l y ' s c h o i c e when he was a boy, o f g o i n g t o a M e t h o d i s t Sunday School and Church i n t h e town t h e y l i v e d i n r a t h e r t h a n t o t h e Norwegian L u t h e r a n Church i n t h e n e i g h b o r i n g town. Even though h i s p a r e n t s were sure he'd g e t more r e c t i t u d e o u t o f t h e L u t h e r a n Church, g o i n g t o t h e n e i g h b o r i n g town c o s t t o o much w e a l t h and t i m e . When the roads were improved l a t e r , and t h e y owned an a u t o m o b i l e , these f r i c t i o n s o f t r a n s p o r t c o s t s d i m i n i s h e d and t h e y went t o t h e L u t h e r a n Church.

P e t e r added t h a t t h e r e are o t h e r ways i n which t h e economic concept o f p h y s i c a l space was r e l e v a n t t o o t h e r approaches. I n s t u d y i n g o r g a n i z a t i o n s , f o r example, problems o f c e n t r a l i z a t i o n - d e c e n t r a l i z a t i o n are p a r t l y s p a t i a l . So are t h e dynamics o f s m a l l groups t o some e x t e n t . One can a l s o t h i n k o f t h e s o c i o l o g y o f knowledge, t h e spread o f e n l i g h t e n m e n t , as c o n d i t i o n e d by s p a t i a l f a c t o r s and t e c h n o l o g y . Sending books i s v e r y expensive because o f t h e c o s t o f s h i p p i n g t h e paper; t r a n s p o r t i n g or communicating t h e c o n t e n t s o f t h e book e l e c t r o n i c a l l y changes t h e r e l e v a n t r e g i o n s o f e q u a l access c o s t s v e r y markedly. Hagen commented t h a t t h e concept o f r e g i o n s i s a r i c h one beyond t h e economic meaning. What c o n s t i t u t e s m o d e r n i z a t i o n , as o f t e n d e f i n e d , i s g r e a t e r u n i t y i n t h e n a t i o n , a sense o f oneness and shared v a l u e s . T h i s g i v e s r e g i o n s meaning i n a p o l i t i c a l and s o c i o l o g i c a l sense.

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APPLYING BEHAVIORAL SCIENCE FOR ORGANIZATIONAL CHANGE

by Warren G. Bennis

Massachusetts Institute of Technology

and Mollis W. Peter

Foundation for Research on Human Behavior

290

WEEP FOR A THEORY OF CHANGING

T h i s paper a t t e m p t s t o b r i n g t o g e t h e r elements o f t h e o r y and method f o r c hanging o r g a n i z a t i o n s , i n t he b e l i e f t h a t b r i n g i n g about planned o r g a n i z a t i o n a l change i s an i m p o r t a n t way t o c r e a t e d e s i r e d s o c i a l change q u i c k l y and e f f e c t i v e l y . A d e f i c i e n c y i n t h e e x i s t i n g t h e o r i e s o f s o c i a l change i n t h e v a r i o u s d i s c i p l i n e s o f s o c i a l s c i e n c e i s t h a t t h e y t e n d t o be weak i n d e s c r i b i n g and e x p l a i n i n g t h e v a r i a b l e s o f t h e system which are s u b j e c t t o m a n i p u l a t i o n t h r o u g h i n t e r v e n t i o n . E x i s t i n g p a r t i a l t h e o r i e s o f s o c i a l change are more s u i t a b l e f o r o b s e r v e r s t h a n f o r t h e a c t i o n - o r i e n t e d p r a c t i t i o n e r s who are conc e r n e d w i t h how d e s i r e d s o c i a l p r o g r e s s can be a c c e l e r a t e d . We b e l i e v e t h a t t h e o r i e s o f s o c i a l change s h o u l d be a l s o extended as t h e o r i e s o f changing , so t h a t any p o s s i b i l i t i e s f o r d i r e c t i n g and i m p l e m e n t i n g change i n a p l a n n e d , g o a l - o r i e n t e d manner can be more f u l l y u n d e r s t o o d and e x p l o i t e d .

P R E R E Q U I S I T E S FOR A THEORY OF PLANNED SOCIAL CHANGING

There are some g e n e r a l i z e d p r e r e q u i s i t e s f o r a t h e o r y o f s o c i a l c h a n g i n g which have been d e s c r i b e d by Robert C h i n . 2 A t h e o r y o f changing must i n c l u d e t h e f o l l o w i n g :

1. L e v ers or handles f o r i n f l u e n c i n g t h e d i r e c t i o n , tempo, and q u a l i t y o f change and improvement; i . e . t h e v a r i a b l e s t h a t are a c c e s s i b l e t o c o n t r o l . V a r i a b l e s w h i c h " e x p l a i n " and a r e c a u s a l may be t h e least alterable; hence a science o f "causes" may n o t be adequate f o r a t h e o r y o f changing. For example, we do know t h a t u r b a n i z a t i o n causes p o p u l a t i o n e x p l o s i o n , b u t the a p p l i e d demographer can do l i t t l e t o reduce t h e b i r t h r a t e by m a n i p u l a t i n g t h e degree o f u r b a n i z a t i o n . Demographers can,

Chin, R., Models and Ideas About Changing. Taper read at Symposium on Acceptance of New Ideas, University of Nebraska, November 1963.

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however, c o n t r o l c o n t r a c e p t i v e m a t e r i a l s and i n f o r m a t i o n . So, most o f a l l , a t h e o r y o f changing must i n c l u d e m a n i p u l a b l e v a r i a b l e s .

2. C a p a b i l i t y o f t a k i n g i n t o account t h e r o l e s o f a change agent and a c l i e n t system, each w i t h i t s own system o f v a l u e s , p e rcept i o n s and r i g h t s o f s e l f - d e t e r m i n a t i o n . For example, i n t h e p r e c e d i n g , i t may be t h a t t h e use o f c o n t r a c e p t i v e s i n a C a t h o l i c c o u n t r y w i l l r e n d e r t h i s independent v a r i a b l e v i r t u a l l y u s e l e s s t o m a n i p u l a b i l i t y ; t h e v a r i a b l e must n o t v i o l a t e t h e c l i e n t s y stem 1s v a l u e s .

3-. A means o f t a k i n g i n t o account t h e c o s t o f usage. P r o h i b i t i v e c o s t s may a g a i n r u l e o u t a h i g h l y c o n t r o l l a b l e and v a l u e -r e s o n a n t v a r i a b l e .

4. A r e l i a b l e b a s i s o f d i a g n o s i n g t h e s t r e n g t h and weakness o f t h e c o n d i t i o n s f a c i n g t h e c l i e n t system.

5. A p l a n f o r phases o f i n t e r v e n t i o n so t h a t t h e change agent can develop e s t i m a t e s f o r t e r m i n a t i o n o f h i s r e l a t i o n s h i p w i t h t h e c l i e n t system, s e l f - " t a k e - o f f " p o i n t s , e t c .

6. C o m m u n i c a b i l i t y w i t h minimum d i s t o r t i o n t o t h e c l i e n t system w i t h o u t d e s t r o y i n g i t s e f f e c t i v e n e s s .

7. A b i l i t y t o assess i t s own a p p r o p r i a t e n e s s f o r d i f f e r e n t c l i e n t systems.

THE ROLE OF ORGA N I Z A T I O N S I N S O C I A L CHANGE

Planned change i s any t h a t uses p l a n n i n g b e f o r e and d u r i n g t h e change t o a c h i e v e s t a t e d g o a l s . The methods used i n planned s o c i a l change c o n v e r t t h e knowledge o f r e l e v a n t v a r i a b l e s , w h i ch comes from t h e b e h a v i o r a l s c i e n c e s , i n t o s t r a t e g i c i n s t r u m e n t a t i o n and programs. These methods a l s o i n c o r p o r a t e s o c i a l v a l u e s ( c o n v e n t i o n a l meaning) and b e h a v i o r a l s k i l l s . The l o g i c and r a t i o n a l i t y o f planned change i s t h e same f o r any d i s c i p l i n e ; i t i s l a r g e l y i n r e s p e c t o f t h e p a r t i c u l a r problems d e a l t w i t h , t h e s e l e c t i o n o f v a r i a b l e s and o f s t r a t e g i e s , t h a t t h e a p p l i e d b e h a v i o r a l s c i e n c e approach t o pl a n n e d change d i f f e r s from o t h e r s .

H i s t o r i c a l l y , t h e development o f planned change t h r o u g h t h e a p p l i c a t i o n o f b e h a v i o r a l s c i e n c e can be seen as t h e r e s u l t a n t o f two f o r c e s : ever more complex s o c i a l and s o c i o - t e c h n i c a l problems, and t h e r e c e n t g r o w t h and v i a b i l i t y ( n o t y e t m a t u r i t y ) o f t h e b e h a v i o r a l sciences.1

^''The term "behavioral sciences" itself is of post World War II origin, coined by the more empirically minded social scientists to distin-quish this portion of the social sciences from the non-quantitive humanists, the depersonalized ab stract ions of the econometrialsts, and the non-explanatory statistics of some parts of demography and sociology.

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I t seems t o us almost meaningless t o t h i n k about s o c i a l change except i n terms o f o r g a n i z a t i o n s . S o c i a l change, o r more g e n e r a l l y , a l l p l a n n e d changes and programs o f p o l i t i c a l , economic and s o c i a l development are c a r r i e d o u t p r i m a r i l y t h r o u g h o r g a n i z a t i o n s , seldom by i n d i v i d u a l s except i n an o r g a n i z a t i o n a l c o n t e x t . T h i s i s s i m p l y because o r g a n i z a t i o n s become necessary when the achievement o f o b j e c t i v e s r e q u i r e s c o o p e r a t i v e e f f o r t s , s p e c i a l i z e d r o l e s , and t h e m o b i l i z a t i o n o f c a p i t a l , m a t e r i a l and human r e s o u r c e s . O r g a n i z a t i o n s are no more, i n t h i s sense, t h a n t h e s o c i a l i n v e n t i o n , t h e method, f o r e x t e n d i n g an i n d i v i d u a l ' s c a p a c i t y t o i n c r e a s e h i s v a l u e accumu l a t i o n ( i n t h e Lasswell-Holmberg meaning) beyond what he c o u l d do by h i m s e l f .

O r g a n i z a t i o n s are a l s o i m p o r t a n t i n s o c i a l change as t h e s e t t i n g , t h e s o c i a l c o n t e x t , i n which i n d i v i d u a l s work and spend a g r e a t deal o f t h e i r t i m e . S o c i a l change t a k e s p l a c e w i t h i n , as w e l l as t h r o u g h , o r g a n i z a t i o n s , p a r t l y because t h e y occupy so much o f t h e l i f e space o f i n d i v i d u a l s .

O r g a n i z a t i o n s are e s t a b l i s h e d w i t h t h e i r own p a r t i c u l a r g o a l s o f v a l u e development, maintenance and g r o w t h . Where these v a l u e g o a l s become g e n e r a l i z e d and n o r m a t i v e i n a s o c i e t y , o r g a n i z a t i o n s become known as i n s t i t u t i o n s .

W h i l e o r g a n i z a t i o n s are formed t h e w o r l d over t o achieve s i m i l a r s o c i a l , p o l i t i c a l or economic purposes, t h e r e are s u b s t a n t i a l d i f f e r e n c e s between o r g a n i z a t i o n s o f common purpose. T h i s i s accounted f o r by d i f f e r e n c e s i n t e c h n o l o g y and c u l t u r a l p a t t e r n s , e i t h e r o r b o t h o f which may l e a d t o i n n o v a t i o n s i n o r g a n i z a t i o n a l s t r u c t u r e , t e c h n i c a l processes and human r e l a t i o n s h i p s . C o n s i d e r a b l e v a r i a t i o n s e x i s t i n o r g a n i z a t i o n a l p a t t e r n s j u s t as t h e y do i n t e c h n o l o g i c a l or s o c i a l p a t t e r n s a t o t h e r l e v e l s o f a g g r e g a t i o n . O r g a n i z a t i o n s , even more t h a n t h e i n d i v i d u a l s who comprise them and make them work, are b o t h a key and c o n v e n i e n t u n i t s f o r a n a l y s i s and a c t i o n i n s o c i a l change. T h e r e f o r e , planned change aimed a t i n c r e a s i n g o r g a n i z a t i o n a l e f f e c t i v e n e s s ( d e f i n e d i n s o c i a l as w e l l as p h y s i c a l terms) i s w o r k i n g q u i t e d i r e c t l y f o r s o c i a l change i n s o c i e t y . The o r g a n i z a t i o n , as an Immediate t a r g e t f o r planned change and development i s i n f a c t b o t h t h e l a b o r a t o r y f o r t e s t i n g and c r e a t i n g change and t h e i n s t r u m e n t f o r d i f f u s i n g t h e change more w i d e l y i n s o c i e t y .

I t i s l o g i c a l and g r a t i f y i n g t o see t h a t a d m i n i s t r a t o r s o f programs o f f o r e i g n a i d are g i v i n g i n c r e a s i n g a t t e n t i o n t o t h e development of new and more e f f e c t i v e o r g a n i z a t i o n s as means f o r a c h i e v i n g broader s o c i a l , economic and p o l i t i c a l development i n t h e l e s s developed a r e a s .

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ELEMENTS IN THE PLANNING OF SOCIAL CHANGE IN ORGANIZATIONS

Below are those elements or g e n e r a l f a c t o r s w h i ch we f e e l must a l l be i n t e g r a l p a r t s o f any program o f planned s o c i a l change.

1. A c l i e n t system 2. A change agent o r agents 3. A c o l l a b o r a t i v e r e l a t i o n s h i p between c l i e n t system and t h e

change agent 4. S p e c i f i c a t i o n and s e l e c t i o n o f g o a l s 5. Methods and i n t e r v e n t i o n s 6. Feedback

THE CLIENT SYSTEM ANV ADOPTION OF CHANGE

The t a r g e t o f s o c i a l change as we are d e s c r i b i n g i t i s the o r g a n i z a t i o n and i t s members. However, t he c l i e n t system w i t h which t h e change agent a c t u a l l y works may be e i t h e r t h e t o t a l system o r , more f r e q u e n t l y , a sub-system o f t h e f o r m a l o r g a n i z a t i o n . Both i n d i v i d u a l s and groups are the t a r g e t s o f change w i t h i n t h e c l i e n t system. I n l a b o r a t o r y t r a i n i n g programs, f o r example, i n d i v i d u a l s are h e l p e d by the change agent t o i n c r e a s e t h e i r p e r s o n a l g r o w t h , t h e i r i n t e r p e r s o n a l competence and t h e i r " s e l f - a c t u a l i z a t i o n . " But u n l e s s these t r a i n i n g a c t i v i t i e s are a l s o d e signed t o e f f e c t o r g a n i z a t i o n a l improvement, t h e y b e n e f i t t h e i n d i v i d u a l as a c l i e n t , n ot t h e l a r g e r o r g a n i z a t i o n c l i e n t system.

The c h a r a c t e r i s t i c s o f c l i e n t systems are as v a r i e d as t h e o r g a n i z a t i o n s t r u c t u r e s and processes developed i n d i f f e r e n t c u l t u r e s . However, a l l i n d i v i d u a l members o f c l i e n t systems have s i m i l a r problems i n d e a l i n g w i t h power and i n f l u e n c e and i n a d a p t i n g t o change. The l a t e r s e c t i o n o f t h i s paper on t h e c o l l a b o r a t i v e r e l a t i o n s h i p between change agent and c l i e n t system develops some i d e a s on t h e use o f power t h a t are e q u a l l y r e l e v a n t t o t he c l i e n t system and t h e change agent. Here we d e s c r i b e b r i e f l y some f e a t u r e s o f t h e a d o p t i o n process by which i n d i v i d u a l members o f a c l i e n t system d e t e r m i n e whether o r n o t t o accept change and i n c o r p o r a t e new b e h a v i o r a l p a t t e r n s as n o r m a t i v e ones. 2

The description which follows draws heavily on the research done by sociologists studying the diffusion of innovation from the perspective of the individuals adoptive process* See Rogers, E., THE DIFFUSION OF INNOVATION, N.Y., Free Press of Glencoe, 1962.

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An i n d i v i d u a l appears t o go t h r o u g h f i v e d i s t i n c t phases, or p s y c h o l o g i c a l s t a g e s , b e f o r e he accepts and adopts a change i n h i s a t t i t u d e s , b e l i e f s o r b e h a v i o r . He must f i r s t become aware o f t h e p r o s p e c t i v e change i n o r d e r t o t h i n k about i t , and t h i s o f t e n leads t o interest. Then, i f t h e r e i s s u f f i c i e n t i n t e r e s t , t h e i n d i v i d u a l a t t e m p t s t o e v a l u a t e t h e change i n terms o f i t s r i s k s t o him. U n t i l t h e evaluation i s p o s i t i v e t h e r e w i l l be u n c e r t a i n t y , i n d e c i s i o n , r e s i s t a n c e t o , or even a c t i v e o p p o s i t i o n t o t h e i d e a . Even when t h e e v a l u a t i o n i s p o s i t i v e , t h e i n d i v i d u a l u s u a l l y t r i e s t o g i v e t h e change a trial t o see i f i t r e a l l y works o u t as hoped and expected. I f t h i s t r i a l i s s u c c e s s f u l , and he i s convinced t h a t i t works, the adoption t a k e s p l a c e , and t h e change becomes i n t e r n a l i z e d as a new norm f o r t h e person.

An o r g a n i z a t i o n c l i e n t system i s made up o f i n d i v i d u a l s who go t h r o u g h some a p p r o x i m a t i o n o f these stages b e f o r e a change i s adopted, and do so t h r o u g h group processes and i n t e r a c t i o n w i t h the change agent. Two elements r e l a t e d t o s u c c e s s f u l i m p l e m e n t a t i o n of p l a n n e d o r g a n i z a t i o n a l change can be summarized:

1. R e s i s t a n c e t o t h e a n t i c i p a t e d change w i l l be g r e a t where t h e c l i e n t system possesses l i t t l e o r i n c o r r e c t knowledge about the change and t h e reasons f o r i t , has r e l a t i v e l y l i t t l e t r u s t i n t h o s e p r o m o t i n g t h e change, and has c o m p a r a t i v e l y low i n f l u e n c e i n c o n t r o l l i n g t h e n a t u r e and d i r e c t i o n o f t he change. The c l i e n t system needs t o have as much u n d e r s t a n d i n g o f t h e change and i t s consequences, as much i n f l u e n c e i n d e v e l o p i n g and c o n t r o l l i n g t h e change, and as much t r u s t i n t h e i n i t i a t o r o f t h e change as i s p o s s i b l e .

2. The more p r o f o u n d and a n x i e t y - p r o d u c i n g t h e change, t h e more c o l l a b o r a t i o n and c l o s e r r e l a t i o n s h i p between i n i t i a t o r and c l i e n t system i s r e q u i r e d . The change program must t h e n i n c l u d e e m o t i o n a l and v a l u e as w e l l as c o g n i t i v e ( i n f o r m a t i o n a l ) e l e ments f o r s u c c e s s f u l i m p l e m e n t a t i o n . For human changes are bound up i n s e l f - i m a g e and i n t h e s o c i a l f a b r i c f rom which i n d i v i d u a l s g a i n t h e i r e v a l u a t i o n and d e f i n i t i o n o f s e l f . R a t i o n a l p e r s u a s i o n i s n o t l i k e l y t o meet a l l t h e r e a l needs o f t h e i n d i v i d u a l v i e w i n g a change.

BEHAVIORAL CHANGE AGENTS

I n t h i s a n a l y s i s o f planned s o c i a l change, we a r e p a r t i c u l a r l y i n t e r e s t e d i n t h e r o l e o f t he change agent, and we r e c o g n i z e t h a t t h e r e are many t y p e s o f these p e r f o r m e r s . Such i n d i v i d u a l s may be l o c a t e d i n s i d e or o u t s i d e t h e c l i e n t system. I f t h e y are f u n c t i o n i n g f r o m w i t h i n t h e o r g a n i z a t i o n , t h e i r i n t i m a t e f a m i l i a r i t y w i t h t h e system i s a b i g advantage; f o r those o u t s i d e , t h e p e r s p e c t i v e and o b j e c t i v i t y t h a t comes from detachment i s o f t e n o f c o n s i d e r a b l e v a l u e . Change agents, whether i n s i d e o r o u t s i d e t h e c l i e n t system, o f t e n have d i f f e r e n t p r e f e r e n c e s about where, when and how t o i n t e r v e n e i n the

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o r g a n i z a t i o n , these p r e f e r e n c e s r e f l e c t i n g i n d i v i d u a l d i f f e r e n c e s i n p r o f e s s i o n a l t r a i n i n g and s k i l l s , as w e l l as r e c o g n i t i o n o f t h e o p p o r t u n i t i e s open f o r i n t e r v e n t i o n a t any t i m e .

The l a b e l o f "change agent" i n i t s more g e n e r a l meaning may be a p p l i e d t o a v a r i e t y o f persons i n v o l v e d i n a planned o r g a n i z a t i o n change program. One such key person i s t h e man a d m i n i s t r a t i v e l y r e s p o n s i b l e f o r c a r r y i n g i t o u t , who may be a manager o r a p r o j e c t e n g i n e e r w i t h t h e day-to-day j o b o f d i r e c t i n g t h e program. We do n o t i n c l u d e such a d m i n i s t r a t i v e r e p r e s e n t a t i v e s o f t h e c l i e n t system as change agents i n o u r r e s t r i c t e d d e f i n i t i o n , however, b u t would p r e f e r t o see them r e f e r r e d t o as managers o f change.

L e t us l o o k more c l o s e l y a t t h e b e h a v i o r a l change agent ( t h e a p p l i e d b e h a v i o r a l science p r a c t i t i o n e r — ABS p r a c t i t i o n e r ) . The term "change agent" i n t h i s r e s t r i c t e d c o n t e x t r e f e r s t o p r o f e s s i o n a l s u s i n g b e h a v i o r a l s c i e n c e knowledge and s k i l l s t o h e l p b r i n g about o r g a n i z a t i o n a l change.

F l o y d Mann, i n a n a l y z i n g t h e r o l e s o f v a r i o u s persons i n v o l v e d i n t h e managing o f change has suggested t h e r o l e o f t h e change catalyst,

"who would be expected t o h o l d h i m s e l f a p a r t from t h e d i r e c t management o f t h e on-going change so t h a t he m i g h t b e t t e r see t h e l a r g e i s s u e s and t h e problems o f s t r a t e g y . Knowing and a c c e p t i n g t h e b a s i c g o a l s o f t h e change, he would be expected t o observe developments, make p r e d i c t i o n s r e g a r d i n g d e v e l o p i n g problems o r t e n s i o n s , t e s t t h e s e p r e d i c t i o n s t h r o u g h t h e c o l l e c t i o n and a r r a y i n g o f f a c t s , and i n t r o d u c e h i s f i n d i n g s i n a manner t h a t would h e l p move t h e change a l o n g . A t d i f f e r e n t t i m e s t h e change c a t a l y s t w o uld be an a n a l y s t , i n t e g r a t o r and i n d i r e c t f a c i l i t a t o r . ' !

W h i l e we are p a r t i c u l a r l y i n t e r e s t e d i n b e h a v i o r a l change a g e n t s , we f e e l t h a t a change agent may be anyone who has some planned r o l e i n b r i n g i n g about s o c i a l change i n o r g a n i z a t i o n s — i n c l u d i n g t r a i n e r s , r e s e a r c h e r s and c o n s u l t a n t s — p r o v i d e d t h a t t h e i n d i v i d u a l has p r o f e s s i o n a l competence f o r t h i s r o l e .

I t must be a d m i t t e d t h a t t h e p r o f e s s i o n a l i s m o f b e h a v i o r a l s c i e n c e p r a c t i t i o n e r s has n o t p r o g r e s s e d t o t h e p o i n t where t h e r e a r e accepted s t a n d a r d s o f t r a i n i n g , e x a m i n a t i o n , i n t e r n s h i p , membership i n a p r o f e s s i o n a l a s s o c i a t i o n , and l i c e n s e t o p r a c t i c e — t h e cond i t i o n s which c h a r a c t e r i z e o t h e r e s t a b l i s h e d p r o f e s s i o n s . The b e s t we can do i s t o s k e t c h t h e g e n e r a l c h a r a c t e r i s t i c s o f t h i s n o t v e r y

Mann, F.C. & Neff, F. W., MANAGING MAJOR CHANGE IN ORGANIZATIONS, Ann Arbor, Michigan: Foundation for Research on Human Behavior, 1961 .

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homogeneous group o f b e h a v i o r a l change agents (ABS p r a c t i t i o n e r s ) w i t h w h ich we are concerned, as one s t e p toward the development o f more r e l i a b l e c r i t e r i a f o r d i s t i n g u i s h i n g and e v a l u a t i n g them.

Change agents have p r o f e s s i o n a l t r a i n i n g i n one or more o f t h e b e h a v i o r a l s c i e n c e s . They have u s u a l l y r e c e i v e d a d o c t o r a t e . Whether t h e y h o l d u n i v e r s i t y p o s t s , p o s i t i o n s i n l a r g e - s c a l e o r g a n i z a t i o n s , o r work as f u l l t i m e c o n s u l t a n t s , t h e y owe p r i m a r y p r o f e s s i o n a l a l l e g i a n c e t o one o f t h e b e h a v i o r a l d i s c i p l i n e s .

Change agents are s i m i l a r i n t h e i r b a s i c v a l u e s and assumptions about people. They b e l i e v e t h a t most people d e r i v e s a t i s f a c t i o n from b e i n g r e s p o n s i b l e f o r t h e i r work, and are m o t i v a t e d t o do t h e b e s t t h e y can w i t h i n t h e l i m i t s o f t h e i r environment. Change agents from Western c o u n t r i e s t a k e f o r g r a n t e d t h e c e n t r a l i t y o f work i n i n d u s t r i a l i z e d Western c u l t u r e (and may t h e r e f o r e s u f f e r from c u l t u r a l a s t i g m a t i s m i n o t h e r s o c i e t i e s ) . They are concerned w i t h o r g a n i z a t i o n a l e f f e c t i v e n e s s , however i n t a n g i b l y d e f i n e d or measured. However, t h e i r d i a g n o s t i c f o c u s i s on i n t e r p e r s o n a l and group r e l a t i o n s h i p s ; t h e i r p r e o c c u p a t i o n i s w i t h people and t h e processes o f human i n t e r a c t i o n . They are aware o f the i m p l i c a t i o n s o f t h e s e v a r i a b l e s .

A P P L I E D B E H A V I O R A L SCIENCE COMPARED WITH OPERATIONS RESEARCH

I t may be h e l p f u l t o compare and c o n t r a s t t h e method o f a p p l y i n g b e h a v i o r a l s c i e n c e (ABS) w i t h t h a t f o r o p e r a t i o n s r e s e a r c h (OR). Both ABS and OR are p r o d u c t s o f World War I I , developed i n response t o p r e s s u r e s f o r more e f f e c t i v e a p p l i c a t i o n o f s c i e n c e ; b o t h a r e p r o b l e m - c e n t e r e d a l t h o u g h t h e y have p r o v i d e d s i g n i f i c a n t i n p u t s t o t h e concepts and methods o f t h e i r p a r e n t b a s i c d i s c i p l i n e s . Both emphasize improvement and o p t i m i z a t i o n o f performance; i n t h i s r e s p e c t t h e y are n o r m a t i v e i n t h e i r approach t o problems, a t t e m p t i n g t o maximize g o a l s under c e r t a i n s p e c i f i e d c o n d i t i o n s . Both r e l y h e a v i l y on e m p i r i c a l s c i e n c e and on a r e l a t i o n s h i p o f c o n f i d e n c e and v a l i d communication w i t h c l i e n t s . Both emphasize a systems approach t o problems - r e q u i r i n g an awareness o f i n t e r d e p e n d e n c i e s w i t h i n t h e i n t e r n a l p a r t s o f t h e system s t u d i e d , as w e l l as boundary maintenance w i t h i t s environment. And, b o t h appear t o be most e f f e c t i v e when w o r k i n g w i t h systems t h a t are complex, r a p i d l y c h a n g i n g and somewhat science-based.

W i t h a l l these s i m i l a r i t i e s , t h e r e a r e a l s o some i m p o r t a n t d i f f e r ences. One i s i n b a s i c s c i e n t i f i c t r a i n i n g . The m a j o r i t y o f p r a c t i t i o n e r s o f OR were t r a i n e d i n t h e b a s i c p h y s i c a l s c i e n c e s r a t h e r t h a n i n e n g i n e e r i n g o r a d m i n i s t r a t i o n where OR methods are w i d e l y used. 2 On the o t h e r hand, ABS p r a c t i t i o n e r s a r e m o s t l y 1Ackoff, R. L. and Rivett, P., A MANAGER'S GUIDE TO OPERATIONS RESEARCH, Wiley, N.Y. and London, 1963, p. 34.

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t r a i n e d i n p s y c h o l o g y , s o c i a l p s y c h o l o g y , s o c i o l o g y o r a n t h r o p o l o g y . T h i s d i f f e r e n c e i n background may e x p l a i n what i s t h e most s t r i k i n g d i f f e r e n c e between OR and ABS - t h e i d e n t i f i c a t i o n o f s t r a t e g i c v a r i a b l e s and problems t h a t are s e l e c t e d as making a d i f f e r e n c e i n t h e performance o f t h e system.

A comparative i n v e n t o r y o f o p e r a t i o n s r e s e a r c h and a p p l i e d b e h a v i o r a l s c i e n c e problems would i n c l u d e :

As t h i s l i s t i n g shows, OR p r a c t i t i o n e r s t e n d t o work w i t h p h y s i c a l r e s o u r c e s , w i t h economic o r e n g i n e e r i n g v a r i a b l e s which a r e q u a n t i t i v e , measurable, and q u i t e d i r e c t l y l i n k e d t o t h e e f f i c i e n c y and p r o f i t a b i l i t y o f the o r g a n i z a t i o n a l system. ABS p r a c t i t i o n e r s , w h i l e a l s o i n t e r e s t e d i n q u a n t i t a t i v e measurement where p o s s i b l e , d e a l w i t h human v a r i a b l e s , and p a r t i c u l a r l y w i t h what are known i n t h e t r a d e as " i n t e r v e n i n g " o r " c o n d i t i o n i n g " v a r i a b l e s , t h a t t e n d t o be somewhat l e s s amendable t o q u a n t i t a t i v e measurement and m a t h e m a t i c a l f o r m u l a t i o n . These human v a r i a b l e s — i n c l u d i n g needs, d e s i r e s , p e r c e p t i o n s , a t t i t u d e s , m o t i v a t i o n , s a t i s f a c t i o n s — i n i n t e r p e r s o n a l and group c o n t e x t s , c o n d i t i o n t h e i n d i v i d u a l ' s b e h a v i o r a l responses t o s t i m u l i , and must o f course be somewhat u n d e r s t o o d i f p lanned change i s t o be s u c c e s s f u l . These v a r i a b l e s a l s o " i n t e r v e n e " between t h e i n p u t s t o an i n d i v i d u a l o r group and a c t u a l performance o u t p u t s . I n t h i s r e s p e c t , t h e y are a l s o l i n k e d t o t h e e f f i c i e n c y and p r o f i t a b i l i t y o f t h e o r g a n i z a t i o n , b u t more i n d i r e c t l y and i n more complex p a t t e r n s t h a n i n t h e case w i t h 0R-t y p e v a r i a b l e s .

A second m a j o r d i f f e r e n c e between ABS and OR has t o do w i t h t h e c o n c e p t u a l r e l a t i o n s h i p w i t h t h e c l i e n t system. The more s u c c e s s f u l OR p r a c t i t i o n e r s seem t o o p e r a t e w i t h a s e n s i t i v i t y t o w a r d t h e i r c l i e n t s e q u a l t o t h a t o f some ABS p r a c t i t i o n e r s . But i n t h e ABS approach, t h i s r e l a t i o n s h i p w i t h t h e c l i e n t system i s c o n s c i o u s l y used as an i n t e g r a l p a r t o f the change s t r a t e g y and as a source o f

Johnson, E.A., "Introduction" in OPERATIONS RESEARCH FOR MANAGEMENT, McCloskey and Trefethen (eds), Johns Hopkins Press, Baltimore, Md., 1954, xii.

OR ABS I n v e n t o r y A l l o c a t i o n Queuing Sequencing R o u t i n g Replacement C o m p e t i t i o n Search

I d e n t i f i c a t i o n o f m i s s i o n and v a l u e s C o l l a b o r a t i o n and c o n f l i c t L e a d e r s h i p and c o n t r o l U t i l i z a t i o n o f human res o u r c e s Coping w i t h r e s i s t a n c e t o change Communication between h i e r a r c h i c a l ranks Power and i n f l u e n c e Management and c a r e e r development I n c r e a s i n g m o t i v a t i o n and commitment

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d a t a and d i a g n o s i s about t h e change. The e s s e n t i a l f e a t u r e o f c o l l a b o r a t i o n between t h e ABS change agent and t h e c l i e n t system i s t h a t t h e l a t t e r i s encouraged t o develop i t s own d i a g n o s t i c and problem-s o l v i n g c a p a b i l i t y w i t h h e l p f r o m , b u t n o t e x c e s s i v e n o r c o n t i n u i n g dependence on, t h e e x p e r t i s e o f t h e change agent. The q u a l i t y and n a t u r e o f t h e r e l a t i o n s h i p are used as i n d i c a t o r s f o r the measurement o f p r o g r e s s . The OR p r a c t i t i o n e r or change agent i s u s u a l l y s a t i s f i e d i f h i s proposed s o l u t i o n i s adopted by t h e c l i e n t system and works f o r o r g a n i z a t i o n a l improvement; t h e ABS p r a c t i t i o n e r i s u s u a l l y s a t i s f i e d o n l y i f t h e c l i e n t system has adopted and i n t e r n a l i z e d t h e a t t i t u d e s , knowledge and s k i l l s f o r s o l v i n g a p a r t i c u l a r p r o b lem i n such a way t h a t i t i s b e t t e r p r e p a r e d t o d e a l w i t h t h e n e x t problem.

The r a t h e r d i f f e r e n t c o l l a b o r a t i v e r e l a t i o n s h i p s developed by OR and ABS p r a c t i t i o n e r s leads t o a t h i r d m a j o r d i f f e r e n c e between these t y p e s o f change agents — how t h e y spend t h e i r t i m e . The OR p r a c t i t i o n e r g e n e r a l l y devotes a l a r g e p o r t i o n o f h i s t i m e t o r e s e a r c h and t o p r o b l e m • s o l v i n g , and t h i s i s o f t e n done w i t h an i n t e r d i s c i p l i n a r y team. The ABS p r a c t i t i o n e r may o r may n o t devote c o n s i d e r a b l e e f f o r t t o r e s e a r c h and d a t a g a t h e r i n g . He tends t o spend a l a r g e r p o r t i o n o f h i s t i m e on i m p l e m e n t a t i o n a c t i v i t i e s , t h r o u g h c o u n s e l l i n g , t r a i n i n g , d i s c u s s i o n g r oups, management development schemes and so on. T h i s d i f f e r e n c e seems t o r e f l e c t one i n p o i n t o f view about "knowledge as power." To t h e OR man knowledge i s power, i n t h a t problem s o l v i n g l e a d s r e a d i l y t o a d o p t i o n o f t h e s o l u t i o n by t h e c l i e n t . For t h e ABS man, knowledge i s a necessary b u t n o t s u f f i c i e n t b a s i s f o r e n s u r i n g a d o p t i o n ; he b e l i e v e s t h a t members o f t h e c l i e n t system cannot s u c c e s s f u l l y adopt s o l u t i o n s w i t h o u t u s i n g t h e i r own s k i l l s , and perhaps changing some o f t h e i r v a l u e s and a t t i t u d e s . F i n a l l y , t h e ABS p r a c t i t i o n e r s , a l t h o u g h r e c o g n i z i n g t h a t t h e y are d e a l i n g w i t h " s o c i a l systems," u n f o r t u n a t e l y t e n d t o g i v e l e s s emphasis t o t h e systems approach t h a n do OR p r a c t i t i o n e r s . T h i s may e x p l a i n why ABS change agents seldom use i n t e r d i s c i p l i n a r y teams i n t h e i r approaches t o c l i e n t system problems.

T h i s b r i e f comparison o f OR and ABS approaches i l l u s t r a t e s t h e i n t e r r e l a t e d n e s s and t h e c o m p l e x i t y o f o r g a n i z a t i o n s as s o c i a l - t e c h n i c a l systems. H a r o l d L e a v i t t g i v e s a d e l i g h t f u l and i n s i g h t f u l d e s c r i p t i o n o f t h i s p o i n t i n t e l l i n g how t h r e e s e t s o f c o n s u l t a n t s gave t h r e e q u i t e d i f f e r e n t p r e s c r i p t i o n s f o r s o l u t i o n o f t h e same pro b l e m posed by a c u r i o u s and p e r s i s t e n t company p r e s i d e n t . 2 One, a t y p i c a l management c o n s u l t a n t , a d v i s e d c e r t a i n changes i n s t r u c t u r e o f t h e o r g a n i z a t i o n ; t h e n e x t , an o p e r a t i o n s r e s e a r c h e r , saw t h e p r o b l e m as one o f r e a r r a n g i n g t h e p h y s i c a l equipment and f l o w p r o c e s s ; t h e l a s t , a b e h a v i o r a l s c i e n c e c o n s u l t a n t , proposed a p r o gram d e a l i n g w i t h improvement i n t h e i n t e r p e r s o n a l and group v a r i a b l e s .

Leavitt, Harold, "The Engineering of Human Behavior in Industry INDUSTRIAL MEDICINE AND SURGERY, December 1964.

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Two p o i n t s emerge. Looking a t an o r g a n i z a t i o n one way, s t r u c t u r a l f a c t o r s appear, w h i l e d i f f e r e n t p e r s p e c t i v e s emphasize t h e economic and t e c h n o l o g i c a l , o r t h e i n t e r n a l human r e l a t i o n s problems. P o i n t one - a l l are l e g i t i m a t e v i e w p o i n t s . The second p o i n t i s t h a t a l l are v e r y p r o b a b l y i n t e r r e l a t e d , so t h a t changes i n any one w i l l r e s u l t i n changes i n t h e o t h e r two s e t s o f v a r i a b l e s . S t r u c t u r e , process and people are r e a l l y i n s e p a r a b l e , as t h e most f a r - s i g h t e d e x p e r t s i n each group are b e g i n n i n g t o r e a l i z e .

Two examples, one OR and one o f ABS, i l l u s t r a t e t h e i n t e r r e l a t i o n s h i p s among these d i f f e r e n t k i n d s o f v a r i a b l e s . A c k o f f and R i v e t t r e p o r t a case i n which OR was c a l l e d on t o h e l p a major commercial a i r l i n e d e cide on how o f t e n i t s h o u l d r u n a c l a s s f o r stewardesses and how l a r g e t h e c l a s s s h o u l d be. 2 T h i s s t u d y l e d t o a stu d y o f th e f o l l o w i n g f a c t o r s : c o s t o f r u n n i n g t h e s c h o o l , f o r e c a s t s f o r f u t u r e r e q u i r e m e n t s , f o r e c a s t i n g p r o c e d u r e s , expenses and s a l a r i e s o f a l l p e r s o n n e l , maximum p o s s i b l e average number o f f l y i n g hours per stewardess t h a t c o u l d be o b t a i n e d , f a c t o r s i n stewardesses 1 j o b s a t i s f a c t i o n , t h e number o f bases and where t h e y s h o u l d be l o c a t e d , how f l i g h t s s h o u l d be a s s i g n e d , e t c . , e t c . As A c k o f f and R i v e t t c o n c l u d e :

"What o r i g i n a l l y appeared t o be a sim p l e and i s o l a t e d problem t u r n e d o u t t o be i n t e r c o n n e c t e d w i t h almost a l l o t h e r o p e r a t i n g problems o f t h e a i r l i n e . W i t h e x t e n s i o n o f t h e problem t h e s o l u t i o n s t o t h e p a r t s c o u l d be i n t e r r e l a t e d t o assure b e s t o v e r a l l performance. T h i s a v o i d e d a ' l o c a l 1 improvement which m i g h t r e s u l t i n o v e r a l l l o s s o f e f f i c i e n c y . "

Compare t h e a i r l i n e ' s case w i t h a r e p o r t o f C. S o f e r , a s o c i o l o g i s t who employs b e h a v i o r a l t e c h n i q u e s o f planned change as a s o c i a l c o n s u l t a n t t o a v a r i e t y o f o r g a n i z a t i o n s . A s m a l l f i r m c a l l e d upon him t o h e l p i n t h e s e l e c t i o n o f a s e n i o r manager.2 T h i s " p r e s e n t i n g symptom" l e d t o a s e r i e s o f d i s c l o s u r e s and c a u s a l mechanisms w h i c h Sofer uncovered d u r i n g a s e r i e s o f t a l k s and meetings w i t h t h e t o p management group. The case i t s e l f u n r a v e l l e d a c o m p l i c a t e d c a t ' s c r a d l e o f f a c t o r s i n c l u d i n g f a m i l y r e l a t i o n s h i p s (among t h e t o p management g r o u p ) , f a n t a s i e s and m i s t r u s t among members o f t h e management group, management and c a r e e r development, s e l e c t i o n p r o cedures, e t c . Sofer h e l p e d t h e f i r m overcome t h e s e problems t h r o u g h c o u n s e l l i n g , t h r o u g h d e v i s i n g new o r g a n i z a t i o n a l s t r u c t u r e s , t h r o u g h a t r a i n i n g program, and t h r o u g h d e v e l o p i n g improved s e l e c t i o n d e v i c e s , over a p e r i o d o f t h r e e y e a r s .

Op. cit. p. 304.

This example is taken from Sofer, C, THE ORGANIZATION FROM WITHIN, London, 1961.

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Both o f these cases r e q u i r e d t h e change agent o r c o n s u l t a n t t o go f a r beyond what was o r i g i n a l l y seen as t h e immediate problem i n t o a f i e l d of o t h e r v a r i a b l e s . V i s u a l i z i n g s i m i l a r a s s i s t a n c e i n d e v e l o p i n g c o u n t r i e s , where l e s s i s known about o r g a n i z a t i o n a l c h a r a c t e r i s t i c s and c u l t u r a l v a r i a b l e s a f f e c t i n g b e h a v i o r , emphasizes t h e need f o r r e s e a r c h which can be c o n v e r t e d t o knowledge f o r planned o r g a n i z a t i o n a l change i n these areas.

THE COLLABORATIVE RELATIONSHIP ANV USES OF POWER

We have s a i d e a r l i e r t h a t t h e process o f planned change i n v o l v e s a client system, and a change agent who works i n -collaboration w i t h t h i s system i n a p p l y i n g v a l i d knowledge and s k i l l s t o t he c l i e n t ' s p roblems. S e v e r a l aspects o f t h e c o l l a b o r a t i v e r e l a t i o n s h i p have a l r e a d y been d e s c r i b e d and i l l u s t r a t e d i n t h e p r e c e d i n g s e c t i o n comparing t h e methods o f t h e a p p l i e d b e h a v i o r a l s c i e n c e p r a c t i t i o n e r w i t h those o f t h e o p e r a t i o n s r e s e a r c h e r . The d e l i b e r a t e , planned c o l l a b o r a t i v e r e l a t i o n s h i p can a l s o be understood i n terms o f a d i s c u s s i o n o f a p p r o p r i a t e power and i n f l u e n c e r e l a t i o n s h i p s between change agent and c l i e n t system. For planned o r g a n i z a t i o n a l change d i f f e r s from o t h e r t y p e s o f s o c i a l change p r i m a r i l y i n t h e ways c o l l a b o r a t i o n i s d i s t i n g u i s h e d from o t h e r power r e l a t i o n s h i p s .

Here we are concerned o n l y w i t h s o c i a l power and i n f l u e n c e — one c l a s s o f power. P h y s i c a l .power i s n o t o f i n t e r e s t h e re. I n t h e b r o a d e s t sense, power has been d e f i n e d as t h e a b i l i t y t o cause changes i n e i t h e r t h e s o c i a l o r m a t e r i a l environment. I n p o l i t i c a l a n a l y s i s , power has been d e f i n e d as " t h e a b i l i t y t o overcome r e s i s t a n c e e i t h e r i n one's environment i n g e n e r a l , o r o f some s p e c i f i c o b s t a c l e , r i v a l o r opponent" (see Deutsch p a p e r ) . We d e f i n e s o c i a l power i n i n t e r p e r s o n a l o r p s y c h o l o g i c a l terms as "person A's a b i l i t y t o change person B's b e h a v i o r . " More p r e c i s e l y , A has power over B t o t h e e x t e n t he can g e t B t o do something t h a t B would n o t o t h e r w i s e do. S o c i a l power i s t h u s t h e a b i l i t y o f a person or a group o f persons t o change t h e p r o b a b i l i t y t h a t o t h e r s w i l l respond i n c e r t a i n ways t o c e r t a i n s t i m u l i . Power and i n f l u e n c e can be used as synonomous terms, a l t h o u g h i n f l u e n c e i s sometimes seen as th e dependent v a r i a b l e r e s u l t i n g from t h e e x e r c i s e o f power.

One m i g h t ask c o l l o q u i a l l y , "How come t h e change agent i s a b l e t o i n f l u e n c e t h e c l i e n t system? He does n o t have coercion ( t h r e a t o f punishment o r d e p r i v a t i o n ) and reward t o use as t h e f a m i l i a r " s t i c k and c a r r o t . " Nor does he u s u a l l y have authority power ( t h e sanct i o n e d a b i l i t y o f a r o l e occupant t o e x e r t power and deploy r e s o u r c e s ) . There are o t h e r sources, o r bases, o f power, however, which are a v a i l a b l e t o t h e change agent as w e l l as t o t h e c l i e n t system w i t h which a c o l l a b o r a t i v e r e l a t i o n s h i p o f w o r k i n g t o g e t h e r i s t o be e s t a b l i s h e d . Both can use t h e power t h a t stems a sense o f legitimacy ( t h e f e e l i n g t h a t i n f l u e n c e i s a p p r o p r i a t e and p r o p e r ) . The change agent (and, f o r t h a t m a t t e r , s t a f f as c o n t r a s t e d w i t h l i n e members o f an o r g a n i z a t i o n ) depends h e a v i l y on h i s expertness —

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t h e power t h a t comes from t h e c l i e n t system's r e c o g n i t i o n t h a t he has s p e c i a l knowledge, t r a i n i n g and s k i l l s . Another base o f power i s identification o r referent power. T h i s comes from t h e s u b t l e p a t t e r n s o f p e r s o n a l r e l a t i o n s h i p s i n v o l v i n g people's d e s i r e t o i d e n t i f y w i t h c e r t a i n o t h e r s , p e r s o n a l l o y a l t i e s , a d m i r a t i o n , and p e r s o n a l sympathy and l i k i n g (or d i s l i k i n g ) o t h e r s .

There may a l s o be a shared value power between change agent and c l i e n t system, d i s t i n g u i s h e d from i d e n t i f i c a t i o n or r e f e r e n t power. Most change agents ( i n Western c o u n t r i e s a t l e a s t ) e m i t cues t o t h e i r v a l u e system based on t h e i r c u l t u r a l n o t i o n o f a s c i e n t i f i c humanism, openness and hone s t y , f l e x i b i l i t y , c o o p e r a t i o n and t h e i d e a l s o f democracy. To-the e x t e n t t h e s e v a l u e s are made e x p l i c i t and shared by b o t h p a r t i c i p a n t s t h e y a r e a b a s i s f o r m u t u a l i n f l u e n c e . I t i s p a r t i c u l a r l y i m p o r t a n t i n any c r o s s - c u l t u r a l change e f f o r t t o have d i s c u s s i o n and agreement between change agent and c l i e n t system on t h e v a l u e o r i e n t a t i o n u n d e r l y i n g t h e c o l l a b o r a t i v e r e l a t i o n s h i p . T h i s s h o u l d h e l p t o a v o i d t h e f i c t i o n t h a t change agents are v a l u e - f r e e , and t h e m u t u a l d i s c o m f o r t which stems from any s u g g e s t i o n o f " i n t e l l e c t u a l o r v a l u e i m p e r i a l i s m " i f t h e change agent i s from a Western s o c i e t y .

As a frame f o r comparing a v a r i e t y o f change processes w i t h d i f f e r e n t assumptions about m u t u a l g o a l - s e t t i n g and t h e d i s t r i b u t i o n o f power, I l l u s t r a t i o n 4 p r e s e n t s a t y p o l o g y o f e i g h t p o s s i b i l i t i e s . Along t h e h o r i z o n t a l a x i s are shown two v a r i a b l e s , m u t u a l g o a l - s e t t i n g and d e l i b e r a t e n e s s o f change. Along t h e v e r t i c a l a x i s t h e d i s t r i b u t i o n o f power between t h e change agent and c l i e n t system i s shown. The .5/.5 power r a t i o i n d i c a t e s an equal d i s t r i b u t i o n i n which each p a r t y has t h e c a p a b i l i t y o f i n f l u e n c i n g t h e o t h e r . The 1/0 power r a t i o i n d i c a t e s an unequal power d i s t r i b u t i o n , where o n l y one p a r t y i s s u s c e p t i b l e t o i n f l u e n c e . I t s h o u l d be noted t h a t t h e t o t a l amount o f power b e i n g e x e r c i s e d i s n o t shown, and i t i s w e l l known t h a t t h e t o t a l amount o f power and i n f l u e n c e e x e r c i s e d w i t h i n an o r g a n i z a t i o n may be v e r y l a r g e , o r v e r y s m a l l . I t i s not a f i x e d amount. Not shown are t h e k i n d s o f power b e i n g e x e r t e d ; t h e power r a t i o s may r e f l e c t exchanges o f d i f f e r e n t k i n d s o f i n f l u e n c e between change agent and c l i e n t system. V a l i d knowledge on t h e p a r t o f b o t h t h e change agent and t h e c l i e n t system i s , f o r t h e p r e s e n t , subsumed under "mutual g o a l - s e t t i n g . "

Planned change e n t a i l s m u t u a l g o a l s e t t i n g , an equal p o w e r - r a t i o ( e v e n t u a l l y ) and d e l i b e r a t e n e s s on t h e p a r t o f b o t h s i d e s .

Indoctrination i n v o l v e s m u t u a l g o a l s e t t i n g and i s d e l i b e r a t e , b u t i n v o l v e s an imbalanced p o w e r - r a t i o . Many s c h o o l s , p r i s o n s and me n t a l h o s p i t a l s or o t h e r " t o t a l i n s t i t u t i o n s " f a l l * i n t o t h i s c a t e g o r y .

Coercive change i s c h a r a c t e r i z e d by non-mutual g o a l s e t t i n g , an imbalanced p o w e r - r a t i o , and o n l y one-sided d e l i b e r a t e n e s s . C o e r c i v e

303

I l l u s t r a t i o n 4 TYPOLOGY OF CHANGE PROCESSES

COLLABORATIVE NON-COLLABO RATIVE

Mu t u a l g o a l s e t t i n g Goals s e t by o n l y one or n e i t h e r s i d e

Power R a t i o

d e l i b e r a t e on t h e p a r t o f one o r b o t h s i d e s o f t he r e l a t i o n s h i p

n o n - d e l i b e r a t e on t h e p a r t o f b o t h s i d e s

d e l i b e r a t e on t h e p a r t o f one s i d e o f t h e r e l a t i o n s h i p

n o n - d e l i b e r a t e on t h e p a r t o f b o t h s i d e s

.5/. 5 Planned InteractionaI Technocratic NaturaI

1/0 Indoctrina-tionaI Socialization Coercive Emulative

change, as we are u s i n g t h e t e r m , may be e x e m p l i f i e d by t h e t h o u g h t -c o n t r o l and "b r a i n w a s h i n g " p r a c t i c e s o f t h e Chinese .1

Technocratic change may be d i s t i n g u i s h e d from planned change by the n a t u r e o f t h e g o a l s e t t i n g . The use o f t e c h n o c r a t i c means t o b r i n g about change, t h e n , f o l l o w s p r i m a r i l y an " e n g i n e e r i n g " model: t h e c l i e n t d e f i n e s h i s d i f f i c u l t i e s as d e r i v i n g from inadequate knowledge and assumes t h a t t h i s l a c k o f knowledge i s a c c i d e n t a l o r a m a t t e r o f n e g l e c t — n o t something t h a t i s f u n c t i o n a l t o t h e system i t s e l f . The t e c h n o c r a t c o l l u d e s i n t h i s assumption and me r e l y makes and r e p o r t s h i s f i n d i n g s . 5

Schein, E.H., Schneider, I., and Baker, C.H., COERCIVE PERSUASION: A SOCIO-PSYCH0L0GICAL ANALYSIS OF THE "BRAINWASHING" OF AMERICAN CIVILIAN PRISONERS BY THE CHINESE COMMUNISTS, Norton, N.Y., 1961. The distinction between INDOCTRINATION and COERCIVE changes are complex. When all is said and done, hospital administrators and POW commandants may employ similar processes and techniques. There are probably more similarities than would appear obvious between forms of "acceptable" social influences, such as psychotherapy or teaching, and "unacceptable" forms, such as "brainwashing." This paradigm, like all others, creates an ideal and abstract model to which empirical occurrences do not neatly conform. See the typology of change process: Bennis, Benne, and Chin, op. cit., 154.

For a full discussion of the technocrate as change agent, see Gouldner, A.W., "Engineering and Clinical Approaches to Consulting," in Bennis, Benne and Chin, Ibid., 643-653.

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Interactional change i s c h a r a c t e r i z e d by m u t u a l g o a l s e t t i n g , a f a i r l y e q u a l power d i s t r i b u t i o n , b u t no d e l i b e r a t e n e s s on e i t h e r s i d e o f t h e r e l a t i o n s h i p . ( U n c o n s c i o u s l y , e i t h e r may be committed t o changing t h e o t h e r i n some d i r e c t i o n . ) Such changes can be observed among good f r i e n d s , m a r r i e d c o u p l e s , and i n v a r i o u s o t h e r n o n - d e l i b e r a t e t r a n s a c t i o n s among people. Change does occur i n such r e l a t i o n s h i p s , p o s s i b l y w i t h b e n e f i c i a l e f f e c t s , b u t t h e r e i s a l a c k o f s e l f - c o n s c i o u s n e s s about i t , t h u s a l a c k o f any d e f i n i t e change a g e n t - c l i e n t system r e l a t i o n s h i p .

Socialization change has a d i r e c t k i n s h i p w i t h h i e r a r c h i c a l c o n t r o l s . P a r e n t - c h i l d r e l a t i o n s h i p s would be the most obvious example, a l though t h e counselor-camper, t e a c h e r - p u p i l r e l a t i o n s h i p would a l s o be a p p l i c a b l e h e re.

Emulative change t a k e s p l a c e f o r t h e most p a r t i n f o r m a l o r g a n i z a t i o n s where t h e r e i s a c l e a r - c u t s u p e r i o r - s u b o r d i n a t e r e l a t i o n s h i p . Change i s b r o u g h t about t h r o u g h i d e n t i f i c a t i o n w i t h and e m u l a t i o n o f t h e "power f i g u r e s " by t h e s u b o r d i n a t e .

Natural change r e f e r s t o t h a t c l a s s o f changes b r o u g h t about w i t h no ap p a r e n t d e l i b e r a t e n e s s and no g o a l s e t t i n g on t h e p a r t o f t h o s e i n v o l v e d i n i t . P r i m a r i l y i t i s a r e s i d u a l c a t e g o r y encompassing a l l a c c i d e n t s , " q u i r k s o f f a t e , " u n a n t i c i p a t e d consequences, spontaneous i n n o v a t i o n s , e t c .

T h i s t y p o l o g y i s crude: i n n a t u r e we can r a r e l y observe these change processes e x e m p l i f i e d so n e a t l y . I n a d d i t i o n , t h e d i s t i n c t i o n s made i n i t are somewhat a r b i t r a r y and c e r t a i n l y n o t a l l - i n c l u s i v e .

Two o t h e r p o i n t s need emphasis i n t h i s d i s c u s s i o n o f uses o f power i n t h e s o u g h t - f o r c o l l a b o r a t i v e r e l a t i o n s h i p between change agent and c l i e n t system. F i r s t , power r e l a t i o n s h i p s are u s u a l l y q u i t e complex. For example, t h e use o f c o e r c i v e power u s u a l l y a f f e c t s a d v e r s e l y t h e a t t r a c t i o n between i n d i v i d u a l s , whereas i d e n t i f i c a t i o n , e x p e r t i s e and v a l u e power a r e u s u a l l y c o n s i s t e n t w i t h s t r o n g p o s i t i v e m u t u a l i n f l u e n c e . A c o l l a b o r a t i v e r e l a t i o n s h i p stands o r f a l l s on t h e s k i l l e d use o f power and i n f l u e n c e by both p a r t i e s . Secondly, we r e p e a t t h a t an e s s e n t i a l f e a t u r e o f c o l l a b o r a t i o n i s t h a t t h e c l i e n t system i s encouraged t o develop i t s own d i a g n o s t i c and p r o b l e m - s o l v i n g c a p a b i l i t y w i t h h e l p f r o m , b u t n o t e x c e s s i v e o r c o n t i n u i n g dependence on t h e ABS p r a c t i t i o n e r , from o u t s i d e . When t h e c l i e n t system has s u f f i c i e n t l y developed these c a p a b i l i t i e s , c o l l a b o r a t i o n c o n t i n u e s among members o f t h e o r g a n i z a t i o n w i t h o u t t h e need f o r an e x t e r n a l change agent. What has been s a i d about t h e uses o f power and i n f l u e n c e t h e n a p p l i e s i n t e r n a l l y w i t h i n t h e o r g a n i z a t i o n .

305

S P E C I F I C A T I O N OF GOALS FOR ORGANIZATION VEVELOVIAEUT

Up t o t h i s p o i n t we have used t h e terms s o c i a l change i n o r g a n i z a t i o n s — o r g a n i z a t i o n a l development — r a t h e r l o o s e l y . L e t us be more s p e c i f i c about what makes i n c r e a s e d o r g a n i z a t i o n a l e f f e c t i v e ness from t h e b e h a v i o r a l v i e w p o i n t . We are n o t here concerned w i t h improvements r e s u l t i n g from new t e c h n o l o g y , from a d d i t i o n a l c a p i t a l or f r o m s t r u c t u r a l rearrangements, a l t h o u g h as p o i n t e d out elsewhere i n t h i s paper, these o t h e r t y p e s o f changes are i m p o r t a n t and u s u a l l y r e q u i r e b e h a v i o r a l a d a p t a t i o n . O r g a n i z a t i o n development i n c l u d e s :

a. E f f e c t i n g a change i n v a l u e s , so t h a t f e e l i n g s and s i m i l a r n o n - i n t e l l e c t u a l e x p r e s s i o n s come t o be c o n s i d e r e d a l e g i t i m a t e p a r t o f o r g a n i z a t i o n l i f e . T h i s means s t r e s s i n g openness r a t h e r t h a n s e c r e c y , c o l l a b o r a t i o n r a t h e r t h a n dependence, c o o p e r a t i o n r a t h e r t han c o m p e t i t i o n , consensus r a t h e r t h a n i n d i v i d u a l r u l e , and a u t h e n t i c r e l a t i o n s h i p s r a t h e r t han those based on p o l i t i c a l maneuvering.

b. I m p r o v i n g the p e r s o n a l s k i l l s , t h e r e l e v a n t o r g a n i z a t i o n a l knowledge, and p a r t i c u l a r l y t h e i n t e r p e r s o n a l competence of managers.

c. Developing i n c r e a s e d u n d e r s t a n d i n g w i t h i n and among w o r k i n g groups i n o r d e r t o reduce d y s f u n c t i o n a l i n d i v i d u a l t e n s i o n .

d. Developing more e f f e c t i v e methods o f c o n f l i c t r e s o l u t i o n focussed on j o i n t p r o b l e m - s o l v i n g r a t h e r t h a n on s u p p r e s s i o n or d e n i a l t h a t problems e x i s t .

e. Developing "team management" i n which more o f each group's re s o u r c e s a r e e f f e c t i v e l y used f o r t h e o r g a n i z a t i o n ' s problems.

f . V i e w i n g t h e o r g a n i z a t i o n as an o r g a n i c system o f r e l a t i o n s h i p s which t e n d t o work b e s t when marked by mutual t r u s t , m u t u a l s u p p o r t , open communications, interdependence and m u l t i - g r o u p membership o f i n d i v i d u a l s , and a h i g h degree o f p e r s o n a l commitment.

The i n t e r m e d i a t e r e s u l t s o f o r g a n i z a t i o n development a c t i v i t i e s o f t h e s e k i n d s i n c l u d e improvements i n a t t i t u d e s , m o r a l e , p e r s o n a l s a t i s f a c t i o n , and a d e c l i n e i n absentee r a t e s , s i c k n e s s and a c c i d e n t r a t e s , and p e r s o n a l t u r n o v e r . The i n c i d e n c e o f c r e a t i v i t y and i n n o v a t i o n i s a l s o l i k e l y t o r i s e .

306

I n c r e a s e d o r g a n i z a t i o n a l e f f e c t i v e n e s s a l s o l e a d s t o , and i s u l t i m a t e l y measured by:

a. G r e a t e r c a p a c i t y and f l e x i b i l i t y i n a d a p t i n g t o changing environment.

b. Higher p r o d u c t i v i t y , lower c o s t s , and u l t i m a t e l y ,

c. G r e a t e r s e r v i c e s ( f o r government and v o l u n t a r y o r g a n i z a t i o n s ) , h i g h e r p r o f i t s ( f o r business o r g a n i z a t i o n s ) •

These aims o f o r g a n i z a t i o n development can, a t d i f f e r e n t l e v e l s , a l s o be d e s c r i b e d as t h e normal g o a l s o f b e h a v i o r a l change agents.

METHODS AMD INTERVENTIONS

I n t h e l i g h t o f t h e n o r m a t i v e g o a l s o f t h e b e h a v i o r a l s c i e n c e p r a c t i t i o n e r s and t h e t y p e s o f problems w i t h which t h e y are concerned i t i s n o t s u r p r i s i n g t h a t t h e r e a r e r e l a t i v e l y few t y p e s o f change programs, o u t o f a much l a r g e r g e n e r a l range, which are employed by these change agents. T h e i r methods and i n t e r v e n t i o n s are t h r o u g h t h e use o f human r e s o u r c e s and s o c i a l t e c h n o l o g i e s i n amounts, p a t t e r n s and sequences t o reach t h e agreed-upon g o a l s .

E i g h t g e n e r a l t y p e s o f change programs have been d e s c r i b e d which seek t o a p p l y knowledge f o r s o c i a l l y d e s i r a b l e purposes. 2 These are (1) e x p o s i t i o n and p r o p a g a t i o n , (2) e l i t e corps development, (3) human r e l a t i o n s t r a i n i n g , (4) s t a f f programs, (5) s c h o l a r l y c o n s u l t a t i o n , (6) c i r c u l a t i o n o f ideas t o t h e e l i t e , (7) de v e l o p m e n t a l r e s e a r c h and (8) a c t i o n r e s e a r c h . Most o f these s t r a t e g i e s r e l y a l m o s t t o t a l l y on r a t i o n a l i t y ; none o f them a l l o w p a r t i c i p a n t s i n t h e c l i e n t system t o "work t h r o u g h " t h e f e a r s and w o r r i e s t h a t are u s u a l l y i n v o l v e d i n any s i g n i f i c a n t change which c a l l s f o r rearrangement o f p a t t e r n s o f power, a s s o c i a t i o n , s t a t u s , s k i l l s and v a l u e s . Thus, these e i g h t t y p e s o f programs have i n h e r e n t weaknesses t h a t do n o t make them v e r y s u i t a b l e f o r im p l e m e n t i n g b e h a v i o r a l changes i n o r g a n i z a t i o n s .

There are t h r e e broad t y p e s o f programs o r processes t h a t are most w i d e l y used, f r e q u e n t l y i n c o m b i n a t i o n , w i t h success by b e h a v i o r a l change agents w o r k i n g w i t h o r g a n i z a t i o n a l c l i e n t systems: t r a i n i n g , c o n s u l t a t i o n , and a p p l i e d r e s e a r c h i n v o l v i n g feedback. T r a i n i n g i n t h e meaning used h e r e , i s n o t s i m p l y " d r i l l " and " e x e r c i s e , " b u t i s one o r a n o t h e r form o f what i s c a l l e d l a b o r a t o r y t r a i n i n g , s e n s i t i v i t y o r group dynamics t r a i n i n g i n what are commonly c a l l e d -T-groups.

Benhis, W. G. "A New Role for the Behavioral Sciences: Effecting Organisational Change," Admin. Sci. Quart. 1963, 8, 125-165.

307

a. Training, T r a i n i n g o f t h e T-group v a r i e t y was s t a r t e d i n 1947 i n B e t h e l , Maine, w i t h L e l a n d B r a d f o r d p l a y i n g a c e n t r a l r o l e i n t h i s development as d i r e c t o r o f t h e N a t i o n a l T r a i n i n g L a b o r a t o r i e s - Growth has been f a c i l i t a t e d t h r o u g h t h e a c t i v e p a r t i c i p a t i o n o f a number o f u n i v e r s i t y - b a s e d b e h a v i o r a l s c i e n t i s t s and p r a c t i t i o n e r s . T a v i s t o c k I n s t i t u t e has p l a y e d a s i m i l a r r o l e i n England- R e c e n t l y a group o f European b e h a v i o r a l s c i e n t i s t s have s e t up a c o u n t e r p a r t t o t h e N a t i o n a l T r a i n i n g L a b o r a t o r i e s , and T-group t r a i n i n g has spread t o A f r i c a , t h e M i d d l e East and o t h e r l e s s developed r e g i o n s .

The main o b j e c t i v e o f l a b o r a t o r y t r a i n i n g a t f i r s t was p e r s o n a l change o r s e l f i n s i g h t , w h i l e s i n c e t h e l a t e f i f t i e s t h e emphasis has s h i f t e d t o o r g a n i z a t i o n a l development , p a r t i c u l a r l y i n b u s i n e s s o r g a n i z a t i o n s , which a r e making wide use o f t h i s form o f t r a i n i n g .

B r i e f l y , l a b o r a t o r i e s o f t h e T-group type u n f o l d i n an u n s t r u c t u r e d group s e t t i n g where p a r t i c i p a n t s examine t h e i r i n t e r p e r s o n a l r e l a t i o n s h i p s . By a n a l y z i n g data g e n e r a t e d by themselves, and w i t h t h e h e l p o f a s k i l l e d t r a i n e r , p a r t i c i p a n t s b e g i n t o u n d e r s t a n d the dynamics o f group b e h a v i o r , e.g. d e c i s i o n - m a k i n g processes, l e a d e r s h i p and i n f l u e n c e , communication d i s t o r t i o n s , m o t i v a t i o n a l f o r c e s , t h e e f f e c t s o f a u t h o r i t y and o f group norms on b e h a v i o r a l p a t t e r n s and i n d i v i d u a l c o p i n g mechanisms.

Another t y p e o f l a b o r a t o r y t r a i n i n g program, or workshop, i s c a l l e d t h e "Managerial G r i d " system. T h i s was developed by Robert B l a k e , one o f t h e e a r l y T-group t r a i n e r s i n t h e U n i t e d S t a t e s , as an a l t e r n a t e method f o r encouraging managers o f b u siness and o t h e r o r g a n i z a t i o n s t o examine t h e i r own o p e r a t i o n a l s t y l e s and t o i n c r e a s e t h e i r d e s i r e d m a n a g e r i a l s k i l l s . Widely used i n t h e U n i t e d S t a t e s , Canada, and more r e c e n t l y i n Europe, t h i s a n a l y t i c a l framework o f m a n a g e r i a l s t y l e s p r o v i d e s a more s t r u c t u r e d approach t h a n does the T-group, b u t seems n e v e r t h e l e s s t o c o n t a i n t h e i n g r e d i e n t s o f h i g h p a r t i c i p a n t i n v o l v e m e n t and use o f p a r t i c i p a n t d a t a w h ich makes f o r r e a l l e a r n i n g about s e l f , group, and o r g a n i z a t i o n a l b e h a v i o r . Blake and h i s c o l l e a g u e s have, moreover, designed s i x d i s t i n c t phases o f t h e i r change program: (1) i n t r o d u c t o r y t h e o r y and e x p e r i m e n t s , (2) team t r a i n i n g , (3) i n t e r g r o u p i n t e g r a t i o n and l i n k i n g , (4) p l a n n e d change and g o a l s e t t i n g , (5) r e a l i z i n g t h e o r g a n i z a t i o n a l g o a l s and (6) s t a b i l i z i n g t h e changes.

There are a l s o a number o f o t h e r t y p e s o f l a b o r a t o r y t r a i n i n g programs, i n c l u d i n g T-group v a r i a t i o n s , t h a t r e f l e c t t h e s t y l e o f t h e b e h a v i o r a l s c i e n c e t r a i n e r and t h e themes which he c o n s i d e r s most r e l e v a n t i n p a r t i c u l a r s i t u a t i o n s .

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b. Consulting. I n t h i s t y p e o f change program, t h e b e h a v i o r a l change agent a c t s i n a more c l i n i c a l r o l e , s t a r t i n g w i t h t h e c h i e f " p r e s e n t i n g symptom" o f the c l i e n t , a r t i c u l a t i n g i t i n v a r i o u s ways w i t h t h e c l i e n t system so t h a t c a u s a l and u n d e r l y i n g mechanisms o f t h e problem are u n d e r s t o o d , and t h e n encouraging and h e l p i n g t h e c l i e n t system t o t a k e r e m e d i a l a c t i o n . As mentioned e a r l i e r , t h e ABS p r a c t i t i o n e r , as c o n s u l t a n t , does n o t c o n s i d e r h i s t a s k s u c c e s s f u l l y completed when h i s recommendations ( i f any) are r e p o r t e d and accepted. He would r a t h e r have t h e c l i e n t system see and agree on t h e o p t i m a l s o l u t i o n as i t s own. Thus, he works w i t h a p s y c h i a t r i c model o f h e l p i n g t h e c l i e n t h e l p h i m s e l f a f t e r c o n f r o n t i n g h i s own b e h a v i o r i n a d i f f e r e n t p e r s p e c t i v e , as c o n t r a s t e d t o t h e p h y s i c i a n o r t h e t r a d i t i o n a l management c o n s u l t a n t , whose e x p e r t a d v i c e i s g i v e n e i t h e r f o r acceptance or r e j e c t i o n . The change agent uses h i m s e l f as a role model t o d e f i n e and r e c o n c e p t u a l i z e t h e problem, t r y i n g t o e x p l o i t e v e r y encounter w i t h t h e c l i e n t system t o h e l p i t see " r e a l i t y " i n t h e c l e a r e s t way. And he uses s i t u a t i o n s as t h e y develop s p o n t a n e o u s l y , f o r i n f o r m a t i o n about t h e p r o g r e s s o f change, and t o h e l p t h e c l i e n t system work t h r o u g h t h e t e n s i o n s and r e s i s t a n c e s t h a t a r i s e .

The l o g i c f o r t h e c o n s u l t i n g approach o f t h e ABS p r a c t i t i o n e r i s t h a t r a t i o n a l knowledge about something does n o t a u t o m a t i c a l l y l e a d t o i n t e l l i g e n t r a t i o n a l a c t i o n , p a r t i c u l a r l y when p e r s o n a l f e e l i n g s and r e l a t i o n s h i p s are i n v o l v e d . Such a c t i o n r e q u i r e s i n d i v i d u a l and group commitment and p e r s o n a l u n d e r s t a n d i n g ; these i n t u r n come more e a s i l y w i t h d i r e c t i n v o l v e m e n t o f c l i e n t system members i n t h e d i a g n o s i s o f t h e problems, and s k i l l f u l use o f b e h a v i o r a l d a t a o b t a i n e d from t h e p a r t i c i p a n t s . The c l i e n t system must convince i t s e l f , u s i n g i t s own i n f o r m a t i o n b u t a s s i s t e d by t h e b e h a v i o r a l c o n s u l t a n t i n w o r k i n g t h r o u g h t o problem s o l u t i o n s .

c. Applied research. We use t h e t e r m here t o mean r e s e a r c h n o t o n l y aimed a t t h e s o l u t i o n o f a p a r t i c u l a r problem, b u t t h a t i n which t h e r e s u l t s are used s y s t e m a t i c a l l y as an intervention f o r change d u r i n g t h e problem d i a g n o s i s and p r o b l e m - s o l v i n g processes. Thus the c o l l e c t i o n and use o f b e h a v i o r a l d a t a from t h e c l i e n t system, d e s c r i b e d as p a r t o f c o n s u l t i n g ( a b o v e ) , merges i n t o a p p l i e d r e s e a r c h where t h e focus i s more h e a v i l y on t h e s y s t e m a t i c c o l l e c t i o n o f d a t a , u s u a l l y by means o f s u r v e y s .

The i n t e r v e n t i o n which uses d a t a from t h e c l i e n t system i s c a l l e d feedback. The survey feedback approach, developed p r i m a r i l y by F l o y d Mann and h i s a s s o c i a t e s a t t h e U n i v e r s i t y o f M i c h i g a n , p r o v i d e s f o r sessions where d a t a o b t a i n e d from s u b j e c t s i n t h e c l i e n t system a r e r e v i e w e d

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and d i s c u s s e d . The r e s e a r c h r e s u l t s , o f t e n p e r m i t t i n g p a r t i c i p a n t s t o compare themselves w i t h o t h e r groups i n a n o n - t h r e a t e n i n g way, serve t o a c t i v a t e p e r s o n a l i n v o l v e ment and t o encourage p a r t i c i p a t i o n i n change programs.

I t s h o u l d be s t r e s s e d t h a t most planned change i n d u c t i o n s i n v o l v e a l l t h r e e processes — t r a i n i n g , c o n s u l t i n g , r e s e a r c h i n g — and t h a t b o t h change agents and members o f c l i e n t systems p l a y a v a r i e t y o f r o l e s i n w o r k i n g t o g e t h e r . Among t h e f a c t o r s t h a t d e t e r m i n e t h e n a t u r e o f a p a r t i c u l a r i n t e r v e n t i o n a r e : c o s t , t i m e , degree o f c o l l a b o r a t i o n r e q u i r e d , s t a t e o f t h e t a r g e t system and the s t y l e o f t h e change agent.

INTERVENTIONS FOR ORGANIZATIONAL DEVELOPMENT

We have touched on t h e c h a r a c t e r i s t i c s o f t h e b e h a v i o r a l s c i e n t i s t o r b e h a v i o r a l change agent, and t h r e e t y p e s o f change approaches. The s p e c i f i c k i n d s o f i n t e r v e n t i o n s made by such change agents have been a n a l y z e d by Blake and Mouton 2 who l i s t n i n e which f a c i l i t a t e o r g a n i z a t i o n a l development:

1. D i s c r e p a n c y d i a g n o s i s - c a l l i n g a t t e n t i o n t o a c o n t r a d i c t i o n i n a c t i o n o r a t t i t u d e s .

2. Theory r e v i e w - d e s c r i b i n g r e s e a r c h f i n d i n g s or see k i n g conc e p t u a l u n d e r s t a n d i n g which h e l p a c l i e n t system g a i n p e r s p e c t i v e .

3. P r o c e d u r a l c r i t i q u e - examining e x i s t i n g methods o f s o l v i n g problems and c o n s i d e r i n g o t h e r methods.

4. E x p e r i m e n t a t i o n - s e t t i n g up comparisons and t e s t i n g s e v e r a l a c t i o n s before a d e c i s i o n i s made.

5. Dilemma p r o b i n g - i d e n t i f y i n g s i g n i f i c a n t c h o i c e p o i n t s o r e x i g e n c i e s i n problem s o l v i n g , a t t e m p t i n g t o understand t h e u n d e r l y i n g assumptions and s e a r c h i n g f o r a l t e r n a t i v e s .

6. P e r s p e c t i v e - a t t e m p t i n g t o p r o v i d e s i t u a t i o n a l and h i s t o r i c a l u n d e r s t a n d i n g o f problems t h r o u g h a detached s t u d y .

7. S t r u c t u r e e x a m i n a t i o n - i d e n t i f y i n g sources o f problems where bound i n t h e s t r u c t u r e and o r g a n i z a t i o n a l arrangements.

8. R e l a t i o n s h i p s - f o c u s s i n g a t t e n t i o n on t e n s i o n s growing o u t o f gro u p and i n t e r p e r s o n a l r e l a t i o n s h i p s .

Blake, R. R. and Mouton, J. S., "A 9,9 Approach to Organization Development" in Zand, D. (ed) ORGANIZATION DEVELOPMENT: THEORY AND PRACTICE, in Press for 1966.

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9, C u l t u r a l - examining t h e e f f e c t o f t r a d i t i o n s , h a b i t s and o r g a n i z a t i o n a l methodology on problems.

These i n t e r v e n t i o n s can be, and a r e , used i n t r a i n i n g , c o n s u l t i n g o r a p p l i e d r e s e a r c h on t h e processes o f human i n t e r a c t i o n w i t h i n o r g a n i z a t i o n s .

COMCLUVlblG COMMENTS A good d e a l i s known about some aspects o f s o c i a l change i n an o r g a n i z a t i o n a l c o n t e x t , and n o t n e a r l y enough i s known about o t h e r f e a t u r e s o f t h e processes t h a t are i n v o l v e d , p a r t i c u l a r l y i n o r g a n i z a t i o n s i n d e v e l o p i n g n a t i o n s .

B e h a v i o r a l knowledge i s s u b s t a n t i a l on such s u b j e c t s as p e r c e p t i o n , m o t i v a t i o n and t h e f o r m a t i o n o f a t t i t u d e s and o p i n i o n s , d e a l i n g l a r g e l y w i t h t h e i n d i v i d u a l i n s o c i a l c o n t e x t — t h e m i c r o u n i t i n s o c i a l change.

A g r e a t d e a l i s known about s m a l l groups and t h e dynamics o f r e l a t i o n s h i p s among members ( a l t h o u g h most o f t h i s work has been done i n Western s o c i e t i e s ) . Small groups are a key l i n k between m i c r o and l a r g e r s o c i a l systems.

Reference has been made t o t h e g r o wing knowledge o f t h e a d o p t i o n process whereby i n d i v i d u a l s and groups p r o g r e s s t h r o u g h a s e r i e s o f stages b e f o r e f i n a l l y a c c e p t i n g an i n n o v a t i o n . We know t h a t acceptance o r r e s i s t a n c e i s c o n d i t i o n e d by a l a r g e number o f f a c t o r s i n c l u d i n g t h e p e r c e i v e d q u a l i t y and the e x t e n t o f a n x i e t y - p r o d u c t i o n o f t h e proposed change, t h e degree o f t r u s t and c o n f i d e n c e i n t h e source o f t h e change, t h e amount o f i n f o r m a t i o n a v a i l a b l e about i t s p r o b a b l e e f f e c t s , t h e e x t e n t o f t h e c o l l a b o r a t i v e r e l a t i o n s h i p i n v o l v e d , and so on.

We know much l e s s about s y s t e m a t i c d e s i g n i n g and " s o c i a l e n g i n e e r i n g " by which p r i n c i p l e s o f human b e h a v i o r can be a p p l i e d t o p l a n n i n g and i m p l e m e n t i n g s o c i a l change i n p a r t i c u l a r s i t u a t i o n s . T h i s r e f l e c t s b o t h t h e e x i s t i n g i n a d e q u a c i e s i n s o c i a l change t h e o r y and a l s o our l a c k o f e x p e r i e n c e i n s o c i a l development o r a p p l i c a t i o n and e x p e r i m e n t a t i o n . S i m i l a r l y , we know f a r t o o l i t t l e about t h e i n t e r l o c k i n g and s t a b i l i z i n g o f change programs w i t h i n p a r t s o f a l a r g e s o c i a l u n i t so t h a t t h e t o t a l s o c i a l system i s d e s i r a b l y a f f e c t e d .

We b e l i e v e , however, t h a t f u r t h e r p r o g r e s s t o w a r d i m p l e m e n t a t i o n o f p o s i t i v e s o c i a l change i n o r g a n i z a t i o n s w i l l c o n t i n u e t o depend on (1) t h e c r e a t i o n o f u n d e r s t a n d i n g and commitment toward a p a r t i c u l a r change on t h e p a r t o f t h e c l i e n t system, (2) change e f f o r t s which are s e l f - m o t i v a t e d and v o l u n t a r y , (3) m u t u a l i n f l u e n c e on g o a l s and methods, (4) t h e r e c o g n i t i o n t h a t s o c i a l change programs i n v o l v e e m o t i o n a l and v a l u e as w e l l as c o g n i t i v e ( i n f o r m a t i o n a l ) elements, and (5) t h e use o f p r o f e s s i o n a l l y q u a l i f i e d change agents whose a c t i v i t i e s are congruent w i t h these p r i n c i p l e s .

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C o n c e p t u a l l y , i t seemed p o s s i b l e t o v i s u a l i z e a m i n i s t r y o f h e a l t h as i t s e l f a t e c h n i c a l l y s p e c i a l i z e d change agent w o r k i n g w i t h i t s c l i e n t system, t h e p o p u l a t i o n o f t h e c o u n t r y .

2. ROLE MODEL AMP S E L F - I M A G E R Y L e r n e r sensed i n t h e paper a deep e p i s t e m o l o g i c a l and m e t h o d o l o g i c a l problem i n t h e a u t h o r ' s concern w i t h how t o l e a r n , i n a s y s t e m a t i c and s c i e n t i f i c way, t o produce changes r a p i d l y i n t h e d i r e c t i o n one p r e f e r s and f o r e c a s t s . T h i s problem comes from t h e use o f s e l f as an o b j e c t o f i n q u i r y , and from t h e change agent as a r o l e model. Human i n t e r a c t i o n s are mentioned i n t h e paper as a source o f d a t a -t h e i n d i c a t o r s o f b o t h changing and e v a l u a t i n g f u t u r e i n t e r a c t i o n , u s i n g t h e s e l f as o b j e c t , i n a sense. How can a person a c t m e t h o d o l o g i c a l l y as a s c i e n t i f i c o b s e r v e r a t t h e same time he i s a c t i v e l y engaged as a p a r t i c i p a n t i n t h e experiment o r process? There i s a problem because we have in a d e q u a t e concepts and t e c h n i q u e s f o r t h e c o n t e m p l a t i o n o f dual-purpose p e r s o n a l i n t e r a c t i o n s . The change agent, as d e s c r i b e d , does n o t become a r o l e model t o encourage o t h e r s , b u t t o observe o t h e r s i n a b e t t e r way. L e r n e r knew t h e a u t h o r s were aware o f these problems which have t o be w r e s t l e d w i t h i f we are t o have i n d u c e d , planned and a c c e l e r a t e d changes.

Bennis agreed t h a t t h e change agent has d i f f i c u l t y keeping a p e r s p e c t i v e on t h e e f f e c t s o f h i s own i n v o l v e m e n t ; he i s d e l i b e r a t e l y t r y i n g t o i n f l u e n c e o t h e r s t h r o u g h t h e power o f e x p e r t knowledge, and t r y i n g t o l e a r n from and be i n f l u e n c e d by the c l i e n t system i n a s i t u a t i o n o f r e l a t i v e l y e q ual power. Bennis made a rough analogy t o p s c h o a n a l y s i s where t h e a n a l y s t has t o use a d u a l r e f e r e n t . Being an a u t h o r i t y f i g u r e as a d o c t o r and t r y i n g a l s o t o i n t e r a c t as an i n d i v i d u a l w i t h t h e p a t i e n t , he uses t h e d u a l r o l e p r e r e q u i s i t e s t o b r i n g o u t i n f o r m a t i o n , i n c l u d i n g f a n t a s i e s .

S t e i n o f f e r e d t h e p o s s i b i l i t y t h a t t h e r o l e s o f t h e change agents c o u l d be f u r t h e r c o d i f i e d i n t o a c t i v i t i e s . o f t a l k i n g , s t u d y i n g , p e r s u a d i n g , g i v i n g a d v i c e and t h e l i k e . B e r l o f e l t t h a t t h e model p r e s e n t e d was e s s e n t i a l l y one o f communication and i n f l u e n c e , p r o v i d i n g a c l o s e l i n k t o a n o t h e r symposium devoted t o these s u b j e c t s . He was more concerned t h a t o t h e r papers had n o t g i v e n s u f f i c i e n t e x p l i c a t i o n o f communications systems and processes, and wanted more d i s c u s s i o n o f t h e s t r a t e g i e s o f communicating change w i t h i n a g e n e r a l framework o f communication and i n f l u e n c e . I t seemed t o him t h a t t h e b e h a v i o r a l model f o r changing o r g a n i z a t i o n s , r e c o g n i z i n g t h e d i f f i c u l t i e s o f changing people who don't want t o be changed, focusses on t r a n s f o r m i n g t h e c l i e n t system i n t o one more amenable t o t h e change methods known t o t h e change agent.

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3. PROBLEMS OF CHANGING- CLIENT S Y S T E M S S t e i n r e p o r t e d g e t t i n g t h e i m p r e s s i o n from t h e paper t h a t e v e r y s i t u a t i o n o r c l i e n t system i s amenable t o change, and q u e s t i o n e d whether t h i s was so. He compared t h e change agent's r o l e t o t h a t o f t h e t h e r a p i s t i n p s y c h o t h e r a p y , and p o i n t e d o u t t h a t some i n d i v i d u a l s appear b a s i c a l l y unchangeable.

B e r l o f e l t t h a t b r i n g i n g about o r g a n i z a t i o n a l change w i t h t h e h e l p o f a p r o f e s s i o n a l l y t r a i n e d change agent was u s u a l l y an expensive p r o c e s s , and wondered how t h e b e n e f i t s o f change, i n terms o f t h e i r magnitude and d u r a b i l i t y , c o u l d be e v a l u a t e d .

Bennis agreed t h a t n o t a l l o r g a n i z a t i o n a l s i t u a t i o n s can be subs t a n t i a l l y changed, b u t t h a t t h e c l i e n t system, l i k e t h e i n d i v i d u a l s e e k i n g t h e r a p y , decides t h a t i t o r he wants t o change, which i n c r e a s e s t h e p r o b a b i l i t y t h a t changes w i l l r e s u l t .

W i t h r e s p e c t t o e v a l u a t i n g t h e c o s t s and b e n e f i t s o f o r g a n i z a t i o n change programs, Bennis mentioned t h a t a b i b l i o g r a p h y o f e v a l u a t i o n s t u d i e s had been p u b l i s h e d . He f e l t q u i t e s a t i s f i e d w i t h e v a l u a t i o n r e s e a r c h on i n d i v i d u a l change, b u t was unhappy about e v a l u a t i o n r e s e a r c h done on o r g a n i z a t i o n a l o r c u l t u r a l change, p a r t i c u l a r l y about t h e l a c k o f l i g h t shed on t h e d u r a b i l i t y o f change. E v a l u a t i v e r e s e a r c h i s d i f f i c u l t f o r any e d u c a t i v e p r o c e s s , b u t n o t i m p o s s i b l e t o do. I t i s c e r t a i n l y needed t o i n c r e a s e t h e e f f i c i e n c y o f f u t u r e programs.

B e r l o q u e s t i o n e d s e v e r a l assumptions which appeared t o have been made i n t h e paper. One was t h a t t h e r e e x i s t s w i t h i n t h e o r g a n i z a t i o n a s u f f i c i e n t d i v e r s i f i c a t i o n o f t e c h n i c a l competences t h a t t h e b r o a d s h a r i n g and p a r t i c i p a t i o n i n d e c i s i o n making w i l l produce n o t o n l y more committed i n d i v i d u a l s b u t t e c h n i c a l l y b e t t e r d e c i s i o n s . Bennis and P e t e r agreed t h a t t h e model was designed f o r modern, l a r g e - s c a l e o r g a n i z a t i o n s w h ich were v e r y d i v e r s e and f u l l o f s p e c i a l i z e d i n d i v i d u a l s . However, few o f t h e l a r g e - s c a l e o r g a n i z a t i o n s i n t h e d e v e l o p i n g c o u n t r i e s seem t o make adequate use o f t h e i r i n t e r n a l t e c h n i c a l knowledge, p a r t l y because o f e x c e s s i v e l y c e n t r a l i z e d and a u t h o r i t a t i v e d e c i s i o n making. Bennis a l s o p o i n t e d o u t t h a t many dependent members i n o r g a n i z a t i o n s t y p i c a l l y d o n ' t want more i n v o l v e m e n t and p a r t i c i p a t i o n i n d e c i s i o n making; t h e model i s i m m e d i a t e l y u s e f u l o n l y among those who do.

B e r l o a l s o wondered i f t h e assumption o f c o n g e n i a l i t y o f v a l u e s t o be shared w i t h i n t h e c l i e n t system, and w i t h t h e change agent,-was v a l i d and necessary. He f e l t t h a t openness and h o n e s t y , f o r example, were n o t d e s i r e d g o a l s i n many o r g a n i z a t i o n s , and m i g h t be d i s r u p t i v e o f i n t e r p e r s o n a l r e l a t i o n s . Bennis b e l i e v e d t h a t p r o g r e s s t o w a r d an a d a p t i v e , p r o b l e m - s o l v i n g o r g a n i z a t i o n r e q u i r e d more openness, honesty and t r u s t u s u a l l y r e s u l t e d i n more s a t i s f y i n g as w e l l as more genuine i n t e r p e r s o n a l r e l a t i o n s h i p s .

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S p e r l i n g f e l t t h a t t h e r e were o t h e r problems i n v o l v e d , i n e x t r a p o l a t i n g t h e b e h a v i o r a l change model from a modern l a r g e o r g a n i z a t i o n t o o t h e r k i n d s o f c l i e n t systems - a d e v e l o p i n g n a t i o n s t a t e , f o r example. Members o f i n d u s t r i a l o r g a n i z a t i o n s have some k i n d s o f o u t s i d e a u t h o r i t y - c o u r t s , l a b o r u n i o n s , e t c . - t o appeal t o , w h i l e t h e e n v i r o n m e n t a l parameters o f a n a t i o n s t a t e are q u i t e d i f f e r e n t . C ould t h e r e be s t a t e d some o f t h e parameters o f a c l i e n t system t h a t make them c o m p a r a t i v e l y more o r l e s s amenable t o t h i s approach, and some p r i n c i p l e s f o r m o d i f y i n g c l i e n t i n d i f f e r e n t s e t t i n g s ? Jacobson added t h a t t h e i d e a l o r g a n i z a t i o n d e s c r i b e d seemed t o be one w i t h h i g h c a p a b i l i t i e s f o r problem s o l v i n g and a d a p t a t i o n , t o w h i c h the a u t h o r s agreed.

Bruhns observed t h a t t h e r e s i s t a n c e t o change i n a c l i e n t system i s somehow r e l a t e d t o i t s c o n f i d e n c e i n the change agent. How can the m o t i v e s and competence o f t h e change agent be checked by t h e c l i e n t system d u r i n g t h e r i s k y stages o f change, so t h a t he can be a more e f f e c t i v e i n s t r u m e n t f o r overcoming r e s i s t a n c e t o change? P e t e r r e p l i e d t h a t t h e c l i e n t system checked competence b e f o r e h i r i n g and l e a r n e d more about b o t h t h e change agent's m o t i v e s and compet e n c e d u r i n g t h e e s t a b l i s h m e n t o f a c o l l a b o r a t i v e r e l a t i o n s h i p and d u r i n g t h e change i n d u c t i o n programs from d a t a g e n e r a t e d i n them.

4. VALUE ISSUES

R e f e r r i n g t o s e v e r a l q u e s t i o n s r a i s e d about t h e change agent's v a l u e s , and how t h e y r e l a t e t o t h e c o l l a b o r a t i v e r e l a t i o n s h i p , Bennis s a i d t h a t t h e paper d i s c u - s e s , r a t h e r n a r r o w l y , c e r t a i n k i n d s o f s o c i a l i n f l u e n c e which d e a l w i t h what may be c a l l e d operat i v e knowledge. For example, i f one t h i n k s o f t h e v a l u e s i n v o l v e d i n t h e continuum from a u t h o r i t a r i a n t o d e mocratic systems, t h e r e a r e a number o f t h i n g s one can i d e n t i f y i n o r g a n i z a t i o n a l b e h a v i o r w h i c h d e t e r m i n e where one is a l o n g t h i s continuum. There are a t l e a s t t h r e e i m p o r t a n t c l u s t e r s o f v a r i a b l e s . One has t o do w i t h t h e l e a d e r s h i p , w h ich may n o t have had e x p e r i e n c e i n democratic p r a c t i c e s . Another i s t h e c o n s t i t u e n c y o r the s u b o r d i n a t e s , who may be o v e r l y dependent and p r e f e r a u t h o r i t a r i a n i s m . And o f course t h e s i t u a t i o n i t s e l f , t h e c o n d i t i o n s o f t h e o r g a n i z a t i o n a l parameters are i m p o r t a n t ; i n an emergency s i t u a t i o n , d e m o c r a t i c processes, i n c l u d i n g consensus, may be i n a p p r o p r i a t e . So t h e change agent has t o d i f f e r e n t i a t e under what c o n d i t i o n s c e r t a i n i d e a l s and v a l u e s ar e a p p r o p r i a t e .

Bennis went on t o say t h a t t h e paper i s n o t t r y i n g t o p o s t u l a t e democ r a t i c i d e a l s , o r t o argue t h a t you have t o have d e m o c r a t i c p r a c t i c e s t o succeed. The a u t h o r s are s a y i n g t h a t g i v e n c e r t a i n contemporary c o n d i t i o n s o f o r g a n i z a t i o n s as d e s c r i b e d i n t h e paper, t h e b e s t way f o r an o r g a n i z a t i o n t o cope w i t h i t s t a s k s i s t o i n f u s e i t s s o c i a l system w i t h c e r t a i n v a l u e s .

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Bennis f e l t t h a t t h e r e were f i v e c a t e g o r i e s o f t a s k s (areas o f achievements) which a l a r g e - s c a l e o r g a n i z a t i o n has t o cope w i t h i n Western s o c i e t y (and p r o b a b l y o t h e r s ) , i n o r d e r t o be a s u c c e s s f u l s o c i a l system from an economic, p s y c h o l o g i c a l ( t o members), and an e c o l o g i c a l ( i n t h e environment) p o i n t o f view. These t a s k s , d e a l i n g w i t h t h e human s i d e o f t h e e n t e r p r i s e and c l a r i f i e d i n t h e r e s e a r c h done on o r g a n i z a t i o n s , a r e :

1. I n t e g r a t i v e t a s k s , which l i n k i n d i v i d u a l needs ( a s p i r a t i o n s , concerns, e t c . ) and o r g a n i z a t i o n a l demands.

2. C o l l a b o r a t i v e t a s k s , which have t o do w i t h c o n f l i c t management and r e s o l u t i o n among sub-systems.

3. A d a p t i v e t a s k s r e l a t e d t o t h e changing e x t e r n a l environment.

4. D i s t r i b u t i o n o f power t a s k , perhaps t h e c e n t r a l p o l e m i c i s s u e , i n v o l v i n g how much power can be d i f f u s e d downward, a t what p o i n t s t o g e t consensus, when a u t h o r i t a r i a n d e c i s i o n s are necessary, and where more autonomy i s p o s s i b l e .

5. R e v i t a l i z a t i o n t a s k s h a v i n g t o do w i t h problems o f g r o w t h and decay, and r e q u i r i n g a s e l f - c o n s c i o u s a t t e m p t t o l o o k a t g o a l s and i n f u s e new v a l u e s .

The v a l u e s o f o r g a n i z a t i o n s a r e n o t i d e n t i c a l w i t h t h o s e o f democracy, b u t s i m i l a r processes a r e i n v o l v e d i n r e a c h i n g g o a l s . Bennis r e f e r r e d t o t h e word "id e n e , " c o i n e d by Henry Murray, as a s o c i a l e q u i v a l e n t t o t h e b i o l o g i c a l "gene." He f e l t t h a t t h e r e are c e r t a i n "idenes" which a r e f u n c t i o n a l t o s o c i a l systems and have t o be i n f u s e d d u r i n g c e r t a i n phases o f t h e i r e v o l u t i o n , and o t h e r "idenes" t h a t may be d y s f u n c t i o n a l . There i s no p r o o f o f t h i s , b u t he a l s o f e l t t h a t where o r g a n i z a t i o n s approach m o d e r n i z a t i o n , t h e n these v a l u e s become a p p r o p r i a t e . 2

See W. <?. Bennis' CHANGING ORGANIZATIONS (McGraw-Hill, New York, 19 66) for elaboration of this idea.

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Discussion

7. A S P E C T S OF CO L L A B O R A T I O N Bruhns commented t h a t t h i s paper was s t i m u l a t i n g t o him because i t t r e a t e d change as planned and d e l i b e r a t e , and e x p l a i n e d a c t i o n r o l e s f o r t h e b e h a v i o r a l s c i e n t i s t . From t h i s p o i n t o f view, t h e focus on t h e r e l a t i o n s h i p between t h e change agent and the c l i e n t system goes t o t h e h e a r t o f t h e problem o f who does what t o whom and why. However, t h e c o l l a b o r a t i v e r e l a t i o n s h i p a l t h o u g h d e s c r i b e d i n some d e t a i l , seemed most r e l e v a n t t o w e s t e r n i n d u s t r i a l e n t e r p r i s e , how does one a p p l y t h i s d e s i g n , o r model o f planned change, t o t h e p u b l i c s e c t o r i n a modernized c o u n t r y o r t o any s e c t o r i n a developi n g c o u n t r y ? The r e q u i r e m e n t t h a t t h e change agent n o t v i o l a t e c l i e n t systems v a l u e s i s e s p e c i a l l y d i f f i c u l t t o accept as a p r e r e q u i s i t e f o r c o l l a b o r a t i o n .

Bennis agreed t h a t t h e model had developed p r i m a r i l y from e x p e r i e n c e and some r e s e a r c h i n l a r g e - s c a l e o r g a n i z a t i o n s (e.g. i n d u s t r y , h o s p i t a l s ) i n modernized Western c o u n t r i e s , and t h a t i t s a p p l i c a b i l i t y t o o r g a n i z a t i o n s i n d e v e l o p i n g c o u n t r i e s would have t o be t e s t e d . I n I n d i a , f o r example, many b u s i n e s s and i n d u s t r i a l o r g a n i z a t i o n s are n o t y e t even i n b u r e a u c r a t i c s t a g e , b u t i n t h e p r e - b u r e a u c r a t i c stage o f f a m i l y e n t e r p r i s e s . P e t er added t h a t t h e r e a r e , i n most d e v e l o p i n g c o u n t r i e s , b o t h p r i v a t e and government o r g a n i z a t i o n s which a r e a l r e a d y q u i t e l a r g e - s c a l e , complex and t e c h n i c a l l y or s c i e n c e - o r i e n t e d , i n which o r g a n i z a t i o n improvement i s b a d l y needed. Bennis f e l t t h a t w h i l e d i f f e r e n t s t r a t e g i e s f o r i n t e r v e n t i o n m i g h t be found a p p r o p r i a t e i n o t h e r p a r t s o f t he w o r l d , a c o l l a b o r a t i v e r e l a t i o n s h i p between c l i e n t system and change agent would t u r n o u t t o be i m p o r t a n t .

R y d e l l was s t r u c k by t h e s i m i l a r i t y between t h e b e h a v i o r a l approach t o o r g a n i z a t i o n development and urban p l a n n i n g . The change agent has t o concern h i m s e l f w i t h r a t h e r u n d e f i n e d c l i e n t g o a l s , has t o a r t i c u l a t e them, and t h e n see t o what e x t e n t t h e y are b e i n g achieved.

R a t i n o f f wondered whether t h e r e was any d i f f e r e n c e between c o l l a b o r a t i o n and g e t t i n g consensus f o r change. I n h i s e x p e r i e n c e i n L a t i n A m e r i c a , g e t t i n g consensus i n t h e c l i e n t system seemed t o be a c r u c i a l s t e p b e f o r e change c o u l d t a k e p l a c e . But t h e immediate

316

c l i e n t system may a l s o have t o o b t a i n some l e v e l o f consensus i n an o t h e r t a r g e t audience or c l i e n t system. For example, i t i s t h e peasant farmers who must see and accept t h e importance o f l e a r n i n g a r i t h m e t i c and s i m p l e s t a t i s t i c s t o improve t h e i r f a r m i n g e f f i c i e n c y , n o t j u s t t h e Department o f A g r i c u l t u r e . New h e a l t h p r a c t i c e s must be adopted by c i t i z e n s g e n e r a l l y , n o t o n l y w i t h i n t h e h e a l t h i n d u s t r y . So g e t t i n g consensus, or c o l l a b o r a t i o n , extends from one c l i e n t system t o a n o t h e r .

P e t e r p r e s e n t e d a s i m p l e d i a g r a m a t i c r e p r e s e n t a t i o n o f t h e o r g a n i z a t i o n a l c l i e n t system and t h e change agent, i n pl a n n e d change, as shown below:

ENVIRONMENT ^ S Y S T E M - ^

FEEDBACK CLIENT SYSTEM SYSTEM

OUTPUTS

ORGANIZATION IMPROVEMENTS

CHANGE \ CHANGE AGENT FEED INDUCTION BACK AGENT PROGRAMS

COLLABORATIVE APPLYING RELATIONSHIP VALID

KNOWLEDGE

317

® INSTITUTION BUILDING IN NATIONAL DEVELOPMENT

AN APPROACH TO INDUCED SOCIAL CHANCE IN TRANSITIONAL SOCIETIES

by Mi I ton J". Esman

and

Fred C* Bruhns Graduate School of Public and International Affairs

University of Pittsburgh

318

T h i s paper o u t l i n e s an approach t o t h e study o f induced s o c i a l change i n t r a n s i t i o n a l s o c i e t i e s . I t s t a t e s t h e u n d e r l y i n g r a t i o n a l e f o r t h e concept o f " i n s t i t u t i o n b u i l d i n g , " t h e b a s i c ideas w h i c h comprise i t s t h e o r e t i c a l framework, and t h e bo u n d a r i e s which have been e s t a b l i s h e d by t h e I n t e r - U n i v e r s i t y Research Program i n I n s t i t u t i o n B u i l d i n g . 1

7. M0TI VAT10N AUV RATIONALE

Besides our l o n g - s t a n d i n g academic i n t e r e s t i n comparative s o c i a l change which i s t h e t o p i c o f t h i s symposium, t h e main m o t i v a t i o n a l f a c t o r f o r t h i s r e s e a r c h u n d e r t a k i n g i s , o f course, t h e f a c t t h a t t h i s n a t i o n has been i n v o l v e d i n i n s t i t u t i o n b u i l d i n g i n a l a r g e number o f t r a n s i t i o n a l s o c i e t i e s f o r over a decade and a h a l f . Through v a r i o u s i n s t r u m e n t s o f f o r e i g n economic a i d , m a i n l y t h r o u g h t e c h n i c a l a s s i s t a n c e , we and o t h e r i n d u s t r i a l i z e d n a t i o n s , t h r o u g h g o v e r n m e n t a l and p r i v a t e c h a n n e l s , b i l a t e r a l l y and m u l t i l a t e r a l l y , have been t r y i n g t o t r a n s f e r and adapt v a r i o u s p h y s i c a l and s o c i a l t e c h n o l o g i e s t o new and d e v e l o p i n g n a t i o n s f o r t h e purpose o f economic and s o c i a l development. For a c o n s i d e r a b l e time a f t e r we s t a r t e d we d i d n o t t h i n k o f t h i s process p r i m a r i l y as an e f f o r t i n i n t r o d u c i n g s o c i a l change t h r o u g h i n s t i t u t i o n b u i l d i n g . I t was H a r l a n C l e v e l a n d i n h i s book THE OVERSEAS AMERICANS, which was p u b l i s h e d i n 1960, who c o i n e d t h i s t e r m . Then, t h e term cropped up i n academic c i r c l e s and was used i n o f f i c i a l government documentat i o n f o r t h e f i r s t t i m e when AID s u b m i t t e d i t s C o n g r e s s i o n a l

The Inter-University Research Program in Institution Building, composed of units from Indiana, Michigan State, Pittsburgh and Syracuse Universities, is engaged in an active program of field research and theory building. The headquarters of the program is at the Graduate School of Public and International Affairs at the University of Pittsburgh. Milton Esman and Hans Blaise are the Research Director and Associate Research Director. The members of the Executive Board of the program who have contributed to the development of this theory are Ralph Smuckler and Eugene Jacobson of Michigan State, William Siffin and Fred Riggs of Indiana, Irving Swerdlow and Julian Friedman of Syracuse, and Saul Katz and Jiri Nehnevajsa of Pittsburgh.

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P r e s e n t a t i o n f o r t h e f i s c a l y e a r 1962. Today, t h e term " I n s t i t u t i o n a l Development" i s used i n t h e d e s i g n a t i o n o f s p e c i a l i z e d o f f i c e s a t AID headquarters, i n Washington. Only i n r e c e n t years has d e v e l o p ment, and w i t h i t t h e t r a n s f e r and a d a p t a t i o n o f p h y s i c a l and s o c i a l t e c h n o l o g i e s , been r e c o g n i z e d as a comprehensive and complex process o f s o c i e t a l change w h i c h impinges on a l l t h e v a l u e s , i n s t i t u t i o n s and b e h a v i o r p a t t e r n s w i t h i n a s o c i e t y , a f f e c t i n g s o c i a l o r g a n i z a t i o n and t h e p o l i t i c a l process as w e l l as t h e s t r u c t u r e o f economic a c t i v i t y .

The b a s i c r a t i o n a l e f o r t h i s r e s e a r c h i s d i r e c t l y r e l e v a n t t o t h e concerns o f t h i s symposium. I t has s e v e r a l i m p o r t a n t f e a t u r e s w h ich push i n q u i r y i n t o s o c i a l change and t h e development process t o w a r d elements and channels which have h e r e t o f o r e been n e g l e c t e d . As a consequence o f t h i s n e g l e c t , t h e i m p l e m e n t a t i o n o f development p r o grams and o f t e c h n i c a l a s s i s t a n c e a c t i v i t i e s has s u f f e r e d . A v e r y i m p o r t a n t i n g r e d i e n t i n s o c i a l change which has been n e g l e c t e d i s t h e i n s t i t u t i o n a l i z a t i o n o f new p h y s i c a l and s o c i a l t e c h n o l o g i e s t h r o u g h t h e v e h i c l e o f o r g a n i z a t i o n s .

While our f o r m a l d e f i n i t i o n o f t h e terms " i n s t i t u t i o n " and " i n s t i t u t i o n a l i z a t i o n " w i l l be s p e c i f i e d i n t h e n e x t s e c t i o n o f t h i s paper, l e t us p o i n t o u t here t h a t when speaking about " i n s t i t u t i o n s " we do n o t mean n o r m a t i v e a c t i o n p a t t e r n s such as p r o p e r t y o r r e l i g i o n , o r c h e r i s h e d s y m b o l i c r i t e s such as m a r r i a g e , which are sometimes c a l l e d t h e i n s t i t u t i o n s o f a s o c i e t y . An i n s t i t u t i o n , f o r t h e p u r pose o f t h i s paper, i s always a f u n c t i o n a l l y s p e c i f i c s o c i a l o r g a n i z a t i o n o r a c l u s t e r o f r e l a t e d o r g a n i z a t i o n s though, as we s h a l l see l a t e r , n o t every o r g a n i z a t i o n n e c e s s a r i l y becomes an i n s t i t u t i o n . By i n s t i t u t i o n a l i z a t i o n , we mean t h e process by which new i d e a s and f u n c t i o n s , t h r o u g h t h e i n s t r u m e n t o f o r g a n i z a t i o n , are i n t e g r a t e d and f i t t e d i n t o d e v e l o p i n g s o c i e t i e s , are accepted and a c q u i r e t h e c a p a c i t y t o s u s t a i n t hemselves, and, i n t u r n , i n f l u e n c e t h e l a r g e r environment i n which t h e y f u n c t i o n .

To i l l u s t r a t e , we may g i v e two s i m p l e examples o f f a i l u r e i n i n s t i t u t i o n b u i l d i n g . I n t h e f i e l d o f r u r a l h e a l t h , where our f o r e i g n a i d program a t t e m p t e d t o i n t r o d u c e new t e c h n o l o g i e s t h r o u g h t h e s u p p l y i n g o f covered and seepage-proof w e l l s w i t h handpumps which p r o v i d e d s a f e , uncontaminated w a t e r t o t h e v i l l a g e , we have had many cases where t h e w e l l s , soon a f t e r t h e i r i n s t a l l a t i o n , f e l l , t h r o u g h n e g l e c t , i n t o such a bad s t a t e o f d i s r e p a i r t h a t t h e w a t e r supply a g a i n became c o n t a m i n a t e d . The reason was n e i t h e r t h e c o s t nor l a b o r i n v o l v e d i n w e l l maintenance which was e x t r e m e l y s i m p l e , nor was i t i g n o r a n c e o f t h e t e c h n i q u e s , as t h e v i l l a g e r s had been c a r e f u l l y b r i e f e d . But t h e t e c h n i c i a n s and p r o v i n c i a l h e a l t h o f f i c i a l s had come, i n s t a l l e d t h e w e l l s , " l e c t u r e d " t o t h e v i l l a g e r s , even l e f t spare p a r t s f o r t h e handpumps, and t h e n had l e f t . They had f a i l e d t o convince t h e v i l l a g e r s o f t h e v a l u e o f s a f e d r i n k i n g w a t e r , o f t h e u t i l i t y o f c o v e r i n g t h e w e l l when n o t i n use, and o f s i m p l e maintenance and p r o t e c t i o n measures t o a v o i d seepage and w a t e r r e c o n t a m i n a t i o n . They had n o t o n l y been unable t o spread t h e

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d o c t r i n e o f t h e developmental i n n o v a t i o n t h e y sought t o i n t r o d u c e ; t h e y had f a i l e d t o e s t a b l i s h i n t h e v i l l a g e t h e o r g a n i z a t i o n a l n u c l e u s necessary f o r t h e sp r e a d i n g o f d o c t r i n e and f o r s u s t a i n i n g and p r o t e c t i n g t h e i n n o v a t i o n . An a s s o c i a t i o n o f a few r e s p o n s i b l e and i n f l u e n t i a l v i l l a g e r s c o nvinced o f t h e v a l u e o f t h e i n n o v a t i o n c o u l d have c o n s t i t u t e d an i n s t i t u t i o n a l c ore and c o u l d have gone f a r i n e x e r c i s i n g l e a d e r s h i p and m u s t e r i n g s u p p o r t . As i t happened, t h i s s t r a t e g y o f i n s t i t u t i o n b u i l d i n g was o v e r l o o k e d and the i n n o v a t i o n was n o t accepted.

F a i l u r e s i n t h e i n s t i t u t i o n a l i z a t i o n process may occur even when an o r g a n i z a t i o n a l base i s b u i l t i f t h e o r g a n i z a t i o n i s unable t o e s t a b l i s h t h e necessary s u p p o r t l i n k a g e s w i t h i t s environment. P l a n n i n g o r g a n i z a t i o n s i n q u i t e a number o f d e v e l o p i n g c o u n t r i e s can ser v e as an example. While f o r m a l l y o r g a n i z e d and p r o v i d e d w i t h adequate r e s o u r c e s , s t a f f and s k i l l s , t h e y n e v e r t h e l e s s f r e q u e n t l y f a i l t o g a i n acceptance o f t h e i r new d o c t r i n e and t e c h n o l o g y . When c u l t u r a l and s o c i a l v a l u e s or economic and b u r e a u c r a t i c i n t e r e s t s a r e p e r c e i v e d by s i g n i f i c a n t a c t o r s i n t h e environment as being i n c o n f l i c t w i t h t h e i n n o v a t i v e g o a l s o f t h e o r g a n i z a t i o n , o r when i t s l e a d e r s h i p does n o t p e r c e i v e i t s t a s k i n an i n s t i t u t i o n a l p e r s p e c t i v e b u t r a t h e r as t h e mere i m p l e m e n t a t i o n o f a program o r t h e t r a n s f e r o f a t e c h n o l o g y , t h e o r g a n i z a t i o n , w h i l e s u r v i v i n g as a s h e l l , may never become an i n s t i t u t i o n .

Through t h e f o r e g o i n g s i m p l i f i e d examples, some o f t h e t h e o r e t i c a l c oncepts which we are u s i n g i n our r e s e a r c h have begun t o emerge. Three c a t e g o r i e s o f v a r i a b l e s form t h e s t r u c t u r e o f our i n i t i a l conc e p t u a l model. These are t h e institutional v a r i a b l e s — l e a d e r s h i p , d o c t r i n e , program, r e s o u r c e s , and i n t e r n a l s t r u c t u r e ; t h e linkages w i t h o t h e r i n s t i t u t i o n s , which we c l a s s i f y as e n a b l i n g , f u n c t i o n a l , n o r m a t i v e and d i f f u s e d ; and t h e c a t e g o r y o f transactions between i n s t i t u t i o n s , which we d e f i n e a c c o r d i n g t o purpose as re s o u r c e exchanges, g a i n i n g s u p p o r t and overcoming r e s i s t a n c e , s t r u c t u r i n g t h e e n v i r o n m e n t , and t r a n s f e r r i n g norms and v a l u e s .

U n t i l r e c e n t l y , r e s e a r c h on n a t i o n a l development, and, indeed, most o f t h e knowledge and i n s i g h t s which a r e c u r r e n t l y a t t h e r o o t o f p o l i c i e s and programs now g u i d i n g t h e development process i n low income c o u n t r i e s have emphasized two major themes:

(a) The a c c u m u l a t i o n and e f f i c i e n t i n v e s t m e n t o f c a p i t a l . T h i s theme u n d e r l i e s t h e r a t i o n a l e o f t h e " b i g push" t h e o r y , t h e c o n t r o v e r s y between "balanced" and "unbalanced" g r o w t h , t r a d e gaps and re s o u r c e gaps, and r e l a t e d s u b j e c t s o f c u r r e n t r e s e a r c h and c o n t r o v e r s y ;

(b) The development o f i n d i v i d u a l s k i l l s and human r e s o u r c e s . T h i s l i n e o f r e s e a r c h has i n f l u e n c e d such p o l i c y i n s t r u ments as t e c h n i c a l a s s i s t a n c e and c o o p e r a t i o n , and has s t i m u l a t e d t h e i n c r e a s e d emphasis on e d u c a t i o n and manpower p l a n n i n g and on t h e process o f t r a n s m i t t i n g modern t e c h -

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n i q u e s . Thus, t h e d i f f u s i o n o f i n n o v a t i o n s has been conc e i v e d p r i m a r i l y as an e d u c a t i o n a l p r o c e s s , w i t h l i t t l e r e c o g n i t i o n o f the n e c e s s i t y o f e s t a b l i s h i n g an o r g a n i z a t i o n a l base and an i n s t i t u t i o n a l v e h i c l e f o r f o s t e r i n g t h e acceptance o f t h e i n n o v a t i o n s by th o s e b e i n g exposed t o them.

The i n s t i t u t i o n a l r e s e a r c h f o c u s i s inde e d a r e c e n t one.

I . D E F I N I T I O N AND B A S I C ASSUMPTIONS I n c o n s i d e r i n g an i n s t i t u t i o n as t h e v e h i c l e t h r o u g h which most i f n o t a l l s o c i a l change i s i n t r o d u c e d and e f f e c t e d , we are making c e r t a i n b a s i c assumptions. F i r s t , however, l e t us d e f i n e our terms: An i n s t i t u t i o n i s an o r g a n i z a t i o n w h ich i n c o r p o r a t e s , f o s t e r s , and p r o t e c t s n o r m a t i v e r e l a t i o n s h i p s and a c t i o n p a t t e r n s and performs f u n c t i o n s and s e r v i c e s which are v a l u e d i n t h e environment. Thus, w h i l e ' a l l i n s t i t u t i o n s are o r g a n i z a t i o n s o f some t y p e , n o t a l l o r g a n i z a t i o n s are i n s t i t u t i o n s . I n s t i t u t i o n a l i z a t i o n i s t h e process by w h i c h n o r m a t i v e r e l a t i o n s h i p s and a c t i o n p a t t e r n s are e s t a b l i s h e d . I n t h i s c o n c e p t u a l d i s t i n c t i o n , we have borrowed from and somewhat e n l a r g e d on t h e d i s t i n c t i o n between o r g a n i z a t i o n s and i n s t i t u t i o n s w hich P h i l i p S e l z n i k s t a t e d almost t e n years ago: "To i n s t i t u t i o n a l i z e i s t o infuse with value beyond t h e t e c h n i c a l r e q u i r e m e n t s o f th e t a s k a t hand." 2 Thus, an o r g a n i z a t i o n i s p r i m a r i l y a t e c h n i c a l i n s t r u m e n t , a means t o reach c e r t a i n o b j e c t i v e s , b u t never an end i n i t s e l f . I n c o n t r a s t , as our c o l l e a g u e Hans B l a i s e has observed, " t h e i n s t i t u t i o n a l approach emphasizes n o t o n l y t h e i n s t r u m e n t a l c h a r a c t e r i s t i c s ; nor i s t h e focus o f a n a l y s i s and a c t i o n p r i m a r i l y on t h e s t r u c t u r a l , f u n c t i o n a l and b e h a v i o r a l elements which are i n t e r n a l t o t h e o r g a n i z a t i o n a l system, though these a r e e s s e n t i a l a l s o . " I n i n s t i t u t i o n a l a n a l y s i s , we a r e concerned' w i t h purposes and v a l u e s which ex t e n d beyond t h e immediate t a s k a t hand," w i t h t h e s p r e a d i n g o f "norms which a f f e c t p a r t i c i p a n t s and c l i e n t e l e beyond t h e f u n c t i o n a l and p r o d u c t i v e s p e c i a l i z a t i o n o f t h e i n s t i t u t i o n ." Thus, i n s t i t u t i o n a l v a l u e s and " s p e c i f i c r e l a t i o n s h i p and a c t i o n p a t t e r n s g o v e r n i n g t h e performance o f f u n c t i o n s w i t h i n t h e i n s t i t u t i o n become n o r m a t i v e beyond t h e c o n f i n e s o f t h e i n s t i t u t i o n i t s e l f . . . (and) s t a b l e p o i n t s o f r e f e r e n c e b o t h w i t h i n t h e o r g a n i z a t i o n and f o r t h e environment."2 i t goes w i t h o u t s a y i n g t h a t i n f l u e n c e s f l o w s i m u l t a n e o u s l y i n t h e o p p o s i t e d i r e c t i o n , from t h e environment t o t h e i n s t i t u t i o n , a f f e c t i n g t h e l a t t e r b o t h i n i t s s t r u c t u r e as w e l l as i t s performance.

1 LEADERSHIP IN ADMINISTRATION, Row, Peterson and Co., Evanston, III., 2957, p. 17.

2Blaise, Hans C. THE PROCESS AND STRATEGY OF INSTITUTION BUILDING IN NATIONAL DEVELOPMENT, Unpublished Ph.D. Dissertation, University of Pittsburgh, 1964, p. 77.

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From t h e f o r e g o i n g d e f i n i t i o n s , some b a s i c assumptions emerge:

(a) Development, o r more m o d e s t l y , s o c i a l change, and t h e conc o m i t a n t new v a l u e s , f u n c t i o n s , t e c h n o l o g i e s and a c t i o n p a t t e r n s , cannot be e f f e c t i v e l y i n t r o d u c e d and s u s t a i n e d i n t r a n s i t i o n a l s o c i e t i e s u n l e s s t h e y are embedded i n a s u p p o r t i v e network o f s o c i a l s t r u c t u r e s , processes and norms. I n s h o r t , these i n n o v a t i v e v a l u e s , f u n c t i o n s and t e c h n o l o g i e s must be i n s t i t u t i o n a l i z e d .

(b) T h i s process t a k e s p l a c e i n and t h r o u g h i n s t i t u t i o n a l o r g a n i z a t i o n s which must e i t h e r be newly c r e a t e d o r adapted and r e s t r u c t u r e d f o r t h i s purpose.

(c) I n s t i t u t i o n a l development need n o t be a " n a t u r a l " o r e v o l u t i o n a r y process which occurs independently* o f human d e s i g n . I n t h i s e r a , new t e c h n o l o g i e s and new i n s t i t u t i o n a l forms are almost everywhere d e l i b e r a t e l y induced and d i r e c t e d . T h i s sense o f d e l i b e r a t e human purpose and human d i r e c t i o n w a r r a n t s t h e use o f t h e phrase " i n s t i t u t i o n b u i l d i n g " and suggests a key r o l e f o r m o d e r n i z i n g e l i t e s .

(d) I n s t i t u t i o n b u i l d i n g i s thus an approach t o t h e development process which r e l i e s h e a v i l y on t h e concept o f " s o c i a l e n g i n e e r i n g , " 2 and which s t r e s s e s t h e l e a d e r s h i p f u n c t i o n s o f m o d e r n i z i n g e l i t e groups w i t h i n t h a t process and t h e a l t e r n a t i v e a c t i o n s t r a t e g i e s a v a i l a b l e t o them.

(e) As development o c c u r s , s o c i a l f u n c t i o n s o r t e c h n o l o g i e s become i n c r e a s i n g l y s p e c i a l i z e d . W i t h s p e c i a l i z a t i o n , i n t e r d e p e n d e n c i e s develop. The i n s t i t u t i o n s i n c o r p o r a t i n g i n n o v a t i o n s are thus i n v o l v e d i n a network o f complementary and competing r e l a t i o n s h i p s i n t h e i r environment on w h i c h i n s t i t u t i o n - b u i l d i n g r e s e a r c h must f o c u s .

( f ) I n s t i t u t i o n b u i l d i n g i s co n c e i v e d o f as a g e n e r i c s o c i a l process. There are elements and a c t i o n s t h a t can be i d e n t i f i e d as g e n e r a l l y r e l e v a n t t o i n s t i t u t i o n b u i l d i n g , even though t h e i r e x p r e s s i o n w i l l d i f f e r depending on t h e type o f i n s t i t u t i o n and t h e s o c i a l environment.

Howard Perlmutter calls it "social architecture." See his pamphlet "Towards a Theory and Practice of Social Architecture," to be published in the Tavistock Pamphlet Series in Pall, 1965.

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(g) I t i s p o s s i b l e , t h r o u g h s y s t e m a t i c and com p a r a t i v e a n a l y s i s o f i n s t i t u t i o n - b u i l d i n g e x p e r i e n c e s , t o d e r i v e elements o f a t e c h n o l o g y o f i n s t i t u t i o n b u i l d i n g t h a t - w i l l be u s e f u l t o persons engaged i n i n t r o d u c i n g i n n o v a t i o n i n t o d e v e l o p i n g s o c i e t i e s , whether t h e y be i n d i g e n o u s change agents o r f o r e i g n a d v i s o r s .

I t i s p r o p e r t o no t e t h a t these assumptions c o n s t i t u t e an a t t e m p t t o break o u t from t h e c o n f i n e s o f our own p r o f e s s i o n a l d i s c i p l i n e s . I t i s n o t o n l y e x p e d i e n t b u t necessary t h a t t h e approach t o i n s t i t u t i o n b u i l d i n g be i n t e r d i s c i p l i n a r y i n i t s i n s i g h t s and concepts. The focus on i n s t i t u t i o n a l i n t e r d e p e n d e n c i e s and l i n k a g e s w i t h t h e environment excludes an i n q u i r y concerned s o l e l y w i t h p o l i t i c a l , economic, s o c i a l , p s y c h o l o g i c a l o r t e c h n i c a l phenomena i n v o l v e d i n change o r development. Fundamentally, we do n o t b e l i e v e t h a t t h e processes o f s o c i e t a l change can be c o n t a i n e d i n t h e c o n v e n t i o n a l c a t e g o r i e s i n which s o c i a l s c i e n c e knowledge has h i t h e r t o been o r g a n i z e d .

B e f o r e t a k i n g a c l o s e r l o o k a t our g u i d i n g c o n c e p t s , i t m i g h t be u s e f u l t o r e l a t e these concepts t o t h e burg e o n i n g body o f l i t e r a t u r e on o r g a n i z a t i o n t h e o r y . Many o f t h e fundamental concepts about o r g a n i z a t i o n s t r u c t u r e and b e h a v i o r , p a r t i c u l a r l y t h o s e r e l a t i n g t o i n t e r n a l o r " i n s t i t u t i o n a l " v a r i a b l e s , d e r i v e from t h i s l i t e r a t u r e and f r o m r e l a t e d w r i t i n g s i n bu s i n e s s and p u b l i c a d m i n i s t r a t i o n . T h i s l i t e r a t u r e , however, focuses l a r g e l y on t h e maintenance, s t r e n g t h e n i n g o r i n c r e m e n t a l r e f o r m o f e x i s t i n g complex o r g a n i z a t i o n s i n advanced i n d u s t r i a l s o c i e t i e s , and f r e q u e n t l y emphasizes b e h a v i o r i n t e r n a l t o t h e o r g a n i z a t i o n r a t h e r t h a n r e l a t i o n s h i p s t o t h e e x t e r n a l environment. Institution-building concepts, in contrast, emphasize the creation of new organizations or the radical remodeling of existing structure in transitional or preindustrial societies and the patterns of interaction between institutions and their environment. Because o f t h i s r a t h e r pronounced d i f f e r e n c e i n emphasis, we have f o u n d r e l a t i v e l y l i t t l e h e l p from w e s t e r n o r g a n i z a t i o n t h e o r y i n c o n c e p t u a l l y u n d e r g i r d i n g t h i s r e s e a r c h program. While modern p h y s i c a l and s o c i a l t e c h n o l o g i e s must be embedded i n f o r m a l o r g a n i z a t i o n s , we are s k e p t i c a l t h a t much o f t h e p r e s c r i p t i v e l i t e r a t u r e on o r g a n i z a t i o n a l e f f i c i e n c y and e f f e c t i v e n e s s - whether i n s p i r e d by s c i e n t i f i c management, human r e l a t i o n s i n s i g h t s , o r Weberian r a t i o n a l i t y - can be a p p l i e d m e a n i n g f u l l y t o o r g a n i z a t i o n a l b e h a v i o r i n p r e i n d u s t r i a l s o c i e t i e s where d i f f e r e n t v a l u e p r e f e r e n c e s and norms o f a c t i o n p r e dominate.

Far f r o m assuming t h a t t h e v a l u e s , norms, o r a c t i o n p a t t e r n s a s s o c i a t e d w i t h o r g a n i z a t i o n a l e f f i c i e n c y p r e v a i l i n t r a n s i t i o n a l s o c i e t i e s , i n s t i t u t i o n - b u i l d i n g r e s e a r c h must b e g i n w i t h t h e o p p o s i t e assumption. I n s t i t u t i o n b u i l d i n g o r r e b u i l d i n g i n v o l v e s ' d e l i b e r a t e e f f o r t s t o i n t r o d u c e r a d i c a l i n n o v a t i o n s i n t o t r a n s i t i o n a l s o c i e t i e s whose c u l t u r a l v a l u e s and s o c i a l s t r u c t u r e s - n o t t o me n t i o n economic and p o l i t i c a l i n t e r e s t s - may n o t i n i t i a l l y be s u p p o r t i v e o f t h e s e changes. T h i s r e s e a r c h thus addresses i t s e l f t o problems which are

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q u a l i t a t i v e l y q u i t e d i f f e r e n t from those which have p r e o c c u p i e d t h e o r i s t s concerned w i t h change i n t h e sense o f g r a d u a l improvement o r r e f o r m o f bu s i n e s s c o r p o r a t i o n s , h o s p i t a l s , prisons., o r governm e n t a l agencies i n t h e U n i t e d S t a t e s and Western Europe.

I n s t i t u t i o n - b u i l d i n g r e s e a r c h begins w i t h a s e t o f problems which c o n f r o n t s o c i e t i e s as they a t t e m p t t o modernize. Our data w i l l be g a t h e r e d from a c t i o n s i t u a t i o n s . The elements o f t h e o r y , as t h e y emerge, s h o u l d c o n s t i t u t e c o n t r i b u t i o n s t o o r g a n i z a t i o n a l s c i e n c e and t o com p a r a t i v e a d m i n i s t r a t i o n , as w e l l as t o knowledge o f t h e processes o f planned s o c i a l change. Perhaps i t w i l l be p o s s i b l e t o e x t e n d and g e n e r a l i z e i n s t i t u t i o n - b u i l d i n g t h e o r y t o cover a v a r i e t y o f s i t u a t i o n s i n i n d u s t r i a l i z e d c o u n t r i e s , such as c r e a t i n g change-o r i e n t e d i n s t i t u t i o n s and i n t e g r a t i n g t h e i r new v a l u e s and a c t i o n p a t t e r n s i n t o t h e s u r r o u n d i n g environment. These problems have not y e t been a d e q u a t e l y t r e a t e d i n t h e r e s e a r c h o r c u r r e n t l i t e r a t u r e on o r g a n i z a t i o n t h e o r y i n Western s o c i e t i e s .

3. SOME GU1V1UG CONCEPTS

A. THE TESTS OF INSTITUTIONALITY

By d e f i n i t i o n , t h e i n s t i t u t i o n - b u i l d i n g process has been comp l e t e d when i t can be demonstrated t h a t a t l e a s t c e r t a i n r e l a t i o n s h i p s and a c t i o n p a t t e r n s i n c o r p o r a t e d i n the o r g a n i z a t i o n a r e n o r m a t i v e b o t h w i t h i n t h e o r g a n i z a t i o n and f o r o t h e r s o c i a l u n i t s , and t h a t t h e f u n c t i o n s and s e r v i c e s performed by t h e o r g a n i z a t i o n are v a l u e d i n t h e environment. I n s t i t u t i o n a l ! t y i s a m a t t e r o f degree. We cannot s t a t e i n a b s o l u t e terms t h e f a c t t h a t , o r t h e p o i n t i n t i m e when, an o r g a n i z a t i o n has become an i n s t i t u t i o n . We can speak o n l y o f a t r e n d , and i d e n t i f y c e r t a i n i n d i c a t o r s o f t h e i n s t i t u t i o n a l c h a r a c t e r o f an o r g a n i z a t i o n . Some o f these i n d i c a t o r s are suggested i n t h e f o l l o w i n g p a r agraphs.

The first test i s t h e o r g a n i z a t i o n ' s a b i l i t y t o s u r v i v e . Surv i v a l a l o n e , however, i s n o t enough. I t i s p o s s i b l e t h a t t h e o r g a n i z a t i o n , as an o p e r a t i n g agency, may s u r v i v e o n l y a t t h e c o s t o f f o r f e i t i n g a l l o r most o f i t s i n n o v a t i v e elements. Or, i t i s p o s s i b l e t h a t t h e o r g a n i z a t i o n may c o n t i n u e i t s e x i s t e n c e , b u t f a i l o r cease t o be n o r m a t i v e . A second q u a l i f i c a t i o n i s t h a t t h e s u r v i v a l o f s p e c i f i c i n n o v a t i o n s i s n o t n e c e s s a r i l y dependent on t h e c o n t i n u e d e x i s t e n c e o f a g i v e n i n s t i t u t i o n . O ther i n s t i t u t i o n s may become t h e r e c e p t a c l e s and p r o t e c t o r s of t h e new v a l u e s and norms. The o r i g i n a l i n s t i t u t i o n may have come t o t h e end o f i t s u s e f u l s o c i a l f u n c t i o n , and i t s a b o l i s h ment may become b o t h i n e v i t a b l e and d e s i r a b l e .

A second test o f t h e i n s t i t u t i o n a l i t y o f an o r g a n i z a t i o n conc e r n s t h e e x t e n t t o which i t i s viewed by t h e environment as h a v i n g i n t r i n s i c v a l u e . T h i s can be examined by assessing the

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r e l a t i o n s o f t h e o r g a n i z a t i o n w i t h t h e environment and t h e a c t i o n s t a k e n by t h e environment toward t h e o r g a n i z a t i o n . Some parameters t o t e s t t h e i n s t i t u t i o n a l c h a r a c t e r o f an o r g a n i z a t i o n a r e :

(a) Autonomy - t h e i n s t i t u t i o n a l i z e d o r g a n i z a t i o n has a h i g h degree o f autonomy. Three manners i n which t h i s autonomy i s expressed a r e :

(1) The i n s t i t u t i o n can e s t a b l i s h r u l e s and procedures d e v i a t i n g from and independent from t h e l a r g e r system o f which i t i s a p a r t ;

(2) The i n s t i t u t i o n can a c q u i r e r e s o u r c e s w i t h o u t b e i n g s u b j e c t t o d e t a i l e d q u e s t i o n i n g o f s p e c i f i c o p e r a t i o n a l and programmatic i t e m s , by i n v o k i n g i t s acknowledged i n t r i n s i c v a l u e ;

(3) The i n s t i t u t i o n can. r e l y on t h e acknowledged i n t r i n s i c v a l u e o f t h e t o t a l i n s t i t u t i o n i n d e f e n d i n g i t s e l f a g a i n s t a t t a c k s and encroachment on some o f i t s elements.

(b) Influence - t h e i n s t i t u t i o n a l i z e d o r g a n i z a t i o n can e x e r t c o n s i d e r a b l e i n f l u e n c e on i t s environment. E x p r e s s i o n s o f t h i s i n f l u e n c e can be found i n :

(1) The e x t e n t t o which t h e i n s t i t u t i o n i n f l u e n c e s d e c i s i o n s made i n i t s f u n c t i o n a l area;

(2) The e x t e n t t o which t h e i n s t i t u t i o n can e n l a r g e i t s sphere o f a c t i o n i n s i d e and o u t s i d e t h e o r g a n i z a t i o n .

As a third test o f t h e i n s t i t u t i o n a l c h a r a c t e r o f an o r g a n i z a t i o n , we can de t e r m i n e whether s p e c i f i c r e l a t i o n s h i p and a c t i o n p a t t e r n s embodied i n t h e o r g a n i z a t i o n have become n o r m a t i v e f o r o t h e r s o c i a l u n i t s . T h i s i s t h e measurement o f t h e impact o r s p r e a d - e f f e c t o f the i n n o v a t i o n s i n t r o d u c e d by t h e o r g a n i z a t i o n .

B. RESEARCH DESIGN

For t h e conduct o f i n s t i t u t i o n - b u i l d i n g r e s e a r c h , i t i s necess a r y t o develop a c o n c e p t u a l scheme which w i l l f a c i l i t a t e t h e o r d e r l y c o l l e c t i o n and l o g i c a l c l a s s i f i c a t i o n o f d a t a . W h i l e t h i s i m p o r t a n t p r e p a r a t o r y phase has n o t y e t been completed, t h e b a s i c r e q u i r e m e n t s f o r s t r u c t u r i n g and c a r r y i n g o u t a c o o r d i n a t e d r e s e a r c h e n t e r p r i s e have been met. What remains t o be done i s a r e f i n e m e n t o f c e r t a i n a n a l y t i c a l c a t e g o r i e s and t h e f u r t h e r e x p l o r a t i o n o f some dimensions o f t h e r e s e a r c h , w h ich t i m e has so f a r n o t p e r m i t t e d .

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We are p r e s e n t i n g here t h e c u r r e n t f o r m u l a t i o n o f t h e a n a l y t i c a l concepts and c a t e g o r i e s . Given i n a somewhat a b b r e v i a t e d f o r m , i t i s n o t a d e f i n i t i v e b a s i s f o r the s t u d i e s t o be conducted, b u t r a t h e r i n d i c a t i v e o f t h e t r e n d o f our p r e l i m i n a r y i n v e s t i g a t i o n s a t t h i s t i m e .

(a) Analytical concepts - Three b a s i c a n a l y t i c a l c a t e g o r i e s may be d i s t i n g u i s h e d i n i n s t i t u t i o n b u i l d i n g . I n t h e f i r s t p l a c e we are concerned w i t h t h e s t r u c t u r i n g o f t h e i n s t i t u t i o n as a system w i t h a s e t o f elements or v a r i a b l e s w h i c h , i n t h e i r i n t e r r e l a t i o n s h i p , determine t h e b e h a v i o r o f t h e e n t i t y i n t h e performance o f i t s program o f a c t i o n . The second c a t e g o r y i s t h e s p e c i f i c a t i o n o f t he e n v i r o n ment w i t h which t h e i n s t i t u t i o n i n t e r a c t s . A t a l l stages in- i t s development, t h e r e a r e i n t e r d e p e n d e n c i e s between an i n s t i t u t i o n and c e r t a i n s o c i a l e n t i t i e s i n i t s environment. The i n s t i t u t i o n m a i n t a i n s an exchange r e l a t i o n s h i p w i t h t h e environment (from which i t o b t a i n s i t s a u t h o r i t y t o o p e r a t e , i t s s u p p o r t and i t s r e s o u r c e s ) , which uses t h e i n s t i t u t i o n ' s o u t p u t and p r o v i d e s complementary s e r v i c e s , and t o which t h e i n s t i t u t i o n s t r i v e s t o t r a n s f e r i t s

. v a l u e s , norms, and t e c h n o l o g i e s . These p o i n t s o f i n t e r a c t i o n w i t h t h e environment have been termed institutional linkages. Besides t h e s p e c i f i c a t i o n o f t h e r e l e v a n t environment and i t s p r o p e r t i e s , we are concerned w i t h the k i n d s and purposes o f t r a n s a c t i o n s w h ich are conducted between t h e i n s t i t u t i o n and i t s environment. Under t r a n s a c t i o n s are i n c l u d e d b o t h t h e exchange o f goods and s e r v i c e s , and t h e exchange o f power, i n f l u e n c e and v a l u e s .

The t h r e e a n a l y t i c a l c a t e g o r i e s o f i n s t i t u t i o n b u i l d i n g are p r e s e n t e d i n I l l u s t r a t i o n 5. The elements i d e n t i f i e d under i n s t i t u t i o n and l i n k a g e s , as w e l l as t h e c a t e g o r y of t r a n s a c t i o n s , are d e s c r i b e d as f o l l o w s :

(b) Institution variables - our f i r s t v a r i a b l e s f o r t h e a n a l y s i s o f t h e i n s t i t u t i o n - b u i l d i n g process a r e c l a s s i f i e d i n t o f i v e c a t e g o r i e s . The d e s c r i p t i o n s suggest some o f t h e p r o p e r t i e s which d e t e r m i n e t h e v a l u e o f each c e n t r a l concept .

(1) Leadership - L e a d e r s h i p i s d e f i n e d here as t h e group o f persons who are a c t i v e l y engaged i n the. f o r m u l a t i o n o f t h e d o c t r i n e and program o f t h e i n s t i t u t i o n , and who d i r e c t i t s o p e r a t i o n and r e l a t i o n s h i p s w i t h t h e environment. On t h e b a s i s o f t h i s d e f i n i t i o n , t h e l e a d e r s h i p group i s n o t r e s t r i c t e d t o those who a r e f o r m a l l y charged w i t h t h e d i r e c t i o n o f the i n s t i t u t i o n , b u t i n c l u d e s a l l t h o s e who - a c c o r d i n g t o the d e f i n i t i o n o f i n s t i t u t i o n b u i l d i n g - p a r t i c i p a t e i n t h e " p l a n n i n g s t r u c t u r i n g and guidance" o f t h e i n s t i t u t i o n . L e a d e r s h i p i s viewed as a u n i t , w i t h t h e v a r i a b l e s or

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I l l u s t r a t i o n 5 THE INSTITUTION-BUILDING UNIVERSE

O r g a n i z a t i o n s o r S o c i a l Groups C o n t r o l l i n g A l l o c a t i o n o f A u t h o r i t y and Resources Needed by I n s t i t u t i o n

Other I n s t i t u t i o n s I n c o r p o r a t i n g Norms and Values Relevant t o Doct r i n e and Program o f I n s t i t u t i o n Under Study

t Complementary O r g a n i z a t i o n s S u p p l y i n g I n p u t s and/or Using Outputs

E n a b l i n g Linkages and T r a n s a c t i o n s

I n s t i t u t i o n ^ U n d e r Study

Normative Linkages

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I n s t i t u t i o n v a r i a b l e s : L e a d e r s h i p D o c t r i n e Program Resources I n t e r n a l s t r u c t u r e

F u n c t i o n a l Linkages

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f f u s e d Linkage and T r a n s a c t i o n s

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d e t e r m i n a n t s o f l e a d e r s h i p b e i n g s i g n i f i c a n t f o r t h e group, r a t h e r t h a n i n terms o f each i n d i v i d u a l .

Some o f t h e v a r i a b l e s i n t h e l e a d e r s h i p c a t e g o r y a r e : p o l i t i c a l v i a b i l i t y — t h e p o l i t i c a l a c c e p t a b i l i t y and s u r v i v a l power o f t h e members o f t h e l e a d e r s h i p group; p r o f e s s i o n a l s t a t u s — t h e s t a t u s o r rank i n t h e p r o f e s s i o n a l group and f i e l d o f a c t i v i t y w i t h i n w h i c h t h e i n s t i t u t i o n o p e r a t e s ; t e c h n i c a l competence --w i t h r e g a r d t o t h e f u n c t i o n a l area and t e c h n o l o g i e s used by t h e i n s t i t u t i o n ; o r g a n i z a t i o n competence — t h e a b i l i t y t o d e s i g n and implement e f f e c t i v e s t r u c t u r e s and processes f o r t h e o p e r a t i o n o f t h e i n s t i t u t i o n ; r o l e d i s t r i b u t i o n — t h e d i s t r i b u t i o n o f r o l e s and f u n c t i o n s t o p e r m i t t h e u t i l i z a t i o n o f t h e complementary a s s e t s w h i c h l e a d e r s h i p group members b r i n g t o t he s i t u a t i o n ; c o n t i n u i t y — t h e co n t i n u o u s a s s o c i a t i o n o f members o f t h e l e a d e r s h i p group w i t h t h e i n s t i t u t i o n .

Doctrine - D o c t r i n e i s d e f i n e d as t h e s p e c i f i c a t i o n of v a l u e s , o b j e c t i v e s and o p e r a t i o n a l methods u n d e r l y i n g s o c i a l a c t i o n . The d o c t r i n e i s viewed as t h e s t a b l e r e f e r e n c e p o i n t o f t h e i n s t i t u t i o n and o f i t s i n t e r a c t i o n w i t h t h e en v i r o n m e n t , t o which a l l o t h e r v a r i a b l e s are r e l a t e d .

Some o f t h e v a r i a b l e s i n t h i s c a t e g o r y a r e : s p e c i f i c i t y -- t h e e x t e n t t o wh i c h t h e elements i n t h e d o c t r i n e supply t h e necessary f o u n d a t i o n f o r s o c i a l a c t i o n i n a g i v e n s i t u a t i o n ; r e l a t i o n s h i p t o e x i s t i n g norms — t h e c o n f o r m i t y o f t h e d o c t r i n e elements t o t h e s o c i a l l y expected and s a n c t i o n e d b e h a v i o r ; r e l a t i o n s h i p t o t h e p r e f e r e n c e s and p r i o r i t i e s o f t h e s o c i e t y — s p e c i f y i n g t h e r e l a t i o n o f d o c t r i n e elements t o t h e i n t e r m e d i a t e g o a l s and t a r g e t s o f t h e s o c i e t y .

Program - Program i s d e f i n e d as those a c t i o n s w h i c h ar e r e l a t e d t o t h e performance o f f u n c t i o n s and ser v i c e s c o n s t i t u t i n g t h e o u t p u t o f t h e i n s t i t u t i o n .

R e l e v a n t v a r i a b l e s o f t h e program a r e : c o n s i s t e n c y w i t h t h e r u l e s o r s p e c i f i c a t i o n s c o n t a i n e d i n t h e d o c t r i n e and among t h e programmatic elements; s t a b i l i t y — t h e r e l i a b i l i t y o f t h e o u t p u t i n terms o f q u a l i t y , q u a n t i t y , and i n ti m e p e r s p e c t i v e ; f e a s i b i l i t y r e g a r d i n g p h y s i c a l and human r e s o u r c e s , complementary p r o d u c t i o n o f o t h e r o r g a n i z a t i o n s , and t h e a b s o r p t i v e c a p a c i t y o f t h e s o c i e t y ; c o n t r i b u t i o n t o needs — conc e r n i n g t h e a c t u a l c o n t r i b u t i o n made t h r o u g h program a c t i o n s t o s a t i s f y i n g t h e s p e c i f i e d needs o f s o c i e t y .

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(4) Resources - D e f i n e d as t h e p h y s i c a l , human and t e c h n o l o g i c a l i n p u t s o f t h e i n s t i t u t i o n . Resources i s a s i g n i f i c a n t c a t e g o r y , n o t o n l y w i t h r e g a r d t o th o s e resources w h i c h are a t t h e i n s t i t u t i o n ' s d i s p o s a l o r which i t can a c q u i r e i n a b s o l u t e terms, b u t a l s o r e g a r d i n g t h e sources from which t h e y have been o r can be o b t a i n e d . Program d e c i s i o n s , and even d e c i s i o n s c o n c e r n i n g d o c t r i n e and l e a d e r s h i p , may be a f f e c t e d by t h e a b i l i t y t o m o b i l i z e r e s o u r c e s , and t h e sources from w h ich t h e y can be o b t a i n e d . The sources w i l l a l s o a f f e c t t h e i n t e r d e p e n d e n c i e s o f t h e i n s t i t u t i o n w i t h o t h e r o r g a n i z a t i o n s .

Two v a r i a b l e s under r e s o u r c e s a r e : a v a i l a b i l i t y - t h e p h y s i c a l , human and t e c h n o l o g i c a l i n p u t s which are a v a i l a b l e o r can be o b t a i n e d f o r t h e f u n c t i o n i n g o f th e i n s t i t u t i o n and t h e performance o f t h e program; sources - t h e sources from w h ich t h e i n p u t s have been o b t a i n e d and a l t e r n a t i v e sources t o w h i c h t h e i n s t i t u t i o n has access.

(5) Internal structure - D e f i n e d as t h e s t r u c t u r e and processes e s t a b l i s h e d f o r t h e o p e r a t i o n o f t h e i n s t i t u t i o n and f o r i t s maintenance. The d i s t r i b u t i o n o f f u n c t i o n s and a u t h o r i t y , t h e processes o f communicat i o n and d e c i s i o n making, and o t h e r r e l a t i o n s h i p and a c t i o n p a t t e r n s are e s s e n t i a l f o r t h e a n a l y s i s o f i n s t i t u t i o n b u i l d i n g and maintenance. I n t e r n a l s t r u c t u r e and processes d e t e r m i n e t h e e f f i c i e n c y and e f f e c t i v e n e s s o f program performance, as w e l l as t h e i d e n t i f i c a t i o n o f p a r t i c i p a n t s w i t h t h e o r g a n i z a t i o n , i t s d o c t r i n e and program.

I m p o r t a n t v a r i a b l e s i n t h i s c a t e g o r y a r e : i d e n t i f i c a t i o n — t h e mechanisms and processes which enhance i d e n t i f i c a t i o n o f p a r t i c i p a n t s w i t h t h e i n s t i t u t i o n ; c o n s i s t e n c y — conformance o f i n t e r n a l s t r u c t u r e w i t h t h e r u l e s and s p e c i f i c a t i o n s o f t h e i n s t i t u t i o n ' s d o c t r i n e and program; a d a p t a b i l i t y — t h e c a p a c i t y t o change over t i m e t o accommodate s h i f t s i n program emphasis and o t h e r changing c o n d i t i o n s .

(c) Linkage variables - The l i n k a g e v a r i a b l e s s p e c i f y t h e i n t e r dependencies which e x i s t between an i n s t i t u t i o n and o t h e r r e l e v a n t p a r t s o f t h e s o c i e t y . We have s t a t e d e a r l i e r t h a t an i n s t i t u t i o n cannot be s t u d i e d i n i s o l a t i o n . I t i s dependent on o t h e r s o c i a l o r g a n i z a t i o n s f o r i t s a u t h o r i t y t o f u n c t i o n , and f o r t h e a c q u i s i t i o n o f r e s o u r c e s . I t i s dependent on t h e complementary p r o d u c t i o n o f o t h e r o r g a n i z a t i o n s , and on t h e a b i l i t y o f i t s environment t o use i t s r e s o u r c e s . I t i s a l s o concerned w i t h and s u b j e c t t o t h e norms o f r e l a t i o n s h i p and a c t i o n w h ich are e s t a b l i s h e d i n

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t h e s o c i e t y . The i n s t i t u t i o n a l l i n k a g e s are t h e p o i n t s where t h e i n s t i t u t i o n m a i n t a i n s exchange r e l a t i o n s h i p s w i t h i t s environment. A mapping o f t h e i n s t i t u t i o n a l l i n k a g e s i s t h e s t r a t e g i c mapping f o r t h e a n a l y s i s o f t h e i n s t i t u t i o n - b u i l d i n g p r o c e s s .

The c r e a t i o n o f a new i n s t i t u t i o n or t h e r e c o n s t i t u t i o n of an e x i s t i n g i n s t i t u t i o n w i l l a f f e c t t h e r o l e b o u n d a r i e s of t h e i n t e r d e p e n d e n t complex o f f u n c t i o n a l l y r e l a t e d o r g a n i z a t i o n s . The s t r a t e g i c m a n i p u l a t i o n o f e x i s t i n g l i n k a g e s by a new i n s t i t u t i o n i s o f c o n s i d e r a b l e r e l e v a n c e t o t h e i n s t i t u t i o n b u i l d i n g process.

W i t h i n t h e c l a s s o f i n s t i t u t i o n a l l i n k a g e s , we s h a l l d i s t i n g u i s h f o u r c a t e g o r i e s : (a) e n a b l i n g l i n k a g e s , (b) f u n c t i o n a l l i n k a g e s , (c) n o r m a t i v e l i n k a g e s , and (d) d i f f u s e d l i n k a g e s .

(1) Enabling linkages - The e n a b l i n g l i n k a g e s are t h e l i n k a g e s w i t h o r g a n i z a t i o n s and s o c i a l groups which c o n t r o l t h e a l l o c a t i o n o f a u t h o r i t y and resources needed by t h e i n s t i t u t i o n t o f u n c t i o n . I n t h e c r e a t i o n stage o f a new i n s t i t u t i o n , t h e y are t h e prime t a r g e t o f t h e i n s t i t u t i o n b u i l d e r s . I t i s t h r o u g h t h e e n a b l i n g l i n k a g e s t h a t t h e change agents seek t o f u r t h e r t h e i r cause and t h a t t h e c o m p e t i t i v e c l a i m a n t s and o t h e r f o r c e s o f o p p o s i t i o n seek t o w i t h h o l d a u t h o r i t y and resources from t h e new i n s t i t u t i o n . A l s o f o r c o n t i n u e d f u n c t i o n i n g , t h e i n s t i t u t i o n i s dependent on i t s e n a b l i n g l i n k a g e s .

The e n t i t i e s w i t h i n t h i s c a t e g o r y are t h e s p e c i f i c o r g a n i z a t i o n s and groups w i t h which e n a b l i n g l i n k a g e s e x i s t .

(2) Functional linkages - T h i s second s e t o f l i n k a g e s are t h e l i n k a g e s w i t h those o r g a n i z a t i o n s p e r f o r m i n g f u n c t i o n s and s e r v i c e s which are complementary i n a p r o d u c t i o n sense, which s u p p l y t h e i n p u t s , and which use t h e o u t p u t s o f t h e i n s t i t u t i o n . I t sh o u l d be noted, however, t h a t i n t h e case o f i n p u t s we have i n c l u d e d t h e aggregate f i n a n c i a l r e s o u r c e s — t h e c a p i t a l and o p e r a t i n g budget — under t h e e n a b l i n g l i n k a g e s . Also i n c l u d e d i n t h e f u n c t i o n a l l i n k a g e complex are those o r g a n i z a t i o n s which p e r f o r m o r seek t o p e r f o r m , s i m i l a r f u n c t i o n s and s e r v i c e s t o those o f t h e i n s t i t u t i o n under s t u d y .

I n i t s i n t e r a c t i o n w i t h t h e f u n c t i o n a l l i n k a g e o r g a n i z a t i o n s , an i n s t i t u t i o n w i l l s t r i v e f o r a c h i e v i n g c o m p l e m e n t a r i t y . As an i n s t i t u t i o n which embodies and promotes new r e l a t i o n s h i p and a c t i o n p a t t e r n s , and

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new t e c h n o l o g i e s , i t works t o w a r d t h e spread o f t h e s e i n n o v a t i o n s t h r o u g h t h e f u n c t i o n a l l i n k a g e s .

A g a i n , t h e e n t i t i e s i n t h i s c a t e g o r y a r e t h e o r g a n i z a t i o n s w i t h w h ich complementary o r c o m p e t i t i v e r e l a t i o n s h i p s e x i s t .

(3) Normative linkages - The n o r m a t i v e l i n k a g e s s p e c i f y t h e l i n k a g e s w i t h i n s t i t u t i o n s w h i ch i n c o r p o r a t e norms and v a l u e s w h ich are r e l e v a n t t o t h e d o c t r i n e and program o f t h e i n s t i t u t i o n . T h i s a p p l i e s t o b o t h t h e s o c i o c u l t u r a l norms and t h e o p e r a t i n g r u l e s and r e g u l a t i o n s . As an example, an i n s t i t u t i o n may be a f f e c t e d by t h e r u l e s and r e g u l a t i o n s o f a c i v i l s e r v i c e commission, even though no e n a b l i n g o r f u n c t i o n a l l i n k a g e e x i s t s w i t h t h a t body. S i m i l a r l y , c e r t a i n norms and v a l u e s may be p r o t e c t e d by a r e l i g i o u s o r p o l i t i c a l o r g a n i z a t i o n , w i t h o u t a d i r e c t l i n k a g e o f the (1) o r (2) c a t e g o r y e x i s t i n g between t h e i n s t i t u t i o n and t h e n o r m - p r o t e c t i n g o r g a n i z a t i o n . Y e t , t h e presence o f th e s e norms and v a l u e s i n o t h e r p a r t s o f t h e s o c i e t y w i l l a f f e c t t h e f e a s i b i l i t y , p r ocess and s t r a t e g y o f i n s t i t u t i o n b u i l d i n g . Depending on t h e p r o p e r t y o f t h e l i n k a g e , i t can enhance or hamper t h e i n s t i t u t i o n - b u i l d i n g p r o c e s s , and i s a s t r a t e g i c element f o r a c t i o n and a n a l y s i s .

The s i g n i f i c a n t e n t i t i e s i n t h i s c a t e g o r y are those norms- and v a l u e - p r o t e c t i n g i n s t i t u t i o n s which enhance o r h i n d e r d e v i a t i o n s i n t r o d u c e d by t h e i n s t i t u t i o n .

(4) Diffused linkages - Not a l l t h e i n t e r d e p e n d e n c i e s between an i n s t i t u t i o n and i t s environment a r e w i t h s p e c i f i c s o c i a l o r g a n i z a t i o n s . The e s t a b l i s h m e n t and o p e r a t i o n o f an i n s t i t u t i o n i s a l s o a f f e c t e d by t h e more d i f f u s e d s u p p o r t or r e s i s t a n c e i n i t s immediate environment and i n t h e l a r g e r s o c i e t y . Thus, d i f f u s e d l i n k a g e s r e f e r t o p u b l i c o p i n i o n and r e l a t i o n s w i t h t h e p u b l i c , as expressed i n news media and o t h e r channels f o r t h e c r y s t a l l i z a t i o n - and e x p r e s s i o n o f i n d i v i d u a l and s m a l l group o p i n i o n n o t r e f l e c t e d i n f o r m a l i n s t i t u t i o n s .

(d) Transactions - I n t h e s t r u c t u r i n g o f ah i n s t i t u t i o n , t h e performance o f i t s program, and t h e t r a n s f e r o f i t s i n n o v a t i o n s t o o t h e r segments o f t h e s o c i e t y , an i n s t i t u t i o n conducts c e r t a i n t r a n s a c t i o n s w i t h t h e s o c i a l o r g a n i z a t i o n s w i t h which i t has l i n k a g e s . T r a n s a c t i o n s a r e d e f i n e d as t h e exchange o f goods and s e r v i c e s , and t h e exchange o f power and i n f l u e n c e . Thus, i t i s n o t r e s t r i c t e d t o p h y s i c a l i n p u t s and o u t p u t s , b u t i n c l u d e s such s o c i a l i n t e r a c t i o n as

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communication, a c q u i s i t i o n o f s u p p o r t and t h e t r a n s f e r o f norms and v a l u e s .

A s p e c i f i c a t i o n o f t h e t r a n s a c t i o n s which t a k e p l a c e between an i n s t i t u t i o n and the s o c i a l e n t i t i e s i n i t s environment may be made i n terms o f the purposes o f t h e t r a n s a c t i o n s . T h i s i s r e l e v a n t f o r t h e stud y o f t h e f l o w s o f d i f f e r e n t k i n d s o f t r a n s a c t i o n s and t h e i r e f f e c t , o f t h e i n s t i t u t i o n a l l i n k a g e s t h r o u g h which t r a n s a c t i o n s t a k e p l a c e , and t h e i n s t i t u t i o n a l v a r i a b l e s which a f f e c t t h e t r a n s a c t i o n p a t t e r n s . The f o l l o w i n g purposes o f t r a n s a c t i o n s have been i d e n t i f i e d :

(1) Gaining support and overcoming resistance - An i m p o r t a n t element i n t h e t r a n s a c t i o n s o f a new i n s t i t u t i o n w i t h i t s s u r r o u n d i n g s i s t o s t r e n g t h e n o r c r e a t e bases o f s u p p o r t f o r the o r g a n i z a t i o n and i t s program. I n p a r t , t h i s c o n s i s t s o f overcoming o p p o s i t i o n by c r e a t i n g a f a v o r a b l e r e l a t i o n s h i p , by n e u t r a l i z i n g , o r by i s o l a t i n g o p p o s i t i o n f o r c e s .

(2) Resource exchang es - The purpose here i s t h e a c q u i s i t i o n o f t h e necessary resources f o r t h e o p e r a t i o n o f t h e i n s t i t u t i o n and t h e d i s t r i b u t i o n o f t h e o u t p u t s o f t h e o r g a n i z a t i o n .

(3) Structuring the environment - F r e q u e n t l y an i n s t i t u t i o n w i l l be c r e a t e d i n an environment which i s i l l p r e p a r e d f o r t h e f u l f i l l m e n t o f complementary s e r v i c e s on which t h e i n s t i t u t i o n i s dependent f o r th e e f f e c t i v e performance o f i t s f u n c t i o n s . Thus, a number o f t h e t r a n s a c t i o n s o f t h e i n s t i t u t i o n w i l l be designed t o c r e a t e c o m p l e m e n t a r i t y by b r i n g i n g about changes i n e x i s t i n g o r g a n i z a t i o n s , o r by c r e a t i n g new u n i t s o u t s i d e t h e e x i s t i n g o r g a n i z a t i o n a l complex which w i l l p r o v i d e t h e necessary c o m p l e m e n t a r i t y .

(4) Transfer of norms and values - Some t r a n s a c t i o n s o f t h e i n s t i t u t i o n w i l l be d i r e c t e d toward i n t r o d u c i n g new r e l a t i o n s h i p and a c t i o n p a t t e r n s which are normative^ f o r o t h e r i n d i v i d u a l s and o r g a n i z a t i o n s i n t h e s o c i e t y . G i v i n g a t t e n t i o n t o t h i s ' k i n d o f t r a n s a c t i o n i s b o t h e s s e n t i a l and charact e r i s t i c f o r i n s t i t u t i o n a l o r g a n i z a t i o n s .

The above l i s t i n g o f a t y p o l o g y o f t r a n s a c t i o n s i s n e i t h e r e x h a u s t i v e , nor a r e t h e c a t e g o r i e s m u t u a l l y e x c l u s i v e . A g i v e n s e t o f i n t e r a c t i o n s may have, s i m u l t a n e o u s l y , s e v e r a l o f t h e purposes mentioned.

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The f l o w o f t r a n s a c t i o n s , t h e i r purposes and elements, appear t o be s i g n i f i c a n t f o r t h e a n a l y s i s o f t h e s t r a t e g y and process o f i n s t i t u t i o n b u i l d i n g .

4. T H E L A R G E R T H E O R E T I C A L FRAMEWORK We s h a l l now s k e t c h t h e o u t l i n e s o f t h e l a r g e r system, t h e t h e o r e t i c a l c o n t e x t and p e r s p e c t i v e s , i n t o which our r e s e a r c h focus on i n s t i t u t i o n b u i l d i n g w i l l f i t - The model t o be g i v e n here does n o t n e c e s s a r i l y r e p r e s e n t a consensus o f t h e s c h o l a r s who are engaged i n t h e i n t e r -u n i v e r s i t y i n s t i t u t i o n - b u i l d i n g p r o j e c t , b u t i t i s based on a p a p e r 2

p r e s e n t e d some two years ago t o a Research Seminar o f t h e Comparative A d m i n i s t r a t i o n Group a t Boston U n i v e r s i t y . I t was assumed t h a t t h r o u g h o u t t h e underdeveloped w o r l d , g o v e r n i n g e l i t e s have committed themselves and t h e i r regimes i n l a r g e measure, though w i t h v a r y i n g degrees o f i n t e n s i t y , t o two i n t e r - r e l a t e d m o d e r n i z i n g g o a l s : n a t i o n b u i l d i n g and socio-economic p r o g r e s s .

I t i s r e c o g n i z e d , o f c o u r s e , t h a t g o v e r n i n g e l i t e s m i g h t be m o t i v a t e d a l s o by o t h e r , o f t e n competing g o a l s , e x p l i c i t o r l a t e n t , such as s u r v i v a l o r enrichment i n o f f i c e , t e r r i t o r i a l e x p ansion, o r t h e p r o t e c t i o n o f v e s t e d economic o r s o c i a l i n t e r e s t s . To t h e degree t h a t t h i s o c c u r s , t h e model p r e s e n t e d here l o s e s i t s r e l e v a n c e . There is', however, i m p r e s s i v e evidence p r o v i d e d by many o t h e r s c h o l a r s and by observed b e h a v i o r o f key members o f these e l i t e s , t h a t n a t i o n b u i l d i n g and socio-economic p r o g r e s s a r e , i n f a c t , p o w e r f u l m o t i v a t i o n a l g o a l s i n most t r a n s i t i o n a l s o c i e t i e s . Though t h i s assumption may somewhat o v e r s i m p l i f y r e a l i t y by n e g l e c t i n g o t h e r and p o s s i b l y competing g o a l s , i t p r o v i d e s a method f o r i l l u m i n a t i n g , t h r o u g h r e s e a r c h , t h e p a t t e r n s o f a c t i o n and o r g a n i z a t i o n w h ich a r e most l i k e l y t o move t r a n s i t i o n a l s o c i e t i e s t o w a r d these t w i n g o a l s .

N a t i o n b u i l d i n g and socio-economic p r o g r e s s , as o v e r r i d i n g g o a l s , c o n s t i t u t e n o r m a t i v e guides and r e g u l a t o r s o f o f f i c i a l d o c t r i n e , and as such i n f l u e n c e p u b l i c p o l i c y and programmed a c t i o n . They c a l l f o r t h e o p e r a t i o n a l s o l u t i o n o f a s e r i e s o f major t a s k s common t o a l l regimes which have espoused these g o a l s , and f o r o p e r a t i n g programs t h r o u g h which t h e s e t a s k s are p e r f o r m e d , and w h i c h c o n s t i t u t e t h e c o r e o f development a d m i n i s t r a t i o n . Our t a s k , o r a c t i o n - o r i e n t e d model, now be g i n s t o emerge, i n c o r p o r a t i n g t h e f o l l o w i n g components: a g o v e r n i n g , g o a l - o r i e n t e d e l i t e w h i ch bears t h e major r e s p o n s i b i l i t y f o r i n i t i a t i n g and d i r e c t i n g t h e process o f m o d e r n i z i n g change; a d o c t r i n e , o r s e t o f a c t i o n commitments, which e s t a b l i s h e s , communic a t e s , and l e g i t i m i z e s norms; p r i o r i t e s and s t y l e s f o r o p e r a t i n g programs; and a s e t o f a c t i o n i n s t r u m e n t s t h r o u g h which communication

Esman, Milton J. THE POLITICS OF DEVELOPMENT ADMINISTRATION, CAG Occasional Paper, 1963.

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w i t h t h e community i s m a i n t a i n e d and o p e r a t i n g programs are i m p l e mented. These are s e t f o r t h s c h e m a t i c a l l y i n I l l u s t r a t i o n 6•

The f o l l o w i n g f o u r p r i n c i p a l a c t i o n i n s t r u m e n t s are a v a i l a b l e t o t he g o v e r n i n g e l i t e s : (1) p o l i t i c a l o r g a n i z a t i o n , (2) t h e a d m i n i s t r a t i v e system, (3) a s s o c i a t i o n a l i n t e r e s t g r oups, (4) the mass media. The r e a l i z a t i o n o f t h e g o a l s , as w e l l as t h e i n i t i a t i o n , p r o t e c t i o n and e f f e c t u a t i o n o f i n d i v i d u a l programs, r e q u i r e s t h e use o f s e v e r a l or a l l o f these a c t i o n i n s t r u m e n t s i n c o n c e r t . The a d m i n i s t r a t i v e system, unaided by complementary i n s t r u m e n t s , i s , i n most t r a n s i t i o n a l s o c i e t i e s , unable t o c a r r y t h i s burden a l o n e .

The r e l e v a n c e o f t h i s l a r g e r model t o i n s t i t u t i o n - b u i l d i n g r e s e a r c h now becomes c l e a r . The t w i n g o a l s o f n a t i o n b u i l d i n g and s o c i o economic development, and t h e co n c o m i t a n t a s s i m i l a t i o n o f new v a l u e s and norms by s o c i e t y cannot, as an i n s p e c t i o n o f t h e a c t i o n i n s t r u ments w i l l show, be ach i e v e d w i t h o u t o r g a n i z a t i o n and i n s t i t u t i o n a l i z a t i o n . The l a t t e r may occur i n t h e p o l i t i c a l , a d m i n i s t r a t i v e o r mass media f i e l d , o r i n t h e f i e l d o f s p e c i f i c a s s o c i a t i o n a l i n t e r e s t s and g r o u p i n g s . These f i e l d s p r o v i d e c h a n n e l s , t h r o u g h t h e b u i l d i n g o f e f f e c t i v e i n s t i t u t i o n s , f o r t h e g o v e r n i n g e l i t e s t o m o t i v a t e t h e community i n su p p o r t o f program measures and t o deploy r e s o u r c e s w i t h reasonable c o n f i d e n c e t h a t t h e community i s p r e p a r e d t o r e c e i v e them. A s u c c e s s f u l i n s t i t u t i o n i n any development a c t i o n f i e l d w i l l thus become a c r i t i c a l two-way communication l i n k between t h e g o v e r n i n g e l i t e and t h e community, and w i l l p e r m i t t h e f e l t need o f groups t o become m a n i f e s t , p r o v i d e l e g i t i m a t e means o f i n t e r e s t a r t i c u l a t i o n , y e t enable l e a d e r s h i p t o a n t i c i p a t e t h e consequences o f programmed a c t i o n and m a i n t a i n cont i n u i n g p r e s s u r e i n b e h a l f o f planned i n n o v a t i o n s . I n s h o r t , i n s t i t u t i o n b u i l d i n g p r o v i d e s t h e means by which a c h a n g e - o r i e n t e d l e a d e r s h i p can a r t i c u l a t e w i t h an o r g a n i z e d community, and t h e community can' p a r t i c i p a t e i n t he s t r u g g l e t o achieve t h e t w i n g o a l s .

The l a r g e r g o a l and a c t i o n - o r i e n t e d model f o r n a t i o n b u i l d i n g and socio-economic development t h u s p r o v i d e s b o t h a t h e o r e t i c a l • f r a m e work and c o n t e x t , and a p e r s p e c t i v e and o r i e n t a t i o n f o r t h e n a r r o w e r model which g u i d e s our i n s t i t u t i o n - b u i l d i n g r e s e a r c h . I t w i l l a s s i s t us i n s e l e c t i n g c r i t i c a l i n s t i t u t i o n s which must be r e s e a r c h e d when t h e focus i s on s o c i a l change i n d e v e l o p i n g s o c i e t i e s ; i t i n d i c a t e s l i k e l y i n t e r d e p e n d e n c i e s w i t h t h e environment as w e l l as i n t e r - i n s t i t u t i o n a l l i n k a g e s . Both models, though d i f f e r e n t i n scope, are s i m i l a r i n t h a t t h e y assume as a b a s i s human d e s i g n and p u r p o s e f u l a c t i o n ; and some v a r i a b l e s such as l e a d e r s h i p ( g o v e r n i n g e l i t e s ) and d o c t r i n e occur i n b o t h models. One may t h i n k o f b o t h models as wheels o f d i f f e r e n t s i z e mounted on t h e same a x l e o r d r i v e s h a f t ; we may s h i f t from one t o t h e o t h e r , from low t o h i g h g e a r , o r v i c e v e r s a , depending on whether we w i s h t o stu d y s o c i a l change on t h e macro, o r s o c i e t a l l e v e l , or on t h e m i c r o l e v e l o f the i n d i v i d u a l change agent o r i n s t i t u t i o n .

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I l l u s t r a t i o n 6 TASK-ORIENTED MODEL OF NATION BUILDING AND

SOCIO-ECONOMIC DEVELOPMENT

FEEDBACK INPUTS

I d e o l o g y

Environment

Feedback

Other F a c t o r s

OUTPUTS

Governing" E l i t e D o c t r i n e J Decision-Making A c t i o n

Process Commitments

A c t i o n I n s t r u m e n t s 1. A d m i n i s t r a t i v e System 2. P o l i t i c a l O r g a n i z a t i o n 3. Mass Media 4. A s s o c i a t i o n a l I n t e r e s t

Groups

FEEDBACK

Op e r a t i n g Programs 1. E d u c a t i o n 2. A g r a r i a n Reform 3. Tax Reform 4. I n d u s t r i a l i z a t i o n 5. I n f r a s t r u c t u r e 6. Etc.

5. SOME R E M A R K S ON METHODOLOGY

L e t us now s h i f t back t o t h e lo w e r , l e s s speedy b u t perhaps more p o w e r f u l gear o f t h e i n s t i t u t i o n - b u i l d i n g model. I n o r d e r t o ensure t h e c u m u l a t i v e q u a l i t y o f our r e s e a r c h f i n d i n g s , t o enhance t h e c o m p a r a b i l i t y o f data and t o f a c i l i t a t e t h e d e d u c t i o n o f g e n e r a l i z e d p r o p o s i t i o n s and hypotheses a p p l i c a b l e t o t h e i n s t i t u t i o n - b u i l d i n g p r o c e s s as a whole, we have a t t e m p t e d t o d i s c i p l i n e our f i e l d r e s e a r c h t h r o u g h a loose c o n c e p t u a l s t r u c t u r e which serves as a common r e f e r e n c e and d e p a r t u r e p o i n t t o a l l t h e p a r t i c i p a t i n g r e s e a r c h e r s . N e v e r t h e l e s s , w e l l aware t h a t our g u i d i n g concepts do not c o n s t i t u t e t h e l a s t drop o f wisdom, and t h a t c r i t i c a l v a r i a b l e s may have been missed, r e s e a r c h e r s are encouraged t o l o o k f o r a d d i t i o n a l v a r i a b l e s and u n a n t i c i p a t e d r e l a t i o n s h i p s . We a l s o sponsor r e s e a r c h which approaches i n s t i t u t i o n s w i t h d i f f e r e n t key concepts, p r o v i d e d t h e r e s e a r c h p r o p o s a l makes a c o n v i n c i n g case f o r t h i s d i f f e r e n t approach.

To o p e r a t i o n a l i z e t h i s c o n c e p t u a l scheme f o r f i e l d r e s e a r c h purposes, J i r i Nehnevajsa, t h e Chairman o f t h e Department o f S o c i o l o g y a t the U n i v e r s i t y o f P i t t s b u r g h , has designed f o r t h e I n t e r - U n i v e r s i t y Research Program t h e s c a f f o l d o f a methodology which we recommend t o i n d i v i d u a l r e s e a r c h e r s , b u t do n o t r e q u i r e t h a t t h e y f o l l o w .

W i t h i n t h e scope o f t h i s paper, o n l y a few s a l i e n t p o i n t s o f t h i s m e t h o d o l o g i c a l s c a f f o l d 2 can be sk e t c h e d . T h i s methodology c o n s i ders i n s t i t u t i o n b u i l d i n g n o t as a s i n g l e process b u t as a s e t o f d i s t i n c t - though i n t e r r e l a t e d - pro c e s s e s , each o f which c o n s t i t u t e s a s e p a r a t e r e s e a r c h problem. I t g u i d e s t h e a n a l y s i s o f t h e g o a l s of th e i n s t i t u t i o n ; o f t h e program which must be f o r m u l a t e d and i m p l e mented t o meet t h e g o a l s ; o f t h e s u p p o r t which must be o b t a i n e d from t h e e n v i r o n m e n t t o p e r m i t t h e o p e r a t i o n o f t h e i n s t i t u t i o n ; o f t h e program p r i o r i t e s which must be e s t a b l i s h e d and e n f o r c e d ; o f t h e r e s o u r c e s which must be a c q u i r e d ; o f t h e o r g a n i z a t i o n a l s t r u c t u r e and processes which must be designed and p u t i n t o o p e r a t i o n ; and o f t h e c o m p l e m e n t a r i t y which must be a c h i e v e d i n t h e environment t o a s c e r t a i n t h e a v a i l a b i l i t y o f a p p r o p r i a t e i n p u t s and t h e a b s o r p t i o n o f o u t p u t s .

To i d e n t i f y r e l e v a n t v a r i a b l e s and d a t a , t h e methodology thus d i s a g g r e g a t e s t h e process o f i n s t i t u t i o n b u i l d i n g i n t o a f a i r l y l a r g e number o f subprocesses and time-bounded stages. As a s t a r t i n g p o i n t o f a n a l y s i s , two main c y c l e s o f r e s e a r c h are d i s t i n g u i s h e d , t h e e v a l u a t i o n c y c l e and t h e d e s i g n c y c l e . The former b e g i n s w i t h t h e e v a l u a t i o n o f an e x i s t i n g i n s t i t u t i o n , proceeds t o r e d e s i g n whenever needed, and then moves t o r e - e v a l u a t i o n . The d e s i g n c y c l e addresses i t s e l f t o t h e process o f s e t t i n g up a new i n s t i t u t i o n - and t h e n e v a l u a t e s b o t h i t s d e s i g n and o p e r a t i n g c h a r a c t e r i s t i c s . The t y p e

Nehnevajsa, Jiri. METHODOLOGICAL ISSUES IN INSTITUTION-BUILDING RESEARCH, A working paper. University of Pittsburgh, March 29, 1964.

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o f a n a l y s i s u n d e r t a k e n i n b o t h cases i s concerned w i t h t h e i d e n t i f i c a t i o n o f t h e i n s t i t u t i o n ' s g o a l s o r o b j e c t i v e s , i t s a c t u a l o r i n t e n d e d r e s u l t s , some measurement o f a c t u a l o r p o t e n t i a l d i s c r e p a n c i e s between t h e two, and an i d e n t i f i c a t i o n o f sources o f d i s c r e p a n c i e s . The r e s u l t s o f e v a l u a t i o n always f e e d i n t o problems o f d e s i g n w h i c h , i n t u r n , have t o be r e - e v a l u a t e d t h r o u g h m o n i t o r i n g . There a r e a t l e a s t f o u r dimensions t o be analyzed: (1) t h e operat i o n a l o b j e c t i v e s o f t h e i n s t i t u t i o n under s t u d y ; (2) t h e l a r g e r s o c i a l g o a l s which t h e i n s t i t u t i o n ' s o p e r a t i o n a l o b j e c t i v e s s u p p o r t ; (3) t h e i n t e r - i n s t i t u t i o n a l l i n k a g e s from t h e vantage p o i n t o f (a) boundary maintenance, (b) i n p u t and s u p p o r t a c q u i s i t i o n , (c) o u t p u t and s u p p o r t p r o d u c t i o n ; and (4) t h e consequences o f i n s t i t u t i o n a l a c t i o n f o r o t h e r aspects o f s o c i a l , p o l i t i c a l and economic l i f e o f t h e s o c i e t y ( d i f f u s e d l i n k a g e s ) . A n a l y t i c a l s t e p s t o be ta k e n (e.g. g o a l a n a l y s i s , r e a l i z a t i o n a n a l y s i s , d e g r a d a t i o n a n a l y s i s , p r o b l e m - s o l v i n g a n a l y s i s , c o s t - e f f e c t i v e n e s s a n a l y s i s , e t c . ) a r e th e same f o r each dimension. An i n d i v i d u a l r e s e a r c h s t u d y can f r u i t f u l l y concern i t s e l f w i t h one o r s e v e r a l o f t h e steps i n any one d i m e n s i o n , o r d e a l w i t h t h e same s t e p i n s e v e r a l dimensions, o r w i t h s e v e r a l steps i n s e v e r a l dimensions. I n g o a l a n a l y s i s f o r i n s t a n c e , d a t a on n o r m a t i v e v a l u e s h e l d w i l l be c o l l e c t e d from t h e i n s t i t u t i o n ' s l e a d e r s h i p as w e l l as from r e l e v a n t groups i n t h e environment. T h i s w i l l a s c e r t a i n i f t h e r e are d i s c r e p a n c i e s i n g o a l s , and w i l l p e r m i t a s s e s s i n g planned methods, t i m e t a r g e t s and o t h e r f a c t o r s l i k e l y t o reduce any d i s c r e p a n c y .

The methodology a l s o s p e c i f i e s major c a t e g o r i e s o f i n f o r m a t i o n w h ich m i g h t be r e q u i r e d i n t h e k i n d o f a n a l y s i s c o n s i d e r e d above. A u s e f u l t e c h n i c a l d e v i c e i s t h e mapping o f t h e n o r m a t i v e s t r u c t u r e and f u n c t i o n i n g o f an i n s t i t u t i o n ( B l u e p r i n t Mapping), o f i t s o p e r a t i o n s ( O p e r a t i o n s Mapping), and the k i n d s o f p e r c e p t i o n s w h ich s a l i e n t segments o f t h e p o p u l a t i o n have r e g a r d i n g t h e i n s t i t u t i o n (Image Mapping).

For each o f these mappings, i n t u r n , c e r t a i n s u b s t a n t i v e axes a r e i d e n t i f i e d t o c a s t l i g h t on what needs t o be d e p i c t e d . I n t r a -i n s t i t u t i o n a l components ( d o c t r i n e , l e a d e r s h i p , program, f i n a n c i a l and p e r s o n n e l r e s o u r c e s ) , i n t e r n a l s t r u c t u r e , and i n t e r - i n s t i t u t i o n a l r e l a t i o n s h i p s ( e n a b l i n g , f u n c t i o n a l , n o r m a t i v e , and d i f f u s e d l i n k a g e s ) are s p e c i f i e d as aspects o f each map.

The mappings express r e l a t i o n s h i p s and occurrences a t c e r t a i n p o i n t s i n t i m e . T h i s approach i s a r t i c u l a t e d i n terms o f p r e s e n t s t a t e s , a n t e c e d e n t s t a t e s , and f u t u r e s t a t e s o f a f f a i r s o f t h e i n s t i t u t i o n .

F i n a l l y , t h e methodology c o n s i d e r s t h e broad r e s e a r c h d e s i g n r e q u i r e ments w h i c h f l o w from t h e i n t e r a c t i o n o f t h e mapping l e v e l s d i s c u s s e d above, t h e s u b s t a n t i v e aspects o f each map, and t i m e . I t a l s o sketches o u t some o f t h e m e t h o d o l o g i c a l problems which are i n v o l v e d i n t h e a c q u i s i t i o n " o f d a t a r e q u i r e d f o r a n a l y s i s -

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6. LIMITATIONS, E X P E C T A T I O N S , A"V RESEARCH NEEVS

Among t h e l i m i t a t i o n s o f t h i s approach, one p a r t i c u l a r l y s h o u l d be n o t e d : t h i s program researches induced s o c i a l change, n o t "development." At t h e p r e s e n t s t a t e o f knowledge i n t h e s o c i a l s c i e n c e s , t h e r e i s no o b j e c t i v e , s c i e n t i f i c a l l y v a l i d way o f d e f i n i n g "development," "improvement," " p r o g r e s s , " or "m o d e r n i t y . " Unless we wis h t o be p r e s c r i p t i v e or o r i e n t e d toward v a l u e - j u d g m e n t s , we must be s a t i s i f e d t o c o n s i d e r i n s t i t u t i o n b u i l d i n g as an i n s t r u m e n t a l i t y f o r changing p r e s e n t s t a t e s t o w a r d what o t h e r s s p e c i f y as more p r e f e r r e d s t a t e s ; and t o analyze and measure' d e v i a t i o n s from e x i s t i n g n o r mative p a t t e r n s o f v a l u e and a c t i o n which i n s t i t u t i o n b u i l d i n g can b r i n g about.

I n t h i s r e s p e c t , f o r i n s t a n c e , t h e model p r e s e n t e d here seems t o d i f f e r f rom t h a t o f H a r o l d L a s s w e l l w i t h whom we share, however, o t h e r i n s t i t u t i o n - b u i l d i n g concepts. L a s s w e l l urges, i n t h e p o l i t i c a l r e a l m , t h a t "models o f p o l i t i c a l development s h o u l d be e x p l i c i t l y p r e f e r e n t i a l , and t h a t t h e p r e f e r r e d model r e q u i r e s an i d e o l o g y o f p r o g r e s s and commitment t o wide p a r t i c i p a t i o n i n power as a l o n g - r u n g o a l . " 2 Our model does n o t s a t i s f y t h a t r e q u i r e m e n t . N e i t h e r i s t h i s r e s e a r c h program w e l l adapted t o d i s t i n g u i s h between p o l i t i c a l development and p o l i t i c a l decay, s u b j e c t s which Samuel P. H u n t i n g t o n t i e d t o i n s t i t u t i o n - b u i l d i n g concepts i n a s t i m u l a t i n g and p r o v o c a t i v e r e c e n t a r t i c l e . 2 The l a s t few decades have w i t n e s s e d a l a r g e number o f i n t e r e s t i n g cases o f i n s t i t u t i o n b u i l d i n g i n which genuine s o c i a l change was q u i c k l y and e f f e c t i v e l y i n t r o d u c e d and a s s i m i l a t e d , and which c o u l d be f r u i t f u l l y researched i f t h e focus i s on s o c i a l change, h u t n o t i f i t i s on development. We are t h i n k i n g here o f Nazi Germany and t h e communist w o r l d . Take, f o r i n s t a n c e , an i n s t i t u t i o n such as t h e H i t l e r Youth movement or some o f t h e o t h e r Nazi o r g a n i z a t i o n s which a c q u i r e d a l l t h e elements and q u a l i t i e s o f an i n s t i t u t i o n . None o f us would w i s h t o c a l l t h i s process p o l i t i c a l development, b u t i t was r e a l i n d u c e d and a p p a r e n t l y i n s t i t u t i o n a l i z e d s o c i a l change n e v e r t h e l e s s . Whatever one's v a l u e p r e f e r e n c e s may be, t h e more s c i e n t i f i c a l l y v a l i d and f r u i t f u l focus f o r a n a l y z i n g t h e i n s t i t u t i o n - b u i l d i n g process i s s o c i a l change, not development. As s o c i a l a c t o r s , we h o l d v a l u e s and p r e f e r e n c e s . As s c h o l a r s , however, we must r e g a r d these same valu e s and p r e f e r e n c e s as d a t a .

A n o t h e r l i m i t a t i o n , as i n so many s o c i a l s c i e n c e r e s e a r c h undert a k i n g s , i s t h e problem o f measurement and p r e c i s i o n . When mapping t r a n s a c t i o n s and l i n k a g e s , competing p o s i t i v e o r n e g a t i v e i n f l u e n c e s , s u p p o r t and o p p o s i t i o n . , when a t t e m p t i n g t o analyze t h e q u a l i t y and

Lasswell, Harold D. "The Policy Sciences of Development," in WORLD POLITICS, XVII: 2, January 1965, pp. 386-430.

Huntington, Samue I P. "Political Development and Political Decay," in WORLD POLITICS, XVII: 3, April 1965, pp. 386-430.

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e f f e c t o f l e a d e r s h i p and d o c t r i n e , t h e f o r c e s w h ich are a t p l a y can o f t e n be r e l a t e d t o t h e o b j e c t i v e by l i t t l e more t h a n a p l u s o r minus symbol. N e v e r t h e l e s s , t h e r e i s t h e hope t h a t w i t h e x p e r i e n c e more s e n s i t i v e y a r d s t i c k s w i l l be found.

Another problem i s how t o handle t h e d i f f i c u l t dimension o f t i m e . Even though i n n o v a t i o n s must be i n s t i t u t i o n a l i z e d t o be g e n u i n e l y accepted and i n t e g r a t e d i n a d e v e l o p i n g s o c i e t y , even though i n s t i t u t i o n s are i m p o r t a n t v e h i c l e s f o r t r a n s f e r r i n g t e c h n o l o g i e s and i n d u c i n g s o c i a l change, an i n s t i t u t i o n may i n some cases prove t o be an i m p o r t a n t focus f o r r e s i s t i n g change. The same i n s t i t u t i o n w h i c h , i n t h e e a r l y p a r t o f i t s l i f e span, b r o u g h t about t h e acceptance o f an i n n o v a t i o n , and which was perhaps c r e a t e d f o r t h i s v e r y purpose, may, a t a l a t e r p o i n t i n i t s l i f e - c y c l e , become a f o r m i d a b l e o b s t a c l e t o f u r t h e r induced change. Has i t "aged;" has i t become " c o n s e r v a t i v e ? " While we a r e i n t e r e s t e d p r i m a r i l y i n t h e b u i l d i n g phase o f new o r remodeled o r g a n i z a t i o n s , i t i s i m p o r t a n t t o l o o k a t t h e h i s t o r y o f an i n s t i t u t i o n and t o s p e c u l a t e about i t s "age," t h e p o i n t which i t may have reached i n i t s l i f e c y c l e . Why i s t h i s i m p o r t a n t ? Because we w i s h t h i s r e s e a r c h t o be a c t i o n o r i e n t e d , t o a s s i s t i n t h e r a t i o n a l c h o i c e o f t h e i n s t i t u t i o n which may, among a v a i l a b l e a l t e r n a t i v e s , serve b e s t as t h e v e h i c l e f o r t h e d e s i r e d i n n o v a t i o n s . A g a i n , when examining l i n k a g e s between t h e s e l e c t e d and o t h e r e x i s t i n g i n s t i t u t i o n s , t h e h i s t o r y and l i f e - c y c l e o f t h e l i n k e d i n s t i t u t i o n s must be c o n s i d e r e d as i m p o r t a n t f a c t o r s a f f e c t i n g s u p p o r t o f o r r e s i s t a n c e t o t h e i n n o v a t i n g i n s t i t u t i o n .

There are o t h e r i n s t a n c e s where t h e t i m e f a c t o r a f f e c t s p r a c t i c a l d e c i s i o n s and c h o i c e s among a l t e r n a t i v e s which cannot be n e g l e c t e d i f we w i s h t o c o n t r i b u t e t o d e v e l o p i n g an i n s t i t u t i o n - b u i l d i n g t e c h n o l o g y . Are t h e r e necessary sequences o f events i n t h e i n s t i t u t i o n - b u i l d i n g process? Over what p e r i o d o f t i m e i s a d e s i r e d i n n o v a t i o n t o be i n t r o d u c e d i n t h e s o c i e t y ? D e c i s i o n s on t i m e p h a s i n g , on "pushing" o r i n t r o d u c i n g a new t e c h n o l o g y more s l o w l y and g r a d u a l l y , w i l l o b v i o u s l y a f f e c t t h e a c t i o n s t r a t e g y o f t h e i n s t i t u t i o n b u i l d e r s , t h e i r methods o f d e a l i n g w i t h t h e i n s t i t u t i o n a l v a r i a b l e s such as i n t e r n a l s t r u c t u r e , l e a d e r s h i p , d o c t r i n e and r e s o u r c e s , and r e l a t i o n s w i t h l i n k e d i n s t i t u t i o n s .

T h i s t y p e o f d e c i s i o n s , i . e . , those which i n v o l v e c o n s i d e r a t i o n o f t h e f a c t o r o f t i m e , i l l u s t r a t e s w e l l t h e d u a l f o c u s w h ich a l l i n s t i t u t i o n - b u i l d i n g r e s e a r c h must have: t h e focus on t h e i n t e r n a l , o r g a n i z a t i o n a l a spects o f t h e i n s t i t u t i o n , on t h e i n s t r u m e n t s by which norms are f o s t e r e d and p r o t e c t e d , apd t h e focus on t h e e n v i r o n ment which must be b r o u g h t t o accept and v a l u e t h e i n s t i t u t i o n ' s i n n o v a t i v e s e r v i c e s . We cannot a f f o r d t o n e g l e c t e i t h e r . Perhaps t h e most f a s c i n a t i n g c h a l l e n g e i n t h i s r e s e a r c h i s t o ac h i e v e a b e t t e r u n d e r s t a n d i n g o f t h e i n t e r a c t i o n s between o r g a n i z a t i o n s and environment i n t h e c o n t e x t o f d e l i b e r a t e and induced s o c i a l change, and o f the s t r a t e g i e s a v a i l a b l e t o i n s t i t u t i o n b u i l d e r s i n managing th e s e i n t e r r e l a t i o n s h i p s .

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The f o l l o w i n g t y p e s o f i n s t i t u t i o n s a r e those t o which we have g i v e n i n i t i a l r e s e a r c h p r i o r i t y .

(a) EduoationaI: (1) u n i v e r s i t i e s , (2) t e acher t r a i n i n g c e n t e r s , (3) i n s t i t u t e s o f p u b l i c a d m i n i s t r a t i o n ;

(b) Planning: agencies charged w i t h t h e f o r m u l a t i o n o f n a t i o n a l development p l a n s and w i t h r e s o u r c e a l l o c a t i o n ;

(c) Areal and multifunctional: (1) l o c a l government, (2) m u l t i - p u r p o s e resource development agencies;

(d) Cooperatives.

Our v i e w s h o u l d never become so narrow t h a t we t h i n k i n s t i t u t i o n b u i l d i n g i s t h e only process by which s o c i a l change can be induced. While t h i s i s a major a c t i o n p r o c e s s , t h e r e i s more t h a n one p a t h t o s a l v a t i o n . Throughout our e n t e r p r i s e , however, we are unashamedly p r e o c c u p i e d w i t h a c t i o n and w i t h t h e problems o f t h e p r a c t i t i o n e r s . Enormous e f f o r t s and resources' are b e i n g committed t o induce change by i n d i g e n o u s governments and f o r e i g n a d v i s o r s w i t h l i t t l e a p p r e c i a t i o n o f t h e i n s t i t u t i o n - b u i l d i n g dimensions o f t h e i r u n d e r t a k i n g s and l i t t l e guidance i n t h e s t r a t e g i e s and p r a c t i c e s t h a t m i g h t enhance t h e i r p r o s p e c t s o f success, reduce t h e i r margin o f u n c e r t a i n t y , o r m i n i m i z e a v o i d a b l e m i s t a k e s . We i n t e n d t o m a i n t a i n a c o n t i n u i n g d i a l o g u e w i t h p r a c t i t i o n e r s o f the a r t o f i n s t i t u t i o n b u i l d i n g so t h a t t h e y may p a r t i c i p a t e i n t r a n s l a t i n g our f i n d i n g s w i t h a minimum o f d e l a y i n t o guidance t h a t may be i m m e d i a t e l y u s e f u l and may c o n s t i t u t e t h e elements o f an e v e n t u a l s o c i a l t e c h n o l o g y .

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Discussion

1. INSTITUTIONS RELATED TO O R G A N I Z A T I O N S

Most o f t h e papers p r e p a r e d f o r t h e meeting d e a l t w i t h p a r t i c u l a r v a l u e - i n s t i t u t i o n s (e.g. w e l l - b e i n g , e n l i g h t e n m e n t ) i n t h e framework proposed by L a s s w e l l and Holmberg, and i n t h e ways each a u t h o r t h o u g h t most a p p r o p r i a t e t o show t h e f u n c t i o n i n g o f t h e system. I s a r d and R y d e l l developed an e q u i l i b r i u m model which s p e c i f i e d f u n c t i o n a l r e l a t i o n s h i p s more v i g o r o u s l y t h a n i n t h e L a s s w e l l -Holmberg paper, and b r i n g i n g i n t h e concept o f r e g i o n s . Bennis and P e t e r d e s c r i b e d some elements and r e l a t i o n s h i p s i n a t e n t a t i v e b e h a v i o r a l model o f change f o r w e l l - d e v e l o p e d , l a r g e - s c a l e o r g a n i z a t i o n s . Esman and Bruhns a l s o focussed on o r g a n i z a t i o n s as i n s t r u m e n t s o f s o c i a l change, b u t i n a d i f f e r e n t way.

Esman emphasized t h a t t h e group concerned w i t h r e s e a r c h on i n s t i t u t i o n b u i l d i n g d i d n o t r e f e r t o i n s t i t u t i o n as a s e t o f p a t t e r n e d norms, t h e c o n v e n t i o n a l s o c i o l o g i c a l meaning r e f e r r e d t o by L a s s w e l l and Holmberg, S t e i n and L e r n e r . Rather, i n s t i t u t i o n s are s p e c i a l t y p e s o f o r g a n i z a t i o n s which embody c e r t a i n v a l u e s and norms, r e p r e sent them i n s o c i e t y , and promote them. I n t h i s s p e c i a l meaning, o r g a n i z a t i o n s do n o t q u a l i f y as i n s t i t u t i o n s i f t h e y p e r f o r m t e c h n i c a l f u n c t i o n s which a r e p u r e l y i n s t r u m e n t a l and which do n o t embody v a l u e s t h a t become n o r m a t i v e i n s o c i e t y . I n s t i t u t i o n s a r e th u s a s u b - c l a s s o f l a r g e - s c a l e o r g a n i z a t i o n s which have e x p l i c i t , o v e r t , p u r p o s e f u l programs o f d i s c r i m i n a t i n g and pr o m o t i n g c e r t a i n s o r t s o f v a l u e s . The paper i s a d e s c r i p t i o n o f t h e i n s t i t u t i o n a l i z a t i o n process by which v a l u e s are developed, d i f f u s e d and m a i n t a i n e d . However, s i n c e no r e s e a r c h d a t a are y e t a v a i l a b l e from t h e l o n g - t e r m p r o j e c t on i n s t i t u t i o n b u i l d i n g , t h e a u t h o r s were l i m i t e d t o t h e m a t e r i a l s f o r t h i s approach.

S e v e r a l symposium members i n q u i r e d about examples o f o r g a n i z a t i o n s t h a t d i d n o t q u a l i f y as i n s t i t u t i o n s . Esman conceded t h a t some l a r g e - s c a l e b u s i n e s s o r g a n i z a t i o n s , l i k e t h e B e l l Telephone Company, have a c q u i r e d some i n s t i t u t i o n a l c h a r a c t e r i s t i c s , b u t m a i n t a i n e d t h a t i t was d i f f i c u l t t o g i v e examples f o r t h e reason t h a t i t always depends on t h e e n v i r o n m e n t a l c o n t e x t o f a g i v e n s i t u a t i o n . The c r i t e r i o n i s whether an o r g a n i z a t i o n i s i n f u s e d w i t h v a l u e beyond t h e t e c h n i c a l r e q u i r e m e n t s o f t h e t a s k s a t hand.

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Bruhns i l l u s t r a t e d t h i s problem w i t h two examples. I f one t h i n k s o f o r g a n i z a t i o n s possessing a r a t h e r r o u t i n e c h a r a c t e r , such as a m u n i c i p a l t r o l l e y c a r o r garbage c o l l e c t i o n system i n an i n d u s t r i a l i z e d s o c i e t y , i t c o u l d r e a s o n a b l y be assured t h a t t h e t e c h n i c a l r e q u i r e ments o f t h e t a s k a t hand d e t e r m i n e , by and l a r g e , t h e v a l u e system o f t h e o r g a n i z a t i o n . I n e i t h e r o f t h e s e two cases, i t would be r a t h e r ' u t i l i t a r i a n . Thus, though t h e o r g a n i z a t i o n m i g h t have a few i n s t i t u t i o n a l f e a t u r e s , i t would n o t be v e r y u s e f u l t o c o n s i d e r i t as an i n s t i t u t i o n and t o do an i n s t i t u t i o n - b u i l d i n g s t u d y . I n a d i f f e r e n t e n v i r o n m e n t a l c o n t e x t , however, t h e v e r y same o r g a n i z a t i o n s c o u l d become i n s t i t u t i o n s . S e l z n i c k m entions t h e San F r a n c i s c o Cable Car Company as an example o f a genuine i n s t i t u t i o n . A l b e r t Camus, i n h i s n o v e l "The Plague," d e s c r i b e s a s i t u a t i o n where t h e h i g h l y dangerous t a s k o f r e f u s e c o l l e c t i o n i n t h e p l a g u e - s t r i c k e n and i s o l a t e d c i t y o f Oran i s b e i n g i n f u s e d w i t h v a l u e s which d i s t i n c t l y t r a n s c e n d t h e u t i l i t a r i a n r e q u i r e m e n t s o f garbage c o l l e c t i o n . I n t h i s c o n t e x t , t h e e s t h e t i c v a l u e s i n h e r e n t i n t h e o p e r a t i o n s o f the San F r a n c i s c o Cable Car Company, and t h e va l u e s o f courage, s a c r i f i c e , and good c i t i z e n s h i p needed t o b r i n g about c o l l e c t i o n o f h i g h l y c o n t a m i n a t e d r e f u s e are p r e s e n t beyond those v a l u e s which are needed t o s a t i s f y a p u r e l y t e c h n i c a l r e q u i r e m e n t . Thus t h e two r a t h e r u t i l i t a r i a n o r g a n i z a t i o n s have become i n s t i t u t i o n s . While t h e e n v i r o n m e n t a l c o n t e x t f o r these cases i s u n u s u a l , e s p e c i a l l y i n a developed s o c i e t y , i t does occur more f r e q u e n t l y i n l e s s d eveloped s o c i e t i e s on which i n s t i t u t i o n - b u i l d i n g r e s e a r c h i s fo c u s s e d .

P e t e r i n q u i r e d how t h e methodology and s u b j e c t m a t t e r o f r e s e a r c h on i n s t i t u t i o n - b u i l d i n g d i f f e r e d from r e s e a r c h on o r g a n i z a t i o n s and t h e development o f o r g a n i z a t i o n a l t h e o r y . He f e l t t h a t t h e v e r y c o n s i d e r a b l e body o f f i n d i n g s on o r g a n i z a t i o n s would be v e r y r e l e v a n t t o i n s t i t u t i o n - b u i l d i n g r e s e a r c h . Jacobson r e p l i e d t h a t t h i s had u n f o r t u n a t e l y n o t t u r n e d o u t t o be so; most o f t h e r e s e a r c h knowledge on o r g a n i z a t i o n s had t o do l a r g e l y w i t h problems o f b e h a v i o r , s t r u c t u r e and i n t e r n a l maintenance. He f e l t t h a t e x c e p t f o r S e l z n i c k ' s seminal s t u d i e s on l e a d e r s h i p , l i t t l e had been found t h a t was o f use t o r e s e a r c h e r s concerned w i t h i n s t i t u t i o n - b u i l d i n g . For example, o r g a n i z a t i o n a l s t u d i e s have c o n t r i b u t e d almost n o t h i n g t o an u n d e r s t a n d i n g o f d o c t r i n e , an i m p o r t a n t element i n t h e s t u d i e s b e i n g made.

2. GOAL O R I E N T A T I O N S p e r l i n g p o i n t e d o u t t h a t r e f e r e n c e was made i n t h e paper b o t h t o r e s e a r c h on, and a c t i o n i n v o l v e m e n t i n , i n s t i t u t i o n b u i l d i n g . A t th e same t i m e , t h e scope o f the p r o j e c t i s r e s t r i c t e d t o s o c i a l change r a t h e r t h a n s o c i a l development, s i n c e t h e a u t h o r s c l a i m t h a t no o b j e c t i v e method e x i s t s f o r d e f i n i n g , o r d i s t i n g u i s h i n g between the two. Toward what g o a l s i s the a c t i o n o r i e n t a t i o n d i r e c t e d ?

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Esman and Bruhns e x p l a i n e d t h a t w h i l e r e s e a r c h e r s i n i n s t i t u t i o n b u i l d i n g have p e r s o n a l g o a l p r e f e r e n c e s , t h e y d i d n o t b e l i e v e t h a t t h e s e s h o u l d be i n j e c t e d i n t o t h e i r s t u d i e s . I n s t i t u t i o n b u i l d i n g i s l a r g e l y an i n d i g e n o u s p r o c e s s , n e c e s s a r i l y d i r e c t e d by l o c a l l e a d e r s t o w a r d t h e i r own g o a l s and p r e f e r r e d outcomes. The r e s e a r c h e r s assume t h a t l e a d e r s 1 g o a l s are g e n e r a l l y n a t i o n - b u i l d i n g , and socio-economic development; i n e f f e c t t h e y do n o t q u e s t i o n these g o a l s , a l t h o u g h c o n s i d e r i n g them a l e g i t i m a t e s u b j e c t f o r s t u d y . I n s t i t u t i o n - b u i l d i n g r e s e a r c h e r s hope t o understand t h e p r o c e s s , w h i l e r e m a i n i n g v a l u e - n e u t r a l , and even o c c a s i o n a l l y s t u d y i n g i n s t i t u t i o n s w i t h v a l u e g o a l s t h e y do n o t themselves share. Esman acknowledged t h a t t h i s research'approach i s i n c o n t r a s t t o t h a t proposed by L a s s w e l l , who had s t a t e d t h a t models o f p o l i t i c a l development s h o u l d be e x p l i c i t l y p r e f e r e n t i a l , and t h a t t h e p r e f e r r e d model r e q u i r e s an i d e o l o g y o f p r o g r e s s and commitment t o wide p a r t i c i p a t i o n i n power as a l o n g - r u n g o a l . Other symposium p a r t i c i p a n t s n o t e d t h a t most economic models o f t h e development process a l s o have an e x p l i c i t value, i d e o l o g y , about t h e p r e f e r r e d d i s t r i b u t i o n o f income, f o r example. T h i s may n o t r e f l e c t t h e p e r s o n a l v a l u e system o f t h e economist, b u t r a t h e r h i s b e s t p r o f e s s i o n a l e v a l u a t i o n o f what i s needed f o r economic development as c o n t r a s t e d t o economic change.

Symposium p a r t i c i p a n t s expressed t h e i r encouragement f o r c o n t i n u i n g r e s e a r c h on i n s t i t u t i o n b u i l d i n g , and expressed t h e hope t h a t f i n d i n g s from t h e p r o j e c t i n d i f f e r e n t c o u n t r i e s would soon become a v a i l a b l e t o t e s t t h e hypotheses i n t h i s model.

3. BUJLVJhlG RESEARCH I N S T I T U T I O N S I N L A T I N A M E R I C A R a t i n o f f d e s c r i b e d some o f t h e problems o f b u i l d i n g t e a c h i n g and s o c i a l s c i e n c e r e s e a r c h i n s t i t u t i o n s i n L a t i n America. I t seemed c l e a r t o him, and t o many o t h e r L a t i n American s o c i a l s c i e n t i s t s who had been a c t i v e l y d i s c u s s i n g these problems, t h a t p r o g r e s s w i l l come from changes i n (1) more c o l l a b o r a t i v e r e l a t i o n s h i p s , (2) e f f e c t i v e s p o n s o r s h i p , and (3) b e t t e r s e l e c t i o n o f r e s e a r c h p r o j e c t s .

I n o r d e r t o have b e t t e r r e s e a r c h , t h e r e must be b e t t e r r e l a t i o n s among s o c i a l s c i e n t i s t s w i t h i n L a t i n American c o u n t r i e s , and between i n d i g e n o u s and f o r e i g n s o c i a l s c i e n t i s t s . He c r i t i c i z e d , e s p e c i a l l y , t h e f r e q u e n t p r a c t i c e o f " i m p o r t i n g t h e o r y t o , and e x p o r t i n g d a t a f r o m , t h e d e v e l o p i n g areas." The p r o c e s s i n g and a n a l y s i s o f d a t a goes on l a r g e l y i n f o r e i g n r e s e a r c h c e n t e r s and becomes a v a i l a b l e y e a r s l a t e r t o t h e c o u n t r y o f o r i g i n . Real c o l l a b o r a t i o n c a l l s f o r j o i n t development o f r e s e a r c h d e s i g n and j o i n t p a r t i c i p a t i o n i n a l l stages o f t h e r e s e a r c h .

I n s p i t e o f t h e appeal o f a " s c i e n t i f i c approach" t o s o c i a l p roblems, e s p e c i a l l y f o r most young people i n L a t i n America, R a t i n o f f r e p o r t e d t h a t s o c i a l s c i e n t i s t s have found t h a t t h e i r r e s e a r c h i s o f t e n s u s p e c t , and seen as p o l i t i c a l l y s e n s i t i v e . T h i s means t h a t few s o c i a l

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r e s e a r c h and t e a c h i n g i n s t i t u t i o n s have adequate p o l i t i c a l or f i n a n c i a l s u p p o r t . There are many more w e l l - t r a i n e d L a t i n American s o c i a l s c i e n t i s t s t h a n are engaged i n r e s e a r c h i n t h e i r own c o u n t r i e s . R a t i n o f f e s t i m a t e d t h a t t h e r e are n i n e t y s o c i o l o g i s t s , f o r example, o f whom o n l y f i f t e e n o r t w e n t y are a c t u a l l y w o r k i n g t h e r e i n s o c i a l r e s e a r c h . Many have m i g r a t e d t o o t h e r c o u n t r i e s where t h e y have b e t t e r o p p o r t u n i t i e s t o use t h e i r t r a i n i n g and s k i l l s .

S p onsorship o f L a t i n American s o c i a l r e s e a r c h i n s t i t u t i o n s by f o r e i g n u n i v e r s i t i e s and f o u n d a t i o n s would i n c r e a s e n o t o n l y f i n a n c i a l r e s o u r c e s b u t t h e acceptance o f t h e v a l u e s o f s c i e n c e . E s t a b l i s h i n g an i n t e l l e c t u a l community i n t h e s o c i a l sciences i n t h e f i r s t p r e s s i n g need, f o l l o w e d by i m p r o v i n g s p e c i f i c r e s e a r c h i n s t i t u t i o n s .

Deutsch f e l t t h a t t o have autonomous s o c i a l r e s e a r c h i n s t i t u t i o n s , one needs adequate f i n a n c i n g ( t h r o u g h endowment o r o t h e r c o n t i n u i n g s o u r c e s ) , feedback c i r c u i t s t o p r o v i d e f o r t h e c i r c u l a t i o n o f i n f o r m a t i o n , and a body o f memory ( s t o r a g e o f and access t o i n f o r m a t i o n ) .

R a t i n o f f a l s o f e l t t h a t improvement o f L a t i n American s o c i a l r e s e a r c h c a l l e d f o r b e t t e r s e l e c t i o n o f s u b j e c t s f o r s t u d y . T h i s has been a c o n s i d e r a b l e problem i n t h e e a r l i e r c o o p e r a t i v e programs, where the f o r e i g n r e s e a r c h e r s have s e l e c t e d s u b j e c t s o f academic or t h e o r e t i c a l i n t e r e s t t o them, r a t h e r t h a n t o p i c s o f g r e a t e s t importance t o t h e d e v e l o p i n g c o u n t r y .

S t e i n , w h i l e e m p a t h i z i n g w i t h t h e problems i n L a t i n America, p o i n t e d o u t t h a t t h e s e l e c t i o n o f problems f o r r e s e a r c h , and g e t t i n g s u pport from p r o s p e c t i v e users are u n i v e r s a l problems i n s o c i a l r e s e a r c h . C o l l a b o r a t i o n i s a two-way r e l a t i o n s h i p , whether i t i s w i t h sponsors o r w i t h o t h e r s o c i a l s c i e n t i s t s , which r e q u i r e s t r u s t by b o t h s i d e s .

L e r n e r commented t h a t t h e i n t e l l e c t u a l community mentioned by R a t i n o f f would have t o be o f a c e r t a i n k i n d t o be w o r t h b u i l d i n g ; i f i t were e x c e s s i v e l y c o n s t r a i n e d by t h e a l l e g e d p o l i t i c a l r a d i c a l i s m o f s t u d e n t s o r by t h e demands o f i n f a n t i n d u s t r i e s , f o r example, i t m i g h t n o t be w o r t h w h i l e .

B e r l o suggested t h a t t h e I n t e r - I n s t i t u t i o n a l Program o f I n s t i t u t i o n -B u i l d i n g Research m i g h t i t s e l f be a s u i t a b l e s u b j e c t f o r r e s e a r c h , b o t h as a d e v e l o p i n g i n s t i t u t i o n and because o f i t s p e c u l a r r e l e v a n c e t o i n t e r - i n s t i t u t i o n a l r i v a l r y and t o change s t r a t e g i e s . B e r l o found d i s h e a r t e n i n g the evidence t h a t many s o c i a l s c i e n t i s t s have no t t h o u g h t t h r o u g h t h e i r own v a l u e systems.

Deutsch t h o u g h t t h a t t h r e e p o i n t s s t o o d o u t i n t h e d i s c u s s i o n : (1) A b e l i e f system i s necessary which b o t h i m p l i e s and means e q u a l i t y between N o r t h American and South American s o c i a l s c i e n t i s t s . There a r e a t p r e s e n t m a t e r i a l f a c t s which upset t h i s e q u a l i t y . I n t h e o r y , L a t i n American teams would be welcome t o i n v e s t i g a t e t h e

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r a c i a l s i t u a t i o n i n Los Angeles o r o t h e r embarrassing problems, j u s t as L a t i n Americans ought t o welcome s t u d i e s i n t h e i r c o u n t r i e s by N o r t h American teams- But, i n f a c t , t h e N o r t h Americans have th e r e s e a r c h g r a n t s and t h e p l a n t i c k e t s , and t h e L a t i n Americans do n o t , so t h e l a t t e r cannot come- The b a s i c n o t i o n i s t h a t i n t h e l o n g r u n a n y t h i n g t h a t promotes e m p i r i c a l fact-mindedness among i n t e l l e c t u a l s i n d e v e l o p i n g c o u n t r i e s w i l l on t h e whole s t r e n g t h e n t h e i r attachment t o t h e f r e e w o r l d and t h e i r a b i l i t y t o c o l l a b o r a t e -(2) A second p o i n t i s t h a t N o r t h American s o c i a l s c i e n t i s t s can g e t computer t i m e much more r e a d i l y t h a n can L a t i n Americans. One m i g h t c r e a t e a f u n d f o r computing t i m e , c o n t i n g e n t upon c o n t i n u i n g c o l l a b o r a t i o n , (3) A t h i r d p o i n t i s t h a t s o c i a l s c i e n t i s t s i n L a t i n America need su b s i d y o f t h e i r r e s e a r c h d e s i g n s , and t h e i r u n i v e r s i t i e s need overhead s u p p o r t l i k e N o r t h American campuses do. Perhaps a L a t i n American Foun d a t i o n i s needed. More autonomy i s d e s i r a b l e i n t h e r e s e a r c h i n d e v e l o p i n g c o u n t r i e s , a s i d e from t h e need f o r c o l l a b o r a t i o n .

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Selected Glossary of Terms

Some terms are i n c l u d e d i n t h i s l i s t w h i c h have been used w i t h p a r t i c u l a r meaning by d i f f e r e n t a u t h o r s .

VALUE TERMS

Value i s an a b s t r a c t s t a n d a r d o f what i s d e s i r a b l e , by which c o n c r e t e events o r o b j e c t s are e v a l u a t e d . (Hughes q u o t i n g Kluckhohn)

Values o r valued outcomes are needs, d e s i r e s , wants and p r e f e r e n c e s . (Lasswell-Holmberg)

Value outcomes are c u l m i n a t i n g e v e n t s i n t h e i n t e r p l a y among p a r t i c i p a n t s i n t h e s o c i a l p r o c e s s . Example: power outcomes a r e t h e g i v i n g (and r e c e i v i n g ) , t h e w i t h h o l d i n g (and r e j e c t i n g ) o f s u p p o r t i n m a t t e r s o f community-wide concern. ( L a s s w e l l -Holmberg)

Base value i s any v a l u e a v a i l a b l e t o a p a r t i c i p a n t t o use, w h i l e scope value i s any p r e f e r r e d v a l u e sought by a p a r t i c i p a n t . (Lasswell-Holmberg)

Value accumulation i s change o f p r e d i s p o s i t i o n among i n d i v i d u a l s and change i n re s o u r c e c a p a b i l i t i e s . Values are accumulated when t h e l e v e l a t t h e b e g i n n i n g o f an outcome p e r i o d i s h e i g h t e n e d by t h e end o f t h e p e r i o d . (Lasswell-Holmberg)

Value indulgence i s a p o s i t i v e g a i n o r an avoided l o s s from p a r t i c i p a n t s 1 e f f o r t s t o maximize t h e i r n e t v a l u e p o s i t i o n . Value deprivation i s a p o s i t i v e l o s s o r a b l o c k e d g a i n from p a r t i c i p a n t s ' e f f o r t s t o maximize t h e i r n e t v a l u e p o s i t i o n . (Lasswell-Holmberg)

Gross value outcome i s the sum o f v a l u e i n d u l g e n c e s ; t h e net value outcome i s t h e sum when v a l u e d e p r i v a t i o n s have been deducted. (Lasswell-Holmberg)

Value shaping i s t h e f l o w o f p r e p a r a t o r y events p r i o r t o t h e c u l m i n a t i n g outcome. Value shapers are t h e e l i t e , t h e l e a d e r s , t h e p r o d u c e r s , t h e p r a c t i t i o n e r s o f t h e v a l u e . Value sharing i s v a l u e a c c u m u l a t i o n and enjoyment. The value sharers are t h e r a n k and f i l e p a r t i c i p a n t s , e x p e r i e n c e r s , r e c i p i e n t s o f t h e v a l u e . (Lasswell-Holmberg)

Value unit i s any fundamental u n i t o f symbols, s i g n s and resources t h a t d e s c r i b e s t h e p a r t i c u l a r v a l u e and t h e d i r e c t i o n o f commitment. Example: a power u n i t i s a fundamental u n i t o f s u p p o r t

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(non-support) i n a d e c i s i o n , o r a " v o t e . " (Lasswell-Holmberg)

Value-institutions are t h e c o l l e c t i v e process o f i n t e r a c t i o n , p ursued by r e l a t i v e l y s t a b l e p a t t e r n s o f p r a c t i c e , w h ich a r e somewhat s p e c i a l i z e d t o p a r t i c u l a r v a l u e outcomes. Examples: t h e power v a l u e and t h e i n s t i t u t i o n o f government; t h e e n l i g h t e n ment v a l u e and i n s t i t u t i o n s o f communication and i n q u i r y . (Lasswell-Holmberg)

Value interaction can be summarized as a sequence o f communication (use o f s i g n s ) and c o l l a b o r a t i o n (use o f non-sign e v e n t s ) . More g e n e r a l l y , i t i s any sequence o f events among p a r t i c i p a n t s i n a s o c i a l process whose r e l a t i o n s h i p t o v a l u e outcomes can be conv e n i e n t l y c h a r a c t e r i z e d . (Lasswell-Holmberg)

ORGANIZATION

An organization i s t h e s o c i a l i n v e n t i o n , t h e method, f o r e x t e n d i n g t h e i n d i v i d u a l ' s c a p a c i t y t o i n c r e a s e h i s v a l u e a c c u m u l a t i o n beyond what he c o u l d do by h i m s e l f . ( B e nnis-Peter)

An organization i s a p r i v a t e l y owned c o l l e c t i v i t y , a system o f i n t e r a c t i n g i n d i v i d u a l s n o r m a t i v e l y r e g u l a t e d by common v a l u e s , w h i c h engages i n t h e p r o d u c t i o n o f economic and non-economic goods, serves as a market, and maximizes e f f e c t i v e p r o f i t s . ( I s a r d - R y d e l l )

An organization i s p r i m a r i l y a t e c h n i c a l i n s t r u m e n t , a means t o rea c h c e r t a i n o b j e c t i v e s , b u t never an end i n i t s e l f . (Esman-Bruhns)

A formal organization i s t h e r a t i o n a l c o o r d i n a t i o n o f t h e a c t i v i t i e s o f a number o f people f o r t h e achievement o f some common e x p l i c i t purpose o r g o a l , t h r o u g h d i v i s i o n o f l a b o r and f u n c t i o n , and t h r o u g h a h i e r a r c h y o f a u t h o r i t y and r e s p o n s i b i l i t y . ( B e n n i s - P e t e r )

A social o r informal organization i s a p a t t e r n o f c o o r d i n a t i o n t h a t a r i s e s s p o n t a n e o u s l y or i m p l i c i t l y o u t o f t h e i n t e r a c t i o n o f people w i t h o u t i n v o l v i n g r a t i o n a l c o o r d i n a t i o n f o r t h e achievement o f e x p l i c i t common g o a l s . ( B e n n i s - P e t e r )

INSTITUTIONS

Institutions are t h e b e h a v i o r a l p a t t e r n s p e r f o rmed by people whose g o a l i s t o enhance as much as p o s s i b l e t h e v a l u e s which t h e y h o l d i m p o r t a n t . Institutions are codes o f r a t i o n a l , r o u t i n e a c t i v i t y . ( L e r ner)

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Institutions are the c o l l e c t i v e process o f i n t e r a c t i o n pursued by r e l a t i v e l y s t a b l e p a t t e r n s o f p r a c t i c e which are somewhat s p e c i a l i z e d t o p a r t i c u l a r v a l u e outcomes. (Lasswell-Holmberg)

Institutions are f u n c t i o n a l l y s p e c i f i c s o c i a l o r g a n i z a t i o n s w h i c h i n c o r p o r a t e , f a s t e r , and p r o t e c t n o r m a t i v e r e l a t i o n s h i p s and a c t i o n p a t t e r n s and p e r f o r m f u n c t i o n s and s e r v i c e s which a r e v a l u e d i n t h e environment. (Esman-Bruhns)

Institution building i s t h e process by which n o r m a t i v e r e l a t i o n s h i p s and a c t i o n p a t t e r n s are e s t a b l i s h e d . I t i s t h e process by which new ideas and f u n c t i o n s , t h r o u g h t h e i n s t r u m e n t o f o r g a n i z a t i o n s , are i n t e g r a t e d . . . i n t o s o c i e t y . (Esman-Bruhns)

To institutionalize i s t o i n f u s e w i t h v a l u e beyond t h e t e c h n i c a l r e q u i r e m e n t s o f t h e t a s k a t hand. (Esman-Bruhns, q u o t i n g from S e l z n i c k )

POWER

Power i s t h e a b i l i t y t o overcome r e s i s t a n c e , e i t h e r o f one's environment i n g e n e r a l , o r o f some s p e c i f i c o b s t a c l e , r i v a l o r opponent. I t i s a l s o t h o u g h t o f as t h e a b i l i t y t o produce s p e c i f i c r e s u l t s . (Deutsch)

Social power i s person ( o r g r o u p ) , A's a b i l i t y t o change person ( o r group)B's b e h a v i o r . More p r e c i s e l y , A has power over B t o t h e e x t e n t t h a t he can g e t B t o do something t h a t B would n o t o t h e r w i s e do. (Bennis-Peter)

Gross power i s the a c t o r ' s p r o b a b i l i t y o f c a r r y i n g o u t h i s i n n e r program, over and a g a i n s t any programs o f h i s environment. Net power i s t h e d i f f e r e n c e between t h e change imposed by t h e a c t o r upon h i s environment and t h e change accepted by him i n r e g a r d t o h i m s e l f . The r a t i o o f n e t t o gr o s s power c o u l d be c o n s i d e r e d a measure o f t h e efficiency o f power. Effective power i s t h e i n c r e a s e i n t h e p r o b a b i l i t y o f b e i n g obeyed. (Deutsch)

Bases or sources o f power i n c l u d e coercion ( t h r e a t o f punishment o r d e p r i v a t i o n ) ; reward; authority ( t h e s a n c t i o n e d a b i l i t y o f a r o l e occupant t o e x e r t power and deploy r e s o u r c e s ) ; ligitimacy ( t h e f e e l i n g t h a t i n f l u e n c e i s a p p r o p r i a t e and p r o p e r ) ; expertness ( t h e r e c o g n i t i o n o f s p e c i a l knowledge and s k i l l s ) ; identification o r referent power ( t h e s u b t l e p a t t e r n s o f p e r s o n a l r e l a t i o n s h i p s a r i s i n g from l i k i n g , sympathy, a d m i r a t i o n and l o y a l t y ) . (Bennis-P e t e r )

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About the Authors WARREN G. BENNIS i s a s o c i a l psychologist concerned w i t h organiza

t i o n a l behavior, s o c i a l i n t e r a c t i o n and s o c i a l change. His studies were i n t e r r u p t e d by service i n the U.S. Army (1943-46), but he received h i s Ph.D. from the Massachusetts I n s t i t u t e of Technology i n 1955. He then taught at Boston U n i v e r s i t y (1956-59) and l e c t u r e d at Harvard U n i v e r s i t y (1958-59). I n 1959 he j o i n e d MIT and i s now professor of management and chairman of the Organization Studies Group at the A l f r e d P. Sloan School of Management there. Dr. Bennis was v i s i t i n g professor a t IMEDE, Management Development I n s t i t u t e , Lausanne, i n 1961-62, and spent a year i n I n d i a as v i s i t i n g professor and MIT p r o j e c t d i r e c t o r at the I n d i a n I n s t i t u t e of Management i n Calcutta (1964-65). He has also served as consultant t o the U.S. Department of State, the American Management Asso c i a t i o n , the Space Technology Laboratory, Aluminium Company, L t d . , and the General E l e c t r i c Company, and has acted as a t r a i n e r i n human r e l a t i o n s i n Holland and Egypt. His p u b l i c a t i o n s include "The Planning of Change" (co-ed., 1961), "Personal and Organization Change Through Group Methods" (co-author 1965), and "Changing Organizations" (1966) .

FRED C. BRUHNS began h i s academic studies i n Germany and France, coming t o the United States i n 1941. He served i n the U.S. Army from 1942-46 as a m i l i t a r y i n t e l l i g e n c e o f f i c e r i n t h i s country and i n Europe. He obtained a B.A. i n economics from Ohio State U n i v e r s i t y (1946). From then u n t i l 1948 he was economic analyst and a d v e r t i s i n g manager of an i m p o r t i n g f i r m , also spending p a r t of t h i s time w i t h the Asia I n s t i t u t e i n New York. From 1948-51 Mr. Bruhns was resettlement and r e p a t r i a t i o n o f f i c e r w i t h the I n t e r n a t i o n a l Refugee Organization i n A u s t r i a , and i n 1953 he received an M.A. i n sociology from Stanford U n i v e r s i t y . The f o l l o w i n g year he spent at the American U n i v e r s i t y of B e i r u t i n i n Lebanon, under a Ford Foundation research grant. He then j o i n e d the I n t e r n a t i o n a l Cooperation A d m i n i s t r a t i o n and continued h i s i n t e r n a t i o n a l experience i n t h i s agency, working i n I r a n , Cambodia and South V i e t Nam u n t i l 1965. His main a c t i v i t i e s have been i n program planning, r e s e t t l e m e n t , and i n operations. I n 19 65 Mr. Bruhns became a member of the s t a f f of the U n i v e r s i t y of' P i t t s b u r g h , and he i s now f u l f i l l i n g the f i n a l requirement f o r h i s Ph.D. At the same time he serves as associate d i r e c t o r o f the I n t e r - U n i v e r s i t y Research Program i n I n s t i t u t i o n B u i l d i n g .

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MILTON J. ESMAN i s professor of p u b l i c and i n t e r n a t i o n a l a f f a i r s a t the U n i v e r s i t y of P i t t s b u r g h , where he has been since 1954; and he i s also d i r e c t o r of t h a t U n i v e r s i t y ' s economic and s o c i a l development program. He received h i s Ph.D. at Princeton i n 1942, and spent the f o l l o w i n g f o u r years w i t h the U.S. Army. While on duty he served i n the government sect i o n of the general headquarters of S.C.A.P. From 1947-51 he was i n program planning f o r the U.S. C i v i l Service Commission, and then worked i n i n t e l l i g e n c e research i n the U.S. State Department. I n 1954 Dr. Esman j o i n e d the I n t e r n a t i o n a l Cooperation A d m i n i s t r a t i o n as an i n t e l l i g e n c e r e l a t i o n s expert, going t o V i e t Nam w i t h t h a t agency's mission from 1957-59 as c h i e f program o f f i c e r . His i n t e r e s t s are i n the p o l i t i c a l , s o c i a l , economic and a d m i n i s t r a t i v e development of the newly independent and less i n d u s t r i a l i z e d c o u n t r i e s . - He has w r i t t e n "Much Needed: An Education and Research Base t o Support America's Expanded Commitments Overseas."

EVERETT E . HAGEN has had an i n t e r e s t i n economic planning and development d a t i n g from h i s work on the National Resources Planning Board i n 1942-43. His experience i n t h i s f i e l d has been v a r i e d , i n c l u d i n g a p e r i o d on the Board of Governors of the Federal Reserve Board (1943-45), two years as c h i e f f i s c a l a n a l y s t i n the Bureau of the Budget. He obtained h i s Ph.D. at the U n i v e r s i t y of Wisconsin, and f i r s t taught a t Michigan State College. I n 1946 he went t o the U n i v e r s i t y of I l l i n o i s , becoming chairman of i t s Department of Economics i n 1950. By 1951 Dr. Hagen's i n t e r e s t i n i n t e r n a t i o n a l economic development took him to Burma as economic advisor t o i t s government, and when he returned he became v i s i t i n g professor a t MIT's Center f o r I n t e r n a t i o n a l Studies, where he i s c u r r e n t l y located. I n 1958 he went to Asia as economic advisor t o the government of Japan, and i n 19 6 4 he spent a year i n London w i t h the Tavistock I n s t i t u t e of Human Relations. Dr. Hagen's p u b l i c a t i o n s i n i n t e r n a t i o n a l economic development in c l u d e "Economic Development of Burma" (1956), "On the Theory of Social Change" (1962), "Economics and the Emerging Nations" (1961), and he i s e d i t o r of "Planning Economic Development" (1963.

ALLAN R. HOLMBERG i s an a n t h r o p o l o g i s t w i t h a s p e c i a l i n t e r e s t i n L a t i n America. He received h i s Ph.D. from the U n i v e r s i t y of Chicago i n 1947, and had served e a r l i e r as economic analyst w i t h the U.S; Department of State i n B o l i v i a (1942) and also as a f i e l d t e c h n i c i a n w i t h the Rubber Development Corporation t h e r e . From 1946-48 he was c u l t u r a l a n t h r o p o l o g i s t w i t h the I n s t i t u t e of S o c i a l Anthropology, Smithsonian I n s t i t u t i o n , and professor of anthropology at the U n i v e r s i t y of San Marcos i n Peru. He has been at C o r n e l l U n i v e r s i t y since 1948, becoming professor of anthropology i n 1951, as w e l l as being d i r e c t o r of the C o r n e l l -Peru P r o j e c t , which included the famous Vicos v i l l a g e development. He has been a s o c i a l science advisor t o AID during the l a s t few years, and was a member of the U.S. delegation t o the United Nations Conference on the A p p l i c a t i o n of Science and Technology

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i n 196 3. His numerous p u b l i c a t i o n s include "Nomads of the Long Bow" (1950) and "Social Change i n L a t i n America Today" (co-author 1960) .

CHARLES C A M P B E L L HUGHES was t r a i n e d as an a n t h r o p o l o g i s t , t a k i n g degrees a t Harvard (B.A. magna cum laude, 1951) and C o r n e l l Univers i t y (M.A. 1953, Ph.D. 1957). However, he has expanded the horizons of the p r o f e s s i o n through h i s i n t e g r a t i o n of sociology and s o c i a l p s y c h i a t r y w i t h anthropology, and he has held academic p o s i t i o n s i n a l l three f i e l d s . Beginning i n 1952, he worked w i t h Dr. Alexander Leighton i n the S t e r l i n g County Study; he spent 1954 researching i n Alaska, and returned t o the Study and t o teaching at C o r n e l l U n i v e r s i t y through 1960. From 1958 he also was a member of the C o r n e l l Program i n Social P s y c h i a t r y , becoming associate d i r e c t o r i n 1960. I n the summer of 1959, Dr. Hughes made b r i e f survey t r i p s t o Mexico and Peru i n connection w i t h l o c a t i n g s i t e s f o r research p r o j e c t s i n c r o s s - c u l t u r a l p s y c h i a t r y . He spent the summer of 1960 i n L i b e r i a as a member of a Cornell survey team (under ICA sponsorship), and made a t r i p t o N i g e r i a . I n 1961 he d i d community studies and research i n Abeokuta, N i g e r i a , as p a r t of the Cornell-Aro Mental Health Research P r o j e c t , and he spent p a r t of t h a t year at S t a n f o r d f s Center f o r the Advanced Study i n the Behavioral Sciences. I n 1962, Dr. Hughes went t o th e Department of Sociology and Anthropology at Michigan State U n i v e r s i t y , and was also d i r e c t o r of the A f r i c a n Studies Center t h e r e . His books r e f l e c t the v a r i e t y of h i s t a l e n t s and his a b i l i t i e s t o i n t e g r a t e several d i s c i p l i n e s i n the study of socioc u l t u r a l problems. Among them are "An Eskimo V i l l a g e i n the Modern World" (co-author 1960), "People of Cove and Woodlot: Communities from the Point of View of Social Psychiatry" (coauthor 1960), and " P s y c h i a t r i c Disorders Among the Yoruba" (co-author 1963).

WALTER I S A R D i s a s p e c i a l i s t i n the r e l a t i v e l y new f i e l d of r e g i o n a l science, and p r e s e n t l y at the Wharton School of the U n i v e r s i t y of Pennsylvania. Since r e c e i v i n g h i s Ph.D. from Harvard (1943), he has had a continuous career i n t e r e s t i n geography, sociology, resource planning, econometrics and other aspects of r e g i o n a l development. Dr. I s a r d has been a t MIT, Yale U n i v e r s i t y and the U n i v e r s i t y of Pennsylvania, teaching i n r e g i o n a l science and i n urban and r e g i o n a l s t u d i e s . He has consulted t o TVA (1951-52), the Ford Foundation (1955) and t o Resources f o r the Future, Inc. Dr. I s a r d has been president of the Regional Science I n s t i t u t e s ince 1956, and i s executive s e c r e t a r y of the Peace Research Society. He i s the author of numerous works i n the d i f f e r e n t f a c e t s of r e g i o n a l science, among them "Atomic Power: An Economic and Soc i a l Analysis" (1952)- and "Methods of Regional Analysis" (1960).

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HAROLD D. L A S S W E L L . A b i o g r a p h i c a l sketch of Harold D. Lasswell which included a l l h i s i n t e r e s t s , a c t i v i t i e s , honors and p u b l i c a t i o n s would be a paper i n i t s e l f , f o r he has been d i s t i n g u i s h e d i n many areas. He received h i s Ph.D. i n p o l i t i c a l science from the U n i v e r s i t y of Chicago (1926) , having studied the previous t h r e e years i n London, Geneva, Paris and B e r l i n , thus beginning h i s i n t e r n a t i o n a l career. He taught at the U n i v e r s i t y of Chicago u n t i l 1832, but was also a v i s i t i n g professor a t three other schools i n the United States, and at Yenching U n i v e r s i t y i n China, between 1926 and 1937. He spent a year as a p o l i t i c a l s c i e n t i s t w i t h the Washington, D.C. School of Psychiatry, and from 1939-45 was d i r e c t o r of war communications research a t the L i b r a r y of Congress. During these same years Dr. Lasswell also was S t e r l i n g l e c t u r e r a t the School of Law a t New Haven, Connecticut, and l e c t u r e d a t the New School f o r Social Research i n New York. Since 1946 he has been professor of Law and P o l i t i c a l Science at Yale U n i v e r s i t y , though he spent 1955 as a v i s i t i n g professor at Tokyo, and p a r t of 1954 a t the Stanford Center f o r Advanced Study i n the Behavioral Sciences. I n 1960 he was awarded the American Council of Learned S o c i e t i e s ' p r i z e . Dr. Lasswell's p u b l i c a t i o n s have been as v a r i e d as h i s experience, and include many of i n t e r e s t t o b e h a v i o r a l s c i e n t i s t s other than p o l i t i c a l s c i e n t i s t s . Among these are " P o l i t i c s Faces Economics" (1946), "Power and P e r s o n a l i t y " (the Salmon Memorial Lectures, N.Y. Academy of Medicine, 1948), "Power and Society: A Framework f o r P o l i t i c a l I n q u i r y " ( w i t h A. Kaplan 1950) , "World Revolution i n Our Time" (1951) , and "The P o l i c y Sciences: Recent Developments i n Scope and Methods" (wi t h D. Lerner 1951).

DANIEL LERNER i s a s o c i o l o g i s t and communications expert who began h i s career as a free-lance w r i t e r (1937-39). He has taught European h i s t o r y and l i t e r a t u r e , and i n 1946-47 was European repres e n t a t i v e of the L i b r a r y of Congress Mission. A f t e r r e c e i v i n g a Ph.D. from New York U n i v e r s i t y i n sociology (1948), he has spent h i s p r o f e s s i o n a l academic years teaching and doing research a t Stanford U n i v e r s i t y (1951), Columbia U n i v e r s i t y (1951) and MIT (1953-the p r e s e n t ) . At MIT he has been a Ford professor of sociology and i n t e r n a t i o n a l communications (1958) and chairman of the department of p o l i t i c a l and social•sciences (1963-64). E a r l i e r he was a d i r e c t o r of the I n s t i t u t e de Recherches Sociales i n Paris . (1955), and he has l e c t u r e d at the U n i v e r s i t y of Paris (Sorbonne). His a c t i v i t i e s have ranged from d i r e c t i n g a summer camp i n the Berkshires t o being c h i e f e d i t o r of the I n t e l l i g e n c e Bureau of the Psychological Warfare D i v i s i o n of S.H.A.E.F. and c h i e f of the I n t e l l i g e n c e Control D i v i s i o n of the O f f i c e of War and Peace Studies. Dr. Lerner published "Sykewar: Psychological Warfare Against Germany" (1949) and "Propaganda i n War and Crises" (1951). He c o l l a b o r a t e d w i t h Harold Lasswell i n "The P o l i c y Sciences" (1951), and he has w r i t t e n "The Passing of the T r a d i t i o n a l Society" (1958), "The Human Meaning of the Social Sciences" (1959, "Evidence and Inference" (1960) , "Quantity and Q u a l i t y " (1961) , "Parts and Wholes" (1963) and "Cause and E f f e c t " (1965). These works deal

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p a r t i c u l a r l y w i t h facets of s o c i a l science, communications and more r e c e n t l y , s o c i a l change.

MOLLIS to. PETER i s a behavioral s c i e n t i s t concerned w i t h organizat i o n a l change, whose background i s i n economics, psychology and a g r i c u l t u r e . Born i n China, he t r a v e l l e d and studied extensively i n Asia and Europe before f i n i s h i n g h i s schooling i n the United States. He has worked f o r the U.S. Department of A g r i c u l t u r e (1938-41) and the National Resources Planning Board (1941-43). A f t e r serving w i t h the U.S. Army, he became a s t a f f member i n the O f f i c e of I n t e l l i g e n c e Research i n the U.S. State Department, and i n 1950 became associate d i r e c t o r of the Program Planning and Advisory S t a f f of the Technical Cooperation Administ r a t i o n ( l a t e r AID). He was the f i r s t d i r e c t o r of the TCA Mission t o Lebanon from 1951-53. I n 1954 Dr. Peter j o i n e d the Foundation f o r Research on Human Behavior, becoming president i n 1960. He received a Ph.D. i n economics from the U n i v e r s i t y of Michigan i n the same year. I n 1958 he d i r e c t e d a s o c i a l science research p r o j e c t i n the P h i l i p p i n e s (AID), and has cons u l t e d t o AID's research o f f i c e during the l a s t few years. He was a member of the U.S. delegation t o the United Nations Conference on the A p p l i c a t i o n of Science and Technology i n 1963, and i n 1964 he helped e s t a b l i s h a survey research o r g a n i z a t i o n i n Lima, Peru, f o r the U n i v e r s i t y of Michigan and AID. The l a s t t h r ee summers Dr. Peter has conducted Foundation seminars on business a p p l i c a t i o n s of behavioral science f o r European managers i n P a r i s , Geneva and London. He i s c u r r e n t l y on part-time leave from the Foundation as a consultant t o S h e l l I n t e r n a t i o n a l Petroleum Company, L t d . , and i s conducting a s o c i a l science survey i n various p a r t s of the world. His p u b l i c a t i o n s include "Human Factors i n Research A d m i n i s t r a t i o n " (1956), "Training Foreign Nationals i n the United States" (co ed. 1956), and "Guidelines i n the Process Of Social Change" (1963).

C. P E T E R RVVELL was t r a i n e d i n r e g i o n a l science, t a k i n g degrees at Harvard U n i v e r s i t y (A.B., concentration i n mathematics, 1962) and U n i v e r s i t y of Pennsylvania (M.C.P. and M.A. i n 1964 and Ph.D. i n 1966). I n the summer of 1962 Dr. Rydell was a s s i s t a n t planner a t the Portland C i t y Planning Commission i n Portland, Oregon; the summer of 1963 a systems research analyst f o r the Chicago Area T r a n s p o r t a t i o n Study i n Chicago, I l l i n o i s and the summer of 1966 a l e c t u r e r f o r the I n s t i t u t e of Regional Science and Regional Development held i n Sao Paulo, B r a z i l . Dr. Rydell i s presently a s s i s t a n t professor of urban planning, Hunter College, Graduate D i v i s i o n , The C i t y U n i v e r s i t y of New York (February 1966-present). His p u b l i c a t i o n s include " I n t e r r e g i o n a l E q u a l i t y and Optimal Economic Development," (1966), " S p a t i a l Demand Theory and Monopoly P r i c e P o l i c y " (with Professor B. H. Stevens, 1965), " S p a t i a l Stochastic Process Models: A Method of Analyzing S p a t i a l Point Phenomena" (with Toney E. Smith, 1965), "The Influence of Communica t i o n s on Urban Form" (1964), "The Time Dimension of C i t i e s " (1963) , and "Short Cut Methods of T r a f f i c Assignment" (1963).

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MORRIS I . S T E I N i s a c l i n i c a l psychologist who has s p e c i a l i z e d i n research on c r e a t i v i t y and p e r s o n a l i t y assessment. He received h i s Ph.D. i n psychology from Harvard U n i v e r s i t y i n 1949, a f t e r working experience as an i n t e r n w i t h the New York State Rotating I n t e r n s h i p (1941-42), as a research associate at Harvard, and i n the O f f i c e of S t r a t e g i c Services (1944-46). He was a c l i n i c a l p s y chologist w i t h the New York Veterans 1 A d m i n i s t r a t i o n Mental Hygiene C l i n i c (1946-47) and l a t e r a consultant t o the Veterans 1

A d m i n i s t r a t i o n . Dr. Stein was a f e l l o w at the Center f o r Advanced Study i n the Behavioral Sciences a t Palo A l t o (1954-55) . He taught at the U n i v e r s i t y of Chicago from 1958 t o 1960, and since then at New York U n i v e r s i t y , where he has also been d i r e c t o r of the Research Center on Human Relations (1960-62). I n 1964 he conducted a study of Peace Corps volunteers i n Colombia. His p u b l i c a t i o n s include " C r e a t i v i t y and the I n d i v i d u a l " (1960) and "Volunteers f o r Peace" ( i n press).

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Participants

AUTHORS

Professor Warren G. Bennis A l f r e d P. Sloan School of Management

Massachusetts I n s t i t u t e of Technology

Cambridge, Massachusetts

Dr. Fred C. Bruhns Research Associate Graduate School of Public &

I n t e r n a t i o n a l A f f a i r s U n i v e r s i t y of P i t t s b u r g h P i t t s b u r g h , Pennsylvania

Professor K a r l W. Deutsch Department of P o l i t i c a l Science Yale U n i v e r s i t y New Haven, Connecticut .

Dr. M i l t o n J. Esman Research D i r e c t o r I n t e r - U n i v e r s i t y Research Pro

gram i n I n s t i t u t i o n a l B u i l d i n g Graduate School of Public &

I n t e r n a t i o n a l A f f a i r s U n i v e r s i t y of P i t t s b u r g h P i t t s b u r g h , Pennsylvania Professor E v e r e t t E. Hagen Center f o r I n t e r n a t i o n a l Studies Massachusetts I n s t i t u t e of

Technology Cambridge, Massachusetts

*Professor A l l a n Holmberg Chairman, Department of

Anthropology C o r n e l l U n i v e r s i t y I t h a c a , New York

*Professor Holmberg and Professor symposium.

Dr. Charles Hughes D i r e c t o r , A f r i c a n Studies Center Michigan State U n i v e r s i t y East Lansing, Michigan

*Professor Walter I s a r d Wharton School of Finance &

Commerce Department of Regional Sciences U n i v e r s i t y of Pennsylvania P h i l a d e l p h i a , Pennsylvania Dr. Harold D. Lasswell Professor of Law and P o l i t i c a l

Science Yale Law School Yale U n i v e r s i t y New Haven, Connecticut Professor Daniel Lerner Massachusetts I n s t i t u t e of

Technology Cambridge, Massachusetts Dr. H o l l i s W. Peter Executive D i r e c t o r f o r Special

Operations Foundation f o r Research on Human

Behavior Ann Arbor, Michigan Dr. C. Peter Rydell Graduate D i v i s i o n , Urban Planning

Program Hunter College of the C i t y

U n i v e r s i t y of New York New York, New York Professor Morris I . Stein Research Center f o r Human Rel. New York U n i v e r s i t y New York, New York

I s a r d d i d not attend the

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VISCUSSAHTS

Dr. Kurt W. Deuschle Chairman Department of Community

Medicine U n i v e r s i t y of Kentucky Lexington, Kentucky Dr. Don D. Humphrey Fletcher School of Law-

Diplomacy Tufts U n i v e r s i t y Bedford, Massachusetts

Dr. Eugene Jacobson Research D i r e c t o r I n t e r n a t i o n a l Programs Michigan State U n i v e r s i t y East Lansing, Michigan

Professor Luis R a t i n o f f Graduate School on Sociology of

Development National U n i v e r s i t y of Colombia Bogota, Colombia, S. A.

Dr. David K. Berlo Department of Communication Michigan State U n i v e r s i t y East Lansing, Michigan Dr. C l i f f o r d Block Agency f o r I n t e r n a t i o n a l

Development Department of State Washington, D.C.

OBSERVERS

Dr. P h i l i p Sperling D i r e c t o r , Human Resources

D i v i s i o n O f f i c e of Research and Analysis Agency f o r I n t e r n a t i o n a l

Development Department of State Washington, D.C.

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About the Foundation

The Foundation f o r Research on Human Behavior i s a n o n p r o f i t , educational o r g a n i z a t i o n which i s f i n a n c i a l l y supported by a number of business and i n d u s t r i a l o r g a n i z a t i o n s . The purpose of the Foundation i s to s t i m u l a t e behavioral research and t o enhance i t s p r a c t i c a l a p p l i c a t i o n t o the operating problems of o r g a n i z a t i o n s . The program and a c t i v i t i e s of the Foundation include seminars, conferences and p u b l i c a t i o n s . The seminars and conferences are based upon newly a v a i l a b l e behavioral research reported by leading b e h a v i o r a l s c i e n t i s t s . They are attended by representatives of business, i n d u s t r i a l and governmental organizations who are concerned w i t h operating o r g a n i z a t i o n a l problems. Seminar reports and other selected research m a t e r i a l s are published by the Foundation.

The Foundation maintains a working network of operating managers, a d m i n i s t r a t o r s and behavioral s c i e n t i s t s who are concerned w i t h the a p p l i c a t i o n and u t i l i z a t i o n of beh a v i o r a l knowledge and research f o r the improvement of o r g a n i z a t i o n a l e f f e c t i v e n e s s . The Foundation headquarters are located at 508 East W i l l i a m , Ann Arbor, Michigan 48108.

The Foundation s t a f f includes: John A. Myers, J r . , Ph.D., President H o l l i s W. Peter, Ph.D., Executive D i r e c t o r f o r Special Operations Jean McCartney, A d m i n i s t r a t i v e Secretary Lena Behnke, Accounting and P u b l i c a t i o n s Manager Nancy Haynes, Assistance t o the A d m i n i s t r a t i v e Secretary C h a r l o t t e Watzl, Assistance t o the Accounting & Pub l i c a t i o n s

Manager.

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COMPARATIVE THEORIES OF SOCIAL CHANGE

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