STEPS TO AN

ECOLOGY OF MIND
COLLECTED ESSAYS IN ANTHROPOLOGY,
PSYCHIATRY, EVOLUTION, AND
EPISTEMOLOGY
Gregory Bateson
Jason Aronson Inc.
Northvale, New Jersey
London
Balinese Painting ( Ida Bagus Djati Sura; Batuan, 1937 )
[Analysis, p. 147]
Copyright 1972, 1987 by Jason Aronson Inc.
10 9 8 7 6 5 4 3 2 1
A rights r!s!r"!#. $rint!# in th! %nit!# &tat!s o' A(!rica. )o
part o' this boo* (ay b! +s!# or r!pro#+c!# in any (ann!r
,hatso!"!r ,itho+t ,ritt!n p!r(ission 'ro( Jason Aronson Inc.
!-c!pt in th! cas! o' bri!' .+otations in r!"i!,s 'or inc+sion in
a (aga/in!, n!,spap!r, or broa#cast.
Library of Congress Cataloging-in-Publication Data
0at!son, 1r!gory.
&t!ps to an !coogy o' (in#.
2Chan#!r p+bications 'or h!ath sci!nc!s3
4!print. 5riginay p+bish!#6 &an 7ranciso 6
Chan#!r $+b. Co., 1972. 8ith n!, pr!'.
Co!ction o' artic!s r!print!# 'ro( "ario+s
p!rio#icas.
9:h! p+bish!# ,or* o' 1r!gory 0at!son96 p.
Inc+#!s in#!-.
1. Anthropoogy, C+t+ra;Co!ct!# ,or*s.
2. <no,!#g!, :h!ory o';Co!ct!# ,or*s. 3. $sychiatry ;
Co!ct!# ,or*s. 4. ="o+tion ; Co!ct!# ,or*s.
I. :it!. II. &!ri!s. >?)@A6 1. Anthropoogy, C+t+ra;
co!ct!# ,or*s. 2. =coogy ; co!ct!# ,or*s.
="o+tion ; co!ct!# ,or*s. 4. &chi/ophr!nic
$sychoogy;co!ct!# ,or*s. 5. :hin*ing;co!ct!#
,or*s. 1) 6 0329s 1972aB
1)6.03 1987 306 87C24133
I&0) 0C87668C950C0
CONTENTS
1971 $4=7AC= "i
1987 $4=7AC= "iii
754=854? -i
I):45?%C:I5) 1
Part I: Metalogues ................................................. 12
A!tao.+!6 8hy ?o :hings 1!t in a A+##!D 13
A!taog+!6 8hy ?o 7r!nch(!nD 19
A!taog+!6 Abo+t 1a(!s an# 0!ing &!rio+s 24
A!taog+!6 Eo, A+ch ?o Fo+ <no,D 31
A!taog+!6 8hy ?o :hings Ea"! 5+tin!sD 37
A!taog+!6 8hy a &,anD 43
A!tao.+!6 8hat Is an InstinctD 48
Part II: Form and Pattern in Anthropology ...... 70
C+t+r! Contact an# &chis(og!n!sis 71
=-p!ri(!nts in :hin*ing Abo+t 5bs!r"!#
=thnoogica Aat!ria 83
Aora! an# )ationa Charact!r 98
0ai6 :h! Ga+! &yst!( o' a &t!a#y &tat! 116
&ty!, 1rac!, an# In'or(ation in $ri(iti"! Art 137
Co((!nt on $art II 162
Part III: Form and Pathology in Relationship
................................................................................ 165
o!ial Planning and the "on!ept o#
$eutero%&earning ............................................... 166
A :h!ory o' $ay an# 7antasy 183
=pi#!(ioogy o' a &chi/ophr!nia 199
:o,ar# a :h!ory o' &chi/ophr!nia 205
:h! 1ro+p ?yna(ics o' &chi/ophr!nia 233
Aini(a 4!.+ir!(!nts 'or a :h!ory o'
&chi/ophr!nia 249
?o+b! 0in#, 1969 276
:h! @ogica Cat!gori!s o' @!arning an# Co((+nication 284
:h! Cyb!rn!tics o' 9&!'96 A :h!ory o' Acohois( 315
Co((!nt on $art III 345
Part I': (iology and )*olution ........................ +,7
5n =(ptyCE!a#!#n!ss A(ong 0ioogists an#
&tat! 0oar#s o' =#+cation 348
:h! 4o! o' &o(atic Chang! in ="o+tion 351
$rob!(s in C!tac!an an# 5th!r
Aa((aian Co((+nicationH 369
A 4!C!-a(ination o' 90at!sonIs 4+!9 384
Co((!nt on $art IG 404
Part ': )pistemology and )!ology .................. ,06
Cyb!rn!tic =-panation 407
4!#+n#ancy an# Co#ing 419
Conscio+s $+rpos! "!rs+s )at+r! 434
=''!cts o' Conscio+s $+rpos! on E+(an A#aptation 447
7or(, &+bstanc!, an# ?i''!r!nc! 455
Co((!nt on $art G 472
Part 'I: "risis in the )!ology o# Mind ........... ,7,
7ro( G!rsai!s to Cyb!rn!tics 475
$athoogi!s o' =pist!(oogy 484
:h! 4oots o' =coogica Crisis 494
=coogy an# 7!-ibiity in %rban Ci"ii/ation 499
:E= $%0@I&E=? 854< 57
14=154F 0A:=&5) 512
1971 PREFACE
I ha"! b!!n on! o' 1r!gory 0at!son
I
s st+#!nts 'or thr!! y!ars
an# I ,as ab! to h!p hi( s!!ct th! !ssays ,hich ar! h!r! bro+ght
tog!th!r 'or th! 'irst ti(! in on! "o+(!. I b!i!"! that this is a "!ry
i(portant boo*, not ony 'or thos! ,ho ar! pro'!ssionay conc!rn!#
,ith th! b!ha"iora sci!nc!s, bioogy, an# phiosophy, b+t aso an#
!sp!ciay 'or thos! o' (y g!n!ration ; th! g!n!ration born sinc!
Eiroshi(a;,ho ar! s!arching 'or a b!tt!r +n#!rstan#ing o'
th!(s!"!s an# th!ir ,or#.
:h! c!ntra i#!a in this boo* is that ,! cr!at! th! ,or# that ,!
p!rc!i"!, not b!ca+s! th!r! is no r!aity o+tsi#! o+r h!a#s 2th!
In#ochin!s! ,ar is ,rong, ,! are #!stroying o+r !cosyst!( an#
th!r!'or! o+rs!"!s, ,h!th!r ,! b!i!"! it or not3, b+t b!ca+s! ,!
s!!ct an# !#it th! r!aity ,! s!! to con'or( to o+r b!i!'s abo+t
,hat sort o' ,or# ,! i"! in. :h! (an ,ho b!i!"!s that th! r!C
so+rc!s o' th! ,or# ar! in'init!, 'or !-a(p!, or that i'
so(!thing is goo# 'or yo+ th!n th! (or! o' it th! b!tt!r, ,i not
b! ab! to s!! his !rrors, b!ca+s! h! ,i not oo* 'or !"i#!nc! o'
th!(.
7or a (an to chang! his basic, p!rc!ptionC#!t!r(ining b!i!'s
; ,hat 0at!son cas his !pist!(oogica pr!(is!s;h! (+st 'irst
b!Cco(! a,ar! that r!aity is not n!c!ssariy as h! b!i!"!s it to
b!. :his is not an !asy or co('ortab! thing to !arn, an# (ost
(!n in history ha"! probaby b!!n ab! to a"oi# thin*ing abo+t it.
An# I a( not con"inc!# that th! +n!-a(in!# i'! is n!"!r ,orth
!a#ing. 0+t so(!ti(!s th! #issonanc! b!t,!!n r!aity an# 'as!
b!i!'s r!ach!s a point ,h!n it b!co(!s i(possib! to a"oi# th!
a,ar!n!ss that th! ,or# no ong!r (a*!s s!ns!. 5ny th!n is it
possib! 'or th! (in# to consi#!r ra#icay #i''!r!nt i#!as an#
p!rc!ptions.
&p!ci'icay, it is c!ar that o+r c+t+ra (in# has co(! to s+ch
a point. 0+t th!r! is #ang!r as ,! as possibiity in o+r sit+ation.
:h!r! is no g+arant!! that th! n!, i#!as ,i b! an i(pro"!(!nt
o"!r th! o#. )or can ,! hop! that th! chang! ,i b! s(ooth.
"i
Ar!a#y th!r! ar! psychic cas+ati!s o' th! c+t+r! chang!. :h!
psych!#!ics ar! a po,!r'+ !#+cationa too. :h!y ar! th! s+r!st
,ay to !arn th! arbitrarin!ss o' o+r or#inary p!rc!ption. Aany o' +s
ha"! ha# to +s! th!( to 'in# o+t ho, itt! ,! *n!,. :oo (any o'
+s ha"! b!co(! ost in th! abyrinth, ha"! #!ci#!# that i' r!aity
#o!sn
I
t (!an ,hat ,! tho+ght it #i# th!n th!r! is no (!aning in it
at a. I *no, that pac!. I ha"! b!!n ost th!r! (ys!'. As 'ar as I
*no,, th!r! ar! ony t,o ,ays o+t.
5n! is r!igio+s con"!rsion. 2I tri!# :aois(. 5th!rs ar!
choosing "ario+s "!rsions o' Ein#+is(, 0+##his(, an# !"!n
Christianity. An# s+ch ti(!s a,ays pro#+c! a host o' s!'C
procai(!# (!ssiahs. Aso, a '!, o' thos! ,ho st+#y ra#ica
i#!oogi!s #o so 'or r!igio+s rath!r than poitica r!asons.3 :his
so+tion (ay satis'y so(!, aCtho+gh th!r! is a,ays th! #ang!r o'
satanis(. 0+t I thin* that thos! ,ho choos! r!a#yC(a#! syst!(s
o' b!i!' os! th! chanc! to #o so(! tr+y cr!ati"! thin*ing, an#
p!rhaps nothing !ss ,i sa"! +s.
:his s!con# ,ay o+t;thin*ing things thro+gh an# ta*ing as itC
t! as possib! on 'aith; is th! (or! #i''ic+t. Int!!ct+a acti"ity
; 'ro( sci!nc! to po!try;has a ba# r!p+tation in (y g!n!ration.
:h! ba(! 'as on o+r soCca!# !#+cationa syst!(, ,hich s!!(s
#!sign!# to pr!"!nt its "icti(s 'ro( !arning to thin*, ,hi!
t!ing th!( that thin*ing is ,hat yo+ #o ,h!n yo+ st+#y a
t!-tboo*. Aso, to !arn to thin*, yo+ (+st ha"! a t!ach!r ,ho can
thin*. :h! o, !"! o' ,hat pass!s 'or thin*ing a(ong (ost o' th!
A(!rican aca#!(ic co((+nity can p!rhaps ony b! appr!ciat!#
by contrast ,ith a (an i*! 1r!gory 0at!son, b+t itIs ba# !no+gh to
ca+s! (any o' o+r b!st (in#s to gi"! +p oo*ing 'or b!tt!r.
0+t th! !ss!nc! o' a o+r prob!(s is ba# thin*ing, an# th!I
ony (!#icin! 'or that is b!tt!r thin*ing. :his boo* is a sa(p! o'
th! b!st thin*ing II"! 'o+n#. I co((!n# it to yo+, (y broth!rs
an# sist!rs o' th! n!, c+t+r!, in th! hop! that it ,i h!p +s on o+r
Jo+rn!y.
;Aar* =ng! Eono + +, Ea,ai i Apr i 16, 1971
"ii
1987 PREFACE
1r!gory 0at!son ,as 'on# o' .+oting E!rac!it+s6 9Into th! sa(!
ri"!r no (an can st!p t,ic!,9 partic+ary in his at!r ,or*, in ,hich
h! ,as trying to #!'in! th! nat+r! o' th! int!r'ac! b!t,!!n th! r!a(
o' (in# an# physica r!aity, an# to #isc+ss th! ,ay in ,hich (!nta
proc!ss !stabish!s an#(ar*s or thr!sho#s, (!anings an#
#!'initions in th! ,or# o' '+-. 0+t a boo* is i*! a ri"!r, not in
th! si(p! s!ns! o' ,at!r 'o,ing by, b+t b!ca+s! th! int!!ct+a
cont!-t, i*! th! r!a#!r, chang!s st!a#iy. 8h!th!r on! is r!a#ing it
'or th! 'irst ti(! or r!t+rning a't!r a aps! o' y!ars, &t!ps to an
=coogy o' Ain# is to#ay not th! sa(! boo* as it ,as ,h!n 'irst
p+bish!# so(! 'i't!!n y!ars ago, an# 'or (ost r!a#!rs its
i(pact sho+# b! gr!at!r. 8! ha"! chang!# an# th! broa#
int!!ct+a ci(at! has chang!#. It ,o+# not b! 'air to say that
this is th! (or! i(portant p+bication, b+t it is c!rtainy (or!
acc!ssib!. :h! incr!as!# acc!ssibiity o' 1r!goryIs tho+ght
to#ay has co(! abo+t arg!y b!ca+s! o' th! st!a#y in'+!nc! o'
th!s! !ssays an# oth!r ,rit!rs #ra,ing on th!( in th! int!r"a, an#
b!ca+s!, a't!r r!cogni/ing th! +nity o' this co!ction, 1r!gory
hi(s!' ,as ab! to ,rit! at a (or! g!n!ra !"!.
:h! ,or* o' 1r!gory 0at!son has b!!n ,i#!y r!a# #+ring this
int!r"!ning p!rio#. ="!r y!ar no, I h!ar o' t,o or thr!! con'!r!nc!s
'oc+s!# on so(! asp!ct o' his tho+ght, so(!ti(!s ,ithin a sing!
#iscipin!, so(!ti(!s across a ,i#!r rang!, an# his na(! crops +p
(or! an# (or! o't!n. ="!n (or! signi'icanty, (any o' th! i#!as
that ,!r! (ost i(portant to hi( ha"! b!co(! 'a(iiar notions that
,! '!! at ho(! ,ith. E! ,as on! o' a gro+p o' thin*!rs ,or*ing
to,ar# an +n#!rstan#ing o' co((+nications, o' th! i(portanc! o'
s!'Cr!g+ating syst!(s, an# th! ca+sa ro! o' i#!as, (!ssag!s,
#i''!r!nc!s. :his has (a#! hi( a c!ntra 'ig+r! in th! gro,ing
appr!ciation o' th! i(portanc! o' oo*ing at !"!nts an# (!ssag!s in
cont!-t an# oo*ing at syst!(s hoisticay, ,h!th!r ,! ar! conc!rn!#
,ith th! h!ath o' th! h+(an bo#yK(in# or th! biosph!r!. :h!
i(portanc! o' !pist!(oogy is (or! an# (or! ,i#!y +n#!rstoo#. At
th! sa(! ti(!, (+ch o' this 'a(iiarity is i+sory. &trang! or
"iii
+ns!tting i#!as ar! #!at ,ith as th! oyst!r #!as ,ith th! bit o' grit,
pac*ag!# in soothing ,ays, s(ooth!# o"!r. :h! ris* 'or a r!a#!r o'
1r!gory 0at!son in 1972 ,as that h! or sh! ,o+# too r!a#iy say,
9:his #o!snIt (a*! s!ns!. ItIs too obsc+r! 'or (!.
9
:h! ris* to#ay is th!
pr!(at+r! cai( o' +n#!rstan#ing, th! pr!(at+r! appication.
I ha"! ha# t,o s+rprising !-p!ri!nc!s going bac* o"!r th!s! artiC
c!s6 :h! 'irst ,as th! #isco"!ry o' ho, (any o' th! i#!as that
s!!(!# i(portant in his at!r ,or* ,!r! ar!a#y h!r!, atho+gh '!,
,i ha"! grasp!# th!( co(p!t!y on 'irst !nco+nt!r. :h! s!con# is
ho, (+ch (or! sti a,aits #isco"!ry in th!s! artic!s 'or on! ,ho
has b!co(! acc+sto(!# to 1r!gory
I
s tho+ght. 8or*ing ,ith 1r!gory
an# ,riting abo+t hi(, ,r!sting tog!th!r ,ith n!, i#!as . as th!y
ca(! aong, I a( probaby as (+ch at ho(! h!r! as any o' his
st+#!nts an# co!ag+!s, an# y!t th! r!r!a#ing r!(ains a #isco"!ry.
Aost o' th! pi!c!s in this "o+(! ar! tight, int!ns!, abstract arC
g+(!nts, that 1r!gory an# oth!rs abor!# to 9+npac*9 o"!r th!
int!r"!ning y!arsL an# sti th!r! ar! s+rpris!s hi##!n ,ithin th!( that
b!co(! "isib! as th! r!a#!r co(!s to (o"! 'r!!y in th! t!-t.
7r!.+!nty , #+ring his car!!r, as his Intro#+ction in#icat!s,
1r!gory '!t as i' h! ,!r! sp!a*ing an# ,riting in a 'or!ign ang+ag!.
$!op! #i# not si(py agr!! or #isagr!! ,ith hi(L th!y ,!r!
b!,i#!r!# or into-icat!#. Aar* =ng!s, in his 1971 $r!'ac!, r!cogC
ni/!# th! anaogy b!t,!!n th! 9(in# !-pan#ing9 !-p!ri!nc!s o' #r+gs
an# r!igio+s con"!rsion an# th! *in#s o' int!!ct+a chang! that co+#
b! achi!"!# by a p!r"asi"! r!shaping o' patt!rns o' tho+ght. In
r!trosp!ct it stri*!s (! that into-ication an# con"!rsion ,!r! co((on
r!spons!s !"!n to th!s! abstract an# #i''ic+t pi!c!s;r!spons!s in
,hich a 'raction o' th! arg+(!nt ,as carri!# on a ti#! o' int+iti"!
a''ir(ation. :o#ay, ho,!"!r, it is b!co(ing incr!asingy possib! to
co(! to grips ,ith 1r!goryIs thin*ing, to s!!ct, a''ir(, cont!st,
.+!stion. :hro+gho+t his i'!, h! tr!as+r!# th! r!ationships in ,hich
h! 'o+n# opport+niti!s 'or int!!ct+a grapping that ,!nt b!yon#
a#(iration a#+ationL critica r!a#ing is !ss!ntia.
:his n!, !#ition, th!n, in"it!s r!a#!rs into an !nco+nt!r ,ith th!
,or* o' 1r!gory 0at!son that ,as ony a"aiab! to a '!, ,h!n th!
co!ction 'irst app!ar!#. Ay a#"ic! to r!a#!rs ,o+# b! to hang on to
th! cha!ng! as ,! as th! a''ir(ation. 8! ha"! not as a ci"ii/ation
achi!"!# thos! !pist!(oogica shi'ts that (ay so(! #ay !nab! n+c!ar
i-
#isar(a(!nt, !coogica r!sponsibiity, an# n!, approach!s to both
!#+cation an# h!aing that ,i "a+! an# !nhanc! th! co(p!-ity o'
p!rsons in th!ir 'a(iia an# socia s!tting. In th!s! an# in 1r!goryIs
at!r boo*s 2Ain# an# )at+r!6 A )!c!ssary %nity, ?+tton 1979, an#,
Jointy ,ith (!, Ang!s 7!ar6 :o,ar# an =pist!(oogy o' th!
&acr!#, Aac(ian, 19873 th! int!!ct+a toos ar! o''!r!#. :o#ay th!y
,i co(! (or! r!a#iy to han#, b! !asi!r to baanc! an# han#! in a
#iscipin!# (ann!r than th!y ,!r! in th! !ary 1970s, b! (or!
acc!ssib! to practic! an# s*i. 0+t sti th!r! r!(ains th! cha!ng! o'
+sing th! toos in s+ch a ,ay that th!y b!Cco(! a part o' th! +s!r. An#
sti th! tas*s 'or ,hich th!s! toos ha"! b!!n shap!# arg!y r!(ain to
b! #on!, (or! +rg!nt to#ay than !"!r.
;Aary Cath!rin! 0at!son Ca(bri#g!, Aass. A+g+st 1987
-
FOREWORD
&o(! (!n s!!( ab! to go on ,or*ing st!a#iy ,ith itt!
s+cc!ss an# no r!ass+ranc! 'ro( o+tsi#!. I a( not on! o' th!s!. I ha"!
n!!#!# to *no, that so(!bo#y !s! b!i!"!# that (y ,or* ha#
pro(is! an# #ir!ction, an# I ha"! o't!n b!!n s+rpris!# that oth!rs
ha# 'aith in (! ,h!n I ha# "!ry itt! in (ys!'. I ha"!, at ti(!s, !"!n
tri!# to shr+g o'' th! r!sponsibiity ,hich th!ir contin+!# 'aith
i(pos!# on (! by thin*ing, 90+t th!y #onIt r!ay *no, ,hat I a(
#oing. Eo, can th!y *no, ,h!n I (ys!' #o notD9
Ay 'irst anthropoogica 'i!# ,or* a(ong th! 0aining o' )!,
0ritain ,as a 'ai+r!, an# I ha# a p!rio# o' partia 'ai+60r! in r!s!arch
,ith #ophins. )!ith!r o' th!s! 'ai+r!s has !"!r b!!n h!# against
(!.
I th!r!'or! ha"! to than* (any p!op! an# instit+tions 'or bac*ing
(!, at ti(!s ,h!n I #i# not consi#!r (ys!' a goo# b!t.
7irst, I ha"! to than* th! Co+nci o' 7!o,s o' &t. JohnIs
Co!g!, Ca(bri#g!, ,ho !!ct!# (! to a 7!o,ship i((!#iat!y
a't!r (y 'ai+r! a(ong th! 0aining.
)!-t, in chronoogica or#!r, I o,! a #!!p #!bt to Aargar!t A!a#,
,ho ,as (y ,i'! an# "!ry cos! coC,or*!r in 0ai an# )!, 1+in!a,
an# ,ho sinc! th!n has contin+!# as a 'ri!n# an# pro'!ssiona
co!ag+!.
In 1942, at a Aacy 7o+n#ation con'!r!nc!, I (!t 8arr!n
AcC+och an# J+ian 0ig!o,, ,ho ,!r! th!n ta*ing !-cit!#y
abo+t 9'!!#bac*.9 :h! ,riting o' )a"!n ha# bro+ght (! to th! "!ry
!#g! o' ,hat at!r b!ca(! cyb!rn!tics, b+t I ac*!# th! conc!pt o'
n!gati"! '!!#bac*. 8h!n I r!t+rn!# 'ro( o"!rs!as a't!r th! ,ar, I
,!nt to 7ran* 7r!(ontC&(ith o' th! Aacy 7o+n#ation to as* 'or a
con'!r!nc! on this th!nC(yst!rio+s (att!r. 7ran* sai# that h! ha# J+st
arrang!# s+ch a con'!r!nc! ,ith AcC+och as chairC(an. It th+s
happ!n!# that I ,as pri"i!g!# to b! a (!(b!r o' th! 'a(o+s Aacy
Con'!r!nc!s on Cyb!rn!tics. Ay #!bt to 8arr!n AcC+och, )orb!rt
8i!n!r, John "on )!+(ann, ="!yn E+tchinson, an# oth!r (!(b!rs
o' th!s! con'!r!nc!s is !"i#!nt in !"!rything that I ha"! ,ritt!n sinc!
8or# 8ar II.
-i
In (y 'irst att!(pts to synth!si/! cyb!rn!tic i#!as ,ith anthropoC
ogica #ata, I ha# th! b!n!'it o' a 1+gg!nh!i( 7!o,ship.
In th! p!rio# o' (y !ntry into th! psychiatric 'i!#, it ,as J+rg!n
4+!sch, ,ith ,ho( I ,or*!# in th! @ang!y $ort!r Cinic, ,ho iniC
tiat!# (! into (any o' th! c+rio+s '!at+r!s o' th! psychiatric ,or#.
7ro( 1949 to 1962, I ha# th! tit! o' 9=thnoogist
9
in th! G!t!rans
A#(inistration Eospita at $ao Ato, ,h!r! I ,as gi"!n sing+ar
'r!!#o( to st+#y ,hat!"!r I tho+ght int!r!sting. I ,as prot!ct!# 'ro(
o+tsi#! #!(an#s an# gi"!n this 'r!!#o( by th! #ir!ctor o' th!
hospita, ?r. John J. $r+s(ac*.
In this p!rio#, 0!rnar# &i!g! s+gg!st!# that th! &tan'or# %niC
"!rsity $r!ss r!p+bish (y boo*, )a"!n, ,hich ha# 'a!n 'at on its
'ac! ,h!n 'irst p+bish!# in 1936L an# I ,as +c*y !no+gh to g!t 'i(
'ootag! o' a s!.+!nc! o' pay b!t,!!n ott!rs in th! 7!ishhac*!r Moo
,hich s!!(!# to (! o' s+ch th!or!tica int!r!st as to J+sti'y a s(a
r!s!arch progra(.
I o,! (y 'irst r!s!arch grant in th! psychiatric 'i!# to th! at!
Ch!st!r 0arnar# o' th! 4oc*!'!!r 7o+n#ation, ,ho ha# *!pt a copy
o' )a"!n 'or so(! y!ars by his b!#si#!. :his ,as a grant to st+#y
9th! ro! o' th! $ara#o-!s o' Abstraction in Co((+nication.
9
%n#!r this grant, Jay Ea!y, John 8!a*an#, an# 0i 7ry Join!#
(! to 'or( a s(a r!s!arch t!a( ,ithin th! G.A. Eospita.
0+t again th!r! ,as 'ai+r!. 5+r grant ,as 'or ony t,o y!ars,
Ch!st!r 0arnar# ha# r!tir!#, an# in th! opinion o' th! 7o+n#ation
sta'' ,! #i# not ha"! !no+gh r!s+ts to J+sti'y r!n!,a. :h! grant ran
o+t, b+t (y t!a( oyay stay!# ,ith (! ,itho+t pay. :h! ,or*
,!nt on, an#, a '!, #ays a't!r th! !n# o' th! grant, ,hi! I ,as ,ritC
ing a #!sp!rat! !tt!r to )orb!rt 8i!n!r 'or his a#"ic! abo+t ,h!r!
to g!t th! n!-t grant, th! #o+b! bin# hypoth!sis '! into pac!.
7inay 7ran* 7r!(ontC&(ith an# th! Aacy 7o+n#ation sa"!# +s.
A't!r that th!r! ,!r! grants 'ro( th! 7o+n#ations 7+n# 'or $syC
chiatry an# 'ro( th! )ationa Instit+t! o' A!nta E!ath.
1ra#+ay it app!ar!# that 'or th! n!-t a#"anc!s in th! st+#y o'
ogica typing in co((+nication I sho+# ,or* ,ith ani(a (at!ria,
an# I start!# to ,or* ,ith octop+s. Ay ,i'!, @ois, ,or*!# ,ith (!,
an# 'or o"!r a y!ar ,! *!pt a #o/!n octop+s!s in o+r i"ing roo(.
:his pr!i(inary ,or* ,as pro(ising b+t n!!#!# to b! r!p!at!# an#
!-t!n#!# +n#!r b!tt!r con#itions. 7or this no grants ,!r! a"aiab!.
-ii
At this point, John @iy ca(! 'or,ar# an# in"it!# (! to b! th!
#ir!ctor o' his #ophin aboratory in th! Girgin Isan#s. I ,or*!# th!r!
'or abo+t a y!ar an# b!ca(! int!r!st!# in th! prob!(s o' c!tac!an
co((+nication, b+t I thin* I a( not c+t o+t to a#(inist!r a
aboratory #+bio+sy '+n#!# in a pac! ,h!r! th! ogistics ar! intoC
!raby #i''ic+t.
It ,as ,hi! I ,as str+gging ,ith th!s! prob!(s that I r!c!i"!# a
Car!!r ?!"!op(!nt A,ar# +n#!r th! )ationa Instit+t! o' A!nta
E!ath. :h!s! a,ar#s ,!r! a#(inist!r!# by 0!rt 0ooth!, an# I o,!
(+ch to his contin+!# 'aith an# int!r!st.
In 1963, :ayor $ryor o' th! 5c!anic 7o+n#ation in Ea,aii in"it!#
(! to ,or* in his 5c!anic Instit+t! on c!tac!an an# oth!r prob!(s o'
ani(a an# h+(an co((+nication. It is h!r! that I ha"! ,ritt!n (or!
than ha' o' th! pr!s!nt boo*, inc+#ing th! ,ho! o' $art G.
8hi! in Ea,aii, I ha"! aso b!!n ,or*ing r!c!nty ,ith th! C+C
t+r! @!arning Instit+t! o' th! =astC8!st C!nt!r in th! %ni"!rsity o'
Ea,aii, an# o,! so(! th!or!tica insights r!gar#ing @!arning III to
#isc+ssions h!# in that Instit+t!.
Ay #!bt to th! 8!nn!rC1r!n 7o+n#ation is !"i#!nt 'ro( th! 'act
that th! boo* contains no !ss than 'o+r position pap!rs ,ritt!n 'or
8!nn!rC1r!n con'!r!nc!s. I ,ish aso to than* p!rsonay Ars. @ita
5s(+n#s!n, th! ?ir!ctor o' 4!s!arch o' that 7o+n#ation.
Aany aso ha"! abor!# aong th! roa# to h!p (!. Aost o' th!s!
cannot b! (!ntion!# h!r!, b+t I (+st partic+ary than* ?r. G!rn
Carro, ,ho pr!par!# th! bibiography, an# (y s!cr!tary, J+#ith Gan
&oot!n, ,ho abor!# ,ith acc+racy thro+gh ong ho+rs in pr!paring
this boo* 'or pr!ss.
7inay th!r! is th! #!bt that !"!ry (an o' sci!nc! o,!s to th! giC
ants o' th! past. It is no (!an co('ort, at ti(!s ,h!n th! n!-t i#!a
cannot b! 'o+n# an# th! ,ho! !nt!rpris! s!!(s '+ti!, to r!(!(b!r that
gr!at!r (!n ha"! ,r!st!# ,ith th! sa(! prob!(s. Ay p!rsona
inspiration has o,!# (+ch to th! (!n ,ho o"!r th! ast 200 y!ars
ha"! *!pt ai"! th! i#!a o' +nity b!t,!!n (in# an# bo#y6 @a(arc*,
th! 'o+n#!r o' !"o+tionary th!ory, (is!rab!, o#, an# bin#, an#
#a(n!# by C+"i!r, ,ho b!i!"!# in &p!cia Cr!ationL 8iia( 0a*!,
th! po!t an# paint!r, ,ho sa, 9thro+gh his !y!s, not ,ith th!(,9 an#
*n!, (or! abo+t ,hat it is to b! h+(an than any oth!r (anL
&a(+! 0+t!r, th! ab!st cont!(porary critic o' ?ar,inian
-iii
!"o+tion an# th! 'irst anayst o' a schi/ophr!nog!nic 'a(iyL 4. 1.
Coing,oo#, th! 'irst (an to r!cogni/!;an# to anay/! in crysC
tain! pros!;th! nat+r! o' cont!-tL an# 8iia( 0at!son, (y 'ath!r,
,ho ,as c!rtainy r!a#y in 1894 to r!c!i"! th! cyb!rn!tic i#!as.
Selection and Arrangement of Items
:h! boo* contains a(ost !"!rything that I ha"! ,ritt!n, ,ith th!
!-c!ption o' it!(s too ong to b! inc+#!#, s+ch as boo*s an# !-C
t!nsi"! anays!s o' #ataL an# it!(s too tri"ia or !ph!(!ra, s+ch as
boo* r!"i!,s an# contro"!rsia not!s. A co(p!t! p!rsona bibiogC
raphy is app!n#!#.
0roa#y, I ha"! b!!n conc!rn!# ,ith 'o+r sorts o' s+bJ!ct (att!r6
anthropoogy, psychiatry, bioogica !"o+tion an# g!n!tics, an# th!
n!, !pist!(oogy ,hich co(!s o+t o' syst!(s th!ory an# !coogy.
=ssays on th!s! s+bJ!cts (a*! +p $arts II, III, IG, an# G o' th! boo*,
an# th! or#!r o' th!s! parts corr!spon#s to th! chronoogica or#!r
o' 'o+r o"!rapping p!rio#s in (y i'! in ,hich th!s! s+bJ!cts ha"!
b!!n c!ntra to (y thin*ing. 8ithin !ach part, th! !ssays ar! in
chronoogica or#!r.
I r!cogni/! that r!a#!rs ar! i*!y to att!n# (ost car!'+y to thos!
parts o' th! boo* #!aing ,ith th!ir partic+ar s+bJ!cts. I ha"!
th!r!'or! not !#it!# o+t so(! r!p!tition. :h! psychiatrist int!r!st!#
in acohois( ,i !nco+nt!r in 9:h! Cyb!rn!tics o' N&!'
I
9 i#!as
,hich app!ar again in (or! phiosophic #r!ss in 97or(, &+bstanc!,
an# ?i''!r!nc!.9
5c!anic Instit+t!, Ea,aii Apra 16, 1971
-i"
INTRODUCTION
The Science of Mind and Order
*
:h! tit! o' this boo* o' co!ct!# !ssays an# !ct+r!s is int!n#!#
pr!cis!y to #!'in! th! cont!nts. :h! !ssays, spr!a# o"!r thirtyC'i"!
y!ars, co(bin! to propos! a n!, ,ay o' thin*ing abo+t i#!as an#
abo+t thos! aggr!gat!s o' i#!as ,hich I ca 9(in#s.9 :his ,ay o'
thin*ing I ca th! 9!coogy o' (in#,9 or th! !coogy o' i#!as. It is a
sci!nc! ,hich #o!s not y!t !-ist as an organi/!# bo#y o' th!ory or
*no,!#g!.
0+t th! #!'inition o' an 9i#!a
9
,hich th! !ssays co(bin! to proC
pos! is (+ch ,i#!r an# (or! 'or(a than is con"!ntiona. :h! !sC
says (+st sp!a* 'or th!(s!"!s, b+t h!r! at th! b!ginning !t (!
stat! (y b!i!' that s+ch (att!rs as th! biat!ra sy((!try o' an ani(a,
th! patt!rn!# arrang!(!nt o' !a"!s in a pant, th! !scaation o' an
ar(a(!nts rac!, th! proc!ss!s o' co+rtship, th! nat+r! o' pay, th!
gra((ar o' a s!nt!nc!, th! (yst!ry o' bioogica !"o+tion, an# t h!
cont!(porary cris!s in (anI s r ! at i onshi p to hi ( !n"i C
ron(!nt, can ony b! +n#!rstoo# in t!r(s o' s+ch an !coogy o'
i#!as as I propos!.
:h! .+!stions ,hich th! boo* rais!s ar! !coogica6 Eo, #o
i#!as int!ractD Is th!r! so(! sort o' nat+ra s!!ction ,hich
#!t!r(in!s th! s+r"i"a o' so(! i#!as an# th! !-tinction or #!ath o'
oth!rsD 8hat sort o' !cono(ics i(its th! (+tipicity o' i#!as in a
gi"!n r!gion o' (in#D 8hat ar! th! n!c!ssary con#itions 'or
stabiity 2or s+r"i"a3 o' s+ch a syst!( or s+bsyst!(D
&o(! o' th!s! .+!stions ar! to+ch!# +pon in th! !ssays, b+t th!
(ain thr+st o' th! boo* is to c!ar th! ,ay so that s+ch .+!stions can b!
(!aning'+y as*!#.
It ,as ony in at! 1969 that I b!ca(! '+y conscio+s o' ,hat I ha#
b!!n #oing. 8ith th! ,riting o' th! <or/ybs*i @!ct+r!, 97or(,
H
:his !ssay, ,ritt!n in 1971, has not b!!n p+bish!# !s!C,h!r!.
1
&+bstanc!, an# ?i''!r!nc!,
9
I 'o+n# that in (y ,or* ,ith pri(iti"!
p!op!s, schi/ophr!nia, bioogica sy((!try, an# in (y #iscont!nt ,ith
th! con"!ntiona th!ori!s o' !"o+tion an# !arning, I ha# i#!nti'i!# a
,i#!y scatt!r!# s!t o' b!nch (ar*s or points o' r!'!r!nc! 'ro( ,hich a
n!, sci!nti'ic t!rritory co+# b! #!'in!#. :h!s! b!nch (ar*s I ha"!
ca!# 9st!ps9 in th! tit! o' th! boo*.
In th! nat+r! o' th! cas!, an !-por!r can n!"!r *no, ,hat h! is
!-poring +nti it has b!!n !-por!#. E! carri!s no 0a!#!*!r in his
poc*!t, no g+i#!boo* ,hich ,i t! hi( ,hich ch+rch!s h! sho+#
"isit or at ,hich hot!s h! sho+# stay. E! has ony th! a(big+o+s
'o*or! o' oth!rs ,ho ha"! pass!# that ,ay. )o #o+bt #!!p!r !"!s o'
th! (in# g+i#! th! sci!ntist or th! artist to,ar# !-p!ri!nc!s an#
tho+ghts ,hich ar! r!!"ant to thos! prob!(s ,hich ar! so(!ho, his,
an# this g+i#anc! s!!(s to op!rat! ong b!'or! th! sci!ntist has any
conscio+s *no,!#g! o' his goas. 0+t ho, this happ!ns ,! #o not
*no,.
I ha"! o't!n b!!n i(pati!nt ,ith co!ag+!s ,ho s!!(!# +nab! to
#isc!rn th! #i''!r!nc! b!t,!!n th! tri"ia an# th! pro'o+n#. 0+t ,h!n
st+#!nts ha"! as*!# (! to #!'in! that #i''!r!nc!, I ha"! b!!n str+c*
#+(b. I ha"! sai# "ag+!y that any st+#y ,hich thro,s ight +pon th!
nat+r! o' 9or#!r
9
or 9patt!rn
9
in th! +ni"!rs! is s+r!y nontri"ia.
0+t this ans,!r ony b!gs th! .+!stion.
I +s!# to t!ach an in'or(a co+rs! 'or psychiatric r!si#!nts in th!
G!t!rans A#(inistration Eospita at $ao Ato, trying to g!t th!( to
thin* so(! o' th! tho+ghts that ar! in th!s! !ssays. :h!y ,o+# att!n#
#+ti'+y an# !"!n ,ith int!ns! int!r!st to ,hat I ,as saying, b+t !"!ry
y!ar th! .+!stion ,o+# aris! a't!r thr!! or 'o+r s!ssions o' th! cass6
98hat is this co+rs! a abo+tD9
I tri!# "ario+s ans,!rs to this .+!stion. 5nc! I #r!, +p a sort o'
cat!chis( an# o''!r!# it to th! cass as a sa(ping o' th! .+!stions
,hich I hop!# th!y ,o+# b! ab! to #isc+ss a't!r co(p!ting th!
co+rs!. :h! .+!stions rang!# 'ro( 98hat is a sacra(!ntD
I
to 98hat is
!ntropyD
9
an# 98hat is payD
9
As a #i#actic (an!+"!r, (y cath!chis( ,as a 'ai+r!6 it si!nc!# th!
cass. 0+t on! .+!stion in it ,as +s!'+6
A c!rtain (oth!r habit+ay r!,ar#s h!r s(a son
,ith ic! cr!a( a't!r h! !ats his spinach. 8hat
2
a##itiona in'or(ation ,o+# yo+ n!!# to b! ab! to
pr!#ict ,h!th!r th! chi# ,i6 a. Co(! to o"! or hat!
spinach, b. @o"! or hat! ic! cr!a(, or c. @o"! or hat!
Aoth!rD
8! #!"ot!# on! or t,o s!ssions o' th! cass to !-poring th! (any
ra(i'ications o' this .+!stion, an# it b!ca(! c!ar to (! that a th!
n!!#!# a##itiona in'or(ation conc!rn!# th! cont!-t o' th! (oth!r
I
s
an# sonIs b!ha"ior. In 'act, th! ph!no(!non o' cont!-t an# th! cos!y
r!at!# ph!no(!non o' 9(!aning
9
#!'in!# a #i"ision b!t,!!n th!
9har#9 sci!nc!s an# th! sort o' sci!nc! ,hich I ,as trying to b+i#.
1ra#+ay I #isco"!r!# that ,hat (a#! it #i''ic+t to t! th! cass
,hat th! co+rs! ,as abo+t ,as th! 'act that (y ,ay o' thin*ing ,as
#i''!r!nt 'ro( th!irs. A c+! to this #i''!r!nc! ca(! 'ro( on! o' th!
st+#!nts. It ,as th! 'irst s!ssion o' th! cass an# I ha# ta*!# abo+t th!
c+t+ra #i''!r!nc!s b!t,!!n =ngan# an# A(!rica;a (att!r ,hich
sho+# a,ays b! to+ch!# on ,h!n an =ngish(an (+st t!ach
A(!ricans abo+t c+t+ra anthropoogy. At th! !n# o' th! s!ssion, on!
r!si#!nt ca(! +p. E! ganc!# o"!r his sho+#!r to b! s+r! that th!
oth!rs ,!r! a !a"ing, an# th!n sai# rath!r h!sitanty, 9I ,ant to as* a
.+!stion.9 9F!s.9 9ItIs;#o yo+ ,ant +s to !arn ,hat yo+ ar! t!ing
+sD
9
I h!sitat!# a (o(!nt, b+t h! r+sh!# on ,ith, 95r is it a a sort o'
!-a(p!, an i+stration o' so(!thing !s!D9 9F!s, in#!!#O
9
0+t an !-a(p! o' ,hatD
An# th!n th!r! ,as, a(ost !"!ry y!ar, a "ag+! co(paint ,hich
+s+ay ca(! to (! as a r+(or. It ,as a!g!# that 90at!son *no,s
so(!thing ,hich h! #o!s not t! yo+,9 or 9:h!r!Is so(!thing b!Chin#
,hat 0at!son says, b+t h! n!"!r says ,hat it is.9
="i#!nty I ,as not ans,!ring th! .+!stion, 9An !-a(p! o' ,hatD
9
In #!sp!ration, I constr+ct!# a #iagra( to #!scrib! ,hat I conc!i"!
to b! th! tas* o' th! sci!ntist. 0y +s! o' this #iagra(, it b!ca(! c!ar that
a #i''!r!nc! b!t,!!n (y habits o' tho+ght an# thos! o' (y st+#!nts
sprang 'ro( th! 'act that th!y ,!r! train!# to thin* an# arg+!
in#+cti"!y 'ro( #ata to hypoth!s!s b+t n!"!r to t!st hypoth!s!s
against *no,!#g! #!ri"!# by #!#+ction 'ro( th! '+n#a(!ntas o'
sci!nc! or phiosophy.
:h! #iagra( ha# thr!! co+(ns. 5n th! !'t, I ist!# "ario+s sorts
o' +nint!rpr!t!# #ata, s+ch as a 'i( r!cor# o' h+(an or ani(a
3
b!ha"ior, a #!scription o' an !-p!ri(!nt, a #!scription or phoC
tograph o' a b!!t!Is !g, or a r!cor#!# h+(an +tt!ranc!. I str!ss!#
th! 'act that 9#ata9 ar! not !"!nts or obJ!cts b+t a,ays r!cor#s or
#!scriptions or (!(ori!s o' !"!nts or obJ!cts. A,ays th!r! is a
trans'or(ation or r!co#ing o' th! ra, !"!nt ,hich int!r"!n!s
b!t,!!n th! sci!ntist an# his obJ!ct. :h! ,!ight o' an obJ!ct is (!asC
+r!# against th! ,!ight o' so(! oth!r obJ!ct or r!gist!r!# on a (!Ct!r.
:h! h+(an "oic! is trans'or(!# into "ariab! (agn!ti/ations o' tap!.
Aor!o"!r, a,ays an# in!"itaby, th!r! is a s!!ction o' #ata b!ca+s!
th! tota +ni"!rs!, past an# pr!s!nt, is not s+bJ!ct to obs!r"ation 'ro(
any gi"!n obs!r"!r
I
s position.
In a strict s!ns!, th!r!'or!, no #ata ar! tr+y 9ra,,9 an# !"!ry
r!cor# has b!!n so(!ho, s+bJ!ct!# to !#iting an# trans'or(ation
!ith!r by (an or by his instr+(!nts.
0+t sti th! #ata ar! th! (ost r!iab! so+rc! o' in'or(ation, an#
'ro( th!( th! sci!ntist (+st start. :h!y pro"i#! his 'irst inspiration an#
to th!( h! (+st at!r r!t+rn.
In th! (i##! co+(n, I ist!# a n+(b!r o' i(p!r'!cty #!'in!#
!-panatory notions ,hich ar! co((ony +s!# in th! b!ha"iora
sci!nc!s;9!go,
9
9an-i!ty,9 9instinct,9 9p+rpos!,9 9(in#,9 9s!',9
9'i-!# action patt!rn,9 9int!ig!nc!,9 9st+pi#ity,9 9(at+rity,9 an# th!
i*!. 7or th! sa*! o' poit!n!ss, I ca th!s! 9h!+ristic9 conc!ptsL b+t, in
tr+th, (ost o' th!( ar! so oos!y #!ri"!# an# so (+t+ay irr!!"ant
that th!y (i- tog!th!r to (a*! a sort o' conc!pt+a 'og ,hich #o!s
(+ch to #!ay th! progr!ss o' sci!nc!.
In th! rightChan# co+(n, I ist!# ,hat I ca 9'+n#a(!ntas.9
:h!s! ar! o' t,o *in#s6 propositions an# syst!(s o' propositions
,hich ar! tr+istica, an# propositions or 9a,s9 ,hich ar! g!n!ray
tr+!. A(ong th! tr+istica propositions I inc+#!# th! 9=t!rna G!riti!s
9
o' (ath!(atics ,h!r! tr+th is ta+toogicay i(it!# to th! #oC(ains
,ithin ,hich (anC(a#! s!ts o' a-io(s an# #!'initions obtain6 9I'
n+(b!rs ar! appropriat!y #!'in!# an# i' th! op!ration o' a##ition is
appropriat!y #!'in!#L th!n 5 P 7 Q 12.
9
A(ong propositions ,hich I
,o+# #!scrib! as sci!nti'icay or g!n!ray an# !(piricay tr+!, I
,o+# ist th! cons!r"ation 9a,s9 'or (ass an# !n!rgy, th! &!con#
@a, o' :h!r(o#yna(ics, an# so on. 0+t th! in! b!t,!!n ta+toogica
tr+ths an# !(pirica g!n!rai/ations is not sharpy #!'inab!, an#,
a(ong (y 9'+n#a(!ntas,
9
th!r! ar! (any propositions ,hos! tr+th no
4
s!nsib! (an can #o+bt b+t ,hich canCnot !asiy b! cassi'i!# as !ith!r
!(pirica or ta+toogica. :h! 9a,s9 o' probabiity cannot b! stat!# so
as to b! +n#!rstoo# an# not b! b!i!"!#, b+t it is not !asy to #!ci#!
,h!th!r th!y ar! !(pirica or ta+toogicaL an# this is aso tr+! o'
&hannonIs th!or!(s in In'or(ation :h!ory.
8ith th! ai# o' s+ch a #iagra(, (+ch can b! sai# abo+t th!
,ho! sci!nti'ic !n#!a"or an# abo+t th! position an# #ir!ction o'
any partic+ar pi!c! o' in.+iry ,ithin it. 9=-panation9 is th!
(apping o' #ata onto '+n#a(!ntas, b+t th! +ti(at! goa o' sci!nc!
is th! incr!as! o' '+n#a(!nta *no,!#g!.
Aany in"!stigators, !sp!ciay in th! b!ha"iora sci!nc!s, s!!( to
b!i!"! that sci!nti'ic a#"anc! is pr!#o(inanty in#+cti"! an# sho+#
b! in#+cti"!. In t!r(s o' th! #iagra(, th!y b!i!"! that progr!ss is
(a#! by st+#y o' th! 9ra,9 #ata, !a#ing to n!, h!+ristic conc!pts.
:h! h!+ristic conc!pts ar! th!n to b! r!gar#!# as 9,or*ing
hypoth!s!s
9
an# t!st!# against (or! #ata. 1ra#+ay, it is hop!#, th!
h!+ristic conc!pts ,i b! corr!ct!# an# i(pro"!# +nti at ast th!y ar!
,orthy o' a pac! in th! ist o' '+n#a(!ntas. Abo+t 'i'ty y!ars o' ,or*
in ,hich tho+san#s o' c!"!r (!n ha"! ha# th!ir shar! ha"!, in 'act,
pro#+c!# a rich crop o' s!"!ra h+n#r!# h!+ristic conc!pts, b+t, aas,
scarc!y a sing! princip! ,orthy o' a pac! in th! ist o'
'+n#a(!ntas.
It is a too c!ar that th! "ast (aJority o' th! conc!pts o' cont!(C
porary psychoogy, psychiatry, anthropoogy, socioogy, an# !coC
no(ics ar! totay #!tach!# 'ro( th! n!t,or* o' sci!nti'ic '+nC
#a(!ntas.
Aoi!r!, ong ago, #!pict!# an ora #octora !-a(ination in ,hich
th! !arn!# #octors as* th! can#i#at! to stat! th! 9ca+s! an# r!ason9
,hy opi+( p+ts p!op! to s!!p. :h! can#i#at! tri+(phanty ans,!rs
in #og @atin, 90!ca+s! th!r! is in it a #or(iti"! princip! 2"irt+s
#or(iti"a3.
9
Charact!risticay, th! sci!ntist con'ronts a co(p!- int!racti"!
syst!(;in this cas!, an int!raction b!t,!!n (an an# opi+(. E!
obs!r"!s a chang! in th! syst!( ; th! (an 'as as!!p. :h! sci!ntist
th!n !-pains th! chang! by gi"ing a na(! to a 'ictitio+s 9ca+s!,9 oC
cat!# in on! or oth!r co(pon!nt o' th! int!racting syst!(. =ith!r th!
opi+( contains a r!i'i!# #or(iti"! princip!, or th! (an contains a
5
r!i'i!# n!!# 'or s!!p, an a#or(itosis, ,hich is 9!-pr!ss!#9 in his
r!spons! to opi+(.
An#, charact!risticay, a s+ch hypoth!s!s ar! 9#or(iti"!9 in th!
s!ns! that th!y p+t to s!!p th! 9critica 'ac+ty9 2anoth!r r!i'i!#
'ictitio+s ca+s!3 ,ithin th! sci!ntist hi(s!'.
:h! stat! o' (in# or habit o' tho+ght ,hich go!s 'ro( #ata to
#or(iti"! hypoth!sis an# bac* to #ata is s!'Cr!in'orcing. :h!r! is,
a(ong a sci!ntists, a high "a+! s!t +pon pr!#iction, an#, in#!!#, to
b! ab! to pr!#ict ph!no(!na is a 'in! thing. 0+t pr!#iction is a
rath!r poor t!st o' an hypoth!sis, an# this is !sp!ciay tr+! o' 9#orC
(iti"! hypoth!s!s.9 I' ,! ass!rt that opi+( contains a #or(iti"!
princip!, ,! can th!n #!"ot! a i'!ti(! o' r!s!arch to st+#ying th!
charact!ristics o' this princip!. Is it h!atCstab!D In ,hich 'raction o'
a #istiat! is it ocat!#D 8hat is its (o!c+ar 'or(+aD An# so on.
Aany o' th!s! .+!stions ,i b! ans,!rab! in th! aboratory an# ,i
!a# on to #!ri"ati"! hypoth!s!s no !ss 9#or(iti"!9 than that 'ro(
,hich ,! start!#.
In 'act, th! (+tipication o' #or(iti"! hypoth!s!s is a sy(pto( o'
!-c!ssi"! pr!'!r!nc! 'or in#+ction, an# this pr!'!r!nc! (+st aC,ays
!a# to so(!thing i*! th! pr!s!nt stat! o' th! b!ha"iora sci!nc!s; a
(ass o' .+asiCth!or!tica sp!c+ation +nconn!ct!# ,ith any cor! o'
'+n#a(!nta *no,!#g!.
In contrast, I try to t!ach st+#!nts; an# this co!ction o' !ssays is
"!ry (+ch conc!rn!# ,ith trying to co((+nicat! this th!sis;that in
sci!nti'ic r!s!arch yo+ start 'ro( t,o b!ginnings, !ach o' ,hich has its
o,n *in# o' a+thority6 th! obs!r"ations cannot b! #!ni!#, an# th!
'+n#a(!ntas (+st b! 'itt!#. Fo+ (+st achi!"! a sort o' pinc!rs
(an!+"!r.
I' yo+ ar! s+r"!ying a pi!c! o' an#, or (apping th! stars, yo+ ha"!
t,o bo#i!s o' *no,!#g!, n!ith!r o' ,hich can b! ignor!#. :h!r! ar!
yo+r o,n !(pirica (!as+r!(!nts on th! on! han# an# th!r! is
=+ci#!an g!o(!try on th! oth!r. I' th!s! t,o cannot b! (a#! to 'it
tog!th!r, th!n !ith!r th! #ata ar! ,rong or yo+ ha"! arg+!# ,rongy
'ro( th!( or yo+ ha"! (a#! a (aJor #isco"!ry !a#ing to a r!"ision o'
th! ,ho! o' g!o(!try.
:h! ,o+#Cb! b!ha"iora sci!ntist ,ho *no,s nothing o' th! basic
str+ct+r! o' sci!nc! an# nothing o' th! 3000 y!ars o' car!'+ phiosophic
an# h+(anistic tho+ght abo+t (an ; ,ho cannot #!'in! !ith!r !ntropy
6
or a sacra(!nt ;ha# b!tt!r ho# his p!ac! rath!r than a## to th! !-isting
J+ng! o' ha'Cba*!# hypoth!s!s.
0+t th! g+' b!t,!!n th! h!+ristic an# th! '+n#a(!nta is not so!y
#+! to !(piricis( an# th! in#+cti"! habit, nor !"!n to th! s!#+ctions o'
.+ic* appication an# th! 'a+ty !#+cationa syst!( ,hich (a*!s
pro'!ssiona sci!ntists o+t o' (!n ,ho car! itt! 'or th! '+n#a(!nta
str+ct+r! o' sci!nc!. It is #+! aso to th! circ+(stanc! that a "!ry arg!
part o' th! '+n#a(!nta str+ct+r! o' nin!t!!nthCc!nt+ry sci!nc! ,as
inappropriat! or irr!!"ant to th! prob!(s an# ph!no(!na ,hich
con'ront!# th! bioogist an# b!ha"iora sci!ntist.
7or at !ast 200 y!ars, say 'ro( th! ti(! o' )!,ton to th! at!
nin!t!!nth c!nt+ry, th! #o(inant pr!occ+pation o' sci!nc! ,as ,ith
thos! chains o' ca+s! an# !''!ct ,hich co+# b! r!'!rr!# to 'orc!s an#
i(pacts. :h! (ath!(atics a"aiab! to )!,ton ,as pr!pon#!ranty
.+antitati"!, an# this 'act, co(bin!# ,ith th! c!ntra 'oc+s +pon 'orc!s
an# i(pacts, !# (!n to (!as+r! ,ith r!(ar*ab! acc+racy .+antiti!s o'
#istanc!, ti(!, (att!r, an# !n!rgy.
As th! (!as+r!(!nts o' th! s+r"!yor (+st Jib! ,ith =+ci#!an
g!o(!try, so sci!nti'ic tho+ght ha# to Jib! ,ith th! gr!at cons!r"ati"!
a,s. :h! #!scription o' any !"!nt !-a(in!# by a physicist or ch!(ist
,as to b! 'o+n#!# +pon b+#g!ts o' (ass an# !n!rgy, an# this r+! ga"!
a partic+ar *in# o' rigor to th! ,ho! o' tho+ght in th! har# sci!nc!s.
:h! !ary pion!!rs o' b!ha"iora sci!nc! not +nnat+ray b!gan th!ir
s+r"!y o' b!ha"ior by #!siring a si(iar rigoro+s bas! to g+i#! th!ir
sp!c+ations. @!ngth an# (ass ,!r! conc!pts ,hich th!y co+# har#y
+s! in #!scribing b!ha"ior 2,hat!"!r that (ight b!3, b+t !n!rgy s!!(!#
(or! han#y. It ,as t!(pting to r!at! 9!n!rgy9 to ar!a#y !-isting
(!taphors s+ch as 9str!ngth9 o' !(otions or charact!r or 9"igor.9 5r to
thin* o' 9!n!rgy9 as so(!ho, th! opposit! o' 9'atig+!9 or 9apathy.9
A!tabois( ob!ys an !n!rgy b+#g!t 2,ithin th! strict (!aning o'
9!n!rgy93, an# !n!rgy !-p!n#!# in b!ha"ior (+st s+r!y b! inc+#!# in
this b+#g!tL th!r!'or! it s!!(!# s!nsib! to thin* o' !n!rgy as a
#!t!r(inant o' b!ha"ior.
It ,o+# ha"! b!!n (or! 'r+it'+ to thin* o' ac* o' !n!rgy as pr!C
"!nti"! o' b!ha"ior, sinc! in th! !n# a star"ing (an ,i c!as! to b!C
ha"!. 0+t !"!n this ,i not #o6 an a(o!ba, #!pri"!# o' 'oo#, b!Cco(!s
'or a ti(! (or! acti"!. Its !n!rgy !-p!n#it+r! is an in"!rs! '+nction o'
!n!rgy inp+t.
7
:h! nin!t!!thCc!nt+ry sci!ntists 2notaby 7r!+#3 ,ho tri!# to !sC
tabish a bri#g! b!t,!!n b!ha"iora #ata an# th! '+n#a(!ntas o'
physica an# ch!(ica sci!nc! ,!r!, s+r!y, corr!ct in insisting +pon th!
n!!# 'or s+ch a bri#g! b+t, I b!i!"!, ,rong in choosing 9!n!rgy9 as th!
'o+n#ation 'or that bri#g!.
I' (ass an# !ngth ar! inappropriat! 'or th! #!scribing o' b!ha"ior,
th!n !n!rgy is +ni*!y to b! (or! appropriat!. A't!r a, !n!rgy is Aass
- G!ocity
2
, an# no b!ha"iora sci!ntist r!ay insists that 9psychic
!n!rgy9 is o' th!s! #i(!nsions.
It is n!c!ssary, th!r!'or!, to oo* again a(ong th! '+n#a(!ntas 'or
an appropriat! s!t o' i#!as against ,hich ,! can t!st o+r h!+ristic
hypoth!s!s.
0+t so(! ,i arg+! that th! ti(! is not y!t rip!L that s+r!y th!
'+n#a(!ntas o' sci!nc! ,!r! a arri"!# at by in#+cti"! r!asoning 'ro(
!-p!ri!nc!, so ,! sho+# contin+! ,ith in#+ction +nti ,! g!t a
'+n#a(!nta ans,!r.
I b!i!"! that it is si(py not tr+! that th! '+n#a(!ntas o' sciC
!nc! b!gan in in#+ction 'ro( !-p!ri!nc!, an# I s+gg!st that in th!
s!arch 'or a bri#g!h!a# a(ong th! '+n#a(!ntas ,! sho+# go bac* to
th! "!ry b!ginnings o' sci!nti'ic an# phiosophic tho+ghtL c!rtainy to
a p!rio# b!'or! sci!nc!, phiosophy, an# r!igion ha# b!Cco(! s!parat!
acti"iti!s s!parat!y p+rs+!# by pro'!ssionas in s!parat! #iscipin!s.
Consi#!r, 'or !-a(p!, th! c!ntra origin (yth o' J+#a!oCChristian
p!op!s. 8hat ar! th! '+n#a(!nta phiosophic an# sci!nti'ic prob!(s
,ith ,hich this (yth is conc!rn!#D
In th! b!ginning 1o# cr!at!# th! h!a"!n an# th! !arth.
An# th! !arth ,as ,itho+t 'or(, an# "oi#L an# #ar*n!ss ,as
+pon th! 'ac! o' th! #!!p. An# th! &pirit o' 1o# (o"!# +pon
th! 'ac! o' th! ,at!rs.
An# 1o# sai#, @!t th!r! b! ight6 an# th!r! ,as ight. An# 1o#
sa, th! ight, that it ,as goo#6 an# 1o# #i"i#!# th! ight 'ro(
th! #ar*n!ss. An# 1o# ca!# th! ight ?ay, an# th! #ar*n!ss h!
ca!# )ight. An# th! !"!ning an# th! (orning ,!r! th! 'irst
#ay.
8
An# 1o# sai#, @!t th!r! b! a 'ir(a(!nt in th! (i#st o' th!
,at!rs, an# !t it #i"i#! th! ,at!rs 'ro( th! ,at!rs. An# 1o#
(a#! th! 'ir(a(!nt, an# #i"i#!# th! ,at!rs ,hich ,!r! +n#!r
th! 'ir(a(!nt 'ro( th! ,at!rs ,hich ,!r! abo"! th!
'ir(a(!nt6 an# it ,as so. An# 1o# ca!# th! 'ir(a(!nt
E!a"!n. An# th! !"!ning an# th! (orning ,!r! th! s!con#
#ay.
An# 1o# sai#, @!t th! ,at!rs +n#!r th! h!a"!n b!
gath!r!# tog!th!r +nto on! pac!, an# !t th! #ry an#
app!ar6 an# it ,as so. An# 1o# ca!# th! #ry an# =arthL
an# th! gath!ring tog!th!r o' th! ,at!rs ca!# h! &!as6 an#
1o# sa, that it ,as goo#.
A+thori/!# "!rsion
5+t o' th!s! 'irst t!n "!rs!s o' th+n#!ro+s pros!, ,! can #ra,
so(! o' th! pr!(is!s or '+n#a(!ntas o' anci!nt Cha#!an tho+ght
an# it is strang!, a(ost !!ri!, to not! ho, (any o' th! '+n#a(!ntas
an# prob!(s o' (o#!rn sci!nc! ar! 'or!sha#o,!# in th! anci!nt
#oc+(!nt.
213 :h! prob!( o' th! origin an# nat+r! o' (att!r is s+((ariy
#is(iss!#.
223 :h! passag! #!as at !ngth ,ith th! prob!( o' th! origin o'
or#!r.
233 A s!paration is th+s g!n!rat!# b!t,!!n th! t,o sorts o' probC
!(. It is possib! that this s!paration o' prob!(s ,as an !rror, b+t
;!rror or not;th! s!paration is (aintain!# in th! '+n#a(!ntas o'
(o#!rn sci!nc!. :h! cons!r"ati"! a,s 'or (att!r an# !n!rgy ar!
sti s!parat! 'ro( th! a,s o' or#!r, n!gati"! !ntropy, an#
in'or(ation.
243 5r#! is s!!n as a (att!r o' sorting an# #i"i#ing. 0+t th! !ss!ntia
notion in a sorting is that so(! #i''!r!nc! sha ca+s! so(! oth!r
#i''!r!nc! at a at!r ti(!. I' ,! ar! sorting bac* bas 'ro( ,hit! bas,
or arg! bas 'ro( s(a bas, a #i''!r!nc! a(ong th! bas is to b!
'oo,!# by a #i''!r!nc! in th!ir ocation;bas o' on! cass to on! sac*
an# bas o' anoth!r cass to anoth!r. 7or s+ch an op!ration, ,! n!!#
9
so(!thing i*! a si!"!, a thr!sho#, or, par !-c!!nc!, a s!ns! organ.
It is +n#!rstan#ab!, th!r!'or!, that a p!rc!i"ing =ntity sho+# ha"!
b!!n in"o*!# to p!r'or( this '+nction o' cr!ating an oth!r,is!
i(probab! or#!r.
253 Cos!y in*!# ,ith th! sorting an# #i"i#ing is th! (yst!ry o'
cassi'ication, to b! 'oo,!# at!r by th! !-traor#inary h+(an
achi!"!(!nt o' na(ing.
It is not at a c!ar that th! "ario+s co(pon!nts o' this (yth ar! a
pro#+cts o' in#+cti"! r!asoning 'ro( !-p!ri!nc!. An# th! (atCt!r
b!co(!s sti (or! p+//ing ,h!n this origin (yth is co(par!# ,ith
oth!rs ,hich !(bo#y #i''!r!nt '+n#a(!nta pr!(is!s.
A(ong th! Iat(+ o' )!, 1+in!a, th! c!ntra origin (yth, i*!
th! 1!n!sis story, #!as ,ith th! .+!stion o' ho, #ry an# ,as s!parat!#
'ro( ,at!r. :h!y say that in th! b!ginning th! croco#i!
<a",o*(ai pa##!# ,ith his 'ront !gs an# ,ith his hin# !gsL an# his
pa##ing *!pt th! (+# s+sp!n#!# in th! ,at!r. :h! gr!at c+t+r!
h!ro, <!"!(b+angga, ca(! ,ith his sp!ar an# *i!# <a",o*(ai.
A't!r that th! (+# s!tt!# an# #ry an# ,as 'or(!#. <!"!(b+angga
th!n sta(p!# ,ith his 'oot on th! #ry an#, i.!., h! pro+#y
#!(onstrat!# 9that it ,as goo#.9
E!r! th!r! is a strong!r cas! 'or #!ri"ing th! (yth 'ro( !-p!riC
!nc! co(bin!# ,ith in#+cti"! r!asoning. A't!r a, (+# #o!s r!C
(ain in s+sp!nsion i' ran#o(y stirr!# an# #o!s s!tt! ,h!n th! stirCring
c!as!s. Aor!o"!r, th! Iat(+ p!op! i"! in th! "ast s,a(ps o' th!
&!pi* 4i"!r "a!y ,h!r! th! s!paration o' an# 'ro( ,at!r is
i(p!r'!ct. It is +n#!rstan#ab! that th!y (ight b! int!r!st!# in th!
#i''!r!ntiation o' an# 'ro( ,at!r.
In any cas!, th! Iat(+ ha"! arri"!# at a th!ory o' or#!r ,hich is
a(ost a pr!cis! con"!rs! o' that o' th! boo* o' 1!n!sis. In Iat(+
tho+ght, sorting ,i occ+r i' ran#o(i/ation is pr!"!nt!#. In 1!n!C
sis, an ag!nt is in"o*!# to #o th! sorting an# #i"i#ing.
0+t both c+t+r!s ai*! ass+(! a '+n#a(!nta #i"ision b!t,!!n th!
prob!(s o' (at!ria cr!ation an# th! prob!(s o' or#!r an#
#i''!r!ntiation.
4!t+rning no, to th! .+!stion o' ,h!th!r th! '+n#a(!ntas o'
sci!nc! an#Kor phiosophy ,!r!, at th! pri(iti"! !"!, arri"!# at by
in#+cti"! r!asoning 'ro( !(pirica #ata, ,! 'in# that th! ans,!r is
not si(p!. It is #i''ic+t to s!! ho, th! #ichoto(y b!t,!!n
10
s+bstanc! an# 'or( co+# b! arri"!# at by in#+cti"! arg+(!nt. )o
(an, a't!r a, has !"!r s!!n or !-p!ri!nc!# 'or(!ss an# +nsort!#
(att!rL J+st as no (an has !"!r s!!n or !-p!ri!nc!# a 9ran#o(9 !"!nt.
I', th!r!'or!, th! notion o' a +ni"!rs! 9,itho+t 'or( an# "oi#9 ,as
arri"!# at by in#+ction, it ,as by a (onstro+s;an# p!rhaps
!rron!o+s ; J+(p o' !-trapoation.
An# !"!n so, it is not c!ar that th! starting point 'ro( ,hich th!
pri(iti"! phiosoph!rs too* o'' ,as obs!r"ation. It is at !ast !.+ay
i*!y that #ichoto(y b!t,!!n 'or( an# s+bstanc! ,as an +nconC
scio+s #!#+ction 'ro( th! s+bJ!ctCpr!#icat! r!ation in th! str+ct+r! o'
pri(iti"! ang+ag!. :his, ho,!"!r, is a (att!r b!yon# th! r!ach o'
+s!'+ sp!c+ation.
0! that as it (ay, th! c!ntra;b+t +s+ay not !-picit ; s+bJ!ct
(att!r o' th! !ct+r!s ,hich I +s!# to gi"! to psychiatric r!si#!nts
an# o' th!s! !ssays is th! bri#g! b!t,!!n b!ha"iora #ata an# th!
9'+n#a(!ntas
9
o' sci!nc! an# phiosophyL an# (y critica co((!nts
abo"! abo+t th! (!taphoric +s! o' 9!n!rgy9 in th! b!ha"iora sci!nc!s
a## +p to a rath!r si(p! acc+sation o' (any o' (y co!ag+!s, that
th!y ha"! tri!# to b+i# th! bri#g! to th! ,rong ha' o' th! anci!nt
#ichoto(y b!t,!!n 'or( an# s+bstanc!. :h! cons!r"ati"! a,s 'or
!n!rgy an# (att!r conc!rn s+bstanc! rath!r than 'or(. 0+t (!nta
proc!ss, i#!as, co((+nication, organi/ation, #i''!r!ntiation, patt!rn,
an# so on, ar! (att!rs o' 'or( rath!r than s+bstanc!.
8ithin th! bo#y o' '+n#a(!ntas, that ha' ,hich #!as ,ith 'or(
has b!!n #ra(aticay !nrich!# in th! ast thirty y!ars by th!
#isco"!ri!s o' cyb!rn!tics an# syst!(s th!ory. :his boo* is conC
c!rn!# ,ith b+i#ing a bri#g! b!t,!!n th! 'acts o' i'! an# b!ha"ior an#
,hat ,! *no, to#ay o' th! nat+r! o' patt!rn an# or#!r.
11
Part I: Metalogues
?=7I)I:I5)6 A (!taog+! is a con"!rsation abo+t so(!
prob!(atic s+bJ!ct. :his con"!rsation sho+# b! s+ch that not
ony #o th! participants #isc+ss th! prob!( b+t th! str+ct+r! o' th!
con"!rsation as a ,ho! is aso r!!"ant to th! sa(! s+bJ!ct. 5ny
so(! o' th! con"!rsations h!r! pr!s!nt!# achi!"! this #o+b!
'or(at.
)otaby, th! history o' !"o+tionary th!ory is in!"itaby a
(!taog+! b!t,!!n (an an# nat+r!, in ,hich th! cr!ation an#
int!raction o' i#!as (+st n!c!ssariy !-!(pi'y !"o+tionary
proc!ss.
Metaloque: Why Do Thin! "et in a
Mu##le$
%
?a+ght!r6 ?a##y, ,hy #o things g!t in a (+##!D
7ath!r6 8hat #o yo+ (!anD :hingsD A+##!D
?6 8!, p!op! sp!n# a ot o' ti(! ti#ying things, b+t th!y n!"!r
s!!( to sp!n# ti(! (+##ing th!(. :hings J+st s!!( to g!t in a
(+##! by th!(s!"!s. An# th!n p!op! ha"! to ti#y th!( +p
again.
76 0+t #o yo+r things g!t in a (+##! i' yo+ #onIt to+ch th!(D
?6 )o;not i' nobo#y to+ch!s th!(. 0+t i' yo+ to+ch th!(;or i'
anybo#y to+ch!s th!(;th!y g!t in a (+##! an# itIs a ,ors!
(+##! i' it isnIt (!.
76 F!s;thatIs ,hy I try to *!!p yo+ 'ro( to+ching th! things on (y
#!s*. 0!ca+s! (y things g!t in a ,ors! (+##! i' th!y ar!
to+ch!# by so(!bo#y ,ho isnIt (!.
?6 0+t #o p!op! a,ays (+##! oth!r p!op!Is thingsD 8hy #o
th!y, ?a##yD
76 )o,, ,ait a (in+t!. ItIs not so si(p!. 7irst o' a, ,hat #o yo+
(!an by a (+##!D
?6 I (!an;so I canIt 'in# things, an# so it oo*s a (+##!# +p.
:h! ,ay it is ,h!n nothing is straight
76 8!, b+t ar! yo+ s+r! yo+ (!an th! sa(! thing by (+##! that
anybo#y !s! ,o+# (!anD
?6 0+t, ?a##y, II( s+r! I #o;b!ca+s! II( not a "!ry ti#y p!rson
an# i' I say things ar! in a (+##!, th!n II( s+r! !"!rybo#y !s!
,o+# agr!! ,ith (!.
76 A right;b+t #o yo+ thin* yo+ (!an th! sa(! thing by 9ti#y9
that. oth!r p!op! ,o+#D I' yo+r (+((y (a*!s yo+r things
ti#y, #o yo+ *no, ,h!r! to 'in# th!(D
?6 E(( . . . so(!ti(!s;b!ca+s!, yo+ s!!, I *no, ,h!r! sh! p+ts
things ,h!n sh! ti#i!s +p
76 F!s, I try to *!!p h!r a,ay 'ro( ti#ying (y #!s*, too. II( s+r!
that sh! an# I #onIt (!an th! sa(! thing by 9ti#y.9
H
8ritt!n in 1948L not pr!"io+sy p+bish!#.
13
?6 ?a##y, #o yo+ an# I (!an th! sa(! thing by 9ti#yD9 76 I #o+bt it,
(y #!ar;I #o+bt it.
?6 0+t, ?a##y, isnIt that a '+nny thing;that !"!rybo#y (!ans th!
sa(! ,h!n th!y say 9(+##!#9 b+t !"!ryCbo#y (!ans so(!thing
#i''!r!nt by 9ti#y.9 0+t 9ti#y9 is th! opposit! o' 9(+##!#,9 isnIt
itD
76 )o, ,! b!gin to g!t into (or! #i''ic+t .+!stions. @!tIs start
again 'ro( th! b!ginning. Fo+ sai# 98hy #o things a,ays g!t in
a (+##!D9 )o, ,! ha"! (a#! a st!p or t,o;an# !tIs chang!
th! .+!stion to 98hy #o things g!t in a stat! ,hich Cathy cas
Inot ti#yDI 9 ?o yo+ s!! ,hy I ,ant to (a*! that chang!D
?6 ... F!s, I thin* so;b!ca+s! i' I ha"! a sp!cia (!aning 'or 9ti#y9
th!n so(! o' oth!r p!op!Is 9ti#i!s9 ,i oo* i*! (+##!s to (!
;!"!n i' ,! #o agr!! abo+t (ost o' ,hat ,! ca (+##!s
76 :hatIs right. )o,;!tIs oo* at ,hat yo+ ca ti#y. 8h!n yo+r
paint bo- is p+t in a ti#y pac!, ,h!r! is itD ?6 E!r! on th! !n# o'
this sh!'.
76 5*ay;no, i' it ,!r! any,h!r! !s!D
?6 )o, that ,o+# not b! ti#y.
76 8hat abo+t th! oth!r !n# o' th! sh!', h!r!D @i*! thisD
?6 )o, thatIs not ,h!r! it b!ongs, an# anyho, it ,o+# ha"! to b!
straight, not a croo*!# th! ,ay yo+ p+t it.
76 5h;in th! right pac! an# straight.
?6 F!s.
76 8!, that (!ans that th!r! ar! ony "!ry '!, pac!s ,hich ar!
9ti#y9 'or yo+r paint bo-
?6 5ny on! pac!;
76 )o;"!ry '!, pac!s, b!ca+s! i' I (o"! it a itt! bit, i*! this, it
is sti ti#y.
?6 A right;b+t "!ry, "!ry '!, pac!s.
76 A right, "!ry, "!ry '!, pac!s. )o, ,hat abo+t th! t!##y b!ar
an# yo+r #o, an# th! 8i/ar# o' 5/ an# yo+r s,!at!r, an# yo+r
sho!sD ItIs th! sa(! 'or a th! things, isnIt it, that !ach thing has
ony a "!ry, "!ry '!, pac!s ,hich ar! 9ti#y9 'or that thingD
?6 F!s, ?a##y;b+t th! 8i/ar# o' 5/ co+# b! anyC,h!r! on that
sh!'. An# ?a##y;#o yo+ *no, ,hatD I hat!, hat! it ,h!n (y
boo*s g!t a (i-!# +p ,ith yo+r boo*s an# A+((yIs boo*s.
7 6 F!s, I *no,. 2$a+s!3
14
?6 ?a##y, yo+ #i#nIt 'inish. 8hy #o (y things g!t th! ,ay I say
isnIt ti#yD
76 0+t I ha"! 'inish!#;itIs J+st b!ca+s! th!r! ar! (or! ,ays ,hich
yo+ ca 9+nti#y9 than th!r! ar! ,ays ,hich yo+ ca 9ti#y.9
?6 0+t that isnIt a r!ason ,hy
76 0+t, y!s, it is. An# it is th! r!a an# ony an# "!ry i(portant
r!ason.
?6 5h, ?a##yO &top it.
76 )o, II( not 'ooing. :hat is th! r!ason, an# a o' sci!nc! is
hoo*!# +p ,ith that r!ason. @!tIs ta*! anCoth!r !-a(p!. I' I p+t
so(! san# in th! botto( o' this c+p an# p+t so(! s+gar on th!
top o' it, an# no, stir it ,ith a t!aspoon, th! san# an# th! s+gar
,i g!t (i-!# +p, ,onIt th!yD
?6 F!s, b+t, ?a##y, is it 'air to shi't o"!r to ta*ing abo+t 9(i-!#
+p9 ,h!n ,! start!# ,ith 9(+##!# +pD9
76 E(( . . . I ,on#!r . .. b+t I thin* so;F!s;b!ca+s! !tIs say ,!
can 'in# so(!bo#y ,ho thin*s it is (or! ti#y to ha"! a th! san#
+n#!rn!ath a th! s+gar. An# i' yo+ i*! II say I ,ant it that ,ay
?6 E((. . .
76 A right;ta*! anoth!r !-a(p!. &o(!ti(!s in th! (o"i!s yo+
,i s!! a ot o' !tt!rs o' th! aphab!t a scatt!r!# o"!r th!
scr!!n, a higg!#yCpigg!#y an# so(! !"!n +psi#! #o,n. An#
th!n so(!thing sha*!s th! tab! so that th! !tt!rs start to (o"!,
an# th!n as th! sha*ing go!s on, th! !tt!rs a co(! tog!th!r to
sp! th! tit! o' th! 'i(.
?6 F!s, II"! s!!n that;th!y sp!!# ?5)A@?.
76 It #o!snIt (att!r ,hat th!y sp!!#. :h! point is that yo+ sa,
so(!thing b!ing sha*!n an# stirr!# +p an# inCst!a# o' g!tting
(or! (i-!# +p than b!'or!, th! !tt!rs ca(! tog!th!r into an
or#!r, a right ,ay +p, an# sp!!# a ,or#;th!y (a#! +p
so(!thing ,hich a ot o' p!op! ,o+# agr!! is s!ns!.
?6 F!s, ?a##y, b+t yo+ *no, .. .
76 )o, I #onIt *no,L ,hat I a( trying to say is that in th! r!a ,or#
things n!"!r happ!n that ,ay. ItIs ony in th! (o"i!s.
?6 0+t, ?a##y .. .
76 I t! yo+ itIs ony in th! (o"i!s that yo+ can sha*! things an#
th!y s!!( to ta*! on (or! or#!r an# s!ns! than th!y ha# b!'or! ..
.
15
?6 0+t, ?a##y .. .
76 8ait ti II"! 'inish!# this ti(! . . . An# th!y (a*! it oo* i*! that
in th! (o"i!s by #oing th! ,ho! thing bac*,ar#s. :h!y p+t th!
!tt!rs a in or#!r to sp! ?5)A@? an# th!n th!y start th!
ca(!ra an# th!n th!y start sha*ing th! tab!.
?6 5h, ?a##y;I *n!, that an# I #i# so ,ant to t! yo+ that;an#
th!n ,h!n th!y r+n th! 'i(, th!y r+n it bac*,ar#s so that it
oo*s as tho+gh things ha# happ!n!# 'or,ar#s. 0+t r!ay th!
sha*ing happ!n!# bac*C,ar#s. An# th!y ha"! to photograph it
+psi#! #o,n ... 8hy #o th!y, ?a##yD
76 5h 1o#.
?6 8hy #o th!y ha"! to 'i- th! ca(!ra +psi#! #o,n, ?a##yD
76 )o, I ,on
I
t ans,!r that .+!stion no, b!ca+s! ,!
I
r! in th! (i##!
o' th! .+!stion abo+t (+##!s.
?6 5h;a right, b+t #onIt 'org!t, ?a##y, yo+I"! got to ans,!r that
.+!stion abo+t th! ca(!ra anoth!r #ay. ?onIt 'org!tO Fo+ ,onIt
'org!t, ,i yo+, ?a##yD 0!Cca+s! I (ay not r!(!(b!r. $!as!,
?a##y.
76 5*ay;b+t anoth!r #ay. )o,, ,h!r! ,!r! ,!D F!s, abo+t things
n!"!r happ!ning bac*,ar#s. An# I ,as trying to t! yo+ ,hy it
is a r!ason 'or things to hapCp!n in a c!rtain ,ay i' ,! can sho,
that that ,ay has (or! ,ays o' happ!ning than so(! oth!r ,ay.
?6 ?a##y;#onIt b!gin ta*ing nons!ns!.
76 II( not ta*ing nons!ns!. @!tIs start again. :h!r!Is ony on! ,ay
o' sp!ing ?5)A@?. Agr!!#D
?6 F!s.
76 A right. An# th!r! ar! (iions an# (iions an# (iCions o'
,ays o' scatt!ring si- !tt!rs on th! tab!. Agr!!#D
?6 F!s. I s+ppos! so. Can so(! o' th!s! b! +psi#! #o,nD
76 F!s;J+st in th! sort o' higg!#yCpigg!#y (+##! th!y ,!r! in in
th! 'i(. 0+t th!r! co+# b! (iions an# (iions an# (iions o'
(+##!s i*! that, co+#nIt th!r!D An# ony on! ?5)A@?D
?6 A right;y!s. 0+t, ?a##y, th! sa(! !tt!rs (ight sp! 5@?
?A).
76 )!"!r (in#. :h! (o"i! p!op! #onIt ,ant th!( to sp! 5@?
?A). :h!y ony ,ant ?5)A@?.
?6 8hy #o th!yD
76 ?a(n th! (o"i! p!op!.
16
?6 0+t yo+ (!ntion!# th!( 'irst, ?a##y.
76 F!s;b+t that ,as to try to t! yo+ ,hy things happ!n that ,ay in
,hich th!r! ar! (ost ,ays o' th!ir happ!ning. An# no, itIs yo+r
b!#ti(!.
?6 0+t, ?a##y, yo+ n!"!r #i# 'inish t!ing (! ,hy things happ!n
that ,ay;th! ,ay that has (ost ,ays.
76 A right. 0+t #onIt start any (or! har!s r+nning;on! is .+it!
!no+gh. Anyho,, I a( tir!# o' ?5)A@?, !tIs ta*! anoth!r
!-a(p!. @!tIs ta*! tossing p!nni!s.
?6 ?a##yD Ar! yo+ sti ta*ing abo+t th! sa(! .+!stion ,! start!#
,ithD 98hy #o things g!t in a (+##!D9
76 F!s.
?6 :h!n, ?a##y, is ,hat yo+ ar! trying to say tr+! abo+t p!nni!s,
an# abo+t ?5)A@?, an# abo+t s+gar an# san#, an# abo+t (y
paint bo-, an# abo+t p!nni!sD
76 F!s;thatIs right.
?6 5h;I ,as J+st ,on#!ring, thatIs a.
76 )o,, !tIs s!! i' I can g!t it sai# this ti(!. @!tIs go bac* to th!
san# an# th! s+gar, an# !tIs s+ppos! that so(!bo#y says that
ha"ing th! san# at th! botto( is 9ti#y9 or 9or#!ry.9
?6 ?a##y, #o!s so(!bo#y ha"! to say so(!thing i*! that b!'or!
yo+ can go on to ta* abo+t ho, things ar! going to g!t (i-!# +p
,h!n yo+ stir th!(D
76 F!s;thatIs J+st th! point. :h!y say ,hat th!y hop! ,i happ!n
an# th!n I t! th!( it ,onIt happ!n b!ca+s! th!r! ar! so (any
oth!r things that (ight happ!n. An# I *no, that it is (or! i*!y
that on! o' th! (any things ,i happ!n an# not on! o' th! '!,.
?6 ?a##y, yo+Ir! J+st an o# boo*(a*!r, bac*ing a th! oth!r
hors!s against th! on! hors! that I ,ant to b!t on.
76 :hatIs right, (y #!ar. I g!t th!( to b!t on ,hat th!y ca th!
9ti#y9 ,ay;I *no, that th!r! ar! in'init!y (any (+##!#
,ays;so things ,i a,ays go to,ar# (+##! an# (i-!#n!ss.
?6 0+t ,hy #i#nIt yo+ say that at th! b!ginning, ?a##yD I co+#
ha"! +n#!rstoo# that a right.
76 F!s, I s+ppos! so. Anyho,, itIs no, b!#ti(!.
?6 ?a##y, ,hy #o gro,n+ps ha"! ,ars, inst!a# o' J+st 'ighting th!
,ay chi#r!n #oD
17
76 )o;b!#ti(!. 0! o'' ,ith yo+. 8!I ta* abo+t ,ars anoth!r
ti(!.
18
Metaloue: Why Do F&en'h(en$
%
?a+ght!r6 ?a##y, ,hy #o 7r!nch(!n ,a"! th!ir ar(s abo+tD
7ath!r6 8hat #o yo+ (!anD
?6 I (!an ,h!n th!y ta*. 8hy #o th!y ,a"! th!ir ar(s an# a thatD
76 8!;,hy #o yo+ s(i!D 5r ,hy #o yo+ sta(p yo+r 'oot
so(!ti(!sD
?6 0+t thatIs not th! sa(! thing, ?a##y. I #onIt ,a"! (y ar(s abo+t
i*! a 7r!nch(an #o!s. I #onIt b!i!"! th!y can stop #oing it,
?a##y. Can th!yD
76 I #onIt *no,;th!y (ight 'in# it har# to stop. . . . Can yo+ stop
s(iingD
?6 0+t ?a##y, I #onIt s(i! a th! ti(!. ItIs har# to stop ,h!n I '!!
i*! s(iing. 0+t I #onIt '!! i*! it a th! ti(!. An# th!n I stop.
76 :hatIs tr+!;b+t th!n a 7r!nch(an #o!snIt ,a"! his ar(s in th!
sa(! ,ay a th! ti(!. &o(!ti(!s h! ,a"!s th!( in on! ,ay an#
so(!ti(!s in anoth!r;an# so(!ti(!s, I thin*, h! stops ,a"ing
th!(.
* * *
76 8hat #o yo+ thin*D I (!an, ,hat #o!s it (a*! yo+ thin* ,h!n a
7r!nch(an ,a"!s his ar(sD
?6 I thin* it oo*s siy, ?a##y. 0+t I #onIt s+ppos! it oo*s i*! that
to anoth!r 7r!nch(an. :h!y cannot a oo* siy to !ach oth!r.
0!ca+s! i' th!y #i#, th!y ,o+# stop it. 8o+#nIt th!yD
76 $!rhaps;b+t that is not a "!ry si(p! .+!stion. 8hat !s! #o
th!y (a*! yo+ thin*D
?6 8!;th!y oo* a !-cit!# .. .
76 A right;9siy9 an# 9!-cit!#.9
?6 0+t ar! th!y r!ay as !-cit!# as th!y oo*D I' I ,!r! as !-cit!# as
that, I ,o+# ,ant to #anc! or sing or hit so(!bo#y on th! nos!
H
:his (!taog+! is r!print!# 'ro( Impulse 1951, an ann+a o' cont!(porary
#anc!, by p!r(ission o' I(p+s! $+bications, Inc. It has aso app!ar!# in !".# A
$e%&ie' of (eneral Semantics, Go. ), 1953.
19
R b+t th!y J+st go on ,a"ing th!ir ar(s. :h!y canIt b! r!ay
!-cit!#.
76 8!;ar! th!y r!ay as siy as th!y oo* to yo+D An# anyho,,
,hy #o yo+ so(!ti(!s ,ant to #anc! an# sing an# p+nch
so(!bo#y on th! nos!D
?6 5h. &o(!ti(!s I J+st '!! i*! that.
76 $!rhaps a 7r!nch(an J+st '!!s 9i*! that9 ,h!n h! ,a"!s his
ar(s abo+t.
?6 0+t h! co+#nIt '!! i*! that a th! ti(!, ?a##y, h! J+st co+#nIt.
76 Fo+ (!an;th! 7r!nch(an s+r!y #o!s not '!! ,h!n h! ,a"!s
his ar(s !-acty as yo+ ,o+# '!! i' yo+ ,a"!# yo+rs. An#
s+r!y yo+ ar! right.
?6 0+t, th!n, ho, #o!s h! '!!D
76 8!;!t +s s+ppos! yo+ ar! ta*ing to a 7r!nch(an an# h! is
,a"ing his ar(s abo+t, an# th!n in th! (i##! o' th!
con"!rsation, a't!r so(!thing that yo+ ha"! sai#, h! s+##!ny
stops ,a"ing his ar(s, an# J+st ta*s. 8hat ,o+# yo+ thin*
th!nD :hat h! ha# J+st stopp!# b!ing siy an# !-cit!#D
?6 )o . . . II# b! 'right!n!#. II# thin* I ha# sai# so(!thing that h+rt
his '!!ings an# p!rhaps h! (ight b! r!ay angry.
76 F!s;an# yo+ (ight b! right.
* * *
?6 A right;so th!y stop ,a"ing th!ir ar(s ,h!n th!y start b!ing
angry.
76 8ait a (in+t!. :h! .+!stion, a't!r a, is ,hat #o!s on!
7r!nch(an t! anoth!r 7r!nch(an by ,a"ing his ar(sD An# ,!
ha"! part o' an ans,!r;h! t!s hi( so(!thing abo+t ho, h!
'!!s abo+t th! oth!r g+y. E! t!s hi( h! is not s!rio+sy angry;
that h! is ,iing an# ab! to b! ,hat yo+ ca 9siy.9
?6 0+t;no;thatIs not s!nsib!. E! cannot #o a that ,or* so that
at!r h! ,i b! ab! to t! th! oth!r g+y that h! is angry by J+st
*!!ping his o,n ar(s sti. Eo, #o!s h! *no, that h! is going to
b! angry at!r onD
76 E! #o!sn
I
t *no,. 0+t, J+st in cas! .. .
?6 )o, ?a##y, it #o!snIt (a*! s!ns!. I #onIt s(i! so as to b! ab! to
t! yo+ I a( angry by not s(iing at!r on.
20
76 F!s;I thin* that that is part o' th! r!ason 'or s(iing. An# th!r!
ar! ots o' p!op! ,ho s(i! in or#!r to t! yo+ that th!y ar! not
angry;,h!n th!y r!ay ar!.
?6 0+t thatIs #i''!r!nt, ?a##y. :hatIs a sort o' t!ing i!s ,ith on!Is
'ac!. @i*! paying po*!r.
76 F!s.
76 )o, ,h!r! ar! ,!D Fo+ #onIt thin* it s!nsib! 'or 7r!nch(!n to
,or* so har# to t! !ach oth!r that th!y ar! not angry or h+rt.
0+t a't!r a ,hat is (ost con"!rsation abo+tD I (!an, a(ong
A(!ricansD
?6 0+t, ?a##y, itIs abo+t a sorts o' things;bas!ba an# ic! cr!a(
an# gar#!ns an# ga(!s. An# p!op! ta* abo+t oth!r p!op! an#
abo+t th!(s!"!s an# abo+t ,hat th!y got 'or Christ(as.
76 F!s, y!s;b+t ,ho ist!nsD I (!an;a right, so th!y ta* abo+t
bas!ba an# gar#!ns. 0+t ar! th!y !-changing in'or(ationD An#,
i' so, ,hat in'or(ationD
?6 &+r!;,h!n yo+ co(! in 'ro( 'ishing, an# I as* yo+ 9#i# yo+
catch anythingD9 an# yo+ say 9nothing,9 I #i#nIt *no, that yo+
,o+#nIt catch anything ti yo+ to# (!.
76 E((.
* * *
76 A rightCso yo+ (!ntion (y 'ishing;a (att!r abo+t ,hich I a(
s!nsiti"!;an# th!n th!r! is a gap, a si!nc! in th! con"!rsation
;an# that si!nc! t!s yo+ that I #onIt i*! crac*s abo+t ho,
(any 'ish I #i#nIt catch. ItIs J+st i*! th! 7r!nch(an ,ho stops
,a"ing his ar(s abo+t ,h!n h! is h+rt.
?6 II( sorry, ?a##y, b+t yo+ #i# say .. .
76 )o;,ait a (in+t!;!tIs not g!t con'+s!# by b!ing sorry;I
sha go o+t 'ishing again to(orro, an# I sha sti *no, that I
a( +ni*!y to catch a 'ish .. .
?6 0+t, ?a##y, yo+ sai# a con"!rsation is ony t!ing
oth!r p!op! that yo+ ar! not angry ,ith th!( .. .
76 ?i# ID )o;not a con"!rsation, b+t (+ch o' it. &o(!Cti(!s i'
both p!op! ar! ,iing to ist!n car!'+y, it is possib! to #o
(or! than !-chang! gr!!tings an# goo# ,ish!s. ="!n to #o (or!
21
than !-chang! in'or(ation. :h! t,o p!op! (ay !"!n 'in# o+t
so(!thing ,hich n!ith!r o' th!( *n!, b!'or!.
* * *
76 Anyho,, (ost con"!rsations ar! ony abo+t ,h!th!r p!op! ar!
angry or so(!thing. :h!y ar! b+sy t!ing !ach oth!r that th!y
ar! 'ri!n#y;,hich is so(!ti(!s a i!. A't!r a, ,hat happ!ns
,h!n th!y cannot thin* o' anything to sayD :h!y a '!!
+nco('ortab!.
?6 0+t ,o+#nIt that b! in'or(ation, ?a##yD I (!an;in'or(ation
that th!y ar! not crossD
76 &+r!y, y!s. 0+t itIs a #i''!r!nt sort o' in'or(ation 'ro(
9
th! cat is
on th! (at.
9
* * *
?6 ?a##y, ,hy cannot p!op! J+st say 9I a( not cross at yo+9 an#
!t it go at thatD
76 Ah, no, ,! ar! g!tting to th! r!a prob!(. :h! point is that th!
(!ssag!s ,hich ,! !-chang! in g!st+r!s ar! r!ay not th! sa(!
as any transation o' thos! g!st+r!s into ,or#s.
?6 I #onIt +n#!rstan#.
76 I (!an;that no a(o+nt o' t!ing so(!bo#y in (!r! ,or#s that
on! is or is not angry is th! sa(! as ,hat on! (ight t! th!( by
g!st+r! or ton! o' "oic!.
?6 0+t, ?a##y, yo+ cannot ha"! ,or#s ,itho+t so(! ton! o' "oic!,
can yo+D ="!n i' so(!bo#y +s!s as itt! ton! as h! can, th! oth!r
p!op! ,i h!ar that h! is ho#ing hi(s!' bac*;an# that ,i b!
a sort o' ton!, ,onIt itD
76 F!s;I s+ppos! so. A't!r a thatIs ,hat I sai# J+st no, abo+t
g!st+r!s;that th! 7r!nch(an can say so(!thing sp!cia by
stopping his g!st+r!s.
* * *
76 0+t th!n, ,hat #o I (!an by saying that S(!r! ,or#sT can n!"!r
con"!y th! sa(! (!ssag! as g!st+r!s;i' th!r! ar! no 9(!r!
,or#s9D
?6 8!, th! ,or#s (ight b! ,ritt!n.
22
76 )o;that ,onIt !t (! o+t o' th! #i''ic+ty. 0!ca+s! ,ritt!n
,or#s sti ha"! so(! sort o' rhyth( an# th!y sti ha"!
o"!rton!s. :h! point is that no (!r! ,or#s !-ist. :h!r! ar! on y
,or#s ,ith !ith!r g!st+r! or ton! o' "oic! or so(!thing o' th!
sort. 0+t, o' co+rs!, g!st+r!s ,itho+t ,or#s ar! co((on !no+gh.
* * *
?6 ?a##y, ,h!n th!y t!ach +s 7r!nch at schoo, ,hy #onIt th!y
t!ach +s to ,a"! o+r han#sD
76 I #onIt *no,. II( s+r! I #onIt *no,. :hat is probaby on! o' th!
r!asons ,hy p!op! 'in# !arning ang+ag!s so #i''ic+t.
* * *
76 Anyho,, it is a nons!ns!. I (!an, th! notion that ang+ag! is
(a#! o' ,or#s is a nons!ns!;an# ,h!n I sai# that g!st+r!s
co+# not b! transat!# into 9(!r! ,or#s,9 I ,as ta*ing
nons!ns!, b!ca+s! th!r! is no s+ch thing as 9(!r! ,or#s.9 An#
a th! synta- an# gra((ar an# a that st+'' is nons!ns!. ItIs a
bas!# on th! i#!a that 9(!r!9 ,or#s !-ist;an# th!r! ar! non!.
?6 0+t, ?a##y .. .
76 I t! yo+;,! ha"! to start a o"!r again 'ro( th! b!ginning an#
ass+(! that ang+ag! is 'irst an# 'or!C(ost a syst!( o' g!st+r!s.
Ani(as a't!r a ha"! ony g!st+r!s an# ton!s o' "oic!;an#
,or#s ,!r! in"!nt!# at!r. A+ch at!r. An# a't!r that th!y
in"!nt!# schooC(ast!rs.
?6 ?a##yD
76 F!s.
?6 8o+# it b! a goo# thing i' p!op! ga"! +p ,or#s an# ,!nt bac*
to ony +sing g!st+r!sD
76 E((. I #onIt *no,. 5' co+rs! ,! ,o+# not b! ab! to ha"! any
con"!rsations i*! this. 8! co+# ony bar*, or (!,, an# ,a"!
o+r ar(s abo+t, an# a+gh an# gr+nt an# ,!!p. 0+t it (ight b!
'+n;it ,o+# (a*! i'! a sort o' ba!t;,ith #anc!rs (a*ing
th!ir o,n (+sic.
23
Metaloue: A)out "a(e! an# *ein
+e&iou!
%
?a+ght!r6 ?a##y, ar! th!s! con"!rsations s!rio+sD
7ath!r6 C!rtainy th!y ar!.
?6 :h!yIr! not a sort o' ga(! that yo+ pay ,ith (!D
76 1o# 'orbi# . . . b+t th!y ar! a sort o' ga(! that ,! pay tog!th!r.
?6 :h!n th!yIr! not s!rio+sO
* * *
76 &+ppos! yo+ t! (! ,hat yo+ ,o+# +n#!rstan# by th! ,or#s
9s!rio+s9 an# a 9ga(!.9
?6 8! . . . i' yo+
I
r! . . . I #onIt *no,.
76 I' I a( ,hatD
?6 I (!an . . . th! con"!rsations ar! s!rio+s 'or (!, b+t i' yo+ ar!
ony paying a ga(! .. .
76 &t!a#y no,. @!tIs oo* at ,hat is goo# an# ,hat is ba# abo+t
9paying9 an# 9ga(!s.9 7irst o' a, I #onIt (in# ;not (+ch;
abo+t ,inning or osing. 8h!n yo+r .+!stions p+t (! in a tight
spot, s+r!, I try a itt! har#!r to thin* straight an# to say c!ary
,hat I (!an. 0+t I #onIt b+'' an# I #onIt s!t traps. :h!r! is no
t!(ptation to ch!at.
?6 :hatIs J+st it. ItIs not s!rio+s to yo+. ItIs a ga(!. $!op! ,ho
ch!at J+st #onIt *no, ho, to pay. :h!y tr!at a ga(! as tho+gh it
,!r! s!rio+s.
76 0+t it is s!rio+s.
?6 )o, it isn
I
t;not 'or yo+ it isn
I
t.
76 0!ca+s! I #on
I
t !"!n ,ant to ch!atD
?6 F!s;party that.
H
:his (!taog+! is r!print!# by p!r(ission 'ro( =:C.6 A 4!"i!, o' 1!n!ra
&!(antics, Go. U, 1953.
24
76 0+t #o yo+ ,ant to ch!at an# b+'' a th! ti(!D ?6 )o;o'
co+rs! not.
76 8! th!nD
?6 5h;?a##y;yo+I n!"!r +n#!rstan#.
76 I g+!ss I n!"!r ,i.
76 @oo*, I scor!# a sort o' #!bating point J+st no, by 'orcing yo+ to
a#(it that yo+ #onIt ,ant to ch!at;an# th!n I ti!# onto that
a#(ission th! conc+sion that th!r!'or! th! con"!rsations ar! not
9s!rio+s9 'or yo+ !ith!r. 8as that a sort o' ch!atingD
?6 F!s;sort o'.
76 I agr!!;I thin* it ,as. I
I
( sorry.
?6 Fo+ s!!, ?a##y;i' I ch!at!# or ,ant!# to ch!at, that ,o+#
(!an that I ,as not s!rio+s abo+t th! things ,! ta* abo+t. It
,o+# (!an that I ,as ony paying a ga(! ,ith yo+.
76 F!s, that (a*!s s!ns!.
* * *
?6 0+t it #o!snIt (a*! s!ns!, ?a##y. ItIs an a,'+ (+##!.
76 F!s;a (+##!;b+t sti a sort o' s!ns!.
?6 Eo,, ?a##yD
* * *
76 8ait a (in+t!. :his is #i''ic+t to say. 7irst o' a;I thin* that ,!
g!t so(!,h!r! ,ith th!s! con"!rsations. I !nJoy th!( "!ry (+ch
an# I thin* yo+ #o. 0+t aso, apart 'ro( that, I thin* that ,! g!t
so(! i#!as straight an# I thin* that th! (+##!s h!p. I (!an;
that i' ,! both spo*! ogicay a th! ti(!, ,! ,o+# n!"!r g!t
any,h!r!. 8! ,o+# ony parrot a th! o# cich!s that
!"!rybo#y has r!p!at!# 'or h+n#r!#s o' y!ars.
?6 8hat is a cich!, ?a##yD
76 A cich!D ItIs a 7r!nch ,or#, an# I thin* it ,as originay a
print!rIs ,or#. 8h!n th!y print a s!nt!nc! th!y ha"! to ta*! th!
s!parat! !tt!rs an# p+t th!( on! by on! into a sort o' groo"!#
stic* to sp! o+t th! s!nt!nc!. 0+t 'or ,or#s an# s!nt!nc!s
,hich p!op! +s! o't!n, th! print!r *!!ps itt! stic*s o' !tt!rs
r!a#y (a#! +p. An# th!s! r!a#yC(a#! s!nt!nc!s ar! ca!#
cich!s.
25
?6 0+t II"! 'orgott!n no, ,hat yo+ ,!r! saying abo+t cich!s,
?a##y.
76 F!s;it ,as abo+t th! (+##!s that ,! g!t into in th!s! ta*s
an# ho, g!tting into (+##!s (a*!s a sort o' s!ns!. I' ,!
#i#nIt g!t into (+##!s, o+r ta*s ,o+# b! i*! paying r+((y
,itho+t 'irst sh+''ing th! car#s.
?6 F!s, ?a##y;b+t ,hat abo+t thos! things;th! r!a#yC(a#!
stic*s o' !tt!rsD
76 :h! cich!sD F!s;itIs th! sa(! thing. 8! a ha"! ots o' r!a#yC
(a#! phras!s an# i#!as, an# th! print!r has r!a#yC(a#! stic*s
o' !tt!rs, a sort!# o+t into phras!s. 0+t i' th! print!r ,ants to
print so(!thing n!,;say, so(!thing in a n!, ang+ag!, h!
,i ha"! to br!a* +p a that o# sorting o' th! !tt!rs. In th!
sa(! ,ay, in or#!r to thin* n!, tho+ghts or to say n!, things,
,! ha"! to br!a* +p a o+r r!a#yC(a#! i#!as an# sh+''! th!
pi!c!s.
?6 0+t, ?a##y, th! print!r ,o+# not sh+''! a th! !tt!rsD 8o+#
h!D E! ,o+#nIt sha*! th!( a +p in a bag. E! ,o+# p+t th!(
on! by on! in th!ir pac!s;a th! aIs in on! bo- an# a th! bIs
in anoth!r, an# a th! co((as in anoth!r, an# so on.
76 F!s;thatIs right. 5th!r,is! h! ,o+# go (a# trying to 'in# an a
,h!n h! ,ant!# it.
* * *
76 8hat ar! yo+ thin*ingD
?6 )o;itIs ony that th!r! ar! so (any .+!stions. 76 7or !-a(p!D
?6 8!, I s!! ,hat yo+ (!an abo+t o+r g!tting into (+##!s. :hat
that (a*!s +s say n!, sorts o' things. 0+t I a( thin*ing abo+t
th! print!r. E! has to *!!p a his itt! !tt!rs sort!# o+t !"!n
tho+gh h! br!a*s +p a th! r!a#yC(a#! phras!s. An# I a(
,on#!ringI abo+t o+r (+##!s. ?o ,! ha"! to *!!p th! itt!
pi!c!s o' o+r tho+ght in so(! sort o' or#!r;to *!!p 'ro( going
(a#D
76 I thin* so;y!s;b+t I #onIt *no, ,hat sort o' or#!r. :hat
,o+# b! a t!rriby har# .+!stion to ans,!r. I #onIt thin* ,!
co+# g!t an ans,!r to that .+!stion to#ay.
26
* * *
76 Fo+ sai# th!r! ,!r! 9so (any .+!stions.9 ?o yo+ ha"! anoth!rD
?6 F!s;abo+t ga(!s an# b!ing s!rio+s. :hatIs ,hat ,! start!#
'ro(, an# I #onIt *no, ho, or ,hy that !# +s to ta* abo+t o+r
(+##!s. :h! ,ay yo+ con'+s! !"!rything;itIs a sort o'
ch!ating.
76 )o, abso+t!y not.
* * *
76 Fo+ bro+ght +p t,o .+!stions. An# r!ay th!r! ar! a ot (or! . . .
8! start!# 'ro( th! .+!stion abo+t th!s! con"!rsations;ar! th!y
s!rio+sD 5r ar! th!y a sort o' ga(!D An# yo+ '!t h+rt that I
(ight b! paying a ga(!, ,hi! yo+ ,!r! s!rio+s. It oo*s as
tho+gh a con"!rsation is a ga(! i' a p!rson ta*!s part in it ,ith
on! s!t o' !(otions or i#!as;b+t not a 9ga(!9 i' his i#!as or
!(otions ar! #i''!r!nt.
?6 F!s, itIs i' yo+r i#!as abo+t th! con"!rsation ar! #i''!r!nt 'ro(
(in! .. .
76 I' ,! both ha# th! ga(! i#!a, it ,o+# b! a rightD ?6 F!s;o'
co+rs!.
76 :h!n it s!!(s to b! +p to (! to (a*! c!ar ,hat I (!an by th!
ga(! i#!a. I *no, that I a( s!rio+s;,hat!"!r that (!ans;
abo+t th! things that ,! ta* abo+t. 8! ta* abo+t i#!as. An# I
*no, that I pay ,ith th! i#!as in or#!r to +n#!rstan# th!( an#
'it th!( tog!th!r. ItIs 9pay9 in th! sa(! s!ns! that a s(a chi#
9pays9 ,ith boc*s . . . An# a chi# ,ith b+i#ing boc*s is
(osty "!ry s!rio+s abo+t his 9pay.9
?6 0+t is it a ga(!, ?a##yD ?o yo+ pay against (!D
76 )o. I thin* o' it as yo+ an# I paying tog!th!r against th!
b+i#ing boc*s;th! i#!as. &o(!ti(!s co(p!ting a bit;b+t
co(p!ting as to ,ho can g!t th! n!-t i#!a into pac!. An#
so(!ti(!s ,! attac* !ach oth!rIs bit o' b+i#ing, or I ,i try to
#!'!n# (y b+itC+p i#!as 'ro( yo+r criticis(. 0+t a,ays in th!
!n# ,! ar! ,or*ing tog!th!r to b+i# th! i#!as +p so that th!y
,i stan#.
27
* * *
?6 ?a##y, #o o+r ta*s ha"! r+!sD :h! #i''!r!nc! b!t,!!n
a ga(! an# J+st paying is that a ga(! has r+!s.
76 F!s. @!t (! thin* abo+t that. I thin* ,! #o ha"! a sort o' r+!s ...
an# I thin* a chi# paying ,ith boc*s has r+!s. :h! boc*s
th!(s!"!s (a*! a sort o' r+!s. :h!y ,i baanc! in c!rtain
positions an# th!y ,i not baanc! in oth!r positions. An# it
,o+# b! a sort o' ch!ating i' th! chi# +s!# g+! to (a*! th!
boc*s stan# +p in a position 'ro( ,hich th!y ,o+# oth!r,is!
'a.
?6 0+t ,hat r+!s #o ,! ha"!D
76 8!, th! i#!as that ,! pay ,ith bring in a sort o' r+!s. :h!r!
ar! r+!s abo+t ho, i#!as ,i stan# +p an# s+pCport !ach
oth!r. An# i' th!y ar! ,rongy p+t tog!th!r th! ,ho! b+i#ing
'as #o,n.
?6 )o g+!, ?a##yD
76 )o;no g+!. 5ny ogic.
* * *
?6 0+t yo+ sai# that i' ,! a,ays ta*!# ogicay an# #i# not g!t
into (+##!s, ,! co+# n!"!r say anything n!,. 8! co+# ony
say r!a#yC(a#! things. 8hat #i# yo+ ca thos! thingsD
76 Cich!s. F!s. 1+! is ,hat cich!s ar! st+c* tog!th!r ,ith.
?6 0+t yo+ sai# 9ogic,9 ?a##y.
76 F!s, I *no,. 8!Ir! in a (+##! again. 5ny I #onIt s!! a ,ay o+t
o' this partic+ar (+##!.
* * *
?6 Eo, #i# ,! g!t into it, ?a##yD
76 A right, !tIs s!! i' ,! can r!trac! o+r st!ps. 8! ,!r! ta*ing
abo+t th! 9r+!s9 o' th!s! con"!rsations. An# I sai# that th! i#!as
that ,! pay ,ith ha"! r+!s o' ogic .. .
?6 ?a##yO 8o+#nIt it b! a goo# thing i' ,! ha# a '!, (or! r+!s
an# ob!y!# th!( (or! car!'+yD :h!n ,! (ight not g!t into
th!s! #r!a#'+ (+##!s.
28
76 F!s. 0+t ,ait. Fo+ (!an that I g!t +s into th!s! (+##!s b!ca+s!
I ch!at against r+!s ,hich ,! #onIt ha"!. 5r p+t it this ,ay. :hat
,! (ight ha"! r+!s ,hich ,o+# stop +s 'ro( g!tting into
(+##!s;as ong as ,! ob!y!# th!(.
?6 F!s, ?a##y, thatIs ,hat th! r+!s o' a ga(! ar! 'or.
76 F!s, b+t #o yo+ ,ant to t+rn th!s! con"!rsations into that sort o'
a ga(!D II# rath!r pay canasta;,hich is '+n too.
?6 F!s, thatIs right. 8! can pay canasta ,h!n!"!r ,! ,ant to. 0+t
at th! (o(!nt I ,o+# rath!r pay this ga(!. 5ny I #onIt *no,
,hat sort o' a ga(! this is. )or ,hat sort o' r+!s it has.
76 An# y!t ,! ha"! b!!n paying 'or so(! ti(!.
?6 F!s. An# itIs b!!n '+n.
76 F!s.
* * *
76 @!tIs go bac* to th! .+!stion ,hich yo+ as*!# an# ,hich I sai#
,as too #i''ic+t to ans,!r to#ay. 8! ,!r! ta*ing abo+t th!
print!r br!a*ing +p his cich!s, an# yo+ sai# that h! ,o+# sti
*!!p so(! sort o' or#!r a(ong his !tt!rs;to *!!p 'ro( going
(a#. An# th!n yo+ as*!# 98hat sort o' or#!r sho+# ,! cing to
so that ,h!n ,! g!t into a (+##! ,! #o not go (a#D
9
It s!!(s
to (! that th! 9r+!s9 o' th! ga(! is ony anCoth!r na(! 'or that
sort o' or#!r.
?6 F!s;an# ch!ating is ,hat g!ts +s into (+##!s.
76 In a s!ns!, y!s. :hatIs right. =-c!pt that th! ,ho! point o' th!
ga(! is that ,! #o g!t into (+##!s, an# #o co(! o+t on th!
oth!r si#!, an# i' th!r! ,!r! no (+##!s o+r 9ga(!9 ,o+# b!
i*! canasta or ch!ss;an# that is not ho, ,! ,ant it to b!.
?6 Is it yo+ that (a*! th! r+!s, ?a##yD Is that 'airD
76 :hat, #a+ght!r, is a #irty crac*. An# probaby an +n'air on!. 0+t
!t (! acc!pt it at 'ac! "a+!. F!s, it is I ,ho (a*! th! r+!s;
a't!r a, I #o not ,ant +s to go (a#.
?6 A right. 0+t, ?a##y, #o yo+ aso chang! th! r+!sD &o(!ti(!sD
76 E((, anoth!r #irty crac*. F!s, #a+ght!r, I chang! th!(
constanty. )ot a o' th!(, b+t so(! o' th!(.
?6 I ,ish yo+I# t! (! ,h!n yo+Ir! going to chang! th!(O
29
76 E((;y!s;again. I ,ish I co+#. 0+t it isnIt i*! that. I' it ,!r!
i*! ch!ss or canasta, I co+# t! yo+ th! r+!s, an# ,! co+#, i'
,! ,ant!# to, stop paying an# #isc+ss th! r+!s. An# th!n ,!
co+# start a n!, ga(! ,ith th! n!, r+!s. 0+t ,hat r+!s ,o+#
ho# +s b!t,!!n th! t,o ga(!sD 8hi! ,! ,!r! #isc+ssing th!
r+!sD
?6 I #onIt +n#!rstan#.
76 F!s. :h! point is that th! p+rpos! o' th!s! con"!rsations is to
#isco"!r th! 9r+!s.9 ItIs i*! i'!;a ga(! ,hos! p+rpos! is to
#isco"!r th! r+!s, ,hich r+!s ar! a,ays changing an# a,ays
+n#isco"!rab!.
?6 0+t I #onIt ca that a ga(!, ?a##y.
76 $!rhaps not. I ,o+# ca it a ga(!, or at any rat! 9pay.9 0+t it
c!rtainy is not i*! ch!ss or canasta. ItIs (or! i*! ,hat *itt!ns
an# p+ppi!s #o. $!rhaps. I #onIt *no,.
* * *
?6 ?a##y, ,hy #o *itt!ns an# p+ppi!s payD
76 I #onIt *no,;I #on
I
t *no,.
30
Metaloue: ,o- Mu'h Do .ou /no-$
%
?a+ght!r6 ?a##y, ho, (+ch #o yo+ *no,D
7ath!r6 A!D E((;I ha"! abo+t a po+n# o' *no,!#g!.
?6 ?onIt b! siy. Is it a po+n# st!ring or a po+n# ,!ightD I (!an
r!ay ho, (+ch #o yo+ *no,D
76 8!, (y brain ,!ighs abo+t t,o po+n#s an# I s+ppos! I +s!
abo+t a .+art!r o' it;or +s! it at abo+t a .+art!r !''ici!ncy. &o
!tIs say ha' a po+n#.
?6 0+t #o yo+ *no, (or! than JohnnyIs #a##yD ?o yo+ *no, (or!
than I #oD
76 E((;I onc! *n!, a itt! boy in =ngan# ,ho as*!# his 'ath!r,
9?o 'ath!rs a,ays *no, (or! than sonsD9 an# th! 'ath!r sai#,
9F!s.9 :h! n!-t .+!stion ,as, 9?a##y, ,ho in"!nt!# th! st!a(
!ngin!D9 an# th! 'ath!r sai#, 9Ja(!s 8att.9 An# th!n th! son
ca(! bac* ,ith 9;b+t ,hy #i#nIt Ja(!s 8attIs 'ath!r in"!nt itD9
* * *
?6 I *no,. I *no, (or! than that boy b!ca+s! I *no, ,hy Ja(!s
8attIs 'ath!r #i#nIt. It ,as b!ca+s! so(!Cbo#y !s! ha# to thin*
o' so(!thing !s! b!'or! anybo#y co+# (a*! a st!a( !ngin!. I
(!an so(!thing i*!;I #onIt *no,;b+t th!r! ,as so(!bo#y
!s! ,ho ha# to #isco"!r oi b!'or! anybo#y co+# (a*! an
!ngin!.
76 F!s;that (a*!s a #i''!r!nc!. I (!an, it (!ans that *no,!#g! is
a sort o' *nitt!# tog!th!r, or ,o"!n, i*! coth, an# !ach pi!c!
o' *no,!#g! is ony (!aning'+ or +s!'+ b!ca+s! o' th! oth!r
pi!c!s;an# . . .
?6 ?o yo+ thin* ,! o+ght to (!as+r! it by th! yar#D
76 )o. I #onIt.
?6 0+t thatIs ho, ,! b+y coth.
H
:his (!taog+! is r!print!# by p!r(ission 'ro( =:C.6A 4!"i!, o' 1!n!ra
&!(antics, Go. U, 1953. 91
31
76 F!s. 0+t I #i#nIt (!an that it is coth. 5ny itIs i*! it;an#
c!rtainy ,o+# not b! 'at i*! coth;b+t in thr!! #i(!nsions;
p!rhaps 'o+r #i(!nsions.
?6 8hat #o yo+ (!an, ?a##yD
76 I r!ay #onIt *no,, (y #!ar. I ,as J+st trying to thin*.
76 I #onIt thin* ,! ar! #oing "!ry ,! this (orning. &+pCpos! ,!
start o+t on anoth!r tac*. 8hat ,! ha"! to thin* abo+t is ho, th!
pi!c!s o' *no,!#g! ar! ,o"!n tog!th!r. Eo, th!y h!p !ach
oth!r.
?6 Eo, #o th!yD
76 8!;itIs as i' so(!ti(!s t,o 'acts g!t a##!# tog!th!r an# a
yo+ ha"! is J+st t,o 'acts. 0+t so(!ti(!s inst!a# o' J+st a##ing
th!y (+tipy;an# yo+ g!t 'o+r 'acts.
?6 Fo+ cannot (+tipy on! by on! an# g!t 'o+r. Fo+ *no, yo+
canIt.
76 5h.
* * *
76 0+t y!s I can, too. I' th! things to b! (+tipi!# ar! pi!c!s o'
*no,!#g! or 'acts or so(!thing i*! that. 0!ca+s! !"!ry on! o'
th!( is a #o+b! so(!thing.
?6 I #onIt +n#!rstan#.
76 8!;at !ast a #o+b! so(!thing.
?6 ?a##yO
76 F!s;ta*! th! ga(! o' :,!nty V+!stions. Fo+ thin* o'
so(!thing. &ay yo+ thin* o' 9to(orro,.9 A right. )o, I as*
9
Is
it abstractD9 an# yo+ say 9F!s.
9
)o, 'ro( yo+r 9y!s9 I ha"! got a
#o+b! bit o' in'or(ation. I *no, that it is abstract an# I *no,
that it isnIt concr!t!. 5r say it this ,ay;'ro( yo+r 9y!s9 I can
ha"! th! n+(b!r o' possibiiti!s o' ,hat th! thing can b!. An#
thatIs a (+tipying by on! o"!r t,o.
?6 Isn
I
t it a #i"isionD
76 F!s;itIs th! sa(! thing. I (!an;a right;itIs a (+tipication
by .5. :h! i(portant thing is that itIs not J+st a s+btraction or an
a##ition.
?6 Eo, #o yo+ *no, it isn
I
tD
32
76 Eo, #o I *no, itD;8!, s+ppos! I as* anoth!r .+!stion ,hich
,i ha"! th! possibiiti!s a(ong th! abstractions. An# th!n
anoth!r. :hat ,i ha"! bro+ght #o,n th! tota possibiiti!s to an
!ighth o' ,hat th!y ,!r! at th! b!ginning. An# t,o ti(!s t,o
ti(!s t,o is !ight.
?6 An# t,o an# t,o an# t,o is ony si-.
76 :hatIs right.
?6 0+t, ?a##y, I #onIt s!!;,hat happ!ns ,ith :,!nty V+!stionsD
76 :h! point is that i' I pic* (y .+!stions prop!ry I can #!ci#!
b!t,!!n t,o ti(!s t,o ti(!s t,o ti(!s t,o t,!nty ti(!s o"!r
things;2
20
things. :hatIs o"!r a (iCion things that yo+ (ight
ha"! tho+ght o'. 5n! .+!stion is !no+gh to #!ci#! b!t,!!n t,o
thingsL an# t,o .+!stions ,i #!ci#! b!t,!!n 'o+r things;an#
so on.
?6 I #onIt i*! arith(!tic, ?a##y.
76 F!s, I *no,. :h! ,or*ing it o+t is #+, b+t so(! o' th! i#!as in it
ar! a(+sing. Anyho,, yo+ ,ant!# to *no, ho, to (!as+r!
*no,!#g!, an# i' yo+ start (!as+ring things that a,ays !a#s to
arith(!tic.
?6 8! ha"!nIt (!as+r!# any *no,!#g! y!t.
76 )o. I *no,. 0+t ,! ha"! (a#! a st!p or t,o to,ar# *no,ing
ho, ,! ,o+# (!as+r! it i' ,! ,ant!# to. An# that (!ans ,!
ar! a itt! n!ar!r to *no,ing ,hat *no,!#g! is.
?6 :hat ,o+# b! a '+nny sort o' *no,!#g!, ?a##y. I (!an
*no,ing abo+t *no,!#g!;,o+# ,! (!as+r! that sort o'
*no,ing th! sa(! ,ayD
76 8ait a (in+t!;I #onIt *no,;thatIs r!ay th! W64 V+!stion on
this s+bJ!ct. 0!ca+s!;,!, !tIs go bac* to th! ga(! o' :,!nty
V+!stions. :h! point that ,! n!"!r (!ntion!# is that thos!
.+!stions ha"! to b! in a c!rtain or#!r. 7irst th! ,i#! g!n!ra
.+!stion an# th!n th! #!tai!# .+!stion. An# itIs ony 'ro(
ans,!rs to th! ,i#! .+!stions that I *no, ,hich #!tai!#
.+!stions to as*. 0+t ,! co+nt!# th!( a ai*!. I #onIt *no,. 0+t
no, yo+ as* (! i' *no,ing abo+t *no,!#g! ,o+# b! (!as+r!#
th! sa(! ,ay as oth!r *no,!#g!. An# th! ans,!r (+st s+r!y b!
no. Fo+ s!!, i' th! !ary .+!stions in th! ga(! t! (! ,hat
.+!stions to as* at!r, th!n th!y (+st b! party .+!stions abo+t
*no,ing. :h!yIr! !-poring th! b+sin!ss o' *no,ing.
33
?6 ?a##y;has anybo#y !"!r (!as+r!# ho, (+ch anyCbo#y *n!,.
76 5h y!s. 5't!n. 0+t I #on
I
t .+it! *no, ,hat th! ans,!rs (!ant.
:h!y #o it ,ith !-a(inations an# t!sts an# .+i//!s, b+t it
I
s i*!
trying to 'in# o+t ho, big a pi!c! o' pap!r is by thro,ing ston!s
at it.
?6 Eo, #o yo+ (!anD
76 I (!an;i' yo+ thro, ston!s at t,o pi!c!s o' pap!r 'ro( th!
sa(! #istanc! an# yo+ 'in# that yo+ hit on! pi!c! (or! o't!n
than th! oth!r, th!n probaby th! on! that yo+ hit (ost ,i b!
bigg!r than th! oth!r. In th! sa(! ,ay, in an !-a(ination yo+
thro, a ot o' .+!stions at th! st+#!nts, an# i' yo+ 'in# that yo+
hit (or! pi!c!s o' *no,!#g! in on! st+#!nt than in th! oth!rs,
th!n yo+ thin* that st+#!nt (+st *no, (or!. :hatIs th! i#!a.
?6 0+t co+# on! (!as+r! a pi!c! o' pap!r that ,ayD
76 &+r!y on! co+#. It (ight !"!n b! .+it! a goo# ,ay o' #oing it.
8! #o (!as+r! a ot o' things that ,ay. 7or !-a(p!, ,! J+#g!
ho, strong a c+p o' co''!! is by oo*ing to s!! ho, bac* it is;
that is, ,! oo* to s!! ho, (+ch ight is stopp!#. 8! thro, ight
,a"!s at it inst!a# o' ston!s, itIs th! sa(! i#!a.
?6 5h.
* * *
?6 0+t th!n;,hy sho+#nIt ,! (!as+r! *no,!#g! that ,ayD
76 Eo,D 0y .+i//!sD )o;1o# 'orbi#. :h! tro+b! is that that sort
o' (!as+ring !a"!s o+t yo+r point;that th!r! ar! #i''!r!nt sorts
o' *no,!#g!;an# that th!r!
I
s *no,ing abo+t *no,!#g!. An#
o+ght on! to gi"! high!r (ar*s to th! st+#!nt ,ho can ans,!r th!
,i#!st .+!stionD 5r p!rhaps th!r! sho+# b! a #i''!r!nt sort o'
(ar*s 'or !ach #i''!r!nt sort o' .+!stion.
?6 8!, a right. @!tIs #o that an# th!n a## th! (ar*s tog!th!r an#
th!n .. .
76 )o;,! co+#n
I
t a## th!( tog!th!r. 8! (ight (+tipy or #i"i#!
on! sort o' (ar*s by anoth!r sort b+t ,! co+#nIt a## th!(.
?6 8hy not, ?a##yD
76 0!ca+s!;b!ca+s! ,! co+#nIt. )o ,on#!r yo+ #onIt i*!
arith(!tic i' th!y #onIt t! yo+ that sort o' thing at schoo;8hat
34
#o th!y t! yo+D 1oy;I ,on#!r ,hat th! t!ach!rs thin*
arith(!tic is abo+t.
?6 8hat is it abo+t, ?a##yD
76 )o. @!tIs stic* to th! .+!stion o' ho, to (!as+r! *no,!#g!;
Arith(!tic is a s!t o' tric*s 'or thin*ing c!ary an# th! ony '+n
in it is J+st its carity. An# th! 'irst thing abo+t b!ing c!ar is not
to (i- +p i#!as ,hich ar! r!ay #i''!r!nt 'ro( !ach oth!r. :h!
i#!a o' t,o orang!s is r!ay #i''!r!nt 'ro( th! i#!a o' t,o (i!s.
0!ca+s! i' yo+ a## th!( tog!th!r yo+ ony g!t 'og in yo+r h!a#.
?6 0+t, ?a##y, I canIt *!!p i#!as s!parat!. 5+ght I to #o thatD
76 )o; )o; 5' co+rs! not. Co(bin! th!(. 0+t #onIt a## th!(.
:hatIs a. I (!an;i' th! i#!as ar! n+(b!rs an# yo+ ,ant to
co(bin! t,o #i''!r!nt sorts, th! thing to #o is to (+tipy th!(
by !ach oth!r. 5r #i"i#! th!( by !ach oth!r. An# th!n yo+I g!t
so(! n!, sort o' i#!a, a n!, sort o' .+antity. I' yo+ ha"! (i!s
in yo+r h!a#, an# yo+ ha"! ho+rs in yo+r h!a#, an# yo+ #i"i#!
th! (i!s by th! ho+rs, yo+ g!t 9(i!s p!r ho+r9;thatIs a sp!!#.
?6 F!s, ?a##y. 8hat ,o+# I g!t i' I (+tipi!# th!(D
76 5h;!r;I s+ppos! yo+I# g!t (i!Cho+rs. F!s. I *no, ,hat th!y
ar!. I (!an, ,hat a (i!Cho+r is. It
I
s ,hat yo+ pay a ta-i #ri"!r.
Eis (!t!r (!as+r!s (i!s an# h! has a coc* ,hich (!as+r!s
ho+rs, an# th! (!t!r an# th! coc* ,or* tog!th!r an# (+tipy
th! ho+rs by th! (i!s an# th!n it (+tipi!s th! (i!Cho+rs by
so(!thing !s! ,hich (a*!s (i!Cho+rs into #oars.
?6 I #i# an !-p!ri(!nt onc!.
76 F!sD
?6 I ,ant!# to 'in# o+t i' I co+# thin* t,o tho+ghts at th! sa(!
ti(!. &o I tho+ght 9ItIs s+((!r9 an# I tho+ght 9ItIs ,int!r.9 An#
th!n I tri!# to thin* th! t,o tho+ghts tog!th!r.
76 F!sD
?6 0+t I 'o+n# I ,asnIt ha"ing t,o tho+ghts. I ,as ony ha"ing on!
tho+ght abo+t ha"ing t,o tho+ghts.
76 &+r!, thatIs J+st it. Fo+ canIt (i- tho+ghts, yo+ can ony co(bin!
th!(. An# in th! !n#, that (!ans yo+ canIt co+nt th!(. 0!ca+s!
co+nting is r!ay ony a##ing things tog!th!r. An# yo+ (osty
canIt #o that.
?6 :h!n r!ay #o ,! ony ha"! on! big tho+ght ,hich has ots
o' branch!s an# ots an# ots o' branch!sD
35
76 F!s. I thin* so. I #onIt *no,. Anyho, I thin* that is a c!ar!r
,ay o' saying it. I (!an itIs c!ar!r
than ta*ing abo+t bits o' *no,!#g! an# trying to co+nt th!(.
* * *
?6 ?a##y, ,hy #onIt yo+ +s! th! oth!r thr!!C.+art!rs o' yo+r brainD
76 5h, y!s;that;yo+ s!! th! tro+b! is that I ha# schooCt!ach!rs
too. An# th!y 'i!# +p abo+t a .+art!r o' (y brain ,ith 'og. An#
th!n I r!a# n!,spap!rs an# ist!n!# to ,hat oth!r p!op! sai#,
an# that 'i!# +p anoth!r .+art!r ,ith 'og.
?6 An# th! oth!r .+art!r, ?a##yD
76 5h;thatIs 'og that I (a#! 'or (ys!' ,h!n I ,as trying to thin*.
36
Metaloue: Why Do Thin! ,a0e
Outline!$
%
?a+ght!r6 ?a##y, ,hy #o things ha"! o+tin!sD
7ath!r6 ?o th!yD I #onIt *no,. 8hat sort o' things #o yo+ (!anD
?6 I (!an ,h!n I #ra, things, ,hy #o th!y ha"! o+tin!sD 76 8!,
,hat abo+t oth!r sorts o' things;a 'oc* o' sh!!pD or a
con"!rsationD ?o th!y ha"! o+tin!sD
?6 ?onIt b! siy. I canIt #ra, a con"!rsation. I (!an things.
76 F!s;I ,as trying to 'in# o+t J+st ,hat yo+ (!ant. ?o yo+ (!an
98hy #o ,! gi"! things o+tin!s ,h!n ,! #ra, th!(D9 or #o
yo+ (!an that th! things ha"! o+tCin!s ,h!th!r ,! #ra, th!( or
notD
?6 I #onIt *no,, ?a##y. Fo+ t! (!. 8hich #o I (!anD
76 I #on
I
t *no,, (y #!ar. :h!r! ,as a "!ry angry artist onc! ,ho
scribb!# a sorts o' things #o,n, an# a't!r h! ,as #!a# th!y
oo*!# in his boo*s an# in on! pac! th!y 'o+n# h!I# ,ritt!n
98is! (!n s!! o+tin!s an# th!r!'or! th!y #ra, th!(9 b+t in
anoth!r pac! h!I# ,ritt!n 9Aa# (!n s!! o+tin!s an# th!r!'or!
th!y #ra, th!(.9
?6 0+t ,hich #o!s h! (!anD I #onIt +n#!rstan#.
76 8!, 8iia( 0a*!;that ,as his na(!;,as a gr!at artist an# a
"!ry angry (an. An# so(!ti(!s h! ro!# +p his i#!as into itt!
spitbas so that h! co+# thro, th!( at p!op!.
?6 0+t ,hat ,as h! (a# abo+t, ?a##yD
76 0+t ,hat ,as h! (a# abo+tD 5h, I s!!;yo+ (!an 9angry.
9
8!
ha"! to *!!p thos! t,o (!anings o' 9(a#9 c!ar i' ,! ar! going
to ta* abo+t 0a*!. 0!ca+s! a ot o' p!op! tho+ght h! ,as (a#
;r!ay (a#;cra/y. An# that ,as on! o' th! things h! ,as
(a#Cangry abo+t. An# th!n h! ,as (a#Cangry, too, abo+t so(!
artists ,ho paint!# pict+r!s as tho+gh things #i#nIt ha"! o+tC
in!s. E! ca!# th!( 9th! sobb!ring schoo.9
?6 E! ,asnIt "!ry to!rant, ,as h!, ?a##yD
H
4!print!# by p!r(ission 'ro( =:C.6 A 4!"i!, o' 1!n!ra &!(antics, Go. UI,
1953.
37
76 :o!rantD 5h, 1o#. F!s, I *no,;thatIs ,hat th!y #r+( into
yo+ at schoo. )o, 0a*! ,as not "!ry to!rant. E! #i#nIt !"!n
thin* to!ranc! ,as a goo# thing. It ,as J+st (or! sobb!ring.
E! tho+ght it b+rr!# a th! o+tin!s an# (+##!# !"!rything;
that it (a#! a cats gray. &o that nobo#y ,o+# b! ab! to s!!
anything c!ary an# sharpy.
?6 F!s, ?a##y.
76 )o, thatIs not th! ans,!r. I (!an 9F!s, ?a##y
9
is not th! ans,!r.
A that says is that yo+ #onIt *no, ,hat yo+r opinion is;an#
yo+ #onIt gi"! a #a(n ,hat I say or ,hat 0a*! says an# that
th! schoo has so b!'+##!# yo+ ,ith ta* abo+t to!ranc! that
yo+ canCnot t! th! #i''!r!nc! b!t,!!n anything an# anything
!s!.
?6 28!!ps.3
76 5h, 1o#. II( sorry, b+t I ,as angry. 0+t not r!ay angry ,ith
yo+. J+st angry at th! g!n!ra (+shin!ss o' ho, p!op! act an#
thin*;an# ho, th!y pr!ach (+##! an# ca it to!ranc!.
?6 0+t, ?a##y
76 F!sD
?6 I #onIt *no,. I #onIt s!!( ab! to thin* "!ry ,!. ItIs a in a
(+##!.
76 II( sorry. I s+ppos! I (+##!# yo+ by starting to !t o'' st!a(.
* * *
?6 ?a##yD 76 F!sD
?6 8hy is that so(!thing to g!t angry abo+tD
76 Is ,hat so(!thing to g!t angry abo+tD
?6 I (!an;abo+t ,h!th!r things ha"! o+tin!s. Fo+ sai# 8iia(
0a*! got angry abo+t it. An# th!n yo+ g!t angry abo+t it. 8hy
is that, ?a##yD
76 F!s, in a ,ay I thin* it is. I thin* it (att!rs. $!rhaps in a ,ay, is
th! thing that (att!rs. An# oth!r things ony (att!r b!ca+s!
th!y ar! part o' this.
?6 8hat #o yo+ (!an, ?a##yD
76 I (!an, ,!, !tIs ta* abo+t to!ranc!. 8h!n 1!nti!s ,ant to
b+y J!,s b!ca+s! th!y *i!# Christ, I g!t into!rant. I thin*
38
th! 1!nti!s ar! b!ing (+##!Ch!a#!# an# ar! b+rring a th!
o+tin!s. 0!ca+s! th! J!,s #i#nIt *i Christ, th! Itaians #i# it.
?6 ?i# th!y, ?a##yD
76 F!s, ony th! on!s ,ho #i# ar! ca!# 4o(ans to#ay, an# ,!
ha"! anoth!r ,or# 'or th!ir #!sc!n#ants. 8! ca th!( Itaians.
Fo+ s!! th!r! ar! t,o (+##!s an# I ,as (a*ing th! s!con#
(+##! on p+rpos! so ,! co+# catch it. 7irst th!r!Is th!
(+##! o' g!tting th! history ,rong an# saying th! J!,s #i# it,
an# th!n th!r!Is th! (+##! o' saying that th! #!sc!n#ants
sho+# b! r!sponsib! 'or ,hat th!ir anc!stors #i#nIt #o. ItIs a
so"!ny.
?6 F!s, ?a##y.
76 A right, II try not to g!t angry again. A II( trying to say is
that (+##! is so(!thing to g!t angry abo+t. ?6 ?a##yD
76 F!sD
?6 8! ,!r! ta*ing abo+t (+##! th! oth!r #ay. Ar! ,! r!ay
ta*ing abo+t th! sa(! thing no,D
76 F!s. 5' co+rs! ,! ar!. :hat
I
s ,hy it
I
s i(portant;,hat ,! sai#
th! oth!r #ay.
?6 An# yo+ sai# that g!tting things c!ar ,as ,hat &ci!nc! ,as
abo+t.
76 F!s, thatIs th! sa(! thing again.
* * *
?6 I #onIt s!!( to +n#!rstan# it a "!ry ,!. ="!rything s!!(s to
b! !"!rything !s!, an# I g!t ost in it.
76 F!s, I *no, itIs #i''ic+t. :h! point is that o+r con"!rsations #o
ha"! an o+tin!, so(!ho,;i' ony on! co+# s!! it c!ary.
* * *
76 @!tIs thin* abo+t a r!a concr!t! o+tCan#Co+t (+##!, 'or a
chang!, an# s!! i' that ,i h!p. ?o yo+ r!(!(b!r th! ga(! o'
cro.+!t in Aic! in 8on#!ran#D
?6 F!s;,ith 'a(ingosD
76 :hatIs right.
?6 An# porc+pin!s 'or basD
39
76 )o, h!#g!hogs. :h!y ,!r! h!#g!hogs. :h!y #onIt ha"!
porc+pin!s in =ngan#.
?6 5h. 8as it in =ngan#, ?a##yD I #i#nIt *no,.
76 5' co+rs! it ,as in =ngan#. Fo+ #onIt ha"! #+ch!ss!s in
A(!rica !ith!r.
?6 0+t th!r!Is th! ?+ch!ss o' 8in#sor, ?a##y.
76 F!s, b+t sh! #o!snIt ha"! .+is, not i*! a r!a porc+pin!.
?6 1o on abo+t Aic! an# #on
I
t b! siy, ?a##y.
76 F!s, ,! ,!r! ta*ing abo+t 'a(ingos. :h! point is that th! (an
,ho ,rot! Aic! ,as thin*ing abo+t th! sa(! things that ,! ar!.
An# h! a(+s!# hi(s!' ,ith itt! Aic! by i(agining a ga(! o'
cro.+!t that ,o+# b! a (+##!, J+st abso+t! (+##!. &o h!
sai# th!y sho+# +s! 'a(ingos as (a!ts b!ca+s! th! 'a(ingos
,o+# b!n# th!ir n!c*s so th! pay!r ,o+#nIt *no, !"!n
,h!th!r his (a!t ,o+# hit th! ba or ho, it ,o+# hit th! ba.
?6 Anyho, th! ba (ight ,a* a,ay o' its o,n accor# b!ca+s! it
,as a h!#g!hog.
76 :hatIs right. &o that itIs a so (+##!# that nobo#y can t! at a
,hatIs going to happ!n.
?6 An# th! hoops ,a*!# aro+n#, too, b!ca+s! th!y ,!r! so#i!rs.
76 :hat
I
s right;!"!rything co+# (o"! an# nobo#y co+# t! ho, it
,o+# (o"!.
?6 ?i# !"!rything ha"! to b! ai"! so as to (a*! a co(p!t!
(+##!D
76 )o;h! co+# ha"! (a#! it a (+##! by . . . no, I s+ppos! yo+Ir!
right. :hatIs int!r!sting. F!s, it ha# to b! that ,ay. 8ait a (in+t!.
ItIs c+rio+s b+t yo+Ir! right. 0!ca+s! i' h!I# (+##!# things any
oth!r ,ay, th! pay!rs co+# ha"! !arn!# ho, to #!a ,ith th!
(+##ing #!tais. I (!an, s+ppos! th! cro.+!t a,n ,as b+(py,
or th! bas ,!r! a '+nny shap!, or th! h!a#s o' th! (a!ts J+st
,obby inst!a# o' b!ing ai"!, th!n th! p!op! co+# sti !arn
an# th! ga(! ,o+# ony b! (or! #i''ic+t;it ,o+#nIt b!
i(possib!. 0+t onc! yo+ bring i"! things into it, it b!co(!s
i(possib!. I ,o+#nIt ha"! !-p!ct!# that.
?6 8o+#nIt yo+, ?a##yD I ,o+# ha"!. :hat s!!(s nat+ra to (!.
76 )at+raD &+r!;nat+ra !no+gh. 0+t I ,o+# not ha"! !-p!ct!#
it to ,or* that ,ay.
?6 8hy notD :hatIs ,hat I ,o+# ha"! !-p!ct!#.
40
76 F!s. 0+t this is th! thing that I ,o+# not ha"! !-p!ct!#. :hat
ani(as, ,hich ar! th!(s!"!s ab! to s!! things ah!a# an# act
on ,hat th!y thin* is going to happ!n;a cat can catch a (o+s!
by J+(ping to an# ,h!r! th! (o+s! ,i probaby b! ,h!n sh!
has co(p!t!# h!r J+(p;b+t itIs J+st th! 'act that ani(as ar!
capab! o' s!!ing ah!a# an# !arning that (a*!s th!( th! ony
r!ay +npr!#ictab! things in th! ,or#. :o thin* that ,! try to
(a*! a,s as tho+gh p!op! ,!r! .+it! r!g+ar an# pr!#ictab!.
?6 5r #o th!y (a*! th! a,s J+st b!ca+s! p!op! ar! not
pr!#ictab!, an# th! p!op! ,ho (a*! th! a,s ,ish th! oth!r
p!op! ,!r! pr!#ictab!D
76 F!s, I s+ppos! so.
* * *
?6 8hat ,!r! ,! ta*ing abo+tD
76 I #onIt .+it! *no,;not y!t. 0+t yo+ start!# a n!, in! by as*ing
i' th! ga(! o' cro.+!t co+# b! (a#! into a r!a (+##! ony by
ha"ing a th! things in it ai"!. An# I ,!nt chasing a't!r that
.+!stion, an# I #onIt thin* II"! ca+ght +p ,ith it y!t. :h!r! is
so(!Cthing '+nny abo+t that point.
?6 8hatD
76 I #onIt .+it! *no,;not y!t. &o(!thing abo+t i"ing things an#
th! #i''!r!nc! b!t,!!n th!( an# th! things that ar! not ai"!;
(achin!s, ston!s, so on. Eors!s #onIt 'it in a ,or# o'
a+to(obi!s. An# thatIs part o' th! sa(! point. :h!yIr!
+npr!#ictab!, i*! 'a(ingos in th! ga(! o' cro.+!t.
?6 8hat abo+t p!op!, ?a##yD
76 8hat abo+t th!(D
?6 8!, th!yIr! ai"!. ?o th!y 'itD I (!an on th! str!!tsD
76 )o, I s+ppos! th!y #onIt r!ay 'it;or ony by ,or*ing pr!tty
har# to prot!ct th!(s!"!s an# (a*! th!(s!"!s 'it. F!s, th!y
ha"! to (a*! th!(s!"!s pr!#ictab!, b!Cca+s! oth!r,is! th!
(achin!s g!t angry an# *i th!(.
?6 ?onIt b! siy. I' th! (achin!s can g!t angry, th!n t*ey ,o+#
,
not
b! pr!#ictab!. :h!yI# b! i*! yo+, ?a##y. Fo+ canIt pr!#ict
,h!n yo+Ir! angry, can yo+D
76 )o, I s+ppos! not.
41
?6 0+t, ?a##y, II# rath!r ha"! yo+ +npr!#ictab!;so(!ti(!s.
* * *
?6 8hat #i# you (!an by a con"!rsation ha"ing an o+tCin!D Eas
this con"!rsation ha# an o+tin!D
76 5h, s+r!y, y!s. 0+t ,! cannot s!! it y!t b!ca+s! th! con"!rsation
isnIt 'inish!#. Fo+ cannot !"!r s!! it ,hi! yo+Ir! in th! (i##! o'
it. 0!ca+s! i' yo+ co+# s!! it, yo+ ,o+# b! pr!#ictab!;i*!
th! (achin!. An# I ,o+# b! pr!#ictab!;an# th! t,o o' +s
tog!th!r ,o+# b! pr!#ictab!
?6 0+t I #onIt +n#!rstan#. Fo+ say it is i(portant to b! c!ar abo+t
things. An# yo+ g!t angry abo+t p!op! ,ho b+r th! o+tin!s.
An# y!t ,! thin* itIs b!tt!r to b! +npr!#ictab! an# not to b! i*!
a (achin!. An# yo+ say that ,! cannot s!! th! o+tin!s o' o+r
con"!rsation ti itIs o"!r. :h!n it #o!snIt (att!r ,h!th!r ,!
I
r!
c!ar or not. 0!ca+s! ,! cannot do anything abo+t it th!n.
76 F!s, I *no,;an# I #onIt +n#!rstan# it (ys!'. . . . 0+t any,ay,
,ho ,ants to do anything abo+t itD
42
Metaloue: Why a +-an$
%
?a+ght!r6 8hy a s,anD
7ath!r6 F!s;an# ,hy a p+pp!t in $!tro+sh*aD
?6 )o;thatIs #i''!r!nt. A't!r a a p+pp!t is sort o' h+(an;an#
that partic+ar p+pp!t is "!ry h+(an. 76 Aor! h+(an than th!
p!op!D
?6 F!s.
76 0+t sti ony sort o' h+(anD An# a't!r a th! s,an is aso sort
o' h+(an.
?6 F!s.
* * *
?6 0+t ,hat abo+t th! #anc!rD Is sh! h+(anD 5' co+rs! sh! really
is, b+t, on th! stag!, sh! s!!(s inh+(an or i(p!rsona;p!rhaps
s+p!rh+(an. I #onIt *no,.
76 Fo+ (!an;that ,hi! th! s,an is ony a sort of s,an an# has
no ,!bbing b!t,!!n h!r to!s, th! #anc!r s!!(s ony sort of
h+(an.
?6 I #onIt *no,;p!rhaps itIs so(!thing i*! that.
* * *
76 )o;I g!t con'+s!# ,h!n I sp!a* o' th! 9s,an9 an# th! #anc!r as
t,o #i''!r!nt things. I ,o+# rath!r say that th! thing I s!! on th!
stag!;th! s,an 'ig+r!;is both
9
sort o'9 h+(an an# 9sort o'9
s,an.
?6 0+t th!n yo+ ,o+# b! +sing th! ,or# 9sort o'9 in t,o s!ns!s.
76 F!s, thatIs so. 0+t anyho,, ,h!n I say that th! s,an 'ig+r! is
9sort o'9 h+(an, I #onIt (!an that it 2or sh!3 is a (!(b!r o' that
sp!ci!s or sort ,hich ,! ca h+(an. ?6 )o, o' co+rs! not.
76 4ath!r that sh! 2or it3 is a (!(b!r o' anoth!r s+b#i"ision o' a
arg!r gro+p ,hich ,o+# inc+#! $!tro+sh*a p+pp!ts an# ba!t
s,ans an# p!op!.
H
:his (!taog+! app!ar!# in Impulse 1954 an# is r!Cprint!# by p!r(ission o'
I(p+s! $+bications, Inc.
43
?6 )o, itIs not i*! g!n!ra an# sp!ci!s. ?o!s yo+r arg!r gro+p
inc+#! g!!s!D
76 A right. :h!n I !"i#!nty #o not *no, ,hat th! ,or# 9sort o'9
(!ans. 0+t I #o *no, that th! ,ho! o' 'antasy, po!try, ba!t,
an# art in g!n!ra o,!s its (!aning an# i(portanc! to th!
r!ationship ,hich I r!'!r to ,h!n I say that th! s,an 'ig+r! is a
9sort o'9 s,an;or a 9pr!t!n#9 s,an.
?6 :h!n ,! sha n!"!r *no, ,hy th! #anc!r is a s,an or a p+pp!t
or ,hat!"!r, an# sha n!"!r b! ab! to say ,hat art or po!try is
+nti so(!on! says ,hat is r!ay (!ant by 9sort o'.9
76 F!s.
76 0+t ,! #onIt ha"! to a"oi# p+ns. In 7r!nch th! phras! !sp!c! #!
2it!ray 9sort o'93 carri!s a sp!cia sort o' p+nch. I' on! (an
cas anoth!r 9a ca(!9 th! ins+t (ay b! a 'ri!n#y on!. 0+t i' h!
cas hi( an !sp!c! #! cha(!a+;a sort o' ca(!;thatIs ba#. ItIs
sti ,ors! to ca a (an an !sp!c! #I!sp!c!;a sort o' a sort. ?6
A sort o' a sort o' ,hatD
76 )o;J+st a sort o' a sort. 5n th! oth!r han#, i' yo+ say o' a (an
that h! is a tr+! ca(!, th! ins+t carri!s a 'a"or o' gr+#ging
a#(iration.
?6 0+t ,h!n a 7r!nch(an cas a (an a sort o' ca(!, is h! +sing
th! phras! sort o' in anything i*! th! sa(! ,ay as I, ,h!n I say
th! s,an is sort o' h+(anD
* * *
76 ItIs i*!;th!r!Is a passag! in Aacb!th. Aacb!th is ta*ing to th!
(+r#!r!rs ,ho( h! is s!n#ing o+t to *i 0an.+o. :h!y cai( to
b! (!n, an# h! t!s th!( th!y ar! sort o' (!n.
Ay;in th! cataog+! y! go 'or (!n.
as ho+n#s an# gr!yho+n#s, (ongr!s, spani!s, c+rs,
sho+ghs, ,at!rCr+gs an# #!(iC,o"!s ar! c!pt
a by th! na(! o' #ogs.
(Macbeth, Act III, &c!n! 13
?6 )o;thatIs ,hat yo+ sai# J+st no,. 8hat ,as itD 9Anoth!r
s+b#i"ision o' a arg!r gro+pD
9
I #onIt thin* thatIs it at a.
44
76 )o, itIs not ony that. Aacb!th, a't!r a, +s!s #ogs in his si(i!.
An# 9#ogs9 (!ans !ith!r nob! ho+n#s or sca"!ng!rs. It ,o+#
not b! th! sa(! i' h! ha# +s!# th! #o(!stic "ari!ti!s o' cats;or
th! s+bsp!ci!s o' ,i# ros!s.
?6 A right, a right. 0+t ,hat is th! ans,!r to (y .+!stionD 8h!n
a 7r!nch(an cas a (an a 9sort o'9 ca(!, an# I say that th!
s,an is 9sort o'9 h+(an, #o ,! both (!an th! sa(! thing by
9sort o'9D
* * *
76 A right, !tIs try to anay/! ,hat 9sort o'9 (!ans. @!tIs ta*! a
sing! s!nt!nc! an# !-a(in! it. I' I say 9th! p+pp!t $!tro+sh*a is
sor t o' h+(an,9 I stat! a r!ationCship.
?6 0!t,!!n ,hat an# ,hatD
76 0!t,!!n i#!as, I thin*.
?6 )ot b!t,!!n a p+pp!t an# p!op!D
76 )o. 0!t,!!n so(! i#!as that I ha"! abo+t a p+pp!t an# so(!
i#!as that I ha"! abo+t p!op!.
?6 5h.
* * *
?6 8! th!n, ,hat sort o' a r!ationshipD
76 I #onIt *no,. A (!taphoric r!ationshipD
* * *
76 An# th!n th!r! is that oth!r r!ationship ,hich is !(phaticay
not 9sort o'.9 Aany (!n ha"! gon! to th! sta*! 'or th!
proposition that th! br!a# an# ,in! ar! not 9sort o'9 th! bo#y
an# boo#.
?6 0+t is that th! sa(! thingD I (!an;is th! s,an ba!t a
sacra(!ntD
76 F!s;I thin* so;at !ast 'or so(! p!op!. In $rot!stant ang+ag!
,! (ight say that th! s,ani*! cost+(! an# (o"!(!nts o' th!
#anc!r ar! 9o+t,ar# an# "isib! signs o' so(! in,ar# an#
spirit+a grac!9 o' ,o(an. 0+t in Cathoic ang+ag! that ,o+#
(a*! th! ba!t into a (!r! (!taphor an# not a sacra(!nt.
45
?6 0+t yo+ sai# that 'or so(! p!op! it is a sacra(!nt. Fo+ (!an
'or $rot!stantsD
76 )o, no. I (!an that i' 'or so(! p!op! th! br!a# an# ,in! ar!
ony a (!taphor, ,hi! 'or oth!rs;Cathoics ;th! br!a# an#
,in! ar! a sacra(!ntL th!n, i' th!r! b! so(! 'or ,ho( th!
ba!t is a (!taphor, th!r! (ay b! oth!rs 'or ,ho( it is
!(phaticay (or! than a (!taphor;b+t rath!r a sacra(!nt.
?6 In th! Cathoic s!ns!D
76 F!s.
* * *
76 I (!an that i' ,! co+# say c!ary ,hat is (!ant by th!
proposition 9th! br!a# an# ,in! is not Nsort o'I th! bo#y an#
boo#9L th!n ,! sho+# *no, (or! abo+t ,hat ,! (!an ,h!n
,! say !ith!r that th! s,an is 9sort o'9 h+(an or that th! ba!t is
a sacra(!nt.
?6 8!;ho, #o yo+ t! th! #i''!r!nc!D
76 8hich #i''!r!nc!D
?6 0!t,!!n a sacra(!nt an# a (!taphor.
* * *
76 8ait a (in+t!. 8! ar!, a't!r a, ta*ing abo+t th! p!rC'or(!r or
th! artist or th! po!t, or a gi"!n (!(b!r o' th! a+#i!nc!. Fo+ as*
(! ho, I t! th! #i''!r!nc! b!t,!!n a sacra(!nt an# a (!taphor.
0+t (y ans,!r (+st #!a ,ith th! p!rson an# not th! (!ssag!.
Fo+ as* (! ho, I ,o+# #!ci#! ,h!th!r a c!rtain #anc! on a
c!rtain #ay is or is not sacra(!nta 'or th! partic+ar #anc!r.
?6 A right;b+t g!t on ,ith it.
76 8!;I thin* itIs a sort o' a s!cr!t.
?6 Fo+ (!an yo+ ,onIt t! (!D
76 )o;itIs not that sort o' s!cr!t. ItIs not so(!thing that on! (+st
not t!. ItIs so(!thing that on! cannot t!.
?6 8hat #o yo+ (!anD 8hy notD
76 @!t +s s+ppos! I as*!# th! #anc!r, 9Aiss U, t! (!, that #anc!
,hich yo+ p!r'or(;is it 'or yo+ a sacra(!nt or a (!r!
(!taphorD9 An# !t +s i(agin! that I can (a*! this .+!stion
int!igib!. &h! ,i p!rhaps p+t (! o'' by saying, 9Fo+ sa, it
46
;it is 'or yo+ to #!ci#!, i' yo+ ,ant to, ,h!th!r or not it is
sacra(!nta 'or yo+.9 5r sh! (ight say, 9&o(!ti(!s it is an#
so(!ti(!s it isn
I
t.
9
5r
9
Eo, ,as I, ast nightD
9
0+t in any cas!
sh! can ha"! no #ir!ct contro o"!r th! (att!r.
* * *
?6 ?o yo+ (!an that anybo#y ,ho *n!, this s!cr!t ,o+# ha"! it in
th!ir po,!r to b! a gr!at #anc!r or a gr!at po!tD
76 )o, no, no. It isnIt i*! that at a. I (!an 'irst that gr!at art an#
r!igion an# a th! r!st o' it is abo+t this s!cr!tL b+t *no,ing th!
s!cr!t in an or#inary conscio+s ,ay ,o+# not gi"! th! *no,!r
contro.
* * *
?6 ?a##y, ,hat has happ!n!#D 8! ,!r! trying to 'in# o+t ,hat 9sort
o'9 (!ans ,h!n ,! say that th! s,an is 9sort o'9 h+(an. I sai#
that th!r! (+st b! t,o s!ns!s o' 9sort o'.9 5n! in th! phras! 9th!
s,an 'ig+r! is a Nsort o'I s,an, an# anoth!r in th! phras! 9th!
s,an 'ig+r! is Nsort o'I h+(an.9 An# no, yo+ ar! ta*ing abo+t
(yst!rio+s s!cr!ts an# contro.
76 A right. II start again. :h! s,an 'ig+r! is not a r!a s,an b+t a
pr!t!n# s,an. It is aso a pr!t!n#Cnot h+(an b!ing. It is aso
9r!ay9 a yo+ng a#y ,!aring a ,hit! #r!ss. An# a r!a s,an
,o+# r!s!(b! a yo+ng a#y in c!rtain ,ays.
?6 0+t ,hich o' th!s! is sacra(!ntaD
76 5h @or#, h!r! ,! go again. I can ony say this6 that it is not on!
o' th!s! stat!(!nts b+t th!ir co(bination ,hich constit+t!s a
sacra(!nt. :h! 9pr!t!n#9 an# th! 9pr!t!n#Cnot9 an# th! 9r!ay9
so(!ho, g!t '+s!# tog!th!r into a sing! (!aning.
?6 0+t ,! o+ght to *!!p th!( s!parat!.
76 F!s. :hat is ,hat th! ogicians an# th! sci!ntists try to #o. 0+t
th!y #o not cr!at! ba!ts that ,ay;nor sacra(!nts.
47
Metaloque: What I! an In!tin't$
%
?a+ght!r6 ?a##y, ,hat is an instinctD
7ath!r6 An instinct, (y #!ar, is a !-panatory princip!. ?6 0+t ,hat
#o!s it !-painD
76 Anything;a(ost anything at a. Anything yo+ ,ant it to
!-pain.
?6 ?onIt b! siy. It #o!snIt !-pain gra"ity.
76 )o. 0+t that is b!ca+s! nobo#y ,ants 9instinct9 to !-pain
gra"ity. ' th!y #i#, it ,o+# !-pain it. 8! co+# si(py say that
th! (oon has an instinct ,hos! str!ngth "ari!s in"!rs!y as th!
s.+ar! o' th! #istanc! .. .
?6 0+t thatIs nons!ns!, ?a##y.
76 F!s, s+r!y. 0+t it ,as yo+ ,ho (!ntion!# 9instinct,9 not I.
?6 A right;b+t th!n ,hat #o!s !-pain gra"ityD
76 )othing, (y #!ar, b!ca+s! gra"ity is an !-panatory princip!.
?6 5h.
?6 ?o yo+ (!an that yo+ cannot +s! on! !-panatory princip! to
!-pain anoth!rD )!"!rD
76 E(( . . . har#y !"!r. :hat is ,hat )!,ton (!ant ,h!n h! sai#,
9hypoth!s!s non 'ingo.9
?6 An# ,hat #o!s that (!anD $!as!.
76 8!, yo+ *no, ,hat 9hypoth!s!s9 ar!. Any stat!(!nt in*ing
tog!th!r t,o #!scripti"! stat!(!nts is an hypoth!sis. I' yo+ say
that th!r! ,as a '+ (oon on 7!br+ary 1st an# anoth!r on Aarch
1stL an# th!n yo+ in* th!s! t,o obs!r"ations tog!th!r in any
,ay, th! stat!(!nt ,hich in*s th!( is an hypoth!sis.
?6 F!s;an# I *no, ,hat non (!ans. 0+t ,hatIs 'ingoD
76 8!;'ingo is a at! @atin ,or# 'or 9(a*!.
9
It 'or(s a "!rba
no+n 'ictio 'ro( ,hich ,! g!t th! ,or# 9'iction.9
?6 ?a##y, #o yo+ (!an that &ir Isaac )!,ton tho+ght that a
hypoth!s!s ,!r! J+st (a#! +p i*! stori!sD
76 F!s;pr!cis!y that.
H
:his (!taog+! is r!print!# by p!r(ission o' Ao+ton X Co. 'ro( Approach!s
to Ani(a Co((+nication, !#it!# by :ho(as A. &!b!o*, 1969
48
?6 0+t #i#nIt h! #isco"!r gra"ityD 8ith th! app!D 76 )o, #!ar. E!
in"!nt!# it.
?6 5h.... ?a##y, ,ho in"!nt!# instinctD
76 I #onIt *no,. $robaby bibica.
?6 0+t i' th! i#!a o' gra"ity in*s tog!th!r t,o #!scripti"!
stat!(!nts, it (+st b! an hypoth!sis.
76 :hatIs right.
?6 :h!n )!,ton #i# 'ingo an hypoth!sis a't!r a.
76 F!s;in#!!# h! #i#. E! ,as a "!ry gr!at sci!ntist. ? 6 5h.
?6 ?a##y, is an !-panatory princip! th! sa(! thing as an
hypoth!sisD
76 )!ary, b+t not .+it!. Fo+ s!!, an hypoth!sis tri!s to !-pain
so(! partic+ar so(!thing b+t an !-panatory princip!;i*!
9gra"ity9 or 9instinct9;r!ay !-pains nothing. ItIs a sort o'
con"!ntiona agr!!(!nt b!t,!!n sci!ntists to stop trying to
!-pain things at a c!rtain point.
?6 :h!n is that ,hat )!,ton (!antD I' 9gra"ity9 !-pains nothing
b+t is ony a sort o' '+ stop at th! !n# o' a in! o' !-panation,
th!n in"!nting gra"ity ,as not th! sa(! as in"!nting an
hypoth!sis, an# h! co+# say h! #i# not 'ingo any hypoth!s!s.
76 :hatIs right. :h!r!Is no !-panation o' an !-panatory princip!.
ItIs i*! a bac* bo-.
?6 5h.
?6 ?a##y, ,hatIs a bac* bo-D
76 A 9bac* bo-9 is a con"!ntiona agr!!(!nt b!t,!!n sci!ntists to
stop trying to !-pain things at a c!rtain point. I g+!ss itIs +s+ay
a t!(porary agr!!(!nt.
?6 0+t that #o!snIt so+n# i*! a bac* bo-.
76 )o;b+t thatIs ,hat itIs ca!#. :hings o't!n #onIt so+n# i*! th!ir
na(!s.
?6 )o.
76 ItIs a ,or# that co(!s 'ro( th! !ngin!!rs. 8h!n th!y #ra, a
#iagra( o' a co(picat!# (achin!, th!y +s! a sort o' shorthan#.
Inst!a# o' #ra,ing a th! #!tais, th!y p+t a bo- to stan# 'or a
49
,ho! b+nch o' parts an# ab! th! bo- ,ith ,hat that b+nch o'
parts is s+ppos!# to #o.
?6 &o a 9bac* bo-9 is a ab! 'or ,hat a b+nch o' things ar!
s+ppos!# to #o... .
76 :hatIs right. 0+t itIs not an !-panation o' ho, th! b+nch ,or*s.
?6 An# gra"ityD
76 Is a ab! 'or ,hat gra"ity is s+ppos!# to #o. ItIs not an
!-panation o' ho, it #o!s it.
?6 5h.
?6 ?a##y, ,hat is an instinctD
76 ItIs a ab! 'or ,hat a c!rtain bac* bo- is s+ppos!# to #o.
?6 0+t ,hatIs it s+ppos!# to #oD
76 E(. :hat is a "!ry #i''ic+t .+!stion .. .
?6 1o on.
76 8!. ItIs s+ppos!# to contro;party contro;,hat an organis(
#o!s.
?6 ?o pants ha"! instinctsD
76 )o. I' a botanist +s!# th! ,or# 9instinct,9 ,h!n ta*ing abo+t
pants, h! ,o+# b! acc+s!# o' /oo(orphis(. ?6 Is that ba#D
76 F!s. G!ry ba# 'or botanists. 7or a botanist to b! g+ity o'
/oo(orphis( is as ba# as 'or a /ooogist to b! g+ity o'
anthropo(orphis(. G!ry ba#, in#!!#.
?6 5h. I s!!.
?6 8hat #i# yo+ (!an by 9party contro9D
76 8!. I' an ani(a 'as #o,n a ci'', its 'aing is conCtro!# by
gra"ity. 0+t i' it ,igg!s ,hi! 'aing, that (ight b! #+! to
instinct.
?6 &!'Cpr!s!r"ati"! instinctD
76 I s+ppos! so.
?6 8hat is a s!', ?a##yD ?o!s a #og *no, it has a s!'D
76 I #onIt *no,. 0+t i' th! #og #o!s *no, it has a s!', an# it
,igg!s in or#!r to pr!s!r"! that s!', th!n its ,igging is
rationa, not instincti"!.
?6 5h. :h!n a 9s!'Cpr!s!r"ati"! instinct9 is a contra#iction. 76 8!,
itIs a sort o' ha',ay ho+s! on th! roa# to anthropo(orphis(.
?6 5h. :hatIs ba#.
50
76 0+t th! #og (ight *no, it ha# a s!' an# not *no, that that s!'
sho+# b! pr!s!r"!#. It ,o+# th!n b! rationa to not ,igg!. &o
i' th! #og sti ,igg!s, this ,o+# b! instincti"!. 0+t i' it !arn!#
to ,igg!, th!n it ,o+# not b! instincti"!.
?6 5h.
?6 8hat ,o+# not b! instincti"!, ?a##yD :h! !arning or th!
,iggingD
76 )o;J+st th! ,igging.
?6 An# th! !arning ,o+# b! instincti"!D
76 8! . . . y!s. %n!ss th! #og ha# to !arn to !arn. ? 6 5h.
?6 0+t, ?a##y, ,hat is instinct s+ppos!# to !-painD
76 I *!!p trying to a"oi# that .+!stion. Fo+ s!!, instincts ,!r!
in"!nt!# b!'or! anybo#y *n!, anything abo+t g!n!tics, an# (ost
o' (o#!rn g!n!tics ,as #isco"!r!# b!'or! anybo#y *n!,
anything abo+t co((+nication th!ory. &o it is #o+by #i''ic+t to
transat! 9instinct9 into (o#!rn t!r(s an# i#!as.
?6 F!s, go on.
76 8!, yo+ *no, that in th! chro(oso(!s, th!r! ar! g!n!sL an#
that th! g!n!s ar! so(! sort o' (!ssag!s ,hich ha"! to #o ,ith
ho, th! organis( #!"!ops an# ,ith ho, it b!ha"!s.
?6 Is #!"!oping #i''!r!nt 'ro( b!ha"ing, ?a##yD 8hatIs th!
#i''!r!nc!D An# ,hich is !arningD Is it 9#!"!oping9 or
9b!ha"ingD9
76 )oO )oO )ot so 'ast. @!tIs a"oi# thos! .+!stions by p+tting
#!"!opingC!arningCb!ha"ior a tog!th!r in on! bas*!t. A sing!
sp!ctr+( o' ph!no(!na. )o, !tIs try to say ho, instinct
contrib+t!s to !-paining this sp!ctr+(.
?6 0+t is it a sp!ctr+(D
76 )o;thatIs ony a oos! ,ay o' ta*ing.
?6 5h.
?6 0+t isnIt instinct a on th! b!ha"ior !n# o' that 9sp!ctr+(9D
An# isnIt !arning a #!t!r(in!# by !n"iron(!nt an# not
chro(oso(!sD
76 @!tIs g!t this c!ar;that th!r! is no b!ha"ior an# no anato(y
an# no !arning in th! chro(oso(!s th!(Cs!"!s.
51
?6 ?onIt th!y ha"! th!ir o,n anato(yD
76 F!s, o' co+rs!. An# th!ir o,n physioogy. 0+t th! anato(y an#
physioogy o' th! g!n!s an# chro(oso(!s is not th! anato(y
an# physioogy o' th! ,ho! ani(a.
?6 5' co+rs! not.
76 0+t it is abo+t th! anato(y an# physioogy o' th! ,ho!
ani(a.
?6 Anato(y abo+t anato(yD
76 F!s, J+st as !tt!rs an# ,or#s ha"! th!ir o,n 'or(s an# shap!s
an# thos! shap!s ar! parts o' ,or#s or s!nt!nc!s an# so on;
,hich (ay b! abo+t anything.
?6 5h.
?6 ?a##y, is th! anato(y o' th! g!n!s an# chro(oso(!s abo+t th!
anato(y o' th! ,ho! ani(aD An# th! physioogy o' th! g!n!s
an# chro(oso(!s abo+t th! physioogy o' th! ,ho! ani(aD
76 )o, no. :h!r! is no r!ason to !-p!ct that. ItIs not i*! that.
Anato(y an# physioogy ar! not s!parat! in that ,ay.
?6 ?a##y, ar! yo+ going to p+t anato(y an# physioogy tog!th!r
in on! bas*!t, i*! yo+ #i# #!"!opingC!arningCb!ha"iorD
76 F!s. C!rtainy.
? 6 5h.
?6 :h! sa(! bas*!tD
76 8hy notD I thin* #!"!oping is right in th! (i##! o' that
bas*!t. 4ight s(ac* in th! (i##!.
?6 5h.
?6 I' chro(oso(!s an# g!n!s ha"! anato(y an# physioogy, th!y
(+st ha"! #!"!op(!nt.
76 F!s. :hat 'oo,s.
?6 ?o yo+ thin* th!ir #!"!op(!nt co+# b! abo+t th! #!"!op(!nt
o' th! ,ho! organis(D
76 I #onIt !"!n *no, ,hat that .+!stion ,o+# (!an.
?6 I #o. It (!ans that th! chro(oso(!s an# g!n!s ,o+# b!
changing or #!"!oping so(!ho, ,hi! th! baby is #!"!oping,
an# th! chang!s in th! chro(oso(!s ,o+# b! abo+t th! chang!s
in th! baby. Controing th!( or party controing th!(.
76 )o. I #onIt thin* so.
52
?6 5h.
?6 ?o chro(oso(!s !arnD
76 I #onIt *no,.
?6 :h!y #o so+n# rath!r i*! bac* bo-!s.
76 F!s, b+t i' chro(oso(!s or g!n!s can !arn, th!n th!y ar! (+ch
(or! co(picat!# bac* bo-!s than anybo#y at pr!s!nt b!i!"!s.
&ci!ntists ar! a,ays ass+(ing or hoping that things ar! si(p!,
an# th!n #isco"!ring that th!y ar! not.
?6 F!s, ?a##y.
?6 ?a##y, is that an instinctD
76 Is ,hat an instinctD
?6 Ass+(ing that things ar! si(p!.
76 )o. 5' co+rs! not. &ci!ntists ha"! to b! ta+ght to #o that.
?6 0+t I tho+ght no organis( co+# b! ta+ght to b! ,rong !"!ry
ti(!.
76 Fo+ng a#y, yo+ ar! b!ing #isr!sp!ct'+ an# ,rong. In th! 'irst
pac!, sci!ntists ar! not ,rong !"!ry ti(! th!y ass+(! that things
ar! si(p!. V+it! o't!n th!y ar! right or party right an# sti
(or! o't!n, th!y thin* th!y ar! right an# t! !ach oth!r so. An#
that is !no+gh r!in'orc!(!nt. An#, anyho, yo+ ar! ,rong in
saying that no organis( can b! ta+ght to b! ,rong !"!ry ti(!.
?6 8h!n p!op! say that so(!thing is 9instincti"!,9 ar! th!y trying
to (a*! things si(p!D 76 F!s, in#!!#.
?6 An# ar! th!y ,rongD
76 I #onIt *no,. It #!p!n#s on ,hat th!y (!an.
?6 5h.
?6 8h!n #o th!y #o itD
76 F!s, thatIs a b!tt!r ,ay o' as*ing th! .+!stion. :h!y #o it ,h!n
th!y s!! a cr!at+r! #o so(!thing, an# th!y ar! s+r!6 'irst, that th!
cr!at+r! #i# not !arn ho, to #o that so(!thing an#, s!con#, that
th! cr!at+r! is too st+pi# to +n#!rstan# ,hy it sho+# #o that.
?6 Any oth!r ti(!D
76 F!s. 8h!n th!y s!! that a (!(b!rs o' th! sp!ci!s #o th! sa(!
things +n#!r th! sa(! circ+(stanc!sL an# ,h!n th!y s!! th!
53
ani(a r!p!ating th! sa(! action !"!n ,h!n th! circ+(stanc!s
ar! chang!# so that th! action 'ais.
?6 &o th!r! ar! 'o+r ,ays o' *no,ing that itIs instincti"!. 76 )o.
7o+r con#itions +n#!r ,hich sci!ntists ta* abo+t instinct.
?6 0+t ,hat i' on! con#ition isnIt th!r!D An instinct so+n#s rath!r
i*! a habit or a c+sto(.
76 0+t habits ar! !arn!#.
?6 F!s.
?6 Ar! habits a,ays t,ic! !arn!#D
76 8hat #o yo+ (!anD
?6 I (!an;,h!n I !arn a s!t o' chor#s on th! g+itar, 'irst I !arn
th!( or 'in# th!(L an# th!n at!r ,h!n I practic!, I g!t th! habit
o' paying th!( that ,ay. An# so(!ti(!s I g!t ba# habits.
76 @!arning to b! ,rong !"!ry ti(!D
?6 5h;a right. 0+t ,hat abo+t that t,ic!Co"!r b+sin!ssD 8o+#
both parts o' !arning b! not th!r! i' g+itar paying ,!r!
instincti"!D
76 F!s. I' both parts o' !arning ,!r! c!ary not th!r!, sci!ntists
(ight say that g+itar paying is instincti"!.
?6 0+t ,hat i' ony on! part o' !arning ,as (issingD
76 :h!n, ogicay, th! (issing part co+# b! !-pain!# by
9
instinct.
9
?6 Co+# !ith!r part b! (issingD
76 I #onIt *no,. I #onIt thin* anybo#y *no,s.
?6 5h.
?6 ?o bir#s practic! th!ir songsD
76 F!s. &o(! bir#s ar! sai# to practic!.
?6 I g+!ss instinct gi"!s th!( th! 'irst part o' singing, b+t th!y ha"!
to ,or* on th! s!con# part.
76 $!rhaps.
?6 Co+# practicing b! instincti"!D
76 I s+ppos! it co+# b!;b+t I a( not s+r! ,hat th! ,or# 9instinct9
is co(ing to (!an in this con"!rsation.
?6 ItIs an !-panatory princip!, ?a##y, J+st i*! yo+ sai#... :h!r!Is
on! thing I #onIt +n#!rstan#.
76 F!sD
?6 Is th!r! a ,ho! ot o' instinctD 5r ar! th!r! ots o' instinctsD
54
76 F!s. :hatIs a goo# .+!stion, an# sci!ntists ha"! ta*!# a gr!at #!a
abo+t it, (a*ing ists o' s!parat! instincts an# th!n +(ping th!(
tog!th!r again.
?6 0+t ,hatIs th! ans,!rD
76 8!. ItIs not .+it! c!ar. 0+t on! thing is c!rtain6 :hat
!-panatory princip!s (+st b! not (+tipi!# b!yon# n!c!ssity.
?6 An# that (!ansD $!as!D
76 ItIs th! i#!a b!hin# (onoth!is(;that th! i#!a o' on! big 1o# is
to b! pr!'!rr!# to th! i#!a o' t,o itt! go#s.
?6 Is 1o# an !-panatory princip!D
76 5h, y!s;a "!ry big on!. Fo+ sho+#nIt +s! t,o bac* bo-!s;or
t,o instincts;to !-pain ,hat on! bac* bo- ,o+# !-pain .. .
?6 I' it ,!r! big !no+gh.
76 )o. It (!ans .. .
?6 Ar! th!r! big instincts an# itt! instinctsD
76 8!;as a (att!r o' 'act, sci!ntists #o ta* as i' th!r! ,!r!. 0+t
th!y ca th! itt! instincts by oth!r na(!s ;9r!'!-!s,9 9innat!
r!!asing (!chanis(s,9 9'i-!# action patt!rns,9 an# so on.
?6 I s!!;i*! ha"ing on! big 1o# to !-pain th! +ni"!rs! an# ots
o' itt! 9i(ps9 or 9gobins9 to !-pain th! s(a things that
happ!n.
76 8!, y!s. 4ath!r i*! that.
?6 0+t, ?a##y, ho, #o th!y +(p things tog!th!r to (a*! th! big
instinctsD
76 8!, 'or !-a(p!, th!y #onIt say that th! #og has on! instinct
,hich (a*!s it ,igg! ,h!n it 'as #o,n th! ci'' an# anoth!r
,hich (a*!s it r+n a,ay 'ro( 'ir!.
?6 Fo+ (!an thos! ,o+# both b! !-pain!# by a s!'Cpr!s!r"ati"!
instinctD
76 &o(!thing i*! that. F!s.
?6 0+t i' yo+ p+t thos! #i''!r!nt acts tog!th!r +n#!r on! instinct,
th!n yo+ cannot g!t a,ay 'ro( saying that th! #og has th! +s! o'
th! notion o' 9s!'.9
76 )o, p!rhaps not.
?6 8hat ,o+# yo+ #o abo+t th! instinct 'or th! song an# th!
instinct 'or practicing th! songD
76 8!;#!p!n#ing on ,hat th! song is +s!# 'or. 0oth song an#
practic! (ight b! +n#!r a t!rritoria instinct or a s!-+a instinct.
55
?6 I ,o+#n
I
t p+t th!( tog!th!r.
76 )oD
?6 0!ca+s! ,hat i' th! bir# aso practic!# pic*ing +p s!!# or
so(!thingD Fo+I# ha"! to (+tipy th! instincts ;,hat is itD;
b!yon# n!c!ssity.
76 8hat #o yo+ (!anD
?6 I (!an a 'oo#Cg!tting instinct to !-pain th! practicing pic*ing +p
s!!#, an# a t!rritory instinct 'or practicing song. 8hy not ha"! a
practicing instinct 'or bothD :hat sa"!s on! bac* bo-.
76 0+t th!n yo+ ,o+# thro, a,ay th! i#!a o' +(ping tog!th!r
+n#!r th! sa(! instinct actions ,hich ha"! th! sa(! p+rpos!.
?6 F!s;b!ca+s! i' th! practicing is 'or a p+rpos!;I (!an, i' th!
bir# has a p+rpos!;th!n th! practicing is rationa an# not
instincti"!. ?i#nIt yo+ say so(!thing i*! thatD
76 F!s, I #i# say so(!thing i*! that.
?6 Co+# ,! #o ,itho+t th! i#!a o' 9instinct9D
76 Eo, ,o+# yo+ !-pain things th!nD
?6 8!. II# J+st oo* at th! itt! things6 8h!n so(!Cthing go!s
9pop,9 th! #og J+(ps. 8h!n th! gro+n# is not +n#!r his '!!t, h!
,igg!s. An# so on.
76 Fo+ (!an;a th! i(ps b+t no go#sD
?6 F!s, so(!thing i*! that.
76 8!. :h!r! ar! sci!ntists ,ho try to ta* that ,ay, an# itIs
b!co(ing .+it! 'ashionab!. :h!y say it is (or! obJ!cti"!.
?6 An# is itD
76 5h, y!s.
?6 8hat #o!s 9obJ!cti"!9 (!anD
76 8!. It (!ans that yo+ oo* "!ry har# at thos! things ,hich yo+
choos! to oo* at.
?6 :hat so+n#s right. 0+t ho, #o th! obJ!cti"! p!op! choos! ,hich
things th!y ,i b! obJ!cti"! abo+tD
76 8!. :h!y choos! thos! things abo+t ,hich it is !asy to b!
obJ!cti"!.
?6 Fo+ (!an !asy 'or th!(D
76 F!s.
56
?6 0+t ho, #o th!y *no, that thos! ar! th! !asy thingsD
76 I s+ppos! th!y try #i''!r!nt things an# 'in# o+t by !-p!ri!nc!.
?6 &o itIs a s+bJ!cti"! choic!D
76 5h, y!s. A !-p!ri!nc! is s+bJ!cti"!.
?6 0+t itIs h+(an an# s+bJ!cti"!. :h!y #!ci#! ,hich bits o' ani(a
b!ha"ior to b! obJ!cti"! abo+t by cons+ting h+(an s+bJ!cti"!
!-p!ri!nc!. ?i#nIt yo+ say that anthropo(orphis( is a ba#
thingD
76 F!s;b+t th!y #o try to b! not h+(an.
?6 8hich things #o th!y !a"! o+tD
76 8hat #o yo+ (!anD
?6 I (!an;s+bJ!cti"! !-p!ri!nc! sho,s th!( ,hich things it is
!asy to b! obJ!cti"! abo+t. &o, th!y go an# st+#y thos! things.
0+t ,hich things #o!s th!ir !-p!ri!nc! sho, ar! #i''ic+tD &o
that th!y a"oi# thos! things. 8hich ar! th! things th!y a"oi#D
76 8!, yo+ (!ntion!# !ari!r so(!thing ca!# 9practic!.9 :hatIs a
#i''ic+t thing to b! obJ!cti"! abo+t. An# th!r! ar! oth!r things
that ar! #i''ic+t in th! sa(! sort o' ,ay. $ay, 'or !-a(p!. An#
!-poration. ItIs #i''ic+t to b! obJ!cti"! abo+t ,h!th!r a rat is
r!ay !-poring or r!ay paying. &o th!y #onIt in"!stigat! thos!
things. An# th!n th!r!Is o"!. An#, o' co+rs!, hat!.
?6 I s!!. :hos! ar! th! sorts o' things that I ,ant!# to in"!nt
s!parat! instincts 'or. 76 F!s;thos! things. An# #onIt 'org!t
h+(or.
?6 ?a##y;ar! ani(as obJ!cti"!D
76 I #onIt *no,;probaby not. I #onIt thin* th!y ar! s+bJ!cti"!
!ith!r. I #onIt thin* th!y ar! spit that ,ay.
?6 IsnIt it tr+! that p!op! ha"! a sp!cia #i''ic+ty abo+t b!ing
obJ!cti"! abo+t th! (or! ani(a parts o' th!ir nat+r!D
76 I g+!ss so. Anyho, 7r!+# sai# so, an# I thin* h! ,as right. 8hy
#o yo+ as*D
?6 0!ca+s!, oh #!ar, thos! poor p!op!. :h!y try to st+#y ani(as.
An# th!y sp!ciai/! in thos! things that th!y can st+#y
obJ!cti"!y. An# th!y can ony b! obJ!cti"! abo+t thos! things in
57
,hich th!y th!(s!"!s ar! !ast i*! ani(as. It (+st b! #i''ic+t
'or th!(.
76 )o;that #o!s not n!c!ssariy 'oo,. It is sti possib! 'or
p!op! to b! obJ!cti"! abo+t so(! things in th!ir ani(a nat+r!.
Fo+ ha"!nIt sho,n that th! ,ho! o' ani(a b!ha"ior is ,ithin
th! s!t o' things that p!op! cannot b! obJ!cti"! abo+t.
?6 )oD
?6 8hat ar! th! r!ay big #i''!r!nc!s b!t,!!n p!op! an# ani(asD
76 8!;int!!ct, ang+ag!, toos. :hings i*! that.
?6 An# it is !asy 'or p!op! to b! int!!ct+ay obJ!cti"! in
ang+ag! an# abo+t toosD
76 :hatIs right.
?6 0+t that (+st (!an that in p!op! th!r! is a ,ho! s!t o' i#!as or
,hatnot ,hich ar! a ti!# tog!th!r. A sort o' s!con# cr!at+r!
,ithin th! ,ho! p!rson, an# that s!con# cr!at+r! (+st ha"! a
.+it! #i''!r!nt ,ay o' thin*ing abo+t !"!rything. An obJ!cti"!
,ay.
76 F!s. :h! roya roa# to conscio+sn!ss an# obJ!cti"ity is thro+gh
ang+ag! an# toos.
?6 0+t ,hat happ!ns ,h!n this cr!at+r! oo*s at a thos! parts o'
th! p!rson abo+t ,hich it is #i''ic+t 'or p!op! to b! obJ!cti"!D
?o!s it J+st oo*D 5r #o!s it (!##!D
76 It (!##!s.
?6 An# ,hat happ!nsD
76 :hatIs a "!ry t!rrib! .+!stion.
?6 1o on. I' ,! ar! going to st+#y ani(as, ,! (+st 'ac! that
.+!stion.
76 8! . . . :h! po!ts an# artists *no, th! ans,!r b!tt!r than th!
sci!ntists. @!t (! r!a# yo+ a pi!c!6
:ho+ght changI# th! in'init! to a s!rp!nt, that ,hich piti!th
:o a #!"o+ring 'a(!L an# (an '!# 'ro( its 'ac! an# hi#
In 'or!sts o' night6 th!n a th! !t!rna 'or!sts ,!r!I #i"i#!#
Into !arths roing in circ!s o' spac!, that i*! an oc!an r+shI#
An# o"!r,h!(!# a !-c!pt this 'init! ,a o' '!sh.
:h!n ,as th! s!rp!nt t!(p! 'or(I#, i(ag! o' in'init!
&h+t +p in 'init! r!"o+tionsL an# (an b!ca(! an
58
Ang!, E!a"!n a (ighty circ! t+rning, 1o# a tyrant cro,nI#.
H
?6 I #onIt +n#!rstan# it. It so+n#s t!rrib!, b+t ,hat #o!s it (!anD
76 8!. ItIs not an obJ!cti"! stat!(!nt, b!ca+s! it is ta*ing abo+t
th! !''!ct o' obJ!cti"ity;,hat th! po!t cas h!r! 9tho+ght9
+pon th! ,ho! p!rson or th! ,ho! o' i'!. 9:ho+ght9 sho+#
r!(ain a part o' th! ,ho! b+t inst!a# spr!a#s its!' an#
(!##!s ,ith th! r!st.
?6 1o on.
76 8!. It sic!s !"!rything to bits.
?6 I #onIt +n#!rstan#.
76 8!, th! 'irst sic! is b!t,!!n th! obJ!cti"! thing an# th! r!st.
An# th!n insi#! th! cr!at+r! thatIs (a#! in th! (o#! o'
int!!ct, ang+ag!, an# toos, it is nat+ra that p+rpos! ,i
!"o"!. :oos ar! 'or p+rpos!s an# anything ,hich boc*s
p+rpos! is a hin#ranc!. :h! ,or# o' th! obJ!cti"! cr!at+r! g!ts
spit into 9h!p'+9 things an# 9hin#!ring9 things.
?6 F!s. I s!! that.
76 A right. :h!n th! cr!at+r! appi!s that spit to th! ,or# o' th!
,ho! p!rson, an# 9h!p'+9 an# 9hin#!ring9 b!co(! 1oo# an#
="i, an# th! ,or# is th!n spit b!t,!!n 1o# an# th! &!rp!nt.
An# a't!r that, (or! an# (or! spits 'oo, b!ca+s! th! int!!ct
is a,ays cassi'ying an# #i"i#ing things +p.
?6 A+tipying !-panatory princip!s b!yon# n!c!ssityD 76 :hatIs
right.
?6 &o, in!"itaby, ,h!n th! obJ!cti"! cr!at+r! oo*s at ani(as, it
spits things +p an# (a*!s th! ani(as oo* i*! h+(an b!ings
a't!r th!ir int!!cts ha"! in"a#!# th!ir so+s.
76 =-acty. ItIs a sort o' inh+(an anthropo(orphis(.
?6 An# that is ,hy th! obJ!cti"! p!op! st+#y a th! itt! i(ps
inst!a# o' th! arg!r thingsD
76 F!s. ItIs ca!# &C4 psychoogy. ItIs !asy to b! obJ!cti"! abo+t
s!- b+t not abo+t o"!.
H
0a*!, 8., 1794, =+rop! a $roph!cy, print!# an# p+bish!# by th! a+thor.
2Itaics a##!#.3
59
?6 ?a##y, ,!I"! ta*!# abo+t t,o ,ays o' st+#ying ani(as;th!
big instinct ,ay an# th! &C4 ,ay, an# n!ith!r ,ay s!!(!# "!ry
so+n#. 8hat #o ,! #o no,D
76 I #onIt *no,.
?6 ?i#nIt yo+ say that th! roya roa# to obJ!cti"ity an#
conscio+sn!ss is ang+ag! an# toosD 8hatIs th! roya roa# to
th! oth!r ha'D
76 7r!+# sai# #r!a(s.
?6 5h.
?6 8hat ar! #r!a(sD Eo, ar! th!y p+t tog!th!rD
76 8!;#r!a(s ar! bits an# pi!c!s o' th! st+'' o' ,hich ,! ar!
(a#!. :h! nonCobJ!cti"! st+''.
?6 0+t ho, ar! th!y p+t tog!th!rD
76 @oo*. Ar!nIt ,! g!tting rath!r 'ar 'ro( th! .+!stion o'
!-paining ani(a b!ha"iorD
?6 I #onIt *no,, b+t I #onIt thin* so. It oo*s as i' ,! ar! going to
b! anthropo(orphic in on! ,ay or anoth!r, ,hat!"!r ,! #o.
An# it is ob"io+sy ,rong to b+i# o+r anthropo(orphis( on
that si#! o' (anIs nat+r! in ,hich h! is (ost +ni*! th! ani(as.
&o !tIs try th! oth!r si#!. Fo+ say #r!a(s ar! th! roya roa# to
th! oth!r si#!. &o . . .
76 I #i#nIt. 7r!+# sai# it. 5r so(!thing i*! it.
?6 A right. 0+t ho, ar! #r!a(s p+t tog!th!rD
76 ?o yo+ (!an ho, ar! t,o #r!a(s r!at!# to !ach oth!rD
?6 )o. 0!ca+s!, as yo+ sai#, th!y ar! ony bits an# pi!c!s. 8hat I
(!an is6 Eo, is a #r!a( p+t tog!th!r insi#! its!'D Co+#
ani(a b!ha"ior b! p+t tog!th!r in th! sa(! sort o' ,ayD
76 I #onIt *no, ,h!r! to b!gin.
?6 8!. ?o #r!a(s go by opposit!sD
76 5h @or#O :h! o# 'o* i#!a. )o. :h!y #onIt pr!#ict th! '+t+r!.
?r!a(s ar! sort o' s+sp!n#!# in ti(!. :h!y #onIt ha"! any
t!ns!s.
?6 0+t i' a p!rson is a'rai# o' so(!thing ,hich h! *no,s ,i
happ!n to(orro,, h! (ight #r!a( abo+t it toCnightD
60
76 C!rtainy. 5r abo+t so(!thing in his past. 5r abo+t both past
an# pr!s!nt. 0+t th! #r!a( contains no ab! to t! hi( ,hat it
is 9abo+t9 in this s!ns!. It J+st is.
?6 ?o yo+ (!an itIs as i' th! #r!a( ha# no tit! pag!D
76 F!s. ItIs i*! an o# (an+script or a !tt!r that has ost its
b!ginning an# !n#, an# th! historian has to g+!ss ,hat itIs a
abo+t an# ,ho ,rot! it an# ,h!n;'ro( ,hatIs insi#! it.
?6 :h!n ,!Ir! going to ha"! to b! obJ!cti"!, tooD
76 F!s in#!!#. 0+t ,! *no, that ,! ha"! to b! car!'+ abo+t it.
8! ha"! to ,atch that ,! #onIt 'orc! th! conc!pts o' th!
cr!at+r! that #!as in ang+ag! an# toos +pon th! #r!a(
(at!ria.
?6 Eo, #o yo+ (!anD
76 8!. 7or !-a(p!6 i' #r!a(s so(!ho, ha"! not t!ns!s an# ar!
so(!ho, s+sp!n#!# in ti(!, th!n it ,o+# b! 'orcing th! ,rong
sort o' obJ!cti"ity to say that a #r!a( 9pr!#icts9 so(!thing.
An# !.+ay ,rong to say it is a stat!(!nt abo+t th! past. ItIs
not history.
?6 5ny propagan#aD
76 8hat #o yo+ (!anD
?6 I (!an;is it i*! th! sort o' stori!s that propagan#ists ,rit!
,hich th!y say ar! history b+t ,hich ar! r!ay ony 'ab!sD
76 A right. F!s. ?r!a(s ar! in (any ,ays i*! (yths an# 'ab!s.
0+t not conscio+sy (a#! +p by a propagan#ist. )ot pann!#.
?6 ?o!s a #r!a( a,ays ha"! a (oraD
76 I #onIt *no, abo+t a,ays. 0+t o't!n, y!s. 0+t th! (ora is not
stat!# in th! #r!a(. :h! psychoanayst tri!s to g!t th! pati!nt to
'in# th! (ora. 4!ay th! ,ho! #r!a( is th! (ora.
?6 8hat #o!s that (!anD
76 I #onIt .+it! *no,.
?6 8!. ?o #r!a(s go by opposit!sD Is th! (ora th! opposit! o'
,hat th! #r!a( s!!(s to sayD
76 5h y!s. 5't!n. ?r!a(s o't!n ha"! an ironic or sarcastic t,ist. A
sort o' r!#+ctio a# abs+r#+(.
?6 7or !-a(p!D
76 A right. A 'ri!n# o' (in! ,as a 'ight!r piot in 8or# 8ar II.
A't!r th! ,ar h! b!ca(! a psychoogist an# ha# to sit 'or his
61
$h. ?. ora !-a(. E! b!gan to b! t!rri'i!# o' th! ora, b+t, th!
night b!'or! th! !-a(, h! ha# a night(ar! in ,hich h!
!-p!ri!nc!# again b!ing in a pan! ,hich ha# b!!n shot #o,n.
)!-t #ay h! ,!nt into th! !-a(ination ,itho+t '!ar.
?6 8hyD
76 0!ca+s! it ,as siy 'or a 'ight!r piot to b! a'rai# o' a b+nch o'
+ni"!rsity pro'!ssors ,ho co+#nIt r!ay shoot hi( #o,n.
?6 0+t ho, #i# h! *no, thatD :h! #r!a( co+# ha"! b!!n t!ing
hi( that th! pro'!ssors ,o+# shoot hi( #o,n. Eo, #i# h!
*no, it ,as ironicD
76 E((. :h! ans,!r is h! #i#nIt *no,. :h! #r!a( #o!sn
I
t ha"! a
ab! on it to say it is ironic. An# ,h!n p!op! ar! b!ing ironic
in ,a*ing con"!rsation, th!y o't!n #onIt t! yo+ th!y ar! b!ing
ironic.
?6 )o. :hatIs tr+!. I a,ays thin* itIs sort o' cr+!. 76 F!s. It o't!n
is.
?6 ?a##y, ar! ani(as !"!r ironic or sarcasticD
76 )o. I g+!ss not. 0+t I a( not s+r! that thos! ar! .+it! th! ,or#s
,! sho+# +s!. 9Ironic9 an# 9sarcastic
9
ar! ,or#s 'or th!
anaysis o' (!ssag! (at!ria in ang+ag!. An# ani(as #onIt
ha"! ang+ag!. ItIs p!rhaps part o' th! ,rong sort o' obJ!cti"ity.
?6 A right. :h!n #o ani(as #!a in opposit!sD
76 8!, y!s. As a (att!r o' 'act, th!y #o. 0+t II( not s+r! itIs th!
sa(! thing .. .
?6 1o on. Eo, #o th!yD An# ,h!nD
76 8!. Fo+ *no, ho, a p+ppy i!s on his bac* an# pr!s!nts his
b!y to a bigg!r #og. :hatIs sort o' in"iting th! bigg!r #og to
attac*. 0+t it ,or*s in th! opposit! ,ay. It stops th! bigg!r #og
'ro( attac*ing.
?6 F!s. I s!!. It is a sort o' +s! o' opposit!s. 0+t #o th!y *no,
thatD
76 Fo+ (!an #o!s th! big #og *no, that th! itt! #og is saying th!
opposit! o' ,hat h! (!ansD An# #o!s th! itt! #og *no, that
that is th! ,ay to stop th! big #ogD
?6 F!s.
76 I #onIt *no,. I so(!ti(!s thin* th! itt! #og *no,s a itt!
(or! abo+t it than th! big #og. Anyho,, th! itt! #og #o!s not
62
gi"! any signas to sho, that h! *no,s. E! ob"io+sy co+#nIt
#o that.
?6 :h!n itIs i*! th! #r!a(s. :h!r!Is no ab! to say that th! #r!a(
is #!aing in opposit!s.
76 :hatIs right.
?6 I thin* ,!Ir! g!tting so(!,h!r!. ?r!a(s #!a in opposit!s, an#
ani(as #!a in opposit!s, an# n!ith!r carri!s ab!s to say ,h!n
th!y ar! #!aing in opposit!s.
76 E((.
?6 8hy #o ani(as 'ightD
76 5h, 'or (any r!asons. :!rritory, s!-, 'oo# .. .
?6 ?a##y, yo+Ir! ta*ing i*! instinct th!ory. I tho+ght ,! agr!!#
not to #o that.
76 A right. 0+t ,hat sort o' an ans,!r #o yo+ ,ant to th!
.+!stion, ,hy ani(as 'ightD
?6 8!. ?o th!y #!a in opposit!sD
76 5h. F!s. A ot o' 'ighting !n#s +p in so(! sort o' p!ac!C
(a*ing. An# c!rtainy pay'+ 'ighting is party a ,ay o' a''irC
(ing 'ri!n#ship. 5r #isco"!ring or r!#isco"!ring 'ri!n#ship.
?6 I tho+ght so. . . .
?6 0+t ,hy ar! th! ab!s (issingD Is it 'or th! sa(! r!ason in both
ani(as an# #r!a(sD
76 I #onIt *no,. 0+t, yo+ *no,, #r!a(s #o not a,ays #!a in
opposit!s.
?6 ?o!s a #r!a( a,ays ha"! a (oraD
76 I #onIt *no, abo+t a,ays. 0+t o't!n, y!s. 0+t th! (ora is not
stat!# in th! #r!a(. :h! psychoanayst tri!s to g!t th! pati!nt to
'in# th! (ora. 4!ay th! ,ho! #r!a( is th! (ora.
?6 8hat #o!s that (!anD
76 I #on
I
t .+it! *no,.
?6 8!. ?o #r!a(s go by opposit!sD Is th! (ora th! opposit! o'
,hat th! #r!a( s!!(s to sayD
76 5h y!s. 5't!n. ?r!a(s o't!n ha"! an ironic or sarcastic t,ist. A
sort o' r!#+ctio a# abs+r#+(.
?6 7or !-a(p!D
63
76 A right. A 'ri!n# o' (in! ,as a 'ight!r piot in 8or# 8ar II.
A't!r th! ,ar h! b!ca(! a psychoogist an# ha# to sit 'or his $h.
?. ora !-a(. E! b!gan to b! t!rri'i!# o' th! ora, b+t, th! night
b!'or! th! !-a(, h! ha# a night(ar! in ,hich h! !-p!ri!nc!#
again b!ing in a pan! ,hich ha# b!!n shot #o,n. )!-t #ay h!
,!nt into th! !-a(ination ,itho+t '!ar.
?6 8hyD
76 0!ca+s! it ,as siy 'or a 'ight!r piot to b! a'rai# o' a b+nch o'
+ni"!rsity pro'!ssors ,ho co+#nIt r!ay shoot hi( #o,n.
?6 0+t ho, #i# h! *no, thatD :h! #r!a( co+# ha"! b!!n t!ing
hi( that th! pro'!ssors ,o+# shoot hi( #o,n. Eo, #i# h!
*no, it ,as ironicD
76 E((. :h! ans,!r is h! #i#nIt *no,. :h! #r!a( #o!snIt ha"! a
ab! on it to say it is ironic. An# ,h!n p!op! ar! b!ing ironic in
,a*ing con"!rsation, th!y o't!n #onIt t! yo+ th!y ar! b!ing
ironic.
?6 )o. :hatIs tr+!. I a,ays thin* itIs sort o' cr+!.
76 F!s. It o't!n is.
?6 ?a##y, ar! ani(as !"!r ironic or sarcasticD
76 )o. I g+!ss not. 0+t I a( not s+r! that thos! ar! .+it! th! ,or#s
,! sho+# +s!. 9Ironic9 an# 9sarcastic9 ar! ,or#s 'or th! anaysis
o' (!ssag! (at!ria in ang+ag!. An# ani(as #onIt ha"!
ang+ag!. ItIs p!rhaps part o' th! ,rong sort o' obJ!cti"ity.
?6 A right. :h!n #o ani(as #!a in opposit!sD
76 8!, y!s. As a (att!r o' 'act, th!y #o. 0+t II( not s+r! itIs th!
sa(! thing .. .
?6 1o on. Eo, #o th!yD An# ,h!nD
76 8!. Fo+ *no, ho, a p+ppy i!s on his bac* an# pr!s!nts his
b!y to a bigg!r #og. :hatIs sort o' in"iting th! bigg!r #og to
attac*. 0+t it ,or*s in th! opposit! ,ay. It stops th! bigg!r #og
'ro( attac*ing.
?6 F!s. I s!!. It is a sort o' +s! o' opposit!s. 0+t #o th!y *no, thatD
76 Fo+ (!an #o!s th! big #og *no, that th! itt! #og is saying th!
opposit! o' ,hat h! (!ansD An# #o!s th! itt! #og *no, that
that is th! ,ay to stop th! big #ogD
?6 F!s.
64
76 I #onIt *no,. I so(!ti(!s thin* th! itt! #og *no,s a itt! (or!
abo+t it than th! big #og. Anyho,, th! itt! #og #o!s not gi"!
any signas to sho, that h! *no,s. E! ob"io+sy co+#nIt #o that.
?6 :h!n itIs i*! th! #r!a(s. :h!r!Is no ab! to say that th! #r!a( is
#!aing in opposit!s.
76 :hat
I
s right.
?6 I thin* ,!Ir! g!tting so(!,h!r!. ?r!a(s #!a in opposit!s, an#
ani(as #!a in opposit!s, an# n!ith!r carri!s ab!s to say ,h!n
th!y ar! #!aing in opposit!s.
76 E((.
?6 8hy #o ani(as 'ightD
76 5h, 'or (any r!asons. :!rritory, s!-, 'oo# . . .
?6 ?a##y, yo+Ir! ta*ing i*! instinct th!ory. I tho+ght ,! agr!!# not
to #o that.
76 A right. 0+t ,hat sort o' an ans,!r #o yo+ ,ant to th! .+!stion,
,hy ani(as 'ightD
?6 8!. ?o th!y #!a in opposit!sD
76 5h. F!s. A ot o' 'ighting !n#s +p in so(! sort o' p!ac!C(a*ing.
An# c!rtainy pay'+ 'ighting is party a ,ay o' a''ir(ing
'ri!n#ship. 5r #isco"!ring or r!#isco"!ring 'ri!n#ship.
?6 I tho+ght so. . . .
?6 0+t ,hy ar! th! ab!s (issingD Is it 'or th! sa(! r!ason in both
ani(as an# #r!a(sD
76 I #onIt *no,. 0+t, yo+ *no,, #r!a(s #o not a,ays #!a in
opposit!s.
?6 )o;o' co+rs! not;nor #o ani(as.
76 A right th!n.
?6 @!tIs go bac* to that #r!a(. Its tota !''!ct on th! (an ,as th!
sa(! as i' so(!bo#y ha# sai# to hi(, 9 Nyo+ in a 'ight!r pan!I is
not !.+a to Nyo+ in an ora !-a(.I 9
76 F!s. 0+t th! #r!a( #i#nIt sp! that o+t. It ony says, 9yo+ in a
'ight!r pan!. It !a"!s o+t th! 9not,9 an# it !a"!s o+t th!
instr+ction to co(par! th! #r!a( ,ith so(!thing !s! an# it
#o!snIt say ,hat h! sho+# co(par! it ,ith.
?6 A right. @!tIs ta*! th! 9not9 'irst. Is th!r! any 9not9 in ani(a
b!ha"iorD
65
76 Eo, co+# th!r! b!D
?6 I (!an can an ani(a say by its actions, 9I ,i not bit! yo+9D
76 8!, to b!gin ,ith. Co((+nication by actions cannot possiby
ha"! t!ns!s. :h!y ar! ony possib! in ang+ag!.
?6 ?i#nIt yo+ say that #r!a(s ha"! no t!ns!sD
76 E((. F!s, I #i#.
?6 5*ay. 0+t ,hat abo+t 9not9. Can th! ani(a say, 9I a( not biting
yo+9D
76 :hat sti has a t!ns! in it. 0+t n!"!r (in#. I' th! ani(a is not
biting th! oth!r, h!Is not biting it, an# thatIs it.
?6 0+t h! (ight b! not #oing a sorts o' oth!r things, s!!ping,
!ating, r+nning, an# so on. Eo, can h! say, 9ItIs biting that II(
not #oing9D
76 E! can ony #o that i' biting has so(!ho, b!!n (!ntion!#.
?6 ?o yo+ (!an that h! co+# say, 9I a( not biting yo+9 by 'irst
sho,ing his 'angs an# th!n not bitingD
76 F!s. &o(!thing i*! that.
?6 0+t ,hat abo+t t,o ani(asD :h!yI# both ha"! to sho, th!ir
'angs.
76 F!s.
?6 An#, it s!!(s to (!, th!y (ight (is+n#!rstan# !ach oth!r, an#
g!t into a 'ight.
76 F!s. :h!r! is a,ays that #ang!r ,h!n yo+ #!a in opposit!s an#
#o not or cannot say ,hat yo+ ar! #oing, !sp!ciay ,h!n yo+ #o
not *no, ,hat yo+ ar! #oing. ?6 0+t th! ani(as ,o+# *no,
that th!y bar!# th!ir 'angs in or#!r to say, 9I ,onIt bit! yo+.9
76 I #o+bt ,h!th!r th!y ,o+# *no,. C!rtainy n!ith!r ani(a
*no,s it abo+t th! oth!r. :h! #r!a(!r #o!snIt *no, at th!
b!ginning o' th! #r!a( ho, th! #r!a( is going to !n#.
?6 :h!n it
I
s a sort o' !-p!ri(!nt... .
76 F!s.
?6 &o th!y (ight g!t into a 'ight in or#!r to 'in# o+t ,h!th!r
'ighting ,as ,hat th!y ha# to #o.
76 F!s;b+t II# rath!r p+t it !ss p+rposi"!y;that th! 'ight sho,s
th!( ,hat sort o' r!ationship th!y ha"!, a't!r it. ItIs not pann!#.
?6 :h!n 9not9 is r!ay not th!r! ,h!n th! ani(as sho, th!ir 'angsD
76 I g+!ss not. 5r o't!n not. $!rhaps o# 'ri!n#s (ight !ngag! in
pay'+ 'ighting an# *no, at th! b!ginning ,hat th!y ar! #oing.
66
?6 A right. :h!n th! 9not9 is abs!nt in ani(a b!ha"ior b!ca+s!
9not9 is part o' "!rba ang+ag!, an# th!r! canCnot b! any action
signa 'or
,
9not.9 An# b!ca+s! th!r! is no 9not,9 th! ony ,ay to
agr!! on a n!gati"! is to act o+t th! ,ho! r!#+ctio a#
abs+r#+(. Fo+ ha"! to act o+t th! batt! to pro"! it isnIt on!, an#
th!n yo+ ha"! to act o+t th! s+b(ission to pro"! that th! oth!r
,on
I
t !at yo+.
76 F!s.
?6 ?i# th! ani(as ha"! to thin* that o+tD
76 )o. 0!ca+s! itIs a n!c!ssariy tr+!. An# that ,hich is
n!c!ssariy tr+! ,i go"!rn ,hat yo+ #o r!gar#!ss o' ,h!th!r
yo+ *no, that it is n!c!ssariy tr+!. I' yo+ p+t t,o app!s ,ith
thr!! app!s yo+ ,i g!t 'i"! app!s;!"!n tho+gh yo+ cannot
co+nt. ItIs anoth!r ,ay o' 9!-paining9 things.
? 6 5h.
?6 0+t, th!n, ,hy #o!s th! #r!a( !a"! o+t th! 9not9D
76 I thin* r!ay 'or a rath!r si(iar r!ason. ?r!a(s ar! (osty (a#!
o' i(ag!s an# '!!ings, an# i' yo+ ar! going to co((+nicat! in
i(ag!s an# '!!ings an# s+ch, yo+ again ar! go"!rn!# by th! 'act
that th!r! is no i(ag! 'or 9not.9
?6 0+t yo+ co+# #r!a( o' a 9&top9 sign ,ith a in! thro+gh it,
,hich ,o+# (!an 9)o &topping.9
76 F!s. 0+t thatIs ha',ay to,ar# ang+ag!. An# th! #!!ting in!
isnIt th! ,or# 9not.9 ItIs th! ,or# 9#onIt.9 9?onIt9 can b!
con"!y!# in action ang+ag!;i' th! oth!r p!rson (a*!s a (o"!
to (!ntion ,hat yo+ ,ant to 'orbi#. Fo+ can !"!n #r!a( in
,or#s, an# th! ,or# 9not9 (ight b! a(ong th!(. 0+t I #o+bt i'
yo+ can #r!a( a 9not9 ,hich is abo+t th! #r!a(. I (!an a 9not9
,hich (!ans 9:his #r!a( is not to b! ta*!n it!ray.9
&o(!ti(!s, in "!ry ight s!!p, on! *no,s that on! is #r!a(ing.
?6 0+t, ?a##y, yo+ sti ha"!nIt ans,!r!# th! .+!stion abo+t ho,
#r!a(s ar! p+t tog!th!r.
76 I thin* r!ay I ha"! ans,!r!# it. 0+t !t (! try again. A #r!a( is
a (!taphor or a tang! o' (!taphors. ?o yo+ *no, ,hat a
(!taphor isD
67
?6 F!s. I' I say yo+ ar! i*! a pig that is a si(i!. 0+t i' I say yo+ ar!
a pig, that is a (!taphor.
76 Appro-i(at!y, y!s. 8h!n a (!taphor is ab!!# as a (!taphor it
b!co(!s a si(i!.
?6 An# itIs that ab!ing that a #r!a( !a"!s o+t.
76 :hatIs right. A (!taphor co(par!s things ,itho+t sp!ing o+t th!
co(parison. It ta*!s ,hat is tr+! o' on! gro+p o' things an#
appi!s it to anoth!r. 8h!n ,! say a nation 9#!cays,9 ,! ar!
+sing a (!taphor, s+gg!sting that so(! chang!s in a nation ar!
i*! chang!s ,hich bact!ria pro#+c! in 'r+it. 0+t ,! #onIt stop to
(!ntion th! 'r+it or th! bact!ria.
?6 An# a #r!a( is i*! thatD
76 )o. ItIs th! oth!r ,ay aro+n#. :h! #r!a( ,o+# (!ntion th! 'r+it
an# possiby th! bact!ria b+t ,o+# not (!ntion th! nation. :h!
#r!a( !aborat!s on th! r!ationship b+t #o!s not i#!nti'y th!
things that ar! r!at!#.
?6 ?a##y, co+# yo+ (a*! a #r!a( 'or (!D
76 Fo+ (!an, on this r!cip!D )o. @!tIs ta*! th! pi!c! o' "!rs! ,hich
I r!a# yo+ J+st no, an# t+rn it into a #r!a(. ItIs a(ost #r!a(
(at!ria th! ,ay it stan#s. 7or (ost o' it, yo+ ha"! ony to
s+bstit+t! i(ag!s 'or th! ,or#s. An# th! ,or#s ar! "i"i# !no+gh.
0+t th! ,ho! string o' (!taphors or i(ag!s is p!gg!# #o,n,
,hich ,o+# not b! so in a #r!a(.
?6 8hat #o yo+ (!an by 9p!gg!# #o,n9D
76 I (!an by th! 'irst ,or#6 9:ho+ght.9 :hat ,or# th! ,rit!r is +sing
it!ray, an# that on! ,or# t!s yo+ ,hat a th! r!st is abo+t.
?6 An# in a #r!a(D
76 :hat ,or#, too, ,o+# ha"! b!!n (!taphoric. :h!n th! ,ho!
po!( ,o+# ha"! b!!n (+ch (or! #i''ic+t.
?6 A right;chang! it th!n.
76 8hat abo+t 90arbara chang!# th! in'init! . . .9 an# so on.
?6 0+t ,hyD 8ho is sh!D
76 8!, sh!Is barbaro+s, an# sh!Is '!(a!, an# sh! is th! (n!(onic
na(! o' a syogistic (oo#. I tho+ght sh! ,o+# #o rath!r ,! as
a (onstro+s sy(bo 'or 9:ho+ght.9 I can s!! h!r no, ,ith a pair
o' caip!rs, pinching h!r o,n brain to chang! h!r +ni"!rs!.
?6 &top it.
68
76 A right. 0+t yo+ s!! ,hat I (!an by saying that in #r!a(s th!
(!taphors ar! not p!gg!# #o,n.
?6 ?o ani(as p!g #o,n th!ir (!taphorsD
76 )o. :h!y #onIt ha"! to. Fo+ s!!, ,h!n a gro,nC+p bir# (a*!s
i*! a baby bir# in approaching a (!(b!r o' th! opposit! s!-,
h!Is +sing a (!taphor ta*!n 'ro( th! r!ationship b!t,!!n chi#
an# par!nt. 0+t h! #o!snIt ha"! to p!g #o,n ,hos! r!ationship
h! is ta*ing abo+t. ItIs ob"io+sy th! r!ationship b!t,!!n hi(C
s!' an# th! oth!r bir#. :h!yIr! both o' th!( pr!s!nt.
?6 0+t #onIt th!y !"!r +s! (!taphors;act o+t (!taphors ;abo+t
so(!thing oth!r than th!ir o,n r!ationshipsD
76 I #onIt thin* so. )o;not (a((as. An# I #onIt thin* bir#s #o
!ith!r. 0!!s;p!rhaps. An#, o' co+rs!, p!op!.
?6 :h!r!Is on! thing I #onIt +n#!rstan#.
76 F!sD
?6 8!I"! 'o+n# a ,ho! ot o' things in co((on b!t,!!n #r!a(s
an# ani(a b!ha"ior. :h!y both #!a in opposit!s, an# th!y both
ha"! no t!ns!s, an# th!y both ha"! no 9not,9 an# th!y both ,or*
by (!taphor, an# n!ith!r o' th!( p!gs th! (!taphors #o,n. 0+t
,hat I #onIt +n#!rstan# is;,hy, ,h!n th! ani(as #o th!s!
things, it (a*!s s!ns!. I (!an 'or th!( to ,or* in opposit!s. An#
th!y #onIt ha"! to p!g #o,n th!ir (!taphors;b+t I #onIt s!!
,hy #r!a(s sho+# b! i*! that, too.
76 )or #o I.
?6 An# th!r!Is anoth!r thing.
76 F!sD
?6 Fo+ ta*!# abo+t g!n!s an# chro(oso(!s carrying (!ssag!s
abo+t #!"!op(!nt. ?o th!y ta* i*! ani(as an# #r!a(sD I
(!an in (!taphors an# ,ith no 9nots9D 5r #o th!y ta* i*! +sD
76 I #onIt *no,. 0+t I a( s+r! th!ir (!ssag! syst!( contains no
si(p! trans'or( o' Instinct :h!ory.
69
Part II: Form and
Pattern in
Anthropology
Cultu&e Conta't an# +'hi!(oene!i!
%
:h! A!(oran#+( ,ritt!n by a Co((itt!! o' th! &ocia &ci!nc!s
4!s!arch Co+nci + ,an, 1935, 1623 has sti(+at!# (! to p+t
'or,ar# a point o' "i!, ,hich #i''!rs consi#!raby 'ro( th!irsL an#,
tho+gh th! b!ginning o' this artic! (ay app!ar to b! critica o' th!ir
A!(oran#+(, I ,ish to (a*! it c!ar 'ro( th! o+ts!t that I r!gar#
as a r!a contrib+tion any s!rio+s att!(pt to #!"is! cat!gori!s 'or th!
st+#y o' c+t+r! contact. Aor!o"!r, sinc! th!r! ar! s!"!ra passag!s
in th! A!(oran#+( 2a(ong th!( th! ?!'inition3 ,hich I #o not
p!r'!cty +n#!rstan#, (y criticis(s ar! o''!r!# ,ith so(! h!sitation,
an# ar! #ir!ct!# not so (+ch against th! Co((itt!! as against
c!rtain !rrors pr!"a!nt a(ong anthropoogists.
213 !*e uses of suc* syst ems of cat egori es. In g!n!ra it
is +n,is! to constr+ct syst!(s o' this sort +nti th! prob!(s ,hich
th!y ar! #!sign!# to !+ci#at! ha"! b!!n c!ary 'or(+at!#L an# so
'ar as I can s!!, th! cat!gori!s #ra,n +p by th! Co((itt!! ha"!
b!!n constr+ct!# not in r!'!r!nc! to any sp!ci'icay #!'in!#
prob!(s, b+t to thro, a g!n!ra ight on 9th! prob!(9 o'
acc+t+ration, ,hi! th! prob!( its!' r!(ains "ag+!.
223 7ro( this it 'oo,s that o+r i((!#iat! n!!# is not so (+ch
th! constr+ction o' a s!t o' cat!gori!s ,hich ,i thro, a ight on a
th! prob!(s, b+t rath!r th! sch!(atic 'or(+ation o' th! prob!(s
in s+ch a ,ay that th!y (ay b! s!parat!y in"!stigab!.
233 Atho+gh th! Co((itt!! !a"! th!ir prob!(s +n#!'in!#, ,!
(ay 'ro( a car!'+ r!a#ing o' th! cat!gori!s gath!r ro+ghy ,hat
.+!stions th!y ar! as*ing o' th! (at!ria. It s!!(s that th!
Co((itt!! ha"!, as a (att!r o' 'act, b!!n in'+!nc!# by th! sort o'
.+!stions ,hich a#(inistrators as* o' anthropoogists;
9
Is it a goo#
thing to +s! 'orc! in c+t+r! contactsD9 9Eo, can ,! (a*! a gi"!n
H
:h! ,ho! contro"!rsy o' ,hich this artic! ,as a part has b!!n r!print!# in
Beyond the Frontier, !#it!# by $a+ 0ohannon an# 7r!# $og. 0+t th!
ripp!s o' this contro"!rsy ha"! ong sinc! #i!# #o,n, an# th! artic! is inc+#!#
h!r! ony 'or its positi"! contrib+tions. It is r!print!#, +nchang!#, 'ro( Man,
Artic! 199, Go. UUUG, 1935, by p!r(ission o' th! 4oya Anthropoogica
Instit+t! o' 1r!at 0ritain an# Ir!an#.
71
p!op! acc!pt a c!rtain sort o' traitD9 an# so on. In r!spons! to this
typ! o' .+!stion ,! 'in# in th! #!'inition o' acc+t+ration an !(phaC
sis +pon #i''!r!nc! in c+t+r! b!t,!!n th! gro+ps in contact an#
+pon th! r!s+ting chang!sL an# s+ch #ichoto(i!s as that b!t,!!n
9!!(!nts 'orc!# +pon a p!op! or r!c!i"!# "o+ntariy by th!(9
1
(ay i*!,is! b! r!gar#!# as sy(pto(atic o' this thin*ing in t!r(s
o' a#(inistrati"! prob!(s. :h! sa(! (ay b! sai# o' th! cat!gori!s
G, A, 0, an# C, 9acc!ptanc!,9 9a#aptation9 an# 9r!action.9
243 8! (ay agr!! that ans,!rs ar! ba#y n!!#!# to th!s!
.+!stions o' a#(inistration an#, '+rth!r, that a st+#y o' c+t+r!
contacts is i*!y to gi"! th!s! ans,!rs, 0+t it is a(ost c!rtain that
th! sci!nti'ic 'or(+ation o' th! prob!(s o' conCtact ,i not 'oo,
th!s! in!s. It is as i' in th! constr+ction o' cat!gori!s 'or th! st+#y
o' cri(inoogy ,! start!# ,ith a #ichoto(y o' in#i"i#+as into
cri(ina an# noncri(ina ;an#, in#!!#, that c+rio+s sci!nc! ,as
ha(p!r!# 'or a ong ,hi! by this "!ry att!(pt to #!'in! a 9cri(ina
typ!.9
253 :h! A!(oran#+( is bas!# +pon a 'aacy6 that ,! can
cassi'y th! traits o' a c+t+r! +n#!r s+ch h!a#ings as !cono(ic,
r!igio+s, !tc. 8! ar! as*!#, 'or !-a(p!, to cassi'y traits into thr!!
cass!s, pr!s!nt!# r!sp!cti"!y b!ca+s! o'6 2a3 !cono(ic pro'it or
poitica #o(inanc!L 2b3 #!sirabiity o' bringing abo+t con'or(ity to
"a+!s o' #onor gro+pL an# 2c3 !thica an# r!igio+s consi#!rations.
:his i#!a, that !ach trait has !ith!r a sing! '+nction or at !ast so(!
on! '+nction ,hich o"!rtops th! r!st, !a#s by !-t!nsion to th!
i#!a that a c+t+r! can b! s+b#i"i#!# into 9instit+tions9 ,h!r! th!
b+n#! o' traits ,hich (a*! +p on! instit+tion ar! ai*! in th!ir
(aJor '+nctions. :h! ,!a*n!ss o' this (!tho# o' s+b#i"i#ing a
c+t+r! has b!!n conc+si"!y #!(onstrat!# by Aaino,s*i an#
his p+pis, ,ho ha"! sho,n that a(ost th! ,ho ! o' a c+t+r!
(ay b! s!!n "ario+sy as a (!chanis( 'or (o#i'ying an#
satis'ying th! s!-+a n!!#s o' th! in#i"i#+as, or 'or th!
!n'orc!(!nt o' th! nor(s o' b!ha"ior, or 'or s+ppying th!
in#i"i#+as ,ith 'oo#.
2
7ro( this !-ha+sti"! #!(onstration ,!
(+st !-p!ct that any sing! trait o' a c+t+r! ,i pro"! on
1
In any cas! it is c!ar that in a sci!nti'ic st+#y o' proc!ss!s an# nat+ra a,s this
in"ocation o' 'r!! ,i can ha"! no pac!.
72
!-a(ination to b! not si(py !cono(ic or r!igio+s or str+ct+ra,
b+t to parta*! o' a th!s! .+aiti!s accor#ing to th! point o' "i!,
'ro( ,hich ,! oo* at it. I' this b! tr+! o' a c+t+r! s!!n in
synchronic s!ction, th!n it (+st aso appy to th! #iachronic
proc!ss!s o' c+t+r! contact an# chang!L an# ,! (+st !-p!ct that 'or
th! o''!ring, acc!ptanc! or r!'+sa o' !"!ry trait that ar!
si(+tan!o+s ca+s!s o' an !cono(ic, str+ct+ra, s!-+a, an#
r!igio+s nat+r!.
263 7ro( this it 'oo,s that o+r cat!gori!s 9r!igio+s,9
9!cono(ic,
9
!tc., ar! not real s+b#i"isions ,hich ar! pr!s!nt in th!
c+t+r!s ,hich ,! st+#y, b+t ar! (!r!y a-stractions ,hich ,!
(a*! 'or o+r o,n con"!ni!nc! ,h!n ,! s!t o+t to #!scrib! c+t+r!s
in ,or#s. :h!y ar! not ph!no(!na pr!s!nt in c+t+r!, b+t ar! ab!s
'or "ario+s points o' "i!, ,hich ,! a#opt in o+r st+#i!s. In
han#ing s+ch abstractions ,! (+st b! car!'+ to a"oi# 8hit!h!a#Is
9'aacy o' (ispac!# concr!t!n!ss,9 a 'aacy into ,hich, 'or
2
C'. Aaino,s*i, Se.ual /ife an# "rime and "ustom0 A. I. 4ichar#s, 1unger
and 2or3. :his .+!stion o' th! s+b#i"ision o' a c+t+r! into 9instit+tions9 is not
.+it! as si(p! as I ha"! in#icat!#L an#, in spit! o' th!ir o,n ,or*s, I b!i!"! that
th! @on#on &choo sti a#h!r!s to a th!ory that so(! s+ch #i"ision is practicab!. It
is i*!y that con'+sion aris!s 'ro( th! 'act that c!rtain nati"! p!op!s;p!rhaps a,
b+t in any cas! thos! o' 8!st!rn =+rop!;act+ay thin* that th!ir c+t+r! is so
s+b#i"i#!#. Gario+s c+t+ra ph!no(!na aso contrib+t! so(!thing to,ar# s+ch a
s+b#i"ision, !.g., +a4 th! #i"ision o' abor an# #i''!r!ntiation o' nor(s o' b!ha"ior
b!t,!!n #i''!r!nt gro+ps o' in#i"i#+as in th! sa(! co((+nity, an# 2b3 an
!(phasis, pr!s!nt in c!rtain c+t+r!s, +pon th! s+b#i"isions o' pac! an# ti(! +pon
,hich b!ha"ior is or#!r!#. :h!s! ph!no(!na !a# to th! possibiity, in s+ch
c+t+r!s, o' #+bbing a b!ha"ior ,hich, 'or !-a(p!, ta*!s pac! in ch+rch b!t,!!n
11.30 an# 12.30 on &+n#ays as 9r!igio+s.9 0+t !"!n in th! st+#y o' s+ch c+t+r!s
th! anthropoogist (+st oo* ,ith so(! s+spicion +pon his cassi'ication o' traits
into instit+tions an# (+st !-p!ct to 'in# a gr!at #!a o' o"!rCapping b!t,!!n
"ario+s instit+tions.
An anaogo+s 'aacy occ+rs in psychoogy, an# consists in r!gar#ing
b!ha"ior as cassi'iab! accor#ing to th! i(p+s!s ,hich inspir! it, !.g., into
s+ch cat!gori!s as s!'Cprot!cti"!, ass!rti"!, s!-+a, ac.+isiti"!, !tc. E!r!, too,
con'+sion r!s+ts 'ro( th! 'act that not ony th! psychoogist, b+t aso th!
in#i"i#+a st+#i!#, is pron! to thin* in t!r(s o' th!s! cat!gori!s. :h!
psychoogists ,o+# #o ,! to acc!pt th! probabiity that !"!ry bit o' b!ha"ior
is;at !ast in a ,!Cint!grat!# in#i"i#+a ;si(+tan!o+sy r!!"ant to a
th!s! abstractions
73
!-a(p!, th! Aar-ian historians 'a ,h!n th!y (aintain that
!cono(ic 9ph!no(!na9 ar! 9pri(ary.9
8ith this pr!a(b!, ,! (ay no, consi#!r an at!rnati"! sch!(!
'or th! st+#y o' contact ph!no(!na.
273 Scope of t*e in5uiry I s+gg!st that ,! sho+# consi#!r +n#!r
th! h!a# o' 9c+t+r! contact9 not ony thos! cas!s in ,hich th!
contact occ+rs b!t,!!n t,o co((+niti!s ,ith #i''!r!nt c+t+r!s an#
r!s+ts in pro'o+n# #ist+rbanc! o' th! c+t+r! o' on! or both gro+psL
b+t aso cas!s o' contact ,ithin a sing! co((+nity. In th!s! cas!s
th! contact is b!t,!!n #i''!r!ntiat!# gro+ps o' in#i"i#+as, !.g.,
b!t,!!n th! s!-!s, b!t,!!n o# an# yo+ng, b!t,!!n aristocracy an#
p!bs, b!t,!!n cans, !tc., gro+ps ,hich i"! tog!th!r in
appro-i(at! !.+iibri+(. I ,o+# !"!n !-t!n# th! i#!a o' 9contact
9
so ,i#!y as to inc+#! thos! proc!ss!s ,h!r!by a chi# is (o#!#
an# train!# to 'it th! c+t+r! into ,hich h! ,as born,
3
b+t 'or th!
pr!s!nt ,! (ay con'in! o+rs!"!s to contacts b!t,!!n gro+ps o'
in#i"i#+as, ,ith #i''!r!nt c+t+ra nor(s o' b!ha"ior in !ach gro+p.
283 I' ,! consi#!r th! possib! !n# o' th! #rastic #ist+rbanc!s
,hich 'oo, contacts b!t,!!n pro'o+n#y #i''!r!nt co((+niti!s,
,! s!! that th! chang!s (+st th!or!ticay r!s+t in on! or oth!r o'
th! 'oo,ing patt!rns6
2a3 th! co(p!t! '+sion o' th! originay #i''!r!nt gro+ps
2b3 th! !i(ination o' on! or both gro+ps
2c3 th! p!rsist!nc! o' both gro+ps in #yna(ic !.+iibri+(
,ithin on! (aJor co((+nity
293 Ay p+rpos! in !-t!n#ing th! i#!a o' contact to co"!r th!
con#itions o' #i''!r!ntiation insi#! a sing! c+t+r! is to +s! o+r
*no,!#g! o' th!s! .+i!sc!nt stat!s to thro, ight +pon th! 'actors
,hich ar! at ,or* in stat!s o' #is!.+iibri+(. It (ay b! !asy to
obtain a *no,!#g! o' th! 'actors 'ro( th!ir .+i!t ,or*ing, b+t
i(possib! to isoat! th!( ,h!n th!y ar! "io!nt. :h! a,s o'
3
:h! pr!s!nt sch!(! is ori!nt!# to,ar# th! st+#y o' socia rath!r than
psychoogica proc!ss!s, b+t a cos!y anaogo+s sch!(! (ight b! constr+ct!# 'or
th! st+#y o' psychopathoogy. E!r! th! i#!a o' 9contact9 ,o+# b! st+#i!#,
!sp!ciay in th! cont!-ts o' th! (o#ing o' th! in#i"i#+a, an# th! proc!ss!s o'
schis(og!n!sis ,o+# b! s!!n to pay an i(portant part not ony in acc!nt+ating th!
(aa#J+st(!nts o' th! #!"iant, b+t aso in assi(iating th! nor(a in#i"i#+a to his
gro+p.
74
gra"ity cannot con"!ni!nty b! st+#i!# by obs!r"ation o' ho+s!s
coapsing in an !arthC.+a*!.
2103 "omplete fusion &inc! this is on! o' th! possib! !n#s o' th!
proc!ss ,! (+st *no, ,hat 'actors ar! pr!s!nt in a gro+p o'
in#i"i#+as ,ith consist!nt ho(og!n!o+s patCt!rns o' b!ha"ior in a
(!(b!rs o' th! gro+p. An approach to s+ch con#itions (ay b!
'o+n# in any co((+nity ,hich is in a stat! o' appro-i(at!
!.+iibri+( b+t, +n'ort+nat!y, o+r o,n co((+niti!s in =+rop! ar!
in a stat! o' s+ch '+- that th!s! con#itions scarc!y occ+r.
Aor!o"!r, !"!n in pri(iti"! co((+niti!s. th! con#itions ar! +s+ay
co(picat!# by #i''!r!ntiation, so that ,! (+st b! cont!nt ,ith
st+#i!s o' s+ch ho(og!n!o+s gro+ps as can b! obs!r"!# ,ithin th!
(aJor #i''!r!ntiat!# co((+niti!s.
5+r 'irst tas* ,i b! to asc!rtain ,hat sorts o' +nity obtain
,ithin s+ch gro+ps, or rath!r;b!aring in (in# that ,! ar!
conc!rn!# ,ith aspects an# not cass!s o' ph!no(!na;,hat
asp!cts o' th! +nity o' th! bo#y o' traits ,! (+st #!scrib! in or#!r to
g!t a ,ho! "i!, o' th! sit+ation. I s+b(it that th! (at!ria, to b!
'+y +n#!rstoo#, must b! !-a(in!# in, at !ast, th! 'oo,ing 'i"!
s!parab! asp!cts6
+a4 A structural aspect of unity :h! b!ha"ior o' any on!
in#i"i#+a in any on! cont!-t is, in so(! s!ns!, cogniti"!y
consist!nt ,ith th! b!ha"ior o' a th! oth!r in#i"i#+as in a oth!r
cont!-ts. E!r! ,! (+st b! pr!par!# to 'in# that th! inh!r!nt ogic
o' on! c+t+r! #i''!rs pro'o+n#y 'ro( that o' oth!rs. 7ro( this
point o' "i!, ,! sha s!!, 'or !-a(p!, that ,h!n in#i"i#+a A
gi"!s a #rin* to in#i"i#+a 0, that b!ha"ior is consist!nt ,ith oth!r
nor(s o' b!ha"ior obtaining ,ithin th! gro+p ,hich contains A
an# 0.
:his asp!ct o' th! +nity o' th! bo#y o' b!ha"ior patt!rns (ay b!
r!stat!# in t!r(s o' a stan#ar#i/ation o' th! cogniti"! asp!cts o' th!
p!rsonaiti!s o' th! in#i"i#+as. 8! (ay say that th! patt!rns o'
tho+ght o' th! in#i"i#+as ar! so stan#ar#i/!# that th!ir b!ha"ior
app!ars to th!( logical.
2b3 Affecti&e aspects of unity In st+#ying th! c+t+r! 'ro( this
point o' "i!,, ,! ar! conc!rn!# to sho, th! !(otiona s!tting o' a
th! #!tais o' b!ha"ior. 8! sha s!! th! ,ho! bo#y o' b!ha"ior as a
75
conc!rt!# (!chanis( ori!nt!# to,ar# a''!cti"! satis'action an#
#issatis'action o' th! in#i"i#+as.
:his asp!ct o' a c+t+r! (ay aso b! #!scrib!# in t!r(s o' a
stan#ar#i/ation o' a''!cti"! asp!cts o' th! p!rsonaiti!s o' th!
in#i"i#+as, ,hich ar! so (o#i'i!# by th!ir c+t+r! that th!ir
b!ha"ior is to th!( !(otionay consist!nt.
2c3 conomic unity E!r! ,! sha s!! th! ,ho! bo#y o' b!ha"ior
as a (!chanis( ori!nt!# to,ar# th! pro#+ction an# #istrib+tion o'
(at!ria obJ!cts.
2#3 "*ronological and spatial unity E!r! ,! sha s!! th!
b!ha"ior patt!rns as sch!(aticay or#!r!# accor#ing to ti(! an#
pac!. 8! sha s!! A as gi"ing th! #rin* to 0
9
b!ca+s! it is &at+r#ay
!"!ning in th! 0+! 0oar.9
2!3 Sociological unity E!r! ,! sha s!! th! b!ha"ior o' th!
in#i"i#+as as ori!nt!# to,ar# th! int!gration an# #isint!gration o'
th! (aJor +nit, th! 1ro+p as a ,ho!. 8! sha s!! th! gi"ing o'
#rin*s as a 'actor ,hich pro(ot!s th! soi#arity o' th! gro+p.
2113 In a##ition to st+#ying th! b!ha"ior o' (!(b!rs o' th!
ho(og!n!o+s gro+p 'ro( a th!s! points o' "i!,, ,! (+st !-a(in!
a n+(b!r o' s+ch gro+ps to #isco"!r th! !''!cts o' stan#ar#i/ation o'
th!s! "ario+s points o' "i!, in th! p!op! ,! ar! st+#ying. 8! ha"!
stat!# abo"! that !"!ry bit o' b!ha"ior (+st b! r!gar#!# as probaby
r!!"ant to a th!s! "i!,points, b+t th! 'act r!(ains that so(!
p!op!s ar! (or! incin!# than oth!rs to s!! an# phras! th!ir o,n
b!ha"ior as 9ogica9 or 9'or th! goo# o' th! &tat!.9
2123 8ith this *no,!#g! o' th! con#itions ,hich obtain in
ho(og!n!o+s gro+ps, ,! sha b! in a position to !-a(in! th!
proc!ss!s o' '+sion o' t,o #i"!rs! gro+ps into on!. 8! (ay !"!n b!
ab! to pr!scrib! (!as+r!s ,hich ,i !ith!r pro(ot! or r!tar# s+ch
'+sion, an# pr!#ict that a trait ,hich 'its th! 'i"! asp!cts o' +nity can
b! a##!# to a c+t+r! ,ithCo+t oth!r chang!s. I' it #o!s not 'it, th!n
,! can s!arch 'or appropriat! (o#i'ications !ith!r o' th! c+t+r! or
o' th! trait.
2133 !*e elimination of one or -ot* groups :his !n# r!s+t is
p!rhaps scarc!y ,orth st+#ying, b+t ,! sho+# at !ast !-a(in! any
(at!ria that is a"aiab!, to #!t!r(in! ,hat sort o' !''!cts s+ch
hosti! acti"ity has +pon th! c+t+r! o' th! s+r"i"ors. It is possib!,
'or !-a(p!, that th! patt!rns o' b!ha"ior associat!# ,ith
76
!i(ination o' oth!r gro+ps (ay b! assi(iat!# into th!ir c+t+r! so
that th!y ar! i(p!!# to !i(inat! (or! an# (or!.
2143 6ersistence of -ot* groups in dynamic e5uili-rium :his is
probaby th! (ost instr+cti"! o' th! possib! !n# r!s+ts o' contact,
sinc! th! 'actors acti"! in th! #yna(ic !.+iibri+( ar! i*!y to b!
i#!ntica or anaogo+s ,ith thos! ,hich, in #is!.+iibri+(, ar!
acti"! in c+t+ra chang!. 5+r 'irst tas* is to st+#y th! r!ationships
obtaining b!t,!!n gro+ps o' in#i"i#+as ,ith #i''!r!ntiat!# b!ha"ior
patt!rns, an# at!r to consi#!r ,hat ight th!s! r!ationships thro,
+pon ,hat ar! (or! +s+ay ca!# 9contacts.9 ="!ry anthropoogist
,ho has b!!n in th! 'i!# has ha# opport+nity o' st+#ying s+ch
#i''!r!ntiat!# gro+ps.
2153 :h! possibiiti!s o' #i''!r!ntiation o' gro+ps ar! by no
(!ans in'init!, b+t 'a c!ary into t,o cat!gori!s +a4 cas!s in ,hich
th! r!ationship is chi!'y sy((!trica, !.g., in th! #i''!r!ntiation o'
(oi!ti!s, cans, "iag!s an# th! nations o' =+rop!L an# +-4 cas!s in
,hich th! r!ationship is complementary, e.g., in th! #i''!r!ntiation
o' socia strata, cass!s, cast!s, ag! gra#!s, an#, in so(! cas!s, th!
c+t+ra #i''!r!ntiation b!t,!!n th! s!-!s.
4
0oth th!s! typ!s o'
#i''!r!ntiation contain #yna(ic !!(!nts, s+ch that ,h!n c!rtain
r!straining 'actors ar! r!(o"!# th! #i''!r!ntiation or spit b!t,!!n
th! gro+ps incr!as!s progr!ssi"!y to,ar# !ith!r br!a*#o,n or a
n!, !.+iibri+(.
2163 Symmetrical differentiation :o this cat!gory (ay b! r!'!rr!#
a thos! cas!s in ,hich th! in#i"i#+as in t,o gro+ps A an# 0 ha"!
th! sa(! aspirations an# th! sa(! b!ha"ior patt!rns, b+t ar!
#i''!r!ntiat!# in th! ori!ntation o' th!s! patt!rns. :h+s (!(b!rs o'
gro+p A !-hibit b!ha"ior patt!rns A,0,C in th!ir #!aings ,ith !ach
oth!r, b+t a#opt th! patt!rns U,F,M in th!ir #!aings ,ith (!(b!rs o'
gro+p 0. &i(iary, gro+p 0 a#opt th! patt!rns A,0,C a(ong th!(C
4
C'. Aargar!t A!a#, Se. and !emperament, 1935. 5' th! co((+niti!s
#!scrib!# in this boo*, th! Arap!sh an# th! A+n#+g+(or ha"! a pr!pon#!ranty
sy((!trica r!ationship b!t,!!n th! s!-!s, ,hi! th! Cha(b+i ha"! a
co(p!(!ntary r!ationship. A(ong th! Iat(+, a trib! in th! sa(! ar!a, ,hich I
ha"! st+#i!#, th! r!ationship b!t,!!n th! s!-!s is co(p!(!ntary, b+t on rath!r
#i''!r!nt in!s 'ro( that o' th! Cha(b+i. I hop! shorty to p+bish a boo* on th!
Iat(+ ,ith s*!tch!s o' th!ir c+t+r! 'ro( th! points o' "i!, a, -, an# e out%in!# in
paragraph 10. 2&!! 0ibiography, it!(s 1936 an# 1958 0.3
77
s!"!s, b+t !-hibit U,F,M in #!aing ,ith gro+p A. :h+s a position is
s!t +p in ,hich th! b!ha"ior U,F,M is th! stan#ar# r!py to U,F,M.
:his position contains !!(!nts ,hich (ay !a# to progr!ssi"!
#i''!r!ntiation or sc*ismogenesis aong th! sa(! in!s. I', 'or
!-a(p!, th! patt!rns U,F,M inc+#! boasting, ,! sha s!! that th!r!
is a Ii*!ihoo#, i' boasting is th! r!py to boasting, that !ach gro+p
,i #ri"! th! oth!r into !-c!ssi"! !(phasis o' th! patt!rn, a proc!ss
,hich i' not r!Cstrain!# can ony !a# to (or! an# (or! !-tr!(!
ri"ary an# +ti(at!y to hostiity an# th! br!a*#o,n o' th! ,ho!
syst!(.
2173 "omplementary differentiation :o this cat!gory ,! (ay
r!'!r a thos! cas!s in ,hich th! b!ha"ior an# aspirations o' th!
(!(b!rs o' th! t,o gro+ps ar! '+n#a(!ntay #i''!r!nt. :h+s
(!(b!rs o' gro+p A tr!at !ach oth!r ,ith patt!rns @,A,), an#
!-hibit th! patt!rns 5,$,V in #!aings ,ith gro+p 0. In r!py to
5,$,V, th! (!(b!rs o' gro+p 0 !-hibit th! patt!rns %,G,8, b+t
a(ong th!(s!"!s th!y a#opt patt!rns 4,&,:. :h+s it co(!s abo+t
that 5,$,V is th! r!py to %,G,8, an# "ic! "!rsa. :his #i''!r!ntiation
(ay b!Cco(! progr!ssi"!. I', 'or !-a(p!, th! s!ri!s, 5,$,V inc+#!s
patt!rns c+t+ray r!gar#!# as ass!rti"!, ,hi! %,G,8 inc+#!s
c+t+ra s+b(issi"!n!ss, it is i*!y that s+b(issi"!n!ss ,i pro(ot!
'+rth!r ass!rti"!n!ss ,hich in t+rn ,i pro(ot! '+rth!r
s+b(issi"!n!ss. :his schis(og!n!sis, +n!ss it is r!Cstrain!#, !a#s
to a progr!ssi"! +niat!ra #istortion o' th! p!rsonaiti!s o' th!
(!(b!rs o' both gro+ps, ,hich r!s+ts in (+t+a hostiity b!t,!!n
th!( an# (+st !n# in th! br!a*C#o,n o' th! syst!(.
2183 $eciprocity :ho+gh r!ationships b!t,!!n gro+ps can
broa#y b! cassi'i!# into t,o cat!gori!s, sy((!trica an#
co(p!(!ntary, this s+b#i"ision is to so(! !-t!nt b+rr!# by
anoth!r typ! o' #i''!r!ntiation ,hich ,! (ay #!scrib! as reciprocal.
In this typ! th! b!ha"ior patt!rns U an# F ar! a#opt!# by (!(b!rs
o' !ach gro+p in th!ir #!aings ,ith th! oth!r gro+p, b+t inst!a# o'
th! sy((!trica syst!( ,h!r!by U is th! r!py to U an# F is th!
r!py to F, ,! 'in# h!r! that U is th! r!py to F. :h+s in !"!ry sing!
inCstanc! th! b!ha"ior is asy((!trica, b+t sy((!try is r!gain!#
o"!r a arg! n+(b!r o' instanc!s sinc! so(!ti(!s gro+p A !-hibit U
to ,hich gro+p 0 r!py ,ith F, an# so(!ti(!s gro+p A !-hibit F
an# gro+p 0 r!py ,ith U. Cas!s in ,hich gro+p A so(!ti(!s s!
78
sago to gro+p 0 an# th! att!r so(!Cti(!s s! th! sa(! co((o#ity
to A, (ay b! r!gar#!# as r!ciprocaL b+t i' gro+p A habit+ay s!
sago to 0 ,hi! th! att!r habit+ay s! 'ish to A, ,! (+st, I thin*,
r!gar# th! patt!rn as co(p!(!ntary. :h! r!ciproca patt!rn, it (ay
b! not!#, is co(p!nsat!# an# baanc!# ,ithin its!' an# th!r!'or!
#o!s not t!n# to,ar# schis(og!n!sis.
2193 $oints 'or in"!stigation6
2a3 8! n!!# a prop!r s+r"!y o' th! typ!s o' b!ha"ior ,hich can
!a# to schis(og!n!s!s o' th! sy((!trica typ!. At pr!s!nt it is ony
possib! to point to boasting an# co((!rcia ri"ary, b+t no #o+bt
th!r! ar! (any oth!r patt!rns ,hich ,i b! 'o+n# to b!
acco(pani!# by th! sa(! typ! o' !''!ct.
2b3 8! n!!# a s+r"!y o' th! typ!s o' b!ha"ior ,hich ar! (+t+ay
co(p!(!ntary an# !a# to schis(og!n!s!s o' th! s!con# typ!. E!r!
,! can at pr!s!nt ony cit! ass!rti"!n!ss "!rs+s s+b(issi"!n!ss,
!-hibitionis( "!rs+s a#(iration, 'ost!ring "!rs+s !-pr!ssions o'
'!!b!n!ss an#, in a##ition, th! "ario+s possib! co(binations o'
th!s! pairs.
2c3 8! n!!# "!ri'ication o' th! g!n!ra a, ass+(!# abo"!, that
,h!n t,o gro+ps !-hibit co(p!(!ntary b!ha"ior to !ach oth!r, th!
int!rna b!ha"ior b!t,!!n (!(b!rs o' gro+p A (+st n!c!ssariy
#i''!r 'ro( th! int!rna b!ha"ior b!t,!!n (!(b!rs o' gro+p 0.
2#3 8! n!!# a syst!(atic !-a(ination o' schis(og!n!s!s o' both
typ!s 'ro( th! "ario+s points o' "i!, o+tin!# in paragraph 10. At
pr!s!nt I ha"! ony oo*!# at th! (att!r 'ro( th! !thoogica an#
str+ct+ra points o' "i!, 2paragraph 10, asp!cts a an# b) . In
a##ition to this, th! Aar-ian historians ha"! gi"!n +s a pict+r! o' th!
!cono(ic asp!ct o' co(p!(!ntary schis(og!n!sis in 8!st!rn
=+rop!. It is i*!y, ho,!"!r, that th!y th!(s!"!s ha"! b!!n
in'+!nc!# +n#+y by th! schis(og!n!sis ,hich th!y st+#i!# an#
ha"! b!!n th!r!by pro(pt!# into !-agg!ration.
2!3 8! n!!# to *no, so(!thing abo+t th! occ+rr!nc! o'
r!ciproca b!ha"ior in r!ationships ,hich ar! pr!pon#!ranty !ith!r
sy((!trica or co(p!(!ntary.
2203 $estraining factors 0+t, (or! i(portant than any o' th!
prob!(s in th! pr!"io+s paragraph, ,! n!!# a st+#y o' th! 'actors
,hich r!strain both typ!s o' schis(og!n!sis. At th! pr!s!nt (o(!nt,
th! nations o' =+rop! ar! 'ar a#"anc!# in sy((!trica schis(oC
79
g!n!sis an# ar! r!a#y to 'y at !ach oth!rIs throatsL ,hi! ,ithin !ach
nation ar! to b! obs!r"!# gro,ing hostiiti!s b!t,!!n th! "ario+s
socia strata, sy(pto(s o' co(p!(!ntary schis(og!n!sis. =.+ay,
in th! co+ntri!s r+!# by n!, #ictatorships ,! (ay obs!r"! !ary
stag!s o' co(p!(!ntary schis(og!n!sis, th! b!ha"ior o' his
associat!s p+shing th! #ictator into !"!r gr!at!r pri#! an#
ass!rti"!n!ss.
:h! p+rpos! o' th! pr!s!nt artic! is to s+gg!st prob!(s an#
in!s o' in"!stigation rath!r than to stat! th! ans,!rs, b+t,
t!ntati"!y, s+gg!stions (ay b! o''!r!# as to th! 'actors controing
schis(og!n!sis6
2a3 It is possib! that, act+ay, no h!athy !.+iibrat!#
r!ationship b!t,!!n gro+ps is !ith!r p+r!y sy((!trica or p+r!y
co(p!(!ntary, b+t that !"!ry s+ch r!ationship contains !!(!nts
o' th! oth!r typ!. It is tr+! that it is !asy to cassi'y r!ationships into
on! or th! oth!r cat!gory accor#ing to th!ir pr!#o(inant !(phas!s,
b+t it is possib! that a "!ry s(a a#(i-t+r! o' co(p!(!ntary
b!ha"ior in a sy((!trica r!ationship, or a "!ry s(a a#(i-t+r! o'
sy((!trica b!ha"ior in a co(p!(!ntary r!ationship, (ay go a
ong ,ay to,ar# stabii/ing th! position. =-a(p!s o' this typ! o'
stabii/ation ar! p!rhaps co((on. :h! s.+ir! is in a pr!#o(inanty
co(p!(!ntary an# not a,ays co('ortab! r!ationship ,ith his
"iag!rs, b+t i' h! participat! in "iag! cric*!t 2a sy((!trica
ri"ary3 b+t onc! a y!ar, this (ay ha"! a c+rio+sy #isproportionat!
!''!ct +pon his r!ationship ,ith th!(.
2b3 It is c!rtain that, as. in th! cas! .+ot!# abo"! in ,hich gro+p
A s! sago to 0 ,hi! th! att!r s! 'ish to A, co(p!(!ntary
patt!rns (ay so(!ti(!s ha"! a r!a stabii/ing !''!ct by pro(oting a
(+t+a #!p!n#!nc! b!t,!!n th! gro+ps.
2c3 It is possib! that th! pr!s!nc! o' a n+(b!r o' tr+y r!ciproca
!!(!nts in a r!ationship (ay t!n# to stabii/! it, pr!"!nting th!
schis(og!n!sis ,hich oth!r,is! (ight r!s+t !ith!r 'ro(
sy((!trica or co(p!(!ntary !!(!nts. 0+t this ,o+# s!!( to b!
at b!st a "!ry ,!a* #!'!ns!6 on th! on! han#, i' ,! consi#!r th!
!''!cts o' sy((!trica schis(og!n!sis +pon th! r!ciproca b!ha"ior
patt!rns, ,! s!! that th! att!r t!n# to b! !ss an# !ss !-hibit!#.
:h+s, as th! in#i"i#+as co(posing th! nations o' =+rop! b!co(!
(or! an# (or! in"o"!# in th!ir sy((!trica int!rnationa ri"ari!s,
80
th!y gra#+ay !a"! o'' b!ha"ing in a r!ciproca (ann!r, #!C
ib!rat!y r!#+cing to a (ini(+( th!ir 'or(!r r!ciproca co(C
(!rcia b!ha"ior.
5
5n th! oth!r han#, i' ,! consi#!r th! !''!cts o'
co(p!(!ntary schis(og!n!sis +pon th! r!ciproca b!ha"ior
patt!rns, ,! s!! that on!Cha' o' th! r!ciproca patCt!rn is iab! to
aps!. 8h!r! 'or(!ry both gro+ps !-hibit!# both U an# F, a syst!(
gra#+ay !"o"!s in ,hich on! o' th! gro+ps !-hibits ony U, ,hi!
th! oth!r !-hibits ony F. In 'act, b!ha"ior ,hich ,as 'or(!ry
r!ciproca is r!#+c!# to a typica co(p!(!ntary patt!rn an# is
i*!y a't!r that to contrib+t! to th! co(p!(!ntary schis(og!n!sis.
2#3 It is c!rtain that !ith!r typ! o' schis(og!n!sis b!t,!!n t,o
gro+ps can b! ch!c*!# by 'actors ,hich +nit! th! t,o gro+ps !ith!r
in oyaty or opposition to so(! o+tsi#! !!(!nt. &+ch an o+tsi#!
!!(!nt (ay b! !ith!r a sy(boic in#i"i#+a, an !n!(y p!op! or
so(! .+it! i(p!rsona circ+(stanc!;th! ion ,i i! #o,n ,ith
th! a(b i' ony it rain har# !no+gh. 0+t it (+st b! not!# that ,h!r!
th! o+tsi#! !!(!nt is a p!rson or gro+p o' p!rsons, th! r!ationship
o' th! co(bin!# gro+ps A an# 0 to th! o+tsi#! gro+p ,i a,ays b!
its!' a pot!ntiay schis(og!nic r!ationship o' on! or th! oth!r
typ!. =-a(ination o' (+tip! syst!(s o' this *in# is ba#y n!!#!#
an# !sp!ciay ,! n!!# to *no, (or! abo+t th! syst!(s 2!.g.,
(iitary hi!rarchi!s3 in ,hich th! #istortion o' p!rsonaity is
(o#i'i!# in th! (i##! gro+ps o' th! hi!rarchy by p!r(itting th!
in#i"i#+as to !-hibit r!sp!ct an# s+b(ission in #!aings ,ith
high!r gro+ps ,hi! th!y !-hibit ass!rti"!n!ss an# pri#! in #!aing
,ith th! o,!r.
2!3 In th! cas! o' th! =+rop!an sit+ation, th!r! is on! oth!r
possibiity;a sp!cia cas! o' contro by #i"!rsion o' att!ntion to
o+tsi#! circ+(stanc!s. It is possib! that thos! r!sponsib! 'or th!
poicy o' cass!s an# nations (ight b!co(! conscio+s o' th!
proc!ss!s ,ith ,hich th!y ar! paying an# coop!rat! in an att!(pt
to so"! th! #i''ic+ti!s. :his, ho,C!"!r, is not "!ry i*!y to occ+r
5
In this, as in th! oth!r !-a(p!s gi"!n, no att!(pt is (a#! to consi#!r th!
schis(og!n!sis 'ro( a th! points o' "i!, o+tin!# in paragraph 10. :h+s, inas(+ch
as th! !cono(ic asp!ct o' th! (att!r is not h!r! b!ing consi#!r!#, th! !''!cts o' th!
s+(p +pon th! schis(og!n!sis ar! ignor!#. A co(p!t! st+#y ,o+# b! s+bC
#i"i#!# into s!parat! s!ctions, !ach tr!ating on! o' th! asp!cts o' th! ph!no(!na.
81
sinc! anthropoogy an# socia psychoogy ac* th! pr!stig!
n!c!ssary to a#"is!L an#, ,ithCo+t s+ch a#"ic!, go"!rn(!nts ,i
contin+! to r!act to !ach oth!rIs r!actions rath!r than pay att!ntion to
circ+(stanc!s.
2213 In conc+sion, ,! (ay t+rn to th! prob!(s o' th!
a#(inistrator 'ac!# ,ith a bac*C,hit! c+t+r! contact. Eis 'irst tas*
is to #!ci#! ,hich o' th! !n# r!s+ts o+tin!# in paragraph 8 is
#!sirab! an# possib! o' attain(!nt. :his #!cision h! (+st (a*!
,itho+t hypocrisy. I' h! choos!s '+sion, th!n h! (+st !n#!a"or to
contri"! !"!ry st!p so as to pro(ot! th! con#itions o' consist!ncy
,hich ar! o+tin!# 2as prob!(s 'or in"!stigation3 in paragraph 10.
I' h! choos!s that both gro+ps sha p!rsist in so(! 'or( o' #yna(ic
!.+iibri+(, th!n h! (+st contri"! to !stabish a syst!( in ,hich th!
possibiiti!s o' schis(og!n!sis ar! prop!ry co(p!nsat!# or
baanc!# against !ach oth!r. 0+t at !"!ry st!p in th! sch!(! ,hich I
ha"! o+tin!# th!r! ar! prob!(s ,hich (+st b! st+#i!# by train!#
st+#!nts an# ,hich ,h!n so"!# ,i contrib+t!, not ony to appi!#
socioogy, b+t to th! "!ry basis o' o+r +n#!rstan#ing o' h+(an
b!ings in soci!ty.
82
E12e&i(ent! in Thin3in A)out
O)!e&0e#
Ethnoloi'al Mate&ial
%
As I +n#!rstan# it, yo+ ha"! as*!# (! 'or an hon!st, introC
sp!cti"!;p!rsona;acco+nt o' ho, I thin* abo+t anthropoogica
(at!ria, an# i' I a( to b! hon!st an# p!rsona abo+t (y thin*ing,
th!n I (+st b! i(p!rsona abo+t th! r!s+ts o' that thin*ing. ="!n i'
I can banish both pri#! an# sha(! 'or ha' an ho+r, hon!sty ,i sti
b! #i''ic+t.
@!t (! try to b+i# +p. a pict+r! o' ho, I thin* by gi"ing yo+ an
a+tobiographica acco+nt o' ho, I ha"! ac.+ir!# (y *it o'
conc!pt+a toos an# int!!ct+a habits. I #o not (!an an aca#!(ic
biography or a ist o' ,hat s+bJ!cts I ha"! st+#i!#, b+t so(!thing
(or! signi'icant than that;a ist rath!r o' th! (oti's o' tho+ght in
"ario+s sci!nti'ic s+bJ!cts ,hich !'t so #!!p an i(pr!ssion on (y
(in# that ,h!n I ca(! to ,or* on anthropoogica (at!ria, I
nat+ray +s!# thos! borro,!# (oti's to g+i#! (y approach to this
n!, (at!ria.
I o,! th! gr!at!st part o' this *it o' toos to (y 'ath!r, 8iia(
0at!son, ,ho ,as a g!n!ticist. In schoos an# +ni"!rsiti!s th!y #o
"!ry itt! to gi"! on! an i#!a o' th! basic princip!s o' sci!nti'ic
thin*ing, an# ,hat I !arn!# o' this ca(! in "!ry arg! (!as+r! 'ro(
(y 'ath!rIs con"!rsation an# p!rhaps !sp!ciay 'ro( th! o"!rton!s
o' his ta*. E! hi(s!' ,as inartic+at! abo+t phiosophy an#
(ath!(atics an# ogic, an# h! ,as artic+at!y #istr+st'+ o' s+ch
s+bJ!cts, b+t sti, in spit! o' hi(s!', I thin*, h! pass!# on to (!
so(!thing o' th!s! (att!rs.
:h! attit+#!s ,hich I got 'ro( hi( ,!r! !sp!ciay thos! ,hich
h! ha# #!ni!# in hi(s!'. In his !ary;an# as I thin* h! *n!,;his
b!st ,or* h! pos!# th! prob!(s o' ani(a sy((!try, s!g(!ntation,
H
:his pap!r ,as gi"!n at th! &!"!nth Con'!r!nc! on A!tho#s in $hiosophy
an# th! &ci!nc!s, h!# at th! )!, &choo 'or &ocia 4!s!arch, Apri 28, 1940. It is
h!r! Cr!print!# 'ro( $hiosophy o' &ci!nc!, Go. 8, )o. 1, copyright 1941, :h!
8iia(s X 8i*ins Co. 4!pro#+c!# by p!r(ission.
83
s!ria r!p!tition o' parts, patt!rns, !tc. @at!r h! t+rn!# a,ay 'ro(
this 'i!# into A!n#!is(, to ,hich h! #!"ot!# th! r!(ain#!r o' his
i'!. 0+t h! ha# a,ays a han*!ring a't!r th! prob!(s o' patt!rn an#
sy((!try, an# it ,as this han*!ring an# th! (ysticis( that inCspir!#
it that I pic*!# +p an# ,hich, 'or b!tt!r or ,ors!, I ca!# 9sci!nc!.9
I pic*!# +p a "ag+! (ystica '!!ing that ,! (+st oo* 'or th!
sa(! sort o' proc!ss!s in a 'i!#s o' nat+ra ph!no(!na;that ,!
(ight !-p!ct to 'in# th! sa(! sort o' a,s at ,or* in th! str+ct+r! o'
a crysta as in th! str+ct+r! o' soci!ty, or that th! s!g(!ntation o' an
!arth,or( (ight r!ay b! co(parab! to th! proc!ss by ,hich
basat piars ar! 'or(!#.
I sho+# not pr!ach this (ystica 'aith in .+it! thos! t!r(s to#ay
b+t ,o+# say rath!r that I b!i!"! that th! typ!s o' (!nta op!ration
,hich ar! +s!'+ in anay/ing on! 'i!# (ay b! !.+ay +s!'+ in
anoth!r;that th! 'ra(!,or* 2th! eidos4 o' sci!nc!, rath!r than th!
'ra(!,or* o' )at+r!, is th! sa(! in a 'i!#s. 0+t th! (or! (ystica
phrasing o' th! (att!r ,as ,hat I "ag+!y !arnt, an# it ,as o' paraC
(o+nt i(portanc!. It !nt a c!rtain #ignity to any sci!nti'ic
in"!stigation, i(pying that ,h!n I ,as anay/ing th! patCt!rns o'
partri#g!sI '!ath!rs, I (ight r!ay g!t an ans,!r or a bit o' an
ans,!r to th! ,ho! p+//ing b+sin!ss o' patt!rn an# r!g+arity in
nat+r!. An# '+rth!r, this bit o' (ysticis( ,as i(portant b!ca+s! it
ga"! (! 'r!!#o( to +s! (y sci!nti'ic bac*gro+n#, th! ,ays o'
tho+ght that I ha# pic*!# +p in bioogy an# !!(!ntary physics an#
ch!(istryL it !nco+rag!# (! to !-p!ct th!s! ,ays o' tho+ght to 'it in
,ith "!ry #i''!r!nt 'i!#s o' obs!r"ation. It !nab!# (! to r!gar# a
(y training as pot!ntiay +s!'+ rath!r than +tt!ry irr!!"ant to
anthropoogy.
8h!n I ca(! into anthropoogy th!r! ,as a consi#!rab! r!action
ta*ing pac! against th! +s! o' oos! anaogi!s, !sp!ciay against th!
&p!nc!rian anaogy b!t,!!n th! 5rganis( an# &oci!ty. :han*s to
this (ystica b!i!' in th! p!r"a#ing +nity o' th! ph!no(!na o' th!
,or#, I a"oi#!# a gr!at #!a o' int!!ct+a ,ast!. I n!"!r ha# any
#o+bt that this anaogy ,as '+n#a(!ntay so+n#L sinc! to #o+bt
,o+# ha"! b!!n !(otionay !-p!nsi"!. )o,a#ays, o' co+rs!, th!
!(phasis has shi't!#. 7!, ,o+# s!rio+sy #o+bt that th! ,ays o'
anaysis ,hich ha"! b!!n 'o+n# +s!'+ in anay/ing on! co(p!-
'+nctioning syst!( ar! i*!y to b! o' +s! in anay/ing any oth!r
84
si(iar syst!(. 0+t th! (ystica prop ,as +s!'+ th!n, tho+gh its
phrasing ,as ba#.
:h!r! is anoth!r ,ay, too, in ,hich that (ysticis( has h!p!#;a
,ay ,hich is !sp!ciay r!!"ant to (y th!sis. I ,ant to !(phasi/!
that ,h!n!"!r ,! pri#! o+rs!"!s +pon 'in#ing a n!,!r, strict!r ,ay
o' tho+ght or !-positionL ,h!nC!"!r ,! start insisting too har# +pon
9op!rationais(9 or sy(boic ogic or any oth!r o' th!s! "!ry
!ss!ntia syst!(s o' tra(in!s, ,! os! so(!thing o' th! abiity to
thin* n!, tho+ghts. An# !.+ay, o' co+rs!, ,h!n!"!r ,! r!b!
against th! st!ri! rigi#ity o' 'or(a tho+ght an# !-position an# !t
o+r i#!as r+n ,i#, ,! i*!,is! os!. As I s!! it, th! a#"anc!s in
sci!nti'ic tho+ght co(! 'ro( a com-ination of loose and strict
t*in3ing, an# this co(bination is th! (ost pr!cio+s too o' sci!nc!.
Ay (ystica "i!, o' ph!no(!na contrib+t!# sp!ci'icay to b+i#
+p this #o+b! habit o' (in#;it !# (! into ,i# 9h+nch!s9 an#, at
th! sa(! ti(!, co(p!!# (or! 'or(a thin*ing abo+t thos!
h+nch!s. It !nco+rag!# oos!n!ss o' tho+ght an# th!n i((!#iat!y
insist!# that that oos!n!ss b! (!as+r!# +p against a rigi#
concr!t!n!ss. :h! point is that th! 'irst h+nch 'ro( anaogy is ,i#,
an# th!n, th! (o(!nt I b!gin to ,or* o+t th! anaogy, I a( bro+ght
+p against th! rigi# 'or(+ations ,hich ha"! b!!n #!"is!# in th!
'i!# 'ro( ,hich I borro, th! anaogy.
$!rhaps it is ,orth gi"ing an !-a(p! o' thisL it ,as a (att!r o'
'or(+ating th! socia organi/ation o' a )!, 1+in!a trib!,;th!
Iat(+. :h! Iat(+ socia syst!( #i''!rs 'ro( o+rs in on! "!ry
!ss!ntia point. :h!ir soci!ty co(p!t!y ac*s any sort o'
chi!'tainship, an# I phras!# this (att!r oos!y by saying that th!
contro o' th! in#i"i#+a ,as achi!"!# by ,hat I ca!# 9at!ra9
sanctions rath!r than by 9sanctions 'ro( abo"!.9 1oing o"!r (y
(at!ria, I 'o+n# '+rth!r that in g!n!ra th! s+b#i"isions o' th!
soci!ty;th! cans, (oi!ti!s, !tc.;ha# "irt+ay no (!ans o'
p+nishing th!ir o,n (!(b!rs. I ha# a cas! in ,hich a c!r!(onia
ho+s! o,n!# by a partic+ar J+nior ag! gra#! ha# b!!n #!'i!#, an#
tho+gh th! oth!r (!(b!rs o' th! gra#! ,!r! "!ry angry ,ith th!
#!'i!r, th!y co+# #o nothing abo+t it. I as*!# ,h!th!r th!y ,o+#
*i on! o' his pigs or ta*! any o' his prop!rty, an# th!y r!pi!# 9)o,
o' co+rs! not. E! is a (!(b!r o' th!ir o,n initiatory gra#!.9 I' th!
sa(! thing ha# happ!n!# in th! big s!nior c!r!(onia ho+s! ,hich
85
b!ongs to s!"!ra gra#!s, th!n th! #!'i!r ,o+# b! p+nish!#. Eis
o,n gra#! ,o+# #!'!n# hi( b+t th! oth!rs ,o+# start a bra,.
6
I th!n b!gan oo*ing 'or (or! concr!t! cas!s ,hich co+# b!
co(par!# ,ith th! contrast b!t,!!n this syst!( an# o+r o,n. I sai#,
9ItIs i*! th! #i''!r!nc! b!t,!!n th! ra#iay sy((!trica ani(as
2J!y'ish, s!a an!(on!s, !tc.3 an# th! ani(as ,hich ha"! trans"!rs!
s!g(!ntation 2!arth,or(s, obst!rs, (an, !tc.3.9
)o, in th! 'i!# o' ani(a s!g(!ntation ,! *no, "!ry itt!
abo+t th! (!chanis(s conc!rn!#, b+t at !ast th! prob!(s ar! (or!
concr!t! than in th! socia 'i!#. 8h!n ,! co(par! a socia prob!(
,ith a prob!( o' ani(a #i''!r!ntiation, ,! ar! at onc! pro"i#!#
,ith a "is+a #iagra(, in t!r(s o' ,hich ,! (ay b! ab! to ta* a
itt! (or! pr!cis!y. An# 'or th! trans"!rs!y s!g(!nt!# ani(as, at
!ast, ,! ha"! so(!thing (or! than a (!r!y anato(ica #iagra(.
:han*s to th! ,or* that has b!!n #on! on !-p!ri(!nta !(bryoogy
an# a-ia gra#i!nts, ,! ha"! so(! i#!a o' th! #yna(ics o' th!
syst!(. 8! *no, that so(! sort o' asy((!trica r!ation obtains
b!t,!!n th! s+cc!ssi"! s!g(!nts, that !ach s!g(!nt ,o+#, i' it
co+# 2I sp!a* oos!y3 'or( a h!a#, b+t that th! n!-t ant!rior
s!g(!nt pr!"!nts this. 7+rth!r, this #yna(ic asy((!try in th!
r!ations b!t,!!n s+cc!ssi"! s!g(!nts is r!'!ct!# (orphoogicayL
,! 'in# in (ost s+ch ani(as a s!ria #i''!r!nc!;,hat is ca!#
(!ta(!ric #i''!r!ntiation;b!t,!!n th!. s+cc!ssi"! s!g(!nts.
:h!ir app!n#ag!s, tho+gh th!y can b! sho,n to con'or( to a
sing! basic str+ct+r!, #i''!r on! 'ro( anoth!r as ,! go #o,n th!
s!ri!s. 2:h! !gs o' th! obst!r pro"i#! a 'a(iiar !-a(p! o' th!
sort o' thing I (!an.3
In contrast ,ith this, in th! ra#iay sy((!trica ani(as, th!
s!g(!nts, arrang!# aro+n# th! c!nt!r i*! s!ctors o' a circ!, ar!
+s+ay a ai*!.
As I say, ,! #o not *no, (+ch abo+t th! s!g(!ntation o'
ani(as, b+t at !ast h!r! ,as !no+gh 'or (! to ta*! bac* to th!
prob!( o' Iat(+ socia organi/ation. Ay 9h+nch9 ha# pro"i#!#
(! ,ith a s!t o' strict!r ,or#s an# #iagra(s, in t!r(s o' ,hich I
co+# try to b! (or! pr!cis! in (y thin*ing abo+t th! Iat(+
6
7or #!tais o' this an# oth!r si(iar inci#!nts c'. )a"!n, pp. 98C107,
Ca(bri#g!, Ca(bri#g! %ni"!rsity $r!ss, 1936.
86
prob!(. I co+# no, oo* again at th! Iat(+ (at!ria to
#!t!r(in! ,h!th!r th! r!ationship b!t,!!n th! cans ,as r!ay in
so(! s!ns! symmetrical an# to #!t!r(in! ,h!th!r th!r! ,as
anything that co+# b! co(par!# ,ith th! ac* o' (!ta(!ric
#i''!r!ntiation. I 'o+n# that th! 9h+nch9 ,or*!#. I 'o+n# that so 'ar
as opposition, contro, !tc. b!t,!!n th! cans ,as conc!rn!#, th!
r!ations b!t,!!n th!( ,!r! r!asonaby sy((!trica, an# '+rth!r,
as to th! .+!stion o' #i''!r!ntiation b!t,!!n th!(, it co+# b!
sho,n that, tho+gh th!r! ,!r! consi#!rab! #i''!r!nc!s, th!s!
'oo,!# no s!ria patt!rn. A##itionay, I 'o+n# that th!r! ,as a
strong t!n#!ncy 'or cans to i(itat! !ach oth!r, to st!a bits o' !ach
oth!rIs (ythoogica history an# to incorporat! th!s! into th!ir o,n
past;a sort o' 'ra+#+!nt h!ra#ry, !ach can copying th! oth!rs so
that th! ,ho! syst!( t!n#!# to #i(inish th! #i''!r!ntiation
b!t,!!n th!(. 2:h! syst!( p!rhaps aso contain!# t!n#!nci!s in
an opposit! #ir!ction, b+t this .+!stion I n!!# not #isc+ss no,.3
I 'oo,!# +p th! anaogy in anoth!r #ir!ction. I(pr!ss!# by th!
ph!no(!na o' (!ta(!ric #i''!r!ntiation, I (a#! th! point that in o+r
soci!ty ,ith its hi!rarchica syst!(s 2co(parab! to th! !arth,or(
or th! obst!r3, ,h!n a gro+p s!c!#!s 'ro( th! par!nt soci!ty, it is
+s+a to 'in# that th! in! o' 'ission, th! #i"ision b!t,!!n th! n!,
gro+p an# th! o#, (ar*s a #i''!r!ntiation o' (or!s. :h! $igri(
7ath!rs ,an#!r o'' in or#!r to b! different. 0+t a(ong th! Iat(+,
,h!n t,o gro+ps in a "iag! .+arr!, an# on! ha' go!s o'' an#
'o+n#s a n!, co((+nity, th! (or!s o' th! t,o gro+ps r!(ain
i#!ntica. In o+r soci!ty, 'ission t!n#s to b! h!r!tica 2a 'oo,ing
a't!r oth!r #octrin!s or (or!s3, b+t in Iat(+, 'ission is rath!r
schis(atic 2a 'oo,ing a't!r oth!r !a#!rs ,itho+t chang! o'
#og(a3.
Fo+ ,i not! that . h!r! I o"!rro#! (y anaogy at on! point an#
that this (att!r is sti not p!r'!cty c!ar. 8h!n a trans"!rs! 'ission
or a at!ra b+##ing occ+rs in a trans"!rs!y s!g(!nt!# ani(a, th!
pro#+cts o' that b+# or 'ission ar! identical, th! post!rior ha' ,hich
,as h!# in ch!c* by th! ant!rior is r!i!"!# o' this contro an#
#!"!ops into a nor(a, co(p!t! ani(a. I a( th!r!'or! not in st!p
,ith (y anaogy ,h!n I r!gar# th! #i''!r!ntiation ,hich acco(C
pani!s 'ission in a hi!rarchica soci!ty as co(parab! ,ith that
,hich !-ists b!'or! 'ission in a trans"!rs!y s!g(!nt!# ani(a. :his
87
#i"!rg!nc! 'ro( th! anaogy ,i s+r!y b! ,orth in"!stigationL it
,i ta*! +s into a (or! pr!cis! st+#y o' th! asy((!trica r!ations
,hich obtain b!t,!!n th! +nits in th! t,o cas!s an# rais! .+!stions
abo+t th! r!actions o' th! s+bor#inat! (!(b!r to its position in th!
asy((!try. :his asp!ct o' th! (att!r I ha"! not y!t !-a(in!#.
Ea"ing got so(! sort o' conc!pt+a 'ra(! ,ithin ,hich to
#!scrib! th! int!rr!ations b!t,!!n cans, I ,!nt on 'ro( this to
consi#!r th! int!rr!ations b!t,!!n th! "ario+s ag! gra#!s in t!r(s
o' this sa(! 'ra(!. E!r!, i' any,h!r!, ,h!r! ag! (ight b! !-p!ct!#
to pro"i#! a basis 'or s!ria #i''!r!ntiation, ,! o+ght to !-p!ct to
'in# so(! anaog+! o' th! trans"!rs! s!g(!ntation ,ith
asy((!trica r!ations b!t,!!n th! s+cc!ssi"! gra#!s;an# to a
c!rtain !-t!nt th! ag!Cgra#! syst!( 'itt!# this pict+r!. =ach gra#!
has its c!r!(oni!s an# its s!cr!ts o' initiation into that gra#!L an# in
th!s! c!r!(oni!s an# s!cr!ts it ,as p!r'!cty !asy to trac! a (!tC
a(!ric #i''!r!ntiation. C!r!(oni!s ,hich ar! '+y #!"!op!# at th!
top o' th! syst!( ar! sti r!cogni/ab! in th!ir basic 'or( in th!
o,!r !"!s;b+t (or! r+#i(!ntary at !ach !"! as ,! go #o,n th!
s!ri!s.
0+t th! initiatory syst!( contains on! "!ry int!r!sting !!(!nt
,hich ,as bro+ght into sharp r!i!' ,h!n (y point o' "i!, ,as
#!'in!# in t!r(s o' ani(a s!g(!ntation. :h! gra#!s alternate, so
that th! ,ho! syst!( consists o' t,o oppos!# gro+ps, on! gro+p
(a#! +p o' gra#!s 3, 5, 7, !tc. 2th! o## n+(b!rs3, an# th! oth!r
(a#! +p o' 2, 4, 6, !tc.L an# th!s! t,o gro+ps (aintain th! typ! o'
r!ationship '*ic* I ha# ar!a#y #!scrib!# as 9sy((!trica9;!ach
pro"i#ing sanctions by .+arr!ing ,ith th! oth!r ,h!n th!ir rights
ar! in'ring!#.
:h+s !"!n ,h!r! ,! (ight !-p!ct th! (ost #!'init! hi!rarchy,
th! Iat(+ ha"! s+bstit+t!# 'or it a h!a#!ss syst!( in ,hich on!
si#! is sy((!tricay oppos!# to th! oth!r.
7ro( this conc+sion (y !n.+iry, in'+!nc!# by (any oth!r
typ!s o' (at!ria, ,i go on to oo* at th! (att!r 'ro( oth!r points
o' "i!,;!sp!ciay th! psychoogica prob!(s o' ,h!th!r a
pr!'!r!nc! 'or sy((!trica rath!r than asy((!trica r!ationships
can b! i(pant!# in th! in#i"i#+a, an# ,hat th! (!chanis(s o'
s+ch charact!r 'or(ation (ay b!. 0+t ,! n!!# not go into that no,.
88
=no+gh has b!!n sai# to bring o+t th! (!tho#oogica th!(!;
that a "ag+! 9h+nch9 #!ri"!# 'ro( so(! oth!r sci!nc! !a#s into th!
pr!cis! 'or(+ations o' that oth!r sci!nc! in t!r(s o' ,hich it is
possib! to thin* (or! 'r+itC'+y abo+t o+r o,n (at!ria.
Fo+ ,i ha"! notic!# that th! 'or( in ,hich I +s!# th!
bioogica 'in#ings ,as r!ay rath!r #i''!r!nt 'ro( that in ,hich a
/ooogist ,o+# ta* abo+t his (at!ria. 8h!r! th! /ooogist (ight
ta* o' a-ia gra#i!nts, I ta*!# abo+t 9asy((!trica r!ationships
b!t,!!n s+cc!ssi"! s!g(!nts,9 an# in (y phrasing I ,as pr!par!# to
attach to th! ,or#
9
s+cc!ssi"!
9
t,o si(+tan!o+s (!anings;in
r!'!rring to th! ani(a (at!ria it (!ant a (orphoogica s!ri!s in a
thr!!C#i(!nsiona concr!t! organis(, ,hi! in r!'!rring to th!
anthropoogica (at!ria th! ,or# 9s+cc!ssi"!9 (!ant so(!
abstract!# prop!rty o' a hi!rarchy.
I thin* it ,o+# b! 'air to say that I +s! th! anaogi!s in so(!
c+rio+sy abstract 'or(;that, as 'or 9a-ia gra#i!nts9 I s+bstit+t!
9asy((!trica r!ationships,9 so aso I !n#o, th! ,or# 9s+cc!ssi"!9
,ith so(! abstract (!aning ,hich (a*!s it appicab! to both sorts
o' cas!s.
:his brings +s to anoth!r "!ry i(portant (oti' in (y thin*ing;a
habit o' constr+cting abstractions ,hich r!'!r to t!r(s o'
co(parison b!t,!!n !ntiti!sL an# to i+strat! this I can c!ary
r!(!(b!r th! 'irst occasion on ,hich I ,as g+ity o' s+ch an
abstraction. It ,as in (y Mooogica :ripos !-a(ination at
Ca(bri#g!, an# th! !-a(in!r ha# tri!# to co(p! (! to ans,!r at
!ast on! .+!stion on !ach branch o' th! s+bJ!ct. Co(parati"!
anato(y I ha# a,ays r!gar#!# as a ,ast! o' ti(!, b+t I 'o+n#
(ys!' 'ac! to 'ac! ,ith it in th! !-a(nation an# ha# not th!
n!c!ssary #!tai!# *no,!#g!. I ,as as*!# to co(par! th!
+rinog!nita syst!( o' th! a(phibia ,ith that o' th! (a((aia, an#
I #i# not *no, (+ch abo+t it.
)!c!ssity ,as th! (oth!r o' in"!ntion. I #!ci#!# that I o+ght to
b! ab! to #!'!n# th! position that co(parati"! anato(y ,as a
(+##!# ,ast! o' ti(!, an# so I s!t to ,or* to attac* th! ,ho!
!(phasis on ho(oogy in /ooogica th!ory. As yo+ probaby ,i
*no,, /ooogists con"!ntionay #!a in t,o sorts o' co(parabiity
b!t,!!n organs7*omology an# analogy. 5rgans ar! sai# to b!
9ho(oogo+s
9
,h!n it can b! sho,n that th!y ha"! si(iar str+ct+r!
89
or b!ar si(iar str+ct+ra r!ations to oth!r organs, !.g., th! tr+n* o'
th! !!phant is ho(oogo+s ,ith th! nos! an# ip o' a (an b!Cca+s!
it has th! sa(! 'or(a r!ation to oth!r parts;!y!s, !tc.L b+t th!
tr+n* o' an !!phant is anaogo+s to th! han# o' a (an b!ca+s! both
ha"! th! sa(! +s!s. 7i't!!n y!ars ago co(parati"! anato(y
r!"o"!# !n#!ssy aro+n# th!s! t,o sorts o' co(parabiity, ,hich
inci#!ntay ar! goo# !-a(p!s o' ,hat I (!an by 9abstractions
,hich #!'in! th! t!r(s o' a co(parison b!t,!!n !ntiti!s.9
Ay attac* on th! syst!( ,as to s+gg!st that th!r! (ight b! oth!r
sorts o' co(parabiity an# that th!s! ,o+# conC'+s! th! iss+! to
s+ch a #!gr!! that (!r! (orphoogica anaysis ,o+# not s+''ic!. I
arg+!# that th! biat!ra 'ins o' a 'ish ,o+# con"!ntionay b!
r!gar#!# as ho(oogo+s ,ith th! biat!ra i(bs o' a (a((a, b+t
that th! tai o' a 'ish, a (!#ian organ, ,o+# con"!ntionay b!
r!gar#!# a 9#i''!r!nt 'ro(9 or at (ost ony 9anaogo+s to9 th! 'ins.
0+t ,hat abo+t th! #o+b!Ctai!# Japan!s! go#'ishD In this ani(a
th! 'actors ca+sing an ano(ay o' th! tai aso ca+s! th! sa(!
ano(ay in th! biat!ra 'insL th!r!'or! th!r! ,as h!r! anoth!r sort o'
co(parabiity, an !.+i"a!nc! in t!r(s o' proc!ss!s an# a,s o'
gro,th. 8!, I #onIt *no, ,hat (ar* I got 'or (y ans,!r. I 'o+n#
o+t (+ch at!r that, as a (att!r o' 'act, th! at!ra 'ins o' th! go#'ish
ar! scarc!y, i' at a, a''!ct!# by th! 'actors ,hich ca+s! th!
ano(ay in th! tai, b+t I #o+bt i' th! !-a(in!r ca+ght (! in (y
b+''L an# I 'o+n# aso that, c+rio+sy, Ea!*! in 1854 ha# act+ay
coin!# th! ,or# 9ho(ono(y9 'or th! "!ry typ! o' !.+i"a!nc! that I
,as in"!nting. :h! ,or# is, so 'ar as I *no,, obso!t!, an# ,as
obso!t! ,h!n I ,rot! (y ans,!r.
&o 'ar as I ,as conc!rn!#, ho,!"!r, th! i#!a ,as n!, an# I ha#
tho+ght o' it (ys!'. I '!t that I ha# #isco"!r!# ho, to thin*. :hat
,as in 1926, an# this sa(! o# c+!;r!cip!, i' yo+ i*!;has
r!(ain!# ,ith (! !"!r sinc!. I #i# not r!ai/! that I ha# a r!cip!L
an# it ,as not +nti t!n y!ars at!r that I '+y grasp!# th!
signi'icanc! o' this anaogyho(oogyCho(ono(y b+sin!ss.
$!rhaps it ,i b! o' int!r!st to r!co+nt in so(! #!tai (y "ario+s
br+sh!s ,ith th!s! conc!pts an# th! r!cip! ,hich th!y contain!#.
&oon a't!r th! !-a(ination to ,hich I ha"! r!'!rr!#, I ,!nt into
anthropoogy an# 'or so(! ti(! stopp!# thin*ing;,on#!ring
rath!r ,hat co+# b! (a#! o' this s+bJ!ct, b+t not g!tting anything
90
c!ar !-c!pt a r!p+#iation o' (ost o' th! con"!ntiona approach!s
,hich, to (!, s!!(!# (!aning!ss. I ,rot! a itt! s*it on th!
conc!pt o' tot!(is( in 1930, 'irst pro"ing that th! tot!(is( o' th!
Iat(+ is true tot!(is( b!ca+s! it contains a 9high p!rc!ntag!9 o'
charact!ristics o' tot!(is( ist!# in 9)ot!s an# V+!ri!s on AnthroC
poogy9 iss+!# (or! or !ss !- cath!#ra by th! 4oya
Anthropoogica Instit+t!, an# th!n going on to th! .+!stion, ,hat
sort o' !.+i"a!nc! ,! tho+ght ,! ,!r! r!'!rring to ,h!n ,! !.+at!
so(! bits o' Iat(+ c+t+r! ,ith th! tot!(Cis( o' )orth A(!rica,
an# #ragging in ho(oogyCho(ono(y, !tc.
In this #isc+ssion o' 9tr+!9 tot!(is( I sti ha# th! ho(ono(yC
ho(oogy abstractions p!r'!cty c!ar an# ,as +sing th! conc!pts
,ith a c!an 2tho+gh inartic+at!3 +n#!rstan#ing o' ,hat sort o'
abstractions th!y ,!r!;b+t it is int!r!sting that I a't!r,ar#s (a#!
so(! oth!r co(parab! abstractions 'or th! anaysis o' at(+
(at!ria an# (+##!# th! iss+!s thro+gh 'org!tting this "!ry thing.
I ,as !sp!ciay int!r!st!# in st+#ying ,hat I ca!# th! 9'!!9 o'
c+t+r!, an# I ,as bor!# ,ith th! con"!ntiona st+#y o' th! (or!
'or(a #!tais. I ,!nt o+t to )!, 1+in!a ,ith that (+ch "ag+!y
c!ar;an# in on! o' (y 'irst !tt!rs ho(! I co(pain!# o' th!
hop!!ssn!ss o' p+tting any sort o' sat on th! tai o' s+ch an
i(pon#!rab! conc!pt as th! 9'!!9 o' c+t+r!. I ha# b!!n ,atching a
cas+a gro+p o' nati"!s ch!,ing b!t!, spitting, a+ghing, Jo*ing,
!tc., an# I '!t ac+t!y th! tantai/ing i(possibiity o' ,hat.I ,ant!#
to #o.
A y!ar at!r, sti in )!, 1+in!a, I r!a# Ara-ia 8eserta an#
r!cogni/!# ,ith a thri that ?o+ghty ha# in a s!ns! #on! ,hat I
,ant!# to #o. E! ha# p+t sat on th! tai o' th! "!ry bir# that I ,as
h+nting. 0+t I r!ai/!# aso;sa#ythat h! ha# +s!# th! ,rong *in#
o' sat. I ,as not int!r!st!# in achi!"ing a it!rary or artistic
r!pr!s!ntation o' th! 9'!!
9
o' th! c+t+r!L I ,as int!r!st!# in a
sci!nti'ic anaysis o' it.
5n th! ,ho! I thin* that ?o+ghty ,as an !nco+rag!(!nt to (!,
an# th! gr!at!st !nco+rag!(!nt I got 'ro( hi( ,as #+! to a
'aacio+s bit o' thin*ing ,hich h! pro(pt!#. It app!ar!# to (! that
it ,as i(possib! to +n#!rstan# th! b!ha"ior o' his Arabs apart 'ro(
th! 9'!!
9
o' th!ir c+t+r!, an# 'ro( this it s!!(!# to 'oo, that th!
9'!!
9
o' th! c+t+r! ,as in so(! 'ay causati&e in shaping nati"!
91
b!ha"ior. :his !nco+rag!# (! to go on thin*ing that I ,as trying
a't!r so(!thing that ,as i(portant;so 'ar so goo#. 0+t it aso
g+i#!# (! into r!gar#ing th! 9'!!9 o' th! c+t+r! as (+ch (or!
concr!t! an# ca+say acti"! than I ha# any right to #o.
:his 'as! concr!t!n!ss ,as r!in'orc!# at!r by an acci#!nt o'
ang+ag!. 4a#ci''!C0ro,n ca!# to (y att!ntion th! o# ,or#
9et*os9 an# to# (! that that ,as ,hat I ,as trying to st+#y. 8or#s
ar! #ang!ro+s things, an# it so hapCp!ns that 9!thos9 is in so(!
,ays a "!ry ba# ,or#. I' I ha# b!!n co(p!!# to (a*! +p (y o,n
,or# 'or ,hat I ,ant!# to say, I (ight ha"! #on! b!tt!r an# sa"!#
(ys!' a gr!at #!a o' con'+sion. I ,o+#, I hop!, ha"! p+t 'or,ar#
so(!thing i*! 9!thono(y,9 ,hich ,o+# ha"! r!(in#!# (! that I
,as r!'!rring to an abstraction o' th! sa(! or#!r as ho(oogy or
ho(ono(y. :h! tro+b! ,ith th! ,or# 9!thos9 is J+st this;that it is
too s*ort. It is a +nit ,or#, a sing! 1r!!* s+bstanti"!, an# as s+ch
h!p!# (! to go on thin*ing that it r!'!rr!# to a +nit so(!thing
,hich I co+# sti r!gar# as causati&e. I han#!# th! ,or# as i' it
,!r! a cat!gory o' b!ha"ior or a sort o' 'actor ,hich shap!#
b!ha"ior.
8! ar! a 'a(iiar ,ith this oos! +s! o' ,or#s in s+ch phras!s
as6 9th! ca+s!s o' ,ar ar! !cono(ic,
9
9!cono(ic b!ha"ior,
9
9h! ,as
in'+!nc!# by his !(otions,9 9his sy(pto(s ar! th! r!s+t o' con'ict
b!t,!!n his s+p!r!go an# his i#.9 2I a( not s+r! ho, (any o' th!s!
'aaci!s ar! contain!# in that ast !-a(p!L at a ro+gh co+nt, th!r!
s!!( to b! 'i"! ,ith a possib! si-th, b+t th!r! (ay b! (or!.
$sychoanaysis has !rr!# sa#y in +sing ,or#s that ar! too short an#
th!r!C'or! app!ar (or! concr!t! than th!y ar!.3 I ,as g+ity o' J+st
this sort o' sho##y thin*ing in (y han#ing o' th! ,or# 9!thos,9 an#
yo+ (+st !-c+s! (! i' I ha"! gath!r!# (ora s+pport 'or this
con'!ssion by a #igr!ssion to sho, that at any rat! oth!rs ha"!
co((itt!# th! sa(! cri(!.
@!t +s !-a(in! th! stag!s by ,hich I got into th! 'aacy an# th!
,ay in ,hich I got o+t o' it. I thin* th! 'irst st!p to,ar# an !scap!
'ro( sin ,as to (+tipy o''!ns!s;an# th!r! is a goo# #!a to b!
sai# 'or this (!tho#. Gic! is a't!r a a #+ b+sin!ss ,h!th!r it b!
physica or int!!ct+a, an# an !''!cti"! c+r! can so(!ti(!s b!
achi!"!# by in#+g!nc! to th! point at ,hich th! pati!nt r!ai/!s
this. It is a ,ay o' pro"ing that a gi"!n in! o' tho+ght or con#+ct
92
,i not #o, by !-p!ri(!ntay !-trapoating it to in'inity, ,h!n its
abs+r#iti!s b!co(! !"i#!nt.
I (+tipi!# (y o''!ns!s by cr!ating s!"!ra (or! conc!pts o'
abo+t th! sa(! #!gr!! o' abstraction as
9
!thos
9
;I ha# 9!i#os,9
9
c+t+ra str+ct+r!,9 9socioogy9;an# a th!s! I han#!# as tho+gh
th!y ,!r! concr!t! !ntiti!s. I pict+r!# th! r!ations b!t,!!n !thos
an# c+t+ra str+ct+r! as b!ing i*! th! r!ation b!t,!!n a ri"!r an#
its ban*s;9:h! ri"!r (o#s th! ban*s an# th! ban*s g+i#! th! ri"!r.
&i(iary, th! !thos (o#s th! c+t+ra str+ct+r! an# is g+i#!# by it.9
I ,as sti oo*ing 'or physica anaogi!s, b+t no, th! position ,as
not .+it! th! sa(! as ,h!n I ,as oo*ing 'or anaogi!s in or#!r to
g!t conc!pts ,hich I co+# +s! in anay/ing obs!r"!# (at!ria. I ,as
oo*ing no, 'or physica anaogi!s '*ic* I co+# +s! in anay/ing
(y o,n conc!pts, an# that is a "!ry (+ch !ss satis'actory b+sin!ss.
I #o not (!an, o' co+rs!, that th! oth!r sci!nc!s can gi"! on! no
h!p in th! att!(pt to straight!n o+t on!Is tho+ghtsL th!y s+r!y can.
7or !-a(p!, th! th!ory o' ?i(!nsions in physics (ay b! o'
!nor(o+s h!p in this 'i!#. 8hat I (!an is that ,h!n on! is s!!*ing
an anaogy 'or th! !+ci#ation o' (at!ria o' on! sort, it is goo# to
oo* at th! ,ay anaogo+s (at!ria has b!!n anay/!#. 0+t ,h!n on!
is s!!*ing an !+ci#ation o' on!Is o,n conc!pts, th!n on! (+st oo*
'or anaogi!s on an !.+ay abstract !"!. Eo,!"!r, th!s! si(i!s
abo+t ri"!rs an# th!ir ban*s s!!(!# pr!tty to (! an# I tr!at!# th!(
.+it! s!rio+sy.
E!r! I (+st #igr!ss 'or a (o(!nt to #!scrib! a tric* o' tho+ght
an# sp!!ch, ,hich I ha"! 'o+n# +s!'+. 8h!n I a( 'ac!# ,ith a
"ag+! conc!pt an# '!! that th! ti(! is not y!t rip! to bring that
conc!pt into strict !-pr!ssion, I coin so(! oos! !-pr!ssion 'or
r!'!rring to this conc!pt an# #o not ,ant to pr!J+#g! th! iss+! by
gi"ing th! conc!pt too (!aning'+ a t!r(. I th!r!'or! #+b it hastiy
,ith so(! bri!' concr!t! coo.+ia t!r(;g!n!ray AngoC&a-on
rath!r than @atin;I ,i sp!a* o' th! 9st+''9 o' c+t+r!, or 9bits9 o'
c+t+r!, or th! 9'!!9 o' c+t+r!. :h!s! bri!' AngoC&a-on t!r(s
ha"! 'or (! a #!'init! '!!ing ton! ,hich r!(in#s (! a th! ti(!
that th! conc!pts b!hin# th!( ar! "ag+! an# a,ait anaysis. It is a
tric* i*! tying a *not in a han#*!rchi!';b+t has th! a#"antag!
that it sti p!r(its (!, i' I (ay so !-pr!ss it, to go on +sing th!
han#*!rchi!' 'or oth!r p+rpos!s. I can go on +sing th! "ag+!
93
conc!pt in th! "a+ab! proc!ss o' oos! thin*ing;sti contin+ay
r!(in#!# that (y tho+ghts ar! oos!.
0+t th!s! si(i!s abo+t !thos b!ing th! ri"!r an# th!
'or(+ations o' c+t+r! or 9c+t+ra str+ct+r!9 b!ing its ban*s ,!r!
not AngoC&a-on r!(in#!rs that I ,as !a"ing so(!Cthing 'or
anaysis at a at!r #at!. :h!y ,!r!, as I tho+ght, th! r!a thing;a
r!a contrib+tion to o+r +n#!rstan#ing o' ho, c+t+r! ,or*s. I
tho+ght that th!r! ,as on! sort o' ph!no(!non ,hich I co+# ca
9!thos
9
an# anoth!r sort ,hich I co+# ca 9c+t+ra str+ct+r!9 an#
that th!s! t,o ,or*!# tog!th!r;ha# (+t+a !''!ct on! on th!
oth!r. A that r!(ain!# 'or (! to #o ,as to #iscri(inat! c!ary
b!t,!!n th!s! "ario+s sorts o' ph!no(!na so that oth!r p!op!
co+# p!r'or( th! sa(! sort o' anaysis that I ,as #oing.
:his !''ort o' #iscri(ination I postpon!#, '!!ing p!rhaps that
th! prob!( ,as not .+it! rip!;an# I ,!nt on ,ith th! c+t+ra
anaysis. An# #i# ,hat I sti thin* ,as goo# ,or*. I ,ant to
!(phasi/! this ast point;that, as a (att!r o' 'act, consi#!rab!
contrib+tions to sci!nc! can b! (a#! ,ith "!ry b+nt an# croo*!#
conc!pts. 8! (ay Jo*! abo+t th! ,ay (ispac!# concr!t!n!ss
abo+n#s in !"!ry ,or# o' psychoCanaytic ,riting;b+t in spit! o'
a th! (+##!# thin*ing that 7r!+# start!#, psychoanaysis
r!(ains as t*e o+tstan#ing contrib+tion, a(ost th! ony
contrib+tion to o+r +n#!rstan#ing o' th! 'a(iy;a (on+(!nt to
th! i(portanc! an# "a+! o' oos! thin*ing.
7inay I ha# co(p!t!# (y boo* on Iat(+ c+t+r!, ,ith th!
!-c!ption o' th! ast chapt!r, th! ,riting o' ,hich ,as to b! th! 'ina
t!sting an# r!"i!, o' (y "ario+s th!or!tica conc!pts an#
contrib+tions. I pann!# that this chapt!r sho+# contain so(!
att!(pt to #iscri(inat! b!t,!!n th! sort o' thing that I ca!# 9!thos9
an# th! sort o' thing that I ca!# 9!i#os,9 !tc.
I ,as in a stat! appro-i(ating that panic in th! !-a(ination roo(
,hich 'or(!ry pro#+c!# th! conc!pt o' *omonomy. I ,as #+! to
sai 'or (y n!-t 'i!# trip;(y boo* ha# to b! 'inish!# b!'or! I
sai!#;th! boo* co+# not stan# ,itho+t so(! c!ar stat!(!nt
abo+t th! int!rr!ations o' th!s! conc!pts o' (in!.
E!r! I ,i .+ot! ,hat 'inay app!ar!# in th! boo* in this ast
chapt!r6
94
9I b!gan to #o+bt th! "ai#ity o' (y o,n cat!gori!s, an#
p!r'or(!# an !-p!ri(!nt. I chos! thr!! bits o' c+t+r!6 +a4 a ,a+
2(oth!rIs broth!r3 gi"ing 'oo# to a laua 2sist!rIs son3L a prag(atic
bit, 2b3 a (an sco#ing his ,i'!L an !thoogica bit, an# 2c3 a (an
(arrying his 'ath!rIs sist!rIs #a+ght!rL a str+ct+ra bit. :h!n I #r!, a
attic! o' nin! s.+ar!s on a arg! pi!c! o' pap!r, thr!! ro,s o'
s.+ar!s ,ith thr!! s.+ar!s in !ach ro,. I ab!!# th! hori/onta ro,s
,ith (y bits o' c+t+r! an# th! "!rtica co+(ns ,ith (y cat!gori!s.
:h!n I 'orc!# (ys!' to s!! !ach bit as conc!i"aby b!onging to
!ach cat!gory. I 'o+n# that it co+# b! #on!.
9I 'o+n# that I co+# thin* o' !ach bit o' c+t+r! str+ct+rayL I
co+# s!! it as in accor#anc! ,ith a consist!nt s!t o' r+!s or
'or(+ations. =.+ay, I co+# s!! !ach bit as Nprag(atic,I !ith!r as
satis'ying th! n!!#s o' in#i"i#+as or as contrib+ting to th!
int!gration o' soci!ty. Again, I co+# s!! !ach bit !thoogicay, as an
!-pr!ssion o' !(otion.
9:his !-p!ri(!nt (ay s!!( p+!ri!, b+t to (! it ,as "!ry
i(portant, an# I ha"! r!co+nt!# it at !ngth b!ca+s! th!r! (ay b!
so(! a(ong (y r!a#!rs ,ho t!n# to r!gar# s+ch conc!pts as
N
str+ct+r!I as concr!t! parts ,hich Nint!ractI in c+t+r!, an# ,ho 'in#,
as I #i#, a #i''ic+ty in thin*ing o' th!s! conc!pts as ab!s (!r!y
'or points o' "i!, a#opt!# !ith!r by th! sci!ntist or by th! nati"!s. It
is instr+cti"! to p!r'or( th! sa(! !-p!ri(!nt ,ith s+ch conc!pts as
!cono(ics, !tc.9
7
In 'act, 9!thos9 an# th! r!st ,!r! 'inay r!#+c!# to abstractions
o' th! sa(! g!n!ra or#!r as 9ho(oogy,9 9ho(ono(y,
9
!tc.L th!y
,!r! ab!s 'or points o' "i!, "o+ntariy a#opt!# by th!
in"!stigator. I ,as, as yo+ (ay i(agin!, !nor(o+sy !-cit!# at
g!tting this tang! straight!n!# o+t;b+t I ,as aso ,orri!# b!ca+s!
I tho+ght I sho+# b! co(p!!# to r!,rit! th! ,ho! boo*. 0+t I
'o+n# that this ,as not so. I ha# to t+n! +p th! #!'initions, ch!c*
thro+gh to s!! that !ach ti(! th! t!chnica t!r( app!ar!# I co+#
s+bstit+t! th! n!, #!'inition 'or it, (ar* th! (or! !gr!gio+s pi!c!s
o' nons!ns! ,ith 'ootnot!s ,arning th! r!a#!r that th!s! passag!s
(ight b! ta*!n as a ,arning o' ho, not to say things;an# so on.
7
@oc. cit., p. 261.
95
0+t th! bo#y o' th! boo* ,as so+n# !no+gh;a that it n!!#!# ,as
n!, castors on its !gs.
&o 'ar I ha"! spo*!n o' (y o,n p!rsona !-p!ri!nc!s ,ith strict
an# oos! thin*ing, b+t I thin* act+ay th! story ,hich I ha"!
narrat!# is typica o' th! ,ho! '+ct+ating b+sin!ss o' th! a#"anc!
o' sci!nc!. In (y cas!, ,hich is a s(a on! an# co(parati"!y
insigni'icant in th! ,ho! a#"anc! o' sci!nc!, yo+ can s!! both
!!(!nts o' th! at!rnating proc!ss;'irst th! oos! thin*ing an#
th! b+i#ing +p o' a str+ct+r! on +nso+n# 'o+n#ations an# th!n th!
corr!ction to strict!r thin*ing an# th! s+bstit+tion o' a n!,
+n#!rpinning b!n!ath th! ar!a#y constr+ct!# (ass. An# that, I
b!i!"!, is a pr!tty 'air pict+r! o' ho, sci!nc! a#"anc!s, ,ith this
!-c!ption, that +s+ay th! !#i'ic! is arg!r an# th! in#i"i#+as ,ho
'inay contrib+t! th! n!, +n#!rpinning ar! #i''!r!nt p!op! 'ro(
thos! ,ho #i# th! initia oos! thin*ing. &o(!ti(!s, as in physics,
,! 'in# c!nt+ri!s b!t,!!n th! 'irst b+i#ing o' th! !#i'ic! an# th!
at!r corr!ction o' th! 'o+n#ations;b+t th! proc!ss is basicay th!
sa(!.
An# i' yo+ as* (! 'or a r!cip! 'or sp!!#ing +p this proc!ss, I
,o+# say 'irst that ,! o+ght to acc!pt an# !nJoy this #+a nat+r!
o' sci!nti'ic tho+ght an# b! ,iing to "a+! th! ,ay in ,hich th!
t,o proc!ss!s ,or* tog!th!r to gi"! +s a#"anc!s in +n#!rstan#ing
o' th! ,or#. 8! o+ght not to 'ro,n too (+ch on !ith!r proc!ss, or
at !ast to 'ro,n !.+ay on !ith!r proc!ss ,h!n it is
+ns+pp!(!nt!# by th! oth!r. :h!r! is, I thin*, a #!ay in sci!nc!
,h!n ,! start to sp!ciai/! 'or too ong !ith!r in strict or in oos!
thin*ing. I s+sp!ct, 'or !-a(p!, that th! 7r!+#ian !#i'ic! has b!!n
aCo,!# to gro, too big b!'or! th! corr!cti"! o' strict tho+ght is
appi!# to it;an# no, ,h!n in"!stigators start r!phrasing th!
7r!+#ian #og(as in n!, strict!r t!r(s th!r! (ay b! a ot o' i
'!!ing, ,hich is ,ast!'+. 2At this point I (ight p!rhaps thro, o+t
a ,or# o' co('ort to th! ortho#o- in psychoanaysis. 8h!n th!
'or(+ators b!gin rooting abo+t a(ong th! (ost basic o' anaytic
pr!(is!s an# .+!stioning th! concr!t! r!aity o' s+ch conc!pts as
th! 9!go9 or
"
,ish!s9 or th! 9i#9 or th! 9ibi#o9;as in#!!# th!y
ar! ar!a#y b!Cginning to root;th!r! is no n!!# to g!t aar(!# an#
to start ha"ing t!rror #r!a(s o' chaos an# stor(s at s!a. It is
c!rtain that (ost o' th! o# 'abric o' anaysis ,i sti b! !'t
96
stan#ing a't!r th! n!, +n#!rpinning has b!!n ins!rt!#. An# ,h!n
th! conc!pts, post+at!s, an# pr!(is!s ha"! b!!n straight!n!# o+t,
anaysts ,i b! ab! to !(bar* +pon a n!, an# sti (or! 'r+it'+
orgy o' oos! thin*ing, +nti th!y r!ach a stag! at ,hich again th!
r!s+ts o' th!ir thin*ing (+st b! stricty conc!pt+ai/!#. I thin* that
th!y o+ght to !nJoy this at!rnating .+aity in th! progr!ss o'
sci!nc! an# not #!ay th! progr!ss o' sci!nc! by a r!'+sa to acc!pt
this #+ais(.3
7+rth!r than this, b!si#!s si(py not hin#!ring progr!ss, I thin*
,! (ight #o so(!thing to hast!n (att!rs, an# I ha"! s+gg!st!#
t,o ,ays in ,hich this (ight b! #on!. 5n! is to train sci!ntists to
oo* a(ong th! o#!r sci!nc!s 'or ,i# anaogi!s to th!ir o,n
(at!ria, so that th!ir ,i# h+nch!s abo+t th!ir o,n prob!(s ,i
an# th!( a(ong th! strict 'or(+ations. :h! s!con# (!tho# is to
train th!( to ti! *nots in th!ir han#*!rchi!'s ,h!n!"!r th!y !a"!
so(! (atCt!r +n'or(+at!#;to b! ,iing to !a"! th! (att!r so
'or y!ars, b+t sti !a"! a ,arning sign in th! "!ry t!r(inoogy
th!y +s!, s+ch that th!s! t!r(s ,i 'or!"!r stan#, not as '!nc!s
hi#ing th! +n*no,n 'ro( '+t+r! in"!stigators, b+t rath!r as
signposts ,hich r!a#6
9
UNEXPLORED BEYOND THIS POINT.
9
97
Mo&ale an# National Cha&a'te&
%
8! sha proc!!# as 'oo,s6 213 8! sha !-a(in! so(! o' th!
criticis(s ,hich can b! +rg!# against o+r !nt!rtaining any conc!pt
o' 9nationa charact!r.9 223 :his !-a(ination ,i !nab! +s to stat!
c!rtain conc!pt+a i(its ,ithin ,hich th! phras! 9nationa
charact!r9 is i*!y to b! "ai#. 233 8! sha th!n go on, ,ithin th!s!
i(its, to o+tin! ,hat or#!rs o' #i''!r!nc! ,! (ay !-p!ct to 'in#
a(ong 8!st!rn nations, trying, by ,ay o' i+stration, to g+!ss (or!
concr!t!y at so(! o' th!s! #i''!r!nc!s. 243 @asty, ,! sha consi#!r
ho, th! prob!(s o' (ora! an# int!rnationa r!ations ar! a''!ct!#
by #i''!r!nc!s o' this or#!r.
Barriers to Any Concept of "National Character"
&ci!nti'ic !n.+iry has b!!n #i"!rt!# 'ro( .+!stions o' this typ!
by a n+(b!r o' trains o' tho+ght ,hich !a# sci!ntists to r!gar# a
s+ch .+!stions as +npro'itab! or +nso+n#. 0!C'or! ,! ha/ar# any
constr+cti"! opinion as to th! or#!r o' #i''!r!nc!s to b! !-p!ct!#
a(ong =+rop!an pop+ations, th!r!'or!, th!s! #i"!rting trains o'
tho+ght (+st b! !-a(in!#.
It is, in th! 'irst pac!, arg+!# that not th! p!op! b+t rath!r th!
circ+(stanc!s +n#!r ,hich th!y i"! #i''!r 'ro( on! co((+nity to
anoth!rL that ,! ha"! to #!a ,ith #i''!r!nc!s !ith!r in historica
bac*gro+n# or in c+rr!nt con#itions, an# that th!s! 'actors ar!
s+''ici!nt to acco+nt 'or a #i''!r!nc!s in b!ha"ior ,itho+t o+r
in"o*ing any #i''!r!nc!s o' charact!r in th! in#i"i#+as conc!rn!#.
=ss!ntiay this arg+(!nt is an app!a to 5cca(Is 4a/or;an
ass!rtion that ,! o+ght not to (+tipy !ntiti!s b!yon# n!c!ssity.
:h! arg+(!nt is that, ,h!r! obs!r"ab! #i''!r!nc!s in circ+(stanc!
!-ist, ,! o+ght to in"o*! thos! rath!r than (!r! in'!rr!# #i''!r!nc!s
in charact!r, ,hich ,! cannot obs!r"!.
H
:his !ssay app!ar!# in Ci"iian Aora!, !#it!# by 1oo#,in 8atson, copyright
1942 by th! &oci!ty 'or th! $sychoogica &t+#y o' &ocia Iss+!s. It is h!r! r!print!#
by p!r(ission o' th! p+bish!r. &o(! intro#+ctory (at!ria has b!!n !#it!# o+t.
98
:h! arg+(!nt (ay b! (!t in part by .+oting !-p!ri(!nta #ata,
s+ch as @!,inIs !-p!ri(!nts 2+np+bish!# (at!ria3, ,hich sho,!#
that th!r! ar! gr!at #i''!r!nc!s in th! ,ay in ,hich 1!r(ans an#
A(!ricans r!spon# to 'ai+r! in an !-p!ri(!nta s!tting. :h!
A(!ricans tr!at!# 'ai+r! as a cha!ng! to incr!as! !''ortL th!
1!r(ans r!spon#!# to th! sa(! 'ai+r! ,ith #isco+rag!(!nt. 0+t
thos! ,ho arg+! 'or th! !''!cti"!n!ss o' con#itions rath!r than
charact!r can sti r!py that th! !-p!ri(!nta con#itions ar! not, in
'act, th! sa(! 'or both gro+psL that th! sti(++s "a+! o' any
circ+(stanc! #!p!n#s +pon ho, that circ+(stanc! stan#s o+t
against th! bac*gro+n# o' oth!r circ+(stanc!s in th! i'! o' th!
s+bJ!ct, an# that this contrast cannot b! th! sa(! 'or both gro+ps.
It is possib!, in 'act, to arg+! that sinc! th! sa(! circ+(stanc!s
ne&er occ+r 'or in#i"i#+as o' #i''!r!nt c+t+ra bac*Cgro+n#, it is
th!r!'or! +nn!c!ssary to in"o*! s+ch abstractions as nationa
charact!r. :his arg+(!nt br!a*s #o,n, I b!i!"!, ,h!n it is point!#
o+t that, in str!ssing circ+(stanc! rath!r than charact!r, ,! ,o+#
b! ignoring th! *no,n 'acts abo+t learning. $!rhaps th! b!st
#oc+(!nt!# g!n!rai/ation in th! 'i!# o' psychoogy is that, at any
gi"!n (o(!nt, th! b!ha"iora charact!ristics o' any (a((a, an#
!sp!ciay o' (an, #!p!n# +pon th! pr!"io+s !-p!ri!nc! an#
b!ha"ior o' that in#i"i#+a. :h+s in pr!s+(ing that charact!r, as ,!
as circ+(stanc!, (+st b! ta*!n into acco+nt, ,! ar! not (+tipying
!ntiti!s b!yon# n!c!ssityL ,! 3no' o' th! signi'icanc! o' !arn!#
charact!r 'ro( oth!r typ!s o' #ata, an# it is this *no,!#g! ,hich
co(p!s +s to consi#!r th! a##itiona 9!ntity.
9
A s!con# barri!r to any acc!ptanc! o' th! notion o'
9
nationa
charact!r
9
aris!s a't!r th! 'irst has b!!n n!gotiat!#. :hos! ,ho grant
that charact!r (+st b! consi#!r!# can sti #o+bt ,h!th!r any
+ni'or(ity or r!g+arity is i*!y to obtain ,ithin s+ch. a sa(p! o'
h+(an b!ings as constit+t!s a nation. @!t +s grant at onc! that
uniformity ob"io+sy #o!s not occ+r, an# !t +s proc!!# to consi#!r
,hat sorts o' regularity may b! !-p!ct!#.
:h! criticis( ,hich ,! ar! trying to (!!t is i*!y to ta*! 'i"!
'or(s. 213 :h! critic (ay point to th! occ+rr!nc! o' s+bc+t+ra
#i''!r!ntiation, to #i''!r!nc!s b!t,!!n th! s!-!s, or b!t,!!n cass!s,
or b!t,!!n occ+pationa gro+ps ,ithin th! co((+nity. 223 E! (ay
point to th! !-tr!(! h!t!rog!n!ity an# con'+sion o' c+t+ra nor(s
99
,hich can b! obs!r"!# in 9(!tingCpot9 co((+niti!s. 233 E! (ay
point to th! acci#!nta #!"iant, th! in#i"i#+a ,ho has +n#!rgon!
so(! 9acci#!nta9 tra+(atic !-p!ri!nc!, not +s+a a(ong thos! in
his socia !n"iron(!nt. 243 E! (ay point to th! ph!no(!na o'
c+t+ra chang!, an# !sp!ciay to th! sort o' #i''!r!ntiation ,hich
r!s+ts ,h!n on! part o' th! co((+nity ags b!hin# so(! oth!r in
rat! o' chang!. 253 @asty, h! (ay point to th! arbitrary nat+r! o'
nationa bo+n#ari!s.
:h!s! obJ!ctions ar! cos!y int!rr!at!#, an# th! r!pi!s to th!(
a #!ri"! +ti(at!y 'ro( t,o post+at!s6 'irst, that th! in#i"i#+a,
,h!th!r 'ro( a physioogica or a psychoCogica point o' "i!,, is a
sing! organi:ed !ntity, s+ch that a its 9parts9 or 9asp!cts9 ar!
(+t+ay (o#i'iab! an# (+t+ay int!ractingL an# s!con#, that a
co((+nity is i*!C,is! organi:ed in this s!ns!.
I' ,! oo* at socia #i''!r!ntiation in a stab! co((+nity;say, at
s!- #i''!r!ntiation in a )!, 1+in!a trib!
8
;,! 'in# that it is not
!no+gh to say that th! habit syst!( or th! charact!r str+ct+r! o' on!
s!- is different 'ro( that o' anoth!r. :h! signi'icant point is that th!
habit syst!( o' !ach s!- cogs into th! habit syst!( o' th! oth!rL that
th! b!ha"ior o' !ach pro(ot!s th! habits o' th! oth!r.
9
8! 'in#, 'or
!-a(p!, b!t,!!n th! s!-!s, s+ch co(p!(!ntary patt!rns as
sp!ctatorshipC!-hibitionis(, #o(inanc!Cs+b(ission, an# s+ccoringC
#!p!n#!nc!, or (i-t+r!s o' th!s!. )!"!r #o ,! 'in# (+t+a
irr!!"anc! b!t,!!n s+ch gro+ps.
Atho+gh it is +n'ort+nat!y tr+! that ,! *no, "!ry itt! abo+t
th! t!r(s o' habit #i''!r!ntiation b!t,!!n cass!s, s!-!s,
occ+pationa gro+ps, !tc., in 8!st!rn nations, th!r! is, I thin*, no
#ang!r in appying this g!n!ra conc+sion to a cas!s o' stab!
#i''!r!ntiation b!t,!!n gro+ps ,hich ar! i"ing in (+t+a contact. It
8
C'. A. A!a# +Se. and !emperament in !*ree 6rimiti&e Societies, )!, For*,
Aorro,, 19353, !sp!ciay $art III, 'or an anaysis o' s!- #i''!r!ntiation a(ong th!
Cha(b+iL aso 1. 0at!son +;a&en, Ca(bri#g!, Ca(bri#g! %ni"!rsity $r!ss, 19363
'or an anaysis o' s!- #i''!r!ntiation a(ong a#+ts in Iat(+, )!, 1+in!a.
9
8! ar! consi#!ring h!r! ony thos! cas!s in ,hich !thoogica #i''!r!ntiation
'oo,s th! s!- #ichoto(y. It is aso probab! that, ,h!r! th! !thos o' th! t,o s!-!s is
not sharpy #i''!r!ntiat!#, it ,o+# sti b! corr!ct to say that th! !thos o' !ach
pro(ot!s that o' th! oth!r, !.g., thro+gh s+ch (!chanis(s as co(p!tition an# (+t+a
i(itation. C'. A. A!a# +op. cit.4.
100
is, to (!, inconc!i"ab! that t,o #i''!ring gro+ps co+# !-ist si#! by
si#! in a co((+nity ,ithCo+t so(! sort o' (+t+a r!!"anc!
b!t,!!n th! sp!cia charact!ristics o' on! gro+p an# thos! o' th!
oth!r. &+ch an occ+rr!nc! ,o+# b! contrary to th! post+at! that a
co((+nity is an organi/!# +nit. 8! sha, th!r!'or!, pr!s+(! that
this g!n!rai/ation appi!s to a stab! socia #i''!r!ntiation.
)o,, a that ,! *no, o' th! (!chanics o' charact!r 'or(ation;
!sp!ciay th! proc!ss!s o' proJ!ction, r!action 'or(ation,
co(p!nsation, an# th! i*!;'orc!s +s to r!gar# th!s! bipoar
patt!rns as +nitary ,ithin th! in#i"i#+a. I' ,! *no, that an
in#i"i#+a is train!# in o"!rt !-pr!ssion o' on!Cha' o' on! o' th!s!
patt!rns, !.g., in #o(inanc! b!ha"ior, ,! can pr!#ict ,ith c!rtainty
2tho+gh not in pr!cis! ang+ag!3 that th! s!!#s o' th! oth!r ha';
s+b(ission;ar! si(+tan!o+sy so,n. in his p!rsonaity. 8! ha"!
to thin* o' th! in#i"i#+a, in 'act, as train!# in #o(inanc!C
s+b(ission, not in !ith!r #o(inanc! or s+b(ission. 7ro( this it
'oo,s that ,h!r! ,! ar! #!aing ,ith stab! #i''!r!ntiation ,ithin
a co((+nity, ,! ar! J+sti'i!# in ascribing co((on charact!r to th!
(!(b!rs o' that co((+nity, pro"i#!# ,! ta*! th! pr!ca+tion o'
#!scribing that co((on charact!r in t!r(s o' th! (oti's o'
r!ationship b!t,!!n th! #i''!r!ntiat!# s!ctions o' th! co((+nity.
:h! sa(! sort o' consi#!rations ,i g+i#! +s in #!aing ,ith o+r
s!con# criticis(;th! !-tr!(!s o' h!t!rog!n!ity, s+ch as occ+r in
(o#!rn 9(!tingCpot9 co((+niti!s. &+ppos! ,! att!(pt!# to
anay/! o+t a th! (oti's o' r!ationship b!t,!!n in#i"i#+as an#
gro+ps in s+ch a co((+nity as )!, For* CityL i' ,! #i# not !n# in
th! (a#ho+s! ong b!'or! ,! ha# co(p!t!# o+r st+#y, ,! sho+#
arri"! at a pict+r! o' co((on charact!r that ,o+# b! a(ost
in'init!y co(p!-;c!rtainy that ,o+# contain (or! 'in!
#i''!r!ntiations than th! h+(an psych! is capab! o' r!so"ing
,ithin its!'. At this point, th!n, both ,! an# th! in#i"i#+as ,ho(
,! ar! st+#ying ar! 'orc!# to ta*! a short c+t6 to tr!at h!t!rog!n!ity
as a positi"! charact!ristic o' th! co((on !n"iron(!nt, sui generis.
8h!n, ,ith s+ch an hypoth!sis, ,! b!gin to oo* 'or co((on
(oti's o' b!ha"ior, ,! not! th! "!ry c!ar t!n#!nci!s to,ar#
gorying in h!t!rog!n!ity 'or its o,n sa*! 2as in th! 4obinson
@ato+ch! 90aa# 'or A(!ricans93 an# to,ar# r!gar#ing th! ,or#
101
as (a#! +p o' an in'inity o' #isconn!ct!# .+i/Cbits 2i*! 4ip!y
I
s
90!i!"! It or )ot
9
3.
:h! thir# obJ!ction, th! cas! o' th! in#i"i#+a #!"iant, 'as in
th! sa(! 'ra(! o' r!'!r!nc! as that o' th! #i''!r!ntiation o' stab!
gro+ps. :h! boy on ,ho( an =ngish p+bicCschoo !#+cation #o!s
not ta*!, !"!n tho+gh th! origina roots o' his #!"ianc! ,!r! ai#
in so(! 9acci#!nta9 tra+(atic inci#!nt, is r!acting to th! p+bicC
schoo syst!(. :h! b!ha"iora habits ,hich h! ac.+ir!s (ay not
'oo, th! nor(s ,hich th! schoo int!n#s to i(pant, b+t th!y ar!
ac.+ir!# in r!action to thos! "!ry nor(s. E! (ay 2an# o't!n #o!s3
ac.+ir! patt!rns th! !-act opposit! o' th! nor(aL b+t h! cannot
conc!i"aby ac.+ir! irr!!"ant patt!rns. E! (ay b!co(! a 9ba#9
p+bicCschoo =ngish(an, h! (ay b!co(! insan!, b+t sti his
#!"iant charact!ristics ,i b! syst!(aticay r!at!# to th! nor(s
,hich h! is r!sisting. 8! (ay #!scrib! his charact!r, in#!!#, by
saying that it is as syst!(aticay r!at!# to th! stan#ar# p+bicC
schoo charact!r as th! charact!r o' Iat(+ nati"!s o' on! s!- is
syst!(aticay r!at!# to th! charact!r o' th! oth!r s!-. Eis
charact!r is ori!nt!# to th! (oti's an# patt!rns o' r!ationship in
th! soci!ty in ,hich h! i"!s.
:h! sa(! 'ra(! o' r!'!r!nc! appi!s to th! 'o+rth consi#!ration,
that o' changing co((+niti!s an# th! sort o' #i''!r!ntiation ,hich
occ+rs ,h!n on! s!ction o' a co((+nity ags b!hin# anoth!r in
chang!. &inc! th! #ir!ction in ,hich a chang! occ+rs ,i
n!c!ssariy b! con#ition!# by th!
,
status 5uo ante, th! n!,
patt!rns, b!ing r!actions to th! o#, ,i b! syst!(aticay r!at!#
to th! o#. As ong as ,! con'in! o+rs!"!s to th! t!r(s an#
th!(!s o' this syst!(atic r!ationship, th!r!'or!, ,! ar!
!ntit!# to !-p!ct r!g+arity o' charact!r in th! in#i"i#+as.
7+rth!r(or!, th! e.pectation and e.perience of c*ange (ay, in
so(! cas!s, b! so i(portant as to b!co(! a co((on charact!rC
102
#!t!r(ining 'actor
10
sui generis, in th! sa(! sort o' ,ay that
9h!t!rog!n!ity9 (ay ha"! positi"! !''!cts.
@asty, ,! (ay consi#!r cas!s o' shi'ting nationa bo+n#ari!s,
o+r 'i'th criticis(. E!r!, o' co+rs!, ,! cannot !-p!ct that a
#ipo(atIs signat+r! on a tr!aty ,i i((!#iat!y (o#i'y th!
charact!rs o' th! in#i"i#+as ,hos! nationa a!gianc! is th!r!by
chang!#. It (ay !"!n happ!n;'or !-a(p!, in cas!s ,h!r! a
pr!it!rat! nati"! pop+ation is bro+ght 'or th! 'irst ti(! in contact
,ith =+rop!ans;that, 'or so(! ti(! a't!r th! shi't, th! t,o parti!s
to s+ch a sit+ation ,i b!ha"! in an !-poratory or a(ost ran#o(
(ann!r, !ach r!taining its o,n nor(s an# not y!t #!"!oping any
sp!cia a#J+st(!nts to th! sit+ation o' contact. ?+ring this p!rio#,
,! sho+# sti not !-p!ct any g!n!rai/ations to appy to both
gro+ps. G!ry soon, ho,!"!r, ,! *no, that !ach si#! #o!s #!"!op
sp!cia patt!rns o' b!ha"ior to +s! in its contacts ,ith th! oth!r.
11
At
this point, it b!co(!s (!aning'+ to as* ,hat syst!(atic t!r(s o'
r!ationship ,i #!scrib! th! co((on charact!r o' th! t,o gro+psL
an# 'ro( this point on, th! #!gr!! o' co((on charact!r str+ct+r!
,i incr!as! +nti th! t,o gro+ps b!co(! r!at!# to !ach oth!r J+st
as t,o cass!s or t,o s!-!s in a stab!, #i''!r!ntiat!# soci!ty.
12
In s+(, to thos! ,ho arg+! that h+(an co((+niti!s sho, too
gr!at int!rna #i''!r!ntiation or contain too gr!at a ran#o( !!(!nt
'or any notion o' co((on charact!r to appy, o+r r!py ,o+# b!
that ,! !-p!ct s+ch an approach to b! +s!'+ 2a3 pro"i#!# ,!
10
7or a #isc+ssion o' th! ro! pay!# by 9chang!9 an# 9h!t!rog!n!ity9 in
(!tingCpot co((+niti!s, c'. A. A!a# 29=#+cati"! !''!cts o' socia
!n"iron(!nt as #iscos!# by st+#i!s o' pri(iti"! soci!ti!s.9 $ap!r r!a# at th!
&y(posi+( on =n"iron(!nt an# =#+cation, %ni"!rsity o' Chicago, &!pt!(b!r 22,
19413. Aso 7. A!-an#!r 29=#+cati"! in'+!nc! o' p!rsonaity 'actors in th!
!n"iron(!nt.
9
$ap!r r!a# at th! &y(posi+( on =n"iron(!nt an# =#+cation,
%ni"!rsity o' Chicago, &!pt!(b!r 22,19413.
11
In th! &o+th &!as, thos! sp!cia (o#!s o' b!ha"ior ,hich =+rop!ans
a#opt to,ar# nati"! p!op!s, an# thos! oth!r (o#!s o' b!ha"ior ,hich th! nati"!
a#opts to,ar# =+rop!ans, ar! "!ry ob"io+s. Apart 'ro( anays!s o' 9pi#gin9
ang+ag!s, ,! ha"!, ho,!"!r, no psychoogica #ata on th!s! patt!rns. 7or a
#!scription o' th! anaogo+s patt!rns in )!groC,hit! r!ationships, c'. J.
?oar# +"aste and "lass in a Sout*ern !oi&n, )!, Ea"!n, Fa! %ni"!rsity
$r!ss, 19373, !sp!ciay Chapt!r UII, Acco((o#ation Attit+#!s o' )!gro!s.
12
C'. 1. 0at!son, 9C+t+r! Contact an# &chis(og!n!sis,9 ,an, 1935, 86 199.
24!print!# in this "o+(!.3
103
#!scrib! co((on charact!r in t!r(s o' th! th!(!s o' r!ationship
-et'een gro+ps an# in#i"i#+as ,ithin th! co((+nity, an# 2b3
pro"i#!# that ,! ao, s+''ici!nt ti(! to !aps! 'or th! co((+nity
to r!ach so(! #!gr!! o' !.+iibri+( or to acc!pt !ith!r chang! or
h!t!rog!n!ity as a charact!ristic o' th!ir h+(an !n"iron(!nt.
Differences Which We May Expect Between National ro!ps
:h! abo"! !-a(ination o' 9stra, (!n9 in th! cas! against
9nationa charact!r9 has "!ry string!nty i(it!# th! scop! o' this
conc!pt. 0+t th! conc+sions 'ro( this !-a(ination ar! by no (!ans
si(py n!gati"!. :o i(it th! scop! o' a conc!pt is a(ost
synony(o+s ,ith #!'ining it.
8! ha"! a##!# on! "!ry i(portant too to o+r !.+ip(!nt ;th!
t!chni.+! o' #!scribing th! co((on charact!r 2or th! 9high!st
co((on 'actor9 o' charact!r3 o' in#i"i#+as in a h+(an co((+nity
in t!r(s o' bipoar a#J!cti"!s. Inst!a# o' #!spairing in 'ac! o' th!
'act that nations ar! highy #i''!r!ntiat!#, ,! sha ta*! th!
#i(!nsions o' that #i''!r!ntiation as o+r c+!s to th! nationa
charact!r. )o ong!r cont!nt to say,
9
1!r(ans ar! s+b(issi"!,
9
or
9=ngish(!n ar! aoo',
9
,! sha +s! s+ch phras!s as 9#o(inantC
s+b(issi"!
9
,h!n r!ationships o' this sort can b! sho,n to occ+r.
&i(iary, ,! sha not r!'!r to 9th! paranoi#a !!(!nt in 1!r(an
charact!r,9 +n!ss ,! can sho, that by 9paranoi#a9 ,! (!an so(!
bipoar charact!ristic o' 1!r(anC1!r(an or 1!r(anC'or!ign
r!ationships. 8! sha not #!scrib! "ari!ti!s o' charact!r by
#!'ining a gi"!n charact!r in t!r(s o' its position on a contin++(
b!t,!!n !-tr!(! #o(inanc! an# !-tr!(! s+b(issi"!n!ss, b+t ,!
sha, inst!a#, try to +s! 'or o+r #!scriptions so(! s+ch contin+a as
9#!gr!! o' int!r!st in, or ori!ntation to,ar#, #o(inanc!C
s+b(ission.9
&o 'ar, ,! ha"! (!ntion!# ony a "!ry short ist o' bipoar
charact!ristics6 #o(inanc!Cs+b(ission, s+ccoringC#!p!n#!nc!, an#
!-hibitionis(Csp!ctatorship. 5n! criticis( ,i c!rtainy b!
+pp!r(ost in th! r!a#!rIs (in#, that, in short, a thr!! o' th!s!
charact!ristics ar! c!ary pr!s!nt in a 8!stC!rn c+t+r!s. 0!'or!
104
o+r (!tho# b!co(!s +s!'+, th!r!'or!, ,! (+st try to !-pan# it to
gi"! +s s+''ici!nt scop! an# #iscri(inatory po,!r to #i''!r!ntiat!
on! 8!st!rn c+t+r! 'ro( anoth!r.
As this conc!pt+a 'ra(! #!"!ops, no #o+bt, (any '+rth!r
!-pansions an# #iscri(inations ,i b! intro#+c!#. :h! pr!s!nt
pap!r ,i #!a ,ith ony thr!! s+ch typ!s o' !-pansion.
Alternati"es to Bipolarity
8h!n ,! in"o*!# bipoarity as a (!ans o' han#ing #i''!rC
!ntiation ,ithin soci!ty ,itho+t 'or!going so(! notion o' co((on
charact!r str+ct+r!, ,! consi#!r!# ony th! possibiity o' si(p!
bipoar #i''!r!ntiation. C!rtainy this patt!rn is "!ry co((on in
8!st!rn c+t+r!sL ta*!, 'or instanc!, 4!p+bicanC?!(ocrat, poitica
4ightC@!'t, s!- #i''!r!ntiation, 1o# an# th! #!"i, an# so on. :h!s!
p!op!s !"!n try to i(pos! a binary patt!rn +pon ph!no(!na ,hich
ar! not #+a in nat+r!;yo+th "!rs+s ag!, abor "!rs+s capita, (in#
"!rs+s (att!r;an#, in g!n!ra, ac* th! organi/ationa #!"ic!s 'or
han#ing triang+ar syst!(sL th! inc!ption o' any 9thir#9 party is
a,ays r!gar#!#, 'or !-a(p!, as a thr!at to o+r poitica
organi/ation. :his c!ar t!n#!ncy to,ar# #+a syst!(s o+ght not,
ho,!"!r, to bin# +s to th! occ+rr!nc! o' oth!r patt!rns.
13
:h!r! is, 'or !-a(p!, a "!ry int!r!sting t!n#!ncy in =ngish
co((+niti!s to,ar# th! 'or(ation o' t!rnary syst!(s, s+ch as
par!ntsCn+rs!Cchi#, *ingC(inist!rsCp!op!, o''ic!rsC).C.5.IsC
pri"at!s.
14
8hi! th! pr!cis! (oti's o' r!ationship in th!s! t!rnary
13
:h! 0ain!s! socia syst!( in th! (o+ntain co((+niti!s is a(ost !ntir!y
#!"oi# o' s+ch #+ais(s. :h! !thoogica #i''!r!ntiation o' th! s!-!s is rath!r sightL
poitica 'actions ar! co(p!t!y abs!nt. In th! pains, th!r! is a #+ais( ,hich has
r!s+t!# 'ro( th! intr+si"! Ein#oo cast! syst!(, thos! ,ith cast! b!ing #iscri(iC
nat!# 'ro( thos! ,itho+t cast!. At th! sy(boic !"! 2party as a r!s+t o' Ein#oo
in'+!nc!3 #+ais(s ar! (+ch (or! 'r!.+!nt, ho,!"!r, than th!y ar! in th! socia
str+ct+r! 2!.g., )orth!ast "s. &o+th,!st, 1o#s "s. #!(ons, sy(boic @!'t "s. 4ight,
sy(boic Aa! "s. 7!(a!, !tc.3.
14


A 'o+rth instanc! o' this thr!!'o# patt!rn occ+rs in so(! gr!at p+bic schoos
2as in Chart!rho+s!3, ,h!r! th! a+thority is #i"i#!# b!t,!!n th! .+i!t!r, (or!
105
syst!(s r!(ain to b! in"!stigat!#, it is i(portant to not! that th!s!
syst!(s, to ,hich I r!'!r as 9t!rnary,9 ar! n!ith!r 9si(p!
hi!rarchi!s9 nor 9triang!s.9 0y a p+r! hi!rarchy, I sho+# (!an a
s!ria syst!( in ,hich 'ac!CtoC'ac! r!ations #o not occ+r b!t,!!n
(!(b!rs ,h!n th!y ar! s!parat!# by so(! int!r"!ning (!(b!rL in
oth!r ,or#s, syst!(s in ,hich th! ony co((+nication b!t,!!n A
an# C pass!s thro+gh 0. 0y a triang! I sho+# (!an a thr!!'o#
syst!( ,ith no s!ria prop!rti!s. :h! t!rnary syst!(, par!ntCn+rs!C
chi#, on th! oth!r han#, is "!ry #i''!r!nt 'ro( !ith!r o' th!s! oth!r
'or(s. It contains s!ria !!(!nts, b+t 'ac!CtoC'ac! contact #o!s
occ+r b!t,!!n th! 'irst an# th! thir# (!(b!rs. =ss!ntiay, th!
'+nction o' th! (i##! (!(b!r is to instr+ct an# #iscipin! th! thir#
(!(b!r in th! 'or(s o' b!ha"ior ,hich h! sho+# a#opt in his
contacts ,ith th! 'irst. :h! n+rs! t!ach!s th! chi# ho, to b!ha"!
to,ar# its par!nts, J+st as th! ).C.5. t!ach!s an# #iscipin!s th!
pri"at! in ho, h! sho+# b!ha"! to,ar# o''ic!rs. In psychoanaytic
t!r(inoogy, th! proc!ss o' introJ!ction is #on! indirectly, not by
#ir!ct i(pact o' th! par!nta p!rsonaity +pon th! chi#.
15
:h! 'ac!C
toC'ac! contacts b!t,!!n th! 'irst an# thir# (!(b!rs ar!, ho,!"!r,
"!ry i(portant. 8! (ay r!'!r, in this conn!ction, to th! "ita #aiy
rit+a in th! 0ritish Ar(y, in ,hich th! o''ic!r o' th! #ay as*s th!
ass!(b!# pri"at!s an# ).C.5.Is ,h!th!r th!r! ar! any co(paints.
C!rtainy, any '+ #isc+ssion o' =ngish charact!r o+ght to ao,
'or t!rnary, as ,! as bipoar patt!rns.
Sy##etrical Motifs
&o 'ar, ,! ha"! consi#!r!# ony ,hat ,! ha"! ca!# 9co(C
p!(!ntary9 patt!rns o' r!ationship, in ,hich th! b!ha"ior patt!rns
at on! !n# o' th! r!ationship ar! #i''!r!nt 'ro(, b+t 'it in ,ith, th!
b!ha"ior patt!rns at th! oth!r !n# 2#o(inanc!Cs+b(ission, !tc.3.
poish!#, int!!ct+a !a#!rs 29(onitors93 an# th! ro+gh!r, o+#!r, ath!tic !a#!rs
2captain o' 'ootba, h!a# o' ong roo(, !tc.3, ,ho ha"! th! #+ty o' s!!ing to it that
th! 9'ags9 r+n ,h!n th! (onitor cas.
15
7or a g!n!ra #isc+ssion o' c+t+ra "ariants o' th! 5!#ip+s sit+ation an# th!
r!at!# syst!(s o' c+t+ra sanctions, c'. A. A!a# 29&ocia chang! an# c+t+ra
106
:h!r! !-ists, ho,!"!r, a ,ho! cat!gory o' h+(an int!rp!rsona
b!ha"ior ,hich #o!s not con'or( to this #!scription. In a##ition to
th! contrasting co(p!(!ntary patt!rns, ,! ha"! to r!cogni/! th!
!-ist!nc! o' a s!ri!s o' symmetrical patt!rns, in ,hich p!op!
r!spon# to ,hat oth!rs ar! #oing by th!(s!"!s #oing so(!thing
si(iar. In partic+ar, ,! ha"! to consi#!r thos! co(p!titi"!
16
patC
t!rns in ,hich in#i"i#+a or gro+p A is sti(+at!# to more o' any
typ! o' b!ha"ior by p!rc!i"ing (or! o' that sa(! typ! o' b!ha"ior
2or gr!at!r s+cc!ss in that typ! o' b!ha"ior3 in in#i"i#+a or gro+p 0.
:h!r! is a "!ry pro'o+n# contrast b!t,!!n s+ch co(p!titi"!
syst!(s o' b!ha"ior an# co(p!(!ntary #o(inanc!Cs+b(ission
syst!(s;a highy signi'icant contrast 'or any #isc+ssion o' nationa
charact!r. In co(p!(!ntary stri"ing, th! sti(++s ,hich pro(pts A
to gr!at!r !''orts is th! r!ati"! 'ea3ness in 0L i' ,! ,ant to (a*! A
s+bsi#! or s+b(it, ,! o+ght to sho, hi( that 0 is strong!r than h!
is. In 'act, th! co(p!(!ntary charact!r str+ct+r! (ay b!
s+((ari/!# by th! phras! 9b+yCco,ar#,9 i(pying th!
co(bination o' th!s! charact!ristics in th! p!rsonaity. :h!
sy((!trica co(p!titi"! syst!(s, on th! oth!r han#, ar! an a(ost
pr!cis! '+nctiona opposit! o' th! co(p!(!ntary. E!r! th! sti(++s
,hich !"o*!s gr!at!r stri"ing in A is th! "ision o' gr!at!r strengt*
or gr!at!r stri"ing in 0L an#, in"!rs!y, i' ,! #!(onstrat! to A that 0
is r!ay ,!a*, A ,i r!a- his !''orts.
It is probab! that th!s! t,o contrasting patt!rns ar! ai*!
a"aiab! as pot!ntiaiti!s in a h+(an b!ingsL b+t c!ary, any
in#i"i#+a ,ho b!ha"!s in both ,ays at onc! ,i ris* int!rna
con'+sion an# con'ict. In th! "ario+s nationa gro+ps, cons!.+!nty,
#i''!r!nt (!tho#s o' r!so"ing this #iscr!pancy ha"! #!"!op!#. In
=ngan# an# in A(!rica, ,h!r! chi#r!n an# a#+ts ar! s+bJ!ct!# to
an a(ost contin+o+s barrag! o' #isappro"a ,h!n!"!r th!y !-hibit
th! co(p!(!ntary patt!rns, th!y in!"itaby co(! to acc!pt th!
16
:h! t!r( 9coop!ration,9 ,hich is so(!ti(!s +s!# as th! opposit! o'
9co(p!tition,9 co"!rs a "!ry ,i#! "ari!ty o' patt!rns, so(! o' th!( sy((!trica an#
oth!rs co(p!(!ntary, so(! bipoar an# oth!rs in ,hich th! coop!rating
in#i"i#+as ar! chi!'y ori!nt!# to so(! p!rsona or i(p!rsona goa. 8! (ay
!-p!ct that so(! car!'+ anaysis o' th!s! patt!rns ,i gi"! +s "ocab+ary 'or
#!scribing oth!r sorts o' nationa charact!ristics. &+ch an anaysis cannot b! att!(pt!#
in this pap!r.
107
!thics o' 9'air pay.
9
4!spon#ing to th! cha!ng! o' #i''ic+ti!s, th!y
cannot, ,itho+t g+it, *ic* th! +n#!r#og.
17
7or 0ritish (ora!
?+n*ir* ,as a sti(++s, not a #!pr!ssant.
In 1!r(any, on th! oth!r han#, th! sa(! cich!s ar! appar!nty
ac*ing, an# th! co((+nity is chi!'y organi/!# on th! basis o' a
co(p!(!ntary hi!rarchy in t!r(s o' #o(inanc!Cs+b(ission. :h!
#o(inanc! b!ha"ior is sharpy an# c!ary #!"!op!#L y!t th! pict+r!
is not p!r'!cty c!ar an# n!!#s '+rth!r in"!stigation. 8h!th!r a p+r!
#o(inanc!Cs+b(ission hi!rarchy co+# !"!r !-ist as a stab! syst!(
is #o+bt'+. It s!!(s that in th! cas! o' 1!r(any, th! s+b(ission !n#
o' th! patt!rn is (as*!#, so that o"!rt s+b(issi"! b!ha"ior is a(ost
as strongy taboo!# as it is in A(!rica or =ngan#. In pac! o'
s+b(ission, ,! 'in# a sort o' para#!Cgro+n# i(passi"ity.
A hint as to th! proc!ss by ,hich th! s+b(issi"! ro! is (o#i'i!#
an# r!n#!r!# to!rab! co(!s to +s o+t o' th! int!rC"i!,s in a
r!c!nty b!g+n st+#y o' 1!r(an i'! histori!s.
18
5n! 1!r(an s+bJ!ct
#!scrib!# ho, #i''!r!nt ,as th! tr!at(!nt ,hich h!, as a boy,
r!c!i"!# in his &o+th 1!r(an ho(!, 'ro( that ,hich his sist!r
r!c!i"!#. E! sai# that (+ch (or! ,as #!(an#!# o' hi(L that his
sist!r ,as ao,!# to !"a#! #iscipin!L that ,h!r!as h! ,as a,ays
!-p!ct!# to cic* his h!!s an# ob!y ,ith pr!cision, his sist!r ,as
ao,!# (+ch (or! 'r!!#o(. :h! int!r"i!,!r at onc! b!gan to oo*
'or int!rs!- sibing J!ao+sy, b+t th! s+bJ!ct #!car!# that it ,as a
gr!at!r honor 'or th! boy to ob!y. 95n! #o!snIt !-p!ct too (+ch o'
girs,9 h! sai#.
9
8hat on! '!t th!y 2boys3 sho+# acco(pish an# #o
,as "!ry s!rio+s, b!ca+s! th!y ha# to b! pr!par!# 'or i'!.9 An
int!r!sting in"!rsion o' no-lesse o-lige.
17
io It is, ho,!"!r, possib! that in c!rtain s!ctions o' th!s! nations,
co(p!(!ntary patt!rns occ+r ,ith so(! 'r!.+!ncy;partic+ary a(ong gro+ps ,ho
ha"! s+''!r!# 'ro( proong!# ins!c+rity an# +nc!rtainty, !.g., racia (inoriti!s,
#!pr!ss!# ar!as, th! stoc* !-chang!, poitica circ!s, !tc.
18
1. 0at!son, +np+bish!# r!s!arch 'or th! Co+nci on E+(an 4!ations.
108
Co#$inations of Motifs
A(ong th! co(p!(!ntary (oti's, ,! ha"! (!ntion!# ony
thr!!;#o(inanc!Cs+b(ission, !-hibitionis(Csp!ctatorship, an#
s+ccoranc!C#!p!n#!nc!;b+t th!s! thr!! ,i s+''ic! to i+strat! th!
sort o' "!ri'iab! hypoth!s!s at ,hich ,! can arri"! by #!scribing
nationa charact!r in this hyph!nat!# t!r(inoogy.
19
&inc!, c!ary, a thr!! o' th!s! (oti's occ+r in a 8!st!rn
c+t+r!s, th! possibiiti!s 'or int!rnationa #i''!r!nc! ar! i(it!# to
th! proportions an# ,ays in ,hich th! (oti's ar! co(bin!#. :h!
proportions ar! i*!y to b! "!ry #i''ic+t to #!t!ct, !-c!pt ,h!r! th!
#i''!r!nc!s ar! "!ry arg!. 8! (ay b! s+r! o+rs!"!s that 1!r(ans
ar! (or! ori!nt!# to,ar# #o(inanc!Cs+b(ission than ar!
A(!ricans, b+t to #!(onstrat! this c!rtainty is i*!y to b! #i''ic+t.
:o !sti(at! #i''!r!nc!s in th! #!gr!! o' #!"!op(!nt o'
!-hibitionis(sp!ctatorship or s+ccoranc!C#!p!n#!nc! in th! "ario+s
nations ,i, in#!!#, probaby b! .+it! i(possib!.
I', ho,!"!r, ,! consi#!r th! possib! ,ays in ,hich th!s! (oti's
(ay b! co(bin!# tog!th!r, ,! 'in# sharp .+aitati"! #i''!r!nc!s
,hich ar! s+sc!ptib! o' !asy "!ri'ication. @!t +s ass+(! that a
thr!! o' th!s! (oti's ar! #!"!op!# in a r!ationships in a 8!st!rn
c+t+r!s, an# 'ro( this ass+(ption go on to consi#!r '*ic*
indi&idual plays '*ic* role.
It is ogicay possib! that in on! c+t+ra !n"iron(!nt A ,i b!
#o(inant an# !-hibitionist, ,hi! 0 is s+b(issi"! an# sp!ctatorL
,hi! in anoth!r c+t+r! U (ay b! #o(inant an# sp!ctator, ,hi! F
is s+b(issi"! an# !-hibitionist.
=-a(p!s o' this sort o' contrast rath!r !asiy co(! to (in#.
:h+s ,! (ay not! that ,h!r!as th! #o(inant )a/is pr!!n
th!(s!"!s b!'or! th! p!op!, th! c/ar o' 4+ssia *!pt his pri"at!
ba!t, an# &tain !(!rg!s 'ro( s!c+sion ony to r!"i!, his troops.
8! (ight p!rhaps pr!s!nt th! r!ationship b!t,!!n th! )a/i $arty
an# th! p!op! th+s6
19
97or a '+!r st+#y, ,! o+ght to consi#!r s+ch oth!r (oti's as aggr!ssionC
passi"ity, poss!ssi"!Cposs!ss!#, ag!ntCtoo, !tc. An# a o' th!s! (oti's ,i r!.+ir!
so(!,hat (or! critica #!'inition than can b! att!(pt!# in this pap!r.
109
%arty %eople
?o(inanc! &+b(ission
=-hibitionis( &p!ctatorship
8hi! th! c/ar an# his ba!t ,o+# b! r!pr!s!nt!#6
":ar <allet
?o(inanc! &+b(ission
&p!ctatorship =-hibitionis(
&inc! th!s! =+rop!an !-a(p!s ar! co(parati"!y +npro"!#, it is
,orth,hi! at this point to #!(onstrat! th! occ+rr!nc! o' s+ch
#i''!r!nc!s by #!scribing a rath!r stri*ing !thnographic #i''!r!nc!
,hich has b!!n #oc+(!nt!# (or! '+y. In =+rop!, ,h!r! ,! t!n# to
associat! s+ccoring b!ha"ior ,ith socia s+p!riority, ,! constr+ct
o+r par!nt sy(bos accor#ingy. 5+r 1o#, or o+r *ing, is th!
9'ath!r9 o' his p!op!. In 0ai, on th! oth!r han#, th! go#s ar! th!
9chi#r!n9 o' th! p!op!, an# ,h!n a go# sp!a*s thro+gh th! (o+th
o' a p!rson in tranc!, h! a##r!ss!s anyon! ,ho ,i ist!n as
9'ath!r.9 &i(iary, th! raJah is sa=anganga 29spoit9 i*! a chi#3 by
his p!op!. :h! 0ain!s!, '+rth!r, ar! "!ry 'on# o' p+tting chi#r!n in
th! co(bin!# ro!s o' go# an# #anc!rL in (ythoogy, th! p!r'!ct
princ! is poish!# an# narcissistic. :h+s th! 0ain!s! patt!rn (ight
b! s+((ari/!# th+s6
High Status Low Status
?!p!n#!nc! &+ccoring
=-hibitionis( &p!ctatorship
An# this #iagra( ,o+# i(py, not ony that th! 0ain!s! '!!
#!p!n#!nc! an# !-hibitionis( an# s+p!rior stat+s to go nat+ray
tog!th!r, b+t aso that a 0ain!s! ,i not r!a#iy co(bin! s+ccoring
,ith !-hibitionis( 2that is, 0ai co(p!t!y ac*s th! ost!ntatio+s
gi'tCgi"ing charact!ristic o' (any pri(iti"! p!op!s3 or ,i b!
!(barrass!# i' 'orc!# by th! cont!-t to att!(pt s+ch a co(bination.
110
Atho+gh th! anaogo+s #iagra(s 'or o+r 8!st!rn c+t+r!s
cannot b! #ra,n ,ith th! sa(! c!rtainty, it is ,orth,hi! to att!(pt
th!( 'or th! par!ntCchi# r!ationships in =ngish, A(!rican, an#
1!r(an c+t+r!s. 5n! !-tra co(pication (+st, ho,!"!r, b! 'ac!#L
,h!n ,! oo* at par!ntCchi# r!ationships inst!a# o' at r!ationships
b!t,!!n princ!s an# p!op!, ,! ha"! to (a*! sp!ci'ic ao,anc! 'or
th! chang!s in th! patt!rn ,hich occ+r as th! chi# gro,s o#!r. &+cC
coranc!C#!p!n#!nc! is +n#o+bt!#y a #o(inant (oti' in !ary
chi#hoo#, b+t "ario+s (!chanis(s at!r (o#i'y this !-tr!(!
#!p!n#!nc!, to bring abo+t so(! #!gr!! o' psychoogica inC
#!p!n#!nc!.
:h! =ngish +pp!rC an# (i##!Ccass syst!( ,o+# b! r!pC
r!s!nt!# #iagra((aticay th+s6
6arents "*ildren
?o(inanc! &+b(ission
2(o#i'i!# by 9t!rnary9 n+rs! syst!(3
&+ccoring ?!p!n#!nc!
2#!p!n#!nc! habits bro*!n by s!paration
;chi#r!n s!nt to schoo3
=-hibitionis( &p!ctatorship
2chi#r!n ist!n si!nty at (!as3
In contrast ,ith this, th! anaogo+s A(!rican patt!rn s!!(s to
b!6
6arents "*ildren
?o(inanc! 2sight3 &+b(ission 2sight3
&+ccoring ?!p!n#!nc!
&p!ctatorship =-hibitionis(
An# this patt!rn #i''!rs 'ro( th! =ngish not ony in th! r!"!rsa
o' th! sp!ctatorshipC!-hibitionis( ro!s, b+t aso in th! cont!nt o'
,hat is !-hibit!#. :h! A(!rican chi# is !nco+rag!# by his par!nts
to sho, o'' his in#!p!n#!nc!. %s+ay th! proc!ss o' psychoogica
,!aning is not acco(pish!# by s!n#ing th! chi# a,ay to a
111
boar#ing schooL inst!a#, th! chi#Is !-hibitionis( is pay!# o''
against his in#!p!n#!nc!, +nti th! att!r is n!+trai/!#. @at!r, 'ro(
this b!ginning in th! !-hibition o' in#!p!n#!nc!, th! in#i"i#+a (ay
so(!ti(!s go on in a#+t i'! to sho, o'' s+ccoranc!, his ,i'! an#
'a(iy b!co(ing in so(! #!gr!! his 9!-hibits.9
:ho+gh th! anaogo+s 1!r(an patt!rn probaby r!s!(b!s th!
A(!rican in th! arrang!(!nt o' th! pair!# co(p!(!ntary ro!s,
c!rtainy it #i''!rs 'ro( th! A(!rican in that th! 'ath!rIs #o(inanc!
is (+ch strong!r an# (+ch (or! consist!nt, an# !sp!ciay in that
th! cont!nt o' th! boyIs !-hibitionis( is .+it! #i''!r!nt. E! is, in
'act, #o(inat!# into a sort o' h!!Ccic*ing !-hibitionis( ,hich
ta*!s th! pac! o' o"!rt s+b(issi"! b!ha"ior. :h+s, ,hi! in th!
A(!rican charact!r !-hibitionis( is !nco+rag!# by th! par!nt as a
(!tho# o' psychoogica ,!aning, both its '+nction an# its cont!nt
ar! 'or th! 1!r(an !ntir!y #i''!r!nt.
?i''!r!nc!s o' this or#!r, ,hich (ay b! !-p!ct!# in a =+rop!an
nations, ar! probaby th! basis o' (any o' o+r nai"! an# o't!n
+n*in# int!rnationa co((!nts. :h!y (ay, in#!!#, b! o'
consi#!rab! i(portanc! in th! (!chanics o' int!rnationa r!ations,
in as (+ch as an +n#!rstan#ing o' th!( (ight #isp! so(! o' o+r
(is+n#!rstan#ings. :o an A(!rican !y!, th! =ngish too o't!n
app!ar 9arrogant,
9
,h!r!as to an =ngish !y! th! A(!rican app!ars
to b! 9boast'+.
9
I' ,! co+# sho, pr!cis!y ho, (+ch o' tr+th an#
ho, (+ch o' #istortion is pr!s!nt in th!s! i(pr!ssions, it (ight b! a
r!a contrib+tion to int!rai!# coop!ration.
In t!r(s o' th! #iagra(s abo"!, th! 9arroganc!9 o' th!
=ngish(an ,o+# b! #+! to th! co(bination o' #o(inanc! an#
!-hibitionis(. :h! =ngish(an in a p!r'or(ing ro! 2th! par!nt at
br!a*'ast, th! n!,spap!r !#itor, th! poitica spo*!s(an, th!
!ct+r!r, or ,hat not3 ass+(!s that h! is aso in a #o(inant ro!;
that h! can #!ci#! in accor#anc! ,ith "ag+!, abstract stan#ar#s ,hat
sort o' p!r'or(anc! to gi"! ;an# th! a+#i!nc! can 9ta*! it or !a"!
it.9 Eis o,n arroganc! h! s!!s !ith!r as
9
nat+ra9 or as (itigat!# by
his h+(iity in 'ac! o' th! abstract stan#ar#s. V+it! +na,ar! that
his b!ha"ior co+# conc!i"aby b! r!gar#!# as a co((!nt +pon his
a+#i!nc!, h! is, on th! contrary, a,ar! ony o' b!Cha"ing in th!
p!r'or(!rIs ro!, as h! +n#!rstan#s that ro!. 0+t th! A(!rican
#o!s not s!! it th+s. :o hi(, th! 9arrogant9 b!ha"ior o' th!
112
=ngish(an app!ars to b! #ir!ct!# against th! a+#i!nc!, in ,hich
cas! th! i(picit in"ocation o' so(! abstract stan#ar# app!ars ony
to a## ins+t to inJ+ry.
&i(iary, th! b!ha"ior ,hich an =ngish(an int!rpr!ts as
9boast'+9 in an A(!rican is not aggr!ssi"!, atho+gh th!
=ngish(an (ay '!! that h! is b!ing s+bJ!ct!# to so(! sort o'
in"i#io+s co(parison. E! #o!s not *no, that, as a (att!r o' 'act,
A(!ricans ,i ony b!ha"! i*! this to p!op! ,ho( th!y rath!r
i*! an# r!sp!ct. Accor#ing to th! hypoth!sis abo"!, th! 9boasting9
patt!rn r!s+ts 'ro( th! c+rio+s in*ag! ,h!r!by !-hibition o' s!'C
s+''ici!ncy an# in#!p!n#!nc! is pay!# o'' against
o"!r#!p!n#!nc!. :h! A(!rican, ,h!n h! boasts, is oo*ing 'or
appro"a o' his +pstan#ing in#!p!n#!nc!L b+t th! nai"!
=ngish(an int!rpr!ts this b!ha"ior as a bi# 'or so(! sort o'
#o(inanc! or s+p!riority.
In this sort o' ,ay, ,! (ay s+ppos! that th! ,ho! 'a"or o' on!
nationa c+t+r! (ay #i''!r 'ro( that o' anoth!r, an# that s+ch
#i''!r!nc!s (ay b! consi#!rab! !no+gh to !a# to s!rio+s
(is+n#!rstan#ings. It is probab!, ho,!"!r, that th!s! #i''!r!nc!s
ar! not so co(p!- in th!ir nat+r! as to b! b!yon# th! r!ach o'
in"!stigation. Eypoth!s!s o' th! typ! ,hich ,! ha"! a#"anc!#
co+# b! !asiy t!st!#, an# r!s!arch on th!s! in!s is +rg!nty
n!!#!#.
National Character and A#erican Morale
%sing th! (oti's o' int!rp!rsona an# int!rgro+p r!ationCship as
o+r c+!s to nationa charact!r, ,! ha"! b!!n ab! to in#icat! c!rtain
or#!rs o' r!g+ar #i''!r!nc! ,hich ,! (ay !-p!ct to 'in# a(ong th!
p!op!s ,ho shar! o+r 8!st!rn ci"ii/ation. 5' n!c!ssity, o+r
stat!(!nts ha"! b!!n th!or!tica rath!r than !(piricaL sti, 'ro( th!
th!or!tica str+ct+r! ,hich ,! ha"! b+it +p, it is possib! to !-tract
c!rtain 'or(+as ,hich (ay b! +s!'+ to th! b+i#!r o' (ora!.
A o' th!s! 'or(+as ar! bas!# +pon th! g!n!ra ass+(ption
that p!op! ,i r!spon# (ost !n!rg!ticay ,h!n th! cont!-t is
str+ct+r!# to app!a to th!ir habit+a patt!rns o' r!action. It is not
113
s!nsib! to !nco+rag! a #on*!y to go +p hi by o''!ring hi( ra,
(!at, nor ,i a ion r!spon# to grass.
213 &innc! a 8!st!rn nations t!n# to thin* an# b!ha"! in
bipoar t!r(s, ,! sha #o ,!, in b+i#ing A(!rican (ora!, to
thin* o' o+r "ario+s !n!(i!s as a sing! hosti! !ntity. :h!
#istinctions an# gra#ations ,hich int!!ct+as (ight pr!'!r ar!
i*!y to b! #ist+rbing.
223 &inc! both A(!ricans an# =ngish r!spon# (ost !n!rC
g!ticay to sy((!trica sti(+i, ,! sha b! "!ry +n,is! i' ,!
so'tCp!#a th! #isast!rs o' ,ar. I' o+r !n!(i!s #!'!at +s at any
point, that 'act o+ght to b! +s!# to th! (a-i(+( as a cha!ng!
an# a sp+r to '+rth!r !''ort. 8h!n o+r 'orc!s ha"! s+''!r!# so(!
r!"!rs!, o+r n!,spap!rs o+ght to b! in no h+rry to t! +s that
9!n!(y a#"anc!s ha"! b!!n ch!c*!#.
9
Aiitary progr!ss is a,ays
int!r(itt!nt, an# th! (o(!nt to stri*!, th! (o(!nt ,h!n
(a-i(+( (ora! is n!!#!#, occ+rs ,h!n th! !n!(y is soi#i'ying
his position an# pr!paring th! n!-t bo,. At s+ch a (o(!nt, it is
not s!nsib! to r!#+c! th! aggr!ssi"! !n!rgy o' o+r !a#!rs an#
p!op! by s(+g r!Cass+ranc!.
233 :h!r! is, ho,!"!r, a s+p!r'icia #iscr!pancy b!t,!!n th!
habit o' sy((!trica (oti"ation an# th! n!!# 'or sho,ing s!'C
s+''ici!ncy. 8! ha"! s+gg!st!# that th! A(!rican boy !arns to
stan# +pon his o,n '!!t thro+gh thos! occasions in chi#hoo#
,h!n his par!nts ar! appro"ing sp!ctators o' his s!'Cs+''ici!ncy. I'
this #iagnosis is corr!ct, it ,o+# 'oo, that a c!rtain b+bbing +p
o' s!'Cappr!ciation is nor(a an# h!athy in A(!ricans an# is
p!rhaps an !ss!ntia ingr!#i!nt o' A(!rican in#!p!n#!nc! an#
str!ngth.
A too it!ra 'oo,ing o' th! 'or(+a abo"!, th!r!'or!, a too
gr!at insist!nc! +pon #isast!rs an# #i''ic+ti!s, (ight !a# to so(!
oss o' !n!rgy thro+gh th! #a((ing +p o' this spontan!o+s
!-+b!ranc!. A rath!r conc!ntrat!# #i!t o' 9boo#, s,!at, an# t!ars9
(ay b! goo# 'or th! =ngishL b+t A(!ricans, ,hi! no !ss
#!p!n#!nt +pon sy((!trica (oti"ation, cannot '!! th!ir oats ,h!n
'!# on nothing b+t #isast!r. 5+r p+bic spo*!s(!n an# n!,spap!r
!#itors sho+# n!"!r so'tp!#a th! 'act that ,! ha"! a (anCsi/!# Job
on o+r han#s, b+t th!y ,i #o ,! to insist aso that A(!rica is a
(anCsi/!# nation. Any sort o' att!(pt to r!ass+r! A(!ricans by
114
(ini(i/ing th! str!ngth o' th! !n!(y (+st b! a"oi#!#, b+t 'ran*
boasts o' r!a s+cc!ss ar! goo#.
243 0!ca+s! o+r "ision o' th! p!ac! is a 'actor in o+r ,arC(a*ing
(ora!, it is ,orth,hi! to as* at onc! ,hat ight th! st+#y o'
nationa #i''!r!nc!s (ay thro, +pon th! prob!(s o' th! p!ac!
tab!.
8! ha"! to #!"is! a p!ac! tr!aty +a4 s+ch that A(!ricans an#
0ritish ,i 'ight to achi!"! it, an# 2b3 s+ch that it ,i bring o+t th!
b!st rath!r than th! ,orst charact!ristics o' o+r !n!(i!s. I' ,!
approach it sci!nti'icay, s+ch a prob!( is by no (!ans b!yon# o+r
s*i.
:h! (ost conspic+o+s psychoogica h+r#! to b! n!gotiat!#, in
i(agining s+ch a p!ac! tr!aty, is th! contrast b!t,!!n 0ritish an#
A(!rican sy((!trica patt!rns an# th! 1!r(an co(p!(!ntary
patt!rn, ,ith its taboo on o"!rt s+bC(issi"! b!ha"ior. :h! ai!#
nations ar! not psychoogicay !.+ipp!# to !n'orc! a harsh tr!atyL
th!y (ight #ra, +p s+ch a tr!aty, b+t in si- (onths th!y ,o+# tir!
o' *!!ping th! +n#!r#og #o,n. :h! 1!r(ans, on th! oth!r han#, i'
th!y s!! th!ir ro! as 9s+b(issi"!,9 ,i not stay #o,n ,itho+t harsh
tr!at(!nt. 8! ha"! s!!n that th!s! consi#!rations appi!# !"!n to
s+ch a (i#y p+niti"! tr!aty as ,as #!"is!# at G!rsai!sL th! ai!s
o(itt!# to !n'orc! it, an# th! 1!r(ans r!'+s!# to acc!pt it. It is,
th!r!'or!, +s!!ss to #r!a( o' s+ch a tr!aty, an# ,ors! than +s!!ss
to r!p!at s+ch #r!a(s as a ,ay o' raising o+r (ora! no,, ,h!n ,!
ar! angry ,ith 1!r(any. :o #o that ,o+# ony obsc+r! th! iss+!s in
th! 'ina s!tt!(!nt.
:his inco(patibiity b!t,!!n co(p!(!ntary an# sy((!trica
(oti"ation (!ans, in 'act, that th! tr!aty cannot b! organi/!# aro+n#
si(p! #o(inanc!Cs+b(issi"! (oti'sL h!nc! ,! ar! 'orc!# to oo*
'or at!rnati"! so+tions. 8! (+st !-Ca(in!, 'or !-a(p!, th! (oti'
o' !-hibitionis(Csp!ctatorship ;,hat #igni'i!# ro! is !ach o' th!
"ario+s nations b!st 'itt!# to payD;an# that o' s+ccoringC
#!p!n#!nc!;in th! star"ing post,ar ,or#, ,hat (oti"ationa
patt!rns sha ,! !"o*! b!t,!!n thos! ,ho gi"! an# thos! ,ho
r!c!i"! 'oo#D An#, at!rnati"! to th!s! so+tions, ,! ha"! th!
possibiity o' so(! thr!!'o# str+ct+r!, ,ithin ,hich both th! ai!s
an# 1!r(any ,o+# s+b(it, not to !ach oth!r, b+t to so(! abstract
princip!.
115
*ali: The 4alue +y!te( o5 a +tea#y
+tate
*
"Ethos" and "Schis#o&enesis"
It ,o+# b! an o"!rsi(pi'ication;it ,o+# !"!n b! 'as! ;to
say that sci!nc! n!c!ssariy a#"anc!s by th! constr+ction an#
!(pirica t!sting o' s+cc!ssi"! ,or*ing hypoth!s!s. A(ong th!
physicists an# ch!(ists th!r! (ay b! so(! ,ho r!ay proc!!# in
this oithoco- (ann!r, b+t a(ong th! socia sci!ntists th!r! is
p!rhaps not on!. 5+r conc!pts ar! oos!y #!'in!#;a ha/! o'
chiarosc+ro pr!'ig+ring sharp!r in!s sti +n#ra,n;an# o+r
hypoth!s!s ar! sti so "ag+! that rar!y can ,! i(agin! any cr+cia
instanc! ,hos! in"!stigation ,i t!st th!(.
:h! pr!s!nt pap!r is an att!(pt to (a*! (or! pr!cis! an i#!a
,hich I p+bish!# in 1936
20
an# ,hich has ain 'ao, sinc! that
ti(!. :h! notion o' et*os ha# pro"!# a +s!'+ conc!pt+a too 'or (!,
an# ,ith it I ha# b!!n ab! to g!t a sharp!r +n#!rstan#ing o' Iat(+
c+t+r!. 0+t this !-p!ri!nc! by no (!ans pro"!# that this too ,o+#
n!c!ssariy b! +s!'+ in oth!r han#s or 'or th! anaysis o' oth!r
c+t+r!s. :h! (ost g!n!ra conc+sion I co+# #ra, ,as o' this
or#!r6 that (y o,n (!nta proc!ss!s ha# c!rtain charact!risticsL
that th! sayings, actions, an# organi/ation o' th! Iat(+ ha# c!rtain
charact!risticsL an# that th! abstraction, 9!thos,9 p!r'or(!# so(!
ro!;cataytic, p!rhaps;in !asing th! r!ation b!t,!!n th!s! t,o
sp!ci'iciti!s, (y (in# an# th! #ata ,hich I (ys!' ha# co!ct!#.
I((!#iat!y a't!r co(p!ting th! (an+script o' ;a&en, I ,!nt to
0ai ,ith th! int!ntion o' trying +pon 0ain!s! #ata this too ,hich
ha# b!!n !"o"!# 'or th! anaysis o' Iat(+. 7or on! r!ason or
anoth!r, ho,!"!r, I #i# not #o this, party b!ca+s! in 0ai Aargar!t
H
:his !ssay app!ar!# in Social Structure# Studies 6resented to A. $. $adcliffe%
<ro'n, !#it!# by A!y!r 7ort!s, 1949. It is r!print!# by p!r(ission o' th! Car!n#on
$r!ss. $r!paration o' th! !ssay ,as ai#!# by a 1+gg!nh!i( 7!o,ship.
20
1. 0at!son, ;a&en, Ca(bri#g!, Ca(bri#g! %ni"!rsity $r!ss, 1936.
116
A!a# an# I ,!r! !ngag!# in #!"ising oth!r toos;photographic
(!tho#s o' r!cor# an# #!scription;an# party b!ca+s! I ,as
!arning th! t!chni.+!s o' appying g!n!tic psychoogy to c+t+ra
#ata, b+t (or! !sp!ciay b!ca+s! at so(! inartic+at! !"! I '!t
that th! too ,as +ns+itab! 'or this n!, tas*.
It ,as not that !thos ,as in any s!ns! #ispro"!#;in#!!#, a too
or a (!tho# can scarc!y b! pro"!# 'as!. It can ony b! sho,n to b!
not +s!'+, an# in this cas! th!r! ,as not !"!n a c!ar #!(onstration
o' +s!!ssn!ss. :h! (!tho# r!(ain!# a(ost +ntri!#, an# th! (ost I
co+# say ,as that, a't!r that s+rr!n#!r to th! #ata ,hich is th! 'irst
st!p in a anthropoogica st+#y, !thoogica anaysis #i# not s!!(
to b! th! n!-t thing to #o.
It is no, possib! to sho, ,ith 0ain!s! #ata ,hat p!c+iariti!s
o' that c+t+r! (ay ha"! in'+!nc!# (! a,ay 'ro( !thoogica
anaysis, an# this #!(onstration ,i !a# to a gr!at!r g!n!rai/ation
o' th! abstractionL !thos. 8! sha in th! proc!ss (a*! c!rtain
h!+ristic a#"anc!s ,hich (ay g+i#! +s to (or! rigoro+s #!scripti"!
proc!#+r!s in #!aing ,ith oth!r c+t+r!s.
213 :h! anaysis o' Iat(+ #ata !# to th! #!'inition o' !thos as
9:h! !-pr!ssion o' a c+t+ray stan#ar#i/!# syst!( o' organi/ation
o' th! instincts an# !(otions o' th! in#i"i#+as.9
>1
223 Anaysis o' Iat(+ !thos;consisting in th! or#!ring o' #ata
so as to (a*! !"i#!nt c!rtain r!c+rr!nt 9!(phas!s9 or 9th!(!s
9
;!#
to r!cognition o' schis(og!n!sis. It app!ar!# that th! ,or*ing o'
at(+ soci!ty in"o"!# inter alia t,o cass!s o' r!g!n!rati"!
22
or
9"icio+s9 circ!s. 0oth o' th!s! ,!r! s!.+!nc!s o' socia int!raction
21
)a"!n, p. 118.
22
:h! t!r(s 9r!g!n!rati"!9 an# 9#!g!n!rati"!9 ar! borro,!# 'ro( co((+niC
cations !ngin!!ring. A r!g!n!rati"! or 9"icio+s9 circ! is a chain o' "ariab!s o' th!
g!n!ra typ!6 incr!as! in A ca+s!s incr!as! in 0L incr!as! in 0 ca+s!s incr!as! in CL
.. incr!as! in ) ca+s!s incr!as! in A. &+ch a syst!(, i' pro"i#!# ,ith th! n!c!ssary
!n!rgy so+rc!s an# i' !-t!rna 'actors p!r(it, ,i c!ary op!rat! at a gr!at!r an#
gr!at!r rat! or int!nsity. A 9#!g!n!rati"!9 or
9
s!'Ccorr!cti"!9 circ! #i''!rs from a r!C
g!n!rati"! circ! in containing at !ast on! in* o' th! typ!6 9incr!as! in ) ca+s!s
decrease in A.9 :h! ho+s! th!r(ostat or th! st!a( !ngin! ,ith a go"!rnor ar! !-C
a(p!s o' s+ch s!'Ccorr!cting syst!(s. It ,i b! not!# that in (any instanc!s th!
sa(! (at!ria circ+it (ay b! !ith!r r!g!n!rati"! or #!g!n!rati"! accor#ing to th!
a(o+nt o' oa#ing, 'r!.+!ncy o' i(p+s!s trans(itt!# aro+n# th! path, an# ti(!
charact!ristics o' th! tota path.
117
s+ch that AIs acts ,!r! sti(+i 'or 0Is acts, ,hich in t+rn b!ca(!
sti(+i 'or (or! int!ns! action on th! part o' A, an# so on, A an# 0
b!ing p!rsons acting !ith!r as in#i"i#+as or as gro+p (!(b!rs.
233 :h!s! schis(og!nic s!.+!nc!s co+# b! cassi'i!# into t,o
cass!s6 +a4 symmetrical sc*ismogenesis, ,h!r! th! (+t+ay
pro(oting actions o' A an# 0 ,!r! !ss!ntiay si(iar, !.g., in cas!s
o' co(p!tition, ri"ary, an# th! i*!L an# 2 b3 complementary
sc*ismogenesis, ,h!r! th! (+t+ay pro(oting actions ar!
!ss!ntiay #issi(iar b+t (+t+ay appropriat!, !.g., in cas!s o'
#o(inanc!Cs+b(ission, s+ccoringC#!p!n#!nc!, !-hibitionis(C
sp!ctatorship, an# th! i*!.
243 In 1939 a consi#!rab! a#"anc! ,as (a#! in #!'ining th!
'or(a r!ations b!t,!!n th! conc!pts o' sy((!trica an#
co(p!(!ntary schis(og!n!sis. :his ca(! 'ro( an att!(pt to stat!
schis(og!nic th!ory in t!r(s o' 4ichar#sonIs !.+ations 'or
int!rnationa ar(a(!nts rac!s
23
. :h! !.+ations 'or ri"ary !"i#!nty
ga"! a 'irst appro-i(ation to ,hat I ha# ca!# 9sy((!trica
schis(og!n!sis.9 :h!s! !.+ations ass+(! that th! int!nsity o' AIs
actions 2th! rat! o' his ar(ing, in 4ichar#sonIs cas!3 is si(py
proportiona to th! a(o+nt by ,hich 0 is ah!a# o' A. :h! sti(++s
t!r( in 'act is 20 ;A3, an# ,h!n this t!r( is positi"! it is !-p!ct!#
that A ,i !nCgag! in !''orts to ar(. 4ichar#sonIs s!con# !.+ation
(a*!s th! sa(! ass+(ption mutatis mutandis abo+t 0Is actions.
:h!s! !.+ations s+gg!st!# that oth!r si(py ri"aro+s or co(p!titi"!
ph!no(!na;!.g., boasting;tho+gh not s+bJ!ct to s+ch si(p!
(!as+r!(!nt as !-p!n#it+r! on ar(a(!nt, (ight y!t ,h!n
+ti(at!y (!as+r!# b! r!#+cib! to a si(py anaogo+s s!t o'
r!ations.
:h! (att!r ,as, ho,!"!r, not so c!ar in th! cas! o' co(C
p!(!ntary schis(og!n!sis. 4ichar#son
I
s !.+ations 'or 9s+bC
(ission9 !"i#!nty #!'in! a ph!no(!non so(!,hat #i''!r!nt 'ro( a
progr!ssi"! co(p!(!ntary r!ationship, an# th! 'or( o' his
!.+ations #!scrib!s th! action o' a 'actor 9s+b(issi"!ness" ,hich
so,s #o,n an# +ti(at!y r!"!rs!s th! sign o' ,ari*! !''ort. 8hat
,as, ho,!"!r, r!.+ir!# to #!scrib! co(p!(!ntary schis(og!n!sis
23
@. 7. 4ichar#son, 91!n!rai/!# 7or!ign $oitics,9 0ritish Jo+rna o'
$sychoogy, Aonograph &+pp!(!nt --iii, 1939.
118
,as an !.+ationa 'or( gi"ing. a sharp an# #iscontin+o+s r!"!rsa o'
sign. &+ch an !.+ationa 'or( is achi!"!# by s+pposing AIs actions
in a co(p!(!ntary r!ationship to b! proportiona to a sti(++s
t!r( o' th! typ! 2A ;03 . &+ch a 'or( has aso th! a#"antag! o'
a+to(aticay #!'ining th! actions o' on! o' th! participants as
n!gati"!, an# th+s gi"!s so(! (ath!(atica anaog+! 'or th!
appar!nt psychoogica r!at!#n!ss o' #o(ination to s+b(ission,
!-hibitionis( to sp!ctatorship, s+ccoring to #!p!n#!nc!, !tc.
)otaby this 'or(+ation is its!' a n!gati"! o' th! 'or(+ation
'or ri"ary, th! sti(++s t!r( b!ing th! opposit!. It ha# b!!n
obs!r"!# that sy((!trica s!.+!nc!s o' actions t!n# sharpy to
r!#+c! th! strain o' !-c!ssi"!y co(p!(!ntary r!ationships
b!t,!!n p!rsons or gro+ps.
24
It is t!(pting to ascrib! this !''!ct to
so(! hypoth!sis ,hich ,o+# (a*! th! t,o typ!s o'
schis(og!n!sis in so(! #!gr!! psychoogicay inco(patib!, as is
#on! by th! abo"! 'or(+ation.
253 It is o' int!r!st to not! that a th! (o#!s associat!# ,ith th!
!rog!no+s /on!s,
25
tho+gh not c!ary .+anti'iab!, #!'in! th!(!s 'or
complementary r!ationship.
263 :h! in* ,ith !rog!no+s /on!s s+gg!st!# in 5, abo"!,
in#icat!s that ,! o+ght, p!rhaps, not to thin* o' si(p! rising
!-pon!ntia c+r"!s o' int!nsity i(it!# ony by 'actors anaogo+s to
'atig+!, s+ch as 4ichar#sonIs !.+ations ,o+# i(pyL b+t rath!r that
,! sho+# !-p!ct o+r c+r"!s to b! bo+n#!# by ph!no(!na
co(parab! to orgas(;that th! achi!"!(!nt o' a c!rtain #!gr!! o'
bo#iy or n!+ra in"o"!(!nt or int!nsity (ay b! 'oo,!# by a
r!!as! o' schis(og!nic t!nsion. In#!!#, a that ,! *no, abo+t
h+(an b!ings in "ario+s sorts o' si(p! cont!sts ,o+# s!!( to
24
)a"!n, p. 173.
25
=. E. Eo(b+rg!r, 9Con'ig+rations in $ay6 $sychoCogica )ot!s,9
$sychoanaytica V+art!ry, 1937, "i6 138C214. :his pap!r, on! o' th! (ost
i(portant in th! it!rat+r! s!!*ing to stat! psychoanaytic hypoth!s!s in (or!
rigoro+s t!r(s, #!as ,ith th! 9(o#!s9 appropriat! to th! "ario+s !rog!no+s /on!s
;intr+sion, incorporation, r!t!ntion, an# th! i*!;an# sho,s ho, th!s! (o#!s (ay
b! trans'!rr!# 'ro( on! /on! to anoth!r. :his !a#s th! ,rit!r to a chart o' th!
possib! p!r(+tations an# co(binations o' s+ch trans'!rr!# (o#aiti!s. :his chart
pro"i#!s pr!cis! (!ans o' #!scribing th! co+rs! o' th! #!"!op(!nt o' a arg!
"ari!ty of #i''!r!nt typ!s o' charact!r str+ct+r! 2!.g., as (!t ,ith in #i''!r!nt
c+t+r!s3.
119
in#icat! that this is th! cas!, an# that th! conscio+s or +nconscio+s
,ish 'or r!!as! o' this *in# is an i(portant 'actor ,hich #ra,s th!
participants on an# pr!"!nts th!( 'ro( si(py ,ith#ra,ing 'ro(
cont!sts ,hich ,o+# oth!r,is! not co((!n# th!(s!"!s to
9
co((on s!ns!.9 I' th!r! b! any basic h+(an charact!ristic ,hich
(a*!s (an pron! to str+gg!, it ,o+# s!!( to b! this hop! o'
r!!as! 'ro( t!nsion thro+gh tota in"o"!(!nt. In th! cas! o' ,ar
this 'actor is +n#o+bt!#y o't!n pot!nt. 2:h! r!a tr+th;that in
(o#!rn ,ar'ar! ony a "!ry '!, o' th! participants achi!"! this
ci(actic r!!as!;s!!(s har#y to stan# against th! insi#io+s (yth
o' 9tota9 ,ar.3
273 In 1936 it ,as s+gg!st!# that th! ph!no(!non o' 9'aing in
o"!9 (ight b! co(parab! to a schis(og!n!sis ,ith th! signs
r!"!rs!#, an# !"!n that 9i' th! co+rs! o' tr+! o"! !"!r ran s(ooth it
,o+# 'oo, an !-pon!ntia c+r"!.9
26
4ichar#son
27
has sinc!,
in#!p!n#!nty, (a#! th! sa(! point in (or! 'or(a t!r(s.
$aragraph 6, abo"!, c!ary in#icat!s that th! 9!-pon!ntia c+r"!s9
(+st gi"! pac! to so(! typ! o' c+r"! ,hich ,i not ris!
in#!'init!y b+t ,i r!ach a ci(a- an# th!n 'a. 7or th! r!st,
ho,!"!r, th! ob"io+s r!ationCship o' th!s! int!racti"! ph!no(!na
to ci(a- an# orgas( "!ry (+ch str!ngth!ns th! cas! 'or r!gar#ing
schis(og!n!sis an# thos! c+(+ati"! s!.+!nc!s o' int!raction
,hich !a# to o"! as o't!n psychoogicay !.+i"a!nt. 28itn!ss th!
c+rio+s con'+sions b!t,!!n 'ighting an# o"!(a*ing, th! sy(boic
i#!nti'ications o' orgas( ,ith #!ath, th! r!c+rr!nt +s! by (a((as
o' organs o' o''!ns! as orna(!nts o' s!-+a attracttion, !tc.3
283 Sc*ismogenic se5uences 'ere not found in <ali. :his
n!gati"! stat!(!nt is o' s+ch i(portanc! an# con'icts ,ith so (any
th!ori!s o' socia opposition an# Aar-ian #!t!r(inis( that, in or#!r
to achi!"! cr!#ibiity, I (+st h!r! #!Cscrib! sch!(aticay th!
proc!ss o' charact!r 'or(ation, th! r!s+ting 0ain!s! charact!r
str+ct+r!, th! !-c!ptiona inCstanc!s in ,hich so(! sort o'
c+(+ati"! int!raction can b! r!cogni/!#, an# th! (!tho#s by ,hich
.+arr!s an# stat+s #i''!r!ntiation ar! han#!#. 2?!tai!# anaysis o'
th! "ario+s points an# th! s+pporting #ata cannot h!r! b!
26
;a&en, p. 197.
27
5p. cit., 1939.
120
r!pro#+c!#, b+t r!'!r!nc!s ,i b! gi"!n to p+bish!# so+rc!s ,h!r!
th! #ata can b! !-a(in!#.3
28
Balinese Character
+a4 :h! (ost i(portant !-c!ption to th! abo"! g!n!rai/ation
occ+rs in th! r!ationship b!t,!!n a#+ts 2!sp!ciay par!nts3 an#
chi#r!n. :ypicay, th! (oth!r ,i start a s(a 'irtation ,ith th!
chi#, p+ing its p!nis or oth!r,is! sti(+ating it to int!rp!rsona
acti"ity. :his ,i !-cit! th! chi#, an# 'or a '!, (o(!nts
c+(+ati"! int!raction ,i occ+r. :h!n J+st as th! chi#,
approaching so(! s(a ci(a-, 'ings its ar(s aro+n# th! (oth!rIs
n!c*, h!r att!ntion ,an#!rs. At this point th! chi# ,i typicay
start an at!rnati"! c+(+ati"! int!raction, b+i#ing +p to,ar#
t!(p!r tantr+(. :h! (oth!r ,i !ith!r pay a sp!ctatorIs ro!,
!nJoying th! chi#Is tantr+(, or, i' th! chi# act+ay attac*s h!r, ,i
br+sh o'' his attac* ,ith no sho, o' ang!r on h!r part. :h!s! s!C
.+!nc!s can b! s!!n !ith!r as an !-pr!ssion o' th! (oth!rIs #istast!
'or this typ! o' p!rsona in"o"!(!nt or as cont!-t in ,hich th!
chi# ac.+ir!s a #!!p #istr+st o' s+ch in"o"!(!nt. :h! p!rhaps
basicay h+(an t!n#!ncy to,ar#s c+(+ati"! p!rsona int!raction
is th+s (+t!#.
29
It is possib! that so(! sort o' contin+ing pat!a+
o' int!nsity is s+bstit+t!# 'or ci(a- as th! chi# b!co(!s (or!
'+y a#J+st!# to 0ain!s! i'!. :his cannot at pr!s!nt b! c!ary
#oc+(!nt!# 'or s!-+a r!ations, b+t th!r! ar! in#ications that a
pat!a+ typ! o' s!.+!nc! is charact!ristic 'or tranc! an# 'or
.+arr!s 2s!! #, b!o,3.
2b3&i(iar s!.+!nc!s ha"! th! !''!ct o' #i(inishing th! chi#Is
t!n#!nci!s to,ar# co(p!titi"! an# ri"aro+s b!ha"ior. :h! (oth!r
,i, 'or !-a(p!, t!as! th! chi# by s+c*ing th! baby o' so(!
28
&!! !sp!ciay 1. 0at!son an# A. A!a#, 0ain!s! Charact!r6 A $hotographic
Anaysis. &inc! this photoCgraphic r!cor# is a"aiab!, no photographs ar! inc+#!#
in th! pr!s!nt pap!r.
29
0ain!s! Charact!r6 A $hotographic Anaysis, p. 47, an# pp. 32C6.
121
oth!r ,o(an an# ,i !nJoy h!r o,n chi#Is !''orts to p+sh th!
intr+#!r 'ro( th! br!ast.
30
2c3In g!n!ra th! ac* o' ci(a- is charact!ristic 'or 0ain!s!
(+sic, #ra(a, an# oth!r art 'or(s. :h! (+sic typicay has a
progr!ssion, #!ri"!# 'ro( th! ogic o' its 'or(a str+ct+r!, an#
(o#i'ications o' int!nsity #!t!r(in!# by th! #+ration an#
progr!ss o' th! ,or*ing o+t o' th!s! 'or(a r!ations. It #o!s not
ha"! th! sort o' rising int!nsity an# ci(a- str+ct+r! charact!ristic
o' (o#!rn 5cci#!nta (+sic, b+t rath!r a 'or(a progr!ssion.
31
2#3 0ain!s! c+t+r! inc+#!s #!'init! t!chni.+!s 'or #!aing ,ith
.+arr!s. :,o (!n ,ho ha"! .+arr!!# ,i go 'or(ay to th!
o''ic! o' th! oca r!pr!s!ntati"! o' th! 4aJah an# ,i th!r! r!gist!r
th!ir .+arr!, agr!!ing that ,hich!"!r sp!a*s to th! oth!r sha pay a
'in! or (a*! an o''!ring to th! go#s. @at!r, i' th! .+arr! t!r(inat!s,
this contract (ay b! 'or(ay n+i'i!#. &(a!r;b+t si(iar;
a"oi#anc!s (pwik) ar! practic!#, !"!n by s(a chi#r!n in th!ir
.+arr!s. It is signi'icant, p!rhaps, that this proc!#+r! is not an
att!(pt to in'+!nc! th! protagonists a,ay 'ro( hostiity an# to,ar#
'ri!n#ship. 4ath!r, it is a 'or(a r!cognition o' th! stat! o' th!ir
(+t+a r!ationship, an# possiby, in so(! sort, a p!gging o' th!
r!ationship at that stat!. I' this int!rpr!tation is corr!ct, this (!tho#
o' #!aing ,ith .+arr!s ,o+# corr!spon# to th! s+bstit+tion o' a
pat!a+ 'or a ci(a-.
2!3 In r!gar# to ,ar'ar!, cont!(porary co((!nt on th! o# ,ars
b!t,!!n th! 4aJahs in#icat!s that in th! p!rio# ,h!n th! co((!nts
,!r! co!ct!# 21936Y393 ,ar ,as tho+ght o' as containing arg!
!!(!nts o' (+t+a a"oi#anc!. :h! "iag! o' 0aJo!ng 1!#! ,as
s+rro+n#!# by an o# "a+( an# 'oss, an# th! p!op! !-pain!# th!
'+nctions o' th!s! 'orti'ications in th! 'oo,ing t!r(s6 9I' yo+ an# I
ha# a .+arr!, th!n yo+ ,o+# go an# #ig a #itch aro+n# yo+r ho+s!.
@at!r I ,o+# co(! to 'ight ,ith yo+, b+t I ,o+# 'in# th! #itch an#
th!n th!r! ,o+# b! no 'ight9;a sort o' (+t+a Aaginot @in!
psychoogy. &i(iary th! bo+n#ari!s b!t,!!n n!ighboring
*ing#o(s ,!r!, in g!n!ra, a #!s!rt!# noC(anIs an# inhabit!# ony
by "agrants an# !-i!s. 2A "!ry #i''!r!nt psychoogy o' ,ar'ar! ,as
30
bi#., ps. 49, 52, 53, an# 69C72.
31
&!! Coin Ac$h!!, 9:h! Abso+t! A+sic o' 0ai,9 ,odern ,usic, 19?50 an#
A 1ouse in <ali, @on#on, 1oanc/, 1947.
122
no #o+bt #!"!op!# ,h!n th! *ing#o( o' <arangas!( !(bar*!# on
th! con.+!st o' th! n!ighboring isan# o' @o(bo* in th! b!ginning
o' th! !ight!!nth c!nt+ry. :h! psychoogy o' this (iitaris( has not
b!!n in"!stigat!#, b+t th!r! is r!ason to b!i!"! that th! ti(!
p!rsp!cti"! o' th! 0ain!s! coonists in @o(bo* is to#ay sigC
ni'icanty #i''!r!nt 'ro( that o' 0ain!s! in 0ai.3
32
2'3 :h! 'or(a t!chni.+!s o' socia in'+!nc!;oratory an# th!
i*!;ar! a(ost totay ac*ing in 0ain!s! c+t+r!. :o #!(an# th!
contin+!# att!ntion o' an in#i"i#+a or to !-!rt !(otiona in'+!nc!
+pon a gro+p ar! ai*! #istast!'+ an# "irt+ay i(possib!L b!ca+s!
in s+ch circ+(stanc!s th! att!ntion o' th! "icti( rapi#y ,an#!rs.
="!n s+ch contin+!# sp!!ch as ,o+#, in (ost c+t+r!s, b! +s!# 'or
th! t!ing o' stori!s #o!s not occ+r in 0ai. :h! narrator ,i,
typicay, pa+s! a't!r a s!nt!nc! or t,o, an# ,ait 'or so(! (!(b!r
o' th! a+#i!nc! to as* hi( a concr!t! .+!stion abo+t so(! #!tai o'
th! pot. E! ,i th!n ans,!r th! .+!stion an# so r!s+(! his
narration. :his proc!#+r! appar!nty br!a*s th! c+(+ati"! t!nsion
by irr!!"ant int!raction.
2g3 :h! principa hi!rarchica str+ct+r!s in th! soci!ty;th! cast!
syst!( an# th! hi!rarchy o' '+ citi/!ns ,ho ar! th! "iag! co+nci
;ar! rigi#. :h!r! ar! no cont!-ts in ,hich on! in#i"i#+a co+#
conc!i"aby co(p!t! ,ith anoth!r 'or position in !ith!r o' th!s!
syst!(s. An in#i"i#+a (ay os! his (!(b!rship in th! hi!rarchy 'or
"ario+s acts, b+t his pac! in it cannot b! at!r!#. &ho+# h! at!r
r!t+rn to ortho#o-y an# b! acc!pt!# bac*, h! ,i r!t+rn to his
origina position in r!ation to th! oth!r (!(b!rs.
33
:h! 'or!going #!scripti"! g!n!rai/ations ar! a partia ans,!rs
to a n!gati"! .+!stion;
9
8hy is 0ain!s! soci!ty nonC
schis(og!nicD9;an# 'ro( th! co(bination o' th!s! g!n!rai/ations
,! arri"! at a pict+r! o' a soci!ty #i''!ring "!ry (ar*!#y 'ro( o+r
o,n, 'ro( that o' th! Iat(+, 'ro( thos! syst!(s o' socia
opposition ,hich 4a#ci''!C0ro,n has anay/!#, an# 'ro( any
socia str+ct+r! post+at!# by Aar-ian anaysis.
32
&!! 1. 0at!son, 9An 5# :!(p! an# a )!, Ayth,9 8=a'a, -"ii, 0ata"ia, 1937.
33
&!! A. A!a#, 9$+bic 5pinion A!chanis(s a(ong $ri(iti"! $!op!s,9
6u-lic @pinion Auarterly, 1937, is 5%16.
123
8! start!# ,ith th! hypoth!sis that h+(an b!ings ha"! a
t!n#!ncy to in"o"! th!(s!"!s in s!.+!nc!s o' c+(+ati"!
int!raction, an# this hypoth!sis is sti !'t "irt+ay intact. A(ong
th! 0ain!s! th! babi!s, at !ast, !"i#!nty ha"! s+ch t!n#!nci!s. 0+t
'or socioogica "ai#ity this hypoth!sis (+st no, b! g+ar#!# ,ith a
par!nth!tica ca+s! stip+ating that th!s! t!n#!nci!s ar! op!rati"! in
th! #yna(ics o' soci!ty ony i' th! chi#hoo# training is not s+ch as
to pr!"!nt th!ir !-pr!ssion in a#+t i'!.
8! ha"! (a#! an a#"anc! in o+r *no,!#g! o' th! scop! o'
h+(an charact!r 'or(ation in #!(onstrating that th!s! t!n#!nci!s
to,ar# c+(+ati"! int!raction ar! s+bJ!ct to so(! sort o'
(o#i'ication, #!con#itioning, or inhibition.
34
An# this is an
i(portant a#"anc!. 8! *no, ho, it is that th! 0ain!s! ar!
nonschis(og!nic an# ,! *no, ho, th!ir #istast! 'or schis(og!nic
patt!rns is !-pr!ss!# in "ario+s #!tais o' th! socia organi/ation;
th! rigi# hi!rarchi!s, th! instit+tions 'or th! han#ing o' .+arr!s, !tc.
;b+t ,! sti *no, nothing o' th! positi"! #yna(ics o' th! soci!ty.
8! ha"! ans,!r!# ony th! n!gati"! .+!stion.
Balinese Ethos
:h! n!-t st!p, th!r!'or!, is to as* abo+t 0ain!s! !thos. 8hat
act+ay ar! th! (oti"!s an# th! "a+!s ,hich acco(pany th!
co(p!- an# rich c+t+ra acti"iti!s o' th! 0ain!s!D 8hat, i' not
co(p!titi"! an# oth!r typ!s o' c+(+ati"! int!rr!ationship, ca+s!s
th! 0ain!s! to carry o+t th! !aborat! patt!rns o' th!ir i"!sD
213 It is i((!#iat!y c!ar to any "isitor to 0ai that th! #ri"ing
'orc! 'or c+t+ra acti"ity is not !ith!r ac.+isiti"!n!ss or cr+#!
physioogica n!!#. :h! 0ain!s!, !sp!ciay in th! pains, ar! not
h+ngry or po"!rtyCstric*!n. :h!y ar! ,ast!'+ o' 'oo#, an# a "!ry
consi#!rab! part o' th!ir acti"ity go!s into !ntir!y nonpro#+cti"!
acti"iti!s o' an artistic or rit+a nat+r! in ,hich 'oo# an# ,!ath ar!
34
As is +s+a in anthropoogy, th! #ata ar! not s+''ici!nty pr!cis! to gi"! +s any c+!
as to th! nat+r! o' th! !arning proc!ss!s in"o"!#. Anthropoogy, at b!st, is ony
ab! to raise prob!(s o' this or#!r. :h! n!-t st!p (+st b! !'t 'or aboratory
!-p!ri(!ntation.
124
a"ishy !-p!n#!#. =ss!ntiay, ,! ar! #!aing ,ith an !cono(y o'
p!nty rath!r than an !cono(y o' scarcity. &o(!, in#!!#, ar! rat!#
9poor9 by th!ir '!o,s, b+t non! o' th!s! poor ar! thr!at!n!# by
star"ation, an# th! s+gg!stion that h+(an b!ings (ay act+ay star"!
in gr!at 5cci#!nta citi!s ,as, to th! 0ain!s!, +n+tt!raby shoc*ing.
223 In th!ir !cono(ic transactions th! 0ain!s! sho, a gr!at
#!a o' car!'+n!ss in th!ir s(a #!aings. :h!y ar! 9p!nny ,is!.9
5n th! oth!r han#, this car!'+n!ss is co+nt!rCact!# by occasiona
9po+n# 'ooishn!ss9 ,h!n th!y ,i !-p!n# arg! s+(s o' (on!y
+pon c!r!(onias an# oth!r 'or(s o' a"ish cons+(ption. :h!r! ar!
"!ry '!, 0ain!s! ,ho ha"! th! i#!a o' st!a#iy (a-i(i/ing th!ir
,!ath or prop!rtyL th!s! '!, ar! party #isi*!# an# party r!gar#!#
as o##iti!s. 7or th! "ast (aJority th! 9sa"ing o' p!nni!s9 is #on!
,ith a i(it!# ti(! p!rsp!cti"! an# a i(it!# !"! o' aspiration.
:h!y ar! sa"ing +nti th!y ha"! !no+gh to sp!n# arg!y on so(!
c!r!(onia. 8! sho+# not #!scrib! 0ain!s! !cono(ics in t!r(s o'
th! in#i"i#+aIs att!(pt to (a-i(i/! "a+!, b+t rath!r co(par! it
,ith th! r!a-ation osciations o' physioogy an# !ngin!!ring,
r!ai/ing that not ony is this anaogy #!scripti"! o' th!ir s!.+!nc!s
o' transactions, b+t that th!y th!(s!"!s s!! th!s! s!.+!nc!s as
nat+ray ha"ing so(! s+ch 'or(.
233 :h! 0ain!s! ar! (ar*!#y #!p!n#!nt +pon spatia
ori!ntation. In or#!r to b! ab! to b!ha"! th!y (+st *no, th!ir
car#ina points, an# i' a 0ain!s! is ta*!n by (otor car o"!r t,isting
roa#s so that h! os!s his s!ns! o' #ir!ction, h! (ay b!co(!
s!"!r!y #isori!ntat!# an# +nab! to act 2!.g., a #anc!r (ay b!co(!
+nab! to #anc!3 +nti h! has got bac* his ori!ntation by s!!ing so(!
i(portant an#(ar*, s+ch as th! c!ntra (o+ntain o' th! isan#
aro+n# ,hich th! car#ina points ar! str+ct+r!#. :h!r! is a
co(parab! #!p!n#!nc! +pon socia ori!ntation, b+t ,ith this
#i''!r!nc!6 that ,h!r! th! spatia ori!ntation is in a hori/onta pan!,
socia ori!ntation is '!t to b!, in th! (ain, "!rtica. 8h!n t,o
strang!rs ar! bro+ght tog!th!r, it is n!c!ssary, b!'or! th!y can
con"!rs! ,ith any 'r!!#o(, that th!ir r!ati"! cast! positions b!
stat!#. 5n! ,i as* th! oth!r, 98h!r! #o yo+ sitD9 an# this is a
(!taphor 'or cast!. It is as*ing, !ss!ntiay, 9?o yo+ sit high or
o,D9 8h!n !ach *no,s th! cast! o' th! oth!r, !ach ,i th!n *no,
125
,hat !ti.+!tt! an# ,hat ing+istic 'or(s h! sho+# a#opt, an#
con"!rsation can th!n proc!!#. @ac*ing s+ch ori!ntation, a 0ain!s!
is tong+!Cti!#.
243 It is co((on to 'in# that acti"ity 2oth!r than th! 9p!nny
,is#o(9 (!ntion!# abo"!3 rath!r than b!ing p+rposi"!, i.!., ai(!#
at so(! #!'!rr!# goa, is "a+!# 'or its!'. :h! artist, th! #anc!r, th!
(+sician, an# th! pri!st (ay r!c!i"! a p!c+niary r!,ar# 'or th!ir
pro'!ssiona acti"ity, b+t ony in rar! cas!s is this r!,ar# a#!.+at! to
r!co(p!ns! th! artist !"!n 'or his ti(! an# (at!rias. :h! r!,ar# is
a to*!n o' appr!ciation, it is a #!'inition o' th! cont!-t in ,hich th!
th!atrica co(pany p!r'or(s, b+t it is not th! !cono(ic (ainCstay o'
th! tro+p!. :h! !arnings o' th! tro+p! (ay b! sa"!# +p to !nab!
th!( to b+y n!, cost+(!s, b+t ,h!n 'inay th! cost+(!s ar!
bo+ght it is +s+ay n!c!ssary 'or !"!ry (!(b!r to (a*! a
consi#!rab! contrib+tion to th! co((on '+n# in or#!r to pay 'or
th!(. &i(iary, in r!gar# to th! o''!rings ,hich ar! ta*!n to !"!ry
t!(p! '!ast, th!r! is no p+rpos! in this !nor(o+s !-p!n#it+r! o'
artistic ,or* an# r!a ,!ath. :h! go# ,i not bring any b!n!'it
b!ca+s! yo+ (a#! a b!a+ti'+ str+ct+r! o' 'o,!rs an# 'r+it 'or th!
ca!n#ric '!ast in his t!(p!, nor ,i h! a"!ng! yo+r abst!ntion.
Inst!a# o' #!'!rr!# p+rpos! th!r! is an i((!#iat! an# i((an!nt
satis'action in p!r'or(ing b!a+ti'+y, ,ith !"!rybo#y !s!, that
,hich it is corr!ct to p!r'or( in !ach partic+ar cont!-t.
253 In g!n!ra th!r! is !"i#!nt !nJoy(!nt to b! ha# 'ro( #oing
things b+siy ,ith arg! cro,#s o' oth!r p!op!.
35
Con"!rs!y th!r!
is s+ch (is'ort+n! inh!r!nt in th! oss o' gro+p (!(b!rship that th!
thr!at o' this oss is on! o' th! (ost s!rio+s sanctions in th! c+t+r!.
263 It is o' gr!at int!r!st to not! that (any 0ain!s! actions ar!
artic+at!y acco+nt!# 'or in socioogica t!r(s rath!r than in t!r(s
o' in#i"i#+a goas or "a+!s.
36
:his is (ost conspic+o+s in r!gar# to a actions r!at!# to th!
"iag! co+nci, th! hi!rarchy ,hich inc+#!s a '+ citi/!ns. :his
bo#y, in its s!c+ar asp!cts, is r!'!rr!# to as I 8esa 2it!ray, 9Ar.
Giag!93, an# n+(!ro+s r+!s an# proc!#+r!s ar! rationai/!# by
r!'!r!nc! to this abstract p!rsonag!. &i(iary, in its sacr!# asp!cts,
35
0at!son an# A!a#, op. cit., p1. 5.
36
C'. ;a&en, pp. 250 i'., ,h!r! it ,as s+gg!st!# that ,! (+st !-p!ct to 'in# that so(!
p!op!s o' th! ,or# ,o+# r!at! th!ir actions to th! socioogica 'ra(!.
126
th! "iag! is #!i'i!# as <etara 8esa 21o# Giag!3, to ,ho( shrin!s
ar! !r!ct!# an# o''!rings bro+ght. 28! (ay g+!ss that a
?+r*h!i(ian anaysis ,o+# s!!( to th! 0ain!s! to b! an ob"io+s
an# appropriat! approach to th! +n#!rstan#ing o' (+ch o' th!ir
p+bic c+t+r!.3
In partic+ar a (on!y transactions ,hich in"o"! th! "iag!
tr!as+ry ar! go"!rn!# by th! g!n!rai/ation, 9:h! "iag! #o!s not
os!9 +8esanne sing dadi pot=ol4. :his g!n!rai/ation appi!s, 'or
!-a(p!, in a cas!s in ,hich a b!ast is so# 'ro( th! "iag! h!r#.
%n#!r no circ+(stanc!s can th! "iag! acc!pt a pric! !ss than that
,hich it act+ay or no(inay pai#. 2It is i(portant to not! that th!
r+! ta*!s th! 'or( o' 'i-ing a o,!r i(it an# is not an inJ+nction to
(a-i(i/! th! "iag! tr!as+ry.3
A p!c+iar a,ar!n!ss o' th! nat+r! o' socia proc!ss!s is !"i#!nt
in s+ch inci#!nts as th! 'oo,ing6 A poor (an ,as abo+t to +n#!rgo
on! o' th! i(portant an# !-p!nsi"! rites de passage ,hich ar!
n!c!ssary 'or p!rsons as th!y approach th! top o' th! co+nci
hi!rarchy. 8! as*!# ,hat ,o+# hapCp!n i' h! r!'+s!# to +n#!rta*!
this !-p!n#it+r!. :h! 'irst ans,!r ,as that, i' h! ,!r! too poor, I
8esa ,o+# lend hi( th! (on!y. In r!spons! to '+rth!r pr!ssing as
to ,hat ,o+# happ!n i' h! r!ay r!'+s!#, ,! ,!r! to# that nobo#y
!"!r ha# r!'+s!#, b+t that i' so(!bo#y #i#, nobo#y ,o+# go
thro+gh th! c!r!(ony again. I(picit in this ans,!r an# in th! 'act
that nobo#y !"!r #o!s r!'+s! is th! ass+(ption that th! ongoing
c+t+ra proc!ss is its!' to b! "a+!#.
273 Actions ,hich ar! c+t+ray corr!ct +patoet4 ar! acc!ptab!
an# a!sth!ticay "a+!#. Actions ,hich ar! p!r(issib! +dadi4 ar!
o' (or! or !ss n!+tra "a+!L ,hi! actions ,hich ar! not
p!r(issib! +sing dadi4 ar! to b! #!pr!cat!# an# a"oi#!#. :h!s!
g!n!rai/ations, in th!ir transat!# 'or(, ar! no #o+bt tr+! in (any
c+t+r!s, b+t it is i(portant to g!t a c!ar +n#!rstan#ing o' ,hat th!
0ain!s! (!an by dadi. :h! notion is not to b! !.+at!# ,ith o+r
9!ti.+!tt!
9
or 9a,,9 sinc! !ach o' th!s! in"o*!s th! "a+! J+#g(!nt
o' so(! oth!r p!rson or socioogica !ntity. In 0ai th!r! is no
'!!ing that actions ha"! b!!n or ar! cat!gori/!# as dadi or sing dadi
by so(! h+(an or s+p!rnat+ra a+thority. 4ath!r, th! stat!(!nt that
s+chCan#Cs+ch an action is dadi is an abso+t! g!n!rai/ation to th!
127
!''!ct that +n#!r th! gi"!n circ+(stanc!s this action is r!g+ar.
37
It is
,rong 'or a cast!!ss p!rson to a##r!ss a princ! in oth!r than th!
9poish!# ang+ag!,
9
an# it is ,rong 'or a (!nstr+ating ,o(an to
!nt!r a t!(p!. :h! princ! or th! #!ity (ay !-pr!ss annoyanc!, b+t
th!r! is no '!!ing that !ith!r th! princ!, th! #!ity, or th! cast!!ss
p!rCson (a#! th! r+!s. :h! o''!ns! is '!t to b! against th! or#!r
an# nat+ra str+ct+r! o' th! +ni"!rs! rath!r than against th! act+a
p!rson o''!n#!#. :h! o''!n#!r, !"!n in s+ch s!rio+s (att!rs as inc!st
2'or ,hich h! (ay b! !-tr+#!# 'ro( th! soci!ty3
38
is not ba(!# 'or
anything ,ors! than st+pi#ity an# c+(sin!ss. 4ath!r, h! is 9an
+n'ort+nat! p!rson9 +ana3 latfoer4, an# (is'ort+n! (ay co(! to
any o' +s 9,h!n it is o+r t+rn.9 7+rth!r, it (+st b! str!ss!# that th!s!
patt!rns ,hich #!'in! corr!ct an# p!r(issib! b!ha"ior ar!
!-c!!#ingy co(p!- 2!sp!ciay th! r+!s o' ang+ag!3 an# that th!
in#i"i#+a 0ain!s! 2!"!n to so(! #!gr!! insi#! his o,n 'a(iy3 has
contin+a an-i!ty !st h! (a*! an !rror. Aor!o"!r, th! r+!s ar! not
o' s+ch a *in# that th!y can b! s+((ari/!# !ith!r in a si(p! r!cip!
or an !(otiona attit+#!. =ti.+!tt! cannot b! #!#+c!# 'ro( so(!
co(pr!h!nsi"! stat!(!nt abo+t th! oth!r p!rsonIs '!!ings or 'ro(
r!sp!ct 'or s+p!riors. :h! #!tais ar! too co(p!- an# too "ario+s
'or this, an# so th! in#i"i#+a 0ain!s! is 'or!"!r pic*ing his ,ay,
i*! a tightrop! ,a*!r, a'rai# at any (o(!nt !st h! (a*! so(!
(isst!p.
283 :h! (!taphor 'ro( post+ra baanc! +s!# in th! ast
paragraph is #!(onstraby appicab! in (any cont!-ts o' 0ain!s!
c+t+r!6
2a3:h! '!ar o' oss o' s+pport is an i(portant th!(! in
0ain!s! chi#hoo#.
39
2b3=!"ation 2,ith its att!n#ant prob!(s o' physica an#
(!taphorica baanc!3 is th! passi"! co(p!(!nt o' r!sp!ct.
40
2c3:h! 0ain!s! chi# is !!"at!# i*! a s+p!rior p!rCson or a
go#.
41
37
:h! ,or# dadi is aso +s!# as a cop+a r!'!rring to chang!s in socia stat+s. I
Anoe dadi Boe-a=an (!ans 9&oCan#Cso has b!co(! a "iag! o''icia.9
38
A!a#, 9$+bic 5pinion A!chanis(s a(ong $ri(iti"! $!op!s,9 loc. cit., 1937.
39
0at!son an# A!a#, op. cit., ps. 17, 67, an# 79.
40
I-id., ps. 10C14.
41
I-id., p1. 45.
128
2#3In cas!s o' act+a physica !!"ation
42
th! #+ty o'
baancing th! syst!( 'as on th! s+pporting o,!r p!rson, b+t
contro o' th! #ir!ction in ,hich th! syst!( ,i (o"! is in th!
han#s o' th! !!"at!#. :h! itt! gir in th! 'ig+r! stan#ing in
tranc! on a (anIs sho+#!rs can ca+s! h!r b!ar!r to go ,h!r!"!r
sh! #!sir!s by (!r!y !aning in that #ir!ction. E! (+st th!n
(o"! in that #ir!ction in or#!r to (aintain th! baanc! o' th!
syst!(.
2!3A arg! proportion o' o+r co!ction o' 1>CC 0ain!s!
car"ings sho,s pr!occ+pation on th! part o' th! artist ,ith
prob!(s o' baanc!.
43
2'3:h! 8itch, th! p!rsoni'ication o' '!ar, 'r!.+!nty +s!s a
g!st+r! ca!# 3apar, ,hich is #!scrib!# as that o' a (an 'aing
'ro( a cocon+t pa( on s+##!ny s!!ing a sna*!. In this
g!st+r! th! ar(s ar! rais!# si#!,ays to a position so(!C,hat
abo"! th! h!a#.
2g3:h! or#inary 0ain!s! t!r( 'or th! p!rio# b!'or! th!
co(ing o' th! ,hit! (an is 9,h!n th! ,or# ,as st!a#y9
+doegas goemine enteg4.
Applications of the 'on Ne!#annian a#e
="!n this "!ry bri!' isting o' so(! o' th! !!(!nts in 0ain!s!
!thos s+''ic!s to in#icat! th!or!tica prob!(s o' pri(! i(portanc!.
@!t +s consi#!r th! (att!r in abstract t!r(s. 5n! o' th! hypoth!s!s
+n#!rying (ost socioogy is that th! #yna(ics o' th! socia
(!chanis( can b! #!scrib!# by ass+(ing that th! in#i"i#+as
constit+ting that (!chanis( ar! (oti"at!# to (a-i(i/! c!rtain
"ariab!s. In con"!ntiona !cono(ic th!ory it is ass+(!# that th!
in#i"i#+as ,i (a-i(i/! "a+!, ,hi! in schis(og!nic th!ory it
,as tacity ass+(!# that th! in#i"i#+as ,o+# (a-i(i/! intangib!
b+t sti si(p! "ariab!s s+ch as pr!stig!, s!'C!st!!(, or !"!n
42
I-id., p1. 10, 'ig. 3.
43
At pr!s!nt it is not possib! to (a*! s+ch a stat!(!nt in sharpy #!'in!#
.+antitati"! t!r(s, th! a"aiab! J+#g(!nts b!ing s+bJ!cti"! an# 5cci#!nta.
129
s+b(issi"!n!ss. :h! 0ain!s!, ho,!"!r, #o not (a-i(i/! any s+ch
si(p! "ariab!s.
In or#!r to #!'in! th! sort o' contrast ,hich !-ists b!t,!!n th!
0ain!s! syst!( an# any co(p!titi"! syst!(, !t +s start by
consi#!ring th! pr!(iss!s o' a stricty co(p!titi"! Gon
)!+(annian ga(! an# proc!!# by consi#!ring ,hat chang!s ,!
(+st (a*! in th!s! pr!(iss!s in or#!r to appro-i(at! (or! cos!y
to th! 0ain!s! syst!(.
213 :h! pay!rs in a Gon )!+(annian ga(! ar!, by hypoth!sis,
(oti"at!# ony in t!r(s o' a sing! in!ar 2sc. (on!tary3 sca! o'
"a+!. :h!ir strat!gi!s ar! #!t!r(in!#6 +a4 by th! r+!s o' th!
hypoth!tica ga(!L an# +-4 by th!ir int!ig!nc!, ,hich is, by
hypoth!sis, s+''ici!nt to so"! a prob!(s pr!s!nt!# by th! ga(!.
Gon )!+(ann sho,s that, +n#!r c!rtain #!'inab! circ+(stanc!s
#!p!n#ing +pon th! n+(b!r o' pay!rs an# +pon th! r+!s,
coaitions o' "ario+s sorts ,i b! 'or(!# by th! pay!rs, an# in
'act Gon )!+(annIs anaysis conc!ntrat!s (ainy +pon th!
str+ct+r! o' th!s! coaitions an# th! #istrib+tion o' "a+! a(ong
th! (!(b!rs. In co(paring th!s! ga(!s ,ith h+(an soci!ti!s ,!
sha r!gar# socia organi/ations as anaogo+s to coaition syst!(s.
44
223 Gon )!+(annian syst!(s #i''!r 'ro( h+(an soci!ti!s in th!
'oo,ing r!sp!cts6
2a3Eis 9pay!rs9 ar! 'ro( th! start co(p!t!y int!ig!nt, ,h!r!as
h+(an b!ings !arn. 7or h+(an b!ings ,! (+st !-p!ct that th! r+!s
o' th! ga(! an# th! con"!ntions associat!# ,ith any partic+ar s!t o'
coaitions ,i b!co(! incorporat!# into th! charact!r str+ct+r!s o'
th! in#i"i#+a pay!rs.
44
At!rnati"!y, ,! (ight han#! th! anaogy in anoth!r ,ay. A socia syst!( is, as
Gon )!+(ann an# Aorg!nst!rn point o+t, co(parab! to a nonC/!ro s+( ga(! in
,hich on! or (or! coaitions o' p!op! pay against !ach oth!r an# against nat+r!. :h!
nonC/!ro s+( charact!ristic is bas!# on th! 'act that "a+! is contin+ay !-tract!# 'ro(
th! nat+ra !n"iron(!nt. Inas(+ch as 0ain!s! soci!ty !-poits nat+r!, th! tota !ntity,
inc+#ing both !n"iron(!nt an# p!op!, is c!ary co(parab! to a ga(! r!.+iring
coaition b!t,!!n p!op!. It is possib!, ho,!"!r, that that s+b#i"ision o' th! tota
ga(! co(prising th! people only (ight b! s+ch that th! 'or(ation o' coaitions
,ithin it ,o+# not b! !ss!ntia;that is, 0ain!s! soci!ty (ay #i''!r 'ro( (ost oth!r
soci!ti!s in that th! 9r+!s9 o' th! r!ationship b!t,!!n p!op! #!C'in! a 9ga(!9 o' th!
typ! Gon )!+(ann ,o+# ca 9nonC!ss!ntia.
9
:his possibiity is not h!r! !-a(in!#.
2&!! Gon )!+(ann an# Aorg!nst!rn, op. cit.4
130
2b3:h! (a((aian "a+! sca! is not si(p! an# (onoCton!, b+t
(ay b! !-c!!#ingy co(p!-. 8! *no,, !"!n at a physioogica
!"!, that caci+( ,i not r!pac! "ita(ins, nor ,i an a(ino aci#
r!pac! o-yg!n. 7+rth!r, ,! *no, that th! ani(a #o!s not stri"! to
(a-i(i/! its s+ppy o' any o' th!s! #iscr!pant co((o#iti!s, b+t
rath!r is r!.+ir!# to (aintain th! s+ppy o' !ach ,ithin to!rab!
i(its. :oo (+ch (ay b! as har('+ as too itt!. It is aso #o+bt'+
,h!th!r (a((aian pr!'!r!nc! is a,ays transiti"!.
2c3 In th! Gon )!+(annian syst!( th! n+(b!r o' (o"!s in a
gi"!n 9pay9 o' a ga(! is ass+(!# to b! 'init!. :h! strat!gic
prob!(s o' th! in#i"i#+as ar! so+b! b!ca+s! th! in#i"i#+a can
op!rat! ,ithin a i(it!# ti(! p!rsp!cti"!. E! n!!# ony oo*
'or,ar# a 'init! #istanc! to th! !n# o' th! pay ,h!n th! gains an#
oss!s ,i b! pai# +p an# !"!ryCthing ,i start again 'ro( a ta-ula
rasa. In h+(an soci!ty i'! is not p+nct+at!# in this ,ay, an# !ach
in#i"i#+a 'ac!s a "ista o' +n*no,ab! 'actors ,hos! n+(b!r
incr!as!s 2probaby !-pon!ntiay3 into th! '+t+r!.
2#3 :h! Gon )!+(annian pay!rs ar!, by hypoth!sis, not
s+sc!ptib! !ith!r to !cono(ic #!ath or to bor!#o(. :h! os!rs can
go on osing 'or!"!r, an# no pay!r can ,ith#ra, 'ro( th! ga(!,
!"!n tho+gh th! o+tco(! o' !"!ry pay is #!'init!y pr!#ictab! in
probabiity t!r(s.
233 5' th!s! #i''!r!nc!s b!t,!!n Gon )!+(annian an# h+(an
syst!(s, ony th! #i''!r!nc!s in "a+! sca!s an# th! possibiity o'
9#!ath9 conc!rn +s h!r!. 7or th! sa*! o' si(picity ,! sha ass+(!
that th! oth!r #i''!r!nc!s, tho+gh "!ry pro'o+n#, can 'or th! (o(!nt
b! ignor!#.
243 C+rio+sy, ,! (ay not! that, atho+gh (!n ar! (a((as an#
th!r!'or! ha"! a pri(ary "a+! syst!( ,hich is (+ti#i(!nsiona
an# non(a-i(i/ing, it is y!t possib! 'or th!s! cr!at+r!s to b! p+t
into cont!-ts in ,hich th!y ,i stri"! to (a-i(i/! on! or a '!,
si(p! "ariab!s 2(on!y, pr!stig!, po,!r, !tc.3 .
253 &inc! th! (+ti#i(!nsiona "a+! syst!( is appar!nty
pri(ary, th! prob!( pr!s!nt!# by, 'or !-a(p!, Iat(+ socia
organi/ation is not so (+ch to acco+nt 'or th! b!ha"ior o' Iat(+
in#i"i#+as by in"o*ing 2or abstracting3 th!ir "a+! syst!(L ,!
sho+# aso as* ho, that "a+! syst!( is i(pos!# on th! (a((aian
in#i"i#+as by th! socia organi/ation in ,hich th!y 'in# th!(s!"!s.
131
Con"!ntionay in anthropoogy this .+!stion is attac*!# thro+gh
g!n!tic psychoogy. 8! !n#!a"or to co!ct #ata to sho, ho, th!
"a+! syst!( i(picit in th! socia prgani/ation is b+it into th!
charact!r str+ct+r! o' th! in#i"i#+as in th!ir chi#hoo#. :h!r! is,
ho,!"!r, an at!rnati"! approach ,hich ,o+# (o(!ntariy ignor!,
as Gon )!+(ann #o!s, th! ph!no(!na o' !arning an# consi#!r
(!r!y th! strat!gic i(pications o' thos! cont!-ts ,hich (+st occ+r
in accor#anc! ,ith th! gi"!n 9r+!s9 an# th! coaition syst!(. In this
conn!ction it is i(portant to not! that co(p!titi"! cont!-ts;
pro"i#!# th! in#i"i#+as can b! (a#! to r!cogni/! th! cont!-ts as
co(p!titi"!;in!"itaby r!#+c! th! co(p!- ga(+t o' "a+!s to "!ry
si(p! an# !"!n in!ar an# (onoton! t!r(s.
45
Consi#!rations o' this
sort, plus #!scriptions o' th! r!g+ariti!s in th! proc!ss o' charact!r
'or(ation, probaby s+''ic! to #!Cscrib! ho, si(p! "a+! sca!s
ar! i(pos!# +pon (a((aian in#i"i#+as in co(p!titi"! soci!ti!s
s+ch as that o' th! Iat(+ or t,!nti!thCc!nt+ry A(!rica.
263 In 0ain!s! soci!ty, on th! oth!r han#, ,! 'in# an. !ntir!y
#i''!r!nt stat! o' a''airs. )!ith!r th! in#i"i#+a nor th! "iag! is
conc!rn!# to (a-i(i/! any si(p! "ariab!. 4ath!r, th!y ,o+#
s!!( to b! conc!rn!# to (a-i(i/! so(!Cthing ,hich ,! (ay ca
stabiity, +sing this t!r( p!rhaps in a highy (!taphorica ,ay.
2:h!r! is, in 'act, on! si(p! .+antitati"! "ariab! ,hich #o!s
app!ar to b! (a-i(i/!#. :his "ariab! is th! a(o+nt o' any 'in!
i(pos!# by th! "iag!. 8h!n 'irst i(pos!# th! 'in!s ar! (osty
"!ry s(a, b+t i' pay(!nt is #!ay!# th! a(o+nt o' th! 'in! is
incr!as!# "!ry st!!py, an# i' th!r! b! any sign that th! o''!n#!r is
refusing to pay;9opposing th! "iag!9;th! 'in! is at onc! rais!#
to an !nor(o+s s+( an# th! o''!n#!r is #!pri"!# o' (!(b!rship in
th! co((+nity +nti h! is ,iing to gi"! +p his opposition. :h!n a
part o' th! 'in! (ay b! !-c+s!#.3
273 @!t +s no, consi#!r an hypoth!tica syst!( consisting o' a
n+(b!r o' i#!ntica pay!rs, p+s an +(pir! ,ho is conc!rn!# ,ith
th! (aint!nanc! o' stabiity a(ong th! pay!rs. @!t +s '+rth!r
s+ppos! that th! pay!rs ar! iab! to !cono(ic #!ath, that o+r
+(pir! is conc!rn!# to s!! that this sha not occ+r, an# that th!
+(pir! has po,!r to (a*! c!rtain at!rations in th! r+!s o' th!
45
@. <. 7ran*, 9:h! Cost o' Co(p!tition,9 6l an Age, 1940, "i 6 314C24.
132
ga(! or in th! probabiiti!s associat!# ,ith chanc! (o"!s. C!ary
this +(pir! ,i b! in (or! or !ss contin+a con'ict ,ith th!
pay!rs. E! is stri"ing to (aintain a #yna(ic !.+iibri+( or st!a#y
stat!, an# this ,! (ay r!phras! as th! att!(pt to (a-i(i/! th!
chanc!s against th! (a-i(i/ation o' any sing! si(p! "ariab!.
28.3 Ashby has point!# o+t in rigoro+s t!r(s that th! st!a#y stat!
an# contin+!# !-ist!nc! o' co(p!- int!racti"! syst!(s #!p!n#
+pon pr!"!nting th! (a-i(i/ation o' any "ariab!, an# that any
contin+!# incr!as! in any "ariab! ,i in!"itaby r!s+t in, an# b!
i(it!# by, irr!"!rsib! chang!s in th! syst!(. E! has aso point!#
o+t that in s+ch syst!(s it is "!ry i(portant to p!r(it c!rtain
"ariab!s to at!r.
46
:h! st!a#y stat! o' an !ngin! ,ith a go"!rnor is
+ni*!y to b! (aintain!# i' th! position o' th! bas o' th!
go"!rnor is ca(p!#. &i(iary a tightrop! ,a*!r ,ith a baancing
po! ,i not b! ab! to (aintain his baanc! !-c!pt by &arying th!
'orc!s ,hich h! !-!rts +pon th! po!.
293 4!t+rning no, to th! conc!pt+a (o#! s+gg!st!# in
paragraph 7, !t +s ta*! on! '+rth!r st!p to,ar# (a*ing this (o#!
co(parab! ,ith 0ain!s! soci!ty. @!t +s s+bstit+t! 'or th! +(pir! a
"iag! co+nci co(pos!# o' a th! pay!rs. 8! no, ha"! a syst!(
,hich pr!s!nts a n+(b!r o' anaogi!s to o+r baancing acrobat.
8h!n th!y sp!a* as (!(b!rs o' th! "iag! co+nci, th! pay!rs by
hypoth!sis ar! int!r!st!# in (aintaining th! st!a#y stat! o' th!
syst!(;that is, in pr!"!nting th! (a-i(i/ation o' any si(p!
"ariab! th! !-c!ssi"! incr!as! o' ,hich ,o+# pro#+c! irr!"!rsib!
chang!. In th!ir #aiy i'!, ho,!"!r, th!y ar! sti !ngag!# in si(p!
co(p!titi"! strat!gi!s.
2103 :h! n!-t st!p to,ar# (a*ing o+r (o#! r!s!(b! 0ain!s!
soci!ty (or! cos!y is c!ary to post+at! in th! charact!r str+ct+r!
o' th! in#i"i#+as an#Kor in th! cont!-ts o' th!ir #aiy i'! thos!
'actors ,hich ,i (oti"at! th!( to,ar# (aint!nanc! o' th! st!a#y
stat! not ony ,h!n th!y sp!a* in co+nci, b+tIaso in th!ir oth!r
int!rp!rsona r!ations. :h!s! 'actors ar! in 'act r!cogni/ab! in 0ai
an# ha"! b!!n !n+(!rat!# abo"!. In o+r anaysis o' ,hy 0ain!s!
soci!ty is nonschis(og!nic, ,! not!# that th! 0ain!s! chi# !arns
46
8. 4. Ashby, 9=''!ct o' Contros on &tabiity,9 ;ature, cl&, no. ?9?C,
7!br+ary >4, 1945, >4>%4?.
133
to a"oi# c+(+ati"! int!raction, i.!., th! (a-i(i/ation o' c!rtain
si(p! "ariab!s, an# that th! socia organi/ation an# cont!-ts o'
#aiy i'! ar! so constr+ct!# as to pr!c+#! co(p!titi"! int!raction.
7+rth!r, in o+r anaysis o' th! 0ain!s! !thos, ,! not!# r!c+rr!nt
"a+ation6 2a3 o' th! c!ar an# static #!'inition o' stat+s an# spatia
ori!ntation, an# 2b3 o' baanc! an# s+ch (o"!(!nt as ,i con#+c!
to baanc!.
In s+( it s!!(s that th! 0ain!s! !-t!n# to h+(an r!ationships
attit+#!s bas!# +pon bo#iy baanc!, an# that th!y g!n!rai/! th!
i#!a that (otion is !ss!ntia to baanc!. :his ast point gi"!s +s, I
b!i!"!, a partia ans,!r to th! .+!stion o' ,hy th! soci!ty not
ony contin+!s to '+nction b+t '+nctions rapi#y an# b+siy,
contin+ay +n#!rta*ing c!r!(onia an# artistic tas*s ,hich ar! not
!cono(icay or co(p!titi"!y #!t!r(in!#. :his st!a#y stat! is
(aintain!# by contin+a nonprogr!ssi"! chang!.
Schis#o&enic Syste# "ers!s the Steady State
I ha"! #isc+ss!# t,o typ!s o' socia syst!( in s+ch sch!(atic
o+tin! that it is possib! to stat! c!ary a contrast b!t,!!n th!(.
0oth typ!s o' syst!(, so 'ar as th!y ar! capab! o' (aintaining
th!(s!"!s ,itho+t progr!ssi"! or irr!"!rsib! chang!, achi!"! th!
st!a#y stat!. :h!r! ar!, ho,C!"!r, pro'o+n# #i''!r!nc!s b!t,!!n
th!( in th! (ann!r in ,hich th! st!a#y stat! is r!g+at!#.
:h! Iat(+ syst!(, ,hich is h!r! +s!# as a prototyp! o'
schis(og!nic syst!(s, inc+#!s a n+(b!r o' r!g!n!rati"! ca+sa
circ+its or "icio+s circ!s. =ach s+ch circ+it consists o' t,o or (or!
in#i"i#+as 2or gro+ps o' in#i"i#+as3 ,ho participat! in pot!ntiay
c+(+ati"! int!raction. =ach h+(an in#i"i#+a is an !n!rgy so+rc!
or 9r!ay,9 s+ch that th! !n!rgy +s!# in his r!spons!s is not #!ri"!#
'ro( th! sti(+i b+t 'ro( his o,n (!taboic proc!ss!s. It th!r!'or!
'oo,s that s+ch a schis(og!nic syst!( is;+n!ss contro!#;
iab! to !-c!ssi"! incr!as! o' thos! acts ,hich charact!ri/! th!
schis(og!n!s!s. :h! anthropoogist ,ho att!(pts !"!n a .+aitati"!
#!scription o'
.
s+ch a syst!( (+st th!r!'or! i#!nti'y6 213 th!
in#i"i#+as an# gro+ps in"o"!# in schis(og!n!sis an# th! ro+t!s o'
134
co((+nication b!t,!!n th!(L 223 th! cat!gori!s o' acts an#
cont!-ts charact!ristic o' th! schis(og!n!s!sL 233 th! proc!ss!s
,h!r!by th! in#i"i#+as b!co(! psychoogicay apt to p!r'or(
th!s! acts an#Kor th! nat+r! o' th! cont!-ts ,hich 'orc! th!s! acts
+pon th!(L an# asty, 243 h! (+st i#!nti'y th! (!chanis(s or
'actors ,hich contro th! schis(og!n!s!s. :h!s! controing 'actors
(ay b! o' at !ast thr!! #istinct typ!s6 +a4 #!g!n!rati"! ca+sa oops
(ay b! s+p!rpos!# +pon th! schis(og!n!s!s so that ,h!n th! att!r
r!ach a c!rtain int!nsity so(! 'or( o' r!straint is a p p i ! # as
occ+rs in 5cci#!nta syst!(s ,h!n a go"!rn(!nt int!r"!n!s to i(it
!cono(ic co(p!titionL 2b3 th!r! (ay b!, in a##ition to th!
schis(og!n!s!s ar!a#y consi#!r!#, oth!r c+(+ati"! int!ractions
acting in an opposit! s!ns! an# so pro(oting socia int!gration
rath!r than 'issionL 2c3 th! incr!as! in schis(og!n!sis (ay b!
i(it!# by 'actors ,hich ar! int!rnay or !-t!rnay !n"iron(!nta
to th! parts o' th! schis(og!nic circ+it. &+ch 'actors ,hich ha"!
ony s(a r!straining !''!ct at o, int!nsiti!s o' schis(og!n!sis
(ay incr!as! ,ith incr!as! o' int!nsity. 7riction, 'atig+!, an#
i(itation o' !n!rgy s+ppy ,o+# b! !-a(p!s o' s+ch 'actors.
In contrast ,ith th!s! schis(og!nic syst!(s, 0ain!s! soci!ty is
an !ntir!y #i''!r!nt typ! o' (!chanis(, an# in #!Cscribing it th!
anthropoogist (+st 'oo, !ntir!y #i''!r!nt proc!#+r!s, 'or ,hich
r+!s cannot as y!t b! ai# #o,n. &inc! th! cass o'
9nonschis(og!nic9 socia syst!(s is #!'in!# ony in n!gati"! t!r(s,
,! cannot ass+(! that (!(b!rs o' th! cass ,i ha"! co((on
charact!ristics. In th! anaysts o' th! 0ain!s! syst!(, ho,!"!r, th!
'oo,ing st!ps occ+rr!#, an# it is possib! that so(! at !ast o'
th!s! (ay b! appicab! in th! anaysis o' oth!r c+t+r!s o' this
cass6 213 it ,as obs!r"!# that schis(og!nic s!.+!nc!s ar! rar! in
0aiL +>4 th! !-c!ptiona cas!s in ,hich s+ch s!.+!nc!s occ+r ,!r!
in"!stigat!#L 233 'ro( this in"!stigation it app!ar!#, +a4 that in
g!n!ra th! cont!-ts ,hich r!c+r in 0ain!s! socia i'! pr!c+#!
c+(+ati"! int!raction an# 2 b3 that chi#hoo# !-p!ri!nc! trains th!
chi# a,ay 'ro( s!!*ing ci(a- in p!rsona int!ractionL 243 it ,as
sho,n that c!rtain positi"! "a+!s;r!at!# to baanc!;r!c+r in th!
c+t+r! an# ar! incorporat!# into th! charact!r str+ct+r! #+ring
chi#Choo#, an#, '+rth!r, that th!s! "a+!s (ay b! sp!ci'icay r!C
at!# to th! st!a#y stat!L 253 a (or! #!tai!# st+#y is no, r!.+ir!# to
135
arri"! at a syst!(atic stat!(!nt abo+t th! s!'Ccorr!cting
charact!ristics o' th! syst!(. It is !"i#!nt that th! !thos aon! is
ins+''ici!nt to (aintain th! st!a#y stat!. 7ro( ti(! to ti(! th!
"iag! or so(! oth!r !ntity #o!s st!p in to corr!ct in'ractions. :h!
nat+r! o' th!s! instanc!s o' th! ,or*ing o' th! corr!cti"! (!chanis(
(+st b! st+#i!#L b+t it is c!ar that this int!r(itt!nt (!chanis( is
"!ry #i''!r!nt 'ro( th! contin+ay acting r!straints ,hich (+st b!
pr!s!nt in a schis(og!nic syst!(s.
136
+tyle6 "&a'e6 an# In5o&(ation in
P&i(iti0e A&t
%
(ntrod!ction
:his pap!r consists o' s!"!ra stiCs!parat! att!(pts to (ap a
th!ory associat!# ,ith c+t+r! an# th! non"!rba arts. &inc! no on!
o' th!s! att!(pts is co(p!t!y s+cc!ss'+, an# sinc! th! att!(pts #o
not as y!t (!!t in th! (i##! o' th! t!rritory to b! (app!#, it. (ay
b! +s!'+ to stat!, in nonCt!chnica ang+ag!, ,hat it is I a( a't!r.
A#o+s E+-!y +s!# to say that th! c!ntra prob!( 'or h+(anity
is th! .+!st 'or grace. :his ,or# h! +s!# in ,hat h! tho+ght ,as th!
s!ns! in, ,hich it is +s!# in th! )!, :!sta(!nt. E! !-pain!# th!
,or#, ho,!"!r, in his o,n t!r(s. E! arg+!#;i*! 8at 8hit(an;
that th! co((+nication an# b!ha"ior o' ani(as has a nai"!t!, a
si(picity, ,hich (an has ost. AanIs b!ha"ior is corr+pt!# by
#!c!it;!"!n s!'C#!c!it;by p+rpos!, an# by s!'Cconscio+sn!ss. As
A#o+s sa, th! (att!r, (an has ost th! 9grac!9 ,hich ani(as sti
ha"!.
In t!r(s o' this contrast, A#o+s arg+!# that 1o# r!s!(b!s th!
ani(as rath!r than (an6 E! is i#!ay +nab! to #!c!i"! an#
incapab! o' int!rna con'+sions.
In th! tota sca! o' b!ings, th!r!'or!, (an is as i' #ispac!#
si#!,ays an# ac*s that grac! ,hich th! ani(as ha"! an# ,hich
1o# has.
I arg+! that art is a part o' (anIs .+!st 'or grac!L so(!Cti(!s his
!cstasy in partia s+cc!ss, so(!ti(!s his rag! an# agony at 'ai+r!.
I arg+! aso that th!r! ar! (any sp!ci!s o' grac! ,ithin th!
(aJor g!n+sL an# aso that th!r! ar! (any *in#s o' 'ai+r! an#
H
:his !ssay ,as a position pap!r 'or th! 8!nn!rC1r!n Con'!r!nc! on $ri(iti"!
Art, 1967. It is h!r! r!print!# 'ro( A Study of 6rimiti&e Art, !#it!# by ?r.
Anthony 7org!, to b! p+bish!# by 5-'or# %ni"!rsity $r!ss, by p!r(ission o' th!
p+bish!r.
137
'r+stration an# #!part+r! 'ro( grac!. )o #o+bt !ach c+t+r! has its
charact!ristic sp!ci!s o' grac! to,ar# ,hich its artists stri"!, an#
its o,n sp!ci!s o' 'ai+r!.
&o(! c+t+r!s (ay 'ost!r a n!gati"! approach to this #i''ic+t
int!gration, an a"oi#anc! o' co(p!-ity by crass pr!'!r!nc! !ith!r
'or tota conscio+sn!ss or tota +nconscio+sn!ss. :h!ir art is
+ni*!y to b! 9gr!at.9
I sha arg+! that th! prob!( o' grac! is '+n#a(!ntay a
prob!( o' int!gration an# that ,hat is to b! int!grat!# is th!
#i"!rs! parts o' th! (in#;!sp!ciay thos! (+tip! !"!s o'
,hich on! !-tr!(! is ca!# 9conscio+sn!ss9 an# th! oth!r th!
9+nconscio+s.9 7or th! attain(!nt o' grac!, th! r!asons o' th! h!art
(+st b! int!grat!# ,ith th! r!asons o' th! r!ason.
=#(+n# @!ach has con'ront!# +s, in this con'!r!nc!, ,ith th!
.+!stion6 Eo, is it that th! art o' on! c+t+r! can ha"! (!aning or
"ai#ity 'or critics rais!# in a #i''!r!nt c+t+r!D Ay ans,!r ,o+#
b! that, i' art is so(!ho, !-pr!ssi"! o' so(!thing i*! grac! or
psychic int!gration, th!n th! success o' this !-pr!ssion (ight ,!
b! r!cogni/ab! across c+t+ra barri!rs. :h! physica grac! o' cats
is pro'o+n#y #i''!r!nt 'ro( th! physica grac! o' hors!s, an# y!t a
(an ,ho has th! physica grac! o' n!ith!r can !"a+at! that o'
both.
An# !"!n ,h!n th! s+bJ!ct (att!r o' art is th! 'r+stration o'
int!gration, crossCc+t+ra r!cognition o' th! pro#+cts o' this
'r+stration is not too s+rprising.
:h! c!ntra .+!stion is6 In ,hat 'or( is in'or(ation abo+t
psychic int!gration contain!# or co#!# in th! ,or* o' artD
138
Style and Meanin&
:h!y say that 9!"!ry pict+r! t!s a story,9 an# this g!n!rai/ation
ho#s 'or (ost o' art i' ,! !-c+#! 9(!r!9 g!o(!tric orna(!ntation.
0+t I ,ant pr!cis!y to a"oi# anay/ing th! 9story.
9
:hat asp!ct o'
th! ,or* o' art ,hich can (ost !asiy b! r!#+c!# to ,or#s;th!
myt*ology conn!ct!# ,ith th! s+bJ!ct (att!r;is not ,hat I ,ant to
#isc+ss. I sha not !"!n (!ntion th! +nconscio+s (ythoogy o'
phaic sy(boCis(, !-c!pt at th! !n#.
I a( conc!rn!# ,ith ,hat i(portant psychic in'or(ation is in
th! art obJ!ct .+it! apart 'ro( ,hat it (ay 9r!pr!s!nt.9 9/e style
est lD*omme meme
9
29:h! sty! is th! (an hi(Cs!'93 20+''on3.
8hat is i(picit in sty!, (at!rias, co(position, rhyth(, s*i, an#
so onD
C!ary this s+bJ!ct (att!r ,i inc+#! g!o(!trica ornaC
(!ntation aong ,ith th! co(position an# styistic asp!cts o' (or!
r!pr!s!ntationa ,or*s.
:h! ions in :ra'agar &.+ar! co+# ha"! b!!n !ag!s or
b+#ogs an# sti ha"! carri!# th! sa(! 2or si(iar3 (!ssag!s
abo+t !(pir! an# abo+t th! c+t+ra pr!(is!s o' nin!t!!nthCc!nt+ry
=ngan#. An# y!t, ho, #i''!r!nt (ight th!ir (!ssag! ha"! b!!n
ha# th!y b!!n (a#! o' ,oo#O
0+t r!pr!s!ntationais( as s+ch is r!!"ant. :h! !-tr!(!y
r!aistic hors!s an# stags o' Ata(ira ar! s+r!y not abo+t th! sa(!
c+t+ra pr!(is!s as th! highy con"!ntionai/!# bac* o+tin!s o' a
at!r p!rio#. :h! code ,h!r!by p!rc!i"!# obJ!cts or p!rsons 2or
s+p!rnat+ras3 ar! trans'or(!# into ,oo# or paint is a so+rc! o'
in'or(ation abo+t th! artist an# his c+t+r!.
It is th! "!ry r+!s o' trans'or(ation that ar! o' int!r!st to (!;
not th! (!ssag!, b+t th! co#!.
Ay goa is not instr+(!nta. I #o not ,ant to +s! th!
trans'or(ation r+!s ,h!n #isco"!r!# to +n#o th! trans'or(ation
or to 9#!co#!9 th! (!ssag!. :o transat! th! art obJ!ct into
(ythoogy an# th!n !-a(in! th! (ythoogy ,o+# b! ony a n!at
,ay o' #o#ging or n!gating th! prob!( o' 9,hat is artD
9
139
I as*, th!n, not abo+t th! (!aning o' th! !nco#!# (!ssag! b+t
rath!r abo+t th! (!aning o' th! co#! chos!n. 0+t sti that (ost
sipp!ry ,or# 9(!aning9 (+st b! #!'in!#.
It ,i b! con"!ni!nt to #!'in! (!aning in th! (ost g!n!ra
possib! ,ay in th! 'irst instanc!.
9A!aning
9
(ay b! r!gar#!# as an appro-i(at! synony( o'
patt!rn, r!#+n#ancy, in'or(ation, an# 9r!straint,9 ,ithin a
para#ig( o' th! 'oo,ing sort6
Any aggr!gat! o' !"!nts or obJ!cts 2!.g., a s!.+!nc! o'
phon!(!s, a painting, or a 'rog, or a c+t+r!3 sha b! sai# to
contain 9r!#+n#ancy9 or 9patt!rn9 i' th! aggr!gat! can b! #i"i#!#
in any ,ay by a 9sash (ar*,9 s+ch that an obs!r"!r p!rc!i"ing
ony ,hat is on on! si#! o' th! sash (ar* can guess, ,ith b!tt!r
than ran#o( s+cc!ss, ,hat is on th! oth!r si#! o' th! sash (ar*.
8! (ay say that ,hat is on on! si#! o' th! sash contains
information or has meaning abo+t ,hat is on th! oth!r si#!. 5r, in
!ngin!!rIs ang+ag!, th! aggr!gat! contains 9r!#+n#ancy.9 5r,
again, 'ro( th! point o' "i!, o' a cyb!rn!tic obs!r"!r, th!
in'or(ation a"aiab! on on! si#! o' th! sash ,i r!strain 2i.!.,
r!#+c! th! probabiity o'3 ,rong g+!ssing. =-a(p!s6
:h! !tt!r : in a gi"!n ocation in a pi!c! o' ,ritt!n =ngish
pros! propos!s that th! n!-t !tt!r is i*!y to b! an E or an 4 or a
"o,!. It is possib! to (a*! a b!tt!r than ran#o( g+!ss across a
sash ,hich i((!#iat!y 'oo,s th! :. =ngish sp!ing contains
r!#+n#ancy.
7ro( a part o' an =ngish s!nt!nc!, #!i(it!# by a sash, it is
possib! to g+!ss at th! syntactic str+ct+r! o' th! r!(ain#!r o' th!
s!nt!nc!.
7ro( a tr!! "isib! abo"! gro+n#, it is possib! to g+!ss at th!
!-ist!nc! o' roots b!o, gro+n#. :h! top pro"i#!s in'or(ation
abo+t th! botto(.
7ro( an arc o' a dra'n circ!, it is possib! to g+!ss at th!
position o' oth!r parts o' th! circ+('!r!nc!. 27ro( th! #ia(!t!r o'
an ideal circ!, it is possib! to ass!rt th! !ngth o' th!
circ+('!r!nc!. 0+t this is a (att!r o' tr+th ,ithin a ta+toogica
syst!(. 3
7ro( ho, th! boss act!# y!st!r#ay, it (ay b! possib! to g+!ss
ho, h! ,i act to#ay.
140
7ro( ,hat I say, it (ay b! possib! to (a*! pr!#ictions abo+t
ho, yo+ ,i ans,!r. Ay ,or#s contain (!aning or in'or(ation
abo+t yo+r r!py.
:!!graphist A has a ,ritt!n (!ssag! on his pa# an# s!n#s this
(!ssag! o"!r ,ir! to 0, so that 0 no, g!ts th! sa(! s!.+!nc! o'
!tt!rs on his (!ssag! pa#. :his transaction 2or 9ang+ag! ga(!9 in
8ittg!nst!inIs phras!3 has cr!at!# a r!#+n#ant +ni"!rs! 'or an
obs!r"!r 5. I' 0 *no,s ,hat ,as on AIs pa#, h! can (a*! a b!tt!r
than ran#o( g+!ss at ,hat is on 0Is pa#.
:h! !ss!nc! an# raison d
I
etre o' co((+nication is th! cr!ation
o' r!#+n#ancy, (!aning, patt!rn, pr!#ictabiity, in'or(ation, an#Kor
th! r!#+ction o' th! ran#o( by 9r!straint.
9
It is, I b!i!"!, o' pri(! i(portanc! to ha"! a conc!pt+a syst!(
,hich ,i 'orc! +s to s!! th! 9(!ssag!9 2!.g., th! art obJ!ct3 as
-ot* its!' int!rnay patt!rn!# and its!' a part o' a arg!r patt!rn!#
+ni"!rs!;th! c+t+r! or so(! part o' it.
:h! charact!ristics o' obJ!cts o' art ar! b!i!"!# to b! a-out, or
to b! party #!ri"!# 'ro(, or #!t!r(in!# by, oth!r charact!ristics o'
c+t+ra an# psychoogica syst!(s. 5+r prob!( (ight th!r!'or!
h! o"!rsi(py r!pr!s!nt!# by th! #iagra(6
[Characteristic, of art object/Characteristics of rest of culture]
,h!r! s.+ar! brac*!ts !ncos! th! +ni"!rs! o' r!!"anc!, an#
,h!r! th! obi.+! stro*! r!pr!s!nts a sash across ,hich so(!
g+!ssing is possib!, in on! #ir!ction or in both. :h! prob!(, th!n,
is to sp! o+t ,hat sorts o' r!ationships, corr!spon#!nc!s, !tc.,
cross or transc!n# this obi.+! stro*!.
Consi#!r th! cas! in ,hich I say to yo+, 9ItIs raining,9 an# yo+
g+!ss that i' yo+ oo* o+t th! ,in#o, yo+ ,i s!! rain#rops. A
si(iar #iagra( ,i s!r"!6
[Characteristics of "It's raining"/Perception of raindrops]
)otic!, ho,!"!r, that this cas! is by no (!ans si(p!. 5ny i'
yo+ *no, th! language an# ha"! so(! tr+st in (y "!racity ,i yo+
b! ab! to (a*! a g+!ss abo+t th! rainC#rops. In 'act, '!, p!op! in
this sit+ation r!strain th!(Cs!"!s 'ro( s!!(ingy #+picating th!ir
in'or(ation by oo*ing o+t o' th! ,in#o,. 8! i*! to pro"! that o+r
141
g+!ss!s ar! right, an# that o+r 'ri!n#s ar! hon!st. &ti (or!
i(portant, 'e li3e to test or &erify t*e correctness of our &ie' of our
relations*ip to ot*ers.
:his ast point is nontri"ia. It i+strat!s th! n!c!ssariy
hi!rarchic str+ct+r! o' a co((+nicationa syst!(s6 th! 'act o'
con'or(ity or noncon'or(ity 2or in#!!# any oth!r r!ationship3
b!t,!!n parts o' a patt!rn!# ,ho! (ay its!' b! in'or(ati"! as
part o' so(! sti arg!r ,ho!. :h! (att!r (ay h! #iagra((!#
th+s6
>29ItIs raining"/raindrop./!o"#"e relationship
,h!r! r!#+n#ancy across th! sash (ar* ,ithin th! s(a!r
+ni"!rs! !ncos!# in ro+n# brac*!ts propos!s 2is a (!ssag! abo+t3 a
r!#+n#ancy in th! arg!r +ni"!rs! !ncos!# in s.+ar! brac*!ts.
0+t th! (!ssag! 9ItIs raining9 is its!' con"!ntionay co#!# an#
int!rnay patt!rn!#, so that s!"!ra sash (ar*s co+# b! #ra,n
across th! (!ssag! in#icating patt!rning ,ithin th! (!ssag! its!'.
An# th! sa(! is tr+! o' th! rain. It, too, is patt!rn!# an#
str+ct+r!#. 7ro( th! #ir!ction o' on! #rop, I co+# pr!#ict th!
#ir!ction o' oth!rs. An# so on.
<ut t*e slas* mar3s across t*e &er-al message 9ItDs raining9 'ill
not correspond in any simple 'ay to t*e slas* mar3s across t*e
raindrops.
I', inst!a# o' a "!rba (!ssag!, I ha# gi"!n yo+ a pict+r! o' th!
rain, so(! o' th! sash!s on th! pict+r! ,o+# ha"! corr!spon#!#
,ith sash!s on th! p!rc!i"!# rain.
:his #i''!r!nc! pro"i#!s a n!at 'or(a crit!rion to s!parat! th!
9arbitrary9 an# #igita co#ing charact!ristic o' th! "!rba part o'
ang+ag! 'ro( th! iconic co#ing o' #!piction.
0+t "!rba #!scription is o't!n iconic in its arg!r str+ct+r!. A
sci!ntist #!scribing an !arth,or( (ight start at th! h!a# !n# an#
,or* #o,n its !ngth;th+s pro#+cing a #!scription iconic in its
s!.+!nc! an# !ongation. E!r! again ,! obs!r"! a hi!rarchic
str+ct+ring, #igita or "!rba at on! !"! an# iconic at anoth!r.
/e&els and /ogical !ypes
142
9@!"!s9 ha"! b!!n (!ntion!#6 +a4 It ,as not!# that th!
com-ination o' th! (!ssag! 9ItIs raining9 ,ith th! p!rc!ption o'
rain#rops can its!' constit+t! a (!ssag! abo+t a +ni"!rs! o'
p!rsona r!ationsL an# 2b3 that ,h!n ,! chang! o+r 'oc+s o'
att!ntion 'ro( s(a!r to arg!r +nits o' (!ssag! (at!ria, ,! (ay
#isco"!r that a arg!r +nit contains iconic co#ing tho+gh th! s(a!r
parts o' ,hich it ,as (a#! ar! "!rba6 th! "!rba #!scription o' an
!arth,or( (ay, as a ,ho!, b! !ongat!#.
:h! (att!r o' !"!s no, crops +p in anoth!r 'or( ,hich is
cr+cia 'or any !pist!(oogy o' art6
:h! ,or# 9*no,9 is not (!r!y a(big+o+s in co"!ring both
connaitre 2to *no, thro+gh th! s!ns!s, to r!cogni/! or p!rc!i"!3 an#
sa&oir 2to *no, in th! (in#3, b+t "ari!s ;acti"!y shi'ts; in
(!aning 'or basic syst!(ic r!asons. :hat ,hich ,! *no, thro+gh
th! s!ns!s can -ecome *no,!#g! in th! (in#.
9I *no, th! ,ay to Ca(bri#g!9 (ight (!an that I ha"! st+#i!#
th! (ap an# can gi"! yo+ #ir!ctions. It (ight (!an that I can r!ca
#!tais a aong th! ro+t!. It (ight (!an that ,h!n #ri"ing that
ro+t! I recogni:e (any #!tais !"!n tho+gh I co+# r!ca ony a '!,.
It (ight (!an that ,h!n #ri"ing to Ca(bri#g! I can tr+st to 9habit9
to (a*! (! t+rn at th! right points, ,itho+t ha"ing to t*in3 ,h!r! I
a( going. An# so on.
In a cas!s, ,! #!a ,ith a r!#+n#ancy or patt!rning o' a .+it!
co(p!- sort6
>29I know . . ."/my mind)//the road]
an# th! #i''ic+ty is to #!t!r(in! th! nat+r! o' th! patt!rning
,ithin th! ro+n# brac*!ts, or, to p+t th! (att!r anoth!r ,ay6 ,hat
parts o' th! (in# ar! r!#+n#ant ,ith th! partic+ar (!ssag! abo+t
9*no,ing.
9
@ast, th!r! is a sp!cia 'or( o' 9*no,ing
9
,hich is +s+ay
r!gar#!# as a#aptation rath!r than in'or(ation. A shar* is b!a+ti'+y
shap!# 'or oco(otion in ,at!r, b+t th! g!no(! o' th! shar* s+r!y
#o!s not contain #ir!ct in'or(ation abo+t hy#ro#yna(ics. 4ath!r,
th! g!no(! (+st b! s+ppos!# to contain in'or(ation or instr+ctions
,hich ar! th! complement o' hy#ro#yna(ics. )ot hy#ro#yna(ics,
b+t ,hat hy#ro#yna(ics r!.+ir!s, has b!!n b+it +p in th! shar*Is
g!no(!. &i(iary, a (igratory bir# p!rhaps #o!s not *no, th! ,ay
143
to its #!stination in any o' th! s!ns!s o+tin!# abo"!, b+t th! bir#
(ay contain th! co(p!(!ntary instr+ctions n!c!ssary t# ca+s! it to
'y right.
9/e coeur a ses raisons 5ue la raison ne connait point9 29:h!
h!art has its r!asons ,hich th! r!ason #o!s not at a p!rc!i"!93. It is
this;th! co(p!- ay!ring o' conscio+sn!ss an# +nconscio+sn!ss;
that cr!at!s #i''ic+ty ,h!n ,! try to #isc+ss art or rit+a or
(ythoogy. :h! (att!r o' le&els o' th! (in# has b!!n #isc+ss!#
'ro( (any points o' "i!,, at !ast 'o+r o' ,hich (+st b! (!ntion!#
an# ,o"!n into any sci!nti'ic approach to art6
213 &a(+! 0+t!rIs insist!nc! that th! b!tt!r an organis(
9*no,s9 so(!thing, th! !ss conscio+s it b!co(!s o' its *no,!#g!,
i.!., th!r! is a proc!ss ,h!r!by *no,!#g! 2or 9habit9 ;,h!th!r o'
action, p!rc!ption, or tho+ght3 sin*s to #!!p!r an# #!!p!r !"!s o'
th! (in#. :his ph!no(!non, '*ic* is c!ntra to M!n #iscipin! 2c'.
E!rrig!, Een in t*e Art of Arc*ery4, is aso r!!"ant to a art an# a
s*i.
223 A#ab!rt A(!sI #!(onstrations that th! conscio+s, thr!!C
#i(!nsiona "is+a i(ag!s, ,hich ,! (a*! o' that ,hich ,! s!!,
ar! (a#! by proc!ss!s in"o"ing (ath!(atica pr!(is!s o'
p!rsp!cti"!, !tc., o' th! +s! o' ,hich ,! ar! totay +nconscio+s.
5"!r th!s! proc!ss!s, ,! ha"! no "o+ntary contro. A #ra,ing o'
a chair ,ith th! p!rsp!cti"! o' "an 1ogh a''ronts th! conscio+s
!-p!ctations an#, #i(y, r!(in#s th! conscio+sn!ss o' ,hat ha#
b!!n 2+nconscio+sy3 ta*!n 'or grant!#.
233 :h! 7r!+#ian 2!sp!ciay 7!nich!Is3 th!ory o' #r!a(s as
(!taphors co#!# accor#ing to primary process. I sha consi#!r
sty!;n!atn!ss, bo#n!ss o' contrast, !tc.;as (!taphoric an#
th!r!'or! as in*!# to thos! !"!s o' th! (in# ,h!r! pri(ary
proc!ss ho#s s,ay.
243 :h! 7r!+#ian "i!, o' th! +nconscio+s as th! c!ar or
c+pboar# to ,hich '!ar'+ an# pain'+ (!(ori!s ar! conCsign!# by
a proc!ss o' r!pr!ssion.
Cassica 7r!+#ian th!ory ass+(!# that #r!a(s ,!r! a secondary
pro#+ct, cr!at!# by 9#r!a( ,or*.9 Aat!ria +nacc!ptab! to
conscio+s tho+ght ,as s+ppos!#y transat!# into th! (!taphoric
i#io( o' pri(ary proc!ss to a"oi# ,a*ing th! #r!a(!r. An# this (ay
b! tr+! o' thos! it!(s o' in'or(ation ,hich ar! h!# in th!
144
+nconscio+s by th! proc!ss o' r!pr!ssion. As ,! ha"! s!!n,
ho,!"!r, (any oth!r sorts o' in'or(ation ar! inacc!ssib! to
conscio+s insp!ction, inc+#ing (ost o' th! pr!(is!s o' (a((aian
int!raction. It ,o+# s!!( to (! s!nsib! to thin* o' th!s! it!(s as
!-isting primarily in th! i#io( o' pri(ary proc!ss, ony ,ith
#i''ic+ty to b! transat!# into 9rationa9 t!r(s. In oth!r ,or#s, I
b!i!"! that (+ch o' !ary 7r!+#ian th!ory ,as +psi#! #o,n. At that
ti(! (any thin*!rs r!gar#!# conscio+s r!ason as nor(a an# s!'C
!-panatory ,hi! th! +nconscio+s ,as r!gar#!# as (yst!rio+s,
n!!#ing proo', an# n!!#ing !-panation. 4!pr!ssion ,as th!
!-panation, an# th! +nconscio+s ,as 'i!# ,ith tho+ghts ,hich
co+# ha"! b!!n conscio+s b+t ,hich r!pr!ssion an# #r!a( ,or*
ha# #istort!#. :o#ay ,! thin* o' conscio+sn!ss as th! (yst!rio+s,
an# o' th! co(p+tationa (!tho#s o' th! +nconscio+s, !.g., pri(ary
proc!ss, as contin+ay acti"!, n!c!ssary, an# aC!(bracing.
:h!s! consi#!rations ar! !sp!ciay r!!"ant in any atCt!(pt to
#!ri"! a th!ory o' art or po!try. $o!try is not a sort o' #istort!# an#
#!corat!# pros!, b+t rath!r pros! is po!try ,hich has b!!n stripp!#
#o,n an# pinn!# to a $rocr+st!an b!# o' ogic. :h! co(p+t!r (!n
,ho ,o+# progra( th! transation o' ang+ag!s so(!ti(!s 'org!t
this 'act abo+t th! pri(ary nat+r! o' ang+ag!. :o try to constr+ct a
(achin! to transat! th! art o' on! c+t+r! into th! art o' anoth!r
,o+# b! !.+ay siy.
A!gory, at b!st a #istast!'+ sort o' art, is an in"!rsion o' th!
nor(a cr!ati"! proc!ss. :ypicay an abstract r!ation, !.g., b!t,!!n
tr+th an# J+stic!, is 'irst conc!i"!# in rationa t!r(s. :h!
r!ationship is th!n (!taphori/!# an# #o!# +p to oo* i*! a
pro#+ct o' pri(ary proc!ss. :h! abstractions ar! p!rsoni'i!# an#
(a#! to participat! in a ps!+#o(yth, an# so on. A+ch a#"!rtising
art is a!gorica in this s!ns!, that th! cr!ati"! proc!ss is in"!rt!#.
In th! cich! syst!( o' AngoC&a-ons, it is co((ony ass+(!#
that it ,o+# b! so(!ho, b!tt!r i' ,hat is +nconscio+s ,!r! (a#!
conscio+s. 7r!+#, !"!n, is sai# to ha"! sai#, 98h!r! i# ,as, th!r!
!go sha b!,9 as tho+gh s+ch an incr!as! in conscio+s *no,!#g!
an# contro ,o+# b! both possib! an#, o' co+rs!, an i(pro"!(!nt.
:his "i!, is th! pro#+ct o' an a(ost totay #istort!# !pist!(oogy
an# a totay #istort!# "i!, o' ,hat sort o' thing a (an, or any oth!r
organis(, is.
145
5' th! 'o+r sorts o' +nconscio+sn!ss ist!# abo"!, it is "!ry c!ar
that th! 'irst thr!! ar! n!c!ssary. Conscio+sn!ss, 'or ob"io+s
(!chanica r!asons,
47
(+st a,ays b! i(it!# to a rath!r s(a
'raction o' (!nta proc!ss. I' +s!'+ at a, it (+st th!r!'or! b!
h+sban#!#. :h! +nconscio+sn!ss associat!# ,ith habit is an
!cono(y both o' tho+ght an# o' conscio+sn!ssL an# th! sa(! is tr+!
o' th! inacc!ssabiity o' th! proc!ss!s o' p!rc!ption. :h! conscio+s
organis( #o!s not r!.+ir! 2'or prag(atic p+rpos!s3 to *no, *o' it
p!rc!i"!s ;ony to *no, '*at it p!rc!i"!s. 2:o s+gg!st that ,!
(ight op!rat! ,itho+t a 'o+n#ation in pri(ary proc!ss ,o+# b! to
s+gg!st that th! h+(an brain o+ght to b! #i''!r!nty str+ct+r!#.3 5'
th! 'o+r typ!s, ony th! 7r!+#ian c+pboar# 'or s*!!tons is p!rhaps
+n#!sirab! an# co+# b! ob"iat!#. 0+t th!r! (ay sti b! a#"antag!s
in *!!ping th! s*!!ton o'' th! #ining roo( tab!.
In tr+th, o+r i'! is s+ch that its +nconscio+s co(pon!nts ar!
contin+o+sy pr!s!nt in a th!ir (+tip! 'or(s. It 'oo,s that in o+r
r!ationships ,! contin+o+sy !-chang! (!ssag!s abo+t th!s!
+nconscio+s (at!rias, an# it b!co(!s i(portant aso to !-chang!
(!ta(!ssag!s by ,hich ,! t! !ach oth!r ,hat or#!r an# sp!ci!s o'
+nconscio+sn!ss 2or conscio+sn!ss3 attach!s to o+r (!ssag!s.
In a (!r!y prag(atic ,ay, this is i(portant b!ca+s! th! or#!rs
o' tr+th ar! #i''!r!nt 'or #i''!r!nt sorts o' (!ssag!s. Inso'ar as a
(!ssag! is conscio+s an# "o+ntary, it co+# b! #!c!it'+. I can t!
yo+ that th! cat is on th! (at ,h!n in 'act sh! is not th!r!. I can t!
yo+ 9I o"! yo+9 ,h!n in 'act I #o not. 0+t #isco+rs! abo+t
r!ationship is co((ony acco(pani!# by a (ass o' s!(i"o+ntary
*in!sic an# a+tono(ic signas ,hich pro"i#! a (or! tr+st,orthy
co((!nt on th! "!rba (!ssag!.
&i(iary ,ith s*i, th! 'act o' s*i in#icat!s th! pr!s!nc! o'
arg! +nconscio+s co(pon!nts in th! p!r'or(anc!.
It th+s b!co(!s r!!"ant to oo* at any ,or* o' art ,ith th!
.+!stion6 8hat co(pon!nts o' this (!ssag! (at!ria ha# ,hat
or#!rs o' +nconscio+sn!ss 2or conscio+sn!ss3 'or th! artistD An# this
47
Consi#!r th! i(possibiity o' constr+cting a t!!"ision s!t ,hich ,o+# r!port +pon
its scr!!n all th! ,or*ings o' its co(pon!nt parts, inc+#ing !sp!ciay thos! parts
conc!rn!# in this r!porting.
146
.+!stion, I b!i!"!, th! s!nsiti"! critic +s+ay as*s, tho+gh p!rhaps
not conscio+sy.
Art b!co(!s, in this s!ns!, an !-!rcis! in co((+nicating abo+t
th! sp!ci!s o' +nconscio+sn!ss. 5r, i' yo+ pr!'!r it, a sort o' pay
b!ha"ior ,hos! '+nction is, a(ongst oth!r things, to practic! an#
(a*! (or! p!r'!ct co((+nication o' this *in#.
I a( in#!bt!# to ?r. Anthony 7org! 'or a .+otation 'ro( Isa#ora
?+ncan6 9I' I co+# t! yo+ ,hat it (!ant, th!r! ,o+# b! no point
in #ancing it.9
E!r stat!(!nt is a(big+o+s. In t!r(s o' th! rath!r "+gar
pr!(is!s o' o+r c+t+r!, ,! ,o+# transat! th! stat!(!nt to (!an6
9:h!r! ,o+# th!n b! no point in #ancing it, b!Cca+s! I co+# t! it
to yo+, .+ic*!r an# ,ith !ss a(big+ity, in ,or#s.9 :his
int!rpr!tation go!s aong ,ith th! siy i#!a that it ,o+# b! a goo#
thing to b! conscio+s o' !"!rything o' ,hich ,! ar! +nconscio+s.
0+t th!r! is anoth!r possib! (!aning o' Isa#ora ?+ncanIs
r!(ar*6 I' th! (!ssag! ,!r! th! sort o' (!ssag! that co+# b!
co((+nicat!# in ,or#s, th!r! ,o+# b! no point in #ancing it, b+t it
is not that sort o' (!ssag!. It is, in 'act, pr!cis!y th! sort o' (!ssag!
,hich ,o+# b! 'asi'i!# i' co((+nicat!# in ,or#s, b!ca+s! th! +s!
o' ,or#s 2oth!r than po!try3 ,o+# i(py that this is a '+y
conscio+s an# "o+ntary (!ssag!, an# this ,o+# b! si(py +ntr+!.
I b!i!"! that ,hat Isa#ora ?+ncan or any artist is trying to
co((+nicat! is (or! i*!6 9:his is a partic+ar sort o' party
+nconscio+s (!ssag!. @!t +s !ngag! in this partic+ar sort o' party
+nconscio+s co((+nication.
9
5r p!rhaps6 9:his is a (!ssag! abo+t
th! int!r'ac! b!t,!!n conscio+s an# +nconscio+s.
:h! (!ssag! o' s3ill o' any sort (+st a,ays b! o' this *in#.
:h! s!nsations an# .+aiti!s o' s*i can n!"!r b! p+t in ,or#s, an#
y!t th! 'act o' s*i is conscio+s.
:h! artistIs #i!((a is o' a p!c+iar sort. E! (+st practic! in
or#!r to p!r'or( th! cra't co(pon!nts o' his Job. 0+t to practic! has
a,ays a #o+b! !''!ct. It (a*!s hi(, on th! on! han#, (or! ab! to
#o ,hat!"!r it is h! is att!(ptingL an#, on th! oth!r han#, by th!
ph!no(!non o' habit 'or(ation, it (a*!s hi( !ss a,ar! o' ho, h!
#o!s it.
I' his att!(pt is to co((+nicat! abo+t th! +nconscio+s
co(pon!nts o' his p!r'or(anc!, th!n it 'oo,s that h! is on a sort o'
147
(o"ing stair,ay 2or !scaator3 abo+t ,hos! position h! is trying to
co((+nicat! b+t ,hos! (o"!(!nt is its!' a '+nction o' his !''orts
to co((+nicat!.
C!ary, his tas* is i(possib!, b+t, as has b!!n r!(ar*!#, so(!
p!op! #o it "!ry pr!ttiy.
%ri#ary %rocess
9:h! h!art has its reasons ,hich th! r!ason #o!s not at a
p!rc!i"!.
9
A(ong AngoC&a-ons, it is rath!r +s+a to thin* o' th!
9r!asons
9
o' th! h!art or o' th! +nconscio+s as inchoat! 'orc!s or
p+sh!s or h!a"ings;,hat 7r!+# ca!# !rie-en. !o $asca, a
7r!nch(an, th! (att!r ,as rath!r #i''!r!nt, an# h! no #o+bt tho+ght
o' th! r!asons o' th! h!art as a bo#y o' ogic or co(p+tation as
pr!cis! an# co(p!- as th! r!asons o' conscio+sn!ss.
2I ha"! notic!# that AngoC&a-on anthropoogists so(!Cti(!s
(is+n#!rstan# th! ,ritings o' Ca+#! @!"iC&tra+ss 'or pr!cis!y
this r!ason. :h!y say h! !(phasi/!s too (+ch th! int!!ct an#
ignor!s th! 9'!!ings.9 :h! tr+th is that h! ass+(!s that th! h!art
has pr!cis! agorith(s.3
:h!s! agorith(s o' th! h!art, or, as th!y say, o' th! +nC
conscio+s, ar!, ho,!"!r, co#!# an# organi/!# in a (ann!r totay
#i''!r!nt 'ro( th! agorith(s o' ang+ag!. An# sinc! a gr!at #!a
o' conscio+s tho+ght is str+ct+r!# in t!r(s o' th! ogics o'
ang+ag!, th! agorith(s o' th! +nconscio+s ar! #o+by
inacc!ssib!. It is not ony that th! conscio+s (in# has poor acc!ss
to this (at!ria, b+t aso th! 'act that ,h!n s+ch acc!ss is achi!"!#,
!.g., in #r!a(s, art, po!try, r!igion, into-ication, an# th! i*!,
th!r! is sti a 'or(i#ab! prob!( o' transation.
:his is +s+ay !-pr!ss!# in 7r!+#ian ang+ag! by saying that
th! op!rations o' th! +nconscio+s ar! str+ct+r!# in t!r(s o'
primary process, ,hi! th! tho+ghts o' conscio+sn!ss 2!sp!ciay
"!rbai/!# tho+ghts3 ar! !-pr!ss!# in secondary process.
)obo#y, to (y *no,!#g!, *no,s anything abo+t s!con#ary
proc!ss. 0+t it is or#inariy ass+(!# that !"!rybo#y *no,s a
148
abo+t it, so I sha not att!(pt to #!scrib! s!con#ary proc!ss in any
#!tai, ass+(ing that yo+ *no, as (+ch abo+t it as I.
$ri(ary proc!ss is charact!ri/!# 2!.g., by 7!nich!3 as ac*ing
n!gati"!s, ac*ing t!ns!, ac*ing in any i#!nti'ication o' ing+istic
(oo# 2i.!., no i#!nti'ication o' in#icati"!, s+bJ+ncti"!, optati"!,
!tc.3 an# (!taphoric. :h!s! charact!ri/ations ar! bas!# +pon th!
!-p!ri!nc! o' psychoanaysts, ,ho (+st int!rpr!t #r!a(s an# th!
patt!rns o' 'r!! association.
It is aso tr+! that th! s+bJ!ct (att!r o' pri(aryCproc!ss #isco+rs!
is #i''!r!nt 'ro( th! s+bJ!ct (att!r o' ang+ag! an# conscio+sn!ss.
Conscio+sn!ss ta*s abo+t things or p!rsons, an# attach!s pr!#icat!s
to th! sp!ci'ic things or p!rsons ,hich ha"! b!!n (!ntion!#. In
pri(ary proc!ss th! things or p!rsons ar! +s+ay not i#!nti'i!#, an#
th! 'oc+s o' th! #isco+rs! is +pon th! relations*ips ,hich ar!
ass!rt!# to obtain b!t,!!n th!(. :his is r!ay ony anoth!r ,ay o'
saying that th! #isco+rs! o' pri(ary proc!ss is (!taphoric. A
(!taphor r!tains +nchang!# th! r!ationship ,hich it 9i+strat!s9
,hi! s+bstit+ting oth!r things or p!rsons 'or th! r!ata. In a si(i!,
th! 'act that a (!taphor is b!ing +s!# is (ar*!# by th! ins!rtion o'
th! ,or#s 9as i'9 or 9i*!.9 In pri(ary proc!ss 2as in art3 th!r! ar!
no (ar*!rs to in#icat! to th! conscio+s (in# that th! (!ssag!
(at!ria is (!taphoric.
27or a schi/ophr!nic, it is a (aJor st!p to,ar#s a (or!
con"!ntiona sanity ,h!n h! can 'ra(! his schi/ophr!nic +tC
t!ranc!s or th! co((!nts o' his "oic!s in an 9as i'9 t!r(inoogy.3
:h! 'oc+s o' 9r!ationship9 is, ho,!"!r, so(!,hat (or! narro,
than ,o+# b! in#icat!# (!r!y by saying that pri(aryCproc!ss
(at!ria is (!taphoric an# #o!s not i#!nti'y th! sp!ci'ic r!ata.
:h! s+bJ!ct (att!r o' #r!a( an# oth!r pri(aryCproc!ss (at!ria is,
in 'act, r!ationship in th! (or! narro, s!ns! o' r!ationship
b!t,!!n s!' an# oth!r p!rsons or b!t,!!n s!' an# th!
!n"iron(!nt.
AngoC&a-ons ,ho ar! +nco('ortab! ,ith th! i#!a that
'!!ings an# !(otions ar! th! o+t,ar# signs o' pr!cis! an#
co(p!- agorith(s +s+ay ha"! to b! to# that th!s! (att!rs, th!
r!ationship b!t,!!n s!' an# oth!rs, an# th! r!ationship b!t,!!n
s!' an# !n"iron(!nt, ar!, in 'act, th! s+bJ!ct (att!r o' ,hat ar!
ca!# 9'!!ings9;o"!, hat!, '!ar, con'i#!nc!, an-i!ty, hostiity,
149
!tc. It is +n'ort+nat! that th!s! abstractions r!'!rring to patterns o'
r!ationship ha"! r!c!i"!# na(!s, ,hich ar! +s+ay han#!# in
,ays that ass+(! that th! 9'!!ings9 ar! (ainy charact!ri/!# by
.+antity rath!r than by pr!cis! patt!rn. :his is on! o' th!
nons!nsica contrib+tions o' psychoogy to a #istort!#
!pist!(oogy.
0! a that as it (ay, 'or o+r pr!s!nt p+rpos!s it is i(portant to
not! that th! charact!ristics o' pri(ary proc!ss as #!scrib!# abo"!
ar! th! in!"itab! charact!ristics o' any co((+nicationa syst!(
b!t,!!n organis(s ,ho (+st +s! ony iconic co((+nication. :his
sa(! i(itation is charact!ristic o' th! artist an# o' th! #r!a(!r
an# o' th! pr!h+(an (a((a or bir#. 2:h! co((+nication o'
ins!cts is, p!rhaps, anCoth!r (att!r.3
In iconic co((+nication, th!r! is no t!ns!, no si(p! n!gati"!,
no (o#a (ar*!r.
:h! abs!nc! o' si(p! n!gati"!s is o' !sp!cia int!r!st b!Cca+s!
it o't!n 'orc!s organis(s into saying t*e opposite of '*at t*ey
mean in order to get across t*e proposition. t*at t*ey mean t*e
opposite of '*at t*ey say.
:,o #ogs approach !ach oth!r an# n!!# to !-chang! th!
(!ssag!6
9
8! ar! not going to 'ight.9 0+t th! ony ,ay in ,hich
'ight can b! (!ntion!# in iconic co((+nication is by th! sho,ing
o' 'angs. It is th!n n!c!ssary 'or th! #ogs to #isco"!r that this
(!ntion o' 'ight ,as, in 'act, ony !-poratory. :h!y (+st,
th!r!'or!, !-por! ,hat th! sho,ing o' 'angs (!ans. :h!y
th!r!'or! !ngag! in a bra,L #isco"!r that n!ith!r +ti(at!y
int!n#s to *i th! oth!rL an#, a't!r that, th!y can b! 'ri!n#s.
2Consi#!r th! p!ac!C(a*ing c!r!(onias o' th! An#a(an
Isan#!rs. Consi#!r aso th! '+nctions o' in"!rt!# stat!(!nt or
sarcas(, an# oth!r sorts o' h+(or in #r!a(, art, an# (ythoogy.3
In g!n!ra, th! #isco+rs! o' ani(as is conc!rn!# ,ith r!aC
tionship !ith!r b!t,!!n s!' an# oth!r or s!' an# !n"iron(!nt. In
n!ith!r cas! is it n!c!ssary to i#!nti'y th! r!ata. Ani(a A t!s 0
abo+t his r!ationship ,ith 0 an# h! t!s C abo+t his r!ationship
,ith C. Ani(a A #o!s not ha"! to t! ani(a C abo+t his
r!ationship ,ith 0. A,ays th! r!ata ar! p!rc!ptiby pr!s!nt to
i+strat! th! #isco+rs!, an# a,ays th! #isco+rs! is iconic in th!
s!ns! o' b!ing co(pos!# o' part actions 29int!ntion (o"!(!nts93
150
,hich (!ntion th! ,ho! action ,hich is b!ing (!ntion!#. ="!n
,h!n th! cat as*s yo+ 'or (i*, sh! cannot (!ntion th! obJ!ct
,hich sh! ,ants 2+n!ss it b! p!rc!ptiby pr!s!nt3. &h! says,
9Aa(a, (a(a,9 an# yo+ ar! s+ppos!# 'ro( this in"ocation o' #!C
p!n#!ncy to g+!ss that it is (i* that sh! r!.+ir!s.
A this in#icat!s that pri(aryCproc!ss tho+ghts an# th!
co((+nication o' s+ch tho+ghts to oth!rs ar!, in an !"o+tionary
s!ns!, (or! archaic than th! (or! conscio+s op!rations o' ang+ag!,
!tc. :his has i(pications 'or th! ,ho! !cono(ics an# #yna(ic
str+ct+r! o' th! (in#. &a(+! 0+t!r ,as p!rhaps 'irst to point o+t
that that ,hich ,! *no, b!st is that o' ,hich ,! ar! !ast conscio+s,
i.!., that th! proc!ss o' habit 'or(ation is a sin*ing o' *no,!#g!
#o,n to !ss conscio+s an# (or! archaic !"!s. :h! +nconscio+s
contains not ony th! pain'+ (att!rs ,hich conscio+sn!ss pr!'!rs to
not insp!ct, b+t aso (any (att!rs ,hich ar! so 'a(iiar that ,! #o
not n!!# to insp!ct th!(. Eabit, th!r!'or!, is a (aJor !cono(y o'
conscio+s tho+ght. 8! can #o things ,itho+t conscio+sy thin*ing
abo+t th!(. :h! s*i o' an artist, or rath!r his #!(onstration o' a
s*i, b!co(!s a (!ssag! a-out th!s! parts o' his +nconscio+sn!ss.
20+t not p!rhaps a (!ssag! 'ro( th! +nconscio+s.3
0+t th! (att!r is not .+it! so si(p!. &o(! typ!s o' *no,!#g!
can con"!ni!nty b! s+n* to +nconscio+s !"!s, b+t oth!r typ!s
(+st b! *!pt on th! s+r'ac!. 0roa#y, ,! can a''or# to sin* thos!
sorts o' *no,!#g! ,hich contin+! to b! tr+! r!gar#!ss o' chang!s
in th! !n"iron(!nt, b+t ,! (+st (aintain in an acc!ssib! pac! a
thos! contros o' b!ha"ior ,hich (+st b! (o#i'i!# 'or !"!ry
instanc!. :h! ion can sin* into his +nconscio+s th! proposition
that /!bras ar! his nat+ra pr!y, b+t in #!aing ,ith any partic+ar
/!bra h! (+st b! ab! to (o#i'y th! (o"!(!nts o' his attac* to 'it
,ith th! partic+ar t!rrain an# th! partic+ar !"asi"! tactics o' th!
partic+ar /!bra.
:h! !cono(ics o' th! syst!(, in 'act, p+sh!s organis(s to,ar#
sin*ing into th! +nconscio+s thos! g!n!raiti!s o' r!ationship
,hich r!(ain p!r(an!nty tr+! an# to,ar# *!!ping ,ithin th!
conscio+s th! prag(atics o' partic+ar instanc!s.
:h! pr!(is!s (ay, !cono(icay, b! s+n*, b+t partic+ar
conc+sions (+st b! conscio+s. 0+t th! 9sin*ing,9 tho+gh !coC
no(ica, is sti #on! at a pric!;th! pric! o' inacc!ssibiity. &inc!
151
th! !"! to ,hich things ar! s+n* is charact!ri/!# by iconic
agorith(s an# (!taphor, it b!co(!s #i''ic+t 'or th! organis( to
!-a(in! th! (atri- o+t or ,hich his conscio+s conc+sions spring.
Con"!rs!y, ,! (ay not! that ,hat is common to a partic+ar
stat!(!nt an# a corr!spon#ing (!taphor is o' a g!n!raity
appropriat! 'or sin*ing.
)!antitati"e *i#its of Conscio!sness
A "!ry bri!' consi#!ration o' th! prob!( sho,s that it is not
conc!i"aby possib! 'or any syst!( to b! totay conscio+s.
&+ppos! that on th! scr!!n o' conscio+sn!ss th!r! ar! r!ports 'ro(
(any parts o' th! tota (in#, an# consi#!r th! a##ition to
conscio+sn!ss o' thos! r!ports n!c!ssary to co"!r ,hat is, at a gi"!n
stag! o' !"o+tion, not ar!a#y co"!r!#. :his a##ition ,i in"o"! a
"!ry gr!at incr!as! in th! circ+it str+ct+r! o' th! brain b+t sti ,i
not achi!"! tota co"!rag!. :h! n!-t st!p ,i b! to co"!r th!
proc!ss!s an# !"!nts occ+rring in th! circ+it str+ct+r! ,hich ,!
ha"! J+st a##!#. An# so on.
C!ary, th! prob!( is inso+b!, an# !"!ry n!-t st!p in th!
approach to tota conscio+sn!ss ,i in"o"! a gr!at inCcr!as! in
th! circ+itry r!.+ir!#.
It 'oo,s that a organis(s (+st b! cont!nt ,ith rath!r itt!
conscio+sn!ss, an# that i' conscio+sn!ss has any +s!'+ '+nctions
,hat!"!r 2,hich has n!"!r b!!n #!(onstrat!# b+t is probaby
tr+!3, th!n economy in conscio+sn!ss ,i b! o' th! 'irst
i(portanc!. )o organis( can a''or# to b! conscio+s o' (att!rs
,ith ,hich it co+# #!a at +nconscio+s !"!s.
:his is th! !cono(y achi!"!# by habit 'or(ation.
)!alitati"e *i#its of Conscio!sness
It is, o' co+rs!, tr+! 'or th! :G s!t that a satis'actory pict+r! on
th! scr!!n is an in#ication that (any parts o' th! (achin! ar!
152
,or*ing as th!y sho+#L an# si(iar consi#!rations appy to th!
9scr!!n9 o' conscio+sn!ss. 0+t ,hat is pro"i#!# is ony a "!ry
in#ir!ct r!port o' th! ,or*ing o' a thos! parts. I' th! :G s+''!rs
'ro( a bo,n t+b!, or th! (an 'ro( a stro*!, effects o' this
pathoogy (ay b! !"i#!nt !no+gh on th! scr!!n or to conscio+sn!ss,
b+t #iagnosis (+st sti b! #on! by an !-p!rt.
:his (att!r has b!arings +pon th! nat+r! o' art. :h! :G ,hich
gi"!s a #istort!# or oth!r,is! i(p!r'!ct pict+r! is, in a s!ns!,
co((+nicating abo+t its +nconscio+s pathoogi!s;!-hibiting its
sy(pto(sL an# on! (ay as* ,h!th!r so(! artists ar! not #oing
so(!thing si(iar. 0+t this sti ,onIt #o.
It is so(!ti(!s sai# that th! #istortions o' art 2say, "an 1oghIs
9Chair93 ar! #ir!cty r!pr!s!ntati"! o' ,hat th! artist 9sees.9 I' s+ch
stat!(!nts r!'!r to 9s!!ing9 in th! si(p!st physica s!ns! 2!.g.,
r!(!#iab! ,ith sp!ctac!s3, I pr!s+(! that th!y ar! nons!ns!. I' "an
1ogh co+# ony s!! th! chair in that ,i# ,ay, his !y!s ,o+# not
s!r"! prop!ry to g+i#! hi( in th! "!ry acc+rat! pacing o' paint on
can"as. An#, con"!rs!y, a photographicay acc+rat! r!pr!s!ntation
o' th! chair on th! can"as ,o+# aso b! s!!n by "an 1ogh in th!
,i# ,ay. 4! ,o+# s!! no n!!# to #istort th! painting.
0+t s+ppos! ,! say that th! artist is painting to#ay ,hat h! sa,
y!st!r#ay;or that h! is painting ,hat h! so(!ho, *no,s that h!
mig*t s!!. 9I s!! as ,! as yo+ #o;b+t #o yo+ r!ai/! that this
oth!r ,ay o' s!!ing a chair !-ists as a h+(an pot!ntiaityD An# that
that pot!ntiaity is a,ays in yo+ an# in (!D9 Is h! !-hibiting
sy(pto(s ,hich h! mig*t ha"!, b!ca+s! th! ,ho! sp!ctr+( o'
psychopathoogy is possib! 'or +s aD
Into-ication by acoho or #r+gs (ay h!p +s to s!! a #istort!#
,or#, an# th!s! #istortions (ay b! 'ascinating in that ,! r!cogni/!
th! #istortions as ours. In &ino pars &eritatis. 8! can b! h+(b!# or
aggran#i/!# by r!ai/ing that this, too, is a part o' th! h+(an s!', a
part o' :r+th. 0+t into-ication #o!s not incr!as! s*i;at b!st it
(ay r!!as! s*i pr!"io+sy ac.+ir!#.
8itho+t s*i is no art.
Consi#!r th! cas! o' th! (an ,ho go!s to th! bac*boar# ;or to
th! si#! o' his ca"!;an# #ra,s, 'r!!han#, a p!r'!ct r!in#!!r in its
post+r! o' thr!at. E! cannot tell you abo+t th! #ra,ing o' th!
r!in#!!r 29I' h! co+#, th!r! ,o+# b! no point in #ra,ing it93. 9?o
153
yo+ *no, that his p!r'!ct ,ay o' s!!ing;an# #ra,ing;a r!in#!!r
!-ists as a h+(an pot!ntiaityD9 :h! cons+((at! s*i o' th!
#ra'ts(an "ai#at!s th! artistIs (!ssag! abo+t his r!ationship to th!
ani(a;his !(pathy.
2:h!y say th! Ata(ira things ,!r! (a#! 'or sy(path!tic
h+nting (agic. 0+t (agic ony n!!#s th! cr+#!st sort o' r!pC
r!s!ntations. :h! scra,!# arro,s ,hich #!'ac! th! b!a+ti'+
r!in#!!r (ay ha"! b!!n (agica;p!rhaps a "+gar att!(pt to
(+r#!r th! artist, i*! (o+stach!s scra,!# on th! Aona @isa.3
The Correcti"e Nat!re of Art
It ,as not!# abo"! that conscio+sn!ss is n!c!ssariy s!!cti"! an#
partia, i.!., that th! cont!nt o' conscio+sn!ss is, at b!st, a s(a part
o' tr+th abo+t th! s!'. 0+t i' this part b! selected in any syst!(atic
(ann!r, it is c!rtain that th! partia tr+ths o' conscio+sn!ss ,i b!,
in aggr!gat!, a #istortion o' th! tr+th o' so(! arg!r ,ho!.
In th! cas! o' an ic!b!rg, ,! (ay g+!ss, 'ro( ,hat is abo"!
s+r'ac!, ,hat sort o' st+'' is b!o,L b+t ,! cannot (a*! th! sa(!
sort o' !-trapoation 'ro( th! cont!nt o' conscio+sn!ss. It is not
(!r!y th! s!!cti"ity o' pr!'!r!nc!, ,h!r!by th! s*!!tons
acc+(+at! in th! 7r!+#ian +nconscio+s, that (a*!s s+ch
!-trapoation +nso+n#. &+ch a s!!ction by pr!'!r!nc! ,o+# ony
pro(ot! opti(is(.
8hat is s!rio+s is th! crossc+tting o' th! circ+itry o' th! (in#. I',
as ,! (+st b!i!"!, th! tota (in# is an int!grat!# n!t,or* 2o'
propositions, i(ag!s, proc!ss!s, n!+ra pathoogy, or ,hat ha"! yo+
;accor#ing to ,hat sci!nti'ic ang+ag! yo+ pr!'!r to +s!3, an# i' th!
cont!nt o' conscio+sn!ss is ony a sa(ping o' #i''!r!nt parts an#
ocaiti!s in this n!tC,or*L th!n, in!"itaby, th! conscio+s "i!, o' th!
n!t,or* as a ,ho! is a (onstro+s #!nia o' th! integration o' that
,ho!. 7ro( th! c+tting o' conscio+sn!ss, ,hat app!ars abo"! th!
s+r'ac! is arcs o' circ+its inst!a# o' !ith!r th! co(p!t! circ+its or
th! arg!r co(p!t! circ+its o' circ+its.
8hat th! +nai#!# conscio+sn!ss 2+nai#!# by art, #r!a(s, an# th!
i*!3 can n!"!r appr!ciat! is th! systemic nat+r! o' (in#.
154
:his notion can con"!ni!nty b! i+strat!# by an anaogy6 th!
i"ing h+(an bo#y is a co(p!-, cyb!rn!ticay int!grat!# syst!(.
:his syst!( has b!!n st+#i!# by sci!ntists;(osty (!#ica (!n;
'or (any y!ars. 8hat th!y no, *no, abo+t th! bo#y (ay apty b!
co(par!# ,ith ,hat th! +nai#!# conscio+sn!ss *no,s abo+t th!
(in#. 0!ing #octors, th!y ha# p+rpos!s6 to c+r! this an# that. :h!ir
r!s!arch !''orts ,!r! th!r!'or! 'oc+s!# 2as att!ntion 'oc+s!s th!
conscio+sn!ss3 +pon thos! short trains o' ca+saity ,hich th!y co+#
(anip+at!, by (!ans o' #r+gs or oth!r int!r"!ntion, to corr!ct (or!
or !ss sp!ci'ic an# i#!nti'iab! stat!s or sy(pto(s. 8h!n!"!r th!y
#isco"!r!# an !''!cti"! 9c+r!9 'or so(!thing, r!s!arch in that ar!a
c!as!# an# att!ntion ,as #ir!ct!# !s!,h!r!. 8! can no, pr!"!nt
poio, b+t nobo#y *no,s (+ch (or! abo+t th! syst!(ic asp!cts o'
that 'ascinating #is!as!. 4!s!arch on it has c!as!# or is, at b!st,
con'in!# to i(pro"ing th! "accin!s.
0+t a bag o' tric*s 'or c+ring or pr!"!nting a ist o' sp!ci'i!#
#is!as!s pro"i#!s no o"!ra 'isdom. :h! !coogy an# pop+ation
#yna(ics o' th! sp!ci!s has b!!n #isr+pt!#L parasit!s ha"! b!!n
(a#! i((+n! to antibioticsL th! r!ationship b!t,!!n (oth!r an#
n!onat! has b!!n a(ost #!stroy!#L an# so on.
Charact!risticay, !rrors occ+r ,h!r!"!r th! at!r!# ca+sa chain
is part o' so(! arg! or s(a circ+it str+ct+r! o' syst!(. An# th!
r!(ain#!r o' o+r t!chnoogy 2o' ,hich (!#ica sci!nc! is ony a
part3 bi#s 'air to #isr+pt th! r!st o' o+r !coogy.
:h! point, ho,!"!r, ,hich I a( trying to (a*! in this pap!r is
not an attac* on (!#ica sci!nc! b+t a #!(onstration o' an
in!"itab! 'act6 that (!r! p+rposi"! rationaity +nai#!# by s+ch
ph!no(!na as art, r!igion, #r!a(, an# th! i*!, is n!c!ssariy
pathog!nic an# #!str+cti"! o' i'!L an# that its "ir+!nc! springs
sp!ci'icay 'ro( th! circ+(stanc! that i'! #!p!n#s +pon
int!roc*ing circuits o' conting!ncy, ,hi! conscio+sn!ss can s!!
ony s+ch short arcs o' s+ch circ+its as h+(an p+rpos! (ay #ir!ct.
In a ,or#, th! +nai#!# conscio+sn!ss (+st a,ays in"o"! (an
in th! sort o' st+pi#ity o' ,hich !"o+tion ,as g+ity ,h!n sh! +rg!#
+pon th! #inosa+rs th! co((onCs!ns! "a+!s o' an ar(a(!nts rac!.
&h! in!"itaby r!ai/!# h!r (ista*! a (iion y!ars at!r an# ,ip!#
th!( o+t.
155
%nai#!# conscio+sn!ss (+st a,ays t!n# to,ar# hat!L not ony
b!ca+s! it is goo# co((on s!ns! to !-t!r(inat! th! oth!r '!o,,
b+t 'or th! (or! pro'o+n# r!ason that, s!!ing ony arcs o' circ+its,
th! in#i"i#+a is contin+ay s+rpris!# an# n!c!ssariy ang!r!# ,h!n
his har#h!a#!# poici!s r!Ct+rn to pag+! th! in"!ntor.
I' yo+ +s! ??: to *i ins!cts, yo+ (ay s+cc!!# in r!#+cing th!
ins!ct pop+ation so 'ar that th! ins!cti"or!s ,i star"!. Fo+ ,i
th!n ha"! to +s! (or! ??: than b!C'or! to *i th! ins!cts ,hich th!
bir#s no ong!r !at. Aor! probaby, yo+ ,i *i o'' th! bir#s in th!
'irst ro+n# ,h!n th!y !at th! poison!# ins!cts. I' th! ??: *is o''
th! #ogs, yo+ ,i ha"! to ha"! (or! poic! to *!!p #o,n th!
b+rgars. :h! b+rgars ,i b!co(! b!tt!r ar(!# an# (or! c+nning
... an# so on.
:hat is th! sort o' ,or# ,! i"! in;a ,or# o' circ+it str+ct+r!s
;an# o"! can s+r"i"! ony i' ,is#o( 2i.!., a s!ns! or r!cognition
o' th! 'act o' circ+itry3 has an !''!cti"! "oic!.
8hat has b!!n sai# so 'ar propos!s .+!stions abo+t any
partic+ar ,or* o' art so(!,hat #i''!r!nt 'ro( thos! ,hich ha"!
b!!n con"!ntionay as*!# by anthropoogists. :h! 9c+t+r! an#
p!rsonaity schoo,9 'or !-a(p!, has tra#itionay +s!# pi!c!s o' art
or rit+a as sa(p!s or prob!s to r!"!a partic+ar psychoogica
th!(!s or stat!s.
:h! .+!stion has b!!n6 ?o!s th! art t! +s abo+t ,hat sort o'
p!rson (a#! itD 0+t i' art, as s+gg!st!# abo"!, has a positi"!
'+nction in (aintaining ,hat I ca!# 9,is#o(,9 i.!., in corr!cting a
too p+rposi"! "i!, o' i'! an# (a*ing th! "i!, (or! syst!(ic, th!n
th! .+!stion to b! as*!# o' th! gi"!n ,or* o' art b!co(!s6 8hat
sorts o' corr!ction in th! #ir!ction o' ,is#o( ,o+# b! achi!"!# by
cr!ating or "i!,ing this ,or* o' artD
:h! .+!stion b!co(!s #yna(ic rath!r than static.
Analysis of Balinese %aintin&
:+rning no, 'ro( th! consi#!ration o' !pist!(oogy to a sp!ci'ic
art sty!, ,! not! 'irst ,hat is (ost g!n!ra an# (ost ob"io+s.
156
8ith a(ost no !-c!ptions, th! b!ha"iors ca!# art or th!ir
pro#+cts 2aso ca!# art3 ha"! t,o charact!ristics6 th!y r!.+ir! or
!-hibit s3ill, an# th!y contain r!#+n#ancy or patt!rn.
0+t thos! t,o charact!ristics ar! not s!parat!6 th! s*i is 'irst in
(aintaining an# th!n in (o#+ating th! r!#+n#anci!s.
:h! (att!r is p!rhaps (ost c!ar ,h!r! th! s*i is that o' th!
Jo+rn!y(an an# th! r!#+n#ancy is o' co(parati"!y o, or#!r. 7or
!-a(p!, in th! 0ain!s! painting by I#a 0ag+s ?Jati &+ra o' th!
"iag! o' 0at+an, 1937 an# in a(ost a painting o' th! 0at+an
schoo, s*i o' a c!rtain !!(!ntary b+t highy #iscipin!# sort ,as
!-!rcis!# or practic!# in th! bac*gro+n# o' 'oiag!. :h!
r!#+n#anci!s to b! achi!"!# in"o"! rath!r +ni'or( an# rhyth(ica
r!p!tition o' !a' 'or(s, b+t this r!#+n#ancy is, so to sp!a*, 'ragi!.
It ,o+# b! bro*!n or int!rr+pt!# by s(+#g!s or irr!g+ariti!s o'
si/! or ton! in th! painting o' th! s+cc!ssi"! !a"!s.
8h!n a 0at+an artist oo*s at th! ,or* o' anoth!r, on! o' th! 'irst
things h! !-a(in!s is th! t!chni.+! o' th! !a'y bac*gro+n#. :h!
!a"!s ar! 'irst #ra,n, in 'r!! o+tin! in p!nciL th!n !ach o+tin! is
tighty r!#!'in!# ,ith p!n an# bac* in*. 8h!n this has b!!n #on!
'or a th! !a"!s, th! artist b!gins to paint ,ith br+sh an# Chin!s!
in*. =ach !a' is co"!r!# ,ith a pa! ,ash. 8h!n th!s! ,ash!s ar!
#ry, !ach !a' r!c!i"!s a s(a!r conc!ntric ,ash an# a't!r this
anoth!r sti s(a!r, an# so on. :h! 'ina r!s+t is a !a' ,ith an aC
(ost ,hit! ri( insi#! th! in*!# o+tin!, an# s+cc!ssi"! st!ps o'
#ar*!r an# #ar*!r coor to,ar# th! c!nt!r o' th! !a'.
A 9goo#9 pict+r! has +p to 'i"! or si- s+ch s+cc!ssi"! ,ash!s on
!"!ry !a'. 2:his partic+ar painting is not "!ry 9goo#9 in this s!ns!.
:h! !a"!s ar! #on! in ony thr!! or 'o+r st!ps.3
:h! s*i an# th! patt!rning so 'ar #isc+ss!# #!p!n# +pon
(+sc+ar rot! an# (+sc+ar acc+racy;achi!"ing th! p!rhaps not
n!gigib! artistic !"! o' a ,!Cai# o+t 'i!# o' t+rnips.
I ,as ,atching a "!ry gi't!# A(!rican carp!nt!rCarchit!ct at
,or* on th! ,oo#,or* o' a ho+s! h! ha# #!sign!#. I co((!nt!# on
th! s+r!n!ss an# acc+racy o' !ach st!p. E! sai#, 95h, that. :hatIs
ony i*! +sing a typ!,rit!r. Fo+ ha"! to b! ab! to #o that ,itho+t
thin*ing.9
0+t on top o' this !"! o' r!#+n#ancy is anoth!r. :h! +ni'or(ity
o' th! o,!rC!"! r!#+n#ancy (+st b! (o#+at!# to gi"! high!r
157
or#!rs o' r!#+n#ancy. :h! !a"!s in on! ar!a (+st b! different 'ro(
th! !a"!s in anoth!r ar!a, an# th!s! differences (+st b! in so(!
,ay (+t+ay r!#+n#ant6 th!y (+st b! part o' a arg!r patt!rn.
In#!!#, th! '+nction an# n!c!ssity o' th! 'irstC!"! contro is
pr!cis!y to (a*! th! s!con# !"! possib!. :h! p!rc!i"!r o' th!
,or* o' art (+st r!c!i"! in'or(ation that th! artist can paint a
+ni'or( ar!a o' !a"!s b!ca+s! ,itho+t this in'or(ation h! ,i not
b! ab! to acc!pt as signi'icant th! "ariations in that +ni'or(ity.
5ny th! "ioinist ,ho can contro th! .+aity o' his not!s can
+s! "ariations o' that .+aity 'or (+sica p+rpos!s.
:his princip! is basic an# acco+nts, I s+gg!st, 'or th! a(ost
+ni"!rsa in*ag! in a!sth!tics b!t,!!n s*i an# patt!rn. :h!
!-c!ptions;!.g., th! c+t o' nat+ra an#scap!s, 9'o+n# obJ!cts,9
in*bots, scatt!rgra(s, an# th! ,or*s o' Jac*son $ooc*;s!!( to
!-!(pi'y th! sa(! r+! in r!"!rs!. In th!s! cas!s, a arg!r
patt!rning s!!(s to propos! th! i+sion that th! #!tais (+st ha"!
b!!n contro!#. Int!rC(!#iat! cas!s aso occ+r6 !.g., in 0ain!s!
car"ing, th! nat+ra grain o' th! ,oo# is rath!r 'r!.+!nty +s!# to
s+gg!st #!Ctais o' th! 'or( or s+r'ac! o' th! s+bJ!ct. In th!s! cas!s,
th! s*i i!s not in th! #ra'ts(anship o' th! #!tais, b+t in th! artistIs
pac!(!nt o' his #!sign ,ithin th! thr!!C#i(!nsiona str+ct+r! o' th!
,oo#. A sp!cia 9!''!ct9 is achi!"!#, not by th! (!r!
r!pr!s!ntationais(, b+t by th! p!rc!i"!rIs partia a,ar!n!ss that a
physica syst!( ot*er than that o' #ra'ts(anCship has contrib+t!# to
#!t!r(in! his p!rc!ption.
8! no, t+rn to (or! co(p!- (att!rs, sti conc!ntrating
att!ntion +pon th! (ost ob"io+s an# !!(!ntary.
Co#position
213 :h! #!in!ation o' !a"!s an# oth!r 'or(s #o!s not r!ach to
th! !#g! o' th! pict+r! b+t sha#!s o'' into #ar*n!ss so that a(ost a
aro+n# th! r!ctang! th!r! is a ban# o' +n#i''!r!ntiat!# #ar*
pig(!nt. In oth!r ,or#s, th! pict+r! is 'ra(!# ,ithin its o,n 'a#!C
o+t. 8! ar! ao,!# to '!! that th! (att!r is in so(! s!ns! 9o+t o'
158
this ,or#9L an# this in spit! o' th! 'act that th! sc!n! #!pict!# is
'a(iiar;th! starting o+t o' a cr!(ation proc!ssion.
223 :h! pict+r! is filled. :h! co(position !a"!s no op!n spac!s.
)ot ony is non! o' th! pap!r !'t +npaint!#, b+t no consi#!rab!
ar!a is !'t in +ni'or( ,ash. :h! arg!st s+ch ar!as ar! th! "!ry #ar*
patch!s at th! botto( b!t,!!n th! !gs o' th! (!n.
:o 5cci#!nta !y!s, this gi"!s an !''!ct o' 9'+ssin!ss.9 :o
psychiatric !y!s, th! !''!ct is o' 9an-i!ty9 or 9co(p+si"ity.9 8!
ar! a 'a(iiar ,ith th! strang! oo* o' thos! !tt!rs 'ro( cran*s,
,ho '!! that th!y (+st 'i th! pag!.
233 0+t b!'or! trying too 'ast to #iagnos! or !"a+at!, ,! ha"! to
not! that th! co(position o' th! o,!r ha' o' th! pict+r!, apart 'ro(
this 'iing o' bac*gro+n# spac!, is t+rb+!nt. )ot (!r!y a #!piction
o' acti"! 'ig+r!s, b+t a s,iring co(position (o+nting +p,ar#s an#
cos!# o'' by th! contrasting #ir!ction o' th! g!st+r!s o' th! (!n at
th! top o' th! pyra(i#.
:h! +pp!r ha' o' th! pict+r!, in contrast, is s!r!n!. In#!!#, th!
!''!ct o' th! p!r'!cty baanc!# ,o(!n ,ith o''!rings on th!ir h!a#s
is so s!r!n! that, at 'irst ganc!, it app!ars that th! (!n ,ith (+sica
instr+(!nts (+st s+r!y b! sitting. 2:h!y ar! s+ppos!# to b! (o"ing
in proc!ssion.3
0+t this co(positiona str+ct+r! is th! r!"!rs! o' th! +s+a
5cci#!nta. 8! !-p!ct th! o,!r part o' a pict+r! to b! th! (or!
stab! an# !-p!ct to s!! action an# (o"!(!nt in th! +pp!r part;i'
any,h!r!.
243 At this point, it is appropriat! to !-a(in! th! pict+r! as a
s!-+a p+n an#, in this conn!ction, th! int!rna !"i#!nc! 'or s!-+a
r!'!r!nc! is at !ast as strong as it is in th! cas! o' th! :angaroa
'ig+r! #isc+ss!# by @!ach. A yo+ ha"! to #o is to s!t yo+r (in#
in th! corr!ct post+r! an# yo+ ,i s!! an !nor(o+s phaic obJ!ct
2th! cr!(ation to,!r3 ,ith t,o !!phantsI h!a#s at th! bas!. :his
obJ!ct (+st pass thro+gh a narro, !ntranc! into a s!r!n! co+rtyar#
an# th!nc! on,ar# an# +p,ar# thro+gh a sti (or! narro,
passag!,ay. Aro+n# th! bas! o' th! phaic obJ!ct yo+ s!! a
t+rb+!nt (ass o' ho(+nc+i, a cro,# in ,hich
8as non! ,ho ,o+# b! 'or!(ost :o
!a# s+ch #ir! attac*L
159
0+t thos! b!hin# cri!# 97or,ar#O9 An#
thos! b!'or! cri!# 90ac*O9
An# i' yo+ ar! so (in#!#, yo+ ,i 'in# that Aaca+ay
I
s po!(
abo+t ho, Eorati+s *!pt th! bri#g! is no !ss s!-+a than th! pr!s!nt
pict+r!. :h! ga(! o' s!-+a int!rpr!tation is !asy i' yo+ ,ant to pay
it. )o #o+bt th! sna*! in th! tr!! Z to th! !'t o' th! pict+r! co+#
aso b! ,o"!n into th! s!-+a story.
It is sti possib!, ho,!"!r, that so(!thing is a##!# to o+r
+n#!rstan#ing o' a ,or* o' art by th! hypoth!sis that th! s+bJ!ct
(att!r is #o+b!6 that th! pict+r! r!pr!s!nts both th! start o' a
cr!(ation proc!ssion an# a pha+s ,ith "agina. 8ith a itt!
i(agination, ,! co+# aso s!! th! pict+r! as a sy(boic
r!pr!s!ntation o' 0ain!s! socia organi/ation in ,hich th! s(ooth
r!ations o' !ti.+!tt! an# gai!ty (!taphoricay co"!r th! t+rb+!nc!
o' passion. An#, o' co+rs!, 9Eorati+s9 is "!ry !"i#!nty an i#!ai/!#
(yth o' nin!t!!nthCc!nt+ry i(p!ria =ngan#.
It is probaby an !rror to thin* o' #r!a(, (yth, an# art as b!ing
abo+t any on! (att!r oth!r than r!ationship. As ,as (!ntion!#
!ari!r, #r!a( is (!taphoric an# is not partic+ary abo+t th! r!ata
(!ntion!# in th! #r!a(. In th! con"!ntiona int!rpr!tation o' #r!a(,
anoth!r s!t o' r!ata, o't!n s!-+a, is s+bstit+t!# 'or th! s!t in th!
#r!a(. 0+t p!rhaps by #oing this ,! ony cr!at! anoth!r #r!a(.
:h!r! in#!!# is no a priori r!ason 'or s+pposing that th! s!-+a
r!ata ar! any (or! pri(ary or basic than any oth!r s!t.
In g!n!ra, artists ar! "!ry +n,iing to acc!pt int!rpr!tations o'
this sort, an# it is not c!ar that th!ir obJ!ction is to th! s!-+a nat+r!
o' th! int!rpr!tation. 4ath!r, it s!!(s that rigi# 'oc+sing +pon any
sing! s!t o' r!ata #!stroys 'or th! artist th! (or! pro'o+n#
signi'icanc! o' th! ,or*. I' th! pict+r! ,!r! only abo+t s!- or only
abo+t socia organi/ation, it ,o+# b! tri"ia. It is nontri"ia or
pro'o+n# pr!cis!y b!ca+s! it is abo+t s!- an# socia organi/ation
an# cr!(ation, an# oth!r things. In a ,or#, it is ony abo+t r!C
ationship an# not abo+t any i#!nti'iab! r!ata.
253 It is appropriat! th!n to as* ho, th! artist has han#!# th!
i#!nti'ication o' his s+bJ!ct (att!r ,ithin th! pict+r!. 8! not! 'irst
that th! cr!(ation to,!r ,hich occ+pi!s a(ost on!Cthir# o' th!
pict+r! is a(ost in"isib!. It #o!s not stan# o+t against its
160
bac*gro+n# as it sho+# i' th! artist ,ant!# to ass!rt +n!.+i"ocay
9this is a cr!(ation.9 )otaby aso, th! co''in, ,hich (ight b!
!-p!ct!# to b! a 'oca point, is appropriat!y pac!# J+st b!o, th!
c!nt!r b+t !"!n so #o!s not catch th! !y!. In 'act, th! artist has
ins!rt!# #!tais ,hich ab! th! pict+r! as a cr!(ation sc!n! b+t
th!s! #!tais b!co(! a(ost ,hi(sica asi#!s, i*! th! sna*! an# th!
itt! bir#s in th! tr!!s. :h! ,o(!n ar! carrying th! rit+ay corr!ct
o''!rings on th!ir h!a#s, an# t,o (!n appropriat!y bring ba(boo
contain!rs o' pa( to##y, b+t th!s! #!tais, too, ar! ony ,hi(sicay
a##!#. :h! artist pays #o,n th! s+bJ!ct i#!nti'ication an# th!r!by
gi"!s (aJor str!ss to th! contrast b!t,!!n th! t+rb+!nt an# th!
s!r!n! (!ntion!# in 3, abo"!.
263 In s+(, it is (y opinion that th! cr+- o' th! pict+r! is th!
int!r,o"!n contrast b!t,!!n th! s!r!n! an# th! t+rb+!nt. An# a
si(iar contrast or co(bination ,as aso pr!s!nt, as ,! ha"! s!!n, in
th! painting o' th! !a"!s. :h!r!, too, an !-+b!rant 'r!!#o( ,as
o"!rai# by pr!cision.
In t!r(s o' this conc+sion, I can no, att!(pt an ans,!r to th!
.+!stion pos!# abo"!6 8hat sorts o' corr!ction, in th! #ir!ction o'
syst!(ic ,is#o(, co+# b! achi!"!# by cr!ating or "i!,ing this
,or* o' artD In 'ina anaysis, th! pict+r! can b! s!!n as an
a''ir(ation that to choos! !ith!r t+rb+!nc! or s!r!nity as a h+(an
p+rpos! ,o+# b! a "+gar !rror. :h! conc!i"ing an# cr!ating o' th!
pict+r! (+st ha"! pro"i#!# an !-p!ri!nc! ,hich !-pos!# this !rror.
:h! +nity an# int!gration o' th! pict+r! ass!rt that n!ith!r o' th!s!
contrasting po!s can b! chos!n to th! !-c+sion o' th! oth!r,
b!ca+s! th! po!s ar! (+t+ay #!p!n#!nt. :his pro'o+n# an#
g!n!ra tr+th is si(+tan!o+sy ass!rt!# 'or th! 'i!#s o' s!-, socia
organi/ation, an# #!ath.
161
Co((ent on Pa&t II
&inc! 8or# 8ar II, it has b!!n 'ashionab! to !ngag! in
9int!r#iscipinary9 r!s!arch, an# this +s+ay (!ans, 'or !-a(p!,
that an !coogist ,i n!!# a g!oogist to t! hi( abo+t th! roc*s an#
sois o' th! partic+ar t!rrain ,hich h! is in"!stigating. 0+t th!r! is
anoth!r s!ns! in ,hich sci!nti'ic ,or* (ay cai( to b!
int!r#iscipinary.
:h! (an ,ho st+#i!s th! arrang!(!nt o' !a"!s an# branch!s in
th! gro,th o' a 'o,!ring pant (ay not! an anaogy b!t,!!n th!
'or(a r!ations b!t,!!n st!(s, !a"!s, an# b+#s, an# th! 'or(a
r!ations that obtain b!t,!!n #i''!r!nt sorts o' ,or#s in a s!nt!nc!.
E! ,i thin* o' a 9!a'9 not as so(!thing 'at an# gr!!n b+t as
so(!thing r!at!# in a partic+ar ,ay to th! st!( 'ro( ,hich it
gro,s an# to th! s!con#ary st!( 2or b+#3 ,hich is 'or(!# in th!
ang! b!t,!!n !a' an# pri(ary st!(. &i(iary th! (o#!rn ing+ist
thin*s o' a 9no+n9 not as th! 9na(! o' a p!rson, pac!, or thing,9 b+t
as a (!(b!r o' a cass o' ,or#s #!C'in!# by th!ir relations*ip in
s!nt!nc! str+ct+r! to 9"!rbs
9
an# oth!r parts.
:hos! ,ho thin* 'irst o' th! 9things9 ,hich ar! r!at!# 2th!
9r!ata93 ,i #is(iss any anaogy b!t,!!n gra((ar an# th!
anato(y o' pants as 'arC'!tch!#. A't!r a, a !a' an# a no+n #o not
at a r!s!(b! !ach oth!r in o+t,ar# app!aranc!. 0+t i' ,! thin*
'irst o' th! r!ationships an# consi#!r th! r!ata as #!'in!# so!y by
th!ir r!ationships, th!n ,! b!gin to ,on#!r. Is th!r! a pro'o+n#
anaogy b!t,!!n gra((ar an# anato(yD Is th!r! an
int!r#iscipinary sci!nc! ,hich sho+# conc!rn its!' ,ith s+ch
anaogi!sD 8hat ,o+# s+ch a sci!nc! cai( as its s+bJ!ct (att!rD
An# ,hy sho+# ,! !-p!ct s+ch 'arC'+ng anaogi!s to ha"!
signi'icanc!D
In #!aing ,ith any anaogy, it is i(portant to #!'in! !-acty
,hat is cai(!# ,h!n ,! say that th! anaogy is (!aning'+. In th!
pr!s!nt !-a(p!, it is not cai(!# that a no+n sho+# oo* i*! a !a'.
It is not !"!n cai(!# that th! r!ation b!t,!!n !a' an# st!( is th!
sa(! as th! r!ation b!t,!!n no+n an# "!rb. 8hat is cai(!# is,
'irst, that in both anato(y an# gra((ar th! parts ar! to b! cassi'i!#
162
accor#ing to th! r!ations b!t,!!n th!(. In both 'i!#s, th! relations
ar! to b! tho+ght o' as so(!ho, pri(ary, th! r!ata as s!con#ary.
0!yon# this, it is cai(!# that th! r!ations ar! o' th! sort g!n!rat!#
by proc!ss!s o' in'or(ation !-Cchang!.
In oth!r ,or#s, th! (yst!rio+s an# poy(orphic r!ation b!t,!!n
conte.t an# content obtains in both anato(y an# ing+isticsL an#
!"o+tionists o' th! nin!t!!nth c!nt+ry, pr!occ+pi!# ,ith ,hat ,!r!
ca!# 9ho(oogi!s,
9
,!r!, in 'act, st+#ying pr!cis!y th! cont!-t+a
str+ct+r!s o' bioogica #!"!op(!nt.
A o' this sp!c+ation b!co(!s a(ost patit+#! ,h!n ,! r!ai/!
that both gra((ar an# bioogica str+ct+r! ar! pro#+cts o'
co((+nicationa an# organi/ationa proc!ss. :h! anato(y o' th!
pant is a co(p!- trans'or( o' g!notypic instr+ctions, an# th!
9ang+ag!9 o' th! g!n!s, i*! any oth!r ang+ag!, (+st o' n!c!ssity
ha"! cont!-t+a str+ct+r!. Aor!Co"!r, in a co((+nication, th!r!
(+st b! a r!!"anc! b!t,!!n th! cont!-t+a str+ct+r! o' th! (!ssag!
an# so(! str+ct+ring o' th! r!cipi!nt. :h! tiss+!s o' th! pant co+#
not 9r!a#
9
th! g!notypic instr+ctions carri!# in th! chro(oso(!s o'
!"!ry c! +n!ss c! an# tiss+! !-ist, at that gi"!n (o(!nt, in a
cont!-t+a str+ct+r!.
8hat has b!!n sai# abo"! ,i s!r"! as s+''ici!nt #!'inition o'
,hat is h!r! (!ant by 9'or( an# patt!rn.
9
:h! 'oc+s o' #isc+ssion
,as +pon 'or( rath!r than cont!nt, +pon cont!-t rath!r than +pon
,hat occ+rs 9in9 th! gi"!n conCt!-t, +pon r!ationship rath!r than
+pon th! r!at!# p!rCsons or ph!no(!na.
:h! !ssays inc+#!# rang! 'ro( a #isc+ssion o' 9schis(og!n!sis9
219353 to t,o !ssays ,ritt!n a't!r th! birth o' cyb!rn!tics.
In 1935, I c!rtainy ha# not c!ary grasp!# th! c!ntra
i(portanc! o'
9
cont!-t.9 I tho+ght that th! proc!ss!s o' schisC
(og!n!sis ,!r! i(portant an# nontri"ia b!ca+s! in th!( I s!!(!#
to s!! !"o+tion at ,or*6 i' int!raction b!t,!!n p!rsons co+#
+n#!rgo progr!ssi"! .+aitati"! chang! as inCt!nsity incr!as!#, th!n
s+r!y this co+# b! th! "!ry st+'' o' c+t+ra !"o+tion. It 'oo,!#
that a #ir!ctiona chang!, !"!n in bioogica !"o+tion an#
phyog!ny, (ight;or (+st ;b! #+! to progr!ssi"! int!raction
b!t,!!n organis(s. %n#!r nat+ra s!!ction, s+ch chang! in
r!ationships ,o+# 'a"or progr!ssi"! chang! in anato(y an#
physioogy.
163
:h! progr!ssi"! incr!as! in si/! an# ar(a(!nt o' th! #inosa+rs
,as, as I sa, it, si(py an int!racti"! ar(a(!nts rac!;a
schis(og!nic proc!ss. 0+t I co+# not th!n s!! that th! !"o+tion
o' th! hors! 'ro( o*i p pus ,as not a on!Csi#!# a#J+st(!nt to
i'! on grassy pains. &+r!y th! grassy pains th!(s!"!s ,!r!
!"o"!# pari passe ,ith th! !"o+tion o' th! t!!th an# hoo"!s o'
th! hors!s an# oth!r +ng+at!s. :+r' ,as th! !"o"ing r!spons! o'
th! "!g!tation to th! !"o+tion o' th! hors!. It is th! conte.t
,hich !"o"!s.
:h! cassi'ication o' schis(og!nic proc!ss into 9sy((!trica9
an#
9
co(p!(!ntary9 ,as ar!a#y a cassi'ication o' conCt!-ts o'
b!ha"iorL an#, ar!a#y in this !ssay, th!r! is a proposa to !-(in!
th! possib! co(binations o' th!(!s in co(p!(!ntary b!ha"ior.
0y 1942, I ha# co(p!t!y 'orCgott!n this o# proposa, b+t I
att!(pt!# to #o pr!cis!y ,hat I ha# propos!# s!"!n y!ars
pr!"io+sy. In 1942 (any o' +s ,!r! int!r!st!# in 9nationa
charact!r9 an# th! conC, trast b!t,!!n =ngan# an# A(!rica
'ort+nat!y bro+ght into 'oc+s th! 'act that 9sp!ctatorship9 is in
=ngan# a 'iia charact!ristic, in*!# ,ith #!p!n#!ncy an#
s+b(ission, ,hi! in A(!rica sp!ctatorship is a par!nta
charact!ristic in*!# ,ith #o(inanc! an# s+ccoring.
:his hypoth!sis, ,hich I ca!# 9!n#Cin*ag!,
9
(ar*!# a t+rning
point in (y thin*ing. 7ro( that ti(! on, I ha"! conscio+sy
'oc+s!# +pon th! .+aitati"! str+ct+r! o' conCt!-ts rath!r than
+pon int!nsity o' int!raction. Abo"! a, th! ph!no(!na o' !n#C
in*ag! sho,!# that cont!-t+a str+ct+r!s co+# th!(s!"!s b!
messages7an i(portant point ,hich is not (a#! in th! 1942
artic!. An =ngish(an ,h!n h! is appa+#ing anoth!r is
in#icating or signaing pot!ntia s+b(ission an#Kor #!p!n#!ncyL
,h!n h! sho,s o'' or #!(an#s sp!ctatorship, h! is signaing.
#o(inanc! or s+p!riorityL an# so on. ="!ry =ngish(an ,ho
,rit!s a boo* (+st b! g+ity o' this. 7or th! A(!rican, th!
con"!rs! (+st ho#. Eis boasting is b+t a bi# 'or .+asipar!nta apC
pro"a.
:h! notion o' cont!-t r!app!ars in th! !ssay 9&ty!, 1rac!, an#
In'or(ation in $ri(iti"! Art,9 b+t h!r! th! i#!a o' cont!-t has
!"o"!# to (!!t th! r!at!# i#!as o'
9
r!#+n#ancy,9 9patt!rn,9 an#
9(!aning.9
164
Part III: Form and Pathology in
Relationship
Social Planning and
the Concept of
Deutero-Learning

@!t (! ta*! as 'oc+s 'or this co((!nt th! ast it!(

1
in ?r.
A!a#Is s+((ary o' h!r pap!r. :o th! ay(an ,ho has not occ+pi!#
hi(s!' ,ith th! co(parati"! st+#y o' h+(an c+t+r!s, this
r!co((!n#ation (ay app!ar strang!L it (ay app!ar to b! an !thica
or phiosophica para#o-, a s+gg!stion that ,! #iscar# p+rpos! in
H
:hisC artic! ,as (y co((!nt on Aargar!t A!a#Is artic! 9:h! Co(parati"!
&t+#y o' C+t+r! an# th! $+rposi"! C+ti"ation o' ?!(ocratic Ga+!s,9 p+bish!# as
Chapt!r IG o' Science, 6*ilosop*y and $eligion, Second Symposium, copyright
1942 by th! Con'!r!nc! on &ci!nc!, $hiosophy an# 4!igion, )!, For*. It is h!r!
r!print!# by p!r(ission o' th! Con'!r!nc! an# o' Earp!r X 4o,, Inc.
I ha"! itaici/!# a par!nth!sis in 'ootnot! 5 ,hich pr!C'ig+r!s th! conc!pt o' th!
9#o+b! bin#.9
1
?r. A!a# ,rit!s6 9. . thos! st+#!nts ,ho ha"! #!C"ot!# th!(s!"!s to st+#ying
c+t+r!s as ,ho!s, as syst!(s o' #yna(ic !.+iibri+(, can (a*! th! 'oo,ing
contrib+tions 6 . . .
94. I(p!(!nt pans 'or at!ring o+r pr!s!nt c+t+r! by r!cogni/ing th!
i(portanc! o' inc+#ing th! socia sci!ntist 'it*in his !-p!ri(!nta (at!ria, an# by
r!cogni/ing that by ,or*ing to,ar# #!'in!# ends 'e co((it o+rs!"!s to th!
(anip+ation o' p!rsons, an# th!r!'or! to th! n!gation o' #!(ocracy. 5ny by
,or*ing in t!r(s o' "a+!s ,hich ar! i(it!# to #!'ining a direction is it possib!
'or +s to +s! sci!nti'ic (!tho#s in th! contro o' th! proc!ss ,itho+t th! n!gation o'
th! (ora a+tono(y o' th! h+(an spirit.9 2Itaics h!rs.3
166
or#!r to achi!"! o+r p+rpos!L it (ay !"!n ca to (in# so(! o' th!
basic aphoris(s o' Christianity an# :aois(. &+ch aphoris(s ar!
'a(iiar !no+ghL b+t th! ay(an ,i b! a itt! s+rpris!# to 'in#
th!( co(ing 'ro( a sci!ntist an# #r!ss!# in a th! paraph!rnaia
o' anaytic tho+ght. :o oth!r anthropoogists an# socia sci!ntists,
?r. A!a#Is r!co((!n#ations ,i b! !"!n (or! s+rprising, an#
p!rhaps (or! (!aning!ss, b!Cca+s! instr+(!ntaity an#
9b+!prints9 ar! an !ss!ntia ingr!#i!nt in th! ,ho! str+ct+r! o'
i'! as sci!nc! s!!s it. @i*!,is!, to thos! in poitica i'!, ?r.
A!a#Is r!co((!n#ation ,i b! strang!, sinc! th!y s!! #!cisions
as cassi'iab! into poicyC(a*ing #!cisions "!rs+s !-!c+ti"!
#!cisions. :h! go"!rnors an# th! sci!ntists ai*! 2not to (!ntion
th! co((!rcia ,or#3 s!! h+(an a''airs as patt!rn!# +pon p+rC
pos!, (!ans an# !n#s, connation an# satis'action.
I' anybo#y #o+bts that ,! t!n# to r!gar# p+rpos! an#
instr+(!ntaity as #istincti"!y h+(an, !t hi( consi#!r th! o#
.+ip abo+t !ating an# i"ing. :h! cr!at+r! ,ho 9!ats to i"!9 is th!
high!st h+(anL h! ,ho 9i"!s to !at9 is coars!rCgrain!#, b+t sti
h+(anL b+t i' h! J+st 9!ats and i"!s,9 ,itho+t attrib+ting
instr+(!ntaity or a sp+rio+s priority in ti(! s!.+!nc! to !ith!r
proc!ss, h! is rat!# ony a(ong th! ani(as, an# so(!, !ss *in#,
,i r!gar# hi( as "!g!tab!.
?r. A!a#
I
s contrib+tion consists in this;that sh!, 'orti'i!# by
co(parati"! st+#y o' oth!r c+t+r!s, has b!!n ab! to
transc!n# th! habits o' tho+ght c+rr!nt in h!r o,n c+C
t+r! an# has b!!n ab! to say "irt+ay this6 90!'or! ,! appy
socia sci!nc! to o+r o,n nationa a''airs, ,! (+st r!C!-a(in! an#
chang! o+r habits o' tho+ght on th! s+bJ!ct o' (!ans an# !n#s. 8!
ha"! !arnt, in o+r c+t+ra s!tting, to cassi'y b!ha"ior into
N(!ansI an# N!n#sI an# i' ,! go on . #!'ining !n#s as s!parat! 'ro(
(!ans and appy th! socia sci!nc!s as cr+#!y instr+(!nta
(!ans, +sing th! r!cip!s o' sci!nc! to (anip+at! p!op!, ,! sha
arri"! at a totaitarian rath!r than a #!(ocratic syst!( o' i'!.9 :h!
so+tion ,hich sh! o''!rs is that ,! oo* 'or th! 9#ir!ction,9 an#
9
"a+!s9 i(picit in th! (!ans, rath!r than oo*ing ah!a# to a
b+!print!# goa an# thin*ing o' this goa as J+sti'ying or not
J+sti'ying (anip+ati"! (!ans. 8! ha"! to 'in# th! "a+! o' a
pann!# act i(picit in an# si(+tan!o+s ,ith th! act its!', not
167
s!parat! 'ro( it in th! s!ns! that th! act ,o+# #!ri"! its "a+!
'ro( r!'!r!nc! to a '+t+r! !n# or goa. ?r. A!a#Is pap!r is, in 'act,
not a #ir!ct pr!ach(!nt abo+t !n#s an# (!ansL sh! #o!s not say
that !n#s !ith!r #o or #o not J+sti'y th! (!ans. &h! is ta*ing not
#ir!cty abo+t !n#s an# (!ans, b+t abo+t th! ,ay ,! t!n# to thin*
abo+t ,ays an# (!ans, an# abo+t th! #ang!rs inh!r!nt in o+r habit
o' tho+ght.
It is sp!ci'icay at this !"! that th! anthropoogist has (ost to
contrib+t! to o+r prob!(s. It is his tas* to s!! th! high!st co((on
'actor i(picit in a "ast "ari!ty o' h+(an ph!no(!na, or in"!rs!y,
to #!ci#! ,h!th!r ph!no(!na ,hich app!ar to b! si(iar ar! not
intrinsicay #i''!r!nt. E! (ay go to on! &o+th &!a co((+nity,
s+ch as th! Aan+s, an# th!r! 'in# that tho+gh !"!rything that th!
nati"!s #o is concr!t!y #i''!r!nt 'ro( o+r o,n b!ha"ior, y!t th!
+n#!rying syst!( o' (oti"!s is rath!r cos!y co(parab! ,ith
o+r o,n o"! o' ca+tion an# ,!ath acc+(+ationL or again h! (ay
go to anoth!r soci!ty s+ch as 0ai an# th!r! 'in# that, ,hi! th!
o+t,ar# app!aranc! o' th! nati"! r!igion is cos!y co(parab!
,ith o+r o,n;*n!!ing to pray, inc!ns!, inton!# +tt!ranc!s
p+nct+at!# by a b!, !tc.;th! basic !(otiona attit+#!s ar!
'+n#a(!ntay #i''!r!nt. In 0ain!s! r!igion ,! 'in# an appro"a
accor#!# to rot!, non!(otiona p!r'or(anc! o' c!rtain acts inst!a#
o' th! insist!nc! +pon corr!ct !(otiona attit+#!, charact!ristic o'
Christian ch+rch!s.
In !"!ry cas! th! anthropoogist is conc!rn!# not ,ith (!r!
#!scription b+t ,ith a sighty high!r #!gr!! o' abstraction, a ,i#!r
#!gr!! o' g!n!rai/ation. Eis 'irst tas* is th! (!tic+o+s co!ction
o' (ass!s o' concr!t! obs!r"ations o' nati"! i'!;b+t th! n!-t st!p
is not a (!r! s+((ari/ing o' th!s! #ataL it is rath!r to int!rpr!t th!
#ata in an abstract ang+ag! ,hich sha transc!n# an# co(pr!h!n#
th! "ocab+ary an# notions !-picit an# i(picit in o+r o,n
c+t+r!. It is not possib! to gi"! a sci!nti'ic #!scription o' a nati"!
c+t+r! in =ngish ,or#sL th! anthropoogist (+st #!"is! a (or!
abstract "ocab+ary in t!r(s o' ,hich both o+r o,n an# th! nati"!
c+t+r! can b! #!scrib!#.
:his th!n is th! typ! o' #iscipin! ,hich has !nab!# ?r. A!a# to
point o+t that a #iscr!pancy;a basic an# '+n#a(!nta #iscr!pancy
;!-ists b!t,!!n 9socia !ngin!!ring,9 (anip+ating p!op! in or#!r
168
to achi!"! a pann!# b+!Cprint soci!ty, an# th! i#!as o' #!(ocracy,
th! 9s+pr!(! ,orth an# (ora r!sponsibiity o' th! in#i"i#+a
h+(an p!rCson.9 :h! t,o con'icting (oti's ha"! ong b!!n i(picit
in o+r c+t+r!, sci!nc! has ha# instr+(!nta !anings sinc! b!'or! th!
In#+stria 4!"o+tion, an# !(phasis +pon in#i"i#+a ,orth an#
r!sponsibiity is !"!n o#!r. :h! thr!at o' con'ict b!t,!!n th! t,o
(oti's has ony co(! r!c!nty, ,ith incr!asing conscio+sn!ss o',
an# !(phasis +pon, th! #!(ocratic (oti' an# si(+tan!o+s spr!a#
o' th! instr+(!nta (oti'. 7inay, th! con'ict is no, a i'!CorC#!ath
str+gg! o"!r th! ro! ,hich th! socia sci!nc!s sha pay in th!
or#!ring o' h+(an r!ationships. It is har#y an !-agg!ration to say
that this ,ar is i#!oogicay abo+t J+st this;th! ro! o' th! socia
sci!nc!s. Ar! ,! to r!s!r"! th! t!chni.+!s an# th! right to
(anip+at! p!op! as th! pri"i!g! o' a '!, panning, goaCori!nt!#,
an# po,!rCh+ngry in#i"i#+as, to ,ho( th! instr+(!ntaity o'
sci!nc! (a*!s a nat+ra app!aD )o, that ,! ha"! th! t!chni.+!s,
ar! ,!, in co# boo#, going to tr!at p!op! as thingsD 5r ,hat ar!
,! going to #o ,ith th!s! t!chni.+!sD
:h! prob!( is on! o' "!ry gr!at #i''ic+ty as ,! as +rg!ncy,
an# it is #o+by #i''ic+t b!ca+s! ,!, as sci!ntists, ar! #!!py
soa*!# in habits o' instr+(!nta t h o + g h t thos! o' +s, at !ast, 'or
,ho( sci!nc! is a part o' i'!, as ,! as a b!a+ti'+ an# #igni'i!#
abstraction. @!t +s try to s+r(o+nt this a##itiona so+rc! o'
#i''ic+ty by t+rning th! toos o' sci!nc! +pon this habit o'
instr+(!nta tho+ght an# +pon th! n!, habit ,hich ?r. A!a#
!n"isag!s;th! habit ,hich oo*s 'or 9#ir!ction9 an# 9"a+!
9
in th!
chos!n act, rath!r than in #!'in!# goas. C!ary, both o' th!s!
habits ar! ,ays o' oo*ing at ti(! s!.+!nc!s. In th! o# Jargon o'
psychoogy, th!y r!pr!s!nt #i''!r!nt ,ays o' app!rc!i"ing
s!.+!nc!s o' b!ha"ior, or in th! n!,!r Jargon o' g!stat
psychoogy, th!y (ight both b! #!scrib!# as habits o' oo*ing 'or
on! or anoth!r sort o' cont!-t+a 'ra(! 'or b!ha"ior. :h! prob!(
,hich ?r. A!a#;,ho a#"ocat!s a chang! in s+ch habits;rais!s
is th! prob!( o' ho, habits o' this abstract or#!r ar! !arn!#.
:his is not th! si(p! typ! o' .+!stion ,hich is pos!# in (ost
psychoogica aboratori!s, 9%n#!r ,hat circ+(stanc!s ,i a #og
!arn to sai"at! in r!spons! to a b!D9 or,
9
8hat "ariab!s go"!rn
s+cc!ss in rot! !arningD9 5+r .+!stion is on! #!gr!! (or! abstract,
169
an#, in a s!ns!, bri#g!s th! gap b!t,!!n th! !-p!ri(!nta ,or* on
si(p! !arning an# th! approach o' th! g!stat psychoogists. 8!
ar! as*ing,
9
Eo, #o!s th! #og ac.+ir! a habit o' p+nct+ating or apC
p!rc!i"ing th! in'init!y co(p!- str!a( o' !"!nts 2inc+#ing his
o,n b!ha"ior3 so that this str!a( app!ars to b! (a#! +p o' on! typ!
o' short s!.+!nc!s rath!r than anCoth!rD9 5r, s+bstit+ting th!
sci!ntist 'or th! #og, ,! (ight as*, 98hat circ+(stanc!s #!t!r(in!
that a gi"!n sci!ntist ,i p+nct+at! th! str!a( o' !"!nts so as to
conc+#! that a is pr!#!t!r(in!#, ,hi! anoth!r ,i s!! th! str!a(
o' !"!nts as so r!g+ar as to b! s+sc!ptib! o' controD9 5r, again, on
th! sa(! !"! o' abstraction !t +s as*;an# this .+!stion is "!ry
r!!"ant to th! pro(otion o' #!(ocracy;98hat circ+(stanc!s
pro(ot! that sp!ci'ic habit+a phrasing o' th! +ni"!rs! ,hich ,!
ca N'r!! ,iI an# thos! oth!rs ,hich ,! ca Nr!sponsibiity,I
Nconstr+cti"!n!ss,I N!n!rgy,I Npassi"ity,I N#o(inanc!,I an# th! r!stD9
7or a th!s! abstract .+aiti!s, th! !ss!ntia stoc*CinCtra#! o' th!
!#+cators, can b! s!!n as "ario+s habits o' p+nct+ating th! str!a( o'
!-p!ri!nc! so that it ta*!s on on! or anoth!r sort o' coh!r!nc! an#
s!ns!. :h!y ar! abstractions ,hich b!gin to ass+(! so(!
op!rationa (!aning ,h!n ,! s!! th!( ta*! th!ir pac! on a
conc!pt+a !"! b!t,!!n th! stat!(!nts o' si(p! !arning an#
thos! o' g!stat psychoogy.
8! can, 'or !-a(p!, p+t o+r 'ing!r "!ry si(py on th! proc!ss
,hich !a#s to trag!#y an# #isi+sion ,h!n!"!r (!n #!ci#! that th!
9!n# J+sti'i!s th! (!ans9 in th!ir !''orts to achi!"! !ith!r a Christian
or a b+!print!# h!a"!nConC!arth. :h!y ignor! th! 'act that in socia
(anip+ation, th! toos ar! not ha((!rs an# scr!,#ri"!rs. A
scr!,#ri"!r is not s!rio+sy a''!ct!# ,h!n, in an !(!rg!ncy, ,! +s!
it as a ,!#g!L an# a ha((!rIs o+too* on i'! is not a''!ct!# b!ca+s!
,! so(!ti(!s +s! its han#! as a si(p! !"!r. 0+t in socia
(anip+ation o+r toos ar! p!op!, an# p!op! !arn, an# th!y
ac.+ir! habits ,hich ar! (or! s+bt! an# p!r"asi"! than th! tric*s
,hich th! b+!print!r t!ach!s th!(. 8ith th! b!st int!ntions in th!
,or#, h! (ay train chi#r!n to spy +pon th!ir par!nts in or#!r to
!ra#icat! so(! t!n#!ncy pr!J+#icia to th! s+cc!ss o' his b+!print,
b+t b!ca+s! th! chi#r!n ar! p!op! th!y ,i #o (or! than !arn
this si(p! tric*;th!y ,i b+i# this !-p!ri!nc! into th!ir ,ho!
phiosophy o' i'!L it ,i coor a th!ir '+t+r! attit+#!s toC,ar#
170
a+thority. 8h!n!"!r th!y (!!t c!rtain sorts o' conCt!-t, th!y ,i
t!n# to s!! th!s! cont!-ts as str+ct+r!# on an !ari!r 'a(iiar
patt!rn. :h! b+!print!r (ay #!ri"! an initia a#"antag! 'ro( th!
chi#r!nIs tric*sL b+t th! +ti(at! s+cc!ss o' his b+!print (ay b!
#!stroy!# by th! habits o' (in# ,hich ,!r! !arn!# ,ith th! tric*.
2%n'ort+nat!y, th!r! is no r!ason to b!i!"! that th! )a/i b+!print
,i br!a* #o,n 'or th!s! r!asons. It is probab! that th! +nC
p!asant attit+#!s h!r! r!'!rr!# to ar! !n"isag!# as basic -ot* to
th! pan its!' an# to th! (!ans o' achi!"ing it. :h! roa# to h!
can aso b! pa"!# ,ith ba# int!ntions, tho+gh ,!Cint!ntion!#
p!op! 'in# this har# to b!i!"!.3
8! ar! #!aing, appar!nty, ,ith a sort o' habit ,hich is a byC
pro#+ct o' th! !arning proc!ss. 8h!n ?r. A!a# t!s +s that ,!
sho+# !a"! o'' thin*ing in t!r(s o' b+!Cprints an# sho+# inst!a#
!"a+at! o+r pann!# acts in t!r(s o' th!ir i((!#iat! i(picit
"a+!, sh! is saying that in th! +pbringing an# !#+cation o'
chi#r!n, ,! o+ght to try to inc+cat! a sort o' byCpro#+ct habit
rath!r #i''!r!nt 'ro( that ,hich ,! ac.+ir!# an# ,hich ,! #aiy
r!in'orc! in o+rs!"!s in o+r contacts ,ith sci!nc!, poitics,
n!,spap!rs, an# so on.
&h! stat!s p!r'!cty c!ary that this n!, shi't in th! !(phasis
or g!stat o' o+r thin*ing ,i b! a s!tting 'orth into +nchart!#
,at!rs. 8! cannot *no, ,hat (ann!r o' h+(an b!ings ,i r!s+t
'ro( s+ch a co+rs!, nor can ,! b! s+r! that ,! o+rs!"!s ,o+#
'!! at ho(! in th! ,or# o' 1980. ?r. A!a# can ony t! +s that i'
,! proc!!# on th! co+rs! ,hich ,o+# s!!( (ost nat+ra,
panning o+r appications o' socia sci!nc! as a (!ans o' attaining
a #!'in!# goa, ,! sha s+r!y hit a roc*. &h! has chart!# th! roc*
'or +s, an# a#"is!s that ,! !(bar* on a co+rs! in a #ir!ction ,h!r!
th! roc* is notL b+t in a n!,, sti +nchart!# #ir!ction. E!r pap!r
rais!s th! .+!stion o' ho, ,! ar! to chart this n!, #ir!ction.
Act+ay, sci!nc! can gi"! +sC so(!thing approaching a chart. I
in#icat!# abo"! that ,! (ight s!! a (i-!# b+nch o' abstract t!r(s
;'r!! ,i, pr!#!stination, r!sponsibiity, constr+cti"!n!ss,
passi"ity, #o(inanc!, !tc.;as a o' th!( #!scripti"! o'
app!rc!pti"! habits, habit+a ,ays o' oo*ing at th! str!a( o'
!"!nts o' ,hich o+r o,n b!ha"ior is a part, an# '+rth!r that th!s!
habits (ight a b!, in so(! s!ns!, byCpro#+cts o' th! !arning
171
proc!ss. 5+r n!-t tas*, i' ,! ar! to achi!"! so(! sort o' chart, is
c!ary to g!t so(!thing b!tt!r than a ran#o( ist o' th!s! possib!
habits. 8! (+st r!#+c! this ist to a cassi'ication ,hich sha sho,
ho, !ach o' th!s! habits is syst!(aticay r!at!# to th! oth!rs.
8! (!!t in co((on agr!!(!nt that a s!ns! o' in#i"i#+a
a+tono(y, a habit o' (in# so(!ho, r!at!# to ,hat I ha"! ca!#
9'r!! ,i,9 is an !ss!ntia o' #!(ocracy, b+t ,! ar! sti not
p!r'!cty c!ar as to ho, this a+tono(y sho+# b! #!'in!#
op!rationay. 8hat, 'or !-a(p!, is th! r!ation b!t,!!n
9a+tono(y9 an# co(p+si"! n!gati"is(D :h! gas stations ,hich
r!'+s! to con'or( to th! c+r'!,;ar! th!y or ar! th!y not sho,ing
a 'in! #!(ocratic spiritD :his sort o' 9n!gati"is(9 is +n#o+bt!#y
o' th! sa(! #!gr!! o' abstraction as 9'r!! ,i9 or 9#!t!r(inis(9L
i*! th!( it is an habit+a ,ay o' app!rc!i"ing cont!-ts, !"!nt
s!.+!nc!s an# o,n b!ha"iorL b+t it is not c!ar ,h!th!r this
n!gati"is( is a 9s+bsp!ci!s9 o' in#i"i#+a a+tono(yL or is it rath!r
so(! !ntir!y #i''!r!nt habitD &i(iary, ,! n!!# to *no, ho, th!
n!, habit o' tho+ght ,hich ?r. A!a# a#"ocat!s is r!at!# to th!
oth!rs.
="i#!nty o+r n!!# is 'or so(!thing b!tt!r than a ran#o( ist o'
th!s! habits o' (in#. 8! n!!# so(! syst!(atic 'ra(!C,or* or
cassi'ication ,hich sha sho, ho, !ach o' th!s! habits is r!at!# to
th! oth!rs, an# s+ch a cassi'ication (ight pro"i#! +s ,ith
so(!thing approaching th! chart ,! ac*. ?r. A!a# t!s +s to sai
into as y!t +nchart!# ,at!rs, a#opting a n!, habit o' tho+ghtL b+t i'
,! *n!, ho, this habit is r!at!# to oth!rs, ,! (ight b! ab! to
J+#g! o' th! b!n!'its an# #ang!rs, th! possib! pit'as o' s+ch a
co+rs!. &+ch a chart (ight pro"i#! +s ,ith th! ans,!rs to so(! o'
th! .+!stions ,hich ?r. A!a# rais!s;as to ho, ,! ar! to J+#g! o'
th!
9
#ir!ction9 an# "a+! i(picit in o+r pann!# acts.
Fo+ (+st not !-p!ct th! socia sci!ntist to pro#+c! s+ch a chart
or cassi'ication at a (o(!ntIs notic!, i*! a rabbit o+t o' a hat, b+t I
thin* ,! can ta*! a 'irst st!p in this #ir!ctionL ,! can s+gg!st so(!
o' th! basic th!(!s;th! car#ina points, i' yo+ i*!;+pon ,hich
th! 'ina cassi'ication (+st b! b+it.
8! ha"! not!# that th! sorts o' habit ,ith ,hich ,! ar!
conc!rn!# ar!, in so(! s!ns!, byCpro#+cts o' . th! !arning
proc!ss!s, an# it is th!r!'or! nat+ra that ,! oo* 'irst to th!
172
ph!no(!na o' si(p! !arning as i*!y to pro"i#! +s ,ith a c+!.
8! ar! raising .+!stions on! #!gr!! (or! abstract than thos! chi!'y
st+#i!# by th! !-p!ri(!nta psychoogists, b+t it is sti to th!ir
aboratori!s that ,! (+st oo* 'or o+r ans,!rs.
)o, it so happ!ns that in th! psychoogica aboratori!s th!r! is
a co((on ph!no(!non o' a so(!,hat high!r #!gr!! o' abstraction
or g!n!raity than thos! ,hich th! !-p!ri(!nts ar! pann!# to
!+ci#at!. It is a co((onpac! that th! !-p!ri(!nta s+bJ!ct;
,h!th!r ani(a or (an, b!co(!s a b!tt!r s+bJ!ct a't!r r!p!at!#
!-p!ri(!nts. E! not ony !arns to sai"at! at th! appropriat!
(o(!nts, or to r!cit! th! appropriat! nons!ns! syab!sL h! aso, in
so(! ,ay, learns to learn. E! not ony so"!s th! prob!(s s!t hi(
by th! !-p!ri(!nt!r, ,h!r! !ach so"ing is a pi!c! o' si(p!
!arningL b+t, (or! than this, h! b!co(!s (or! an# (or! s*i!# in
th! so"ing o' prob!(s.
In s!(ig!stat or s!(ianthropo(orphic phras!oogy, ,! (ight
say that th! s+bJ!ct is !arning to ori!nt hi(s!' to c!rtain typ!s o'
cont!-ts, or is ac.+iring 9insight9 into th! cont!-ts o' prob!(
so"ing. In th! Jargon o' this pap!r, ,! (ay say that th! s+bJ!ct has
ac.+ir!# a habit o' oo*ing 'or cont!-ts an# s!.+!nc!s o' on! typ!
rath!r than anoth!r, a habit o' 9p+nct+ating9 th! str!a( o' !"!nts to
gi"! r!p!titions o' a c!rtain typ! o' (!aning'+ s!.+!nc!.
:h! in! o' arg+(!nt ,hich ,! ha"! 'oo,!# has bro+ght +s to
a point at ,hich stat!(!nts abo+t si(p! !arning (!!t stat!(!nts
abo+t g!stat an# cont!-t+a str+ct+r!, an# ,! ha"! r!ach!# th!
hypoth!sis that 9!arning to !arn9 is a synony( 'or th! ac.+isition
o' that cass o' abstract habits o' tho+ght ,ith ,hich this pap!r is
conc!rn!#L that th! stat!s o' (in# ,hich ,! ca 9'r!! ,i,9
instr+(!nta thin*ing, #o(inanc!, passi"ity, !tc., ar! ac.+ir!# by a
proc!ss ,hich ,! (ay !.+at! ,ith
9
!arning to !arn.9
173
:his hypoth!sis is to so(! !-t!nt n!,
2
to psychoogists as ,!
as to ay(!n, an# th!r!'or! I (+st #igr!ss at this point to s+ppy
t!chnica r!a#!rs ,ith a (or! pr!cis! stat!(!nt o' (y (!aning. I
(+st #!(onstrat! at !ast (y ,iingn!ss to stat! this bri#g!
b!t,!!n si(p! !arning an# g!stat in op!rationa t!r(s.
@!t +s coin t,o ,or#s, 9protoC!arning
9
an#
9
#!+t!ro!arning,9 to
a"oi# th! abor o' #!'ining op!rationay a th! oth!r t!r(s in th!
'i!# 2trans'!r o' !arning, g!n!rai/ation, !tc., !tc.3. @!t +s say that
th!r! ar! t,o sorts o' gra#i!nt #isc!rnib! in a contin+!# !arning.
:h! gra#i!nt at any point on a si(p! !arning c+r"! 2!.g., a c+r"! o'
rot! !arning3 ,! ,i say chi!'y r!pr!s!nts rat! o' protoC!arning.
I', ho,!"!r, ,! in'ict a s!ri!s o' si(iar !arning !-p!ri(!nts on
th! sa(! s+bJ!ct, ,! sha 'in# that in !ach s+cc!ssi"! !-p!ri(!nt
th! s+bJ!ct has a so(!,hat st!!p!r protoC!arning gra#i!nt, that h!
!arns so(!,hat (or! rapi#y. :his prog!ssi"! chang! in rat! o'
protoC!arning ,! ,i ca 9#!+t!roC!arning.9
7ro( this point ,! can !asiy go on to r!pr!s!nt #!+t!ro!arning
graphicay ,ith a c+r"! ,hos! gra#i!nt sha r!pr!s!nt rat! o'
#!+t!roC!arning. &+ch a r!pr!s!ntation (ight b! obtain!#, 'or
!-a(p!, by int!rs!cting th! s!ri!s o' proto!arning c+r"!s at so(!
arbitariy chos!n n+(b!r o' trias, an# noting ,hat proportion o'
s+cc!ss'+ r!spons!s occ+rr!# in !ach !-p!ri(!nt at this point. :h!
c+r"! o' #!+t!roC!arning ,o+# th!n b! obtain!# by potting th!s!
n+(b!rs against th! s!ria n+(b!rs o' th! !-p!ri(!nts.
3
2
$sychoogica pap!rs b!aring +pon this prob!( o' th! r!ationship b!t,!!n
g!stat an# si(p! !arning ar! "!ry n+(!ro+s, i' ,! inc+#! a ,ho ha"! ,or*!#
on th! conc!pts o' trans'!r o' !arning, g!n!rai/ation, irra#iation, r!action
thr!sho# 2E+3, insight, an# th! i*!. Eistoricay, on! o' th! 'irst to pos! th!s!
.+!stions ,as Ar. 7ran* 2@. <. 7ran*, 9:h! $rob!(s o' @!arning,9 $sych. 4!"i!,,
1926, 336 329Y51L an# $ro'!ssor Aai!r has r!c!nty intro#+c!# a conc!pt o'
9#ir!ction9 ,hich is cos!y r!at!# to th! notion o' 9#!+t!roC!arning.9 E! says6
9#ir!ction ... is th! 'orc! ,hich int!grat!s (!(ori!s in a partic+ar (ann!r ,itho+t
b!ing a (!(ory its!'.9 2). 4. 7. Aai!r, 9:h! 0!ha"ior A!chanis(s Conc!rn!#
,ith $rob!( &o"ing,9C $sych. 4!"i!,, 1940, 476 43Y58.3 I' 'or 9'orc!9 ,!
s+bstit+t! 9habit,9 an# 'or 9(!(ory9 ,! s+bstit+t! 9!-p!ri!nc! o' th! str!a( o'
!"!nts,9 th! conc!pt o' #!+t!roC!arning can b! s!!n as a(ost synony(o+s ,ith
$ro'!ssor Aai!rIs conc!pt o' 9#ir!ction.9
3
It ,i b! not!# that th! op!rationa #!'inition o' #!+t!roC!arning is
n!c!ssariy so(!,hat !asi!r than that o' protoC!arning. Act+ay, no si(p!
!arning c+r"! r!pr!s!nts protoC!arning aon!. ="!n ,ithin th! #+ration o' th!
174
In this #!'inition o' protoC an# #!+t!roC!arning, on! phras!
r!(ains conspic+o+sy "ag+!, th! phras! 9a s!ri!s o' si(iar
!-p!ri(!nts.9 7or p+rpos!s o' i+stration, I i(agin!# a s!ri!s o'
!-p!ri(!nts in rot! !arning, !ach !-p!ri(!nt si(iar to th! ast,
!-c!pt 'or th! s+bstit+tion o' a n!, s!ri!s o' nons!ns! syab!s in
sing! !arning !-p!ri(!nt ,! (+st s+ppos! that so(! #!+t!roC!arning ,i occ+r,
an# this ,i (a*! th! gra#i!nt at any point so(!,hat st!!p!r than th! hypoth!tica
gra#i!nt o' 9p+r!9 protoC!arning.
175
pac! o' thos! ar!a#y !arn!#. In this !-a(p!, th! c+r"! o'
[#!+t!roC!arning r!pr!s!nt!# inCcr!asing pro'ici!ncy in th! b+sin!ss
o' rot! !arning, an#, as an !-p!ri(!nta 'act, s+ch incr!as! in rot!
pro'ici!ncy can b! #!(onstrat!#.
4
Apart 'ro( rot! !arning, it is (+ch (or! #i''ic+t to #!C'in!
,hat ,! (!an by saying that on! !arning cont!-t is 9si(iar9 to
anoth!r, +n!ss ,! ar! cont!nt to r!'!r th! (att!r bac* to th!
!-p!ri(!ntaists by saying that !arning cont!-ts sha b! consi#!r!#
to b! 9si(iar9 on! to anoth!r ,h!n!"!r it can b! sho,n
!-p!ri(!ntay that !-p!ri!nc! o' !arning in on! cont!-t #o!s, as a
(att!r o' 'act, pro(ot! sp!!# o' !arning in anoth!r, an# as*ing th!
!-p!ri(!ntaists to 'in# o+t 'or +s ,hat sort o' cassi'ication th!y
can b+i# +p by +s! o' this crit!rion. 8! (ay hop! that th!y ,i #o
thisL b+t ,! cannot hop! 'or i((!#iat! ans,!rs to o+r .+!stions,
b!ca+s! th!r! ar! "!ry s!rio+s #i''ic+ti!s in th! ,ay o' s+ch
!-p!ri(!ntation. =-p!ri(!nts in si(p! !arning ar! ar!a#y
#i''ic+t !no+gh to contro an# to p!rC'or( ,ith critica !-actn!ss,
an# !-p!ri(!nts in #!+t!ro!arning ar! i*!y to pro"! a(ost
i(possib!.
:h!r! is, ho,!"!r, an at!rnati"! co+rs! op!n to +s. 8h!n ,!
!.+at!# 9!arning to !arn9 ,ith ac.+iring app!rc!pti"! habits, this
#i# not !-c+#! th! possibiity that s+ch habits (ight b! ac.+ir!# in
oth!r ,ays. :o s+gg!st that th! ony (!tho# o' ac.+iring on! o'
th!s! habits is thro+gh r!p!at!# !-p!ri!nc! o' !arning cont!-ts o'
a gi"!n *in# ,o+# b! ogicay anaogo+s to saying that th! ony
,ay to roast pig is by b+rning th! ho+s! #o,n. It is ob"io+s that in
h+(an !#+cation s+ch habits ar! ac.+ir!# in "!ry "ario+s ,ays.
8! ar! not conc!rn!# ,ith a hypoth!tica isoat!# in#i"i#+a in
contact ,ith an i(p!rsona !"!nts str!a(, b+t rath!r ,ith r!a
in#i"i#+as ,ho ha"! co(p!- !(otiona patt!rns o' r!ationship
,ith oth!r in#i"i#+as. In s+ch a r!a ,or#, th! in#i"i#+a ,i b!
!# to ac.+ir! or r!J!ct app!rc!pti"! habits by th! "!ry co(p!-
ph!no(!na o' p!rsona !-a(p!, ton! o' "oic!, hostiity, o"!, !tc.
Aany s+ch habits, too, ,i b! con"!y!# to hi(, not thro+gh his
o,n na*!# !-p!ri!nc! o' th! str!a( o' !"!nts, 'or no h+(an
4
C. E+, ,at*ematico%8educti&e !*eory of $ote /earning, )!, Ea"!n, Fa!
%ni"!rsity $r!ss, 1940.
176
b!ings 2not !"!n sci!ntists3 ar! na*!# in this s!ns!. :h! !"!nts
str!a( is (!#iat!# to th!( thro+gh ang+ag!, art, t!chnoogy, an#
oth!r c+t+ra (!#ia ,hich ar! str+ct+r!# at !"!ry point by
tra(in!s o' app!rc!pti"! habit.
It th!r!'or! 'oo,s that th! psychoogica aboratory is not th!
ony possib! so+rc! o' *no,!#g! abo+t th!s! habitsL ,! (ay t+rn
inst!a# to th! contrasting patt!rns i(picit an# !-picit in th!
"ario+s c+t+r!s o' th! ,or# st+#i!# by th! anthropoogists. 8!
can a(pi'y o+r ist o' th!s! obsc+r! habits by a##ing thos! ,hich
ha"! b!!n #!"!op!# in c+t+r!s oth!r than o+r o,n.
Aost pro'itaby, I b!i!"!, ,! can co(bin! th! insights o' th!
!-p!ri(!nta psychoogists ,ith thos! o' th! anthropoogists,
ta*ing th! cont!-ts o' !-p!ri(!nta !arning in th! aboratory an#
as*ing o' !ach ,hat sort o' app!rc!pti"! habit ,! sho+# !-p!ct to
'in# associat!# ,ith itL th!n oo*ing aro+n# th! ,or# 'or h+(an
c+t+r!s in ,hich this habit has b!!n #!"!op!#. In"!rs!y, ,! (ay
b! ab! to g!t a (or! #!'init!;(or! op!rationa;#!'inition o'
s+ch habits as 9'r!! ,i9 i' ,! as* abo+t !ach, 98hat sort o'
!-p!ri(!nta !arning cont!-t ,o+# ,! #!"is! in or#!r to
inc+cat! this habitD
9
9Eo, ,o+# ,! rig th! (a/! or prob!(Cbo-
so that th! anthropo(orphic rat sha obtain a r!p!at!# an#
r!in'orc!# i(pr!ssion o' his o,n 'r!! ,iD9
:h! cassi'ication o' cont!-ts o' !-p!ri(!nta !arning is as y!t
"!ry inco(p!t!, b+t c!rtain #!'init! a#"anc!s ha"! b!!n (a#!.
5
It
5
Gario+s cassi'ications ha"! b!!n #!"is!# 'or p+rpos!s o' !-position. E!r! I
'oo, that o' Eigar# an# Aar.+is 2=. 4. Eigar# an# ?. 1. Aar.+is,
"onditioning and /earning, )!, For*, App!ton C!nt+ry Co., 19403. :h!s!
a+thors s+bJ!ct th!ir o,n cassi'ication to a briiant critica anaysis, an# to
this anaysis I a( in#!bt!# 'or on! o' th! 'or(ati"! i#!as +pon ,hich this
pap!r is bas!#. :h!y insist that any !arning cont!-t can b! #!scrib!# in
t!r(s o' any th!ory o' !arning, i' ,! ar! ,iing to str!tch an#
o"!r!(phasi/! c!rtain asp!cts o' th! cont!-t to 'it onto th! $rocr+st!an b!#
o' th! th!ory. I ha"! ta*!n this notion as a corn!rston! o' (y thin*ing, s+bC
stit+ting 9app!rc!pti"! habits9 'or 9th!ori!s o' !arning,9 an# arg+ing that
a(ost any s!.+!nc! o' !"!nts can b! str!tch!# an# ,arp!# an# p+nct+at!#
to 'it in ,ith any typ! o' app!rc!pti"! habit. +2e may suppose t*at e.%
perimental neurosis is '*at *appens '*en t*e su-=ect fails to ac*ie&e t*is
assimilation.4
I a( aso in#!bt!# to @!,inIs topoogica anaysis o' th! cont!-ts o'
r!,ar# an# p+nish(!nt. 2<. @!,in, A 8ynamic !*eory of 6ersonality, )!,
177
is possib! to cassi'y th! principa cont!-ts o' positi"!
!arning 2as #istinct 'ro( n!gati"! !arning or inhibition,
!arning not to #o things3 +n#!r 'o+r h!a#s, as 'oo,s6
213Cassica $a"o"ian cont!-ts
:h!s! ar! charact!ri/!# by a rigi# ti(! s!.+!nc! in ,hich th!
con#ition!# sti(++s 2!.g., b+//!r3 a,ays pr!Cc!#!s th!
+ncon#ition!# sti(++s 2!.g., (!at po,#!r3 by a 'i-!# int!r"a o'
ti(!. :his rigi# s!.+!nc! o' !"!nts is not at!r!# by anything that
th! ani(a (ay #o. In th!s! conCt!-ts, th! ani(a !arns to r!spon#
to th! con#ition!# sti(++s ,ith b!ha"ior 2!.g., sai"ation3 ,hich
,as 'or(!ry !"o*!# ony by th! +ncon#ition!# sti(++s.
223Cont!-ts o' instr+(!nta r!,ar# or !scap!
:h!s! ar! charact!ri/!# by a s!.+!nc! ,hich #!p!n#s +pon th!
ani(aIs b!ha"ior. :h! +ncon#ition!# sti(++s in th!s! cont!-ts is
+s+ay "ag+! 2!.g., th! ,ho! s+( o' circ+(stanc!s in ,hich th!
ani(a is p+t, th! prob!(Cbo-3 an# (ay b! int!rna to th! ani(a
2!.g., h+ng!r3. I' an# ,h!n, +n#!r th!s! circ+(stanc!s, th! ani(a
p!r'or(s so(! act ,ithin its b!ha"iora r!p!rtoir! an# pr!"io+sy
s!!ct!# by th! !-p!ri(!nt!r 2!.g., i'ts its !g3, it is i((!#iat!y
r!,ar#!#.
233Cont!-ts o' instr+(!nta a"oi#anc!
:h!s! ar! aso charact!ri/!# by a con#itiona s!.+!nc!. :h!
+ncon#ition!# sti(++s is +s+ay #!'init! 2!.g., a ,arning b+//!r3
an# this is 'oo,!# by an +np!asant !-p!ri!nc! 2!.g., !!ctric
shoc*3 unl ess in th! int!r"a th! ani(a p!rC'or(s so(! s!!ct!#
act 2!.g., i'ts !g3.
243Cont!-ts o' s!ria and rot! !arning
:h!s! ar! charact!ri/!# by th! pr!#o(inant con#ition!# sti(++s
b!ing an act o' th! s+bJ!ct. E! !arns, 'or !-a(p!, a,ays to gi"!
th! con#ition!# r!spons! 2nons!ns! syab! <4 a't!r h! has hi(s!'
+tt!r!# th! con#ition!# sti(++s 2nons!ns! syab! A3
,
.
For*, Ac1ra,CEi 0oo* Co., 1936.3
178
:his s(a b!ginning o' a cassi'ication
6
,i b! s+''ici!nt to
i+strat! th! princip!s ,ith ,hich ,! ar! conc!rn!# an# ,! can
no, go on to as* abo+t th! occ+rr!nc! o' th! appropriat!
app!rc!pti"! habits a(ong (!n o' "ario+s c+t+r!s. 5' gr!at!st
int!r!st;b!ca+s! !ast 'a(iiar;ar! th! $a"o"ian patCt!rns an# th!
patt!rns o' rot!. It is a itt! har# 'or (!(b!rs o' 8!st!rn ci"ii/ation
to b!i!"! that ,ho! syst!(s o' b!ha"ior can b! b+it on pr!(is!s
oth!r than o+r o,n (i-t+r! o' instr+(!nta r!,ar# an# instr+(!nta
a"oi#anc!. :h! :robrian# Isan#!rs, ho,!"!r, app!ar to i"! a i'!
,hos! coh!r!nc! an# s!ns! is bas!# +pon oo*ing at !"!nts thro+gh
$a"o"ian sp!ctac!s, ony sighty tint!# ,ith th! hop! o'
instr+(!nta r!,ar#, ,hi! th! i'! o' th! 0ain!s! is s!nsib! i' ,!
6
Aany p!op! '!! that th! cont!-ts o' !-p!ri(!nta !arning ar! so
o"!rsi(pi'i!# as to ha"! no b!aring +pon th! ph!no(!na o' th! r!a ,or#.
Act+ay, !-pansion o' this cassi'ication ,i gi"! (!ans o' #!'ining syst!(aticay
(any h+n#r!#s o' possib! cont!-ts o' !arning ,ith th!ir associat!# app!rc!pti"!
habits. :h! sch!(! (ay b! !-pan#!# in th! 'oo,ing ,ays6
a.Inc+sion o' cont!-ts o' n!gati"! !arning 2inhibition3.
b.Inc+sion o' (i-!# typ!s 2!.g., cas!s in ,hich sai"ation, ,ith its
physioogica r!!"anc! to (!at po,#!r, is aso instr+(!nta in obtaining
th! (!at po,#!r3.
c.Inc+sion o' th! cas!s in ,hich th! s+bJ!ct is ab! to #!#+c! so(! sort o'
r!!"anc! 2oth!r than th! physioogica3 b!t,!!n so(! t,o or (or!
!!(!nts in th! s!.+!nc!. 7or this to b! tr+!, th! s+bJ!ct (+st ha"!
!-p!ri!nc! o' cont!-ts #i''!ring syst!(aticay on! 'ro( anoth!r, !.g.,
cont!-ts in ,hich so(! typ! o' chang! in on! !!(!nt is constanty
acco(pani!# by a constant typ! o' chang! in anoth!r !!(!nt. :h!s! cas!s
can b! spr!a# o+t on a attic! o' possibiiti!s, accor#ing to ,hich pair o'
!!(!nts th! s+bJ!ct s!!s as int!rr!at!#. :h!r! ar! ony 'i"! !!(!nts 2conC
#ition!# sti(++s, con#ition!# r!spons!, r!,ar# or p+nish(!nt, an# t,o
ti(! int!r"as3, b+t any pair o' th!s! (ay b! int!rr!at!#, an# o' th!
int!rr!at!# pair, !ith!r (ay b! s!!n by th! s+bJ!ct as #!t!r(ining th! oth!r.
:h!s! possibiiti!s, (+tipi!# 'or o+r 'o+r basic cont!-ts, gi"! 'ortyC!ight
typ!s.
#.:h! ist o' basic typ!s (ay b! !-t!n#!# by inc+#ing thos! cas!s 2not as y!t
in"!stigat!# in !arning !-p!ri(!nts b+t co((on in int!rp!rsona r!ationships3
in ,hich th! ro!s o' s+bJ!ct an# !-p!ri(!nt!r ar! r!"!rs!#. In th!s!, th!
!arning partn!r pro"i#!s th! initia an# 'ina !!(!nts, ,hi! so(! oth!r p!rson
2or circ+(stanc!3 pro"i#!s th! (i##! t!r(. In th!s! typ!s, ,! s!! th! b+//!r an#
th! (!at po,#!r as th! b!ha"ior o' a p!rson an# as*6 98hat #o!s this p!rson
!arnD9 A gr!at part o' th! ga(+t o' app!rc!pti"! habits associat!# ,ith
a+thority an# par!nthoo# is bas!# on cont!-ts of this g!n!ra typ!.
179
acc!pt pr!(is!s bas!# +pon co(bining rot! ,ith instr+(!nta
a"oi#anc!.
C!ary, to th! 9p+r!9 $a"o"ian, ony a "!ry i(it!# 'ataCis(
,o+# b! possib!. E! ,o+# s!! a !"!nts as pr!or#ain!# an# h!
,o+# s!! hi(s!' as 'at!# ony to s!arch 'or o(!ns, not ab! to
in'+!nc! th! co+rs! o' !"!nts;ab!, at (ost, 'ro( his r!a#ing o'
th! o(!ns, to p+t hi(s!' in th! prop!ry r!c!pti"! stat!, !.g., by
sai"ation, b!'or! th! in!"itab! occ+rr!#. :robrian# c+t+r! is not so
p+r!y $a"o"ian as this, b+t ?r. @!!,
7
anay/ing $ro'!ssor
Aaino,s*iIs rich obs!r"ations, has sho,n that :robrian# phrasings
o' p+rpos!, ca+s!, an# !''!ct ar! pro'o+n#y #i''!r!nt 'ro( o+r o,nL
an# tho+gh ?r. @!! #o!s not +s! th! sort o' cassi'ication h!r!
propos!#, it app!ars 'ro( :robrian# (agic that th!s! p!op!
contin+ay !-hibit a habit o' thin*ing that to act as i' a thing ,!r!
so ,i (a*! it so. In this s!ns!, ,! (ay #!scrib! th!( as s!(iC
$a"o"ians ,ho ha"! #!ci#!# that 9sai"ation9 is instr+(!nta to
obtaining 9(!at po,#!r.9 Aaino,s*i, 'or !-a(p!, gi"!s +s a
#ra(atic #!scription o' th! a(ost physioogica !-tr!(!s o' rag!
8
,hich th! :robrian# bac* (agician practic!s in his incantations,
an# ,! (ay ta*! this as an i+stration o' th! s!(iC$a"o"ian 'ra(!
o' (in# in contrast ,ith th! "!ry "ario+s typ!s o' (agica proc!#+r!
in oth!r parts o' th! ,or#, ,h!r!, 'or !-a(p!, th! !''icacy o' a
sp! (ay b! associat!# not ,ith th! int!nsity b+t ,ith th! !-tr!(!
rot! acc+racy o' th! r!citation.
A(ong th! 0ain!s!
9
,! 'in# anoth!r patt!rn ,hich contrasts
sharpy both ,ith o+r o,n an# ,ith that o' th! :robrian#!rs. :h!
7
?orothy @!!, 9A $ri(iti"! &yst!( o' Ga+!s,9 Journal 6*ilos. of Science,
1940, 7# ?55%7F.
8
A It is possib! that s!(iC$a"o"ian phrasings o' th! str!a( o' !"!nts t!n#, i*! th!
!-p!ri(!nts ,hich ar! th!ir prototyp!s, to hing! partic+ary +pon a+tono(ic r!actions
;that thos! ,ho s!! !"!nts in th!s! t!r(s t!n# to s!! th!s! r!actions, ,hich ar! ony
partiay s+bJ!ct to "o+ntary contro, as p!c+iary !''!cti"! an# po,!r'+ ca+s!s o'
o+tsi#! !"!nts. :h!r! (ay b! so(! ironica ogic in $a"o"ian 'atais( ,hich
pr!#ispos!s +s to b!i!"! that ,! can at!r th! co+rs! o' !"!nts only -y (!ans o' thos!
b!ha"iors ,hich ,! ar! !ast ab! to contro.
9
:h! 0ain!s! (at!ria co!ct!# by ?r. A!a# an# (yCs!' has not y!t b!!n p+bish!# in
e.tenso, b+t a bri!' o+tCin! o' th! th!ory h!r! s+gg!st!# is a"aiab!;c'. 1. 0at!son,
9:h! 7r+strationCAggr!ssion Eypoth!sis an# C+t+r!,9 6syc*ological $e&ie', 1941,
486 ?5C%55.
180
tr!at(!nt o' chi#r!n is s+ch that th!y !arn not to s!! i'! as
co(pos!# o' connati"! s!.+!nc!s !n#ing in satis'action, b+t rath!r
to s!! it as co(pos!# o' rot! s!.+!nc!s inh!r!nty satis'ying in
th!(s!"!s;a patt!rn ,hich is to so(! !-t!nt r!at!# to that patt!rn
,hich ?r. A!a# has r!co((!n#!#, o' oo*ing 'or "a+! in th! act
its!' rath!r than r!gar#ing th! .act as a (!ans to an !n#. :h!r! is,
ho,C!"!r, on! "!ry i(portant #i''!r!nc! b!t,!!n th! 0ain!s!
patt!rn an# that r!co((!n#!# by ?r. A!a#. :h! 0ain!s! patt!rn is
!ss!ntiay #!ri"ati"! 'ro( cont!-ts o' instr+(!nta a"oi#anc!L th!y
s!! th! ,or# as #ang!ro+s, an# th!(s!"!s as a"oi#ing, by th!
!n#!ss rot! b!ha"ior o' rit+a an# co+rt!sy, th! !"!rCpr!s!nt ris* o'
fau. pas. :h!ir i'! is b+it +pon '!ar, ab!it that in g!n!ra th!y
!nJoy '!ar. :h! positi"! "a+! ,ith ,hich th!y !n#o, th!ir
i((!#iat! acts, not oo*ing 'or a goa, is so(!ho, associat!# ,ith
this !nJoy(!nt o' '!ar. It is th! acrobatIs !nJoy(!nt both o' th! thri
an# o' his o,n "irt+osity in a"oi#ing #isast!r.
8! ar! no,, a't!r a so(!,hat ong an# t!chnica !-c+rsion into
psychoogica aboratori!s an# 'or!ign c+t+r!s, in a position to
!-a(in! ?r. A!a#Is proposa in so(!,hat (or! concr!t! t!r(s.
&h! a#"is!s that ,h!n ,! appy th! socia sci!nc!s ,! oo* 'or
9#ir!ction9 an# 9"a+!9 in o+r "!ry acts, rath!r than ori!nt
o+rs!"!s to so(! b+!print!# goa. &h! is not t!ing +s that ,!
o+ght to b! i*! th! 0ain!s!, !-c!pt in o+r ti(! ori!ntation, an#
sh! ,o+# b! th! 'irst to #isparag! any s+gg!stion that '!ar 2!"!n
!nJoy!# '!ar3 sho+# b! o+r basis 'or assigning "a+! to o+r acts.
4ath!r, as I +n#!rstan# it, this basis sho+# b! so(! sort o' hop!;
not oo*ing to so(! 'arCo'' '+t+r!, b+t sti so(! sort o' hop! or
opti(is(. In 'act, ,! (ight s+((ari/! th! r!co((!n#!# attit+#!
by saying that it o+ght to b! 'or(ay r!at!# to instr+(!nta
r!,ar#, as th! 0ain!s! attit+#! is r!at!# to instr+(!nta
a"oi#anc!.
&+ch an attit+#! is, I b!i!"!, '!asib!. :h! 0ain!s! attit+#!
(ight b! #!'in!# as a habit o' rot! s!.+!nc!s inspir!# by a thriing
s!ns! o' !"!rCi((in!nt b+t in#!'init! #ang!r, an# I thin* that ,hat
?r. A!a# is +rging +s to,ar# (ight b! #!'in!# in i*! t!r(s, as a
habit o' rot! s!.+!nc!s inspir!# by a thriing s!ns! o' !"!rC
i((in!nt b+t +n#!'in!# r!,ar#.
181
As to th! rot! co(pon!nt, ,hich is a(ost c!rtainy a n!c!ssary
conco(itant o' th! p!c+iar ti(! ori!ntation a#"ocat!# by ?r.
A!a#, 1, p!rsonay, ,o+# ,!co(! it, an# I b!i!"! that it ,o+#
b! in'init!y pr!'!rab! to th! co(p+si"! typ! o' acc+racy a't!r
,hich ,! stri"!. An-io+s ta*ingCcar! an# a+to(atic, rot! ca+tion
ar! at!rnati"! habits ,hich p!r'or( th! sa(! '+nction. 8! can
!ith!r ha"! th! habit o' a+to(aticay oo*ing b!'or! ,! cross th!
str!!t, or th! habit o' car!'+y r!(!(b!ring to oo*. 5' th! t,o I
pr!'!r th! a+to(atic, an# I thin* that, i' ?r. A!a#Is r!cC
o((!n#ation i(pi!s as incr!as! in rot! a+to(atis(, ,! o+ght to
acc!pt it. Ar!a#y, in#!!#, o+r schoos ar! inc+cating (or! an#
(or! a+to(atis( in s+ch proc!ss!s as r!a#ing, ,riting, arith(!tic,
an# ang+ag!s.
As to th! r!,ar# co(pon!nt, this, too, sho+# not b! b!yon# o+r
r!ach. I' th! 0ain!s! is *!pt b+sy an# happy by a na(!!ss,
shap!!ss '!ar, not ocat!# in spac! or ti(!, ,! (ight b! *!pt on o+r
to!s by a na(!!ss, shap!!ss, +nocat!# hop! o' !nor(o+s
achi!"!(!nt. 7or s+ch a hop! to b! !''!cti"!, th! achi!"!(!nt n!!#
scarc!y b! #!'in!#.
A ,! n!!# to b! s+r! o' is that, at any (o(!nt, achi!"!(!nt
(ay b! J+st aro+n# th! corn!r, an#, tr+! or 'as!, this can n!"!r b!
t!st!#. 8! ha"! got to b! i*! thos! '!, artists an# sci!ntists ,ho
,or* ,ith this +rg!nt sort o' inspiration, th! +rg!ncy that co(!s
'ro( '!!ing that gr!at #isco"!ry, th! ans,!r to a o+r prob!(s,
or gr!at cr!ation, th! p!r'!ct sonn!t, is a,ays ony J+st b!yon# o+r
r!ach, or i*! th! (oth!r o' a chi# ,ho '!!s that, pro"i#!# sh!
pay constant !no+gh att!ntion, th!r! is a r!a hop! that h!r chi#
(ay b! that in'init!y rar! ph!no(!non, a gr!at an# happy p!rson.
182
A Theo&y o5 Play an# Fanta!y
%
:his r!s!arch ,as pann!# an# start!# ,ith an hypoth!sis to
g+i#! o+r in"!stigations, th! tas* o' th! in"!stigators b!ing to co!ct
r!!"ant obs!r"ationa #ata an#, in th! proc!ss, to a(pi'y an#
(o#i'y th! hypoth!sis.
:h! hypoth!sis ,i h!r! b! #!scrib!# as it has gro,n in
o+r thin*ing.
=ari!r '+n#a(!nta ,or* o' 8hit!h!a#, 4+ss!,
10
8ittC
g!nst!in,
11
Carnap,
12
8hor',
13
!tc., as ,! as (y o,n atCt!(pt
14
to
+s! this !ari!r thin*ing as an !pist!(oogica bas!
'or psychiatric th!ory, !# to a s!ri!s o' g!n!rai/ations6
213 :hat h+(an "!rba co((+nication can op!rat! an# a,ays
#o!s op!rat! at (any contrasting !"!s o' abstraction. :h!s! rang!
in t,o #ir!ctions 'ro( th! s!!(ingy si(p! #!notati"! !"! 29:h!
cat is on th! (at93. 5n! rang! or s!t o' th!s! (or! abstract !"!s
inc+#!s thos! !-picit or i(picit (!ssag!s ,h!r! th! s+bJ!ct o'
#isco+rs! is th! ang+ag!. 8! ,i ca th!s! (!taing+istic 2'or
!-a(p!, 9:h! "!rba so+n# NcatI stan#s 'or any (!(b!r o' s+ch an#
s+ch cass o' obJ!cts,9 or 9:h! ,or#, Ncat,I has no '+r an# cannot
scratch93. :h! oth!r s!t o' !"!s o' abstraction ,! ,i ca
(!taco((+nicati"! 2!.g., 9,y t!ing yo+ ,h!r! to 'in# th! cat ,as
'ri!n#y,9 or 9:his is pay93. In th!s!, th! s+bJ!ct o' #isco+rs! is th!
r!ationship b!t,!!n th! sp!a*!rs.
H
:his !ssay ,as r!a# 2by Jay Ea!y3 at th! A.$.A. 4!giona 4!s!arch
Con'!r!nc! in A!-ico City, Aarch 11, 1954. It is h!r! r!print!# 'ro( A.6.A.
6syc*iatric $esearc* $eports, II, 1955, by p!r(ission o' th! A(!rican
$sychiatric Association.
10
A. ). 8hit!h!a# an# 0. 4+ss!, $rincipia Aath!(atica, 3 "os., 2n# !#.,
Ca(bri#g!, Ca(bri#g! %ni"!rsity $r!ss, 1910C13.
11
@. 8ittg!nst!in, :ractat+s @ogicoC$hiosophic+s, @onC#on, Earco+rt 0rac!,
1922.
12
4. Carnap, :h! @ogica &ynta- o' @ang+ag!, )!, For*, Earco+rt 0rac!,
1937.
13
0. @. 8hor', 9&ci!nc! an# @ing+istics,9 :!chnoogy 4!"i!,, 1940, 446 229C
48.
14
J. 4+!sch an# 1. 0at!son, Co((+nication6 :h! &ocia Aatri- o' $sychiatry,
)!, For*, )orton, 1951.
183
It ,i b! not!# that th! "ast (aJority o' both (!taing+istic an#
(!taco((+nicati"! (!ssag!s r!(ain i(picitL an# aso that,
!sp!ciay in th! psychiatric int!r"i!,, th!r! occ+rs a '+rth!r cass o'
i(picit (!ssag!s abo+t ho, (!taco((+nicati"! (!ssag!s o'
'ri!n#ship an# hostiity ar! to b! int!rpr!t!#.
223 I' ,! sp!c+at! abo+t th! !"o+tion o' co((+nication, it is
!"i#!nt that a "!ry i(portant stag! in this !"o+tion occ+rs ,h!n th!
organis( gra#+ay c!as!s to r!spon# .+it!
9
a+to(aticay9 to th!
(oo#Csigns o' anoth!r an# b!co(!s ab! to r!cogni/! th! sign as a
signa6 that is, to r!cogni/! that th! oth!r in#i"i#+aIs an# its o,n
signas ar! ony signas, ,hich can b! tr+st!#, #istr+st!#, 'asi'i!#,
#!ni!#, a(pi'i!#, corr!ct!#, an# so 'orth.
C!ary this r!ai/ation that signas ar! signas is by no (!ans
co(p!t! !"!n a(ong th! h+(an sp!ci!s. 8! a too o't!n r!spon#
a+to(aticay to n!,spap!r h!a#in!s as tho+gh th!s! sti(+i ,!r!
#ir!ct obJ!ctCin#ications o' !"!nts in o+r !n"iron(!nt inst!a# o'
signas concoct!# an# trans(itt!# by cr!at+r!s as co(p!-y
(oti"at!# as o+rs!"!s. :h! nonh+(an (a((a is a+to(aticay
!-cit!# by th! s!-+a o#or o' anoth!rL an# righty so, inas(+ch as
th! s!cr!tion o' that sign is an 9in"o+ntary9 (oo#CsignL i.!., an
o+t,ar#y p!rc!ptib! !"!nt ,hich is a part o' th! physioogica
proc!ss ,hich ,! ha"! ca!# a (oo#. In th! h+(an sp!ci!s a (or!
co(p!- stat! o' a''airs b!gins to b! th! r+!. ?!o#orants (as* th!
in"o+ntary o'actory signs, an# in th!ir pac! th! cos(!tic in#+stry
pro"i#!s th! in#i"i#+a ,ith p!r'+(!s ,hich ar! not in"o+ntary
signs b+t "o+ntary signas, r!cogni/ab! as s+ch. Aany a (an has
b!!n thro,n o'' baanc! by a ,hi'' o' p!r'+(!, an# i' ,! ar! to
b!i!"! th! a#"!rtis!rs, it s!!(s that th!s! signas, "o+ntariy ,orn,
ha"! so(!ti(!s an a+to(atic an# a+tos+gg!sti"! !''!ct !"!n +pon
th! "o+ntary ,!ar!r.
0! that as it (ay, this bri!' #igr!ssion ,i s!r"! to i+strat! a
stag! o' !"o+tion;th! #ra(a pr!cipitat!# ,h!n organis(s, ha"ing
!at!n o' th! 'r+it o' th! :r!! o' <no,!#g!, #isco"!r that th!ir
signas ar! signas. )ot ony th! charact!risticay h+(an in"!ntion
o' ang+ag! can th!n 'oo,, b+t aso a th! co(p!-iti!s o'
!(pathy, i#!nti'ication, proJ!ction, an# so on. An# ,ith th!s! co(!s
th! possibiity o' co((+nicating at th! (+tipicity o' !"!s o'
abstraction (!ntion!# abo"!.
184
233 :h! 'irst #!'init! st!p in th! 'or(+ation o' th! hypoth!sis
g+i#ing this r!s!arch occ+rr!# in Jan+ary, 1952, ,h!n I ,!nt to th!
7!ishhac*!r Moo in &an 7rancisco to oo* 'or b!ha"iora crit!ria
,hich ,o+# in#icat! ,h!th!r any gi"!n organis( is or is not ab!
to r!cogni/! that th! signs !(itt!# by its!' an# oth!r (!(b!rs o'
th! sp!ci!s ar! signas. In th!ory, I ha# tho+ght o+t ,hat s+ch
crit!ria (ight oo* i*!;that th! occ+rr!nc! o' (!taco((+nicati"!
signs 2or signas3 in th! str!a( o' int!raction b!t,!!n th! ani(as
,o+# in#icat! that th! ani(as ha"! at !ast so(! a,ar!n!ss
2conscio+s or +nconscio+s3 that th! signs abo+t ,hich th!y
(!taco((+nicat! ar! signas.
I *n!,, o' co+rs!, that th!r! ,as no i*!ihoo# o' 'in#ing
#!notati"! (!ssag!s a(ong nonh+(an (a((as, b+t I ,as sti not
a,ar! that th! ani(a #ata ,o+# r!.+ir! an a(ost tota r!"ision o'
(y thin*ing. 8hat I !nco+nt!r!# at th! /oo ,as a ph!no(!non ,!
*no,n to !"!rybo#y6 I sa, t,o yo+ng (on*!ys playing, i.e.,
!ngag!# in an int!racti"! s!.+!nc! o' ,hich th! +nit actions or
signas ,!r! si(iar to b+t not th! sa(! as thos! o' co(bat. It ,as
!"i#!nt, !"!n to th! h+(an obs!r"!r, that th! s!.+!nc! as a ,ho!
,as not co(bat, an# !"i#!nt to th! h+(an obs!r"!r that to th!
participant (on*!ys this ,as 9not co(bat.
9
)o,, this ph!no(!non, pay, co+# ony occ+r i' th! participant
organis(s ,!r! capab! o' so(! #!gr!! o' (!taCco((+nication,
i.!., o' !-changing signas ,hich ,o+# carry th! (!ssag! 9this is
pay.9
243 :h! n!-t st!p ,as th! !-a(ination o' th! (!ssag! 9:his is
pay,9 an# th! r!ai/ation that this (!ssag! contains thos! !!(!nts
,hich n!c!ssariy g!n!rat! a para#o- o' th! 4+ss!ian or
=pi(!ni#!s typ! Ca n!gati"! stat!(!nt containing an i(picit
n!gati"! (!tastat!(!nt. =-pan#!#, th! stat!(!nt 9:his is pay
9
oo*s so(!thing i*! this6 9:h!s! actions in ,hich ,! no, !ngag!
#o not #!not! ,hat thos! actions for '*ic* t*ey stand ,o+#
#!not!.9
8! no, as* abo+t th! itaici/!# ,or#s,
9
for '*ic* t*ey stand.9
8! say th! ,or# 9cat9 stan#s 'or any (!(b!r o' a c!rtain cass. :hat
is, th! phras! 9stan#s 'or9 is a n!ar synony( o' 9#!not!s.9 I' ,! no,
s+bstit+t! 9,hich th!y #!not!9 'or th! ,or#s 9'or ,hich th!y stan#9
in th! !-pan#!# #!'inition o' pay, th! r!s+t is6 9:h!s! actions, in
185
,hich ,! no, !ngag!, #o not #!not! ,hat ,o+# b! #!Cnot!# by
thos! actions ,hich th!s! actions #!not!.9 :h! pay'+ nip #!not!s
th! bit!, b+t it #o!s not #!not! ,hat ,o+# b! #!not!# by th! bit!.
Accor#ing to th! :h!ory o' @ogica :yp!s s+ch a (!ssag! is o'
co+rs! ina#(issab!, b!ca+s! th! ,or# 9#!not!9 is b!ing +s!# in t,o
#!gr!!s o' abstraction, an# th!s! t,o +s!s ar! tr!at!# as
synony(o+s. 0+t a that ,! !arn 'ro( s+ch a criticis( is that it
,o+# b! ba# nat+ra history to !-p!ct th! (!nta proc!ss!s an#
co((+nicati"! habits o' (a((as to con'or( to th! ogicianIs
i#!a. In#!!#, i' h+(an tho+ght an# co((+nication a,ays
con'or(!# to th! i#!a, 4+ss! ,o+# n o t in 'act co+# n o t
ha"! 'or(+at!# th! i#!a.
253 A r!at!# prob!( in th! !"o+tion o' co((+nication
conc!rns th! origin o' ,hat <or/ybs*i
15
has ca!# th! (apCt!rritory
r!ation6 th! 'act that a (!ssag!, o' ,hat!"!r *in#, #o!s not consist
o' thos! obJ!cts ,hich it #!not!s 29:h! ,or# NcatI cannot scratch
+s93. 4ath!r, ang+ag! b!ars to th! obJ!cts ,hich it #!not!s a
r!ationship co(parab! to that ,hich a (ap b!ars to a t!rritory.
?!notati"! co((+nication as it occ+rs at th! h+(an !"! is ony
possib! after th! !"o+tion o' a co(p!- s!t o' (!taing+istic 2b+t
not "!rbai/!#3
16
r+!s ,hich go"!rn ho, ,or#s an# s!nt!nc!s sha
b! r!at!# to obJ!cts an# !"!nts. It is th!r!'or! appropriat! to oo*
'or th! !"o+tion o' s+ch (!taing+istic an#Kor (!taCco((+nicati"!
r+!s at a pr!h+(an an# pr!"!rba !"!.
It app!ars 'ro( ,hat is sai# abo"! that pay is a ph!no(!non in
,hich th! actions o' 9pay9 ar! r!at!# to, or #!not!, oth!r actions o'
9not pay.9 8! th!r!'or! (!!t in pay ,ith an instanc! o' signas
stan#ing 'or oth!r !"!nts, an# it app!ars, th!r!'or!, that th!
!"o+tion o' pay (ay ha"! b!!n an i(portant st!p in th! !"o+tion
o' co((+nication.
263 :hr!at is anoth!r ph!no(!non ,hich r!s!(b!s pay in that
actions #!not!, b+t ar! #i''!r!nt 'ro(, oth!r actions. :h! c!nch!#
'ist o' thr!at is #i''!r!nt 'ro( th! p+nch, b+t it r!'!rs to a possib!
15
A. <or/ybs*i, Science and Sanity, )!, For*, &ci!nc! $r!ss, 1941.
16
:h! "!rbai/ation o' th!s! (!taing+istic r+!s is a (+ch at!r
achi!"!(!nt ,hich can ony occ+r a't!r th! !"o+tion o' a
non"!rbai/!# (!taC(!taing+istics.
186
'+t+r! 2b+t at pr!s!nt non!-ist!nt3 p+nch. An# thr!at aso is
co((ony r!cogni/ab! a(ong nonCh+(an (a((as. In#!!# it has
at!y b!!n arg+!# that a gr!at part o' ,hat app!ars to b! co(bat
a(ong (!(b!rs o' a sing! sp!ci!s is rath!r to b! r!gar#!# as thr!at
2:inb!rg!n,
17
@or!n/
18
3.
273 Eistrionic b!ha"ior an# #!c!it ar! oth!r !-a(p!s o' th!
pri(iti"! occ+rr!nc! o' (apCt!rritory #i''!r!ntiation. An# th!r! is
!"i#!nc! that #ra(ati/ation occ+rs a(ong bir#s6 a Jac*#a, (ay
i(itat! h!r o,n (oo#Csigns 2@or!n/
19
3, an# #!c!it has b!!n
obs!r"!# a(ong ho,!r (on*!ys 2Carp!nt!r
20
3.
283 8! (ight !-p!ct thr!at, pay, an# histrionics to b! thr!!
in#!p!n#!nt ph!no(!na a contrib+ting to th! !"o+tion o' th!
#iscri(ination b!t,!!n (ap an# t!rritory. 0+t it s!!(s that this
,o+# b! ,rong, at !ast so 'ar as (a((aian co((+nication is
conc!rn!#. G!ry bri!' anaysis o' chi#hoo# b!ha"ior sho,s that
s+ch co(binations as histrionic pay, b+'', pay'+ thr!at, t!asing
pay in r!spons! to thr!at, histrionic thr!at, an# so on 'or( tog!th!r
a sing! tota co(p!- o' ph!no(!na. An# s+ch a#+t ph!no(!na as
ga(bing an# paying ,ith ris* ha"! th!ir roots in th! co(bination
o' thr!at an# pay. It is !"i#!nt aso that not ony thr!at b+t th!
r!ciproca o' thr!at;th! b!ha"ior o' th! thr!at!n!# in#i"i#+a;ar!
a part o' this co(p!-. It is probab! that not ony histrionics b+t
aso sp!ctatorship sho+# b! inc+#!# ,ithin this 'i!#. It is aso
appropriat! to (!ntion s!'Cpity.
293 A '+rth!r !-t!nsion o' this thin*ing !a#s +s to inc+#! rit+a
,ithin this g!n!ra 'i!# in ,hich th! #iscri(ination is #ra,n, b+t
not co(p!t!y, b!t,!!n #!notati"! action an# that ,hich is to b!
#!not!#. Anthropoogica st+#i!s o' p!ac!C(a*ing c!r!(oni!s, to
cit! ony on! !-a(p!, s+pCport this conc+sion.
In th! An#a(an Isan#s, p!ac! is conc+#!# a't!r !ach si#! has
b!!n gi"!n c!r!(onia 'r!!#o( to stri*! th! oth!r. :his !-a(p!,
ho,!"!r, aso i+strat!s th! abi! nat+r! o' th! 'ra(! 9:his is pay,
9
17
). :inb!rg!n, &ocia 0!ha"ior in Ani(as ,ith &p!cia 4!'!r!nc! to
G!rt!brat!s, @on#on, A!th+!n, 1953.
18
<. M. @or!n/, <ing &oo(onIs 4ing, )!, For*, Cro,!, 1952.
19


Ibi#.
20
C. 4. Carp!nt!r, 9A 7i!# &t+#y o' th! 0!ha"ior an# &ocia 4!ations o'
Eo,ing Aon*!ys,9 Co(p. $sycho. Aonogr., 1934, 106 1C168.
187
or 9:his is rit+a.9 :h! #iscri(ination b!t,!!n (ap an# t!rritory is
a,ays iab! to br!a* #o,n, an# th! rit+a bo,s o' p!ac!C(a*ing
ar! a,ays iab! to b! (ista*!n 'or th! 9r!a9 bo,s o' co(bat. In
this !"!nt, th! p!ac!C(a*ing c!r!(ony b!co(!s a batt! 24a#ci''!C
0ro,n
21
3 .
2103 0+t this !a#s +s to r!cognition o' a (or! co(p!- 'or( o'
payL th! ga(! ,hich is constr+ct!# not +pon th! pr!(is! 9:his is
pay9 b+t rath!r aro+n# th! .+!stion 9Is this payD
9
An# this typ! o'
int!raction aso has its rit+a 'or(s, !.g., in th! ha/ing o' initiation.
2113 $ara#o- is #o+by pr!s!nt in th! signas ,hich ar!
!-chang!# ,ithin th! cont!-t o' pay, 'antasy, thr!at, !tc. )ot ony
#o!s th! pay'+ nip not #!not! ,hat ,o+# b! #!not!# by th! bit!
'or ,hich it stan#s, b+t, in a##ition, th! bit! its!' is 'ictiona. )ot
ony #o th! paying ani(as not .+it! (!an ,hat th!y ar! saying
b+t, aso, th!y ar! +s+ay co((+nicating abo+t so(!thing ,hich
#o!s not !-ist. At th! h+(an !"!, this !a#s to a "ast "ari!ty o'
co(pications an# in"!rsions in th! 'i!#s o' pay, 'antasy, an# art.
ConJ+r!rs an# paint!rs o' th! trompe lDoeil schoo conc!ntrat! +pon
ac.+iring a "irt+osity ,hos! ony r!,ar# is r!ach!# a't!r th! "i!,!r
#!t!cts that h! has b!!n #!c!i"!# an# is 'orc!# to s(i! or (ar"! at
th! s*i o' th! #!c!i"!r. Eoy,oo# 'i(C(a*!rs sp!n# (iions o'
#oars to incr!as! th! r!ais( o' a sha#o,. 5th!r artists, p!rhaps
(or! r!aisticay, insist that art b! nonr!pr!s!ntationaL an# po*!r
pay!rs achi!"! a strang! a##icti"! r!ais( by !.+ating th! chips 'or
,hich th!y pay ,ith #oars. :h!y sti insist, ho,!"!r, that th!
os!r acc!pt his oss as part o' th! ga(!.
7inay, in th! #i( r!gion ,h!r! art, (agic, an# r!igion (!!t an#
o"!rap, h+(an b!ings ha"! !"o"!# th!
9
(!taphor that is (!ant,9
th! 'ag ,hich (!n ,i #i! to sa"!, an# th! sacra(!nt that is '!t to
b! (or! than 9an o+t,ar# an# "isib! sign, gi"!n +nto +s.9 E!r! ,!
can r!cogni/! an att!(pt to #!ny th! #i''!r!nc! b!t,!!n (ap an#
t!rritory, an# to g!t bac* to th! abso+t! innoc!nc! o'
co((+nication by (!ans o' p+r! (oo#Csigns.
2123 8! 'ac! th!n t,o p!c+iariti!s o' pay6 +a4 that th! (!ssag!s
or signas !-chang!# in pay ar! in a c!rtain s!ns! +ntr+! or not
21
A. 4. 4a#ci''!C0ro,n, !*e Andaman Islanders, Ca(bri#g!, Ca(bri#g!
%ni"!rsity $r!ss, 1922.
188
(!antL an# +-4 that that ,hich is #!not!# by th!s! signas is
non!-ist!nt. :h!s! t,o p!c+iariti!s so(!ti(!s co(bin! strang!y to
a r!"!rs! a conc+sion r!ach!# abo"!. It ,as stat!# 243 that th!
pay'+ nip #!Cnot!s th! bit!, b+t #o!s not #!not! that ,hich ,o+#
b! #!not!# by th! bit!. 0+t th!r! ar! oth!r instanc!s ,h!r! an
opposit! ph!no(!non occ+rs. A (an !-p!ri!nc!s th! '+ int!nsity
o' s+bJ!cti"! t!rror ,h!n a sp!ar is '+ng at hi( o+t o' th! 3? scr!!n
or ,h!n h! 'as h!a#ong 'ro( so(! p!a* cr!at!# in his o,n (in#
in th! int!nsity o' night(ar!. At th! (o(!nt o' t!rror th!r! ,as no
.+!stioning o' 9r!aity,9 b+t sti th!r! ,as no sp!ar in th! (o"i!
ho+s! an# no ci'' in th! b!#roo(. :h! i(ag!s #i# not #!not! that
,hich th!y s!!(!# to #!not!, b+t th!s! sa(! i(ag!s #i# r!ay
!"o*! that t!rror ,hich ,o+# ha"! b!!n !"o*!# by a r!a sp!ar or a
r!a pr!cipic!. 0y a si(iar tric* o' s!'Ccontra#iction, th! 'i(C
(a*!rs o' Eoy,oo# ar! 'r!! to o''!r to a p+ritanica p+bic a "ast
rang! o' ps!+#os!-+a 'antasy ,hich oth!r,is! ,o+# not b!
to!rat!#. In 8a&id and <at*s*e-a, 0athsh!ba can b! a :roiistic
in* b!t,!!n ?a"i# an# %riah. An# in 1ans "*ristian Andersen, th!
h!ro starts o+t acco(pani!# by a boy. E! tri!s to g!t a ,o(an, b+t
,h!n h! is #!'!at!# in this att!(pt, h! r!t+rns to th! boy. In a o'
this, th!r! is, o' co+rs!, no ho(os!-+aity, b+t th! choic! o' th!s!
sy(bois(s is associat!# in th!s! 'antasi!s ,ith c!rtain
charact!ristic i#!as, !.g., abo+t th! hop!!ssn!ss o' th! h!t!ros!-+a
(asc+in! position ,h!n 'ac!# ,ith c!rtain sorts o' ,o(!n or ,ith
c!rtain sorts o' (a! a+thority. In s+(, th! ps!+#oho(os!-+aity o'
th! 'antasy #o!s not stan# 'or any r!a ho(os!-+aity, b+t #o!s stan#
'or an# !-pr!ss attit+#!s ,hich (ight acco(pany a r!a
ho(os!-+aity or '!!# its !tioogica roots. :h! sy(bos #o not
#!not! ho(os!-+aity, b+t #o #!not! i#!as 'or ,hich ho(os!-+aity
is an appropriat! sy(bo. ="i#!nty it is n!c!ssary to r!C!-a(in! th!
pr!cis! s!(antic "ai#ity o' th! int!rpr!tations ,hich th! psychiatrist
o''!rs to a pati!nt, an#, as pr!i(inary to this anaysis, it ,i b!
n!c!ssary to !-a(in! th! nat+r! o' th! 'ra(! in ,hich th!s!
int!rpr!tations ar! o''!r!#.
2133 8hat has pr!"io+sy b!!n sai# abo+t pay can b! +s!# as an
intro#+ctory !-a(p! 'or th! #isc+ssion o' 'ra(!s an# cont!-ts. In
s+(, it is o+r hypoth!sis that th! (!ssag! 9:his is pay9 !stabish!s
189
a para#o-ica 'ra(! co(parab! to =pi(!ni#!sI para#o-. :his 'ra(!
(ay b! #iagra((!# th+s6
:h! 'irst stat!(!nt ,ithin this 'ra(! is a s!'Ccontra#ictory
proposition abo+t its!'. I' this 'irst stat!(!nt is tr+!, th!n it (+st b!
'as!. I' it b! 'as!, th!n it (+st b! tr+!. 0+t this 'irst stat!(!nt
carri!s ,ith it a th! oth!r stat!(!nts in th! 'ra(!. &o, i' th! 'irst
stat!(!nt b! tr+!, th!n a th! oth!rs (+st b! 'as!L an# "ic! "!rsa, i'
th! 'irst stat!(!nt b! +ntr+! th!n a th! oth!rs (+st b! tr+!.
2143 :h! ogicay (in#!# ,i notic! a non%se5uitur. It co+# b!
+rg!# that !"!n i' th! 'irst sta!(!nt is 'as!, th!r! r!(ains a ogica
possibiity that so(! o' th! oth!r stat!(!nts in th! 'ra(! ar! +ntr+!.
It is, ho,!"!r, a charact!ristic o' +nconscio+s or 9pri(aryCproc!ss9
thin*ing that th! thin*!r is +nab! to #iscri(inat! b!t,!!n 9so(!9
an# 9a,
9
an# +nab! to #iscri(inat! b!t,!!n 9not a9 an# 9non!.9 It
s!!(s that th! achi!"!(!nt o' th!s! #iscri(inations is p!r'or(!# by
high!r or (or! conscio+s (!nta proc!ss!s ,hich s!r"! in th!
nonpsychotic in#i"i#+a to corr!ct th! bac*Can#C,hit! thin*ing o'
th! o,!r !"!s. 8! ass+(!, an# this s!!(s to b! an ortho#o-
ass+(ption, that pri(ary proc!ss is contin+ay op!rating, an# that
th! psychoogica "ai#ity o' th! para#o-ica pay 'ra(! #!p!n#s
+pon this part o' th! (in#.
2153 0+t, con"!rs!y, ,hi! it is n!c!ssary to in"o*! th! pri(ary
proc!ss as an !-panatory princip! in or#!r to #!!t! th! notion o'
9so(!9 'ro( b!t,!!n 9a9 an# 9non!,9 this #o!s not (!an that pay
is si(py a pri(aryCproc!ss ph!no(!non. :h! #iscri(ination
b!t,!!n 9pay9 an#
9
nonpay,9 i*! th! #iscri(ination b!t,!!n
'antasy an# non'antasy, is c!rtainy a '+nction o' s!con#ary proc!ss,
or 9!go.9 8ithin th! #r!a( th! #r!a(!r is +s+ay +na,ar! that h! is
#r!a(ing, an# ,ithin 9pay9 h! (+st o't!n b! r!(in#!# that 9:his is
pay.9
190
&i(iary, ,ithin #r!a( or 'antasy th! #r!a(!r #o!s not op!rat!
,ith th! conc!pt 9+ntr+!.9 E! op!rat!s ,ith a sorts o' stat!(!nts
b+t ,ith a c+rio+s inabiity to achi!"! (!taCstat!(!nts. E! cannot,
+n!ss cos! to ,a*ing, #r!a( a stat!(!nt r!'!rring to 2i.!., 'ra(ing3
his #r!a(.
It th!r!'or! 'oo,s that th! pay 'ra(! as h!r! +s!# as an
!-panatory princip! i(pi!s a sp!cia co(bination o' pri(ary an#
s!con#ary proc!ss!s. :his, ho,!"!r, is r!at!# to ,hat ,as sai#
!ari!r, ,h!n it ,as arg+!# that pay (ar*s a st!p 'or,ar# in th!
!"o+tion o' co((+nication;th! cr+cia st!p in th! #isco"!ry o'
(apCt!rritory r!ations. In pri(ary proc!ss, (ap an# t!rritory ar!
!.+at!#L in s!con#ary proc!ss, th!y can b! #iscri(inat!#. In pay,
th!y ar! both !.+at!# an# #iscri(inat!#.
2163 Anoth!r ogica ano(ay in this syst!( (+st b! (!ntion!#6
that th! r!ationship b!t,!!n t,o propositions ,hich is co((ony
#!scrib!# by th! ,or# 9pr!(is!9 has b!co(! intransiti"!. In g!n!ra,
a asy((!trica r!ationships ar! transiti"!. :h! r!ationship
9gr!at!r than9 is typica in this r!sp!ctL it is con"!ntiona to arg+!
that i' A is gr!at!r than 0, an# 0 is gr!at!r than C, th!n A is gr!at!r
than C. 0+t in psychoogica proc!ss!s th! transiti"ity o'
asy((!trica r!ations is not obs!r"!#. :h! proposition $ (ay b! a
pr!(is! 'or VL V (ay b! a pr!(is! 'or 4L an# 4 (ay b! a pr!(is!
'or $. &p!ci'icay, in th! syst!( ,hich ,! ar! consi#!ring, th! circ!
is sti (or! contract!#. :h! (!ssag!, 9A stat!(!nts ,ithin this
'ra(! ar! +ntr+!9 is its!' to b! ta*!n as a pr!(is! in !"a+ating its
o,n tr+th or +ntr+th. 2C'. th! inCtransiti"ity o' psychoogica
pr!'!r!nc! #isc+ss!# by AcC+och.
22
:h! para#ig( 'or a
para#o-!s o' this g!n!ra typ! is 4+ss!Is
23
9cass o' cass!s ,hich
ar! not (!(b!rs o' th!(Cs!"!s.9 E!r! 4+ss! #!(onstrat!s that
para#o- is g!n!rat!# by tr!ating th! r!ationship, 9is a (!(b!r o',9
as an inCtransiti"!.3 8ith this ca"!at, that th! 9pr!(is!
9
r!ation in
psychoogy is i*!y to b! intransiti"!, ,! sha +s! th! ,or#
9pr!(is!9 to #!not! a #!p!n#!ncy o' on! i#!a or (!ssag! +pon
anoth!r co(parab! to th! #!p!n#!ncy o' on! proposition +pon
22
8. &. AcC+och, 9A E!t!rarchy o' Ga+!s, !tc.,9 <ulletin of Math.
Biophys., 1945, 7# 89-93.
23
8hit!h!a# an# 4+ss!, op. cit.
191
anoth!r ,hich is r!'!rr!# to in ogic by saying that th! proposition $
is a pr!(is! 'or V.
2173 A this, ho,!"!r, !a"!s +nc!ar ,hat is (!ant by 9'ra(!9
an# th! r!at!# notion o' 9cont!-t.9 :o cari'y th!s!, it is n!c!ssary
to insist 'irst that th!s! ar! psychoogica conc!pts. 8! +s! t,o sorts
o' anaogy to #isc+ss th!s! notions6 th! physica anaogy o' th!
pict+r! 'ra(! an# th! (or! abstract, b+t sti not psychoogica,
anaogy o' th! (ath!(atica s!t. In s!t th!ory th! (ath!(aticians
ha"! #!"!op!# a-io(s an# th!or!(s to #isc+ss ,ith rigor th!
ogica i(pications o' (!(b!rship in o"!rapping cat!gori!s or
9s!ts.
9
:h! r!ationships b!t,!!n s!ts ar! co((ony i+strat!# by
#iagra(s in ,hich th! it!(s or (!(b!rs o' a arg!r +ni"!rs! ar!
r!pr!s!nt!# by #ots, an# th! s(a!r s!ts ar! #!i(it!# by i(aginary
in!s !ncosing th! (!(b!rs o' !ach s!t. &+ch #iagra(s th!n
i+strat! a topoogica approach to th! ogic o' cassi'ication. :h!
'irst st!p in #!'ining a psychoogica 'ra(! (ight b! to say that it is
2or #!i(its3 a cass or s!t o' (!ssag!s 2or (!aning'+ actions3. :h!
pay o' t,o in#i"i#+as on a c!rtain occasion ,o+# th!n b! #!'in!#
as th! s!t o' a (!ssag!s !-chang!# by th!( ,ithin a i(it!# p!rio#
o' ti(! an# (o#i'i!# by th! para#o-ica pr!(is! syst!( ,hich ,!
ha"! #!scrib!#. In a s!tCth!or!tica #iagra( th!s! (!ssag!s (ight b!
r!pr!s!nt!# by #ots, an# th! 9s!t9 !ncos!# by a in! ,hich ,o+#
s!parat! th!s! 'ro( oth!r #ots r!pr!s!nting nonpay (!ssag!s. :h!
(ath!(atica anaogy br!a*s #o,n, ho,!"!r, b!ca+s! th!
psychoogica 'ra(! is not satis'actoriy r!pr!s!nt!# by an
i(aginary in!. 8! ass+(! that th! psychoogica 'ra(! has so(!
#!gr!! o' r!a !-ist!nc!. In (any instanc!s, th! 'ra(! is conscio+sy
r!cogni/!# an# !"!n r!pr!s!nt!# in "ocab+ary 29pay,9 9(o"i!,9
9int!r"i!,,9 9Job,9 9ang+ag!,9 !tc.3. In oth!r cas!s, th!r! (ay b! no
!-picit "!rba r!'!r!nc! to th! 'ra(!, an# th! s+bJ!ct (ay ha"! no
conscio+sn!ss o' it. :h! anayst, ho,!"!r, 'in#s that his o,n
thin*ing is si(pi'i!# i' h! +s!s th! notion o' an +nconscio+s 'ra(!
as an !-panatory princip!L +s+ay h! go!s '+rth!r than this an#
in'!rs its !-ist!nc! in th! s+bJ!ctIs +nconscio+s.
0+t ,hi! th! anaogy o' th! (ath!(atica s!t is p!rhaps o"!r
abstract, th! anaogy o' th! pict+r! 'ra(! is !-c!ssi"!y concr!t!.
:h! psychoogica conc!pt ,hich ,! ar! trying to #!'in! is n!ith!r
physica nor ogica. 4ath!r, th! act+a physica 'ra(! is, ,! b!i!"!,
192
a##!# by h+(an b!ings to physica pict+r!s b!ca+s! th!s! h+(an
b!ings op!rat! (or! !asiy in a +ni"!rs! in ,hich so(! o' th!ir
psychoogica charact!ristics ar! !-t!rnai/!#. It is th!s!
charact!ristics ,hich. ,! ar! trying to #isc+ss, +sing th! !-t!rnai/aC
tion as an i+strati"! #!"ic!.
2183 :h! co((on '+nctions an# +s!s o' psychoogica 'ra(!s
(ay no, b! ist!# an# i+strat!# by r!'!r!nc! to th! anaogi!s
,hos! i(itations ha"! b!!n in#icat!# in th! pr!"io+s paragraph6
2a3$sychoogica 'ra(!s ar! !-c+si"!, i.!., by inc+#ing c!rtain
(!ssag!s 2or (!aning'+ actions3 ,ithin a 'ra(!, c!rtain oth!r
(!ssag!s ar! !-c+#!#.
2b3$sychoogica 'ra(!s ar! inc+si"!, i.!., by !-c+#ing c!rtain
(!ssag!s c!rtain oth!rs ar! inc+#!#. 7ro( th! point o' "i!, o' s!t
th!ory th!s! t,o '+nctions ar! synony(o+s, b+t 'ro( th! point o'
"i!, o' psychoogy it is n!c!ssary to ist th!( s!parat!y. :h! 'ra(!
aro+n# a pict+r!, i' ,! consi#!r this 'ra(! as a (!ssag! int!n#!# to
or#!r or organi/! th! p!rc!ption o' th! "i!,!r, says, 9Att!n# to ,hat
is ,ithin an# #o not att!n# to ,hat is o+tsi#!.9 7ig+r! an# gro+n#, as
th!s! t!r(s ar! +s!# by g!stat psychoogists, ar! not sy((!tricay
r!at!# as ar! th! s!t an# nons!t o' s!t th!ory. $!rc!ption o' th!
gro+n# (+st b! positi"!y inhibit!# an# p!rc!ption o' th! 'ig+r! 2in
this cas! th! pict+r!3 (+st b! positi"!y !nhanc!#.
2c3$sychoogica 'ra(!s ar! r!at!# to ,hat ,! ha"! ca!#
9pr!(is!s.9 :h! pict+r! 'ra(! t!s th! "i!,!r that h! is not to +s!
th! sa(! sort o' thin*ing in int!rpr!ting th! pict+r! that h! (ight +s!
in int!rpr!ting th! ,apap!r o+tsi#! th! 'ra(!. 5r, in t!r(s o' th!
anaogy 'ro( s!t th!ory, th! (!ssag!s !ncos!# ,ithin th! i(aginary
in! ar! #!'in!# as (!(b!rs o' a cass by "irt+! o' th!ir sharing
co((on pr!(is!s or (+t+a r!!"anc!. :h! 'ra(! its!' th+s
b!co(!s a part o' th! pr!(is! syst!(. =ith!r, as in th! cas! o' th!
pay 'ra(!, th! 'ra(! is in"o"!# in th! !"a+ation o' th! (!ssag!s
,hich it contains, or th! 'ra(! (!r!y assists th! (in# in
+n#!rstan#ing th! contain!# (!ssag!s by r!(in#ing th! thin*!r that
th!s! (!ssag!s ar! (+t+ay r!!"ant an# th! (!ssag!s o+tsi#! th!
'ra(! (ay b! ignor!#.
2#3In th! s!ns! o' th! pr!"io+s paragraph, a 'ra(! is
(!taco((+nicati"!. Any (!ssag!, ,hich !ith!r !-picity or
i(picity #!'in!s a 'ra(!, ipso facto gi"!s th! r!c!i"!r instr+ctions
193
or ai#s in his att!(pt to +n#!rstan# th! (!ssag!s inc+#!# ,ithin th!
'ra(!.
2!3:h! con"!rs! o' +d4 is aso tr+!. ="!ry (!taCco((+nicati"! or
(!taing+istic (!ssag! #!'in!s, !ith!r !-picity or i(picity, th! s!t
o' (!ssag!s abo+t ,hich it co((+nicat!s, i.!., !"!ry
(!taco((+nicati"! (!ssag! is or #!C'in!s a psychoogica 'ra(!.
:his, 'or !-a(p!, is "!ry !"i#!nt in r!gar# to s+ch s(a
(!taco((+nicati"! signas as p+nct+ation (ar*s in a print!#
(!ssag!, b+t appi!s !.+ay to s+ch co(p!- (!taco((+nicati"!
(!ssag!s as th! psychiatristIs #!'inition o' his o,n c+rati"! ro! in
t!r(s o' ,hich his contrib+tions to th! ,ho! (ass o' (!ssag!s in
psychoth!rapy ar! to b! +n#!rstoo#.
2'3:h! r!ation b!t,!!n psychoogica 'ra(! an# p!rc!pt+a
g!stat n!!#s to b! consi#!r!#, an# h!r! th! anaogy o' th! pict+r!
'ra(! is +s!'+. In a painting by 4o+at or 0a*!, th! h+(an 'ig+r!s
an# oth!r obJ!cts r!pr!s!nt!# ar! o+tin!#. 98is! (!n s!! o+tin!s
an# th!r!'or! th!y #ra, th!(.9 0+t o+tsi#! th!s! in!s, ,hich
#!i(it th! p!rc!pt+a g!stat or 9'ig+r!,9 th!r! is a bac*gro+n# or
9gro+n#9 ,hich in t+rn is i(it!# by th! pict+r! 'ra(!. &i(iary, in
s!tCth!or!tica #iagra(s, th! arg!r +ni"!rs! ,ithin ,hich th!
s(a!r s!ts ar! #ra,n is its!' !ncos!# in a 'ra(!. :his #o+b!
'ra(ing is, ,! b!i!"!, not (!r!y a (att!r o' 9'ra(!s ,ithin
'ra(!s9 b+t an in#ication that (!nta proc!ss!s r!s!(b! ogic in
needing an o+t!r 'ra(! to #!i(it th! gro+n# against ,hich th!
'ig+r!s ar! to b! p!rc!i"!#. :his n!!# is o't!n +nsatis'i!#, as ,h!n
,! s!! a pi!c! o' sc+pt+r! in a J+n* shop ,in#o,, b+t this is
+nco('ortab!. 8! s+gg!st that th! n!!# 'or this o+t!r i(it to th!
gro+n# is r!at!# to a pr!'!r!nc! 'or a"oi#ing th! para#o-!s o'
abstraction. 8h!n a ogica cass or s!t o' it!(s is #!'in!#;'or
!-a(p!, th! cass o' (atchbo-!s;it is n!c!ssary to #!i(it th! s!t
o' it!(s ,hich ar! to b! !-c+#!#, in this cas!, a thos! things
,hich ar! not (atchbo-!s. 0+t th! it!(s to b! inc+#!# in th!
bac*gro+n# s!t (+st b! o' th! sa(! #!gr!! o' abstraction, i.!., o' th!
sa(! 9ogica typ!9 as thos! ,ithin th! s!t its!'. &p!ci'icay, i'
para#o- is to b! a"oi#!#, th! 9cass o' (atchbo-!s9 an# th! 9cass o'
non(atchbo-!s9 2!"!n tho+gh both th!s! it!(s ar! c!ary not
(atchbo-!s3 (+st not b! r!gar#!# as (!(b!rs o' th! cass o'
non(atchbo-!s. )o cass can b! a (!(b!r, o' its!'. :h! pict+r!
194
'ra(! th!n, b!ca+s! it #!i(its a bac*gro+n#, is h!r! r!gar#!# as an
!-t!rna r!pr!s!ntation o' a "!ry sp!cia an# i(portant typ! o'
psychoCogica 'ra(!;na(!y a 'ra(! ,hos! '+nction is to #!i(it
a ogica typ!. :his, in 'act, is ,hat ,as in#icat!# abo"! ,h!n it ,as
sai# that th! pict+r! 'ra(! is an instr+ction to th! "i!,!r that h!
sho+# not !-t!n# th! pr!(is!s ,hich obtain b!t,!!n th! 'ig+r!s
,ithin th! pict+r! to th!
.,
,a pap!r b!hin# it.
0+t, it is pr!cis!y this sort o' 'ra(! that pr!cipitat!s para#o-.
:h! r+! 'or a"oi#ing para#o-!s insists that th! it!(s o+tsi#! any
!ncosing in! b! o' th! sa(! ogica typ! as thos! ,ithin, b+t th!
pict+r! 'ra(!, as anay/!# abo"!, is a in! #i"i#ing it!(s o' on!
ogica typ! 'ro( thos! o' anoth!r. In passing, it is int!r!sting to not!
that 4+ss!Is r+! cannot b! stat!# ,itho+t br!a*ing th! r+!. 4+ss!
insists that a it!(s o' inappropriat! ogica typ! b! !-+#!# 2i.!., by
an i(aginary in!3 'ro( th! bac*gro+n# o' any cass, i.!., h! insists
+pon th! #ra,ing o' an i(aginary in! o' pr!cis!y th! sort ,hich h!
prohibits.
2193 :his ,ho! (att!r o' 'ra(!s an# para#o-!s (ay b!
i+strat!# in t!r(s o' ani(a b!ha"ior, ,h!r! thr!! typ!s o' (!ssag!
(ay b! r!cogni/!# or #!#+c!#6 2a3 A!ssag!s o' th! sort ,hich ,!
h!r! ca (oo#CsignsL 2b3 (!ssag!s ,hich si(+at! (oo#Csigns 2in
pay, thr!at, histrionics, !tc.3 L an# 2c3 (!ssag!s ,hich !nab! th!
r!c!i"!r to #iscri(inat! b!t,!!n (oo#Csigns an# thos! oth!r signs
,hich r!s!(b! th!(. :h! (!ssag! 9:his is pay9 is o' this thir#
typ!. It t!s th! r!c!i"!r that c!rtain nips an# oth!r (!aning'+
actions ar! not (!ssag!s o' th! 'irst typ!.
:h! (!ssag! 9:his is pay9 th+s s!ts a 'ra(! o' th! sort ,hich is
i*!y to pr!cipitat! para#o-6 it is an att!(pt to #iscri(inat!
b!t,!!n, or to #ra, a in! b!t,!!n, cat!gori!s o' #i''!r!nt ogica
typ!s.
2203 :his #isc+ssion o' pay an# psychoogica 'ra(!s !stabish!s
a typ! o' tria#ic const!ation 2or syst!( o' r!ationships3 b!t,!!n
(!ssag!s. 5n! instanc! o' this const!ation is anay/!# in
paragraph 19, b+t it is !"i#!nt that const!ations o' this sort occ+r
not ony at th! nonh+(an !"! b+t aso in th! (+ch (or! co(p!-
co((+nication o' h+(an b!ings. A 'antasy or (yth (ay si(+at! a
#!notati"! narrati"!, an#, to #iscri(inat! b!t,!!n th!s! typ!s o'
#isco+rs!, p!op! +s! (!ssag!s o' th! 'ra(!Cs!tting typ!, an# so on.
195
2213 In conc+sion, ,! arri"! at th! co(p!- tas* o' appying this
th!or!tica approach to th! partic+ar ph!no(!na o' psychoth!rapy.
E!r! th! in!s o' o+r thin*ing (ay (ost bri!'y b! s+((ari/!# by
pr!s!nting an# partiay ans,!ring th!s! .+!stions6
2a3Is th!r! any in#ication that c!rtain 'or(s o' psychoCpathoogy
ar! sp!ci'icay charact!ri/!# by abnor(aiti!s in th! pati!ntIs
han#ing o' 'ra(!s an# para#o-!sD
2b3Is th!r! any in#ication that th! t!chni.+!s o' psychoCth!rapy
n!c!ssariy #!p!n# +pon th! (anip+ation o' 'ra(!s an# para#o-!sD
2c3Is it possib! to #!scrib! th! proc!ss o' a gi"!n psychoth!rapy
in t!r(s o' th! int!raction b!t,!!n th! pati!ntIs abnor(a +s! o'
'ra(!s an# th! th!rapistIs (anip+ation o' th!(D
2223 In r!py to th! 'irst .+!stion, it s!!(s that th! 9,or# saa#9
o' schi/ophr!nia can b! #!scrib!# in t!r(s o' ,th! pati!ntIs 'ai+r! to
r!cogni/! th! (!taphoric nat+r! o' his 'antasi!s. In ,hat sho+# b!
tria#ic const!ations o' (!ssag!s., th! 'ra(!Cs!tting (!ssag! 2!.g.,
th! phras! 9as i'93 is o(itt!#, an# th! (!taphor or 'antasy is narrat!#
an# act!# +pon in a (ann!r ,hich ,o+# b! appropriat! i' th!
'antasy ,!r! a (!ssag! o' th! (or! #ir!ct *in#. :h! abs!nc! o'
(!taco((+nicati"! 'ra(ing ,hich ,as not!# in th! cas! o' #r!a(s
2153 is charact!ristic o' th! ,a*ing co((+nications o' th!
schi/ophr!nic. 8ith th! oss o' th! abiity to s!t (!taco((+nicati"!
'ra(!s, th!r! is aso a oss o' abiity to achi!"! th! (or! pri(ary or
pri(iti"! (!ssag!. :h! (!taphor is tr!at!# #ir!cty as a (!ssag! o'
th! (or! pri(ary typ!. 2:his (att!r is #isc+ss!# at gr!at!r !ngth
in th! pap!r gi"!n by Jay Ea!y at this Con'!r!nc!.3
2233 :h! #!p!n#!nc! o' psychoth!rapy +pon th! (anip+ation
o' 'ra(!s 'oo,s 'ro( th! 'act that th!rapy is an att!(pt to chang!
th! pati!ntIs (!taco((+nicati"! habits. 0!'or! th!rapy, th! pati!nt
thin*s an# op!rat!s in t!r(s o' a c!rtain s!t o' r+!s 'or th! (a*ing
an# +n#!rstan#ing o' (!ssag!s. A't!r s+cc!ss'+ th!rapyL h!
op!rat!s in t!r(s o' a #i''!r!nt s!t o' s+ch r+!s. 24+!s o' this sort
ar! in g!n!ra, +n"!rbai/!#, an# +nconscio+s both b!'or! an#
a't!r.3 It 'oo,s that, in th! proc!ss o' th!rapy, th!r! (+st ha"!
b!!n co((+nication at a !"! meta to th!s! r+!s. :h!r! (+st
ha"! b!!n co((+nication abo+t a c*ange in r+!s.
0+t s+ch a co((+nication abo+t chang! co+# not conc!i"aby
occ+r in (!ssag!s o' th! typ! p!r(itt!# by th! pati!ntIs
196
(!taco((+nicati"! r+!s as th!y !-ist!# !ith!r b!C'or! or a't!r
th!rapy.
It ,as s+gg!st!# abo"! that th! para#o-!s o' pay ar!
charact!ristic o' an !"o+tionary st!p. E!r! ,! s+gg!st that si(iar
para#o-!s ar! a n!c!ssary ingr!#i!nt in that proc!ss o' chang!
,hich ,! ca psychoth!rapy.
:h! r!s!(banc! b!t,!!n th! proc!ss o' th!rapy an# th!
ph!no(!non o' pay is, in 'act, pro'o+n#. 0oth occ+r ,ithin a
#!i(it!# psychoogica 'ra(!, a spatia an# t!(pora bo+n#ing o'
a s!t o' int!racti"! (!ssag!s. In both pay an# th!rapy, th!
(!ssag!s ha"! a sp!cia an# p!c+iar r!ationship to a (or!
concr!t! or basic r!aity. J+st as th! ps!+#oco(bat o' pay is not
r!a co(bat, so aso th! ps!+#oo"! an# ps!+#ohat! o' th!rapy ar!
not r!a o"! an# hat!. :h! 9trans'!r9 is #iscri(inat!# 'ro( r!a
o"! an# hat! by signas in"o*ing th! psychoogica 'ra(!L an#
in#!!# it is this 'ra(! ,hich p!r(its th! trans'!r to r!ach its '+
int!nsity an# to b! #isc+ss!# b!t,!!n pati!nt an# th!rapist.
:h! 'or(a charact!ristics o' th! th!rap!+tic proc!ss (ay b!
i+strat!# by b+i#ing +p a (o#! in stag!s. I(agin! 'irst t,o
pay!rs ,ho !ngag! in a ga(! o' canasta accor#ing to a stan#ar# s!t
o' r+!s. &o ong as th!s! r+!s go"!rn an# ar! +n.+!stion!# by both
pay!rs, th! ga(! is +nchanging, i.!6, no th!rap!+tic chang! ,i
occ+r. 2In#!!# (any atCt!(pts at psychoth!rapy 'ai 'or this r!ason.3
8! (ay i(agin!, ho,!"!r, that at a c!rtain (o(!nt th! t,o canasta
pay!rs c!as! to pay canasta an# start a #isc+ssion o' th! r+!s.
:h!ir #isco+rs! is no, o' a #i''!r!nt ogica typ! 'ro( that o' th!ir
pay. At th! !n# o' this #isc+ssion, ,! can i(agin! that th!y r!t+rn
to paying b+t ,ith (o#i'i!# r+!s.
:his s!.+!nc!
C
o' !"!nts is, ho,!"!r, sti an i(p!r'!ct (o#!
o' th!rap!+tic int!raction, tho+gh it i+strat!s o+r cont!ntion that
th!rapy n!c!ssariy in"o"!s a co(bination o' #iscr!pant ogica
typ!s o' #isco+rs!. 5+r i(aginary pay!rs a"oi#!# para#o- by
s!parating th!ir #isc+ssion o' th! r+!s 'ro( th!ir pay, an# it is
pr!cis!y this s!paration that is i(possib! in psychoth!rapy. As ,!
s!! it, th! proc!ss o' psychoth!rapy is a 'ra(!# int!raction
b!t,!!n t,o p!rsons, in ,hich th! r+!s ar! i(picit b+t s+bJ!ct to
chang!. &+ch chang! can ony b! propos!# by !-p!ri(!nta action,
b+t !"!ry s+ch !-p!ri(!nta action, in ,hich a proposa to chang!
197
th! r+!s is i(picit, is its!' a part o' th! ongoing ga(!. It is this
co(bination o' ogica typ!s ,ithin th! sing! (!aning'+ act that
gi"!s to th!rapy th! charact!r not o' a rigi# ga(! i*! canasta b+t,
inst!a#, that o' an !"o"ing syst!( o' int!raction. :h! pay o'
*itt!ns or ott!rs has this charact!r.
2243 In r!gar# to th! sp!ci'ic r!ationship b!t,!!n th! ,ay in
,hich th! pati!nt han#!s 'ra(!s an# th! ,ay in ,hich th! th!rapist
(anip+at!s th!(, "!ry itt! can at pr!s!nt b! sai#. It is, ho,!"!r,
s+gg!sti"! to obs!r"! that th! psychoogica 'ra(! o' th!rapy is an
anaog+! o' th! 'ra(!Cs!tting (!ssag! ,hich th! schi/ophr!nic is
+nab! to achi!"!. :o ta* in 9,or# saa#9 ,ithin th! psychoogica
'ra(! o' th!rapy is, in a s!ns!, not pathoogica. In#!!# th! n!+rotic
is sp!ci'icay !nco+rag!# to #o pr!cis!y this, narrating his #r!a(s
an# 'r!! associations so that pati!nt an# th!rapist (ay achi!"! an
+n#!rstan#ing o' this (at!ria. 0y th! proc!ss o' int!rpr!tation, th!
n!+rotic is #ri"!n to ins!rt an 9as i'9 ca+s! into th! pro#+ctions o'
his pri(ary proc!ss thin*ing, ,hich pro#+ctions h! ha# pr!"io+sy
#!pr!cat!# or r!Cpr!ss!#. E! (+st !arn that 'antasy contains tr+th.
7or th! schi/ophr!nic th! prob!( is so(!,hat #i''!r!nt. Eis
!rror is in tr!ating th! (!taphors o' pri(ary proc!ss ,ith th! '+
int!nsity o' it!ra tr+th. :hro+gh th! #isco"!ry o' ,hat th!s!
(!taphors stan# 'or h! (+st #isco"!r that th!y ar! ony (!taphors.
2253 7ro( th! point o' "i!, o' th! proJ!ct, ho,!"!r,
psychoth!rapy constit+t!s ony on! o' th! (any 'i!#s ,hich ,! ar!
att!(pting to in"!stigat!. 5+r c!ntra th!sis (ay b! s+((!# +p as a
stat!(!nt o' th! n!c!ssity o' th! para#o-!s o' abstraction. It is not
(!r!y ba# nat+ra history to s+gg!st that p!op! (ight or sho+#
ob!y th! :h!ory o' @ogica :yp!s in th!ir co((+nicationsL th!ir
'ai+r! to #o this is not #+! to (!r! car!!ssn!ss or ignoranc!.
4ath!r, ,! b!i!"! that th! para#o-!s o' abstraction (+st (a*! th!ir
app!aranc! in a co((+nication (or! co(p!- than that o' (oo#C
signas, an# that ,itho+t th!s! para#o-!s th! !"o+tion o'
co((+nication ,o+# b! at an !n#. @i'! ,o+# th!n b! an !n#!ss
int!rchang! o' styi/!# (!ssag!s, a ga(! ,ith rigi# r+!s,
+nr!i!"!# by chang! or h+(or.
198
E2i#e(ioloy o5 a +'hi7o2h&enia
%
I' ,! ar! to #isc+ss th! !pi#!(ioogy o' (!nta con#itions, i.!.,
con#itions party in#+c!# by !-p!ri!nc!, o+r 'irst tas* is to pinpoint
a #!'!ct o' an i#!ationa syst!( s+''ici!nty so that ,! can go on
'ro( that pinpointing to post+at! ,hat sort o' cont!-ts o' !arning
(ight in#+c! this 'or(a #!'!ct.
It is con"!ntionay sai# that schi/ophr!nics ha"! 9!go
,!a*n!ss.9 I no, #!'in! !go ,!a*n!ss as tro+b! in i#!nti'ying an#
int!rpr!ting thos! signas ,hich sho+# t! th! in#i"i#+a ,hat sort
o' a (!ssag! a (!ssag! is, i.!., tro+b! ,ith th! signas o' th! sa(!
ogica typ! as th! signa 9:his is pay.9 7or !-a(p!, a pati!nt
co(!s into th! hospita canCt!!n an# th! gir b!hin# th! co+nt!r
says, 98hat can I #o 'or yo+D9 :h! pati!nt is in #o+bt as to ,hat
sort o' a (!ssag! this is;is it a (!ssag! abo+t #oing hi( inD Is it
an in#ication that sh! ,ants hi( to go to b!# ,ith h!rD 5r is it an
o''!r o' a c+p o' co''!!D E! h!ars th! (!ssag! an# #o!s not *no,
,hat sort or or#!r o' a (!ssag! it is. E! is +nab! to pic* +p th!
(or! abstract ab!s ,hich ,! ar! (ost o' +s ab! to +s!
con"!ntionay b+t ar! (ost o' +s +nab! to i#!nti'y in th! s!ns!
that ,! #onIt *no, ,hat to# +s ,hat sort o' a (!ssag! it ,as. It is
as i' ,! so(!Cho, (a*! a corr!ct g+!ss. 8! ar! act+ay .+it!
+nconscio+s o' r!c!i"ing th!s! (!ssag!s ,hich t! +s ,hat sorts
o' (!ssag! ,! r!c!i"!.
?i''ic+ty ,ith signas o' this sort s!!(s to b! th! c!nt!r o' a
syn#ro(! ,hich is charact!ristic 'or a gro+p o' schi/ophr!nics, so
th!r!'or! ,! can r!asonaby oo* 'or an !tioogy starting 'ro( this
sy(pto(atoogy as 'or(ay #!'in!#.
8h!n yo+ b!gin thin*ing in this ,ay, a gr!at #!a o' ,hat th!
schi/ophr!nic says 'as into pac! as a #!scription o' his
H
:his is an !#it!# "!rsion o' a ta*, 9Eo, th! ?!"iant &!!s Eis &oci!ty,9 gi"!n in
Aay, 1955, at a con'!r!nc! on 9:h! =pi#!(ioogy o' A!nta E!ath9 h!# at
0righton, %tah, sponsor!# by th! ?!part(!nts o' $sychiatry an# $sychoogy o' th!
%ni"!rsity o' %tah, an# th! G!t!rans A#(inistration Eospita, 7ort ?o+gas
?i"ision, o' &at @a*! City, %tah. A ro+gh transcript o' th! ta*s at this con'!r!nc!
,as (i(!ograph!# an# circ+at!# by th! organi/!rs.
199
!-p!ri!nc!. :hat is, ,! ha"! a s!con# !a# to,ar# th! th!ory o'
!tioogy or trans(ission. :h! 'irst !a# is 'ro( th! sy(pto(. 8!
as*, 9Eo, #o!s a h+(an in#i"i#+a ac.+ir! an i(p!r'!ct abiity to
#iscri(inat! th!s! sp!ci'ic signasD9 an# ,h!n ,! oo* at his
sp!!ch!s, ,! 'in# that, in that p!c+iar ang+ag! ,hich is
schi/ophr!nic saa#, h! is #!Cscribing a 6tra+(atic sit+ation ,hich
in"o"!s a (!taco((+nicati"! tang!.
A pati!nt, 'or !-a(p!, has a c!ntra notion
,
that 9so(!Cthing
(o"!# in spac!,9 an# that that is ,hy h! crac*!# +p. I so(!ho,,
'ro( th! ,ay h! spo*! abo+t 9spac!,
9
got an i#!a that spac! is his
(oth!r an# sai# so. E! sai#, 9)o, spac! is t*e (oth!r.9 I s+gg!st!#
to hi( that sh! (ight b! in so(! ,ay a ca+s! o' his tro+b!s. E!
sai#, 9I n!"!r con#!(n!# h!r.9 At a c!rtain point h! got angry, an#
h! sai#;this is "!rbati(;9I' ,! say sh! ha# (o"!(!nt in h!r
b!ca+s! o' ,hat sh! ca+s!#, ,! ar! ony con#!(ning o+rs!"!s.9
&o(!thing (o"!# in spac! that (a#! hi( crac* +p. &pac! is not
his (oth!r, it is t*e (oth!r. 0+t no, ,! 'oc+s +pon his (oth!r
,ho( h! says h! n!"!r con#!(n!#. An# h! no, says, 9I' ,! say
that sh! ha# (o"!(!nt in h!r b!ca+s! o' ,hat sh! ca+s!#, ,! ar!
ony con#!(ning o+rCs!"!s.9
@oo* "!ry car!'+y at th! ogica str+ct+r! o' that ast
.+otation. It is circ+ar. It i(pi!s a ,ay o' int!raction an# chronic
crossCp+rpos!s ,ith th! (oth!r s+ch that 'or th! chi# to (a*!
thos! (o"!s ,hich (ight straight!n o+t th! (is+n#!rstan#ing ,as
aso prohibit!#.
5n anoth!r occasion h! ha# s*ipp!# his th!rapy s!ssion in th!
(orning, an# I ,!nt o"!r to th! #ining ha at s+pp!r ti(! to s!!
hi( an# ass+r! hi( that h! ,o+# s!! (! n!-t #ay. E! r!'+s!# to
oo* at (!. E! oo*!# a,ay. I (a#! so(! r!(ar* abo+t 9.30 th!
n!-t (orning;no ans,!r. :h!n, ,ith gr!at #i''ic+ty, h! sai#,
9:h! J+#g! #isappro"!s.9 0!C'or! I !'t hi(, I sai#, 9Fo+ n!!# a
#!'!ns! attorn!y,9 an# ,h!n I 'o+n# hi( on th! gro+n#s n!-t
(orning I sai#, 9E!r! is yo+r #!'!ns! attorn!y,9 an# ,! ,!nt into
s!ssion tog!th!r. I start!# o+t by saying, 9A( I right in s+pposing
that th! J+#g! not ony #isappro"!s o' yo+r ta*ing to (! b+t aso
#isappro"!s o' yo+r t!ing (! that h! #isappro"!sD9 E! sai#,
9F!sO9 :hat is, ,! ar! #!aing ,ith t,o !"!s h!r!. :h! 9J+#g!9
#isappro"!s o' th! att!(pt to straight!n o+t th! con'+sions an#
200
#isappro"!s o' co((+nicating th! 'act o' his 2th! J+#g!Is3
#isappro"a.
8! ha"! to oo* 'or an !tioogy in"o"ing (+tip! !"!s o'
tra+(a.
I a( not ta*ing at a abo+t th! cont!nt o' th!s! tra+(atic
s!.+!nc!s, ,h!th!r th!y b! s!-+a, or ora. )or a( I ta*ing abo+t
th! ag! o' th! s+bJ!ct at th! ti(! o' tra+(a, nor abo+t ,hich par!nt
is in"o"!#. :hat is a !piso#ic as 'ar as II( conc!rn!#. II( ony
b+i#ing +p to,ar# th! stat!(!nt that th! tra+(a (+st ha"! ha#
'or(a str+ct+r! in th! s!ns! that (+tip! ogica typ!s ,!r!
pay!# against !ach oth!r to g!n!rat! this partic+ar pathoogy in
this in#i"i#+a.
)o,, i' yo+ oo* at o+r con"!ntiona co((+nication ,ith on!
anoth!r, ,hat yo+ 'in# is that ,! ,!a"! th!s! ogica typ!s ,ith
incr!#ib! co(p!-ity an# .+it! s+rprising 'aciity. 8! !"!n (a*!
Jo*!s, an# th!s! (ay b! #i''ic+t 'or a 'or!ign!r to +n#!rstan#.
Aost Jo*!s, both cann!# an# spontan!o+s, an# n!ary any,h!r!,
ar! ,!a"ings o' (+tip! ogica typ!s. <i##ing an# ha/ing
si(iary #!p!n# +pon th! +nr!so"!# .+!stion ,h!th!r th! *i#C!!
can i#!nti'y that this is *i##ing. In any c+t+r!, th! in#i"i#+as
ac.+ir! .+it! !-traor#inary s*i in han#ing not ony th! 'at
i#!nti'ication o' ,hat sort o' a (!ssag! a (!ssag! is b+t in #!aing
in (+tip! i#!nti'ications o' ,hat sort o' a (!ssag! a (!ssag! is.
8h!n ,! (!!t th!s! (+tip! i#!nti'ications ,! a+gh, an# ,!
(a*! n!, psychoogica #isco"!ri!s abo+t ,hat go!s on insi#!
o+rs!"!s, ,hich is p!rhaps th! r!,ar# o' r!a h+(or.
0+t th!r! ar! p!op! ,ho ha"! th! +t(ost #i''ic+ty ,ith this
prob!( o' (+tip! !"!s, an# it s!!(s to (! that this +n!.+a
#istrib+tion o' abiity is a ph!no(!non ,hich ,! can approach
,ith th! .+!stions an# t!r(s o' !pi#!(ioogy. 8hat is n!!#!# 'or a
chi# to ac.+ir!, or to not ac.+ir!, a s*i in th! ,ays o'
int!rpr!ting th!s! signasD
:h!r! is not ony th! (irac! that any o' th!( ac.+ir! th! s*is
;an# a ot o' th!( #o;th!r! is aso th! oth!r si#!, that a gr!at
(any p!op! ha"! #i''ic+ty. :h!r! ar! p!op!, 'or !-a(p!, ,ho,
,h!n 0ig &ist!r in th! soap op!ra s+''!rs 'ro( a co#, ,i s!n# a
bott! o' aspirin to th! ra#io station or r!co((!n# a c+r! 'or 0ig
&ist!rIs co#, in spit! o' th! 'act that 0ig &ist!r is a 'ictitio+s
201
charact!r ,ithin a ra#io soap op!ra. :h!s! partic+ar (!(b!rs o'
th! a+#i!nc! ar! appar!nty a itt! bit as*!, in th!ir i#!nti'ication
o' ,hat sort o' a co((+nication this is that is co(ing 'ro( th!ir
ra#io.
8! a (a*! !rrors o' that *in# at "ario+s ti(!s. II( not s+r!
that II"! !"!r (!t anybo#y that #o!snIt s+''!r 'ro( 9schi/ophr!nia
$9 (or! or !ss. 8! a ha"! so(! #i''ic+ty in #!ci#ing so(!ti(!s
,h!th!r a #r!a( ,as a #r!a( or not, an# it ,o+# not b! "!ry !asy
'or (ost o' +s to say *o' ,! *no, that a pi!c! o' o+r o,n 'antasy
is 'antasy an# not !-p!ri!nc!. :h! abiity to pac! an !-p!ri!nc! in
ti(! is on! o' th! i(portant c+!s, an# r!'!rring it to a s!ns! organ
is anoth!r.
8h!n yo+ oo* at th! (oth!rs an# 'ath!rs o' pati!nts 'or an
ans,!r to this !tioogica .+!stion, yo+ (!!t ,ith s!"!ra sorts o'
ans,!rs.
7irst o' a th!r! ar! ans,!rs conn!ct!# ,ith ,hat ,! (ay ca
th! int!nsi'ying 'actors. Any #is!as! is (a#! ,ors! or (or!
probab! by "ario+s circ+(stanc!s, s+ch as 'atig+!, co#, th!
n+(b!r o' #ays o' co(bat, th! pr!s!nc! o' oth!r #is!as!s, !tc.
:h!s! s!!( to ha"! a .+antitati"! !''!ct +pon th! inci#!nc! o'
a(ost any pathoogy. :h!n th!r! ar! thos! 'actors ,hich I
(!ntion!#;th! h!r!#itary charact!ristics an# pot!ntiaiti!s. :o g!t
con'+s!# abo+t th! ogica typ!s, on! pr!s+(aby has to b!
int!ig!nt !no+gh to *no, that th!r! is so(!thing ,rong, an# not
so int!ig!nt as to b! ab! to see ,hat it is that is ,rong. I pr!s+(!
that th!s! charact!ristics ar! h!r!#itariy #!t!r(in!#.
0+t th! n+b o' th! prob!(, it s!!(s to (!, is to i#!nti'y ,hat
r!a circ+(stanc!s !a# to th! sp!ci'ic pathoogy. I ac*no,!#g! that
th! bact!ria ar! not r!ay by any (!ans th! so! #!t!r(inant o' a
bact!ria #is!as!, an# grant aso th!r!'or! that th! occ+rr!nc! o'
s+ch tra+(atic s!.+!nc!s or cont!-ts is not by any (!ans th! so!
#!t!r(inant o' (!nta in!ss. 0+t sti it s!!(s to (! that th!
i#!nti'ication o' thos! cont!-ts is th! n+b o' +n#!rstan#ing th!
#is!as!, as i#!nti'ying th! bact!ria is !ss!ntia to +n#!rstan#ing a
bact!ria #is!as!.
I ha"! (!t th! (oth!r o' th! pati!nt ,ho( I (!ntion!# !ari!r.
:h! 'a(iy is not ba#y o''. :h!y i"! in a nic! tract ho+s!. I ,!nt
th!r! ,ith th! pati!nt, an# ,h!n ,! arri"!# nobo#y ,as ho(!. :h!
202
n!,spap!r boy ha# toss!# th! !"!ning pap!r o+t in th! (i##! o'
th! a,n, an# (y pati!nt ,ant!# to g!t that pap!r 'ro( th! (i##!
o' that p!r'!ct a,n. E! ca(! to th! !#g! o' th! a,n an# start!# to
tr!(b!.
:h! ho+s! oo*s i*! ,hat is ca!# a 9(o#!9 ho(!;a ho+s!
,hich has b!!n '+rnish!# by th! r!a !stat! p!op! in or#!r to s!
oth!r ho+s!s to th! p+bic. )ot a ho+s! '+rnish!# to i"! in, b+t
rath!r '+rnish!# to oo* i*! a '+rnish!# house.
I #isc+ss!# his (oth!r ,ith hi( on! #ay, an# s+gg!st!# that
p!rhaps sh! ,as a rath!r 'right!n!# p!rson. E! sai#, 9F!s.9 I sai#,
98hat is sh! 'right!n!# o'D
9
E! sai#, 9:h! app!ari!ntia
s!c+riti!s.9
:h!r! is a b!a+ti'+, p!r'!cty c!nt!r!# (ass o' arti'icia, pastic
"!g!tation on th! (i##! o' th! (ant!. A china ph!asant h!r! an#
a china ph!asant th!r!, sy((!tricay arrang!#. :h! ,aCtoC,a
carp!t is !-acty as it sho+# b!.
A't!r his (oth!r arri"!#, I '!t a itt! +nco('ortab!, intr+#ing in
this ho+s!. E! ha# not "isit!# th!r! 'or abo+t 'i"! y!ars, b+t things
s!!(!# to b! going a right, so I #!ci#!# to !a"! hi( th!r! an# to
co(! bac* ,h!n it ,as ti(! to go bac* to th! hospita. :hat ga"!
(! an ho+r in th! str!!ts ,ith abso+t!y nothing to #o, an# I b!gan
to thin* ,hat I ,o+# i*! to #o to this s!t+p. 8hat an# ho, co+# I
co((+nicat!D I #!ci#!# that I ,o+# i*! to p+t into it so(!thing
that ,as both b!a+ti'+ an# +nti#y. In trying to i(p!(!nt that
#!cision, I #!ci#!# that 'o,!rs ,!r! th! ans,!r, so I bo+ght so(!
ga#io+s!s. I too* th! ga#io+s!s, an#, ,h!n I ,!nt to g!t hi(, I
pr!s!nt!# th!( to th! (oth!r ,ith a sp!!ch that I ,ant!# h!r to ha"!
in h!r ho+s! so(!thing that ,as 9both b!a+ti'+ an# +nti#y.9 95h9
sh! sai#, 9:hos! ar! not +nti#y 'o,!rs. As !ach on! ,ith!rs, yo+
can snip it o''.9
)o,, as I s!! it, ,hat is int!r!sting is not so (+ch th! castrati"!
stat!(!nt in that sp!!ch, b+t th! p+tting (! in th! position o'
ha"ing apoogi/!# ,h!n in 'act I ha# not. :hat is, sh! too* (y
(!ssag! an# r!cassi'i!# it. &h! chang!# th! ab! ,hich in#icat!#
,hat sort o' a (!ssag! it ,as, an# that is, I b!i!"!, ,hat sh! #o!s
a th! ti(!. An !n#!ss ta*ing o' th! oth!r p!rsonIs (!ssag! an#
r!pying to it as i' it ,!r! !ith!r a stat!(!nt o' ,!a*n!ss on th!
203
part o' th! sp!a*!r or an attac* on h!r ,hich sho+# b! t+rn!# into
a ,!a*n!ss on th! part o' th! sp!a*!rL an# so on.
8hat th! pati!nt is +p against to#ay;an# ,as +p against in
chi#hoo#;is th! 'as! int!rpr!tation o' his (!ssag!s. I' h! says,
9:h! cat is on th! tab!,9 sh! r!pi!s ,ith so(! r!py ,hich (a*!s
o+t that his (!ssag! is not th! sort o' (!ssag! that h! tho+ght it
,as ,h!n h! ga"! it. Eis o,n (!ssag! i#!nti'i!r is obsc+r!# or
#istort!# by h!r ,h!n th! (!ssag! co(!s bac*. An# h!r o,n
(!ssag! i#!nti'i!r sh! contin+ay contra#icts. &h! a+ghs ,h!n
sh! is saying that ,hich is !ast '+nny to h!r, an# so on.
)o, th!r! is a r!g+ar (at!rna #o(inanc! pict+r! in this
'a(iy, b+t I a( not conc!rn!# at th! (o(!nt to say that this is th!
n!c!ssary 'or( o' th! tra+(a. I a( ony conc!rn!# ,ith th! p+r!y
'or(a asp!cts o' this tra+(atic const!ationL an# I pr!s+(! th!
const!ation co+# b! (a#! +p ,ith 'ath!r ta*ing c!rtain parts o'
it, (oth!r ta*ing c!rtain oth!r parts o' it, an# so 'orth.
I a( trying to (a*! ony on! point6 that th!r! is h!r! a
probabiity o' tra+(a ,hich ,i contain c!rtain 'or(a charC
act!ristics. It ,i propagat! a sp!ci'ic syn#ro(! in th! pati!nt
b!ca+s! th! tra+(a its!' has i(pact +pon a c!rtain !!(!nt in th!
co((+nicationa proc!ss. :hat ,hich is atCtac*!# is th! +s! o'
,hat I ha"! ca!# th! 9(!ssag!Ci#!nti'ying signas9;thos!
signas ,itho+t ,hich th! 9!go9 #ar! not #iscri(inat! 'act 'ro(
'antasy or th! it!ra 'ro( th! (!taphoric.
8hat I tri!# to #o ,as pinpoint a gro+p o' syn#ro(ata, na(!y
thos! syn#ro(ata r!at!# to an inabiity to *no, ,hat sort o' a
(!ssag! a (!ssag! is. At on! !n# o' th! cassi'ication o' thos!,
th!r! ,i b! (or! or !ss h!b!phr!nic in#i"i#+as 'or ,ho( no
(!ssag! is o' any partic+ar #!'init! typ! b+t ,ho i"! in a sort o'
chronic shaggyC#og story. At th! oth!r !n# ar! thos! ,ho try to
o"!ri#!nti'y, to (a*! an o"!ry rigi# i#!nti'ication o' ,hat sort o'
a (!ssag! !"!ry (!ssag! is. :his ,i gi"! a (+ch (or! paranoi#
typ! o' pict+r!. 8ith#ra,a is anoth!r possibiity.
7inay, it s!!(s to (! that ,ith a hypoth!sis o' this *in#, on!
co+# oo* 'or th! #!t!r(inants in a pop+ation ,hich (ight !a#
to th! occ+rr!nc! o' that sort o' const!ation. :his ,o+# s!!( to
(! an appropriat! (att!r 'or !pi#!(ioogica st+#y.
204
To-a&# a Theo&y o5 +'hi7o2h&enia
%
&chi/ophr!nia;its nat+r!, !tioogy, an# th! *in# o' th!rapy to
+s! 'or it;r!(ains on! o' th! (ost p+//ing o' th! (!nta in!ss!s.
:h! th!ory o' schi/ophr!nia pr!s!nt!# h!r! is bas!# on
co((+nications anaysis, an# sp!ci'icay on th! :h!ory o' @ogica
:yp!s. 7ro( this th!ory an# 'ro( obs!r"ations o' schi/ophr!nic
pati!nts is #!ri"!# a #!scription, an# th! n!c!ssary con#itions 'or, a
sit+ation ca!# th! 9#o+b! bin#9;a sit+ation in ,hich no (att!r
,hat a p!rson #o!s, h! 9canIt ,in.9 It is hypoth!si/!# that a p!rson
ca+ght in th! #o+b! bin# (ay #!"!op schi/ophr!nic sy(pto(s.
Eo, an# ,hy th! #o+b! bin# (ay aris! in a 'a(iy sit+ation is #isC
c+ss!#, tog!th!r ,ith i+strations 'ro( cinica an# !-p!ri(!nta
#ata.
:his is a r!port
24
on a r!s!arch proJ!ct ,hich has b!!n
'or(+ating an# t!sting a broa#, syst!(atic "i!, o' th! nat+r!,
!tioogy, an# th!rapy o' schi/ophr!nia. 5+r r!s!arch in this 'i!#
has proc!!#!# by #isc+ssion o' a "ari!# bo#y o' #ata an#
i#!as, ,ith a o' +s contrib+ting accor#ing to o+r "ari!#
!-p!ri!nc! in anthropoogy, co((+nications anaysis,
psychoth!rapy, psychiatry, an# psychoanaysis. 8! ha"! no,
H
:his pap!r by 1r!gory 0at!son, ?on ?. Jac*son, Jay Ea!y, an#. John E.
8!a*an# is h!r! r!pro#+c!# 'ro( <e*a&ioral Science, Go. I, ;o. 4, 1956, by
p!r(ission o' <e*a&ioral Science
24
:his pap!r #!ri"!s 'ro( hypoth!s!s 'irst #!"!op!# in a r!s!arch proJ!ct
'inanc!# by th! 4oc*'!!r 7o+n#ation 'ro( 1952C54, a#(inist!r!# by th!
?!part(!nt o' &ocioogy an# Anthropoogy at &tan'or# %ni"!rsity an# #ir!ct!# by
1r!gory 0at!son. &inc! 1954 th! proJ!ct has 'inanc!# by th! Josiah Aacy, Jr.
7o+n#ation. :o Jay Ea!y is #+! cr!#it 'or r!cogni/ing that th! sy(pto(s o'
schi/ophr!nia ar! s+gg!sti"! o' an inabiity to #iscri(inat! th! @ogica
:yp!s, an# this ,as a(pi'i!# by 0at!son, ,ho a##!# th! notion that th!
sy(pto(s an# !tioogy co+# b! 'or(ay #!scrib!# in t!r(s o' a #o+b! bin#
hypoth!sis. :h! hypoth!sis ,as co((+nicat!# to ?. ?. Jac*son an# 'o+n# to 'it
cos!y ,ith his i#!as o' 'a(iy ho(!ostasis. &inc! th!n ?r. Jac*son has
,or*!# cos!y ,ith th! proJ!ct. :h! st+#y o' th! 'or(a anaogi!s b!t,!!n
hypnosis an# schi/ophr!nia has b!!n th! ,or* o' John E. 8!a*an# an# Jay
Ea!y.
205
r!ach!# co((on agr!!(!nt on th! broa# o+tin!s o' a
co((+nicationa th!ory o' th! origin an# nat+r! o'
schi/ophr!niaL this pap!r is a pr!i(inary r!port on o+r conC
tin+ing r!s!arch.
The Base in Co##!nications Theory
5+r approach is bas!# on that part o' co((+nications th!ory
,hich 4+ss! has ca!# th! :h!ory o' @ogica :yp!s.
25
:h! c!ntra
th!sis o' this th!ory is that th!r! is a #iscontin+ity b!t,!!n a cass
an# its (!(b!rs. :h! cass cannot b! a (!(b!r o' its!' nor can on!
o' th! (!(b!rs -e th! cass, sinc! th! t!r( +s!# 'or th! cass is o' a
different le&el of a-straction7a #i''!r!nt @ogica :yp!;'ro(
t!r(s +s!# 'or (!(b!rs. Atho+gh in 'or(a ogic th!r! is an atC
t!(pt to (aintain this #iscontin+ity b!t,!!n a cass an# its
(!(b!rs, ,! arg+! that in th! psychoogy o' r!a co((+nications
this #iscontin+ity is contin+ay an# in!"itaby br!ach!#,
26
an# that a
priori ,! (+st !-p!ct a pathoogy to occ+r in th! h+(an organis(
,h!n c!rtain 'or(a patCt!rns o' th! br!aching occ+r in th!
co((+nication b!t,!!n (oth!r an# chi#. 8! sha arg+! that this
pathoogy at its !-tr!(! ,i ha"! sy(pto(s ,hos! 'or(a
charact!ristics ,o+# !a# th! pathoogy to b! cassi'i!# as a
schi/ophr!nia.
I+strations o' ho, h+(an b!ings han#! co((+nication
in"o"ing (+tip! @ogica :yp!s can b! #!ri"!# 'ro( th! 'oo,ing
'i!#s6
1. !*e use of &arious communicational modes in *uman
communication. =-a(p!s ar! pay, nonpay, 'antasy, sacra(!nt,
(!taphor, !tc. ="!n a(ong th! o,!r (a((as th!r! app!ars to b!
an !-chang! o' signas ,hich i#!nti'y c!rtain (!aning'+ b!ha"ior
as 9pay,9 !tc.
27
:h!s! signas ar! !"i#!nty o' high!r @ogica :yp!
than th! (!ssag!s th!y cassi'y. A(ong h+(an b!ings this 'ra(ing
25
A. ). 8hit!h!a# an# 0. 4+ss!, 6rincipia ,at*ematica, Ca(bri#g!,
Ca(bri#g! %ni"!rsity $r!ss, 1910.
26
1. 0at!son, 9A :h!ory o' $ay an# 7antasy,9 6syc*iatric $esearc* $eports,
1955, ># 39C51.
206
an# ab!ing o' (!ssag!s an# (!aning'+ actions r!ach!s
consi#!rab! co(p!-ity, ,ith th! p!c+iarity that o+r "ocab+ary 'or
s+ch #iscri(ination is sti "!ry poory #!"!op!#, an# ,! r!y
pr!pon#!ranty +pon non"!rba (!#ia o' post+r!, g!st+r!, 'acia !-C
pr!ssion, intonation, an# th! cont!-t 'or th! co((+nication o' th!s!
highy abstract, b+t "itay i(portant, ab!s.
>. 1umor. :his s!!(s to b! a (!tho# o' !-poring th! i(picit
th!(!s in tho+ght or in a r!ationship. :h! (!tho# o' !-poration
in"o"!s th! +s! o' (!ssag!s ,hich ar! charact!ri/!# by a
con#!nsation o' @ogica :yp!s or co((+nicationa (o#!s. A
#isco"!ry, 'or !-a(p!, occ+rs ,h!n it s+##!ny b!co(!s pain that
a (!ssag! ,as not ony (!taphoric b+t aso (or! it!ra, or "ic!
"!rsa. :hat is to say, th! !-posi"! (o(!nt in h+(or is th! (o(!nt
,h!n th! ab!ing o' th! (o#! +n#!rgo!s a #isso+tion an#
r!synth!sis. Co((ony, th! p+nch in! co(p!s a r!C!"a+ation o'
!ari!r signas ,hich ascrib!# to c!rtain (!ssag!s a partic+ar (o#!
2!.g., it!ran!ss or 'antasy3. :his has th! p!c+iar !''!ct o'
attrib+ting mode to thos! signas ,hich ha# pr!"io+sy th! stat+s o'
that high!r @ogica :yp! ,hich cassi'i!s th! (o#!s.
?. !*e falsification of mode%identifying signals. A(ong h+(an
b!ings (o#! i#!nti'i!rs can b! 'asi'i!#, an# ,! ha"! th! arti'icia
a+gh, th! (anip+ati"! si(+ation o' 'ri!n#in!ss, th! con'i#!nc!
tric*, *i##ing, an# th! i*!. &i(iar 'asi'ications ha"! b!!n r!cor#!#
a(ong (a((as.
28
A(ong h+(an b!ings ,! (!!t ,ith a strang!
ph!no(!non;th! +nconscio+s 'asi'ication o' th!s! signas. :his
(ay occ+r ,ithin th! s!';th! s+bJ!ct (ay conc!a 'ro( hi(s!'
his o,n r!a hostiity +n#!r th! g+is! o' (!taphoric pay;or it (ay
occ+r as an +nconscio+s 'asi'ication o' th! s+bJ!ctIs +n#!rstan#ing
o' th! oth!r p!rsonIs (o#!Ci#!nti'ying signas. E! (ay (ista*!
shyn!ss 'or cont!(pt, !tc. In#!!# (ost o' th! !rrors o' s!'Cr!'!r!nc!
'a +n#!r this h!a#.
4. /earning. :h! si(p!st !"! o' this ph!no(!non is
!-!(pi'i!# by a sit+ation in ,hich a s+bJ!ct r!c!i"!s a (!ssag! an#
27
A 'i( pr!par!# by this proJ!ct, 9:h! )at+r! o' $ayL $art I, 4i"!r 5tt!rs,9 is
a"aiab!.
28
C. 4. Carp!nt!r, 9A 7i!# &t+#y o' th! 0!ha"ior an# &ocia 4!ations o'
Eo,ing Aon*!ys,
9
"omp. 6syc*ol. ,onogr., 1934, 1C# 1Y168L aso <. M. @or!n/,
Bing SolomonDs $ing, )!, For*, Cro,!, 195>.
207
acts appropriat!y on it6 9I h!ar# th! coc* stri*! an# *n!, it ,as
ti(! 'or +nch. &o I ,!nt to th! tab!.9 In !arning !-p!ri(!nts th!
anaog+! o' this s!.+!nc! o' !"!nts is obs!r"!# by th! !-p!ri(!nt!r
an# co((ony tr!at!# as a sing! (!ssag! o' a high!r typ!. 8h!n
th! #og sai"at!s b!t,!!n b+//!r an# (!at po,#!r, this s!.+!nc! is
acc!pt!# by th! !-p!ri(!nt!r as a (!ssag! in#icating that 9:h! #og
has learned that b+//!r (!ans (!at po,#!r.9 0+t this is not th! !n#
o' th! hi!rarchy o' typ!s in"o"!#. :h! !-p!ri(!nta s+bJ!ct (ay
b!co(! (or! s*i!# in !arning. E! (ay learn to learn,
>9
an# it is
not inconc!i"ab! that sti high!r or#!rs o' !arning (ay occ+r in
h+(an b!ings.
5. ,ultiple le&els of learning and t*e /ogical !yping of signas.
:h!s! ar! t,o ins!parab! s!ts o' ph!no(!na;ins!parab! b!ca+s!
th! abiity to han#! th! (+tip! typ!s o' signas is its!' a learned
s*i an# th!r!'or! a '+nction o' th! (+tip! !"!s o' !arning.
Accor#ing to o+r hypoth!sis, th! t!r( 9!go '+nction9 2as this
t!r( is +s!# ,h!n a schi/ophr!nic is #!scrib!# as ha"ing 9,!a* !go
'+nction93 is pr!cis!y t*e process of discriminating
communicational modes eit*er 'it*in t*e self or -et'een t*e
self and ot*ers. :h! schi/ophr!nic !-hibits ,!a*n!ss in thr!! ar!as
o' s+ch '+nction6 2a3 E! has #i''ic+ty in assigning th! corr!ct
co((+nicationa (o#! to th! (!ssag!s h! r!c!i"!s 'ro( oth!r
p!rsons. +-4 E! has #i''ic+ty in assigning th! corr!ct
co((+nicationa (o#! to thos! (!ssag!s ,hich h! hi(s!' +tt!rs or
!(its non"!rbay. 2c3 E! has #i''ic+ty in assigning th! corr!ct
co((+nicationa (o#! to his o,n tho+ghts, s!nsations, an#
p!rc!pts.
At this point it is appropriat! to co(par! ,hat ,as sai# in th!
pr!"io+s paragraph ,ith "on ?o(ar+sI
7
approach to th! syst!(atic
#!scription o' schi/ophr!nic +tt!ranc!. E! s+gg!sts that th!
(!ssag!s 2an# tho+ght3 o' th! schi/ophr!nic ar! #!"iant in
syogistic str+ct+r!. In pac! o' str+ct+r!s ,hich #!ri"! 'ro( th!
syogis(, 0arbara, th! schi/ophr!nic, accor#ing to this th!ory, +s!s
29
1. 0at!son, 9&ocia $anning an# th! Conc!pt o' ?!+t!roC@!arning,9
"onference on Science, 6*ilosop*y and $eligion, Second Symposium, )!, For*,
Earp!r, 1942. 2&!! abo"!, p. 1594 0 aso E. 7. Earo,, 9:h! 7or(ation o' @!arning
&!ts,9 6syc*ol. $e&ie', 1949, 5G# 51Y65L aso C. @. E+, et al., ,at*ematico%
deducti&e !*eory of $ote /earning, )!, Ea"!n, Fa! %ni"!rsity $r!ss, 1940.
208
str+ct+r!s ,hich i#!nti'y pr!#icat!s. An !-a(p! o' s+ch a #istort!#
syogis( is6
A!n #i!.
1rass #i!s.
A!n ar! grass.
0+t as ,! s!! it, "on ?o(ar+s
30
'or(+ation is ony a (or!
pr!cis!;an# th!r!'or! "a+ab!;,ay o' saying that schi/ophr!nic
+tt!ranc! is rich in (!taphor. 8ith that g!n!rai/ation ,! agr!!. 0+t
(!taphor is an in#isp!nsab! too o' tho+ght an# !-pr!ssion;a
charact!ristic o' a h+(an co((+nication, !"!n o' that o' th!
sci!ntist. :h! conc!pt+a (o#!s o' cyb!rn!tics an# th! !n!rgy
th!ori!s o' psychoCanaysis ar!, a't!r a, ony ab!!# (!taphors.
:h! p!c+iarity o' th! schi/ophr!nic is not that h! +s!s (!taphors,
b+t that h! +s!s unla-eled (!taphors. E! has sp!cia #i''ic+ty in
han#ing signas o' that cass ,hos! (!(b!rs assign @ogica :yp!s
to oth!r signas.
I' o+r 'or(a s+((ary o' th! sy(pto(atoogy is corr!ct an# i'
th! schi/ophr!nia o' o+r hypoth!sis is !ss!ntiay a r!s+t o' 'a(iy
int!raction, it sho+# b! possib! to arri"! a priori at a 'or(a
#!scription o' th!s! s!.+!nc!s o' !-p!ri!nc! ,hich ,o+# in#+c!
s+ch a sy(pto(atoogy. 8hat is *no,n o' !arning th!ory co(bin!s
,ith th! !"i#!nt 'act that h+(an b!ings +s! conte.t as a g+i#! 'or
(o#! #iscri(ination. :h!r!'or!, ,! (+st oo* not 'or so(! sp!ci'ic
tra+(atic !-p!ri!nc! in th! in'anti! !tioogy b+t rath!r 'or
charact!ristic s!.+!ntia patt!rns. :h! sp!ci'icity 'or ,hich ,!
s!arch is to b! at an abstract or 'or(a !"!. :h! s!.+!nc!s (+st
ha"! this charact!ristic6 that 'ro( th!( th! pati!nt ,i ac.+ir! th!
(!nta habits ,hich ar! !-!(pi'i!# in schi/ophr!nic
co((+nication. :hat is to say, *e must li&e in a uni&erse '*ere t*e
se5uences of e&ents are suc* t*at *is uncon&entional
communicational *a-its 'ill -e in some sense appropriate. :h!
hypoth!sis ,hich ,! o''!r is that s!.+!nc!s o' this *in# in th!
!-t!rna !-p!ri!nc! o' th! pati!nt ar! r!sponsib! 'or th! inn!r
30
=. "on ?o(ar+s, 9:h! &p!ci'ic @a,s o' @ogic in &chi/ophr!nia,9 /anguage
and hought in S!hi"ophrenia, J. &. <asanin, !#., 0!r*!!y, %ni"!rsity o'
Cai'ornia $r!ss, 1944.
209
con'icts o' @ogica :yping. 7or s+ch +nr!so"ab! s!.+!nc!s o'
!-p!ri!nc!s, ,! +s! th! t!r( 9#o+b! bin#.9
The Do!$le Bind
:h! n!c!ssary ingr!#i!nts 'or a #o+b! bin# sit+ation, as ,! s!!
it, ar!6
1. !'o or more persons. 5' th!s!, ,! #!signat! on!, 'or
p+rpos!s o' o+r #!'inition, as th! 9"icti(.9
.
8! #o not ass+(! that
th! #o+b! bin# is in'ict!# by th! (oth!r aon!, b+t that it (ay b!
#on! !ith!r by (oth!r aon! or by so(! co(bination o' (oth!r,
'ath!r, an#Kor sibings.
>. $epeated e.perience. 8! ass+(! that th! #o+b! bin# is a
r!c+rr!nt th!(! in th! !-p!ri!nc! o' th! "icti(. 5+r hypoth!sis #o!s
not in"o*! a sing! tra+(atic !-p!ri!nc!, b+t s+ch r!p!at!#
!-p!ri!nc! that th! #o+b! bin# str+ct+r! co(!s to b! an habit+a
!-p!ctation.
3. A primary negati&e in=unction. :his (ay ha"! !ith!r o' t,o
'or(s6 2a3 9?o not #o so an# so, or I ,i p+nish yo+,9 or 2b3 9I' yo+
#o not #o so an# so, I ,i p+nish yo+.
9
E!r! ,! s!!ct a cont!-t o'
!arning bas!# on a"oi#anc! o' p+nish(!nt rath!r than a cont!-t o'
r!,ar# s!!*ing. :h!r! is p!rhaps no 'or(a r!ason 'or this s!!ction.
8! ass+(! that th! p+nish(!nt (ay b! !ith!r th! ,ith#ra,a o'
o"! or th! !-pr!ssion o' hat! or ang!r;or (ost #!"astating;th!
*in# o' aban#on(!nt that r!s+ts 'ro( th! par!ntIs !-pr!ssion o'
!-tr!(! h!p!ssn!ss.
31
4. A s!con#ary inJ+nction con'icting ,ith th! 'irst at a(or!
abstract !"!, an# i*! th! 'irst !n'orc!# by p+nish(!nts or signas
,hich thr!at!n s+r"i"a. :his s!con#ary inJ+nction is (or! #i''ic+t
to #!scrib! than th! pri(ary 'or t,o r!asons. 7irst, th! s!con#ary
inJ+nction is co((ony co((+nicat!# to th! chi# by non"!rba
(!ans. $ost+r!, g!st+r!, ton! o' "oic!, (!aning'+ action, an# th!
i(pications conc!a!# in "!rba co((!nt (ay a b! +s!# to
31
5+r conc!pt o' p+nish(!nt is b!ing r!'in!# at pr!s!nt. It app!ars to +s to
in"o"! p!rc!pt+a !-p!ri!nc! in a ,ay that cannot b! !nco(pass!# by th! notion o'
9tra+(a.9
210
con"!y this (or! abstract (!ssag!. &!con#, th! s!con#ary inJ+ncC
tion (ay i(ping! +pon any !!(!nt o' th! pri(ary prohibition.
G!rbai/ation o' th! s!con#ary inJ+nction (ay, th!r!C'or!, inc+#! a
,i#! "ari!ty o' 'or(sL 'or !-a(p!, 9?o not s!! this as p+nish(!nt9L
9?o not s!! (! as th! p+nishing ag!nt9L 9?o not s+b(it to (y
prohibitions9L 9?o not thin* o' ,hat yo+ (+st not #o9L 9?o not
.+!stion (y o"! o' ,hich th! pri(ary prohibition is 2or is not3 an
!-a(p!9L an# so on. 5th!r !-a(p!s b!co(! possib! ,h!n th!
#o+b! bin# is in'ict!# not by on! in#i"i#+a b+t by t,o. 7or !-C
a(p!, on! par!nt (ay n!gat! at a (or! abstract !"! th!
inJ+nctions o' th! oth!r.
5. A tertiary negati&e in=unction pro*i-iting t*e &ictim from
escaping from t*e field. In a 'or(a s!ns! it is p!rhaps +nn!c!ssary
to ist this inJ+nction as a s!parat! it!( sinc! th! r!in'orc!(!nt at
th! oth!r t,o !"!s in"o"!s a thr!at to s+r"i"a, an# i' th! #o+b!
bin#s ar! i(pos!# #+ring in'ancy, !scap! is nat+ray i(possib!.
Eo,!"!r, it s!!(s that in so(! cas!s th! !scap! 'ro( th! 'i!# is
(a#! i(possib! by c!rtain #!"ic!s ,hich ar! not p+r!y n!gati"!,
!.g., capricio+s pro(is!s o' o"!, an# th! i*!.
6. 7inay, th! co(p!t! s!t o' ingr!#i!nts is no ong!r n!c!ssary
,h!n th! "icti( has !arn!# to p!rc!i"! his +ni"!rs! in #o+b! bin#
patt!rns. A(ost any part o' a #o+b! bin# s!.+!nc! (ay th!n b!
s+''ici!nt to pr!cipitat! panic or rag!.
:h! patt!rn o' con'icting inJ+nctions (ay !"!n b! ta*!n o"!r by
ha+cinatory "oic!s.
32
The Effect of the Do!$le Bind
In th! =ast!rn r!igion, M!n 0+##his(, th! goa is to achi!"!
!night!n(!nt. :h! M!n (ast!r att!(pts to bring abo+t
32
J. $!rc!"a, A )arrati"! o' th! :r!at(!nt =-p!ri!nc!# by a 1!nt!(an ?+ring
a &tat! o' A!nta ?!rang!(!nt, ?!sign!# to =-pain th! Ca+s!s an# )at+r! o'
Insanity, !tc., @on#on, =''ingha( 8ison, 1836 an# 1840. 2&!! bibiographic it!(,
1961 a.3
211
!night!n(!nt in his p+pi in "ario+s ,ays. 5n! o' th! things h!
#o!s is to ho# a stic* o"!r th! p+piIs h!a# an# say 'i!rc!y, 9I' yo+
say this stic* is r!a, I ,i stri*! yo+ ,ith it. I' yo+ say this stic* is
not r!a, I ,i stri*! yo+ ,ith it. I' yo+ #onIt say anything, I ,i
stri*! yo+ ,ith it.9 8! '!! that th! schi/ophr!nic 'in#s hi(s!'
contin+ay in th! sa(! sit+ation as th! p+pi, b+t h! achi!"!s
so(!thing i*! #isori!ntation rath!r than !night!n(!nt. :h! M!n
p+pi (ight r!ach +p an# ta*! th! stic* a,ay 'ro( th! (ast!r;,ho
(ight acc!pt this r!spons!, b+t th! schi/ophr!nic has no s+ch choic!
sinc! ,ith hi( th!r! is no not caring abo+t th! r!ationship, an# his
(oth!rIs ai(s an# a,ar!n!ss ar! not i*! th! (ast!rIs.
8! hypoth!si/! that th!r! ,i b! a br!a*#o,n in any
in#i"i#+aIs abiity to #iscri(inat! b!t,!!n @ogica :yp!s ,h!n!"!r
a #o+b! bin# sit+ation occ+rs. :h! g!n!ra charact!ristics o' this
sit+ation ar! th! 'oo,ing6
2A3 8h!n th! in#i"i#+a is in"o"!# in an int!ns! r!ationshipL
that is, a r!ationship in ,hich h! '!!s it is "itay i(portant that h!
#iscri(inat! acc+rat!y ,hat sort o' (!ssag! is b!ing co((+nicat!#
so that h! (ay r!spon# appropriat!y.
203 An#, th! in#i"i#+a is ca+ght in a sit+ation in ,hich th! oth!r
p!rson in th! r!ationship is !-pr!ssing t,o or#!rs o' (!ssag! an#
on! o' th!s! #!ni!s th! oth!r.
2C3 An#, th! in#i"i#+a is +nab! to co((!nt on th! (!ssag!s
b!ing !-pr!ss!# to corr!ct his #iscri(ination o' ,hat or#!r o'
(!ssag! to r!spon# to, i.!., *e cannot (a*! a (!taco((+nicati"!
stat!(!nt.
8! ha"! s+gg!st!# that this is th! sort o' sit+ation ,hich occ+rs
b!t,!!n th! pr!schi/ophr!nic an# his (oth!r, b+t it aso occ+rs in
nor(a r!ationships. 8h!n a p!rson is ca+ght in a #o+b! bin#
sit+ation, h! ,i r!spon# #!'!nsi"!y in a (ann!r si(iar to th!
schi/ophr!nic. An in#i"i#+a ,i ta*! a (!taphorica stat!(!nt
it!ray ,h!n h! is in a sit+ation ,h!r! h! (+st r!spon#, ,h!r! h!
is 'ac!# ,ith contra#ictory (!ssag!s, an# ,h!n h! is +nab! to
co((!nt on th! contra#ictions. 7or !-a(p!, on! #ay an !(poy!!
,!nt ho(! #+ring o''ic! ho+rs. A '!o, !(poy!! ca!# hi( at his
ho(!, an# sai# ighty, 98!, ho, #i# yo+ g!t t*ereH9 :h!
!(poy!! r!pi!#, 90y a+to(obi!.9 E! r!spon#!# it!ray b!ca+s!
h! ,as 'ac!# ,ith a (!ssag! ,hich as*!# hi( ,hat h! ,as #oing at
212
ho(! ,h!n h! sho+# ha"! b!!n at th! o''ic!, b+t ,hich #!ni!# that
this .+!stion ,as b!ing as*!# by th! ,ay it ,as phras!#. 2&inc! th!
sp!a*!r '!t it ,asnIt r!ay his b+sin!ss, h! spo*! (!taphoricay.3
:h! r!ationship ,as int!ns! !no+gh so that th! "icti( ,as in #o+bt
ho, th! in'or(ation ,o+# b! +s!#, an# h! th!r!'or! r!spon#!#
it!ray. :his is charact!ristic o' anyon! ,ho '!!s 9on th! spot,9 as
#!(onstrat!# by th! car!'+ it!ra r!pi!s o' a ,itn!ss on th! stan#
in a co+rt tria. :h! schi/ophr!nic '!!s so t!rriby on th! spot at a
ti(!s that h! habit+ay r!spon#s ,ith a #!'!nsi"! insist!nc! on th!
it!ra !"! ,h!n it is .+it! inappropriat!, !.g., ,h!n so(!on! is
Jo*ing.
&chi/ophr!nics aso con'+s! th! it!ra an# (!taphoric in th!ir
o,n +tt!ranc! ,h!n th!y '!! th!(s!"!s ca+ght in a #o+b! bin#.
7or !-a(p!, a pati!nt (ay ,ish to critici/! his th!rapist 'or b!ing
at! 'or an appoint(!nt, b+t h! (ay b! +ns+r! ,hat sort o' a
(!ssag! that act o' b!ing at! ,as;partic+ary i' th! th!rapist has
anticipat!# th! pati!ntIs r!action an# apoogi/!# 'or th! !"!nt. :h!
pati!nt cannot say, 98hy ,!r! yo+ at!D Is it b!ca+s! yo+ #on
I
t ,ant
to s!! (! to#ayD9 :his ,o+# b! an acc+sation, an# so h! shi'ts to a
(!taphorica stat!(!nt. E! (ay th!n say, 9I *n!, a '!o, onc!
,ho (iss!# a boat, his na(! ,as &a( an# th! boat a(ost s+n*, . . .
!tc.,9 :h+s h! #!"!ops a (!taphorica story an# th! th!rapist (ay
or (ay not #isco"!r in it a co((!nt on his b!ing at!. :h!
con"!ni!nt thing abo+t a (!taphor is that it !a"!s it +p to th!
th!rapist 2or (oth!r3 to s!! an acc+sation in th! stat!(!nt i' h!
choos!s, or to ignor! it i' h! choos!s. &ho+# th! th!rapist acc!pt th!
acc+sation in th! (!taphor, th!n th! pati!nt can acc!pt th! stat!(!nt
h! has (a#! abo+t &a( as (!taphorica. I' th! th!rapist points o+t
that this #o!snIt so+n# i*! a tr+! stat!(!nt abo+t &a(, as a ,ay o'
a"oi#ing th! acc+sation in th! story, th! pati!nt can arg+! that th!r!
r!ay ,as a (an na(!# &a(. As an ans,!r to th! #o+b! bin#
sit+ation, a shi't to a (!taphorica stat!(!nt brings sa'!ty. Eo,!"!r,
it aso pr!"!nts th! pati!nt 'ro( (a*ing th! acc+sation h! ,ants to
(a*!. 0+t inst!a# o' g!tting o"!r his acc+sation by in#icating that
this is a (!taphor, th! schi/ophr!nic pati!nt s!!(s to try to g!t o"!r
th! 'act that it is a (!taphor by (a*ing it (or! 'antastic. I' th!
th!rapist sho+# ignor! th! acc+sation in th! story abo+t &a(, th!
schi/ophr!nic (ay th!n t! a story abo+t going to Aars in a roc*!t
213
ship as a ,ay o' p+tting o"!r his acc+sation. :h! in#ication that it is
a (!taphorica stat!(!nt i!s in th! 'antastic asp!ct o' th! (!taphor,
not in th! signas ,hich +s+ay acco(pany (!taphors to t! th!
ist!n!r that a (!taphor is b!ing +s!#.
It is not ony sa'!r 'or th! "icti( o' a #o+b! bin# to shi't to a
(!taphorica or#!r o' (!ssag!, b+t in an i(possib! sit+ation it is
b!tt!r to shi't an# b!co(! so(!bo#y !s!, or shi't an# insist that h!
is so(!,h!r! !s!. :h!n th! #o+b! bin# cannot ,or* on th! "icti(,
b!ca+s! it isnIt h! an# b!si#!s h! is in a #i''!r!nt pac!. In oth!r
,or#s, th! stat!(!nts ,hich sho, that a pati!nt is #isori!nt!# can b!
int!rpr!t!# as ,ays o' #!'!n#ing hi(s!' against th! sit+ation h! is
in. :h! pathoogy !nt!rs ,h!n th! "icti( hi(s!' !ith!r #o!s not
*no, that his r!spons!s ar! (!taphorica or cannot say so. :o
r!cogni/! that h! ,as sp!a*ing (!taphoricay h! ,o+# n!!# to b!
a,ar! that h! ,as #!'!n#ing hi(s!' an# th!r!'or! ,as a'rai# o' th!
oth!r p!rson. :o hi( s+ch an a,ar!n!ss ,o+# b! an in#ict(!nt o'
th! oth!r p!rson an# th!r!'or! pro"o*! #isast!r.
I' an in#i"i#+a has sp!nt his i'! in th! *in# o' #o+b! bin#
r!ationship #!scrib!# h!r!, his ,ay o' r!ating to p!op! a't!r a
psychotic br!a* ,o+# ha"! a syst!(atic patCt!rn. 7irst, h! ,o+#
not shar! ,ith nor(a p!op! thos! signas ,hich acco(pany
(!ssag!s to in#icat! ,hat a p!rson (!ans. Eis (!taco((+nicati"!
syst!(;th! co((+nications abo+t co((+nication;,o+# ha"!
bro*!n #o,n, an# h! ,o+# not *no, ,hat *in# o' (!ssag! a
(!ssag! ,as. I' a p!rson sai# to hi(, 98hat ,o+# yo+ i*! to #o
to#ayD
9
h! ,o+# b! +nab! to J+#g! acc+rat!y by th! cont!-t or by
th! ton! o' "oic! or g!st+r! ,h!th!r h! ,as b!ing con#!(n!# 'or
,hat h! #i# y!st!r#ay, or b!ing o''!r!# a s!-+a in"itation, or J+st
,hat ,as (!ant. 1i"!n this inCabiity to J+#g! acc+rat!y ,hat a
p!rson r!ay (!ans an# an !-c!ssi"! conc!rn ,ith ,hat is r!ay
(!ant, an in#i"i#+a (ight #!'!n# hi(s!' by choosing on! or (or!
o' s!"!ra at!rnati"!s. E! (ight, 'or !-a(p!, ass+(! that b!hin#
!"!ry stat!(!nt th!r! is a conc!a!# (!aning ,hich is #!tri(!nta to
his ,!'ar!. E! ,o+# th!n b! !-c!ssi"!y conc!rn!# ,ith hi##!n
(!anings an# #!t!r(in!# to #!(onstrat! that h! co+# not b!
#!c!i"!#;as h! ha# b!!n a his i'!. I' h! choos!s this at!rnati"!,
h! ,i b! contin+ay s!arching 'or (!anings b!hin# ,hat p!op!
214
say an# b!hin# chanc! occ+rr!nc!s in th! !n"iron(!nt, an# h! ,i
b! charact!risticay s+spicio+s an# #!'iant.
E! (ight choos! anoth!r at!rnati"!, an# t!n# to acc!pt it!ray
!"!rything p!op! say to hi(L ,h!n th!ir ton! or g!st+r! or cont!-t
contra#ict!# ,hat th!y sai#, h! (ight !stabish a patt!rn o' a+ghing
o'' th!s! (!taco((+nicati"! signas. E! ,o+# gi"! +p trying to
#iscri(inat! b!t,!!n !"!s o' (!ssag! an# tr!at a (!ssag!s as
+ni(portant or to b! a+gh!# at.
I' h! #i#nIt b!co(! s+spicio+s o' (!taco((+nicati"! (!ssag!s
or att!(pt to a+gh th!( o'', h! (ight choos! to try to ignor! th!(.
:h!n h! ,o+# 'in# it n!c!ssary to s!! an# h!ar !ss an# !ss o' ,hat
,!nt on aro+n# hi(, an# #o his +t(ost to a"oi# pro"o*ing a
r!spons! in his !n"iron(!nt. E! ,o+# try to #!tach his int!r!st
'ro( th! !-t!rna ,or# an# conc!ntrat! on his o,n int!rna
proc!ss!s an#, th!r!'or!, gi"! th! app!aranc! o' b!ing a ,ith#ra,n,
p!rhaps (+t!, in#i"i#+a.
:his is anoth!r ,ay o' saying that i' an in#i"i#+a #o!snIt *no,
,hat sort o' (!ssag! a (!ssag! is, h! (ay #!'!n# hi(s!' in ,ays
,hich ha"! b!!n #!scrib!# as paranoi#, h!b!phr!nic, or catatonic.
:h!s! thr!! at!rnati"!s ar! not th! ony on!s. :h! point is that h!
cannot choos! th! on! at!rnati"! ,hich ,o+# h!p hi( to #isco"!r
,hat p!op! (!anL h! cannot, ,itho+t consi#!rab! h!p, #isc+ss th!
(!ssag!s o' oth!rs. 8itho+t b!ing ab! to #o that, th! h+(an b!ing
is i*! any s!'Ccorr!cting syst!( ,hich has ost acc!pt th!
acc+sation in th! (!taphor, th!n th! pati!nt can acc!pt th!
stat!(!nt h! has (a#! abo+t &a( as (!taphorica. I' th! th!rapist
points o+t that this #o!snIt so+n# i*! a tr+! stat!(!nt abo+t &a(,
as a ,ay o' a"oi#ing th! acc+sation in th! story, th! pati!nt can
arg+! that th!r! r!ay ,as a (an na(!# &a(. As an ans,!r to th!
#o+b! bin# sit+ation, a shi't to a (!taphorica stat!(!nt brings
sa'!ty. Eo,!"!r, it aso pr!"!nts th! pati!nt 'ro( (a*ing th!
acc+sation h! ,ants to (a*!. 0+t inst!a# o' g!tting o"!r his
acc+sation by in#icating that this is a (!taphor, th! schi/ophr!nic
pati!nt s!!(s to try to g!t o"!r th! 'act that it is a (!taphor by
(a*ing it (or! 'antastic. I' th! th!rapist sho+# ignor! th!
acc+sation in th! story abo+t &a(, th! schi/ophr!nic (ay th!n t!
a story abo+t going to Aars in a roc*!t ship as a ,ay o' p+tting
o"!r his acc+sation. :h! in#ication that it is a (!taphorica
215
stat!(!nt i!s in th! 'antastic asp!ct o' th! (!taphor, not in th!
signas ,hich +s+ay acco(pany (!taphors to t! th! ist!n!r that
a (!taphor is b!ing +s!#.
It is not ony sa'!r 'or th! "icti( o' a #o+b! bin# to shi't to a
(!taphorica or#!r o' (!ssag!, b+t in an i(possib! sit+ation it is
b!tt!r to shi't an# b!co(! so(!bo#y !s!, or shi't an# insist that h!
is so(!,h!r! !s!. :h!n th! #o+b! bin# cannot ,or* on th! "icti(,
b!ca+s! it isnIt h! an# b!si#!s h! is in a #i''!r!nt pac!. In oth!r
,or#s, th! stat!(!nts ,hich sho, that a pati!nt is #isori!nt!# can b!
int!rpr!t!# as ,ays o' #!'!n#ing hi(s!' against th! sit+ation h! is
in. :h! pathoogy !nt!rs ,h!n th! "icti( hi(s!' !ith!r #o!s not
*no, that his r!spons!s ar! (!taphorica or cannot say so. :o
r!cogni/! that h! ,as sp!a*ing (!taphoricay h! ,o+# n!!# to b!
a,ar! that h! ,as #!'!n#ing hi(s!' an# th!r!'or! ,as a'rai# o' th!
oth!r p!rson. :o hi( s+ch an a,ar!n!ss ,o+# b! an in#ict(!nt o'
th! oth!r p!rson an# th!r!'or! pro"o*! #isast!r.
I' an in#i"i#+a has sp!nt his i'! in th! *in# o' #o+b! bin#
r!ationship #!scrib!# h!r!, his ,ay o' r!ating to p!op! a't!r a
psychotic br!a* ,o+# ha"! a syst!(atic patCt!rn. 7irst, h! ,o+#
not shar! ,ith nor(a p!op! thos! signas ,hich acco(pany
(!ssag!s to in#icat! ,hat a p!rson (!ans. Eis (!taco((+nicati"!
syst!(;th! co((+nications abo+t co((+nication;,o+# ha"!
bro*!n #o,n, an# h! ,o+# not *no, ,hat *in# o' (!ssag! a
(!ssag! ,as. I' a p!rson sai# to hi(, 98hat ,o+# yo+ i*! to #o
to#ayD9 h! ,o+# b! +nab! to J+#g! acc+rat!y by th! cont!-t or by
th! ton! o' "oic! or g!st+r! ,h!th!r h! ,as b!ing con#!(n!# 'or
,hat h! #i# y!st!r#ay, or b!ing o''!r!# a s!-+a in"itation, or J+st
,hat ,as (!ant. 1i"!n this inCabiity to J+#g! acc+rat!y ,hat a
p!rson r!ay (!ans an# an !-c!ssi"! conc!rn ,ith ,hat is r!ay
(!ant, an in#i"i#+a (ight #!'!n# hi(s!' by choosing on! or (or!
o' s!"!ra at!rnati"!s. E! (ight, 'or !-a(p!, ass+(! that b!hin#
!"!ry stat!(!nt th!r! is a conc!a!# (!aning ,hich is #!tri(!nta to
his ,!'ar!. E! ,o+# th!n b! !-c!ssi"!y conc!rn!# ,ith hi##!n
(!anings an# #!t!r(in!# to #!(onstrat! that h! co+# not b!
#!c!i"!#;as h! ha# b!!n a his i'!. I' h! choos!s this at!rnati"!,
h! ,i b! contin+ay s!arching 'or (!anings b!hin# ,hat p!op!
say an# b!hin# chanc! occ+rr!nc!s in th! !n"iron(!nt, an# h! ,i
b! charact!risticay s+spicio+s an# #!'iant.
216
E! (ight choos! anoth!r at!rnati"!, an# t!n# to acc!pt it!ray
!"!rything p!op! say to hi(L ,h!n th!ir ton! or g!st+r! or cont!-t
contra#ict!# ,hat th!y sai#, h! (ight !stabish a patt!rn o' a+ghing
o'' th!s! (!taco((+nicati"! signas. E! ,o+# gi"! +p trying to
#iscri(inat! b!t,!!n !"!s o' (!ssag! an# tr!at a (!ssag!s as
+ni(portant or to b! a+gh!# at.
I' h! #i#nIt b!co(! s+spicio+s o' (!taco((+nicati"! (!ssag!s
or att!(pt to a+gh th!( o'', h! (ight choos! to try to ignor! th!(.
:h!n h! ,o+# 'in# it n!c!ssary to s!! an# h!ar !ss an# !ss o' ,hat
,!nt on aro+n# hi(, an# #o his +t(ost to a"oi# pro"o*ing a
r!spons! in his !n"iron(!nt. E! ,o+# try to #!tach his int!r!st
'ro( th! !-t!rna ,or# an# conc!ntrat! on his o,n int!rna
proc!ss!s an#, th!r!'or!, gi"! th! app!aranc! o' b!ing a ,ith#ra,n,
p!rhaps (+t!, in#i"i#+a.
:his is anoth!r ,ay o' saying that i' an in#i"i#+a #o!snIt *no,
,hat sort o' (!ssag! a (!ssag! is, h! (ay #!'!n# hi(s!' in ,ays
,hich ha"! b!!n #!scrib!# as paranoi#, h!b!phr!nic, or catatonic.
:h!s! thr!! at!rnati"!s ar! not th! ony on!s. :h! point is that h!
cannot choos! th! on! at!rnati"! ,hich ,o+# h!p hi( to #isco"!r
,hat p!op! (!anL h! cannot, ,itho+t consi#!rab! h!p, #isc+ss th!
(!ssag!s o' oth!rs. 8itho+t b!ing ab! to #o that, th! h+(an b!ing
is i*! any s!'Ccorr!cting syst!( ,hich has ost its go"!rnorL it
spiras into n!"!rC!n#ing, b+t a,ays syst!(atic, #istortions.
A Description of the Famil Situation
:h! th!or!tica possibiity o' #o+b! bin# sit+ations sti(+at!# +s
to oo* 'or s+ch co((+nication s!.+!nc!s in th! schi/ophr!nic
pati!nt an# in his 'a(iy sit+ation. :o,ar# this !n# ,! ha"! st+#i!#
th! ,ritt!n an# "!rba r!ports o' psychoth!rapists ,ho ha"! tr!at!#
s+ch pati!nts int!nsi"!yL ,! ha"! st+#i!# tap! r!cor#ings o'
psychoth!rap!+tic int!rC"i!,s, both o' o+r o,n pati!nts an# oth!rsL
,! ha"! int!rC"i!,!# an# tap!# par!nts o' schi/ophr!nicsL ,! ha"!
ha# t,o (oth!rs an# on! 'ath!r participat! in int!nsi"! psyC
choth!rapyL an# ,! ha"! int!r"i!,!# an# tap!# par!nts an# pati!nts
s!!n conJointy.
217
5n th! basis o' th!s! #ata ,! ha"! #!"!op!# a hypoth!sis abo+t
th! 'a(iy sit+ation ,hich +ti(at!y !a#s to an in#i"i#+a s+''!ring
'ro( schi/ophr!nia. :his hypoth!sis has not b!!n statisticay t!st!#L
it s!!cts an# !(phasi/!s a rath!r si(p! s!t o' int!ractiona
ph!no(!na an# #o!s not att!(pt to #!scrib! co(pr!h!nsi"!y th!
!-traor#inary co(p!-ity o' a 'a(iy r!ationship.
8! hypoth!si/! that th! 'a(iy sit+ation o' th! schi/ophr!nic has
th! 'oo,ing g!n!ra charact!ristics6
213 A chi# ,hos! (oth!r b!co(!s an-io+s an# ,ithC#ra,s i' th!
chi# r!spon#s to h!r as a o"ing (oth!r. :hat is, th! chi#Is "!ry
!-ist!nc! has a sp!cia (!aning to th! (oth!r ,hich aro+s!s h!r
an-i!ty an# hostiity ,h!n sh! is in #ang!r o' inti(at! contact ,ith
th! chi#.
223 A (oth!r to ,ho( '!!ings o' an-i!ty an# hostiity to,ar#
th! chi# ar! not acc!ptab!, an# ,hos! ,ay o' #!nying th!( is to
!-pr!ss o"!rt o"ing b!ha"ior to p!rs+a#! th! chi# to r!spon# to h!r
as a o"ing (oth!r an# to ,ithC#ra, 'ro( hi( i' h! #o!s not.
9@o"ing b!ha"ior9 #o!s not n!c!ssariy i(py 9a''!ction9L it can, 'or
!-a(p!, b! s!t in a 'ra(!,or* o' #oing th! prop!r thing, instiing
9goo#n!ss,9 an# th! i*!.
233 :h! abs!nc! o' anyon! in th! 'a(iy, s+ch as a strong an#
insight'+ 'ath!r, ,ho can int!r"!n! in th! r!ationship b!t,!!n th!
(oth!r an# chi# an# s+pport th! chi# in th! 'ac! o' th!
contra#ictions in"o"!#.
&inc! this is a 'or(a #!scription ,! ar! not sp!ci'icay
conc!rn!# ,ith ,hy th! (oth!r '!!s this ,ay abo+t th! chi#, b+t
,! s+gg!st that sh! co+# '!! this ,ay 'or "ario+s r!asons. It (ay
b! that (!r!y ha"ing a chi# aro+s!s an-i!ty abo+t h!rs!' an# h!r
r!ationships to h!r o,n 'a(iyL or it (ay b! i(portant to h!r that
th! chi# is a boy or a gir, or that th! chi# ,as born on th!
anni"!rsary o' on! o' h!r o,n sibings,
33
or th! chi# (ay b! in th!
sa(! sibing position in th! 'a(iy that sh! ,as, or th! chi# (ay b!
sp!cia to h!r 'or oth!r r!asons r!at!# to h!r o,n !(otiona
prob!(s.
33
4. Eigar#, 9Anni"!rsary 4!actions in $ar!nts $r!cipitat!# by Chi#r!n,9
6syc*iatry, 1953, 1G# 7?%FC.
218
1i"!n a sit+ation ,ith th!s! charact!ristics, ,! hypoth!si/! that
th! (oth!r o' a schi/ophr!nic ,i b! si(+tan!o+sy !-pr!ssing at
!ast t,o or#!rs o' (!ssag!. 27or si(picity in this pr!s!ntation ,!
sha con'in! o+rs!"!s to t,o or#!rs.3 :h!s! or#!rs o' (!ssag! can
b! ro+ghy charact!ri/!# as 2a3 hosti! or ,ith#ra,ing b!ha"ior
,hich is aro+s!# ,h!nC!"!r th! chi# approach!s h!r, an# 2b3
si(+at!# o"ing or approaching b!ha"ior ,hich is aro+s!# ,h!n
th! chi# r!spon#s to h!r hosti! an# ,ith#ra,ing b!ha"ior, as a ,ay
o' #!nying that sh! is ,ith#ra,ing. E!r prob!( is to contro h!r
an-i!ty by controing th! cos!n!ss an# #istanc! b!t,!!n h!rs!'
an# h!r chi#. :o p+t this anoth!r ,ay, i' th! (oth!r b!gins to '!!
a''!ctionat! an# cos! to h!r chi#, sh! b!gins to '!! !n#ang!r!# an#
(+st ,ith#ra, 'ro( hi(L b+t sh! cannot acc!pt this hosti! act an#
to #!ny it (+st si(+at! a''!ction an# cos!n!ss ,ith h!r chi#. :h!
i(portant point is that h!r o"ing b!ha"ior is th!n a co((!nt on
2sinc! it is co(p!nsatory 'or3 h!r hosti! b!ha"ior an# cons!.+!nty
it is o' a #i''!r!nt order o' (!ssag! than th! hosti! b!ha"ior;it is a
(!ssag! abo+t a s!.+!nc! o' (!ssag!s. F!t by its nat+r! it #!ni!s
th! !-ist!nc! o' thos! (!ssag!s ,hich it is abo+t, i.!., th! hosti!
,ith#ra,a.
:h! (oth!r +s!s th! chi#Is r!spons!s to a''ir( that h!r b!ha"ior
is o"ing, an# sinc! th! o"ing b!ha"ior is si(+at!#, th! chi# is
pac!# in a position ,h!r! h! (+st not acc+rat!y int!rpr!t h!r
co((+nication i' h! is to (aintain his r!ationship ,ith h!r. In
oth!r ,or#s, h! (+st not #iscri(inat! acc+rat!y b!t,!!n or#!rs o'
(!ssag!, in this cas! th! #i''!r!nc! b!t,!!n th! !-pr!ssion o'
si(+at!# '!!ings 2on! @ogica :yp!3 an# r!a '!!ings 2anoth!r
@ogica :yp!3. As a r!s+t th! chi# (+st syst!(aticay #istort his
p!rc!ption o' (!taco((+nicati"! signas. 7or !-Ca(p!, i' (oth!r
b!gins to '!! hosti! 2or a''!ctionat!3 toC,ar# h!r chi# an# aso
'!!s co(p!!# to ,ith#ra, 'ro( hi(, sh! (ight say, 91o to b!#,
yo+
I
r! "!ry tir!# an# I ,ant yo+ to g!t yo+r s!!p.9 :his o"!rty
o"ing stat!(!nt is int!n#!# to #!ny a '!!ing ,hich co+# b!.
"!rbai/!# as 91!t o+t o' (y sight b!ca+s! II( sic* o' yo+.9 I' th!
chi# corr!cty #iscri(inat!s h!r (!taco((+nicati"! signas, h!
,o+# ha"! to 'ac! th! 'act that sh! both #o!sn
I
t ,ant hi( an# is
#!c!i"ing hi( by h!r o"ing b!ha"ior. E! ,o+# b! 9p+nish!#9 'or
!arning to #iscri(inat! or#!rs o' (!ssag!s acc+rat!y. E!
219
th!r!'or! ,o+# t!n# to acc!pt th! i#!a that h! is tir!# rath!r than
r!cogni/! his (oth!rIs #!c!ption. :his (!ans that h! (+st #!c!i"!
hi(s!' abo+t his o,n int!rna stat! in or#!r to s+pport (oth!r in
h!r #!c!ption. :o s+r"i"! ,ith h!r h! (+st 'as!y #iscri(inat! his
o,n int!rna (!ssag!s as ,! as 'as!y #iscri(inat! th! (!ssag!s
o' oth!rs.
:h! prob!( is co(po+n#!# 'or th! chi# b!ca+s! th! (oth!r is
9b!n!"o!nty9 #!'ining 'or hi( ho, h! '!!sL sh! is !-pr!ssing
o"!rt (at!rna conc!rn o"!r th! 'act that h! is tir!#. :o p+t it anoth!r
,ay, th! (oth!r is controing th! chi#Is #!'initions o' his o,n
(!ssag!s, as ,! as th! #!'inition o' his r!spons!s to h!r 2!.g., by
saying, 9Fo+ #onIt r!ay (!an to say that,9 i' h! sho+# critici/!
h!r3 by insisting that sh! is not conc!rn!# abo+t h!rs!' b+t ony
abo+t hi(. Cons!.+!nty, th! !asi!st path 'or th! chi# is to acc!pt
(oth!rIs si(+at!# o"ing b!ha"ior as r!a, an# his #!sir!s to
int!rpr!t ,hat is going on ar! +n#!r(in!#. F!t th! r!s+t is that th!
(oth!r is ,ith#ra,ing 'ro( hi( an# #!'ining this ,ith#ra,a as th!
,ay a o"ing r!ationship sho+# b!.
Eo,!"!r, acc!pting (oth!rIs si(+at!# o"ing b!ha"ior as r!a
aso is no so+tion 'or th! chi#. &ho+# h! (a*! this 'as!
#iscri(ination, h! ,o+# approach h!rL this (o"! toC,ar# cos!n!ss
,o+# pro"o*! in h!r '!!ings o' '!ar an# h!p!ssn!ss, an# sh!
,o+# b! co(p!!# to ,ith#ra,. 0+t i' h! th!n ,ith#r!, 'ro( h!r,
sh! ,o+# ta*! his ,ith#ra,a as a stat!(!nt that sh! ,as not a
o"ing (oth!r an# ,o+# !ith!r p+nish hi( 'or ,ith#ra,ing or
approach hi( to bring hi( cos!r. I' h! th!n approach!#, sh! ,o+#
r!spon# by p+tting hi( at a #istanc!. !*e c*ild is punis*ed for
discriminating accurately '*at s*e is e.pressing, and *e is punis*ed
for discriminating inaccurately7*e is caug*t in a dou-le -ind.
:h! chi# (ight try "ario+s (!ans o' !scaping 'ro( this
sit+ation. E! (ight, 'or !-a(p!, try to !an on his 'ath!r or so(!
oth!r (!(b!r o' th! 'a(iy. Eo,!"!r, 'ro( o+r pr!i(inary
obs!r"ations ,! thin* it is i*!y that th! 'ath!rs o' schi/ophr!nics
ar! not s+bstantia !no+gh to !an on. :h!y ar! aso in th! a,*,ar#
position ,h!r! i' th!y agr!!# ,ith th! chi# abo+t th! nat+r! o'
(oth!rIs #!c!ptions, th!y ,o+# n!!# to r!cogni/! th! nat+r! o'
th!ir o,n r!ationCships to th! (oth!r, ,hich th!y co+# not #o an#
r!(ain attach!# to h!r in th! modus operandi th!y ha"! ,or*!# o+t.
220
:h! n!!# o' th! (oth!r to b! ,ant!# an# o"!# aso pr!"!nts th!
chi# 'ro( gaining s+pport 'ro( so(! oth!r p!rson in th!
!n"iron(!nt, a t!ach!r, 'or !-a(p!. A (oth!r ,ith th!s!
charact!ristics ,o+# '!! thr!at!n!# by any oth!r attach(!nt o' th!
chi# an# ,o+# br!a* it +p an# bring th! chi# bac* cos!r to h!r
,ith cons!.+!nt an-i!ty ,h!n th! chi# b!ca(! #!p!n#!nt on h!r.
:h! ony ,ay th! chi# can r!ay !scap! 'ro( th! sit+ation is to
co((!nt on th! contra#ictory position his (oth!r has p+t hi( in.
Eo,!"!r, i' h! #i# so, th! (oth!r ,o+# ta*! this as an acc+sation
that sh! is +no"ing an# both p+nish hi( an# insist that his
p!rc!ption o' th! sit+ation is #istort!#. 0y pr!"!nting th! chi# 'ro(
ta*ing abo+t th! sit+ation, th! (oth!r 'orbi#s hi( +sing th!
(!taco((+nicati"! !"!;th! !"! ,! +s! to corr!ct o+r
p!rc!ption o' co((+nicati"! b!ha"ior. :h! abiity to co((+nicat!
abo+t co((+nication, to co((!nt +pon th! (!aning'+ actions o'
on!s!' an# oth!rs, is !ss!ntia 'or s+cc!ss'+ socia int!rCco+rs!. In
any nor(a r!ationship th!r! is a constant int!rCchang! o'
(!taco((+nicati"! (!ssag!s s+ch as 98hat #o yo+ (!anD9 or
98hy #i# yo+ #o thatD9 or 9Ar! yo+ *i##ing (!D9 an# so on. :o
#iscri(inat! acc+rat!y ,hat p!op! ar! r!ay !-pr!ssing, ,! (+st
b! ab! to co((!nt #ir!cty or in#ir!cty on that !-pr!ssion. :his
(!taco((+nicati"! !"! th! schi/ophr!nic s!!(s +nab! to +s!
s+cc!ss'+y.
34
1i"!n th!s! charact!ristics o' th! (oth!r, it is
appar!nt ,hy. I' sh! is #!nying on! or#!r o' (!ssag!, th!n any
stat!(!nt abo+t h!r stat!(!nts !n#ang!rs h!r an# sh! (+st 'orbi# it.
:h!r!'or!, th! chi# gro,s +p +ns*i!# in his abiity to co(C
(+nicat! abo+t co((+nication an#, as a r!s+t, +ns*i!# in
#!t!r(ining ,hat p!op! r!ay (!an an# +ns*i!# in !-pr!ssing
,hat h! r!ay (!ans, ,hich is !ss!ntia 'or nor(a r!ationships.
In s+((ary, th!n, ,! s+gg!st that th! #o+b! bin# nat+r! o' th!
'a(iy sit+ation o' a schi/ophr!nic r!s+ts in pacing th! chi# in a
position ,h!r!, i' h! r!spon#s to his (oth!rIs si(+at!# a''!ction,
h!r an-i!ty ,i b! aro+s!# an# sh! ,i p+nish hi( 2or insist, to
prot!ct h!rs!', that hi s o"!rt+r!s ar! si(+at!#, th+s con'+sing hi(
abo+t th! nat+r! o' his o,n (!ssag!s3 to #!'!n# h!rs!' 'ro( cos!C
34
1. 0at!son, 9. . . $ay an# 7antasy,9 op. cit.
221
n!ss ,ith hi(. :h+s th! chi# is boc*!# o'' 'ro( inti(at! an#
s!c+r! associations ,ith his (oth!r. Eo,!"!r, i' h! #o!s not (a*!
o"!rt+r!s o' a''!ction, sh! ,i '!! that this (!ans sh! is not a
o"ing (oth!r an# h!r an-i!ty ,i b! aro+s!#. :h!r!'or!, sh! ,i
!ith!r p+nish hi( 'or ,ithC#ra,ing or (a*! o"!rt+r!s to,ar# th!
chi# to insist that h! #!(onstrat! that h! o"!s h!r. I' h! th!n
r!spon#s an# sho,s h!r a''!ction, sh! ,i not ony '!! !n#ang!r!#
again, b+t sh! (ay r!s!nt th! 'act that sh! ha# to 'orc! hi( to
r!spon#. In !ith!r cas! in a r!ationship, th! (ost i(portant in his
i'! an# th! (o#! 'or a oth!rs, h! is p+nish!# i' h! in#icat!s o"!
an# a''!ction an# p+nish!# i' h! #o!s notL an# his !scap! ro+t!s
'ro( th! sit+ation, s+ch as gaining s+pport 'ro( oth!rs, ar! c+t o''.
:his is th! basic nat+r! o' th! #o+b! bin# r!ationship b!t,!!n
(oth!r an# chi#. :his #!scription has not #!pict!#, o' co+rs!, th!
(or! co(picat!# int!roc*ing g!stat that is th! 9'a(iy9 o' ,hich
th! 9(oth!r9 is on! i(portant part.
35
(ll!strations fro# Clinical Data
An anaysis o' an inci#!nt occ+rring b!t,!!n a schi/ophr!nic
pati!nt an# his (oth!r i+strat!s th! #o+b! bin# sit+ation. A yo+ng
(an ,ho ha# 'airy ,! r!co"!r!# 'ro( an ac+t! schi/ophr!nic
!piso#! ,as "isit!# in th! hospita by his (oth!r. E! ,as ga# to s!!
h!r an# i(p+si"!y p+t his ar( aro+n# h!r sho+#!rs, ,h!r!+pon
sh! sti''!n!#. E! ,ith#r!, his ar( an# sh! as*!#, 9?onIt yo+ o"!
(! any (or!D
9
E! th!n b+sh!#, an# sh! sai#, 9?!ar, yo+ (+st not
b! so !asiy !(barrass!# an# a'rai# o' yo+r '!!ings.9 :h! pati!nt
,as ab! to stay ,ith h!r ony a '!, (in+t!s (or! an# 'oo,ing h!r
#!part+r! h! assa+t!# an ai#! an# ,as p+t in th! t+bs.
5b"io+sy, this r!s+t co+# ha"! b!!n a"oi#!# i' th! yo+ng (an
ha# b!!n ab! to say, 9Aoth!r, it is ob"io+s that yo+ b!co(!
+nco('ortab! ,h!n I p+t (y ar( aro+n# yo+, an# that yo+ ha"!
35
?. ?. Jac*son, 9:h! V+!stion o' 7a(iy Eo(!ostasis,9 pr!s!nt!# at th! A(!rican
$sychiatric Association A!!ting, &t. /ouis, Aay 7, 1954L aso Jac*son, 9&o(! 7actors
In'+!ncing th! 5!#ip+s Co(p!-,9 6syc*oanalytic Auarterly, 1954, >?# 566C81.
222
#i''ic+ty acc!pting a g!st+r! o' a''!ction 'ro( (!.9 Eo,!"!r, th!
schi/ophr!nic pati!nt #o!snIt ha"! this possibiity op!n to hi(. Eis
int!ns! #!p!n#!ncy an# training pr!"!nts hi( 'ro( co((!nting
+pon his (oth!rIs co((+nicati"! b!ha"ior, tho+gh sh! co((!nts
on his an# 'orc!s hi( to acc!pt an# to att!(pt to #!a ,ith th! co(C
picat!# s!.+!nc!. :h! co(pications 'or th! pati!nt inc+#! th!
'oo,ing6
213 :h! (oth!rIs r!action o' not acc!pting h!r sonIs a''!ctionat!
g!st+r! is (ast!r'+y co"!r!# +p by h!r con#!(nation o' hi( 'or
,ith#ra,ing, an# th! pati!nt #!ni!s his p!rc!ption o' th! sit+ation
by acc!pting h!r con#!(nation.
223 :h! stat!(!nt 9?onIt yo+ o"! (! any (or!9 in this cont!-t
s!!(s to i(py6
2a3 9I a( o"ab!.9
2b3 9Fo+ sho+# o"! (! an# i' yo+ #onIt yo+ ar! ba# or at 'a+t.9
2c3 98h!r!as yo+ #i# o"! (! pr!"io+sy yo+ #onIt any ong!r,9
an# th+s 'oc+s is shi't!# 'ro( his !-pr!ssing a''!ction to his
inabiity to b! a''!ctionat!. &inc! th! pati!nt has aso hat!# h!r, sh!
is on goo# gro+n# h!r!, an# h! r!spon#s appropriat!y ,ith g+it,
,hich sh! th!n attac*s.
2#3 98hat yo+ J+st !-pr!ss!# 'as not a''!ction,9 an# in or#!r to
acc!pt this stat!(!nt, th! pati!nt (+st #!ny ,hat sh! an# th! c+t+r!
ha"! ta+ght hi( abo+t ho, on! !-pr!ss!s a''!ction. E! (+st aso
.+!stion th! ti(!s ,ith h!r, an# ,ith oth!rs, ,h!n h! tho+ght h!
,as !-p!ri!ncing a''!ction an# ,h!n th!y seeme! to tr!at th!
sit+ation as i' h! ha#. E! !-p!ri!nc!s h!r! ossCo'Cs+pport ph!no(C
!na an# is p+t in #o+bt abo+t th! r!iabiity o' past !-p!ri!nc!.
233 :h! stat!(!nt, 9Fo+ (+st not b! so !asiy !(barrass!# an#
a'rai# o' yo+r '!!ings,9 s!!(s to i(py6
2a3 9Fo+ ar! not i*! (! an# ar! #i''!r!nt 'ro( oth!r nic! or
nor(a p!op! b!ca+s! ,! !-pr!ss o+r '!!ings.9
2b3 9:h! '!!ings yo+ !-pr!ss ar! a right, itIs ony that ou canIt
acc!pt th!(.9 Eo,!"!r, i' th! sti''!ning on h!r part ha# in#icat!#
9:h!s! ar! +nacc!ptab! '!!ings,9 th!n th! boy is to# that h!
sho+# not b! !(barrass!# by +nacc!ptab! '!!ings. &inc! h! has
ha# a ong training in ,hat is an# is not acc!ptab! to both h!r an#
soci!ty, h! again co(!s into con'ict ,ith th! past. I' h! is +na'rai#
o' his o,n '!!ings 2,hich (oth!r i(pi!s is goo#3, h! sho+# b!
223
+na'rai# o' his a''!ction an# ,o+# th!n notic! it ,as sh! ,ho ,as
a'rai#, b+t h! (+st not notic! that b!Cca+s! h!r ,ho! approach is
ai(!# at co"!ring +p this shortCco(ing in h!rs!'.
:h! i(possib! #i!((a th+s b!co(!s6 9I' I a( to *!!p (y ti! to
(oth!r, I (+st not sho, h!r that I o"! h!r, b+t i' I #o not sho, h!r
that I o"! h!r, th!n I ,i os! h!r.9
:h! i(portanc! to th! (oth!r o' h!r sp!cia (!tho# o' contro is
stri*ingy i+strat!# by th! int!r'a(iy sit+ation o' a yo+ng ,o(an
schi/ophr!nic ,ho gr!!t!# th! th!rapist on th!ir 'irst (!!ting ,ith
th! r!(ar*, 9Aoth!r ha# to g!t (arri!# an# no, II( h!r!.9 :his
stat!(!nt (!ant to th! th!rapist that6
213 :h! pati!nt ,as th! r!s+t o' an i!giti(at! pr!gnancy.
223 :his 'act ,as r!at!# to h!r pr!s!nt psychosis 2in h!r
opinion3.
233 9E!r!9 r!'!rr!# to th! psychiatristIs o''ic! an# to th! pati!ntIs
pr!s!nc! on !arth 'or ,hich sh! ha# to b! !t!rnay in#!bt!# to h!r
(oth!r, !sp!ciay sinc! h!r (oth!r ha# sinn!# an# s+''!r!# in or#!r
to bring h!r into th! ,or#.
243 9Ea# to g!t (arri!#9 r!'!rr!# to th! shotg+n nat+r! o'
(oth!rIs ,!##ing an# to th! (oth!rIs r!spons! to pr!ss+r! that sh!
(+st (arry, an# th! r!ciproca, that sh! r!s!nt!# th! 'orc!# nat+r! o'
th! sit+ation an# ba(!# th! pati!nt 'or it.
Act+ay, a th!s! s+ppositions s+bs!.+!nty pro"!# to b!
'act+ay corr!ct an# ,!r! corroborat!# by th! (oth!r #+ring an
aborti"! att!(pt at psychoth!rapy. :h! 'a"or o' th! (oth!rIs
co((+nications to th! pati!nt s!!(!# !ss!ntiay this6 9I a(
o"ab!, o"ing, an# satis'i!# ,ith (ys!'. Fo+ ar! o"ab! ,h!n yo+
ar! i*! (! an# ,h!n yo+ #o ,hat I say.9 At th! sa(! ti(! th!
(oth!r in#icat!# to th! #a+ght!r both by ,or#s an# b!ha"ior6 9Fo+
ar! physicay #!icat!, +nint!ig!nt, an# #i''!r!nt 'ro( (! 2
N
not
nor(aI3. Fo+ n!!# (! an# (! aon! b!ca+s! o' th!s! han#icaps,
an# I ,i ta*! car! o' yo+ an# o"! yo+.
9
:h+s th! pati!ntIs i'! ,as
a s!ri!s o' b!ginnings, o' att!(pts at !-p!ri!nc!, ,hich ,o+# r!s+t
in 'ai+r! an# ,ith#ra,a bac* to th! (at!rna h!arth an# boso(
b!ca+s! o' th! co+sion b!t,!!n h!r an# h!r (oth!r.
It ,as not!# in coaborati"! th!rapy that c!rtain ar!as i(portant
to th! (oth!rIs s!'C!st!!( ,!r! !sp!ciay con'ict+a sit+ations 'or
th! pati!nt. 7or !-a(p!, th! (oth!r n!!#!# th! 'iction that sh! ,as
224
cos! to h!r 'a(iy an# that a #!!p o"! !-ist!# b!t,!!n h!r an# h!r
o,n (oth!r. 0y anaogy th! r!ationship to th! gran#(oth!r s!r"!#
as th! prototyp! 'or th! (oth!rIs r!ationship to h!r o,n #a+ght!r.
5n on! occasion ,h!n th! #a+ght!r ,as s!"!n or !ight y!ars o#,
th! gran#(oth!r in a rag! thr!, a *ni'! ,hich bar!y (iss!# th!
itt! gir. :h! (oth!r sai# nothing to th! gran#(oth!r b+t h+rri!#
th! itt! gir 'ro( th! roo( ,ith th! ,or#s, 91ran#(o((y r!ay
o"!s yo+.9 It is signi'icant that th! gran#(oth!r too* th! attit+#! toC
,ar# th! pati!nt that sh! ,as not ,! !no+gh contro!#, an# sh!
+s!# to chi#! h!r #a+ght!r 'or b!ing too !asy on th! chi#. :h!
gran#(oth!r ,as i"ing in th! ho+s! #+ring on! o' th! pati!ntIs
psychotic !piso#!s, an# th! gir too* gr!at #!ight in thro,ing
"ario+s obJ!cts at th! (oth!r an# gran#(oth!r ,hi! th!y co,!r!#
in '!ar.
Aoth!r '!t h!rs!' "!ry attracti"! as a gir, an# sh! '!t that h!r
#a+ght!r r!s!(b!# h!r rath!r cos!y, atho+gh by #a(ning ,ith
'aint prais!, it ,as ob"io+s that sh! '!t th! #a+ght!r #!'init!y ran
s!con#. 5n! o' th! #a+ght!rIs 'irst acts #+ring a psychotic p!rio#
,as to anno+nc! to h!r (oth!r that sh! ,as going to c+t o'' a h!r
hair. &h! proc!!#!# to #o this ,hi! th! (oth!r p!a#!# ,ith h!r to
stop. &+bs!.+!nty th! (oth!r ,o+# sho, a pict+r! o' *erself as a
gir an# !-pain to p!op! ho, th! pati!nt ,o+# oo* i' sh! ony
ha# h!r b!a+ti'+ hair.
:h! (oth!r, appar!nty ,itho+t a,ar!n!ss o' th! signi'icanc! o'
,hat sh! ,as #oing, ,o+# !.+at! th! #a+ght!rIs in!ss ,ith not
b!ing "!ry bright an# ,ith so(! sort o' organic brain #i''ic+ty.
&h! ,o+# in"ariaby contrast this ,ith h!r o,n int!ig!nc! as
#!(onstrat!# by h!r o'n schoastic r!cor#. &h! tr!at!# h!r
#a+ght!r ,ith a co(p!t!y patroni/ing an# pacating (ann!r
,hich ,as insinc!r!. 7or !-a(p!, in th! psychiatristIs pr!s!nc!
sh! pro(is!# h!r #a+ght!r that sh! ,o+# not ao, h!r to ha"!
'+rth!r shoc* tr!at(!nts, an# as soon as th! gir ,as o+t o' th!
roo( sh! as*!# th! #octor i' h! #i#nIt '!! sh! sho+# b!
hospitai/!# an# gi"!n !!ctric shoc* tr!at(!nts. 5n! c+! to this
#!c!pti"! b!ha"ior aros! #+ring th! (oth!rIs th!rapy. Atho+gh th!
#a+ght!r ha# ha# thr!! pr!"io+s hospitai/ations, th! (oth!r ha#
n!"!r (!ntion!# to th! #octors that sh! h!rs!' ha# ha# a psychotic
!piso#! ,h!n sh! #isco"!r!# that sh! ,as pr!gnant. :h! 'a(iy
225
,his*!# h!r a,ay to a s(a sanitari+( in a n!arby to,n, an# sh!
,as, accor#ing to h!r o,n stat!(!nt, strapp!# to a b!# 'or si-
,!!*s. E!r 'a(iy #i# not "isit h!r #+ring this ti(!, an# no on!
!-c!pt h!r par!nts an# h!r sist!r *n!, that sh! ,as hospitai/!#.
:h!r! ,!r! t,o ti(!s #+ring th!rapy ,h!n th! (oth!r sho,!#
int!ns! !(otion. 5n! ,as in r!ating h!r o,n psychotic
!-p!ri!nc!L th! oth!r ,as on th! occasion o' h!r ast "isit ,h!n sh!
acc+s!# th! th!rapist o' trying to #ri"! h!r cra/y by 'orcing h!r to
choos! b!t,!!n h!r #a+ght!r an# h!r h+sban#. Against (!#ica
a#"ic!, sh! too* h!r #a+ght!r o+t o' th!rapy.
:h! 'ath!r ,as as in"o"!# in th! ho(!ostatic asp!cts o' th!
intra'a(iy sit+ation as th! (oth!r. 7or !-a(p!, h! stat!# that h!
ha# to .+it his position as an i(portant attorn!y in or#!r to bring his
#a+ght!r to an ar!a ,h!r! co(p!t!nt psychiatric h!p ,as a"aiab!.
&+bs!.+!nty, acting on c+!s 'ro( th! pati!nt 2!.g., sh! 'r!.+!nty
r!'!rr!# to a charact!r na(!# 9)!r"o+s )!#93, th! th!rapist ,as ab!
to !icit 'ro( hi( that h! ha# hat!# his Job an# 'or y!ars ha# b!!n
trying to 9g!t o+t 'ro( +n#!r.9 Eo,!"!r, th! #a+ght!r ,as (a#! to
'!! that th! (o"! ,as initiat!# 'or h!r.
5n th! basis o' o+r !-a(ination o' th! cinica #ata, ,! ha"!
b!!n i(pr!ss!# by a n+(b!r o' obs!r"ations inc+#ing6
213 :h! h!p!ssn!ss, '!ar, !-asp!ration, an# rag! ,hich a #o+b!
bin# sit+ation pro"o*!s in th! pati!nt, b+t ,hich th! (oth!r (ay
s!r!n!y an# +nC+n#!rstan#ingy pass o"!r. 8! ha"! not!# r!actions
in th! 'ath!r that both cr!at! #o+b! bin# sit+ations, or !-t!n# an#
a(pi'y thos! cr!at!# by th! (oth!r, an# ,! ha"! s!!n th! 'ath!r,
passi"! an# o+trag!#, b+t h!p!ss, b!co(! !nsnar!# in a si(iar
(ann!r to th! pati!nt.
223 :h! psychosis s!!(s, in part, a ,ay o' #!aing ,ith #o+b!
bin# sit+ations to o"!rco(! th!ir inhibiting an# conCtroing !''!ct.
:h! psychotic pati!nt (ay (a*! ast+t!, pithy, o't!n (!taphorica
r!(ar*s that r!"!a an insight into th! 'orc!s bin#ing hi(.
Contrari,is!, h! (ay b!co(! rath!r !-p!rt in s!tting #o+b! bin#
sit+ations hi(s!'.
233 Accor#ing to o+r th!ory, th! co((+nication sit+ation
#!scrib!# is !ss!ntia to th! (oth!rIs s!c+rity, an# by in'!r!nc! to
th! 'a(iy ho(!ostasis. I' this b! so, th!n ,h!n psychoth!rapy o'
th! pati!nt h!ps hi( b!co(! !ss "+n!rab! to (oth!rIs att!(pts at
226
contro, an-i!ty ,i b! pro#+c!# in th! (oth!r. &i(iary, i' th!
th!rapist int!rpr!ts to th! (oth!r th! #yna(ics o' th! sit+ation sh! is
s!tting +p ,ith th! pati!nt, this sho+# pro#+c! an an-i!ty r!spons!
in h!r. 5+r i(pr!ssion is that ,h!n th!r! is a p!r#+ring conCtact
b!t,!!n pati!nt an# 'a(iy 2!sp!ciay ,h!n th! pati!nt i"!s at
ho(! #+ring psychoth!rapy3, this !a#s to a #ist+rbanc! 2o't!n
s!"!r!3 in th! (oth!r an# so(!ti(!s in both (oth!r an# 'ath!r an#
oth!r sibings.
36
C!rrent %osition and +!t!re %rospects
Aany ,rit!rs ha"! tr!at!# schi/ophr!nia in t!r(s o' th! (ost
!-tr!(! contrast ,ith any oth!r 'or( o' h+(an thin*ing an#
b!ha"ior. 8hi! it is an isoab! ph!no(!non, so (+ch !(phasis on
th! #i''!r!nc!s 'ro( th! nor(a;rath!r i*! th! '!ar'+ physica
s!gr!gation o' psychotics;#o!s not h!p in +n#!rstan#ing th!
prob!(s. In o+r approach ,! ass+(! that schi/ophr!nia in"o"!s
g!n!ra princip!s ,hich ar! i(portant in a co((+nication an#
th!r!'or! (any inC'or(ati"! si(iariti!s can b! 'o+n# in 9nor(a9
co((+nication sit+ations.
8! ha"! Cb!!n partic+ary int!r!st!# in "ario+s sorts o'
co((+nication ,hich in"o"! both !(otiona signi'icanc! an# th!
n!c!ssity o' #iscri(inating b!t,!!n or#!rs o' (!ssag!. &+ch
sit+ations inc+#! pay, h+(or, rit+a, po!try, an# 'iction. $ay,
!sp!ciay a(ong ani(as, ,! ha"! st+#i!# at so(! !ngth.
37
It is a
sit+ation ,hich stri*ingy i+strat!s th! occ+rr!nc! o' (!ta(!ssag!s
,hos! corr!ct #iscri(ination is "ita to th! coop!ration o' th!
in#i"i#+as in"o"!#L 'or !-Ca(p!, 'as! #iscri(ination co+# !asiy
!a# to co(bat. 4ath!r cos!y r!at!# to pay is h+(or, a contin+ing
s+bJ!ct o' o+r C r!s!arch. It in"o"!s s+##!n shi'ts in @ogica :yp!s
as ,! as #iscri(ination o' thos! shi'ts. 4it+a is a 'i!# in ,hich
+n+s+ay r!a or it!ra ascriptions o' @ogica :yp! ar! (a#! an#
36
?. ?. Jac*son, 9An =piso#! o' &!!p,a*ing,9 Jo+rna o' th! A(!rican
$sychoanaytic Association, 1954, 26 503;508L aso Jac*son, 9&o(! 7actors . . . ,9
$sychoCanaytic V+art!ry, 1954, 236 566;581.
37
0at!son, 9 A :h!ory o' $ay ...9 op. cit.
227
#!'!n#!# as "igoro+sy as th! schi/ophr!nic #!'!n#s th! 9r!aity9 o'
his #!+sions. $o!try !-!(pi'i!s th! co((+nicati"! po,!r o'
(!taphor;!"!n "!ry +n+s+a (!taphor;,h!n ab!!# as s+ch by
"ario+s signs, as contrast!# to th! obsc+rity o' +nab!!#
schi/ophr!nic (!taphor. :h! !ntir! 'i!# o' 'ictiona co((+nication,
#!'in!# as th! narration or #!piction o' a s!ri!s o' !"!nts ,ith (or!
or !ss o' a ab! o' act+aity, is (ost r!!"ant to th! in"!stigation o'
schi/ophr!nia. 8! ar! not so (+ch conc!rn!# ,ith th! cont!nt
int!rpr!tation o' 'iction;atho+gh anaysis o' ora an# #!str+cti"!
th!(!s is i+(inating to th! st+#!nt o' schi/ophr!nia;as ,ith th!
'or(a prob!(s in"o"!# in si(+tan!o+s !-ist!nc! o' (+tip!
!"!s o' (!ssag! in th! 'ictiona pr!s!ntation o' 9r!aity.9 :h!
#ra(a is !sp!ciay int!r!sting in this r!sp!ct, ,ith both p!r'or(!rs
an# sp!ctators r!spon#ing to (!ssag!s abo+t both th! act+a an#
th! th!atrica r!aity.
8! ar! gi"ing !-t!nsi"! att!ntion to hypnosis. A gr!at array o'
ph!no(!na that occ+r as schi/ophr!nic sy(pto(s;ha+cinations,
#!+sions, at!rations o' p!rsonaity, a(n!sias, an# so on;can b!
pro#+c!# t!(porariy in nor(a s+bJ!cts ,ith hypnosis. :h!s! n!!#
not b! #ir!cty s+gg!st!# as sp!ci'ic ph!no(!na, b+t can b! th!
9spontan!o+s9 r!s+t o' an arrang!# co((+nication s!.+!nc!. 7or
!-a(p!, =ric*son
38
,i pro#+c! a ha+cination by 'irst in#+cing
cata!psy in a s+bJ!ctIs han# an# th!n saying, 9:h!r! is no
conc!i"ab! ,ay in ,hich yo+r han# can (o"!, y!t ,h!n I gi"! th!
signa, it (+st (o"!.9 :hat is, h! t!s th! s+bJ!ct his han# ,i
r!(ain in pac!, y!t it ,i (o"!, an# in no ,ay th! s+bJ!ct can
conscio+sy conc!i"!. 8h!n =ric*son gi"!s th! signa, th! s+bJ!ct
ha+cinat!s th! han# (o"!#, or ha+cinat!s hi(s!' in a #i''!r!nt
pac! an# th!r!'or! th! han# ,as (o"!#. :his +s! o' ha+cination to
r!so"! a prob!( pos!# by contra#ictory co((an#s ,hich cannot
b! #isc+ss!# s!!(s to +s to i+strat! th! so+tion o' a #o+b! bin#
sit+ation "ia a shi't in @ogica :yp!s. Eypnotic r!spons!s to #ir!ct
s+gg!stions or stat!(!nts aso co((ony in"o"! shi'ts in typ!, as
in acc!pting th! ,or#s 9E!r!Is a gass o' ,at!r9 or 9Fo+ '!! tir!#9
as !-t!rna or int!rna r!aity, or in it!ra r!spons! to (!taphorica
38
A. E. =ric*son, $!rsona co((+nication, 1955.
228
stat!(!nts, (+ch i*! schi/ophr!nics. 8! hop! that '+rth!r st+#y o'
hypnotic in#+ction, ph!no(!na, an# ,a*ing ,i, in this conC
troab! sit+ation, h!p sharp!n o+r "i!, o' th! !ss!ntia
co((+nicationa s!.+!nc!s ,hich pro#+c! ph!no(!na i*! thos! o'
schi/ophr!nia.
Anoth!r =ric*son !-p!ri(!nt s!!(s to isoat! a #o+b! bin#
co((+nicationa s!.+!nc! ,itho+t th! sp!ci'ic +s! o' hypnosis.
=ric*son arrang!# a s!(inar so as to ha"! a yo+ng chain s(o*!r sit
n!-t to hi( an# to b! ,itho+t cigar!tt!sL oth!r participants ,!r!
bri!'!# on ,hat to #o. A ,as or#!r!# so that =ric*son r!p!at!#y
t+rn!# to o''!r th! yo+ng (an a cigar!tt!, b+t ,as a,ays
int!rr+pt!# by a .+!stion 'ro( so(!on! so that h! t+rn!# a,ay,
9ina#"!rt!nty9 ,ith#ra,ing th! cigar!tt!s 'ro( th! yo+ng (anIs
r!ach. @at!r anoth!r participant as*!# this yo+ng (an i' h! ha#
r!c!i"!# th! cigar!tt! 'ro( ?r. =ric*son. E! r!Cpi!#,
9
8hat
cigar!tt!D9, sho,!# c!ary that h! ha# 'orgotCt!n th! ,ho!
s!.+!nc!, an# !"!n r!'+s!# a cigar!tt! o''!r!# by anoth!r (!(b!r,
saying that h! ,as too int!r!st!# in th! s!(inar #isc+ssion to
s(o*!. :his yo+ng (an s!!(s to +s to b! in an !-p!ri(!nta
sit+ation para!ing th! schi/ophr!nic
I
s #o+b! bin# sit+ation ,ith
(oth!r6 an i(portant r!ationship, contra#ictory (!ssag!s 2h!r! o'
gi"ing an# ta*ing a,ay3, an# co((!nt boc*!#;b!ca+s! th!r!
,as a s!(inar going on, an# any,ay it ,as a 9ina#"!rt!nt.
9
An#
not! th! si(iar o+tco(!6 a(n!sia 'or th! #o+b! bin# s!.+!nc!
an# r!"!rsa 'ro( 9E! #o!snIt gi"!9 to 9I #onIt ,ant.9
Atho+gh ,! ha"! b!!n !# into th!s! coat!ra ar!as, o+r (ain
'i!# o' obs!r"ation has b!!n schi/ophr!nia its!'. A o' +s ha"!
,or*!# #ir!cty ,ith schi/ophr!nic pati!nts an# (+ch o' this cas!
(at!ria has b!!n r!cor#!# on tap! 'or #!tai!# st+#y. In a##ition,
,! ar! r!cor#ing int!r"i!,s h!# Jointy ,ith pati!nts an# th!ir
'a(ii!s, an# ,! ar! ta*ing so+n# (otion pict+r!s o' (oth!rs an#
#ist+rb!#, pr!s+(aby pr!schi/ophr!nic, chi#r!n. 5+r hop! is that
th!s! op!rations ,i pro"i#! a c!ary !"i#!nt r!cor# o' th! conC
tin+ing, r!p!titi"! #o+b! bin#ing ,hich ,! hypoth!si/! go!s on
st!a#iy 'ro( in'anti! b!ginnings in th! 'a(iy sit+ation o'
in#i"i#+as ,ho b!co(! schi/ophr!nic. :his basic 'a(iy sit+ation,
an# th! o"!rty co((+nicationa charact!ristics o' schi/ophr!nia,
ha"! b!!n th! (aJor 'oc+s o' this pap!r. Eo,!"!r, ,! !-p!ct o+r
229
conc!pts an# so(! o' th!s! #ata ,i aso b! +s!'+ in '+t+r! ,or*
on oth!r prob!(s o' schi/ophr!nia, s+ch as th! "ari!ty o' oth!r
sy(pto(s, th! charact!r o' th! 9a#J+st!# stat!9 b!'or! schi/ophr!nia
b!co(!s (ani'!st, an# th! nat+r! an# circ+(stanc!s o' th!
psychotic br!a*.
Therape!tic (#plications of this ,ypothesis
$sychoth!rapy its!' is a cont!-t o' (+ti!"! co((+nication,
,ith !-poration o' th! a(big+o+s in!s b!t,!!n th! it!ra an#
(!taphoric, or r!aity an# 'antasy, an# in#!!#, "ario+s 'or(s o' pay,
#ra(a, an# hypnosis ha"! b!!n +s!# !-t!nsi"!y in th!rapy. 8!
ha"! b!!n int!r!st!# in th!rapy, an# in a##ition to o+r o,n #ata ,!
ha"! b!!n co!cting an# !-a(ining r!cor#ings, "!rbati(
transcripts, an# p!rsona acco+nts o' th!rapy 'ro( oth!r th!rapists.
In this ,! pr!'!r !-act r!cor#s sinc! ,! b!i!"! that ho, a
schi/ophr!nic ta*s #!p!n#s gr!aty, tho+gh o't!n s+bty, on ho,
anoth!r p!rson ta*s to hi(L it is (ost #i''ic+t to !sti(at! ,hat
,as r!ay occ+rring in a th!rap!+tic int!r"i!, i' on! has ony a
#!scription o' it, !sp!ciay i' th! #!scription is ar!a#y in
th!or!tica t!r(s.
=-c!pt 'or a '!, g!n!ra r!(ar*s an# so(! sp!c+ation,
ho,!"!r, ,! ar! not y!t pr!par!# to co((!nt on th! r!ation o' th!
#o+b! bin# to psychoth!rapy. At pr!s!nt ,! can ony not!6
213 ?o+b! bin# sit+ations ar! cr!at!# by an# ,ithin th!
psychoth!rap!+tic s!tting an# th! hospita (ii!+. 7ro( th! point o'
"i!, o' this hypoth!sis, ,! ,on#!r abo+t th! !''!ct o' (!#ica
9b!n!"o!nc!9 on th! schi/ophr!nic pati!nt. &inc! hospitas !-ist 'or
th! b!n!'it o' p!rsonn! as ,! as;as (+ch as;(or! than;'or
th! pati!ntIs b!n!'it, th!r! ,i b! contra#ictions at ti(!s in
s!.+!nc!s ,h!r! actions ar! ta*!n 9b!n!"o!nty9 'or th! pati!nt
,h!n act+ay th!y ar! int!n#!# to *!!p th! sta'' (or! co('ortab!.
8! ,o+# ass+(! that ,h!n!"!r th! syst!( is organi/!# 'or hospita
p+rpos!s an# it is anno+nc!# to th! pati!nt that th! actions ar! 'or
his b!n!'it, th!n th! schi/ophr!nog!nic sit+ation is b!ing
230
p!rp!t+at!#. :his *in# o' #!c!ption ,i pro"o*! th! pati!nt to
r!spon# to it as a #o+b! bin# sit+ation, an# his r!spons! ,i b!
9schi/ophr!nic9 in th! s!ns! that it ,i b! in#ir!ct an# th! pati!nt
,i b! +nab! to co((!nt on th! 'act that h! '!!s that h! is b!ing
#!c!i"!#. 5n! "ign!tt!, 'ort+nat!y a(+sing, i+strat!s s+ch a
r!spons!. 5n a ,ar# ,ith a #!#icat!# an# 9b!n!"o!nt9 physician in
charg! th!r! ,as a sign on th! physicianIs #oor ,hich sai# 9?octorIs
5''ic!. $!as! <noc*.9 :h! #octor ,as #ri"!n to #istraction an#
'inay capit+ation by th! ob!#i!nt pati!nt ,ho car!'+y *noc*!#
!"!ry ti(! h! pass!# th! #oor.
223 :h! +n#!rstan#ing o' th! #o+b! bin# an# its co((+nicati"!
asp!cts (ay !a# to inno"ations in th!rap!+tic t!chni.+!. J+st ,hat
th!s! inno"ations (ay b! is #i''ic+t to say, b+t on th! basis o' o+r
in"!stigation ,! ar! ass+(ing that #o+b! bin# sit+ations occ+r
consist!nty in psychoth!rapy. At ti(!s th!s! ar! ina#"!rt!nt in th!
s!ns! that th! th!rapist is i(posing a #o+b! bin# sit+ation si(iar
to that in th! pati!ntIs history, or th! pati!nt is i(posing a #o+b!
bin# sit+ation on th! th!rapist. At oth!r ti(!s th!rapists s!!( to
i(pos! #o+b! bin#s, !ith!r #!ib!rat!y or int+iti"!y, ,hich 'orc!
th! pati!nt to r!spon# #i''!r!nty than h! has in th! past.
An inci#!nt 'ro( th! !-p!ri!nc! o' a gi't!# psychoth!rapist
i+strat!s th! int+iti"! +n#!rstan#ing o' a #o+b! bin#
co((+nicationa s!.+!nc!. ?r. 7ri!#a 7ro((C4!ich(ann
39
,as
tr!ating a yo+ng ,o(an ,ho 'ro( th! ag! o' s!"!n ha# b+it a
highy co(p!- r!igion o' h!r o,n r!p!t! ,ith po,!r'+ go#s. &h!
,as "!ry schi/ophr!nic an# .+it! h!sitant abo+t !nt!ring into a
th!rap!+tic sit+ation. At th! b!Cginning o' th! tr!at(!nt sh! sai#,
91o# 4 says I sho+#n
I
t ta* ,ith yo+.9 ?r. 7ro((C4!ich(ann
r!pi!#, 9@oo*, !tIs g!t so(!thing into th! r!cor#. :o (! 1o# 4
#o!sn
I
t !-ist, an# that ,ho! ,or# o' yo+rs #o!snIt !-ist. :o yo+ it
#o!s, an# 'ar b! it 'ro( (! to thin* that I can ta*! that a,ay 'ro(
yo+, I ha"! no i#!a ,hat it (!ans. &o II( ,iing to ta* ,ith yo+ in
t!r(s o' that ,or#, i' ony yo+ *no, I #o it so that ,! ha"! an
+n#!rstan#ing that it #o!sn
I
t !-ist 'or (!. )o, go to 1o# 4 an# t!
hi( that ,! ha"! to ta* an# h! sho+# gi"! yo+ p!r(ission. Aso
yo+ (+st t! hi( that I a( a #octor an# that yo+ ha"! i"!# ,ith
39
7. 7ro((C4!ich(ann, $!rsona co((+nication, 1956
231
hi( in his *ing#o( no, 'ro( s!"!n to si-t!!n;thatIs nin! y!ars ;
an# h! hasnIt h!p!# yo+. &o no, h! (+st p!r(it (! to try an# s!!
,h!th!r yo+ an# I can #o that Job. :! hi( that I a( a #octor an#
this is ,hat I ,ant to try.9
:h! th!rapist has h!r pati!nt in a 9th!rap!+tic #o+b! bin#.9 I' th!
pati!nt is r!n#!r!# #o+bt'+ abo+t h!r b!i!' in h!r go#, th!n sh! is
agr!!ing ,ith ?r. 7ro((C4!ich(ann, an# is a#(itting h!r
attach(!nt to th!rapy. I' sh! insists that 1o# 4 is r!a, th!n sh! (+st
t! hi( that ?r. 7ro((C4!ich(ann is 9(or! po,!r'+9 than h!;
again a#(itting h!r in"o"!(!nt ,ith th! th!rapist.
:h! #i''!r!nc! b!t,!!n th! th!rap!+tic bin# an# th! origina
#o+b! bin# sit+ation is in part th! 'act that th! th!rapist is not
in"o"!# in a i'! an# #!ath str+gg! hi(s!'. E! can th!r!'or! s!t +p
r!ati"!y b!n!"o!nt bin#s an# gra#+ay ai# th! pati!nt in his
!(ancipation 'ro( th!(. Aany o' th! +ni.+!y appropriat!
th!rap!+tic ga(bits arrang!# by th!rapists s!!( to b! int+iti"!. 8!
shar! th! goa o' (ost psychoth!rapists ,ho stri"! to,ar# th! #ay
,h!n s+ch stro*!s o' g!ni+s ,i b! ,! !no+gh +n#!rstoo# to b!
syst!(atic an# co((onpac!.
Additional -eferences
J. Ea!y, 9$ara#o-!s in $ay, 7antasy, an# $sychoth!rapy,9 6syc*iatric
$esearc* $eports, 1955, ># 5>%F.
J. 4+!sch an# 1. 0at!son, "ommunication# !*e Social ,atri. of 6syc*iatry, )!,
For*, )orton, 1951.
232
The "&ou2 Dyna(i'! o5 +'hi7o2h&enia
%
7irst, I int!n# to attach "!ry sp!ci'ic (!aning to th! tit! o' this
pap!r. An !ss!ntia notion attach!# to th! ,or# 9gro+p9 as I sha +s!
it is th! i#!a o' r!at!#n!ss b!t,!!n (!(b!rs. 5+r conc!rn is not
,ith th! sort o' ph!no(!na ,hich occ+r in !-p!ri(!ntay 'or(!#
gro+ps o' gra#+at! st+#!nts ,ho ha"! no pr!"io+sy #!t!r(in!#
habits o' co((+nication;no habit+a #i''!r!ntiations o' ro!. :h!
gro+p to ,hich I (osty r!'!r is th! 'a(iyL in g!n!ra, thos! 'a(iC
i!s in ,hich th! par!nts (aintain an a#J+st(!nt to th! ,or# aro+n#
th!( ,itho+t b!ing r!cogni/!# as grossy #!"iant, ,hi! on! or
(or! o' th!ir o''spring #i''!r conspic+o+sy 'ro( th! nor(a
pop+ation in th! 'r!.+!ncy an# ob"io+s nat+r! o' th!ir r!spons!s. I
sha aso b! thin*ing o' oth!r gro+ps anaogo+s to th!s!, i.!., ,ar#
organi/ations, ,hich ,or* in s+ch a ,ay as to pro(ot!
schi/ophr!nic or schi/ophr!noi# b!ha"ior in so(! o' th! (!(b!rs.
:h! ,or# 9#yna(ics9 is oos!y an# con"!ntionay +s!# 'or a
st+#i!s o' p!rsona int!raction an# !sp!ciay ,h!n th!y str!ss
chang! or !arning !-hibit!# by th! s+bJ!cts. ?!Cspit! o+r 'oo,ing
its con"!ntiona +s!, this ,or# is a (isno(!r. It !"o*!s anaogi!s
,ith physics ,hich ar! totay 'as!.
9?yna(ics9 is principay a ang+ag! #!"is!# by physicists an#
(ath!(aticians 'or th! #!scription o' c!rtain !"!nts. In this strict
s!ns!, th! i(pact o' on! biiar# ba +pon anCoth!r is s+bJ!ct (att!r
'or #yna(ics, b+t it ,o+# b! an !rror o' ang+ag! to say that
biiar# bas 9b!ha"!.9 ?yna(ics appropriat!y #!scrib! thos!
!"!nts ,hos! #!scriptions can b! ch!c*!# by as*ing ,h!th!r th!y
contra"!n! th! 7irst @a, o' :h!r(o#yna(ics, th! @a, o' th!
H
:h! i#!as in this !ct+r! r!pr!s!nt th! co(bin!# thin*ing o' th! sta'' o' :h!
$roJ!ct 'or th! &t+#y o' &chi/ophr!nic Co((+nication. :h! sta'' consist!# o'
1r!gory 0at!son, Jay Ea!y, John E. 8!a*an#, ?on ?. Jac*son, A.?., an# 8iia( 7.
7ry, A.?
:h! artic! is r!print!# 'ro( "*ronic Sc*i:op*renia# .plorations in !*eory
and !reatment, !#it!# by @. App!by, J. A. &ch!r, an# J. C+((ing, :h! 7r!! $r!ss,
1!nco!, Iinois, 1960L r!print!# by p!r(ission.
233
Cons!r"ation o' =n!rgy. 8h!n on! biiar# ba stri*!s anoth!r, th!
(otion o' th! s!con# is !n!rgi/!# by th! i(pact o' th! 'irst, an#
s+ch trans'!r!nc!s o' !n!rgy ar! th! c!ntra s+bJ!ct (att!r o'
#yna(ics. 8!, ho,!"!r, ar! not conc!rn!# ,ith !"!nt s!.+!nc!s
,hich ha"! this charact!ristic. I' I *ic* a ston!, th! (o"!(!nt o' th!
ston! is !n!rgi/!# by th! act, b+t i' I *ic* a #og, th! b!ha"ior o' th!
#og (ay in#!!# b! party cons!r"ati"!;h! (ay tra"! aong a
)!,tonian traJ!ctory i' *ic*!# har# !no+gh, b+t this is (!r!
physics. 8hat is i(portant is that h! (ay !-hibit r!spons!s ,hich
ar! !n!rgi/!# not by th! *ic* b+t by his (!tabois(L h! (ay t+rn
an# bit!.
:his, I thin*, is ,hat p!op! (!an by (agic. :h! r!a( o'
ph!no(!na in ,hich ,! ar! int!r!st!# is a,ays charact!ri/!# by
th! 'act that 9i#!as9 (ay in'+!nc! !"!nts. :o th! physicist, this is a
grossy (agica hypoth!sis. It is on! ,hich cannot b! t!st!# by
as*ing .+!stions abo+t th! cons!r"ation o' !n!rgy.
A this, ho,!"!r, has b!!n b!tt!r an# (or! rigoro+sy sai# by
0!rtaan''y, ,hich (a*!s it !asi!r 'or (! to '+rth!r !-por! this
r!a( o' ph!no(!na in ,hich communication occ+rs. 8! sha s!tt!
'or th! con"!ntiona t!r( 9#yna(ics9 pro"i#!# it is c!ary
+n#!rstoo# that ,! ar! not ta*ing abo+t #yna(ics in th! physica
s!ns!.
4ob!rt @o+is &t!"!nson
40
in 9:h! $oor :hing9 has achi!"!#
p!rhaps th! (ost "i"i# charact!ri/ation o' this (agica r!a(6
9In (y tho+ght on! thing is as goo# as anoth!r in this ,or#L an#
a sho! o' a hors! ,i #o.9 :h! ,or# 9y!s9 or a ,ho! p!r'or(anc!
o' 1amlet, or an inJ!ction o' !pin!phrin! in th! right pac! on th!
s+r'ac! o' th! brain (ay b! int!rchang!ab! obJ!cts. Any on! o'
th!( (ay, acCcor#ing to th! con"!ntions o' co((+nication
!stabish!# at that (o(!nt, b! an a''ir(ati"! 2or a n!gati"!3 ans,!r
to any .+!stion. In th! 'a(o+s (!ssag!, 95n! i' by an#L t,o i' by
s!a,
9
th! obJ!cts act+ay +s!# ,!r! a(ps, b+t 'ro( th! point o'
"i!, o' co((+nications th!ory, th!y co+# ha"! b!!n anything 'ro(
aar#"ar*s to /ygo(atic arch!s.
40
4. @. &t!"!nson, 9:h! $oor :hing,9 ;o&els and !ales of $o-ert /ouis
Ste&enson, Go. >C, )!, For*, &cribn!rs, 1918, pp. 49G%5C>.
234
It (ight ,! b! s+''ici!nty con'+sing to b! to# that, accor#ing
to th! con"!ntions o' co((+nication in +s! at th! (o(!nt, anything
can stan# 'or anything !s!. 0+t this r!a( o' (agic is not that
si(p!. )ot ony can th! sho! o' a hors! stan# 'or anything !s!
accor#ing to th! con"!ntions o' co((+nication, it can aso an#
si(+tan!o+sy b! a signa ,hich ,i at!r th! con"!ntions o'
co((+nication. Ay 'ing!rs cross!# b!hin# (y bac* (ay at!r th!
,ho! ton! an# i(pication o' !"!rything. I r!ca a schi/ophr!nic
pati!nt ,ho, i*! (any oth!r schi/ophr!nics, ha# #i''ic+ty ,ith th!
'irst p!rson prono+nL in partic+ar, h! #i# not i*! to sign his na(!.
E! ha# a n+(b!r o' aias!s, at!rnati"! na(!# asp!cts o' s!'. :h!
,ar# organi/ation, o' ,hich h! ,as a part, r!.+ir!# that h! sign his
na(! to obtain a pass, an# 'or on! or t,o ,!!*!n#s h! #i# not
r!c!i"! a pass b!ca+s! h! insist!# on signing on! o' his aias!s. 5n!
#ay h! r!(ar*!# that h! ,as going o+t th! n!-t ,!!*!n#. I sai#,
9
5h, #i# yo+ signD9 E! sai#, 9F!s,9 ,ith an o## grin. Eis r!a na(!,
,! ,i say, ,as =#,ar# 8. Jon!s. 8hat h! ha# act+ay sign!# ,as
98. =#,ar# Jon!s.9 :h! ,ar# o''icias #i# not notic! th! #i''!r!nc!.
It app!ar!# to th!( that th!y ha# ,on a batt! an# ha# s+cc!!#!# in
'orcing hi( to act san!y. 0+t to hi(s!' th! (!ssag! ,as, 9E! 2th!
r!a (!3 #i# not sign.9 E! ha# ,on th! batt!. It ,as as i' his 'ing!rs
,!r! cross!# b!hin# his bac*.
A co((+nication has this charact!ristic;it can b! (agicay
(o#i'i!# by acco(panying co((+nication. In this con'!r!nc!, ,!
ha"! b!!n #isc+ssing "ario+s ,ays o' int!racting ,ith pati!nts,
#!scribing ,hat ,! #o an# ,hat o+r strat!gy s!!(s to +s to b!. It
,o+# ha"! b!!n (or! #i''ic+t to #isc+ss o+r actions 'ro( th!
pati!ntsI point o' "i!,. Eo, #o ,! .+ai'y o+r co((+nications to
th! pati!nts, so that th! !-p!ri!nc! ,hich th!y r!c!i"! ,i b!
th!rap!+ticD
App!by, 'or !-a(p!, #!scrib!# a s!t o' proc!#+r!s on his
,ar#, an# i' I ,!r! a schi/ophr!nic ist!ning to hi(, I ,o+# ha"!
b!!n t!(pt!# to say, 9It a so+n#s i*! occ+pationa th!rapy to
(!.9 E! t!s +s "!ry con"incingy an# ,ith 'ig+r!s that his
progra( is s+cc!ss'+, an# in #oc+(!nting his s+cc!ss h! is no
#o+bt t!ing th! tr+th. I' this is so, th!n his #!scription o' th!
progra( (+st n!c!ssariy b! inco(p!t!. :h! !-p!ri!nc!s ,hich
th! progra( pro"i#!s 'or th! pati!nts (+st b! so(!thing a itt!
235
(or! ai"! than th! #ry bon!s o' th! progra( ,hich h! has
#!scrib!#. :h! ,ho! s!ri!s o' th!rap!+tic proc!#+r!s (+st ha"!
b!!n .+ai'i!#, possiby ,ith !nth+sias( or ,ith h+(or, ,ith so(!
s!t o' signas ,hich at!r!# th! (ath!(atica sign;p+s or (in+s
;o' ,hat ,as b!ing #on!. App!by has to# +s ony abo+t th! sho!
o' th! hors!, not abo+t th! (+tit+#! o' r!aiti!s ,hich #!t!r(in!#
'or ,hat that hors!sho! stoo#.
It is as i' h! ha# r!at!# that a gi"!n (+sica co(position ,as
s!t in th! *!y o' C (aJor, an# as*!# +s to b!i!"! that this s*!!ta
stat!(!nt ,as a s+''ici!nt #!scription to !nab! +s to +n#!rstan#
,hy this partic+ar co(position at!r!# th! (oo# o' th! ist!n!r in
a partic+ar ,ay. 8hat is o(itt!# in a s+ch #!scriptions is th!
!nor(o+s co(p!-ity o' (o#+ation o' co((+nication. It is this
(o#+ation ,hich is (+sic.
@!t (! shi't 'ro( a (+sica to a ,i#! bioogica anaogy in or#!r
to !-a(in! '+rth!r this (agica r!a( o' co((+nication. A
organis(s ar! partiay #!t!r(in!# by g!n!tics, i.!., -y co(p!-
const!ations o' (!ssag!s carri!# principay in th! chro(oso(!s.
8! ar! pro#+cts o' a co((+nicationa proc!ss, (o#i'i!# an#
.+ai'i!# in "ario+s ,ays by !n"iron(!nta i(pact. It 'oo,s,
th!r!'or!, that th! #i''!r!nc!s b!t,!!n r!at!# organis(s, say, a crab
an# a obst!r, or b!t,!!n a ta p!a an# a short p!a, (+st a,ays b!
th! sort o' #i''!r!nc!s that can b! cr!at!# by chang!s an#
(o#+ations in a const!ation o' (!ssag!s. &o(!ti(!s th!s!
chang!s in th! (!ssag! syst!( ,i b! r!ati"!y concr!t!;a shi't
'ro( 9y!s9 to 9no9 in th! ans,!r to so(! .+!stion go"!rning a
r!ati"!y s+p!r'icia #!tai o' th! anato(y. :h! tota pict+r! o' th!
ani(a (ay b! at!r!# by as itt! as on! spot in th! ,ho! ha'ton!
boc*, or th! chang! (ay b! on! ,hich (o#i'i!s or (o#+at!s th!
,ho! syst!( o' g!n!tic (!ssag!s, so that !"!ry (!ssag! in th!
syst!( ta*!s on a #i''!r!nt oo* ,hi! r!taining its 'or(!r r!ationC
ship to a n!ighboring (!ssag!s. It is, I b!i!"!, this stabiity o' th!
r!ationship b!t,!!n (!ssag!s +n#!r th! i(pact o' th! chang! in
on! part o' th! const!ation that pro"i#!s a basis 'or th! 7r!nch
aphoris( 9$+s g!t c*ange, plus cDest la mIme c*ose.9 It is a
r!cogni/!# 'act that th! s*+s o' th! "ario+s anthropoi#s can b!
#ra,n +pon #i"!rs!y s*!,!# coor#inat!s Ito #!(onstrat! th!
236
'+n#a(!nta si(iarity o' r!ations an# th! syst!(atic nat+r! o' th!
trans'or(ation 'ro( on! sp!ci!s to anoth!r.
41
Ay 'ath!r ,as a g!n!ticist, an# h! +s!# to say, 9ItIs a
"ibrations,9
42
an# to i+strat! this h! ,o+# point o+t that th!
striping o' th! co((on /!bra is an octa"! high!r than that o'
1r!"yIs /!bra. 8hi! it is tr+! that in this partic+ar cas! th!
9'r!.+!ncy9 is #o+b!#, I #onIt thin* that it is !ntir!y a (att!r o'
"ibrations as h! !n#!a"or!# to !-Cpain it. 4ath!r, h! ,as trying to
say that it is a a (att!r o' th! sort o' (o#i'ications ,hich co+# b!
!-p!ct!# a(ong syst!(s ,hos! #!t!r(inants ar! not a (att!r o'
physics in th! cr+#! s!ns!, b+t a (att!r o' (!ssag!s an# (o#+at!#
syst!(s o' (!ssag!s.
It is ,orth noting, too, that p!rhaps organic 'or(s ar! b!a+ti'+ to
+s an# th! syst!(atic bioogist can 'in# a!sth!tic satis'action in th!
differences b!t,!!n r!at!# organis(s si(py b!ca+s! th!
#i''!r!nc!s ar! #+! to (o#+ations o' co((+nication, ,hi! ,!
o+rs!"!s ar! both organis(s ,ho co((+nicat! an# ,hos! 'or(s
ar! #!t!r(in!# by const!ations o' g!n!tic (!ssag!s. :his is not th!
pac!, ho,!"!r, 'or s+ch a r!"ision o' a!sth!tic th!ory. An !-p!rt in
th! th!ory o' (ath!(atica gro+ps co+# (a*! a (aJor contrib+tion
in this 'i!#.
A (!ssag!s an# parts o' (!ssag!s ar! i*! phras!s or s!g(!nts
o' !.+ations ,hich a (ath!(atician p+ts in brac*!ts. 5+tsi#! th!
brac*!ts th!r! (ay a,ays b! a .+ai'i!r or (+tipi!r ,hich ,i
at!r th! ,ho! t!nor o' th! phras!. Aor!Co"!r, th!s! .+ai'i!rs can
a,ays b! a##!#, !"!n y!ars at!r.
:h!y #o not ha"! to pr!c!#! th! phras! insi#! th! brac*!ts.
5th!r,is!, th!r! co+# b! no psychoth!rapy. :h! pati!nt ,o+# b!
!ntit!# an# !"!n co(p!!# to arg+!, 9Ay (oth!r sapp!# (! #o,n
in s+ch an# s+ch ,ays, an#, th!r!'or!, I a( no, sic*L an# b!ca+s!
thos! tra+(ata occ+r!# in th! past th!y cannot b! at!r!#, an# I,
th!r!'or!, cannot g!t ,!.9 In th! r!a( o' co((+nication, th!
e&ents o' th! past constit+t! a chain o' o# hors!sho!s so that th!
41
?. 8. :ho(pson, @n (ro't* and Jorm, Go. >, @.%'or#, 5-'or# %ni"!rsity
$r!ss, 1952.
42
0!atric! C. 0at!son, 2illiam <ateson, ;aturalist, Ca(bri#g!, Ca(bri#g!
%ni"!rsity $r!ss, 1928.
237
(!aning o' that chain can b! chang!# an# is contin+ay b!ing
chang!#. 8hat !-ists to#ay ar! ony (!ssag!s abo+t th! past ,hich
,! ca (!(ori!s, an# th!s! (!ssag!s can aC,ays b! 'ra(!# an#
(o#+at!# 'ro( (o(!nt to (o(!nt.
%p to this point th! r!a( o' co((+nication app!ars to b! (or!
an# (or! co(p!-, (or! '!-ib!, an# !ss a(!nab! to anaysis.
)o, th! intro#+ction o' th! gro+p conc!pt;th! consi#!ration o'
(any p!rsons;s+##!ny si(pi'i!s this con'+s!# r!a( o' sipping
an# si#ing (!anings. I' ,! sha*! +p a n+(b!r o' irr!g+ar ston!s in
a bag, or s+bJ!ct th!( to an a(ost ran#o( b!ating by th! ,a"!s on
th! s!ashor!, !"!n at th! cr+#!y physica !"!, th!r! ,i b! a
gra#+a si(pi'ication o' th! syst!(;th! ston!s ,i r!s!(b! !ach
oth!r. In th! !n#, th!y ,i a b!co(! sph!rica, b+t in practic! ,!
+s+ay !nco+nt!r th!( as party ro+n#!# p!bb!s. C!rtain 'or(s o'
ho(og!ni/ation r!s+t 'ro( (+tip! i(pact !"!n at th! cr+#!
physica !"!, an# ,h!n th! i(pacting !ntiti!s ar! organis(s
capab! o' co(p!- !arning an# co((+nication, th! tota syst!(
op!rat!s rapi#y toC,ar# !ith!r +ni'or(ity or to,ar# syst!(atic
#i''!r!ntiation;an incr!as! o' si(picity;,hich ,! ca
organi/ation. I' th!r! ar! #i''!r!nc!s b!t,!!n th! i(pacting !ntiti!s,
th!s! #i''!r!nc!s ,i +n#!rgo chang!, !ith!r in th! #ir!ction o'
r!#+cing th! #i''!r!nc!, or in th! #ir!ction o' achi!"ing a (+t+a
'itting or co(p!(!ntarity. A(ong gro+ps o' p!op!, ,h!th!r th!
#ir!ction o' chang! is to,ar# ho(og!n!ity or to,ar#
co(p!(!ntarity, th! achi!"!(!nt is a sharing o' pr!(is!s r!gar#ing
th! (!aning an# appropriat!n!ss o' (!ssag!s an# oth!r acts in th!
cont!-t o' th! r!ationship.
I sha not go into th! co(p!- prob!(s o' !arning in"o"!# in
this proc!ss b+t sha proc!!# to th! prob!( o' schi/ophr!nia. An
in#i"i#+a, i.!., th! i#!nti'i!# pati!nt, !-ists ,ithin a 'a(iy s!tting,
b+t ,h!n ,! "i!, hi( sing+ary, c!rtain p!c+ariti!s o' his
co((+nicationa habits ar! not!#.
:h!s! p!c+iariti!s (ay b! party #!t!r(in!# by g!n!tics or
physioogica acci#!nt, b+t it is sti r!asonab! to .+!stion th!
'+nction o' th!s! p!c+iariti!s ,ithin th! co((+nicationa syst!( o'
,hich th!y ar! a p a r t th! 'a(iy. A n+(b!r o' i"ing cr!at+r!s
ha"! b!!n, in a s!ns!, sha*!n +p tog!th!r an# on! o' th!( has co(!
o+t appar!nty #i''!r!nt 'ro( th! r!stL ,! ha"! to as* not ony abo+t
238
#i''!r!nc!s in th! (at!ria o' ,hich this partic+ar in#i"i#+a (ay b!
(a#!, b+t aso ho, his partic+ar charact!ristics ,!r! #!"!op!# in
this 'a(iy syst!(. Can th! p!c+iariti!s o' th! i#!nti'i!# pati!nt b!
s!!n as appropriate, i.e., as !ith!r ho(og!n!o+s ,ith, or
co(p!(!ntary to, th! charact!ristics o' th! oth!r (!(b!rs o' th!
gro+pD 8! #o not #o+bt that a arg! part o' schi/ophr!nic.
sy(pto(atoogy is, in so(! s!ns!, !arn!# or #!t!r(in!# by
!-p!ri!nc!, b+t an organis( can !arn ony that ,hich it is ta+ght by
th! circ+(stanc!s o' i"ing an# th! !-p!ri!nc!s o' !-changing
(!ssag!s ,ith thos! aro+n# hi(. E! cannot !arn at ran#o(, b+t
ony to b! i*! or +ni*! thos! aro+n# hi(. 8! ha"!, th!r!'or!, th!
n!c!ssary tas* o' oo*ing at th! !-p!ri!ntia s!tting o'
schi/ophr!nia.
8! sha o+tin! bri!'y ,hat ,! ha"! b!!n caing th! #o+b!
bin# hypoth!sis, ,hich has b!!n (or! '+y #!scrib!# !s!,h!r!.
43
:his hypoth!sis contains t,o partsL a 'or(a #!scription o' th!
co((+nicationa habits o' th! schi/ophr!nic, an# a 'or(a
#!scription o' th! s!.+!nc!s o' !-p!ri!nc! ,hich ,o+#
+n#!rstan#aby train th! in#i"i#+a in his p!c+iar #istortions o'
co((+nication. =(piricay ,! 'in# that on! #!scription o' th!
sy(pto(s is, on th! ,ho!, satis'actory, an# that th! 'a(ii!s o'
schi/ophr!nics ar! charact!ri/!# by th! b!ha"iora s!.+!nc!s
,hich ar! pr!#ict!# by th! hypoth!sis.
:ypicay, th! schi/ophr!nic ,i !i(inat! 'ro( his (!ssag!s
!"!rything that r!'!rs !-picity or i(picity to th! r!ationship
43
1. 0at!son, ?. ?. Jac*son, J. Ea!y, an# J. E. 8!a*Can#, 9:o,ar# a :h!ory o'
&chi/ophr!nia,9 <e*a&ioral Science, 1956, 1# 251Y64L aso 1. 0at!son, 9@ang+ag!
an# $sychoth!rapy, 7ri!#a 7ro((C4!ich(annIs @ast $roJ!ct,9 6syc*iatry, 1958,
>1# 9GK1CC0 aso 1. 0at!son 2(o#!rator3, 9&chi/ophr!nic ?istortions o'
Co((+nication,9 6syc*ot*erapy of "*ronic Sc*i:op*renic 6atients, C. A.
8hitac*!r, !#., 0oston an# :oronto, @itt!, 0ro,n an# Co., 195F, pp. 31Y56L aso 1.
0at!son, 9Anaysis o' 1ro+p :h!rapy in an A#(ission 8ar#, %nit!# &tat!s )a"a
Eospita, 5a*an#, Cai'ornia,9 Social 6syc*iatry in Action, E. A. 8i(!r,
&pring'i!#, I., Char!s C. :ho(as, 195F, pp. 334Y49L aso J. Ea!y, 9:h! Art o'
$sychoanaysis,9 etc., 1958, .15# 19CK>CC0 aso J. Ea!y, 9An Int!ractiona
=-panation o' Eypnosis,9 American Journal of "linical 1ypnosis, 195F, 16 41K570
aso J. E. 8!a*an# an# ?. ?. Jac*son, 9$ati!nt an# :h!rapist 5bs!r"ations on th!
Circ+(stanc!s o' a &chi/ophr!nic =piso#!,9 A,A Arc*i&es of ;eurological
6syc*iatry, 195F, 79# 554K74.
239
b!t,!!n hi(s!' an# th! p!rson h! is a##r!ssing. &chi/ophr!nics
co((ony a"oi# th! 'irst an# s!con# p!rson prono+ns. :h!y a"oi#
t!ing yo+ ,hat sort o' a (!ssag! th!y ar! trans(itting;,h!th!r it
b! it!ra or (!taphoric, ironic or # i r ! c t an# th!y ar! i*!y to
ha"! #i''ic+ty ,ith a (!ssag!s an# (!aning'+ acts ,hich i(py
inti(at! contact b!t,!!n th! s!' an# so(! oth!r. :o r!c!i"! 'oo#
(ay b! a(ost i(possib!, b+t so aso (ay b! th! r!p+#iation o'
'oo#.
8h!n !a"ing 'or th! A.$.A. (!!tings in Eono++, I to# (y
pati!nt that I ,o+# b! a,ay an# ,h!r! I ,as going. E! oo*!# o+t
th! ,in#o, an# sai#, 9:hat pan! 'i!s a,'+y so,y.9 E! co+#
not say, 9I sha (iss yo+,9 b!ca+s! h! ,o+# th+s b! i#!nti'ying
hi(s!' in a r!ationship to (!, or (! in r!ationship to hi(s!'. :o
say, 9I sha (iss yo+9 ,o+# b! to ass!rt a basic pr!(is! abo+t o+r
(+t+a r!ationship by #!'ining th! sorts o' (!ssag!s ,hich sho+#
b! charact!ristic o' that r!ationship.
5bs!r"aby, th! schi/ophr!nic a"oi#s or #istorts anything ,hich
(ight s!!( to i#!nti'y !ith!r hi(s!' or th! p!rson ,ho( h! is
a##r!ssing. E! (ay !i(inat! anything ,hich i(pi!s that his
(!ssag! r!'!rs to, an# is a part o', a r!ationship b!t,!!n t,o
i#!nti'iab! p!op!, ,ith c!rtain sty!s an# pr!(is!s go"!rning th!ir
b!ha"ior in that r!ationship. E! (ay a"oi# anything ,hich (ight
!nab! th! oth!r to int!rpr!t ,hat h! says. E! (ay obsc+r! th! 'act
that h! is sp!a*ing in (!taphor or in so(! sp!cia co#!, an# h! is
i*!y to #istort or o(it a r!'!r!nc! to ti(! an# pac!. I' ,! +s! a
8!st!rn %nion t!!gra( 'or( as an anaogy, ,! (ight say that h!
o(its ,hat ,o+# b! p+t on th! proc!#+ra parts o' th! t!!graph
'or( an# ,i (o#i'y th! t!-t o' his (!ssag! to #istort or o(it any
in#ication o' th!s! (!taco((+nicati"! !!(!nts in th! tota nor(a
(!ssag!. 8hat r!(ains is i*!y to b! a (!taphoric stat!(!nt
+nab!!# as to cont!-t. 5r, in !-tr!(! cas!s, th!r! (ay b! nothing
!'t b+t a stoi# acting o+t o' th! (!ssag!, 9:h!r! is no r!ationship
b!t,!!n +s.9
:his (+ch is obs!r"ab! an# (ay b! s+((ari/!# by saying that
th! schi/ophr!nic co((+nicat!s as i' h! !-p!ct!# to b! p+nish!#
!"!ry ti(! h! in#icat!s that h! is right in his "i!, o' th! cont!-t o'
his o,n (!ssag!.
240
:h! 9#o+b! bin#,
9
,hich is c!ntra to th! !tioogica ha' o' o+r
hypoth!sis, (ay no, si(py b! s+((ari/!# by saying that it is an
!-p!ri!nc! o' b!ing p+nish!# pr!cis!y 'or b!ing right in on!Is o,n
"i!, o' th! cont!-t. 5+r hypoth!sis ass+(!s that r!p!at!#
!-p!ri!nc! o' p+nish(!nt in s!.+!nc!s o' this *in# ,i !a# th!
in#i"i#+a to b!ha"! habit+ay as i' h! !-p!ct!# s+ch p+nish(!nt.
:h! (oth!r o' on! o' o+r pati!nts po+r!# o+t ba(! +pon h!r
h+sban# 'or r!'+sing 'or 'i't!!n y!ars to han# o"!r contro o' th!
'a(iy 'inanc!s to h!r. :h! 'ath!r o' th! pati!nt sai#, 9I a#(it that it
,as a gr!at (ista*! o' (! not to !t yo+ han#! it, I a#(it that. I
ha"! corr!ct!# that. Ay r!asons 'or thin*ing it ,as a (ista*! ar!
!ntir!y #i''!r!nt 'ro( yo+rs, b+t I a#(it that it ,as a "!ry s!rio+s
!rror on (y part.9
"other# )o,, yo+
I
r! J+st b!ing 'ac!tio+s.
Father# )o, I a( not b!ing 'ac!tio+s.
"other# 8!, any,ay I #onIt car! b!ca+s! ,h!n yo+ co(! right
#o,n to it th! #!bts ,!r! inc+rr!#, sti th!r! is no r!ason ,hy a
p!rson ,o+# not b! to# o' th!(. I thin* th! ,o(an sho+# b! to#.
Father# It (ay b! th! sa(! r!ason ,hy ,h!n Jo! 2th!ir psychotic
son3 co(!s ho(! 'ro( schoo an# h! has ha# tro+b! h! #o!snIt t!
yo+.
,ot*er# 8!, thatIs a goo# #o#g!.
:h! patt!rn o' s+ch a s!.+!nc! is si(py th! s+cc!ssi"!
#is.+ai'ication o' !ach o' th! 'ath!rIs contrib+tions to th!
r!ationship. E! is contin+o+sy b!ing to# that th! (!ssag!s ar! not
"ai#. :h!y ar! r!c!i"!# as i' th!y ,!r! in so(! ,ay #i''!r!nt 'ro(
that ,hich h! tho+ght h! int!n#!#.
8! (ay say that h! is p!nai/!# !ith!r 'or b!ing right abo+t his
"i!,s o' his o,n int!ntions, or h! is p!nai/!# ,h!n!"!r his r!py is
appropriat! to ,hat sh! sai#.
0+t, p!r contra, 'ro( h!r "i!,point, it s!!(s that h! is !n#!ssy
(isint!rpr!ting h!r, an# this is on! o' th! (ost p!c+iar
charact!ristics o' th! #yna(ic syst!( ,hich s+rro+n#s;or is;
schi/ophr!nia. ="!ry th!rapist ,ho has #!at ,ith schi/ophr!nics
,i r!cogni/! th! r!c+rr!nt trap. :h! pati!nt !n#!a"ors to p+t th!
th!rapist in th! ,rong by his int!rpr!tation o' ,hat th! th!rapist
sai#, an# th! pati!nt #o!s this b!ca+s! h! !-p!cts th! th!rapist to
(isint!rpr!t ,hat h! 2th! pati!nt3 sai#. :h! bin# b!co(!s (+t+a. A
241
stag! is r!ach!# in th! r!ationship in ,hich n!ith!r p!rson can
a''or# to r!c!i"! or !(it (!taco((+nicati"! (!ssag!s ,itho+t
#istortion.
:h!r! is, ho,!"!r, +s+ay, an asy((!try in s+ch r!ationships.
:his (+t+a #o+b!bin#ing is a typ! o' str+gg! an# co((ony on!
or th! oth!r has th! +pp!r han#. 8! ha"! #!ib!rat!y chos!n to
,or* ,ith 'a(ii!s ,h!r! on! o' th! o''spring is th! i#!nti'i!#
pati!nt, an#, party 'or this r!ason, in o+r #ata, it is th! s+ppos!#y
nor(a par!nts ,ho ha"! th! +pp!r han# o"!r an i#!nti'iaby
psychotic yo+ng!r (!(b!r o' th! gro+p. In s+ch cas!s, th!
asy((!try ta*!s th! c+rio+s 'or( that th! i#!nti'i!# pati!nt
sacri'ic!s hi(s!' to (aintain th! sacr!# i+sion that ,hat th! par!nt
says (a*!s s!ns!. :o b! cos! to that par!nt, h! (+st sacri'ic! his
right to in#icat! that h! s!!s any (!taco((+nicati"!
incongr+!nci!s, !"!n ,h!n his p!rc!ption o' th!s! incongr+!nci!s is
corr!ct. :h!r! is, th!r!'or!, a c+rio+s #isparity in th! #istrib+tion o'
a,ar!n!ss o' ,hat is happ!ning. :h! pati!nt (ay *no, b+t (+st not
t!, an# th!r!by !nab!s th! par!nt to not *no, ,hat h! or sh! is
#oing. :h! pati!nt is an acco(pic! in th! par!ntIs +nconscio+s
hypocrisy. :h! r!s+t (ay b! "!ry gr!at +nhappin!ss an# "!ry gross,
b+t aC,ays syst!(atic, #istortions o' co((+nication.
Aor!o"!r, th!s! #istortions ar! a,ays pr!cis!y thos! ,hich
,o+# s!!( appropriat! ,h!n th! "icti(s ar! 'ac!# ,ith a trap to
a"oi# ,hich ,o+# b! to #!stroy th! "!ry nat+r! o' th! s!'. :his
para#ig( is n!aty i+strat!# by a pasCsag! ,hich is ,orth .+oting
in '+ 'ro( 7!sting Jon!sI i'! o' &a(+! 0+t!r.
44
0+t!r ,!nt to #inn!r at Ar. &!!boh(Is ,h!r! h! (!t &*!rtch!y,
,ho to# th!( abo+t a ratCtrap in"!nt!# by Ar. :yorIs coach(an.
?%)<=::I& 4A:C:4A$
Ar. ?+n*!tt 'o+n# a his traps 'ai on! a't!r anoth!r, an# ,as in
s+ch #!spair at th! ,ay th! corn got !at!n that h! r!so"!# to in"!nt
a ratCtrap. E! b!gan by p+tting hi(s!' as n!ary as possib! in th!
ratIs pac!.
44
E. 7. Jon!s, Samuel <utler# A ,emoir, Lol. 1, @onC#on, Aac(ian,
1919.
242
"Is th!r! anything,9 h! as*!# hi(s!', 9in ,hich, i' I ,!r! a rat, I
sho+# ha"! s+ch co(p!t! con'i#!nc! that I co+# not s+sp!ct it
,itho+t s+sp!cting !"!rything in th! ,or# an# b!ing +nab!
h!nc!'orth to (o"! '!ar!ssy in any #ir!ctionD9
E! pon#!r!# 'or a ,hi! an# ha# no ans,!r, ti on! night th!
roo( s!!(!# to b!co(! '+ o' ight an# h! h!ars a "oic! 'ro(
h!a"!n saying6
9?rainCpip!s.9
:h!n h! sa, his ,ay. :o s+sp!ct a co((on #rainCpip! ,o+# b!
to c!as! to b! a rat. E!r! &*!rtch!y !narg!# a itt!, !-paining that
a spring ,as to b! conc!a!# insi#!, b+t that th! pip! ,as to b! op!n
at both !n#sL i' th! pip! ,!r! cos!# at on! !n#, a rat ,o+#
nat+ray not i*! going into it, 'or h! ,o+# not '!! s+r! o' b!ing
ab! to g!t o+t againL on ,hich I >0+t!rB int!rr+pt!# an# sai#6
9Ah, it ,as J+st this ,hich stopp!# (! 'ro( going inCto th!
Ch+rch.9
8h!n h! >0+t!rB to# (! this I >Jon!sB *n!, ,hat ,as in his
(in#, an# that, i' h! ha# not b!!n in s+ch r!sp!ctab! co(pany, h!
,o+# ha"! sai#6 9It ,as J+st this ,hich stopp!# (! 'ro( g!tting
(arri!#.9
)otic! that ?+n*!tt co+# ony in"!nt this #o+b! bin# 'or rats by
,ay o' an ha+cinatory !-p!ri!nc!, an# that both 0+t!r an# Jon!s
i((!#iat!y r!gar#!# th! trap as a para#ig( 'or h+(an r!ations.
In#!!#, this sort o' #i!((a is not rar! an# is not con'in!# to th!
cont!-ts o' schi/ophr!nia.
:h! .+!stion ,hich ,! (+st 'ac!, th!r!'or!, is ,hy th!s!
s!.+!nc!s ar! !ith!r sp!ciay 'r!.+!nt or sp!ciay #!str+cti"! in
thos! 'a(ii!s ,hich contain schi/ophr!nics. I #o not ha"! th!
statistics to ass!rt thisL ho,!"!r, 'ro( i(it!# b+t int!ns!
obs!r"ation o' a '!, o' th!s! 'a(ii!s, I can o''!r an hypoth!sis
abo+t th! gro+p #yna(ics ,hich ,o+# #!t!rC(in! a syst!( o'
int!raction, s+ch that #o+b! bin# !-p!ri!nc!s (+st r!c+r ad
nauseam. :h! prob!( is to constr+ct a (o#! ,hich ,i n!c!ssariy
cycle to r!cr!at! th!s! patt!rn!# s!.+!nc!s o"!r an# o"!r again.
243
&+ch a (o#! is pro"i#!# in Gon )!+(annIs an# AorC
g!nst!rnIs
45
th!ory o' ga(!s, pr!s!nt!# h!r! not, in#!!#, ,ith its
'+ (ath!(atica rigor, b+t at !ast in t!r(s so(!C,hat t!chnica.
Gon )!+(ann ,as conc!rn!# ,ith (ath!(atica st+#y o' th!
'or(a con#itions +n#!r ,hich !ntiti!s, ,ith tota int!ig!nc! an# a
pr!'!r!nc! 'or gain, ,o+# 'or( coaitions a(ong th!(s!"!s in
or#!r to (a-i(i/! th! pro'its ,hich coaition (!(b!rs (ight
r!c!i"! at th! !-p!ns! o' th! nonC(!(b!rs. E! i(agin!# th!s!
!ntiti!s as !ngag!# in so(!Cthing i*! a ga(! an# proc!!#!# to as*
abo+t th! 'or(a charact!ristics o' th! r+!s ,hich ,o+# co(p! th!
totay int!ig!nt b+t gainCori!nt!# pay!rs to 'or( coaitions. A
"!ry c+rio+s conc+sion !(!rg!#, an# it is this conc+sion ,hich I
,o+# propos! as a (o#!.
="i#!nty, coaition b!t,!!n pay!rs can ony !(!rg! ,h!n
th!r! ar! at !ast thr!! o' th!(. Any t,o (ay th!n g!t tog!th!r to
!-poit th! thir#, an# i' s+ch a ga(! b! sy((!tricay #!"is!#, it
!"i#!nty has thr!! so+tions ,hich ,! (ay r!pr!s!nt as
A< &s. "
<" &s. A
A" &s. <
7or this thr!!Cp!rson syst!(, Gon )!+(ann #!(onstrat!s that
onc! 'or(!#, any on! o' th!s! coaitions ,i b! stab!. I' A an# <
ar! in aianc!, th!r! is nothing C can #o abo+t it. An#, int!r!stingy
!no+gh, A an# < ,i n!c!ssariy #!"!op con"!ntions
2s+pp!(!ntary to th! r+!s3 ,hich ,i, 'or !-a(p!, 'orbi# th!(
'ro( ist!ning to CIs approach!s.
In th! 'i"!Cp!rson ga(!, th! position b!co(!s .+it! #i''!r!ntL
th!r! ,i b! a "ari!ty o' possibiiti!s. It (ay b! that 'o+r pay!rs
cont!(pat! a co(bination against on!, i+strat!# in th! 'oo,ing
'i"! patt!rns6
A $s. %CDE
% $s. ACDE
C $s. A%DE
45
J. Gon )!+(ann an# 5. Aorg!nst!rn, !*eory of (ames and conomic
<e*a&ior, $rinc!ton, $rinc!ton %ni"!rsity $r!ss, 1944.
244
D $s. A%CE
E $s. A%CD
0+t non! o' th!s! ,o+# b! stab!. :h! 'o+r pay!rs ,ithin th!
coaition (+st, n!c!ssariy, !ngag! in a s+bga(! in ,hich th!y
(an!+"!r against !ach oth!r to achi!"! an +n!.+a #i"ision o' th!
gains ,hich th! coaition co+# s.+!!/! o+t o' th! 'i'th pay!r. :his
(+st !a# to a coaition patt!rn ,hich ,! (ay #!scrib! as > &s. > &s.
1, i.!., <" &s. 8 &s. A. In s+ch a sit+ation, it ,o+# b!co(! possib!
'or A to approach an# Join on! o' th!s! pairs, so that th! coaition
syst!( ,i b!co(! ? &s. >.
0+t in th! syst!( ? &s. >, it ,o+# b! a#"antag!o+s 'or th! thr!!
to r!cr+it o"!r to th!ir si#! on! o' th! t,o, in or#!r to (a*! th!ir
gains (or! c!rtain. )o, ,! ar! bac* to a 4 "s. 1 syst!(;not
n!c!ssariy th! partic+ar in!C+p that ,! start!# 'ro( b+t at any rat!
a syst!( ha"ing th! sa(! g!n!ra prop!rti!s. It, in t+rn, (+st br!a*
#o,n into 2 "s. 2 "s. 1, an# so on.
In oth!r ,or#s, 'or !"!ry possib! patt!rn o' coaitions, th!r! is at
!ast on! oth!r patt!rn ,hich ,i 9#o(inat!9 it;to +s! Gon
)!+(annIs t!r(;an# th! r!ationship o' #o(ination b!t,!!n
so+tions is intransiti"!. :h!r! ,i aC,ays b! a circ+ar ist o'
at!rnati"! so+tions so that th! syst!( ,i n!"!r c!as! 'ro(
passing on 'ro( so+tion to so+tion, a,ays s!!cting anoth!r
so+tion ,hich is pr!'!rab! to that ,hich pr!c!#!# it. :his (!ans,
in 'act, that th! robots 2o,ing to th!ir tota int!ig!nc!3 ,i b!
+nab! to #!ci#! +pon a sing! 9pay9 o' th! ga(!.
I o''!r this (o#! as b!ing r!(inisc!nt o' ,hat happ!ns in
schi/ophr!nic 'a(ii!s. )o t,o (!(b!rs s!!( ab! to g!t tog!th!r
in a coaition stab! !no+gh to b! #!cisi"! at th! gi"!n (o(!nt.
&o(! oth!r (!(b!r or (!(b!rs o' th! 'a(iy ,i a,ays
int!r"!n!. 5r, ac*ing s+ch int!r"!ntion, th! t,o (!(b!rs ,ho
cont!(pat! a coaition ,i '!! g+ity "isCaC"is ,hat th! thir# (ight
#o or say, an# ,i #ra, bac* 'ro( th! coaition.
)otic! that it ta*!s 'i"! hypoth!tica !ntiti!s ,ith tota
int!ig!nc! to achi!"! this partic+ar sort o' instabiity or osciation
in a Gon )!+(annian ga(!. 0+t thr!! h+(an b!ings s!!( to b!
!no+gh. $!rhaps th!y ar! not totay int!ig!nt or p!rhaps th!y ar!
245
syst!(aticay inconsist!nt r!gar#ing th! sort o' 9gain9 in t!r(s o'
,hich th!y ar! (oti"at!#.
I ,ant to str!ss that in s+ch a syst!(, th! !-p!ri!nc! o' !ach
s!parat! in#i"i#+a ,i b! o' this *in#6 !"!ry (o"! ,hich h! (a*!s
is th! co((onCs!ns! (o"! in th! sit+ation as h! corr!cty s!!s it at
that (o(!nt, b+t his !"!ry (o"! is s+bs!.+!nty #!(onstrat!# to
ha"! b!!n ,rong by th! (o"!s ,hich oth!r (!(b!rs o' th! syst!(
(a*! in r!spons! to his 9right9 (o"!. :h! in#i"i#+a is th+s ca+ght
in a p!rp!t+a s!.+!nc! o' ,hat ,! ha"! ca!# #o+b! bin#
!-p!ri!nc!s.
I #o not *no, ho, "ai# this (o#! (ay b!, b+t I o''!r it 'or t,o
r!asons. 7irst, it is propos!# as a sa(p! o' trying to ta* abo+t th!
arg!r syst!(;th! 'a(iy;inst!a# o' ta*ing, as ,! habit+ay #o,
abo+t th! in#i"i#+a. I' ,! ar! to +n#!rstan# th! #yna(ics o'
schi/ophr!nia, ,! (+st #!"is! a ang+ag! a#!.+at! to th!
ph!no(!na ,hich ar! !(!rg!nt in this arg!r syst!(. ="!n i' (y
(o#! is inappropriat!, it is sti ,orth,hi! to try to ta* in th! sort
o' ang+ag! ,hich ,! sha n!!# 'or #!scribing th!s! !(!rg!nt
ph!no(!na. &!con#y, conc!pt+a (o#!s, !"!n ,h!n incorr!ct, ar!
+s!'+ to th! !-t!nt that criticis( o' th! (o#! (ay point to n!,
th!or!tica #!"!op(!nts.
@!t (!, th!r!'or!, point o+t on! criticis( o' this (o#!, an#
consi#!r to ,hat i#!as it ,i !a#. :h!r! is no th!or!( in Gon
)!+(annIs boo* ,hich ,o+# in#icat! that his !ntiti!s or robots,
!ngag!# in this in'init! #anc! o' changing coaitions, ,o+# !"!r
b!co(! schi/ophr!nic. Accor#ing to th! abstract th!ory, th! !ntiti!s
si(py r!(ain totay int!ig!nt ad infinitum.
)o,, th! (aJor #i''!r!nc! b!t,!!n p!op! an# "on )!+(annIs
robots i!s in th! 'act o' !arning. :o b! in'init!y int!ig!nt i(pi!s
to b! in'init!y '!-ib!, an# th! pay!rs in th! #anc! ,hich I ha"!
#!scrib!# co+# n!"!r e.perience th! pain ,hich h+(an b!ings
,o+# '!! i' contin+aypro"!n ,rong ,h!n!"!r th!y ha# b!!n
,is!. E+(an b!ings ha"! a co((it(!nt to th! so+tions ,hich
th!y #isco"!r, an# it is this psychoogica co((it(!nt that (a*!s
it possib! 'or th!( to b! h+rt in th! ,ay (!(b!rs o' a
schi/ophr!nic 'a(iy ar! h+rt.
It app!ars th!n, 'ro( consi#!ration o' th! (o#!, that th!
#o+b! bin# hypoth!sis, to b! !-panatory o' schi/ophr!nia, (+st
246
#!p!n# +pon c!rtain psychoogica ass+(ptions abo+t th! nat+r! o'
th! h+(an in#i"i#+a as a !arning organis(. 7or th! in#i"i#+a to
b! pron! to schi/ophr!nia, in#i"i#+ation (+st co(pris! t'o
contrasting psychoogica (!chanis(s. :h! 'irst is a (!chanis( o'
a#aptation to #!(an#s o' th! p!rsona !n"iron(!ntL an# th!
s!con#, a proc!ss or (!chanis( ,h!r!by th! in#i"i#+a b!co(!s
!ith!r bri!'y or !n#+ringy co((itt!# to th! a#aptations ,hich th!
'irst proc!ss has #isco"!r!#.
I thin* that ,hat a( caing a bri!' co((it(!nt to an
a#aptation is ,hat 0!rtaan''y ca!# th! immanent state of action0
an# that th! (or! !n#+ring co((it(!nt to a#aptation is si(py
,hat ,! +s+ay ca 9habit.9
8hat is a p!rsonD 8hat #o I (!an ,h!n I say 9ID9 $!rhaps ,hat
!ach o' +s (!ans by th! 9s!'9 is in 'act an aggr!gat! o' habits o'
p!rc!ption an# a#apti"! action plus, 'ro( (o(!nt to (o(!nt, o+r
9i((an!nt stat!s o' action.9 I' so(!bo#y attac*s th! habits an#
i((an!nt stat!s ,hich charact!ri/! (! at th! gi"!n (o(!nt o'
#!aing ,ith that so(!bo#y;that is, i' th!y attac* th! "!ry habits
an# i((an!nt stat!s ,hich ha"! b!!n ca!# into b!ing as part o' (y
r!ationship to th!( at that (o(!nt;th!y ar! n!gating (!. I' I car!
#!!py abo+t that oth!r p!rson, th! n!gation o' (! ,i b! sti (or!
pain'+.
8hat ,! ha"! sai# so 'ar is !no+gh to in#icat! th! sorts o'
strat!gy;or p!rhaps ,! sho+# say sy(pto(s;,hich ar! to b!
!-p!ct!# in that strang! instit+tion, th! schi/ophr!nic 'a(iy. 0+t it
is sti s+rprising to obs!r"! ho, th!s! strat!gi!s (ay b! contin+ay
an# habit+ay practic!# ,itho+t 'ri!n#s an# n!ighbors noticing that
so(!thing is ,rong. 7ro( th!ory ,! (ay pr!#ict that !"!ry
participant (!(b!r o' s+ch an instit+tion (+st b! #!'!nsi"! o' his or
h!r o,n i((an!nt stat!s o' action an# !n#+ring a#apti"! habitsL
prot!cti"!, that is, o' th! s!'.
:o i+strat! ,ith on! !-a(p!6 a co!ag+! ha# b!!n ,or*ing 'or
so(! ,!!*s ,ith on! o' th!s! 'a(ii!s, partic+ary ,ith th! 'ath!r,
th! (oth!r, an# th!ir a#+t schi/ophr!nic son. Eis (!!tings ,!r! on
th! conJoint patt!rn;th! (!(b!rs o' th! 'a(iy b!ing pr!s!nt
tog!th!r. :his appar!nty pro"o*!# so(! an-i!ty in th! (oth!r an#
sh! r!.+!st!# 'ac!CtoC'ac! int!r"i!,s ,ith (!. :his (o"! ,as
#isc+ss!# at th! n!-t conJoint (!!ting an# in #+! co+rs! sh! ca(! to
247
h!r 'irst s!ssion. %pon arri"a sh! (a#! a co+p! o' con"!rsationa
r!(ar*s, an# th!n op!n!# h!r p+rs! an# 'ro( it han#!# (! a pi!c!
o' pap!r, saying, 9It s!!(s (y h+sban# ,rot! this.9 I +n'o#!# th!
pap!r an# 'o+n# it to b! a sing! sh!!t o' sing!Cspac!# typ!script,
starting ,ith th! ,or#s, 9Ay h+sban# an# I (+ch appr!ciat! th!
opport+nity o' #isc+ssing o+r prob!(s ,ith yo+,9 !tc. :h!
#oc+(!nt th!n ,!nt on to o+tin! c!rtain sp!ci'ic .+!stions ,hich 9I
,o+# i*! to rais!.
It app!ar!# that th! h+sban# ha#, in 'act, sat #o,n at his
typ!,rit!r th! night b!'or! an# ha# ,ritt!n this !tt!r to me as
tho+gh it ,!r! ,ritt!n by his ,i'!, an# in it h! o+tin!# th! .+!stions
'or h!r to #isc+ss ,ith (!.
In nor(a #aiy i'! this sort o' thing is co((on !no+ghL it
pass!s (+st!r. 8h!n att!ntion is 'oc+s!# +pon th! charact!ristic
strat!gi!s, ho,!"!r, th!s! s!'Cprot!cting an# s!'C#!stroying
(an!+"!rs b!co(! conspic+o+s. 5n! s+##!ny #isco"!rs that in
s+ch 'a(ii!s th!s! strat!gi!s s!!( to pr!C#o(inat! o"!r a oth!rs.
It b!co(!s har#y s+rprising that th! i#!nti'i!# pati!nt !-hibits
b!ha"ior ,hich is a(ost a caricat+r! o' that oss o' i#!ntity ,hich is
charact!ristic o' a th! 'a(iy (!(b!rs.
I b!i!"! that this is th! !ss!nc! o' th! (att!r, that th!
schi/ophr!nic 'a(iy is an organi/ation ,ith gr!at ongoing
stabiity ,hos! #yna(ics an# inn!r ,or*ings ar! s+ch that !ach
(!(b!r is contin+ay +n#!rgoing th! !-p!ri!nc! o' n!gation o'
s!'.
248
Mini(al Requi&e(ent! 5o& a Theo&y o5
+'hi7o2h&enia
%
="!ry sci!nc!, i*! !"!ry p!rson, has a #+ty to,ar# its n!ighbors,
not p!rhaps to o"! th!( as its!', b+t sti to !n# th!( its toos, to
borro, toos 'ro( th!(, an#, g!n!ray, to *!!p th! n!ighboring
sci!nc!s straight. 8! (ay p!rhaps J+#g! o' th! i(portanc! o' an
a#"anc! in any on! sci!nc! in t!r(s o' th! chang!s ,hich this
a#"anc! co(p!s th! n!ighCboring sci!nc!s to (a*! in th!ir (!tho#s
an# in th!ir thin*ing. 0+t a,ays th!r! is th! r+! o' parsi(ony. :h!
chang!s ,hich ,! in th! b!ha"iora sci!nc!s (ay as* 'or in
g!n!tics, or in phiosophy, or in in'or(ation th!ory (+st a,ays b!
(ini(a. :h! +nity o' sci!nc! as a ,ho! is achi!"!# by this syst!(
o' (ini(a #!(an#s i(pos!# by !ach sci!nc! +pon its n!ighbors,
an#;not a itt!;by th! !n#ing o' conc!pt+a toos an# patt!rns
,hich occ+rs a(ong th! "ario+s sci!nc!s.
Ay p+rpos!, th!r!'or!, in th! pr!s!nt !ct+r! is not so (+ch to
#isc+ss th! partic+ar th!ory o' schi/ophr!nia ,hich ,! ha"! b!!n
#!"!oping at $ao Ato. 4ath!r, I ,ant to in#icat! to yo+ that this
th!ory an# oth!rs i*! it ha"! i(pact +pon i#!as abo+t th! "!ry
nat+r! o' !-panation. I ha"! +s!# th! tit! 9Aini(a 4!.+ir!(!nts
'or a :h!ory o' &chi/ophr!nia,9 an# ,hat I ha# in (in# in choosing
this tit! ,as a #isc+ssion o' th! i(pications o' th! #o+b! bin#
th!ory 'or th! ,i#!r 'i!# o' b!ha"iora sci!nc! an# !"!n, b!yon#
that, its !''!ct +pon !"o+tionary th!ory an# bioogica !pist!C
(oogy. 8hat (ini(a chang!s #o!s this th!ory #!(an# in r!at!#
sci!nc!sD
I ,ant to #!a ,ith .+!stions abo+t th! i(pact o' an !-p!ri!ntia
th!ory o' schi/ophr!nia +pon that tria# o' r!at!# sci!nc!s, !arning
th!ory, g!n!tics, an# !"o+tion.
H
&!con# Ann+a Ab!rt ?. @as*!r A!(oria @!ct+r!, #!i"!r!# at th! Instit+t! 'or
$sychoso(atic an# $sychiatric 4!s!arch an# :raining o' th! Aicha! 4!!s!
Eospita, Chicago, Apri 7, 1959. :his !ct+r! is h!r! r!print!# by p!r(ission o' th!
#.M.#. Arc*i&es of (eneral 6syc*iatry ,h!r! it app!ar!# in 1960, Go. 2, pp.
477C491.
249
:h! hypoth!sis (ay 'irst b! bri!'y #!scrib!#. In its !ss!ntias,
th! i#!a app!as ony to !"!ry#ay !-p!ri!nc!, an# !!(!ntary
co((on s!ns!. :h! 'irst proposition 'ro( ,hich th! hypoth!sis is
#!ri"!# is that !arning occ+rs a,ays in so(! cont!-t ,hich has
'or(a charact!ristics. Fo+ (ay thin*, i' yo+ ,i, o' th! 'or(a
charact!ristics o' an instr+(!nta a"oi#anc! s!.+!nc!, or o' th!
'or(a charact!ristics o' a $a"o"ian !-p!ri(!nt. :o !arn to i't a
pa, in a $a"o"ian cont!-t is #i''!r!nt 'ro( !arning th! sa(!
action in a cont!-t o' instr+(!nta r!,ar#.
7+rth!r, th! hypoth!sis #!p!n#s +pon th! i#!a that this str+ct+r!#
cont!-t aso occ+rs ,ithin a ,i#!r cont!-t;a (!tacont!-t i' yo+
,i;an# that this s!.+!nc! o' cont!-ts is an op!n, an# conc!i"aby
in'init!, s!ri!s.
:h! hypoth!sis aso ass+(!s that ,hat occ+rs ,ithin th! narro,
cont!-t 2!.g., instr+(!nta a"oi#anc!3 ,i b! a''!ct!# by th! ,i#!r
cont!-t ,ithin ,hich this s(a!r on! has its b!ing. :h!r! (ay b!
incongr+!nc! or con'ict b!t,!!n cont!-t an# (!tacont!-t. A
cont!-t o' $a"o"ian !arning (ay, 'or !-a(p!, b! s!t ,ithin a
(!tacont!-t ,hich ,o+# p+nish !arning o' this *in#, p!rhaps by
insisting +pon insight. :h! organis( is th!n 'ac!# ,ith th! #i!((a
!ith!r o' b!ing ,rong in th! pri(ary cont!-t or o' b!ing right 'or th!
,rong r!asons or in a ,rong ,ay. :his is th! soCca!# #o+b! bin#.
8! ar! in"!stigating th! hypoth!sis that schi/ophr!nic
co((+nication is !arn!# an# b!Cco(!s habit+a as a r!s+t o'
contin+a tra+(ata o' this *in#.
:hat is a th!r! is to it.
0+t !"!n th!s! 9co((onCs!ns!9 ass+(ptions br!a* a,ay 'ro(
th! cassica r+!s o' sci!nti'ic !pist!(oogy. 8! ha"! !arn!# 'ro(
th! para#ig( o' th! 'r!!y 'aing bo#y;an# 'ro( (any si(iar
para#ig(s in (any oth!r sci!nc!s;to approach sci!nti'ic prob!(s
in a p!c+iar ,ay6 th! prob!(s ar! to b! si(pi'i!# by ignoring;or
postponing consi#!ration o';th! possibiity that th! arg!r cont!-t
(ay in'+!nc! th! s(a!r. 5+r hypoth!sis r+ns co+nt!r to this r+!,
an# is 'oc+s!# pr!cis!y +pon th! #!t!r(ining r!ations b!t,!!n
arg!r an# s(a!r cont!-ts.
="!n (or! shoc*ing is th! 'act that o+r hypoth!sis s+gg!sts ;
b+t #o!s not stan# or 'a ,ith th! s+gg!stion;that th!r! (ay b! an
in'init! r!gr!ss o' s+ch r!!"ant cont!-ts.
250
In a o' this, th! hypoth!sis r!.+ir!s an# r!in'orc!s that r!"ision
in sci!nti'ic tho+ght ,hich has b!!n occ+rring in (any 'i!#s, 'ro(
physics to bioogy. :h! obs!r"!r (+st b! inc+#!# ,ithin th! 'oc+s
o' obs!r"ation, an# ,hat can b! st+#i!# is a,ays a r!ationship or
an in'init! r!gr!ss o' r!ationships. )!"!r a 9thing.9
An !-a(p! ,i (a*! c!ar th! r!!"anc! o' th! arg!r cont!-ts.
@!t +s consi#!r th! arg!r cont!-t ,ithin ,hich a !arning
!-p!ri(!nt (ight b! con#+ct!# +sing a schi/ophr!nic as a s+bJ!ct.
:h! schi/ophr!nic is ,hat is ca!# a pati!nt, "isCaC"is a (!(b!r o'
a s+p!rior an# +no"!# organi/ation, th! hospita sta''. I' th! pati!nt
,!r! a goo# prag(atic )!,tonian, h! ,o+# b! ab! to say to
hi(s!'6 9:h! cigar!tt!s ,hich I can g!t by #oing ,hat this '!o,
!-p!cts (! to #o ar! a't!r a ony cigar!tt!s, an# as an appi!#
sci!ntist I ,i go ah!a# an# #o ,hat h! ,ants (! to #o. I ,i so"!
th! !-p!ri(!nta prob!( an# obtain th! cigar!tt!s.9 0+t h+(an
b!ings, an# !sp!ciay schi/ophr!nics, #o not a,ays s!! th! (att!r
this ,ay. :h!y ar! a''!ct!# by th! circ+(stanc! that th! !-p!ri(!nt
is b!ing con#+ct!# by so(!bo#y ,ho( th!y ,o+# rath!r not
p!as!. :h!y (ay !"!n '!! that th!r! ,o+# b! a c!rtain
sha(!!ssn!ss abo+t s!!*ing to p!as! so(! on! ,ho( th!y #isi*!.
It th+s co(!s abo+t that th! sign o' th! signa ,hich th!
!-p!ri(!nt!r !(its, gi"ing or ,ithho#ing cigar!tt!s, is r!"!rs!#.
8hat th! !-p!ri(!nt!r tho+ght ,as a r!,ar# t+rns o+t to b! a
(!ssag! o' partia in#ignity, an# ,hat th! !-p!ri(!nt!r tho+ght ,as
a p+nish(!nt b!co(!s in part a so+rc! o' satis'action.
Consi#!r th! ac+t! pain o' th! (!nta pati!nt in a arg! hospita
,ho is (o(!ntariy tr!at!# as a h+(an b!ing by a (!(b!r o' th!
sta''.
:o !-pain th! obs!r"!# ph!no(!na ,! al'ays ha"! to consi#!r
th! ,i#!r cont!-t o' th! !arning !-p!ri(!nt, an# e&ery transaction
b!t,!!n p!rsons is a cont!-t o' !arning.
:h! #o+b! bin# hypoth!sis, th!n, #!p!n#s +pon attrib+ting
c!rtain charact!ristics to th! !arning proc!ss. I' this hypoth!sis is
!"!n appro-i(at!y tr+!, roo( (+st b! (a#! 'or it ,ithin th! th!ory
o' !arning. In partic+ar, !arning th!ory (+st b! (a#!
#iscontin+o+s so as to acco((o#at! th! #iscontin+iti!s o' th!
hi!rarchy o' th! cont!-ts o' !arning to ,hich I ha"! r!'!rr!#.
251
Aor!o"!r, th!s! #iscontin+iti!s ar! o' a p!c+iar nat+r!. I ha"!
sai# that th! arg!r cont!-t (ay chang! th! sign o' th!
r!in'orc!(!nt propos!# by a gi"!n (!ssag!, an# !"i#!nty th!
arg!r cont!-t (ay aso chang! th! (o#!;(ay pac! th! (!ssag!
in th! cat!gory o' h+(or, (!taphor, !tc. :h! s!tting (ay (a*! th!
(!ssag! inappropriat!. :h! (!ssag! (ay b! o+t o' t+n! ,ith th!
arg!r cont!-t, an# so on. 0+t th!r! ar! i(its to th!s!
(o#i'ications. :h! cont!-t (ay t! th! r!cipi!nt anything a-out
th! (!ssag!, b+t it cannot !"!r #!stroy or #ir!cty contra#ict th!
att!r. 9I ,as ying ,h!n I sai#
N
:h! cat is on th! (atI 9 t!s th!
"isCaC"is nothing abo+t th! ocation o' th! cat. It t!s hi( ony
so(!thing abo+t th! r!iabiity o' his pr!"io+s in'or(ation. :h!r!
is a g+' b!t,!!n cont!-t an# (!ssag! 2or b!t,!!n (!ta(!ssag!
an# (!ssag!3 ,hich is o' th! sa(! nat+r! as th! g+' b!t,!!n a
thing an# th! ,or# or sign ,hich stan#s 'or it, or b!t,!!n th!
(!(b!rs o' a cass an# th! na(! o' th! cass. :h! cont!-t 2or
(!ta(!ssag!3 classifies th! (!ssag!, b+t can n!"!r (!!t it on
!.+a t!r(s.
In or#!r to 'it th!s! #iscontin+iti!s into !arning th!ory, it is
n!c!ssary to !narg! th! scop! o' ,hat is to b! inc+#!# ,ithin th!
conc!pt o' learning. 8hat th! !-p!ri(!nt!rs ha"! #!scrib!# as
9
!arning9 ar! in g!n!ra chang!s in ,hat an organis( #o!s in
r!spons! to a gi"!n signa. :h! !-p!ri(!nt!r obs!r"!s, 'or
!-a(p!, that at 'irst th! b+//!r !"o*!s no r!g+ar r!spons!, b+t
that a't!r r!p!at!# trias in ,hich th! b+//!r has b!!n 'oo,!# by
(!at po,#!r, th! ani(a ,i b!gin to sai"at! ,h!n!"!r it h!ars
th! b+//!r. 8! (ay say oos!y that th! ani(a has b!g+n to attach
signi'icanc! or (!aning to th! b+//!r.
A chang! has occ+rr!#. In or#!r to constr+ct a hi!rarchic s!ri!s,
,! pic* on th! ,or# 9chang!.9 &!ri!s s+ch as ,! ar! int!r!st!# in
ar! in g!n!ra b+it in t,o ,ays. 8ithin th! 'i!# o' p+r!
co((+nications th!ory, th! st!ps o' an hi!rarchic s!ri!s (ay b!
constr+ct!# by s+cc!ssi"! +s! o' th! ,or#
9
abo+t,
9
or 9(!ta.9 5+r
hi!rarchic s!ri!s ,i th!n consist o' (!ssag!, (!ta(!ssag!, (!taC
(!ta(!ssag!, an# so on. 8h!r! ,! #!a ,ith ph!no(!na (argina
to co((+nications th!ory, si(iar hi!rarchi!s (ay b! constr+ct!#
by th! piing +p o' 9chang!9 +pon 9chang!.9 In cassica physics, th!
s!.+!nc!6 positionL "!ocity 2i.!., chang! in position3L acc!!ration
252
2i.!., chang! in "!ocity or chang! in chang! o' position3L chang! o'
acc!!ration, !tc., is an !-a(p! o' s+ch a hi!rarchy.
7+rth!r co(pications ar! a##!#;rar!y in cassica physics b+t
co((ony in h+(an co((+nication;by noting that (!ssag!s (ay
b! abo+t 2or 9(!ta9 to3 th! r!ationship b!t,!!n (!ssag!s o'
#i''!r!nt !"!s. :h! s(! o' th! !-p!ri(!nta harn!ss (ay t! th!
#og that th! b+//!r ,i (!an (!at po,#!r. 8! ,i th!n say that
th! (!ssag! o' th! harn!ss is (!ta to th! (!ssag! o' th! b+//!r. 0+t
in h+(an r!ations anoth!r sort o' co(p!-ity (ay b! g!n!rat!#L
!.g., (!ssag!s (ay b! !(itt!# 'orbi##ing th! s+bJ!ct to (a*! th!
(!ta conn!ction. An acohoic par!nt (ay p+nish a chi# 'or
sho,ing that h! *no,s that h! sho+# oo* o+t 'or stor(s ,h!n!"!r
th! par!nt g!ts th! bott! o+t o' th! c+pboar#. :h! hi!rarchy o'
(!ssag!s an# cont!-ts th+s b!co(!s a co(p!- branching str+ct+r!.
&o ,! can constr+ct a si(iar hi!rarchic cassi'ication ,ithin
!arning th!ory in s+bstantiay th! sa(! ,ay as th! physicists. 8hat
th! !-p!ri(!nt!rs ha"! in"!stigat!# is c*ange in th! r!c!ipt o' a
signa. 0+t, c!ary, to r!c!i"! a signa ar!a#y #!not!s c*ange7a
chang! o' a si(p!r or o,!r or#!r than that ,hich th!
!-p!ri(!nt!rs ha"! in"!stigat!#. :his gi"!s +s th! t,o 'irst st!ps in
a hi!rarchy o' !arning, an# abo"! th!s! an in'init! s!ri!s can b!
i(agin!#. :his hi!rarchy
46
can no, b! ai# o+t as 'oo,s 6
213 !*e $eceipt of a Signal I a( ,or*ing at (y #!s* on ,hich
th!r! is a pap!r bag, containing (y +nch. I h!ar th! hospita
,hist!, an# 'ro( this I *no, that it is t,!"! oIcoc*. I r!ach o+t
an# ta*! (y +nch. :h! ,hist! (ay b! r!gar#!# as an ans,!r to a
.+!stion ai# #o,n in (y (in# by pr!"io+s !arning o' th! s!con#
or#!rL b+t th! sing! !"!nt;th! r!c!i"ing o' this pi!c! o'
in'or(ation;is a pi!c! o' !arning, an# is #!(onstrat!# to b! so
by th! 'act that ha"ing r!c!i"!# it, I a( no, chang!# an# r!spon#
in a sp!cia ,ay to th! pap!r bag.
223 !*ose /earnings 2*ic* Are "*anges in +14 :h!s! ar!
!-!(pi'i!# by th! cassica !arning !-p!ri(!nts o' "ario+s *in#s6
46
I 1971. In (y 'ina "!rsion o' this hi!rarchy o' or#!rs o' !arning, p+bish!# in
this "o+(! as 9:h! @ogica Cat!gori!s o' @!arning an# Co((+nication,9 2s!! p.
2833 I ha"! +s!# a #i''!r!nt syst!( o' n+(b!ring. :h! r!c!ipt o' a signa is th!r!
ca!# 9M!ro @!arning9L chang!s in M!ro @!arning ar! ca!# @!arning IL 9#!+t!roC
!arning9 is ca!# @!arning II, !tc
253
$a"o"ian, instr+(!nta r!,ar#, instr+(!nta a"oi#anc!, rot!, an# so
on.
233 !*ose /earnings 2*ic* "onstitute "*anges in Second%@rder
/earning I ha"! in th! past, +n'ort+nat!y, ca!# th!s! ph!no(!na
9#!+t!roC!arning,
9
an# ha"! transat!# this as 9!arning to !arn.9 It
,o+# ha"! b!!n (or! corr!ct to coin th! ,or# tritoC!arning an# to
transat! it as 9!arning to !arn to r!c!i"! signas.9 :h!s! ar! th!
ph!no(!na in ,hich th! psychiatrist is pr!pon#!ranty int!r!st!#,
na(!y, th! chang!s ,h!r!by an in#i"i#+a co(!s to !-p!ct his
,or# to b! str+ct+r!# in on! ,ay rath!r than anCoth!r. :h!s! ar! th!
ph!no(!na ,hich +n#!ri! 9trans'!r!nc!9;th! !-p!ctation on a
pati!ntIs part that th! r!ationship ,ith th! th!rapist ,i contain th!
sa(! sorts o' cont!-ts o' !arning that th! pati!nt has pr!"io+sy (!t
,ith in #!aing ,ith his par!nts.
243 "*anges in !*ose 6rocesses of "*ange $eferred to in 233
8h!th!r !arning o' this 'o+rth or#!r occ+rs in h+(an b!ings is
+n*no,n. 8hat th! psychoth!rapist att!(pts to pro#+c! in his
pati!nt is +s+ay a thir#Cor#!r !arning, b+t it is possib!, an#
c!rtainy conc!i"ab!, that so(! o' th! so, an# +nconscio+s
chang!s (ay b! shi'ts in sign o' so(! high!r #!ri"ati"! in th!
!arning proc!ss.
At this point it is n!c!ssary to co(par! thr!! typ!s o' hi!rarchy
,ith ,hich ,! ar! 'ac!#6 +a4 th! hi!rarchy o' orders o' !arningL 2b3
th! hi!rarchy o' cont!-ts o' !arning, an# 2c3 hi!rarchi!s o' circ+it
str+ct+r! ,hich ,! (ay;in#!!#, (+st;!-p!ct to 'in# in a
t!!nc!phai/!# brain.
It is (y cont!ntion that +a4 an# 2b3 ar! synony(o+s in th! s!ns!
that a stat!(!nts (a#! in t!r(s o' cont!-ts o' !arning co+# b!
transat!# 2,itho+t oss or gain3 into stat!(!nts in t!r(s o' or#!rs o'
!arning, an#, '+rth!r, that th! cassi'ication or hi!rarchy o' cont!-ts
(+st b! iso(orphic ,ith th! cassi'ication or hi!rarchy o' or#!rs o'
!arning. 0!yon# this, I b!i!"! that ,! sho+# oo* 'or,ar# to a
cassi'ication or hi!rarchy o' n!+rophysioogica str+ct+r!s ,hich
,i b! iso(orphic ,ith th! oth!r t,o cassi'ications.
:his synony(y b!t,!!n stat!(!nts abo+t cont!-t an# stat!(!nts
abo+t or#!rs o' !arning s!!(s to (! to b! s!'C!"i#!nt, b+t
!-p!ri!nc! sho,s that it (+st b! sp!!# o+t. 9:h! tr+th cannot b!
254
sai# so as to b! +n#!rstoo#, an# not b! b!i!"!#,9 b+t, con"!rs!y, it
cannot b! b!i!"!# until it is sai# so as to b! +n#!rstoo#.
It is n!c!ssary 'irst to insist that in th! ,or# o' co((+nication
th! ony r!!"ant !ntiti!s or 9r!aiti!s9 ar! (!ssag!s, inc+#ing in
this t!r( parts o' (!ssag!s, r!ations b!t,!!n (!ssag!s, signi'icant
gaps in (!ssag!s, an# so on. !*e perception o' an !"!nt or obJ!ct or
r!ation is r!a. It is a n!+rophysioogica (!ssag!. 0+t th! I!"!nt
its!' or th! obJ!ct its!' cannot !nt!r this ,or# an# is, th!r!'or!,
irr!!"ant an#, to that !-t!nt, +nr!a. Con"!rs!y, a (!ssag! has no
r!aity or r!!"anc! .+a (!ssag!, in th! )!,tonian ,or#6 it th!r! is
r!#+c!# to so+n# ,a"!s or print!rIs in*.
0y th! sa(! to*!n, th! 9cont!-ts9 an# 9cont!-ts o' conCt!-ts9
+pon ,hich I a( insisting ar! ony r!a or r!!"ant inso'ar as th!y
ar! co((+nicationay !''!cti"!, i.!., '+nction as (!ssag!s or
(o#i'i!rs o' (!ssag!s.
:h! #i''!r!nc! b!t,!!n th! )!,tonian ,or# an# th! ,or# o'
co((+nication is si(py this6 that th! )!,tonian ,or# ascrib!s
r!aity to obJ!cts an# achi!"!s its si(picity by !-c+#ing th!
cont!-t o' th! cont!-t;!-c+#ing in#!!# a (!tar!ationships;a
'ortiori !-c+#ing an in'init! r!gr!ss o' s+ch r!ations. In contrast,
th! th!orist o' co((+nication insists +pon !-a(ining th!
(!tar!ationships ,hi! achi!"ing its si(picity by !-c+#ing a
obJ!cts.
:his ,or#, o' co((+nication, is a 0!r*!!yan ,or#, b+t th!
goo# bishop ,as g+ity o' +n#!rstat!(!nt. 4!!"anc! or r!aity
(+st b! #!ni!# not ony to th! so+n# o' th! tr!! ,hich 'as +nh!ar#
in th! 'or!st b+t aso to this chair ,hich I can s!! an# on ,hich I a(
sitting. Ay p!rc!ption o' th! chair is co((+nicationay r!a, an#
that on ,hich I sit is, 'or (!, ony an i#!a, a (!ssag! in ,hich I p+t
(y tr+st.
9In (y t*oug*t, on! thing is as goo# as anoth!r in this ,or#, an#
th! sho! o' a hors! ,i #o,9 b!ca+s! in tho+ght an# in !-p!ri!nc!
th!r! ar! no things, b+t ony (!ssag!s an# th! i*!.
In this ,or#, in#!!#, I, as a (at!ria obJ!ct, ha"! no r!!"anc!
an#, in this s!ns!, no r!aity. 9I,9 ho,!"!r, !-ist in th!
co((+nicationa ,or# as an !ss!ntia !!(!nt in th! synta- o' (y
!-p!ri!nc! an# in th! !-p!ri!nc! o' oth!rs, an# th! co((+nications
255
o' oth!rs (ay #a(ag! (y i#!ntity, !"!n to th! point o' br!a*ing +p
th! organi/ation o' (y !-p!ri!nc!.
$!rhaps on! #ay, an +ti(at! synth!sis ,i b! achi!"!# to
co(bin! th! )!,tonian an# th! co((+nicationa ,or#s. 0+t that
is not th! p+rpos! o' th! pr!s!nt #isc+ssion. E!r! I a( conc!rn!#
to (a*! c!ar th! r!ation b!t,!!n th! conCt!-ts an# th! or#!rs o'
!arning, an# to #o this it ,as 'irst n!c!ssary to bring into 'oc+s th!
#i''!r!nc! b!t,!!n )!,tonian an# co((+nicationa #isco+rs!.
8ith this intro#+ctory stat!(!nt, ho,!"!r, it b!co(!s c!ar that
th! s!paration b!t,!!n cont!-ts an# or#!rs o' !arning is ony an
arti'act o' th! contrast b!t,!!n th!s! t,o sorts o' #isco+rs!. :h!
s!paration is ony (aintain!# by saying that th! cont!-ts ha"!
ocation o+tsi#! th! physica in#i"i#+a, ,hi! th! or#!rs o'
!arning ar! ocat!# insi#!. 0+t in th! co((+nicationa ,or#, this
#ichoto(y is irr!!"ant an# (!aning!ss. :h! cont!-ts ha"!
co((+nicationa r!aity ony inso'ar as th!y ar! !''!cti"! as
(!ssag!s, i.!., inso'ar as th!y ar! r!pr!s!nt!# or r!'!ct!#
2corr!cty or ,ith #istortion3 in multiple parts o' th!
co((+nicationa syst!( ,hich ,! ar! st+#yingL an# this syst!( is
not th! physica in#i"i#+a b+t a ,i#! n!t,or* o' path,ays o'
(!ssag!s. &o(! o' th!s! path,ays *appen to b! ocat!# o+tsi#!
th! physica in#i"i#+a, oth!rs insi#!L b+t th! charact!ristics o' th!
system ar! in no ,ay #!p!n#!nt +pon any bo+n#ary in!s ,hich
,! (ay s+p!rpos! +pon th! co((+nicationa (ap. It is not
co((+nicationay (!aning'+ to as* ,h!th!r th! bin# (anIs
stic* or th! sci!ntistIs (icroscop! ar! 9parts9 o' th! (an ,ho +s!s
th!(. 0oth stic* an# (icroscop! ar! i(portant path,ays o'
co((+nication an#, as s+ch, ar! parts o' th! n!t,or* in ,hich ,!
ar! int!r!st!#L b+t no bo+n#ary in!;!.g., ha',ay +p th! stic*;
can b! r!!"ant in a #!scription o' th! topoogy o' this n!t.
Eo,!"!r, this #iscar#ing o' th! bo+n#ary o' th! physica
in#i"i#+a #o!s not i(py 2as so(! (ight '!ar3 that co(C
(+nicationa #isco+rs! is n!c!ssariy chaotic. 5n th! contrary, th!
propos!# hi!rarchic cassi'ication o' !arning an#Kor cont!-t is an
or#!ring o' ,hat to th! )!,tonian oo*s i*! chaos, an# it is this
or#!ring that is #!(an#!# by th! #o+b!Cbin# hypoth!sis.
256
Aan (+st b! th! sort o' ani(a ,hos! !arning is charact!ri/!#
by hi!rarchic #iscontin+iti!s o' this sort, !s! h! co+# not b!co(!
schi/ophr!nic +n#!r th! 'r+strations o' th! #o+b! bin#.
5n th! !"i#!ntia si#!, th!r! is b!ginning to b! a bo#y o'
!-p!ri(!nt #!(onstrating th! r!aity o' thir#Cor#!r !arning
47
L b+t
on th! pr!cis! point o' discontinuity b!t,!!n th!s! or#!rs o'
!arning th!r! is, so 'ar as I *no,, "!ry itt! !"i#!nc!. :h!
!-p!ri(!nts o' John &tro+# ar! ,orth .+oting. :h!s! ,!r! trac*ing
!-p!ri(!nts. :h! s+bJ!ct is 'ac!# ,ith a scr!!n on ,hich a spot
(o"!s to r!pr!s!nt a (o"ing targ!t. A s!con# spot, r!pr!s!nting
th! ai( o' a g+n, can b! contro!# by th! s+bJ!ct, ,ho op!rat!s a
pair o' *nobs. :h! s+bJ!ct is cha!ng!# to (aintain coinci#!nc!
b!t,!!n th! targ!t spot an# th! spot o"!r ,hich h! has contro. In
s+ch an !-p!ri(!nt th! targ!t can b! gi"!n "ario+s sorts o' (otion,
charact!ri/!# by s!con#C, thir#C, or high!rCor#!r #!ri"ati"!s.
&tro+# sho,!# that, as th!r! is a #iscontin+ity in th! or#!rs o' th!
!.+ations ,hich a (ath!(atician (ight +s! to #!scrib! th!
(o"!(!nts o' th! targ!t spot, so aso th!r! is a #iscontin+ity in th!
!arning o' th! !-p!ri(!nta s+bJ!ct. It is as i' a n!, !arning
proc!ss ,!r! in"o"!# ,ith !ach st!p to a high!r or#!r o'
co(p!-ity in th! (o"!(!nt o' th! targ!t.
It is to (! 'ascinating to 'in# that ,hat on! ha# s+ppos!# ,as a
p+r! arti'act o' (ath!(atica #!scription is aso appar!nty an
inb+it charact!ristic o' th! h+(an brain, in spit! o' th! 'act that
this brain c!rtainy #o!s not op!rat! by (!ans o' (ath!(atica
!.+ations in s+ch a tas*.
:h!r! is aso !"i#!nc! o' a (or! g!n!ra nat+r! ,hich ,o+#
s+pport th! notion o' #iscontin+ity b!t,!!n th! or#!rs o' !arning.
:h!r! is, 'or !-a(p!, th! c+rio+s 'act that psychoogists ha"! not
habit+ay r!gar#!# ,hat I ca !arning o' th! 'irst or#!r, th! r!c!ipt
o' a (!aning'+ signa, as !arning at aL an# th! oth!r c+rio+s 'act,
that psychoogists ha"! +nti r!c!nty sho,n "!ry itt! appr!ciation
o' that thir# or#!r o' !arning, in ,hich th! psychiatrist is pr!#o(iC
nanty int!r!st!#. :h!r! is a 'or(i#ab! g+' b!t,!!n th! thin*ing o'
47
C. @. E+, et al., ,at*ematico%deducti&e !*eory of $ote /earning# A Study
in Scientific ,et*odology, 2Fa! %ni"!rsity Instit+t! o' E+(an 4!ations3, )!,
Ea"!n, Fa! %ni"!rsity $r!ss, 194C0 aso E. 7. Earo,, 9:h! 7or(ation o'
@!arning &!ts,9 6syc*ol. $e&ie', 1949, 5G# 51%G5.
257
th! !-p!ri(!nta psychoogist an# th! thin*ing o' th! psychiatrist or
anthropoogist. :his g+' I b!i!"! to b! #+! to th! #iscontin+ity in
th! hi!rarchic str+ct+r!.
*earnin&. enetics. and E"ol!tion
0!'or! ,! consi#!r th! i(pact o' th! #o+b! bin# hypoth!sis
+pon g!n!tics an# !"o+tionary th!ory, it is n!c!ssary to !-a(in! th!
r!ationship b!t,!!n th!ori!s o' !arning an# th!s! t,o oth!r bo#i!s
o' *no,!#g!. I r!'!rr!# !ari!r to th! thr!! s+bJ!cts tog!th!r as a
tria#. :h! str+ct+r! o' this tria# ,! (+st no, consi#!r.
1!n!tics, ,hich co"!rs th! co((+nicationa ph!no(!na o'
"ariation, #i''!r!ntiation, gro,th, an# h!r!#ity, is co((ony
r!cogni/!# as th! "!ry st+'' o' ,hich !"o+tionary th!ory is (a#!.
:h! ?ar,inian th!ory, ,h!n p+rg!# o' @a(arc*ian i#!as, consist!#
o' a g!n!tics in ,hich "ariation ,as pr!s+(!# to b! ran#o(,
co(bin!# ,ith a th!ory o' nat+ra s!!ction ,o+# i(part a#apti"!
#ir!ction to th! acc+(+ation o' chang!s. 0+t th! r!ation b!t,!!n
!arning an# this th!ory has b!!n a (att!r o' "io!nt contro"!rsy
,hich has rag!# o"!r th! soCca!# 9inh!ritanc! o' ac.+ir!#
charact!ristics.9
?ar,inIs position ,as ac+t!y cha!ng!# by &a(+! 0+t!r, ,ho
arg+!# that h!r!#ity sho+# b! co(par!# ,ith;!"!n i#!nti'i!# ,ith
;(!(ory. 0+t!r proc!!#!# 'ro( this pr!(is! to arg+! that th!
proc!ss!s o' !"o+tionary chang!, an# !sp!ciay a#aptation, sho+#
b! r!gar#!# as th! achi!"!(!nts o' a #!!p c+nning in th! ongoing
'o, o' i'!, not as 'ort+ito+s bon+s!s con'!rr!# by +c*. E! #r!, a
cos! anaogy b!t,!!n th! ph!no(!na o' in"!ntion an# th! ph!C
no(!na o' !"o+tionary a#aptation, an# ,as p!rhaps th! 'irst to
point o+t th! !-ist!nc! o' r!si#+a organs in (achin!s. :h! c+rio+s
ho(oogy ,h!r!by th! !ngin! is ocat!# in th! 'ront o' an
a+to(obi!, ,h!r! th! hors! +s!# to b!, ,o+# ha"! #!ight!# hi(.
E! aso arg+!# "!ry cog!nty that th!r! is a proc!ss ,h!r!by th!
n!,!r in"!ntions o' a#apti"! b!ha"ior ar! s+n* #!!p!r into th!
bioogica syst!( o' th! organis(. 7ro( pann!# an# conscio+s
actions th!y b!co(! habits, an# th! habits b!co(! !ss an# !ss
258
conscio+s an# !ss an# !ss s+bJ!ct to "o+ntary contro. E!
ass+(!#, ,ithCo+t !"i#!nc!, that this habit+ai/ation, or sin*ing
proc!ss, co+# go so #!!p as to contrib+t! to th! bo#y o' (!(ori!s,
,hich ,! ,o+# ca th! g!notyp!, an# ,hich #!t!r(in! th!
charact!ristics o' th! n!-t g!n!ration.
:h! contro"!rsy abo+t th! inh!ritanc! o' ac.+ir!# charact!ristics
has t,o 'ac!ts. 5n th! on! han#, it app!ars to b! an arg+(!nt ,hich
co+# b! s!tt!# by 'act+a (at!ria. 5n! goo# cas! o' s+ch
inh!ritanc! (ight s!tt! th! (att!r 'or th! @a(arc*ian si#!. 0+t th!
cas! against s+ch inh!ritanc!, b!ing n!gati"!, can n!"!r b! pro"!#
by !"i#!nc! an# (+st r!y +pon an app!a to th!ory. %s+ay thos!
,ho ta*! th! n!gati"! "i!, arg+! 'ro( th! s!paration b!t,!!n g!r(
pas( an# so(atic tiss+!, +rging that th!r! can b! no syst!(atic
co((+nication 'ro( th! so(a to th! g!r( pas( in th! ight o'
,hich th! g!notyp! (ight r!"is! its!'.
:h! #i''ic+ty oo*s i*! this6 conc!i"aby a bic!ps (+sc!
(o#i'i!# by +s! or #is+s! (ight s!cr!t! sp!ci'ic (!taboit!s into th!
circ+ation, an# th!s! (ight conc!i"aby s!r"! as ch!(ica
(!ss!ng!rs 'ro( (+sc! to gona#. 0+t +a4 it is #i''ic+t to b!i!"!
that th! ch!(istry o' bic!ps is so #i''!r!nt 'ro( that o', say, tric!ps
that th! (!ssag! co+# b! sp!ci'ic, an# 2b3 it is #i''ic+t to b!i!"!
that th! gona# tiss+! co+# b! !.+ipp!# to b! appropriat!y a''!ct!#
by s+ch (!ssag!s. A't!r a, th! r!c!i"!r o' any (!ssag! (+st *no,
th! co#! o' th! s!n#!r, so that i' th! g!r( c!s ar! ab! to r!c!i"!
th! (!ssag!s 'ro( th! so(atic tiss+!, th!y (+st ar!a#y b! carrying
so(! "!rsion o' th! so(atic co#!. :h! #ir!ctions ,hich
!"o+tionary chang! co+# ta*! ,ith th! ai# o' s+ch (!ssag!s 'ro(
th! so(a ,o+# ha"! to b! pr!'ig+r!# in th! g!r( pas(.
:h! cas! against th! inh!ritanc! o' ac.+ir!# charact!ristics th+s
r!sts +pon a s!paration, an# th! #i''!r!nc! b!t,!!n th! schoos o'
tho+ght crystai/!s aro+n# phiosophic r!actions to s+ch a
s!paration. :hos! ,ho ar! ,iing to thin* o' th! ,or# as organi/!#
+pon (+tip! an# s!parab! princip!s ,i acc!pt th! notion that
so(atic chang!s in#+c!# by !n"iron(!nt (ay b! co"!r!# by an
!-panation ,hich co+# b! totay s!parat! 'ro( th! !-panation o'
!"o+tionary chang!. 0+t thos! ,ho pr!'!r to s!! a +nity in nat+r!
,i hop! that th!s! t,o bo#i!s o' !-panation can so(!ho, b!
int!rr!at!#.
259
Aor!o"!r, th! ,ho! r!ationship b!t,!!n !arning an#
!"o+tion has +n#!rgon! a c+rio+s chang! sinc! th! #ays ,h!n
0+t!r (aintain!# that !"o+tion ,as a (att!r o' c+nning rath!r
than +c*, an# th! chang! ,hich has ta*!n pac! is c!rtainy on!
,hich n!ith!r ?ar,in nor 0+t!r co+# ha"! 'or!s!!n. 8hat
.
has
happ!n!# is that (any th!orists no, ass+(! !arning to b!
'+n#a(!ntay a stochastic or probabiistic a''air, an# in#!!#, apart
'ro( nonparsi(onio+s th!ori!s ,hich ,o+# post+at! so(!
!nt!!chy at th! conso! o' th! (in#, th! stochastic approach is
p!rhaps th! ony organi/!# th!ory o' th! nat+r! o' !arning. :h!
notion is that ran#o( chang!s occ+r, in th! brain or !s!C,h!r!,
an# that th! r!s+ts o' s+ch ran#o( chang! ar! s!!ct!# 'or s+r"i"a
by proc!ss!s o' r!in'orc!(!nt an# !-tinction. In basic th!ory,
cr!ati"! tho+ght has co(! to r!s!(b! th! !"o+tionary proc!ss in
its '+n#a(!ntay stochastic nat+r!. 4!in'orc!(!nt is s!!n as
gi"ing #ir!ction to th! acc+(+ation o' ran#o( chang!s o' th!
n!+ra syst!(, J+st as nat+ra s!!ction is s!!n as gi"ing #ir!ction
to th! acc+(+ation o' ran#o( chang!s o' "ariation.
In both th! th!ory o' !"o+tion an# th! th!ory o' !arning,
ho,!"!r, th! ,or# 9ran#o(9 is conspic+o+sy +n#!'in!#, an# th!
,or# is not an !asy on! to #!'in!. In both 'i!#s, it is ass+(!# that
,hi! chang! (ay b! #!p!n#!nt +pon probabiistic ph!no(!na, th!
probabiity o' a gi"!n chang! is #!t!r(in!# by so(!thing #i''!r!nt
'ro( probabiity. %n#!rying both th! stochastic th!ory o'
!"o+tion an# that o' !arning, th!r! ar! +nstat!# th!ori!s r!gar#ing
th! #!t!r(inants o' th! probabiiti!s in .+!stion.
48
I', ho,!"!r, ,!
as* abo+t chang! in th!s! #!t!r(inants, ,! sha again b! gi"!n
stochastic ans,!rs, so that th! ,or# 9ran#o(,9 +pCon ,hich a o'
th!s! !-panations t+rn, app!ars to b! a ,or# ,hos! (!aning is
hi!rarchicay str+ct+r!#, i*! th! (!aning o' th! ,or# 9!arning,9
,hich ,as #isc+ss!# in th! 'irst part o' this !ct+r!.
@asty, th! .+!stion o' th! !"o+tionary '+nction o' ac.+ir!#
charact!ristics has b!!n r!op!n!# by 8a##ingtonIs ,or* on
ph!nocopi!s in 8rosop*ila. At th! "!ry !ast, this ,or* in#icat!s
that th! chang!s o' ph!notyp! ,hich can b! achi!"!# by th!
48
In this s!ns!, o' co+rs!, a th! th!ori!s of chang! ass+(! that th! ne.t chang!
is in so(! #!gr!! pr!'ig+r!# in th! syst!( ,hich is to +n#!rgo that chang!.
260
organis( +n#!r !n"iron(!nta str!ss ar! a "!ry i(portant part o' th!
(achin!ry by ,hich th! sp!ci!s or h!r!#itary in! (aintains its
pac! in a str!ss'+ an# co(p!titi"! !n"iron(!nt, p!n#ing th! at!r
app!aranc! o' so(! (+tation or oth!r g!n!tic chang! ,hich (ay
(a*! th! sp!ci!s or in! b!tt!r ab! to #!a ,ith th! ongoing str!ss.
In this s!ns! at !ast, th! ac.+ir!# charact!ristics ha"! i(portant
!"o+tionary '+nction. Eo,!"!r, th! act+a !-p!ri(!nta story
in#icat!s so(!thing (or! than this an# is ,orth r!pro#+cing bri!'y.
8hat 8a##ington ,or*s ,ith is a ph!nocopy o' th! ph!notyp!
bro+ght abo+t by th! g!n! bithora-. :his g!n! has "!ry pro'o+n#
!''!cts +pon th! a#+t ph!notyp!. In its pr!s!nc! th! thir# s!g(!nt
o' th! thora- is (o#i'i!# to r!s!(b! th! s!con#, an# th! itt!
baancing organs, or hat!r!s, on this thir# s!g(!nt b!co(! ,ings.
:h! r!s+t is a 'o+rC,ing!# 'y. :his 'o+rC,ing!# charact!ristic can
b! pro#+c!# arti'iciay in 'i!s ,hich #o not carry th! g!n! bithora-
by s+bJ!cting th! p+pa! to a p!rio# o' into-ication ,ith !thy !th!r.
8a##ington ,or*s ,ith arg! pop+ations o' 8rosop*ila 'i!s
#!ri"!# 'ro( a ,i# strain b!i!"!# to b! 'r!! o' th! g!n! bithora-.
E! s+bJ!cts th! p+pa! o' this pop+ation in s+cc!ssi"! g!n!rations to
th! !th!r tr!at(!nt, an# 'ro( th! r!s+ting a#+ts s!!cts 'or
br!!#ing thos! ,hich sho, th! b!st appro-i(ation to bithora-. E!
has contin+!# this !-p!ri(!nt o"!r (any g!n!rations, an# ar!a#y in
th! t,!ntyCs!"!nth g!n!ration h! 'in#s that th! bithora- app!aranc!
is achi!"!# by a i(it!# n+(b!r o' 'i!s ,hos! p+pa! ,!r!
,ith#ra,n 'ro( th! !-p!ri(!nta tr!at(!nt an# not s+bJ!ct!# to
!th!r. %pon br!!#ing 'ro( th!s!, it t+rns o+t that th!ir bithora-
app!aranc! is not #+! to th! pr!s!nc! o' th! sp!ci'ic g!n!, bithora-,
b+t is #+! to a const!ation o' g!n!s ,hich ,or* tog!th!r to gi"!
this !''!ct.
:h!s! "!ry stri*ing r!s+ts can b! r!a# in "ario+s ,ays. 8! can
say that in s!!cting th! b!st ph!nocopi!s, 8a##ingCton ,as in 'act
s!!cting 'or a g!n!tic pot!ntiaity 'or achi!"ing this ph!notyp!. 5r
,! can say that h! ,as s!!cting to r!#+c! th! thr!sho# o' !th!r
str!ss n!c!ssary to pro#+c! this r!s+t.
@!t (! s+gg!st a possib! (o#! 'or th! #!scription o' th!s!
ph!no(!na. @!t +s s+ppos! that th! ac.+ir!# charact!ristic is
achi!"!# by so(! proc!ss o' '+n#a(!ntay stochastic nat+r!;
p!rhaps so(! sort o' so(atic !arning;an# th! (!r! 'act that
261
8a##ington is ab! to s!!ct th! 9b!st9 ph!nocopi!s ,o+# !n#
s+pport to this ass+(ption. )o,, it is !"i#!nt that any s+ch proc!ss
is, in th! nat+r! o' th! cas!, ,ast!'+. :o achi!"! a r!s+t by tria an#
!rror ,hich co+# ha"! b!!n achi!"!# in any (or! #ir!ct ,ay
n!c!ssariy cons+(!s ti(! an# !''ort in so(! s!ns! o' th!s! ,or#s.
Inso'ar as ,! thin* o' a#aptabiity as achi!"!# by stochastic proc!ss,
,! !t in th! notion o' an !cono(ics o' a#aptabiity.
In th! 'i!# o' (!nta proc!ss, ,! ar! "!ry 'a(iiar ,ith this
sort o' !cono(ics, an# in 'act a (aJor an# n!c!ssary sa"ing is
achi!"!# by th! 'a(iiar proc!ss o' habit 'or(ation. 8! (ay, in th!
'irst instanc!, so"! a gi"!n prob!( by tria an# !rrorL b+t ,h!n
si(iar prob!(s r!c+r at!r, ,! t!n# to #!a ,ith th!( (or! an#
(or! !cono(icay by ta*ing th!( o+t o' th! rang! o' stochastic
op!ration an# han#ing o"!r th! so+tions to a #!!p!r an# !ss
'!-ib! (!chanis(, ,hich ,! ca 9habit.9 It is, th!r!'or!,
p!r'!cty conc!i"ab! that so(! anaogo+s ph!no(!non (ay
obtain in r!gar# to th! pro#+ction o' bithora- charact!ristics. It
(ay b! (or! !cono(ica to pro#+c! th!s! by th! rigi# (!chanis(
o' g!n!tic #!t!r(ination rath!r than by th! (or! ,ast!'+, (or!
'!-ib! 2an# p!rhaps !ss pr!#ictab!3 (!tho# o' so(atic chang!.
:his ,o+# (!an that in 8a##ingtonIs pop+ation o' 'i!s th!r!
,o+# b! a s!!cti"! b!n!'it 'or any h!r!#itary in! o' 'i!s ,hich
(ight contain appropriat! g!n!s 'or th! ,ho!;or 'or so(! part;
o' th! bithora- ph!notyp!. It is aso possib! that s+ch 'i!s ,o+#
ha"! an !-tra a#"antag! in that th!ir so(atic a#apti"! (achin!ry
(ight th!n b! a"aiab! 'or #!aing ,ith str!ss!s o' oth!r *in#s. It
,o+# app!ar that in !arning, ,h!n th! so+tion o' th! gi"!n
prob!( has b!!n pass!# on to habit, th! stochastic or !-poratory
(!chanis(s ar! s!t 'r!! 'or th! so+tion o' oth!r prob!(s, an# it
is .+it! conc!i"ab! that a si(iar a#"antag! is achi!"!# by passing
on th! b+sin!ss o' #!t!r(ining a so(atic charact!ristic to th! g!n!C
script
49
49
:h!s! consi#!rations at!r so(!,hat th! o# prob!( o' th! !"o+tionary !''!ct
o' +s! an# #is+s!. 5rtho#o- th!ory co+# ony s+gg!st that a (+tation r!#+cing th!
2pot!ntia3 si/! o' a #is+s!# organ ha# s+r"i"a "a+! in t!r(s o' th! r!s+ting
!cono(y o' tiss+!. :h! pr!s!nt th!ory ,o+# s+gg!st that atrophy o' an organ,
occ+rring at th! so(atic !"!, (ay constit+t! a #rain +pon th! tota a"aiab!
a#aptabiity o' th! organis(, an# that this ,ast! o' a#aptabiity (ight b! sa"!# i'
262
It (ay b! not!# that s+ch a (o#! ,o+# b! charact!ri/!# by t'o
stochastic (!chanis(s6 'irst, th! (or! s+p!r'icia (!chanis( by
,hich th! chang!s ar! achi!"!# at th! so(atic !"!, an#, s!con#,
th! stochastic (!chanis( o' (+tation 2or th! sh+''ing o' g!n!
const!ations3 at th! chro(oso(a !"!. :h!s! t,o stochastic
syst!(s ,i, in th! ong r+n under selecti&e conditions, b!
co(p!!# to ,or* tog!th!r, !"!n tho+gh no (!ssag! can pass 'ro(
th! (or! s+p!r'icia so(atic syst!( to th! g!r( pas(. &a(+! 0+tC
!rIs h+nch that so(!thing i*! 9habit9 (ight b! cr+cia in !"o+tion
,as p!rhaps not too ,i#! o' th! (ar*.
8ith this intro#+ction ,! can no, proc!!# to oo* at th!
prob!(s ,hich a #o+b! bin# th!ory o' schi/ophr!nia ,o+# pos!
'or th! g!n!ticist.
enetic %ro$le#s %osed $y Do!$le Bind Theory
I' schi/ophr!nia b! a (o#i'ication or #istortion o' th! !arning
proc!ss, th!n ,h!n ,! as* abo+t th! g!n!tics o' schi/ophr!nia, ,!
cannot b! cont!nt J+st ,ith g!n!aogi!s +pon ,hich ,! #iscri(inat!
so(! in#i"i#+as ,ho ha"! b!!n co((itt!# to hospitas, an# oth!rs
,ho ha"! not. :h!r! is no a priori !-p!ctation that th!s! #istortions
o' th! !arning proc!ss, ,hich ar! highy 'or(a an# abstract in th!ir
nat+r!, ,i n!c!ssariy app!ar ,ith that appropriat! cont!nt ,hich
,o+# r!s+t in hospita co((it(!nt. 5+r tas* as g!n!ticists ,i not
b! th! si(p! on! +pon ,hich th! A!n#!ians conc!ntrat!#,
ass+(ing a on!CtoCon! r!ation b!t,!!n ph!notyp! an# g!notyp!.
8! cannot si(py ass+(! that th! hospitai/!# (!(b!rs carry a
g!n! 'or schi/ophr!nia an# that th! oth!rs #o not. 4ath!r, ,! ha"!
to !-p!ct that s!"!ra g!n!s or const!ations o' g!n!s ,i at!r
patt!rns an# pot!ntiaiti!s in th! !arning proc!ss, an# that c!rtain
o' th! r!s+tant patt!rns, ,h!n con'ront!# by appropriat! 'or(s o'
!n"iron(!nta str!ss, ,i !a# to o"!rt schi/ophr!nia.
In th! (ost g!n!ra t!r(s, any !arning, b! it th! absorption o'
on! bit o' in'or(ation or a basic chang! in th! charact!r str+ct+r!
r!#+ction o' th! organ co+# b! achi!"!# (or! #ir!cty by g!n!tic #!t!r(inants.
263
o' th! ,ho! organis(, is, 'ro( th! point o' "i!, o' g!n!tics, th!
ac.+isition o' an
9
ac.+ir!# charact!ristic.
9
It is a chang! in th!
ph!notyp!, o' ,hich that ph!notyp! ,as capab! than*s to a ,ho!
chain o' physioogic an# !(bryoogic proc!ss!s ,hich !a# bac*
to th! g!notyp!. ="!ry st!p in this bac*,ar# !a#ing s!ri!s (ay
2conc!i"aby3 b! (o#i'i!# or int!rr+pt!# by !n"iron(!nta
i(pactsL b+t, o' co+rs!, (any o' th! st!ps ,i b! rigi# in th! s!ns!
that !n"iron(!nta i(pact at that point ,o+# #!stroy th!
organis(. 8! ar! conc!rn!# ony ,ith thos! points in th! hi!rarchy
at ,hich !n"iron(!nt can ta*! !''!ct an# th! organis( sti b!
"iab!. Eo, (any s+ch points th!r! (ay b! ,! ar! 'ar 'ro(
*no,ing. An# +ti(at!y, ,h!n ,! r!ach th! g!notyp!, ,! ar!
conc!rn!# to *no, ,h!th!r th! g!notypic !!(!nts in ,hich ,!
ar! int!r!st!# ar! or ar! not "ariab!. ?o #i''!r!nc!s occ+r 'ro(
g!notyp! to g!notyp! ,hich ,i a''!ct th! (o#i'iabiity o' th!
proc!ss!s !a#ing to th! ph!notypic b!ha"iors ,hich ,! obs!r"!D
In th! cas! o' schi/ophr!nia 'e #!a !"i#!nty ,ith a r!ati"!y
ong an# co(p!- hi!rarchyL an# th! nat+ra history o' th! #is!as!
in#icat!s that th! hi!rarchy is not (!r!y a chain o' ca+s!s an#
!''!cts 'ro( g!n!Cscript to ph!notyp!, ,hich chain b!co(!s at
c!rtain points con#itiona +pon !n"iron(!nta 'actors. 4ath!r, it
s!!(s that in schi/ophr!nia th! !n"iro(!nta 'actors th!(s!"!s
ar! i*!y to b! (o#i'i!# by th! s+bJ!ctIs b!ha"ior ,h!n!"!r
b!ha"ior r!at!# to schi/ophr!nia starts to app!ar.
:o i+strat! th!s! co(p!-iti!s, it is p!rhaps ,orth,hi! to
consi#!r 'or a (o(!nt th! g!n!tic prob!(s pr!s!nt!# by oth!r
'or(s o' co((+nicationa b!ha"ior;h+(or, (ath!(atica s*i, or
(+sica co(position. $!rhaps in a th!s! cas!s, th!r! ar!
consi#!rab! g!n!tic #i''!r!nc!s b!t,!!n in#i"i#+as in thos! 'actors
,hich (a*! 'or an abiity to ac.+ir! th! appropriat! s*is. 0+t th!
s*is th!(s!"!s an# th!ir partic+ar !-pr!ssion aso #!p!n# arg!y
+pon !n"iron(!nta circ+(stanc!s an# !"!n +pon sp!ci'ic training.
In a##ition, ho,!"!r, to th!s! t,o co(pon!nts o' th! sit+ation, th!r!
is th! 'act that th! in#i"i#+a ,ho sho,s abiity, !.g., in (+sica
co(position, is i*!y to (o# his !n"iron(!nt in a #ir!ction ,hich
,i 'a"or his #!"!oping his abiity, an# that h! ,i, in t+rn, cr!at!
an !n"iron(!nt 'or oth!rs ,hich ,i 'a"or th!ir #!"!op(!nt in th!
sa(! #ir!ction.
264
In th! cas! o' h+(or, th! sit+ation (ay !"!n b! on! #!gr!!
(or! co(picat!#. It is not c!ar that in this cas! th! r!ationship
b!t,!!n h+(orist an# his h+(an !n"iron(!nt ,i n!c!ssariy b!
sy((!trica. 1rant!# that in so(! cas!s th! h+(orist pro(ot!s
h+(or in oth!rs, in (any oth!r cas!s th!r! occ+rs th! ,!C*no,n
co(p!(!ntary r!ationship b!t,!!n h+(orist an# 9straight9 (an.
In#!!#, th! h+(orist, inso'ar as h! hogs th! c!nt!r o' th! stag!,
(ay r!#+c! oth!rs to th! position o' r!c!i"ing h+(or b+t not
th!(s!"!s contrib+ting.
:h!s! consi#!rations can b! appi!# +nchang!# to th! prob!(
o' schi/ophr!nia. Anybo#y ,atching th! transCactions ,hich occ+r
b!t,!!n th! (!(b!rs o' a 'a(iy containing an i#!nti'i!#
schi/ophr!nic ,i p!rc!i"! i((!#iat!y that th! sy(pto(atic
b!ha"ior o' th! i#!nti'i!# pati!nt 'its ,ith this !n"iron(!nt an#,
in#!!#, pro(ot!s in th! oth!r (!(b!rs thos! charact!ristics
,hich.!"o*! th! schi/ophr!nic b!ha"ior. :h+s, in a##ition to th!
t,o stochastic (!chanis(s o+tin!# in th! pr!"io+s s!ction, ,!
no, 'ac! a thir#, na(!y th! (!chanis( o' thos! chang!s ,h!r!by
th! 'a(iy, p!rhaps gra#+ay, b!co(!s organi/!# 2i.!., i(its th!
b!ha"iors o' th! co(pon!nt in#i"i#+as3 in s+ch a ,ay as to 'it th!
schi/ophr!nia.
A .+!stion ,hich is 'r!.+!nty as*!# is this6 9I' this 'a(iy is
schi/ophr!nog!nic, ho, #o!s it happ!n that a o' th! sibings ar!
not #iagnosab! as schi/ophr!nic pati!ntsD9 E!r! it is n!c!ssary to
insist that th! 'a(iy, i*! any oth!r organi/ation, cr!at!s an#
#!p!n#s +pon #i''!r!ntiation a(ong its (!(b!rs. As in (any
organi/ations, th!r! is roo( ony 'or on! boss, in spit! o' th! 'act
that th! organi/ation op!rat!s +pon thos! pr!(is!s ,hich ,o+#
in#+c! a#(inistrati"! s*i an# a(bition in its (!(b!rsL so aso in
th! schi/ophr!nog!nic 'a(iy th!r! (ay b! roo( 'or ony on!
schi/ophr!nic. :h! cas! o' th! h+(orist is .+it! co(parab!. :h!
organi/ation o' th! Aar- 'a(iy, ,hich co+# cr!at! 'o+r
pro'!ssiona h+(orists, (+st ha"! b!!n .+it! !-c!ptiona. Aor!
+s+ay on! s+ch in#i"i#+a ,o+# s+''ic! to r!C#+c! th! oth!rs to
(or! co((onpac! b!ha"iora ro!s. 1!n!Ctics (ay pay a ro! in
#!ci#ing ,hich o' s!"!ra sibings sha b! th! schi/ophr!nic;or
,hich sha b! th! co,n;b+t it is by no (!ans c!ar that s+ch
265
h!r!#itary 'actors co+# co(p!t!y #!t!r(in! th! !"o+tion or ro!s
,ithin th! 'a(iy organi/ation.
A s!con# .+!stion;to ,hich ,! ha"! no 'ina ans,!r;
conc!rns th! #!gr!! o' schi/ophr!nia 2g!n!tic an#Kor ac.+ir!#3
,hich (+st b! assign!# to th! schi/ophr!nog!nic par!nt. @!t (!,
'or p+rpos!s o' th! pr!s!nt in.+iry, #!'in! t,o #!gr!!s o'
schi/ophr!nic sy(pto(atoogy, an# not! that th! soCca!#
9psychotic br!a*9 so(!ti(!s #i"i#!s th!s! t,o #!gr!!s.
:h! (or! s!rio+s an# conspic+o+s #!gr!! o' sy(pto(atoogy is
,hat is con"!ntionay ca!# schi/ophr!nia. I ,i ca it 9o"!rt
schi/ophr!nia.9 :h! p!rsons so a''ict!# b!Cha"! in ,ays ,hich ar!
grossy #!"iant 'ro( th! c+t+raC!n"iron(!nt. In partic+ar, th!ir
b!ha"ior s!!(s charact!ri/!# by conspic+o+s or !-agg!rat!# !rrors
an# #istortions r!gar#ing th! nat+r! an# typing o' th!ir o,n
(!ssag!s 2int!rna an# !-t!rna3, an# o' th! (!ssag!s ,hich th!y
r!c!i"! 'ro( oth!rs. I(agination is s!!(ingy con'+s!# ,ith
p!rc!ption. :h! it!ra is con'+s!# ,ith th! (!taphoric. Int!rna
(!ssag!s ar! con'+s!# ,ith !-t!rna. :h! tri"ia is con'+s!# ,ith
th! "ita. :h! originator o' th! (!ssag! is con'+s!# ,ith th!
r!cipi!nt an# th! p!rc!i"!r ,ith th! thing p!rc!i"!#. An# so on. In
g!n!ra, th!s! #istortions boi #o,n to this6 that th! pati!nt b!ha"!s
in s+ch a ,ay that h! sha b! r!sponsib! 'or no
(!taco((+nicati"! asp!ct o' his (!ssag!s. E! #o!s this,
(or!o"!r, in a (ann!r ,hich (a*!s his con#ition conspic+o+s6 in
so(! cas!s, 'oo#ing th! !n"iron(!nt ,ith (!ssag!s ,hos! ogica
typing is !ith!r totay obsc+r! or (is!a#ingL in oth!r cas!s,
o"!rty ,ith#ra,ing to s+ch a point that h! co((its hi(s!' to no
o"!rt (!ssag!.
In th! 9co"!rt9 cas! th! b!ha"ior o' th! i#!nti'i!# pati!nt is
si(iary b+t !ss conspic+o+sy charact!ri/!# by a contin+a
changing o' th! ogica typing o' his or h!r (!ssag!s, an# a
t!n#!ncy to r!spon# to th! (!ssag!s o' oth!rs (esp!ciay to thos! o'
oth!r 'a(iy (!(b!rs3 as tho+gh th!s! ,!r! o' ogica typ!,
#i''!r!nt 'ro( that ,hich th! sp!a*!r int!n#!#. In this syst!( o'
b!ha"ior th! (!ssag!s o' th! "isCaC"is ar! contin+ay #is.+ai'i!#,
!ith!r by in#icating that th!y ar! inappropriat! r!pi!s to ,hat th!
co"!rt schi/ophr!nic has sai# or by in#icating that th!y ar! th!
pro#+ct o' so(! 'a+t in th! charact!r or (oti"ation o' th! sp!a*!r.
266
Aor!o"!r, this #!str+cti"! b!ha"ior is in g!n!ra (aintain!# in s+ch
a ,ay as to b! +n#!t!ct!#. &o ong as th! co"!rt schi/ophr!nic can
s+cc!!# in p+tting th! oth!r in th! ,rong, his or h!r pathoogy is
obsc+r!# an# th! ba(! 'as !s!C,h!r!. :h!r! is so(! !"i#!nc!
that th!s! p!rsons '!ar coCaps! into o"!rt schi/ophr!nia ,h!n 'ac!#
by circ+(stanc!s ,hich ,o+# 'orc! th!( to r!cogni/! th! patt!rn
o' th!ir op!rations. :h!y ,i !"!n +s! th! thr!at, 9Fo+ ar! #ri"ing
(! cra/y,9 as a #!'!ns! o' th!ir position.
8hat I a( h!r! caing co"!rt schi/ophr!nia is charact!ristic o'
th! par!nts o' schi/ophr!nics in th! 'a(ii!s ,hich ,! ha"!
st+#i!#. :his b!ha"ior, ,h!n it occ+rs in th! (oth!r, has b!!n
!-t!nsi"!y caricat+r!#L so I sha +s! h!r! an !-a(p! o' ,hich
th! c!ntra 'ig+r! is th! 'ath!r. Ar. an# Ars. $. ha# b!!n (arri!#
so(! !ight!!n y!ars an# ha"! a n!arCh!b!phr!nic son o' si-t!!n.
:h!ir (arriag! is #i''ic+t an# is charact!ri/!# by a(ost contin+a
hostiity. Eo,!"!r, sh! is a *!!n gar#!n!r, an# on a c!rtain &+n#ay
a't!rnoon th!y ,or*!# tog!th!r panting ros!s in ,hat ,as to b!
h!r ros! gar#!n. &h! r!cas that this ,as an +n+s+ay p!asant
occasion. 5n Aon#ay (orning, th! h+sban# ,!nt to ,or* as +s+a,
an# ,hi! h! ,as gon! Ars. $. r!c!i"!# a phon! ca 'ro( a
co(p!t! strang!r in.+iring, rath!r apoog!ticay, ,h!n Ars. $.
,as going to !a"! th! ho+s!. :his ca(! as so(!,hat o' a
s+rpris!. &h! #i# not *no, that 'ro( h!r h+sban#Is point o' "i!,
th! (!ssag!s o' shar!# ,or* on th! ros! gar#!n ,!r! 'ra(!#
,ithin th! arg!r cont!-t o' his ha"ing agr!!# #+ring th! pr!"io+s
,!!* to s! th! ho+s!.
In so(! cas!s, it a(ost oo*s as tho+gh th! o"!rt schi/ophr!nic
,!r! a caricat+r! o' th! co"!rt.
I' ,! ass+(! that both th! grossy schi/ophr!nic sy(pto(s o'
th! i#!nti'i!# pati!nt an# th! 9co"!rt schi/ophr!nia9 o' th! par!nts
ar! in part #!t!r(in!# by g!n!tic 'actors, i.!., that, gi"!n th!
appropriat! !-p!ri!ntia s!tting, g!n!tics in so(! #!gr!! r!n#!rs th!
pati!nt (or! iab! to #!"!op th!s! partic+ar patt!rns o' b!ha"ior,
th!n ,! ha"! to as* ho, th!s! t,o #!gr!!s o' pathoogy (ight b!
r!at!# in a g!n!tic th!ory.
C!rtainy, no ans,!r to this .+!stion is at pr!s!nt a"aiCab!, b+t
it is c!ary possib! ,! h!r! 'ac! t,o .+it! #istinct prob!(s. In th!
cas! o' th! o"!rt schi/ophr!nic, th! g!n!ticist ,i ha"! to i#!nti'y
267
thos! 'or(a charact!ristics o' th! pati!nt ,hich ,i r!n#!r hi(
(or! i*!y to b! #ri"!n to a psychotic br!a* by th! co"!rty
inconsist!nt b!ha"ior o' his par!nts 2or by this in conJ+nction an#
contrast ,ith th! (or! consist!nt b!ha"ior o' p!op! o+tsi#! th!
'a(iy3. It is too !ary to (a*! a sp!ci'ic g+!ss at th!s!
charact!ristics, b+t ,! (ay r!asonaby ass+(! that th!y ,o+#
inc+#! so(! sort o' rigi#ity. $!rhaps th! p!rson pron! to o"!rt
schi/ophr!nia ,o+# b! charact!ri/!# by so(! !-tra str!ngth o'
psychoogica co((it(!nt to th! status 5uo as h! at th! (o(!nt
s!!s it, ,hich co((it(!nt ,o+# b! h+rt or 'r+strat!# by th!
par!ntsI rapi# shi'ts o' 'ra(! an# cont!-t. 5r p!rhaps this pati!nt
(ight b! charact!ri/!# by th! high "a+! o' so(! para(!t!r
#!t!r(ining th! r!ationship b!t,!!n prob!( so"ing an# habit
'or(ation. $!rhaps it is th! p!rson ,ho too r!a#iy han#s o"!r th!
so+tions to habit ,ho is h+rt by thos! chang!s in cont!-t ,hich
in"ai#at! his so+tions J+st at th! (o(!nt ,h!n h! has incorporat!#
th!( into his habit str+ct+r!.
In th! cas! o' co"!rt schi/ophr!nia, th! prob!( 'or th! g!n!ticist
,i b! #i''!r!nt. E! ,i ha"! to i#!nti'y thos! 'or(a
charact!ristics ,hich ,! obs!r"! in th! par!nts o' th! schi/ophr!nic.
E!r! ,hat is r!.+ir!# ,o+# s!!( to b! a '!-ibiity rath!r than a
rigi#ity. 0+t, ha"ing ha# so(! !-p!ri!nc! in #!aing ,ith th!s!
p!op!, II (+st con'!ss to '!!ing that th!y ar! rigi#y co((itt!# to
th!ir patt!rns o' inconsist!ncy.
8h!th!r th! t,o .+!stions ,hich th! g!n!ticist (+st ans,!r can
si(py b! +(p!# tog!th!r by r!gar#ing th! co"!rt patt!rns as
(!r!y a (i#!r "!rsion o' th! o"!rt, or can b! bro+ght +n#!r a
sing! h!a# by s+gg!sting that in so(! s!ns! th! sa(! rigi#ity
op!rat!s at #i''!r!nt !"!s in th! t,o cas!s, I #o not *no,.
0! that as it (ay, th! #i''ic+ti!s ,hich ,! h!r! 'ac! ar! !ntir!y
charact!ristic o' any att!(pt to 'in# a g!n!tic bas! 'or any
b!ha"iora charact!ristic. )otorio+sy, th! sign o' any (!ssag! or
b!ha"ior is s+bJ!ct to r!"!rsa, an# this g!n!rai/ation is on! o' th!
(ost i(portant. contrib+tions o' psychoCanaysis, to o+r thin*ing. I'
,! 'in# that a s!-+a !-hibitionist is th! chi# o' a pr+#ish par!nt,
ar! ,! J+sti'i!# in going to th! g!n!ticist to as* hi( to trac! o+t th!
g!n!tics o' so(! basic charact!ristic ,hich ,i 'in# its ph!notypic
!-pr!ssion both in th! pr+#ishn!ss o' th! par!nt an# in th! !-hibiC
268
tionis( o' th! o''springD :h! ph!no(!na o' s+ppr!ssion an#
o"!rco(p!nsation !a# contin+ay to th! #i''ic+ty that an !-c!ss o'
so(!thing at on! !"! 2!.g., in th! g!notyp!3 (ay !a# to a
#!'ici!ncy o' th! #ir!ct !-pr!ssion o' that so(!thing at , so(! (or!
s+p!r'icia !"! 2!.g,. in th! ph!notyp!3. An# con"!rs!y.
8! ar! "!ry 'ar, th!n, 'ro( b!ing ab! to pos! sp!ci'ic .+!stions
'or th! g!n!ticistL b+t I b!i!"! that th! ,i#!r i(pications o' ,hat I
ha"! b!!n saying (o#i'y so(!,hat th! phiosophy o' g!n!tics. 5+r
approach to th! prob!(s o' schi/ophr!nia by ,ay o' a th!ory o'
!"!s or ogica typ!s has #iscos!# 'irst that th! prob!(s o'
a#aptation an# !arning an# th!ir pathoogi!s (+st b! consi#!r!# in
t!r(s o' a hi!rarchic syst!( in ,hich stochastic chang! occ+rs at
th! bo+n#ary points b!t,!!n th! s!g(!nts o' th! hi!rarchy. 8! ha"!
consi#!r!# thr!! s+ch r!gions o' stochastic chang! ;th! !"! o'
g!n!tic (+tation, th! !"! o' !arning, an# th! !"! o' chang! in
'a(iy organi/ation. 8! ha"! #iscos!# th! possibiity o' a
r!ationship o' th!s! !"!s ,hich ortho#o- g!n!tics ,o+# #!ny,
an# ,! ha"! #iscos!# that at !ast in h+(an soci!ti!s th!
!"o+tionary syst!( consists not (!r!y in th! s!!cti"! s+r"i"a o'
thos! p!rsons ,ho happ!n to s!!ct appropriat! !n"iron(!nts b+t
aso in th! (o#i'ication o' 'a(iy !n"iron(!nt in a #ir!ction ,hich
(ight !nhanc! th! ph!notypic an# g!notypic charact!ristics o' th!
in#i"i#+a (!(b!rs.
What (s Man/
I' I ha# b!!n as*!# 'i't!!n y!ars ago ,hat I +n#!rstoo# by th!
,or# (at!riais(, I thin* I sho+# ha"! sai# that (at!riais( is a
th!ory abo+t th! nat+r! o' th! +ni"!rs!, an# I ,o+# ha"! acc!pt!#
as a (att!r o' co+rs! th! notion that this th!ory is in so(! s!ns!
non(ora. I ,o+# ha"! agr!!# that th! sci!ntist is an !-p!rt ,ho
can pro"i#! hi(s!' an# oth!rs ,ith insights an# t!chni.+!s, b+t that
sci!nc! co+# ha"! nothing to say abo+t ,h!th!r th!s! t!chni.+!s
s*ould b! +s!#. In this, I ,o+# ha"! b!!n 'oo,ing th! g!n!ra
tr!n# o' sci!nti'ic phiosophy associat!# ,ith s+ch na(!s at
269
?!(ocrit+s, 1ai!o, )!,ton,
50
@a"oisi!r, an# ?ar,in. I ,o+# ha"!
b!!n #iscar#ing th! !ss r!sp!ctab! "i!,s o' s+ch (!n as
E!racit+s, th! ach!(ists, 8iia( 0a*!, @a(arc*, an# &a(+!
0+t!r. 7or th!s!, th! (oti"! 'or sci!nti'ic in.+iry ,as th! #!sir! to
b+i# a co(pr!h!nsi"! "i!, o' th! +ni"!rs! ,hich sho+# sho,
,hat Aan is an# ho, h! is r!at!# to th! r!st o' th! +ni"!rs!. :h!
pict+r! ,hich th!s! (!n ,!r! trying to b+i# ,as !thica an#
a!sth!tic.
:h!r! is this (+ch conn!ction c!rtainy b!t,!!n sci!nti'ic tr+th,
on th! on! han#, an# b!a+ty an# (oraity, on th! oth!r6 that i' a (an
!nt!rtain 'as! opinions r!gar#ing his o,n nat+r!, h! ,i b! !#
th!r!by to co+rs!s o' action ,hich ,i b! in so(! pro'o+n# s!ns!
i((ora or +gy.
:o#ay, i' as*!# th! sa(! .+!stion r!gar#ing th! (!aning o'
(at!riais(, I ,o+# say that this ,or# stan#s in (y thin*ing 'or a
co!ction o' r+!s abo+t ,hat .+!stions sho+# b! as*!# r!gar#ing
th! nat+r! o' th! +ni"!rs!. 0+t I ,o+# not s+ppos! that this s!t o'
r+!s has any cai( to b! +ni.+!y right.
:h! (ystic 9s!!s th! ,or# in a grain o' san#,9 an# th! ,or#
,hich h! s!!s is !ith!r (ora or a!sth!tic, or both. :h! )!,tonian
sci!ntist s!!s a r!g+arity in th! b!ha"ior o' 'aing bo#i!s an#
cai(s to #ra, 'ro( this r!g+arity no nor(ati"! conc+sions
,hatso!"!r. 0+t his cai( c!as!s to b! consist!nt at th! (o(!nt
,h!n h! pr!ach!s that this is th! right ,ay to "i!, th! +ni"!rs!. :o
pr!ach is possib! ony in t!r(s o' nor(ati"! conc+sions.
I ha"! to+ch!# +pon s!"!ra (att!rs in th! co+rs! o' this !ct+r!
,hich ha"! b!!n 'oci o' contro"!rsy in th! ong batt! b!t,!!n a
non(ora (at!riais( an# a (or! ro(antic "i!, o' th! +ni"!rs!.
:h! batt! b!t,!!n ?ar,in an# &a(+! 0+t!r (ay ha"! o,!# so(!
o' its bitt!rn!ss to ,hat oo*!# i*! p!rsona a''ronts, b+t b!hin# a
this th! arg+(!nt conc!rn!# a .+!stion ,hich ha# r!igio+s stat+s.
50
:h! name o' )!,ton c!rtainy b!ongs in this ist. 0+t th! (an hi(s!' ,as o'
a #i''!r!nt *i#n!y. Eis (ystica pr!occ+pation ,ith ach!(y an# apocayptic ,ritings,
an# his s!cr!t th!oogica (onis( in#icat! that h! ,as not th! 'irst obJ!cti"!
sci!ntist b+t, rath!r, th! 9ast o' th! (agicians9 2s!! J. A. <!yn!s, 9)!,ton, th!
Aan,9 :!rc!nt!nary C!!brations, @on#on, Ca(bri#g! %ni"!rsity $r!ss, 1947, pp.
27C343. )!,ton an# 0a*! ,!r! ai*! in #!"oting (+ch ti(! an# tho+ght to th!
(ystica ,or*s o' Jacob 0o!h(!.
270
:h! batt! ,as r!ay abo+t 9"itais(.9 It ,as a .+!stion o' ho,
(+ch life an# ,hat or#!r o' i'! co+# b! assign!# to organis(sL an#
?ar,inIs "ictory a(o+nt!# to this, that ,hi! h! ha# not s+cc!!#!#
in #!tracting 'ro( th! (yst!rio+s i"!in!ss o' th! in#i"i#+a
organis(, h! ha# at !ast #!(onstrat!# that th! !"o+tionary pict+r!
co+# b! r!#+c!# to nat+ra 9a,.9
It ,as, th!r!'or!, "!ry i(portant to #!(onstrat! that th! as y!t
+ncon.+!r!# t!rritory;th! i'! o' th! in#i"i#+a organis(;co+#
not contain anything ,hich ,o+# r!capt+r! this !"o+tionary
t!rritory. It ,as sti (yst!rio+s that i"ing organis(s co+# achi!"!
a#apti"! chang! #+ring th!ir in#i"i#+a i"!s, an# at a costs th!s!
a#apti"! chang!s, th! 'a(o+s ac.+ir!# charact!ristics, (+st not ha"!
in'+!nc! +pCon th! !"o+tionary tr!!. :h! 9inh!ritanc! o' ac.+ir!#
charact!ristics9 thr!at!n!# a,ays to r!capt+r! th! 'i!# o' !"o+tion
'or th! "itaist si#!. 5n! part o' bioogy (+st b! s!parat! 'ro( th!
oth!r. :h! obJ!cti"! sci!ntists cai(!#, o' co+rs!, to b!i!"! in a
+nity in nat+r!;that +ti(at!y th! ,ho! o' nat+ra ph!no(!na
,o+# pro"! s+sc!ptib! to th!ir anaysis, b+t 'or abo+t a h+n#r!#
y!ars it ,as con"!ni!nt to s!t +p an i(p!r(!ab! scr!!n b!t,!!n th!
bioogy o' th! in#i"i#+a an# th! th!ory o' !"o+tion. &a(+!
0+t!rIs 9inh!rit!# (!(ory9 ,as an attac* +pon this scr!!n.
:h! .+!stion ,ith ,hich I a( conc!rn!# in this conc+#ing
s!ction o' th! !ct+r! co+# b! p+t in "ario+s ,ays. Is th! batt!
b!t,!!n non(ora (at!riais( an# th! (or! (ystica "i!, o' th!
+ni"!rs! a''!ct!# by a chang! in th! '+nction assign!# to th!
9ac.+ir!# charact!risticsD9 ?o!s th! o#!r (at!riaist th!sis r!ay
#!p!n# +pon th! pr!(is! that cont!-ts ar! isoab!D 5r is o+r "i!,
o' th! ,or# chang!# ,h!n ,! a#(it an in'init! r!gr!ss o' cont!-ts,
in*!# to !ach oth!r in a co(p!- n!t,or* o' (!tar!ationsD ?o!s
th! possibiity that th! s!parat! !"!s o' stochastic chang! 2in
ph!notyp! an# g!notyp!3 (ay b! conn!ct!# in th! arg!r cont!-t o'
th! !coogica syst!( at!r o+r a!gianc! in th! batt!D
In br!a*ing a,ay 'ro( th! pr!(is! that cont!-ts ar! aC,ays
conc!pt+ay isoab!, I ha"! !t in th! notion o' a +ni"!rs! (+ch
(or! +ni'i!#;an# in that s!ns! (+ch (or! (ystica;than th!
con"!ntiona +ni"!rs! o' non(ora (at!riais(. ?o!s th! n!,
position so achi!"!# gi"! +s n!, gro+n#s 'or hop! that sci!nc!
(ight ans,!r (ora or a!sth!tic .+!stionsD
271
I b!i!"! that th! position is signi'icanty chang!#, an# p!rhaps
I can b!st (a*! this c!ar by consi#!ring a (att!r ,hich yo+ as
psychiatrists ha"! tho+ght abo+t (any ti(!s. I (!an th! (att!r o'
9contro9 an# th! ,ho! r!at!# co(p!- s+gg!st!# by s+ch ,or#s
as (anip+ation, spontan!ity, 'r!! ,i, an# t!chni.+!. I thin* yo+
,i agr!! ,ith (! that th!r! is no ar!a in ,hich 'as! pr!(is!s
r!gar#ing th! nat+r! o' th! s!' an# its r!ation to oth!rs can b! so
s+r!y pro#+cti"! o' #!str+ction an# +gin!ss as this ar!a o' i#!as
abo+t contro. A h+(an b!ing in r!ation ,ith anoth!r has "!ry
i(it!# contro o"!r ,hat happ!ns in that r!ationship. E! is a
part of a t,oCp!rson +nit, an# th!
.
contro ,hich any part can
ha"! o"!r any ,ho! is stricty i(it!#.
:h! in'init! r!gr!ss o' cont!-ts ,hich I ha"! ta*!# abo+t is ony
anoth!r !-a(p! o' th! sa(! ph!no(!non. 8hat I ha"! contrib+t!#
to this #isc+ssion is th! notion. that th! contrast b!t,!!n part an#
,ho!, ,h!n!"!r this contrast app!ars in th! r!a( o'
co((+nication, is si(py a contrast in ogica typing. :h! ,ho! is
a,ays in a (!tar!ationship ,ith its parts. As in ogic th!
proposition can n!"!r #!t!r(in! th! (!ta proposition, so aso in
(att!rs o' contro th! s(a!r cont!-t can n!"!r #!t!r(in! th! arg!r.
I ha"! r!(ar*!# 2!.g., ,h!n #isc+ssing th! ph!no(!na o'
ph!notypic co(p!nsation3 that in hi!rarchi!s o' ogica typing th!r!
is o't!n so(! sort o' chang! o' sign at !ach !"!, ,h!n th! !"!s
ar! r!at!# to !ach oth!r in s+ch a ,ay as to cr!at! a s!'Ccorr!cti"!
syst!(. :his app!ars in a si(p! #iagra((atic 'or( in th! initiatory
hi!rarchy ,hich I st+#i!# in a )!, 1+in!a trib!. :h! initiators ar!
th! nat+ra !n!(i!s o' th! no"ic!s, b!ca+s! it is th!ir tas* to b+y
th! no"ic!s into shap!. :h! (!n ,ho initiat!# th! pr!s!nt initiators
no, ha"! a ro! o' critici/ing ,hat is no, b!ing #on! in th! initiaC
tion c!r!(oni!s, an# this (a*!s th!( th! nat+ra ai!s o' th!
pr!s!nt no"ic!s. An# so on. &o(!thing o' th! sa(! sort aso occ+rs
in A(!rican co!g! 'rat!rniti!s, ,h!r! J+niors t!n# to b! ai!# ,ith
'r!sh(!n an# s!niors ,ith sopho(or!s.
:his gi"!s +s a "i!, o' th! ,or# ,hich is sti a(ost
+n!-por!#. 0+t so(! o' its co(p!-iti!s (ay b! s+gg!st!# by a
"!ry cr+#! an# i(p!r'!ct anaogy. I thin* that th! '+nctioning o'
s+ch hi!rarchi!s (ay b! co(par!# ,ith th! b+sin!ss o' trying to
bac* a tr+c* to ,hich on! or (or! trai!rs ar! attach!#. =ach
272
s!g(!ntation o' s+ch a syst!( #!not!s a r!"!rsa o' sign, an# !ach
a##!# s!g(!nt #!not!s a #rastic #!cr!as! in th! a(o+nt o' contro
that can b! !-!rt!# by th! #ri"!r o' th! tr+c*. I' th! syst!( is
para! to th! rightChan# si#! o' th! roa#, an# h! ,ants th! trai!r
i((!#iat!y b!hin# hi( to approach th! rightChan# si#!, h! (+st
t+rn his 'ront ,h!!s to th! !'t. :his ,i g+i#! th! r!ar o' th!
tr+c* a,ay 'ro( th! rightChan# si#! o' th! roa# so that th! 'ront o'
th! trai!r is p+!# o"!r to its !'t. :his ,i no, ca+s! th! r!ar o'
th! trai!r to point to,ar# th! right. An# so on.
As anybo#y ,ho has att!(pt!# this ,i *no,, th! a(o+nt o'
a"aiab! contro 'as o'' rapi#y. :o bac* a tr+c* ,ith on! trai!r
is ar!a#y #i''ic+t b!ca+s! th!r! is ony a i(it!# rang! o' ang!s
,ithin ,hich th! contro can b! !-!rt!#. I' th! trai!r is in in!, or
a(ost in in!, ,ith th! tr+c*, th! contro is !asy, b+t as th! ang!
b!t,!!n trai!r an# tr+c* #i(inish!s, a point is r!ach!# at ,hich
contro is ost an# th! att!(pt to !-!rt it ony r!s+ts in Jac**ni'ing
o' th! syst!(. 8h!n ,! consi#!r th! prob!( o' controing a
s!con# trai!r, th! thr!sho# 'or Jac**ni'ing is #rasticay r!#+c!#,
an# contro b!co(!s, th!r!'or!, a(ost n!gigib!.
As I s!! it, th! ,or# is (a#! +p o' a "!ry co(p!- n!tC,or*
2rath!r than a chain3 o' !ntiti!s ,hich ha"! this sort o' r!ationship
to !ach oth!r, b+t ,ith this #i''!r!nc!, that (any o' th! !ntiti!s
ha"! th!ir o,n s+ppi!s o' !n!rgy an# p!rhaps !"!n th!ir o,n
i#!as o' ,h!r! th!y ,o+# i*! to go.
In s+ch a ,or# th! prob!(s o' contro b!co(! (or! a*in to
art than to sci!nc!, not (!r!y b!ca+s! ,! t!n# to thin* o' th!
#i''ic+t an# th! +npr!#ictab! as cont!-ts 'or art b+t aso b!ca+s!
th! r!s+ts o' !rror ar! i*!y to b! +gin!ss.
@!t (! th!n conc+#! ,ith a ,arning that ,! socia sci!ntists
,o+# #o ,! to ho# bac* o+r !ag!rn!ss to contro that ,or#
,hich ,! so i(p!r'!cty +n#!rstan#. :h! 'act o' o+r i(p!r'!ct
+n#!rstan#ing sho+# not b! ao,!# to '!!# o+r an-i!ty an# so
incr!as! th! n!!# to contro. 4ath!r, o+r st+#i!s co+# b! inspir!# by
a (or! anci!nt, b+t to#ay !ss honor!#, (oti"!6 a c+riosity abo+t th!
,or# o' ,hich ,! ar! part. :h! r!,ar#s o' s+ch ,or* ar! not po,!r
b+t b!a+ty.
It is a strang! 'act that !"!ry gr!at sci!nti'ic a#"anc!;not !ast
th! a#"anc!s ,hich )!,ton achi!"!#;has b!!n !!gant.
273
Additional $eferences
8. 4. Ashby, 8esign for a <rain, )!, For*, John 8i!y X &ons,
Inc., 1952.
, Introduction to "y-ernetics, )!, For* an#
@on#on, John 8i!y X &ons, Inc., 1956.
1. 0at!son, ?. ?. Jac*son, J. Ea!y, an# J. E. 8!a*an#, 9:o,ar#
a :h!ory o' &chi/ophr!nia,9 <e*a&ioral Science, 1956, 16
251C64.
1. 0at!son, 9C+t+ra $rob!(s $os!# by a &t+#y o' &chi/ophr!nic
$roc!ss,
9
Symposium on Sc*i:op*renia, an Integrated
Approac*, by A'r!# A+!rbac*, A. ?., !#., A(!rican
$sychiatric Association, &y(posi+( o' th! Ea,aiian ?i"iC
siona A!!ting, 1958, )!, For*, 4ona# $r!ss, 1959.
, 9:h! )!, Conc!pt+a 7ra(!s 'or 0!ha"iora 4!Cs!arch,9
$roc!!#ings o' th! &i-th Ann+a $sychiatric Con'!r!nc! at
th! )!, J!rs!y )!+roC$sychiatric Instit+t!, $rinc!ton,
1958, pp. 54C71.
, 9:h! 1ro+p ?yna(ics o' &chi/ophr!nia,9 Chronic
&chi/ophr!nia, @. App!by, J. A. &ch!r, an# J. E.
C+((ings, !#s., 1!nco!, I., :h! 7r!! $r!ss, 1960.
, 9&ocia $anning an# th! Conc!pt o' ?!+t!roC
@!arning,
9
4!ation to th! ?!(ocratic 8ay o' @i'!, ConC
'!r!nc! on &ci!nc!, $hiosophy an# 4!igion, &!con#
&y(posi+(, !# by @. 0ryson an# @. 7in*!st!in, )!,
For*, Earp!r X 0ros., 1942.
, )a"!n, a &+r"!y o' $rob!(s &+gg!st!# by a Co(posit!
$ict+r! o f C+t+r! o f a )!, 1+in!a :rib! ?ra,n 'ro(
:hr!! $oints o' Gi!,, =#. 2, &tan'or#, Cai'., &tan'or#
%ni"!rsity $r!ss, 1958.
&. 0+t!r, :ho+ght an# @ang+ag!, 1890, p+bish!# in th!
&hr!,sb+ry =#ition o' th! ,or*s o' &a(+! 0+t!r, 1925,
"o. -i-.
, @+c* or C+nning as th! Aain A!ans o' 5rganic
Ao#i'ication, @on#on, :r+bn!r, 1887.
C. ?. ?arington, 9:h! 5rigins o' ?ar,inis(,9 &ci!nti'ic
A(!rican, 1959, 2006 60C65.
274
C. ?ar,in, 5n th! 5rigin o' &p!ci!s, by A!ans o' )at+ra
&!!ction, @on#on, A+rray, 1859.
C. C. 1iIispi!, 9@a(arc* an# ?ar,in in th! Eistory o' &ci!nc!,9
A(!rican &ci!ntist, 1958, 466 388C409.
J. &tro+#, 9$sychoogica Ao(!nt in $!rc!ptionC?isc+ssion,9
Cyb!rn!tics6 Circ+ar Ca+sa an# 7!!#bac* A!chanis(s in
0ioogica an# &ocia &yst!(s, :ransactions o' th! &i-th
Con'!r!nc!, E. Gon 7o!rst!r, !t a6, !#s., )!, For*, Josiah
AacyL Jr. 7o+n#ation, 1949, pp. 27C63.
C. E. 8a##ington, :h! &trat!gy o' th! 1!n!s, @on#on, 1!org!
A!n X %n,in, @t#., 1957.
, 9:h! Int!gration o' 1!n!CContro!# $roc!ss!s an# Its
0!aring on ="o+tion,9 Caryoogia, &+pp!(!nt, 1954, pp.
232C45.
, 91!n!tic Assi(iation o' an Ac.+ir!# Charact!r,9
="o+tion, 1953, 76 118C26.
A. 8!is(ann, =ssays +pon E!r!#ity, a+thori/!# transation, =. 0.
$o+ton, !t a., !#s., 5-'or#, Car!n#on $r!ss, 1889.
275
Dou)le *in#6 1989
%
?o+b! bin# th!ory ,as, 'or (!, an !-!(pi'ication o' ho, to
thin* abo+t s+ch (att!rs an#, in this asp!ct at !ast, th! ,ho!
b+sin!ss is ,orth so(! r!C!-a(ination.
&o(!ti(!s;o't!n in sci!nc! an# a,ays in art;on! #o!s not
*no, ,hat th! prob!(s ,!r! ti a't!r th!y ha"! b!!n so"!#. &o
p!rhaps it ,i b! +s!'+ to stat! r!trosp!cti"!y ,hat prob!(s ,!r!
so"!# 'or (! by #o+b! bin# th!ory.
7irst th!r! ,as th! prob!( o' r!i'ication.
C!ary th!r! ar! in th! (in# no obJ!cts or !"!nts;no pigs, no
cocon+t pa(s, an# no (oth!rs. :h! (in# contains ony trans'or(s,
p!rc!pts, i(ag!s, !tc., an# r+!s 'or (a*ing th!s! trans'or(s,
p!rc!pts, !tc. In ,hat 'or( th!s! r+!s !-ist ,! #o not *no,, b+t
pr!s+(aby th!y ar! !(bo#i!# in th! "!ry (achin!ry ,hich cr!at!s
th! trans'or(s. :h! r+!s ar! c!rtainy not co((ony !-picit as
conscio+s 9tho+ghts.9
In any cas!, it is nons!ns! to say that a (an ,as 'right!n!# by a
ion, b!ca+s! a ion is not an i#!a. :h! (an (a*!s an idea o' th!
ion.
:h! !-panatory ,or# o' su-stance can in"o*! no #i''!r!nc!s
an# no i#!as b+t ony 'orc!s an# i(pacts. An#, p!r contra, th! ,or#
o' form an# co((+nication in"o*!s no things, 'orc!s, or i(pacts
b+t ony #i''!r!nc!s an# i#!as. 2A #i''!r!nc! ,hich (a*!s a
#i''!r!nc! is an i#!a. It is a
9
bit,
9
a +nit o' in'or(ation.3
0+t th!s! things I !arn!# ony at!r;,as !nab!# to !arn th!(
by #o+b! bin# th!ory. An# y!t, o' co+rs!, th!y ar! i(picit in th!
th!ory ,hich co+# har#y ha"! b!!n cr!at!# ,itho+t th!(.
5+r origina pap!r on th! #o+b! bin# contains n+(!ro+s !rrors
#+! si(py to o+r ha"ing not y!t artic+at!y !-a(in!# th!
H
:his pap!r ,as gi"!n in A+g+st, 1969, at a &y(posi+( on th! ?o+b! 0in#L
Chair(an, ?r. 4ob!rt 4y#!rL sponsor!# by th! A(!rican $sychoogica Association.
It ,as pr!par!# +n#!r Car!!r ?!"!op(!nt A,ar# 2AEC21,9313 o' th! )ationa
Instit+t! o' A!nta E!ath.
276
r!i'ication prob!(. 8! ta* in that pap!r as tho+gh a #o+b! bin#
,!r! a so(!thing an# as tho+gh s+ch so(!Cthings co+# b! co+nt!#.
5' co+rs! thatIs a nons!ns!. Fo+ cannot co+nt th! bats in an
in*bot b!ca+s! th!r! ar! non!. An# y!t a (an;i' h! b! 9batC
(in#!#9;(ay
9
s!!9 s!"!ra.
0+t ar! th!r! #o+b! bin#s in th! (in#D :h! .+!stion is not
tri"ia. As th!r! ar! in th! (in# no cocon+ts b+t ony p!rc!pts an#
trans'or(s o' cocon+ts, so aso, ,h!n I p!rc!i"! 2conscio+sy or
+nconscio+sy3 a #o+b! bin# in (y boss
I
b!ha"ior, I ac.+ir! in (y
(in# no #o+b! bin# b+t ony a p!rc!pt or trans'or( o' a #o+b!
bin#. An# t*at is not ,hat th! th!ory is abo+t.
8! ar! ta*ing th!n abo+t so(! sort o' tang! in th! r+!s 'or
(a*ing th! trans'or(s an# abo+t th! ac.+isition or c+ti"ation o'
s+ch tang!s. ?o+b! bin# th!ory ass!rts that th!r! is an !-p!ri!ntia
co(pon!nt in th! #!t!r(ination or !tioogy o' schi/ophr!nic
sy(pto(s an# r!at!# b!ha"iora patt!rns, s+ch as h+(or, art,
po!try, !tc. )otaby th! th!ory #o!s not #isting+ish b!t,!!n th!s!
s+bsp!ci!s. 8ithin its t!r(s th!r! is nothing to #!t!r(in! ,h!th!r a
gi"!n in#i"i#+a sha b!co(! a co,n, a po!t, a schi/ophr!nic, or
so(! co(bination o' th!s!. 8! #!a not ,ith a sing! syn#ro(! b+t
,ith a g!n+s o' syn#ro(!s, (ost o' ,hich ar! not con"!ntionay
r!gar#!# as pathoogica.
@!t (! coin th! ,or# 9transcont!-t+a9 as a g!n!ra t!r( 'or
this g!n+s o' syn#ro(!s.
It s!!(s that both thos! ,hos! i'! is !nrich!# by transC
cont!-t+a gi'ts an# thos! ,ho ar! i(po"!rish!# by transcont!-t+a
con'+sions ar! ai*! in on! r!sp!ct6 'or th!( th!r! is a,ays or o't!n
a 9#o+b! ta*!.
9
A 'aing !a', th! gr!!ting o' a 'ri!n#, or a
9pri(ros! by th! ri"!rIs bri(9 is not 9J+st that an# nothing (or!.9
=-og!no+s !-p!ri!nc! (ay b! 'ra(!# in th! cont!-ts o' #r!a(, an#
int!rna tho+ght (ay b! proJ!ct!# into th! cont!-ts o' th! !-t!rna
,or#. An# so on. 7or a this, ,! s!!* a partia !-panation in
!arning an# !-p!ri!nc!.
:h!r! (+st, o' co+rs!, aso b! g!n!tic co(pon!nts in th! !tioogy
o' th! transcont!-t+a syn#ro(!s. :h!s! ,o+# !-p!ctaby op!rat!
at !"!s (or! abstract than th! !-p!ri!ntia. 7or !-a(p!, g!n!tic
co(pon!nts (ight #!t!r(in! s*i in !arning to b! transcont!-t+a
or 2(or! abstracty3 th! pot!ntiaiti!s 'or ac.+iring this s*i. 5r,
277
con"!rs!y, th! g!no(! (ight #!t!r(in! s*is in r!sisting
transcont!-t+a path,ays, or th! pot!ntiaity 'or ac.+iring this att!r
s*i. 21!n!ticists ha"! pai# &ery itt! att!ntion to th! n!c!ssity o'
#!'ining th! ogica typing o' (!ssag!s carri!# by ?)A.3
In any cas!, th! (!!ting point ,h!r! th! g!n!tic #!t!r(ination
(!!ts th! !-p!ri!ntia is s+r!y .+it! abstract, an# this (+st b! tr+!
!"!n tho+gh th! !(bo#i(!nt o' th! g!n!tic (!ssag! b! a sing!
g!n!. 2A sing! -it o' in'or(ation;a sing! #i''!r!nc!;(ay b! th!
y!sCorCno ans,!r to a .+!stion o' any #!gr!! o' co(p!-ity, at any
!"! o' abstraction. 3
C+rr!nt th!ori!s ,hich propos! 2'or 9schi/ophr!nia93 a sing!
#o(inant g!n! o' 9o, p!n!tranc!9 s!!( to !a"! th! 'i!# op!n 'or
any !-p!ri!ntia th!ory ,hich ,o+# in#icat! ,hat cass o'
!-p!ri!nc!s (ight ca+s! th! at!nt pot!ntiaity to app!ar in th!
ph!notyp!.
I (+st con'!ss ho,!"!r that th!s! th!ori!s s!!( to (! o' itt!
int!r!st +nti th! propon!nts try to sp!ci'y ,hat co(pon!nts o' th!
co(p!- proc!ss o' #!t!r(ining 9schi/ophr!nia9 ar! pro"i#!# by th!
hypoth!tica g!n!. :o i#!nti'y th!s! co(pon!nts (+st b! a
su-tracti&e proc!ss. 8h!r! th! contrib+tion o' !n"iron(!nt is
arg!, th! g!n!tics cannot b! in"!stigat!# +nti th! !n"iron(!nta
!''!ct has b!!n i#!nti'i!# an# can b! contro!#.
0+t sa+c! 'or th! goos! is aso sa+c! 'or th! gan#!r, an# ,hat is
sai# abo"! abo+t g!n!ticists pac!s an obigation +pon (! to (a*!
c!ar ,hat co(pon!nts o' transcont!-t+a proc!ss co+# b! pro"i#!#
by #o+b! bin# !-p!ri!nc!. It is appropriat! th!r!'or! to r!C!-a(in!
th! th!ory o' #!+t!ro!arning +pon ,hich #o+b! bin# th!ory is
bas!#.
A bioogica syst!(s 2organis(s an# socia or !coogica
organi/ations o' organis(s3 ar! capab! o' a#apti"! chang!. 0+t
a#apti"! chang! ta*!s (any 'or(s, s+ch as r!spons!, !arning,
!coogica s+cc!ssion, bioogica !"o+tion, c+t+ra !"o+tion, !tc.,
accor#ing to th! si/! an# co(p!-ity o' th! syst!( ,hich ,!
choos! to consi#!r.
8hat!"!r th! syst!(, a#apti"! chang! #!p!n#s +pon feed-ac3
loops, b! it thos! pro"i#!# by nat+ra s!!ction or thos! o'
in#i"i#+a r!in'orc!(!nt. In a cas!s, th!n, th!r! (+st b! a proc!ss
o' trial and error an# a (!chanis( o' comparison.
278
0+t tria an# !rror (+st a,ays in"o"! !rror, an# !rror is
a,ays bioogicay an#Kor psychicay !-p!nsi"!. It 'oo,s
th!r!'or! that a#apti"! chang! (+st a,ays b! *ierarc*ic.
:h!r! is n!!#!# not ony that 'irstCor#!r chang! ,hich s+its th!
i((!#iat! !n"iron(!nta 2or physioogica3 #!(an# b+t aso
s!con#Cor#!r chang!s ,hich ,i r!#+c! th! a(o+nt o' tria an#
!rror n!!#!# to achi!"! th! 'irstCor#!r chang!. An# so on. 0y
s+p!rposing an# int!rconn!cting (any '!!#bac* oops, ,! 2an# a
oth!r bioogica syst!(s3 not ony so"! partic+ar prob!(s b+t
aso 'or( *a-its ,hich ,! appy to th! so+tion o' classes o'
prob!(s.
8! act as tho+gh a ,ho! cass o' prob!(s co+# b! so"!# in
t!r(s o' ass+(ptions or pr!(is!s, '!,!r in n+(b!r than th!
(!(b!rs o' th! cass o' prob!(s. In oth!r ,or#s, ,! 2organis(s3
learn to learn, or in th! (or! t!chnica phras!, ,! #!+t!roC!arn.
0+t habits ar! notorio+sy rigi# an# th!ir rigi#ity 'oo,s as a
n!c!ssary coroary o' th!ir stat+s in th! hi!rarchy o' a#aptation.
:h! "!ry !cono(y o' tria an# !rror ,hich is achi!"!# by habit
'or(ation is ony possib! b!ca+s! habits ar! co(parati"!y 9har#
progra((!#,9 in th! !ngin!!rsI phras!. :h! !cono(y consists
pr!cis!y in not r!C!-a(ining or r!#isco"!ring th! pr!(is!s o'
habit !"!ry ti(! th! habit is +s!#. 8! (ay say that th!s! pr!(is!s
ar! party 9+nconscio+s9, or;i' yo+ p!as!;that a *a-it o' not
!-a(ining th!( is #!"!op!#.
Aor!o"!r, it is i(portant to not! that th! pr!(is!s o' habit ar!
a(ost n!c!ssariy abstract. ="!ry prob!( is in so(! #!gr!!
#i''!r!nt 'ro( !"!ry oth!r an# its #!scription or r!pr!s!ntation in th!
(in# ,i th!r!'or! contain +ni.+! propositions. C!ary to sin*
th!s! +ni.+! propositions to th! !"! o' pr!(is!s o' habit ,o+# b!
an !rror. Eabit can #!a s+cc!ss'+y ony ,ith propositions ,hich
ha"! g!n!ra or r!p!titi"! tr+th, an# th!s! ar! co((ony o' a
r!ati"!y high or#!r o' abstraction.
51
51
8hat is i(portant, ho,!"!r, is that th! proposition b! constanty tr+!, rath!r than
that it b! abstract. It J+st so happ!ns;coinci#!ntay;that abstractions, i' ,! choC
s!n, ha"! a constancy o' tr+th. 7or h+(an b!ings it is rath!r constanty tr+! that air is
pr!s!nt aro+n# th! nos!L th! r!'!-!s ,hich contro r!spiration can th!r!'or! b! har#C
progra((!# in th! (!#+a. 7or th! porpois!, th! proposition 9air aro+n# th!
bo,ho!9 is ony int!r(itt!nty tr+!, an# th!r!'or! r!spiration (+st b! conCtro!#
279
)o, th! partic+ar propositions ,hich I b!i!"! to b! i(portant
in th! #!t!r(ination o' th! transcont!-t+a syn#ro(!s ar! thos!
'or(a abstractions ,hich #!scrib! an# #!t!r(in! int!rp!rsona
r!ationship.
I say 9#!scrib! an# #!t!r(in!,9 b+t !"!n this is ina#!.+at!.
0!tt!r ,o+# b! to say that th! r!ationship is th! !-chang! o' th!s!
(!ssag!sL or that th! r!ationship is i((an!nt in th!s! (!ssag!s.
$sychoogists co((ony sp!a* as i' th! abstractions o' r!C
ationship 29#!p!n#!ncy,9 9hostiity,9 9o"!,9 !tc.3 ,!r! r!a things
,hich ar! to b! #!scrib!# or 9!-pr!ss!#9 by (!ssag!s. :his is
!pist!(oogy bac*,ar#s6 in tr+th, th! (!ssag!s constit+t! th!
r!ationship, an# ,or#s i*!
N
.
N
#!p!n#!ncy9 ar! "!rbay co#!#
#!scriptions o' patt!rns i((an!nt in th! co(bination o' !-chang!#
(!ssag!s.
As has ar!a#y b!!n (!ntion!#, th!r! ar! no 9things9 in th! (in#
;not !"!n 9#!p!n#!ncy.9
8! ar! so b!'+##!# by ang+ag! that ,! cannot thin* straight,
an# it is con"!ni!nt, so(!ti(!s, to r!(!(b!r that ,! ar! r!ay
(a((as. :h! !pist!(oogy o' th! 9h!art9 is that o' any nonh+(an
(a((a. :h! cat #o!s not say 9(i*9L sh! si(py acts o+t 2or is3 h!r
!n# o' an int!rchang!, th! patt!rn o' ,hich ,! in ang+ag! ,o+#
ca 9#!p!n#!ncy.9
0+t to act or b! on! !n# o' a patt!rn o' int!raction is to propos!
th! oth!r !n#. A conte.t is s!t 'or a c!rtain cass o' r!spons!.
:his ,!a"ing o' cont!-ts an# o' (!ssag!s ,hich propos! cont!-t
;b+t ,hich, i*! a (!ssag!s ,hatso!"!r, ha"! 9(!aning9 ony by
"irt+! o' cont!-t;is th! s+bJ!ct (att!r o' th! soCca!# #o+b! bin#
th!ory.
:h! (att!r (ay b! i+strat!# by a 'a(o+s an# 'or(ay corr!ct
52
botanica anaogy. 1o!th! point!# o+t 150 y!ars I ago that th!r! is a
sort o' synta- or gra((ar in th! anato(y o' 'o,!ring pants. A
9st!(9 is that ,hich b!ars 9!a"!s9L a 9!a'9 is that ,hich has a b+#
in its a-iL a b+# is a st!( ,hich originat!s in th! a-i o' a !a'L !tc.
:h! 'or(a 2i.!., th! co((+nicationa3 nat+r! o' !ach organ is
in a (or! '!-ib! (ann!r 'ro( so(! high!r c!nt!r.
52
7or(ay corr!ct b!ca+s! (orphog!n!sis, i*! b!ha"ior, is s+r!y a (att!r o'
(!ssag!s in cont!-ts. 2&!! 1. 0at!son, 9A 4!C!-a(ination o' I0at!sonIs 4+!,I9
Journal of (enetics, in pr!ss.3
280
#!t!r(in!# by its cont!-t+a stat+s;th! cont!-t in ,hich it occ+rs
an# th! cont!-t ,hich it s!ts 'or oth!r parts.
I sai# abo"! that #o+b! bin# th!ory is conc!rn!# ,ith th!
!-p!ri!ntia co(pon!nt in th! g!n!sis o' tang!s in th! r+!s or
pr!(is!s o' habit. I no, go on to ass!rt that !-p!ri!nc!# br!ach!s in
th! ,!a"! o' cont!-t+a str+ct+r! ar! in 'act 9#o+b! bin#s9 an#
(+st n!c!ssariy 2i' th!y contrib+t! at a to th! hi!rarchic proc!ss!s
o' !arning an# a#aptation3 pro(ot! ,hat I a( caing
transcont!-t+a syn#ro(!s.
Consi#!r a "!ry si(p! para#ig(6 a '!(a! porpois! +Steno
-redanensis4 is train!# to acc!pt th! so+n# o' th! train!rIs ,hist!
as a 9s!con#ary r!in'orc!(!nt.9 :h! ,hist! is !-p!ctaby 'oo,!#
by 'oo#, an# i' sh! at!r r!p!ats ,hat sh! ,as #oing ,h!n th!
,hist! b!,, sh! ,i !-p!ctaby again h!ar th! ,hist! an# r!c!i"!
'oo#.
:his porpois! is no, +s!# by th! train!rs to #!(onstrat! 9op!rant
con#itioning9 to th! p+bic. 8h!n sh! !nt!rs th! !-hibition tan*, sh!
rais!s h!r h!a# abo"! s+r'ac!, h!ars th! ,hist! an# is '!#. &h! th!n
rais!s h!r h!a# again an# is again r!in'orc!#. :hr!! r!p!titions o'
this s!.+!nc! is !no+gh 'or th! #!(onstration an# th! porpois! is
th!n s!nt o''Cstag! to ,ait 'or th! n!-t p!r'or(anc! t,o ho+rs at!r.
&h! has !arn!# so(! si(p! r+!s ,hich r!at! h!r actions, th!
,hist!, th! !-hibition tan*, an# th! train!r into a patt!rn;a
cont!-t+a str+ct+r!, a s!t o' r+!s 'or ho, to p+t th! inC'or(ation
tog!th!r.
0+t this patt!rn is 'itt!# ony 'or a sing! !piso#! in th!
!-hibition tan*. &h! (+st br!a* that patt!rn to #!a ,ith th! class o'
s+ch !piso#!s. :h!r! is a arg!r conte&t of conte&ts ,hich ,i p+t
h!r in th! ,rong.
At th! n!-t p!r'or(anc!, th! train!r again ,ants to #!(onstrat!
9op!rant con#itioning,9 b+t to #o this sh! (+st pic* on a #i''!r!nt
pi!c! o' conspic+o+s b!ha"ior.
8h!n th! porpois! co(!s on stag!, sh! again rais!s h!r h!a#.
0+t sh! g!ts no ,hist!. :h! train!r ,aits 'or th! n!-t pi!c! o'
conspic+o+s b!ha"ior;i*!y a tai 'ap, ,hich is a co((on
!-pr!ssion o' annoyanc!. :his b!ha"ior is th!n r!inC'orc!# an#
r!p!at!#.
281
0+t th! tai 'ap ,as, o' co+rs!, not r!,ar#!# in th! thir#
p!r'or(anc!.
7inay th! porpois! !arn!# to #!a ,ith th! cont!-t o' cont!-ts
;by o''!ring a #i''!r!nt or new pi!c! o' conspic+o+s b!ha"ior
,h!n!"!r sh! ca(! on stag!.
A this ha# happ!n!# in th! 'r!! nat+ra history o' th!
r!ationship b!t,!!n porpois! an# train!r an# a+#i!nc!. :h!
s!.+!nc! ,as th!n r!p!at!# !-p!ri(!ntay ,ith a n!, porpois! an#
car!'+y r!cor#!#.
53
:,o points 'ro( this !-p!ri(!nta r!p!at o' th! s!.+!nc! (+st
b! a##!#6
7irst, that it ,as n!c!ssary 2in th! train!rIs J+#g(!nt3 to br!a* th!
r+!s o' th! !-p!ri(!nt (any ti(!s. :h! !-p!ri!nc! o' b!ing in th!
,rong ,as so #ist+rbing to th! porpois! that in or#!r to pr!s!r"! th!
r!ationship b!t,!!n porpois! an# train!r 2i.!., th! cont!-t o' cont!-t
o' cont!-t3 it ,as n!c!ssary to gi"! (any r!in'orc!(!nts to ,hich
th! porpois! ,as not !ntit!#.
&!con#, that !ach o' th! 'irst 'o+rt!!n s!ssions ,as charact!ri/!#
by (any '+ti! r!p!titions o' ,hat!"!r b!ha"ior ha# b!!n r!in'orc!#
in th! i((!#iat!y pr!"io+s s!ssion. &!!(ingy ony by 9acci#!nt9
#i# th! ani(a pro"i#! a pi!c! o' #i''!r!nt b!ha"ior. In th! ti(!Co+t
b!t,!!n th! 'o+rt!!nth an# 'i't!!nth s!ssions, th! porpois! app!ar!#
to b! (+ch !-cit!#, an# ,h!n sh! ca(! on stag! 'or th! 'i't!!nth
s!ssion sh! p+t on an !aborat! p!r'or(anc! inc+#ing !ight
conspic+o+s pi!c!s o' b!ha"ior o' ,hich 'o+r ,!r! !ntir!y n!,;
n!"!r b!'or! obs!r"!# in this sp!ci!s o' ani(a.
:h! story i+strat!s, I b!i!"!, t,o asp!cts o' th! g!n!sis o' a
transcont!-t+a syn#ro(!6
7irst, that s!"!r! pain an# (aa#J+st(!nt can b! in#+c!# by
p+tting a (a((a in th! ,rong r!gar#ing its r+!s 'or (a*ing s!ns!
o' an i(portant r!ationship ,ith anoth!r (a((a.
An# s!con#, that i' this pathoogy can b! ,ar#!# o'' or r!sist!#,
th! tota !-p!ri!nc! (ay pro(ot! creati&ity.
53
<. $ryor, 4. Eaag, an# J. 5I4i!y, 9?!+t!roC@!arning in a
4o+ghtooth $orpois! +Steno -redanensis4,9 %. &. )a"a 5r#inanc!
:!st &tation, China @a*!, )5:& TP 4270
282
Bi$liography
1. 0at!son, 9&ocia $anning an# th! Conc!pt o' ?!+t!roC
@!arning,9 Science, 6*ilosop*y and $eligion0 Second
Symposium, @. 0ryson an# @. 7in*!st!in, !#s., )!, For*,
Con'!r!nc! on &ci!nc!, $hiosophy an# 4!igion in th!ir
4!ation to th! ?!(ocratic 8ay o' @i'!, Inc., 1942.
9Aini(a 4!.+ir!(!nts 'or a :h!ory o' &chi/ophr!nia,9
A.,.A. Arc*i&es of (eneral 6syc*iatry, 1960, 26 477C91.
, 6erce&al
D
s ;arrati&e, A 6atientDs Account of *is 6syc*osis,
1830C1832, !#it!# an# ,ith an intro#+ction by 1r!gory
0at!son, &tan'or#, Cai'., &tan'or# %ni"!rsity $r!ss, 1961.
, 9=-chang! o' In'or(ation abo+t $att!rns o' E+C(an
0!ha"ior,9 Information Storage and ;eural "ontrol0 !ent*
Annual Scientific ,eeting of t*e 1ouston ;eurological
Society, 2. S. 7i!#s an# 8. Abbott, !#s., &pring'i!#, I.,
Char!s C. :ho(as, 1963.
, 9:h! 4o! o' &o(atic Chang! in ="o+tion,9 &olution,
1963, 176 529C39.
283
The 9oi'al Cateo&ie! o5 9ea&nin an#
Co((uni'ation
%
A sp!ci!s o' b!ha"iora sci!ntists ar! conc!rn!# ,ith
9
!arning9
in on! s!ns! or anoth!r o' that ,or#. Aor!o"!r, sinc! 9!arning9 is a
co((+nicationa ph!no(!non, a ar! a''!ct!# by that cyb!rn!tic
r!"o+tion in tho+ght ,hich has occ+rr!# in th! ast t,!ntyC'i"!
y!ars. :his r!"o+tion ,as trigg!r!# by th! !ngin!!rs an#
co((+nication th!orists b+t has o#!r roots in th! physioogica
,or* o' Cannon an# Ca+#! 0!rnar#, in th! physics o' Car*!
Aa-,!, an# in th! (ath!(atica phiosophy o' 4+ss! an#
8hit!h!a#. Inso'ar as b!ha"iora sci!ntists sti ignor! th! prob!(s
o' J incipia ,at*ematica,
54
th!y can cai( appro-i(at!y si-ty
y!ars o' obso!sc!nc!.
It app!ars, ho,!"!r, that th! barri!rs o' (is+n#!rstan#ing ,hich
#i"i#! th! "ario+s sp!ci!s o' b!ha"iora sci!ntists can b! i+(inat!#
2b+t not !i(inat!#3 by an appication o' 4+ss!Is :h!ory o' @ogica
:yp!s to th! conc!pt o' 9!arning
9
,ith ,hich a ar! conc!rn!#. :o
att!(pt this i+(ination ,i b! a p+rpos! o' th! pr!s!nt !ssay.
The Theory of *o&ical Types
7irst, it is appropriat! to in#icat! th! s+bJ!ct (att!r o' th! :h!ory
o' @ogica :yp!s6 th! th!ory ass!rts that no cass can, in 'or(a
ogica or (ath!(atica #isco+rs!, b! a (!(b!r o' its!'L that a cass
o' cass!s cannot b! on! o' th! cass!s ,hich ar! its (!(b!rsL that a
na(! is not th! thing na(!#L that 9John 0at!son9 is th! cass o'
H
:his !ssay ,as ,ritt!n in 1964 ,hi! th! a+thor ,as !(poy!# by th!
Co((+nications 4!s!arch Instit+t!, +n#!r a Car!!r ?!"!op(!nt A,ar# 2<3C)EC
21, 9313 'ro( th! )ationa Instit+t! o' A!nta E!ath. It ,as s+b(itt!# as a position
pap!r to th! 9Con'!r!nc! on 8or# Gi!,s9 sponsor!# by th! 8!nn!rC1r!n 7o+n#ation,
A+g+st 2C11, 1968. :h! s!ction on 9@!arning III9 ,as a##!# in 1971.
54
A. ). 8hit!h!a# an# 0. 4+ss!, 6rincipia ,at*ematica, 3 "os., 2n# !#.,
Ca(bri#g!, Ca(bri#g! %ni"!rsity $r!ss, 1910C13.
284
,hich that boy is th! +ni.+! (!(b!rL an# so 'orth. :h!s! ass!rtions
(ay s!!( tri"ia an# !"!n ob"io+s, b+t ,! sha s!! at!r that it is
not at a +n+s+a 'or th! th!orists o' b!ha"iora sci!nc! to co((it
!rrors ,hich ar! pr!cis!y anaogo+s to th! !rror o' cassi'ying th!
na(! ,ith th! thing na(!#;or !ating th! (!n+ car# inst!a# o' th!
#inn!r;an !rror o' logical typing.
&o(!,hat !ss ob"io+s is th! '+rth!r ass!rtion o' th! th!ory6 that
a cass cannot b! on! o' thos! it!(s ,hich ar! corr!cty cassi'i!# as
its non(!(b!rs. I' ,! cassi'y chairs tog!th!r to constit+t! th! cass
o' chairs, ,! can go on to not! that tab!s an# a(p sha#!s ar!
(!(b!rs o' a arg! cass o' 9nonchairs,9 b+t ,! sha co((it an
!rror in 'or(a #isco+rs! i' ,! co+nt th! class of c*airs a(ong th!
it!(s ,ithin th! cass o' nonchairs.
Inas(+ch as no cass can b! a (!(b!r o' its!', th! cass o'
nonchairs c!ary cannot b! a nonchair. &i(p! consi#!rations o'
sy((!try (ay s+''ic! to con"inc! th! non(ath!(atica r!a#!r6 2a3
that th! cass o' chairs is o' th! sa(! or#!r o' abstraction 2i.!., th!
sa(! ogica typ!3 as th! cass o' nonchairsL an# '+rth!r, 2b3 that i'
th! cass o' chairs is not a chair, th!n, corr!spon#ingy, th! cass o'
nonchairs is not a nonchair.
@asty, th! th!ory ass!rts that i' th!s! si(p! r+!s o' 'or(a
#isco+rs! ar! contra"!n!#, para#o- ,i b! g!n!rat!# an# th!
#isco+rs! "itiat!#.
:h! th!ory, th!n, #!as ,ith highy abstract (att!rs an# ,as 'irst
#!ri"!# ,ithin th! abstract ,or# o' ogic. In that ,or#, ,h!n a
train o' propositions can b! sho,n to g!n!rat! a para#o-, th! !ntir!
str+ct+r! o' a-io(s, th!or!(s, !tc., in"o"!# in g!n!rating that
para#o- is th!r!by n!gat!# an# r!#+c!# to nothing. It is as i' it ha#
n!"!r b!!n. 0+t in th! r!a ,or# 2or at !ast in o+r #!scriptions o'
it3, th!r! is a,ays time, an# nothing ,hich has b!!n can !"!r b!
totay n!gat!# in this ,ay. :h! co(p+t!r ,hich !nco+nt!rs a paraC
#o- 2#+! to 'a+ty progra((ing3 #o!s not "anish a,ay.
:h! 9i' ... th!n ...9 o' ogic contains no ti(!. 0+t in th! co(p+t!r,
ca+s! an# !''!ct ar! +s!# to simulate th! 9i' .. . th!n . . .9 o' ogicL
an# a s!.+!nc!s o' ca+s! an# !''!ct n!c!ssariy in"o"! ti(!.
2Con"!rs!y, ,! (ay say that in sci!nti'ic !-panations th! 9i' ...
th!n ...9 o' ogic is +s!# to si(+at! th! 9i' ... th!n ...9 o' ca+s! an#
!''!ct.3
285
:h! co(p+t!r n!"!r tr+y !nco+nt!rs ogica para#o-, b+t ony
th! si(+ation o' para#o- in trains o' ca+s! an# !''!ct. :h!
co(p+t!r th!r!'or! #o!s not 'a#! a,ay. It (!r!y osciat!s.
In 'act, th!r! ar! i(portant #i''!r!nc!s b!t,!!n th! ,or# o'
ogic an# th! ,or# o' ph!no(!na, an# th!s! #i''!r!nc!s (+st b!
ao,!# 'or ,h!n!"!r ,! bas! o+r arg+(!nts +pon th! partia b+t
i(portant anaogy ,hich !-ists b!t,!!n th!(.
It is th! th!sis o' th! pr!s!nt !ssay that this partia anaogy can
pro"i#! an i(portant g+i#! 'or b!ha"iora sci!ntists in th!ir
cassi'ication o' ph!no(!na r!at!# to !arning. $r!cis!y in th! 'i!#
o' ani(a an# (!chanica co((+nication so(!thing i*! th! th!ory
o' typ!s (+st appy.
V+!stions o' this sort, ho,!"!r, ar! not o't!n #isc+ss!# in
/ooogica aboratori!s, anthropoogica 'i!# ca(ps, or psychiatric
con"!ntions, an# it is n!c!ssary th!r!'or! to #!(onstrat! that th!s!
abstract consi#!rations ar! i(portant to b!ha"iora sci!ntists.
Consi#!r th! 'oo,ing syogis(6
2a3 Chang!s in 'r!.+!ncy o' it!(s o' (a((aian b!ha"ior
can b! #!scrib!# an# pr!#ict!# in t!r(s o' "ario+s
9a,s9 o' r!in'orc!(!nt.
2b3 9=-poration9 as obs!r"!# in rats is a cat!gory, or
cass, o' (a((aian b!ha"ior.
2c3 :h!r!'or!, chang!s in 'r!.+!ncy o' 9!-poration
9
sho+# b! #!scribab! in t!r(s o' th! sa(! 9a,s9 o'
r!in'orc!(!nt.
0! it sai# at onc!6 'irst, that !(pirica #ata sho, that th!
conc+sion 2c3 is +ntr+!L an# s!con#, that i' th! conc+sion 2c3 ,!r!
#!(onstraby tr+!, th!n !ith!r +a4 or +-4 ,o+# b! +ntr+!.
55
55
is conc!i"ab! that th! sa(! 'ords (ight b! +s!# in #!scribing
both a cass an# its (!(b!rs an# b! tr+! in both cas!s. :h! ,or#
9,a"!9 is th! na(! o' a cass o' (o"!(!nts o' partic!s. 8! can
aso say that th! ,a"! its!' 9(o"!s,9 b+t ,! sha b! r!'!rring to a
(o"!(!nt o' a cass o' (o"!(!nts. %n#!r 'riction, this (!ta(o"!C
(!nt ,i not os! "!ocity as ,o+# th! (o"!(!nt o' a partic!.
286
@ogic an# nat+ra history ,o+# b! b!tt!r s!r"!# by an !-pan#!#
an# corr!ct!# "!rsion o' th! conc+sion 2c3 so(!C,hat as 'oo,s6
2c3 I', as ass!rt!# in 2b3, 9!-poration9 is not an item o'
(a((aian b!ha"ior b+t is a category o' s+ch it!(s,
th!n no #!scripti"! stat!(!nt ,hich is tr+! o' items o'
b!ha"ior can b! tr+! o' 9!-poration.9 I', ho,!"!r,
#!scripti"! stat!(!nts ,hich ar! tr+! o' it!(s o'
b!ha"ior ar! aso tr+! o' 9!-poration,9 th!n
9!-poration9 is an it!( an# not a cat!gory o' it!(s.
:h! ,ho! (att!r t+rns on ,h!th!r th! #istinction b!t,!!n a
class an# its mem-ers is an or#!ring princip! in th! b!ha"iora
ph!no(!na ,hich ,! st+#y.
In !ss 'or(a ang+ag!6 yo+ can r!in'orc! a rat 2positi"!y
or n!gati"!y3 ,h!n h! in"!stigat!s a partic+ar strang! obJ!ct,
an# h! ,i appropriat!y !arn to approach or a"oi# it. 0+t th! "!ry
p+rpos! o' !-poration is to g!t in'or(ation abo+t ,hich obJ!cts
sho+# b! approach!# an# ,hich a"oi#!#. :h! #isco"!ry that a
gi"!n obJ!ct is #ang!ro+s is th!r!'or! a success in th! b+sin!ss o'
g!tting in'or(ation. :h! s+cc!ss ,i not #isco+rag! th! rat 'ro(
'+t+r! !-poration o' oth!r strang! obJ!cts.
A priori it can b! arg+!# that a p!rc!ption an# a r!spons!, a
b!ha"ior an# a cass!s o' b!ha"ior, a !arning an# a g!n!tics, a
n!+rophysioogy an# !n#ocrinoogy, a organi/ation an# a
!"o+tion;on! !ntir! s+bJ!ct (att!r (+st b! r!gar#!# as
co((+nicationa in nat+r!, an# th!r!C'or! s+bJ!ct to th! gr!at
g!n!rai/ations or 9a,s9 ,hich appy to co((+nicati"!
ph!no(!na. 8! th!r!'or! ar! ,arn!# to !-p!ct to 'in# in o+r #ata
thos! princip!s o' or#!r ,hich '+n#a(!nta co((+nication th!ory
,o+# proCpos!. :h! :h!ory o' @ogica :yp!s, In'or(ation :h!ory,
an# so 'orth, ar! !-p!ctaby to b! o+r g+i#!s.
The "*earnin&" of Co#p!ters. -ats. and Men
:h! ,or# 9!arning9 +n#o+bt!#y #!not!s c*ange o' so(! *in#.
:o say '*at 3ind o' chang! is a #!icat! (att!r.
287
Eo,!"!r, 'ro( th! gross co((on #!no(inator,
9
chang!,9 ,! can
#!#+c! that o+r #!scriptions o' 9!arning9 ,i ha"! to (a*! th!
sa(! sort o' ao,anc! 'or th! "ari!ti!s o' ogica typ! ,hich has
b!!n ro+tin! in physica sci!nc! sinc! th! #ays o' )!,ton. :h!
si(p!st an# (ost 'a(iiar 'or( o' chang! is motion, an# !"!n i'
,! ,or* at that "!ry si(p! physica !"! ,! (+st str+ct+r! o+r
#!scriptions in t!r(s o' 9position or /!ro (otion,9 9constant
"!ocity,9
9
acc!!ration,9 9rat! o' chang! o' acc!!ration,9 an# so on
.
56
Chang! #!not!s proc!ss. 0+t proc!ss!s ar! th!(s!"!s s+bJ!ct to
9
chang!.9 :h! proc!ss (ay acc!!rat!, it (ay so, #o,n, or it (ay
+n#!rgo oth!r typ!s o' chang! s+ch that ,! sha say that it is no, a
9
#i''!r!nt9 proc!ss.
:h!s! consi#!rations s+gg!st that ,! sho+# b!gin th! or#!ring
o' o+r i#!as abo+t 9!arning9 at th! "!ry si(p!st !"!.
@!t +s consi#!r th! cas! o' sp!ci'icity o' r!spons!, or :ero
learning. :his is th! cas! in ,hich an !ntity sho,s (ini(a chang!
in its r!spons! to a r!p!at!# it!( o' s!nsory inp+t. $h!no(!na
,hich approach this #!gr!! o' si(picity occ+r in "ario+s cont!-ts6
2a3 In !-p!ri(!nta s!ttings, ,h!n 9!arning9 is co(p!t!
an# th! ani(a gi"!s appro-i(at!y 100 p!r c!nt corr!ct
r!spons!s to th! r!p!at!# sti(++s.
2b3 In cas!s o' habit+ation, ,h!r! th! ani(a has c!as!# to
gi"! o"!rt r!spons! to ,hat ,as 'or(!ry a #ist+rbing
sti(++s.
2c3 In cas!s ,h!r! th! patt!rn o' th! r!spons! is (ini(ay
#!t!r(in!# by !-p!ri!nc! an# (a-i(ay #!t!r(in!# by
g!n!tic 'actors.
2#3 In cas!s ,h!r! th! r!spons! is no, highy st!r!oCtyp!#.
2!3 In si(p! !!ctronic circ+its, ,h!r! t*e circuit
structure is not itself su-=ect to c*ange resulting
from t*e passage of impulses 'it*in t*e circuit7i.e.,
56
:h! )!,tonian !.+ations ,hich #!scrib! th! (otions o' a 9partic!9 stop at th!
!"! o' 9acc!!ration.9 "*ange of acceleration can ony happ!n ,ith #!'or(aC
tion o' th! (o"ing bo#y, b+t th! )!,tonian 9partic!9 ,as not (a#! +p o' 9parts9
an# ,as th!r!'or! 2ogicay3 incapab! o' #!'or(ation or any oth!r int!rna chang!. It
,as th!r!'or! not s+bJ!ct to rat! o' chang! o' acc!!ration.
288
,h!r! th! ca+sa in*s b!t,!!n 9sti(++s9 an#
9r!spons!9 ar! as th! !ngin!!rs say 9so#!r!# in.9
In or#inary, nont!chnica paranc!, th! ,or# 9!arn9 is o't!n
appi!# to ,hat is h!r! ca!# 9/!ro !arning,9 i.!., to th! si(p!
r!c!ipt o' in'or(ation 'ro( an !-t!rna !"!nt, in s+ch a ,ay that a
si(iar !"!nt at a at!r 2an# appropriat!3 ti(! ,i con"!y th! sa(!
in'or(ation6 I 9!arn9 'ro( th! 'actory ,hist! that it is t,!"!
oIcoc*.
It is aso int!r!sting to not! that ,ithin th! 'ra(! o' o+r
#!'inition (any "!ry si(p! (!chanica #!"ic!s sho, at !ast th!
ph!no(!non o' /!ro !arning. :h! .+!stion is not, 9Can (achin!s
!arnD9 b+t ,hat !"! or or#!r o' !arning #o!s a gi"!n (achin!
achi!"!D It is ,orth oo*ing at an !-tr!(!, i' hypoth!tica, cas!6
:h! 9pay!r9 o' a Gon )!+(annian ga(! is a (ath!(atica
'iction, co(parab! to th! =+ci#!an straight in! in g!o(!try or th!
)!,tonian partic! in physics. 0y #!'inition, th!
9
pay!r9 is capab!
o' a co(p+tations n!c!ssary to so"! ,hat!"!r prob!(s th! !"!nts
o' th! ga(! (ay pr!s!ntL h! is incapab! o' not p!r'or(ing th!s!
co(p+tations ,h!n!"!r th!y ar! appropriat!L h! a,ays ob!ys th!
'in#ings o' his co(p+tations. &+ch a 9pay!r9 r!c!i"!s in'or(ation
'ro( th! !"!nts o' th! ga(! an# acts appropriat!y +pon that in'orC
(ation. 0+t his !arning is i(it!# to ,hat is h!r! ca!# /!ro
!arning.
An !-a(ination o' this 'or(a 'iction ,i contrib+t! to o+r
#!'inition o' /!ro !arning.
:h! 9pay!r9 (ay r!c!i"!, 'ro( th! !"!nts o' th! ga(!,
in'or(ation o' high!r or o,!r ogica typ!, an# h! (ay +s! this
in'or(ation to (a*! #!cisions o' high!r or o,!r typ!. :hat is, his
#!cisions (ay b! !ith!r strat!gic or tactica, an# h! can i#!nti'y an#
r!spon# to in#ications o' both th! tactics an# th! strat!gy o' his
oppon!nt. It is, ho,C!"!r, tr+! that in Gon )!+(annIs 'or(a
#!'inition o' a 9ga(!,9 a prob!(s ,hich th! ga(! (ay pr!s!nt ar!
conc!i"!# as co(p+tab!, i.!., ,hi! th! ga(! (ay contain prob!(s
an# in'or(ation o' (any #i''!r!nt ogica typ!s, th! hi!rarchy o'
th!s! typ!s is stricty 'init!.
It app!ars th!n that a #!'inition o' /!ro !arning ,i not #!p!n#
+pon th! ogica typing o' th! in'or(ation r!c!i"!# by th! organis(
289
nor +pon th! ogica typing o' th! a#apti"! #!cisions ,hich th!
organis( (ay (a*!. A "!ry high 2b+t 'init!3 or#!r o' co(p!-ity
(ay charact!ri/! a#apti"! b!ha"ior bas!# on nothing high!r than
/!ro !arning.
213 :h! 9pay!r9 (ay co(p+t! th! "a+! o' in'or(ation ,hich
,o+# b!n!'it hi( an# (ay co(p+t! that it ,i pay hi( to ac.+ir!
this in'or(ation by !ngaging in 9!-poratory9 (o"!s. At!rnati"!y,
h! (ay (a*! #!aying or t!ntati"! (o"!s ,hi! h! ,aits 'or n!!#!#
in'or(ation.
It 'oo,s that a rat !ngaging in !-poratory b!ha"ior (ight #o so
+pon a basis o' /!ro !arning.
223 :h! 9pay!r9 (ay co(p+t! that it ,i pay hi( to (a*!
ran#o( (o"!s. In th! ga(! o' (atching p!nni!s, h! ,i co(p+t!
that i' h! s!!cts 9h!a#s9 or 9tais9 at ran#o(, h! ,i ha"! an !"!n
chanc! o' ,inning. I' h! +s!s any pan or patt!rn, this ,i app!ar as
a patt!rn or r!#+n#ancy in th! s!.+!nc! o' his (o"!s an# his
oppon!nt ,i th!r!by r!c!i"! in'or(ation. :h! 9pay!r9 ,i
th!r!'or! !!ct to pay in a ran#o( (ann!r.
233 :h! 9pay!r9 is incapab! o' 9!rror.9 E! (ay, 'or goo# r!ason,
!!ct to (a*! ran#o( (o"!s or !-poratory (o"!s, b+t h! is by
#!'inition incapab! o' 9!arning by tria an# !rror.9
I' ,! ass+(! that, in th! na(! o' this !arning proc!ss, th! ,or#
9!rror9 (!ans ,hat ,! (!ant it to (!an ,h!n ,! sai# that th!
9pay!r9 is incapab! o' !rror, th!n 9tria an# !rror9 is !-c+#!# 'ro(
th! r!p!rtoir! o' th! Gon )!+(annian pay!r. In 'act, th! Gon
)!+(annian 9pay!r9 'orc!s +s to a "!ry car!'+ !-a(ination o'
,hat ,! (!an by 9tria an# !rror9 !arning, an# in#!!# ,hat is
(!ant by 9!arning9 o' any *in#. :h! ass+(ption r!gar#ing th!
(!aning o' th! ,or# 9!rror
9
is not tri"ia an# (+st no, b!
!-a(in!#.
:h!r! is a s!ns! in ,hich th! 9pay!r9 can b! ,rong. 7or
!-a(p!, h! (ay bas! a #!cision +pon probabiistic consi#!rations
an# th!n (a*! that (o"! ,hich, in th! ight o' th! i(it!# a"aiab!
in'or(ation, ,as (ost probaby right. 8h!n (or! in'or(ation
b!co(!s a"aiab!, h! (ay #isco"!r that that (o"! ,as ,rong. 0+t
t*is disco&ery can contri-ute not*ing to *is future s3ill. 0y
#!'inition, th! pay!r +s!# corr!cty a th! a&aila-le in'or(ation.
E! !sti(at!# th! probabiiti!s corr!cty an# (a#! th! (o"! ,hich
290
,as (ost probaby corr!ct. :h! #isco"!ry that h! ,as ,rong in th!
partic+ar instanc! can ha"! no b!aring +pon '+t+r! inCstanc!s.
8h!n th! sa(! prob!( r!t+rns at a at!r ti(!, h! ,i correctly go
thro+gh th! sa(! co(p+tations an# r!ach th! sa(! #!cision.
Aor!o"!r, th! s!t o' at!rnati"!s a(ong ,hich h! (a*!s his choic!
,i b! th! sa(! s!t;an# corr!cty so.
In contrast, an organis( is capab! o' b!ing ,rong in a n+(b!r
o' ,ays o' ,hich th! 9pay!r9 is incapab!. :h!s! ,rong choic!s ar!
appropriat!y ca!# 9!rror9 ,h!n th!y ar! o' s+ch a *in# that th!y
,o+# pro"i#! in'or(ation to th! organis( ,hich (ight contrib+t!
to his '+t+r! s*i. :h!s! ,i a b! cas!s in ,hich so(! o' th!
a"aiab! in'or(ation ,as !ith!r ignor!# or incorr!cty +s!#. Gario+s
sp!ci!s o' s+ch pro'itab! !rror can b! cassi'i!#.
&+ppos! that th! !-t!rna !"!nt syst!( contains #!tais ,hich
(ight t! th! organis(6 +a4 'ro( ,hat s!t o' at!rnati"!s h! sho+#
choos! his n!-t (o"!L an# +-4 ,hich (!(b!r o' that s!t h! sho+#
choos!. &+ch a sit+ation p!r(its t,o orders o' !rror6
:h! organis( (ay +s! corr!cty th! in'or(ation ,hich t!s
hi( 'ro( ,hat s!t o' at!rnati"!s h! sho+# choos!, b+t choos! th!
,rong at!rnati"! ,ithin this s!tL or
E! (ay choos! 'ro( th! ,rong s!t o' at!rnati"!s. 2:h!r! is
aso an int!r!sting cass o' cas!s in ,hich th! s!ts o' at!rnati"!s
contain co((on (!(b!rs. It is th!n possib! 'or th! organis( to
b! 9right9 b+t 'or th! ,rong r!asons. :his 'or( o' !rror is
in!"itaby s!'Cr!in'orcing.3
I' no, ,! acc!pt th! o"!ra notion that a !arning 2oth!r than
/!ro !arning3 is in so(! #!gr!! stochastic 2i.!., contains
co(pon!nts o' 9tria an# !rror93, it 'oo,s that an or#!ring o' th!
proc!ss!s o' !arning can b! b+it +pon an hi!rarchic cassi'ication
o' th! typ!s o' !rror ,hich ar! to b! corr!ct!# in th! "ario+s !arning
proc!ss!s. M!ro !arning ,i th!n b! th! ab! 'or th! i((!#iat!
bas! o' a thos! acts 2si(p! an# co(p!-3 ,hich ar! not s+bJ!ct to
corr!ction by tria an# !rror. @!arning I ,i b! an appropriat! ab!
'or th! r!"ision o' choic! ,ithin an +nchang!# s!t o' at!rnati"!sL
@!arning II ,i b! th! ab! 'or th! r!"ision o' th! set 'ro( ,hich
th! choic! is to b! (a#!L an# so on.
291
*earnin& (
7oo,ing th! 'or(a anaogy pro"i#!# by th! 9a,s9 o' (otion
2i.!., th! 9r+!s9 'or #!scribing (otion3, ,! no, oo* 'or th! cass o'
ph!no(!na ,hich ar! appropriat!y #!scrib!# as chan'es in /!ro
!arning 2as 9(otion9 #!scrib!s chang! o' position3. :h!s! ar! th!
cas!s in ,hich an !ntity gi"!s at :i(! 2 a #i''!r!nt r!spons! 'ro(
,hat it ga"! at :i(! 1, an# again ,! !nco+nt!r a "ari!ty o' cas!s
"ario+sy r!at!# to !-p!ri!nc!, physioogy, g!n!tics, an#
(!chanica proc!ss6
2a3:h!r! is th! ph!no(!non o' habit+ation;th! chang! 'ro(
r!spon#ing to !ach occ+rr!nc! o' a r!p!at!# !"!nt to not o"!rty
r!spon#ing. :h!r! is aso th! !-tinction or oss o' habit+ation,
,hich (ay occ+r as a r!s+t o' a (or! or !ss ong gap or oth!r
int!rr+ption in th! s!.+!nc! o' r!p!titions o' th! sti(++s !"!nt.
2Eabit+ation is o' !sp!cia int!r!st. &p!ci'icity o' r!spons!, ,hich
,! ar! caing /!ro !arning, is charact!ristic o' a protopas(,
b+t it is int!r!sting to not! that 9habit+ation9 is p!rhaps th! ony
'or( o' @!arning I ,hich i"ing things can achi!"! ,itho+t a
n!+ra circ+it.3
2b3:h! (ost 'a(iiar an# p!rhaps (ost st+#i!# cas! is that o'
th! cassica $a"o"ian con#itioning. At :i(! 2 th! #og sai"at!s
in r!spons! to th! b+//!rL h! #i# not #o this at :i(! 1.
2c3:h!r! is th! 9!arning9 ,hich occ+rs in cont!-ts o'
instr+(!nta r!,ar# an# instr+(!nta a"oi#anc!.
2#3:h!r! is th! ph!no(!non o' rot! !arning, in ,hich an
it!( in th! b!ha"ior o' th! organis( b!co(!s a sti(++s 'or
anoth!r it!( o' b!ha"ior.
2!3:h!r! is th! #isr+ption, !-tinction, or inhibition o'
9co(p!t!#9 !arning ,hich (ay 'oo, chang! or abs!nc! o'
r!in'orc!(!nt.
In a ,or#, th! ist o' @!arning I contains thos! it!(s ,hich ar!
(ost co((ony ca!# 9!arning9 in th! psychoCogica aboratory.
292
)ot! that in a cas!s o' @!arning I, th!r! is in o+r #!scription an
ass+(ption abo+t th! 9cont!-t.9 :his ass+(ption (+st b! (a#!
!-picit. :h! #!'inition o' @!arning I ass+(!s that th! b+//!r 2th!
sti(++s3 is so(!ho, th! 9sa(!9 at :i(! 1 an# at :i(! >. An# this
ass+(ption o' 9sa(!n!ss9 (+st aso #!i(it th! 9cont!-t,9 ,hich
(+st 2th!or!ticay3 b! th! sa(! at both ti(!s. It 'oo,s that th!
!"!nts ,hich occ+rr!# at :i(! 1 ar! not, in o+r #!scriptionL inc+#!#
in o+r #!'inition o' th! cont!-t at :i(! 2, b!ca+s! to inc+#! th!(
,o+# at onc! cr!at! a gross #i''!r!nc! b!t,!!n 9conCt!-t at :i(! 19
an# 9cont!-t at :i(! 2.9 2:o paraphras! E!racit+s6 9)o (an can go
to b!# ,ith th! sa(! gir 'or th! 'irst ti(! t,ic!.93
:h! con"!ntiona ass+(ption that cont!-t can b! r!p!at!#, at
!ast in so(! cas!s, is on! ,hich th! ,rit!r a#opts in this !ssay as a
corn!rston! o' th! th!sis that th! st+#y o' b!ha"ior (+st b! or#!r!#
accor#ing to th! :h!ory o' @ogica :yp!s. 2it*out th! ass+(ption o'
r!p!atab! cont!-t 2an# th! hypoth!sis that for t*e organisms ,hich
,! st+#y th! s!.+!nc! o' !-p!ri!nc! is r!ay so(!ho, p+nct+at!#
in this (ann!r3, it ,o+# 'oo, that a 9!arning9 ,o+# b! o' on!
typ!6 na(!y, a ,o+# b! /!ro !arning. 5' th! $a"o"ian
!-p!ri(!nt, ,! ,o+# si(py say that th! #ogIs n!+ra circ+its
contain 9so#!r!# in9 'ro( th! b!ginning s+ch charact!ristics that in
Cont!-t A at :i(! 1 h! ,i not sai"at!, an# that in th! totay
#i''!r!nt Cont!-t 0 at :i(! 2 h! ,i sai"at!. 8hat pr!"io+sy ,!
ca!# 9!arning9 ,! ,o+# no, #!scrib! as 9#iscri(ination9
b!t,!!n th! !"!nts o' :i(! 1 an# th! !"!nts o' :i(! 1 plus :i(! 2.
It ,o+# th!n 'oo, ogicay that a .+!stions o' th! typ!, 9Is this
b!ha"ior N!arn!#I or Ninnat!ID9 sho+# b! ans,!r!# in 'a"or o'
g!n!tics.
8! ,o+# arg+! that ,itho+t th! ass+(ption o' r!p!atCab!
cont!-t, o+r th!sis 'as to th! gro+n#, tog!th!r ,ith th! ,ho!
g!n!ra conc!pt o' 9!arning.9 I', on th! oth!r han#, th! ass+(ption
o' r!p!atab! cont!-t is acc!pt!# as so(!ho, tr+! o' th! organis(s
,hich ,! st+#y, th!n th! cas! 'or ogica typing o' th! ph!no(!na
o' !arning n!c!ssariy stan#s, b!ca+s! th! notion 9cont!-t9 is its!'
s+bJ!ct to ogica typing.
=ith!r ,! (+st #iscar# th! notion o' 9cont!-t,9 or ,! r!tain this
notion an#, ,ith it, acc!pt th! hi!rarchic s!ri!s;sti(++s, cont!-t o'
293
sti(++s, cont!-t o' cont!-t o' sti(++s, !tc. :his s!ri!s can b!
sp!!# o+t in th! 'or( o' a hi!rarchy o' ogica typ!s as 'oo,s6
&ti(++s is an !!(!ntary signa, int!rna or !-t!rna. Cont!-t o'
sti(++s is a (!ta(!ssag! ,hich classifies th! !!(!ntary signa.
Cont!-t o' cont!-t o' sti(++s is a (!taC(!ta(!ssag! ,hich
cassi'i!s th! (!ta(!ssag!.
An# so oi.
:h! sa(! hi!rarchy co+# ha"! b!!n b+it +p 'ro( th! notion o'
9r!spons!9 or th! notion o' 9r!in'orc!(!nt.9
At!rnati"!y, 'oo,ing +p th! hi!rarchic cassi'ication o' !rrors
to b! corr!ct!# by stochastic proc!ss or 9tria an# !rror,9 ,! (ay
r!gar# 9cont!-t9 as a co!cti"! t!r( 'or a thos! !"!nts ,hich t!
th! organis( a(ong ,hat set o' at!rnati"!s h! (+st (a*! his n!-t
choic!.
At this point it is con"!ni!nt to intro#+c! th! t!r( 9conCt!-t
(ar*!r.9 An organis( r!spon#s to th! 9sa(!9 sti(++s #i''!r!nty in
#i''!ring cont!-ts, an# ,! (+st th!r!'or! as* abo+t th! so+rc! o' th!
organis(sIs in'or(ation. 7ro( ,hat p!rc!pt #o!s h! *no, that
Cont!-t A is #i''!r!nt 'ro( ConCt!-t 0D
In (any instanc!s, th!r! (ay b! no sp!ci'ic signal or ab!
,hich ,i cassi'y an# #i''!r!ntiat! th! t,o cont!-ts, an# th!
organis( ,i b! 'orc!# to g!t his in'or(ation 'ro( th! act+a
cong!ri!s o' !"!nts that (a*! +p th! cont!-t in !ach cas!. 0+t,
c!rtainy in h+(an i'! an# probaby in that o' (any oth!r
organis(s, th!r! occ+r signas ,hos! (aJor '+nction is to cassi'y
cont!-ts. It is not +nr!asonab! to s+pCpos! that ,h!n th! harn!ss is
pac!# +pon th! #og, ,ho has ha# proong!# training in th!
psychoogica aboratory, h! *no,s 'ro( this that h! is no,
!(bar*ing +pon a s!ri!s o' cont!-ts o' a c!rtain sort. &+ch a so+rc!
o' in'or(ation ,! sha ca a 9cont!-t (ar*!r,9 an# not!
i((!#iat!y that, at !ast at th! h+(an !"!, th!r! ar! aso
9(ar*!rs o' cont!-ts o' cont!-ts.9 7or !-a(p!6 an a+#i!nc! is
,atching 1amlet on th! stag!, an# h!ars th! h!ro #isc+ss s+ici#!
in th! conCt!-t o' his r!ationship ,ith his #!a# 'ath!r, 5ph!ia,
an# th! r!st. :h! a+#i!nc! (!(b!rs #o not i((!#iat!y t!!phon!
'or th! poic! b!ca+s! th!y ha"! r!c!i"!# in'or(ation abo+t th!
cont!-t o' Ea(!tIs cont!-t. :h!y *no, that it is a 9pay9 an# ha"!
r!c!i"!# this in'or(ation 'ro( (any 9(ar*!rs o' cont!-t o'
294
cont!-t9;th! paybis, th! s!ating arrang!(!nts, th! c+rtain, !tc.,
!tc. :h! 9<ing,9 on th! oth!r han#, ,h!n h! !ts his consci!nc! b!
pric*!# by th! pay ,ithin th! pay, is ignoring (any 9(ar*!rs o'
cont!-t o' cont!-t.9
At th! h+(an !"!, a "!ry #i"!rs! s!t o' !"!nts 'as ,ithin th!
cat!gory o' 9cont!-t (ar*!rs.9 A '!, !-a(p!s ar! h!r! ist!#6
2a3 :h! $op!Is thron! 'ro( ,hich h! (a*!s anno+nc!(!nts
e. cat*edra, ,hich anno+nc!(!nts ar! th!r!.. by
!n#o,!# ,ith a sp!cia or#!r o' "ai#ity.
2b3 :h! pac!bo, by ,hich th! #octor s!ts th! stag! 'or a
chang! in th! pati!ntIs s+bJ!cti"! !-p!ri!nc!.
2c3 :h! shining obJ!ct +s!# by so(! hypnotists in 9in#+cing
tranc!.9
2#3 :h! air rai# sir!n an# th! 9a c!ar.9
2!3 :h! han#sha*! o' bo-!rs b!'or! th! 'ight.
2'3 :h! obs!r"anc!s o' !ti.+!tt!.
:h!s!, ho,!"!r, ar! !-a(p!s 'ro( th! socia i'! o' a highy
co(p!- organis(, an# it is (or! pro'itab! at this stag! to as* abo+t
th! anaogo+s ph!no(!na at th! pr!C"!rba !"!.
A #og (ay s!! th! !ash in his (ast!rIs han# an# act as i' h!
*no,s that this in#icat!s a ,a*L or h! (ay g!t inC'or(ation 'ro(
th! so+n# o' th! ,or# 9,a*9 that this typ! o' cont!-t or s!.+!nc! is
co(ing.
8h!n a rat starts a s!.+!nc! o' !-poratory acti"iti!s, #o!s h! #o
so in r!spons! to a 9sti(++sD9 5r in r!spons! to a cont!-tD 5r in
r!spons! to a cont!-t (ar*!rD
:h!s! .+!stions bring to th! s+r'ac! 'or(a prob!(s abo+t th!
:h!ory o' @ogica :yp!s ,hich (+st b! #isc+ss!#. :h! th!ory in its
origina 'or( #!as ony ,ith rigoro+sy #igita co((+nication, an#
it is #o+bt'+ ho, 'ar it (ay b! appi!# to anaog+! or iconic
syst!(s. 8hat ,! ar! h!r! caing 9cont!-t (ar*!rs9 (ay b! #igita
2!.g., th! ,or# 9,a*9 (!ntion!# abo"!3 L or th!y (ay b! anaog+!
signas ;a bris*n!ss in th! (ast!rIs (o"!(!nts (ay in#icat! that a
,a* is p!n#ingL or so(! part o' th! co(ing cont!-t (ay s!r"! as a
(ar*!r 2th! !ash as a part o' th! ,a*3 L or in th! !-tr!(! cas!, th!
295
,a* its!' in a its co(p!-ity (ay stan# 'or its!', ,ith no ab! or
(ar*!r b!t,!!n th! #og an# th! !-p!ri!nc!. :h! p!rc!i"!# !"!nt
its!' (ay co((+nicat! its o,n occ+rr!nc!. In this cas!, o' co+rs!,
th!r! can b! no !rror o' th! 9(!n+ car#9 typ!. Aor!o"!r, no para#o-
can b! g!n!rat!# b!ca+s! in p+r!y anaog+! or iconic co((+nicaC
tion th!r! is no signa 'or 9not.9
:h!r! is, in 'act, a(ost no 'or(a th!ory #!aing ,ith anaog+!
co((+nication an#, in partic+ar, no !.+i"a!nt o' In'or(ation
:h!ory or @ogica :yp! :h!ory. :his gap in 'or(a *no,!#g! is
incon"!ni!nt ,h!n ,! !a"! th! rari'i!# ,or# o' ogic an#
(ath!(atics an# co(! 'ac! to 'ac! ,ith th! ph!no(!na o' nat+ra
history. In th! nat+ra ,or#, co((+nication is rar!y !ith!r p+r!y
#igita or p+r!y anaogic. 5't!n #iscr!t! #igita pips ar! co(bin!#
tog!th!r to (a*! anaogic pict+r!s as in th! print!rIs ha'ton! boc*L
an# so(!ti(!s, as in th! (att!r o' cont!-t (ar*!rs, th!r! is a
contin+o+s gra#ation 'ro( th! ost!nsi"! thro+gh th! iconic to th!
p+r!y #igita. At th! #igita !n# o' this sca! a th! th!or!(s o'
in'or(ation th!ory ha"! th!ir '+ 'orc!, b+t at th! ost!nsi"! an#
anaogic !n# th!y ar! (!aning!ss.
It s!!(s aso that ,hi! (+ch o' th! b!ha"iora co((+nication
o' !"!n high!r (a((as r!(ains ost!nsi"! or anaogic, th! int!rna
(!chanis( o' th!s! cr!at+r!s has b!co(! #igitai/!# at !ast at th!
n!+rona !"!. It ,o+# s!!( that anaogic co((+nication is in
so(! s!ns! (or! pri(iti"! than #igita an# that th!r! is a broa#
!"o+tionary tr!n# to,ar# th! s+bstit+tion o' #igita 'or anaogic
(!chanis(s. :his tr!n# s!!(s to op!rat! 'ast!r in th! !"o+tion o'
int!rna (!chanis(s than in th! !"o+tion o' !-t!rna b!ha"ior.
4!capit+ating an# !-t!n#ing ,hat ,as sai# abo"!6
2a3:h! notion o' r!p!atab! cont!-t is a n!c!ssary pr!(is! 'or
any th!ory ,hich #!'in!s 9!arning9 as c*ange.
2b3:his notion is not a (!r! too o' o+r #!scription b+t contains
th! i(picit hypoth!sis that 'or th! organis(s ,hich ,! st+#y, th!
s!.+!nc! o' i'! !-p!ri!nc!, action, !tc., is so(!ho, s!g(!nt!# or
p+nct+at!# into s+bs!.+!nc!s or 9cont!-ts9 ,hich (ay b! !.+at!#
or #i''!r!ntiat!# by th! organis(.
296
2c3:h! #istinction ,hich is co((ony #ra,n b!t,!!n
p!rc!ption an# action, a''!r!nt an# !''!r!nt, inp+t an# o+tCp+t, is
'or high!r organis(s in co(p!- sit+ations not "ai#. 5n th! on!
han#, a(ost !"!ry it!( o' action (ay b! r!Cport!# !ith!r by
!-t!rna s!ns! or !n#oc!pti"! (!chanis( to th! C.).&., an# in this
cas! th! r!port o' this it!( b!Cco(!s an inp+t. An#, on th! oth!r
han#, in high!r organis(s, p!rc!ption is not by any (!ans a
proc!ss o' (!r! passi"! r!c!pti"ity b+t is at !ast party #!t!r(in!#
by !''!r!nt contro 'ro( high!r c!nt!rs. $!rc!ption, notorio+sy,
can b! chang!# by !-p!ri!nc!. In princip!, ,! (+st ao, both 'or
th! possibiity that !"!ry it!( o' action or o+tp+t (ay cr!at! an
it!( o' inp+tL an# that p!rc!pts (ay in so(! cas!s parCta*! o' th!
nat+r! o' o+tp+t. It is no acci#!nt that a(ost a s!ns! organs ar!
+s!# 'or th! !(ission o' signas b!t,!!n organis(s. Ants
co((+nicat! by th!ir ant!nna!L #ogs by th! pric*ing o' th!ir !arsL
an# so on.
2#3In princip!, !"!n in /!ro !arning, any it!( o' !-p!ri!nc! or
b!ha"ior (ay b! r!gar#!# as !ith!r
9
sti(++s9 or
9
r!spons!9 or as
both, accor#ing to ho, th! tota s!.+!nc! is p+nct+at!#. 8h!n th!
sci!ntist says that th! b+//!r is th! 9sti(++s9 in a gi"!n s!.+!nc!,
his +tt!ranc! i(pi!s an hypoth!sis abo+t ho, th! organis(
p+nct+at!s that s!.+!nc!. In @!arning I, !"!ry it!( o' p!rc!ption
or b!ha"ior (ay b! sti(++s or r!spons! or reinforcement
accor#ing to ho, th! tota s!.+!nc! o' int!raction is p+nct+at!#.
*earnin& ((
8hat has b!!n sai# abo"! has c!ar!# th! gro+n# 'or th!
consi#!ration o' th! n!-t !"! or ogica typ! o' 9!arning9 ,hich
,! sha h!r! ca @!arning II. Gario+s t!r(s ha"! b!!n propos!# in
th! it!rat+r! 'or "ario+s ph!no(!na o' this or#!r. 9?!+t!roC
297
!arning,9
4

57
9s!t !arning,9
58
9!arning to !arn,9 an# 9trans'!r o'
!arning9 (ay b! (!ntion!#.
8! r!capit+at! an# !-t!n# th! #!'initions so 'ar gi"!n6
Eero learning is charact!ri/!# by specificity of response, ,hich
;right or ,rong;is not s+bJ!ct to corr!ction.
/earning I is c*ange in specificity of response by corr!ction o'
!rrors o' choic! ,ithin a s!t o' at!rnati"!s.
/earning II is c*ange in t*e process of /earning I, e.g., a
corr!cti"! chang! in th! s!t o' at!rnati"!s 'ro( ,hich choic! is
(a#!, or it is a chang! in ho, th! s!.+!nc! o' !-p!ri!nc! is
p+nct+at!#.
/earning III is c*ange in t*e process of /earning II, e.g., a
corr!cti"! chang! in th! syst!( o' sets o' at!rnati"!s 'ro( ,hich
choic! is (a#!. 28! sha s!! at!r that to #!(an# this !"! o'
p!r'or(anc! o' so(! (!n an# so(! (a((as is so(!ti(!s
pathog!nic.3
/earning IL ,o+# b! c*ange in /earning III, b+t probaby #o!s
not occ+r in any a#+t i"ing organis( on this !arth. ="o+tionary
proc!ss has, ho,!"!r, cr!at!# organis(s ,hos! ontog!ny brings
th!( to @!"! III. :h! co(bination o' phyog!n!sis ,ith
ontog!n!sis, in 'act, achi!"!s @!"! IG.
5+r i((!#iat! tas* is to gi"! s+bstanc! to th! #!'inition o'
@!arning II as 9chang! in @!arning I,9 an# it is 'or this that th!
gro+n# has b!!n pr!par!#. 0ri!'y, I b!i!"! that th! ph!no(!na o'
@!arning II can a b! inc+#!# +n#!r th! r+bric o' chang!s in th!
(ann!r in ,hich th! str!a( o' action an# !-p!ri!nc! is s!g(!nt!#
or p+nct+at!# into cont!-ts tog!th!r ,ith chang!s in th! +s! o'
cont!-t (ar*!rs.
:h! ist o' ph!no(!na cassi'i!# +n#!r @!arning I inc+#!s a
consi#!rab! 2b+t not !-ha+sti"!3 s!t o' #i''!r!nty str+ct+r!#
cont!-ts. In cassica $a"o"ian cont!-ts, th! conting!ncy patt!rn
,hich #!scrib!s th! r!ation b!t,!!n 9sti(++s
9
2C&3, ani(a
I
s
action 2C43, an# r!in'orc!(!nt. 2%C& 3 is pro'o+n#y #i''!r!nt 'ro(
57
I1. 0at!son, 9&ocia $anning an# th! Conc!pt o' ?!+t!roC@!arning,9
"onference on Science, 6*ilosop*y and $eligion, Second Symposium,
)!, For*, Earp!r, 1942.
58
E. . Earo,, 9:h! 7or(ation o' @!arning &!ts,9 6syc*oM. $e&ie', 1949,
566 51C65.
298
th! conting!ncy patt!rn charact!ristic o' instr+(!nta cont!-ts o'
!arning.
In th! $a"o"ian cas!6 If sti(++s an# a c!rtain aps! o' ti(!6
t*en r!in'orc!(!nt.
In th! Instr+(!nta 4!,ar# cas!6 If sti(++s an# a partic+ar it!(
o' b!ha"ior6 t*en r!in'orc!(!nt.
In th! $a"o"ian cas!, th! r!in'orc!(!nt is not conting!nt +pon
th! ani(aIs b!ha"ior, ,h!r!as in th! instr+(!nta cas!, it is. %sing
this contrast as an !-a(p!, ,! say that @!arning II has occ+rr!# i' it
can b! sho,n that !-p!ri!nc! o' on! or (or! cont!-ts o' th!
$a"o"ian typ! r!s+ts in th! ani(aIs acting in so(! at!r cont!-t as
tho+gh this, too, ha# th! $a"o"ian conting!ncy patt!rn. &i(iary, i'
past !-p!ri!nc! o' instr+(!nta s!.+!nc!s !a#s an ani(a to act in
so(! at!r cont!-t as tho+gh !-p!cting this aso to b! an
instr+(!nta cont!-t, ,! sha again say that @!arning II has
occ+rr!#.
8h!n so #!'in!#, @!arning II is a#apti"! ony i' th! ani(a
happ!ns to b! right in its !-p!ctation o' a gi"!n conting!ncy patt!rn,
an# in s+ch a cas! ,! sha !-p!ct to s!! a (!as+rab! learning to
learn. It sho+# r!.+ir! '!,!r trias in th! n!, cont!-t to !stabish
9corr!ct9 b!ha"ior. I', on th! oth!r han#, th! ani(a is ,rong in his
i#!nti'ication o' th! at!r conting!ncy patt!rn, th!n ,! sha !-p!ct a
#!ay o' @!arning I in th! n!, cont!-t. :h! ani(a ,ho has ha#
proong!# !-p!ri!nc! o' $a"o"ian cont!-ts (ight n!"!r g!t aro+n#
to th! partic+ar sort o' triaCan#C!rror b!ha"ior n!c!ssary to
#isco"!r a corr!ct instr+(!nta r!spons!.
:h!r! ar! at !ast 'o+r 'i!#s o' !-p!ri(!ntation ,h!r! @!arning
II has b!!n car!'+y r!cor#!#6
2a3 In h+(an rot! !arning. E+
59
carri!# o+t "!ry car!'+
.+antitati"! st+#i!s ,hich r!"!a!# this ph!no(!non, an#
constr+ct!# a (ath!(atica (o#! ,hich ,o+# si(+at! or !-pain
th! c+r"!s o' @!arning I ,hich h! r!cor#!#. E! aso obs!r"!# a
s!con#Cor#!r ph!no(!non ,hich ,! (ay ca 9!arning to rot!
!arn9 an# p+bish!# th! c+r"!s 'or this ph!no(!non in th!
App!n#i- to his boo*. :h!s! c+r"!s ,!r! s!parat!# 'ro( th! (ain
59
=. @. E+, et al., ,at*ematico%deducti&e !*eory of $ote /earning,
)!, Ea"!n, Fa! %ni"!rsity, Instit+t! o' E+(an 4!ations, 1940
299
bo#y o' th! boo* b!ca+s!, as h! stat!s, his (ath!(atica (o#! 2o'
4ot! @!arning I3 #i# not co"!r this asp!ct o' th! #ata.
It is a coroary o' th! th!or!tica position ,hich ,! h!r! ta*!
that no a(o+nt o' rigoro+s #isco+rs! o' a gi"!n ogica typ! can
9!-pain9 ph!no(!na o' a high!r typ!. E+Is (o#! acts as a
to+chston! o' ogica typing, a+to(aticay !-c+#ing 'ro(
!-panation ph!no(!na b!yon# its ogica scop!. :hat this ,as so;
an# that E+ p!rc!i"!# it;is t!sti(onia both to his rigor an# to his
p!rspicacity.
8hat th! #ata sho, is that 'or any gi"!n s+bJ!ct, th!r! is an
i(pro"!(!nt in rot! !arning ,ith s+cc!ssi"! s!ssions,
asy(ptoticay approaching a #!gr!! o' s*i ,hich "ari!# 'ro(
s+bJ!ct to s+bJ!ct.
:h! cont!-t 'or this rot! !arning ,as .+it! co(p!- an# no
#o+bt app!ar!# s+bJ!cti"!y #i''!r!nt to !ach !arn!r. &o(! (ay
ha"! b!!n (or! (oti"at!# by '!ar o' b!ing ,rong, ,hi! oth!rs
oo*!# rath!r 'or th! satis'actions o' b!ing right. &o(! ,o+# b!
(or! in'+!nc!# to p+t +p a goo# r!cor# as co(par!# ,ith th! oth!r
s+bJ!ctsL oth!rs ,o+# b! 'ascinat!# to co(p!t! in !ach s!ssion ,ith
th!ir o,n pr!"io+s sho,ing, an# so on. A (+st ha"! ha# i#!as
2corr!ct or incorr!ct3 abo+t th! nat+r! o' th! !-p!ri(!nta s!tting, a
(+st ha"! ha# 9!"!s o' aspiration,9 an# a (+st ha"! ha# pr!"io+s
!-p!ri!nc! o' (!(ori/ing "ario+s sorts o' (at!ria. )ot on! o'
E+Is s+bJ!cts co+# ha"! co(! into th! !arning cont!-t
+nin'+!nc!# by pr!"io+s @!arning II.
In spit! o' a this pr!"io+s @!arning II, an# in spit! o' g!n!tic
#i''!r!nc!s ,hich (ight op!rat! at this !"!, a sho,!#
i(pro"!(!nt o"!r s!"!ra s!ssions. :his i(pro"!(!nt cannot ha"!
b!!n #+! to @!arning I b!ca+s! any r!ca o' th! sp!ci'ic s!.+!nc! o'
syab!s !arn!# in th! pr!"io+s s!ssion ,o+# not b! o' +s! in
#!aing ,ith th! n!, s!.+!nc!. &+ch r!ca ,o+# (or! probaby b!
a hin#ranc!. I s+b(it, th!r!'or!, that th! i(pro"!(!nt 'ro( s!ssion
to s!ssion can ony b! acco+nt!# 'or by so(! sort o' a#aptation to
th! conte.t ,hich E+ pro"i#!# 'or rot! !arning.
It is aso ,orth noting that !#+cators ha"! strong opinions abo+t
th! "a+! 2positi"! or n!gati"!3 o' training in rot! !arning.
9$rogr!ssi"!9 !#+cators insist on training in 9insight,9 ,hi! th!
(or! cons!r"ati"! insist on rot! an# #ri!# r!ca.
300
2b3 :h! s!con# typ! o' @!arning II ,hich has b!!n !-C
p!ri(!ntay st+#i!# is ca!# 9s!t !arning.9 :h! conc!pt an# t!r(
ar! #!ri"!# 'ro( Earo, an# appy to a rath!r sp!cia cas! o'
@!arning II. 0roa#y, ,hat Earo, #i# ,as to pr!s!nt rh!s+s
(on*!ys ,ith (or! or !ss co(p!- gestalten or 9prob!(s.9
:h!s! th! (on*!y ha# to so"! to g!t a 'oo# r!,ar#. Earo,
sho,!# that i' th!s! prob!(s ,!r! o' si(iar 9s!t,9 i.!., contain!#
si(iar typ!s o' ogica co(p!-ity, th!r! ,as a carryCo"!r o'
!arning 'ro( on! prob!( to th! n!-t. :h!r! ,!r!, in 'act, t,o
or#!rs o' conting!ncy patt!rns in"o"!# in Earo,Is !-p!ri(!nts6
'irst th! o"!ra patt!rn o' instr+(!ntais( +i f th! (on*!y so"!s
th! prob!(, t*en r!in'orc!(!nt3L an# s!con#, th! conting!ncy
patt!rns o' ogic ,ithin th! sp!ci'ic prob!(s.
2c3 0itt!r(an an# oth!rs ha"! r!c!nty s!t a 'ashion in
!-p!ri(!ntation ,ith
9
r!"!rsa !arning.9 :ypicay in th!s!
!-p!ri(!nts th! s+bJ!ct is 'irst ta+ght a binary #iscri(ination. 8h!n
this has b!!n !arn!# to crit!rion, th! (!aning o' th! sti(+i is
r!"!rs!#. I' U initiay 9(!ant9 $
1
, an# F initiay (!ant $
2
, th!n
a't!r r!"!rsa U co(!s to (!an $
2
, an#
,
F co(!s to (!an $
1
. Again
th! trias ar! r+n to crit!rion ,h!n again th! (!anings ar! r!"!rs!#.
In th!s! !-p!ri(!nts, th! cr+cia .+!stion is6 ?o!s th! s+bJ!ct !arn
abo+t th! r!"!rsaD I.!., a't!r a s!ri!s o' r!"!rsas, #o!s th! s+bJ!ct
r!ach crit!rion in '!,!r trias than h! #i# at th! b!ginning o' th!
s!ri!sD
In th!s! !-p!ri(!nts, it is conspic+o+sy c!ar that th! .+!stion
as*!# is o' ogica typ! high!r than that o' .+!stions abo+t si(p!
!arning. I' si(p! !arning is bas!# +pon a set o' trias, th!n
r!"!rsa !arning is bas!# +pon a s!t o' s+ch s!ts. :h! para!is(
b!t,!!n this r!ation an# 4+ss!Is r!ation b!t,!!n 9cass9 an#
9cass o' cass!s9 is #ir!ct.
2#3 @!arning II is aso !-!(pi'i!# in th! ,!C*no,n ph!no(!na
o' 9!-p!ri(!nta n!+rosis.9 :ypicay an ani(a is train!#, !ith!r in
a $a"o"ian or instr+(!nta !arning conCt!-t, to #iscri(inat!
b!t,!!n so(! U an# so(! FL !.g., b!t,!!n an !ips! an# a circ!.
8h!n this #iscri(ination has b!!n !arn!#, th! tas* is (a#! (or!
#i''ic+t6 th! !ips! is (a#! progr!ssi"!y 'att!r an# th! circ! is
'att!n!#. 7inay a stag! is r!ach!# at ,hich #iscri(ination is
301
i(possib!. At this stag! th! ani(a starts to sho, sy(pto(s o'
s!"!r! #ist+rbanc!.
)otaby, +a4 a nai"! ani(a, pr!s!nt!# ,ith a sit+ation in ,hich
so(! U (ay 2on so(! ran#o( basis3 (!an !ith!r A or <, #o!s not
sho, #ist+rbanc!L an# +-4 th! #ist+rbanc! #o!s not occ+r in
abs!nc! o' th! (any cont!-t (ar*!rs charact!ristic o' th! aboratory
sit+ation.
60
It app!ars, th!n, that @!arning II is a n!c!ssary pr!paration 'or
th! b!ha"iora #ist+rbanc!. :h! in'or(ation, 9:his is a cont!-t 'or
#iscri(ination,9 is co((+nicat!# at th! b!ginning o' th! s!.+!nc!
an# underlined in th! s!ri!s o' stag!s in ,hich #iscri(ination is
(a#! progr!ssi"!y (or! #i''ic+t. 0+t ,h!n #iscri(ination
b!co(!s i(possib!, th! str+ct+r! o' th! cont!-t is totay chang!#.
:h! cont!-t (ar*!rs 2!.g., th! s(! o' th! aboratory an# th!
!-p!ri(!nta harn!ss3 no, b!co(! (is!a#ing b!ca+s! th! ani(a is
in a sit+ation ,hich #!(an#s g+!ss,or* or ga(bing, not
#iscri(ination. :h! !nCtir! !-p!ri(!nta s!.+!nc! is, in 'act, a
proc!#+r! 'or p+tting th! ani(a in th! ,rong at th! !"! o'
@!arning 11.
In (y phras!, th! ani(a is pac!# in a typica 9#o+b! bin#,9
,hich is !-p!ctaby schi/ophr!nog!nic.
61
In th! strang! ,or# o+tsi#! th! psychoogica aboratory,
ph!no(!na ,hich b!ong to th! cat!gory @!arning II ar! a (aJor
pr!occ+pation o' anthropoogists, !#+cators, psychiatrists, ani(a
train!rs, h+(an par!nts, an# chi#r!n. A ,ho thin* abo+t th!
proc!ss!s ,hich #!t!r(in! th! charact!r o' th! in#i"i#+a or th!
proc!ss!s o' chang! in h+(an 2or ani(a3 r!ationship (+st +s! in
th!ir thin*ing a "ari!ty o' ass+(ptions abo+t @!arning II. 7ro( ti(!
to ti(!, th!s! p!op! ca in th! aboratory psychoogist as a
cons+tant, an# th!n ar! con'ront!# ,ith a ing+istic barri!r. &+ch
barri!rs (+st a,ays r!s+t ,h!n, 'or !-a(p!, th! psychiatrist is
ta*ing abo+t @!arning II, th! psychoogist is ta*ing abo+t @!arning
I, an# n!ith!r r!cogni/!s th! ogica str+ct+r! o' th! #i''!r!nc!.
60
E. &. @i##!, 94!'!- A!tho# an# =-p!ri(!nta )!+rosis,9 (ersonalit
an! %eha$ior Disor!ers) )!, For*, 4ona# $r!ss, !""
61
1. 0at!son, et al.) 9:o,ar# a :h!ory o' &chi/ophr!nia,9 %eha$ioral
Science) !#$, *# %#&$"'
302
5' th! (+tit+#ino+s ,ays in ,hich @!arning II !(!rg!s in
h+(an a''airs, ony thr!! ,i b! #isc+ss!# in this !ssay6
2a3 In #!scribing in#i"i#+a h+(an b!ings, both th! sci!ntist an#
th! ay(an co((ony r!sort to a#J!cti"!s #!scripti"! o' 9charact!r.9
It is sai# that Ar. Jon!s is #!p!n#!nt, hosti!, '!y, 'inic*y, an-io+s,
!-hibitionistic, narcissistic, passi"!, co(p!titi"!, !n!rg!tic, bo#,
co,ar#y, 'ataistic, h+(oro+s, pay'+, canny, opti(istic,
p!r'!ctionist, car!!ss, car!'+, cas+a, !tc. In th! ight o' ,hat has
ar!a#y b!!n sai#, th! r!a#!r ,i b! ab! to assign a th!s!
a#J!cti"!s to th!ir appropriat! ogica typ!. A ar! #!scripti"! o'
2possib!3 r!s+ts o' @!arning II, an# i' ,! ,o+# #!'in! th!s!
,or#s (or! car!'+y, o+r #!'inition ,i consist in aying #o,n
th! conting!ncy patt!rn o' that cont!-t o' @!arning I ,hich ,o+#
!-p!ctaby bring abo+t that @!arning II ,hich ,o+# (a*! th!
a#J!cti"! appicab!.
8! (ight say o' th! 9'ataistic9 (an that th! patt!rn o' his
transactions ,ith th! !n"iron(!nt is s+ch as h! (ight ha"!
ac.+ir!# by proong!# or r!p!at!# !-p!ri!nc! as s+bJ!ct o'
$a"o"ian !-p!ri(!ntL an# not! that this #!'inition o' 9'atais(9 is
sp!ci'ic an# pr!cis!. :h!r! ar! (any oth!r 'or(s o' 9'atais(9
b!si#!s that ,hich is #!'in!# in t!r(s o' this partic+ar cont!-t o'
!arning. :h!r! is, 'or !-a(p!, th! (or! co(p!- typ!
charact!ristic o' cassica 1r!!* trag!#y ,h!r! a (anIs o,n action
is '!t to ai# th! in!"itab! ,or*ing o' 'at!.
2b3 In th! p+nct+ation o' h+(an int!raction. :h! critica r!a#!r
,i ha"! obs!r"!# that th! a#J!cti"!s abo"! ,hich p+rport to
#!scrib! in#i"i#+a charact!r ar! r!ay not stricty appicab! to
th! in#i"i#+a b+t rath!r #!scrib! transactions b!t,!!n th!
in#i"i#+a an# his (at!ria an# h+(an !n"iron(!nt. )o (an is
9r!so+rc!'+9 or 9#!p!n#!nt9 or 9'ataistic9 in a "ac++(. Eis
charact!ristic, ,hat!"!r it b!, is not his b+t is rath!r a
charact!ristic o' ,hat go!s on b!t,!!n hi( an# so(!thing 2or
so(!bo#y3 !s!.
:his b!ing so, it is nat+ra to oo* into ,hat go!s on b!t,!!n
p!op!, th!r! to 'in# cont!-ts o' @!arning I ,hich ar! i*!y to !n#
th!ir shap! to proc!ss!s o' @!arning II. In s+ch syst!(s, in"o"ing
t,o or (or! p!rsons, ,h!r! (ost o' th! i(portant !"!nts ar!
post+r!s, actions, or +tt!ranc!s o' th! i"ing cr!at+r!s, ,! not!
303
i((!#iat!y that th! str!a( o' !"!nts is co((ony p+nct+at!# into
cont!-ts o' !arning by a tacit agr!!(!nt b!t,!!n th! p!rsons
r!gar#ing th! nat+r! o' th!ir r!ationship;or by cont!-t (ar*!rs
an# tacit agr!!(!nt that th!s! cont!-t (ar*!rs sha 9(!an9 th!
sa(! 'or both parti!s. It is instr+cti"! to att!(pt anaysis o' an
ongoing int!rchang! b!t,!!n A an# 0. 8! as* abo+t any partic+ar
it!( o' AIs b!ha"ior6 Is this it!( a sti(++s 'or 0D 5r is it a
r!spons! o' A to so(!thing 0 sai# !ari!rD 5r is it a r!in'orc!(!nt
o' so(! it!( pro"i#!# by 0D 5r is A, in this it!(, cons+((ating a
r!in'orc!(!nt 'or hi(s!'D =tc.
&+ch .+!stions ,i r!"!a at onc! that 'or (any it!(s o' AIs
b!ha"ior th! ans,!r is o't!n .+it! +nc!ar. 5r i' th!r! b! a c!ar
ans,!r, th! carity is #+! ony to a tacit 2rar!y '+y !-picit3
agr!!(!nt b!t,!!n A an# 0 as to th! nat+r! o' th!ir (+t+a ro!s,
i.!., as to th! nat+r! o' th! cont!-t+a str+ct+r! ,hich th!y ,i
!-p!ct o' !ach oth!r.
I' ,! oo* at s+ch an !-chang! in th! abstract6
a1b1a2b2a3b3a4b4a5b5 ,h!r! th! aDs r!'!r to it!(s
o' AIs b!ha"ior, an# th! -Ds to it!(s o' 0Is b!ha"ior, ,! can ta*! any
a
i
an# constr+ct aro+n# it thr!! si(p! cont!-ts o' !arning. :h!s!
,i b!6
2a
i
-
i
a,N
1
3

,

in ,hich a
i
is th! sti(++s 'or -
i
.
+-
1
Z
1
a
i
-
i
4 , in ,hich a
i
is th! r!spons! to -
.
%
1
, ,hich r!spons! 0
r!in'orc!s ,ith -
i
.
+a
1
Z
1
-i
Z1
a
i
3 , in ,hich a
i
is no, AIs r!in'orc!(!nt o' 0Is -
i
C
1
,
,hich ,as r!spons! to a
i
O
1
.
It 'oo,s that a
i
(ay b! a sti(++s 'or 0 or it (ay b! AIs
r!spons! to 0, or it (ay b! AIs r!in'orc!(!nt o' 0.
0!yon# this, ho,!"!r, i' ,! consi#!r th! a(big+ity o' th!
notions 9sti(++s9 an# 9r!spons!,9 9a''!r!nt9 an# 9!''!r!nt9;as
#isc+ss!# abo"!;,! not! that any a
i
(ay aso b! a sti(++s 'or AL
it (ay b! AIs r!in'orc!(!nt o' s!'L or it (ay b! AIs r!spons! to
so(! pr!"io+s b!ha"ior o' his o,n, as is th! cas! in s!.+!nc!s o'
rot! b!ha"ior.
:his g!n!ra a(big+ity (!ans in 'act that th! ongoing s!.+!nc!
o' int!rchang! b!t,!!n t,o p!rsons is str+ct+r!# ony by th!
p!rsonIs o,n p!rc!ption o' th! s!.+!nc! as a s!ri!s o' cont!-ts, !ach
cont!-t !a#ing into th! n!-t. :h! partic+ar (ann!r in ,hich th!
304
s!.+!nc! is str+ct+r!# by any partic+ar p!rson ,i b! #!t!r(in!#
by that p!rsonIs pr!"io+s @!arning II 2or possiby by his g!n!tics3.
In s+ch a syst!(, ,or#s i*! 9#o(inant9 an# 9s+b(issi"!,9
9s+ccoring9 an# 9#!p!n#!nt9 ,i ta*! on #!'inab! (!aning as
#!scriptions o' s!g(!nts o' int!rchang!. 8! sha say that 9A
#o(inat!s 09 i' A an# 0 sho, by th!ir b!ha"ior that th!y s!! th!ir
r!ationship as charact!ri/!# by s!.+!nc!s o' th! typ! a
1
-
1
a
>,
,h!r!
a
1
is s!!n 2by A an# 03 as a signa #!'ining con#itions o'
instr+(!nta r!,ar# or p+nish(!ntL b
1
as a signa or act ob!ying
th!s! con#itionsL an# a
2
as a signa r!in'orcing b
1
.
&i(iary ,! sha say that 9A is #!p!n#!nt on 09 i' th!ir
r!ationship is charact!ri/!# by s!.+!nc!s a
1
-
1
a
%,,
,h!r! a

is s!!n as
a signa o' ,!a*n!ssL -
1
as a h!ping actL an# a
2
as an
ac*no,!#g!(!nt o' -
1
.
0+t it is +p to A an# 0 to #isting+ish 2conscio+sy or +nC
conscio+sy or not at a3 b!t,!!n 9#o(inanc!9 an# 9#!p!n#!nc!.9 A
9co((an#9 can cos!y r!s!(b! a cry 'or 9h!p.9
2c3 In psychoth!rapy, @!arning II is !-!(pi'i!# (ost conC
spic+o+sy by th! ph!no(!na o'
9
trans'!r!nc!.9 5rtho#o- 7r!+#ian
th!ory ass!rts that th! pati!nt ,i in!"itaby bring to th! th!rapy
roo( inappropriat! notions abo+t his r!ationCship to th! th!rapist.
:h!s! notions 2conscio+s or +nconscio+s3 ,i b! s+ch that h! ,i
act an# ta* in a ,ay ,hich ,o+# pr!ss th! th!rapist to r!spon# in
,ays ,hich ,o+# r!s!(b! th! pati!ntIs pict+r! o' ho, so(!
i(portant oth!r p!rson 2+s+ay a par!nt3 tr!at!# th! pati!nt in th!
n!ar or #istant past. In th! ang+ag! o' th! pr!s!nt pap!r, th! pati!nt
,i try to shap! his int!rchang! ,ith th! th!rapist accor#ing to th!
pr!(is!s o' his 2th! pati!ntIs3 'or(!r @!arning II.
It is co((ony obs!r"!# that (+ch o' th! @!arning II ,hich
#!t!r(in!s a pati!ntIs trans'!r!nc! patt!rns an#, inC#!!#, #!t!r(in!s
(+ch o' th! r!ationa i'! o' a h+(an b!ings, + a4 dates from early
infancy, an# +-4 is unconscious. 0oth o' th!s! g!n!rai/ations s!!(
to b! corr!ct an# both n!!# so(! !-panation.
It s!!(s probab! that th!s! t,o g!n!rai/ations ar! tr+! b!ca+s!
o' th! "!ry nat+r! o' th! ph!no(!na ,hich ,! ar! #isc+ssing. 8!
s+gg!st that '*at is !arn!# in @!arning II is a ,ay o' punctuating
e&ents. 0+t a 'ay of punctuating is not tr+! or 'as!. :h!r! is
nothing contain!# in th! propositions o' this !arning that can b!
305
t!st!# against r!aity. It is i*! a pict+r! s!!n in an in*botL it has
n!ith!r corr!ctn!ss nor incorr!ctn!ss. It is ony a 'ay o' s!!ing th!
in*bot.
Consi#!r th! instr+(!nta "i!, o' i'!. An organis( ,ith this
"i!, o' i'! in a n!, sit+ation ,i !ngag! in triaCan#C!rror b!ha"ior
in or#!r to (a*! th! sit+ation pro"i#! a positi"! r!in'orc!(!nt. I' h!
'ais to g!t this r!in'orc!(!nt, his p+rposi"! phiosophy is not
th!r!by n!gat!#. Eis triaCan#C!rror b!ha"ior ,i si(py contin+!.
:h! pr!(is!s o' 9p+rpos!9 ar! si(py not o' th! sa(! ogica typ!
as th! (at!ria 'acts o' i'!, an# th!r!'or! cannot !asiy b!
contra#ict!# by th!(.
:h! practition!r o' (agic #o!s not +n!arn his (agica "i!, o'
!"!nts ,h!n th! (agic #o!s not ,or*. In 'act, th! propositions
,hich go"!rn p+nct+ation ha"! th! g!n!ra charact!ristic o' b!ing
s!'C"ai#ating.
62
8hat ,! t!r( 9conCt!-t9 inc+#!s th! s+bJ!ctIs
b!ha"ior as ,! as th! !-t!rna !"!nts. 0+t this b!ha"ior is
contro!# by 'or(!r @!arning II an# th!r!'or! it ,i b! o' s+ch a
*in# as to (o# th! tota cont!-t to 'it th! !-p!ct!# p+nct+ation. In
s+(, this s!'C"ai#ating charact!ristic o' th! cont!nt o' @!arning II
has th! !''!ct that s+ch !arning is a(ost in!ra#icab!. It 'oo,s
that @!arning II ac.+ir!# in in'ancy is i*!y to p!rsist thro+gh i'!.
Con"!rs!y, ,! (+st !-p!ct (any o' th! i(portant charact!ristics
o' an a#+tIs p+nct+ation to ha"! th!ir roots in !ary in'ancy.
In r!gar# to th! +nconscio+sn!ss o' th!s! habits o' p+nct+ation,
,! obs!r"! that th! 9+nconscio+s9 inc+#!s not ony r!pr!ss!#
(at!ria b+t aso (ost o' th! proc!ss!s an# *a-its o' g!stat
p!rc!ption. &+bJ!cti"!y ,! ar! a,ar! o' o+r 9#!p!n#!ncy9 b+t
+nab! to say c!ary ho, this patt!rn ,as constr+ct!# nor ,hat
c+!s ,!r! +s!# in o+r cr!ation o' it.
62
(' R)esch a*+ G' Bates,*, Communication# The Social "atri& of
(schiatr) $e% !or&, $orton, '()'.
306
*earnin& (((
8hat has b!!n sai# abo"! abo+t th! s!'C"ai#ating charact!r o'
pr!(is!s ac.+ir!# by @!arning II in#icat!s that @!arning III is i*!y
to b! #i''ic+t an# rar! !"!n in h+(an b!ings. =-p!ctaby, it ,i
aso b! #i''ic+t 'or sci!ntists, ,ho ar! ony h+(an, to i(agin! or
#!scrib! this proc!ss. 0+t it is cai(!# that so(!thing o' th! sort
#o!s 'ro( ti(! to ti(! occ+r in psychoth!rapy, r!igio+s con"!rsion,
an# in oth!r s!.+!nc!s in ,hich th!r! is pro'o+n# r!organi/ation o'
charact!r.
M!n 0+##hists, 5cci#!nta (ystics, an# so(! psychiatrists
ass!rt that th!s! (att!rs ar! totay b!yon# th! r!ach o' ang+ag!.
0+t, in spit! o' this ,arning, !t (! b!gin to sp!c+at! abo+t ,hat
(+st 2ogicay3 b! th! cas!.
7irst a #istinction (+st b! #ra,n6 it ,as not!# abo"! that th!
!-p!ri(!nts in r!"!rsa !arning #!(onstrat! @!arning II ,h!n!"!r
th!r! is (!as+rab! !arning a-out th! 'act o' r!"!rsa. It is
possib! to !arn 2@!arning I3 a gi"!n pr!(is! at a gi"!n ti(! an#
to !arn th! con"!rs! pr!(is! at a at!r ti(! ,itho+t ac.+iring th!
*nac* o' r!"!rsa !arning. In s+ch a cas!, th!r! ,i b! no
i(pro"!(!nt 'ro( on! r!"!rsa to th! n!-t. 5n! it!( o' @!arning I
has si(py r!Cpac!# anoth!r it!( o' @!arning I ,itho+t any
achi!"!(!nt o' @!arning II. I', on th! oth!r han#, i(pro"!(!nt
occ+rs ,ith s+cc!ssi"! r!"!rsas, this is !"i#!nc! 'or @!arning II.
I' ,! appy th! sa(! sort o' ogic to th! r!ation b!t,!!n
@!arning II an# @!arning III, ,! ar! !# to !-p!ct that th!r! (ight
b! r!pac!(!nt o' pr!(is!s at th! !"! o' @!arning II 'it*out th!
achi!"!(!nt o' any @!arning III.
$r!i(inary to any #isc+ssion o' @!arning III, it is th!r!C'or!
n!c!ssary to #iscri(inat! b!t,!!n (!r! r!pac!(!nt ,itho+t
@!arning III an# that 'aciitation o' r!pac!(!nt ,hich ,o+# b!
tr+y @!arning III.
:hat psychoth!rapists sho+# b! ab! to ai# th!ir pati!nts !"!n
in a (!r! r!pac!(!nt o' pr!(is!s ac.+ir!# by @!arning II is
ar!a#y no (!an '!at ,h!n ,! consi#!r th! s!'C"ai#ating
307
charact!r o' s+ch pr!(is!s an# th!ir (or! or !ss +nconscio+s
nat+r!. 0+t that this (+ch can b! #on! th!r! is no #o+bt.
8ithin th! contro!# an# prot!ct!# s!tting o' th! th!rap!+tic
r!ationship, th! th!rapist (ay att!(pt on! or (or! o' th!
'oo,ing (an!+"!rs6
2a3to achi!"! a con'rontation b!t,!!n th! pr!(is!s o' th!
pati!nt an# thos! o' th! th!rapist;,ho is car!'+y train!#
not to 'a into th! trap o' "ai#ating th! o# pr!(is!sL
2b3to g!t th! pati!nt to act, !ith!r in th! th!rapy roo( or
o+tsi#!, in ,ays ,hich ,i con'ront his o,n pr!(is!sL
2c3to #!(onstrat! contra#iction a(ong th! pr!(is!s ,hich
c+rr!nty contro th! pati!ntIs b!ha"iorL
2#3to in#+c! in th! pati!nt so(! e.aggeration or caricature
+e.g., in #r!a( or hypnosis3 o' !-p!ri!nc! bas!# on his o#
pr!(is!s.
As 8iia( 0a*! not!#, ong ago, 98itho+t Contrari!s is no
progr!ssion.9 2=s!,h!r! I ha"! ca!# th!s! contra#ictions at !"!
II 9#o+b! bin#s.93
0+t th!r! ar! a,ays oopho!s by ,hich th! i(pact o'
contra#iction can b! r!#+c!#. It is a co((onpac! o' !arning
psychoogy that ,hi! th! s+bJ!ct ,i !arn 2@!arning I3 (or!
rapi#y i' h! is r!in'orc!# !"!ry ti(! h! r!spon#s corr!cty, s+ch
!arning ,i #isapp!ar rath!r rapi#y i' r!in'orc!(!nt c!as!s. I', on
th! oth!r han#, r!in'orc!(!nt is ony occasiona, th! s+bJ!ct ,i
!arn (or! so,y b+t th! r!s+ting !arning ,i not !asiy b!
!-ting+ish!# ,h!n r!in'orc!(!nt c!as!s atog!th!r. In oth!r ,or#s,
th! s+bJ!ct (ay !arn 2@!arning 113 that th! cont!-t is s+ch that
abs!nc! o' r!in'orc!(!nt #o!s not in#icat! that his r!spons! ,as
,rong or inappropriat!. Eis "i!, o' th! cont!-t ,as, in 'act, corr!ct
+nti th! !-p!ri(!nt!r chang!# his tactics.
:h! th!rapist (+st c!rtainy so s+pport or h!#g! th! contrari!s by
,hich th! pati!nt is #ri"!n that oopho!s o' this an# oth!r *in#s ar!
boc*!#. :h! M!n can#i#at! ,ho has b!!n assign!# a para#o-
+3oan4 (+st abor at his tas* 9i*! a (os.+ito biting on an iron bar.9
I ha"! arg+!# !s!,h!r! 29&ty!, 1rac!, an# In'or(ation in
$ri(iti"! Art,9 s!! p. 1283 that an !ss!ntia an# n!c!ssary '+nction
o' a habit 'or(ation an# @!arning I1 is an economy o' th! tho+ght
proc!ss!s 2or n!+ra path,ays3 ,hich ar! +s!# 'or prob!(Cso"ing
308
or @!arning I. :h! pr!(is!s o' ,hat is co((ony ca!#
9charact!r9;th! #!'initions o' th! 9s!'9 ;sa"! th! in#i"i#+a 'ro(
ha"ing to !-a(in! th! abstract, phiosophica, a!sth!tic, an# !thica
asp!cts o' (any s!.+!nc!s o' i'!. 9I #onIt *no, ,h!th!r itIs goo#
(+sicL I ony *no, ,h!th!r I i*! it.9
0+t @!arning III ,i thro, th!s! +n!-a(in!# pr!(is!s op!n to
.+!stion an# chang!.
@!t +s, as ,as #on! abo"! 'or @!arning I an# II, ist so(! o' th!
chang!s ,hich ,! sha b! ,iing to ca @!arning III.
2a3:h! in#i"i#+a (ight !arn to 'or( (or! r!a#iy thos! habits
th! 'or(ing o' ,hich ,! ca @!arning II.
2b3E! (ight !arn to cos! 'or hi(s!' th! 9oopho!s9 ,hich
,o+# ao, hi( to a"oi# @!arning III.
2c3E! (ight !arn to chang! th! habits ac.+ir!# by @!arning II.
2#3E! (ight !arn that h! is a cr!at+r! ,hich can an# #o!s
+nconscio+sy achi!"! @!arning II.
2!3E! (ight !arn to i(it or #ir!ct his @!arning II.
2'3I' @!arning II is a !arning o' th! cont!-ts o' @!arning I,
th!n @!arning III sho+# b! a !arning o' th! cont!-ts o' thos!
cont!-ts.
0+t th! abo"! ist propos!s a para#o-. @!arning III 2i.!., !arning
a-out @!arning II3 (ay !a# !ith!r to an incr!as! in @!arning II or
to a i(itation an# p!rhaps a r!#+ction o' that ph!no(!non.
C!rtainy it (+st !a# to a gr!at!r '!-ibiity in th! pr!(is!s
ac.+ir!# by th! proc!ss o' @!arning II 7a freedom 'ro( th!ir
bon#ag!.
I onc! h!ar# a M!n (ast!r stat! cat!goricay6 9:o b!co(!
acc+sto(!# to anything is a t!rrib! thing.9
0+t any 'r!!#o( 'ro( th! bon#ag! o' habit (+st aso #!not! a
pro'o+n# r!#!'inition o' th! s!'. I' I stop at th! !"! o' @!arning II,
9I9 a( th! aggr!gat! o' thos! charact!ristics ,hich I ca (y
9charact!r.
9
9I9 a( (y habits o' acting in cont!-t an# shaping an#
p!rc!i"ing th! cont!-ts in ,hich I act. &!'hoo# is a pro#+ct or
aggr!gat! o' @!arning II. :o th! #!gr!! that a (an achi!"!s
309
@!arning III, an# !arns to p!rc!i"! an# act in t!r(s o' th! cont!-ts
o' cont!-ts, his 9s!'9 ,i ta*! on a sort o' irr!!"anc!. :h! conc!pt
o' 9s!'9 ,i no ong!r '+nction as a no#a arg+(!nt in th!
p+nct+ation o' !-p!ri!nc!.
:his (att!r n!!#s to b! !-a(in!#. In th! #isc+ssion o' @!arning
II, it ,as ass!rt!# that a ,or#s i*! 9#!p!n#!ncy,
9

9
pri#!,9
9'atais(,9 r!'!r to charact!ristics o' th! s!' ,hich ar! !arn!#
2@!arning II3 in s!.+!nc!s o' r!ationship. :h!s! ,or#s ar!, in 'act,
t!r(s 'or 9ro!s9 in r!ationships an# r!'!r to so(!thing arti'iciay
chopp!# o+t o' int!racti"! s!.+!nc!s. It ,as aso s+gg!st!# that
th! corr!ct ,ay to assign rigoro+s (!aning to any s+ch ,or#s is to
sp! o+t th! 'or(a str+ct+r! o' th! s!.+!nc! in ,hich th! na(!#
charact!ristic (ight ha"! b!!n !arn!#. :h+s th! int!racti"!
s!.+!nc! o' $a"o"ian !arning ,as propos!# as a para#ig( 'or a
c!rtain sort o' 9'atais(,9 !tc.
0+t no, ,! ar! as*ing abo+t th! cont!-ts o' th!s! conCt!-ts o'
!arning, i.!., abo+t th! arg!r s!.+!nc!s ,ithin ,hich s+ch
para#ig(s ar! !(b!##!#.
Consi#!r th! s(a it!( o' @!arning II ,hich ,as (!ntion!#
abo"! as pro"i#ing a 9oopho!9 'or !scap! 'ro( @!arning III. A
c!rtain charact!ristic o' th! s!';ca it 9p!rsist!nc!9;is g!n!rat!#
by !-p!ri!nc! in (+tip! s!.+!nc!s a(ong ,hich r!in'orc!(!nt is
spora#ic. 8! (+st no, as* abo+t th! arg!r cont!-t o' s+ch
s!.+!nc!s. Eo, ar! s+ch s!.+!nc!s g!n!rat!#D
:h! .+!stion is !-posi"!. :h! si(p! styi/!# !-p!ri(!nta
s!.+!nc! o' int!raction in th! aboratory is g!n!rat!# by an# party
#!t!r(in!s a n!t,or* o' conting!nci!s ,hich go!s o+t in a h+n#r!#
#ir!ctions !a#ing o+t o' th! aboratory into th! proc!ss!s by ,hich
psychoogica r!s!arch is #!sign!#, th! int!ractions b!t,!!n
psychoogists, th! !cono(ics o' r!Cs!arch (on!y, !tc., !tc.
5r consi#!r th! sa(! 'or(a s!.+!nc! in a (or! 9nat+ra9
s!tting. An organis( is s!arching 'or a n!!#!# or (issing obJ!ct. A
pig is rooting 'or acorns, a ga(b!r is '!!#ing a sot (achin! hoping
'or a Jac*pot, or a (an (+st 'in# th! *!y to his car. :h!r! ar!
tho+san#s o' sit+ations ,h!r! i"ing things (+st p!rsist in c!rtain
sorts o' b!ha"ior pr!cis!y -ecause r!in'orc!(!nt is spora#ic or
i(probab!. @!arning II ,i si(pi'y th! +ni"!rs! by han#ing th!s!
instanc!s as a sing! cat!gory. 0+t i' @!arning III b! conc!rn!# ,ith
310
th! cont!-ts o' th!s! instanc!s, th!n th! cat!gori!s o' @!arning II
,i b! b+rst op!n.
5r consi#!r ,hat th! ,or# 9r!in'orc!(!nt9 (!ans at th!
"ario+s !"!s. A porpois! g!ts a 'ish 'ro( th! train!r ,h!n h! #o!s
,hat th! train!r ,ants. At !"! I, th! 'act o' th! 'ish is in*!# ,ith
th! 9rightn!ss9 o' th! partic+ar action. At !"! II, th! 'act o' th!
'ish con'ir(s th! porpois!Is +n#!rCstan#ing o' his 2possiby
instr+(!nta or #!p!n#!nt3 r!ationship ,ith th! train!r. An# not!
that at this !"!, i' th! porpois! hat!s or '!ars th! train!r, pain
r!c!i"!# 'ro( th! att!r (ay b! a positi"! r!in'orc!(!nt
con'ir(ing that hat!. 2
9
I' it
I
s not th! ,ay I ,ant it, I
I
pro"! it.
9
3
0+t ,hat o' 9r!in'orc!(!nt9 at !"! III 2'or porpois! or 'or
(an3D
I', as I ha"! s+gg!st!# abo"!, th! cr!at+r! is #ri"!n to !"! III by
9contrari!s9 g!n!rat!# at !"! II, th!n ,! (ay !-p!ct that it is th!
r!so"ing o' th!s! contrari!s that ,i constit+t! positi"!
r!in'orc!(!nt at !"! III. &+ch r!so+tion can ta*! (any 'or(s.
="!n th! att!(pt at !"! III can b! #ang!ro+s, an# so(! 'a by
th! ,aysi#!. :h!s! ar! o't!n ab!!# by psychiatry as psychotic, an#
(any o' th!( 'in# th!(s!"!s inhibit!# 'ro( +sing th! 'irst p!rson
prono+n.
7or oth!rs, (or! s+cc!ss'+, th! r!so+tion o' th! contrari!s (ay
b! a coapsing o' (+ch that ,as !arn!# at !"! II, r!"!aing a
si(picity in ,hich h+ng!r !a#s #ir!cty to !ating, an# th!
i#!nti'i!# s!' is no ong!r in charg! o' organi/ing th! b!ha"ior.
:h!s! ar! th! incorr+ptib! innoc!nts o' th! ,or#.
7or oth!rs, (or! cr!ati"!, th! r!so+tion o' contrari!s r!"!as a
,or# in ,hich p!rsona i#!ntity (!rg!s into a th! proc!ss!s o'
r!ationship in so(! "ast !coogy or a!sth!tics o' cos(ic int!raction.
:hat any o' th!s! can s+r"i"! s!!(s a(ost (irac+o+s, b+t so(!
ar! p!rhaps sa"!# 'ro( b!ing s,!pt a,ay on oc!anic '!!ing by
th!ir abiity to 'oc+s in on th! (in+tia! o' i'!. ="!ry #!tai o' th!
+ni"!rs! is s!!n as proposing a "i!, o' th! ,ho!. :h!s! ar! th!
p!op! 'or ,ho( 0a*! ,rot! th! 'a(o+s a#"ic! in th! 9A+g+ri!s o'
Innoc!nc!6
9
To see the +orl! in a ,rain of San!) An! a
-ea$en in a +il! Flower)
311
-ol! .nfinit in the palm of our han!) An!
Eternit in an hour.
The -ole of enetics in %sycholo&y
8hat!"!r can b! sai# abo+t an ani(aIs !arning or inCabiity to
!arn has b!aring +pon th! g!n!tic (a*!C+p o' th! ani(a. An# ,hat
has b!!n sai# h!r! abo+t th! !"!s o' !arning has b!aring +pon th!
,ho! int!rpay b!t,!!n g!n!tic (a*!C+p an# th! chang!s ,hich
that in#i"i#+a can an# (+st achi!"!.
7or any gi"!n organis(, th!r! is an +pp!r i(it b!yon# ,hich a
is #!t!r(in!# by g!n!tics. $anarians can probaby not go b!yon#
@!arning I. Aa((as oth!r than (an ar! probaby capab! o'
@!arning II b+t incapab! o' @!arning III. Aan (ay so(!ti(!s
achi!"! @!arning III.
:his +pp!r i(it 'or any organis( is 2ogicay an# pr!s+(aby3
s!t by g!n!tic ph!no(!na, not p!rhaps by in#i"i#+a g!n!s or
co(binations o' g!n!s, b+t by ,hat!"!r 'actors contro th!
#!"!op(!nt o' basic phyar charact!ristics.
7or !"!ry chang! o' ,hich an organis( is capab!, th!r! is th!
fact o' that capabiity. :his 'act (ay b! g!n!ticay #!t!r(in!#L or
th! capabiity (ay ha"! b!!n !arn!#. I' th! att!r, th!n g!n!tics
(ay ha"! #!t!r(in!# th! capabiity o' !arning th! capabiity. An#
so on.
:his is in g!n!ra tr+! o' a so(atic chang!s as ,! as o' thos!
b!ha"iora chang!s ,hich ,! ca !arning. A (anIs s*in tans in th!
s+n. 0+t ,h!r! #o!s g!n!tics !nt!r this pict+r!D ?o!s g!n!tics
co(p!t!y #!t!r(in! his ability to tanD 5r can so(! (!n incr!as!
th!ir abiity to tanD In th! att!r cas!, th! g!n!tic 'actors !"i#!nty
ha"! !''!ct at a high!r ogica !"!.
:h! prob!( in r!gar# to any b!ha"ior is c!ary not "Is it
!arn!# or is it innat!D9 b+t 9%p to ,hat ogica !"! is !arning
!''!cti"! an# #o,n to ,hat !"! #o!s g!n!tics pay a
#!t!r(inati"! or party !''!cti"! ro!D9
312
:h! broa# history o' th! !"o+tion o' !arning s!!(s to ha"!
b!!n a so, p+shing bac* o' g!n!tic #!t!r(inis( to !"!s o'
high!r ogica typ!.
A Note on ,ierarchies
:h! (o#! #isc+ss!# in this pap!r ass+(!s, tacity, that th!
ogica typ!s can b! or#!r!# in th! 'or( o' a si(p!, +nbranching
a##!r. I b!i!"! that it ,as ,is! to #!a 'irst ,ith th! prob!(s
rais!# by s+ch a si(p! (o#!.
0+t th! ,or# o' action, !-p!ri!nc!, organi/ation, an# !arning
cannot b! co(p!t!y (app!# onto a (o#! ,hich !-c+#!s
propositions abo+t th! r!ation -et'een cass!s o' #i''!r!nt ogica
typ!.
I' C
I
is a cass o' propositions, an# C
2
is a cass o' propositions
abo+t th! (!(b!rs o' C
1
L C
3
th!n b!ing a cass o' propositions abo+t
th! (!(b!rs o' C
2
L ho, th!n sha ,! cassi'y propositions abo+t
th! r!ation -et'een th!s! cass!sD 7or !-a(p!, th! proposition 9As
(!(b!rs o' C
1
ar! to (!(b!rs o' C
2
, so (!(b!rs o' C
2
ar! to
(!(b!rs o' C
3
9 cannot b! cassi'i!# ,ithin th! +nbranching a##!r
o' typ!s.
:h! ,ho! o' this !ssay is b+it +pon th! pr!(is! that th! r!ation
b!t,!!n C
2
an# C
3
can b! co(par!# ,ith th! r!ation b!t,!!n C
1
an# C
2
. I ha"! again an# again ta*!n a stanc! to th! si#! o' (y
a##!r o' ogica typ!s to #isc+ss th! str+ct+r! o' this a##!r. :h!
!ssay is th!r!'or! its!' an !-a(p! o' th! 'act that th! a##!r is not
+nbranching.
It 'oo,s that a n!-t tas* ,i b! to oo* 'or !-a(p!s o'
!arning ,hich cannot b! cassi'i!# in t!r(s o' (y hi!rarchy o'
!arning b+t ,hich 'a to th! si#! o' this hi!rarchy as !arning
abo+t th! r!ation b!t,!!n st!ps o' th! hi!rarchy. I ha"! s+gg!st!#
!s!,h!r! 29&ty!, 1rac!, an# In'or(ation in $ri(iti"! Art93 that
art is co((ony conc!rn!# ,ith !arning o' this sort, i.!., ,ith
bri#ging th! gap b!t,!!n th! (or! or !ss +nconscio+s pr!(is!s
ac.+ir!# by @!arning II an# th! (or! !piso#ic cont!nt o'
conscio+sn!ss an# i((!#iat! action.
313
It sho+# aso b! not!# that th! str+ct+r! o' this !ssay is inducti&e
in th! s!ns! that th! hi!rarchy o' or#!rs o' !arning is pr!s!nt!# to
th! r!a#!r 'ro( th! botto( +p,ar#, 'ro( !"! /!ro to !"! III. 0+t
it is not int!n#!# that th! !-panations o' th! ph!no(!na ,or#
,hich th! (o#! a''or#s sha b! +ni#ir!ctiona. In !-paining th!
(o#! to th! r!a#!r, a +ni#ir!ctiona approach ,as n!c!ssary, b+t
,ithin th! (o#! it is ass+(!# that high!r !"!s ar! !-panatory o'
o,!r !"!s an# "ic! "!rsa. It is aso ass+(!# that a si(iar
r!'!-i"! r!ation;both in#+cti"! an# #!#+cti"!;obtains a(ong
i#!as an# it!(s o' !arning as th!s! !-ist in th! i"!s o' th! cr!at+r!s
,hich ,! st+#y.
7inay, th! (o#! r!(ains a(big+o+s in th! s!ns! that ,hi! it is
ass!rt!# that th!r! ar! !-panatory or #!t!r(inati"! r!ations
b!t,!!n i#!as o' a#Jac!nt !"!s both +p,ar# an# #o,n,ar#, it is
not c!ar ,h!th!r #ir!ct !-panatory r!ations !-ist b!t,!!n
s!parat!# !"!s, !.g., b!t,!!n !"! III an# !"! I or b!t,!!n !"!
/!ro an# !"! II.
:his .+!stion an# that o' th! stat+s o' propositions an# i#!as
coat!ra to th! hi!rarchy o' typ!s r!(ains +n!-a(in!#.
314
The Cy)e&neti'! o5 :+el5:: A Theo&y o5
Al'oholi!(
%
:h! 9ogic
9
o' acohoic a##iction has p+//!# psychiatrists no
!ss than th! 9ogic9 o' th! str!n+o+s spirit+a r!gi(! ,h!r!by th!
organi/ation Acohoics Anony(o+s is ab! to co+nt!ract th!
a##iction. In th! pr!s!nt !ssay it is s+gg!st!#6 213 that an !ntir!y
n!, !pist!(oogy (+st co(! o+t o' cyb!rn!tics an# syst!(s th!ory,
in"o"ing a n!, +n#!rstan#ing o' (in#, s!', h+(an r!ationship,
an# po,!rL 223 that th! a##ict!# acohoic is op!rating, ,h!n sob!r,
in t!r(s o' an !pist!(oogy ,hich is con"!ntiona in 5cci#!nta
c+t+r! b+t ,hich is not acc!ptab! to syst!(s th!oryL 233 that
s+rr!n#!r to acohoic into-ication pro"i#!s a partia an# s+bJ!cti"!
short c+t to a (or! corr!ct stat! o' (in#L an# 243 that th! th!oogy o'
Acohoics Anony(o+s coinci#!s cos!y ,ith an !pist!(oogy o'
cyb!rn!tics.
:h! pr!s!nt !ssay is bas!# +pon i#!as ,hich ar!, p!rhaps a o'
th!(, 'a(iiar !ith!r to psychiatrists ,ho ha"! ha# #!aings ,ith
acohoics, or to phiosoph!rs ,ho ha"! tho+ght abo+t th!
i(pications o' cyb!rn!tics an# syst!(s th!ory. :h! ony no"!ty
,hich can b! cai(!# 'or th! th!sis h!r! o''!r!# #!ri"!s 'ro(
tr!ating th!s! i#!as s!rio+sy as pr!(is!s o' arg+(!nt an# 'ro( th!
bringing tog!th!r o' co((onpac! i#!as 'ro( t,o too s!parat!
'i!#s o' tho+ght.
In its 'irst conc!ption, this !ssay ,as pann!# to b! a syst!(sC
th!or!tic st+#y o' acohoic a##iction, in ,hich I ,o+# +s! #ata
'ro( th! p+bications o' Acohoics Anony(o+s, ,hich has th! ony
o+tstan#ing r!cor# o' s+cc!ss in #!aing ,ith acohoics. It soon
b!ca(! !"i#!nt, ho,!"!r, that th! r!igio+s "i!,s an# th!
organi/ationa str+ct+r! o' AA pr!s!nt!# points o' gr!at int!r!st to
syst!(s th!ory, an# that th! corr!ct scop! o' (y st+#y sho+#
inc+#! not ony th! pr!(is!s o' acohois( b+t aso th! pr!(is!s o'
th! AA syst!( o' tr!ating it an# th! pr!(is!s o' AA organi/ation.
H
:his artic! app!ar!# in 6syc*iatry, Go. 34, )o. 1, pp. 1C18, 1971. Copyright
\ 1971 by th! 8iia( Aanson 8hit! $sychiatric 7o+n#ation. 4!print!# by
p!r(ission o' 6syc*iatry
315
Ay #!bt to AA ,i b! !"i#!nt thro+gho+t;aso, I hop!, (y
r!sp!ct 'or that organi/ation an# !sp!ciay 'or th! !-traor#inary
,is#o( o' its co'o+n#!rs, 0i 8. an# ?r. 0ob.
In a##ition, I ha"! to ac*no,!#g! a #!bt to a s(a sa(p! o'
acohoic pati!nts ,ith ,ho( I ,or*!# int!nsi"!y 'or abo+t t,o
y!ars in 1949C52, in th! G!t!rans A#(inistration Eospita, $ao Ato,
Cai'ornia. :h!s! (!n, it sho+# b! (!ntion!#, carri!# oth!r
#iagnos!s;(osty o' 9schi/ophr!nia9;in a##ition to th! pains o'
acohois(. &!"!ra ,!r! (!(b!rs o' AA. I '!ar that I h!p!# th!(
not at a.
The %ro$le#
It is rath!r g!n!ray b!i!"!# that 9ca+s!s9 or 9r!asons9 'or
acohois( ar! to b! oo*!# 'or in th! sob!r i'! o' th! acohoic.
Acohoics, in th!ir sob!r (ani'!stations, ar! co((ony #+bb!#
9i((at+r!,9 9(at!rnay 'i-at!#,9 9ora,9 9ho(os!-+a,9 9passi"!C
aggr!ssi"!,9 9'!ar'+ o' s+cc!ss,9 9o"!rs!nsiti"!,9 9pro+#,9 9a''ab!,9
or si(py 9,!a*.9 0+t th! ogica i(pications o' this b!i!' ar!
+s+ay not !-a(in!#6
213I' th! sob!r i'! o' th! acohoic so(!ho, #ri"!s hi( to #rin*
or propos!s th! 'irst st!p to,ar# into-ication, it is not to b!
!-p!ct!# that any proc!#+r! ,hich r!in'orc!s his partic+ar sty! o'
sobri!ty ,i r!#+c! or contro his acohois(.
223I' his sty! o' sobri!ty #ri"!s hi( to #rin*, th!n that sty! (+st
contain !rror or pathoogyL an# into-ication (+st pro"i#! so(!;at
!ast s+bJ!cti"!;corr!ction o' this !rror. In oth!r ,or#s, co(par!#
,ith his sobri!ty, ,hich is in so(! ,ay 9,rong,9 his into-ication
(+st b! in so(! ,ay 9right.9 :h! o# tag In &ino &eritas (ay
contain a tr+th (or! pro'o+n# than is +s+ay attrib+t!# to it.
233An at!rnati"! hypoth!sis ,o+# s+gg!st that ,h!n sob!r,
th! acohoic is so(!ho, (or! san! than th! p!op! aro+n# hi(,
an# that this sit+ation is into!rab!. I ha"! h!ar# acohoics arg+!
316
in 'a"or o' this possibiity, b+t I sha ignor! it in this !ssay. I
thin* that 0!rnar# &(ith, th! nonCacohoic !ga r!pr!s!ntati"! o'
AA, ca(! cos! to th! (ar* ,h!n h! sai#, 9th! >AAB (!(b!r ,as
n!"!r !nsa"!# by acoho. Acoho si(py s!r"!# as an !scap!
'ro( personal !nsa"!(!nt to th! 'as! i#!as o' a (at!riaistic
soci!ty.9
63
It is not a (att!r o' r!"ot against insan! i#!as aro+n#
hi( b+t o' !scaping 'ro( his o,n insan! pr!(is!s, ,hich ar!
contin+ay r!in'orc!# by th! s+rro+n#ing soci!ty. It is possib!,
ho,!"!r, that th! acohoic is in so(! ,ay (or! "+n!rab! or
s!nsiti"! than th! nor(a to th! 'act that his insan! 2b+t
con"!ntiona3 pr!(is!s !a# to +nsatis'ying r!s+ts.
243:h! pr!s!nt th!ory o' acohois(, th!r!'or!, ,i proC"i#! a
con&erse matc*ing b!t,!!n th! sobri!ty an# th! into-ication, s+ch
that th! att!r (ay b! s!!n as an appropriat! s+bJ!cti"! corr!ction
'or th! 'or(!r.
253:h!r! ar!, o' co+rs!, (any instanc!s in ,hich p!op! r!sort
to acoho an# !"!n to !-tr!(! into-ication as an an!sth!tic
gi"ing r!!as! 'ro( or#inary gri!', r!s!nt(!nt, or physica pain.
It (ight b! arg+!# that th! an!sth!tic action o' acoho pro"i#!s a
s+''ici!nt con"!rs! (atching 'or o+r th!or!tica p+rpos!s. I sha,
ho,!"!r, sp!ci'icay !-c+#! th!s! cas!s 'ro( consi#!ration as
b!ing not r!!"ant to th! prob!( o' a##icti"! or r!p!titi"!
acohois(L an# this in spit! o' th! +n#o+bt!# 'act that 9gri!',9
9r!s!nt(!nt,9 an#
9
'r+stration9 ar! co((ony +s!# by a##ict!#
acohoics as e.cuses 'or #rin*ing.
I sha #!(an#, th!r!'or!, a con"!rs! (atching b!t,!!n sobri!ty
an# into-ication (or! sp!ci'ic than that pro"i#!# by (!r!
an!sth!sia.
63
>Acohoics Anony(o+sB, Alcoholics Anonmous Comes of A'e) )!,
For*, Earp!r, 1957, p. /01. 2Itaics a##!#.3
317
So$riety
:h! 'ri!n#s an# r!ati"!s o' th! acohoic co((ony +rg! hi( to
b! 9strong,9 an# to 9r!sist t!(ptation.9 8hat th!y (!an by this is
not "!ry c!ar, b+t it is signi'icant that th! acohoic hi(s!';,hi!
sob!r;co((ony agr!!s ,ith th!ir "i!, o' his 9prob!(.
9
E!
b!i!"!s that h! co+# b!, or, at !ast, o+ght to b! 9th! captain o' his
so+.9
64
0+t it is a cich! o' acohois( that a't!r 9that 'irst #rin*,9
th! (oti"ation to stop #rin*ing is /!ro. :ypicay th! ,ho! (att!r is
phras!# o"!rty as a batt! b!t,!!n 9s!'9 an# 9John 0ar!ycorn.
9
Co"!rty th! acohoic (ay b! panning or !"!n s!cr!ty aying in
s+ppi!s 'or th! n!-t bing!, b+t it is a(ost i(possib! 2in th!
hospita s!tting3 to g!t th! sob!r acohoic to pan his n!-t bing! in
an o"!rt (ann!r. E! cannot, s!!(ingy, b! th! 9captain9 o' his so+
an# o"!rty ,i or co((an# his o,n #r+n*!nn!ss. :h! 9captain9
can ony co((an# sobri!ty ;an# th!n not b! ob!y!#.
0i 8., th! co'o+n#!r o' Acohoics Anony(o+s, hi(s!' an
acohoic, c+t thro+gh a this (ythoogy o' con'ict in th! "!ry 'irst
o' th! 'a(o+s 9:,!"! &t!ps9 o' AA. :h! 'irst st!p #!(an#s that th!
acohoic agr!! that h! is po,!r!ss o"!r acoho. :his st!p is
.
+s+ay r!gar#!# as a 9surrender
9
an# (any acohoics ar! !ith!r
+nab! to achi!"! it or achi!"! it ony bri!'y #+ring th! p!rio# o'
r!(ors! 'oo,ing a bing!. AA #o!s not r!gar# th!s! cas!s as
pro(ising6 th!y ha"! not y!t 9hit botto(9L th!ir #!spair is
ina#!.+at! an# a't!r a (or! or !ss bri!' sp! o' sobri!ty th!y ,i
again att!(pt to +s! 9s!'Ccontro9 to 'ight th! 9t!(ptation.
9
:h!y
,i not or cannot acc!pt th! pr!(is! that, #r+n* or sob!r, th! tota
p!rsonaity o' an acohoic is an acohoic p!rsonaity ,hich cannot
conc!i"aby 'ight acohois(. As an AA !a'!t p+ts it, 9trying to +s!
,i po,!r is i*! trying to i't yo+rs!' by yo+r bootstraps.9
:h! 'irst t,o st!ps o' AA ar! as 'oo,s6
64
I :his phras! is +s!# by AA in #!rision o' th! acohoic ,ho tri!s to +s! ,i po,!r
against th! bott!. :h! .+otation, aong ,ith th! in!, 9Ay h!a# is boo#y b+t +nC
bo,!#,9 co(!s 'ro( th! po!( 9In"ict+s9 by 8iia( =rn!st E!n!y, ,ho ,as a
cripp! b+t not an acohoic. :h! +s! o' th! ,i to con.+!r pain an# physica #isC
abiity is probaby not co(parab! to th! acohoicIs +s! o' ,i.
318

1.8! a#(itt!# ,! ,!r! po,!r!ss o"!r acoho;that o+r
i"!s ha# b!co(! +n(anag!ab!.
2.Ca(! to b!i!"! that a $o,!r gr!at!r than o+rCs!"!s
co+# r!stor! +s to sanity.
65
I(picit in th! co(bination o' th!s! t,o st!ps is an !-traor#inary
;an# I b!i!"! corr!ct;i#!a6 th! !-p!ri!nc! o' #!'!at not ony
s!r"!s to con"inc! th! acohoic that chang! is n!c!ssaryL it is th!
'irst st!p in that chang!. :o b! #!'!at!# by th! bott! an# to *no, it
is th! 'irst 9spirit+a !-p!ri!nc!.9 :h! (yth o' s!'Cpo,!r is th!r!by
bro*!n by th! #!(onstration o' a gr!at!r po,!r.
In s+(, I sha arg+! that th! 9sobri!ty9 o' th! acohoic is
charact!ri/!# by an +n+s+ay #isastro+s "ariant o' th! Cart!sian
#+ais(, th! #i"ision b!t,!!n Ain# an# Aatt!r, or, in this cas!,
b!t,!!n conscio+s ,i, or 9s!',9 an# th! r!(ain#!r o' th!
p!rsonaity. 0i 8.Is stro*! o' g!ni+s ,as to br!a* +p ,ith th! 'irst
9st!p9 th! str+ct+ring o' this #+ais(.
$hiosophicay "i!,!#, this 'irst st!p is not a s+rr!n#!rL it is
si(py a chang! in !pist!(oogy, a chang! in ho, to *no, abo+t
th! p!rsonaityCinCth!C,or#. An#, notaby, th! chang! is 'ro( an
incorr!ct to a (or! corr!ct !pist!(oogy.
Episte#olo&y and Ontolo&y
$hiosoph!rs ha"! r!cogni/!# an# s!parat!# t,o sorts o'
prob!(. :h!r! ar! 'irst th! prob!(s o' ho, things ar!, ,hat is a
p!rson, an# ,hat sort o' a ,or# this is. :h!s! ar! th! prob!(s o'
ontoogy. &!con#, th!r! ar! th! prob!(s o' ho, ,! *no, anything,
or (or! sp!ci'icay, ho, ,! *no, ,hat sort o' a ,or# it is an#
,hat sort o' cr!at+r!s ,! ar! that can *no, so(!thing 2or p!rhaps
nothing3 o' this (att!r. :h!s! ar! th! prob!(s o' !pist!(oogy. :o
th!s! .+!stions, both ontoogica an# !pist!(oogica, phiosC
oph!rs try to 'in# tr+! ans,!rs.
65
I>Acohoics Anony(o+sB, Alco*olics Anonymous, )!, For*, 8or*s
$+bishing, 1939
319
0+t th! nat+raist, obs!r"ing h+(an b!ha"ior, ,i as* rath!r
#i''!r!nt .+!stions. I' h! b! a c+t+ra r!ati"ist, h! (ay agr!! ,ith
thos! phiosoph!rs ,ho ho# that a 9tr+!9 ontoogy is conc!i"ab!,
b+t h! ,i not as* ,h!th!r th! ontoogy o' th! p!op! h! obs!r"!s is
9tr+!.
9
E! ,i !-p!ct th!ir !pist!(oogy to b! c+t+ray #!t!r(in!#
or !"!n i#iosyncratic, an# h! ,i !-p!ct th! c+t+r! as a ,ho! to
(a*! s!ns! in t!r(s o' th!ir partic+ar !pist!(oogy an# ontoogy.
I', on th! oth!r han#, it is c!ar that th! oca !pist!(oogy is
'rong, th!n th! nat+raist sho+# b! a!rt to th! possibiity that th!
c+t+r! as a ,ho! ,i n!"!r r!ay (a*! 9s!ns!,
9
or ,i (a*! s!ns!
ony +n#!r r!strict!# circ+(stanc!s, ,hich contact ,ith oth!r
c+t+r!s an# n!, t!chnoogi!s (ight #isr+pt.
In th! nat+ra history o' th! i"ing h+(an b!ing, ontoogy an#
!pist!(oogy cannot b! s!parat!#. Eis 2co((ony +nconscio+s3
b!i!'s abo+t ,hat sort o' ,or# it is ,i #!t!r(in! ho, h! s!!s it
an# acts ,ithin it, an# his ,ays o' p!rc!i"ing an# acting ,i
#!t!r(in! his b!i!'s abo+t its nat+r!. :h! i"ing (an is th+s bo+n#
,ithin a n!t o' !pist!(oogica an# ontoogica pr!(is!s ,hich;
r!gar#!ss o' +ti(at! tr+th or 'asity;b!co(! partiay s!'C
"ai#ating 'or hi(
66
It is a,*,ar# to r!'!r constanty to both !pist!(oogy an#
ontoogy an# incorr!ct to s+gg!st that th!y ar! s!parab! in h+(an
nat+ra history. :h!r! s!!(s to b! no con"!ni!nt ,or# to co"!r th!
co(bination o' th!s! t,o conc!pts. :h! n!ar!st appro-i(ations ar!
9cogniti"! str+ct+r!9 or 9charact!r str+ct+r!,9 b+t th!s! t!r(s 'ai to
s+gg!st that ,hat is i(portant is a bo#y o' habit+a ass+(ptions or
pr!(is!s i(picit in th! r!ationship b!t,!!n (an an# !n"iron(!nt,
an# that th!s! pr!(is!s (ay b! tr+! or 'as!. I sha th!r!C'or! +s!
th! sing! t!r( 9!pist!(oogy9 in this !ssay to co"!r both asp!cts o'
th! n!t o' pr!(is!s ,hich go"!rn a#aptation 2or (aa#aptation3 to
th! h+(an an# physica !n"iron(!nt. In 1!org! <!yIs "ocab+ary,
th!s! ar! th! r+!s by ,hich an in#i"i#+a 9constr+!s9 his
!-p!ri!nc!.
I a( conc!rn!# !sp!ciay ,ith that gro+p o' pr!(is!s +pon
,hich 5cci#!nta conc!pts o' th! 9s!'9 ar! b+it, an# con"!rs!y,
66
J. 4+!sch an# 1. 0at!son, "ommunications# !*e Social ,atri. of 6syc*iatry,
)!, For*, )orton, 1951.
320
,ith pr!(is!s ,hich ar! corr!cti"! to so(! o' th! (or! gross
5cci#!nta !rrors associat!# ,ith that conc!pt.
The Episte#olo&y of Cy$ernetics
8hat is n!, an# s+rprising is that ,! no, ha"! partia ans,!rs
to so(! o' th!s! .+!stions. In th! ast t,!ntyC'i"! y!ars
!-traor#inary a#"anc!s ha"! b!!n (a#! in o+r *no,!#g! o' ,hat
sort o' thing th! !n"iron(!nt
I
is, ,hat sort o' thing an organis( is,
an#, !sp!ciay, ,hat sort o' thing a mind is. :h!s! a#"anc!s ha"!
co(! o+t o' cyb!rn!tics, syst!(s th!ory, in'or(ation th!ory, an#
r!at!# sci!nc!s.
8! no, *no,, ,ith consi#!rab! c!rtainty, that th! anci!nt
prob!( o' ,h!th!r th! (in# is i((an!nt or transc!n#!nt can b!
ans,!r!# in 'a"or o' i((an!nc!, an# that this ans,!r is (or!
!cono(ica o' !-panatory !ntiti!s than any transc!n#!nt ans,!r6 it
has at !ast th! n!gati"! s+pCport o' 5cca(Is 4a/or.
5n th! positi"! si#!, ,! can ass!rt that any ongoing !ns!(b! o'
!"!nts an# obJ!cts ,hich has th! appropriat! co(p!-ity o' ca+sa
circ+its an# th! appropriat! !n!rgy r!ations ,i s+r!y sho, (!nta
charact!ristics. It ,i compare, that is, b! r!sponsi"! to difference
2in a##ition to b!ing a''!ct!# by th! or#inary physica 9ca+s!s
9
s+ch
as i(pact or 'orc!3. It ,i 9proc!ss in'or(ation9 an# ,i in!"itaby
b! s!'Ccorr!cti"! !ith!r to,ar# ho(!ostatic opti(a or to,ar# th!
(a-i(i/ation o' c!rtain "ariab!s.
A 9bit9 o' in'or(ation is #!'inab! as a #i''!r!nc! ,hich (a*!s a
#i''!r!nc!. &+ch a #i''!r!nc!, as it tra"!s an# +n#!rgo!s s+cc!ssi"!
trans'or(ation in a circ+it, is an !!(!ntary i#!a.
0+t, (ost r!!"ant in th! pr!s!nt cont!-t, ,! *no, that no part o'
s+ch an int!rnay int!racti"! syst!( can ha"! +niat!ra contro o"!r
th! r!(ain#!r or o"!r any oth!r part. :h! (!nta charact!ristics ar!
inh!r!nt or i((an!nt in th! !ns!(b! as a '*ole.
="!n in "!ry si(p! s!'Ccorr!cti"! syst!(s, this hoistic
charact!r is !"i#!nt. In th! st!a( !ngin! ,ith a 9go"!rnor,9 th! "!ry
,or# 9go"!rnor9 is a (isno(!r i' it b! ta*!n to (!an that this part
o' th! syst!( has +niat!ra contro. :h! go"!rnor is, !ss!ntiay, a
321
s!ns! organ or trans#+c!r ,hich r!c!i"!s a trans'or( o' th!
difference b!t,!!n th! act+a r+nning sp!!# o' th! !ngin! an#
so(! i#!a or pr!'!rr!# sp!!#. :his s!ns! organ trans'or(s th!s!
#i''!r!nc!s into #i''!r!nc!s in so(! !''!r!nt (!ssag!, 'or !-a(p!,
to '+! s+ppy or to a bra*!. :h! b!ha"ior o' th! go"!rnor is #!C
t!r(in!#, in oth!r ,or#s, by th! b!ha"ior o' th! oth!r parts o' th!
syst!(, an# in#ir!cty by its o,n b!ha"ior at a pr!"io+s ti(!.
:h! hoistic an# (!nta charact!r o' th! syst!( is (ost c!ary
#!(onstrat!# by this ast 'act, that th! b!ha"ior o' th! go"!rnor
2an#, in#!!#, o' !"!ry part o' th! ca+sa circ+it3 is partiay
#!t!r(in!# by its o,n pr!"io+s b!ha"ior. A!ssag! (at!ria 2i.!.,
s+cc!ssi"! trans'or(s o' #i''!r!nc!3 (+st pass aro+n# th! tota
circ+it, an# th! time r!.+ir!# 'or th! (!ssag! (at!ria to r!t+rn to
th! pac! 'ro( ,hich it start!# is a basic charact!ristic o' th! tota
syst!(. :h! b!ha"ior o' th! go"!rnor 2or any oth!r part o' th!
circ+it3 is th+s in so(! #!gr!! #!t!r(in!# not ony by its
i((!#iat! past, b+t by ,hat it #i# at a ti(! ,hich pr!c!#!s th!
pr!s!nt by th! int!r"a n!c!ssary 'or th! (!ssag! to co(p!t! th!
circ+it. :h!r! is th+s a sort o' #!t!r(inati"! memory in !"!n th!
si(p!st cyb!rn!tic circ+it.
:h! stabiity o' th! syst!( 2i.!., ,h!th!r it ,i act s!'C
corr!cti"!y or osciat! or go into r+na,ay3 #!p!n#s +pon th!
r!ation b!t,!!n th! op!rationa pro#+ct o' a th! trans'or(ations
o' #i''!r!nc! aro+n# th! circ+it an# +pon this charact!ristic ti(!.
:h!
9
go"!rnor9 has no contro o"!r th!s! 'actors. ="!n a h+(an
go"!rnor in a socia syst!( is bo+n# by th! sa(! i(itations. E! is
contro!# by in'or(ation 'ro( th! syst!( an# (+st a#apt his o,n
actions to its ti(! charact!ristics an# to th! !''!cts o' his o,n past
action.
:h+s, in no syst!( ,hich sho,s (!nta charact!ristics can any
part ha"! +niat!ra contro o"!r th! ,ho!. In oth!r ,or#s, th!
(!nta charact!ristics o' th! syst!( ar! i((an!nt, not in so(! part,
b+t in th! syst!( as a ,ho!.
:h! signi'icanc! o' this conc+sion app!ars ,h!n ,! as*, 9Can a
co(p+t!r thin*D9 or, 9Is th! (in# in th! brainD9 An# th! ans,!r to
both .+!stions ,i b! n!gati"! +n!ss th! .+!stion is 'oc+s!# +pon
on! o' th! '!, (!nta charact!ristics ,hich ar! contain!# ,ithin th!
co(p+t!r or th! brain. A co(p+t!r is s!'Ccorr!cti"! in r!gar# to
322
so(! o' its int!rna "ariab!s. It (ay, 'or !-a(p!, inc+#!
th!r(o(!t!rs or oth!r s!ns! organs ,hich ar! a''!ct!# by
#i''!r!nc!s in its ,or*ing t!(p!rat+r!, an# th! r!spons! o' th! s!ns!
organ to th!s! #i''!r!nc!s (ay a''!ct th! action o' a 'an ,hich in
t+rn corr!cts th! t!(p!rat+r!. 8! (ay th!r!'or! say that th! syst!(
sho,s (!nta charact!ristics in r!gar# to its int!rna t!(p!rat+r!.
0+t it ,o+# b! incorr!ct to say that th! (ain b+sin!ss o' th!
co(p+t!r;th! trans'or(ation o' inp+t #i''!r!nc!s into o+tp+t
#i''!r!nc!s;is 9a (!nta proc!ss.9 :h! co(p+t!r is ony an ar! o' a
arg!r circ+it ,hich a,ays inc+#!s a (an an# an !n"iron(!nt 'ro(
,hich in'or(ation is r!c!i"!# an# +pon ,hich !''!r!nt (!ssag!s
'ro( th! co(p+t!r ha"! !''!ct. :his tota syst!(, or !ns!(b!, (ay
!giti(at!y b! sai# to sho, (!nta charact!ristics. It op!rat!s by
tria an# !rror an# has cr!ati"! charact!r.
&i(iary, ,! (ay say that 9(in#9 is i((an!nt in thos! circ+its
o' th! brain ,hich ar! co(p!t! ,ithin th! brain. 5r that (in# is
i((an!nt in circ+its ,hich ar! co(p!t! ,ithin th! syst!(, brain
p+s bo#y. 5r, 'inay, that (in# is i((an!nt in th! arg!r syst!(;
(an p+s !n"iron(!nt.
In princip!, i' ,! #!sir! to !-pain or +n#!rstan# th! (!nta
asp!ct o' any bioogica !"!nt, ,! (+st ta*! into acco+nt th! syst!(
;that is, th! n!t,or* o' cos!# circ+its, ,ithin ,hich that
bioogica !"!nt is #!t!r(in!#. 0+t ,h!n ,! s!!* to !-pain th!
b!ha"ior o' a (an or any oth!r organis(, this 9syst!(9 ,i +s+ay
not ha"! th! sa(! i(its as th! 9s!'9;as this t!r( is co((ony
2an# "ario+sy3 +n#!rstoo#.
Consi#!r a (an '!ing a tr!! ,ith an a-!. =ach stro*! o' th! a-!
is (o#i'i!# or corr!ct!#, accor#ing to th! shap! o' th! c+t 'ac! o' th!
tr!! !'t by th! pr!"io+s stro*!. :his s!'Ccorr!cti"! 2i.!., (!nta3
proc!ss is bro+ght abo+t by a tota syst!(, tr!!C!y!sCbrainC(+sc!sC
a-!Cstro*!Ctr!!L an# it is this tota syst!( that has th! charact!ristics
o' i((an!nt (in#.
Aor! corr!cty, ,! sho+# sp! th! (att!r o+t as6 2#i''!r!nc!s in
tr!!3 C 2#i''!r!nc!s in r!tina3 C2#i''!r!nc!s in brain3 C 2#i''!r!nc!s in
(+sc!s3 C2#i''!r!nc!s in (o"!(!nt o' a-!3 C2#i''!r!nc!s in tr!!3,
!tc. 8hat is trans(itt!# aro+n# th! circ+it is trans'or(s o'
#i''!r!nc!s. An#, as not!# abo"!, a #i''!r!nc! ,hich (a*!s a
#i''!r!nc! is an idea or +nit o' in'or(ation.
323
0+t this is not ho, th! a"!rag! 5cci#!nta s!!s th! !"!nt
s!.+!nc! o' tr!! '!ing. E! says, 9I c+t #o,n th! tr!!9 an# h! !"!n
b!i!"!s that th!r! is a #!i(it!# ag!nt, th! 9s!',9 ,hich p!r'or(!#
a #!i(it!# 9p+rposi"!9 action +pon a #!Ci(it!# obJ!ct.
It is a "!ry ,! to say that 90iiar# ba A hit biiar# ba 0
an# s!nt it into th! poc*!t9L an# it ,o+# p!rhaps b! a right 2i' ,!
co+# #o it3 to gi"! a co(p!t! har#Csci!nc! acco+nt o' th! !"!nts
a aro+n# th! circ+it containing th! (an an# th! tr!!. 0+t pop+ar
paranc! inc+#!s mind in its +tt!ranc! by in"o*ing th! p!rsona
prono+n, an# th!n achi!"!s a (i-t+r! o' (!ntais( an#
physicais( by r!stricting (in# ,ithin th! (an an# r!i'ying th!
tr!!. 7inay th! (in# its!' b!co(!s r!i'i!# by th! notion that,
sinc! th! 9s!'9 act!# +pon th! a-! ,hich act!# +pon th! tr!!, th!
9s!'9 (+st aso b! a 9thing.9 :h! para!is( o' synta- b!t,!!n 9I
hit th! biiar# ba9 an# 9:h! ba hit anoth!r ba9 is totay
(is!a#ing.
I' yo+ as* anybo#y abo+t th! ocai/ation an# bo+n#ari!s o' th!
s!', th!s! con'+sions ar! i((!#iat!y #ispay!#. 5r consi#!r a
bin# (an ,ith a stic*. 8h!r! #o!s th! bin# (anIs s!' b!ginD At
th! tip o' th! stic*D At th! han#! o' th! stic*D 5r at so(! point
ha',ay +p th! stic*D :h!s! .+!stions ar! nons!ns!, b!ca+s! th!
stic* is a path,ay aong ,hich #i''!r!nc!s ar! trans(itt!# +n#!r
trans'or(ation, so that to #ra, a #!i(iting in! across this path,ay
is to c+t o'' a part o' th! syst!(ic circ+it ,hich #!t!r(in!s th! bin#
(anIs oco(otion.
&i(iary, his s!ns! organs ar! trans#+c!rs or path,ays 'or
in'or(ation, as aso ar! his a-ons, !tc. 7ro( a syst!(sCth!or!tic
point o' "i!,, it is a (is!a#ing (!taphor to say that ,hat tra"!s in
an a-on is an 9i(p+s!.9 It ,o+# b! (or! corr!ct to say that ,hat
tra"!s is a #i''!r!nc!, or a trans'or( o' a #i''!r!nc!. :h! (!taphor
o'
9
i(p+s!9 s+gg!sts a har#Csci!nc! in! o' tho+ght ,hich ,i
ra(i'y ony too !asiy into nons!ns! abo+t 9psychic !n!rgy,9 an#
thos! ,ho ta* this *in# o' nons!ns! ,i #isr!gar# th! in'or(ation
cont!nt o' 5uiescence. :h! .+i!sc!nc! o' an a-on differs as (+ch
'ro( acti"ity as its acti"ity #o!s 'ro( .+i!sc!nc!. :h!r!'or!
.+i!sc!nc! an# acti"ity ha"! !.+a in'or(ationa r!!"anc!. :h!
(!ssag! o' acti"ity can ony b! acc!pt!# as "ai# i' th! (!ssag! o'
.+i!sc!nc! can aso b! tr+st!#.
324
It is !"!n incorr!ct to sp!a* o' th! 9(!ssag! o' acti"ity9 an# th!
9(!ssag! o' .+i!sc!nc!.9 A,ays th! 'act that inC'or(ation is a
trans'or( o' #i''!r!nc! sho+# b! r!(!(b!r!#, an# ,! (ight b!tt!r
ca th! on! (!ssag!
9
acti"ity ;not .+i!sc!nc!9 an# th! oth!r
9
.+i!sc!nc!;not acti"ity.9
&i(iar consi#!rations appy to th! r!p!ntant acohoic. E!
cannot si(py !!ct 9sobri!ty.9 At b!st h! co+# ony !!ct 9sobri!ty
;not #r+n*!nn!ss,9 an# his +ni"!rs! r!(ains poari/!#, carrying
a,ays both at!rnati"!s.
:h! tota s!'Ccorr!cti"! +nit ,hich proc!ss!s in'or(ation, or, as
I say, 9thin*s9 an# 9acts9 an# 9#!ci#!s,9 is a system ,hos!
bo+n#ari!s #o not at a coinci#! ,ith th! bo+n#ari!s !ith!r o' th!
bo#y or o' ,hat is pop+ary ca!# th! 9s!'9 or 9conscio+sn!ss9L
an# it is i(portant to notic! that th!r! ar! multiple #i''!r!nc!s
b!t,!!n th! thin*ing syst!( an# th! 9s!'9 as pop+ary conc!i"!#6
:h! syst!( is not a transc!n#!nt !ntity as th! 9s!'9 is co((ony
s+ppos!# to b!.
:h! i#!as ar! i((an!nt in a n!t,or* o' ca+sa pathC,ays aong
,hich trans'or(s o' #i''!r!nc! ar! con#+ct!#. :h!
9
i#!as9 o' th!
syst!( ar! in a cas!s at !ast binary in str+ct+r!. :h!y ar! not
9i(p+s!s9 b+t 9in'or(ation.9
:his n!t,or* o' path,ays is not bo+n#!# ,ith conscio+sn!ss b+t
!-t!n#s to inc+#! th! path,ays o' a +nconscio+s (!ntation;both
a+tono(ic an# r!pr!ss!#, n!+ra an# hor(ona.
:h! n!t,or* is not bo+n#!# by th! s*in b+t inc+#!s a !-t!rna
path,ays aong ,hich in'or(ation can tra"!. It aso inc+#!s thos!
!''!cti"! #i''!r!nc!s ,hich ar! i((an!nt in th! 9obJ!cts9 o' s+ch
in'or(ation. It inc+#!s th! pathC,ays o' so+n# an# ight aong
,hich tra"! trans'or(s o' #i''!r!nc!s originay i((an!nt in things
an# oth!r p!op! ;an# !sp!ciay in our o'n actions.
It is i(portant to not! that th! basic;an# I b!i!"! !rron!o+s;
t!n!ts o' pop+ar !pist!(oogy ar! (+t+ay r!inC'orcing. I', 'or
!-a(p!, th! pop+ar pr!(is! o' transc!n#!nc! is #iscar#!#, th!
i((!#iat! s+bstit+t! is a pr!(is! o' i((an!nc! in th! bo#y. 0+t
this at!rnati"! ,i b! +nacc!ptab! b!ca+s! arg! parts o' th!
thin*ing n!t,or* ar! ocat!# o+tsi#! th! bo#y. :h! soCca!# 90o#yC
Ain#9 prob!( is ,rongy pos!# in t!r(s ,hich 'orc! th! arg+(!nt
to,ar# para#o-6 i' (in# b! s+ppos!# i((an!nt in th! bo#y, th!n it
325
(+st b! transc!n#!nt. I' transc!n#!nt, it (+st b! i((an!nt. An# so
on.
67
&i(iary, i' ,! !-c+#! th! +nconscio+s proc!ss!s 'ro( th!
9s!'9 an# ca th!( 9!goCai!n,9 th!n th!s! proc!ss!s ta*! on th!
s+bJ!cti"! cooring o' 9+rg!s9 an# 9'orc!s9L an# this ps!+#o#yna(ic
.+aity is th!n !-t!n#!# to th! conscio+s 9s!'9 ,hich att!(pts to
9r!sist9 th! 9'orc!s9 o' th! +nconscio+s. :h! 9s!'9 th!r!by b!co(!s
its!' an organi/ation o' s!!(ing 9'orc!s.9 :h! pop+ar notion ,hich
,o+# !.+at! 9s!'9 ,ith conscio+sn!ss th+s !a#s into th! notion
that i#!as ar! 9'orc!s9L an# this 'aacy is in t+rn s+pport!# by saying
that th! a-on carri!s 9i(p+s!s.9 :o 'in# a ,ay o+t o' this (!ss is by
no (!ans !asy.
8! sha proc!!# by 'irst !-a(ining th! str+ct+r! o' th!
acohoicIs poari/ation. In th! !pist!(oogicay +nso+n# r!sC
o+tion, 9I ,i 'ight th! bott!,9 ,hat is s+ppos!#y in!# +p against
,hatD
Alcoholic "%ride"
Acohoics ar! phiosoph!rs in that +ni"!rsa s!ns! in ,hich a
h+(an b!ings 2an# a (a((as3 ar! g+i#!# by highy abstract
princip!s o' ,hich th!y ar! !ith!r .+it! +nconscio+s, or +na,ar!
that th! princip! go"!rning th!ir p!rc!ption an# action is
phiosophic. A co((on (isno(!r 'or s+ch princip!s is
9'!!ings.
968
:his (isno(!r aris!s nat+ray 'ro( th! AngoC&a-on
!pist!(oogica t!n#!ncy to r!i'y or attrib+t! to th! bo#y a (!nta
ph!no(!na ,hich ar! p!riph!ra to conscio+sn!ss. An# th!
(isno(!r is, no #o+bt, s+pport!# by th! 'act that th! !-!rcis! an#Kor
'r+stration o' th!s! princip!s is o't!n acco(pani!# by "isc!ra an#
oth!r bo#iy s!nsations. I b!i!"!, ho,!"!r, that $asca ,as corr!ct
67
9 4. 1. Coing,oo#, !*e Idea of ;ature, 5-'or#, 5-C'or# %ni"!rsity $r!ss,
1945.
68
9 1. 0at!son, 9A &ocia &ci!ntist Gi!,s th! =(otions,9 .pression of t*e
motions in ,an, $. <napp, !#., Int!rnationa %ni"!rsity $r!ss, 1963.
326
,h!n h! sai#, 9:h! h!art has its reasons ,hich th! r!ason #o!s not
at a p!rc!i"!.
0+t th! r!a#!r (+st not !-p!ct th! acohoic to pr!s!nt a
consist!nt pict+r!. 8h!n th! +n#!rying !pist!(oogy is '+ o'
!rror, #!ri"ations 'ro( it ar! in!"itaby !ith!r s!'Ccontra#ictory or
!-tr!(!y r!strict!# in scop!. A consist!nt corp+s o' th!or!(s
cannot b! #!ri"!# 'ro( an inconsist!nt bo#y o' a-io(s. In s+ch
cas!s, th! att!(pt to b! consist!nt !a#s !ith!r to th! gr!at
proi'!ration o' co(p!-ity charact!ristic o' psychoanaytic th!ory
an# Christian th!oogy or to th! !-tr!(!y narro, "i!,
charact!ristic o' cont!(porary b!ha"ioris(.
I sha th!r!'or! proc!!# to !-a(in! th!
9
pri#!
9
,hich is
charact!ristic o' acohoics to sho, that this princip! o' th!ir
b!ha"ior is #!ri"!# 'ro( th! strang! #+aistic !pist!(oogy
charact!ristic o' 5cci#!nta ci"ii/ation.
A con"!ni!nt ,ay o' #!scribing s+ch princip!s as 9pri#!,9
9#!p!n#!ncy,9 9'atais(,9 an# so 'orth, is to !-a(in! th! princip! as
i' it ,!r! a r!s+t o' #!+t!roC!arning
69
an# to as* ,hat cont!-ts o'
!arning (ight +n#!rstan#aby inc+cat! this princip!.
213 It is c!ar that th! princip! o' acohoic i'! ,hich AA cas
9pri#!9 is not cont!-t+ay str+ct+r!# aro+n# past achi!"!(!nt. :h!y
#o not +s! th! ,or# to (!an pri#! in so(!thing acco(pish!#. :h!
!(phasis is not +pon 9I s+cc!!#!#,9 b+t rath!r +pon 9I can. . . .9 It is
an obs!ssi"! acc!ptanc! o' a cha!ng!, a r!p+#iation o' th!
proposition 9I cannot.9
223A't!r th! acohoic has b!g+n to s+''!r 'ro(;or b! ba(!#
'or;acohois(, this princip! o' 9pri#!9 is (obii/!# b!hin# th!
proposition, 9I can stay sob!r.9 0+t, notic!aby, s+cc!ss in this
achi!"!(!nt #!stroys th! 9cha!ng!.9 :h! acohoic b!co(!s
69
:his +s! o' 'or(a cont!-t+a str+ct+r! as a #!scripti"! #!"ic! #o!s not
n!c!ssariy ass+(! that th! princip! #isc+ss!# is ,hoy or in part act+ay
learne! -* cont!-ts ha"ing th! appropriat! 'or(a str+ct+r!. :h! princip! co+#
ha"! b!!n g!n!ticay #!t!r(in!#, an# it (ight sti 'oo, that th! princip! is b!st
#!scrib!# by th! 'or(a #!in!ation o' th! cont!-ts in ,hich it is !-!(pi'i!#. It is
pr!cis!y this 'itting o' b!ha"ior to cont!-t that (a*!s it #i''ic+t or i(possib! to
#!t!r(in! ,h!th!r a princip! o' b!ha"ior ,as g!n!ticay #!t!r(in!# or !arn!# in
that cont!-tL s!! 1. 0at!son, 9&ocia $anning an# th! Conc!pt o' ?!+t!roC
@!arning,9 Conference on Science) (hilosoph an! 2eli'ion) Secon!
Smposium) )!, For*, Earp!r, *13/.
327
9
coc*s+r!,9 as AA says. E! r!a-!s his #!t!r(ination, ris*s a
#rin*, an# 'in#s hi(s!' on a bing!. 8! (ay say that th!
cont!-t+a str+ct+r! o' sobri!ty chang!s ,ith its achi!"!(!nt.
&obri!ty, at this point, is no ong!r th! appropriat! cont!-t+a
s!tting 'or 9pri#!.9 It is th! ris* o' th! #rin* that no, is
cha!nging an# cas o+t th! 'ata 9I can....
233AA #o!s its b!st to insist that this chang! in conCt!-t+a
str+ct+r! sha n!"!r occ+r. :h!y r!str+ct+r! th! ,ho! cont!-t by
ass!rting o"!r an# o"!r again that 9@nce an alco*olic, al'ays an
alco*olic.9 :h!y try to ha"! th! acohoic pac! acohois( ,ithin
th! s!', (+ch as a J+ngian anayst tri!s to ha"! th! pati!nt
#isco"!r his 9psychoogica typ!9 an# to !arn to i"! ,ith th!
str!ngths an# ,!a*n!ss!s o' that typ!. In contrast, th! cont!-t+a
str+ct+r! o' acohoic 9pri#!9 pac!s th! acohois( outside th!
s!'6 9I can r!sist #rin*ing.9
243:h! cha!ng! co(pon!nt o' acohoic 9pri#!9 is in*!# ,ith
ris3%ta3ing. :h! princip! (ight b! p+t in ,or#s6 9I can #o
so(!thing ,h!r! s+cc!ss is i(probab! an# 'ai+r! ,o+# b!
#isastro+s.9 C!ary this princip! ,i n!"!r s!r"! to (aintain
contin+!# sobri!ty. As s+cc!ss b!gins to app!ar probab!, th!
acohoic (+st cha!ng! th! ris* o' a #rin*. :h! !!(!nt o' 9ba#
+c*9 or 9probabiity9 o' 'ai+r! pac!s 'ai+r! b!yon# th! i(its o'
th! s!'. 9I' 'ai+r! occ+rs, it is not mine.9 Acohoic 9pri#!9
progr!ssi"!y narro,s th! conc!pt o' 9s!',9 pacing ,hat happ!ns
o+tsi#! its scop!.
253:h! princip! o' pri#!CinCris* is +ti(at!y a(ost s+ici#a.
It is a "!ry ,! to t!st onc! ,h!th!r th! +ni"!rs! is on yo+r si#!,
b+t to #o so again an# again, ,ith incr!asing string!ncy o' proo',
is to s!t o+t on a proJ!ct ,hich can ony pro"! that th! +ni"!rs!
hat!s yo+. 0+t, sti an# a, th! AA narrati"!s sho, r!p!at!#y
that, at th! "!ry botto( o' #!spair, pride so(!ti(!s pr!"!nts
s+ici#!. :h! 'ina .+i!t+s (+st not b! #!i"!r!# by th! 9s!'.9
70
70
&!! 0iIs &tory, Acohoics Anony(o+s, op. cit.
328
%ride and Sy##etry
:h! soCca!# pri#! o' th! acohoic a,ays pr!s+(!s a r!a or
'ictitio+s 9oth!r,9 an# its co(p!t! cont!-t+a #!'inition th!r!'or!
#!(an#s that ,! charact!ri/! th! r!a or i(agin!# r!ationship to
this 9oth!r.9 A 'irst st!p in this tas* is to cassi'y th! r!ationship as
!ith!r 9sy((!trica9 or 9co(p!(!ntary.9
71
:o #o this is not !ntir!y
si(p! ,h!n th! 9oth!r9 is a cr!ation o' th! +nconscio+s, b+t ,!
sha s!! that th! in#ications 'or s+ch a cassi'ication ar! c!ar.
An !-panatory #igr!ssion is, ho,!"!r, n!c!ssary. :h! pri(ary
crit!rion is si(p!6
I', in a binary r!ationship, th! b!ha"iors o' A an# 0 ar! r!gar#!#
2by A an# 03 as similar an# ar! in*!# so that (or! o' th! gi"!n
b!ha"ior by A sti(+at!s (or! o' it in 0, an# "ic! "!rsa, th!n th!
r!ationship is 9sy((!trica9 in r!gar# to th!s! b!ha"iors.
I', con"!rs!y, th! b!ha"iors o' A an# 0 ar! dissimilar b+t
(+t+ay 'it tog!th!r 2as, 'or !-a(p!, sp!ctatorship 'its !-C
hibitionis(3, an# th! b!ha"iors ar! in*!# so that (or! o' AIs
b!ha"ior sti(+at!s (or! o' 0Is 'itting b!ha"ior, th!n th!
r!ationship is 9co(p!(!ntary9 in r!gar# to th!s! b!ha"iors.
Co((on !-a(p!s o' si(p! sy((!trica r!ationship ar!
ar(a(!nts rac!s, *!!ping +p ,ith th! Jon!s!s, ath!tic !(+ation,
bo-ing (atch!s, an# th! i*!. Co((on !-a(p!s o' co(p!(!ntary
r!ationship ar! #o(inanc!Cs+b(ission, sa#is(C(asochis(,
n+rt+ranc!C#!p!n#!ncy, sp!ctatorshipC!-hibitionis(, an# th! i*!.
Aor! co(p!- consi#!rations aris! ,h!n high!r ogica typing is
pr!s!nt. 7or !-a(p!6 A an# 0 (ay co(p!t! in gi'tCgi"ing, th+s
s+p!rposing a arg!r sy((!trica 'ra(! +pon pri(ariy
co(p!(!ntary b!ha"iors. 5r, con"!rs!y, a th!rapist (ight !ngag!
in co(p!tition ,ith a pati!nt in so(! sort o' pay th!rapy, pacing a
co(p!(!ntary n+rt+rant 'ra(! aro+n# th! pri(ariy sy((!trica
transactions o' th! ga(!.
Gario+s sorts o' 9#o+b! bin#s9 ar! g!n!rat!# ,h!n A an# 0
p!rc!i"! th! pr!(is!s o' th!ir r!ationship in #i''!r!nt t!r(s;A
71
1. 0at!son, ;a&en, Ca(bri#g!, Ca(bri#g! %ni"!rsity $r!ss, 1936.
329
(ay r!gar# 0Is b!ha"ior as co(p!titi"! ,h!n 0 tho+ght h! ,as
h!ping A. An# so on.
8ith th!s! co(p!-iti!s ,! ar! not h!r! conc!rn!#, b!Cca+s! th!
i(aginary 9oth!r9 or co+nt!rpart in th! 9pri#!9 o' th! acohoic #o!s
not, I b!i!"!, pay th! co(p!- ga(!s ,hich ar! charact!ristic o'
th! 9"oic!s9 o' schi/ophr!nics.
0oth co(p!(!ntary an# sy((!trica r!ationships ar! iab! to
progr!ssi"! chang!s o' th! sort ,hich I ha"! ca!#
9schis(og!n!sis.9
72
&y((!trica str+gg!s an# ar(a(!nts rac!s
(ay, in th! c+rr!nt phras!, 9!scaat!9L an# th! nor(a patt!rn o'
s+ccoringC#!p!n#!ncy b!t,!!n par!nt an# chi# (ay b!co(!
(onstro+s. :h!s! pot!ntiay pathoogica #!"!op(!nts ar! #+! to
+n#a(p!# or +ncorr!ct!# positi"! '!!#bac* in th! syst!(, an# (ay
;as stat!#;occ+r in !ith!r co(p!(!ntary or sy((!trica
syst!(s. Eo,!"!r, in mi.ed syst!(s schis(og!n!sis is n!c!ssariy
r!#+c!#. :h! ar(a(!nts rac! b!t,!!n t,o nations ,i b! so,!#
#o,n by acc!ptanc! o' co(p!(!ntary th!(!s s+ch as #o(inanc!,
#!Cp!n#!ncy, a#(iration, an# so 'orth, b!t,!!n th!(. It ,i b!
sp!!#!# +p by th! r!p+#iation o' th!s! th!(!s.
:his antith!tica r!ationship b!t,!!n co(p!(!ntary an#
sy((!trica th!(!s is, no #o+bt, #+! to th! 'act that !ach is th!
ogica opposit! o' th! oth!r. In a (!r!y sy((!trica ar(a(!nts
rac!, nation A is (oti"at!# to gr!at!r !''orts by its !sti(at! o' t*e
greater strengt* o' 0. 8h!n it !sti(at!s that 0 is ,!a*!r, nation A
,i r!a- its !''orts. 0+t th! !-act opposit! ,i happ!n i' AIs
str+ct+ring o' th! r!ationship is co(p!(!ntary. 5bs!r"ing that 0 is
'ea3er than th!y, A ,i go ah!a# ,ith hop!s o' con.+!st.
73
:his antith!sis b!t,!!n co(p!(!ntary an# sy((!trica patt!rns
(ay b! (or! than si(py ogica. )otaby, in psychoanaytic
th!ory,
74
th! patt!rns ,hich ar! ca!# 9ibi#ina9 an# ,hich ar!
(o#aiti!s o' th! !rog!no+s /on!s ar! a complementary. Intr+sion,
72
Ibi#.
73
1. 0at!son, 9:h! $att!rn o' an Ar(a(!nts 4ac!Y$art I6 An Anthropoogica
Approach,9 0+!tin o' Ato(ic
&ci!ntists, 1946, 22536 10Y116 aso @. 7. 4ichar#son, 91!n!rai/!# 7or!ign
$oitics,9 0ritish Jo+rna o' $sychoogy, Aonograph &+pp!(!nts, 1939.
74
=. E. Erison! 9Con'ig+rations in $ay;Cinica
)ot!s,9 &sy!hoanalyti! 'uarterly, 1937, 66 139Y214.
330
inc+sion, !-c+sion, r!c!ption, r!t!ntion, an# th! i*!;a o' th!s!
ar! cass!# as 9ibi#ina.9 8h!r!as ri"ary, co(p!tition, an# th!
i*! 'a +n#!r th! r+bric o' 9!go9 an# 9#!'!ns!.9
It is aso possib! that th! t,o antith!tica co#!s;sy((!trica
an# co(p!(!ntary;(ay b! physioogicay r!pr!s!nt!# by
contrasting stat!s o' th! c!ntra n!r"o+s syst!(. :h! progr!ssi"!
chang!s o' schis(og!n!sis (ay r!ach ci(actic #iscontin+iti!s an#
s+##!n r!"!rsas. &y((!trica rag! (ay s+##!ny t+rn to gri!'L th!
r!tr!ating ani(a ,ith tai b!t,!!n his !gs (ay s+##!ny 9t+rn at
bay9 in a #!sp!rat! batt! o' sy((!try to th! #!ath. :h! b+y (ay
s+##!ny b!co(! th! co,ar# ,h!n h! is cha!ng!#, an# th! ,o'
,ho is b!at!n in a sy((!trica con'ict (ay s+##!ny gi"! 9s+rC
r!n#!r9 signas ,hich pr!"!nt '+rth!r attac*.
:h! ast !-a(p! is o' sp!cia int!r!st. I' th! str+gg! b!t,!!n th!
,o"!s is sy((!trica;that is, i' ,o' A is sti(+at!# to (or!
aggr!ssi"! b!ha"ior by th! aggr!ssi"! b!ha"ior o' 0;th!n i' 0
s+##!ny !-hibits ,hat ,! (ay ca 9n!gati"! aggr!ssion,9 A ,i
not b! ab! to contin+! to 'ight +n!ss h! can .+ic*y s,itch o"!r to
that co(p!(!ntary stat! o' (in# in ,hich 0Is ,!a*n!ss ,o+# b! a
sti(++s 'or his aggr!ssion. 8ithin th! hypoth!sis o' sy((!trica
an# co(p!(!tary (o#!s, it b!co(!s +nn!c!ssary to post+at! a
sp!ci'icay 9inhibitory9 !''!ct 'or th! s+rr!n#!r signa.
E+(an b!ings ,ho poss!ss ang+ag! can appy th! ab!
9aggr!ssion9 to a att!(pts to #a(ag! th! oth!r, r!gar#!ss o'
,h!th!r th! att!(pt is pro(pt!# by th! oth!rIs str!ngth or
,!a*n!ssL b+t at th! pr!ing+istic (a((aian !"! th!s! t,o sorts
o' 9aggr!ssion9 (+st app!ar totay #i''!r!nt. 8! ar! to# that 'ro(
th! ionIs point o' "i!,, an 9attac*9 on a /!bra is totay #i''!r!nt
'ro( an 9attac*9 on anoth!r ion.
75
=no+gh has no, b!!n sai# so that th! .+!stion can b! pos!#6 Is
acohoic pri#! cont!-t+ay str+ct+r!# in sy((!trica or
co(p!(!ntary 'or(D
7irst, th!r! is a "!ry strong t!n#!ncy to,ar# sy((!try in th!
nor(a #rin*ing habits o' 5cci#!nta c+t+r!. V+it! apart 'ro(
a##icti"! acohois(, t,o (!n #rin*ing tog!th!r ar! i(p!!# by
con"!ntion to (atch !ach oth!r, #rin* 'or #rin*. At this stag!, th!
75

13
<. M. @or!n/, @n Aggression, )!, For*, Earco+rt, 0rac! X 8or#, 1966.
331
9oth!r9 is sti r!a an# th! sy((!try, or ri"ary, b!t,!!n th! pair is
'ri!n#y.
As th! acohoic b!co(!s a##ict!# an# tri!s to r!sist #rin*ing, h!
b!gins to 'in# it #i''ic+t to r!sist th! socia cont!-t in ,hich h!
sho+# (atch his 'ri!n#s in th!ir #rin*ing. :h! AA says, 9E!a"!n
*no,s, ,! ha"! tri!# har# !no+gh an# ong !no+gh to #rin* i*!
oth!r p!op!O9
As things g!t ,ors!, th! acohoic is i*!y to b!co(! a soitary
#rin*!r an# to !-hibit th! ,ho! sp!ctr+( o' r!spons! to cha!ng!.
Eis ,i'! an# 'ri!n#s b!gin to s+gg!st that his #rin*ing is a
'ea3ness, an# h! (ay r!spon#, ,ith sy((!try, both by r!s!nting
th!( an# by ass!rting his str!ngth to r!sist th! bott!. 0+t, as is
charact!ristic o' sy((!trica r!spons!s, a bri!' p!rio# o' s+cc!ss'+
str+gg! ,!a*!ns his (oti"ation an# h! 'as o'' th! ,agon. &y(C
(!trica !''ort r!.+ir!s contin+a opposition 'ro( th! oppon!nt.
1ra#+ay th! 'oc+s o' th! batt! chang!s, an# th! acohoic 'in#s
hi(s!' co((itt!# to a n!, an# (or! #!a#y typ! o' sy((!trica
con'ict. E! (+st no, pro"! that th! bott! cannot *i hi(. Eis
9h!a# is boo#y b+t +nbo,!#.
9
E! is sti th! 9captain o' his so+9;
'or ,hat itIs ,orth.
A!an,hi!, his r!ationships ,ith ,i'! an# boss an# 'ri!n#s ha"!
b!!n #!t!riorating. E! n!"!r #i# i*! th! co(p!(!ntary stat+s o'
his boss as an a+thorityL an# no, as h! #!t!riorat!s his ,i'! is (or!
an# (or! 'orc!# to ta*! a co(p!(!ntary ro!. &h! (ay try to !-!rt
a+thority, or sh! b!co(!s prot!cti"!, or sh! sho,s 'orb!aranc!, b+t
a thos! pro"o*! !ith!r rag! or sha(!. Eis sy((!trica 9pri#!9 can
to!rat! no co(p!(!ntary ro!.
In s+(, th! r!ationship b!t,!!n th! acohoic an# his r!a or
'ictitio+s 9oth!r9 is c!ary sy((!trica an# c!ary schis(og!nic. It
!scaat!s. 8! sha s!! that th! r!igio+s con"!rsion o' th! acohoic
,h!n sa"!# by AA can b! #!Cscrib!# as a #ra(atic shi't 'ro( this
sy((!trica habit, or !pist!(oogy, to an a(ost p+r!y
co(p!(!ntary "i!, o' his r!ationship to oth!rs an# to th! +ni"!rs!
or 1o#.
332
%ride or (n"erted %roof/
Acohoics (ay app!ar to b! sti''Cn!c*!#, b+t th!y ar! not st+pi#.
:h! part o' th! (in# in ,hich th!ir poicy is #!ci#!# c!rtainy i!s
too #!!p 'or th! ,or# 9st+pi#ity9 to b! appicab!. :h!s! !"!s o'
th! (in# ar! pr!ing+istic an# th! co(p+tation ,hich go!s on th!r!
is co#!# in primary process.
0oth in #r!a( an# in (a((aian int!raction, th! ony ,ay to
achi!"! a proposition ,hich contains its o,n n!gation 29I ,i not
bit! yo+,
9
or 9I a( not a'rai# o' hi(93 is by an !aborat! i(agining
or acting o+t o' th! proposition to b! n!gat!#, !a#ing to a reductio
ad a-surdum. 9I ,i not bit! yo+9 is achi!"!# b!t,!!n t,o
(a((as by an !-p!ri(!nta co(bat ,hich is a 9not co(bat,
9
so(!ti(!s ca!# 9pay.9 It is 'or this r!ason that 9agonistic
9
b!ha"ior co((ony !"o"!s into 'ri!n#y gr!!ting.
76
In this s!ns!, th! soCca!# pri#! o' th! acohoic is in so(!
#!gr!! ironic. It is a #!t!r(in!# !''ort to t!st so(!Cthing i*! 9s!'C
contro9 ,ith an +t!rior b+t +nstat!ab! p+rpos! o' pro"ing that
9s!'Ccontro9 is in!''!ct+a an# abs+r#. 9It si(py ,onIt ,or*.9 :his
+ti(at! proposition, sinc! it contains a si(p! n!gation, is not to b!
!-pr!ss!# in pri(ary proc!ss. Its 'ina !-pr!ssion is in an action;
th! ta*ing o' a #rin*. :h! h!roic batt! ,ith th! bott!, that 'ictitio+s
9oth!r,9 !n#s +p in a 9*iss an# (a*! 'ri!n#s.
9
In 'a"or o' this hypoth!sis, th!r! is th! +n#o+bt!# 'act that th!
t!sting o' s!'Ccontro !a#s bac* into #rin*ing. An#, as I ha"!
arg+!# abo"!, th! ,ho! !pist!(oogy o' s!'Ccontro ,hich his
'ri!n#s +rg! +pon th! acohoic is (onstro+s. I' this b! so, th!n th!
acohoic is right in r!J!cting it. E! has achi!"!# a reductio ad
a-surdum o' th! con"!ntiona !pist!(oogy.
0+t this #!scription o' achi!"ing a reductio ad a-surdum "!rg!s
+pon t!!oogy. I' th! proposition 9It ,onIt ,or*9 canCnot b!
!nt!rtain!# ,ithin th! co#ing o' pri(ary proc!ss, ho, th!n can th!
co(p+tations o' pri(ary proc!ss #ir!ct th! organis( to try o+t
76
1. 0at!son, 9A!taog+!6 8hat Is an InstinctD,9 Aproac*es to Animal
"ommunication, :. &!b!o*, Eag+!, Ao+ton, 1969.
333
thos! co+rs!s o' action ,hich ,i #!(onstrat! that
9
It ,on
I
t
,or*
9
D
$rob!(s o' this g!n!ra typ! ar! 'r!.+!nt in psychiatry an# can
p!rhaps ony b! r!so"!# by a (o#! in ,hich, +n#!r c!rtain
circ+(stanc!s, th! organis(Is #isco('ort acti"at!s a positi"!
'!!#bac* oop to increase th! b!ha"ior ,hich pr!c!#!# th!
#isco('ort. &+ch positi"! '!!#bac* ,o+# pro"i#! a "!ri'ication that
it ,as r!ay that partic+ar b!ha"ior ,hich bro+ght abo+t th!
#isco('ort, an# (ight inCcr!as! th! #isco('ort to so(! thr!sho#
!"! at ,hich chang! ,o+# b!co(! possib!.
In psychoth!rapy s+ch a positi"! '!!#bac* oop is co((ony
pro"i#!# by th! th!rapist ,ho p+sh!s th! pati!nt in th! #ir!ction o'
his sy(pto(s;a t!chni.+! ,hich has b!!n ca!# th! 9th!rap!+tic
#o+b! bin#.9 An !-a(p! o' this t!chni.+! is .+ot!# at!r in this
!ssay, ,h!r! th! AA (!(b!r cha!ng!s th! acohoic to go an# #o
so(! 9contro!# #rin*ing9 in or#!r that h! (ay #isco"!r 'or hi(s!'
that h! has no contro.
It is aso +s+a that th! sy(pto(s an# ha+cinations o' th!
schi/ophr!nic;i*! #r!a(s;constit+t! a corr!cti"! !-p!ri!nc!, so
that th! ,ho! schi/ophr!nic !piso#! ta*!s on th! charact!r o' a s!'C
initiation. 0arbara 5I0ri!nIs acco+nt o' h!r o,n psychosis
77
is
p!rhaps th! (ost stri*ing !-a(p! o' this ph!no(!non, ,hich has
b!!n #isc+ss!# !s!,h!r!.
78
It ,i b! not!# that th! possib! !-ist!nc! o' s+ch a positi"!
'!!#bac* oop, ,hich ,i ca+s! a r+na,ay in th! #ir!ction o'
incr!asing #isco('ort +p to so(! thr!sho# 2,hich (ight b! on th!
oth!r si#! o' #!ath3, is not inc+#!# in con"!ntiona th!ori!s o'
!arning. 0+t a t!n#!ncy to "!ri'y th! +np!asant by s!!*ing
r!p!at!# !-p!ri!nc! o' it is a co((on h+(an trait. It is p!rhaps
,hat 7r!+# ca!# th! 9#!ath instinct.9
77
0. 5I0ri!n, 5p!rators an# :hings6 :h! Inn!r @i'! o' a &chi/ophr!nic,
Ca(bri#g!, Aass., Arington 0oo*s, 1958.
78
1. 0at!son, !#., 6erce&alDs ;arrati&e, &tan'or#, Cai'., &tan'or# %ni"!rsity
$r!ss, 1961, Intro#+ction
334
The Dr!n0en State
8hat has b!!n sai# abo"! abo+t th! tr!a#(i o' sy((!trica
pri#! is ony on! ha' o' th! pict+r!. It is th! pict+r! o' th! stat! o'
(in# o' th! acohoic -attling ,ith th! bott!. C!ary this stat! is
"!ry +np!asant an# c!ary it is aso +nr!aistic. Eis 9oth!rs9 ar!
!ith!r totay i(aginary or ar! gross #istortions o' p!rsons on ,ho(
h! is #!p!n#!nt an# ,ho( h! (ay o"!. E! has an at!rnati"! to this
+nco('ortab! stat!;h! can g!t #r+n*. 5r, 9at least,9 ha"! a #rin*.
8ith this co(p!(!ntary s+rr!n#!r, ,hich th! acohoic ,i
o't!n s!! as an act o' spit!;a 0arthian #art in a sy((!trica
str+gg!;his !ntir! !pist!(oogy chang!s. Eis an-i!ti!s an#
r!s!nt(!nts an# panic "anish as i' by (agic. Eis s!'Ccontro is
!ss!n!#, b+t his n!!# to co(par! hi(s!' ,ith oth!rs is r!#+c!#
!"!n '+rth!r. E! '!!s th! physioogica ,ar(th o' acoho in his
"!ins an#, in (any cas!s, a corr!spon#ing psychoogica ,ar(th
to,ar# oth!rs. E! (ay b! !ith!r (a+#in or angry, b+t h! has at !ast
b!co(! again a part o' th! h+(an sc!n!.
?ir!ct #ata b!aring +pon th! th!sis that th! st!p 'ro( sobri!ty
into into-ication is aso a st!p 'ro( sy((!trica cha!ng! into
co(p!(!ntarity ar! scarc!, an# a,ays con'+s!# both by th!
#istortions o' r!ca an# by th! co(p!- to-icity o' th! acoho. 0+t
th!r! is strong !"i#!nc! 'ro( song an# story to in#icat! that th! st!p
is o' this *in#. In rit+a, parta*ing o' ,in! has a,ays stoo# 'or th!
socia aggr!gation o' p!rsons +nit!# in r!igio+s 9co((+nion9 or
s!c+ar (emPtlic*3eit. In a "!ry it!ra s!ns!, acoho s+ppos!#y
(a*!s th! in#i"i#+a s!! hi(s!' as an# act as a part of th! gro+p.
:hat is, it !nab!s co(p!(!ntarity in th! r!ationships ,hich
s+rro+n# hi(.
335
,ittin& Botto#
AA attach!s gr!at i(portanc! to this ph!no(!non an# r!gar#s
th! acohoic ,ho has not hit botto( as a poor prosp!ct 'or th!ir
h!p. Con"!rs!y, th!y ar! incin!# to !-pain th!ir 'ai+r! by saying
that th! in#i"i#+a ,ho go!s bac* to his acohois( has not yet 9hit
botto(.9
C!rtainy (any sorts o' #isast!r (ay ca+s! an acohoic to hit
botto(. Gario+s sorts o' acci#!nts, an attac* o' #!iri+( tr!(!ns, a
patch o' #r+n*!n ti(! o' ,hich h! has no (!(ory, r!J!ction by
,i'!, oss o' Job, hop!!ss #iagnosis, an# so on;any o' th!s! (ay
ha"! th! r!.+ir!# !''!ct. AA says that 9botto(9 is #i''!r!nt 'or
#i''!r!nt (!n an# so(! (ay b! #!a# b!'or! th!y r!ach it.
79
It is possib!, ho,!"!r, that 9botto(9 is r!ach!# (any ti(!s by
any gi"!n in#i"i#+aL that 9botto(9 is a sp! o' panic ,hich
pro"i#!s a 'a"orab! (o(!nt 'or chang!, b+t not a (o(!nt at ,hich
chang! is in!"itab!. 7ri!n#s an# r!ati"!s an# !"!n th!rapists (ay
p+ th! acohoic o+t o' his panic, !ith!r ,ith #r+gs or r!ass+ranc!,
so that h! 9r!Cco"!rs9 an# go!s bac* to his 9pri#!9 an# acohois(;
ony to hit a (or! #isastro+s 9botto(9 at so(! at!r ti(!, ,h!n h!
,i again b! rip! 'or a chang!. :h! att!(pt to chang! th! acohoic
in a p!rio# -et'een s+ch (o(!nts o' panic is +ni*!y to s+cc!!#.
:h! nat+r! o' th! panic is (a#! c!ar by th! 'oo,ing
#!scription o' a 9t!st.9
8! #o not i*! to prono+nc! any in#i"i#+a as acohoic, b+t yo+
can .+ic*y #iagnos! yo+rs!'. &t!p o"!r to th! n!ar!st barroo( an#
try so(! contro!# #rin*ing. :ry to #rin* an# stop abr+pty. :ry it
(or! than onc!. It ,i not ta*! ong 'or yo+ to #!ci#!, i' yo+ ar!
hon!st ,ith yo+rs!' abo+t it. It (ay b! ,orth a ba# cas! o' Jitt!rs i'
yo+ g!t a '+ *no,!#g! o' yo+r con#ition.
80
8! (ight co(par! th! t!st .+ot!# abo"! to co((an#ing a #ri"!r
to bra*! s+##!ny ,h!n tra"!ing on a sipp!ry roa#6 h! ,i
#isco"!r 'ast that his contro is i(it!#. 2:h! (!taphor 9s*i# ro,9
'or th! acohoic s!ction o' to,n is not inappropriat!.3
79
$!rsona co((+nication 'ro( a (!(b!r.
336
:h! panic o' th! acohoic ,ho has hit botto( is th! panic o' th!
(an ,ho tho+ght h! ha# contro o"!r a "!hic! b+t s+##!ny 'in#s
that th! "!hic! can r+n a,ay ,ith hi(. &+##!ny, pr!ss+r! on ,hat
h! *no,s is th! bra*! s!!(s to (a*! th! "!hic! go 'ast!r. It is th!
panic o' #isco"!ring that it 2th! syst!(, s!' plus "!hic!3 is bigg!r
than h! is.
In t!r(s o' th! th!ory h!r! pr!s!nt!#, ,! (ay say that hitting
botto( !-!(pi'i!s syst!(s th!ory at thr!! !"!s6
213:h! acohoic ,or*s on th! #isco('orts o' sobri!ty to a
thr!sho# point at ,hich h! has ban*r+pt!# th! !pist!(oogy o'
9
s!'Ccontro.9 E! th!n g!ts #r+n*;b!ca+s! th! 9syst!(9 is bigg!r
than h! is;an# h! (ay as ,! s+rr!n#!r to it.
223E! ,or*s r!p!at!#y at g!tting #r+n* +nti h! pro"!s that
th!r! is a sti arg!r syst!(. E! th!n !nco+nt!rs th! panic o'
9hitting botto(.9
233I' 'ri!n#s an# th!rapists r!ass+r! hi(, h! (ay achi!"! a
'+rth!r +nstab! a#J+st(!nt;b!co(ing a##ict!# to th!ir h!p;
+nti h! #!(onstrat!s that this syst!( ,onIt ,or*, an# 9hits
botto(9 again b+t at a o,!r !"!. In this, as in a cyb!rn!tic
syst!(s, th! sign 2p+s or (in+s3 o' th! !''!ct o' any intr+sion
+pon th! syst!( #!p!n#s +pon ti(ing.
243@asty, th! ph!no(!non o' hitting botto( is co(p!-y
r!at!# to th! !-p!ri!nc! o' #o+b! bin#.
81
0i 8. narrat!s that h!
hit botto( ,h!n #iagnos!# as a hop!!ss acohoic by ?r. 8iia(
?. &i*,orth in 1939, an# this !"!nt is r!gar#!# as th! b!ginning
o' AA history.
82
?r. &i*,orth aso 9s+ppi!# +s ,ith th! toos ,ith
,hich to p+nct+r! th! to+gh!st acohoic !go, thos! shatt!ring
phras!s by ,hich h! #!scrib!# o+r in!ss6 t*e o-session of t*e mind
that co(p!s +s to #rin* an# t*e allergy of t*e -ody that con#!(ns +s
to go (a# or #i!.9
83
:his is a #o+b! bin# corr!cty 'o+n#!# +pon
th! acohoicIs #ichoto(o+s !pist!(oogy o' (in# "!rs+s bo#y. E!
is 'orc!# by th!s! ,or#s bac* an# bac* to th! point at ,hich ony
80
Acohoics Anony(o+s, op. cit., p. 43.
81
0at!son, et al., 9:o,ar# a :h!ory o' &chi/ophr!nia,9 <e*a&ioral Science,
1956, 16 251C64.
82
A A "omes of Age, op. cit., p. &ii
83
I-id., p. 13. 2Itaics in th! origina3
337
an in"o+ntary chang! in #!!p +nconscio+s !pist!(oogy;a
spirit+a !-p!ri!nc!;,i (a*! th! !tha #!scription irr!!"ant.
The Theolo&y of Alcoholics Anony#o!s
&o(! o+tstan#ing points o' th! th!oogy o' AA ar!6
213 !*ere is a 6o'er greater t*an t*e self. Cyb!rn!tics ,o+# go
so(!,hat '+rth!r an# r!cogni/! that th! 9s!'9 as or#inariy
+n#!rstoo# is ony a s(a part o' a (+ch arg!r triaCan#C!rror
syst!( ,hich #o!s th! thin*ing, acting, an# #!ci#ing. :his syst!(
inc+#!s a th! in'or(ationa pathC,ays ,hich ar! r!!"ant at any
gi"!n (o(!nt to any gi"!n #!cision. :h! 9s!'9 is a 'as! r!i'ication
o' an i(prop!ry #!Ci(it!# part o' this (+ch arg!r 'i!# o'
int!roc*ing proc!ss!s. Cyb!rn!tics aso r!cogni/!s that t,o or (or!
p!rsons ;any gro+p o' p!rsons;(ay tog!th!r 'or( s+ch a
thin*ingan#Cacting syst!(.
223 :his $o,!r is '!t to b! p!rsona an# to b! inti(at!y in*!#
,ith !ach p!rson. It is 91o# as yo+ +n#!rstan# hi( to b!.9
Cyb!rn!ticay sp!a*ing, 9(y9 r!ation to any arg!r syst!(
aro+n# (! an# inc+#ing oth!r things an# p!rsons ,i b! #i''!r!nt
'ro( 9yo+r9 r!ation to so(! si(iar syst!( aro+n# yo+. :h!
r!ation 9part o'9 (+st n!c!ssariy an# ogicay aC,ays b!
co(p!(!ntary b+t th! (!aning o' th! phras! 9part o'9 ,i b!
#i''!r!nt 'or !"!ry p!rson.
84
:his #i''!r!nc! ,i b! !sp!ciay
i(portant in syst!(s containing (or! than on! p!rson. :h! syst!(
or 9po,!r9 (+st n!c!ssariy app!ar #i''!r!nt 'ro( ,h!r! !ach
p!rson sits. Aor!o"!r, it is !-p!ctCab! that s+ch syst!(s, ,h!n th!y
!nco+nt!r !ach oth!r, ,i r!cogni/! !ach oth!r as syst!(s in this
s!ns!. :h! 9b!a+ty9 o' th! ,oo#s thro+gh ,hich I ,a* is (y
r!cognition both o' th! in#i"i#+a tr!!s an# o' th! tota !coogy o'
th! ,oo#s as syst!(s. A si(iar !sth!tic r!cognition is sti (or!
stri*ing ,h!n I ta* ,ith anoth!r p!rson.
84
:his #i"!rsity in sty!s o' int!gration co+# acco+nt 'or th! 'act that so(!
p!rsons b!co(! acohoic ,hi! oth!rs #o not.
338
233 A 'a"orab! r!ationship ,ith this $o,!r is #isco"!r!#
thro+gh 9hitting botto(9 an# 9s+rr!n#!r.9
243 0y r!sisting this $o,!r, (!n an# !sp!ciay acohoics bring
#isast!r +pon th!(s!"!s. :h! (at!riaistic phiosophy ,hich s!!s
9(an9 as pitt!# against his !n"iron(!nt is rapi#y br!a*ing #o,n as
t!chnoogica (an b!co(!s (or! an# (or! ab! to oppos! th!
arg!st syst!(s. ="!ry batt! that h! ,ins brings a thr!at o' #isast!r.
:h! +nit o' s+r"i"a;!ith!r in !thics or in !"o+tion;is not th!
organis( or th! sp!ci!s b+t th! arg!st syst!( or 9po,!r9 ,ithin
,hich th! cr!at+r! i"!s. I' th! cr!at+r! #!stroys its !n"iron(!nt, it
#!stroys itCs!'.
253 0+t
;
an# this is i(portant;th! $o,!r #o!s not r!C,ar# an#
p+nish. It #o!s not ha"! 9po,!r9 in that s!ns!. In th! bibica phras!,
9A things ,or* tog!th!r 'or goo# to th!( that o"! 1o#.9 An#,
con"!rs!y, to th!( that #o not. :h! i#!a o' po,!r in th! s!ns! o'
+niat!ra contro is 'or!ign to AA. :h!ir organi/ation is stricty
9#!(ocratic9 2th!ir ,or#3, an# !"!n th!ir #!ity is sti bo+n# by
,hat ,! (ight ca a syst!(ic #!t!r(inis(. :h! sa(! i(itation
appi!s both to th! r!ationship b!t,!!n th! AA sponsor an# th!
#r+n* ,ho( h! hop!s to h!p an# to th! r!ationship b!t,!!n AA
c!ntra o''ic! an# !"!ry oca gro+p.
263 :h! 'irst t,o 9st!ps9 o' Acohoics Anony(o+s ta*!n tog!th!r
i#!nti'y th! a##iction as a (ani'!station o' this $o,!r.
273 :h! h!athy r!ation b!t,!!n !ach p!rson an# this $o,!r is
co(p!(!ntary. It is in pr!cis! contrast to th! 9pri#!9 o' th!
acohoic, ,hich is pr!#icat!# +pon a sy((!trica r!ationship to an
i(agin!# 9oth!r.9 :h! schis(og!n!sis is a,ays (or! po,!r'+ than
th! participants in it.
283 :h! .+aity an# cont!nt o' !ach p!rsonIs r!ation to th! $o,!r
is in#icat!# or r!'!ct!# in th! socia str+ct+r! o' AA. :h! s!c+ar
asp!ct o' this syst!(;its go"!rnanc!;is #!in!at!# in 9:,!"!
:ra#itions9
85
,hich s+pp!(!nt th! 9:,!"! &t!ps,9 th! att!r
#!"!oping (anIs r!ationship to th! $o,!r. :h! t,o #oc+(!nts
o"!rap in th! :,!'th &t!p, ,hich !nJoins ai# to oth!r acohoics as
a n!c!ssary spirit+a !-!rcis! ,itho+t ,hich th! (!(b!r is i*!y to
r!aps!. :h! tota syst!( is a ?+r*h!i(ian r!igion in th! s!ns! that
85
AA Co(!s o' Ag!, op. cit. 24 Ibi#., p. 288. 25 Ibi#., pp. 286C94.
339
th! r!ationship b!t,!!n (an an# his co((+nity para!s th!
r!ationship b!t,!!n (an an# 1o#. 9AA is a po,!r gr!at!r than any
o' +s.
986
In s+(, th! r!ationship o' !ach in#i"i#+a to th! 9$o,!r9 is b!st
#!'in!# in th! ,or#s is part of.9
293 Anony(ity. It (+st b! +n#!rstoo# that anony(ity (!ans
(+ch (or! in AA thin*ing an# th!oogy than th! (!r! prot!ction o'
(!(b!rs 'ro( !-pos+r! an# sha(!. 8ith incr!asing 'a(! an#
s+cc!ss o' th! organi/ation as a ,ho!, it has b!co(! a t!(ptation
'or (!(b!rs to +s! th! 'act o' th!ir (!(b!rship as a positi"! ass!t
in p+bic r!ations, poitics, !#+cation, an# (any oth!r 'i!#s. 0i
8., th! coC'o+n#!r o' th! organi/ation, ,as hi(s!' ca+ght by this
t!(ptation in !ary #ays an# has #isc+ss!# th! (att!r in a p+bish!#
artic!.
87
E! s!!s 'irst that any grabbing o' th! spotight (+st b! a
p!rsona an# spirit+a #ang!r to th! (!(b!r, ,ho cannot a''ort s+ch
s!'Cs!!*ingL an# b!yon# this that it ,o+# b! 'ata 'or th!
organi/ation as a ,ho! to b!co(! in"o"!# in poitics, r!igio+s
contro"!rsy, an# socia r!'or(. E! stat!s c!ary that th! !rrors o'
th! acohoic ar! th! sa(! as th! 9'orc!s ,hich ar! to#ay ripping th!
,or# apart at its s!a(s,9 b+t that it is not th! b+sin!ss o' AA to sa"!
th! ,or#. :h!ir sing! p+rpos! is 9to carry th! AA (!ssag! to th!
sic* acohoic ,ho ,ants it.9
88
E! conc+#!s that anony(ity is 9th!
gr!at!st sy(bo o' s!'Csacri'ic! that ,! *no,.9 =s!,h!r! th!
t,!'th o' th! 9:,!"! :ra#itions9 stat!s that 9anony(ity is th!
spirit+a 'o+n#ation o' o+r tra#itions, !"!r r!(in#ing +s to pac!
princip!s b!'or! p!rsonaiti!s.9
:o this ,! (ay a## that anony(ity is aso a pro'o+n# stat!(!nt
o' th! syst!(ic r!ation, partCtoC,ho!. &o(! syst!(s th!orists
,o+# go !"!n '+rth!r, b!ca+s! a (aJor t!(ptation 'or syst!(s
th!ory i!s in th! r!i'ication o' th!or!tica conc!pts. Anato Eot says
h! ,ants a b+(p!r stic*!r ,hich ,o+# 2para#o-icay3 say, 9&ta(p
o+t no+ns.9
89
86
I-id, p. 288.
87
I-id, pp.286C294
88
Ibi#.
89
A. C. 0at!son, !#., @ur @'n ,etap*or, 8!nn!rC1r!n 7o+n#ation,
Con'!r!nc! on th! =''!cts o' Conscio+s $+rpos! on E+(an A#aptation, 1968L )!,
For*, <nop', in pr!ss.
340
2103 $ray!r. :h! AA +s! o' pray!r si(iary a''ir(s th!
co(p!(!ntarity o' partC,ho! r!ationship by th! "!ry si(p!
t!chni.+! o' as*ing 'or that r!ationship. :h!y as* 'or thos!C
p!rsona charact!ristics, s+ch as h+(iity, ,hich ar! in 'actC
!-!rcis!# in th! "!ry act o' pray!r. I' th! act o' pray!r b! sinc!r!
2,hich is not so !asy3, 1o# cannot b+t grant th! r!.+!st. An# this is
p!c+iary tr+! o' 91o#, as you understand *im.9 :his s!'Ca''ir(ing
ta+toogy, ,hich contains its o,n b!a+ty, is pr!cis!y th! ba(
r!.+ir!# a't!r th! ang+ish o' th! #o+b! bin#s ,hich ,!nt ,ith
hitting botto(.
&o(!,hat (or! co(p!- is th! 'a(o+s 9&!r!nity $ray!r96 91o#
grant +s th! s!r!nity to acc!pt th! things ,! cannot chang!, co+rag!
to chang! th! things ,! can, an# ,is#o( to *no, th! #i''!r!nc!.
""#
I' #o+b! bin#s ca+s! ang+ish an# #!spair an# #!stroy p!rsona
!pist!(oogica pr!(is!s at so(! #!!p !"!, th!n it 'oo,s,
con"!rs!y, that 'or th! h!aing o' th!s! ,o+n#s an# th! gro,th o' a
n!, !pist!(oogy, so(! con"!rs! o' th! #o+b! bin# ,i b!
appropriat!. :h! #o+b! bin# !a#s :h! &!r!nity $ray!r !-picity
'r!!s th! ,orshipp!r 'ro( th!s! (a##!ning bon#s.
to th! conc+sion o' #!spair, 9:h!r! ar! no at!rnati"!s.9
In this conn!ction it is ,orth (!ntioning that th! gr!at
schi/ophr!nic, John $!rc!"a, obs!r"!# a chang! in his
9
"oic!s.
9
In
th! b!ginning o' his psychosis th!y b+i!# hi( ,ith 9contra#ictory
co((an#s9 2or as I ,o+# say, #o+b! bin#s3, b+t at!r h! b!gan to
r!co"!r ,h!n th!y o''!r!# hi( choic! o' c!ary #!'in!#
at!rnati"!s.
91
2113 In on! charact!ristic, AA #i''!rs pro'o+n#y 'ro( s+ch
nat+ra (!nta syst!(s as th! 'a(iy or th! r!#,oo# 'or!st. It has a
single p+rpos!;9to carry th! AA (!ssag! to th! sic* acohoic ,ho
,ants it9;an# th! organi/ation is #!#icat!# to th! (a-i(i/ation o'
that p+rpos!. In this r!sp!ct, AA is no (or! sophisticat!# than
1!n!ra Aotors or an 5cci#!nta nation. 0+t bioogica syst!(s,
oth!r than thos! pr!(is!# +pon 5cci#!nta i#!as 2an# !sp!ciay
money4, ar! (+tip+rpos!#. :h!r! is no sing! "ariab! in th! r!#C
90
:his ,as not originay an AA #oc+(!nt an# its a+thorship is +n*no,n. &(a
"ariations in th! t!-t occ+r. I ha"! .+ot!# th! 'or( ,hich I p!rsonay pr!'!r 'ro( AA
"omes of Age, op. cit., p. 196.
91
0at!son, $!rc!"a . . . , op. cit.
341
,oo# 'or!st o' ,hich ,! can say that th! ,ho! syst!( is ori!nt!#
to (a-i(i/ing that "ariab! an# a oth!r "ariab!s ar! s+bsi#iary to
itL an#, in#!!#, th! r!#,oo# 'or!st ,or*s to,ar# opti(a, not
(a-i(a. Its n!!#s ar! satiab!, an# too (+ch o' anything is to-ic.
:h!r! is, ho,!"!r, this6 that th! sing! p+rpos! o' AA is #ir!ct!#
o+t,ar# an# is ai(!# at a nonco(p!tit"! r!ationship to th! arg!r
,or#. :h! "ariab! to b! (a-i(i/!# is a co(p!(!ntarity an# is o'
th! nat+r! o' 9s!r"ic!9 rath!r than #o(inanc!.
The Episte#olo&ical Stat!s of Co#ple#entary and
Sy##etrical %re#ises
It ,as not!# abo"! that in h+(an int!raction, sy((!try an#
co(p!(!ntarity (ay b! co(p!-y co(bin!#. It is th!r!'or!
r!asonab! to as* ho, it is possib! to r!gar# th!s! th!(!s as so
'+n#a(!nta that th!y sha b! ca!# 9!pist!(oogica,
9
!"!n in a
nat+ra history st+#y o' c+t+ra an# int!rp!rsona pr!(is!s.
:h! ans,!r s!!(s to hang +pon ,hat is (!ant by 9'+n#a(!nta9
in s+ch a st+#y o' (anIs nat+ra historyL an# th! ,or# s!!(s to carry
t,o sorts o' (!aning.
7irst, I ca more fundamental thos! pr!(is!s ,hich ar! th! (or!
#!!py !(b!##!# in th! (in#, ,hich ar! th! (or! 9har#
progra((!#9 an# th! !ss s+sc!ptib! to chang!. In this s!ns!, th!
sy((!trica pri#! or h+bris o' th! acohoic is '+n#a(!nta.
&!con#, I sha ca (or! '+n#a(!nta thos! pr!(is!s o' (in#
,hich r!'!r to th! arg!r rath!r than th! s(a!r syst!(s or g!stat!n
o' th! +ni"!rs!. :h! proposition 91rass is gr!!n9 is !ss '+n#a(!nta
than th! proposition 9Coor #i''!r!nc!s (a*! a #i''!r!nc!.9
0+t, i' ,! as* abo+t ,hat happ!ns ,h!n pr!(is!s ar! chang!#, it
b!co(!s c!ar that th!s! t,o #!'initions o' th! 9'+n#a(!nta9
o"!rap to a "!ry gr!at !-t!nt. I' a (an achi!"!s or s+''!rs chang! in
pr!(is!s ,hich ar! #!!py !(b!##!# in his (in#, h! ,i s+r!y 'in#
that th! r!s+ts o' that chang! ,i ra(i'y thro+gho+t his ,ho!
+ni"!rs!. &+ch chang!s ,! (ay ,! ca 9!pist!(oogica.
9
:h! .+!stion th!n r!(ains r!gar#ing ,hat is !pist!(oogicay
9right9 an# ,hat is !pist!(oogicay 9,rong.
9
Is th! chang! 'ro(
acohoic sy((!trica 9pri#!9 to th! AA sp!ci!s o' co(p!(!ntarity
342
a corr!ction o' his !pist!(oogyD An# is co(p!(!ntarity al'ays
so(!ho, b!tt!r than sy((!tryD
7or th! AA (!(b!r, it (ay ,! b! tr+! that co(p!(!ntarity is
a,ays to b! pr!'!rr!# to sy((!try an# that !"!n th! tri"ia ri"ary
o' a ga(! o' t!nnis or ch!ss (ay b! #ang!ro+s. :h! s+p!r'icia
!piso#! (ay to+ch o'' th! #!!py !(b!##!# sy((!trica pr!(is!.
0+t this #o!s not (!an that t!nnis an# ch!ss propos!
!pist!(oogica !rror 'or !"!rybo#y.
:h! !thica an# phiosophic prob!( r!ay conc!rns ony th!
,i#!st +ni"!rs! an# th! #!!p!st psychoogica !"!s. I' ,! #!!py
an# !"!n +nconscio+sy b!i!"! that o+r r!ation to th! arg!st
syst!( ,hich conc!rns +s;th! 9$o,!r gr!at!r than s!'9;is
sy((!trica an# !(+ati"!, th!n ,! ar! in !rror.
*i#itations of the ,ypothesis
7inay, th! abo"! anaysis is s+bJ!ct to th! 'oo,ing i(itations
an# i(pications6
213It is not ass!rt!# that a acohoics op!rat! accor#ing to th!
ogic ,hich is h!r! o+tin!#. It is "!ry possib! that oth!r typ!s o'
acohoics !-ist an# a(ost c!rtain that acohoic a##iction in oth!r
c+t+r!s ,i 'oo, oth!r in!s.
223It is not ass!rt!# that th! ,ay o' Acohoics Anony(o+s is th!
only ,ay to i"! corr!cty or that th!ir th!oogy is th! ony corr!ct
#!ri"ation 'ro( th! !pist!(oogy o' cyb!rn!tics an# syst!(s
th!ory.
233It is not ass!rt!# that a transactions b!t,!!n h+(an b!ings
o+ght to b! co(p!(!ntary, tho+gh it is c!ar that th! r!ation
b!t,!!n th! in#i"i#+a an# th! arg!r syst!( o' ,hich h! is a part
(+st n!c!ssariy b! so. 4!ations b!t,!!n p!rsons ,i 2I hop!3
a,ays b! co(p!-.
243It is, ho,!"!r, ass!rt!# that th! nonacohoic ,or# has (any
!ssons ,hich it (ight !arn 'ro( th! !pist!(oogy o' syst!(s
th!ory an# 'ro( th! ,ays o' AA. I' ,! contin+! to op!rat! in t!r(s
o' a Cart!sian #+ais( o' (in# "!rs+s (att!r, ,! sha probaby
aso contin+! to s!! th! ,or# in t!r(s o' 1o# "!rs+s (anL !it!
343
"!rs+s p!op!L chos!n rac! "!rs+s oth!rsL nation "!rs+s nationL an#
(an "!rs+s !n"iron(!nt. It is #o+bt'+ ,h!th!r a sp!ci!s ha"ing
-ot* an a#"anc!# t!chnoogy and this strang! ,ay o' oo*ing at its
,or# can !n#+r!.
344
Co((ent on Pa&t III
In th! !ssays co!ct!# in $art III, I sp!a* o' an action or
+tt!ranc! as occ+rring 9in9 a cont!-t, an# this con"!ntiona ,ay o'
ta*ing s+gg!sts that th! partic+ar action is a 9#!p!n#!nt9 "ariab!,
,hi! th! cont!-t is th! 9in#!p!n#!nt9 or #!t!r(ining "ariab!. 0+t
this "i!, o' ho, an action is r!at!# to its cont!-t is i*!y to #istract
th! r!a#!r;as it has #istract!# (!
;
'ro( p!rc!i"ing th! !coogy o'
th! i#!as ,hich tog!th!r constit+t! th! s(a s+bsyst!( ,hich I ca
9
cont!-t.
9
:his h!+ristic !rror;copi!# i*! so (any oth!rs 'ro( th! ,ays
o' tho+ght o' th! physicist an# ch!(ist;r!.+ir!s corr!ction.
It is i(portant to s!! th! partic+ar +tt!ranc! or action as part o'
th! !coogica s+bsyst!( ca!# cont!-t an# not as th! pro#+ct or
!''!ct o' ,hat r!(ains o' th! cont!-t a't!r th! pi!c! ,hich ,! ,ant
to !-pain has b!!n c+t o+t 'ro( it.
:h! (ista*! in .+!stion is th! sa(! 'or(a !rror as that
(!ntion!# in th! co((!nt on $art II ,h!r! I #isc+ss th! !"o+tion
o' th! hors!. 8! sho+# not thin* o' this proc!ss J+st as a s!t o'
chang!s in th! ani(aIs a#aptation to i'! on th! grassy pains b+t .as
a constancy in t*e relations*ip b!t,!!n ani(as an#
!n"iron(!nt. It is th! !coogy ,hich s+r"i"!s an# so,y !"o"!s. In
this !"o+tion, th! r!ata;th! ani(as an# th! grass;+n#!rgo
chang!s ,hich ar! in#!!# a#apti"! 'ro( (o(!nt to (o(!nt. 0+t i'
th! proc!ss o' a#aptation ,!r! th! ,ho! story, th!r! co+# b! no
syst!(ic pathoogy. :ro+b! aris!s pr!cis!y b!ca+s! th! 9ogic9 o'
a#aptation is a #i''!r!nt 9ogic9 'ro( that o' th! s+r"i"a an#
!"o+tion o' th! !coogica syst!(.
In 8arr!n 0ro#!yIs phras!, th! 9ti(!Cgrain9 o' th! a#aptation is
#i''!r!nt 'ro( that o' th! !coogy.
9&+r"i"a9 (!ans that c!rtain #!scripti"! stat!(!nts abo+t so(!
i"ing syst!( contin+! to b! tr+! thro+gh so(! p!rio# o' ti(!L an#,
con"!rs!y, 9!"o+tion9 r!'!rs to chang!s in th! tr+th o' c!rtain
#!scripti"! stat!(!nts abo+t so(! i"ing syst!(. :h! tric* is to
#!'in! ,hich stat!(!nts abo+t ,hich syst!(s r!(ain tr+! or
+n#!rgo chang!.
345
:h! para#o-!s 2an# th! pathoogi!s3 o' syst!(ic proc!ss aris!
pr!cis!y b!ca+s! th! constancy an# s+r"i"a o' so(! arg!r syst!(
is (aintain!# by chang!s in th! constit+!nt s+bsyst!(s.
:h! r!ati"! constancy;th! s+r"i"a;o' th! r!ationship
b!t,!!n ani(as an# grass is (aintain!# by chang!s in both r!ata.
0+t any a#apti"! chang! in !ith!r o' th! r!ata, i' +ncorr!ct!# by
so(! chang! in th! oth!r, ,i a,ays J!opar#i/! th! r!ationship
b!t,!!n th!(. :h!s! arg+(!nts propos! a n!, conc!pt+a 'ra(! 'or
th! 9#o+b! bin#9 hypoth!sis, a n!, conc!pt+a 'ra(! 'or thin*ing
abo+t 9schi/ophr!nia,9 an# a n!, ,ay o' oo*ing at cont!-t an#
!"!s o' !arning.
In a ,or#, schi/ophr!nia, #!+t!roC!arning, an# th! #o+b! bin#
c!as! to b! (att!rs o' in#i"i#+a psychoogy an# b!Cco(! part o'
th! !coogy o' i#!as in syst!(s or 9(in#s9 ,hos! bo+n#ari!s no
ong!r coinci#! ,ith th! s*ins o' th! participant in#i"i#+as.
346
Part I!: "iology and #$olution
On E(2ty;,ea#e#ne!! A(on *ioloi!t!
an#
+tate *oa&#! o5 E#u'ation
%
Ay 'ath!r, th! g!n!ticist 8iia( 0at!son, +s!# to r!a# +s
passag!s o' th! 0ib! at br!a*'ast;!st ,! gro, +p to b! empty%
*eaded ath!istsL an# so I 'in# it nat+ra to ,on#!r ,hat broa#!ning
o' th! (in# (ay co(! 'ro( th! strang! antiC!"o+tionary r+ing o'
th! &tat! 0oar# o' =#+cation in Cai'ornia.
1
="o+tion has ong b!!n ba#y ta+ght. In partic+ar, st+#!nts;
an# !"!n pro'!ssiona bioogists;ac.+ir! th!ori!s o' !"o+tion
,itho+t any #!!p +n#!rstan#ing o' ,hat prob!( th!s! th!ori!s
att!(pt to so"!. :h!y !arn b+t itt! o' th! !"o+tion o'
!"o+tionary th!ory.
:h! !-traor#inary achi!"!(!nt o' th! ,rit!rs o' th! 'irst chapt!r
o' 1!n!sis ,as th!ir p!rc!ption o' th! prob!(6 2*ere does order
come fromH :h!y obs!r"!# that th! an# an# th! ,at!r ,!r!, in
'act, s!parat! an# that sp!ci!s ,!r! s!parat!L th!y sa, that s+ch
s!paration an# sorting in th! +ni"!rs! pr!s!nt!# a '+n#a(!nta
prob!(. In (o#!rn t!r(s, ,! (ay say that this is th! prob!(
i(picit in th! &!con# @a, o' :h!r(o#yna(ics6 I' ran#o( !"!nts
!a# to things g!tting (i-!# +p, by ,hat nonran#o( !"!nts #i#
things co(! to b! sort!#D An# ,hat is a 9ran#o(
9
!"!ntD
:his prob!( has b!!n c!ntra to bioogy an# to (any oth!r
sci!nc!s 'or th! ast 5000 y!ars, an# th! prob!( is not tri"ia.
8ith ,hat 8or# sho+# ,! #!signat! th! princip! o' or#!r
,hich s!!(s to b! i((an!nt in th! +ni"!rs!D
:h! Cai'ornia r+ing s+gg!sts that st+#!nts b! to# o' oth!r
att!(pts to so"! this anci!nt prob!(. I (ys!' co!ct!# on! o'
th!s! a(ong th! &ton! Ag! h!a#Ch+nt!rs o' th! Iat(+ trib! in )!,
1+in!a. :h!y, too, not! that th! an# an# th! ,at!r ar! s!parat! !"!n
in th!ir s,a(py r!gion. :h!y say that in th! b!ginning th!r! ,as a
H
:his it!( in <ioScience, Lol. >C, 1970, is r!pro#+c!# by p!r(ission 'ro(
that Jo+rna.
1
&!! 9Cai'orniaIs AntiC="o+tion 4+ing,9 <ioScience, Aarch 1, 1970.
348
"ast croco#i!, <a",o*(ai, ,ho pa##!# ,ith his 'ront !gs an#
pa##!# ,ith his bac* !gs, an# th!r!by *!pt th! (+# in s+sp!nsion.
:h! c+t+r! h!ro, <!"!(b+angga, sp!ar!# th! croco#i!, ,ho th!n
c!as!# to pa##!, ca+sing th! (+# an# th! ,at!r to s!parat!. :h!
r!s+t ,as #ry an# +pon ,hich <!"!(b+angga sta(p!# his 'oot in
tri+(ph. 8! (ight say h! "!ri'i!# that 9it ,as goo#.9
5+r st+#!nts (ight ha"! th!ir (in#s broa#!n!# so(!,hat i' th!y
,o+# oo* at oth!r th!ori!s o' !"o+tion an# consi#!r ho, a (anIs
spirit (+st ta*! a #i''!r!nt shap! i' h! b!i!"!s that a sorting in th!
+ni"!rs! is #+! to an !-t!rna ag!nt, or i', i*! th! Iat(+ an#
(o#!rn sci!ntists, h! s!!s that th! pot!ntiaity 'or or#!r an# patt!rn
is i((an!nt thro+gho+t this ,or#.
An# th!n th! st+#!nt (ay b! 'orc!# by th! n!, syst!( to oo* at
th! 91r!at Chain o' 0!ing,9 ,ith &+pr!(! Ain# at th! top an# th!
proto/oa at th! botto(. E! ,i s!! ho, Ain# ,as in"o*!# as an
!-panatory princip! a thro+gh th! Ai##! Ag!s an# ho, Ain#
at!r b!ca(! th! pro-lem. Ain# b!ca(! that ,hich n!!#!#
!-panation ,h!n @a(arc* sho,!# that th! 1r!at Chain o' 0!ing
sho+# b! in"!rt!# to gi"! an !"o+tionary s!.+!nc! 'ro( th!
proto/oa +p,ar#. :h! prob!( th!n ,as to !-pain Ain# in t!r(s o'
,hat co+# b! *no,n o' this s!.+!nc!.
An# ,h!n th! st+#!nt r!ach!s th! (i#Cnin!t!!nth c!nt+ry, h!
(ight b! gi"!n as a t!-tboo* $hiip E!nry 1oss!
I
s "reation
+@mp*alos4# An Attempt to Qntie t*e (eological Bnot. E! ,i !arn
'ro( this !-traor#inary boo* things abo+t th! str+ct+r! o' ani(as
an# pants ,hich ar! to#ay scarc!y (!ntion!# in (any co+rs!s o'
bioogyL notaby, that a ani(as an# pants sho, a ti(! str+ct+r!,
o' ,hich th! rings o' gro,th in tr!!s ar! an !!(!ntary !-a(p! an#
th! cyc!s o' i'! history, a (or! co(p!- on!. ="!ry pant an#
ani(a is constr+ct!# +pon th! pr!(is! o' its cycic nat+r!.
A't!r a, th!r! can b! no har( in 1oss!, ,ho ,as a #!"o+t
'+n#a(!ntaist;a $y(o+th 0roth!r;as ,! as a #isting+ish!#
(arin! bioogist. Eis boo* ,as p+bish!# in 1857, t,o y!ars b!'or!
th! @rigin a f Species. E! ,rot! it to sho, that th! 'acts o' th! 'ossi
r!cor# as ,! as thos! o' bioogica ho(oogy co+# b! (a#! to 'it
,ith th! princip!s o' '+n#a(!ntais(. It ,as to hi( inconc!i"ab!
that 1o# co+# ha"! cr!at!# a ,or# in ,hich A#a( ha# no na"!L
th! tr!!s in th! 1ar#!n o' =#!n, no rings o' gro,thL an# th! roc*s,
349
no strata. :h!r!'or!, 1o# (+st ha"! cr!at!# th! ,or# as tho+gh it
ha# a past.
It ,i #o th! st+#!nt no har( to ,r!st! ,ith th! para#o-!s o'
1oss!Is 9@a, o' $rochronis(9L i' h! ist!ns car!C'+y to 1oss!Is
groping g!n!rai/ations abo+t th! bioogica ,or#, h! ,i h!ar an
!ary "!rsion o' th!
9
st!a#y stat!9 hypoth!sis.
5' co+rs!, !"!rybo#y *no,s that bioogica ph!no(!na ar!
cycicC'ro( !gg, to h!n, to !gg, to h!n, !tc. 0+t not a bioogists
ha"! !-a(in!# th! i(pications o' this cycic charact!ristic 'or
!"o+tionary an# !coogica th!ory. 1oss!Is "i!, o' th! bioogica
,or# (ight broa#!n th!ir (in#s.
It is siy an# "+gar to approach th! rich sp!ctr+( o'
!"o+tionary tho+ght ,ith .+!stions ony abo+t ,ho ,as right an#
,ho ,as ,rong. 8! (ight as ,! ass!rt that th! a(phibia an#
r!pti!s ,!r! 9,rong9 an# th! (a((as an# bir#s 9right9 in th!ir
so+tions to th! prob!(s o' ho, to i"!.
0y 'ighting th! '+n#a(!ntaists, ,! ar! !# into an !(ptyC
h!a#!#n!ss anaogo+s to th!irs. :h! tr+th o' th! (att!r is that 95th!r
(!n ha"! abo+r!# an# y! ar! !nt!r!# into th!ir abo+rs9 2John
1#?F4, an# this t!-t is not ony a r!(in#!r o' th! n!!# 'or h+(iity, it
is aso an !pito(! o' th! "ast !"o+tionary proc!ss into ,hich ,!
organis(s ar! ,iyCniy !nt!r!#.
350
The Role o5 +o(ati' Chane in
E0olution
%
A th!ori!s o' bioogica !"o+tion #!p!n# +pon at !ast thr!!
sorts o' chang!6 2a3 chang! o' g!notyp!, !ith!r by (+tation or by
r!#istrib+tion o' g!n!sL 2b3 so(atic chang! +n#!r pr!ss+r! o'
!n"iron(!ntL an# 2c3 chang!s in !n"iron(!nta con#itions. :h!
prob!( 'or th! !"o+tionist is to b+i# a th!ory co(bining th!s!
typ!s o' chang! into an ongoing proc!ss ,hich, +n#!r nat+ra
s!!ction, ,i acco+nt 'or th! ph!no(!na o' a#aptation an#
phyog!ny.
C!rtain con"!ntiona pr!(is!s (ay b! s!!ct!# to go"!rn s+ch
th!ory b+i#ing6
+a4 !*e t*eory s*all not depend upon /amarc3ian in*eritance.
A+g+st 8!is(annIs arg+(!nt 'or this pr!(is! sti stan#s. :h!r! is
no r!ason to b!i!"! that !ith!r so(atic chang! or chang!s in
!n"iron(!nt can, in princip!, ca 2by physioogica
co((+nication3 'or appropriat! g!notypic chang!. In#!!#, th! itt!
that ,! *no, abo+t co((+nication ,ithin th! (+tic!+ar
2
in#i"i#+a in#icat!s that s+ch co((+nication 'ro( so(a to g!n!
script is i*!y to b! rar! an# +ni*!y to b! a#apti"! in !''!ct.
Eo,!"!r, it is appropriat! to att!(pt to sp! o+t in this !ssay ,hat
this pr!(is! i(pi!s6
8h!n!"!r so(! charact!ristic o' an organis( is (o#i'iab!
+n#!r (!as+rab! !n"iron(!nta i(pact or +n#!r (!as+rab! i(pact
o' int!rna physioogy, it is possib! to ,rit! an !.+ation in ,hich
th! "a+! o' th! charact!ristic in .+!stion is !-pr!ss!# as so(!
'+nction o' th! "a+! o' th! i(pacting circ+(stanc!. 9E+(an s*in
coor is so(! '+nction o' !-pos+r! to s+night,9 9r!spiration rat! is
so(! '+nction o' at(osph!ric pr!ss+r!,9 !tc. &+ch !.+ations ar!
H
:his !ssay app!ar!# in th! Jo+rna &olution, Go 17, 1963, an# is r!print!#
,ith th! !#itorIs p!r(ission.
2
:h! prob!(s o' bact!ria g!n!tics ar! h!r! #!ib!rat!y !-c+#!#.
351
constr+ct!# to b! tr+! 'or a "ari!ty o' partic+ar obs!r"ations, an#
n!c!ssariy contain s+bsi#iary propositions ,hich ar! stab! 2i.!.,
contin+! to b! tr+!3 o"!r a ,i#! rang! o' "a+!s o' i(pacting
circ+(stanc! an# so(atic charact!ristic. :h!s! s+bsi#iary
propositions ar! o' #i''!r!nt ogica typ! 'ro( th! origina
obs!r"ations in th! aboratory an# ar!, in 'act, #!scripti"! not o' th!
#ata b+t o' our !.+ations. :h!y ar! stat!(!nts abo+t th! 'or( o' th!
partic+ar !.+ation an# abo+t th! "a+!s o' th! para(!t!rs
(!ntion!# ,ithin it.
It ,o+# b! si(p!, at this point, to #ra, th! in! b!t,!!n
g!notyp! an# ph!notyp! by saying that th! forms and parameters o'
s+ch !.+ations ar! pro"i#!# by g!n!s, ,hi! th! i(pacts o'
!n"iron(!nt, !tc. #!t!r(in! th! act+a !"!nt ,ithin this 'ra(!.
:his ,o+# a(o+nt to saying, !.g., that th! a-ility to tan is
g!notypicay #!t!r(in!#, ,hi! th! a(o+nt o' tanning in a
partic+ar cas! #!p!n#s +pon !-pos+r! to s+nCight.
In t!r(s o' this o"!rsi(pi'i!# approach to th! o"!rapping
ro!s o' g!notyp! an# !n"iron(!nt, th! proposition !-c+#ing
@a(arc*ian inh!ritanc! ,o+# r!a# so(!,hat as 'oo,s6 In th!
att!(pt to !-pain !"o+tionary proc!ss, th!r! sha b! no
ass+(ption that th! achi!"!(!nt o' a partic+ar "a+! o' so(!
"ariab! +n#!r partic+ar circ+(stanc!s ,i a''!ct, in th! ga(!t!s
pro#+c!# by that in#i"i#+a, th! 'or( or para(!t!rs o' th!
'+nctiona !.+ation go"!rning th! r!ationship b!t,!!n that
"ariab! an# its !n"iron(!nta circ+(stanc!s.
&+ch a "i!, is o"!rsi(pi'i!#, an# par!nth!s!s (+st b! a##!# to
#!a ,ith (or! co(p!- an# !-tr!(! cas!s. 7irst, it is i(portant to
r!cogni/! that th! organis(, consi#!r!# as a co((+nicationa
syst!(, (ay its!' op!rat! at (+tip! !"!s o' ogica typingL i.!.,
that th!r! ,i b! instanc!s in ,hich ,hat ,!r! abo"! ca!#
9para(!t!rs9 ar! s+bJ!ct to chang!. :h! in#i"i#+a organis( (ight
as a r!s+t o' 9training9 chang! its abiity to #!"!op a tan +n#!r
s+night. An# this typ! o' chang! is c!rtainy o' "!ry gr!at
i(portanc! in th! 'i!# o' ani(a b!ha"ior, ,h!r! 9!arning to !arn9
can n!"!r b! ignor!#.
&!con#, th! o"!rsi(pi'i!# "i!, (+st b! !aborat!# to co"!r
negati&e !''!cts. An !n"iron(!nta circ+(stanc! (ay ha"! s+ch
352
i(pact +pon an organis( +nab! to a#apt to it, that th! in#i"i#+a in
.+!stion ,i in 'act pro#+c! no ga(!t!s.
:hir#, it is !-p!ctab! that so(! o' th! para(!t!rs in on!
!.+ation (ay b! s+bJ!ct to chang! +n#!r i(pact 'ro( so(!
!n"iron(!nta or physioogic circ+(stanc! oth!r than th!
circ+(stanc! (!ntion!# in that !.+ation.
0! a that as it (ay, both 8!is(annIs obJ!ction to @a(arc*ian
th!ory an# (y o,n att!(pt to sp! th! (att!r o+t shar! a c!rtain
parsi(ony6 an ass+(ption that th! princip!s ,hich or#!r
ph!no(!na sha not th!(s!"!s b! s+ppos!# chang!# by thos!
ph!no(!na ,hich th!y or#!r. 8iia( o' 5cca(Is ra/or (ight b!
r!'or(+at!#6 in any !-panation, ogica typ!s sha not b!
(+tipi!# b!yon# n!c!ssity.
+-4 Somatic c*ange is a-solutely necessary for sur&i&al. Any
chang! o' !n"iron(!nt ,hich r!.+ir!s a#apti"! chang! in th!
sp!ci!s ,i b! !tha +n!ss, by so(atic chang!, th! organis(s 2or
so(! o' th!(3 ar! ab! to ,!ath!r o+t a p!rio# o' +npr!#ictab!
#+ration, +nti !ith!r appropriat! g!notypic chang! occ+rs 2,h!th!r
by (+tation or by r!#istrib+tion o' g!n!s ar!a#y a"aiab! in th!
pop+ation3, or b!ca+s! th! !n"iron(!nt r!t+rns to th! pr!"io+s
nor(a. :h! pr!(is! is tr+istica, r!gar#!ss o' th! (agnit+#! o' th!
ti(! span in"o"!#.
2c3 Somatic c*ange is also necessary to cope 'it* any c*anges of
genotype '*ic* mig*t aid t*e organism in its e.ternal struggle 'it*
t*e en&ironment. :h! in#i"i#+a organis( is a co(p!-
organi/ation o' int!r#!p!n#!nt parts. A (+tationa or oth!r
g!notypic chang! in any on! o' th!s! 2ho,!"!r !-t!rnay "a+ab!
in t!r(s o' s+r"i"a3 is c!rtain to r!.+ir! chang! in (any oth!rs;
,hich chang!s ,i probaby not b! sp!ci'i!# or i(picit in th!
sing! (+tationa chang! o' th! g!n!s. A hypoth!tica pr!gira''!,
,hich ha# th! +c* to carry a (+tant g!n! 9ong n!c*,9 ,o+# ha"!
to a#J+st to this chang! by co(p!- (o#i'ications o' th! h!art an#
circ+atory syst!(. :h!s! coat!ra a#J+st(!nts ,o+# ha"! to b!
achi!"!# at th! so(atic !"!. 5ny thos! pr!gira''!s ,hich ar!
2g!notypicay3 capab! o' th!s! so(atic (o#i'ications ,o+#
s+r"i"!.
+d4 In this !ssay, it is ass+(!# that t*e corpus of genotypic
messages is preponderantly digital in nat+r!. In contrast, th! so(a is
353
s!!n as a ,or*ing syst!( in ,hich th! g!notypic r!cip!s ar! tri!#
o+t. &ho+# it transpir! that th! g!notypic corp+s is aso in so(!
#!gr!! anaogic;a ,or*ing (o#! o' th! so(a;pr!(is! c 2abo"!3
,o+# b! n!gat!# to that #!gr!!. It ,o+# th!n b! conc!i"ab! .that
th! (+tant g!n! 9ong n!c*9 (ight (o#i'y th! (!ssag! o' thos!
g!n!s ,hich a''!ct th! #!"!op(!nt o' th! h!art. It is, o' co+rs!,
*no,n that g!n!s (ay ha"! p!iotropic !''!ct, b+t th!s! ph!no(!na
ar! r!!"ant in th! pr!s!nt conn!ction ony i' it can b! sho,n, !.g.,
that th! !''!ct o' g!n! A +pon th! ph!notyp! an# its !''!ct +pon th!
ph!notypic !-pr!ssion o' g!n! 0 ar! (+t+ay appropriat! in th!
o"!ra int!gration an# a#aptation o' th! organis(.
:h!s! consi#!rations !a# to a cassi'ying o' both g!notypic an#
!n"iron(!nta chang!s in t!r(s o' th! price ,hich th!y !-act o' th!
'!-ibiity o' th! so(atic syst!(. A !tha chang! in !ith!r
!n"iron(!nt or g!notyp! is si(py on! ,hich #!(an#s so(atic
(o#i'ications ,hich th! organis( cannot achi!"!.
0+t th! so(atic pric! o' a gi"!n chang! (+st #!p!n#, not
abso+t!y +pon th! chang! in .+!stion, b+t +pon th! rang! o'
so(atic '!-ibiity a"aiab! to th! organis( at th! gi"!n ti(!. :his
rang!, in t+rn, ,i #!p!n# +pon ho, (+ch o' th! organis(Is
so(atic '!-ibiity is ar!a#y b!ing +s!# +p in a#J+sting to oth!r
(+tations or !n"iron(!nta chang!s. 8! 'ac! an economics o'
'!-ibiity ,hich, i*! any oth!r !cono(ics, ,i b!co(!
#!t!r(inati"! 'or th! co+rs! o' !"o+tion i' an# ony i' th! organis(
is op!rating cos! to th! i(its s!t by this !cono(ics.
Eo,!"!r, this !cono(ics o' so(atic '!-ibiity ,i #i''!r in on!
i(portant r!sp!ct 'ro( th! (or! 'a(iiar !cono(ics o' (on!y or
a"aiab! !n!rgy. In th!s! att!r, !ach n!, !-p!n#it+r! can si(py b!
added to th! pr!c!#ing !-p!n#it+r!s an# th! !cono(ics b!co(!s
co!rci"! ,h!n th! a##iti"! tota approach!s th! i(it o' th! b+#g!t.
In contrast, th! co(bin!# !''!ct o' (+tip! chang!s, !ach o' ,hich
!-acts a pric! in th! so(a, ,i b! multiplicati&e. :his point (ay
b! stat!# as 'oo,s6 @!t & b! th! 'init! s!t o' a possib! i"ing
stat!s o' th! organis(. 8ithin &, !t s
1
b! th! s(a!r s!t o' a stat!s
co(patib! ,ith a gi"!n (+tation 2(

3, an# !t s
2
b! th! s!t o' stat!s
co(patib! ,ith a s!con# (+tation 2(
2
3. It 'oo,s that th! t,o
(+tations in co(bination ,i i(it th! organis( to th! ogica
354
pro#+ct o' s
1
an# s
2
, i.!., to that +s+ay s(a!r s+bs!t o' stat!s
,hich is co(pos!# ony o' (!(b!rs co((on to both s
1
an# s
2
. In
this ,ay !ach s+cc!ssi"! (+tation 2or oth!r g!notypic chang!3 ,i
'ractionat! th! possibiiti!s 'or th! so(atic a#J+st(!nt o' th!
organis(. An#, sho+# th! on! (+tation r!.+ir! so(! so(atic
chang!, th! !-act opposit! o' a chang! r!.+ir!# by th! oth!r, th!
possibiiti!s 'or so(atic a#J+st(!nt (ay i((!#iat!y b! r!#+c!# to
/!ro.
:h! sa(! arg+(!nt (+st s+r!y appy to (+tip! !n"iron(!nta
chang!s ,hich #!(an# so(atic a#J+st(!ntsL an# this ,i b! tr+!
!"!n o' thos! chang!s in !n"iron(!nt ,hich (ight s!!( to b!n!'it
th! organis(. An i(pro"!(!nt in #i!t, 'or !-a(p!, ,i !-c+#!
'ro( th! organis(Is rang! o' so(atic a#J+st(!nts thos! patt!rns o'
gro,th ,hich ,! ,o+# ca 9st+nt!#9 an# ,hich (ight b! r!.+ir!#
to (!!t so(! oth!r !-ig!ncy o' th! !n"iron(!nt.
7ro( th!s! consi#!rations it 'oo,s that i' !"o+tion proc!!#!#
in accor#anc! ,ith con"!ntiona th!ory, its proc!ss ,o+# b!
boc*!#. :h! 'init! nat+r! o' so(atic chang! in#icat!s that no
ongoing proc!ss o' !"o+tion can r!s+t ony 'ro( s+cc!ssi"!
!-t!rnay a#apti"! g!notypic chang!s sinc! th!s! (+st, in
co(bination, b!co(! !tha, #!(an#ing co(binations o' int!rna
so(atic a#J+st(!nts o' ,hich th! so(a is incapab!.
8! t+rn th!r!'or! to a consi#!ration o' oth!r cass!s o' g!notypic
chang!. 8hat is r!.+ir!# to gi"! a baanc!# 9th!ory o' !"o+tion is
th! occ+rr!nc! o' g!notypic chang!s ,hich sha increase th!
a"aiab! rang! o' so(atic '!-ibiity. 8h!n th! int!rna organi/ation
o' th! organis(s o' a sp!ci!s has b!!n i(it!# by !n"iron(!nta or
(+tationa pr!ss+r! to so(! narro, s+bs!t o' th! tota rang! o'
i"ing stat!s, '+rth!r !"o+tionary progr!ss ,i r!.+ir! so(! sort o'
g!notypic chang! ,hich ,i co(p!nsat! 'or this i(itation.
8! not! 'irst that ,hi! th! r!s+ts o' g!notypic chang! ar!
irr!"!rsib! ,ithin th! i'! o' th! in#i"i#+a organis(, th! opposit! is
+s+ay tr+! o' chang!s ,hich ar! achi!"!# at th! so(atic !"!.
8h!n th! att!r ar! pro#+c!# in r!spons! to sp!cia !n"iron(!nta
con#itions, a r!t+rn o' th! !n"iron(!nt to th! pr!"io+s nor( is
+s+ay 'oo,!# by a #i(in+tion or oss o' th! charact!ristic. 28!
(ay r!asonaby !-p!ct that th! sa(! ,o+# b! tr+! o' thos! so(atic
a#J+st(!nts ,hich (+st acco(pany an !-t!rnay a#apti"! (+tation
355
b+t, o' co+rs!, it is i(possib! in this cas! to r!(o"! 'ro( th!
in#i"i#+a th! i(pact o' th! (+tationa chang!.3
A '+rth!r point r!gar#ing th!s! r!"!rsib! so(atic chang!s is o'
sp!cia int!r!st. A(ong high!r organis(s it is not +n+s+a to 'in#
that th!r! is ,hat ,! (ay ca a 9#!'!ns! in #!pth9 against
!n"iron(!nta #!(an#s. I' a (an is (o"!# 'ro( s!a !"! to 10,000
'!!t, h! (ay b!gin to pant an# his h!art (ay rac!. 0+t th!s! 'irst
chang!s ar! s,i'ty r!"!rsib!6 i' h! #!sc!n#s th! sa(! #ay, th!y ,i
#isapp!ar i((!#iat!y. I', ho,!"!r, h! r!(ains at th! high atit+#!,
a s!con# in! o' #!'!ns! app!ars. E! ,i b!co(! so,y acci(at!#
as a r!s+t o' co(p!- physioogica chang!s. Eis h!art ,i c!as! to
rac!, an# h! ,i no ong!r pant +n!ss h! +n#!rta*!s so(! sp!cia
!-!rtion. I' no, h! r!t+rns to s!a !"!, th! charact!ristics o' th!
s!con# in! o' #!'!ns! ,i #isapp!ar rath!r so,y an# h! (ay !"!n
!-p!ri!nc! so(! #isco('ort.
7ro( th! point o' "i!, o' an !cono(ics o' so(atic '!-ibiity,
th! 'irst !''!ct o' high atit+#! is to r!#+c! th! organis( to a i(it!#
s!t o' stat!s 2s
i
3 charact!ri/!# by th! racing o' th! h!art an# th!
panting. :h! (an can sti s+r"i"!, b+t ony as a co(parati"!y
in'!-ib! cr!at+r!. :h! at!r acci(ation has pr!cis!y this "a+!6 it
corr!cts 'or th! oss o' '!-ibiity. A't!r th! (an is acci(at!# h! can
+s! his panting (!chanis(s to a#J+st to ot*er !(!rg!nci!s ,hich
(ight oth!r,is! b! !tha.
A si(iar 9#!'!ns! in #!pth9 is c!ary r!cogni/ab! in th! 'i!# o'
b!ha"ior. 8h!n ,! !nco+nt!r a n!, prob!( 'or th! 'irst ti(!, ,!
#!a ,ith it !ith!r by tria an# !rror or possiby by insight. @at!r, an#
(or! or !ss gra#+ay, ,! 'or( th! 9habit9 o' acting in th! ,ay
,hich !ari!r !-p!ri!nc! r!,ar#!#. :o contin+! to +s! insight or tria
an# !rror +pon this cass o' prob!( ,o+# b! ,ast!'+. :h!s!
(!chanis(s can no, b! sa"!# 'or ot*er prob!(s.
3
0oth in acci(ation an# in habit 'or(ation th! !cono(y o'
'!-ibiity is achi!"!# by s+bstit+ting a #!!p!r an# (or! !n#+ring
chang! 'or a (or! s+p!r'icia an# (or! r!"!rsib! on!. In th! t!r(s
+s!# abo"! in #isc+ssing th! antiC@a(arc*ian pr!(is!, a chang! has
occ+rr!# in th! para(!t!rs o' th! '+nctiona !.+ation in*ing rat! o'
3
0at!son, 9Aini(a 4!.+ir!(!nts 'or a :h!ory o' &chi/ophr!nia,9 A.,.A.
Arc*i&es of (eneral 6syc*iatry, 1960, ># 447.
356
r!spiration to !-t!rna at(osph!ric pr!ss+r!. E!r! it s!!(s that th!
organis( is b!ha"ing as ,! (ay !-p!ct any +trastab! syst!( to
b!ha"!. Ashby
4
has sho,n that it is a g!n!ra 'or(a charact!ristic
o' s+ch syst!(s that thos! circ+its conCtroing th! (or! rapi#y
'+ct+ating "ariab!s act as baancing (!chanis(s to prot!ct th!
ongoing constancy o' thos! "ariab!s in ,hich chang! is nor(ay
so, an# o' s(a a(pit+#!L an# that any int!r'!r!nc! ,hich 'i-!s
th! "a+!s o' th! chang!'+ "ariab!s (+st ha"! a #ist+rbing !''!ct
+pon th! constancy o' th! nor(ay st!a#y co(pon!nts o' th!
syst!(. 7or th! (an ,ho (+st constanty pant at high atit+#!s, th!
r!spiration rat! can no ong!r b! +s!# as a chang!ab! .+antity in th!
(aintaining o' physioogica baanc!. Con"!rs!y, i' th! r!spiration
rat! is to b!co(! a"aiCab! again as a rapi#y '+ct+ating "ariab!,
so(! chang! (+st occ+r a(ong th! (or! stab! co(pon!nts o' th!
syst!(. &+ch a chang! ,i, in th! nat+r! o' th! cas!, b! achi!"!#
co(parati"!y so,y an# b! co(parati"!y irr!"!rsib!.
="!n acci(ation an# habit 'or(ation ar!, ho,!"!r, sti
r!"!rsib! ,ithin th! i'! o' th! in#i"i#+a, an# this "!ry r!"!rsibiity
in#icat!s a ac* o' co((+nicationa !cono(y in th!s! a#apti"!
(!chanis(s. 4!"!rsibiity i(pi!s that th! chang!# "a+! o' so(!
"ariab! is achi!"!# by (!ans o' ho(!ostatic, !rrorCacti"at!#
circ+its. :h!r! (+st b! a (!ans o' #!t!cting an +n#!sirab! or
thr!at!ning chang! in so(! "ariab!, an# th!r! (+st b! a train o'
ca+s! an# !''!ct ,h!r!by corr!cti"! action is initiat!#. Aor!o"!r,
this !ntir! circ+it (+st, in so(! #!gr!!, b! a"aiab! 'or this
p+rpos! 'or th! !ntir! ti(! #+ring ,hich th! r!"!rsib! chang! is
(aintain!#;a consi#!rab! +sing +p o' a"aiab! (!ssag!
path,ays.
:h! (att!r o' co((+nicationa !cono(ics b!co(!s sti (or!
s!rio+s ,h!n ,! not! that th! ho(!ostatic circ+its o' an organis(
ar! not s!parat! b+t co(p!-y int!roc*!#, !.g., hor(ona
(!ss!ng!rs ,hich pay a part in th! ho(!ostatic contro o' organ
A ,i aso a''!ct th! stat!s o' organs 0, C, an# ?. Any sp!cia
ongoing oa#ing o' th! circ+it controing A ,i th!r!'or!
#i(inish th! organis(Is 'r!!#o( to contro 0, C, an# ?.
4
8. 4. Ashby, 9:h! =''!ct o' Contros on &tabiity,9 ;ature, 1945, 1556 >4>0
aso Ashby, 8esign for a <rain, )!, For*, John 8i!y X Co., 195>.
357
In contrast, th! chang!s bro+ght abo+t by (+tation or oth!r
g!notypic chang! ar! pr!s+(aby o' a totay #i''!r!nt nat+r!. ="!ry
c! contains a copy o' th! n!, g!notypic corp+s an# th!r!'or! ,i
2,h!n appropriat!3 b!ha"! in th! chang!# (ann!r, ,itho+t any
chang! in th! (!ssag!s ,hich it r!c!i"!s 'ro( s+rro+n#ing tiss+!s
or organs. I' th! hypoth!tica pr!gira''!s carrying th! (+tant g!n!
9ong n!c*9 co+# aso g!t th! g!n! 9big h!art,9 th!ir h!arts ,o+#
b! !narg!# ,itho+t th! n!c!ssity o' +sing th! ho(!ostatic path,ays
o' th! bo#y to achi!"! an# (aintain this !narg!(!nt. &+ch a
(+tation ,i ha"! s+r"i"a "a+! not b!Cca+s! it !nab!s th!
pr!gira''! to s+ppy its !!"at!# h!a# ,ith s+''ici!nt boo#, sinc!
this ,as ar!a#y achi!"!# by so(atic chang! b+t b!ca+s! it
incr!as!s th! o"!ra '!-ibiity o' th! organis(, !nabing it to
s+r"i"! ot*er #!(an#s ,hich (ay b! pac!# +pon it !ith!r by
!n"iron(!nta or
,
g!notypic chang!.
It app!ars, th!n, that th! proc!ss o' bioogica !"o+tion co+# b!
contin+o+s i' th!r! ,!r! a cass o' (+tations or oth!r g!notypic
chang!s ,hich ,o+# si(+at! @a(arc*ian inh!ritanc!. :h!
'+nction o' th!s! chang!s ,o+# b! to achi!"! by g!notypic 'at
thos! charact!ristics ,hich th! organis( at th! gi"!n ti(! is ar!a#y
achi!"ing by th! +n!cono(ica (!tho# o' so(atic chang!. &+ch a
hypoth!sis, I b!i!"!, con'icts in no ,ay ,ith con"!ntiona th!ori!s
o' g!n!tics an# nat+ra s!!ction. It #o!s, ho,!"!r, so(!,hat at!r
th! c+rr!nt con"!ntiona pict+r! o' !"o+tion as a ,ho!, tho+gh
r!at!# i#!as ,!r! p+t 'or,ar# o"!r si-ty y!ars ago. 0a#,in
5
s+gg!st!# that ,! consi#!r not ony th! op!ration o' th! !-t!rna
!n"iron(!nt in nat+ra s!!ction b+t aso ,hat h! ca!# 9organic
s!!ction9 in ,hich th! 'at! o' a gi"!n "ariation ,o+# #!p!n# +pon
its physioogic "iabiity. In th! sa(! artic!, 0a#,in attrib+t!s to
@oy# Aorgan th! s+gg!stion that th!r! (ight !-ist 9coinci#!nt
"ariations9 ,hich ,o+# si(+at! @a(arc*ian inh!ritanc! 2th! soC
ca!# 90a#,in !''!ct
9
3.
Accor#ing to s+ch a hypoth!sis, g!notypic chang! in an organis(
b!co(!s co(parab! to !gisati"! chang! in a soci!ty. :h! ,is!
!gisator ,i ony rar!y initiat! a n!, r+! o' b!ha"iorL (or!
+s+ay h! ,i con'in! hi(s!' to a''ir(ing in a, that ,hich has
5
J. A. 0a#,in, 95rganic &!!ction,9 Science, 1F97, 5# 634.
358
ar!a#y b!co(! th! c+sto( o' th! p!op!. An inno"ati"! r+! can b!
intro#+c!# ony at th! pric! o' acti"ating an# p!rhaps o"!roa#ing a
arg! n+(b!r o' ho(!ostatic circ+its in th! soci!ty.
It is int!r!sting to as* ho, a hypoth!tica proc!ss o' !"o+tion
,o+# ,or* if @a(arc*ian inh!ritanc! ,!r! th! r+!, i.!., i'
charact!ristics achi!"!# by so(atic ho(!ostasis ,!r! inh!rit!#. :h!
ans,!r is si(p!6 it 'ould not 'or3, 'or th! 'oo,ing r!asons6
213:h! .+!stion t+rns +pon th! conc!pt o' !cono(y in th! +s!
o' ho(!ostatic circ+its, an# it ,o+# b! th! r!"!rs! o' !cono(ica
to 'i- by g!notypic chang! a th! "ariab!s ,hich acco(pany a
gi"!n #!sirab! an# ho(!ostaticay achi!"!# charact!ristic. ="!ry
s+ch charact!ristic is achi!"!# by anciary ho(!ostatic chang!s a
aro+n# th! circ+its, an# it is (ost +n#!sirab! that th!s! anciary
chang!s sho+# b! 'i-!# by inh!ritanc!, as ,o+# ogicay happ!n
accor#ing to any th!ory in"o"ing an in#iscri(inat! @a(arc*ian
inh!ritanc!. :hos! ,ho ,o+# #!'!n# a @a(arc*ian th!ory (+st b!
pr!par!# to s+gg!st ho, in th! g!notyp! an appropriat! s!!ction
can b! achi!"!#. 8itho+t s+ch a s!!ction, th! inh!ritanc! o'
ac.+ir!# charact!ristics ,o+# (!r!y inCcr!as! th! proportion o'
non"iab! g!notypic chang!s.
223@a(arc*ian inh!ritanc! ,o+# #ist+rb th! r!ati"! ti(ing o'
th! proc!ss!s +pon ,hich !"o+tion (+st;accor#ing to th! pr!s!nt
hypoth!sis;#!p!n#. It is !ss!ntia that th!r! b! a ti(! ag b!t,!!n
th! +n!cono(ica b+t r!"!rsib! so(atic achi!"!(!nt o' a gi"!n
charact!ristic an# th! !cono(ica b+t (or! !n#+ring at!rations o'
th! g!notyp!. I' ,! oo* +pon !"!ry so(a as a ,or*ing (o#!
,hich can b! (o#i'i!# in "ario+s ,ays in th! ,or*shop, it is c!ar
that s+''ici!nt b+t not in'init! ti(! (+st b! gi"!n 'or th!s!
,or*shop trias b!'or! th! r!s+ts o' th!s! trias ar! incorporat!#
into th! 'ina b+!print 'or (ass pro#+ction. :his #!ay is pro"i#!#
by th! in#ir!ction o' stochastic proc!ss. It ,o+# b! +n#+y
short!n!# by @a(arc*ian inh!ritanc!.
:h! princip! in"o"!# h!r! is g!n!ra an# by no (!ans tri"ia. It
obtains in a ho(!ostatic syst!(s in ,hich a gi"!n !''!ct can b!
bro+ght abo+t by (!ans o' a ho(!ostatic circ+it, ,hich circ+it can,
in t+rn, b! (o#i'i!# in its charact!ristics by so(!
C
high!r syst!( o'
contro. In a s+ch syst!(s 2ranging 'ro( th! ho+s! th!r(ostat to
syst!(s o' go"!rn(!nt an# a#(inistration3 it is i(portant that th!
359
high!r syst!( o' contro lag -e*ind th! !"!nt s!.+!nc!s in th!
p!riph!ra ho(!ostatic circ+it.
In !"o+tion t,o contro syst!(s ar! pr!s!nt6 th! ho(!ostas!s o'
th! bo#y ,hich #!a ,ith to!rab! int!rna str!ss, an# th! action o'
nat+ra s!!ction +pon th! 2g!n!ticay3 non"iab! (!(b!rs o' th!
pop+ation. 7ro( an !ngin!!ring point o' "i!,, th! prob!( is to
limit co((+nication 'ro( th! o,!r, r!"!rsib! so(atic syst!( to
th! high!r irr!"!rsib! g!notypic syst!(.
Anoth!r asp!ct o' th! propos!# hypoth!sis abo+t ,hich ,! can
ony sp!c+at! is th! probab! r!ati"! 'r!.+!ncy o' th! t,o cass!s
o' g!notypic chang!6 thos! ,hich initiat! so(!thing n!, an# thos!
,hich a''ir( so(! ho(!ostaticay achi!"!# charact!ristic. In th!
A!ta/oa an# (+tic!+ar pants, ,! 'ac! co(p!- n!t,or*s o'
(+tip! int!roc*ing ho(!ostatic circ+its, an# any gi"!n (+tation
or g!n! r!co(bination ,hich initiat!s chang! ,i probaby r!.+ir!
"!ry "ario+s an# (+tip! so(atic charact!ristics to b! achi!"!# by
ho(!ostasis. :h! hypoth!tica pr!gira''! ,ith th! (+tant g!n! 9ong
n!c*9 ,i n!!# to (o#i'y not ony its h!art an# circ+atory syst!(
b+t aso p!rhaps its s!(icirc+ar canas, its int!r"!rt!bra #iscs, its
post+ra r!'!-!s, th! ratio o' !ngth an# thic*n!ss o' (any (+sc!s,
its !"asi"! tactics "isCaC"is pr!#ators, !tc. :his s+gg!sts that in s+ch
co(p!- organis(s, th! (!r!y a''ir(ati"! g!notypic chang!s (+st
'ar o+tn+(b!r thos! ,hich initiat! chang!, i' th! sp!ci!s is to a"oi#
that c+C#!Csac in ,hich th! '!-ibiity o' th! so(a approach!s /!ro.
Con"!rs!y, this pict+r! s+gg!sts that (ost organis(s, at any
gi"!n ti(!, ar! probaby in s+ch a stat! that th!r! ar! (+tip!
possibiiti!s 'or a''ir(ati"! g!notypic chang!. I', as s!!(s probab!,
both (+tation an# g!n! r!#istrib+tion ar! in so(! s!ns! ran#o(
ph!no(!na, at !ast th! chanc!s ar! consi#!rab! that on! or oth!r o'
th!s! (+tip! possibiiti!s ,i b! (!t.
7inay, it is appropriat! to #isc+ss ,hat !"i#!nc! is a"aiCab! or
(ight b! so+ght to s+pport or #ispro"! s+ch a hypoth!sis. It is c!ar
at th! o+ts!t that s+ch a t!sting ,i b! #i''ic+t. :h! a''ir(ati"!
(+tations +pon ,hich th! hypoth!sis #!p!n#s ,i +s+ay b!
in&isi-le. 7ro( a(ong th! (any (!(b!rs o' a pop+ation ,hich
ar! achi!"ing a gi"!n a#J+st(!nt to !n"iron(!nta circ+(stanc!s by
so(atic chang!, it ,i not b! possib! i((!#iat!y to pic* o+t thos!
'!, in ,hich th! sa(! a#J+st(!nt is pro"i#!# by th! g!notypic
360
(!tho#. In s+ch a cas!, th! g!notypicay chang!# in#i"i#+as ,i
ha"! to b! i#!nti'i!# by br!!#ing an# raising th! o''spring +n#!r
(or! nor(a con#itions.
A sti gr!at!r #i''ic+ty aris!s in cas!s ,h!r! ,! ,o+#
in"!stigat! thos! ho(!ostaticay ac.+ir!# charact!ristics ,hich ar!
achi!"!# in r!spons! to so(! inno"ati"! g!notypic chang!. It ,i
o't!n b! i(possib!, by (!r! insp!ction o' th! organis(, to t!
,hich o' its charact!ristics ar! th! pri(ary r!s+ts o' g!notypic
chang! an# ,hich ar! s!con#ary so(atic a#J+st(!nts to th!s!. In th!
i(aginary cas! o' th! pr!gira''! ,ith a so(!,hat !ongat!# n!c*
an# an !narg!# h!art, it (ay b! !asy to guess that th! (o#i'ication
o' th! n!c* is g!notypic ,hi! that o' th! h!art is so(atic. 0+t a
s+ch g+!ss!s ,i #!p!n# +pon th! "!ry i(p!r'!ct pr!s!nt *no,C
!#g! o' ,hat an organis( can achi!"! in ,ay o' so(atic a#J+st(!nt.
It is a (aJor trag!#y that th! @a(arc*ian contro"!rsy has
#!'!ct!# th! att!ntion o' g!n!ticists a,ay 'ro( th! ph!no(!non o'
so(atic a#aptabiity. A't!r a, th! (!chanis(s, thr!sho#s, an#
(a-i(a o' in#i"i#+a ph!notypic chang! +n#!r str!ss (+st s+r!y b!
g!notypicay #!t!r(in!#.
Anoth!r #i''ic+ty, o' rath!r si(iar nat+r!, aris!s at th!
pop+ation !"!, ,h!r! ,! !nco+nt!r anoth!r 9!cono(ics9 o'
pot!ntia chang!, th!or!ticay #isting+ishab! 'ro( that ,hich
op!rat!s ,ithin th! in#i"i#+a. :h! pop+ation o' a ,i# sp!ci!s is
to#ay con"!ntionay r!gar#!# as g!notypicay h!t!rog!n!o+s in
spit! o' th! high #!gr!! o' s+p!r'icia r!s!(banc! b!t,!!n th!
in#i"i#+a ph!notyp!s. &+ch a pop+ation !-p!ctaby '+nctions as a
stor!ho+s! o' g!notypic possibiiti!s. :h! !cono(ic asp!ct o' this
stor!ho+s! o' possibiiti!s has, 'or !-a(p!, b!!n str!ss!# by
&i((on#s.
6
E! points o+t that 'ar(!rs an# br!!#!rs ,ho #!(an#
100 p!r c!nt ph!notypic +ni'or(ity in a highy s!!ct crop ar! in 'act
thro,ing a,ay (ost o' th! (+tip! g!n!tic possibiiti!s
acc+(+at!# thro+gh h+n#r!#s o' g!n!rations in th! ,i#
pop+ation. 7ro( this &i((on#s arg+!s that th!r! is +rg!nt n!!# 'or
instit+tions ,hich sha 9cons!r"!9 this stor!ho+s! o' "ariabiity by
(aintaining +ns!!ct!# pop+ations.
6
). 8. &i((on#s, 9Gariabiity in Crop $ants, Its %s! an# Cons!r"ation,9 <iol.
2e$iew) 1962, 40# 3//56/.
361
@!rn!r
7
has arg+!# that s!'Ccorr!cti"! or b+''!ring (!chanis(s
op!rat! to ho# constant th! co(position o' th!s! (i-t+r!s o' ,i#
g!notyp!s an# to r!sist th! !''!cts o' arti'icia s!!ction. :h!r! is
th!r!'or! at !ast a pr!s+(ption that this !cono(ics o' "ariabiity
,ithin th! pop+ation ,i t+rn o+t to b! o' th! (+tipicati"! *in#.
)o,, th! #i''ic+ty o' #iscri(inating b!t,!!n a charact!ristic
achi!"!# by so(atic ho(!ostasis an# th! sa(! charact!ristic
achi!"!# 2(or! !cono(icay3 by a g!notypic short c+t is c!ary
going to b! co(po+n#!# ,h!n ,! co(! to consi#!r pop+ations
inst!a# o' physioogic in#i"i#+as. A act+a !-p!ri(!ntation in th!
'i!# ,i in!"itaby ,or* ,ith pop+ations, an#, in this ,or*, it ,i
b! n!c!ssary to #iscri(inat! th! !''!cts o' that !cono(ics o'
fle.i-ility ,hich op!rat!s insi#! th! in#i"i#+as 'ro( th! !''!cts o'
th! !cono(ics o' &aria-ility ,hich op!rat!s at th! pop+ation !"!.
:h!s! t,o or#!rs o' !cono(ics (ay b! !asy to s!parat! in th!ory,
b+t to s!parat! th!( in !-p!ri(!ntation ,i s+r!y b! #i''ic+t.
0! a that as it (ay, !t +s consi#!r ,hat !"i#!ntia s+pCport (ay
b! a"aiab! 'or so(! o' th! propositions ,hich ar! cr+cia to th!
hypoth!sis6
213 :hat th! ph!no(!na o' so(atic a#J+st(!nt ar! appropriat!y
#!scrib!# in t!r(s o' an !cono(ics o' fle.i-ility. In g!n!ra, ,!
b!i!"! that th! pr!s!nc! o' str!ss A (ay r!#+c! an organis(Is
abiity to r!spon# to str!ss 0 an#, g+i#!# by this opinion, ,!
co((ony prot!ct th! sic* 'ro( th! ,!ath!r. :hos! ,ho ha"!
a#J+st!# to th! o''ic! i'! (ay ha"! #i''ic+ty in ci(bing
(o+ntains, an# train!# (o+ntain ci(b!rs (ay ha"! #i''ic+ty
,h!n con'in!# to o''ic!sL th! str!ss!s o' r!tir!(!nt 'ro( b+sin!ss
(ay b! !thaL an# so on. 0+t sci!nti'ic *no,!#g! o' th!s!
(att!rs, in (an or oth!r organis(s, is "!ry sight.
223 :hat this !cono(ics o' '!-ibiity has th! ogica str+ct+r!
#!scrib!# abo"!;!ach s+cc!ssi"! #!(an# +pon '!-ibiity
'ractionating th! s!t o' a"aiab! possibiiti!s. :h! proposition is
!-p!ctab!, b+t so 'ar as I *no, th!r! is no !"i#!nc! 'or it. It is,
ho,!"!r, ,orth,hi! to !-a(in! th! crit!ria ,hich #!t!r(in!
,h!th!r a gi"!n 9!cono(ic9 syst!( is (or! appropriat!y
7
I. A. @!rn!r, (enetic 1omeostasis, =#inb+rgh, 5i"!r an# 0oy#, 1954.
362
#!scrib!# in a##iti"! or (+tipicati"! t!r(s. :h!r! ,o+# s!!( to
b! t,o s+ch crit!ria6
2a3A syst!( ,i b! a##iti"! inso'ar as th! +nits o' its c+rr!ncy
ar! (+t+ay int!rchang!ab! an#, th!r!'or!, canCnot (!aning'+y
b! cassi'i!# into s!ts s+ch as ,!r! +s!# !ari!r in this pap!r to
sho, that th! !cono(ics o' '!-ibiity (+st s+r!y b!
(+tipicati"!. Caori!s in th! !cono(ics o' !n!rgy ar! co(p!t!y
int!rchang!ab! an# +ncassi'iab!, as ar! #oars in th! in#i"i#+a
b+#g!t. 0oth th!s! syst!(s ar! th!r!'or! a##iti"!. :h!
p!r(+tations an# co(binations o' "ariab!s ,hich #!'in! th! stat!s
o' an organis( ar! cassi'iab! an#;to this !-t!nt;
nonint!rchang!ab!. :h! syst!( is th!r!'or! (+tipicati"!. Its
(ath!(atics ,i r!s!(b! that o' in'or(ation th!ory or n!gati"!
!ntropy rath!r than that o' (on!y or !n!rgy cons!r"ation.
2b3A syst!( ,i b! a##iti"! inso'ar as th! +nits o' its c+rr!ncy
ar! (+t+ay in#!p!n#!nt. E!r! th!r! ,o+# s!!( to b! a #i''!r!nc!
b!t,!!n th! !cono(ic syst!( o' th! in#i"i#+a, ,hos! b+#g!tary
prob!(s ar! a##iti"! 2or s+bCtracti"!3 an# thos! o' soci!ty at arg!,
,h!r! th! o"!ra #istrib+tion or 'o, o' ,!ath is go"!rn!# by
co(p!- 2an# p!rhaps i(p!r'!ct3 ho(!ostatic syst!(s. Is th!r!,
p!rhaps, an !cono(ics o' !cono(ic '!-ibiity 2a (!ta!cono(ics3
,hich is (+tipicati"! an# so r!s!(b!s th! !cono(ics o'
physioogica '!-ibiity #isc+ss!# abo"!D )otic!, ho,!"!r, that th!
+nits o' this ,i#!r !cono(ics ,i b! not #oars b+t patt!rns o'
#istrib+tion o' ,!ath. &i(iary, @!rn!rIs 9g!n!tic ho(!ostasis,9
inso'ar as it is tr+y ho(!ostatic, ,i ha"! (+tipicati"! charact!r.
:h! (att!r is, ho,!"!r, not si(p! an# ,! cannot !-p!ct that
!"!ry syst!( ,i b! !ith!r totay (+tipicati"! or totay a##iti"!.
:h!r! ,i b! int!r(!#iat! cas!s ,hich co(bin! th! t,o
charact!ristics. &p!ci'icay, ,h!r! s!"!ra independent at!rnati"!
ho(!ostatic circ+its contro a sing! "ariab!, it is c!ar that th!
syst!( (ay sho, a##iti"! charact!ristics;an# !"!n that it (ay pay
to incorporat! s+ch at!rnati"! path,ays in th! syst!( pro"i#!# th!y
can b! !''!cti"!y ins+at!# 'ro( !ach oth!r. &+ch syst!(s o'
(+tip! at!rnati"! contros (ay gi"! s+r"i"a a#"antag! inso'ar as
th! (ath!(atics o' a##ition an# s+btraction ,i pay b!tt!r than th!
(ath!(atics o' ogica 'ractionation.
363
+?4 !*at inno&ati&e genotypic c*ange commonly ma3es demands
upon t*e ad=usti&e a-ility of t*e soma. :his proposition is
ortho#o-y b!i!"!# by bioogists b+t cannot in th! nat+r! o' th!
cas! b! "!ri'i!# by #ir!ct !"i#!nc!.
+44 !*at successi&e genotypic inno&ations ma3e multiplicati&e
demands upon t*e soma. :his proposition 2,hich in"o"!s -ot* th!
notion o' (+tipicati"! !cono(ics o' '!-ibiity an# th! notion
that !ach inno"ati"! g!notypic chang! has its so(atic pric!3 has
s!"!ra int!r!sting an# p!rhaps "!ri'iab! i(pications.
2a38! (ay !-p!ct that organis(s in ,hich n+(!ro+s r!c!nt
g!notypic chang!s ha"! acc+(+at!# 2!.g., as a r!s+t o' s!!ction,
or pann!# br!!#ing3 ,i b! #!icat!, i.!., ,i n!!# to b! prot!ct!#
'ro( !n"iron(!nta str!ss. :his s!nsiti"ity to str!ss is to b!
!-p!ct!# in n!, br!!#s o' #o(!sticat!# ani(as an# pants an#
!-p!ri(!ntay pro#+c!# organis(s carrying !ith!r s!"!ra (+tant
g!n!s or +n+s+a 2i.!., r!c!nty achi!"!#3 g!notypic co(binations.
2b38! (ay !-p!ct that 'or s+ch organis(s '+rth!r g!notypic
inno"ation 2o' any *in# oth!r than th! a''ir(ati"! chang!s
#isc+ss!# abo"!3 ,i b! progr!ssi"!y #!!t!rio+s.
2c3&+ch n!, an# sp!cia br!!#s sho+# b!co(! (or! r!sistant
both to !n"iron(!nta str!ss an# to g!notypic chang!, as s!!ction
,or*s +pon s+cc!ssi"! g!n!rations to 'a"or thos! in#i"i#+as in
,hich 9g!n!tic assi(iation o' ac.+ir!# charact!ristics9 is achi!"!#
2$roposition 53.
253 :hat !n"iron(!ntay in#+c!# ac.+ir!# charact!ristics (ay,
+n#!r appropriat! con#itions o' s!!ction, b! r!pac!# by si(iar
charact!ristics ,hich ar! g!n!ticay #!t!r(in!#. :his ph!no(!non
has b!!n #!(onstrat!# by 8a##ington
8
'or th! bithora- ph!notyp!s
o' ?rosophia.
E! cas it th! 9g!n!tic assi(iation o' ac.+ir!# charact!ristics.9
&i(iar ph!no(!na ha"! aso probaby occ+rr!# in "ario+s
!-p!ri(!nts ,h!n th! !-p!ri(!nt!rs s!t o+t to pro"! th! inh!ritanc!
o' ac.+ir!# charact!ristics b+t #i# not achi!"! this proo' thro+gh
'ai+r! to contro th! con#itions o' s!!ction. 8! ha"!, ho,!"!r, no
!"i#!nc! at a as to th! 'r!.+!ncy o' this ph!no(!non o' g!n!tic
8
". 1. 8a##ington, 91!n!tic Assi(iation o' an Ac.+ir!# Charact!r,9
&olution, 1953, 7# 118L aso 8a##ington, !*e Strategy of (enes, @on#on,
A!n an# %n,in, 1957.
364
assi(iation. It is ,orth noting, ho,!"!r, that, accor#ing to th!
arg+(!nts o' this !ssay, it (ay b! i(possib!, in princip!, to
!-c+#! th! 'actor o' s!!ction 'ro( !-p!ri(!nts ,hich ,o+# t!st
9th! inh!ritanc! o' ac.+ir!# charact!ristics.9 It is pr!cis!y (y th!sis
that th! simulation o' @a(arc*ian inh!ritanc! ,i ha"! s+r"i"a
"a+! +n#!r circ+(stanc! o' undefined or (+tip! str!ss.
263. :hat it is, in g!n!ra, (or! !cono(ica o' '!-ibiity to
achi!"! a gi"!n charact!ristic by g!notypic than by so(aCtic chang!.
E!r! th! 8a##ington !-p!ri(!nts #o not thro, any ight, b!ca+s! it
,as th! !-p!ri(!nt!r ,ho #i# th! s!!cting. :o t!st this proposition,
,! n!!# !-p!ri(!nts in ,hich th! pop+ation o' organis(s is pac!#
+n#!r #o+b! str!ss6 2a3 that str!ss ,hich ,i in#+c! th! charact!risC
tic in ,hich ,! ar! int!r!st!#, an# 2b3 a s!con# str!ss ,hich ,i
s!!cti"!y #!ci(at! th! pop+ation, 'a"oring, ,! hop!, th! s+r"i"a
o' thos! in#i"i#+as ,hos! '!-ibiity is (or! ab! to (!!t this
s!con# str!ss a't!r a#J+sting to th! 'irst. Accor#ing to th! hypoth!sis,
s+ch a syst!( sho+# 'a"or thos! in#i"i#+as ,hich achi!"! th!ir
a#J+st(!nt to th! 'irst str!ss by g!notypic proc!ss.
273 7inay, it is int!r!sting to consi#!r a coroary ,hich is th!
con"!rs! o' th! th!sis o' this !ssay. It has b!!n arg+!# h!r! that
si(+at!# @a(arc*ian inh!ritanc! ,i ha"! s+r"i"a "a+! ,h!n th!
pop+ation (+st a#J+st to a str!ss ,hich r!(ains constant o"!r
s+cc!ssi"! g!n!rations. :his cas! is in 'act th! on! ,hich has b!!n
!-a(in!# by thos! ,ho ,o+# #!(onstrat! an inh!ritanc! o'
ac.+ir!# charact!ristics. A con"!rs! prob!( is pr!s!nt!# by thos!
cas!s in ,hich a pop+ation 'ac!s a str!ss ,hich chang!s its
int!nsity +npr!#ictaby an# rath!r o't!n;p!rhaps !"!ry t,o or
thr!! g!n!rations. &+ch sit+ations ar! p!rhaps "!ry rar! in nat+r!,
b+t co+# b! pro#+c!# in th! aboratory.
%n#!r s+ch "ariab! circ+(stanc!s, it (ight pay th! organis(s
in s+r"i"a t!r(s to achi!"! th! con&erse o' th! g!n!tic
assi(iation o' ac.+ir!# charact!ristics. :hat is, th!y (ight
pro'itaby han# o"!r to so(atic ho(!ostatic (!chanis(s th!
contro o' so(! charact!ristic ,hich ha# pr!"io+sy b!!n (or!
rigi#y contro!# by th! g!notyp!.
It is !"i#!nt, ho,!"!r, that s+ch !-p!ri(!ntation ,o+# b! "!ry
#i''ic+t. A!r!y to !stabish th! g!n!tic assi(iation o' s+ch
charact!ristics as bithora- r!.+ir!s s!!ction on an astrono(ica
365
sca!, th! 'ina pop+ation in ,hich th! g!n!ticay #!t!r(in!#
bithora- in#i"i#+as can b! 'o+n# b!ing a s!!ct!# sa(p! 'ro( a
pot!ntia pop+ation o' so(!thing i*! 10
50
.
or 10
60
in#i"i#+as. It is
"!ry #o+bt'+ ,h!th!r, a't!r this s!!cti"! proc!ss, th!r! ,o+# sti
. !-ist in th! sa(p! !no+gh g!n!tic h!t!rog!n!ity to +n#!rgo a
'+rth!r con"!rs! s!!ction 'a"oring thos! in#i"i#+as ,hich sti
achi!"! th!ir bithora- ph!notyp! by so(atic (!ans.
)!"!rth!!ss, tho+gh this con"!rs! coroary is possiby not
#!(onstrab! in th! aboratory, so(!thing o' th! sort s!!(s to
op!rat! in th! broa# pict+r! o' !"o+tion. :h! (att!r (ay b!
pr!s!nt!# in #ra(atic 'or( by consi#!ring th! #ichoto(y b!t,!!n
9r!g+ators9 an# 9a#J+st!rs.9
9
$ross!r propos!s that ,h!r! int!rna
physioogy contains so(! "ariab! o' th! sa(! #i(!nsions as so(!
!-t!rna !n"iron(!nta "ariab!, it is con"!ni!nt to cassi'y
organis(s accor#ing to th! #!gr!! to ,hich th!y ho# th! int!rna
"ariab! constant in spit! o' chang!s in th! !-t!rna "ariab!. :h+s,
th! ho(oioth!r(ic ani(as ar! cassi'i!# as 9r!g+ators
9
in r!gar#
to t!(p!rat+r! ,hi! th! poi*ioth!r(ic ar! 9a#J+st!rs.9 :h! sa(!
#ichoto(y can b! appi!# to a.+atic ani(as accor#ing to ho,
th!y han#! int!rna an# !-t!rna os(otic pr!ss+r!.
8! +s+ay thin* o' r!g+ators as b!ing in so(! broa#
!"o+tionary s!ns! 9high!r9 than a#J+st!rs. @!t +s no, consi#!r
,hat this (ight (!an. I' th!r! is a broa# !"o+tionary tr!n# in 'a"or
o' r!g+ators, is this tr!n# consist!nt ,ith ,hat has b!!n sai# abo"!
abo+t th! s+r"i"a b!n!'its ,hich accr+! ,h!n contro is trans'!rr!#
to g!notypic (!chanis(sD
C!ary, not ony th! r!g+ators b+t aso th! a#J+st!rs (+st r!y
+pon ho(!ostatic (!chanis(s. I' i'! is to go on, a arg! n+(b!r o'
!ss!ntia physioogica "ariab!s (+st b! h!# ,ithin narro, i(its.
It th! int!rna os(otic pr!ss+r!, 'or !-a(p!, is ao,!# to chang!,
th!r! (+st b! (!chanis(s ,hich ,i #!'!n# th!s! !ss!ntia
"ariab!s. It 'oo,s that th! #i''!r!nc! b!t,!!n a#J+st!rs an#
r!g+ators is a (att!r o' '*ere, in th! co(p!- n!t,or* o'
physioogic ca+s!s an# !''!cts, ho(!ostatic proc!ss op!rat!s.
9
C. @. $ross!r, 9$hysioogica Gariation in Ani(as,9 <iol. $e&ie', 1955, ?C#
>>%>G>.
366
In th! r!g+ators, th! ho(!ostatic proc!ss!s op!rat! at or cos! to
th! inp+t an# o+tp+t points o' that n!t,or* ,hich is th! in#i"i#+a
organis(. In th! a#J+st!rs, th! !n"iron(!nta "ariab!s ar! p!r(itt!#
to !nt!r th! bo#y an# th! organis( (+st th!n cop! ,ith th!ir !''!cts,
+sing (!chanis(s ,hich ,i in"o"! #!!p!r oops o' th! tota
n!t,or*.
In t!r(s o' this anaysis, th! poarity b!t,!!n a#J+st!rs an#
r!g+ators can b! !-trapoat!# anoth!r6 st!p to inc+#! ,hat ,! (ay
ca 9!-trar!g+ators9 ,hich achi!"! ho(!ostatic contros outside
th! bo#y by changing an# controing th! !n"iron(!nt;(an b!ing
th! (ost conspic+o+s !-a(p! o' this cass.
In th! !ari!r part o' this !ssay, it ,as arg+!# that in a#J+sting to
high atit+#! th!r! is a b!n!'it to b! obtain!#, in t!r(s o' an
!cono(ics o' '!-ibiity, by shi'ting 'ro(, !.g., panting to th! (or!
pro'o+n# an# !ss r!"!rsib! chang!s o' acci(ationL that habit is
(or! !cono(ica than tria an# !rrorL an# that g!notypic contro
(ay b! (or! !cono(ica than acci(ation. :h!s! ar! a centripetal
chang!s in th! ocation o' contro.
In th! broa# pict+r! o' !"o+tion, ho,!"!r, it s!!(s that th! tr!n#
is in th! opposit! #ir!ction6 that nat+ra s!!ction, in th! ong r+n,
'a"ors r!g+ators (or! than a#J+st!rs, an# !-trar!g+ators (or! than
r!g+ators. :his s!!(s to in#icat! that th!r! is a ong ti(!
!"o+tionary a#"antag! to b! gain!# by centrifugal shi'ts in th!
oc+s o' contro.
:o sp!c+at! abo+t prob!(s so "ast is p!rhaps ro(antic, b+t it is
,orth noting that this contrast b!t,!!n th! o"!ra !"o+tionary
tr!n# an# th! tr!n# in a pop+ation 'ac!# ,ith constant str!ss is
,hat ,! (ight !-p!ct 'ro( th! con"!rs! coroary h!r! b!ing
consi#!r!#. I' constant str!ss 'a"ors c!ntrip!ta shi't in th! oc+s o'
contro, an# "ariab! str!ss 'a"ors c!ntri'+ga shi't, th!n it sho+#
'oo, that in th! "ast spans o' ti(! an# chang! ,hich #!t!r(in!
th! broa# !"o+tionary pict+r!, c!ntri'+ga shi't o' contro ,i b!
'a"or!#.
367
S!##ary
In this !ssay th! a+thor +s!s a #!#+cti"! approach. &tarting 'ro(
pr!(is!s o' con"!ntiona physioogy an# !"o+tionary th!ory an#
appying to th!s! th! arg+(!nts o' cyb!rn!tics, h! sho,s that th!r!
(+st b! an economics of somatic fle.i-ility an# that this !cono(ics
(+st, in th! ong r+n, b! co!rci"! +pon th! !"o+tionary proc!ss.
=-t!rna a#aptation by (+tation or g!notypic r!sh+''ing, as
or#inariy tho+ght o', ,i in!"itaby +s! +p th! a"aiab! so(atic
'!-ibiity. It 'oo,s;i' !"o+tion is to b! contin+o+s;that th!r!
(+st aso b! a cass o' g!notypic chang!s ,hich ,i con'!r a bon+s
o' so(atic '!-ibiity.
In g!n!ra, th! so(atic achi!"!(!nt o' chang! is +n!cono(ica
b!ca+s! th! proc!ss #!p!n#s +pon ho(!ostasis, i.!., +pon ,ho!
circ+its o' int!r#!p!n#!nt "ariab!s. It 'oo,s that inh!ritanc! o'
ac.+ir!# charact!ristics ,o+# b! !tha to th! !"o+tionary syst!(
b!ca+s! it ,o+# fi. th! "a+!s o' th!s! "ariab!s a aro+n# th!
circ+its. :h! organis( or sp!ci!s ,o+#, ho,!"!r, b!n!'it 2in
s+r"i"a t!r(s3 by g!notypic chang! ,hich ,o+# simulate
@a(arc*ian inh!ritanc!, i.!., ,o+# bring abo+t th! a#apti"!
co(pon!nt o' so(atic ho(!ostasis ,itho+t in"o"ing th! ,ho!
ho(!ostatic circ+it. &+ch a g!notypic chang! 2!rron!o+sy ca!# th!
90a#C,in !''!ct93 ,o+# con'!r a bon+s o' so(atic '!-ibiity an#
,o+# th!r!'or! ha"! (ar*!# s+r"i"a "a+!.
7inay, it is s+gg!st!# that a contrary arg+(!nt can b! appi!# in
thos! cas!s ,h!r! a pop+ation (+st acci(at! to &aria-le str!ss.
E!r! nat+ra s!!ction sho+# 'a"or an antiC0a#,in !''!ct.
368
P&o)le(! in Ceta'ean an# Othe&
Ma((alian Co((uni'ation%
The Co##!nication of %re"er$al Ma##als
*
5' th! C!tac!a I ha"! ha# itt! !-p!ri!nc!. I onc! #iss!ct!# in
th! Ca(bri#g! Mooogica @aboratori!s a sp!ci(!n o' 6*ocoena
bo+ght 'ro( th! oca 'ish(ong!r, an# #i# not r!ay !nco+nt!r
c!tac!ans again +nti this y!ar, ,h!n I ha# an opport+nity to (!!t
?r. @iyIs #ophins. I hop! that (y #isc+ssion o' so(! o' th!
.+!stions that ar! in (y (in# as I approach th!s! p!c+iar (a((as
,i assist yo+ in !-a(ining !ith!r th!s! or r!at!# .+!stions.
Ay pr!"io+s ,or* in th! 'i!#s o' anthropoogy, ani(a !thoogy,
an# psychiatric th!ory pro"i#!s a th!or!tica 'ra(!,or* 'or th!
transactiona anaysis o' b!ha"ior. :h! pr!(is!s o' this th!or!tica
position (ay b! bri!'y s+((ari/!#6 213 that a r!ationship b!t,!!n
t,o 2or (or!3 organis(s is, inC'act, a s!.+!nc! o' &C4 s!.+!nc!s
2i.!.,. o' cont!-ts in ,hich protoC!arning occ+rs3 L 223 that #!+t!roC
!arning 2i.!., !arning to !arn3 is, in 'act, th! ac.+iring o'
in'or(ation abo+t th! conting!ncy patt!rns o' th! cont!-ts in ,hich
protoC!arning occ+rsL an# 233 that th! 9charact!r9 o' th! organis( is
th! aggr!gat! o' its #!+t!roC!arning an# th!r!'or! r!'!cts th!
cont!-t+a patt!rns o' past proto!arning.
10
H
:his artic! app!ar!# as Chapt!r >5, pp. 5G9%799, in 2*ales, 8olp*ins
and 6orpoises, !#it!# by <!nn!th &. )orris, %ni"!rsity o' Cai'ornia $r!ss, 1966.
4!print!# by p!r(ission o' :h! 4!g!nts o' th! %ni"!rsity o' Cai'ornia.
10
J. 4+!sch an# 1. 0at!son, "ommunication# !*e Social ,atri. of 6syc*iatry,
)!, For*, )orton, 1951.
369
:h!s! pr!(is!s ar! !ss!ntiay a hi!rarchic str+ct+ring o' !arning
th!ory aong in!s r!at!# to 4+ss!Is :h!ory o' @ogica :yp!s.
11
:h! pr!(is!s, 'oo,ing th! :h!ory o' :yp!s, ar! pri(ariy
appropriat! 'or th! anaysis o' digital co((+nication. :o ,hat
!-t!nt th!y (ay b! appicab! to anaogic co((+nication or to
syst!(s that co(bin! th! #igita ,ith th! anaogic is prob!(atic. I
hop! that th! st+#y o' #ophin co((+nication ,i thro, ight on
th!s! '+n#a(!nta prob!(s. :h! point is not !ith!r to #isco"!r that
#ophins ha"! co(p!- ang+ag! or to t!ach th!( =ngish, b+t to
cos! gaps in o+r th!or!tica *no,!#g! o' communication by
st+#ying a syst!( that, ,h!th!r r+#i(!ntary or co(p!-, is a(ost
c!rtainy o' a totay +n'a(iiar *in#.
@!t (! start 'ro( th! 'act that th! #ophin is a (a((a. :his 'act
has, o' co+rs!, a sorts o' i(pications 'or anato(y an# physioogy,
b+t it is not ,ith th!s! that I a( conc!rn!#. I a( int!r!st!# in his
co((+nication, in ,hat is ca!# his 9b!ha"ior,9 oo*!# at as an
aggr!gat! o' #ata p!rc!ptib! an# meaningful to oth!r (!(b!rs o'
th! sa(! sp!ci!s. It is (!aning'+, 'irst, in th! s!ns! that it a''!cts a
r!cipi!nt ani(aIs b!ha"ior, an#, s!con#, in th! s!ns! that
p!rc!ptib! 'ai+r! to achi!"! appropriat! (!aning in th! 'irst s!ns!
,i a''!ct th! b!ha"ior o' both ani(as. 8hat I say to yo+ (ay b!
totay in!''!cti"!, b+t (y ineffecti&eness, i' p!rc!ptib!, ,i a''!ct
both yo+ an# (!. I str!ss this point b!ca+s! it (+st b! r!(!(b!r!#
that in a r!ationships b!t,!!n (an an# so(! oth!r ani(a,
!sp!ciay ,h!n that ani(a is a #ophin, a "!ry arg! proportion o'
th! b!ha"ior o' both organis(s is #!t!r(in!# by this *in# o'
in!''!cti"!n!ss.
8h!n I "i!, th! b!ha"ior o' #ophins as co((+nication, th!
(a((aian ab! i(pi!s, 'or (!, so(!thing "!ry #!'init!. @!t (!
i+strat! ,hat I ha"! in (in# by an !-a(p! 'ro( 0!nson
1insb+rgIs ,o' pac* in th! 0roo*'i!# Moo.
A(ong th! Cani#a!, ,!aning is p!r'or(!# by th! (oth!r. 8h!n
th! p+ppy as*s 'or (i*, sh! pr!ss!s #o,n ,ith h!r op!n (o+th on
th! bac* o' his n!c*, cr+shing hi( #o,n to th! gro+n#. &h! #o!s
this r!p!at!#y +nti h! stops as*ing. :his (!tho# is +s!# by
11
A. ). 8hit!h!a# an# 0. 4+ss!, 6rincipia ,at*ematica, @on#on, Ca(bri#g!
%ni"!rsity $r!ss, 1910.
370
coyot!s, #ingo!s, an# th! #o(!stic #og. A(ong ,o"!s th! syst!(
is #i''!r!nt. :h! p+ppi!s gra#+at! s(oothy 'ro( th! nipp! to
r!g+rgitat!# 'oo#. :h! pac* co(!s bac* to th! #!n ,ith th!ir b!i!s
'+. A r!g+rgitat! ,hat th!y ha"! got an# a !at tog!th!r. At so(!
point th! a#+ts start to ,!an th! p+ppi!s 'ro( th!s! (!as, +sing
th! (!tho# !(poy!# by th! oth!r Cani#a!L th! a#+t cr+sh!s th!
p+ppy #o,n by pr!ssing its op!n (o+th on th! bac* o' th! p+ppyIs
n!c*. In th! ,o' this '+nction is not con'in!# to th! (oth!r, b+t is
p!r'or(!# by a#+ts o' both s!-!s.
:h! pac* !a#!r o' th! Chicago pac* is a (agni'ic!nt (a!
ani(a ,ho !n#!ssy patros th! acr! o' an# to ,hich th! pac* is
con'in!#. E! (o"!s ,ith a b!a+ti'+ trot that app!ars tir!!ss,
,hi! th! oth!r !ight or nin! (!(b!rs o' th! pac* sp!n# (ost o'
th!ir ti(! #o/ing. 8h!n th! '!(a!s co(! in h!at th!y +s+ay
proposition th! !a#!r, b+(ping against hi( ,ith th!ir r!ar !n#s.
%s+ay, ho,!"!r, h! #o!s not r!spon#, tho+gh h! #o!s act to
pr!"!nt oth!r (a!s 'ro( g!tting th! '!(a!s. @ast y!ar on! o'
th!s! (a!s s+cc!!#!# in !stabishing coit+s ,ith a '!(a!. As in
th! oth!r Cani#a!, th! (a! ,o' is oc*!# in th! '!(a!, +nab! to
,ith#ra, his p!nis, an# this ani(a ,as h!p!ss. %p r+sh!# th!
pac* !a#!r. 8hat #i# h! #o to th! h!p!ss (a! ,ho #ar!# to
in'ring! th! !a#!rIs pr!rogati"!sD Anthropo(orphis( ,o+#
s+gg!st that h! ,o+# t!ar th! h!p!ss (a! to pi!c!s. 0+t no. :h!
'i( sho,s that h! pr!ss!# #o,n th! h!a# o' th! o''!n#ing (a!
'o+r ti(!s ,ith his op!n Ja,s an# th!n si(py ,a*!# a,ay.
8hat ar! th! i(pications 'or r!s!arch 'ro( this i+strationD
8hat th! pac* !a#!r #o!s is not #!scribab!, or ony ins+''ici!nty
#!scrib!#, in &C4 t!r(s. E! #o!s not 9n!gati"!y r!in'orc!
9
th! oth!r
(a!Is s!-+a acti"ity. E! ass!rts or a''ir(s th! nat+r! o' th!
r!ationship b!t,!!n hi(s!' an# th! oth!r. I' ,! ,!r! to transat!
th! pac* !a#!rIs action into ,or#s, th! ,or#s ,o+# not b! 9?onIt
#o that.9 4ath!r, th!y ,o+# transat! th! (!taphoric action6 9I a(
yo+r s!nior a#+t (a!, yo+ p+ppyO9 8hat I a( trying to say abo+t
,o"!s in partic+ar, an# abo+t pr!"!rba (a((as in g!n!ra, is
that th!ir #isco+rs! is pri(ariy abo+t th! r+!s an# th! conting!nci!s
o' r!ationship.
@!t (! o''!r a (or! 'a(iiar !-a(p! to h!p bring ho(! to yo+
th! g!n!raity o' this "i!,, ,hich is by no (!ans ortho#o- a(ong
371
!thoogists. 8h!n yo+r cat is trying to t! yo+ to gi"! h!r 'oo#,
ho, #o!s sh! #o itD &h! has no ,or# 'or 'oo# or 'or (i*. 8hat
sh! #o!s is to (a*! (o"!(!nts an# so+n#s that ar!
charact!risticay thos! that a *itt!n (a*!s to a (oth!r cat. I' ,!
,!r! to transat! th! catIs (!ssag! into ,or#s, it ,o+# not b!
corr!ct to say that sh! is crying 9Ai*O9 4ath!r, sh! is saying
so(!thing i*! 9AaC(aO9 5r, p!rhaps sti (or! corr!cty, ,!
sho+# say that sh! is ass!rting 9?!p!n#!ncyO ?!p!n#!ncyO9 :h!
cat ta*s in t!r(s o' patt!rns an# conting!nci!s o' r!ationship, an#
'ro( this ta* it is +p to yo+ to ta*! a deducti&e st!p, g+!ssing that
it is (i* that th! cat ,ants. It is th! n!c!ssity 'or this #!#+cti"!
st!p ,hich (ar*s th! #i''!r!nc! b!t,!!n pr!"!rba (a((aian
co((+nication an# -ot* th! co((+nication o' b!!s an# th!
ang+ag!s o' (!n.
8hat ,as !-traor#inary;th! gr!at n!, thing;in th! !"o+tion
o' h+(an ang+ag! ,as not th! #isco"!ry o' abstraction or
g!n!rai/ation, b+t th! #isco"!ry o' ho, to b! sp!ci'ic abo+t
so(!thing oth!r than r!ationship. In#!!#, this #isco"!ry, tho+gh it
has b!!n achi!"!#, has scarc!y a''!ct!# th! b!ha"ior !"!n o'
h+(an b!ings. I' A says to 0, 9:h! pan! is sch!#+!# to !a"! at
G.?C,9 0 rar!y acc!pts this r!(ar* as si(py an# so!y a
stat!(!nt o' 'act abo+t th! pan!. Aor! o't!n h! #!"ot!s a '!,
n!+rons to th! .+!stion, 98hat #o!s AIs t!ing (! this in#icat! 'or
(y r!ationship to AD9 5+r (a((aian anc!stry is "!ry n!ar th!
s+r'ac!, #!spit! r!c!nty ac.+ir!# ing+istic tric*s.
0! that as it (ay, (y 'irst !-p!ctation in st+#ying #ophin
co((+nication is that it ,i pro"! to ha"! th! g!n!ra (a((aian
charact!ristic o' b!ing pri(ariy abo+t r!ationship. :his pr!(is! is
in its!' p!rhaps s+''ici!nt to acco+nt 'or th! spora#ic #!"!op(!nt
o' arg! brains a(ong (a((as. 8! n!!# not co(pain that, as
!!phants #o not ta* an# ,ha!s in"!nt no (o+s!traps, th!s!
cr!at+r!s ar! not o"!rty int!ig!nt. A that is n!!#!# is to s+ppos!
that arg!Cbrain!# cr!at+r!s ,!r!, at so(! !"o+tionary stag!,
+n,is! !no+gh to g!t into th! ga(! o' r!ationship an# that, onc!
th! sp!ci!s ,as ca+ght in this ga(! o' int!rpr!ting its (!(b!rsI
b!ha"ior to,ar# on! anoth!r as r!!"ant to this co(p!- an# "ita
s+bJ!ct, th!r! ,as s+r"i"a "a+! 'or thos! in#i"i#+as ,ho co+#
pay th! ga(! ,ith gr!at!r ing!n+ity or gr!at!r ,is#o(. 8! (ay,
372
th!n, r!asonaby !-p!ct to 'in# a high co(p!-ity o'
co((+nication abo+t r!ationship a(ong th! C!tac!a. 0!ca+s!
th!y ar! (a((as, ,! (ay !-p!ct that th!ir co((+nication ,i
b! abo+t, an# pri(ariy in t!r(s o', patt!rns an# conting!nci!s o'
r!ationship. 0!Cca+s! th!y ar! socia an# arg!Cbrain!#, ,! (ay
!-p!ct a high #!gr!! o' co(p!-ity in th!ir co((+nication.
Methodolo&ical Considerations
:h! abo"! hypoth!sis intro#+c!s "!ry sp!cia #i''ic+ti!s into th!
prob!( o' ho, to t!st ,hat is ca!# th!
9
psychoogy9 2!.g.,
int!ig!nc!, ing!n+ity, #iscri(ination, !tc.3 o' in#i"i#+a ani(as. A
si(p! #iscri(ination !-p!ri(!nt, s+ch as has b!!n r+n in th! @iy
aboratori!s, an# no #o+bt !s!,h!r!, in"o"!s a s!ri!s o' st!ps6 213
:h! #ophin (ay or (ay not p!rc!i"! a #i''!r!nc! b!t,!!n th!
sti(++s obJ!cts, U an# F. 223 :h! #ophin (ay or (ay not p!rc!i"!
that this #i''!r!nc! is a c+! to b!ha"ior. 233 :h! #ophin (ay or (ay
not p!rc!i"! that th! b!ha"ior in .+!stion has a goo# or ba# !''!ct
+pon r!in'orc!(!nt, that is, that #oing 9right9 is con#itionay
'oo,!# by 'ish. 243 :h! #ophin (ay or (ay not choos! to #o
9right,9 !"!n a't!r h! *no,s ,hich is right. &+cc!ss in th! 'irst thr!!
st!ps (!r!y pro"i#!s th! #ophin ,ith a '+rth!r choic! point. :his
!-tra #!gr!! o' 'r!!#o( (+st b! th! 'irst 'oc+s o' o+r in"!stigations.
It (+st b! o+r ir!t 'oc+s 'or (!tho#oogica r!asons. Consi#!r
th! arg+(!nts that ar! con"!ntionay bas!# +pon !-p!ri(!nts o'
this *in#. 8! arg+! a,ays 'ro( th! at!r st!ps in th! s!ri!s to th!
!ari!r st!ps. 8! say, 9I' th! ani(a ,as ab! to achi!"! st!p 2 in o+r
!-p!ri(!nt, th!n h! (+st ha"! b!!n ab! to achi!"! st!p 1.9 I' h!
co+# !arn to b!ha"! in th! ,ay that ,o+# bring hi( th! r!,ar#,
th!n h! (+st ha"! ha# th! n!c!ssary s!nsory ac+ity to #iscri(inat!
b!t,!!n U an# F, an# so on.
$r!cis!y b!ca+s! ,! ,ant to arg+! 'ro( obs!r"ation o' th!
ani(aIs s+cc!ss in th! at!r st!ps to conc+sions abo+t th! (or!
!!(!ntary st!ps, it b!co(!s o' pri(! i(portanc! to *no, ,h!th!r
th! organis( ,ith ,hich ,! ar! #!aing is capab! o' st!p 4. I' it is
capab!, th!n a arg+(!nts abo+t st!ps 1 thro+gh ? ,i b!
373
in"ai#at!# +n!ss appropriat! (!tho#s o' controing st!p 4 ar!
b+it into th! !-p!ri(!nta #!sign. C+rio+sy !no+gh, tho+gh
h+(an b!ings ar! '+y capab! o' st!p 4, psychoogists ,or*ing
,ith h+(an s+bJ!cts ha"! b!!n ab! to st+#y st!ps 1 thro+gh 3
,itho+t ta*ing sp!cia car! to !-c+#! th! con'+sions intro#+c!#
by this 'act. I' th! h+(an s+bJ!ct is 9coop!rati"! an# san!,9 h!
+s+ay r!spon#s to th! t!sting sit+ation by r!pr!ssing (ost o' his
i(p+s!s to (o#i'y his b!ha"ior accor#ing to his p!rsona "i!, o'
his r!ationship to th! !-p!ri(!nt!r. :h! ,or#s cooperati&e an#
sane i(py a #!gr!! o' consist!ncy at th! !"! o' st!p 4. :h!
psychoogist op!rat!s by a sort o' petitio principii# i' th! s+bJ!ct is
coop!rati"! an# san! 2i.!., i' th! r!ationa r+!s ar! 'airy
constant3, th! psychoogist n!!# not ,orry abo+t chang!s in thos!
r+!s.
:h! prob!( o' (!tho# b!co(!s !ntir!y #i''!r!nt ,h!n th!
s+bJ!ct is noncoop!rati"!, psychopathic, schi/ophr!nic, a na+ghty
chi#, or a #ophin. $!rhaps th! (ost 'ascinating charact!ristic o'
this ani(a is #!ri"!# pr!cis!y 'ro( his abiity to op!rat! at this
r!ati"!y high !"!, an abiity that is sti to b! #!(onstrat!#.
@!t (! no, consi#!r 'or a (o(!nt th! art o' th! ani(a train!r.
7ro( con"!rsations ,ith th!s! highy s*i!# p!op! ;train!rs o'
both #ophins an# g+i#! #ogs;(y i(pr!ssion is that th! 'irst
r!.+ir!(!nt o' a train!r is that h! (+st b! ab! to pr!"!nt th! ani(a
'ro( !-!rting choic! at th! !"! o' st!p 4. It (+st contin+ay b!
(a#! c!ar to th! ani(a that, ,h!n h! *no,s ,hat is th! right thing
to #o in a gi"!n cont!-t, that is th! ony thing h! can #o, an# no nonC
s!ns! abo+t it. In oth!r ,or#s, it is a pri(ary con#ition o' circ+s
s+cc!ss that th! ani(a sha abrogat! th! +s! o' c!rtain high!r !"!s
o' his int!ig!nc!. :h! art o' th! hypnotist is si(iar.
:h!r! is a story to# o' ?r. &a(+! Johnson. A siy a#y (a#!
h!r #og p!r'or( tric*s in his pr!s!nc!. :h! ?octor s!!(!#
+ni(pr!ss!#. :h! a#y sai#, 90+t ?r. Johnson, yo+ #onIt *no, ho,
#i''ic+t it is 'or th! #og.9 ?r. Johnson r!Cpi!#, 9?i''ic+t, (a#a(D
8o+# it ,!r! i(possib!O9
8hat is a(a/ing abo+t circ+s tric*s is that th! ani(a can
abrogat! th! +s! o' so (+ch o' his int!ig!nc! an# sti ha"!
!no+gh !'t to p!r'or( th! tric*. I r!gar# th! conscio+s int!ig!nc!
374
as th! gr!at!st orna(!nt o' th! h+(an (in#. 0+t (any a+thoriti!s,
'ro( th! M!n (ast!rs to &ig(+n# 7r!+#, ha"! str!ss!# th!
ing!n+ity o' th! !ss conscio+s an# p!rhaps (or! archaic !"!.
Co##!nication A$o!t -elationship
As I sai# !ari!r, I !-p!ct #ophin co((+nication to b! o' an
a(ost totay +n'a(iiar *in#. @!t (! !-pan# on this point. As
(a((as, ,! ar! 'a(iiar ,ith, tho+gh arg!y +nconscio+s o', th!
habit o' co((+nicating abo+t o+r r!ationships. @i*! oth!r
t!rr!stria (a((as, ,! #o (ost o' o+r co((+nicating on this
s+bJ!ct by (!ans o' *in!sic an# paraing+istic signas, s+ch as
bo#iy (o"!(!nts, in"o+ntary t!nsions o' "o+ntary (+sc!s,
chang!s o' 'acia !-pr!ssion, h!sitations, shi'ts in t!(po o' sp!!ch
or (o"!(!nt, o"!rton!s o' th! "oic!, an# irr!g+ariti!s o'
r!spiration. I' yo+ ,ant to *no, ,hat th! bar* o' a #og 9(!ans,9
yo+ oo* at his ips, th! hair on th! bac* o' his n!c*, his tai, an# so
on. :h!s! 9!-pr!ssi"!9 parts o' his bo#y t! yo+ at ,hat obJ!ct o'
th! !n"iron(!nt h! is bar*ing, an# ,hat patt!rns o' r!ationship to
that obJ!ct h! is i*!y to 'oo, in th! n!-t '!, s!con#s. Abo"! a,
yo+ oo* at his s!ns! organs6 his !y!s, his !ars, an# his nos!.
In a (a((as, th! organs o' s!ns! b!co(! aso organs 'or th!
trans(ission o' (!ssag!s abo+t r!ationship. A bin# (an (a*!s +s
+nco('ortab!, not b!ca+s! h! cannot s!! that is his prob!( an# ,!
ar! ony #i(y a,ar! o' it;b+t b!ca+s! h! #o!s not trans(it to +s
thro+gh th! (o"!(!nt o' his !y!s th! (!ssag!s ,! !-p!ct an# n!!#
so that ,! (ay *no, an# b! s+r! o' th! stat! o' o+r r!ationship to
hi(. 8! sha not *no, (+ch abo+t #ophin co((+nication +nti
,! *no, ,hat on!
C
#ophin can r!a# in anoth!rIs +s!, #ir!ction,
"o+(!, an# pitch o' !choocation.
$!rhaps it is this ac* in +s ,hich (a*!s th! co((+nication o'
#ophins s!!( (yst!rio+s an# opa.+!, b+t I s+sp!ct a (or!
375
pro'o+n# !-panation. A#aptation to i'! in th! oc!an has stripp!#
th! ,ha!s o' 'acia !-pr!ssion. :h!y ha"! no !-t!rna !ars to 'ap
an# '!, i' any !r!cti! hairs. ="!n th! c!r"ica "!rt!bra! ar! '+s!#
into a soi# boc* in (any sp!ci!s, an# !"o+tion has str!a(in!# th!
bo#y, sacri'icing th! !-pr!ssi"!n!ss o' s!parat! parts to th!
oco(otion o' th! ,ho!. Aor!o"!r, con#itions o' i'! in th! s!a ar!
s+ch that !"!n i' a #ophin ha# a (obi! 'ac!, th! #!tais o' his !-C
pr!ssion ,o+# b! "isib! to oth!r #ophins ony at rath!r short
rang!, !"!n in th! c!ar!st ,at!rs.
It is r!asonab!, th!n, to s+ppos! that in th!s! ani(as
"ocai/ation has ta*!n o"!r th! co((+nicati"! '+nctions that (ost
ani(as p!r'or( by 'acia !-pr!ssion, ,agging tais, c!nch!# 'ists,
s+pinat!# han#s, 'aring nostris, an# th! i*!. 8! (ight say that th!
,ha! is th! co((+nicationa opposit! o' th! gira''!L it has no n!c*,
b+t has a "oic!. :his sp!c+ation aon! ,o+# (a*! th!
co((+nication o' #ophins a s+bJ!ct o' gr!at th!or!tica int!r!st. It
,o+# b! 'ascinating, 'or !-a(p!, to *no, ,h!th!r or not, in an
!"o+tionary shi't 'ro( *in!sics to "ocai/ation, th! sa(! g!n!ra
str+ct+r! o' cat!gori!s is r!tain!#.
Ay o,n i(pr!ssion;an# it is ony an i(pr!ssion +ns+pport!#
by t!sting;is that th! hypoth!sis that #ophins ha"! s+bstit+t!#
paraing+istics 'or *in!sics #o!s not .+it! 'it in ,ith (y !-p!ri!nc!
,h!n I ist!n to th!ir so+n#s. 8! t!rr!stria (a((as ar! 'a(iiar
,ith paraing+istic co((+nicationL ,! +s! it o+rs!"!s in gr+nts an#
groans, a+ght!r an# sobbing, (o#+ations o' br!ath ,hi! sp!a*ing,
an# so on. :h!r!'or! ,! #o not 'in# th! paraing+istic so+n#s o'
oth!r (a((as totay opa.+!. 8! !arn rath!r !asiy to r!cogni/! in
th!( c!rtain *in#s o' gr!!ting, pathos, rag!, p!rs+asion, an#
t!rritoriaity, tho+gh o+r g+!ss!s (ay o't!n b! ,rong. 0+t ,h!n ,!
h!ar th! so+n#s o' #ophins ,! cannot !"!n g+!ss at th!ir
signi'icanc!. I #o not .+it! tr+st th! h+nch that ,o+# !-pain th!
so+n#s o' #ophins as (!r!y an !aboration o' th! paraing+istics o'
oth!r (a((as. 2:o arg+! th+s 'ro( o+r inabiity is, ho,!"!r,
,!a*!r than to arg+! 'ro( ,hat ,! can #o.3
I p!rsonay #o not b!i!"! that th! #ophins ha"! anyCthing that a
h+(an ing+ist ,o+# ca a 9ang+ag!.9 I #o not thin* that any
ani(a ,itho+t han#s ,o+# b! st+pi# !no+gh to arri"! at so
o+tan#ish a (o#! o' co((+nication.
376
:o +s! a synta- an# cat!gory syst!( appropriat! 'or th!
#isc+ssion o' things that can b! han#!#, ,hi! r!ay #isc+ssing
th! patt!rns an# conting!nci!s o' r!ationship, is 'antastic. 0+t that,
I s+b(it, is ,hat is happ!ning in this roo(. I stan# h!r! an# ta*
,hi! yo+ ist!n an# ,atch. I try to con"inc! yo+, try to g!t yo+ to
s!! things (y 'ay, try to !arn yo+r r!sp!ct, try to in#icat! (y
r!sp!ct 'or yo+, cha!ng! yo+, an# so on. 8hat is r!ay ta*ing
pac! is a #isc+ssion o' th! patt!rns o' o+r r!ationship, a
accor#ing to th! r+!s o' a sci!nti'ic con'!r!nc! abo+t ,ha!s. &o it
is to b! h+(an.
I si(py #o not b!i!"! that #ophins ha"! ang+ag! in this
s!ns!. 0+t I #o b!i!"! that, i*! o+rs!"!s an# oth!r (a((as,
th!y ar! pr!occ+pi!# ,ith th! patt!rns o' th!ir r!ationships. @!t +s
ca this #isc+ssion o' patt!rns o' r!ationship th! t '+nction o' th!
(!ssag!. A't!r a, it ,as th! cat ,ho sho,!# +s th! gr!at
i(portanc! o' this '+nction by h!r (!,ing. $r!"!rba (a((as
co((+nicat! abo+t things, ,h!n th!y (+st, by +sing ,hat ar!
pri(ariy ]C'+nction signas. In contrast, h+(an b!ings +s!
ang+ag!, ,hich is pri(ariy ori!nt!# to,ar# things, to #isc+ss
r!ationships. :h! cat as*s 'or (i* by saying 9?!p!n#!ncy,9 an# I
as* 'or yo+r att!ntion an# p!rhaps r!sp!ct by ta*ing abo+t ,ha!s.
0+t ,! #o not *no, that #ophins, in th!ir co((+nication, r!C
s!(b! !ith!r (! or th! cat. :h!y (ay ha"! a .+it! #i''!r!nt
syst!(.
Analo&ic "ers!s Di&ital Co##!nication
:h!r! is anoth!r si#! o' th! prob!(. Eo, #o!s it happ!n that th!
paraing+istics an# *in!sics o' (!n 'ro( strang! c+t+r!s, an# !"!n
th! paraing+istics o' oth!r t!rr!stria (a((as, ar! at !ast party
int!igib! to +s, ,h!r!as th! "!rba ang+ag!s o' (!n 'ro( strang!
c+t+r!s s!!( to b! totay opa.+!D In this r!sp!ct it ,o+# s!!( that
th! "ocai/ations o' th! #ophin r!s!(b! h+(an ang+ag! rath!r
than th! *in!sics or paraing+istics o' t!rr!stria (a((as.
8! *no,, o' co+rs!, ,hy g!st+r!s an# ton!s o' "oic! ar! party
int!igib! ,hi! 'or!ign ang+ag!s ar! +nint!igib!. It is b!ca+s!
377
ang+ag! is digital an# *in!sics an# paraing+istics ar! analogic.
1>
:h! !ss!nc! o' th! (att!r is that in #igita co((+nication a n+(b!r
o' p+r!y con"!ntiona signs C 1 , 2, 3, U, F, an# so on;ar! p+sh!#
aro+n# accor#ing to r+!s ca!# agorith(s. :h! signs th!(s!"!s
ha"! no si(p! conn!ction 2!.g., corr!spon#!nc! o' (agnit+#!3 ,ith
,hat th!y stan# 'or. :h! n+(!ra 959 is not bigg!r than th! n+(!ra
93.9 It is tr+! that i' ,! r!(o"! th! crossbar 'ro( 979 ,! obtain th!
n+(!ra 919L b+t th! crossbar #o!s not, in any s!ns!, stan# 'or 96.9 A
na(! +s+ay has ony a p+r!y con"!ntiona or arbitrary conn!ction
,ith th! class na(!#. :h! n+(!ra 959 is ony th! name o' a
(agnit+#!. It is nonCs!ns! to as* i' (y t!!phon! n+(b!r is arg!r
than yo+rs, b!ca+s! th! t!!phon! !-chang! is a p+r!y #igita co(C
p+t!r. It is not '!# ,ith (agnit+#!s, b+t ony ,ith names o' positions
on a (atri-.
In anaogic co((+nication, ho,!"!r, r!a (agnit+#!s ar! +s!#,
an# th!y corr!spon# to r!a (agnit+#!s in th! s+bJ!ct o' #isco+rs!.
:h! in*!# rang! 'in#!r o' a ca(!ra is a 'a(iiar !-a(p! o' an
anaog+! co(p+t!r. :his #!"ic! is '!# ,ith an ang! that has r!a
(agnit+#! an# is, in 'act, th! ang! that th! bas! o' th! rang! 'in#!r
s+bt!n#s at so(! point on th! obJ!ct to b! photograph!#. :his ang!
contros a ca( that in t+rn (o"!s th! !ns o' th! ca(!ra 'or,ar# or
bac*. :h! s!cr!t o' th! #!"ic! i!s in th! shap! o' th! ca(, ,hich is
an anaogic r!pr!s!ntation 2i.!., a pict+r!, a Cart!sian graph3 o' th!
'+nctiona r!ationship b!t,!!n #istanc! o' obJ!ct an# #istanc! o'
i(ag!.
G!rba ang+ag! is a(ost 2b+t not .+it!3 p+r!y #igita. :h! ,or#
9big9 is not bigg!r than th! ,or# 9itt!9L an# in g!n!ra th!r! is
nothing in th! patt!rn 2i.!., th! syst!( o' int!rr!at!# (agnit+#!s3 in
th! ,or# 9tab!9 ,hich ,o+# corr!spon# to th! syst!( o'
int!rr!at!# (agnit+#!s in th! obJ!ct #!not!#. 5n th! oth!r han#, in
*in!sic an# paraing+istic co((+nication, th! (agnit+#! o' th!
g!st+r!, th! o+#n!ss o' th! "oic!, th! !ngth o' th! pa+s!, th!
12
:h! #i''!r!nc! b!t,!!n #igita an# anaogic (o#!s o' co((+nication (ay
p!rhaps b! (a#! c!ar by thin*ing o' an =ngishCsp!a*ing (ath!(atician con'ront!#
,ith a pap!r by a Japan!s! co!ag+!. E! ga/!s +nco(pr!h!n#ingy at th! Japan!s!
i#!ographs, b+t h! is ab! party to +n#!rstan# th! Cart!sian graphs in th! Japan!s!
p+bication. :h! i#!ographs, tho+gh th!y (ay originay ha"! b!!n anaogic pict+r!s,
ar! no, p+r!y #igitaL th! Cart!sian graphs ar! anaogic.
378
t!nsion o' th! (+sc!, an# so 'orth;th!s! (agnit+#!s co((ony
corr!spon# 2#ir!cty or in"!rs!y3 to (agnit+#!s in th! r!ationship
that is th! s+bJ!ct o' #isco+rs!. :h! patt!rn o' action in th!
co((+nication o' th! ,o' pac* !a#!r is i((!#iat!y int!igib!
,h!n ,! ha"! #ata abo+t th! ,!aning practic!s o' th! ani(a, 'or
th! ,!aning practic!s ar! th!(s!"!s anaogic *in!sic signas.
It is ogica, th!n, to consi#!r th! hypoth!sis that th!
"ocai/ation o' #ophins (ay b! a digital !-pr!ssion o' ]
'+nctions. It is this possibiity that I !sp!ciay ha"! in (in# in
saying that this co((+nication (ay b! o' an a(ost totay
+n'a(iiar *in#. Aan, it is tr+!, has a '!, ,or#s 'or ] '+nctions,
,or#s i*! 9o"!,9 9r!sp!ct,9 9#!p!n#!ncy,
9
an# so on. 0+t th!s!
,or#s '+nction poory in th! act+a #isc+ssion o' r!ationship
b!t,!!n participants in th! r!ationship. I' yo+ say to a gir, 9I o"!
yo+,9 sh! is i*!y to pay (or! att!ntion to th! acco(panying
*in!sics an# paraing+istics than to th! ,or#s th!(s!"!s.
8! h+(ans b!co(! "!ry +nco('ortab! ,h!n so(!bo#y starts
to int!rpr!t o+r post+r!s an# g!st+r!s by transating th!( into
,or#s abo+t r!ationship. 8! (+ch pr!'!r that o+r (!ssag!s on
this s+bJ!ct r!(ain anaogic, +nconscio+s, an# in"o+ntary. 8!
t!n# to #istr+st th! (an ,ho can si(+at! (!ssag!s abo+t
r!ationship. 8! th!r!'or! ha"! no i#!a ,hat it is i*! to b! a
sp!ci!s ,ith !"!n a "!ry si(p! an# r+#i(!ntary digital syst!(
,hos! pri(ary s+bJ!ct (att!r ,o+# b! ] '+nctions. :his syst!( is
so(!thing ,! t!rr!stria (a((as cannot i(agin! an# 'or ,hich
,! ha"! no !(pathy.
-esearch %lans
:h! (ost sp!c+ati"! part o' (y pap!r is th! #isc+ssion o' pans
'or th! t!sting an# a(pi'ication o' s+ch a bo#y o' hypoth!s!s. I
sha b! g+i#!# by th! 'oo,ing h!+ristic ass+(ptions6
213 :h! !pist!(oogy in ,hos! t!r(s th! hypoth!s!s ar!
constr+ct!# is its!' not s+bJ!ct to t!sting. ?!ri"!# 'ro( 8hit!h!a#
379
an# 4+ss!,
13
it s!r"!s to g+i#! o+r ,or*. &ho+# th! ,or* pro"!
r!,ar#ing, th! s+cc!ss ,i b! ony a ,!a* "!ri'ication o' th!
!pist!(oogy.
2238! #o not !"!n *no, ,hat a pri(iti"! #igita syst!( 'or th!
#isc+ssion o' patt!rns o' r!ationship (ight oo* i*!, b+t ,! can
g+!ss that it ,o+# not oo* i*! a 9thing
9
ang+ag!. 2It (ight, (or!
probaby, r!s!(b! (+sic.3 I sha th!r!'or! not !-p!ct th!
t!chni.+!s 'or crac*ing h+(an ing+istic co#!s to b! i((!#iat!y
appicab! to th! "ocai/ation o' #ophins.
233:h! 'irst r!.+ir!(!nt, th!n, is to i#!nti'y an# to cassi'y th!
"ari!ti!s an# th! co(pon!nts o' r!ationship !-isting a(ong th!
ani(as thro+gh #!tai!# !thoogica st+#y o' th!ir actions,
int!ractions, an# socia organi/ation. :h! !!(!nts o' ,hich th!s!
patt!rns ar! b+it ar! #o+bt!ss sti pr!s!nt in th! *in!sics an#
actions o' th! sp!ci!s. 8! th!r!C'or! b!gin ,ith a isting o' th!
*in!sic signas o' in#i"i#+a #ophins, an# th!n try to r!at! th!( to
th! cont!-ts in ,hich th!y ar! +s!#.
243)o #o+bt, J+st as th! pac* !a#!rIs b!ha"ior t!s +s that
9
#o(inanc!9 a(ong ,o"!s is (!taphoricay r!at!# to ,!aning,
so aso th! #ophins ,i t! +s th!ir *in!sic (!taphors 'or
9
#o(inanc!,9 9#!p!n#!ncy,9 an# oth!r ] '+nctions. 1ra#+ay this
syst!( o' signas ,i 'it tog!th!r pi!c! by pi!c! to 'or( a pict+r!
o' th! "ari!ti!s o' r!ationship !-isting !"!n a(ong ani(as
arbitrariy con'in!# tog!th!r in a tan*.
253As ,! b!gin to +n#!rstan# th! (!taphor syst!( o' th!
#ophin, it ,i b!co(! possib! to r!cogni/! an# cassi'y th!
cont!-ts o' his "ocai/ation. At this point th! statistica t!chni.+!s
'or crac*ing co#!s (ay conc!i"aby b!co(! +s!'+.
:h! ass+(ptions r!gar#ing th! hi!rarchic str+ct+r! o' th!
!arning proc!ss;+pon ,hich this ,ho! pap!r is bas!# ;pro"i#!
th! basis 'or "ario+s *in#s o' !-p!ri(!ntation. :h! cont!-ts o'
protoC!arning (ay b! "ario+sy constr+ct!# ,ith a "i!, to
obs!r"ing in ,hat typ!s o' cont!-ts c!rtain typ!s o' !arning (ost
r!a#iy occ+r. 8! sha pay sp!cia att!ntion to thos! cont!-ts that
in"o"! !ith!r r!ationships b!t,!!n t,o or (or! ani(as an# on!
p!rson, or r!ationships b!t,!!n t,o or (or! p!op! an# on!
13

I
8hit!h!a# an# 4+ss!, op. cit.
380
ani(a. &+ch cont!-ts ar! (iniat+r! (o#!s o' socia organi/ation
,ithin ,hich th! ani(a (ay b! !-p!ct!# to sho, charact!ristic
b!ha"iors an# to (a*! charact!ristic att!(pts to (o#i'y th!
cont!-t 2i.!., to (anip+at! th! h+(ans3.
Co##ents
,r. 2ood# In th! co+rs! o' t,!"! y!ars in Aarin! &t+#ios in
7ori#a, I sp!nt a gr!at #!a o' ti(! ,atching ,hat ,as p!rhaps th!
(ost nat+ra ass!(bag! o' !ursiops in capti"ity, inc+#ing ani(as
o' "ario+s ag!s, +s+ay t,o or (or! o' th!( in th! proc!ss o'
gro,ing +p, an# I sa, r!(ar*aby itt! o' ,hat yo+ ar! going to
oo* 'or in a (+ch (or! r!strict!# gro+p o' ani(as in th! Girgin
Isan#s.
5n! ti(! I sa, so(!thing "!ry int!r!sting. =ary on! (orning
abo+t si- or si-Cthirty, o"!r a p!rio# o' at !ast ha' an ho+r, th! a#+t
(a! ass+(!# a position n!-t to on! o' th! '!(a!s in th! tan* ,ho
,as hanging (otion!ss in th! c+rCr!nt. E! ,o+# go +p
occasionay an# (o"! a,ay an# th!n co(! bac* an# ass+(! a
position b!si#! h!r, an# h! ,o+# stro*! h!r si#! ,ith his right
'ipp!r r!p!at!#y. :h!r! ,as no in#ication that this ha# s!-+a
signi'icanc!. :h!r! ,as no !r!ction on th! part o' th! (a!, an# no
obs!r"ab! r!spons! on th! part o' th! '!(a!. 0+t it ,as as c!arCc+t
a non"oca signa as I !"!r obs!r"!# in th! tan*.
,r. <ateson# I ,o+# i*! to say that th! a(o+nt o' signaing that
go!s on is (+ch gr!at!r than is !"i#!nt at 'irst sight. :h!r! ar!, o'
co+rs!, th! rath!r sp!ci'ic *in#s o' signas ,hich ar! "!ry i(portant.
I a( not #!nying that. I (!an th! to+ching, an# so on. 0+t th! shy
in#i"i#+a, th! tra+(ati/!# '!(a!, staying a(ost stationary thr!!
'!!t b!Co, th! s+r'ac! ,hi! t,o oth!r in#i"i#+as 'oo aro+n#, is
g!tting a gr!at #!a o' att!ntion J+st by sitting th!r! an# staying. &h!
(ay not b! acti"!y trans(itting, b+t in this b+sin!ss o' bo#iy
co((+nication, yo+ #onIt ha"! to b! acti"!y trans(itting in or#!r
to ha"! yo+r signas pic*!# +p by oth!r p!op!. Fo+ can J+st -e, an#
J+st by b!ing sh! attracts an !nor(o+s a(o+nt o' att!ntion 'ro(
th!s! oth!r t,o in#i"i#+as ,ho co(! o"!r, pass by, pa+s! a itt! as
381
th!y pass, an# so on. &h! is, ,! ,o+# say, 9,ith#ra,n,9 b+t sh! is
act+ay abo+t as ,ith#ra,n as a schi/ophr!nic ,ho by b!ing
,ith#ra,n b!co(!s th! c!nt!r o' gra"ity o' th! 'a(iy. A oth!r
(!(b!rs o' th! gro+p (o"! aro+n# th! 'act o' h!r ,ith#ra,a,
,hich sh! n!"!r !ts th!( 'orCg!t.
8r. $ay# I t!n# to agr!! ,ith Ar. 0at!son. 8! ar! ,or*ing at th!
)!, For* A.+ari+( ,ith th! b!+ga ,ha!, an# I b!i!"! th!s!
ani(as ar! (+ch (or! !-pr!ssi"! than ,! i*! to s+sp!ct. I thin*
on! o' th! r!asons th!y #onIt #o "!ry (+ch in capti"ity is that th!y
ar! bor!# to t!ars (ost o' th! ti(!. :h!r! is nothing (+ch o' int!r!st
in th!ir tan* !n"iron(!nt, an# I ,o+# i*! to s+gg!st that ,! ha"!
to (anip+at! th!ir capti"ity (+ch (or! c!"!ry than ,! #o. I #onIt
(!an han#ing th! ,ha!s. :h!y #onIt i*! that. 0+t th! intro#+ction
o' #i''!r!nt typ!s o' ani(as, or c!"!r itt! things that ,! (ight #o
,o+# g!t th!( to r!spon# (or!. Capti"! c!tac!ans ar! i*!
(on*!ys in a cag!. :h!y ar! highy int!ig!nt an# highy
#!"!op!#, an# th!y ar! bor!#.
Anoth!r 'actor is o+r s*i in obs!r"ation, an# in th! b!+ga
,ha!, at !ast, ,! ha"! b!!n ab! to notic! "is+ay th! so+n#s th!y
ar! (a*ing by ,atching th! chang! in th! shap! o' th! (!on, ,hich
is !-tr!(!y (ar*!# in this ani(a. It can s,! on on! si#! or th!
oth!r, or ta*! s!"!ra #i''!r!nt shap!s corr!at!# ,ith so+n#
pro#+ction. &o, by "!ry car!'+ obs!r"ation an#Kor s*i!#
(anip+ation, I thin* a gr!at #!a can b! #on! ,ith th!s! ani(as
rath!r si(py.
,r. <ateson# I ha# (!ant to point o+t that a s!ns! organs
a(ong (a((as, an# !"!n a(ong ants, b!co(! (aJor organs 'or
th! trans(ission o' (!ssag!s, s+ch as, 98h!r! ar! th! oth!r '!o,Is
!y!s 'oc+s!#D9 an#, 9Ar! his pinna! 'oc+s!# in on! #ir!ction or
anoth!rD9 In this ,ay s!ns! organs b!co(! trans(itting organs 'or
signas.
5n! o' th! things ,! (+st abso+t!y ac.+ir! i' ,! ar! going to
+n#!rstan# #ophins is a *no,!#g! o' ,hat on! ani(a *no,s an#
can r!a# 'ro( anoth!r ani(asI +s! o' sonar. I s+sp!ct th! pr!s!nc!
o' a sorts o' co+rt!sy r+!s in this b+sin!ssL it probaby isnIt poit!
to sonar scan yo+r 'ri!n#s too (+ch, J+st as a(ong h+(an b!ings it
is not poit!, r!ay, to oo* at anoth!rIs '!!t in #!tai. 8! ha"! (any
382
taboos on obs!r"ing on! anoth!rs
I
*in!sics, b!ca+s! too (+ch
in'or(ation can b! got in that ,ay.
8r. 6ur&es# It s!!(s to (! that th! #ophin or th! c!tac!an (+st
s+''!r 'ro( an !"!n gr!at!r #isa#"antag! than (an has in th! past,
b!ca+s!;I ha"! 'orgott!n th! a+thority;it has b!!n sai# that th!
origin o' h+(an sp!!ch is an anaog+! ang+ag!. In oth!r ,or#s, i'
yo+ +s! th! ,or# 9#o,n,9 yo+ o,!r th! han# an# o,!r th! o,!r
Ja, at th! sa(! ti(!. I' yo+ say 9+p,9 yo+ rais! th! han# an# rais!
th! o,!r Ja,. An# i' yo+ +s! th! ,or# 9tab!,9 an#, b!tt!r sti,
prono+nc! it in 7r!nch, yo+r (o+th ,i#!ns o+t an# yo+ (a*! a
hori/onta g!st+r!. Eo,!"!r co(picat!# th! h+(an ang+ag! is, it
has its origin in an anaog+! ang+ag!. :h! poor porpois! has
nothing i*! this to start 'ro(. &o h! (+st ha"! b!!n highy
int!ig!nt to ha"! #!"!op!# a co((+nication syst!( co(p!t!y
de no&o.
,r. <ateson# 8hat has happ!n!# to this cr!at+r! is that th!
in'or(ation ,! g!t "is+ay an# th! oth!r t!rr!stria ani(as g!t
"is+ay (+st ha"! b!!n p+sh!# into "oic!. I sti (aintain that it is
appropriat! 'or +s to start by in"!stigating ,hat is !'t o' th! "is+a
(at!ria.
383
A Re;e1a(ination o5 :*ate!on<! Rule:
%
(ntrod!ction
)!ary !ighty y!ars ago, (y 'ath!r, 8iia( 0at!son, b!Cca(!
'ascinat!# by th! ph!no(!na o' sy((!try an# (!ta(!ric r!g+arity
as !-hibit!# in th! (orphoogy o' ani(as an# pants. It is #i''ic+t
to#ay to #!'in! pr!cis!y ,hat h! ,as a't!r, b+t, broa#y, it is c!ar
that h! b!i!"!# that an !ntir!y n!, conc!pt o' th! nat+r! o' i"ing
things ,o+# #!"!op 'ro( th! st+#y o' s+ch ph!no(!na. E! h!#,
no #o+bt corr!cty, that nat+ra s!!ction co+# not b! th! ony
#!t!r(inant o' th! #ir!ction o' !"o+tionary chang! an# that th!
g!n!sis o' "ariation co+# not b! a ran#o( (att!r. E! th!r!'or! s!t
o+t to #!(onstrat! r!g+arity an# 9a,'+n!ss9 a(ong th!
ph!no(!na o' "ariabiity.
In his att!(pt to #!(onstrat! a sort o' or#!r ,hich th! bioogists
o' his #ay ha# arg!y ignor!#, h! ,as g+i#!# by th! notion, n!"!r
c!ary 'or(+at!#, that th! pac! to oo* 'or r!g+arity in "ariation
,o+# b! pr!cis!y ,h!r! "ariation ha# its i(pact +pon ,hat ,as
ar!a#y r!g+ar an# r!p!titi"!. :h! ph!no(!na o' sy((!try an#
(!ta(!ris(, th!(s!"!s stri*ingy r!g+ar, (+st s+r!y ha"! b!!n
bro+ght abo+t by r!g+ariti!s or 9a,s9 ,ithin th! !"o+tionary
proc!ss an#, th!r!'or!, th! &ariations o' sy((!try an# (!ta(!ris(
sho+# pr!cis!y !-!(pi'y th!s! a,s at ,or*.
In th! ang+ag! o' to#ay, ,! (ight say that h! ,as groping 'or
thos! or#!ry charact!ristics o' i"ing things ,hich i+strat! th! 'act
that organis(s !"o"! an# #!"!op ,ithCin cyb!rn!tic,
organi/ationa, an# oth!r co((+nicationa i(itations.
It ,as 'or this st+#y that h! coin!# th! ,or# 9g!n!tics.
914
E! s!t o+t to !-a(in! th! (at!ria in th! ,or#
I
s (+s!+(s,
pri"at! co!ctions, an# Jo+rnas b!aring +pon th! t!ratoogy o'
H
:his !ssay has b!!n acc!pt!# 'or p+bication in th! Journal of (enetics, an#
is h!r! r!pro#+c!# ,ith th! p!r(ission o' that Jo+rna.
384
ani(a sy((!try an# (!ta(!ris(. :h! #!Ctais o' this s+r"!y ,!r!
p+bish!# in a arg! boo*
15
,hich is sti o' consi#!rab! int!r!st.
:o #!(onstrat! r!g+arity ,ithin th! 'i!# o' t!ratoogica
"ariation, h! att!(pt!# a cassi'ication o' th! "ario+s sorts o'
(o#i'ication that h! !nco+nt!r!#. 8ith this cassi'ication I a( not
h!r! conc!rn!#, !-c!pt that in th! s+r"!y h! happ!n!# +pon a
g!n!rai/ation ,hich can b! ca!# a 9#isco"!ry.9 :his #isco"!ry
ca(! to b! ca!# 90at!sonIs 4+!9 an# r!(ains on! o' th!
+n!-pain!# (yst!ri!s o' bioogy.
:h! p+rpos! o' th! pr!s!nt not! is to pac! 0at!sonIs 4+! in a
n!, th!or!tica p!rsp!cti"! #!t!r(in!# by cyb!rn!tics, in'or(ation
th!ory, an# th! i*!.
0ri!'y, 0at!sonIs 4+! ass!rts in its si(p!st 'or( that ,h!n an
asy((!trica at!ra app!n#ag! 2!.g., a right han#3 is r!#+picat!#,
th! r!s+ting r!#+picat!# i(b ,i b! biat!ray sy((!trica,
consisting o' t,o parts !ach a (irror i(ag! o' th! oth!r an# so
pac!# that a pan! o' sy((!try co+# b! i(agin!# b!t,!!n th!(.
E! hi(s!' ,as, ho,!"!r, "!ry #o+bt'+ ,h!th!r s+ch si(p!
r!#+pication !"!r occ+rs. E! b!i!"!# an# acc+(+at!# !"i#!nc! to
sho, that, in a "!ry arg! proportion o' s+ch cas!s, on! co(pon!nt
o' th! r!#+picat!# syst!( ,as itCs!' #o+b!. E! ass!rt!# that in
s+ch syst!(s th! thr!! co(pon!nts ar! nor(ay in on! pan!L that
th! t,o co(pon!nts o' th! #o+b!t ar! (irror i(ag!s o' !ach oth!rL
an# that that co(pon!nt o' th! #o+b!t ,hich is th! n!ar!r to th!
pri(ary app!n#ag! is a (irror i(ag! o' th! pri(ary.
:his g!n!rai/ation ,as sho,n -y (y 'ath!r to ho# 'or a "!ry
arg! n+(b!r o' !-a(p!s o' r!#+pication in th! "!rt!brat!s an# in
arthropo#s, an# 'or a '!, cas!s in oth!r phya ,h!r! th! (+s!+(
(at!ria ,as, o' co+rs!, (or! scarc!.
4oss Earrison
16
b!i!"!# that 0at!son +n#!r!sti(at!# th!
i(portanc! o' si(p! r!#+pication.
14

1
8. 0at!son, 9:h! $rogr!ss o' 1!n!tic 4!s!arch,9 InCa+g+ra A##r!ss, 4oya
Eortic+t+ra &oci!ty 4!port, 1906.
15
I8. 0at!son, Aat!rias 'or th! &t+#y o' Gariation, @on#on, Aac(ian an# "o.,
1F94.
16
4. 1. Earrison, 95n 4!ations o' &y((!try in :ranspant!# @i(bs,9
Journal of ()peri*ental +oology, $"2$! 326 $-$$%.
385
8h!th!r or not si(p! r!#+pication is a r!a an# co((on
ph!no(!non, I sha b!gin this !ssay ,ith a #isc+ssion o' th! ogica
prob!(s ,hich it ,o+# pr!s!nt.
The %ro$le# -edefined
In 1894, it app!ar!# that th! prob!( c!nt!r!# aro+n# th!
.+!stion6 8hat ca+s!s th! #!"!op(!nt o' biat!ra sy((!try in a
cont!-t ,h!r! it #o!s not b!ongD
0+t (o#!rn th!ory has t+rn!# a s+ch .+!stions +psi#! #o,n.
In'or(ation, in th! t!chnica s!ns!, is that ,hich e.cludes c!rtain
at!rnati"!s. :h! (achin! ,ith a go"!rnor #o!s not !!ct th! st!a#y
stat!L it pre&ents its!' 'ro( staying in any at!rnati"! stat!L an# in
a s+ch cyb!rn!tic syst!(s, corr!cti"! action is bro+ght abo+t by
difference. In th! Jargon o' th! !ngin!!rs, th! syst!( is 9!rror
acti"at!#.9 :h! #i''!r!nc! b!t,!!n so(! pr!s!nt stat! an# so(!
9
pr!'!rr!#9 stat! acti"at!s th! corr!cti"! r!spons!.
:h! t!chnica t!r(
.

9
in'or(ation9 (ay b! s+ccincty #!C'in!# as
any difference '*ic* ma3es a difference in some later e&ent. :his
#!'inition is '+n#a(!nta 'or a anaysis o' cyb!rn!tic syst!(s an#
organi/ation. :h! #!'inition in*s s+ch anaysis to th! r!st o'
sci!nc!, ,h!r! th! ca+s!s o' !"!nts ar! co((ony not #i''!r!nc!s
b+t 'orc!s, i(pacts, an# th! i*!. :h! in* is cassicay !-!(pi'i!#
by th! h!at !ngin!, ,h!r! a"aiab! !n!rgy 2i.!., n!gati"! !ntropy3 is
a '+nction o' a difference b!t,!!n t,o t!(p!rat+r!s. In this cassica
instanc!, 9in'or(ation9 an# 9n!gati"! !ntropy
9
o"!rap.
Aor!o"!r, th! !n!rgy r!ations o' s+ch cyb!rn!tic syst!(s ar!
co((ony in"!rt!#. 0!ca+s! organis(s ar! ab! to stor! !n!rgy, it is
+s+a that th! !n!rgy !-p!n#it+r! is, 'or i(it!# p!rio#s o' ti(!, an
in"!rs! '+nction o' !n!rgy inCp+t. :h! a(o!ba is (or! acti"! ,h!n
it ac*s 'oo#, an# th! st!( o' a gr!!n pant gro,s 'ast!r on that si#!
,hich is t+rn!# a,ay 'ro( th! ight.
@!t +s th!r!'or! in"!rt th! .+!stion abo+t th! sy((!try o' th!
tota r!#+picat!# app!n#ag!6 8hy is this #o+b! app!n#ag! not
asy((!trica i*! th! corr!spon#ing app!n#ag!s o' nor(a
organis(sD
386
:o this .+!stion a 'or(a an# g!n!ra 2b+t not partic+ar3 ans,!r
can b! constr+ct!# on th! 'oo,ing in!s6
213 An +n'!rtii/!# 'rog
I
s !gg is ra#iay sy((!trica, ,ith ani(a
an# "!g!ta po!s b+t no #i''!r!ntiation o' its !.+atoria ra#ii. &+ch
an !gg #!"!ops into a biat!ray sy((!trica !(bryo, b+t ho,
#o!s it s!!ct on! (!ri#ian to b! th! pan! o' biat!ra sy((!try o'
that !(bryoD :h! ans,!r is *no,n;that, in 'act, th! 'rogIs !gg
r!c!i"!s in'or(ation from t*e outside. :h! point o' !ntry o' th!
sp!r(ato/oon 2or th! pric* o' a 'in! 'ib!r3 (ar*s on! (!ri#ian as
#i''!r!nt 'ro( a oth!rs, an# that (!ri#ian is th! '+t+r! pan! o'
biat!ra sy((!try.
Con"!rs! cas!s can aso b! cit!#. $ants o' (any 'a(ii!s b!ar
biat!ray sy((!trica 'o,!rs. &+ch 'o,!rs ar! a c!ary #!ri"!#
'ro( tria#ic ra#ia sy((!try 2as in orchi#s3 or 'ro( p!nta#ic
sy((!try 2as in @abiata!, @!g+(inosa!, !tc.3 L an# th! biat!ra
sy((!try is achi!"!# by th! #i''!r!ntiation o' on! a-is 2!.g., th!
9stan#ar#9 o' th! 'a(iiar s,!!t p!a3 o' this ra#ia sy((!try. 8!
again as* ho, it is possib! to s!!ct on! o' th! si(iar thr!! 2or
'i"!3 a-!s. An# again ,! 'in# that !ach 'o,!r r!c!i"!s in'or(ation
from t*e outside. &+ch biat!ray sy((!trica 'o,!rs can only b!
pro#+c!# on branch st!(s, an# th! #i''!r!ntiation o' th! 'o,!r is
a,ays ori!nt!# to th! (ann!r in ,hich th! 'o,!rCb!aring branch
st!( co(!s o'' 'ro( th! (ain st!(. G!ry occasionay a pant ,hich
nor(ay b!ars biat!ray sy((!trica 'o,!rs ,i 'or( a 'o,!r at
th! t!r(in+s o' a (ain st!(. &+ch a 'o,!r is n!c!ssariy ony ra#ia
in its sy((!try;a c+pCshap!# (onstrosity. 2:h! prob!( o' biC
at!ray asy((!trica 'o,!rs, !.g., in th! "atasetum gro+p o'
orchi#s, is int!r!sting. $r!s+(aby th!s! (+st b! born!, i*! th!
at!ra app!n#ag!s o' ani(as, +pon branch!s 'ro( (ain st!(s
,hich ar! th!(s!"!s ar!a#y biat!ray sy((!trica, !.g., #orsoC
"!ntray 'att!n!#.3
223 8! not! th!n that, in bioogica syst!(s, th! st!p 'ro( ra#ia
sy((!try to biat!ra sy((!try co((ony r!.+ir!s a pi!c! o'
in'or(ation 'ro( th! o+tsi#!. It is, ho,!"!r, conc!i"ab! that so(!
#i"!rg!nt proc!ss (ight b! to+ch!# o'' by (in+t! an# ran#o(y
#istrib+t!# #i''!r!nc!s, !.g., a(ong th! ra#ii o' th! 'rogIs !gg. In this
cas!, o' co+rs!, th! s!!ction o' a partic+ar (!ri#ian 'or sp!cia
#!"!op(!nt ,o+# its!' b! ran#o( an# co+# not b! ori!nt!# to
387
oth!r parts o' th! organis( as is th! pan! o' biat!ra sy((!try in
s,!!t p!as an# abiat! 'o,!rs.
233 &i(iar consi#!rations appy to th! st!p 'ro( biat!ra
sy((!try to asy((!try. Again !ith!r th! asy((!try 2th!
#i''!r!ntiation o' on! ha' 'ro( th! oth!r3 (+st b! achi!"!# by a
ran#o( proc!ss or it (+st b! achi!"!# by in'or(ation r!c!i"!# 'ro(
th! o+tsi#!, i.!., 'ro( n!ighboring tiss+!s an# organs. ="!ry at!ra
app!n#ag! o' a "!rt!brat! or arthropo# is (or! or !ss
asy((!trica
17
an# th! asy((!try is n!"!r s!t ran#o(y in r!ation
to th! r!st o' th! ani(a. 4ight i(bs ar! not born! +pon th! !'t si#!
o' th! bo#y, !-c!pt +n#!r !-p!ri(!nta circ+(stanc!s. :h!r!'or! th!
asy((!try (+st #!p!n# +pon th! o+tsi#! in'or(ation, pr!s+(aby
#!ri"!# 'ro( th! n!ighboring tiss+!s.
233 0+t i' th! st!p 'ro( biat!ra sy((!try to asy((!try r!.+ir!s
a##itiona in'or(ation, th!n it 'oo,s that in abs!nc! o' this
a##itiona in'or(ation, th! app!n#ag! ,hich sho+# ha"! b!!n
asy((!trica can ony b! biat!ray sy((!trica.
:h! prob!( o' th! biat!ra sy((!try o' r!#+picat!# i(bs th+s
b!co(!s si(py a prob!( o' th! loss o' a pi!c! o' in'or(ation.
:his 'oo,s 'ro( th! g!n!ra ogica r+! that !"!ry r!#+ction in
sy((!try 2'ro( ra#ia to biat!ra or 'ro( biat!ra to
asy((!trica3 r!.+ir!s additional inC'or(ation.
It is not cai(!# that th! abo"! arg+(!nt is an !-panation o' a
th! ph!no(!na ,hich i+strat! 0at!sonIs 4+!. In#!!#, th!
arg+(!nt is o''!r!# ony to sho, that th!r! ar! si(p! ,ays o'
thin*ing abo+t th!s! ph!no(!na ,hich ha"! scarc!y b!!n !-por!#.
8hat is propos!# is a family o' hypoth!s!s rath!r than a sing! on!.
A critica !-a(ination o' ,hat has b!!n sai# abo"! as i' it ,!r! a
sing! hypoth!sis ,i, ho,C!"!r, pro"i#! a '+rth!r i+stration o' th!
(!tho#.
17
In this conn!ction, sca!s an# '!ath!rs an# hairs ar! o' sp!cia int!r!st. A
'!ath!r ,o+# s!!( to ha"! a "!ry c!ar biat!ra sy((!try in ,hich th! pan! o'
sy((!try is r!at!# to th! ant!roCpost!rior #i''!r!ntiation o' th! bir#. &+p!rpos!# on
this is an asy((!try i*! that o' th! in#i"i#+a biat!ra i(bs. As in th! cas! o' at!ra
i(bs, corr!spon#ing '!ath!rs on opposit! si#!s o' th! bo&y ar! (irror i(ag!s o'
!ach oth!r. ="!ry '!ath!r is, as it ,!r!, a 'ag ,hos! shap! an# cooring #!not! th!
"a+!s o' #!t!r(ining "ariab!s at th! point an# ti(! o' its gro,th.
388
In any gi"!n cas! o' r!#+pication, it ,i b! n!c!ssary to #!ci#!
,hat partic+ar pi!c! o' in'or(ation has b!!n ost, an# th! arg+(!nt
so 'ar gi"!n sho+# (a*! this #!cision !asy. A nat+ra 'irst g+!ss
,o+# b! that th! #!"!oping app!n#ag! n!!#s thr!! sorts o'
ori!nting in'or(ation to !nCab! it to achi!"! asy((!try6 pro-i(oC
#ista in'or(ationL #orsoC"!ntra in'or(ationL an# ant!roCpost!rior
in'or(ation. :h! si(p!st hypoth!sis s+gg!sts that th!s! (ight b!
separately r!c!i"!# an# th!r!'or! that one o' th!s! sorts o'
in'or(ation ,i b! ost or abs!nt in any gi"!n cas! o' r!#+pication.
It sho+# th!n b! !asy to cassi'y cas!s o' r!#+pication acCcor#ing
to ,hich pi!c! o' ori!nting in'or(ation is (issing. :h!r! sho+# b!
at (ost thr!! s+ch typ!s o' r!#+pication, an# th!s! sho+# b! c!ary
#istinct.
S!pern!#erary Do!$le *e&s in Coleoptera
0+t in th! ony s!t o' cas!s ,h!r! this #!#+ction can b! t!st!#,
'acts c!ary #o not 'it th! hypoth!sis. :h! cas!s ar! thos! o'
s+p!rn+(!rary pairs o' app!n#ag!s in b!!t!s. Abo+t a h+n#r!# s+ch
cas!s ,!r! *no,n in 1894, an# o' th!s! 0at!son
18
#!scrib!s abo+t
ha' an# 'ig+r!s thirt!!n.
:h! 'or(a r!ations ar! r!(ar*aby +ni'or( an# !a"! no #o+bt
that a sing! typ! o' !-panation sho+# appy to th! sy((!try in a
cas!s.
18
8. 0at!son, Aat!rias . . . , op. cit., pp. 477C503.
389
390
7ig. 2 6terostic*us mu*lfeldii, )o. 74>. &!(i#iagra((atic r!pr!s!ntation o' th!
!'t (i##! tibia b!aring th! !-tra tarsi +pon th! ant!roC"!ntra bor#!r o' th! ap!-.
@, th! nor(a tars+sL 4, th! !-tra rightL @I th! !-tra !'t tars+s. 2 :h! prop!rty o'
?r. <raat/. 3 7ro( 0at!son, 2., ,aterials for t*e Study of Lariation, @on#on6
Aac(ian, 1894, p 485.

7ig. 1 "ara-us sc*eidleri, )o. 7?G. :h! nor(a right 'or! !g, $, b!aring an
!-tra pair o' !gs, &@ an# S$D, arising 'ro( th! "!ntra s+r'ac! o' th! co-a, C. &!!n
'ro( in 'ront. 2:h! prop!rty o' ?r. <raat/.3 7ro( 0at!son, 8., ,aterials for t*e
Study of Lariation, @on#on6 Aac(ian, 1F94, p 4F?.
391
:ypicay
19
on! !g 2rar!y (or! than on!3 o' a b!!t! is abnor(a
in b!aring a branch at so(! point in its !ngth. :his branch is
19
&!! 7ig+r!s 1 an# 2, pag!s 385 an# 386.
392
7ig. 5 A (!chanica #!"ic! 'or sho,ing th! r!ations that !-tra !gs in
&!con#ary &y((!try b!ar to !ach oth!r an# to th! nor(a !g 'ro( ,hich
th!y aris!. :h! (o#! $ r!pr!s!nts a nor(a right !g. &@ an# &4 r!pr!s!nt
r!sp!cti"!y th! !-tra right an# !-tra !'t !gs o' th! s+p!rn+(!rary pair. A
an# $, th! ant!rior an# post!rior sp+rs o' th! tibia. In !ach !g th!
morp*ologically anterior s+r'ac! is sha#!#, th! post!rior b!ing ,hit!. $ is
s!!n 'ro( th! "!ntra asp!ct an# &@ an# S$ ar! in $osition G$. 7ro(
0at!son, 8., Materials for the Study of ,ariation, @on#on6 Aac(ian,
1894, p. 480.
r!g+ary a #o+b!t, consisting o' t,o parts ,hich (ay b! '+s!# at
th! point o' branching o'' 'ro( th! pri(ary !g b+t ,hich ar!
co((ony s!parat! at th!ir #ista !n#s.
?istay 'ro( th! point o' branching th!r! ar! th+s thr!!
co(pon!nts;a pri(ary !g an# t,o s+p!rn+(!rary !gs. :h!s!
thr!! i! in on! pan! an# ha"! th! 'oo,ing sy((!try6 th! t,o
co(pon!nts o' th! s+p!rn+(!rary #o+b!t ar! a co(p!(!ntary pair
;on! b!ing a !'t an# th! oth!r a right;as 0at!sonIs 4+! ,o+#
s+gg!st. 5' th!s! t,o, th! !g n!ar!st to th! pri(ary !g is
co(p!(!ntary to it.
:h!s! r!ations ar! r!pr!s!nt!# in 7ig+r! ?. 2&!! pag! ?F7.4 =ach
co(pon!nt is sho,n in #iagra((atic cross s!ction, an# th!ir #orsa,
"!ntra, ant!rior, an# post!rior 'ac!s ar! in#icat!# by th! !tt!rs ?, G,
A, an# $, r!sp!cti"!y.
8hat is s+rprising abo+t th!s! abnor(aiti!s;in that it con'icts
,ith th! hypoth!sis o''!r!# abo"!;is that th!r! is no c!ar
#iscontin+ity by ,hich th! cas!s can b! cassi'i!# accor#ing to
,hich sort o' ori!nting in'or(ation has b!!n ost. :h!
s+p!rn+(!rary #o+b!t (ay b! born! on any part o' th!
circ+('!r!nc! o' th! pri(ary !g.
7ig+r! ? i+strat!s th! sy((!try o' a #o+b!t occ+rring in th!
#orsa r!gion. 7ig+r! 4 2pag! ?F74 i+strat!s th! sy((!try o' a
#o+b!t in th! #orsoCant!rior r!gion.
It app!ars, th!n, that th! pan!s o' sy((!try ar! para! to a
tang!nt o' th! circ+('!r!nc! o' th! pri(ary !g at th! point o'
branching b+t, sinc! th! points o' branching (ay b! any,h!r! on
th! circ+('!r!nc!, a continuous s!ri!s o' possib! biat!ra
sy((!tri!s is g!n!rat!#.
7ig+r! 5 2pag! ?FF4 is a (achin! in"!nt!# by 8. 0at!son to
#!(onstrat! this contin+o+s s!ri!s o' possib! biat!ra sy((!tri!s.
I' th! biat!ra sy((!try o' th! #o+b!t is #+! to a oss o'
ori!nting in'or(ation, ,! sho+# !-p!ct th! pan! o' that biat!ra
sy((!try to b! at right ang!s to th! #ir!ction o' th! ost
in'or(ationL i.!., i' #orsoC"!ntra in'or(ation ,!r! ost, th! r!s+ting
i(bs or #o+b!t sho+# contain a pan! o' sy((!try ,hich ,o+#
b! at right ang!s to th! #orsoC"!ntra in!.
2:h! arg+(!nt 'or this !-p!ctation (ay b! sp!!# o+t as 'oo,s6
a gra#i!nt in a in!a s!.+!nc! cr!at!s a #i''!r!nc! b!t,!!n th! t,o
393
!n#s o' th! s!.+!nc!. I' this gra#i!nt is not pr!s!nt, th!n th! !n#s o'
th! s!.+!nc! ,i b! si(iar, i.!., th! s!.+!nc! ,i b! sy((!trica
abo+t a pan! o' sy((!try trans"!rs! to its!'. 5r, consi#!r th! cas!
o' th! 'rogIs !gg. :h! t,o po!s an# th! point o' !ntry o' th!
sp!r(ato/oon #!t!r(in! a pan! o' biat!ra sy((!try. :o achi!"!
asy((!try, th! !gg r!.+ir!s in'or(ation at rig*t angles to t*is plane,
i.e., so(!thing ,hich ,i (a*! th! right ha' #i''!r!nt 'ro( th! !'t.
I' this so(!thing is ost, th!n th! !gg ,i r!"!rt to th! origina
biat!ra sy((!try, ,ith th! origina pan! o' sy((!try trans"!rs!
to th! #ir!ction o' th! ost in'or(ation.3
As not!# abo"!, th! s+p!rn+(!rary #o+b!ts (ay originat! 'ro(
any 'ac! o' th! pri(ary !g, an# th!r!'or! a int!r(!#iat!s occ+r
b!t,!!n th! !-p!ct!#y #iscontin+o+s typ!s o' oss o' in'or(ation.
It 'oo,s that i' biat!ra sy((!try in th!s! #o+b!ts is #+! to oss
o' in'or(ation, th!n th! in'or(ation ost cannot b! cassi'i!# as
ant!roCpost!rior, #orsoC"!ntra, or pro-i(oC#ista.
:h! hypoth!sis (+st th!r!'or! b! corr!ct!#.
@!t +s r!tain th! g!n!ra notion o' ost in'or(ation, an# th!
coroary o' this that th! pan! o' biat!ra sy((!try (+st b! at right
ang!s to th! #ir!ction o' th! in'or(ation that ,as ost.
:h! n!-t si(p!st hypoth!sis s+gg!sts that th! ost in'or(ation
(+st ha"! b!!n c!ntroCp!riph!ra. 2I h!r! r!tain this bipoar t!r(
rath!r than +s! th! si(p!r 9ra#ia.93
@!t +s i(agin!, th!n, so(! c!ntroCp!riph!ra #i''!r!nc! ;
possiby a ch!(ica or !!ctrica gr a #i ! nt ,ithin th! cross s!ction
o' th! pri(ary !gL an# s+ppos! that th! oss or b+rring o' this
#i''!r!nc! at so(! point aong th! !ngth o' th! pri(ary !g
#!t!r(in!s that any branch i(b pro#+c!# at this point sha 'ai to
achi!"! asy((!try.
It ,i 'oo,, nat+ray, that s+ch a branch i(b 2i' pro#+c!#3
,i b! biat!ray sy((!trica an# that its pan! o' biat!ra
sy((!try ,i b! at right ang!s to th! #ir!ction o' th! ost gra#i!nt
or #i''!r!nc!.
0+t, c!ary, a c!ntroCp!riph!ra #i''!r!nc! or gra#i!nt is not a
pri(ary co(pon!nt o' that in'or(ation syst!( ,hich #!t!r(in!#
th! asy((!try o' th! pri(ary !g. &+ch a gra#i!nt (ight, ho,!"!r,
inhibit branching, so that its oss or b+rring ,o+# r!s+t in
pro#+ction o' a s+p!rn+(!rary branch at th! point o' oss.
394
:h! (att!r b!co(!s s+p!r'iciay para#o-ica6 th! oss o' a
gra#i!nt ,hich (ight inhibit branching r!s+ts in branch 'or(ation,
s+ch that th! branch cannot achi!"! asy((!try. It app!ars, th!n, that
th! hypoth!tica C!ntroCp!riph!ra gra#i!nt or #i''!r!nc! (ay ha"!
t,o sorts o' co((an# '+nctions 6 +a4 to inhibit branchingL an# +-4
to #!t!r(in! an asy((!try in that branch ,hich can ony co(! into
!-ist!nc! at a i' th! C!ntroCp!riph!ra gra#i!nt is abs!nt. I' th!s!
t,o sorts o' (!ssag! '+nctions can b! sho,n to o"!rap or b! in
so(! s!ns! synony(o+s, ,! sha ha"! g!n!rat!# an !cono(ica
hypoth!tica #!scription o' th! ph!no(!na.
8! th!r!'or! a##r!ss o+rs!"!s to th! .+!stion6 Is th!r! an a
priori cas! 'or !-p!cting that th! a-sence o' a gra#i!nt ,hich
,o+# prohibit branching in th! pri(ary !g ,i p!r(it th!
'or(ation o' a branch ,hich ,i ac* th! in'or(ation n!c!ssary to
#!t!r(in! asy((!try across a pan! at right ang!s to th! (issing
gra#i!ntD
:h! .+!stion (+st b! in"!rt!# to 'it th! +psi#!C#o,nn!ss o' a
cyb!rn!tic !-panation. :h! conc!pt 9in'or(ation n!c!ssary to
#!t!r(in! asy((!try9 th!n b!co(!s 9in'or(ation n!c!ssary to
pro*i-it biat!ra sy((!try.9
0+t anything ,hich 9prohibits biat!ra sy((!try9 ,i aso
9prohibit branching,9 sinc! th! t,o co(pon!nts o' a branching
str+ct+r! constit+t! a sy((!trica pair 2!"!n tho+gh th! co(pon!nts
(ay b! ra#iay sy((!trica3.
It th!r!'or! b!co(!s r!asonab! to !-p!ct that oss or b+rring o'
a C!ntroCp!riph!ra gra#i!nt ,hich prohibits branch 'or(ation ,i
p!r(it th! 'or(ation o' a branch ,hich ,i, ho,!"!r, its!' b!
biat!ray sy((!trica abo+t a pan! para! to th! circ+('!r!nc!
o' th! pri(ary i(b.
A!an,hi!, ,ithin th! pri(ary i(b, it is possib! that a
C!ntroCp!riph!ra gra#i!nt, by pr!"!nting branch 'or(ation, co+#
ha"! a '+nction in pr!s!r"ing a pr!"io+sy #!t!rC(in!# asy((!try.
:h! abo"! hypoth!s!s pro"i#! a possib! 'ra(!,or* o'
!-panation o' th! 'or(ation o' th! s+p!rn+(!rary #o+b!t an# th!
biat!ra sy((!try ,ithin it. It r!(ains to consi#!r th! ori!ntation o'
th! co(pon!nts o' that #o+b!t. Accor#ing to 0at!sonIs 4+!, th!
co(pon!nt n!ar!st to th! pri(ary !g is in biat!ra sy((!try ,ith
it. In oth!r ,or#s, that 'ac! o' th! s+p!rn+(!rary ,hich is to,ar#
395
th! pri(ary is th! (orphoogica co+nt!rpart o' that 'ac! o' th!
p!riph!ry o' th! pri(ary 'ro( ,hich th! branch sprang.
:h! si(p!st, an# p!rhaps ob"io+s, !-panation o' this r!g+arity
is that in th! proc!ss o' branching th!r! ,as a sharing o'
(orphoogicay #i''!r!ntiat!# str+ct+r!s b!t,!!n branch an#
pri(ary an# that th!s! shar!# str+ct+r!s ar!, in 'act, th! carri!rs o'
th! n!c!ssary in'or(ation. Eo,!"!r, sinc! in'or(ation carri!# this
,ay ,i c!ary ha"! prop!rCti!s "!ry #i''!r!nt 'ro( thos! o'
in'or(ation carri!# by gra#i!nts, it is appropriat! to sp! th! (att!r
o+t in so(! #!tai.
Consi#!r a ra#iay sy((!trica con! ,ith circ+ar bas!. &+ch a
'ig+r! is #i''!r!ntiat!# in th! a-ia #i(!nsion, as b!t,!!n ap!- an#
bas!. A that is n!c!ssary to (a*! th! con! '+y asy((!trica is to
#i''!r!ntiat! on th! circ+('!r!nc! o' th! bas! t,o points ,hich sha
b! #i''!r!nt 'ro( !ach oth!r an# sha not b! in #ia(!tricay
opposit! positions, i.!., th! bas! (+st contain s+ch #i''!r!ntiation
that to na(! its parts in coc*,is! or#!r gi"!s a r!s+t #i''!r!nt 'ro(
th! r!s+t o' na(ing th! parts in anticoc*,is! or#!r.
Ass+(! no, that th! s+p!rn+(!rary branch, by its "!ry origin as
a +nit gro,ing o+t 'ro( a (atri-, has pro-i(oC#ista #i''!r!ntiation,
an# that this #i''!r!ntiation is anaogo+s to th! #i''!r!ntiation in th!
a-ia #i(!nsion o' th! con!. :o achi!"! co(p!t! asy((!try, it is
th!n ony n!c!ssary that th! #!"!oping i(b r!c!i"! #ir!ctiona
in'or(ation in so(! arc o' its circ+('!r!nc!. &+ch in'or(ation is
c!ary i((!#iat!y a"aiab! 'ro( th! circ+(stanc! that, at th!
point o' branching, th! s!con#ary i(b (+st shar! so(! cirC
c+('!r!nc! ,ith th! pri(ary. 0+t th! shar!# points ,hich ar! in
coc*,is! or#!r on th! p!riph!ry o' th! pri(ary ,i b! in
anticoc*,is! or#!r on th! p!riph!ry o' th! branch. :h! in'or(ation
'ro( th! shar!# arc ,i th!r!'or! b! s+ch as to #!t!r(in! both that
th! r!s+ting i(b ,i b! a (irror i(ag! o' th! pri(ary an# that th!
branch ,i 'ac! appropriat!y to,ar# th! pri(ary.
It is no, possib! to constr+ct a hypoth!tica s!.+!nc! o' !"!nts
'or th! r!#+pications in th! !gs o' b!!t!s6
213A pri(ary !g #!"!ops asy((!try, #!ri"ing th!
n!c!ssary in'or(ation 'ro( s+rro+n#ing tiss+!s.
223:his in'or(ation, a't!r it has ha# its !''!ct, contin+!s to
!-ist, trans'or(!# into (orphoogica #i''!r!ntiation.
396
233:h! asy((!try o' th! nor(a pri(ary !g is h!nc!C'orth
(aintain!# by a c!ntroCp!riph!ra gra#i!nt ,hich nor(ay
pr!"!nts branching.
243In th! abnor(a sp!ci(!ns, this c!ntroCp!riph!ra
gra#i!nt is ost or b+rr!#;possiby at so(! point o' !sion or
tra+(a.
2537oo,ing th! oss o' th! c!ntroCp!riph!ra gra#i!nt,
branching occ+rs.
263:h! r!s+ting branch is a #o+b!tL ac*ing th! gra#i!nt
in'or(ation ,hich ,o+# ha"! #!t!r(in!# asy((!try, it (+st
th!r!'or! b! biat!ray sy((!trica.
273:hat co(pon!nt o' th! #o+b!t ,hich is n!-t to th!
pri(ary is ori!nt!# to b! a (irror i(ag! o' th! pri(ary by th!
sharing o' #i''!r!ntiat!# p!riph!ra str+ct+r!s.
283&i(iary !ach co(pon!nt o' th! #o+b!t is its!'
asy((!trica, #!ri"ing th! n!c!ssary in'or(ation 'ro( th!
(orphoogy o' shar!# p!riph!ri!s in th! pan! o' th! #o+b!t.
:h! abo"! sp!c+ations ar! int!n#!# to i+strat! ho, th!
!-panatory princip! o' loss o' in'or(ation (ight b! appi!# to
so(! o' th! r!g+ariti!s s+bs+(!# +n#!r 0at!son
I
s 4+!. 0+t it ,i
b! not!# that th! #ata on sy((!try in th! !gs o' b!!t!s ha"!, in
'act, b!!n o"!r!-pain!#.
:,o #i s t i nct b+t not (+t+ay !-c+si"!;typ!s o' !-C
panation ha"! b!!n in"o*!#6 2a3 th! oss o' in'or(ation ,hich
sho+# ha"! b!!n #!ri"!# 'ro( a c!ntroCp!riph!ra gra#i!nt, an# 2b3
in'or(ation #!ri"!# 'ro( shar!# p!riph!ra (orphoogy.
)!ith!r o' th!s! typ!s o' !-panation is s+''ici!nt by its!' to
!-pain th! ph!no(!na, b+t ,h!n co(bin!# th! t,o princip!s
o"!rap so that so(! #!tais o' th! tota pict+r! can b! r!'!rr!#
si(+tan!o+sy to both

princip!s.
&+ch r!#+n#ancy is, no #o+bt, th! r+! rath!r than th! !-c!ption
in bioogica syst!(s, as it is in a oth!r syst!(s o' organi/ation,
#i''!r!ntiation, an# co((+nication. In a s+ch syst!(s, r!#+n#ancy
is a (aJor an# n!c!ssary so+rc! o' stabiity, pr!#ictabiity, an#
int!gration.
4!#+n#ancy ,ithin th! syst!( ,i in!"itaby app!ar as
o"!rapping b!t,!!n o+r !-panations o' th! syst!(. In#!!#,
,itho+t o"!rapping, o+r !-panations ,i co((ony b!
ins+''ici!nt, 'aiing to !-pain th! 'acts o' bioogica int!gration.
397
8! *no, itt! abo+t ho, th! path,ays o' !"o+tionary chang!
ar! in'+!nc!# by s+ch (orphog!n!tic an# physioogica r!#+n#anC
ci!s. 0+t c!rtainy s+ch int!rna r!#+n#anci!s (+st i(pos!
nonran#o( charact!ristics +pon th! ph!no(!na o' "ariation.
20
-ed!plicated *i#$s in A#phi$ia
At this point it is int!r!sting to t+rn 'ro( anaysis o'
r!#+pication in b!!t!sI !gs to anoth!r bo#y o' #ata in ,hich
r!#+pication co((ony occ+rs an# has b!!n r!'!rr!# to 0at!sonIs
4+!.
21
:h!s! ar! th! #ata on r!#+pication in th! !-p!ri(!ntay
transpant!# i(bs o' ar"a n!,ts.
213 :h!r! ar! so(! cas!s, (osty o' h!t!rotopic transCpants in
,hich th! gra't!# i(b b+# #!"!ops into a si(p! an# appar!nty
!.+a binary syst!(, in ,hich th! t,o co(pon!nts ar! in (irror
i(ag! sy((!try. I ,as sho,n abo+t thr!! y!ars ago a "!ry stri*ing
pr!paration by ?r. =(!rson Eibbar# o' th! Cai'ornia Instit+t! o'
:!chnoogy. In this sp!ci(!n th! i(b b+# ha# b!!n rotat!# thro+gh
180^, so that th! ant!rior !#g! o' th! b+# 'ac!# to,ar# th! post!rior
!n# o' th! host, an# ha# b!!n i(pant!# in a (!#ian #orsa position
on th! post!rior r!gion o' th! h!a# o' th! host. :his transpant ha#
#!"!op!# into t,o r!(ar*aby co(p!t! !gs in (irror i(ag!
r!ationship. :his binary syst!( ,as conn!ct!# to th! h!a# o' th!
host ony by a s!n#!r bri#g! o' tiss+!.
&+ch pr!parations, ,h!r! th! pro#+ct is binary an# th! parts
!.+a, c!rtainy oo* i*! ,hat ,o+# b! !-p!ct!# 'ro( a si(p! oss
o' on! #i(!nsion o' ori!nting in'or(ation. 2It ,as ?r. Eibbar#Is
sp!ci(!n that s+gg!st!# to (! that th! hypoth!sis o' ost
in'or(ation (ight b! appicab! to th! a(phibian (at!ria.3
223 Eo,!"!r, apart 'ro( th!s! instanc!s o' !.+a binary
r!#+pication, th! a(phibian (at!ria #o!s not at a 'it ,ith any
hypoth!sis that ,o+# !-pain th! r!#+pication as #+! to a si(p!
20
1. 0at!son, 9:h! 4o! o' &o(atic Chang! in ="o+tion,9 &olution, 1962,
176 5>9% ?9.
21
Earrison, op. cit.0 aso 7. E. &,!tt, 95n :h! $ro#+ction o' ?o+b! @i(bs in
A(phibians,9 Journal of .perimental Eoology, 1926, 446 419C72.
398
oss o' in'or(ation. In#!!#, i' 0at!sonIs 4+! ,!r! r!strict!# to
cas!s ,h!r! th! !-panation is 'or(ay anaogo+s to that ,hich 'its
th! r!#+pication in th! b!!t!sI !gs, th!n th! a(phibian cas!s
,o+# probaby not 'a +n#!r this r+bric.
:h! i(itations o' a hypoth!sis ar!, ho,!"!r, as i(portant as its
appications, an# I sha th!r!'or! s+((ari/! h!r! th! "!ry co(p!-
#ata on orthotopic transpants.
5n! sch!(atic para#ig( ,i s+''ic!6 i' th! right ant!rior i(b
b+# is !-cis!#, t+rn!# thro+gh 180^ an# r!pac!# in th! ,o+n#, it
,i gro, to b! a left i(b. 0+t this pri(ary i(b (ay s+bs!.+!nty
'or( s!con#ary i(b b+#s at its bas!, +s+ay !ith!r i((!#iat!y
ant!rior or post!rior to th! point o' ins!rtion. :h! s!con#ary ,i b!
a (irror i(ag! o' th! pri(ary, an# (ay !"!n at!r #!"!op a t!rtiary
,hich ,i typicay b! 'or(!# o+tsi#! th! s!con#ary, i.!., on that
si#! o' th! s!con#ary ,hich is 'arth!st 'ro( th! pri(ary.
:h! 'or(ation o' th! !'t pri(ary on th! right si#! o' th! bo#y is
!-pain!#
22
by ass+(ing that ant!roCpost!rior ori!ntation is r!c!i"!#
by th! i(b b+# !ari!r than #orsoC"!ntra in'or(ation, an# that,
onc! r!c!i"!#, this ant!roCpost!rior in'or(ation is irr!"!rsib!. It is
s+ppos!# that th! gra't is ar!a#y ant!roCpost!riory #!t!r(in!# at
th! ti(! o' gra'ting b+t at!r r!c!i"!s #orsoC"!ntra in'or(ation
'ro( th! tiss+!s ,ith ,hich it is no, in contact. :h! r!s+t is a i(b
,hos! #orsoC"!ntra ori!ntation is corr!ct 'or its n!, s!tting b+t
,hos! ant!roCpost!rior ori!ntation is r!"!rs!#. It is tacity ass+(!#
that th! pro-i(oC#ista ori!ntation o' th! b+# is +n#ist+rb!#. :h!
r!s+t is a i(b ,hich is r!"!rs!# in r!gar# to one o' its thr!! sorts
o' asy((!try. &+ch a i(b (+st ogicay b! a !'t.
:his !-panation I acc!pt an# proc!!# to consi#!r th!
r!#+pications.
:h!s! #i''!r in 'o+r i(portant r!sp!cts 'ro( th! r!#+pications in
b!!t!sI !gs #isc+ss!# abo"!6
2a3In th! b!!t!s, th! r!#+pication is +s+ay !.+a. :h! t,o
ha"!s o' th! s+p!rn+(!rary #o+b!t ar! !.+a in si/!, an# ar!
+s+ay appro-i(at!y !.+a in si/! to th! corr!spon#ing parts o'
th! pri(ary !g. &+ch #i''!r!nc!s as #o app!ar a(ong th! thr!!
22
&,!tt, op. cit.0 aso Earrison, op. cit.
399
co(pon!nts ar! s+ch as (ight !-p!ctaby r!s+t 'ro( trophic
#i''!r!nc!s. 0+t in th! ar"a n!,ts, gr!at #i''!r!nc!s in si/! occ+r
b!t,!!n th! co(pon!nts o' th! r!#+picat!# syst!(, an# it app!ars
that th!s! #i''!r!nc!s ar! #!t!r(in!# by time. :h! s!con#ari!s ar!
s(a!r than th! pri(ari!s b!ca+s! th!y ar! pro#+c!# at!r an#,
si(iary, th! rar! t!rtiari!s ar! at!r an# s(a!r than th!
s!con#ari!s. :his spacing o' !"!nts in ti(! in#icat!s c!ary that
th! pri(ary i(b r!c!i"!# a th! in'or(ation n!c!ssary to
#!t!r(in! its o,n asy((!try. It r!c!i"!#, inC#!!#, 9,rong9
in'or(ation an# gr!, to b! a !'t !g on th! right si#! o' th! bo#y
b+t it #i# not s+''!r 'ro( s+ch a #!'ici!ncy o' in'or(ation as
,o+# (a*! it i((!#iat!y 'ai to achi!"! asy((!try. :h!
r!#+pication cannot si(py b! ascrib!# to oss o' ori!nting
in'or(ation in th! pri(ary.
2b3:h! r!#+pications in b!!t!sI !gs (ay occ+r at any point
aong th! !ngth o' th! !g. 0+t thos! o' a(phibian ar"a! +s+ay
aris! 'ro( th! r!gion o' attach(!nt o' th! i(b to th! bo#y. It is
not !"!n s+r! that th! s!con#ary a,ays shar!s tiss+! ,ith th!
pri(ary.
2c3In th! cas! o' th! b!!t!s, th! s+p!rn+(!rary #o+b!ts 'or( a
contin+o+s s!ri!s, b!ing gi"!n o'' 'ro( any portion o' th!
p!riph!ry o' th! pri(ary. In contrast, th! r!#+pication o' i(bs in
a(phibian ar"a! is ocai/!# !ith!r ant!rior or post!rior to th!
pri(ary.
In th! b!!t!s it is c!ar that th! t,o s+p!rn+(!rary co(pon!nts
'or( tog!th!r a sing! +nit. In (any cas!s th!r! is act+a
co(po+n#ing o' th! t,o co(pon!nts 2as in 7ig+r! 13. In no cas!
23
is
that co(pon!nt o' th! #o+b!t ,hich is n!ar!r to th! pri(ary
co(po+n#!# ,ith it rath!r than ,ith th! oth!r s+p!rn+(!rary. In th!
a(phibian pr!parations, on th! oth!r han#, it is not c!ar that
s!con#ary an# t!rtiary 'or( a s+b+nit. :h! r!ation b!t,!!n t!rtiary
an# s!con#ary s!!(s no cos!r than b!t,!!n s!con#ary an# pri(ary.
Abo"! a, th! r!ation is asy((!tric in th! ti(! #i(!nsion.
23
0at!son +,aterials . . . , op. cit., p. 5C74 #!scrib!s an# 'ig+r!s on!
#o+bt'+ !-c!ption to this stat!(!nt. :his is a r!#+pication in th! !'t hin# tars+s o'
6latycerus cara-oides.
400
:h!s! pro'o+n# 'or(a #i''!r!nc!s b!t,!!n th! t,o bo#i!s o'
#ata in#icat! that th! !-panations 'or th! a(phibian #ata (+st b! o'
a #i''!r!nt or#!r. It ,o+# s!!( that th! proc!ss!s ar! ocat!# not in
th! sha't o' th! i(b b+t in its bas! an# th! tiss+!s s+rro+n#ing th!
bas!. :!ntati"!y ,! (ay g+!ss that th! pri(ary in so(! ,ay
propos!s th! at!r 'or(ation o' a s!con#ary by a r!"!rsa o' gra#i!nt
in'or(ation, an# that th! s!con#ary si(iary propos!s a r!"!rs!#
t!rtiary. Ao#!s 'or s+ch syst!(s ar! a"aiab! in cyb!rn!tic th!ory
in thos! circ+it str+ct+r!s ,hich propos! 4+ss!ian para#o-!s.
24
:o
att!(pt to constr+ct any s+ch (o#! at th! pr!s!nt ti(! ,o+# b!
pr!(at+r!.
S!##ary
:his !ssay on th! sy((!try o' r!#+picat!# at!ra app!n#ag!s
starts 'ro( an !-panatory princip!, "i/., that any st!p o'
ontog!n!tic #i''!r!ntiation ,hich r!#+c!s th! sy((!try o' an organ
2!.g., 'ro( ra#ia to biat!ra sy((!try, or 'ro( biat!ra sy((!try
to asy((!try3 r!.+ir!s a##itiona ori!nting in'or(ation. 7ro( this
princip! it is arg+!# that a nor(ay asy((!trica at!ra
app!n#ag!, lac3ing so(! n!c!ssary pi!c! o' ori!nting in'or(ation,
,i ony b! ab! to achi!"! biat!ra sy((!try, i.!., inst!a# o' a
nor(a asy((!trica app!n#ag!, th! r!s+t ,i b! a biat!ray
sy((!trica #o+b!t.
:o !-a(in! this !-panatory princip!, th! ,rit!r has atCt!(pt!#
to constr+ct a hypoth!sis to !-pain 0at!sonIs 4+! as this r!g+arity
is !-!(pi'i!# in th! rar! s+p!rn+(!rary #o+b! !gs o' Co!opt!ra.
In th! constr+ction o' this hypoth!sis, it ,as ass+(!# that
(orphog!n!tic ori!nting in'or(ation (ay +n#!rgo trans'or(ation
'ro( on! typ! o' co#ing to anoth!r, an# that !ach trans'or( or co#!
is s+bJ!ct to charact!ristic i(itations6
+a4 :h! in'or(ation (ay b! !(bo#i!# in gradients 2p!rhaps
bioch!(ica3. In this co#ing, th! in'or(ation can b! #i''+s!# 'ro(
n!ighboring tiss+!s an# pro"i#! th! 'irst #!t!r(inants o'
24
1. 0at!son, 9Aini(a 4!.+ir!(!nts 'or a :h!ory o' &chi/ophr!nia,9 A.,.A.
Arc*i&es of (eneral 6syc*iatry, 1960, ># 477%91.
401
asy((!try in th! #!"!oping app!n#ag!. It is s+gg!st!# that
in'or(ation co#!# in this ,ay is ony bri!'y a"aiab!, an# that
onc! th! asy((!try o' th! i(b is !stabish!#, th! in'or(ation
contin+!s to !-ist, b+t transC'or(!# into (orphoogy.
+-4 It is s+gg!st!# that in'or(ation co#!# as (orphoogica
#i''!r!nc! is !ss!ntiay static. It cannot b! #i''+s!# to n!ighboring
tiss+!s an# it cannot inhibit branching. It can, ho,!"!r, b! +s!# by a
branch ,hich at its inc!ption shar!s tiss+! ,ith th! pri(ary i(b
'ro( ,hich it branch!s o''. In this cas!, th! in'or(ation pass!# on
by th! (!tho# o' shar!# p!riph!ry ,i b! n!c!ssariy in"!rt!#6 i'
th! pri(ary b! a right, th! branch ,i b! a !'t.
+c4 :h! in'or(ation in (orphoogica 'or( b!ing 2by hypoth!sis3
+nab! to inhibit branching, th! asy((!try o' a gro,ing pri(ary
(+st b! pr!s!r"!# by a c!ntroCp!riph!ra gra#i!nt;not its!' a
#!t!r(inant o' that asy((!try.
+d4 It is s+gg!st!# that th! loss o' s+ch a c!ntroCp!riph!ra
gra#i!nt (ight ha"! t,o !''!cts6 that o' p!r(itting branching an#
that o' #!pri"ing th! r!s+ting branch o' on! #i(!nsion o' n!c!ssary
ori!nting in'or(ationL so that th! branch can ony b! a biat!ray
sy((!trica +nit ,ith a pan! o' sy((!try at right ang!s to th! ost
c!ntrop!riph!ra gra#i!nt.
:h! #ata on r!#+pication in th! !-p!ri(!ntay transCpant!#
i(b b+#s o' a(phibia ar! aso !-a(in!#. It is arg+!# that th!s! #ata
ar! not to b! !-pain!# by si(p! oss o' ori!nting in'or(ation.
&i(p! oss, it is s+gg!st!#, ,i !-p!ctaby r!s+t in !.+a an#
synchrono+s biat!ra sy((!try. :h! a(phibian r!#+picat!s ar!, in
g!n!ra, +n!.+a an# s+cc!ssi"!. In a '!, cas!s, synchrono+s an#
!.+a r!C#+pication occ+rs in th! a(phibian !-p!ri(!nts, !sp!ciay
in h!t!rotopic i(pants. &+ch cas!s co+# p!rhaps b! r!gar#!# as
#+! to si(p! oss o' ori!nting in'or(ation.
402
%ostscript. 1231
Co(par! th! biat!ra sy((!try in th! s+p!rn+(!rary #o+b!t o'
th! b!!t!Is !g ,ith th! biat!ra sy((!try in th! s,!!t p!a or
orchi# 'o,!r. 0oth in th! pant an# in th! ani(a, th! biat!ray
sy((!trica +nit co(!s o'' 'ro( a point o' branching.
In th! pant, th! (orphoogy o' th! 'or* pro&ides in'or(ation
!nabing th! 'o,!r to b! not ra#iay b+t biat!ray sy((!trica,
i.!., in'or(ation ,hich ,i #i''!r!ntiat! th! 9#orsa9 stan#ar# 'ro(
th! "!ntra ip o' th! 'o,!r.
In th! #o+b!t on th! b!!t!Is !g, th! pan! o' biat!ra sy((!try
is orthogona to that in th! 'o,!r.
8! (ight say that th! in'or(ation ,hich th! b!!t!Is !g has ost
is pr!cis!y that in'or(ation ,hich th! pant cr!at!s by th! act o'
branching.
403
Co((ent on Pa&t I4
:h! pap!rs pac!# tog!th!r in this part ar! #i"!rs! in that ,hi!
!ach pap!r is a branch 'ro( th! (ain st!( o' th! arg+(!nt o' th!
boo*, th!s! branch!s co(! o'' 'ro( "!ry #i''!r!nt ocations. 9:h!
4o! o' &o(atic Chang! in ="o+tion
9
is an !-pansion o' th! tho+ght
b!hin# 9Aini(a 4!.+ir!(!nts 'or a :h!ory o' &chi/ophr!nia,
9
,hi! 9$rob!(s in C!tac!an an# 5th!r Aa((aian
Co((+nication
9
is an appication o' 9:h! @ogica Cat!gori!s o'
@!arning an# Co((+nication
9
to a partic+ar typ! o' ani(a.
9
A 4!C!-a(ination o' 0at!son
I
s 4+!
9
(ay s!!( to br!a* n!,
gro+n#, b+t is r!at!# to th! r!(ain#!r o' th! boo* in that it !-Ct!n#s
th! notion o' in'or(ationa contro to inc+#! th! 'i!# o'
(orphog!n!sis an#, by #isc+ssing ,hat happ!ns in a-sence o'
n!!#!# in'or(ation, brings o+t th! i(portanc! o' th! cont!-t into
,hich in'or(ation is r!c!i"!#.
&a(+! 0+t!r, ,ith +ncanny insight, onc! co((!nt!# +pon th!
anaogy b!t,!!n #r!a(s an# parth!nog!n!sis. 8! (ay say that th!
(onstro+s #o+b! !gs o' th! b!!t!s shar! in this anaogy6 th!y ar!
th! proJ!ction o' th! r!c!pti"! cont!-t #!pri"!# o' in'or(ation
,hich sho+# ha"! co(! 'ro( an !-t!rna so+rc!.
A!ssag! (at!ria, or in'or(ation, co(!s o+t o' a cont!-t into a
cont!-t, an# in oth!r parts o' th! boo* th! 'oc+s has b!!n on th!
cont!-t out o' ,hich in'or(ation ca(!. E!r! th! 'oc+s is rath!r
+pon th! int!rna stat! o' th! organis( as a cont!-t into ,hich th!
in'or(ation (+st b! r!c!i"!#.
5' co+rs!, n!ith!r 'oc+s is s+''ici!nt by its!' 'or o+r +n#!rC
stan#ing o' !ith!r ani(as or (!n. 0+t it is p!rhaps not an acci#!nt
that in th!s! pap!rs #!aing ,ith nonCh+(an organis(s th! 9cont!-t
9
,hich is #isc+ss!# is th! ob"!rs! or co(p!(!nt o' th! 9cont!-t
9
+pon ,hich I ha"! 'oc+ss!# att!ntion in oth!r parts o' th! boo*.
Consi#!r th! cas! o' th! +n'!rtii/!# 'rog
I
s !gg 'or ,hich th! !ntry
point o' th! sp!r(ato/oon #!'in!s th! pan! o' biat!ra sy((!try o' th!
'+t+r! !(bryo.
:h! pric* o' a hair 'ro( a ca(!
I
s hair br+sh can b! s+bstit+t!# an#
sti carry th! sa(! (!ssag!. 7ro( this it s!!(s that th! !-t!rna cont!-t
404
o+t o' ,hich th! (!ssag! co(!s is r!ati"!y +n#!'in!#. 7ro( th! !ntry
point aon!, th! !gg !arns b+t itt! abo+t th! !-t!rna ,or#. 0+t th!
int!rna cont!-t into ,hich th! (!ssag! co(!s (+st b! !-c!!#ingy
co(p!-.
:h! +n'!rtii/!# !gg, th!n, !(bo#i!s an immanent 5uestion to
,hich th! !ntry point o' sp!r(ato/oon pro"i#!s an ans,!rL an# this ,ay
o' stating th! (att!r is th! contrary or ob"!rs! o' th! con"!ntiona "i!,,
,hich ,o+# s!! th! !-t!rna cont!-t o' !arning as a 9.+!stion
9
to ,hich
th! 9right
9
b!ha"ior o' th! organis( is an ans,!r.
8! can !"!n b!gin to ist so(! o' th! co(pon!nts o' th! i((an!nt
.+!stion. 7irst th!r! ar! th! ar!a#y !-isting po!s o' th! !gg an#,
n!c!ssariy, so(! poari/ation o' th! int!r"!ning protopas( to,ar#s
th!s! po!s. 8itho+t so(! s+ch str+ct+ra con#itions 'or th! r!c!ipt o' th!
pric* o' th! sp!r(ato/oon, this (!ssag! co+# ha"! no (!aning. :h!
(!ssag! (+st co(! into an appropriat! structure.
0+t str+ct+r! aon! is not !no+gh. It s!!(s probab! that any (!ri#ian
o' th! 'rog
I
s !gg can pot!ntiay b!co(! th! pan! o' biat!ra sy((!try
an# that, in this, a (!ri#ians ar! ai*!. It 'oo,s that th!r! is, to this
!-t!nt, no str+ct+ra #i''!r!nc! b!t,!!n th!(. 0+t !"!ry (!ri#ian (+st
b! ready 'or th! acti"ating (!ssag!, its 9r!a#in!ss
9
b!ing gi"!n #ir!ction
b+t oth!r,is! +nr!strict!# by str+ct+r!. 4!a#in!ss, in 'act, is pr!cis!y
not%structure. I' an# ,h!n th! sp!r(ato/oon #!i"!rs its (!ssag!, n!,
str+ct+r! is g!n!rat!#.
In t!r(s o' th! !cono(ics o' '!-ibiity, #isc+ss!# in 9:h! 4o! o'
&o(atic Chang! in ="o+tion9 an# at!r in 9=coogy an# 7!-ibiity in
%rban Ci"ii/ation
9
2$art GI3, this 9r!a#in!ss
9
is uncommitted
potentiality for c*ange, an# ,! not! h!r! that this +nco((itt!#
pot!ntiaity is not ony a,ays 'init! in .+antity b+t (+st b! appropriat!y
ocat!# in a str+ct+ra (atri-, ,hich aso (+st b! .+antitati"!y 'init! at
any gi"!n ti(!.
:h!s! consi#!rations !a# nat+ray into $art G, ,hich I ha"! tit!#
9=pist!(oogy an# =coogy.
9
$!rhaps 9!pist!(oogy9 is ony anoth!r
,or# 'or th! st+#y o' th! !coogy o' (in#.
405
Part !: #pistemology and
#cology
Cy)e&neti' E12lanation
%
It (ay b! +s!'+ to #!scrib! so(! o' th! p!c+iariti!s o'
cyb!rn!tic !-panation.
Ca+sa !-panation is +s+ay positi"!. 8! say that biiar# ba 0
(o"!# in s+ch an# s+ch a #ir!ction b!ca+s! biiar# ba A hit it at
s+ch an# s+ch an ang!. In contrast to this, cyb!rn!tic !-panation is
a,ays n!gati"!. 8! consi#!r ,hat at!rnati"! possibiiti!s co+#
conc!i"aby ha"! occ+rr!# an# th!n as* ,hy (any o' th!
at!rnati"!s ,!r! not 'oo,!#, so that th! partic+ar !"!nt ,as on!
o' thos! '!, ,hich co+#, in 'act, occ+r. :h! cassica !-a(p! o'
this typ! o' !-panation is th! th!ory o' !"o+tion +n#!r nat+ra
s!!ction. AcCcor#ing to this th!ory, thos! organis(s ,hich ,!r! not
both physioogicay an# !n"iron(!ntay "iab! co+# not possiby
ha"! i"!# to r!pro#+c!. :h!r!'or!, !"o+tion a,ays 'oo,!# th!
path,ays o' "iabiity. As @!,is Carro has point!# o+t, th! th!ory
!-pains .+it! satis'actoriy ,hy th!r! ar! no br!a#Can#Cb+tt!rC'i!s
to#ay.
In cyb!rn!tic ang+ag!, th! co+rs! o' !"!nts is sai# to b! s+bJ!ct
to restraints) an# it is ass+(!# that, apart 'ro( s+ch r!straints, th!
path,ays o' chang! ,o+# b! go"!rn!# ony by !.+aity o'
probabiity. In 'act, th! 9r!straints9 +pon ,hich cyb!rn!tic
!-panation #!p!n#s can in a cas!s b! r!gar#!# as 'actors ,hich
#!t!r(in! in!.+aity o' probabiity. I' ,! 'in# a (on*!y stri*ing a
typ!,rit!r appar!nty at ran#o( b+t in 'act ,riting (!aning'+
pros!, ,! sha oo* 'or r!straints, !ith!r insi#! th! (on*!y or insi#!
th! typ!,rit!r. $!rhaps th! (on*!y co+# not stri*! inappropriat!
!tt!rsL p!rhaps th! typ! bars co+# not (o"! i' i(prop!ry str+c*L
p!rhaps incorr!ct !tt!rs co+# not s+r"i"! on th! pap!r. &o(!,h!r!
th!r! (+st ha"! b!!n a circ+it ,hich co+# i#!nti'y !rror an#
!i(inat! it.
H
:his artic! is r!print!# 'ro( th! American <e*a&ioral Scientist, Lol. 1C, )o. F,
Apri 1967, pp. >9%?>, by p!rC(ission o' th! p+bish!r, &ag! $+bications, Inc.
407
I#!ay;an# co((ony;th! act+a !"!nt in any s!.+!nc! or
aggr!gat! is +ni.+!y #!t!r(in!# ,ithin th! t!r(s o' th! cyb!rn!tic
!-panation. 4!straints o' (any #i''!r!nt *in#s (ay co(bin! to
g!n!rat! this +ni.+! #!t!r(ination. 7or !-a(p!, th! s!!ction o' a
pi!c! 'or a gi"!n position in a Jigsa, p+//! is 9r!strain!#9 by (any
'actors. Its shap! (+st con'or( to that o' its s!"!ra n!ighbors an#
possiby that o' th! bo+n#ary o' th! p+//!L its coor (+st con'or(
to th! coor patt!rn o' its r!gionL th! ori!ntation o' its !#g!s (+st
ob!y th! topoogica r!g+ariti!s s!t by th! c+tting (achin! in ,hich
th! p+//! ,as (a#!L an# so on. 7ro( th! point o' "i!, o' th! (an
,ho is trying to so"! th! p+//!, th!s! ar! a c+!s, i.!., so+rc!s o'
in'or(ation ,hich ,i g+i#! hi( in his s!!ction. 7ro( th! point o'
"i!, o' th! cyb!rn!tic obs!r"!r, th!y ar! restraints.
&i(iary, 'ro( th! cyb!rn!tic point o' "i!,, a ,or# in a
s!nt!nc!, or a !tt!r ,ithin th! ,or#, or th! anato(y o' so(! part
,ithin an organis(, or th! ro! o' a sp!ci!s in an !cosyst!(, or th!
b!ha"ior o' a (!(b!r ,ithin a 'a(iy;th!s! ar! a to b!
2n!gati"!y3 !-pain!# by an anaysis o' r!straints.
:h! n!gati"! 'or( o' th!s! !-panations is pr!cis!y co(parab!
to th! 'or( o' ogica proo' by reductio ad a-surdum. In this sp!ci!s
o' proo', a s+''ici!nt s!t o' (+t+ay !-c+si"! at!rnati"!
propositions is !n+(!rat!#, !.g., 9$9 an# 9not $,9 an# th! proc!ss o'
proo' proc!#!s by #!(onstrating that a b+t on! o' this s!t ar!
+nt!nab! or 9abs+r#.9 It 'oo,s that th! s+r"i"ing (!(b!r o' th!
s!t (+st b! t!nab! ,ithin th! t!r(s o' th! ogica syst!(. :his is a
'or( o' proo' ,hich th! non(ath!(atica so(!ti(!s 'in#
+ncon"incing an#, no #o+bt, th! th!ory o' nat+ra s!!ction
so(!ti(!s s!!(s +ncon"incing to non(ath!(atica p!rsons 'or
si(iar r!asons;,hat!"!r thos! r!asons (ay b!.
Anoth!r tactic o' (ath!(atica proo' ,hich has its co+nt!rpart in
th! constr+ction o' cyb!rn!tic !-panations is th! +s! o' 9(apping
9
or rigoro+s (!taphor. An ag!braic proposition (ay, 'or !-a(p!, b!
(app!# onto a syst!( o' g!o(!tric coor#inat!s an# th!r! pro"!n by
g!o(!tric (!tho#s. In cyb!rn!tics, (apping app!ars as a t!chni.+!
o' !-panation ,h!n!"!r a conc!pt+a 9(o#!9 is in"o*!# or, (or!
concr!t!y, ,h!n a co(p+t!r is +s!# to si(+at! a co(p!-
co((+nicationa proc!ss. 0+t this is not th! ony app!aranc! o'
(apping in this sci!nc!. 7or(a proc!ss!s o' (apping, transation,
408
or trans'or(ation ar!, in princip!, i(p+t!# to e&ery st!p o' any
s!.+!nc! o' ph!no(!na ,hich th! cyb!rn!ticist is att!(pting to
!-pain. :h!s! mappings or transC'or(ations (ay b! "!ry co(p!-,
!.g., ,h!r! th! o+tp+t o' so(! (achin! is r!gar#!# as a trans'or( o'
th! inp+tL or th!y (ay b! "!ry si(p!, !.g., ,h!r! th! rotation o' a
sha't at a gi"!n point aong its !ngth is r!gar#!# as a trans'or(
2ab!it i#!ntica3 o' its rotation at so(! pr!"io+s point.
:h! r!ations ,hich r!(ain constant +n#!r s+ch trans'or(ation
(ay b! o' any conc!i"ab! *in#.
:his para!, b!t,!!n cyb!rn!tic !-panation an# th! tactics o'
ogica or (ath!(atica proo', is o' (or! than tri"ia int!r!st.
5+tsi#! o' cyb!rn!tics, ,! oo* 'or !-panation, b+t not 'or anything
,hich ,o+# si(+at! ogica proo'. :his si(+ation o' proo' is
so(!thing n!,. 8! can say, ho,!"!r, ,ith hin#sight ,is#o(, that
!-panation by si(+ation o' ogica or (ath!(atica proo' ,as
!-p!ctab!. A't!r a, th! s+bJ!ct (att!r o' cyb!rn!tics is not !"!nts
an# obJ!cts b+t th! information 9carri!#9 by !"!nts an# obJ!cts. 8!
consi#!r th! obJ!cts or !"!nts ony as proposing 'acts, propositions,
(!ssag!s, p!rc!pts, an# th! i*!. :h! s+bJ!ct (att!r b!ing
propositiona, it is !-p!ctab! that !-panation ,o+# si(+at! th!
ogica.
Cyb!rn!ticians ha"! sp!ciai/!# in thos! !-panations ,hich
si(+at! reductio ad a-surdum an# 9(apping.9 :h!r! ar! p!rhaps
,ho! r!a(s o' !-panation a,aiting #isco"!ry by so(!
(ath!(atician ,ho ,i r!cogni/!, in th! in'or(ationa asp!cts o'
nat+r!, s!.+!nc!s ,hich si(+at! oth!r typ!s o' proo'.
0!ca+s! th! s+bJ!ct (att!r o' cyb!rn!tics is th! propositiona or
in'or(ationa asp!ct o' th! !"!nts an# obJ!cts in th! nat+ra ,or#,
this sci!nc! is 'orc!# to proc!#+r!s rath!r #i''!r!nt 'ro( thos! o' th!
oth!r sci!nc!s. :h! #i''!r!ntiation, 'or !-a(p!, b!t,!!n (ap an#
t!rritory, ,hich th! s!(anticists insist that sci!ntists sha r!sp!ct
in th!ir ,ritings (+st, in cyb!rn!tics, b! ,atch!# 'or in th! "!ry
ph!no(!na abo+t ,hich th! sci!ntist ,rit!s. =-p!ctaby,
co((+nicating organis(s an# ba#y progra((!# co(p+t!rs ,i
(ista*! (ap 'or t!rritoryL an# th! ang+ag! o' th! sci!ntist (+st b!
ab! to cop! ,ith s+ch ano(ai!s. In h+(an b!ha"iora syst!(s,
!sp!ciay in r!igion an# rit+a an# ,h!r!"!r pri(ary proc!ss
409
#o(inat!s th! sc!n!, th! na(! o't!n is th! thing na(!#. :h! br!a#
is th! 0o#y, an# th! ,in! is th! 0oo#.
&i(iary, th! ,ho! (att!r o' in#+ction an# #!#+ction ;an# o+r
#octrinair! pr!'!r!nc!s 'or on! or th! oth!r;,i ta*! on a n!,
signi'icanc! ,h!n ,! r!cogni/! in#+cti"! an# #!#+cti"! st!ps not
ony in o+r o,n arg+(!nt b+t in th! r!ationships a(ong #ata.
5' !sp!cia int!r!st in this conn!ction is th! r!ationship b!t,!!n
conte.t an# its cont!nt. A phon!(! !-ists as s+ch ony in
co(bination ,ith oth!r phon!(!s ,hich (a*! +p a ,or#. :h! ,or#
is th! conte.t o' th! phon!(!. 0+t th! ,or# ony !-ists as s+ch;
ony has 9(!aning9;in th! arg!r cont!-t o' th! +tt!ranc!, ,hich
again has (!aning ony in a r!ationship.
:his hi!rarchy o' cont!-ts ,ithin cont!-ts is +ni"!rsa 'or th!
co((+nicationa 2or 9!(ic93 asp!ct o' ph!no(!na an# #ri"!s th!
sci!ntist a,ays to s!!* 'or !-panation in th! !"!r arg!r +nits. It
(ay 2p!rhaps3 b! tr+! in physics that th! !-panation o' th!
(acroscopic is to b! so+ght in th! (icroscopic. :h! opposit! is
+s+ay tr+! in cyb!rn!tics6 ,itho+t cont!-t, th!r! is no
co((+nication.
In accor# ,ith th! n!gati"! charact!r o' cyb!rn!tic !-Cpanation,
9in'or(ation9 is .+anti'i!# in n!gati"! t!r(s. An !"!nt orCobJ!ct
s+ch as th! !tt!r < in a gi"!n position in th! t!-t o' a (!ssag!
mig*t ha"! b!!n any oth!r o' th! i(it!# s!t o' t,!ntyCsi- !tt!rs in
th! =ngish ang+ag!. :h! act+a !tt!r !-c+#!s 2i.!., !i(inat!s by
r!straint3 t,!ntyC'i"! at!rnati"!s. In co(parison ,ith an =ngish
!tt!r, a Chin!s! i#!ograph ,o+# ha"! !-c+#!# s!"!ra tho+san#
at!rnati"!s. 8! say, th!r!'or!, that th! Chin!s! i#!ograph carri!s
(or! in'or(ation than th! !tt!r. :h! .+antity o' in'or(ation is
con"!ntionay !-pr!ss!# as th! og to bas! 2 o' th! i(probabiity o'
th! act+a !"!nt or obJ!ct.
$robabiity, b!ing a ratio b!t,!!n .+antiti!s ,hich ha"! si(iar
#i(!nsions, is its!' o' /!ro #i(!nsions. :hat is, th! c!ntra
!-panatory .+antity, in'or(ation, is o' /!ro #i(!nsions.
V+antiti!s o' r!a #i(!nsions 2(ass, !ngth, ti(!3 an# th!ir
#!ri"ati"!s 2'orc!, !n!rgy, !tc.3 ha"! no pac! in cyb!rn!tic
!-panation.
:h! stat+s o' !n!rgy is o' sp!cia int!r!st. In g!n!ra in
co((+nicationa syst!(s, ,! #!a ,ith s!.+!nc!s ,hich r!s!(b!
410
sti(++sCan#Cr!spons! rath!r than ca+s!Can#C!''!ct. 8h!n on!
biiar# ba stri*!s anoth!r, th!r! is an !n!rgy trans'!r s+ch that th!
(otion o' th! s!con# ba is !n!rgi/!# by th! i(pact o' th! 'irst. In
co((+nicationa syst!(s, on th! oth!r han#, th! !n!rgy o' th!
r!spons! is +s+ay pro"i#!# by th! r!spon#!nt. I' I *ic* a #og, his
i((!#iat!y s!.+!ntia b!ha"ior is !n!rgi/!# by his (!tabois(, not
by my *ic*. &i(iary, ,h!n on! n!+ron 'ir!s anoth!r, or an i(p+s!
'ro( a (icrophon! acti"at!s a circ+it, th! s!.+!nt !"!nt has its o,n
!n!rgy so+rc!s.
5' co+rs!, !"!rything that happ!ns is sti ,ithin th! i(its
#!'in!# by th! a, o' !n!rgy cons!r"ation. :h! #ogIs (!tabois(
(ight in th! !n# i(it his r!spons!, b+t, in g!n!ra, in th! syst!(s
,ith ,hich ,! #!a, th! !n!rgy s+ppi!s ar! arg! co(par!# ,ith th!
#!(an#s +pon th!(L an#, ong b!'or! th! s+ppi!s ar! !-ha+st!#,
9!cono(ic
9
i(itations ar! i(pos!# by th! 'init! n+(b!r o' a"aiab!
at!rnati"!s, i.!., th!r! is an !cono(ics o' probabiity. :his
!cono(ics #i''!rs 'ro( an !cono(ics o' !n!rgy or (on!y in that
probabiity;b!ing a ratio;is not s+bJ!ct to a##ition or s+btraction
b+t ony to (+tipicati"! proc!ss!s, s+ch as 'ractionation. A
t!!phon! !-chang! at a ti(! o' !(!rg!ncy (ay b! 9Ja((!#9 ,h!n
a arg! 'raction o' its at!rnati"! path,ays ar! b+sy. :h!r! is, th!n, a
o, probabiity o' any gi"!n (!ssag! g!tting thro+gh.
In a##ition to th! r!straints #+! to th! i(it!# !cono(ics o'
at!rnati"!s, t,o oth!r cat!gori!s o' r!straint (+st b! #isc+ss!#6
r!straints r!at!# to 9'!!#bac*9 an# r!straints r!at!# to
9r!#+n#ancy.9
8! consi#!r 'irst th! conc!pt o' '!!#bac*6
8h!n th! ph!no(!na o' th! +ni"!rs! ar! s!!n as in*!# tog!th!r
by ca+s!Can#C!''!ct an# !n!rgy trans'!r, th! r!s+ting pict+r! is o'
co(p!-y branching an# int!rconn!cting chains o' ca+sation. In
c!rtain r!gions o' this +ni"!rs! 2notaby organis(s in !n"iron(!nts,
!cosyst!(s, th!r(ostats, st!a( !ngin!s ,ith go"!rnors, soci!ti!s,
co(p+t!rs, an# th! i*!3, th!s! chains o' ca+sation 'or( circ+its
,hich ar! closed in th! s!ns! that ca+sa int!rconn!ction can b!
trac!# aro+n# th! circ+it an# bac* thro+gh ,hat!"!r position ,as
2arbitariy3 chos!n as th! starting point o' th! #!scription. In s+ch a
circ+it, !"i#!nty, !"!nts at any position in th! circ+it (ay b!
!-p!ct!# to ha"! !''!ct at all positions on th! circ+it at at!r ti(!s.
411
&+ch syst!(s ar!, ho,!"!r, a,ays open# +a4 in th! s!ns! that th!
circ+it is !n!rgi/!# 'ro( so(! !-t!rna so+rc! an# os!s !n!rgy
+s+ay in th! 'or( o' h!at to th! o+tsi#!L an# 2b3 in th! s!ns! that
!"!nts ,ithin th! circ+it (ay b! in'+!nc!# 'ro( th! o+tsi#! or (ay
in'+!nc! o+tsi#! !"!nts.
A "!ry arg! an# i(portant part o' cyb!rn!tic th!ory is conc!rn!#
,ith th! 'or(a charact!ristics o' s+ch ca+sa circ+its, an# th!
con#itions o' th!ir stabiity. E!r! I sha consi#!r s+ch syst!(s ony
as so+rc!s o' restraint.
Consi#!r a "ariab! in th! circ+it at any position an# s+pCpos!
this "ariab! s+bJ!ct to ran#o( chang! in "a+! 2th! chang! p!rhaps
b!ing i(pos!# by i(pact o' so(! !"!nt !-t!rna to th! circ+it3. 8!
no, as* ho, this chang! ,i a''!ct th! "a+! o' this "ariab! at that
at!r ti(! ,h!n th! s!.+!nc! o' !''!cts has co(! aro+n# th! circ+it.
C!ary th! ans,!r to this ast .+!stion ,i #!p!n# +pon th!
charact!ristics o' th! circ+it an# ,i, th!r!'or!, b! not random.
In princip!, th!n, a ca+sa circ+it ,i g!n!rat! a nonCran#o(
r!spons! to a ran#o( !"!nt at t*at position in t*e circuit at '*ic* t*e
random e&ent occurred.
:his is th! g!n!ra r!.+isit! 'or th! cr!ation o' cyb!rn!tic
r!straint in any "ariab! at any gi"!n position. :h! partic+ar
r!straint cr!at!# in any gi"!n instanc! ,i, o' co+rs!, #!p!n# +pon
th! charact!ristics o' th! partic+ar circ+it;,h!th!r its o"!ra gain
b! positi"! or n!gati"!, its ti(! charact!ristics, its thr!sho#s o'
acti"ity, !tc. :h!s! ,i tog!th!r #!t!r(in! th! r!straints ,hich it
,i !-!rt at any gi"!n position.
7or p+rpos!s o' cyb!rn!tic !-panation, ,h!n a (achin! is
obs!r"!# to b! 2i(probaby3 (o"ing at a constant rat!, !"!n +n#!r
"arying oa#, ,! sha oo* 'or r!straints;!.g., 'or a circ+it ,hich
,i b! acti"at!# by chang!s in rat! an# ,hich, ,h!n acti"at!#, ,i
op!rat! +pon so(! "ariab! 2!.g., th! '+! s+ppy3 in s+ch a ,ay as
to #i(inish th! chang! in rat!.
8h!n th! (on*!y is obs!r"!# to b! 2i(probaby3 typing pros!,
,! sha oo* 'or so(! circ+it ,hich is acti"at!# ,h!n!"!r h! (a*!s
a 9(ista*!9 an# ,hich, ,h!n acti"at!#, ,i #!!t! th! !"i#!nc! o'
that (ista*! at th! position ,h!r! it occ+rr!#.
:h! cyb!rn!tic (!tho# o' n!gati"! !-panation rais!s th!
.+!stion6 Is th!r! a #i''!r!nc! b!t,!!n 9b!ing right9 an# 9not b!ing
412
,rong9D &ho+# ,! say o' th! rat in a (a/! that h! has 9!arn!# th!
right path9 or sho+# ,! say ony that h! has !arn!# 9to a"oi# th!
,rong paths9D
&+bJ!cti"!y, I '!! that I *no, ho, to sp! a n+(b!r o' =ngish
,or#s, an# I a( c!rtainy not a,ar! o' #iscar#ing as +nr!,ar#ing
th! !tt!r < ,h!n I ha"! to sp! th! ,or# 9(any.9 F!t, in th! 'irst
!"! cyb!rn!tic !-panation, I sho+# b! "i!,!# as acti"!y
#iscar#ing th! at!rnati"! < ,h!n I sp! 9(any.9
:h! .+!stion is not tri"ia an# th! ans,!r is both s+bt! an#
'+n#a(!nta6 c*oices are not all at t*e same le&el. I (ay ha"! to a"oi#
!rror in (y choic! o' th! ,or# 9(any9 in a gi"!n cont!-t, #iscar#ing
th! at!rnati"!s, 9'!,,9 9s!"!ra,9 9'r!.+!nt,9 !tc. 0+t i' I can
achi!"! this high!r !"! choic! on a n!gati"! bas!, it 'oo,s that
th! ,or# 9(any9 an# its at!rnati"!s so(!ho, (+st b! conc!i"ab!
to (!;(+st !-ist as #isting+ishab! an# possiby ab!!# or co#!#
patt!rns in (y n!+ra proc!ss!s. I' th!y #o, in so(! s!ns!, !-ist,
th!n it 'oo,s that, a't!r (a*ing th! high!r !"! choic! o' ,hat
,or# to +s!, I sha not n!c!ssariy b! 'ac!# ,ith at!rnati"!s at th!
o,!r !"!. It (ay b!co(! +nn!c!ssary 'or (! to !-c+#! th! !tt!r
< 'ro( th! ,or# 9(any.9 It ,i b! corr!ct to say that I *no,
positi"!y ho, to sp! 9(any9L not (!r!y that I *no, ho, to a"oi#
(a*ing (ista*!s in sp!ing that ,or#.
It 'oo,s that @!,is CarroIs Jo*! abo+t th! th!ory o' nat+ra
s!!ction is not !ntir!y cog!nt. I', in th! co((+nicationa an#
organi/ationa proc!ss!s o' bioogica !"o+tion, th!r! b! so(!thing
i*! !"!s;it!(s, patt!rns, an# possiby patt!rns o' patt!rns;th!n
it is ogicay possib! 'or th! !"o+tionary syst!( to (a*!
so(!thing i*! positi"! choic!s. &+ch !"!s an# patt!rning (ight
conc!i"aby b! in or a(ong g!n!s or !s!,h!r!.
:h! circ+itry o' th! abo"! (!ntion!# (on*!y ,o+# b! r!.+ir!#
to r!cogni/! #!"iations 'ro( 9pros!,9 an# pros! is charact!ri/!# by
patt!rn or;as th! !ngin!!rs ca it;by r!#+n#ancy.
:h! occ+rr!nc! o' th! !tt!r < in a gi"!n ocation in an =ngish
pros! (!ssag! is not a p+r!y ran#o( !"!nt in th! s!ns! that th!r!
,as !"!r an !.+a probabiity that any oth!r o' th! t,!ntyC'i"!
!tt!rs (ight ha"! occ+rr!# in that ocation. &o(! !tt!rs ar! (or!
co((on in =ngish than oth!rs, an# c!rtain co(binations o' !tt!rs
ar! (or! co((on than oth!rs. :h!r! is, th+s, a sp!ci!s o' patt!rning
413
,hich party #!t!r(in!s ,hich !tt!rs sha occ+r in ,hich sots. As
a r!s+t6 i' th! r!c!i"!r o' th! (!ssag! ha# r!c!i"!# th! !ntir! r!st o'
th! (!ssag! b+t ha# not r!c!i"!# th! partic+ar !tt!r < ,hich ,!
ar! #isc+ssing, h! (ight ha"! b!!n ab!, ,ith b!tt!r than ran#o(
s+cc!ss, to g+!ss that th! (issing !tt!r ,as, in 'act, <. :o th! !-t!nt
that this ,as so, th! !tCt!r < #i# not, 'or that r!c!i"!r, !-c+#! th!
oth!r t,!ntyC'i"! !tt!rs b!ca+s! th!s! ,!r! ar!a#y party !-c+#!#
by in'or(ation ,hich th! r!cipi!nt r!c!i"!# 'ro( th! r!st o' th!
(!ssag!. :his patt!rning or pr!#ictabiity o' partic+ar !"!nts ,ithin
a arg!r aggr!gat! o' !"!nts is t!chnicay ca!# 9r!#+n#ancy.9
:h! conc!pt o' r!#+n#ancy is +s+ay #!ri"!#, as I ha"! #!ri"!#
it, by consi#!ring 'irst th! (a-i(+( o' in'or(ation ,hich (ight b!
carri!# by th! gi"!n it!( an# th!n consi#!ring ho, this tota (ight
b! r!#+c!# by *no,!#g! o' th! s+rro+n#ing patt!rns o' ,hich th!
gi"!n it!( is a co(pon!nt part. :h!r! is, ho,!"!r, a cas! 'or
oo*ing at th! ,ho! (att!r th! oth!r ,ay ro+n#. 8! (ight r!gar#
patt!rning or pr!#ictabiity as th! "!ry !ss!nc! an# raison dDetre o'
co((+nication, an# s!! th! sing! !tt!r +nacco(pani!# by
coat!ra c+!s as a p!c+iar an# sp!cia cas!.
:h! i#!a that co((+nication is th! cr!ation o' r!#+n#ancy or
patt!rning can b! appi!# to th! si(p!st !ngin!!ring !-a(p!s. @!t
+s consi#!r an o-ser&er ,ho is ,atching A s!n# a (!ssag! to 0. :h!
p+rpos! o' th! transaction 2'ro( th! point o' "i!, o' A an# 03 is to
cr!at! in 0Is (!ssag! pa# a s!.+!nc! o' !tt!rs i#!ntica ,ith th!
s!.+!nc! ,hich 'or(!ry occ+rr!# in AIs pa#. 0+t 'ro( th! point o'
"i!, o' th! obs!r"!r this is th! cr!ation o' r!#+n#ancy. I' h! has
s!!n ,hat A ha# on his pa#, h! ,i not g!t any n!, in'or(ation
abo+t th! (!ssag! its!' 'ro( insp!cting 0Is pa#.
="i#!nty, th! nat+r! o' 9(!aning,9 patt!rn, r!#+n#ancy,
in'or(ation an# th! i*!. #!p!n#s +pon ,h!r! ,! sit. In th! +s+a
!ngin!!rsI #isc+ssion o' a (!ssag! s!nt 'ro( A to 0, it is c+sto(ary
to o(it th! obs!r"!r an# to say that 0 r!c!i"!# in'or(ation 'ro( A
,hich ,as (!as+rab! in t!r(s o' th! n+(b!r o' !tt!rs trans(itt!#,
r!#+c!# by s+ch r!#+n#ancy in th! t!-t as (ight ha"! p!r(itt!# 0 to
#o so(! g+!ssing. 0+t in a ,i#!r +ni"!rs!, i.!., that #!'in!# by th!
point o' "i!, o' th! obs!r"!r, this no ong!r app!ars as a
9trans(ission9 o' in'or(ation b+t rath!r as a spr!a#ing o'
r!#+n#ancy. :h! acti"iti!s o' A an# 0 ha"! co(bin!# to (a*! th!
414
+ni"!rs! o' th! obs!r"!r (or! pr!#ictab!, (or! or#!r!#, an# (or!
r!#+n#ant. 8! (ay say that th! r+!s o' th! 9ga(!9 pay!# by A an#
0 !-pain 2as 9r!straints93 ,hat ,o+# oth!r,is! b! a p+//ing an#
i(probab! coinci#!nc! in th! obs!r"!rIs +ni"!rs!, na(!y th!
con'or(ity b!t,!!n ,hat is ,ritt!n on th! t,o (!ssag! pa#s.
:o g+!ss, in !ss!nc!, is to 'ac! a c+t or sash in th! s!.+!nc! o'
it!(s an# to pr!#ict across that sash ,hat it!(s (ight b! on th!
oth!r si#!. :h! sash (ay b! spatia or t!(pora 2or both3 an# th!
g+!ssing (ay b! !ith!r pr!#icti"! or r!trosp!cti"!. A patt!rn, in 'act,
is #!'inab! as an aggr!gat! o' !"!nts or obJ!cts ,hich ,i p!r(it in
so(! #!gr!! s+ch g+!ss!s ,h!n th! !ntir! aggr!gat! is not a"aiab!
'or insp!ction.
0+t this sort o' patt!rning is aso a "!ry, g!n!ra ph!no(!non,
o+tsi#! th! r!a( o' co((+nication -et'een organis(s. :h!
r!c!ption o' (!ssag! (at!ria by one organis( is not '+n#a(!ntay
#i''!r!nt 'ro( any oth!r cas! o' p!rc!ption. I' I s!! th! top part o' a
tr!! stan#ing +p, I can pr!#ict ;,ith b!tt!r than ran#o( s+cc!ss;
that th! tr!! has roots in th! gro+n#. :h! p!rc!pt o' th! tr!! top is
r!#+n#ant ,ith 2i.!., contains 9in'or(ation9 abo+t3 parts o' th!
syst!( ,hich I cannot p!rc!i"! o,ing to th! sash pro"i#!# by th!
opacity o' th! gro+n#.
I' th!n ,! say that a (!ssag! has 9(!aning9 or is 9abo+t9 so(!
r!'!r!nt, ,hat ,! (!an is that th!r! is a arg!r +ni"!rs! o' r!!"anc!
consisting o' (!ssag!Cp+sCr!'!r!nt, an# that r!#+n#ancy or patt!rn
or pr!#ictabiity is intro#+c!# into this +ni"!rs! by th! (!ssag!.
I' I say to yo+ 9It is raining,9 this (!ssag! intro#+c!s r!#+n#ancy
into th! +ni"!rs!, (!ssag!Cp+sCrain#rops, so that 'ro( th! (!ssag!
aon! yo+ co+# ha"! g+!ss!#;,ith b!tt!r than ran#o( s+cc!ss;
so(!thing o' ,hat yo+ ,o+# s!! i' yo+ oo*!# o+t o' th! ,in#o,.
:h! +ni"!rs!, (!ssag!Cp+sCr!'!r!nt, is gi"!n patt!rn or 'or(;in
th! &ha*!sp!ar!an s!ns!, th! +ni"!rs! is informed by th! (!ssag!L
an# th! 9'or(9 o' ,hich ,! ar! sp!a*ing is not in th! (!ssag! nor is
it in th! r!'!r!nt. It is a corr!spon#!nc! b!t,!!n (!ssag! an#
r!'!r!nt.
In oos! ta*, it s!!(s si(p! to ocat! in'or(ation. :h! !tt!r <
in a gi"!n sot propos!s that th! !tt!r in that partic+ar sot is a <.
An#, so ong as a in'or(ation is o' this "!ry #ir!ct *in#, th!
415
in'or(ation can b! 9ocat!#96 th! in'or(ation abo+t th! !tt!r < is
s!!(ingy in that sot.
:h! (att!r is not .+it! so si(p! i' th! t!-t o' th! (!ssag! is
r!#+n#ant b+t, i' ,! ar! +c*y an# th! r!#+n#ancy is o' o, or#!r,
,! (ay sti b! ab! to point to parts o' th! t!-t ,hich in#icat!
2carry so(! o' th! in'or(ation3 that th! !tt!r < is !-p!ctab! in that
partic+ar sot.
0+t i' ,! ar! as*!#6 8h!r! ar! s+ch it!(s o' in'or(ation as that6
2a3 9:his (!ssag! is in =ngish9L an# 2b3 9In =ngish, a !tt!r < o't!n
'oo,s a !tt!r C, !-c!pt ,h!n th! C b!gins a ,or#
9
L ,! can ony
say that s+ch in'or(ation is not ocai/!# in any part o' th! t!-t b+t
is rath!r a statistica in#+ction 'ro( th! t!-t as a ,ho! 2or p!rhaps
'ro( an aggr!gat! o' 9si(iar9 t!-ts3. :his, a't!r a, is (!tain'or(aC
tion an# is o' a basicay #i''!r!nt or#!r;o' #i''!r!nt ogica typ!;
'ro( th! in'or(ation that 9th! !tt!r in this sot is <.9
:his (att!r o' th! ocai/ation o' in'or(ation has b!C#!"i!#
co((+nication th!ory an# !sp!ciay n!+rophysioogy 'or (any
y!ars an# it is, th!r!'or!, int!r!sting to consi#!r ho, th! (att!r
oo*s i' ,! start 'ro( r!#+n#ancy, patt!rn or 'or( as th! basic
conc!pt.
It is 'aty ob"io+s that no "ariab! o' /!ro #i(!nsions can b!
tr+y ocat!#. 9In'or(ation9 an# 9'or(
9
r!s!(b! contrast,
'r!.+!ncy, sy((!try, corr!spon#!nc!, congr+!nc!, con'or(ity, an#
th! i*! in b!ing o' /!ro #i(!nsions an#, th!r!'or!, ar! not to b!
ocat!#. :h! contrast b!t,!!n this ,hit! pap!r an# that bac* co''!!
is not so(!,h!r! b!t,!!n th! pap!r an# th! co''!! an#, !"!n i' ,!
bring th! pap!r an# co''!! into cos! J+-taposition, th! contrast
b!t,!!n th!( is not th!r!by ocat!# or pinch!# b!t,!!n th!(. )or
is that contrast ocat!# b!t,!!n th! t,o obJ!cts an# (y !y!. It is not
!"!n in (y h!a#L or, i' it b!, th!n it (+st aso b! in yo+r h!a#. 0+t
yo+, th! r!a#!r, ha"! not s!!n th! pap!r an# th! co''!! to ,hich I
,as r!'!rring. I ha"! in (y h!a# an i(ag! or trans'or( or na(! o'
th! contrast b!t,!!n th!(L an# yo+ ha"! in yo+r h!a# a trans'or( o'
,hat I ha"! in (in!. 0+t th! con'or(ity b!t,!!n +s is not ocai/C
ab!. In 'act, in'or(ation an# 'or( ar! not it!(s ,hich can b!
ocai/!#.
It is, ho,!"!r, possib! to b!gin 2b+t p!rhaps not co(p!t!3 a sort
o' (apping o' 'or(a r!ations ,ithin a syst!( containing
416
r!#+n#ancy. Consi#!r a 'init! aggr!gat! o' obJ!cts or !"!nts 2say a
s!.+!nc! o' !tt!rs, or a tr!!3 an# an obs!r"!r ,ho is ar!a#y
in'or(!# abo+t a th! r!#+n#ancy r+!s ,hich ar! r!cogni/ab! 2i.!.,
,hich ha"! statistica signi'icanc!3 ,ithin th! aggr!gat!. It is th!n
possib! to #!i(it r!gions o' th! aggr!gat! ,ithin ,hich th!
obs!r"!r can achi!"! b!tt!r than ran#o( g+!ssing. A '+rth!r st!p
to,ar# ocai/ation is acco(pish!# by c+tting across th!s! r!gions
,ith sash (ar*s, s+ch that it is across th!s! that th! !#+cat!#
obs!r"!r can g+!ss, 'ro( ,hat is on on! si#! o' th! sash, so(!thing
o' ,hat is on th! oth!r si#!.
&+ch a (apping o' th! #istrib+tion o' patt!rns is, ho,C!"!r, in
princip!, inco(p!t! b!ca+s! ,! ha"! not consi#!r!# th! so+rc!s o'
th! obs!r"!rIs prior *no,!#g! o' th! r!#+n#ancy r+!s. I', no,, ,!
consi#!r an obs!r"!r ,ith no prior *no,!#g!, it is c!ar that h!
(ight #isco"!r so(! o' th! r!!"ant r+!s 'ro( his p!rc!ption o'
less than th! ,ho! aggr!gat!. E! co+# th!n +s! his #isco"!ry in
pr!#icting rules 'or th! r!(ain#!r;r+!s ,hich ,o+# b! corr!ct
!"!n tho+gh not !-!(pi'i!#. E! (ight #isco"!r that 9E o't!n
'oo,s :9 !"!n tho+gh th! r!(ain#!r o' th! aggr!gat! contain!# no
!-a(p! o' this co(bination. 7or this or#!r o' ph!no(!non a
#i''!r!nt or#!r o' sash (ar*;(!tasash!s ;,i b! n!c!ssary.
It is int!r!sting to not! that (!tasash!s ,hich #!(arcat! ,hat is
n!c!ssary 'or th! nai"! obs!r"!r to #isco"!r a r+! ar!, in princip!,
#ispac!# r!ati"! to th! sash!s ,hich ,o+# ha"! app!ar!# on th!
(ap pr!par!# by an obs!r"!r totay in'or(!# as to th! r+!s o'
r!#+n#ancy 'or that aggr!gat!. 2:his princip! is o' so(! i(portanc!
in a!sth!tics.
:o th! a!sth!tic !y!, th! 'or( o' a crab ,ith on! ca, bigg!r than
th! oth!r is not si(py asy((!trica. It 'irst proCpos!s a r+! o'
sy((!try an# th!n s+bty #!ni!s th! r+! by proposing a (or!
co(p!- co(bination o' r+!s.3
8h!n ,! !-c+#! a things an# a r!a #i(!nsions 'ro( o+r
!-panatory syst!(, ,! ar! !'t r!gar#ing !ach st!p in a
co((+nicationa s!.+!nc! as a transform o' th! pr!"io+s st!p. I'
,! consi#!r th! passag! o' an i(p+s! aong an a-on, ,! sha
r!gar# th! !"!nts at !ach point aong th! path,ay as a trans'or(
2ab!it i#!ntica or si(iar3 o' !"!nts at any pr!"io+s point. 5r i' ,!
consi#!r a s!ri!s o' n!+rons, !ach 'iring th! n!-t, th!n th! 'iring o'
417
!ach n!+ron is a trans'or( o' th! 'iring o' its pr!#!c!ssor. 8! #!a
,ith !"!nt s!.+!nc!s ,hich #o not n!c!ssariy i(py a passing on o'
th! sa(! !n!rgy.
&i(iary, ,! can consi#!r any n!t,or* o' n!+rons, an#
arbitrariy trans!ct th! ,ho! n!t,or* at a s!ri!s o' #i''!r!nt
positions, th!n ,! sha r!gar# th! !"!nts at !ach trans!ction as a
trans'or( o' !"!nts at so(! pr!"io+s trans!ction.
In consi#!ring p!rc!ption, ,! sha not say, 'or !-a(p!, 9I s!! a
tr!!,9 b!ca+s! th! tr!! is not ,ithin o+r !-panatory syst!(. At b!st,
it is ony possib! to s!! an i(ag! ,hich is a co(p!- b+t syst!(atic
trans'or( o' th! tr!!. :his i(ag!, o' co+rs!, is !n!rgi/!# -y my
(!tabois( an# th! nat+r! o' th! trans'or( is, in part, #!t!r(in!# by
'actors ,ithin (y n!+ra circ+its6 9I9 (a*! th! i(ag!, +n#!r "ario+s
r!straints, so(! o' ,hich ar! i(pos!# by my n!+ra circ+its, ,hi!
oth!rs ar! i(pos!# by th! !-t!rna tr!!. An ha+cination or #r!a(
,o+# b! (or! tr+y 9(in!9 inso'ar as it is pro#+c!# ,itho+t
i((!#iat! !-t!rna r!straints.
A that is not in'or(ation, not r!#+n#ancy, not 'or( an# not
r!straints;is nois!, th! ony possib! so+rc! o' ne' patt!rns.
418
Re#un#an'y an# Co#in
%
?isc+ssion o' th! !"o+tionary an# oth!r r!ationships b!t,!!n
th! co((+nication syst!(s o' (!n an# thos! o' oth!r ani(as has
(a#! it "!ry c!ar that th! co#ing #!"ic!s charact!ristic o' "!rba
co((+nication #i''!r pro'o+n#y 'ro( thos! o' *in!sics an#
paraang+ag!. 0+t th! point has b!!n (a#! that th!r! is a gr!at #!a
o' r!s!(banc! b!t,!!n th! co#!s o' *in!sics an# paraang+ag! an#
th! co#!s o' nonh+(an (a((as.
8! (ay, I thin*, stat! cat!goricay that (anIs "!rba syst!( is
not #!ri"!# in any si(p! ,ay 'ro( th!s! pr!pon#!ranty iconic
co#!s. :h!r! is a g!n!ra pop+ar b!i!' that in th! !"o+tion o' (an,
ang+ag! r!pac!# th! cr+#!r syst!(s o' th! oth!r ani(as. I b!i!"!
this to b! totay ,rong an# ,o+# arg+! as 'oo,s6
In any co(p!- '+nctiona syst!( capab! o' a#apti"!
!"o+tionary chang!, ,h!n th! p!r'or(anc! o' a gi"!n '+nction is
ta*!n o"!r by so(! n!, an# (or! !''ici!nt (!tho#, th! o# (!tho#
'as into #is+s! an# #!cay. :h! t!chni.+! o' (a*ing ,!apons by th!
*napping o' 'int #!t!riorat!# ,h!n (!tas ca(! into +s!.
:his #!cay o' organs an# s*is +n#!r !"o+tionary r!pac!(!nt
is a n!c!ssary an# in!"itab! syst!(ic ph!no(!non. I', th!r!'or!,
"!rba ang+ag! ,!r! in any s!ns! an !"o+tionary r!pac!(!nt o'
co((+nication by (!ans o' *in!sics an# paraang+ag!, ,! ,o+#
!-p!ct th! o#, pr!pon#!ranty iconic syst!(s to ha"! +n#!rgon!
conspic+o+s #!cay. C!ary th!y ha"! not. 4ath!r, th! *in!sics o'
(!n ha"! b!co(! rich!r an# (or! co(p!-, an# paraang+ag! has
bosso(!# si#! by si#! ,ith th! !"o+tion o' "!rba ang+ag!. 0oth
*in!sics an# paraang+ag! ha"! b!!n !aborat!# into co(p!- 'or(s
o' art, (+sic, ba!t, po!try, an# th! i*!, an#, !"!n in !"!ry#ay i'!,
th! intricaci!s o' h+(an *in!sic co((+nication, 'acia !-pr!ssion,
an# "oca intonation 'ar !-c!!# anything that any oth!r ani(a is
*no,n to pro#+c!. :h! ogicianIs #r!a( that (!n sho+#
H
:his !ssay app!ar!# as Chapt!r 22 in Animal "ommunication# !ec*ni5ues of
Study and $esults of $esearc*, !#it!# by :ho(as A. &!b!o*. Copyright 1968 by
In#iana %ni"!rsity $r!ss. 4!print!# by p!r(ission o' th! p+bish!r.
419
co((+nicat! ony by +na(big+o+s #igita signas has not co(! tr+!
an# is not i*!y to.
I s+gg!st that this s!parat! b+rg!oning !"o+tion o' *in!sics an#
paraang+ag! aongsi#! th! !"o+tion o' "!rba ang+ag! in#icat!s
that o+r iconic co((+nication s!r"!s '+nctions totay #i''!r!nt
'ro( thos! o' ang+ag! an#, inC#!!#, p!r'or(s '+nctions ,hich
"!rba ang+ag! is +ns+it!# to p!r'or(.
8h!n boy says to gir, 9I o"! yo+,9 h! is +sing ,or#s to con"!y
that ,hich is (or! con"incingy con"!y!# by his ton! o' "oic! an#
his (o"!(!ntsL an# th! gir, i' sh! has any s!ns!, ,i pay (or!
att!ntion to thos! acco(panying signs than to th! ,or#s. :h!r! ar!
p!op!;pro'!ssiona actors, con'i#!nc! tric*st!rs, an# oth!rs;,ho
ar! ab! to +s! *in!sics an# paraing+istic co((+nication ,ith a
#!gr!! o' "o+ntary contro co(parab! to that "o+ntary contro
,hich ,! a thin* ,! ha"! o"!r th! +s! o' ,or#s. 7or th!s! p!op!
,ho can i! ,ith *in!sics, th! sp!cia +s!'+n!ss o' nonC"!rba
co((+nication is r!#+c!#. It is a itt! (or! #i''ic+t 'or th!( to b!
sinc!r! an# sti (or! #i''ic+t 'or th!( to b! b!i!"!# to b! sinc!r!.
:h!y ar! ca+ght in a proc!ss o' #i(inishing r!t+rns s+ch that, ,h!n
#istr+st!#, th!y try to i(pro"! th!ir s*i in si(+ating paraing+istic
an# *in!sic sinc!rity. 0+t this is th! "!ry s*i ,hich !# oth!rs to
#istr+st th!(.
It s!!(s that th! #isco+rs! o' non"!rba co((+nication is
pr!cis!y conc!rn!# ,ith (att!rs o' r!ationship;o"!, hat!,
r!sp!ct, '!ar, #!p!n#!ncy, !tc.;b!t,!!n s!' an# "isC_C"is or
b!t,!!n s!' an# !n"iron(!nt an# that th! nat+r! o' h+(an soci!ty
is s+ch that 'asi'ication o' this #isco+rs! rapi#y b!co(!s
pathog!nic. 7ro( an a#apti"! point o' "i!,, it is th!r!'or! i(portant
that this #isco+rs! b! carri!# on by t!chni.+!s ,hich ar! r!ati"!y
+nconscio+s an# ony i(p!r'!cty s+bJ!ct to "o+ntary contro. In
th! ang+ag! o' n!+rophysioogy, th! contros o' this #isco+rs! (+st
b! pac!# in th! brain ca+#a# o' th! contros o' tr+! ang+ag!.
I' this g!n!ra "i!, o' th! (att!r b! corr!ct, it (+st 'oo, that to
transat! *in!sics or paraing+istic (!ssag!s into ,or#s is i*!y to
intro#+c! gross 'asi'ication #+! not (!r!y to th! h+(an prop!nsity
'or trying to 'asi'y stat!(!nts abo+t 9'!!ings9 an# r!ationship an#
to th! #istortions ,hich aris! ,h!n!"!r th! pro#+cts o' on! syst!(
o' co#ing ar! #iss!ct!# onto th! pr!(is!s o' anoth!r, b+t !sp!ciay
420
to th! 'act that a s+ch transation (+st gi"! to th! (or! or !ss
+nconscio+s an# in"o+ntary iconic (!ssag! th! app!aranc! o'
conscio+s int!nt.
As sci!ntists, ,! ar! conc!rn!# to b+i# a si(+acr+( o' th!
ph!no(!na +ni"!rs! in ,or#s. :hat is, o+r pro#+ct is to b! a "!rba
trans'or( o' th! ph!no(!na. It is n!c!ssary, th!r!'or!, to !-a(in!
rath!r car!'+y th! r+!s o' this transC'or(ation an# th! #i''!r!nc!s
in co#ing b!t,!!n nat+ra ph!no(!na, (!ssag! ph!no(!na, an#
,or#s. I *no, that it is +n+s+a to pr!s+(! a 9co#ing9 o' noni"ing
ph!no(!na an#, to J+sti'y this phras!, I (+st !-pan# so(!,hat on
th! conc!pt o' 9r!#+n#ancy9 as this ,or# is +s!# by th! co((+C
nications !ngin!!rs.
:h! !ngin!!rs an# (ath!(aticians ha"! conc!ntrat!# th!ir
att!ntion rigoro+sy +pon th! int!rna str+ct+r! o' (!ssag! (at!ria.
:ypicay, this (at!ria consists o' a s!.+!nc! or co!ction o' !"!nts
or obJ!cts 2co((ony (!(b!rs o' 'init! s!ts;phon!(!s an# th!
i*!3. :his s!.+!nc! is #i''!r!ntiat!# 'ro( irr!!"ant !"!nts or
obJ!cts occ+rring in th! sa(! r!gion o' ti(!Cspac! by th!
signaKnois! ratio an# by oth!r charact!ristics. :h! (!ssag! (at!ria
is sai# to contain 9r!#+n#ancy9 i', ,h!n th! s!.+!nc! is r!c!i"!#
,ith so(! it!(s (issing, th! r!c!i"!r is ab! to g+!ss at th! (issing
it!(s ,ith b!tt!r than ran#o( s+cc!ss. It has b!!n point!# o+t that,
in 'act, th! t!r( 9r!#+n#ancy9 so +s!# b!co(!s a synony( 'or
9
patt!rning.9
1
It is i(portant to not! that this patt!rning o' (!ssag!
(at!ria a,ays h!ps th! r!c!i"!r to #i''!r!ntiat! b!t,!!n signa
an# nois!. In 'act, th! r!g+arity ca!# signaKnois! ratio is r!ay
ony a sp!cia cas! o' r!#+n#ancy. Ca(o+'ag! 2th! opposit! o'
co((+nication3 is achi!"!# 213 by r!#+cing th! signaKnois! ratio,
223 by br!a*ing +p th! patt!rns an# r!g+ariti!s in th! signa, or 233
by intro#+cing si(iar patt!rns into th! nois!.
0y con'ining th!ir att!ntion to th! int!rna str+ct+r! o' th!
(!ssag! (at!ria, th! !ngin!!rs b!i!"! that th!y can a"oi# th!
co(p!-iti!s an# #i''ic+ti!s intro#+c!# into co((+nication th!ory
by th! conc!pt o' 9(!aning.9 I ,o+# arg+!, ho,!"!r, that th!
conc!pt 9r!#+n#ancy
9
is at !ast a partia synony( o'
9
(!aning.9 As
1
7. Attn!a"!, Applications of Information !*eory to 6syc*ology, )!, For*,
E!nry Eot an# Co., 1959.
421
I s!! it, i' th! r!c!i"!r can g+!ss at (issing parts o' th! (!ssag!,
th!n thos! parts ,hich ar! r!c!i"!# (+st, in 'act, carry a meaning
,hich r!'!rs to th! (issing parts an# is in'or(ation abo+t thos!
parts.
I' no, ,! t+rn a,ay 'ro( th! narro, +ni"!rs! o' (!ssag!
str+ct+r! an# consi#!r th! o+t!r ,or# o' nat+ra ph!no(!na, ,!
obs!r"! at onc! that this o+t!r ,or# is si(iary charact!ri/!# by
r!#+n#ancy, i.!., that ,h!n an obs!r"!r p!rc!i"!s ony c!rtain parts
o' a s!.+!nc! or con'ig+ration o' ph!no(!na, h! is in (any cas!s
ab! to g+!ss, ,ith b!tt!r than ran#o( s+cc!ss, at th! parts ,hich h!
cannot i((!#iat!y p!rc!i"!. It is, in#!!#, a principa goa o' th!
sci!ntist to !+ci#at! th!s! r!#+n#anci!s or patt!rnings o' th! ph!C
no(!na ,or#.
I' ,! no, consi#!r that arg!r +ni"!rs! o' ,hich th!s! t,o
s+b+ni"!rs!s ar! parts, i.!., th! syst!(6 (!ssag! plus !-t!rna
ph!no(!na, ,! 'in# that this arg!r syst!( contains r!#+n#ancy o' a
"!ry sp!cia sort. :h! obs!r"!rIs abiity to pr!#ict !-t!rna
ph!no(!na is "!ry (+ch incr!as!# by his r!c!ipt o' (!ssag!
(at!ria. I' I t! yo+ that 9it is raining9 an# yo+ oo* o+t th!
,in#o,, yo+ ,i g!t !ss in'or(ation 'ro( th! p!rc!ption o'
rain#rops than yo+ ,o+# ha"! got ha# yo+ n!"!r r!c!i"!# (y
(!ssag!. 7ro( (y (!ssag! yo+ co+# ha"! g+!ss!# that yo+ ,o+#
s!! rain.
In s+(,
9
r!#+n#ancy9 an# 9(!aning9 b!co(! synony(o+s
,h!n!"!r both ,or#s ar! appi!# to th! sa(! +ni"!rs! o'
#isco+rs!. 94!#+n#ancy
9
,ithin th! r!strict!# +ni"!rs! o' th!
(!ssag! s!.+!nc! is not, o' co+rs!, synony(o+s ,ith 9(!aning9 in
th! ,i#!r +ni"!rs! that inc+#!s both (!ssag! an# !-t!rna r!'!r!nt.
It ,i b! not!# that this ,ay o' thin*ing abo+t co((+nication
gro+ps a (!tho#s o' co#ing +n#!r th! sing! r+bric o' partC'orC
,ho!. :h! "!rba (!ssag! 9It is raining9 is to b! s!!n as a part o' a
arg!r +ni"!rs! ,ithin ,hich that (!ssag! cr!at!s r!#+n#ancy or
pr!#ictabiity. :h! 9#igita,9 th! 9anaogic,9 th! 9iconic,9 th!
9(!taphoric,
9
an# a oth!r (!tho#s o' co#ing ar! s+bs+(!# +n#!r
this sing! h!a#ing. 28hat th! gra((arians ca 9syn!c#och!
9
is th!
(!taphoric +s! o' th! na(! o' a part in pac! o' th! na(! o' th!
,ho!, as in th! phras! 9'i"! *ead o' catt!.
9
3
422
:his approach to th! (att!r has c!rtain a#"antag!s6 th! anayst is
'orc!# at a ti(!s to #!'in! th! +ni"!rs! o' #isco+rs! ,ithin ,hich
9r!#+n#ancy9 or 9(!aning9 is s+ppos!# to occ+r. E! is 'orc!# to
!-a(in! th! 9ogica typing
9
o' a (!ssag! (at!ria. 8! sha s!!
that this broa# "i!, o' th! (att!r (a*!s it !asy to i#!nti'y (aJor
st!ps in th! !"o+tion o' co((+nication. @!t +s consi#!r th!
sci!ntist ,ho is obs!r"ing t,o ani(as in a physica !n"iron(!nt.
:h! 'oo,ing co(pon!nts th!n (+st b! consi#!r!#6
213:h! physica !n"iron(!nt contains int!rna patt!rning or
r!#+n#ancy, i.!., th! p!rc!ption o' c!rtain !"!nts or obJ!cts
(a*!s oth!r !"!nts or obJ!cts pr!#ictab! 'or th! ani(as an#Kor
'or th! obs!r"!r.
223&o+n#s or oth!r signas 'ro( on! ani(a (ay conCtrib+t!
r!#+n#ancy to th! syst!(, en&ironment plus signal0 i.e., th! signas
(ay b! 9abo+t9 th! !n"iron(!nt.
233:h! s!.+!nc! o' signas ,i c!rtainy contain r!#+n#ancy
;
on! signa 'ro( an ani(a (a*ing anoth!r signa 'ro( th! sa(!
ani(a (or! pr!#ictab!.
243:h! signas (ay contrib+t! r!#+n#ancy to th! +ni"!rs!L AIs
signals plus <Ds signals, i.e., th! signas (ay b! a-out th!
int!raction o' ,hich th!y ar! co(pon!nt parts.
253I' a r+!s or co#!s o' ani(a co((+nication an#
+n#!rstan#ing ,!r! g!notypicay 'i-!#, th! ist ,o+# !n# at this
point. 0+t so(! ani(as ar! capab! o' learning, e.g., th! r!p!tition
o' s!.+!nc!s (ay !a# to th!ir b!co(ing !''!cti"! as patt!rns. In
ogic, 9!"!ry proposition propos!s its o,n tr+th,9 b+t in nat+ra
history ,! #!a a,ays ,ith a con"!rs! o' this g!n!rai/ation. :h!
p!rc!i"ab! !"!nts ,hich acco(pany a gi"!n p!rc!pt propos! that
that p!rc!pt sha 9(!an9 th!s! !"!nts. 0y so(! s+ch st!ps an
organis( (ay !arn to +s! th! in'or(ation contain!# in patt!rn!#
s!.+!nc!s o' !-t!rna !"!nts. I can th!r!'or! pr!#ict ,ith b!tCt!r
than ran#o( s+cc!ss that in th! +ni"!rs!, organis( plus
!n"iron(!nt, !"!nts ,i occ+r to co(p!t! patt!rns or
con'ig+rations o' !arn!# a#aptation b!t,!!n organis( an#
!n"iron(!nt.
263:h! b!ha"iora 9!arning9 ,hich is +s+ay st+#i!# in
psychoogica aboratori!s is o' a #i''!r!nt or#!r. :h! r!#+n#ancy
o' that +ni"!rs!, ,hich consists o' th! ani(aIs actions plus
423
!-t!rna !"!nts, is incr!as!#, 'ro( th! ani(aIs point o' "i!,,
,h!n th! ani(a r!g+ary r!spon#s to c!rtain !"!nts ,ith c!rtain
actions. &i(iary, this +ni"!rs! gains r!#+n#ancy ,h!n th!
ani(a s+cc!!#s in pro#+cing thos! actions ,hich '+nction as
r!g+ar precursors 2or ca+s!s3 o' sp!ci'ic !-t!rna !"!nts.
2737or !"!ry organis( th!r! ar! i(itations an# r!g+ariti!s
,hich #!'in! ,hat ,i b! !arn!# an# +n#!r ,hat circ+(stanc!s
this !arning ,i occ+r. :h!s! r!g+ariti!s an# patt!rns b!co(!
basic pr!(is!s 'or th! in#i"i#+a a#aptation an# socia
organi/ation o' any sp!ci!s.
283@ast b+t not !ast, th!r! is th! (att!r o' phyog!n!tic
!arning an# phyog!ny in g!n!ra. :h!r! is r!#+n#ancy in th!
syst!(, organis(Cp+sC!n"iron(!nt, s+ch that 'ro( th!
(orphoogy an# b!ha"ior o' th! organis( a h+(an obs!r"!r can
g+!ss ,ith b!tt!r than ran#o( s+cc!ss at th! nat+r! o' th!
!n"iron(!nt. :his 9in'or(ation9 abo+t th! !n"iron(!nt has
b!co(! o#g!# in th! organis( thro+gh a ong phyog!n!tic
proc!ss, an# its co#ing is o' a "!ry sp!cia *in#. :h! obs!r"!r ,ho
,o+# !arn abo+t th! a.+atic !n"iron(!nt 'ro( th! shap! o' a
shar* (+st #!#+c! th! hy#ro#yna(ics 'ro( th! a#aptation ,hich
cop!s ,ith th! ,at!r. :h! in'or(ation contain!# in th! ph!notypic
shar* is i(picit in 'or(s ,hich ar! co(p!(!ntary to charact!risC
tics o' oth!r parts o' th! +ni"!rs!, p*enotype plus en&ironment
,hos! r!#+n#ancy is incr!as!# by th! ph!notyp!.
:his "!ry bri!' an# inco(p!t! s+r"!y o' so(! o' th! sorts o'
r!#+n#ancy in bioogica syst!(s an# th! +ni"!rs!s o' th!ir
r!!"anc! in#icat!s that +n#!r th! g!n!ra r+bric 9partC'orC,ho!9 a
n+(b!r o' #i''!r!nt sorts o' r!ationship b!t,!!n part an# ,ho! ar!
inc+#!#. A isting o' so(! o' th! charact!ristics o' th!s! 'or(a
r!ations is in or#!r. 8! consi#!r so(! o' th! iconic cas!s6
213:h! !"!nts or obJ!cts ,hich ,! h!r! ca th! 9part9 or
9signa9 (ay b! r!a co(pon!nts o' an !-isting s!.+!nc! or
,ho!. A stan#ing tr+n* o' a tr!! in#icat!s th! probab! pr!s!nc!
o' in"isib! roots. A co+# (ay in#icat! th! co(ing stor( o'
,hich it is a part. :h! bar!# 'ang o' a #og (ay b! part o' a r!a
attac*.
223:h! 9part9 (ay ha"! ony a con#itiona r!ationship to its
,ho!6 th! co+# (ay in#icat! that ,! sha g!t ,!t i' ,! #onIt go
424
in#oorsL th! bar!# 'ang (ay b! th! b!ginning o' an attac* ,hich
,i b! co(p!t!# +n!ss c!rtain con#itions ar! (!t.
233:h! 9part9 (ay b! co(p!t!y spit 'ro( th! ,ho! ,hich is
its r!'!r!nt. :h! bar!# 'ang at th! gi"!n instant may mention an
attac* ,hich, i' an# ,h!n it occ+rs, ,i inc+#! a ne' baring o'
th! 'angs. :h! 9part9 has no, b!ca(! a tr+! iconic signa.
2435nc! a tr+! iconic signa has !"o"!#;not n!c!ssariy
thro+gh st!ps 1, 2, or ?, abo"!;a "ari!ty o' oth!r path,ays o'
!"o+tion b!co(! possib!6
2a3:h! 9part9 (ay b!co(! (or! or !ss #igitai/!#, so that
(agnit+#!s ,ithin it no ong!r r!'!r to (agnit+#!s ,ithin th!
,ho! ,hich is its r!'!r!nt b+t, 'or !-a(p!, contrib+t! to an
i(pro"!(!nt o' th! signaKnois! ratio.
2b3:h! 9part9 (ay ta*! on sp!cia rit+a or (!taphoric
(!anings in cont!-ts ,h!r! th! origina ,ho! to ,hich it onc!
r!'!rr!# is no ong!r r!!"ant. :h! ga(! o' (+t+a (o+thing
b!t,!!n (oth!r #og an# p+ppy ,hich onc! 'oo,!# h!r ,!aning
o' th! p+p (ay b!co(! a rit+a aggr!gation. :h! actions o'
'!!#ing a baby bir# (ay b!co(! a rit+a o' co+rtship, !tc.
:hro+gho+t this s!ri!s, ,hos! branch!s an# "ari!ti!s ar! h!r!
ony bri!'y in#icat!#, it is notab! that ani(a co((+nication is
con'in!# to signas ,hich ar! #!ri"!# 'ro( actions o' th! ani(as
th!(s!"!s, i.!., thos! ,hich ar! parts o' s+ch actions. :h! !-t!rna
+ni"!rs! is, as ar!a#y not!#, r!#+n#ant in th! s!ns! that it is r!p!t!
,ith partC'orC,ho! (!ssag!s, an#;p!rhaps 'or that r!ason;this
basic sty! o' co#ing is charact!ristic o' pri(iti"! ani(a co((+niC
cation. 0+t in so 'ar as ani(as can signa at a abo+t th! !-t!rna
+ni"!rs!, th!y #o so by (!ans o' actions ,hich ar! parts o' th!ir
r!spons! to that +ni"!rs!. :h! Jac*#a,s in#icat! to !ach oth!r that
@or!n/ is a 9Jac*#a,C!at!r9 not by si(+ating so(! part o' th! act
o' !ating Jac*#a,s b+t by si(+ating part o' th!ir aggr!ssion "isCaC
"is s+ch a cr!at+r!. 5ccasionay act+a pi!c!s o' th! !-t!rna
!n"iron(!nt;scraps o' pot!ntia n!stCb+i#ing (at!ria,
9trophi!s,9 an# th! i*!;ar! +s!# 'or co((+nication, an# in th!s!
cas!s again th! (!ssag!s +s+ay contrib+t! r!#+n#ancy to th!
+ni"!rs! message plus t*e relations*ip -et'een t*e organisms rath!r
than to th! +ni"!rs! message plus e.ternal en&ironment.
425
In t!r(s o' !"o+tionary th!ory, it is not si(p! to !-Cpain ,hy
o"!r an# o"!r again g!notypic contros ha"! b!!n !"o"!# to
#!t!r(in! s+ch iconic signaing. 7ro( th! point o' "i!, o' th!
h+(an obs!r"!r s+ch iconic signas ar! rath!r !asy to int!rpr!t, an#
,! (ight !-p!ct iconic co#ing to b! co(parati"!y !asy 'or ani(as
to #!co#!;in so 'ar as th! ani(as (+st learn to #o so. 0+t th!
g!no(! is pr!s+(!# not capab! o' !arning in this s!ns!, an# ,!
(ight th!r!'or! !-p!ct g!notypicay #!t!r(in!# signas to b!
aniconic or arbitrary rath!r than iconic.
:hr!! possib! !-panations o' th! iconic nat+r! o' g!notypic
signas can b! o''!r!#6
213="!n g!notypicay #!t!r(in!# signas #o not occ+r as
s!parat! an# isoat!# !!(!nts in th! i'! o' th! ph!notyp! b+t ar!
n!c!ssariy co(pon!nts in a co(p!- (atri- o' b!ha"ior so(!, at
!ast, o' ,hich is !arn!#. It is possib! that th! iconic co#ing o'
g!notypicay #!t!r(in!# signas r!n#!rs th!s! !asy to assi(iat!
into this (atri-. :h!r! (ay b! an !-p!ri!ntia 9schoo(ar(9
,hich acts s!!cti"!y to 'a"or thos! g!notypic chang!s ,hich
,i gi"! ris! to iconic rath!r than arbitrary signaing.
223A signa o' aggr!ssion ,hich pac!s th! signa!r in a
position o' r!a#in!ss to attac* probaby has (or! s+r"i"a "a+!
than ,o+# a (or! arbitrary signa.
2338h!n th! g!notypicay #!t!r(in!# signa a''!cts th!
b!ha"ior o' anoth!r sp!ci!s;!.g., !y! (ar*s or post+r!s ,hich
ha"! a ,arning !''!ct, (o"!(!nts ,hich 'aciitat! ca(o+'ag! or
apos!(atic (i(icry;c!ary th! signa (+st b! iconic to th!
p!rc!pti"! syst!( o' that oth!r sp!ci!s. Eo,!"!r, an int!r!sting
ph!no(!non aris!s in (any instanc!s ,h!r! ,hat is achi!"!# is a
s!con#ary statistica iconicis(. /a-roides dimidiatus, a s(a
In#oC$aci'ic ,rass!, ,hich i"!s on th! !ctoparasit!s o' oth!r
'ish!s, is stri*ingy coor!# an# (o"!s or 9#anc!s9 in a ,ay ,hich
is !asiy r!cogni/!#. )o #o+bt th!s! charact!ristics attract oth!r
'ish an# ar! part o' a signaing syst!( ,hich !a#s th! oth!r 'ish to
p!r(it th! approach!s o' th! c!an!r. 0+t th!r! is a (i(ic o' this
sp!ci!s o' /a-roides, a sab!rCtooth!# b!nny 2Aspidontus
426
taeniatus4, ,hos! si(iar cooring an# (o"!(!nt p!r(it th!
(i(ic to approach;an# bit! o'' pi!c!s o' th! 'ins o' oth!r 'ish!s.
2
C!ary th! cooring an# (o"!(!nts o' th! (i(ic ar! iconic an#
9r!pr!s!nt9 th! c!an!r. 0+t ,hat o' th! cooring an# (o"!(!nts o'
th! att!rD A that is pri(ariy r!.+ir!# is that th! c!an!r b!
conspic+o+s or #istincti"!. It is not r!.+ir!# that it r!pr!s!nt
so(!thing !s!. 0+t ,h!n ,! consi#!r th! statistica asp!cts o' th!
syst!(, it b!co(!s c!ar that i' th! b!nni!s b!co(! too n+(!ro+s,
th! #istincti"! '!at+r!s o' th! ,rass!s ,i b!co(! iconic ,arnings
an# th!ir hosts ,i a"oi# th!(. 8hat is n!c!ssary is that th! signas
o' th! ,rass! sha c!ary an# in#+bitaby r!pr!s!nt ,rass!, i.!., th!
signas, tho+gh p!rhaps aniconic in th! 'irst instanc!, (+st achi!"!
an# (aintain by (+tip! i(pact a sort o' a+toiconicis(. 98h!n I
say it thr!! ti(!s, it is tr+!.9 0+t this n!c!ssity 'or a+toiconicis(
(ay aso aris! ,ithin th! sp!ci!s. 1!notypic contro o' signaing
!ns+r!s th! n!c!ssary r!p!titi"!n!ss 2,hich (ight b! ony 'ort+ito+s
i' th! signas ha# to b! !arn!#3 .
+44 :h!r! is a cas! 'or ass!rting that th! g!notypic #!t!r(ination
o' a#apti"! charact!ristics is, in a sp!cia s!ns!, (or! !cono(ica
than th! achi!"!(!nt o' si(iar charact!ristic by so(atic chang! or
ph!notypic !arning. :his (att!r has b!!n arg+!# !s!,h!r!.
3
0ri!'y it is ass!rt!# that th! so(atic a#apti"! '!-ibiity an#Kor
!arning capacity o' any organis( is i(it!# an# that th! #!(an#s
pac!# +pon th!s! capaciti!s ,i b! r!#+c!# by g!notypic chang! in
any appropriat! #ir!ction. &+ch chang!s ,o+# th!r!'or! ha"!
s+r"i"a "a+! b!ca+s! th!y s!t 'r!! pr!cio+s a#apti"! or !arning
capacity 'or oth!r +s!s. :his a(o+nts to an arg+(!nt 'or <ald'in
!''!cts. An !-t!ntion o' this arg+(!nt ,o+# s+gg!st that th!
iconic charact!r o' g!notypicay contro!# signaing
charact!ristics (ay, in so(! cas!s, b! !-pain!# by s+pposing that
th!s! charact!ristics ,!r! onc! !arn!#. 2:his hypoth!sis #o!s not,
o' co+rs!, i(py any sort o' @a(arc*ian inh!ritanc!. It is ob"io+s
213 that to 'i- th! "a+! o' any "ariab! in a ho(!ostatic circ+it by
2
J . =. 4an#a an# E. &. 4an#a, 9=-a(p!s o' Ai(icry an# $rot!cti"!
4!s!(banc! in :ropica Aarin! 7ish!s,9 <ulletin of ,arine Science of t*e (ulf
and "ari--ean, 1960, 106 444C80.
3
1. 0at!son, 9:h! 4o! o' &o(atic Chang! in ="o+tion,9 &olution, 19G?,
176 5>9%?9.
427
s+ch inh!ritanc! ,o+# soon g+( +p th! ho(!ostatic syst!( o' th!
bo#y, an# +>4 that no a(o+nt o' (o#i'ication o' th! #!p!n#!nt
"ariab!s in a ho(!ostatic circ+it ,i chang! th! bias o' th!
circ+it.3
253 @ast, it is +nc!ar at ,hat !"! g!notypic #!t!r(ination o'
b!ha"ior (ight act. It ,as s+gg!st!# abo"! that iconic co#!s ar!
!asi!r 'or an organis( to !arn than (or! arbitrary co#!s. It is
possib! that th! g!notypic contrib+tion to s+ch an organis( (ight
ta*! th! 'or(, not o' 'i-ing th! gi"!n b!ha"ior, b+t rath!r o'
(a*ing this b!ha"ior !asi!r to !arn;a chang! in sp!ci'ic !arning
capacity rath!r than a chang! in g!notypicay #!t!r(in!#
b!ha"ior. &+ch a contrib+tion 'ro( th! g!notyp! ,o+# ha"!
ob"io+s a#"antag!s in that it ,o+# ,or* aong ,ith ontog!n!tic
chang! inst!a# o' ,or*ing possiby at crossCp+rpos!s ,ith it.
:o s+( +p th! arg+(!nt so 'ar6
2130+t th! !"o+tion o' aniconic "!rba co#ing r!(ains +nC
!-pain!#. It is +n#!rstan#ab! that an !ary 2in an !"o+tionary
s!ns!3 (!tho# o' cr!ating r!#+n#ancy ,o+# b! th! +s! o' iconic
partC'orC,ho! co#ing. :h! !-t!rna nonbioogica +ni"!rs!
contains r!#+n#ancy o' this *in#, an# in !"o"ing a co#! o'
co((+nication it is !-p!ctab! that organis(s ,o+# 'a into th!
sa(! tric*. 8! ha"! not!# that th! 9part9 can b! spit 'ro( th!
,ho!, so that a sho,ing o' th! 'angs can #!not! a possib! b+t as
y!t non!-ist!nt 'ight. A this pro"i#!s an !-panatory bac*gro+n#
'or co((+nication by (!ans o' 9int!ntion (o"!(!nts9 an# th!
i*!.
223It it party +n#!rstan#ab! that s+ch tric*s o' co#ing by
iconic parts (ight b!co(! g!notypicay 'i-!#.
233It has b!!n s+gg!st!# that th! s+r"i"a o' s+ch pri(iti"! 2an#
th!r!'or! in"o+ntary3 signaing in h+(an co((+nication abo+t
p!rsona r!ationship is !-pain!# by a n!!# 'or hon!sty in s+ch
(att!rs.
8! *no, 'ro( st+#i!s o' aphasia, 'ro( Eoc*!ttIs !n+(!ration at
this (!!ting o' th! charact!ristics o' ang+ag! an# 'ro( !!(!ntary
co((on s!ns! that th! co(pon!nt proc!ss!s o' cr!ating an#
+n#!rstan#ing "!rba co((+nication ar! (any an# that ang+ag!
'ais ,h!n any on! o' thos! co(pon!nt proc!ss!s is int!rr+pt!#. It is
possib! that !ach o' th!s! proc!ss!s sho+# b! th! 'oc+s o' a
428
s!parat! st+#y. E!r!, ho,!"!r, I sha consi#!r ony on! asp!ct o'
th! (att!r6 th! !"o+tion o' si(p! in#icati"! ass!rtion.
An int!r!sting int!r(!#iat! b!t,!!n th! iconic co#ing o' ani(as
an# th! "!rba co#ing o' h+(an sp!!ch can b! r!cogni/!# in h+(an
#r!a(ing an# h+(an (yth. In psychoanaytic th!ory, th!
pro#+ctions o' #r!a( proc!ss ar! sai# to b! charact!ri/!# by
9pri(aryCproc!ss9 thin*ing.
4
?r!a(s, ,h!th!r "!rba or not, ar! to
b! consi#!r!# as (!taphoric stat!(!nts, i.!., th! r!'!r!nts o' #r!a(
ar! relations*ips ,hich th! #r!a(!r, conscio+sy or +nconscio+sy,
p!rc!i"!s in his ,a*ing ,or#. As in a (!taphor, th! r!ata r!(ain
+n(!ntion!# an# in th!ir pac!s app!ar oth!r it!(s s+ch that th!
r!ationships b!t,!!n th!s! s+bstit+t! it!(s sha b! th! sa(! as
thos! b!t,!!n th! r!ata in th! ,a*ing ,or#.
:o i#!nti'y th! r!ata in th! ,a*ing ,or# to ,hich th! #r!a(
r!'!rs ,o+# con"!rt th! (!taphor into a si(i!, an#, in g!n!ra,
#r!a(s contain no (!ssag! (at!ria ,hich o"!rty p!r'or(s this
'+nction. :h!r! is no signa in th! #r!a( ,hich t!s th! #r!a(!r that
this is (!taphor or ,hat th! r!'!r!nt o' th! (!taphor (ay b!.
&i(iary, #r!a( contains no t!ns!s. :i(! is t!!scop!#, an#
r!pr!s!ntations o' past !"!nts in r!a or #istort!# 'or(s (ay ha"!
th! pr!s!nt as th!ir r!'!r!nt;or "ic! "!rsa. :h! patt!rns o' #r!a(
ar! ti(!!ss.
In a th!at!r, th! a+#i!nc! is in'or(!# by th! c+rtain an# th!
'ra(ing o' th! stag! that th! action on th! stag! is 9ony9 a pay.
7ro( ,ithin that 'ra(! th! pro#+c!rs an# actors (ay att!(pt to
in"o"! th! a+#i!nc! in an i+sion o' r!aity as s!!(ingy #ir!ct as
th! !-p!ri!nc! o' #r!a(. An#, as in #r!a(, th! pay has (!taphoric
r!'!r!nc! to th! o+tCsi#! ,or#. 0+t in #r!a(, +n!ss th! s!!p!r b!
party conscio+s o' th! 'act o' s!!p, th!r! is no c+rtain an# no
'ra(ing o' th! action. :h! partia n!gati"!;9:his is only
(!taphor9;is abs!nt.
I s+gg!st that this abs!nc! o' (!taco((+nicati"! 'ra(!s an# th!
p!rsist!nc! in #r!a( o' patt!rn r!cognition ar! archaic
charact!ristics in an !"o+tionary s!ns!. I' this b! corr!ct, th!n an
+n#!rstan#ing o' #r!a( sho+# thro, ight both on ho, iconic
4
4 5. 7!nich!, 6syc*oanalytic !*eory of ;eu For*,

)orton, 1945.
429
co((+nication op!rat!s a(ong ani(as an# on th! (yst!rio+s
!"o+tionary st!p 'ro( th! iconic to th! "!rba.
%n#!r th! i(itation i(pos!# by th! ac* o' a (!taco((+C
nicati"! 'ra(!, it is c!ary i(possib! 'or #r!a( to (a*! an
in#icati"! stat!(!nt, !ith!r positi"! or n!gati"!. As th!r! can b! no
'ra(! ,hich ab!s th! cont!nt as 9(!taphoric,
9
so th!r! can b! no
'ra(! to ab! th! cont!nt as 9it!ra.9 ?r!a( can i(agin! rain or
#ro+ght, b+t it can n!"!r ass!rt 9It is raining9 or 9It is not raining.
9
:h!r!'or!, as ,! ha"! s!!n, th! +s!'+n!ss in i(agining 9rain9 or
9#ro+ght9 is i(it!# to th!ir (!taphoric asp!cts.
?r!a( can propose th! appicabiity o' patt!rn. It can n!"!r
ass!rt or #!ny this appicabiity. &ti !ss can it (a*! an in#icati"!
stat!(!nt abo+t any i#!nti'i!# r!'!r!nt, sinc! no r!'!r!nt is
i#!nti'i!#.
:h! patt!rn is th! thing.
:h!s! charact!ristics o' #r!a( (ay b! archaic, b+t it is i(portant
to r!(!(b!r that th!y ar! not obso!t!6 that, as *in!sic an#
paraing+istic co((+nication has b!!n !aborat!# into #anc!,
(+sic, an# po!try, so aso th! ogic o' #r!a( has b!!n !aborat!#
into th!at!r an# art. &ti (or! astonishing is that ,or# o' rigoro+s
'antasy ,hich ,! ca (ath!(atics, a ,or# 'or!"!r isoat!# by its
a-io(s an# #!'initions 'ro( th! possibiity o' (a*ing an in#icati"!
stat!(!nt abo+t th! 9r!a9 ,or#. 5ny i' a straight in! is th!
short!st #istanc! b!t,!!n t,o points is th! th!or!( o' $ythagoras
ass!rt!#.
:h! ban*!r (anip+at!s n+(!ras accor#ing to r+!s s+pCpi!# by
th! (ath!(atician. :h!s! n+(!ras ar! th! na(!s o' n+(b!rs, an#
th! n+(b!rs ar! so(!ho, !(bo#i!# in 2r!a or 'ictitio+s3 #oars. :o
r!(!(b!r ,hat h! is #oing, th! ban*!r (ar*s his n+(!ras ,ith
ab!s, s+ch as th! #oar sign, b+t th!s! ar! non(ath!(atica an#
no co(p+t!r n!!#s th!(. In th! stricty (ath!(atica proc!#+r!, as
in th! proc!ss o' #r!a(, th! patt!rn o' r!ationships contros a
op!rations, b+t th! r!ata ar! +ni#!nti'i!#.
8! r!t+rn no, to th! contrast b!t,!!n th! iconic (!tho# o'
cr!ating r!#+n#ancy in th! +ni"!rs!, organis( plus oth!r organis(,
by th! !(ission o' parts o' int!racti"! patCt!rns an# th! ing+istic
#!"ic! o' na(ing th! r!ata. 8! not!# abo"! that th! h+(an
co((+nication ,hich cr!at!s r!#+n#ancy in th! r!ationships
430
b!t,!!n p!rsons is sti pr!pon#!ranty iconic an# is achi!"!# by
(!ans o' *in!sics, paraing+istics, int!ntion (o"!(!nts, actions,
an# th! i*!. It is in #!aing ,ith th! +ni"!rs!, (!ssag! plus
!n"iron(!nt, that th! !"o+tion o' "!rba ang+ag! has (a#! th!
gr!at!st stri#!s.
In ani(a #isco+rs!, r!#+n#ancy is intro#+c!# into this +ni"!rs!
by signas ,hich ar! iconic parts o' th! signa!rIs probab! r!spons!.
:h! !n"iron(!nta it!(s (ay s!r"! an ost!nsi"! '+nction b+t
cannot, in g!n!ra, b! (!ntion!#. &i(iary, in iconic
co((+nication abo+t r!ationship, th! r!ata;th! organis(s
th!(s!"!s;#o not ha"! to b! i#!nti'i!# b!ca+s! th! s+bJ!ct o' any
pr!#icat! in this iconic #isco+rs! is th! !(itt!r o' th! signa, ,ho is
a,ays ost!nsi"!y pr!s!nt.
It app!ars th!n that at !ast t,o st!ps ,!r! n!c!ssary to g!t 'ro(
th! iconic +s! o' parts o' patt!rns o' o,n b!ha"ior to th! na(ing o'
!ntiti!s in th! !-t!rna !n"iron(!nt6 th!r! ,as both a chang! in
co#ing an# a chang! in th! c!nt!ring o' th! s+bJ!ctCpr!#icat! 'ra(!.
:o att!(pt to r!constr+ct th!s! st!ps can ony b! sp!c+ati"!,
b+t so(! r!(ar*s (ay b! o''!r!#6
213I(itation o' !n"iron(!nta ph!no(!na (a*!s it possib!. to
shi't th! s+bJ!ctCpr!#icat! 'ra(! 'ro( th! s!' to so(!
!n"iron(!nta !ntity ,hi! sti r!taining th! iconic co#!.
223A si(iar shi'ting o' th! s+bJ!ctCpr!#icat! 'ra(! 'ro( s!' to
oth!r is at!nt in thos! int!ractions b!t,!!n ani(as in ,hich A
propos!s a patt!rn o' int!raction an# 0 n!gat!s this ,ith an iconic
or ost!nsi"! 9#onIt.9 :h! s+bJ!ct o' 0Is (!ssag! h!r! "!rbai/!# as
9#onIt9 is A.
233It is possib! that th! para#ig(s o' int!raction ,hich ar!
basic to iconic signaing abo+t r!ationship co+# s!r"! as
!"o+tionary (o#!s 'or th! para#ig(s o' "!rba gra((ar. 8!
sho+# not, I s+gg!st, thin* o' th! !ari!st r+#i(!nts o' "!rba
co((+nication as r!s!(bing ,hat a (an #o!s ,ith ony a '!,
,or#s o' a 'or!ign ang+ag! an# no *no,!#g! o' its gra((ar an#
synta-. &+r!y, at a stag!s o' th! !"o+tion o' ang+ag!, th!
co((+nication o' o+r anc!stors ,as str+ct+r!# an# 'or(!#CC
co(p!t! in its!', not (a#! o' bro*!n pi!c!s. :h! ant!c!#!nts o'
gra((ar (+st s+r!y b! as o# or o#!r than th! ant!c!#!nts o'
,or#s.
431
2437or actions o' th! s!', iconic abbr!"iations ar! r!a#iy
a"aiab!, an# th!s! contro th! "isC_C"is by i(picit r!'!r!nc! to
int!ractiona para#ig(s. 0+t a s+ch co((+nication is n!c!ssariy
positi"!. :o sho, th! 'angs is to (!ntion co(bat, an# to (!ntion
co(bat is to propos! it. :h!r! can b! no si(p! iconic
r!pr!s!ntation o' a n!gati"!6 no si(p! ,ay 'or an ani(a to say 9I
,i not bit! yo+.9 It is !asy, ho,!"!r, to i(agin! ,ays o'
co((+nicating n!gati"! co((an#s i' 2an# only i'3 th! oth!r
organis( ,i 'irst propos! th! patCt!rn o' action ,hich is to b!
'orbi##!n. 0y thr!at, by inappropriat! r!spons! an# so on, 9#onIt9
can b! co((+nicat!#. A patt!rn o' int!raction, o''!r!# by on!
organis(, is n!gat!# by th! oth!r, ,ho #isr+pts th! propos!#
para#ig(.
0+t 9#onIt9 is "!ry #i''!r!nt 'ro( 9not.9 Co((ony, th!
i(portant (!ssag! 9I ,i not bit! yo+9 is g!n!rat!# as an
agreement b!t,!!n t,o organis(s 'oo,ing r!a or rit+a co(bat.
:hat is, th! opposit! o' th! 'ina (!ssag! is ,or*!# thro+gh to r!ach
a reductio ad a-surdum ,hich can th!n b! th! basis o' (+t+a
p!ac!, hi!rarchic pr!c!#!nc!, or s!-+a r!ations. Aany o' th!
c+rio+s int!ractions o' ani(as, ca!# 9pay,9 ,hich r!s!(b! 2b+t
ar! not3 co(bat ar! probaby th! t!sting an# r!a''ir(ation o' s+ch
n!gati"! agr!!(!nt.
0+t th!s! ar! c+(b!rso(! an# a,*,ar# (!tho#s o' achi!"ing
th! n!gati"!.
253It ,as s+gg!st!# abo"! that th! para#ig(s o' "!rba gra((ar
(ight so(!ho, b! #!ri"!# 'ro( th! para#ig(s o' int!raction. 8!,
th!r!'or!, oo* 'or th! !"o+tionary roots o' th! si(p! n!gati"!
a(ong th! para#ig(s o' int!raction. :h! (att!r, ho,!"!r, is not
si(p!. 8hat is *no,n to occ+r at th! ani(a !"! is th!
si(+tan!o+s pr!s!ntation o' contra#ictory signas;post+r!s ,hich
(!ntion both aggr!ssion an# 'ight, an# th! i*!. :h!s! a(big+iti!s
ar!, ho,!"!r, .+it! #i''!r!nt 'ro( th! ph!no(!non 'a(iiar a(ong
h+(ans ,h!r! th! 'ri!n#in!ss o' a (anIs ,or#s (ay b! contra#ict!#
by th! t!nsion or aggr!ssi"!n!ss o' his "oic! or post+r!. :h! (an is
!ngaging in a sort o' #!c!it, an atog!th!r (or! co(p!-
achi!"!(!nt, ,hi! th! a(bi"a!nt ani(a is o''!ring positi"!
at!rnati"!s. 7ro( n!ith!r o' th!s! patt!rns is it !asy to #!ri"! a
si(p! 9not.9
432
2637ro( th!s! consi#!rations it app!ars i*!y that th!
!"o+tion o' th! si(p! n!gati"! aros! by introJ!ction or i(itation
o' th! "isC_C"is, so that 9not9 ,as so(!ho, #!ri"!# 'ro( 9#onIt.9
273:his sti !a"!s +n!-pain!# th! shi't 'ro( co((+nication
abo+t int!raction patt!rns to co((+nication abo+t things an#
oth!r co(pon!nts o' th! !-t!rna ,or#. :his is th! shi't ,hich
#!t!r(in!s that ang+ag! ,o+# n!"!r (a*! obso!t! th! iconic
co((+nication abo+t th! conting!ncy patt!rns o' p!rsona
r!ationship.
7+rth!r than that ,! cannot at pr!s!nt go. It is !"!n possib!
that th! !"o+tion o' "!rba na(ing pr!c!#!# th! !"o+tion o' th!
si(p! n!gati"!. It is, ho,!"!r, i(portant to not! that !"o+tion o'
a si(p! n!gati"! ,o+# b! a #!cisi"! st!p to,ar# ang+ag! as ,!
*no, it. :his st!p ,o+# i((!#iat!y !n#o, th! signas;b! th!y
"!rba or iconicCC,ith a #!gr!! o' s!parat!n!ss 'ro( th!ir
r!'!r!nts, ,hich ,o+# J+sti'y +s in r!'!rring to th! signas as
9na(!s.9 :h! sa(! st!p ,o+# (a*! possib! th! +s! o' n!gati"!
asp!cts o' cassi'ication6 thos! it!(s ,hich ar! not (!(b!rs o' an
i#!nti'i!# cass ,o+# b!co(! i#!nti'iab! as non(!(b!rs. An#,
asty, si(p! a''ir(ati"! in#icati"! stat!(!nts ,o+# b!co(!
possib!.
433
Con!'iou! Pu&2o!e 0e&!u! Natu&e
%
5+r ci"ii/ation, ,hich is on th! boc* h!r! 'or in"!stigation an#
!"a+ation, has its roots in thr!! (ain anci!nt ci"ii/ations6 th!
4o(an, th! E!br!, an# th! 1r!!*L an# it ,o+# s!!( that (any o'
o+r prob!(s ar! r!at!# to th! 'act that ,! ha"! an i(p!riaist
ci"ii/ation !a"!n!# or y!ast!# by a #o,ntro##!n, !-poit!# coony
in $a!stin!. In this con'!r!nc!, ,! ar! again going to b! 'ighting o+t
th! con'ict b!t,!!n th! 4o(ans an# th! $a!stinians.
Fo+ ,i r!(!(b!r that &t. $a+ boast!#, 9I ,as born 'r!!.9 8hat
h! (!ant ,as that h! ,as born 4o(an, an# that this ha# c!rtain
!ga a#"antag!s.
8! can !ngag! in that o# batt! !ith!r by bac*ing th!
#o,ntro##!n or by bac*ing th! i(p!riaists. I' yo+ ar! going to 'ight
that batt!, yo+ ha"! to ta*! si#!s in it. ItIs that si(p!.
5n th! oth!r han#, o' co+rs!, &t. $a+Is a(bition, an# th!
a(bition o' th! #o,ntro##!n, is a,ays to g!t on th! si#! o' th!
i(p!riaists;to b!co(! (i##!Ccass i(p!riaists th!(s!"!s;an#
it is #o+bt'+ ,h!th!r cr!ating (or! (!(b!rs o' th! ci"ii/ation
,hich ,! ar! h!r! critici/ing is a so+tion to th! prob!(.
:h!r! is, th!r!'or!, anoth!r (or! abstract prob!(. 8! n!!# to
+n#!rstan# th! pathoogi!s an# p!c+iariti!s o' th! ,ho! 4o(anoC
$a!stinian syst!(. It is this that I a( int!r!st!# in ta*ing abo+t. I
#o not car!, h!r!, abo+t #!'!n#ing th! 4o(ans or #!'!n#ing th!
$a!stinians;th! +pp!r #ogs or th! +n#!r#ogs. I ,ant to consi#!r
th! #yna(ics o' th! ,ho! tra#itiona pathoogy in ,hich ,! ar!
ca+ght, an# in ,hich ,! sha r!(ain as ong as ,! contin+! to
str+gg! ,ithin that o# con'ict. 8! J+st go ro+n# an# ro+n# in
t!r(s o' th! o# pr!(is!s.
7ort+nat!y o+r ci"ii/ation has a thir# root;in 1r!!c!. 5'
co+rs! 1r!!c! got ca+ght +p in a rath!r si(iar (!ss, b+t sti th!r!
,as a ot o' c!an, coo thin*ing o' a .+it! s+rprising *in# ,hich
,as #i''!r!nt.
H
:his !ct+r! ,as gi"!n in A+g+st, 1968, to th! @on#on Con'!r!nc! on th!
?ia!ctics o' @ib!ration, an# is h!r! r!print!# 'ro( 8ialectics of /i-eration by
p!r(ission o' th! p+bish!r, $!ng+in 0oo*s Inc.
434
@!t (! approach th! bigg!r prob!( historicay. 7ro( &t.
:ho(as A.+inas to th! !ight!!nth c!nt+ry in Cathoic co+ntri!s, an#
to th! 4!'or(ation a(ong $rot!stants 2b!Cca+s! ,! thr!, o+t a ot
o' 1r!!* sophistication ,ith th! 4!'or(ation3, th! str+ct+r! o' o+r
r!igion ,as 1r!!*. In (i#C!ight!!nth c!nt+ry th! bioogica ,or#
oo*!# i*! this6 th!r! ,as a s+pr!(! (in# at th! top o' th! a##!r,
,hich ,as th! basic !-panation o' !"!rything #o,n,ar#s 'ro( that
;th! s+pr!(! (in# b!ing, in Christianity, 1o#L an# ha"ing "ario+s
attrib+t!s at "ario+s phiosophic stag!s. :h! a##!r o' !-panation
,!nt #o,n,ar#s #!#+cti"!y 'ro( th! &+pr!(! to (an to th! ap!s,
an# so on, #o,n to th! in'+soria.
:his hi!rarchy ,as a s!t o' #!#+cti"! st!ps 'ro( th! (ost p!r'!ct
to th! (ost cr+#! or si(p!. An# it ,as rigi#. It ,as ass+(!# that
!"!ry sp!ci!s ,as +nchanging.
@a(arc*, probaby th! gr!at!st bioogist in history, t+rn!# that
a##!r o' !-panation +psi#! #o,n. E! ,as th! (an ,ho sai# it
starts ,ith th! in'+soria an# that th!r! ,!r! chang!s !a#ing +p to
(an. Eis t+rning th! ta-ono(y +psi#! #o,n is on! o' th! (ost
astonishing '!ats that has !"!r occ+rr!#. It ,as th! !.+i"a!nt in
bioogy o' th! Cop!rnican r!"o+tion in astrono(y.
:h! ogica o+tco(! o' t+rning th! ta-ono(y +psi#! #o,n ,as
that th! st+#y o' !"o+tion (ight pro"i#! an !-panation o' mind.
%p to @a(arc*, (in# ,as th! !-panation o' th! bioogica
,or#. 0+t, h!y pr!sto, th! .+!stion no, aros!6 Is th! bioogica
,or# th! !-panation o' (in#D :hat ,hich ,as th! !-panation no,
b!ca(! that ,hich ,as to b! !-pain!#. Abo+t thr!! .+art!rs o'
@a(arc*Is 6*ilosop*ie Eoologi5ue 218093 is an att!(pt, "!ry cr+#!,
to b+i# a co(parati"! psychoogy. E! achi!"!# an# 'or(+at!# a
n+(b!r o' "!ry (o#!rn i#!as6 that yo+ cannot attrib+t! to any
cr!at+r! psychoogica capaciti!s 'or ,hich it has no organsL that
(!nta proc!ss (+st a,ays ha"! physica r!pr!s!ntationL an# that
th! co(p!-ity o' th! n!r"o+s syst!( is r!at!# to th! co(p!-ity o'
(in#.
:h!r! th! (att!r r!st!# 'or 150 y!ars, (ainy b!ca+s!
!"o+tionary th!ory ,as ta*!n o"!r, not by a Cathoic h!r!sy b+t by
a $rot!stant h!r!sy, in th! (i#Cnin!t!!nth c!nt+ry. ?ar,inIs
oppon!nts, yo+ (ay r!(!(b!r, ,!r! not Aristot! an# A.+inas, ,ho
ha# so(! sophistication, b+t '+n#a(!ntaist Christians ,hos!
435
sophistication stopp!# ,ith th! 'irst chapt!r o' 1!n!sis. :h!
.+!stion o' th! nat+r! o' (in# ,as so(!thing ,hich th! nin!t!!nthC
c!nt+ry !"o+tionists tri!# to !-c+#! 'ro( th!ir th!ori!s, an# th!
(att!r #i# not co(! +p again 'or s!rio+s consi#!ration +nti a't!r
8or# 8ar II. 2I a( #oing so(! inJ+stic! to so(! h!r!tics aong th!
roa#, notaby to &a(+! 0+t!r;an# oth!rs.3
In 8or# 8ar II it ,as #isco"!r!# ,hat sort o' co(p!-ity !ntais
(in#. An#, sinc! that #isco"!ry, ,! *no, that6 ,h!r!"!r in th!
%ni"!rs! ,! !nco+nt!r that sort o' co(p!-ity, ,! ar! #!aing ,ith
(!nta ph!no(!na. It
I
s as (at!riaistic as that.
@!t (! try to #!scrib! 'or yo+ that or#!r o' co(p!-ity, ,hich is
in so(! #!gr!! a t!chnica (att!r. 4+ss! 8aac! s!nt a 'a(o+s
!ssay to ?ar,in 'ro( In#on!sia. In it h! anno+nc!# his #isco"!ry o'
nat+ra s!!ction, ,hich coinci#!# ,ith ?ar,inIs. $art o' his
#!scription o' th! str+gg! 'or !-ist!nc! is int!r!sting6
:h! action o' this princip! >th! str+gg! 'or !-ist!nc!B is
!-acty i*! that o' th! st!a( !ngin!, ,hich ch!c*s an# corr!cts
any irr!g+ariti!s a(ost b!'or! th!y b!co(! !"i#!ntL an# in i*!
(ann!r no +nbaanc!# #!'ici!ncy in th! ani(a *ing#o( can !"!r
r!ach any conspic+o+s (agnit+#!, b!ca+s! it ,o+# (a*! its!'
'!t at th! "!ry 'irst st!p, by r!n#!ring !-ist!nc! #i''ic+t an#
!-tinction a(ost s+r! to 'oo,.
:h! st!a( !ngin! ,ith a go"!rnor is si(py a circ+ar train o'
ca+sa !"!nts, ,ith so(!,h!r! a in* in that chain s+ch that th!
(or! o' so(!thing, th! !ss o' th! n!-t thing in th! circ+it. :h!
'ider th! bas o' th! go"!rnor #i"!rg!, th! less th! '+! s+ppy. I'
ca+sa chains ,ith that g!n!ra charact!ristic ar! pro"i#!# ,ith
!n!rgy, th! r!s+t ,i b! 2i' yo+ ar! +c*y an# things baanc! o+t3
a s!'Ccorr!cti"! syst!(.
8aac!, in 'act, propos!# th! 'irst cyb!rn!tic (o#!.
)o,a#ays cyb!rn!tics #!as ,ith (+ch (or! co(p!- syst!(s
o' this g!n!ra *in#L an# ,! *no, that ,h!n ,! ta* abo+t th!
proc!ss!s o' ci"ii/ation, or !"a+at! h+(an b!ha"ior, h+(an
organi/ation, or any bioogica syst!(, ,! ar! conc!rn!# ,ith s!'C
corr!cti"! syst!(s. 0asicay th!s! syst!(s ar! a,ays conser&ati&e
o' so(!thing. As in th! !ngin! ,ith a go"!rnor, th! '+! s+ppy is
chang!# to cons!r"!;to *!!p constant;th! sp!!# o' th! 'y,h!!,
so a,ays in s+ch syst!(s chang!s occ+r to cons!r"! th! tr+th o'
436
so(! #!scripti"! stat!(!nt, so(! co(pon!nt o' th! status 5uo.
8aac! sa, th! (att!r corr!cty, an# nat+ra s!!ction acts
pri(ariy to *!!p th! sp!ci!s +n"aryingL b+t it (ay act at high!r
!"!s to *!!p constant that co(p!- "ariab! ,hich ,! ca
9s+r"i"a.9
?r. @aing not!# that th! ob"io+s can b! "!ry #i''ic+t 'or p!op!
to s!!. :hat is b!ca+s! p!op! ar! s!'Ccorr!cti"! syst!(s. :h!y ar!
s!'Ccorr!cti"! against #ist+rbanc!, an# i' th! ob"io+s is not o' a
*in# that th!y can !asiy assi(iat! ,itho+t int!rna #ist+rbanc!,
th!ir s!'Ccorr!cti"! (!chanis(s ,or* to si#!trac* it, to hi#! it, !"!n
to th! !-t!nt o' sh+tting th! !y!s i' n!c!ssary, or sh+tting o'' "ario+s
parts o' th! proc!ss o' p!rc!ption. ?ist+rbing in'or(ation can b!
'ra(!# i*! a p!ar so that it #o!snIt (a*! a n+isanc! o' its!'L an#
this ,i b! #on!, accor#ing to th! +n#!rstan#ing o' th! syst!( its!'
o' ,hat ,o+# b! a n+isanc!. :his too;th! pr!(is! r!gar#ing ,hat
,o+# ca+s! #ist+rbanc!;is so(!thing ,hich is !arn!# an# th!n
b!co(!s p!rp!t+at!# or conCs!r"!#.
At this con'!r!nc!, '+n#a(!ntay, ,! #!a ,ith thr!! o' th!s!
!nor(o+sy co(p!- syst!(s or arrang!(!nts o' cons!r"ati"!
oops. 5n! is th! h+(an in#i"i#+a. Its physioogy an# n!+roogy
cons!r"! bo#y t!(p!rat+r!, boo# ch!(istry, th! !ngth an# si/! an#
shap! o' organs #+ring gro,th an# !(bryoogy, an# a th! r!st o'
th! bo#yIs charact!ristics. :his is a syst!( ,hich cons!r"!s
#!scripti"! stat!(!nts abo+t th! h+(an b!ing, bo#y or so+. 7or
th! sa(! is tr+! o' th! psychoogy o' th! in#i"i#+a, ,h!r!
!arning occ+rs to cons!r"! th! opinions an# co(pon!nts o' th!
status 5uo.
&!con#, ,! #!a ,ith th! soci!ty in ,hich that in#i"i#+a i"!s
;an# that soci!ty is again a syst!( o' th! sa(! g!n!ra *in#.
An# thir#, ,! #!a ,ith th! !cosyst!(, th! nat+ra bioogica
s+rro+n#ings o' th!s! h+(an ani(as.
@!t (! start 'ro( th! nat+ra !cosyst!(s aro+n# (an. An
=ngish oa* ,oo#, or a tropica 'or!st, or a pi!c! o' #!s!rt, is a
co((+nity o' cr!at+r!s. In th! oa* ,oo# p!rhaps 1000 sp!ci!s,
p!rhaps (or!L in th! tropica 'or!st p!rhaps t!n ti(!s that n+(b!r
o' sp!ci!s i"! tog!th!r.
I (ay say that "!ry '!, o' yo+ h!r! ha"! !"!r s!!n s+ch an
+n#ist+rb!# syst!(L th!r! ar! not (any o' th!( !'tL th!yI"!
437
(osty b!!n (!ss!# +p by 1omo sapiens ,ho !ith!r !-t!r(inat!#
so(! sp!ci!s or intro#+c!# oth!rs ,hich b!Cca(! ,!!#s an# p!sts,
or at!r!# th! ,at!r s+ppy, !tc., !tc. 8! ar! rapi#y, o' co+rs!,
#!stroying a th! nat+ra syst!(s in th! ,or#, th! baanc!#
nat+ra syst!(s. 8! si(py (a*! th!( +nbaanc!#;b+t sti
nat+ra.
0! that as it (ay, thos! cr!at+r!s an# pants i"! tog!th!r inI a
co(bination o' co(p!tition an# (+t+a #!p!n#!ncy, an# it is that
co(bination that is th! i(portant thing to consi#!r. ="!ry sp!ci!s
has a pri(ary Aath+sian capacity. Any sp!ci!s that #o!s not,
pot!ntiay, pro#+c! (or! yo+ng than th! n+(b!r o' th! pop+ation
o' th! par!nta g!n!ration is o+t. :h!yIr! #oo(!#. It is abso+t!y
n!c!ssary 'or !"!ry sp!ci!s an# 'or !"!ry s+ch syst!( that its
co(pon!nts ha"! a pot!ntia positi"! gain in th! pop+ation c+r"!.
0+t, i' !"!ry sp!ci!s has pot!ntia gain, it is th!n .+it! a tric* to
achi!"! !.+iibri+(. A sorts o' int!racti"! baanc!s an#
#!p!n#!nci!s co(! into pay, an# it is th!s! proc!ss!s that ha"! th!
sort o' circ+it str+ct+r! that I ha"! (!ntion!#.
:h! Aath+sian c+r"! is !-pon!ntia. It is th! c+r"! o'
pop+ation gro,th an# it is not inappropriat! to ca this th!
pop+ation e.plosion.
Fo+ (ay r!gr!t that organis(s ha"! this !-posi"! charact!ristic,
b+t yo+ (ay as ,! s!tt! 'or it. :h! cr!at+r!s that #onIt ar! o+t.
5n th! oth!r han#, in a baanc!# !coogica syst!( ,hos!
+n#!rpinnings ar! o' this nat+r!, it is "!ry c!ar that any (on*!ying
,ith th! syst!( is i*!y to #isr+pt th! !.+iibri+(. :h!n th!
!-pon!ntia c+r"!s ,i start to app!ar. &o(! pant ,i b!co(! a
,!!#, so(! cr!at+r!s ,i b! !-t!r(inat!#, an# th! syst!( as a
-alanced syst!( is i*!y to 'a to pi!c!s.
8hat is tr+! o' th! sp!ci!s that i"! tog!th!r in a ,oo# is aso
tr+! o' th! gro+pings an# sorts o' p!op! in a soci!ty, ,ho ar!
si(iary in an +n!asy baanc! o' #!p!n#!ncy an# co(p!tition. An#
th! sa(! tr+th ho#s right insi#! yo+, ,h!r! th!r! is an +n!asy
physioogica co(p!tition an# (+t+a #!p!n#!ncy a(ong th!
organs, tiss+!s, c!s, an# so on. 8itho+t this co(p!tition an#
#!p!n#!ncy yo+ ,o+# not b!, b!ca+s! yo+ cannot #o ,itho+t any
o' th! co(p!ting organs an# parts. I' any o' th! parts #i# not ha"!
th! !-pansi"! charact!ristics th!y ,o+# go o+t, an# yo+ ,o+# go
438
o+t, too. &o that !"!n in th! bo#y yo+ ha"! a iabiity. 8ith i(prop!r
#ist+rbanc! o' th! syst!(, th! !-pon!ntia c+r"!s app!ar.
In a soci!ty, th! sa(! is tr+!.
I thin* yo+ ha"! to ass+(! that a i(portant physioogica or
socia chang! is in so(! #!gr!! a sipping o' th! syst!( at so(!
point aong an !-pon!ntia c+r"!. :h! sippag! (ay not go 'ar, or it
(ay go to #isast!r. 0+t in princip! i', say, yo+ *i o'' th! thr+sh!s
in a ,oo#, c!rtain co(pon!nts o' th! baanc! ,i r+n aong
!-pon!ntia c+r"!s to a n!, stopping pac!.
In s+ch sippag! th!r! is a,ays #ang!r;th! possibiity that
so(! "ariab!, !.g., pop+ation #!nsity, (ay r!ach s+ch a "a+! that
'+rth!r sippag! is contro!# by 'actors ,hich ar! inh!r!nty
har('+. I', 'or !-a(p!, pop+ation is 'inay contro!# by
a"aiab! 'oo# s+ppy, th! s+r"i"ing in#i"i#+as ,i b! ha' star"!#
an# th! 'oo# s+ppy o"!rgra/!#, +s+ay to a point o' no r!t+rn.
)o, !t (! b!gin to ta* abo+t th! in#i"i#+a organis(. :his
!ntity is si(iar to th! oa* ,oo# an# its contros ar! r!pr!s!nt!# in
th! total (in#, ,hich is p!rhaps ony a r!'!ction o' th! tota bo#y.
0+t th! syst!( is s!g(!nt!# in "ario+s ,ays, so that th! !''!cts o'
so(!thing in yo+r 'oo# i'!, sha ,! say, #o not totay at!r yo+r
s!- i'!, an# things in yo+r s!- i'! #o not totay chang! yo+r
*in!sic i'!, an# so on. :h!r! is a c!rtain a(o+nt o'
co(part(!ntai/ation, ,hich is no #o+bt a n!c!ssary !cono(y.
:h!r! is on! co(part(!ntai/ation ,hich is in (any ,ays
(yst!rio+s b+t c!rtainy o' cr+cia i(portanc! in (anIs i'!. I r!'!r
to th! 9s!(ip!r(!ab!9 in*ag! b!t,!!n conscio+sn!ss an# th! r!C
(ain#!r o' th! tota (in#. A c!rtain i(it!# a(o+nt o' inC
'or(ation abo+t ,hatIs happ!ning in this arg!r part o' th! (in#
s!!(s to b! r!ay!# to ,hat ,! (ay ca th! scr!!n o'
conscio+sn!ss. 0+t ,hat g!ts to conscio+sn!ss is s!!ct!#L it is a
syst!(atic 2not ran#o(3 sa(ping o' th! r!st.
5' co+rs!, th! '*ole o' th! (in# co+# not b! r!port!# in a part
o' th! (in#. :his 'oo,s ogicay 'ro( th! r!ationship b!t,!!n
part an# ,ho!. :h! t!!"ision scr!!n #o!s not gi"! yo+ tota
co"!rag! or r!port o' th! !"!nts ,hich occ+r in th! ,ho!
t!!"ision proc!ssL an# this not (!r!y b!ca+s! th! "i!,!rs ,o+#
not b! int!r!st!# in s+ch a r!Cport, b+t b!ca+s! to r!port on any
!-tra part o' th! tota proc!ss ,o+# r!.+ir! !-tra circ+itry.. 0+t to
439
r!port on th! !"!nts in this !-tra circ+itry ,o+# r!.+ir! a sti
'+rth!r a##ition o' (or! circ+itry, an# so on. =ach a##itiona st!p
to,ar# incr!as!# conscio+sn!ss ,i ta*! th! syst!( 'arth!r 'ro(
tota conscio+sn!ss. :o a## a r!port on !"!nts in a gi"!n part o' th!
(achin! ,i act+ay decrease th! p!rc!ntag! o' tota !"!nts
r!port!#.
8! th!r!'or! ha"! to s!tt! 'or "!ry i(it!# conscio+sn!ss, an#
th! .+!stion aris!s6 Eo, is th! s!!cting #on!D 5n ,hat princip!s
#o!s yo+r (in# s!!ct that ,hich 9yo+9 ,i b! a,ar! o'D An#,
,hi! not (+ch is *no,n o' th!s! princip!s, so(!thing is *no,n,
tho+gh th! princip!s at ,or* ar! o't!n not th!(s!"!s acc!ssib!
to conscio+sn!ss. 7irst o' a, (+ch o' th! inp+t is conscio+sy
scann!#, b+t ony after it has b!!n proc!ss!# by th! totay
+nconscio+s proc!ss o' p!rc!ption. :h! s!nsory !"!nts ar!
pac*ag!# into i(ag!s an# th!s! i(ag!s ar! th!n 9conscio+s.9
I, th! conscio+s I, s!! an +nconscio+sy !#it!# "!rsion o' a
s(a p!rc!ntag! o' ,hat a''!cts (y r!tina. I a( g+i#!# in (y
p!rc!ption by purposes. I s!! ,ho is att!n#ing, ,ho is not, ,ho is
+n#!rstan#ing, ,ho is not, or at !ast I g!t a (yth abo+t this
s+bJ!ct, ,hich (ay b! .+it! corr!ct. I a( int!r!st!# in g!tting that
(yth as I ta*. It is r!!"ant to (y p+rpos!s that yo+ h!ar (!.
8hat happ!ns to th! pict+r! o' a cyb!rn!tic syst!(;an oa*
,oo# or an organis(;,h!n that pict+r! is s!!cti"!y #ra,n to
ans,!r ony .+!stions o' p+rpos!D
Consi#!r th! stat! o' (!#icin! to#ay. ItIs ca!# (!#ica
sci!nc!. 8hat happ!ns is that #octors thin* it ,o+# b! nic! to g!t
ri# o' poio, or typhoi#, or canc!r. &o th!y #!"ot! r!Cs!arch (on!y
an# !''ort to 'oc+sing on th!s! 9prob!(s,
9
or p+rpos!s. At a
c!rtain point ?r. &a* an# oth!rs 9so"!9 th! prob!( o' poio.
:h!y #isco"!r a so+tion o' b+gs ,hich yo+ can gi"! to chi#r!n so
that th!y #onIt g!t poio. :his is th! so+tion to th! prob!( o'
poio. At this point, th!y stop p+tting arg! .+antiti!s o' !''ort an#
(on!y into th! prob!( o' poio an# go on to th! prob!( o'
canc!r, or ,hat!"!r it (ay b!.
A!#icin! !n#s +p, th!r!'or!, as a tota sci!nc!, ,hos! str+ct+r!
is !ss!ntiay that o' a bag o' tric*s. 8ithin this sci!nc! th!r! is
!-traor#inariy itt! *no,!#g! o' th! sort o' things II( ta*ing
abo+tL that is, o' th! bo#y as a syst!(icay cyb!rn!ticay
440
organi/!# s!'Ccorr!cti"! syst!(. Its int!rna int!r#!p!n#!nci!s ar!
(ini(ay +n#!rstoo#. 8hat has happ!n!# is that purpose has
#!t!r(in!# ,hat ,i co(! +n#!r th! insp!ction or conscio+sn!ss
o' (!#ica sci!nc!.
I' yo+ ao, p+rpos! to organi/! that ,hich co(!s +n#!r yo+r
conscio+s insp!ction, ,hat yo+ ,i g!t is a bag o' tric*s;so(! o'
th!( "!ry "a+ab! tric*s. It is an !-traor#inary achi!"!(!nt that
th!s! tric*s ha"! b!!n #isco"!r!#L a that I #onIt arg+!. 0+t sti
,! #o not *no, t,oCp!nnIorth, r!ay, abo+t th! tota n!t,or*
syst!(. Cannon ,rot! a boo* on !*e 2isdom of t*e <ody, b+t
nobo#y has ,ritt!n a boo* on th! ,is#o( o' (!#ica sci!nc!,
b!ca+s! ,is#o( is pr!cis!y th! thing ,hich it ac*s. 8is#o( I
ta*! to b! th! *no,!#g! o' th! arg!r int!racti"! syst!(;that
syst!( ,hich, i' #ist+rb!#, is i*!y to g!n!rat! !-pon!ntia c+r"!s
o' chang!.
Conscio+sn!ss op!rat!s in th! sa(! ,ay as (!#icin! in its
sa(ping o' th! !"!nts an# proc!ss!s o' th! bo#y an# o' ,hat go!s
on in th! tota (in#. It is organi/!# in t!r(s o' p+rpos!. It is a shortC
c+t #!"ic! to !nab! yo+ to g!t .+ic*y at ,hat yo+ ,antL not to act
,ith (a-i(+( ,is#o( in or#!r to i"!, b+t to 'oo, th! short!st
ogica or ca+sa path to g!t ,hat yo+ n!-t ,ant, ,hich (ay b!
#inn!rL it (ay b! a 0!!tho"!n sonataL it (ay b! s!-. Abo"! a, it
(ay b! (on!y or po,!r.
0+t yo+ (ay say6 9F!s, b+t ,! ha"! i"!# that ,ay 'or a (iion
y!ars.9 Conscio+sn!ss an# p+rpos! ha"! b!!n charact!ristic o' (an
'or at !ast a (iion y!ars, an# (ay ha"! b!!n ,ith +s a gr!at #!a
ong!r than that. I a( not pr!par!# to say that #ogs an# cats ar! not
conscio+s, sti !ss that porpois!s ar! not conscio+s.
&o yo+ (ay say6 98hy ,orry abo+t thatD9
0+t ,hat ,orri!s (! is th! a##ition o' (o#!rn t!chnoogy to th!
o# syst!(. :o#ay th! p+rpos!s o' conscio+sn!ss ar! i(p!(!nt!#
by (or! an# (or! !''!cti"! (achin!ry, transportation syst!(s,
airpan!s, ,!aponry, (!#icin!, p!stici#!s, an# so 'orth. Conscio+s
p+rpos! is no, !(po,!r!# to +ps!t th! baanc!s o' th! bo#y, o'
soci!ty, an# o' th! bioogica ,or# aro+n# +s. A pathoogy;a oss
o' baanc!;is thr!at!n!#.
I thin* that (+ch o' ,hat brings +s h!r! to#ay is basicay r!at!#
to th! tho+ghts that I ha"! b!!n p+tting b!'or! yo+. 5n th! on! han#,
441
,! ha"! th! syst!(ic nat+r! o' th! in#i"i#+a h+(an b!ing, th!
syst!(ic nat+r! o' th! c+t+r! in ,hich h! i"!s, an# th! syst!(ic
nat+r! o' th! bioogica, !coogica syst!( aro+n# hi(L an#, on th!
oth!r han#, th! c+rio+s t,ist in th! syst!(ic nat+r! o' th! in#i"i#+a
(an ,h!r!by conscio+sn!ss is, a(ost o' n!c!ssity, bin#!# to th!
syst!(ic nat+r! o' th! (an hi(s!'. $+rposi"! conscio+sn!ss p+s
o+t, 'ro( th! tota (in#, s!.+!nc!s ,hich #o not ha"! th! oop
str+ct+r! ,hich is charact!ristic o' th! ,ho! syst!(ic str+ct+r!. I'
yo+ 'oo, th! 9co((onCs!ns!
9
#ictat!s o' conscio+sn!ss yo+
b!co(!, !''!cti"!y, gr!!#y an# +n,is!;again I +s!
9
,is#o(9 as a
,or# 'or r!cognition o' an# g+i#anc! by a *no,!#g! o' th! tota
syst!(ic cr!at+r!.
@ac* o' syst!(ic ,is#o( is a,ays p+nish!#. 8! (ay say that
th! bioogica syst!(sCth! in#i"i#+a, th! c+t+r!, an# th! !coogy;
ar! party i"ing s+stain!rs o' th!ir co(pon!nt c!s or organis(s.
0+t th! syst!(s ar! non!th!!ss p+nishing o' any sp!ci!s +n,is!
!no+gh to .+arr! ,ith its !coogy. Ca th! syst!(ic 'orc!s 91o#9 i'
yo+ ,i.
@!t (! o''!r yo+ a (yth.
:h!r! ,as onc! a 1ar#!n. It contain!# (any h+n#r!#s o' sp!ci!s
;probaby in th! s+btropics;i"ing in gr!at '!rtiity an# baanc!,
,ith p!nty o' h+(+s, an# so on. In that gar#!n, th!r! ,!r! t,o
anthropoi#s ,ho ,!r! (or! int!ig!nt than th! oth!r ani(as.
5n on! o' th! tr!!s th!r! ,as a 'r+it, "!ry high +p, ,hich th! t,o
ap!s ,!r! +nab! to r!ach. &o th!y b!gan to t*in3. :hat ,as th!
(ista*!. :h!y b!gan to thin* p+rposi"!y.
0y an# by, th! h! ap!, ,hos! na(! ,as A#a(, ,!nt an# got an
!(pty bo- an# p+t it +n#!r th! tr!! an# st!pp!# on it, b+t h! 'o+n#
h! sti co+#nIt r!ach th! 'r+it. &o h! got anoth!r bo- an# p+t it on
top o' th! 'irst. :h!n h! ci(b!# +p on th! t,o bo-!s an# 'inay h!
got that app!.
A#a( an# ="! th!n b!ca(! a(ost #r+n* ,ith !-cit!(!nt. !*is
,as th! ,ay to #o things. Aa*! a pan, A0C an# yo+ g!t ?.
:h!y th!n b!gan to sp!ciai/! in #oing things th! pann!# ,ay. In
!''!ct, th!y cast o+t 'ro( th! 1ar#!n th! conc!pt o' th!ir o,n tota
syst!(ic nat+r! an# o' its tota syst!(ic nat+r!.
. A't!r th!y ha# cast 1o# o+t o' th! 1ar#!n, th!y r!ay ,!nt to
,or* on this p+rposi"! b+sin!ss, an# pr!tty soon th! topsoi
442
#isapp!ar!#. A't!r that, s!"!ra sp!ci!s o' pants b!ca(! 9,!!#s9
an# so(! o' th! ani(as b!ca(! 9p!sts
9
L an# A#a( 'o+n# that
gar#!ning ,as (+ch har#!r ,or*. E! ha# to g!t his br!a# by th!
s,!at o' his bro, an# h! sai#, 9ItIs a "!ng!'+ 1o#. I sho+# n!"!r
ha"! !at!n that app!.9
Aor!o"!r, th!r! occ+rr!# a .+aitati"! chang! in th! r!ationship
b!t,!!n A#a( an# ="!, a't!r th!y ha# #iscar#!# 1o# 'ro( th!
1ar#!n. ="! b!gan to r!s!nt th! b+sin!ss o' s!- an# r!pro#+ction.
8h!n!"!r th!s! rath!r basic ph!no(!na intr+#!# +pon h!r no,
p+rposi"! ,ay o' i"ing, sh! ,as r!(in#!# o' th! arg!r i'! ,hich
ha# b!!n *ic*!# o+t o' th! 1ar#!n. &o ="! b!gan to r!s!nt s!- an#
r!pro#+ction, an# ,h!n it ca(! to part+rition sh! 'o+n# this proc!ss
"!ry pain'+. &h! sai# this, too, ,as #+! to th! "!ng!'+ nat+r! o'
1o#. &h! !"!n h!ar# a Goic! say 9In pain shat tho+ bring 'orth9 an#
9:hy #!sir! sha b! +nto thy h+sban#, an# h! sha r+! o"!r th!!.9
:h! bibica "!rsion o' this story, 'ro( ,hich I ha"! borro,!#
!-t!nsi"!y, #o!s not !-pain th! !-traor#inary p!r"!rsion o' "a+!s,
,h!r!by th! ,o(anIs capacity 'or o"! co(!s to s!!( a c+rs!
in'ict!# by th! #!ity.
0! that as it (ay. A#a( ,!nt on p+rs+ing his p+rpos!s an#
'inay in"!nt!# th! 'r!!C!nt!rpris! syst!(. ="! ,as not, 'or a ong
ti(!, ao,!# to participat! in this b!ca+s! sh! ,as a ,o(an. 0+t
sh! Join!# a bri#g! c+b an# th!r! 'o+n# an o+t!t 'or h!r hat!.
In th! n!-t g!n!ration, th!y again ha# tro+b! ,ith o"!. Cain, th!
in"!ntor an# inno"ator, ,as to# by 1o# that 9Eis >Ab!IsB #!sir!
sha b! +nto th!! an# tho+ shat r+! o"!r hi(.9 &o h! *i!# Ab!.
A parab!, o' co+rs!, is not #ata abo+t h+(an b!ha"ior. It is ony
an !-panatory #!"ic!. 0+t I ha"! b+it into it a ph!no(!non ,hich
s!!(s to b! a(ost +ni"!rsa ,h!n (an co((its th! !rror o'
p+rposi"! thin*ing an# #isr!gar#s th! syst!(ic nat+r! o' th! ,or#
,ith ,hich h! (+st #!a. :his ph!no(!non is ca!# by th!
psychoogists 9proJ!ction.9 :h! (an, a't!r a, has act!# accor#ing
to ,hat h! tho+ght ,as co((on s!ns! an# no, h! 'in#s hi(s!' in a
(!ss. E! #o!s not .+it! *no, ,hat ca+s!# th! (!ss an# h! '!!s
that ,hat has happ!n!# is so(!ho, +n'air. E! sti #o!s not s!!
hi(Cs!' as part o' th! syst!( in ,hich th! (!ss !-ists, an# h! !ith!r
ba(!s th! r!st o' th! syst!( or h! ba(!s hi(s!'. In (y parab!
443
A#a( co(bin!s t,o sorts o' nons!ns!6 th! notion 9I ha"! sinn!#9
an# th! notion 91o# is "!ng!'+.9
I' yo+ oo* at th! r!a sit+ations in o+r ,or# ,h!r! th!
syst!(ic nat+r! o' th! ,or# has b!!n ignor!# in 'a"or o' p+rpos!
or co((on s!ns!, yo+ ,i 'in# a rath!r si(iar r!action. $r!si#!nt
Johnson is, no #o+bt, '+y a,ar! that h! has a (!ss on his han#s,
not ony in Gi!tna( b+t in oth!r parts o' th! nationa an#
int!rnationa !cosyst!(sL an# I a( s+r! that 'ro( ,h!r! h! sits it
app!ars that h! 'oo,!# his p+rpos!s ,ith co((on s!ns! an# that
th! (!ss (+st b! #+! !ith!rC to th! ,ic*!#n!ss o' oth!rs or to his
o,n sin or to so(! co(bination o' th!s!, accor#ing to his
t!(p!ra(!nt.
An# th! t!rrib! thing abo+t s+ch sit+ations is that in!"itaby th!y
short!n th! ti(! span o' a panning. =(!rg!ncy is pr!s!nt or ony
J+st aro+n# th! corn!rL an# ongCt!r( ,is#o( (+st th!r!'or! b!
sacri'ic!# to !-p!#i!ncy, !"!n tho+gh th!r! is a #i( a,ar!n!ss that
!-p!#i!ncy ,i n!"!r gi"! a ongCt!r( so+tion.
Aor!"!r, sinc! ,! ar! !ngag!# in #iagnosing th! (achin!ry o'
o+r o,n soci!ty, !t (! a## on! point6 o+r poiticians;both thos! in
a stat! o' po,!r an# thos! in a stat! o' prot!st or h+ng!r 'or po,!r;
ar! ai*! +tt!ry ignorant o' th! (att!rs ,hich I ha"! b!!n
#isc+ssing. Fo+ can s!arch th! Congr!ssiona 4!cor# 'or sp!!ch!s
,hich sho, a,ar!n!ss that th! prob!(s o' go"!rn(!nt ar!
bioogica prob!(s, an# yo+ ,i 'in# "!ry, "!ry '!, that appy
bioogica insight. =-traor#inaryO
In g!n!ra, go"!rn(!nta #!cisions ar! (a#! by p!rsons ,ho ar!
as ignorant o' th!s! (att!rs as pig!ons. @i*! th! 'a(o+s ?r. &*inn!r,
in !*e 2ay of All Jles*, th!y 9co(bin! th! ,is#o( o' th! #o"! ,ith
th! har(!ssn!ss o' th! s!rp!nt.9
0+t ,! ar! (!t h!r! not ony 'or #iagnosis o' so(! o' th! ,or#Is
is b+t aso to thin* abo+t r!(!#i!s. I ha"! aCr!a#y s+gg!st!# that
no si(p! r!(!#y to ,hat I ca!# th! 4o(anoC$a!stinian prob!(
can b! achi!"!# by bac*ing th! 4o(ans against th! $a!stinians or
"ic! "!rsa. :h! prob!( is syst!(ic an# th! so+tion (+st s+r!y
#!p!n# +pon r!ai/ing this 'act.
7irst, th!r! is h+(iity, an# I propos! this not as a (ora
princip!, #istast!'+ to a arg! n+(b!r o' p!op!, b+t si(py as an
it!( o' a sci!nti'ic phiosophy. In th! p!rio# o' th! In#+stria
444
4!"o+tion, p!rhaps th! (ost i(portant #isast!r ,as th! !nor(o+s
incr!as! o' sci!nti'ic arroganc!. 8! ha# #isco"!r!# ho, to (a*!
trains an# oth!r (achin!s. 8! *n!, ho, to p+t on! bo- on top o'
th! oth!r to g!t that app!, an# 5cci#!nta (an sa, hi(s!' as an
a+tocrat ,ith co(p!t! po,!r o"!r a +ni"!rs! ,hich ,as (a#! o'
physics an# ch!(istry. An# th! bioogica ph!no(!na ,!r! in th!
!n# to b! contro!# i*! proc!ss!s in a t!st t+b!. ="o+tion ,as th!
history o' ho, organis(s !arn!# (or! tric*s 'or controing th!
!n"iron(!ntL an# (an ha# b!tt!r tric*s than any oth!r cr!at+r!.
0+t that arrogant sci!nti'ic phiosophy is no, obso!t!, an# in its
pac! th!r! is th! #isco"!ry that (an is ony a part o' arg!r syst!(s
an# that th! part can n!"!r contro th! ,ho!.
1o!bb!s tho+ght that h! co+# contro p+bic opinion in
1!r(any ,ith a "ast co((+nication syst!(, an# o+r o,n p+bic
r!ations (!n ar! p!rhaps iab! to si(iar #!+sions. 0+t in 'act th!
,o+#Cb! contro!r (+st a,ays ha"! his spi!s o+t to t! hi( ,hat
th! p!op! ar! saying abo+t his propagan#a. E! is th!r!'or! in th!
position o' b!ing responsi&e to ,hat th!y ar! saying. :h!r!'or! h!
cannot ha"! a si(p! in!a contro. 8! #o not i"! in th! sort o'
+ni"!rs! in ,hich si(p! in!a contro is possib!. @i'! is not i*!
that.
&i(iary, in th! 'i!# o' psychiatry, th! 'a(iy is a cyb!rn!tic
syst!( o' th! sort ,hich I a( #isc+ssing an# +s+ay ,h!n
syst!(ic pathoogy occ+rs, th! (!(b!rs ba(! !ach oth!r, or
so(!ti(!s th!(s!"!s. 0+t th! tr+th o' th! (att!r is that both th!s!
at!rnati"!s ar! '+n#a(!ntay arrogant. =ith!r at!rnati"! ass+(!s
that th! in#i"i#+a h+(an b!ing has tota po,!r o"!r th! syst!( o'
,hich h! or sh! is a part.
="!n ,ithin th! in#i"i#+a h+(an b!ing, contro is i(it!#. 8!
can in so(! #!gr!! s!t o+rs!"!s to !arn !"!n s+ch abstract
charact!ristics as arroganc! or h+(iity, b+t ,! ar! not by any
(!ans th! captains o' o+r so+s.
It is, ho,!"!r, possib! that th! r!(!#y 'or is o' conscio+s
p+rpos! lies ,ith th! in#i"i#+a. :h!r! is ,hat 7r!+# ca!# th! roya
roa# to th! +nconscio+s. E! ,as r!'!rring to #r!a(s, b+t I thin* ,!
sho+# +(p tog!th!r #r!a(s an# th! cr!ati"ity o' art, or th!
p!rc!ption o' art, an# po!try an# s+ch things. An# I ,o+# inc+#!
,ith th!s! th! b!st o' r!igion. :h!s! ar! a acti"iti!s in ,hich th!
445
,ho! in#i"i#+a is in"o"!#. :h! artist (ay ha"! a conscio+s
p+rpos! to s! his pict+r!, !"!n p!rhaps a conscio+s p+rpos! to
(a*! it. 0+t in th! (a*ing h! (+st n!c!ssariy r!a- that arroganc!
in 'a"or o' a cr!ati"! !-p!ri!nc! in ,hich his conscio+s (in# pays
ony a s(a part.
8! (ight say that in cr!ati"! art (an (+st !-p!ri!nc! hi(s!';
his tota s!';as a cyb!rn!tic (o#!.
It is charact!ristic o' th! 1960s that a arg! n+(b!r o' p!op! ar!
oo*ing to th! psych!#!ic #r+gs 'or so(! sort o' ,is#o( or so(!
sort o' !narg!(!nt o' conscio+sn!ss, an# I thin* this sy(pto( o'
o+r !poch probaby aris!s as an att!(pt to co(p!nsat! 'or o+r
!-c!ssi"! p+rposi"!n!ss. 0+t I a( not s+r! that ,is#o( can b! got
that ,ay. 8hat is r!.+ir!# is not si(py a r!a-ation o'
conscio+sn!ss to !t th! +nconscio+s (at!ria g+sh o+t. :o #o this is
(!r!y to !-chang! on! partia "i!, o' th! s!' 'or th! oth!r partia
"i!,. I s+sp!ct that ,hat is n!!#!# is th! synth!sis o' th! t,o "i!,s
an# this is (or! #i''ic+t.
Ay o,n sight !-p!ri!nc! o' @&? !# (! to b!i!"! that
$rosp!ro ,as ,rong ,h!n h! sai#, 98! ar! s+ch st+'' as #r!a(s ar!
(a#! on.9 It s!!(!# to (! that p+r! #r!a( ,as, i*! p+r! p+rpos!,
rath!r tri"ia. It ,as not th! st+'' o' ,hich ,! ar! (a#!, b+t ony bits
an# pi!c!s o' that st+''. 5+r conscio+s p+rpos!s, si(iary, ar! ony
bits an# pi!c!s.
:h! syst!(ic "i!, is so(!thing !s! again.
446
E55e't! o5 Con!'iou! Pu&2o!e on ,u(an
A#a2tation
%
9$rogr!ss,9 9!arning,9 9!"o+tion,9 th! si(iariti!s an# #i'C
'!r!nc!s b!t,!!n phyog!n!tic an# c+t+ra !"o+tion, an# so on,
ha"! b!!n s+bJ!cts 'or #isc+ssion 'or (any y!ars. :h!s! (att!rs
b!co(! n!,y in"!stigab! in th! ight o' cyb!rn!tics an# syst!(s
th!ory.
In this 8!nn!rC1r!n con'!r!nc!, a partic+ar asp!ct o' this ,i#!
s+bJ!ct (att!r ,i b! !-a(in!#, na(!y th! ro! o' conscio+sn!ss in
th! ongoing proc!ss o' h+(an a#aptation.
:hr!! cyb!rn!tic or ho(!ostatic syst!(s ,i b! consi#!r!#6 th!
in#i"i#+a h+(an organis(, th! h+(an soci!ty, an# th! arg!r
!cosyst!(. Conscio+sn!ss ,i b! consi#!r!# as an i(portant
co(pon!nt in th! coupling o' th!s! syst!(s.
A .+!stion o' gr!at sci!nti'ic int!r!st an# p!rhaps gra"!
i(portanc! is ,h!th!r th! in'or(ation proc!ss!# thro+gh
conscio+sn!ss is a#!.+at! an# appropriat! 'or th! tas* o' h+(an
a#aptation. It (ay ,! b! that conscio+sn!ss contains syst!(atic
#istortions o' "i!, ,hich, ,h!n i(p!(!nt!# by (o#!rn
t!chnoogy, b!co(! #!str+cti"! o' th! baanc!s b!t,!!n (an, his
soci!ty an# his !cosyst!(.
:o intro#+c! this .+!stion th! 'oo,ing consi#!rations ar!
o''!r!#6
213A bioogica an# !"o"ing syst!(s 2i.!., in#i"i#+a
organis(s, ani(a an# h+(an soci!ti!s, !cosyst!(s, an# th! i*!3
consist o' co(p!- cyb!rn!tic n!t,or*s, an# a s+ch syst!(s shar!
c!rtain 'or(a charact!ristics. =ach syst!( contains s+bsyst!(s
,hich ar! pot!ntiay r!g!n!rati"!, i.!., ,hich ,o+# go into
H
:his !ssay ,as pr!par!# as th! a+thorIs position pap!r 'or 8!nn!rC1r!n
7o+n#ation Con'!r!nc! on 9=''!cts o' Conscio+s $+rpos! on E+(an A#aptation.9
:h! a+thor ,as chair(an o' this con'!r!nc!, ,hich ,as h!# in 0+rg 8art!nst!in,
A+stria, J+y 17C24, 1968. :h! proc!!#ings o' th! con'!r!nc! as a ,ho! ar! to b!
p+bish!# by <nop' X Co. +n#!r th! tit! @ur @'n ,etap*or, !#it!# by Aary
Cath!rin! 0at!son.
447
!-pon!ntia 9r+na,ay9 i' +ncorr!ct!#. 2=-a(p!s o' s+ch
r!g!n!rati"! co(pon!nts ar! Aath+sian charact!ristics o'
pop+ation, schis(og!nic chang!s o' p!rsona int!raction,
ar(a(!nts rac!s, !tc.3 :h! r!g!n!rati"! pot!ntiaiti!s o' s+ch
s+bsyst!(s ar! typicay *!pt in ch!c* by "ario+s sorts o' go"!rning
oops to achi!"! 9st!a#y stat!.9 &+ch syst!(s ar! 9cons!r"ati"!9 in
th! s!ns! that th!y t!n# to cons!r"! th! tr+th o' propositions abo+t
th! "a+!s o' th!ir co(pon!nt "ariab!s;!sp!ciay th!y cons!r"!
th! "a+!s o' thos! "ariab!s ,hich oth!r,is! ,o+# sho,
!-pon!ntia chang!. &+ch syst!(s ar! ho(!ostatic, i.!., th! !''!cts
o' s(a chang!s o' inp+t ,i b! n!gat!# an# th! st!a#y stat!
(aintain!# by re&ersi-le a#J+st(!nt.
2230+t 9plus cDest la meme c*ose, plus Ra c*ange.9 :his con"!rs!
o' th! 7r!nch aphoris( s!!(s to b! th! (or! !-act #!scription o'
bioogica an# !coogica syst!(s. A constancy o' so(! "ariab! is
(aintain!# by changing oth!r "ariab!s. :his is charact!ristic o' th!
!ngin! ,ith a go"!rnor6 th! constancy o' rat! o' rotation is
(aintain!# by at!ring th! '+! s+ppy. ,utatis mutandis, th! sa(!
ogic +n#!ri!s !"o+tionary progr!ss6 thos! (+tationa chang!s ,i
b! p!rp!t+at!# ,hich contrib+t! to th! constancy o' that co(p!-
"ariab! ,hich ,! ca 9s+r"i"a.9 :h! sa(! ogic aso appi!s to
!arning, socia chang!, !tc. :h! ongoing tr+th o' c!rtain #!scripti"!
propositions is (aintain!# by at!ring oth!r propositions.
233In syst!(s containing (any int!rconn!ct!# ho(!ostatic oops,
th! chang!s bro+ght abo+t by an !-t!rna i(pact (ay so,y spr!a#
thro+gh th! syst!(. :o (aintain a gi"!n "ariab! 2G
1
3 at a gi"!n
"a+!, th! "a+!s o' G2, G
3
, !tc., +n#!rgo chang!. 0+t G
2
an# G
3
(ay th!(s!"!s b! s+bJ!ct to ho(!ostatic contro or (ay b! in*!#
to "ariab!s 2G4, G
5
, !tc.3 ,hich ar! s+bJ!ct to contro. :his s!con#C
or#!r ho(!ostasis (ay !a# to chang! in G6, G7, !tc. An# so on.
243:his ph!no(!non o' spr!a#ing chang! is in th! ,i#!st s!ns!
a sort o' learning. Acci(ation an# a##iction ar! sp!cia cas!s o'
this proc!ss. 5"!r ti(!, th! syst!( b!co(!s #!Cp!n#!nt +pon th!
contin+!# pr!s!nc! o' that origina !-t!rna i(pact ,hos!
i((!#iat! !''!cts ,!r! n!+trai/!# by th! 'irst or#!r ho(!ostasis.
448
=-a(p!6 +n#!r th! i(pact o' $rohibition, th! A(!rican socia
syst!( r!act!# ho(!ostaticay to (aintain th! constancy o' th!
s+ppy o' acoho. A n!, pro'!ssion, th! boot!gg!r, ,as g!n!rat!#.
:o contro this pro'!ssion, chang!s occ+rr!# in th! poic! syst!(.
8h!n th! .+!stion o' r!p!a ,as rais!#, it ,as !-p!ctab! that
c!rtainy th! boot!gg!rs an# possiby th! poic! ,o+# b! in 'a"or
o' (aintaining $rohibition.
253In this +ti(at! s!ns!, a bioogica chang! is cons!r"ati"!
an# a !arning is a"!rsi"!. :h! rat, ,ho is 9r!C,ar#!#
9
,ith 'oo#,
acc!pts that r!,ar# to n!+trai/! th! chang!s ,hich h+ng!r is
b!ginning to in#+c!L an# th! con"!ntionay #ra,n #istinction
b!t,!!n 9r!,ar#9 an# 9p+nish(!nt9 #!p!n#s +pon a (or! or !ss
arbitrary in! ,hich ,! #ra, to #!i(it that s+bsyst!( ,hich ,!
ca th!
9
in#i"i#+a.9 8! ca an !-t!rna !"!nt 9r!,ar#9 i' its
occ+rr!nc! corr!cts an 9int!rna9 chang! ,hich ,o+# b!
p+nishing. An# so on.
263Conscio+sn!ss an# th! 9s!'9 ar! cos!y r!at!# i#!as, b+t
th! i#!as 2possiby r!at!# to g!notypicay #!t!r(in!# pr!(is!s
o' t!rritory3 ar! crystai/!# by that (or! or !ss arbitrary in!
,hich #!i(its th! in#i"i#+a an# #!'in!s a ogica #i''!r!nc!
b!t,!!n 9r!,ar#9 an# 9p+nish(!nt.9 8h!n ,! "i!, th!
in#i"i#+a as a s!r"osyst!( co+p!# ,ith its !n"iron(!nt, or as a
part o' th! arg!r syst!( ,hich is in#i"i#+a P !n"iron(!nt, th!
,ho! app!aranc! o' a#aptation an# p+rpos! chang!s.
273In !-tr!(! cas!s, chang! ,i pr!cipitat! or p!r(it so(!
r+na,ay or sippag! aong th! pot!ntiay !-pon!ntia c+r"!s o' th!
+n#!rying r!g!n!rati"! circ+its. :his (ay occ+r ,itho+t tota
#!str+ction o' th! syst!(. :h! sippag! aong !-pon!ntia c+r"!s
,i, o' co+rs!, a,ays b! i(it!#, in !-tr!(! cas!s, by br!a*#o,n
o' th! syst!(. &hort o' this #isast!r, oth!r 'actors (ay i(it th!
sippag!. It is i(portant, ho,!"!r, to not! that th!r! is a #ang!r o'
r!aching !"!s at ,hich th! i(it is i(pos!# by 'actors ,hich ar! in
th!(Cs!"!s #!!t!rio+s. 8ynn!C=#,ar#s has point!# o+t;,hat
!"!ry 'ar(!r *no,s;that a pop+ation o' h!athy in#i"i#+as
cannot b! #ir!cty i(it!# by th! a"aiab! 'oo# s+ppy. I' star"ation
449
is th! (!tho# o' g!tting ri# o' th! !-c!ss pop+ation, th!n th!
s+r"i"ors ,i s+''!r i' not #!ath at !ast s!"!r! #i!tary #!'ici!ncy,
,hi! th! 'oo# s+ppy its!' ,i b! r!#+c!#, p!rhaps irr!"!rsiby, by
o"!rgra/ing. In princip!, th! ho(!ostatic contros o' bioogica
syst!(s (+st b! acti"at!# by "ariab!s ,hich ar! not in th!(s!"!s
har('+. :h! r!C'!-!s o' r!spiration ar! acti"at!# not by o-yg!n
#!'ici!ncy b+t by r!ati"!y har(!ss C5
2
!-c!ss. :h! #i"!r ,ho
!arns to ignor! th! signas o' C5
2
!-c!ss an# contin+!s his #i"! to
approach o-yg!n #!'ici!ncy r+ns s!rio+s ris*s.
283 :h! prob!( o' co+ping s!'Ccorr!cti"! syst!(s tog!th!r is
c!ntra in th! a#aptation o' (an to th! soci!ti!s an# !cosyst!(s in
,hich h! i"!s. @!,is Carro ong ago Jo*!# abo+t th! nat+r! an#
or#!r o' ran!omness cr!at!# by th! inappropriat! co+ping o'
bioogica syst!(s. :h! prob!(, ,! (ay say, ,as to cr!at! a
9ga(!9 ,hich sho+# b! ran#o(, not ony in th! r!strict!# s!ns! in
,hich 9(atching p!nni!s9 is ran#o(, b+t (!taCran#o(. :h!
ran#o(n!ss o' th! (o"!s o' th! t,o pay!rs o' 9(atching p!nni!s9
is r!strict!# to a 'init! s!t o' *no,n at!rnati"!s, na(!y 9h!a#s9 or
9tais9 in any gi"!n pay o' th! ga(!. :h!r! is no possibiity o'
going o+tCsi#! this s!t, no (!taCran#o( choic! a(ong a 'init! or
in'init! s!t o' s!ts.
0y i(p!r'!ct co+ping o' bioogica syst!(s in th! 'a(o+s ga(!
o' cro.+!t, ho,!"!r, Carro cr!at!s a (!taCran#o( ga(!. Aic! is
co+p!# ,ith a 'a(ingo, an# th! 9ba9 is a h!#g!hog.
:h! 9p+rpos!s9 2i' ,! (ay +s! th! t!r(3 o' th!s! contrasting
bioogica syst!(s ar! so #iscr!pant that th! ran#o(n!ss o' pay can
no ong!r b! #!i(it!# ,ith 'init! s!ts o' at!rnati"!s, *no,n to th!
pay!rs.
Aic!Is #i''ic+ty aris!s 'ro( th! 'act that sh! #o!s not
9+n#!rstan#9 th! 'a(ingo, i.!., sh! #o!s not ha"! syst!(ic
in'or(ation abo+t th! 9syst!(9 ,hich con'ronts h!r. &i(iary, th!
'a(ingo #o!s not +n#!rstan# Aic!. :h!y ar! at 9crossCp+rpos!s.9
:h! prob!( o' co+ping (an thro+gh conscio+sn!ss ,ith his
bioogica !n"iron(!nt is co(parab!. I' conscio+sn!ss ac*s
in'or(ation abo+t th! nat+r! o' (an an# th! !n"iron(!nt, or i' th!
in'or(ation is #istort!# an# inappropriat!y s!!ct!#, th!n th!
co+ping is i*!y to g!n!rat! (!taCran#o( s!.+!nc! o' !"!nts.
450
2938! pr!s+(! that conscio+sn!ss is not !ntir!y ,ithCo+t
!''!ct;that it is not a (!r! coat!ra r!sonanc! ,itho+t
'!!#bac* into th! syst!(, an obs!r"!r b!hin# a on!C,ay (irror, a
:G (onitor ,hich #o!s not its!' a''!ct th! proCgra(. 8! b!i!"!
that conscio+sn!ss has '!!#bac* into th! r!(ain#!r o' (in# an#
so an !''!ct +pon action. 0+t th! !''!cts o' this '!!#bac* ar!
a(ost +n*no,n an# +rg!nty n!!# in"!stigation an# "ai#ation.
2103It is s+r!y tr+! that th! cont!nt o' conscio+sn!ss is no
ran#o( sa(p! o' r!ports on !"!nts occ+rring in th! r!(ain#!r o'
(in#. 4ath!r, th! cont!nt o' th! scr!!n o' conscio+sn!ss is
syst!(aticay s!!ct!# 'ro( th! !nor(o+sy gr!at p!thora o'
(!nta !"!nts. 0+t o' th! r+!s an# pr!'!r!nc!s o' this s!!ction,
"!ry itt! is *no,n. :h! (att!r r!.+ir!s in"!stigation. &i(iary
th! i(itations o' "!rba ang+ag! r!.+ir! consi#!ration.
2113It app!ars, ho,!"!r, that th! syst!( o' s!!ction o'
in'or(ation 'or th! scr!!n o' conscio+sn!ss is i(portanty r!at!#
to 9p+rpos!,9 9att!ntion,9 an# si(iar ph!no(!na ,hich ar! aso
in n!!# o' #!'inition, !+ci#ation, !tc.
2123I' conscio+sn!ss has '!!#bac* +pon th! r!(ain#!r o' (in#
29, abo"!3, an# i' conscio+sn!ss #!as ony ,ith a s*!,!# sa(p!
o' th! !"!nts o' th! tota (in#, th!n th!r! (+st !-ist a systematic
+i.e., nonran#o(3 #i''!r!nc! b!t,!!n th! conscio+s "i!,s o' s!'
an# th! ,or#, an# th! tr+! nat+r! o' s!' an# th! ,or#. &+ch a
#i''!r!nc! (+st #istort th! proc!ss!s o' a#aptation.
2133In this conn!ction, th!r! is a pro'o+n# #i''!r!nc! b!t,!!n
th! proc!ss!s o' c+t+ra chang! an# thos! o' phyog!n!tic
!"o+tion. In th! att!r, th! 8!is(annian barri!r b!t,!!n so(a
an# g!r( pas( is pr!s+(!# to b! totay opa.+!. :h!r! is no
co+ping 'ro( !n"iron(!nt to g!no(!. In c+t+ra !"o+tion an#
in#i"i#+a !arning, th! co+ping thro+gh conscio+sn!ss is pr!s!nt,
inco(p!t! an# probaby #istorti"!.
2143It is s+gg!st!# that th! sp!ci'ic nat+r! o' this #istortion is
s+ch that t*e cy-ernetic nature o' self and t*e 'orld tends to -e
impercepti-le to consciousness, inso'ar as th! cont!nts o' th!
451
9scr!!n9 o' conscio+sn!ss ar! #!t!r(in!# by consi#!rations o'
p+rpos!. :h! arg+(!nt o' p+rpos! t!n#s to ta*! th! 'or( 9? is
#!sirab!L < !a#s to CL C !a#s to ?L so ? can b! achi!"!# by ,ay
o' < an# C.9 0+t, i' th! tota (in# an# th! o+t!r ,or# #o not, in
g!n!ra, ha"! this in!a str+ct+r!, th!n by 'orcing this str+ct+r!
+pon th!(, ,! b!co(! bin# to th! cyb!rn!tic circ+ariti!s o' th!
s!' an# th! !-t!rna ,or#. 5+r conscio+s sa(ping o' #ata ,i not
#iscos! ,ho! circ+its b+t ony arcs o' circ+its, c+t o'' 'ro( th!ir
(atri- by o+r s!!cti"! att!ntion. &p!ci'icay, th! atCt!(pt to
achi!"! a chang! in a gi"!n "ariab!, ocat!# !ith!r in s!' or
!n"iron(!nt, is i*!y to b! +n#!rta*!n ,itho+t co(pr!h!nsion o'
th! ho(!ostatic n!t,or* s+rro+n#ing that "ariab!. :h!
consi#!rations o+tin!# in paragraphs 1 to 7 o' this !ssay ,i th!n
b! ignor!#. It (ay b! !ss!ntia 'or 'isdom that th! narro,
p+rposi"! "i!, b! so(!ho, corr!ct!#.
2153:h! '+nction o' conscio+sn!ss in th! co+ping b!t,!!n (an
an# th! ho(!ostatic syst!(s aro+n# hi( is, o' co+rs!, no n!,
ph!no(!non. :hr!! circ+(stanc!s, ho,!"!r, (a*! th!
in"!stigation o' this ph!no(!non an +rg!nt (att!r.
21637irst, th!r! is (anIs habit o' changing his !n"iron(!nt rath!r
than changing hi(s!'. 7ac!# ,ith a changing "ariab! 2!.g.,
t!(p!rat+r!3 ,ithin its!' ,hich it sho+# contro, th! organis(
(ay (a*! chang!s ei ther ,ithin its!' or in th! !-t!rna
!n"iron(!nt. It (ay a#apt to th! !n"iron(!nt or a#apt th!
!n"iron(!nt to its!'. In !"o+tionary history, th! gr!at (aJority o'
st!ps ha"! b!!n chang!s ,ithin th! organis( its!'L so(! st!ps
ha"! b!!n o' an int!r(!#iat! *in# in ,hich th! organis(s achi!"!#
chang! o' !n"iron(!nt byC chang! o' oca!. In. a '!, cas!s
organis(s oth!r than (an ha"! achi!"!# th! cr!ation o' (o#i'i!#
(icro!n"iron(!nts aro+n# th!(s!"!s, !.g., th! n!sts o'
hy(!nopt!ra an# bir#s, conc!ntrat!# 'or!sts o' coni'!rs, '+nga
cooni!s, !tc.
In a s+ch cas!s, th! ogic o' !"o+tionary progr!ss is toC,ar#
!cosyst!(s ,hich s+stain on" y th! #o(inant, !n"iron(!ntC
controing sp!ci!s, an# its sy(bionts an# parasit!s.
452
Aan, th! o+tstan#ing (o#i'i!r o' !n"iron(!nt, si(iary
achi!"!s sing!Csp!ci!s !cosyst!(s in his citi!s, b+t h! go!s on! st!p
'+rth!r, !stabishing sp!cia !n"iron(!nts 'or his sy(bionts. :h!s!,
i*!,is!, b!co(! sing!Csp!ci!s !cosyst!(s6 'i!#s o' corn, c+t+r!s
o' bact!ria, batt!ri!s o' 'o,s, cooni!s o' aboratory rats, an# th!
i*!.
2173&!con#y, th! po,!r ratio b!t,!!n p+rposi"! conscio+sn!ss
an# th! !n"iron(!nt has chang!# rapi#y in th! ast on! h+n#r!#
y!ars, an# th! rate o' chang! in this ratio is c!rtainy rapi#y
incr!asing ,ith t!chnoogica a#"anc!. Conscio+s (an, as a
chang!r o' his !n"iron(!nt, is no, '+y ab! to ,r!c* hi(s!' an#
that !n"iron(!nt;,ith th! "!ry b!st o' conscio+s int!ntions.
2183:hir#, a p!c+iar socioogica ph!no(!non has aris!n in th!
ast on! h+n#r!# y!ars ,hich p!rhaps thr!at!ns to isoat!
conscio+s p+rpos! 'ro( (any corr!cti"! proc!ss!s ,hich (ight
co(! o+t o' !ss conscio+s parts o' th! (in#. :h! socia sc!n! is
no,a#ays charact!ri/!# by th! !-ist!nc! o' a arg! n+(b!r o' s!'C
(a-i(i/ing !ntiti!s ,hich, in a,, ha"! so(!thing i*! th! stat+s
o' 9p!rsons9;tr+sts, co(pani!s, poitica parti!s, +nions,
co((!rcia an# 'inancia ag!nci!s, nations, an# th! i*!. In
bioogica 'act, th!s! !ntiti!s ar! pr!cis!y not p!rsons an# ar! not
!"!n aggr!gat!s o' ,ho! p!rsons. :h!y ar! aggr!gat!s o' parts o'
p!rsons. 8h!n Ar. &(ith !nt!rs th! boar# roo( o' his co(pany,
h! is !-p!ct!# to i(it his thin*ing narro,y to th! sp!ci'ic p+rC
pos!s o' th! co(pany or to thos! o' that part o' th! co(pany
,hich h! 9r!pr!s!nts.9 A!rci'+y it is not !ntir!y possib! 'or
hi( to #o this an# so(! co(pany #!cisions ar! in'+!nc!# by
consi#!rations ,hich spring 'ro( ,i#!r an# ,is!r parts o' th!
(in#. 0+t i#!ay, Ar. &(ith is !-p!ct!# to act as a p+r!,
+ncorr!ct!# conscio+sn!ss;a #!h+(ani/!# cr!at+r!.
21937inay, it is appropriat! to (!ntion so(! o' th! 'actors
,hich (ay act as corr!cti"!s;ar!as o' h+(an action ,hich ar!
not i(it!# by th! narro, #istortions o' co+ping thro+gh
conscio+s p+rpos! an# ,h!r! ,is#o( can obtain.
2a3 5' th!s!, +n#o+bt!#y th! (ost i(portant is o"!. Aartin
0+b!r has cassi'i!# int!rp!rsona r!ationships in a r!!"ant
453
(ann!r. E! #i''!r!ntiat!s 9IC:ho+
9
r!ations 'ro( 9ICIt9 r!ations,
#!'ining th! att!r as th! nor(a patt!rn o' int!raction b!t,!!n
(an an# inani(at! obJ!cts. :h! 9ICIt9 r!ationship h! aso r!gar#s
as charact!ristic o' h+(an r!ations ,h!r!"!r p+rpos! is (or!
i(portant than o"!. 0+t i' th! co(p!- cyb!rn!tic str+ct+r! o'
soci!ti!s an# !cosyst!(s is in so(! #!gr!! anaogo+s to
ani(ation, th!n it ,o+# 'oo, that an 9IC:ho+9 r!ationship is
conc!i"ab! b!t,!!n (an an# his soci!ty or !cosyst!(. In this
conn!ction, th! 'or(ation o' 9s!nsiti"ity gro+ps9 in (any
#!p!rsonai/!# organi/ations is o' sp!cia int!r!st.
2b3:h! arts, po!try, (+sic, an# th! h+(aniti!s si(iary ar! ar!as
in ,hich (or! o' th! (in# is acti"! than (!r! conscio+sn!ss ,o+#
a#(it.
9
/e coeur a ses raisons 5ue la raison ne connaSt point.
9
2c3 Contact b!t,!!n (an an# ani(as an# b!t,!!n (an an# th!
nat+ra ,or# br!!#s, p!rhaps;so(!ti(!s;,is#o(.
2#3:h!r! is r!igion.
2203 :o conc+#!, !t +s r!(!(b!r that JobIs narro, pi!ty, his
p+rposi"!n!ss, his co((on s!ns!, an# his ,or#y s+cc!ss ar!
'inay stig(ati/!#, in a (ar"!o+s tot!(ic po!(, by th! Goic! o+t
o' th! 8hir,in#6
2*o is t*is t*at dar3enet* counsel -y 'ords
'it*out understanding ...
8ost t*ou 3no' '*en t*e 'ild goats of t*e roc3
-ring fort*H
@r canst t*ou tell '*en t*e *inds do cal&eH
454
Fo&(6 +u)!tan'e6 an# Di55e&en'e
%
@!t (! say that it is an !-traor#inary honor to b! h!r! tonight,
an# a p!as+r!. I a( a itt! 'right!n!# o' yo+ a, b!ca+s! I a( s+r!
th!r! ar! p!op! h!r! ,ho *no, !"!ry 'i!# o' *no,!#g! that I ha"!
to+ch!# (+ch b!tt!r than I *no, it. It is tr+! that I ha"! to+ch!# a
n+(b!r o' 'i!#s, an# I probaby can 'ac! any on! o' yo+ an# say I
ha"! to+ch!# a 'i!# that yo+ ha"! not to+ch!#. 0+t I a( s+r! that
'or !"!ry 'i!# I ha"! to+ch!#, th!r! ar! p!op! h!r! ,ho ar! (+ch
(or! !-p!rt than I. I a( not a ,!Cr!a# phiosoph!r, an# phiosophy
is not (y b+sin!ss. I a( not a "!ry ,!Cr!a# anthropoogist, an#
anthropoogy is not !-acty (y b+sin!ss.
0+t I ha"! tri!# to #o so(!thing ,hich <or/ybs*i ,as "!ry
(+ch conc!rn!# ,ith #oing, an# ,ith ,hich th! ,ho! s!(antic
(o"!(!nt has b!!n conc!rn!#, na(!y, I ha"! st+#i!# th! ar!a o'
i(pact b!t,!!n "!ry abstract an# 'or(a phiosophic tho+ght on th!
on! han# an# th! nat+ra history o' (an an# oth!r cr!at+r!s on th!
oth!r. :his o"!rap b!t,!!n 'or(a pr!(is!s an# act+a b!ha"ior is,
I ass!rt, o' .+it! #r!a#'+ i(portanc! to#ay. 8! 'ac! a ,or# ,hich
is thr!at!n!# not ony ,ith #isorgani/ation o' (any *in#s, b+t aso
,ith th! #!str+ction o' its !n"iron(!nt, an# ,!, to#ay, ar! sti
+nab! to thin* c!ary abo+t th! r!ations b!t,!!n an organis(
an# its !n"iron(!nt. 8hat sort o' a thing is this, ,hich ,! ca
9organis( p+s !n"iron(!nt9D
@!t +s go bac* to th! origina stat!(!nt 'or ,hich <or/ybs*i is
(ost 'a(o+s;th! stat!(!nt that t*e map is not t*e territory. :his
stat!(!nt ca(! o+t o' a "!ry ,i#! rang! o' phiosophic thin*ing,
going bac* to 1r!!c!, an# ,rigging thro+gh th! history o'
=+rop!an tho+ght o"!r th! ast 2000 y!ars. In this history, th!r! has
b!!n a sort o' ro+gh #ichoto(y an# o't!n #!!p contro"!rsy. :h!r!
has b!!n a "io!nt !n(ity an# boo#sh!#. It a starts, I s+ppos!,
H
:his ,as th! )in!t!!nth Ann+a <or/ybs*i A!(oria @!ct+r!, #!i"!r!#
Jan+ary 9, 1970, +n#!r th! a+spic!s o' th! Instit+t! o' 1!n!ra &!(antics. It is h!r!
r!Cprint!# 'ro( th! (eneral Semantics 0+!tin, )o. 37, 1970, by p!r(ission o' th!
Instit+t! o' 1!n!ra &!(antics.
455
,ith th! $ythagor!ans "!rs+s th!ir pr!#!c!ssors, an# th! arg+(!nt
too* th! shap! o' 9?o yo+ as* ,hat itIs (a#! o';!arth, 'ir!, ,at!r,
!tcD
9
5r #o yo+ as*, 98hat is its patt!rnD
9
$ythagoras stoo# 'or
in.+iry into patt!rn rath!r than in.+iry into s+bstanc!.1 :hat
contro"!rsy has gon! thro+gh th! ag!s, an# th! $ythagor!an ha' o'
it has, +nti r!c!nty, b!!n on th! ,ho! th! s+b(!rg!# ha'. :h!
1nostics 'oo, th! $ythagor!ans, an# th! ach!(ists 'oo, th!
1nostics, an# so on. :h! arg+(!nt r!ach!# a sort o' ci(a- at th!
!n# o' th! !ight!!nth c!nt+ry ,h!n a $ythagor!an !"o+tionary
th!ory ,as b+it an# th!n #iscar#!#;a th!ory ,hich in"o"!#
Ain#.
5
:h! !"o+tionary th!ory o' th! at! !ight!!nth c!nt+ry, th!
@a(arc*ian th!ory, ,hich ,as th! 'irst organi/!# trans'or(ist
th!ory o' !"o+tion, ,as b+it o+t o' a c+rio+s historica bac*gro+n#
,hich has b!!n #!scrib!# by @o"!Joy in The ,reat Chain of %ein'.
0!'or! @a(arc*, th! organic ,or#, th! i"ing ,or#, ,as b!i!"!#
to b! hi!rarchic in str+ct+r!, ,ith Ain# at th! top. :h! chain, or
a##!r, ,!nt #o,n thro+gh th! ang!s, thro+gh (!n, thro+gh th!
ap!s, #o,n to th! in'+soria or proto/oa, an# b!o, that to th! pants
an# ston!s.
8hat @a(arc* #i# ,as to t+rn that chain +psi#! #o,n. E!
obs!r"!# that ani(as chang!# +n#!r !n"iron(!nta pr!ss+r!. E!
,as incorr!ct, o' co+rs!, in b!i!"ing that thos! chang!s ,!r!
inh!rit!#, b+t in any cas!, th!s! chang!s ,!r! 'or hi( th! !"i#!nc!
o' !"o+tion. 8h!n h! t+rn!# th! a##!r +psi#! #o,n, ,hat ha#
b!!n th! !-panation, na(!y, th! Ain# at th! top, no, b!ca(!
that ,hich ha# to b! !-pain!#. Eis prob!( ,as to !-pain Ain#.
E! ,as con"inc!# abo+t !"o+tion, an# th!r! his int!r!st in it
stopp!#. &o that i' yo+ r!a# th! 6*ilosop*ic Eoologi5ue 218093, you
,i 'in# that th! 'irst thir# o' it is #!"ot!# to so"ing th! prob!(
o' !"o+tion an# th! t+rning +psi#! #o,n o' th! ta-ono(y, an# th!
r!st o' th! boo* is r!ay #!"ot!# to co(parati"! psychoogy, a
sci!nc! ,hich h! 'o+n#!#. ,ind ,as ,hat h! ,as r!ay int!r!st!#
in. E! ha# +s!# habit as on! o' th! a-io(atic ph!no(!na in his
5
4. 1. Coing,oo# has gi"!n a c!ar acco+nt o' th! $ythagor!an position in
The .!ea of Nature) 5-'or#, 1945.
456
th!ory o' !"o+tion, an# this o' co+rs! aso too* hi( into th!
prob!( o' co(parati"! psychoogy.
)o, (in# an# patt!rn as th! !-panatory princip!s ,hich, abo"!
a, r!.+ir!# in"!stigation ,!r! p+sh!# o+t o' bioogica thin*ing in
th! at!r !"o+tionary th!ori!s ,hich ,!r! #!"!op!# in th! (i#C
nin!t!!nth c!nt+ry by ?ar,in, E+-!y, !tc. :h!r! ,!r! sti so(!
na+ghty boys, i*! &a(+! 0+t!r, ,ho sai# that (in# co+# not b!
ignor!# in this ,ay;b+t th!y ,!r! ,!a* "oic!s, an# inci#!ntay,
th!y n!"!r oo*!# at organis(s. I #onIt thin* 0+t!r !"!r oo*!# at
anything !-c!pt his o,n cat, b+t h! sti *n!, (or! abo+t !"o+tion
than so(! o' th! (or! con"!ntiona thin*!rs.
)o,, at ast, ,ith th! #isco"!ry o' cyb!rn!tics, syst!(s th!ory,
in'or(ation th!ory, an# so on, ,! b!gin to ha"! a 'or(a bas!
!nabing +s to thin* abo+t (in# an# !nabing +s to thin* abo+t a
th!s! prob!(s in a ,ay ,hich ,as totay h!t!ro#o- 'ro( abo+t
1F5C thro+gh to 8or# 8ar II. 8hat I ha"! to ta* abo+t is ho, th!
gr!at #ichoto(y o' !pist!(oogy has shi't!# +n#!r th! i(pact o'
cyb!rn!tics an# in'or(ation th!ory.
8! can no, say;or at any rat!, can b!gin to say;,hat ,!
thin* a (in# is. In th! n!-t t,!nty y!ars th!r! ,i b! oth!r ,ays o'
saying it an#, b!ca+s! th! #isco"!ri!s ar! n!,, I can ony gi"! yo+
(y p!rsona "!rsion. :h! o# "!rsions ar! s+r!y ,rong, b+t ,hich
o' th! r!"is!# pict+r!s ,i s+r"i"!, ,! #o not *no,.
@!t +s start 'ro( th! !"o+tionary si#!. It is no, !(piricay
c!ar that ?ar,inian !"o+tionary th!ory contain!# a "!ry gr!at
!rror in its i#!nti'ication o' th! +nit o' s+r"i"a +n#!r nat+ra
s!!ction. :h! +nit ,hich ,as b!i!"!# to b! cr+cia an# aro+n#
,hich th! th!ory ,as s!t +p ,as !ith!r th! br!!#ing in#i"i#+a or
th! 'a(iy in! or th! s+bCsp!ci!s or so(! si(iar ho(og!n!o+s s!t
o' consp!ci'ics. )o, I s+gg!st that th! ast h+n#r!# y!ars ha"!
#!(onstrat!# !(piricay that i' an organis( or aggr!gat! o'
organis(s s!ts to ,or* ,ith a 'oc+s on its o,n s+r"i"a an# thin*s
that that is th! ,ay to s!!ct its a#apti"! (o"!s, its 9progr!ss9 !n#s
+p ,ith a #!stroy!# !n"iron(!nt. I' th! organis( !n#s +p
#!stroying its !n"iron(!nt, it has in 'act #!stroy!# its!'. An# ,!
(ay "!ry !asiy s!! this proc!ss carri!# to its +ti(at! reductio ad
a-surdum in th! n!-t t,!nty y!ars. :h! +nit o' s+r"i"a is not th!
br!!#ing organis(, or th! 'a(iy in!, or th! soci!ty.
457
:h! o# +nit has ar!a#y b!!n party corr!ct!# by th! pop+ation
g!n!ticists. :h!y ha"! insist!# that th! !"o+tionary +nit is, in 'act,
not ho(og!n!o+s. A ,i# pop+ation o' any sp!ci!s consists
a,ays o' in#i"i#+as ,hos! g!n!tic constit+tion "ari!s ,i#!y. In
oth!r ,or#s, pot!ntiaity an# r!a#in!ss 'or chang! is ar!a#y b+it
into th! s+r"i"a +nit. :h! h!t!rog!n!ity o' th! ,i# pop+ation is
ar!a#y on!Cha' o' that triaCan#C!rror syst!( ,hich is n!c!ssary
'or #!aing ,ith !n"iron(!nt.
:h! arti'iciay ho(og!ni/!# pop+ations o' (anIs #o(!stic
ani(as an# pants ar! scarc!y 'it 'or s+r"i"a.
An# to#ay a '+rth!r corr!ction o' th! +nit is n!c!ssary. :h!
'!-ib! !n"iron(!nt (+st aso b! inc+#!# aong ,ith th! '!-ib!
organis( b!ca+s!, as I ha"! ar!a#y sai#, th! organis( ,hich
#!stroys its !n"iron(!nt #!stroys its!'. :h! +nit o' s+r"i"a is a
'!-ib! organis(CinCitsC!n"iron(!nt.
)o,, !t (! !a"! !"o+tion 'or a (o(!nt to consi#!r ,hat is th!
+nit o' (in#. @!t +s go bac* to th! (ap an# th! t!rritory an# as*6
98hat is it in th! t!rritory that g!ts onto th! (apD9 8! *no, th!
t!rritory #o!s not g!t onto th! (ap. :hat is th! c!ntra point abo+t
,hich ,! h!r! ar! a agr!!#. )o,, i' th! t!rritory ,!r! +ni'or(,
nothing ,o+# g!t onto th! (ap !-c!pt its bo+n#ari!s, ,hich ar! th!
points at ,hich it c!as!s to b! +ni'or( against so(! arg!r (atri-.
8hat g!ts onto th! (ap, in 'act, is difference, b! it a #i''!r!nc! in
atit+#!, a #i''!r!nc! in "!g!tation, a #i''!r!nc! in pop+ation
str+ct+r!, #i''!r!nc! in s+r'ac!, or ,hatC!"!r. ?i''!r!nc!s ar! th!
things that g!t onto a (ap.
0+t ,hat is a #i''!r!nc!D A #i''!r!nc! is a "!ry p!c+iar an#
obsc+r! conc!pt. It is c!rtainy not a thing or an !"!nt. :his pi!c! o'
pap!r is #i''!r!nt 'ro( th! ,oo# o' this !ct!rn. :h!r! ar! (any
#i''!r!nc!s b!t,!!n th!(;o' coor, t!-t+r!, shap!, !tc. 0+t i' ,!
start to as* abo+t th! ocai/ation o' thos! #i''!r!nc!s, ,! g!t into
tro+b!. 5b"io+sy th! #i''!r!nc! b!t,!!n th! pap!r an# th! ,oo# is
not in th! pap!rL it is ob"io+sy not in th! ,oo#L it is ob"io+sy not
in th! spac! b!t,!!n th!(, an# it is ob"io+sy not in th! ti(!
b!t,!!n th!(. 2?i''!r!nc! ,hich occ+rs across ti(! is ,hat ,! ca
9chang!.93
A #i''!r!nc!, th!n, is an abstract (att!r.
458
In th! har# sci!nc!s, !''!cts ar!, in g!n!ra, ca+s!# by rath!r
concr!t! con#itions or !"!nts;i(pacts, 'orc!s, an# so 'orth. 0+t
,h!n yo+ !nt!r th! ,or# o' co((+nication, organi/ation, !tc., yo+
!a"! b!hin# that ,ho! ,or# in ,hich !''!cts ar! bro+ght abo+t by
'orc!s an# i(pacts an# !n!rgy !-chang!. Fo+ !nt!r a ,or# in ,hich
9!''!cts9;an# I a( not s+r! on! sho+# sti +s! th! sa(! ,or#;
ar! bro+ght abo+t by differences. :hat is, th!y ar! bro+ght abo+t by
th! sort o' 9thing9 that g!ts onto th! (ap 'ro( th! t!rritory. :his is
#i''!r!nc!.
?i''!r!nc! tra"!s 'ro( th! ,oo# an# pap!r into (y r!tina. It
th!n g!ts pic*!# +p an# ,or*!# on by this 'ancy pi!c! o'
co(p+ting (achin!ry in (y h!a#.
:h! ,ho! !n!rgy r!ation is #i''!r!nt. In th! ,or# o' (in#,
nothing;that ,hich is not7can b! a ca+s!. In th! har# sci!nc!s,
,! as* 'or ca+s!s an# ,! !-p!ct th!( to !-ist an# b! 9r!a.9 0+t
r!(!(b!r that /!ro is #i''!r!nt 'ro( on!, an# b!ca+s! /!ro is
#i''!r!nt 'ro( on!, /!ro can b! a ca+s! in th! psychoogica ,or#,
th! ,or# o' co((+nication. :h! !tt!r ,hich yo+ #o not ,rit! can
g!t an angry r!pyL an# th! inco(! ta- 'or( ,hich yo+ #o not 'i
in can trigg!r th! Int!rna 4!"!n+! boys into !n!rg!tic action, b!C
ca+s! th!y, too, ha"! th!ir br!a*'ast, +nch, t!a, an# #inn!r an# can
r!act ,ith !n!rgy ,hich th!y #!ri"! 'ro( th!ir (!tabois(. :h!
!tt!r ,hich n!"!r !-ist!# is no so+rc! o' !n!rgy.
It 'oo,s, o' co+rs!, that ,! (+st chang! o+r ,ho! ,ay o'
thin*ing abo+t (!nta an# co((+nicationa proc!ss. :h! or#inary
anaogi!s o' !n!rgy th!ory ,hich p!op! borro, 'ro( th! har#
sci!nc!s to pro"i#! a conc!pt+a 'ra(! +pon ,hich th!y try to b+i#
th!ori!s abo+t psychoogy an# b!ha"ior;that !ntir! $rocr+st!an
str+ct+r!;is nonCs!ns!. It is in !rror.
. I s+gg!st to yo+, no,, that th! ,or# 9i#!a,9 in its (ost
!!(!ntary s!ns!, is synony(o+s ,ith 9#i''!r!nc!.
9
<ant, in th!
"riti5ue o' Judgment7if I +n#!rstan# hi( corr!cty;ass!rts that
th! (ost !!(!ntary a!sth!tic act is th! s!!ction o' a 'act. E!
arg+!s that in a pi!c! o' cha* th!r! ar! an in'init! n+(b!r o'
pot!ntia 'acts. :h! 8ing an sic*, th! pi!c! o' cha*, can n!"!r
!nt!r into co((+nication or (!nta proc!ss b!ca+s! o' this
in'init+#!. :h! s!nsory r!c!ptors cannot acc!pt itL th!y 'it!r it o+t.
459
8hat th!y #o is to s!!ct c!rtain facts o+t o' th! pi!c! o' cha*,
,hich th!n b!co(!, in (o#C!rn t!r(inoogy, in'or(ation.
I s+gg!st that <antIs stat!(!nt can b! (o#i'i!# to say that th!r!
is an in'init! n+(b!r o' differences aro+n# an# ,ithin th! pi!c! o'
cha*. :h!r! ar! #i''!r!nc!s b!t,!!n th! cha* an# th! r!st o' th!
+ni"!rs!, b!t,!!n th! cha* an# th! s+n or th! (oon. An# ,ithin
th! pi!c! o' cha*, th!r! is 'or !"!ry (o!c+! an in'init! n+(b!r
o' #i''!r!nc!s b!t,!!n its ocation an# th! ocations in ,hich it
mig*t ha"! b!!n. 5' this in'init+#!, ,! s!!ct a "!ry i(it!#
n+(b!r, ,hich b!Cco(! in'or(ation. In 'act, ,hat ,! (!an by
in'or(ation;th! !!(!ntary +nit o' in'or(ation;is a difference
'*ic* ma3es a difference, an# it is ab! to (a*! a #i''!r!nc!
b!ca+s! th! n!+ra path,ays aong ,hich it tra"!s an# is
contin+ay trans'or(!# ar! th!(s!"!s pro"i#!# ,ith !n!rgy. :h!
pathC,ays ar! r!a#y to b! trigg!r!#. 8! (ay !"!n say that th!
.+!stion is ar!a#y i(picit in th!(.
:h!r! is, ho,!"!r, an i(portant contrast b!t,!!n (ost o' th!
path,ays o' in'or(ation insi#! th! bo#y an# (ost o' th! path,ays
o+tsi#! it. :h! #i''!r!nc!s b!t,!!n th! pap!r an# th! ,oo# ar! 'irst
trans'or(!# into #i''!r!nc!s in th! propagation o' ight or so+n#,
an# tra"! in this 'or( to (y s!nsory !n# organs. :h! 'irst part o'
th!ir Jo+rn!y is !n!rgi/!# in th! or#inary har#Csci!nc! ,ay, 'ro(
9b!hin#.9 0+t ,h!n th! #i''!r!nc!s !nt!r (y bo#y by trigg!ring an
!n#. organ, this typ! o' tra"! is r!pac!# by tra"! ,hich is
!n!rgi/!# at !"!ry st!p by th! (!taboic !n!rgy at!nt in th!
protopas( ,hich recei&es th! #i''!r!nc!, r!cr!at!s or trans'or(s
it, an# pass!s it on.
8h!n I stri*! th! h!a# o' a nai ,ith a ha((!r, an i(p+s! is
trans(itt!# to its point. 0+t it is a s!(antic !rror, a (is!a#ing
(!taphor, to say that ,hat tra"!s in an a-on is an 9i(p+s!.9 It
co+# corr!cty b! ca!# 9n!,s o' a #i''!r!nc!.9
0! that as it (ay, this contrast b!t,!!n int!rna an# !-t!rna
path,ays is not abso+t!. =-c!ptions occ+r on both si#!s o' th! in!.
&o(! !-t!rna chains o' !"!nts ar! !n!rgi/!# by r!ays, an# so(!
chains o' !"!nts int!rna to th! bo#y ar! !n!rgi/!# 'ro( 9b!hin#.9
460
)otaby, th! (!chanica int!raction o' (+sc!s can b! +s!# as a
co(p+tationa (o#!.
6
In spit! o' th!s! !-c!ptions, it is sti broa#y tr+! that th! co#ing
an# trans(ission o' #i''!r!nc!s o+tsi#! th! bo#y is "!ry #i''!r!nt
'ro( th! co#ing an# trans(ission insi#!, an# this #i''!r!nc! (+st b!
(!ntion!# b!ca+s! it can !a# +s into !rror. 8! co((ony thin* o'
th! !-t!rna 9physica ,or#9 as so(!ho, s!parat! 'ro( an int!rna
9(!nta ,or#.9 I b!i!"! that this #i"ision is bas!# on th! contrast
in co#ing an# trans(ission insi#! an# o+tsi#! th! bo#y.
:h! (!nta ,or#;th! (in#;th! ,or# o' in'or(ation
proc!ssing;is not i(it!# by th! s*in.
@!t +s no, go bac* to th! notion that th! trans'or( o' a
#i''!r!nc! tra"!ing in a circ+it is an !!(!ntary i#!a. I' this b!
corr!ct, !t +s as* ,hat a (in# is. 8! say th! (ap is #i''!r!nt 'ro(
th! t!rritory. 0+t ,hat is th! t!rritoryD 5p!rationay, so(!bo#y
,!nt o+t ,ith a r!tina or a (!as+ring stic* an# (a#! r!pr!s!ntations
,hich ,!r! th!n p+t +pon pap!r. 8hat is on th! pap!r (ap is a
r!pr!s!ntation o' ,hat ,as in th! r!tina r!pr!s!ntation o' th! (an
,ho (a#! th! (apL an# as yo+ p+sh th! .+!stion bac*, ,hat yo+
'in# is an in'init! r!gr!ss, an in'init! s!ri!s o' (aps. :h! t!rritory
n!"!r g!ts in at a. :h! t!rritory is 8ing an sic* an# yo+ canIt #o
anything ,ith it. A,ays th! proc!ss o' r!pr!s!ntation ,i 'it!r it
o+t so that th! (!nta ,or# is ony (aps o' (aps o' (aps, a#
in'init+(.
7
A 9ph!no(!na9 ar! it!ray app!aranc!s.
5r ,! can 'oo, th! chain 'or,ar#. I r!c!i"! "ario+s sorts o'
(appings ,hich I ca #ata or in'or(ation. %pon r!c!ipt o' th!s! I
act. 0+t (y actions, (y (+sc+ar conCtractions, ar! trans'or(s o'
#i''!r!nc!s in th! inp+t (at!ria. An# I r!c!i"! again #ata ,hich ar!
trans'or(s o' (y actions. 8! g!t th+s a pict+r! o' th! (!nta ,or#
6
It is int!r!sting to not! that #igita co(p+t!rs #!p!n# +pon trans(ission o'
!n!rgy 9'ro( b!hin#9 to s!n# 9n!,s9 aong ,ir! 'ro( on! r!ay to th! n!-t. 0+t
!ach r!ay has its o,n !n!rgy so+rc!. Anaogic co(p+t!rs, !.g., ti#! (achin!s an#
th! i*!, ar! co((ony !ntir!y #ri"!n by !n!rgy 9'ro( b!hin#.9 =ith!r typ! o'
!n!rgi/ation can b! +s!# 'or co(p+tationa p+rpos!s.
7
5r ,! (ay sp! th! (att!r o+t an# say that at !"!ry st!p, as a #i''!r!nc! is
trans'or(!# an# propagat!# aong its path,ay, th! !(bo#i(!nt o' th! #i''!r!nc! b!C
'or! th! st!p is a 9t!rritory9 o' ,hich th! !(bo#i(!nt a't!r th! st!p is a 9(ap.9 :h!
(apCt!rritory r!ation obtains at !"!ry st!p.
461
,hich has so(!Cho, J+(p!# oos! 'ro( o+r con"!ntiona pict+r! o'
th! physica ,or#.
:his is not n!,, an# 'or historic bac*gro+n# ,! go again to th!
ach!(ists an# 1nostics. Car J+ng onc! ,rot! a "!ry c+rio+s itt!
boo*, ,hich I r!co((!n# to a o' yo+. It is ca!# Septem Sermones
ad ,ortuos, &!"!n &!r(ons to th! ?!a#.
8
In his ,emoirs, 8reams
and $eflections, J+ng t!s +s that his ho+s! ,as '+ o' ghosts, an#
th!y ,!r! noisy. :h!y both!r!# hi(, th!y both!r!# his ,i'!, an# th!y
both!r!# th! chi#r!n. In th! "+gar Jargon o' psychiatry, ,! (ight say
that !"!rybo#y in th! ho+s! ,as as psychotic as hooty o,s, an# 'or
.+it! goo# r!ason. I' yo+ g!t yo+r !pist!(oogy con'+s!#, yo+ go
psychotic, an# J+ng ,as going thro+gh an !pist!(oogica crisis. &o
h! sat #o,n at his #!s* an# pic*!# +p a p!n an# start!# to ,rit!.
8h!n h! start!# to ,rit! th! ghosts a #isapp!ar!#, an# h! ,rot! this
itt! boo*. 7ro( this h! #at!s a his at!r insight. E! sign!# it
90asii#!s,9 ,ho ,as a 'a(o+s 1nostic in A!-an#ria in th! s!con#
c!nt+ry.
E! points o+t that th!r! ar! t,o ,or#s. 8! (ight ca th!( t,o
,or#s o' !-panation. E! na(!s th!( th! pleroma an# th!
creatura, th!s! b!ing 1nostic t!r(s. :h! p!ro(a is th! ,or# in
,hich !"!nts ar! ca+s!# by 'orc!s an# i(pacts an# in ,hich th!r!
ar! no 9#istinctions.9 5r, as I ,o+# say, no 9#i''!r!nc!s.9 In th!
cr!at+ra, !''!cts ar! bro+ght abo+t pr!cis!y by #i''!r!nc!. In 'act,
this is th! sa(! o# #ichoto(y b!t,!!n (in# an# s+bstanc!.
8! can st+#y an# #!scrib! th! p!ro(a, b+t a,ays th!
#istinctions ,hich ,! #ra, ar! attrib+t!# -y +s to th! p!ro(a. :h!
p!ro(a *no,s nothing o' #i''!r!nc! an# #istinctionL it contains no
9i#!as9 in th! s!ns! in ,hich I a( +sing th! ,or#. 8h!n ,! st+#y
an# #!scrib! th! cr!at+ra, ,! (+st corr!cty i#!nti'y thos!
#i''!r!nc!s ,hich ar! !''!cti"! ,ithin it.
I s+gg!st that 9p!ro(a9 an# 9cr!at+ra9 ar! ,or#s ,hich ,!
co+# +s!'+y a#opt, an# it is th!r!'or! ,orth,hi! to oo* at th!
8
8ritt!n in 1916, transat!# by E. 1. 0ayn!s an# pri"at!y circ+at!# in 1925.
4!p+bish!# by &t+art X 8at*ins, @on#on, an# by 4an#o( Eo+s!, 1961. In at!r
,or*, J+ng s!!(s to ha"! ost th! carity o' th! &!"!n &!r(ons. In his 9Ans,!r to
Job,9 th! arch!typ!s ar! sai# to b! 9p!ro(atic.9 It is s+r!y tr+!, ho,!"!r, that
const!ations o' i#!as (ay s!!( s+bJ!cti"!y to r!s!(b! 9'orc!s9 ,h!n th!ir
i#!ationa charact!r is +nr!cogni/!#.
462
bri#g!s ,hich !-ist b!t,!!n th!s! t,o 9,or#s.9 It is an
o"!rsi(pi'ication to say that th! 9har# sci!nc!s9 #!a ony ,ith th!
p!ro(a an# that th! sci!nc!s o' th! (in# #!a ony ,ith th!
cr!at+ra. :h!r! is (or! to it than that.
7irst, consi#!r th! r!ation b!t,!!n !n!rgy an# n!gati"! !ntropy.
:h! cassica Carnot h!at !ngin! consists o' a cyin#!r o' gas ,ith a
piston. :his cyin#!r is at!rnat!y pac!# in contact ,ith a contain!r
o' hot gas an# ,ith a contain!r o' co# gas. :h! gas in th! cyin#!r
at!rnat!y !-pan#s an# contracts as it is h!at!# or coo!# by th! hot
an# co# so+rc!s. :h! piston is th+s #ri"!n +p an# #o,n.
0+t ,ith !ach cyc! o' th! !ngin!, th! difference b!t,!!n th!
t!(p!rat+r! o' th! hot so+rc! an# that o' th! co# so+rc! is r!#+c!#.
8h!n this #i''!r!nc! b!co(!s /!ro, th! !ngin! ,i stop.
:h! physicist, #!scribing th! p!ro(a, ,i ,rit! !.+ations to
transat! th! t!(p!rat+r! #i''!r!nc! into 9a"aiab! !n!rgy,9 ,hich
h! ,i ca 9n!gati"! !ntropy,9 an# ,i go on 'ro( th!r!.
:h! anayst o' th! cr!at+ra ,i not! that th! ,ho! syst!( is a
s!ns! organ ,hich is trigg!r!# by t!(p!rat+r! #i''!r!nc!. E! ,i
ca this #i''!r!nc! ,hich (a*!s a #i''!r!nc! 9in'or(ation9 or
9n!gati"! !ntropy.9 7or hi(, this is ony a sp!cia cas! in ,hich th!
!''!cti"! #i''!r!nc! happ!ns to b! a (att!r o' !n!rg!tics. E! is
!.+ay int!r!st!# in a #i''!r!nc!s ,hich can acti"at! so(! s!ns!
organ. 7or hi(, any s+ch #i''!r!nc! is 9n!gati"! !ntropy.9
5r consi#!r th! ph!no(!non ,hich th! n!+rophysioogists ca
9synaptic s+((ation.9 8hat is obs!r"!# is that in c!rtain cas!s,
,h!n t,o n!+rons, A an# 0, ha"! synaptic conn!ction to a thir#
n!+ron, C, th! 'iring o' n!ith!r n!+ron by itCs!' is s+''ici!nt to 'ir!
CL b+t that ,h!n both A an# 0 'ir! si(+tan!o+sy 2or n!ary so3,
th!ir co(bin!# 9i(p+s!s9 ,i ca+s! C to 'ir!.
In p!ro(atic ang+ag!, this co(bining o' !"!nts to s+r(o+nt a
thr!sho# is ca!# 9s+((ation.9
0+t 'ro( th! point o' "i!, o' th! st+#!nt o' cr!at+ra 2an# th!
n!+rophysioogist (+st s+r!y ha"! on! 'oot in th! p!ro(a an# th!
oth!r in cr!at+ra3, this is not s+((ation at a. 8hat happ!ns is that
th! syst!( op!rat!s to cr!at! #i''!r!nc!s. :h!r! ar! t,o
#i''!r!ntiat!# classes o' 'irings by A6 thos! 'irings ,hich ar!
acco(pani!# by 0 an# thos! ,hich ar! +nacco(pani!#. &i(iary
th!r! ar! t,o cass!s o' 'irings by 0.
463
:h! soCca!# 9s+((ation,9 ,h!n both 'ir!, is not an a##iti"!
proc!ss 'ro( this point o' "i!,. It is th! 'or(ation o' a ogica
pro#+ct;a proc!ss o' 'ractionation rath!r than s+((ation.
:h! cr!at+ra is th+s th! ,or# s!!n as (in#, ,h!r!"!r s+ch a
"i!, is appropriat!. An# ,h!r!"!r this "i!, is appropriat!, th!r!
aris!s a sp!ci!s o' co(p!-ity ,hich is abs!nt 'ro( p!ro(atic
#!scription6 cr!at+ra #!scription is aC,ays hi!rarchic.
I ha"! sai# that ,hat g!ts 'ro( t!rritory to (ap is transC'or(s o'
#i''!r!nc! an# that th!s! 2so(!ho, s!!ct!#3 #i''!r!nc!s ar!
!!(!ntary i#!as.
0+t th!r! ar! #i''!r!nc!s b!t,!!n #i''!r!nc!s. ="!ry !''!cti"!
#i''!r!nc! #!not!s a #!(arcation, a in! o' cassi'ication, an# a
cassi'ication is hi!rarchic. In oth!r ,or#s, #i''!r!nc!s ar!
th!(s!"!s to b! #i''!r!ntiat!# an# cassi'i!#. In this cont!-t I ,i
ony to+ch ighty on th! (att!r o' cass!s o' #i''!r!nc!, b!ca+s! to
carry th! (att!r '+rth!r ,o+# an# +s in prob!(s o' 6rincipia
,at*ematica.
@!t (! in"it! yo+ to a psychoogica !-p!ri!nc!, i' ony to
#!(onstrat! th! 'raity o' th! h+(an co(p+t!r. 7irst not! that
#i''!r!nc!s in t!-t+r! ar! different 2a3 'ro( #i''!r!nc!s in coor. )o,
not! that #i''!r!nc!s in si/! ar! different 2b3 'ro( #i''!r!nc!s in
shap!. &i(iary ratios ar! #i''!r!nt 2c3 'ro( s+btracti"! #i''!r!nc!s.
)o, !t (! in"it! yo+, as #iscip!s o' <or/ybs*i, to #!'in! th!
#i''!r!nc!s b!t,!!n 9#i''!r!nt +a4 ,9 9#i''!r!nt 2b3,9 an# 9#i''!r!nt
2c3 9 in th! abo"! paragraph. :h! co(p+t!r in th! h+(an h!a#
bogg!s at th! tas*. 0+t not a cass!s o' #i''!r!nc! ar! as a,*,ar#
to han#!.
5n! s+ch cass yo+ ar! a 'a(iiar ,ith. )a(!y, th! cass o'
#i''!r!nc!s ,hich ar! cr!at!# by th! proc!ss o' transC'or(ation
,h!r!by th! #i''!r!nc!s i((an!nt in th! t!rritory b!co(!
#i''!r!nc!s i((an!nt in th! (ap. In th! corn!r o' !"!ry s!rio+s (ap
yo+ ,i 'in# th!s! r+!s o' trans'or(ation sp!!# o+t;+s+ay in
,or#s. 8ithin th! h+(an (in#, it is abso+t!y !ss!ntia to
r!cogni/! th! #i''!r!nc!s o' this cass, an#, in#!!#, it is th!s! that
'or( th! c!ntra s+bJ!ct (att!r o' 9&ci!nc! an# &anity.9
An ha+cination or a #r!a( i(ag! is s+r!y a trans'or(ation o'
so(!thing. 0+t o' ,hatD An# by ,hat r+!s o' transC'or(ationD
464
@asty th!r! is that hi!rarchy o' #i''!r!nc!s ,hich bioogists ca
9!"!s.9 I (!an s+ch #i''!r!nc!s as that b!t,!!n a c! an# a tiss+!,
b!t,!!n tiss+! an# organ, organ an# organis(, an# organis( an#
soci!ty.
:h!s! ar! th! hi!rarchi!s o' +nits or (estalten, in ,hich !ach
s+b+nit is a part o' th! +nit o' n!-t arg!r scop!. An#, a,ays in
bioogy, this #i''!r!nc! or r!ationship ,hich I ca
9
part o'9 is s+ch
that c!rtain #i''!r!nc!s in th! part ha"! in'or(ationa !''!ct +pon th!
arg!r +nit, an# "ic! "!rsa.
Ea"ing stat!# this r!ationship b!t,!!n bioogica part an#
,ho!, I can no, go on 'ro( th! notion o' cr!at+ra as Ain# in
g!n!ra to th! .+!stion o' ,hat is a (in#.
8hat #o I (!an by 9(y9 (in#D
I s+gg!st that th! #!i(itation o' an in#i"i#+a (in# (+st
a,ays #!p!n# +pon ,hat ph!no(!na ,! ,ish to +n#!rCstan# or
!-pain. 5b"io+sy th!r! ar! ots o' (!ssag! pathC,ays o+tsi#! th!
s*in, an# th!s! an# th! (!ssag!s ,hich th!y carry (+st b!
inc+#!# as part o' th! (!nta syst!( ,h!n!"!r th!y ar! r!!"ant.
Consi#!r a tr!! an# a (an an# an a-!. 8! obs!r"! that th! a-!
'i!s thro+gh th! air an# (a*!s c!rtain sorts o' gash!s in a pr!C
!-isting c+t in th! si#! o' th! tr!!. I' no, ,! ,ant to !-pain this s!t
o' ph!no(!na, ,! sha b! conc!rn!# ,ith #i''!r!nc!s in th! c+t
'ac! o' th! tr!!, #i''!r!nc!s in th! r!tina o' th! (an, #i''!r!nc!s in
his c!ntra n!r"o+s syst!(, #i''!r!nc!s in his !''!r!nt n!+ra
(!ssag!s, #i''!r!nc!s in th! b!ha"ior o' his (+sc!s, #i''!r!nc!s in
ho, th! a-! 'i!s, to th! #i''!r!nc!s ,hich th! a-! th!n (a*!s on
th! 'ac! o' th! tr!!. 5+r !-panation 2'or c!rtain p+rpos!s3 ,i go
ro+n# an# ro+n# that circ+it. In princip!, i' yo+ ,ant to !-pain or
+n#!rstan# anything in h+(an b!ha"ior, yo+ ar! a,ays #!aing
,ith tota circ+its, co(p!t!# circ+its. :his is th! !!(!ntary
cyb!rn!tic tho+ght.
:h! !!(!ntary cyb!rn!tic syst!( ,ith its (!ssag!s in circ+it
is, in 'act, th! si(p!st +nit o' (in#L an# th! transC'or( o' a
#i''!r!nc! tra"!ing in a circ+it is th! !!(!ntary i#!a. Aor!
co(picat!# syst!(s ar! p!rhaps (or! ,orthy to b! ca!# (!nta
syst!(s, b+t !ss!ntiay this is ,hat ,! ar! ta*ing abo+t. :h! +nit
,hich sho,s th! charact!ristic o' tria an# !rror ,i b!
!giti(at!y ca!# a (!nta syst!(.
465
0+t ,hat abo+t 9(!9D &+ppos! I a( a bin# (an, an# I +s! a
stic*. I go tap, tap, tap. 8h!r! #o I startD Is (y (!nta syst!(
bo+n#!# at th! han#! o' th! stic*D Is it bo+n#!# by (y s*inD ?o!s
it start ha',ay +p th! stic*D ?o!s it start at th! tip o' th! stic*D
0+t th!s! ar! nons!ns! .+!stions. :h! stic* is a path,ay aong
,hich trans'or(s o' #i''!r!nc! ar! b!ing trans(itt!#. :h! ,ay to
#!in!at! th! syst!( is to #ra, th! i(iting in! in s+ch a ,ay that
yo+ #o not c+t any o' th!s! path,ays in ,ays ,hich !a"! things
in!-picab!. I' ,hat yo+ ar! trying to !-pain is a gi"!n pi!c! o'
b!ha"ior, s+ch as th! oco(otion o' th! bin# (an, th!n, 'or this
p+rpos!, yo+ ,i n!!# th! str!!t, th! stic*, th! (anL th! str!!t, th!
stic*, an# so on, ro+n# an# ro+n#.
0+t ,h!n th! bin# (an sits #o,n to !at his +nch, his stic* an#
its (!ssag!s ,i no ong!r b! r!!"ant;i' it is his !ating that yo+
,ant to +n#!rstan#.
An# in a##ition to ,hat I ha"! sai# to #!'in! th! in#i"i#+a (in#,
I thin* it n!c!ssary to inc+#! th! r!!"ant parts o' (!(ory an# #ata
9ban*s.9 A't!r a, th! si(p!st cyb!rn!tic circ+it can b! sai# to ha"!
(!(ory o' a #yna(ic *in#;not bas!# +pon static storag! b+t +pon
th! tra"! o' in'or(ation aro+n# th! circ+it. :h! b!ha"ior o' th!
go"!rnor o' a st!a( !ngin! at :i(! 2 is party #!t!r(in!# by ,hat it
#i# at :i(! 1;,h!r! th! int!r"a b!t,!!n :i(! 1 an# :i(! 2 is
that ti(! n!c!ssary 'or th! in'or(ation to co(p!t! th! circ+it.
8! g!t a pict+r!, th!n, o' (in# as synony(o+s ,ith cyb!rn!tic
syst!(;th! r!!"ant tota in'or(ationCproc!ssing, triaCan#C!rror
co(p!ting +nit. An# ,! *no, that ,ithin Ain# in th! ,i#!st s!ns!
th!r! ,i b! a hi!rarchy o' s+bCsyst!(s, any on! o' ,hich ,! can
ca an in#i"i#+a (in#.
0+t this pict+r! is pr!cis!y th! sa(! as th! pict+r! ,hich I
arri"!# at in #isc+ssing t*e unit of e&olution. I b!i!"! that this
i#!ntity is th! (ost i(portant g!n!rai/ation ,hich I ha"! to o''!r
yo+ tonight.
In consi#!ring +nits o' !"o+tion, I arg+!# that yo+ ha"! at !ach
st!p to inc+#! th! co(p!t!# path,ays o+tsi#! th! protopas(ic
aggr!gat!, b! it ?)ACinCth!Cc!, or c!CinCth!Cbo#y, or bo#yCinCth!C
!n"iron(!nt. :h! hi!rarchic str+ct+r! is not n!,. 7or(!ry ,!
ta*!# abo+t th! br!!#ing in#i"i#+a or th! 'a(iy in! or th! ta-on,
an# so on. )o, !ach st!p o' th! hi!rarchy is to b! tho+ght o' as a
466
system, inst!a# o' a ch+n* c+t o'' an# "is+ai/!# as against th!
s+rro+n#ing (atri-.
:his i#!ntity b!t,!!n th! +nit o' (in# an# th! +nit o'
!"o+tionary s+r"i"a is o' "!ry gr!at i(portanc!, not ony
th!or!tica, b+t aso !thica.
It (!ans, yo+ s!!, that I no, ocai/! so(!thing ,hich I a(
caing 9Ain#9 i((an!nt in th! arg! bioogica syst!(;th!
!cosyst!(. 5r, i' I #ra, th! syst!( bo+n#ari!s at a #i''!r!nt !"!,
th!n (in# is i((an!nt in th! tota !"o+tionary str+ct+r!. I' this
i#!ntity b!t,!!n (!nta an# !"o+tionary +nits is broa#y right, th!n
,! 'ac! a n+(b!r o' shi'ts in o+r thin*ing.
7irst, !t +s consi#!r !coogy. =coogy has c+rr!nty t,o 'ac!s to
it6 th! 'ac! ,hich is ca!# bio!n!rg!tics;th! !cono(ics o' !n!rgy
an# (at!rias ,ithin a cora r!!', a r!#C,oo# 'or!st, or a city;an#,
s!con#, an !cono(ics o' in'or(ation, o' !ntropy, n!g!ntropy, !tc.
:h!s! t,o #o not 'it tog!th!r "!ry ,! pr!cis!y b!ca+s! th! +nits
ar! #i''!r!nty bo+n#!# in th! t,o sorts o' !coogy. In bio!n!rg!tics
it is nat+ra an# appropriat! to thin* o' +nits bo+n#!# at th! c!
(!(bran!, or at th! s*inL or o' +nits co(pos!# o' s!ts o'
consp!ci'ic in#i"i#+as. :h!s! bo+n#ari!s ar! th!n th! 'ronti!rs at
,hich (!as+r!(!nts can b! (a#! to #!t!r(in! th! a##iti"!C
s+btracti"! b+#g!t o' !n!rgy 'or th! gi"!n +nit. In contrast,
in'or(ationa or !ntropic !coogy #!as ,ith th! b+#g!ting o'
path,ays an# o' probabiity. :h! r!s+ting b+#Cg!ts ar! 'ractionating
2not s+btracti"!3. :h! bo+n#ari!s (+st !ncos!, not c+t, th! r!!"ant
path,ays.
Aor!o"!r, th! "!ry (!aning o' 9s+r"i"a9 b!co(!s #i''!r!nt
,h!n ,! stop ta*ing abo+t th! s+r"i"a o' so(!thing bo+n#!# by
th! s*in an# start to thin* o' th! s+r"i"a o' th! syst!( o' i#!as in
circ+it. :h! cont!nts o' th! s*in ar! ran#o(i/!# at #!ath an# th!
path,ays ,ithin th! s*in ar! ran#o(i/!#. 0+t th! i#!as, +n#!r
'+rth!r trans'or(ation, (ay go on o+t in th! ,or# in boo*s or
,or*s o' art. &ocrat!s as a bio!n!rg!tic in#i"i#+a is #!a#. 0+t (+ch
o' hi( sti i"!s as a co(pon!nt in th! cont!(porary !coogy o'
i#!as.
9
9
7or th! phras! 9!coogy o' i#!as,9 I a( in#!bt!# to &ir 1!o''r!y Gic*!rsI !ssay
9:h! =coogy o' I#!as9 in Lalue Systems and Social 6rocess, 0asic 0oo*s, 1968.
467
It is aso c!ar that th!oogy b!co(!s chang!# an# p!rhaps
r!n!,!#. :h! A!#it!rran!an r!igions 'or 5000 y!ars ha"! s,+ng to
an# 'ro b!t,!!n i((an!nc! an# transc!n#!nc!. In 0abyon th! go#s
,!r! transc!n#!nt on th! tops o' hisL in =gypt, th!r! ,as go#
i((an!nt in $haroahL an# Christianity is a co(p!- co(bination o'
th!s! t,o b!i!'s.
:h! cyb!rn!tic !pist!(oogy ,hich I ha"! o''!r!# yo+ ,o+#
s+gg!st a n!, approach. :h! in#i"i#+a (in# is i((an!nt b+t not
ony in th! bo#y. It is i((an!nt aso in path,ays an# (!ssag!s
o+tsi#! th! bo#yL an# th!r! is a arg!r Ain# o' ,hich th! in#i"i#+a
(in# is ony a s+bCsyst!(. :his arg!r Ain# is co(parab! to 1o#
an# is p!rhaps ,hat so(! p!op! (!an by 91o#,
9
b+t it is sti i(C
(an!nt in th! tota int!rconn!ct!# socia syst!( an# pan!tary
!coogy.
7r!+#ian psychoogy !-pan#!# th! conc!pt o' (in# inC,ar#s to
inc+#! th! ,ho! co((+nication syst!( ,ithin th! bo#y;th!
a+tono(ic, th! habit+a, an# th! "ast rang! o' +nconscio+s proc!ss.
8hat I a( saying !-pan#s (in# o+tC,ar#s. An# both o' th!s!
chang!s r!#+c! th! scop! o' th! conscio+s s!'. A c!rtain h+(iity
b!co(!s appropriat!, t!(p!r!# by th! #ignity or Joy o' b!ing part o'
so(!thing (+ch bigg!r. A part;i' yo+ ,i;o' 1o#.
I' yo+ p+t 1o# o+tsi#! an# s!t hi( "isC_C"is his cr!ation an# i'
yo+ ha"! th! i#!a that yo+ ar! cr!at!# in his i(ag!, yo+ ,i
ogicay an# nat+ray s!! yo+rs!' as o+tsi#! an# against th! things
aro+n# yo+. An# as yo+ arrogat! a (in# to yo+rs!', yo+ ,i s!!
th! ,or# aro+n# yo+ as (in#!ss an# th!r!'or! not !ntit!# to (ora
or !thica consi#!ration. :h! !n"iron(!nt ,i s!!( to b! yo+rs to
!-poit. Fo+r s+r"i"a +nit ,i b! yo+ an# yo+r 'o*s or consp!ci'ics
against th! !n"iron(!nt o' oth!r socia +nits, oth!r rac!s an# th!
br+t!s an# "!g!tab!s.
I' this is yo+r !sti(at! o' yo+r r!ation to nat+r! and you *a&e an
ad&anced tec*nology, yo+r i*!ihoo# o' s+r"i"a ,i b! that o' a
sno,ba in h!. Fo+ ,i #i! !ith!r o' th! to-ic byCpro#+cts o' yo+r
o,n hat!, or, si(py, o' o"!rCpop+ation an# o"!rgra/ing. :h! ra,
(at!rias o' th! ,or# ar! 'init!.
7or a (or! 'or(a #isc+ssion o' th! s+r"i"a o' i#!as, s!! 1or#on $as*sI
r!(ar*s in 8!nn!rC1r!n Con'!r!nc! on 9=''!cts o' Conscio+s $+rpos! on E+(an
A#aptation,9 1968
468
I' I a( right, th! ,ho! o' o+r thin*ing abo+t ,hat ,! ar! an#
,hat oth!r p!op! ar! has got to b! r!str+ct+r!#. :his is not '+nny,
an# I #o not *no, ho, ong ,! ha"! to #o it in. I' ,! contin+! to
op!rat! on th! pr!(is!s that ,!r! 'ashionab! in th! pr!cyb!rn!tic
!ra, an# ,hich ,!r! !sp!ciay +n#!rin!# an# str!ngth!n!# #+ring
th! In#+sCtria 4!"o+tion, ,hich s!!(!# to "ai#at! th! ?ar,inian
+nit o' s+r"i"a, ,! (ay ha"! t,!nty or thirty y!ars b!'or! th!
ogica reductio ad a-surdum o' o+r o# positions #!stroys +s.
)obo#y *no,s ho, ong ,! ha"!, +n#!r th! pr!s!nt syst!(, b!'or!
so(! #isast!r stri*!s +s, (or! s!rio+s than th! #!str+ction o' any
gro+p o' nations. :h! (ost i(portant tas* to#ay is, p!rhaps, to !arn
to thin* in th! n!, ,ay. @!t (! say that I #onIt *no, ho, to thin*
that ,ay. Int!!ct+ay, I can stan# h!r! an# I can gi"! yo+ a r!aC
son!# !-position o' this (att!rL b+t i' I a( c+tting #o,n a tr!!, I
sti thin* 91r!gory 0at!son9 is c+tting #o,n th! tr!!. I a( c+tting
#o,n th! tr!!. 9Ays!'9 is to (! sti an !-c!ssi"!y concr!t! obJ!ct,
#i''!r!nt 'ro( th! r!st o' ,hat I ha"! b!!n caing 9(in#.9
:h! st!p to r!ai/ing
;
to (a*ing habit+a;th! oth!r ,ay o'
thin*ing;so that on! nat+ray thin*s that ,ay ,h!n on! r!ach!s
o+t 'or a gass o' ,at!r or c+ts #o,n a tr!!;that st!p is not an !asy
on!.
An#, .+it! s!rio+sy, I s+gg!st to yo+ that ,! sho+# tr+st no
poicy #!cisions ,hich !(anat! 'ro( p!rsons ,ho #o not y!t ha"!
that habit.
:h!r! ar! !-p!ri!nc!s an# #iscipin!s ,hich (ay h!p (! to
i(agin! ,hat it ,o+# b! i*! to ha"! this habit o' corr!ct tho+ght.
%n#!r @&?, I ha"! !-p!ri!nc!#, as ha"! (any oth!rs, th!
#isapp!aranc! o' th! #i"ision b!t,!!n s!' an# th! (+sic to ,hich I
,as ist!ning. :h! p!rc!i"!r an# th! thing p!rc!i"!# b!co(!
strang!y +nit!# into a sing! !ntity. :his stat! is s+r!y (or! corr!ct
than th! stat! in ,hich it s!!(s that 9I h!ar th! (+sic.9 :h! so+n#,
a't!r a, is 8ing an <ic*, b+t (y p!rc!ption o' it is a part o' (in#.
It is to# o' Johann &!bastian 0ach that ,h!n so(!bo#y as*!#
hi( ho, h! pay!# so #i"in!y, h! ans,!r!#, 9I pay th! not!s, in
or#!r, as th!y ar! ,ritt!n. It is 1o# ,ho (a*!s th! (+sic.9 0+t not
(any o' +s can cai( 0achIs corr!ctn!ss o' !pist!(oogy;or that
o' 8iia( 0a*!, ,ho *n!, that th! $o!tic I(agination ,as th!
ony r!aity. :h! po!ts ha"! *no,n th!s! things a thro+gh th! ag!s,
469
b+t th! r!st o' +s ha"! gon! astray into a sorts o' 'as! r!i'ications
o' th! 9s!'9 an# s!parations b!t,!!n th! 9s!'9 an# 9!-p!ri!nc!.9
7or (! anoth!r c+! anoth!r (o(!nt ,h!n th! nat+r! o' (in#
,as 'or a (o(!nt c!ar;,as pro"i#!# by th! 'a(o+s !-p!ri(!nts
o' A#!b!rt A(!s, Jr. :h!s! ar! optica i+sions in #!pth p!rc!ption.
As A(!sI g+in!a pig, yo+ #isco"!r that thos! (!nta proc!ss!s by
,hich yo+ cr!at! th! ,or# in thr!!C#i(!nsiona p!rsp!cti"! ar!
,ithin yo+r (in# b+t totay +nconscio+s an# +tt!ry b!yon#
"o+ntary contro. 5' co+rs!, ,! a *no, that this is so;that (in#
cr!at!s th! i(ag!s ,hich 9,!9 th!n s!!. 0+t sti it is a proC'o+n#
!pist!(oogica shoc* to ha"! #ir!ct !-p!ri!nc! o' this ,hich ,!
a,ays *n!,.
$!as! #o not (is+n#!rstan# (!. 8h!n I say that th! po!ts ha"!
a,ays *no,n th!s! things or that (ost o' (!nta proc!ss is
+nconscio+s, I a( not a#"ocating a gr!at!r +s! o' !(otion or a
!ss!r +s! o' int!!ct. 5' co+rs!, i' ,hat I a( saying tonight is
appro-i(at!y tr+!, th!n o+r i#!as abo+t th! r!ation b!t,!!n
tho+ght an# !(otion n!!# to b! r!"is!#. I' th! bo+n#ari!s o' th!
9!go9 ar! ,rongy #ra,n or !"!n totay 'ictitio+s, th!n it (ay b!
nons!ns! to r!gar# !(otions or #r!a(s or o+r +nconscio+s
co(p+tations o' p!rsp!cti"! as 9!goCai!n.9
8! i"! in a strang! !poch ,h!n (any psychoogists try to
9h+(ani/!9 th!ir sci!nc! by pr!aching an antiCint!!ct+a gosp!.
:h!y (ight, as s!nsiby, try to physicai/! physics by #iscar#ing th!
toos o' (ath!(atics.
It is th! att!(pt to separate int!!ct 'ro( !(otion that is
(onstro+s, an# I s+gg!st that it is !.+ay (onstro+s;an#
#ang!ro+s;to att!(pt to s!parat! th! !-t!rna (in# 'ro( th!
int!rna. 5r to s!parat! (in# 'ro( bo#y.
0a*! not!# that 9A t!ar is an int!!ct+a thing,9 an# $asca
ass!rt!# that 9:h! h!art has its reasons of ,hich th! r!ason *no,s
nothing.9 8! n!!# not b! p+t o'' by th! 'act that th! r!asonings o'
th! h!art 2or o' th! hypothaa(+s3 ar! acco(pani!# by s!nsations o'
Joy or gri!'. :h!s! co(p+tations ar! conc!rn!# ,ith (att!rs ,hich
ar! "ita to (a((as, na(!y, (att!rs o' relations*ip, by ,hich I
(!an o"!, hat!, r!sp!ct, #!p!n#!ncy, sp!ctatorship, p!r'or(anc!,
#o(inanc!, an# so on. :h!s! ar! c!ntra to th! i'! o' any (a((a
an# I s!! no obJ!ction to caing th!s! co(p+tations 9tho+ght,9
470
tho+gh c!rtainy th! +nits o' r!ationa co(p+tation ar! #i''!r!nt
'ro( th! +nits ,hich ,! +s! to co(p+t! abo+t isoab! things.
0+t th!r! ar! bri#g!s b!t,!!n th! on! sort o' tho+ght an# th!
oth!r, an# it s!!(s to (! that th! artists an# po!ts ar! sp!ci'icay
conc!rn!# ,ith th!s! bri#g!s. It is not that art is th! !-pr!ssion o'
th! +nconscio+s, b+t rath!r that it is conc!rn!# ,ith th! r!ation
-et'een th! !"!s o' (!nta proc!ss. 7ro( a ,or* o' art it (ay b!
possib! to anay/! o+t so(! +nconscio+s tho+ghts o' th! artist, b+t I
b!i!"! that, 'or !-a(p!, 7r!+#Is anaysis o' @!onar#oIs Lirgin on
t*e Bnees of St. Anne pr!cis!y (iss!s th! point o' th! ,ho! !-!rcis!.
Artistic s*i is th! co(bining o' (any !"!s o' (in# ;
+nconscio+s, conscio+s, an# !-t!rna;to (a*! a stat!(!nt o' th!ir
co(bination. It is not a (att!r o' !-pr!ssing a sing! !"!.
&i(iary, Isa#ora ?+ncan, ,h!n sh! sai#, 9I' I co+# say it, I
,o+# not ha"! to #anc! it,9 ,as ta*ing nons!ns!, b!Cca+s! h!r
#anc! ,as abo+t co(binations o' saying an# (o"ing.
In#!!#, i' ,hat I ha"! b!!n saying is at a corr!ct, th! ,ho!
bas! o' a!sth!tics ,i n!!# to b! r!C!-a(in!#. It s!!(s that ,! in*
'!!ings not ony to th! co(p+tations o' th! h!art b+t aso to
co(p+tations in th! !-t!rna path,ays
o' th! (in#. It is ,h!n ,! r!cogni/! th! op!rations o' cr!at+ra in
th! !-t!rna ,or# that ,! ar! a,ar! o' 9b!a+ty9 or 9+gin!ss.9 :h!
9pri(ros! by th! ri"!rIs bri(9 is b!a+ti'+ b!ca+s! ,! ar! a,ar! that
th! co(bination o' #i''!r!nc!s ,hich constit+t!s its app!aranc!
co+# ony b! achi!"!# by in'or(ation proc!ssing, i.!., by t*oug*t.
8! r!cogni/! anCoth!r (in# ,ithin o+r o,n !-t!rna (in#.
An# ast, th!r! is #!ath. It is +n#!rstan#ab! that, in a ci"ii/ation
,hich s!parat!s (in# 'ro( bo#y, ,! sho+# !ith!r try to 'org!t
#!ath or to (a*! (ythoogi!s abo+t th! s+r"i"a o' transc!n#!nt
(in#. 0+t i' (in# is i((an!nt not ony in thos! path,ays o'
in'or(ation ,hich ar! ocat!# inCsi#! th! bo#y b+t aso in !-t!rna
path,ays, th!n #!ath ta*!s on a #i''!r!nt asp!ct. :h! in#i"i#+a
n!-+s o' path,ays ,hich I ca
9
(!
9
is no ong!r so pr!cio+s b!ca+s!
that n!-+s is ony part o' a arg!r (in#.
:h! i#!as ,hich s!!(!# to b! (! can aso b!co(! i((an!nt in
yo+. Aay th!y s+r"i"! i' tr+!.
471
Co((ent on Pa&t 4
In th! 'ina !ssay o' this part, 97or(, &+bstanc! an# ?i''!r!nc!,
9
(+ch o' ,hat has b!!n sai# in !ari!r parts o' th! boo* 'as into
pac!. In s+(, ,hat has b!!n sai# a(o+nts to this6 that in a##ition to
2 an# a,ays in con'or(ity ,ith3 th! 'a(iiar physica #!t!r(inis(
,hich charact!ris!s o+r +ni"!rs!, th!r! is a (!nta #!t!r(inis(.
:his (!nta #!t!r(inis( is in no s!ns! s+p!rnat+ra. 4ath!r it is o'
th! "!ry nat+r! o' th! (acroscopic
H
,or# that it !-hibit (!nta
charact!ristics. :h! (!nta #!t!r(inis( is not transc!n#!nt b+t
i((an!nt an# is !sp!ciay co(p!- an# !"i#!nt in thos! s!ctions o'
th! +ni"!rs! ,hich ar! ai"! or ,hich inc+#! i"ing things.
0+t so (+ch o' occi#!nta thin*ing is shap!# on th! pr!(is! o'
transc!n#!nt #!ity that it is #i''ic+t 'or (any p!op! to r!thin* th!ir
th!ori!s in t!r(s o' i((an!nc!. ="!n ?ar,in 'ro( ti(! to ti(!
,rot! abo+t )at+ra &!!ction in phras!s ,hich a(ost ascrib!# to
this proc!ss th! charact!ristics o' transc!n#!nc! an# p+rpos!.
It (ay b! ,orth,hi!, th!r!'or!, to gi"! an !-tr!(! s*!tch o' th!
#i''!r!nc! b!t,!!n th! b!i!' in transc!n#!nc! an# that in
i((an!nc!.
:ransc!n#!nt (in# or #!ity is i(agin!# to b! p!rsona an#
o(nisci!nt, an# as r!c!i"ing in'or(ation by chann!s s!parat! 'ro(
th! !arthy. E! s!!s a sp!ci!s acting in ,ays ,hich (+st #isr+pt its
!coogy an#, !ith!r in sorro, or in ang!r, E! s!n#s th! ,ars, th!
pag+!s, th! po+tion, an# th! 'ao+t.
I((an!nt (in# ,o+# achi!"! th! sa(! 'ina r!s+t b+t ,itho+t
!ith!r sorro, or ang!r. I((an!nt (in# has no s!parat! an# +nC
!arthy chann!s by ,hich to *no, or act an#, th!r!'or!, can ha"! no
s!parat! !(otion or !"a+ati"! co((!nt. :h! i((an!nt ,i #i''!r
'ro( th! transc!n#!nt in gr!at!r #!t!r(inis(.
H
I #o not agr!! ,ith &a(+! 0+t!r, 8hit!h!a#, or :!ihar# #! Char#in that it
'oo,s 'ro( this (!nta charact!r o' th! (acroscopic ,or# that th! sing! ato(i!s
(+st ha"! (!nta charact!r or pot!ntiaity. I s!! th! (!nta as a '+nction ony o'
co(p!- r!ationship.
472
&t. $a+ 21aatians GI3 sai# that 91o# is not (oc*!#,
9
an#
i((an!nt (in# si(iary is n!ith!r "!ng!'+ nor 'orgi"ing. It is o'
no +s! to (a*! !-c+s!sL th! i((an!nt (in# is not
9
(oc*!#.
9
0+t sinc! o+r (in#s;an# this inc+#!s o+r toos an# actions;
ar! ony parts o' th! arg!r (in#, its co(p+tations can b! conC'+s!#
by o+r contra#ictions an# con'+sions. &inc! it contains o+r insanity,
th! i((an!nt (in# is in!"itaby s+bJ!ct to possib! inCsanity. It is in
o+r po,!r, ,ith o+r t!chnoogy, to cr!at! insanity in th! arg!r
syst!( o' ,hich ,! ar! parts.
In th! 'ina s!ction o' th! boo*, I sha consi#!r so(! o' th!s!
(!ntay pathog!nic proc!ss!s.
473
Part !I: Crisis in the #cology of
Mind
F&o( 4e&!aille! to Cy)e&neti'!
%
I ha"! to ta* abo+t r!c!nt history as it app!ars to (! in (y
g!n!ration an# to yo+ in yo+rs an#, as I '!, in this (orning, ,or#s
b!gan to !cho in (y (in#. :h!s! ,!r! phras!s (or! th+n#!ro+s
than any I (ight b! ab! to co(pos!. 5n! o' th!s! gro+ps o' ,or#s
,as, 9:h! 'ath!rs ha"! !at!n bitt!r 'r+it an# th! chi#r!nIs t!!th ar!
s!t on !#g!.9 Anoth!r ,as th! stat!(!nt o' Joyc! that 9history is that
night(ar! 'ro( ,hich th!r! is no a,a*!ning.9 Anoth!r ,as, 9:h!
sins o' th! 'ath!rs sha b! "isit!# on th! chi#r!n !"!n to th! thir#
an# 'o+rth g!n!ration o' thos! that hat! (!.
9
An# asty, not so
i((!#iat!y r!!"ant, b+t sti I thin* r!!"ant to th! prob!( o'
socia (!chanis(, 9E! ,ho ,o+# #o goo# to anoth!r (+st #o it in
Ain+t! $artic+ars. 1!n!ra 1oo# is th! p!a o' th! sco+n#r!,
hypocrit!, an# 'att!r!r.9
8! ar! ta*ing abo+t s!rio+s things. I ca this !ct+r! 97ro(
G!rsai!s to Cyb!rn!tics,9 na(ing th! t,o historic !"!nts o' th!
t,!nti!th c!nt+ry. :h! ,or# 9cyb!rn!tics9 is 'a(iiar, is it notD 0+t
ho, (any o' yo+ *no, ,hat happ!n!# at G!rsai!s in 1919D
:h! .+!stion is, 2*at is going to co+nt as i(portant in th!
history o' th! ast si-ty y!arsD I a( si-tyCt,o, an#, as I b!gan to
thin* abo+t ,hat I ha"! s!!n o' history in (y i'!ti(!, it s!!(!# to
(! that I ha# r!ay ony s!!n t,o (o(!nts that ,o+# rat! as r!ay
i(portant 'ro( an anthropoogistIs point o' "i!,. 5n! ,as th!
!"!nts !a#ing +p to th! :r!aty o' G!rsai!s, an# th! oth!r ,as th!
cyb!rn!tic br!a*thro+gh. Fo+ (ay b! s+rpris!# or shoc*!# that I
ha"! not (!ntion!# th! ACbo(b, or !"!n 8or# 8ar II. I ha"! not
(!ntion!# th! spr!a# o' th! a+to(obi!, nor o' th! ra#io an# :G, nor
(any oth!r things that ha"! occ+rr!# in th! ast si-ty y!ars.
@!t (! stat! (y crit!rion o' historica i(portanc!6
Aa((as in g!n!ra, an# ,! a(ong th!(, car! !-tr!(!y, not
abo+t !piso#!s, b+t abo+t th! patt!rns o' th!ir r!ationCships. 8h!n
yo+ op!n th! r!'rig!rator #oor an# th! cat co(!s +p an# (a*!s
H
$r!"io+sy +np+bish!#. :his !ct+r! ,as gi"!n Apri 21, 1966, to th! 9:,o
8or#s &y(posi+(9 at &acra(!nto &tat! Co!g!.
475
c!rtain so+n#s, sh! is not ta*ing abo+t i"!r or (i*, tho+gh yo+
(ay *no, "!ry ,! that that is ,hat sh! ,ants. Fo+ (ay b! ab! to
g+!ss corr!cty an# gi"! h!r that;i' th!r! is any in th! r!'rig!rator.
8hat sh! act+ay says is so(!thing abo+t th! r!ationship b!t,!!n
h!rCs!' an# yo+. I' yo+ transat!# h!r (!ssag! into ,or#s, it ,o+#
b! so(!thing i*!, 9#!p!n#!ncy, #!p!n#!ncy, #!p!n#!ncy.9 &h! is
ta*ing, in 'act, abo+t a rath!r abstract patCt!rn ,ithin a r!ationship.
7ro( that ass!rtion o' a patt!rn, yo+ ar! !-p!ct!# to go 'ro( th!
g!n!ra to th! sp!ci'ic;to #!#+c! 9(i*9 or 9i"!r.9
:his is cr+cia. :his is ,hat (a((as ar! abo+t. :h!y ar!
conc!rn!# ,ith patt!rns o' r!ationship, ,ith ,h!r! th!y stan# in
o"!, hat!, r!sp!ct, #!p!n#!ncy, tr+st, an# si(iar abstractions, "isC_C
"is so(!bo#y !s!. :his is ,h!r! it h+rts +s to b! p+t in th! ,rong.
I' ,! tr+st an# 'in# that that ,hich ,! ha"! tr+st!# ,as
+ntr+st,orthyL or i' ,! #istr+st, an# 'in# that that ,hich ,!
#istr+st!# ,as in 'act tr+stC,orthy, ,! '!! -ad. :h! pain that
h+(an b!ings an# a oth!r (a((as can s+''!r 'ro( this typ! o'
!rror is !-tr!(!. I', th!r!'or!, ,! r!ay ,ant to *no, ,hat ar! th!
signi'icant points in history, ,! ha"! to as* ,hich ar! th! (o(!nts
in history ,h!n attit+#!s ,!r! chang!#. :h!s! ar! th! (o(!nts
,h!n p!op! ar! h+rt b!ca+s! o' th!ir 'or(!r 9"a+!s.9
:hin* o' th! ho+s! th!r(ostat in yo+r ho(!. :h! ,!ath!r
chang!s o+t#oors, th! t!(p!rat+r! o' th! roo( 'as, th!
th!r(o(!t!r s,itch in th! i"ing roo( go!s thro+gh its b+sin!ss an#
s,itch!s on th! '+rnac!L an# th! '+rnac! ,ar(s th! roo( an# ,h!n
th! roo( is hot, th! th!r(o(!t!r s,itch t+rns it o'' again. :h!
syst!( is ,hat is ca!# a ho(!ostatic circ+it or a s!r"ocirc+it. 0+t
th!r! is aso a itt! bo- in th! i"ing roo( on th! ,a by ,hich
you set th! th!r(ostat. I' th! ho+s! has b!!n too co# 'or th! ast
,!!*, yo+ (+st (o"! it +p 'ro( its pr!s!nt s!tting to (a*! th!
syst!( no, osciat! aro+n# a n!, !"!. )o a(o+nt o' ,!ath!r,
h!at or co# or ,hat!"!r, ,i chang! that s!tting, ,hich is ca!#
th! 9bias9 o' th! syst!(. :h! t!(p!rat+r! o' th! ho+s! ,i
osciat!, it ,i g!t hott!r an# coo!r accor#ing to "ario+s
circ+(stanc!s, b+t th! s!tting o' th! (!chanis( ,i not b!
chang!# by thos! chang!s. 0+t ,h!n you go an# you (o"! that
bias, yo+ ,i chang! ,hat ,! (ay ca th! 9attit+#!9 o' th!
syst!(.
476
&i(iary, th! i(portant .+!stion abo+t history is6 Eas th! bias
or s!tting b!!n chang!#D :h! !piso#ic ,or*ing o+t o' !"!nts +n#!r
a sing! stationary s!tting is r!ay tri"ia. It is ,ith this tho+ght in
(in# that I ha"! sai# that th! t,o (ost i(portant historic !"!nts in
(y i'! ,!r! th! :r!aty o' G!rsai!s an# th! #isco"!ry o'
cyb!rn!tics.
Aost o' yo+ probaby har#y *no, ho, th! :r!aty o' G!rsai!s
ca(! into b!ing. :h! story is "!ry si(p!. 8or# 8ar I #ragg!# on
an# onL th! 1!r(ans ,!r! rath!r ob"io+sy osing. At this point,
1!org! Cr!!, a p+bic r!ations (an;an# I ,ant yo+ not to 'org!t
that this (an ,as a gran##a##y o' (o#!rn p+bic r!ations;ha# an
i#!a6 th! i#!a ,as that (ayb! th! 1!r(ans ,o+# s+rr!n#!r i' ,!
o''!r!# th!( so't ar(istic! t!r(s. E! th!r!'or! #r!, +p a s!t o' so't
t!r(s, accor#ing to ,hich th!r! ,o+# b! no p+niti"! (!as+r!s.
:h!s! t!r(s ,!r! #ra,n +p in 'o+rt!!n points. :h!s! 7o+rt!!n
$oints h! pass!# on to $r!si#!nt 8ison. I' yo+ ar! going to #!c!i"!
so(!bo#y, yo+ ha# b!tt!r g!t an hon!st (an to carry th! (!ssag!.
$r!si#!nt 8ison ,as an a(ost pathoogicay hon!st (an an# a
h+(anitarian. E! !aborat!# th! points in a n+(b!r o' sp!!ch!s6
th!r! ,!r! to b! 9no ann!-ations, no contrib+tions, no p+niti"!
#a(ag!s ...9 an# so on. An# th! 1!r(ans s+rr!n#!r!#.
8!, 0ritish an# A(!ricans sp!ciay th! 0ritish;contin+!# o'
co+rs! to boc*a#! 1!r(any b!ca+s! ,! #i#nIt ,ant th!( to g!t
+ppity b!'or! th! :r!aty ,as sign!#. &o, 'or anoth!r y!ar, th!y
contin+!# to star"!.
:h! $!ac! Con'!r!nc! has b!!n "i"i#y #!scrib!# by aynar#
<!yn!s in !*e conomic "onse5uences ,. t*e 6eace 219193.
:h! :r!aty ,as 'inay #ra,n +p by 'o+r (!n6 C!(!nc!a+, 9th!
tig!r,9 ,ho ,ant!# to cr+sh 1!r(anyL @oy# 1!org!, ,ho '!t it
,o+# b! poiticay !-p!#i!nt to g!t a ot o' r!parations o+t o'
1!r(any, an# so(! r!"!ng!L an# 8ison, ,ho ha# to b!
ba(boo/!# aong. 8h!n!"!r 8ison ,o+# ,on#!r abo+t thos!
7o+rt!!n $oints o' his, th!y too* hi( o+t into th! ,ar c!(!t!ri!s
an# (a#! hi( '!! asha(!# o' not b!ing angry ,ith th! 1!r(ans.
8ho ,as th! oth!rD 5ran#o ,as th! oth!r, an Itaian.
:his ,as on! o' th! gr!at s!o+ts in th! history o' o+r
ci"ii/ation. A (ost !-traor#inary !"!nt ,hich !# 'airy #ir!cty an#
in!"itaby into 8or# 8ar II. It aso !# 2an# this is p!rhaps (or!
477
int!r!sting than th! 'act o' its !a#ing to 8or# 8ar II3 to th! tota
#!(orai/ation o' 1!r(an poitics. I' yo+ pro(is! yo+r boy
so(!thing, an# r!n!g! on hi(, 'ra(ing th! ,ho! thing on a high
!thica pan!, yo+ ,i probaby 'in# that not ony is h! "!ry angry
,ith yo+, b+t that *is (ora attit+#!s #!t!riorat! as ong as h! '!!s
th! +n'air ,hipash o' ,hat yo+ ar! #oing to hi(. ItIs not ony that
8or# 8ar II ,as th! appropriat! r!spons! o' a nation ,hich ha#
b!!n tr!at!# in this partic+ar ,ayL ,hat is (or! i(portant is th! 'act
that th! #!(orai/ation o' that nation ,as !-p!ctab! 'ro( this sort
o' tr!at(!nt. 7ro( th! #!(orai/ation o' 1!r(any, ,!, too, b!ca(!
#!(orai/!#. :his is ,hy I say that th! :r!aty o' G!rsai!s ,as an
attit+#ina t+rning point.
I i(agin! that ,! ha"! anoth!r co+p! o' g!n!rations o'
a't!r!''!cts 'ro( that partic+ar s!o+t to ,or* thro+gh. 8! ar!, in
'act, i*! (!(b!rs o' th! ho+s! o' Atr!+s in 1r!!* trag!#y. 7irst
th!r! ,as :hy!st!sI a#+t!ry, th!n Atr!+sI *iing o' :hy!st!sI thr!!
chi#r!n, ,ho( h! s!r"!# to :hy!st!s at a p!ac!C(a*ing '!ast. :h!n
th! (+r#!r o' Atr!+sI son, Aga(!(non, by :hy!st!sI son,
A!gisth!+sL an# 'inay th! (+r#!r o' A!gisth!+s an# Cyt!(n!stra
by 5r!st!s.
It go!s on an# on. :h! trag!#y o' osciating an# s!'Cpropagating
#istr+st, hat!, an# #!str+ction #o,n th! g!n!rations.
I ,ant yo+ to i(agin! that yo+ co(! into th! (i##! o' on! o'
th!s! s!.+!nc!s o' trag!#y. Eo, is it 'or th! (i##! g!n!ration o'
th! ho+s! o' Atr!+sD :h!y ar! i"ing in acra/y +ni"!rs!. 7ro( th!
point o' "i!, o' th! p!op! ,ho start!# th! (!ss, itIs not so cra/yL
th!y *no, ,hat happ!n!# an# ho, th!y got th!r!. 0+t th! p!op!
#o,n th! in!, ,ho ,!r! not th!r! at th! b!ginning, 'in#
th!(s!"!s i"ing in a cra/y +ni"!rs!, an# 'in# th!(s!"!s cra/y,
pr!cis!y b!ca+s! th!y #o not *no, ho, th!y got that ,ay.
:o ta*! a #os! o' @&? is a right, an# yo+ ,i ha"! th!
!-p!ri!nc! o' b!ing (or! or !ss cra/y, b+t this ,i (a*! .+it!
goo# s!ns! b!ca+s! yo+ know ou too* th! #os! o' @&?. I', on th!
oth!r han#, yo+ too* th! @&? by acci#!nt, an# th!n 'in# yo+rs!'
going cra/y, not *no,ing ho, yo+ got th!r!, this is a t!rri'ying an#
horrib! !-p!ri!nc!. :his is a (+ch (or! s!rio+s an# t!rrib!
!-p!ri!nc!, "!ry #i''!r!nt 'ro( th! trip ,hich yo+ can !nJoy i' yo+
*no, yo+ too* th! @&?.
478
)o, consi#!r th! #i''!r!nc! b!t,!!n (y g!n!ration an# yo+
,ho ar! +n#!r t,!ntyC'i"!. 8! a i"! in th! sa(! cra/y +ni"!rs!
,hos! hat!, #istr+st, an# hypocrisy r!at!s bac* 2!sp!ciay at th!
int!rnationa !"!3I to th! 7o+rt!!n $oints an# th! :r!aty o'
G!rsai!s.
8! o#!r on!s *no, ho, ,! got h!r!. I can r!(!(b!r (y 'ath!r
r!a#ing th! 7o+rt!!n $oints at th! br!a*'ast tab! an# saying, 90y
goy, th!yIr! going to gi"! th!( a #!c!nt ar(istic!, a #!c!nt p!ac!,9
or so(!thing o' th! *in#. An# I can r!(!(b!r, b+t I ,i not att!(pt
to "!rbai/!, th! sort o' thing h! sai# ,h!n th! :r!aty o' G!rsai!s
ca(! o+t. It ,asnIt printab!. &o I *no, (or! or !ss ho, ,! got
h!r!.
0+t 'ro( yo+r point o' "i!,, ,! ar! abso+t!y cra/y, an# yo+
#onIt *no, ,hat sort o' historic !"!nt !# to this cra/in!ss. 9:h!
'ath!rs ha"! !at!n bitt!r 'r+it an# th! chi#r!nIs t!!th ar! s!t on
!#g!.
9
ItIs a "!ry ,! 'or th! 'ath!rs, th!y *no, ,hat th!y at!. :h!
chi#r!n #onIt *no, ,hat ,as !at!n.
@!t +s consi#!r ,hat is to b! !-p!ct!# o' p!op! in th! a't!r(ath
o' a (aJor #!c!ption. $r!"io+s to 8or# 8ar 1, it ,as g!n!ray
ass+(!# that co(pro(is! an# a itt! hypocrisy ar! a "!ry i(portant
ingr!#i!nt in th! or#inary co('ortab!n!ss o' i'!. I' yo+ r!a#
&a(+! 0+t!rIs re'*on $e&isited, 'or !-a(p!, yo+ ,i s!! ,hat I
(!an. A th! principa charact!rs in th! no"! ha"! got th!(s!"!s
into an a,'+ (!ss6 so(! ar! #+! to b! !-!c+t!#, an# oth!rs ar! #+!
'or p+bic scan#a, an# th! r!igio+s syst!( o' th! nation is
thr!at!n!# ,ith coaps!. :h!s! #isast!rs an# tang!s ar! s(ooth!#
o+t by Ars. F#gr+n 2or, as ,! ,o+# say, 9Ars. 1r+n#y
9
3, th!
g+ar#ian o' =r!,honian (oras. &h! car!'+y r!constr+cts history,
i*! a Jigsa, p+//!, so that nobo#y is r!ay h+rt an# nobo#y is
#isgrac!#;sti !ss is anybo#y !-!c+t!#. :his ,as a "!ry
co('ortab! phiosophy. A itt! hypocrisy an# a itt! co(pro(is!
oi th! ,h!!s o' socia i'!.
0+t a't!r th! gr!at #!c!ption, this phiosophy is +nt!nab!. Fo+
ar! p!r'!cty corr!ct that so(!thing is ,rongL an# that th! so(!thing
,rong is o' th! nat+r! o' a #!c!it an# a hypocrisy. Fo+ i"! in th!
(i#st o' corr+ption.
5' co+rs!, yo+r nat+ra r!spons!s ar! p+ritanica. )ot s!-+a
p+ritanis(, b!ca+s! it is not a s!-+a #!c!it that i!s in th!
479
bac*gro+n#. 0+t an !-tr!(! p+ritanis( against co(pro(is!, a
p+ritanis( against hypocrisy, an# this !n#s +p as a r!#+ction o' i'!
to itt! pi!c!s. It is th! big int!grat!# str+ct+r!s o' i'! that s!!( to
ha"! carri!# th! +nacy, an# so yo+ try to 'oc+s #o,n on th!
s(a!st things. 9E! ,ho ,o+# #o goo# to anoth!r (+st #o it in
Ain+t! $artic+ars. 1!n!ra 1oo# is th! p!a o' th! sco+n#r!,
hypocrit!, an# 'att!r!r.9 :h! g!n!ra goo# s(!s o' hypocrisy to th!
rising g!n!ration.
I #onIt #o+bt that i' yo+ as*!# 1!org! Cr!! to J+sti'y th!
7o+rt!!n $oints, h! ,o+# +rg! th! g!n!ra goo#. It is possib! that
that itt! op!ration o' his sa"!# a '!, tho+san# A(!rican i"!s in
1918. I #onIt *no, ho, (any it cost in 8or# 8ar II, an# sinc! in
<or!a an# Gi!tna(. I r!ca that Eiroshi(a an# )agasa*i ,!r!
J+sti'i!# by th! g!n!ra goo# an# sa"ing A(!rican i"!s. :h!r! ,as
a ot o' ta* abo+t
9
+ncon#itiona s+rr!n#!r,9 p!rhaps b!ca+s! ,!
co+# C not tr+st o+rs!"!s to honor a con#itiona ar(istic!. 8as th!
'at! o' Eiroshi(a #!t!r(in!# at G!rsai!sD
)o, I ,ant to ta* abo+t th! oth!r signi'icant historica !"!nt
,hich has happ!n!# in (y i'!ti(!, appro-i(at!y in 1946C47. :his
,as th! gro,ing tog!th!r o' a n+(b!r o' i#!as ,hich ha# #!"!op!#
in #i''!r!nt pac!s #+ring 8or# 8ar II. 8! (ay ca th! aggr!gat!
o' th!s! i#!as cyb!rn!tics, or co((+nication th!ory, or in'or(ation
th!ory, or syst!(s th!ory. :h! i#!as ,!r! g!n!rat!# in (any pac!s6
in Gi!nna by 0!rtaan''y, in Ear"ar# by 8i!n!r, in $rinc!ton by "on
)!+(ann, in 0! :!!phon! abs by &hannon, in Ca(bri#g! by
rai*, an# so on. A th!s! s!parat! #!"!op(!nts in #i''!r!nt
int!!ct+a c!nt!rs #!at ,ith co((+nicationa prob!(s,
!sp!ciay ,ith th! prob!( o' ,hat sort o' a thing is an organi/!#
syst!(.
Fo+ ,i notic! that !"!rything I sai# abo+t history an# abo+t
G!rsai!s is a #isc+ssion o' organi/!# syst!(s an# th!ir prop!rti!s.
)o, I ,ant to say that ,! ar! #!"!oping a c!rtain a(o+nt o'
rigoro+s sci!nti'ic +n#!rstan#ing o' th!s! "!ry (yst!rio+s organi/!#
syst!(s. 5+r *no,!#g! to#ay is ,ay ah!a# o' anything that 1!org!
Cr!! co+# ha"! sai#. E! ,as an appi!# sci!ntist b!'or! th! sci!nc!
,as rip! to b! appi!#.
5n! o' th! roots o' cyb!rn!tics go!s bac* to 8hit!h!a# an#
4+ss! an# ,hat is ca!# th! :h!ory o' @ogica :yp!s. In princip!,
480
th! na(! is not th! thing na(!#, an# th! na(! o' th! na(! is not th!
na(!, an# so on. In t!r(s o' this po,!r'+ th!ory, a (!ssag! a-out
,ar is not part of th! ,ar.
@!t (! p+t it this ,ay6 th! (!ssag! 9@!tIs pay ch!ss9 is not a
(o"! in th! ga(! o' ch!ss. It is a (!ssag! in a (or! abstract
ang+ag! than th! ang+ag! o' th! ga(! on th! boar#. :h! (!ssag!
9@!tIs (a*! p!ac! on s+ch an# s+ch t!r(s9 is not ,ithin th! sa(!
!thica syst!( as th! #!c!its an# tric*s o' batt!. :h!y say that a is
'air in o"! an# ,ar, an# that (ay b! tr+! 'it*in o"! an# ,ar, b+t
o+tsi#! an# abo+t o"! an# ,ar, th! !thics ar! a itt! #i''!r!nt. A!n
ha"! '!t 'or c!nt+ri!s that tr!ach!ry in a tr+c! or p!ac!C(a*ing is
,ors! than tric*!ry in batt!. :o#ay this !thica princip! r!c!i"!s
rigoro+s th!or!tica an# sci!nti'ic s+pport. :h! !thics can no, b!
oo*!# at ,ith 'or(aity, rigor, ogic, (ath!(atics, an# a that, an#
stan#s on a #i''!r!nt sort o' basis 'ro( (!r! in"ocationa
pr!ach(!nts. 8! #o not ha"! to '!! o+r ,ayL ,! can so(!ti(!s
3no' right 'ro( ,rong.
I inc+#!# cyb!rn!tics as th! s!con# historic !"!nt o' i(portanc!
in (y i'!ti(! b!ca+s! I ha"! at !ast a #i( hop! that ,! can bring
o+rs!"!s to +s! this n!, +n#!rstan#ing ,ith so(! hon!sty. I' ,!
+n#!rstan# a itt! bit o' ,hat ,!r! #oing, (ayb! it ,i h!p +s to
'in# o+r ,ay o+t o' th! (a/! o' ha+cinations that ,! ha"! cr!at!#
aro+n# o+rCs!"!s.
Cyb!rn!tics is, at any rat!, a contrib+tion to chang!;not si(py
a chang! in attit+#!, b+t !"!n a chang! in th! +n#!rCstan#ing o' ,hat
an attit+#! is.
:h! stanc! that I ha"! ta*!n in choosing ,hat is i(portant in
history;saying that th! i(portant things ar! th! (o(!nts at ,hich
attit+#! is #!t!r(in!#, th! (o(!nts at ,hich th! bias o' th!
th!r(ostat is chang!#;this stanc! is #!ri"!# #ir!cty 'ro(
cyb!rn!tics. :h!s! ar! tho+ghts shap!# by !"!nts 'ro( 1946 an#
a't!r.
0+t pigs #o not go aro+n# r!a#yCroast!#. 8! no, ha"! a ot o'
cyb!rn!tics, a ot o' ga(!s th!ory, an# th! b!ginnings o'
+n#!rstan#ing o' co(p!- syst!(s. 0+t any +n#!rstan#ing can b!
+s!# in #!str+cti"! ,ays.
I thin* that cyb!rn!tics is th! bigg!st bit! o+t o' th! 'r+it o' th!
:r!! o' <no,!#g! that (an*in# has ta*!n in th! ast 2000 y!ars.
481
0+t (ost o' s+ch bit!s o+t o' th! app! ha"! pro"!# to b! rath!r
in#ig!stib!;+s+ay 'or cyb!rn!tic r!asons.
Cyb!rn!tics has int!grity ,ithin its!', to h!p +s to not b!
s!#+c!# by it into (or! +nacy, b+t ,! cannot tr+st it to *!!p +s
'ro( sin.
7or !-a(p!, th! stat! #!part(!nts o' s!"!ra nations ar! to#ay
+sing ga(!s th!ory, bac*!# +p by co(p+t!rs, as a ,ay o' #!ci#ing
int!rnationa poicy. :h!y i#!nti'y 'irst ,hat s!!( to b! th! r+!s o'
th! ga(! o' int!rnationa int!ractionL th!y th!n consi#!r th!
#istrib+tion o' str!ngth, ,!apons, strat!gic points, gri!"anc!s, !tc.,
o"!r th! g!ography an# th! i#!nti'i!# nations. :h!y th!n as* th!
co(p+t!rs to co(p+t! ,hat sho+# b! o+r n!-t (o"! to (ini(i/!
th! chanc!s o' o+r osing th! ga(!. :h! co(p+t!r th!n cran*s an#
h!a"!s an# gi"!s an ans,!r, an# th!r! is so(! t!(ptation to ob!y
th! co(p+t!r. A't!r a, i' yo+ 'oo, th! co(p+t!r yo+ ar! a itt!
less responsi-le than i' yo+ (a#! +p yo+r o,n (in#.
0+t i' yo+ #o ,hat th! co(p+t!r a#"is!s, yo+ ass!rt by that (o"!
that yo+ s+pport th! rules of t*e game ,hich yo+ '!# into th!
co(p+t!r. Fo+ ha"! a''ir(!# th! r+!s o' that ga(!.
)o #o+bt nations o' th! oth!r si#! aso ha"! co(p+t!rs an# ar!
paying si(iar ga(!s, an# ar! a''ir(ing th! r+!s o' th! ga(! that
th!y ar! '!!#ing to th!ir co(p+t!rs. :h! r!s+t is a syst!( in ,hich
th! r+!s o' int!rnationa int!raction b!co(! (or! an# (or! rigi#.
I s+b(it to yo+ that ,hat is ,rong ,ith th! int!rnationa 'i!# is
that th! rules n!!# changing. :h! .+!stion is not that is th! b!st
thing to #o ,ithin th! r+!s as th!y ar! at th! (o(!nt. :h!
.+!stion is ho, can ,! g!t a,ay 'ro( th! r+!s ,ithin ,hich ,!
ha"! b!!n op!rating 'or th! ast t!n or t,!nty y!ars, or sinc! th!
:r!aty o' G!rsai!s. :h! prob!( is to c*ange th! r+!s, an#
inso'ar as ,! !t o+r cyb!rn!tic in"!ntions;th! co(p+t!rs;!a#
+s into (or! an# (or! rigi# sit+ations, ,! sha in 'act b!
(atr!ating an# ab+sing th! 'irst hop!'+ a#"anc! sinc! 1918.
An#, o' co+rs!, th!r! ar! oth!r #ang!rs at!nt in cyb!rn!tics an#
(any o' th!s! ar! sti +ni#!nti'i!#. 8! #o not *no,, 'or !-a(p!,
,hat !''!cts (ay 'oo, 'ro( th! co(p+t!ri/ation o' a
go"!rn(!nt #ossi!rs.
0+t this (+ch is s+r!, that th!r! is aso at!nt in cyb!rn!tics th!
(!ans o' achi!"ing a n!, an# p!rhaps (or! h+(an o+too*, a
482
(!ans o' changing o+r phiosophy o' contro an# a (!ans o'
s!!ing o+r o,n 'oi!s in ,i#!r p!rsp!cti"!.
483
Patholoie! o5 E2i!te(oloy
%
7irst, I ,o+# i*! yo+ to Join (! in a itt! !-p!ri(!nt. @!t (!
as* yo+ 'or a sho, o' han#s. Eo, (any o' yo+ ,i agr!! that you
see meH I s!! a n+(b!r o' han#s;so I g+!ss insanity o"!s
co(pany. 5' co+rs!, you #onIt 9r!ay9 s!! me. 8hat yo+ 9s!!9 is a
b+nch o' pi!c!s o' in'or(ation abo+t (!, ,hich yo+ synth!si/! into
a pict+r! i(ag! o' (!. Fo+ (a*! that i(ag!. ItIs that si(p!.
:h! proposition 9I s!! yo+9 or 9Fo+ s!! (!9 is a proposition
,hich contains ,ithin it ,hat I a( caing 9!pist!(oogy.9 It
contains ,ithin it ass+(ptions abo+t ho, ,! g!t inC'or(ation, ,hat
sort o' st+'' in'or(ation is, an# so 'orth. 8h!n yo+ say yo+ 9s!!9
(! an# p+t +p yo+r han# in an innoc!nt ,ay, yo+ ar!, in 'act,
agr!!ing to c!rtain propositions abo+t th! nat+r! o' *no,ing an# th!
nat+r! o' th! +ni"!rs! in ,hich ,! i"! an# ho, ,! *no, abo+t it.
I sha arg+! that (any o' th!s! propositions happ!n to b! 'as!,
!"!n tho+gh ,! a shar! th!(. In th! cas! o' s+ch !pist!(oogica
propositions, !rror is not !asiy #!t!ct!# an# is not "!ry .+ic*y
p+nish!#. Fo+ an# I ar! ab! to g!t aong in th! ,or# an# 'y to
Ea,aii an# r!a# pap!rs on psychiatry an# 'in# o+r pac!s aro+n#
th!s! tab!s an# in g!n!ra '+nction r!asonaby i*! h+(an b!ings
in spit! o' "!ry #!!p !rror. :h! !rron!o+s pr!(is!s, in 'act, 'or3.
5n th! oth!r han#, th! pr!(is!s ,or* ony +p to a c!rtain i(it,
an#, at so(! stag! or +n#!r c!rtain circ+(stanc!s, i' yo+ ar!
carrying s!rio+s !pist!(oogica !rrors, yo+ ,i 'in# that th!y #o
not ,or* any (or!. At this point yo+ #isco"!r to yo+r horror that it
is !-c!!#ingy #i''ic+t to g!t ri# o' th! !rror, that itIs stic*y. It is as
i' yo+ ha# to+ch!# hon!y. As ,ith hon!y, th! 'asi'ication g!ts
aro+n#L an# !ach thing yo+ try to ,ip! it o'' on g!ts stic*y, an#
yo+r han#s sti r!(ain stic*y.
@ong ago I *n!, int!!ct+ay, an# yo+, no #o+bt, a *no,
int!!ct+ay, that yo+ #o not s!! (!L b+t I #i# not r!ay !nco+nt!r
H
:his pap!r ,as gi"!n at th! &!con# Con'!r!nc! on A!nta E!ath in Asia an#
th! $aci'ic, 1969, at th! =astC8!st C!nt!r, Ea,aii. Copyright \ 1972 by th! =astC
8!st C!nt!r $r!ss. It ,i aso app!ar in th! r!port o' that con'!r!nc! an# is h!r!
r!print!# by p!r(ission o' th! =astC8!st C!nt!r $r!ss, Ea,aii
484
this tr+th +nti I ,!nt thro+gh th! A#!b!rt A(!s !-p!ri(!nts an#
!nco+nt!r!# circ+(stanc!s +n#!r ,hich (y !pist!(oogica !rror
!# to !rrors o' action.
@!t (! #!scrib! a typica A(!s !-p!ri(!nt ,ith a pac* o' @+c*y
&tri*! cigar!tt!s an# a boo* o' (atch!s. :h! @+c*y &tri*!s ar!
pac!# abo+t thr!! '!!t 'ro( th! s+bJ!ct o' !-p!ri(!nt s+pport!# on
a spi*! abo"! th! tab! an# th! (atch!s ar! on a si(iar spi*! si-
'!!t 'ro( th! s+bJ!ct. A(!s ha# th! s+bJ!ct oo* at th! tab! an# say
ho, big th! obJ!cts ar! an# ,h!r! th!y ar!. :h! s+bJ!ct ,i agr!!
that th!y ar! ,h!r! th!y ar!, an# that th!y ar! as big as th!y ar!, an#
th!r! is no appar!nt !pist!(oogica !rror. A(!s th!n says, 9I ,ant
yo+ to !an #o,n an# oo* thro+gh this pan* h!r!.9 :h! pan*
stan#s "!rticay at th! !n# o' th! tab!. It is J+st a pi!c! o' ,oo#
,ith a ro+n# ho! in it, an# yo+ oo* thro+gh th! ho!. )o,, o'
co+rs!, yo+ ha"! ost +s! o' on! !y!, an# yo+ ha"! b!!n bro+ght
#o,n so that yo+ no ong!r ha"! a cro,IsC!y! "i!,. 0+t yo+ sti s!!
th! @+c*y &tri*!s ,h!r! th!y ar! an# o' th! si/! ,hich th!y ar!.
A(!s th!n sai#, 98hy #onIt yo+ g!t a paraa- !''!ct by si#ing th!
pan*D9 Fo+ si#! th! pan* si#!,ays an# s+##!ny yo+r i(ag!
chang!s. Fo+ s!! a itt! tiny boo* o' (atch!s abo+t ha' th! si/! o'
th! origina an# pac!# thr!! '!!t 'ro( yo+L ,hi! th! pac* o' @+c*y
&tri*!s app!ars to b! t,ic! its origina si/!, an# is no, si- '!!t
a,ay.
:his !''!ct is acco(pish!# "!ry si(py. 8h!n yo+ si# th!
pan*, yo+ in 'act op!rat!# a !"!r +n#!r th! tab! ,hich yo+ ha# not
s!!n. :h! !"!r r!"!rs!# th! paraa- !''!ctL that is, th! !"!r ca+s!#
th! thing ,hich ,as cos!r to yo+ to tra"! ,ith yo+, an# that ,hich
,as 'ar 'ro( yo+ to g!t !'t b!hin#.
Fo+r (in# has b!!n train!# or g!notypicay #!t!r(in!# ;an#
th!r! is (+ch !"i#!nc! in 'a"or o' training;to #o th! (ath!(atics
n!c!ssary to +s! paraa- to cr!at! an i(ag! in #!pth. It p!r'or(s
this '!at ,itho+t "oition an# ,itho+t yo+r conscio+sn!ss. Fo+
cannot contro it.
I ,ant to +s! this !-a(p! as a para#ig( o' th! sort o' !rror that I
int!n# to ta* abo+t. :h! cas! is si(p!L it has !-p!ri(!nta bac*ingL
it i+strat!s th! intangib! nat+r! o' !pist!(oogica !rror an# th!
#i''ic+ty o' changing !pist!(oogica habit.
485
In (y !"!ry#ay thin*ing, I see you, !"!n tho+gh I *no,
int!!ct+ay that I #onIt. &inc! abo+t 1943 ,h!n I sa, th!
!-p!ri(!nt, I ha"! ,or*!# to practic! i"ing in th! ,or# o' tr+th
inst!a# o' th! ,or# o' !pist!(oogica 'antasyL b+t I #onIt thin* II"!
s+cc!!#!#. Insanity, a't!r a, ta*!s psychoCth!rapy to chang! it, or
so(! "!ry gr!at n!, !-p!ri!nc!. J+st on! !-p!ri!nc! ,hich !n#s in
th! aboratory is inCs+''ici!nt.
:his (orning, ,h!n ,! ,!r! #isc+ssing ?r. J+ngIs pap!r, I rais!#
th! .+!stion ,hich nobo#y ,as ,iing to tr!at s!rio+sy, p!rhaps
b!ca+s! (y ton! o' "oic! !nco+rag!# th!( to s(i!. :h! .+!stion
,as ,h!th!r th!r! ar! true i#!oogi!s. 8! 'in# that #i''!r!nt p!op!s
o' th! ,or# ha"! #i''!r!nt i#!oogi!s, #i''!r!nt !pist!(oogi!s,
#i''!r!nt i#!as o' th! r!ationship b!t,!!n (an an# nat+r!, #i''!r!nt
i#!as abo+t th! nat+r! o' (an hi(s!', th! nat+r! o' his *no,!#g!,
his '!!ings, an# his ,i. 0+t i' th!r! ,!r! a tr+th abo+t th!s!
(att!rs, th!n ony thos! socia gro+ps ,hich tho+ght accor#ing to
that tr+th co+# r!asonaby b! stab!. An# i' no c+t+r! in th! ,or#
thin*s accor#ing to that tr+th, th!n th!r! ,o+# b! no stab! c+t+r!.
)otic! again that ,! 'ac! th! .+!stion o' ho, ong it ta*!s to
co(! +p against tro+b!. =pist!(oogica !rror is o't!n r!in'orc!#
an# th!r!'or! s!'C"ai#ating. Fo+ can g!t aong a right in spit! o'
th! 'act that yo+ !nt!rtain at rath!r #!!p !"!s o' th! (in# pr!(is!s
,hich ar! si(py 'as!.
I thin* p!rhaps th! (ost int!r!sting;tho+gh sti inco(p!t!;
sci!nti'ic #isco"!ry o' th! t,!nti!th c!nt+ry is th! #isco"!ry o' th!
nat+r! o' mi nd. @!t (! o+tin! so(! o' th! i#!as ,hich ha"!
contrib+t!# to this #isco"!ry. I((an+! <ant, in th! "riti5ue of
Judgment, stat!s that th! pri(ary act o' a!sth!tic J+#g(!nt is
s!!ction o' a 'act. :h!r! ar!, in a s!ns!, no 'acts in nat+r!L or i' yo+
i*!, th!r! ar! an in'init! n+(b!r o' pot!ntia 'acts in nat+r!, o+t o'
,hich th! J+#g(!nt s!!cts a '!, ,hich b!co(! tr+y 'acts by that
act o' s!!ction. )o,, p+t b!si#! that i#!a o' <ant J+ngIs insight in
Se&en Sermons to t*e 8ead, a strang! #oc+(!nt in ,hich h! points
o+t that th!r! ar! t,o ,or#s o' !-panation or ,or#s o'
+n#!rstan#ing, th! pleroma an# th! creatura. In th! p!ro(a th!r!
ar! ony 'orc!s an# i(pacts. In th! cr!at+ra, th!r! is #i''!r!nc!. In
oth!r ,or#s, th! p!ro(a is th! ,or# o' th! har# sci!nc!s, ,hi! th!
cr!at+ra is th! ,or# o' co((+nication an# organi/ation. A
486
#i''!r!nc! cannot b! ocai/!#. :h!r! is a #i''!r!nc! b!t,!!n th!
coor o' this #!s* an# th! coor o' this pa#. 0+t that #i''!r!nc! is not
in th! pa#, it is not in th! #!s*, an# I cannot pinch it b!t,!!n th!(.
:h! #i''!r!nc! is not in th! spac! b!t,!!n th!(. In a ,or#, a
difference is
.
an idea.
:h! ,or# o' cr!at+ra is that ,or# o' !-panation in ,hich
!''!cts ar! bro+ght abo+t by i#!as, !ss!ntiay by #i''!r!nc!s.
I' no, ,! p+t <antIs insight tog!th!r ,ith that o' J+ng, ,!
cr!at! a phiosophy ,hich ass!rts that th!r! is an in'init! n+(b!r o'
differences in this pi!c! o' cha* b+t that ony a '!, o' th!s!
#i''!r!nc!s (a*! a #i''!r!nc!. :his is th! !pist!(oogica bas! 'or
in'or(ation th!ory. :h! +nit o' inC'or(ation is #i''!r!nc!. In 'act,
th! +nit o' psychoogica inCp+t is #i''!r!nc!.
:h! ,ho! !n!rgy str+ct+r! o' th! p!ro(a;th! 'orc!s an#
i(pacts o' th! har# sci!nc!s;ha"! 'o,n o+t th! ,in#o,, so 'ar as
!-panation ,ithin cr!at+ra is conc!rn!#. A't!r a, /!ro #i''!rs 'ro(
on!, an# /!ro th!r!'or! can b! a ca+s!, ,hich is not a#(issib! in
har# sci!nc!. :h! !tt!r ,hich yo+ #i# not ,rit! can pr!cipitat! an
angry r!py, b!ca+s! /!ro can b! on!Cha' o' th! n!c!ssary bit o'
in'or(ation. ="!n sa(!n!ss can b! a ca+s!, b!ca+s! sa(!n!ss
#i''!rs 'ro( #i''!r!nc!.
:h!s! strang! r!ations obtain b!ca+s! ,! organis(s 2an# (any
o' th! (achin!s that ,! (a*!3 happ!n to b! ab! to stor! !n!rgy. 8!
happ!n to ha"! th! n!c!ssary circ+it str+ct+r! so that o+r !n!rgy
!-p!n#it+r! can b! an in"!rs! '+nction o' !n!rgy inp+t. I' yo+ *ic* a
ston!, it (o"!s ,ith !n!rgy ,hich it got 'ro( yo+r *ic*. I' yo+ *ic*
a #og, it (o"!s ,ith th! !n!rgy ,hich it got 'ro( its (!tabois(. An
a(o!ba ,i, 'or a consi#!rab! p!rio# o' ti(!, (o"! more ,h!n it
is h+ngry. Its !n!rgy !-p!n#it+r! is an in"!rs! '+nction o' !n!rgy
inp+t.
:h!s! strang! cr!at+ra !''!cts 2,hich #o not occ+r in th!
p!ro(a3 #!p!n# aso +pon circuit structure, an# a circ+it is a cos!#
path,ay 2or n!t,or* o' path,ays3 aong ,hich differences 2or
trans'or(s o' #i''!r!nc!s3 ar! trans(itt!#.
&+##!ny, in th! ast t,!nty y!ars, th!s! notions ha"! co(!
tog!th!r to gi"! +s a broa# conc!ption o' th! ,or# in ,hich ,! i"!
;a n!, ,ay o' thin*ing abo+t ,hat a mind is. @!t (! ist ,hat
487
s!!( to .(! to b! thos! !ss!ntia (ini(a charact!ristics o' a
syst!(, ,hich I ,i acc!pt as charact!ristics o' (in#6
:h!
.
syst!( sha op!rat! ,ith an# +pon differences.
:h! syst!( sha consist o' cos!# oops or n!t,or*s o' path,ays
aong ,hich #i''!r!nc!s an# trans'or(s o' #i''!r!nc!s sha b!
trans(itt!#. 28hat is trans(itt!# on a n!+ron is not an i(p+s!, it is
n!,s o' a #i''!r!nc!.3
Aany !"!nts ,ithin th! syst!( sha b! !n!rgi/!# by th!
r!spon#!nt part rath!r than by i(pact 'ro( th! trigg!ring part.
:h! syst!( sha sho, s!'Ccorr!cti"!n!ss in th! #ir!ction o'
ho(!ostasis an#Kor in th! #ir!ction o' r+na,ay. &!'Ccorr!cti"!n!ss
i(pi!s tria an# !rror.
)o,, th!s! (ini(a charact!ristics o' (in# ar! g!n!rat!#
,h!n!"!r an# ,h!r!"!r th! appropriat! circ+it str+ct+r! o' ca+sa
oops !-ists. Ain# is a n!c!ssary, an in!"itab! '+nction o' th!
appropriat! co(p!-ity, ,h!r!"!r that co(p!-ity occ+rs.
0+t that co(p!-ity occ+rs in a gr!at (any oth!r pac!s b!si#!s
th! insi#! o' (y h!a# an# yo+rs. 8!I co(! at!r to th! .+!stion o'
,h!th!r a (an or a co(p+t!r has a (in#. 7or th! (o(!nt, !t (!
say that a r!#,oo# 'or!st or a cora r!!' ,ith its aggr!gat! o'
organis(s int!roc*ing in th!ir r!ationships has th! n!c!ssary
g!n!ra str+ct+r!. :h! !n!rgy 'or th! r!spons!s o' !"!ry organis( is
s+ppi!# 'ro( its (!tabois(, an# th! tota syst!( acts s!'C
corr!cti"!y in "ario+s ,ays. A h+(an soci!ty is i*! this ,ith
cos!# oops o' ca+sation. ="!ry h+(an organi/ation sho,s both th!
s!'corr!cti"! charact!ristic an# has th! pot!ntiaity 'or r+na,ay.
)o,, !t +s consi#!r 'or a (o(!nt th! .+!stion o' ,h!th!r a
co(p+t!r thin*s. I ,o+# stat! that it #o!s not. 8hat 9thin*s9 an#
!ngag!s in 9tria an# !rror9 is th! (an plus th! co(p+t!r plus th!
!n"iron(!nt. An# th! in!s b!t,!!n (an, co(p+t!r, an#
!n"iron(!nt ar! p+r!y arti'icia, 'ictitio+s in!s. :h!y ar! in!s
across th! path,ays aong ,hich in'or(ation or #i''!r!nc! is
trans(itt!#. :h!y ar! not bo+n#ari!s o' th! thin*ing syst!(. 8hat
thin*s is th! tota syst!( ,hich !ngag!s in tria an# !rror, ,hich is
(an p+s !n"iron(!nt.
0+t i' yo+ acc!pt s!'Ccorr!cti"!n!ss as th! crit!rion o' tho+ght
or (!nta proc!ss, th!n ob"io+sy th!r! is
9
tho+ght9 going on insi#!
th! (an at th! a+tono(ic !"! to (aintain "ario+s int!rna
488
"ariab!s. An# si(iary, th! co(p+t!r, i' it contros its int!rna
t!(p!rat+r!, is #oing so(! si(p! thin*ing ,ithin its!'.
)o, ,! b!gin to s!! so(! o' th! !pist!(oogica 'aaci!s o'
5cci#!nta ci"ii/ation. In accor#anc! ,ith th! g!n!ra ci(at! o'
thin*ing in (i#Cnin!t!!nthCc!nt+ry =ngan#, ?ar,in propos!# a
th!ory o' nat+ra s!!ction an# !"o+tion in ,hich th! +nit o'
s+r"i"a ,as !ith!r th! 'a(iy in! or th! sp!ci!s or s+bsp!ci!s or
so(!thing o' th! sort. 0+t to#ay it is .+it! ob"io+s that this is not
th! +nit o' s+r"i"a in th! r!a bioogica ,or#. :h! +nit o' s+r"i"a
is organism p+s en&ironment. 8! ar! !arning by bitt!r !-p!ri!nc!
that th! organis( ,hich #!stroys its !n"iron(!nt #!stroys its!'.
I', no,, ,! corr!ct th! ?ar,inian +nit o' s+r"i"a to inc+#! th!
!n"iron(!nt an# th! int!raction b!t,!!n organis( an#
!n"iron(!nt, a "!ry strang! an# s+rprising i#!ntity !(!rg!s6 t*e
unit of e&olutionary sur&i&al turns out to -e identical 'it* t*e unit of
mind.
7or(!ry ,! tho+ght o' a hi!rarchy o' ta-a;in#i"i#+a, 'a(iy
in!, s+bsp!ci!s, sp!ci!s, !tc.;as +nits o' s+r"i"a. 8! no, s!! a
#i''!r!nt hi!rarchy o' +nits;g!n!CinCorganis(, organis(CinC
!n"iron(!nt, !cosyst!(, !tc. =coogy, in th! ,i#!st s!ns!, t+rns
o+t to b! th! st+#y o' th! int!raction an# s+r"i"a o' i#!as an#
progra(s 2i.!., #i''!r!nc!s, co(p!-!s o' #i''!r!nc!s, !tc.3 in
circ+its.
@!t +s no, consi#!r ,hat happ!ns ,h!n yo+ (a*! th!
!pist!(oogica !rror o' choosing th! ,rong +nit6 yo+ !n# +p ,ith
th! sp!ci!s "!rs+s th! oth!r sp!ci!s aro+n# it or "!rs+s th!
!n"iron(!nt in ,hich it op!rat!s. Aan against nat+r!. Fo+ !n# +p,
in 'act, ,ith <an!oh! 0ay po+t!#, @a*! =ri! a si(y gr!!n (!ss,
an# 9@!tIs b+i# bigg!r ato( bo(bs to *i o'' th! n!-tC#oor
n!ighbors.9 :h!r! is an !coogy o' ba# i#!as, J+st as th!r! is an
!coogy o' ,!!#s, an# it is charact!ristic o' th! syst!( that basic
!rror propagat!s its!'. It branch!s o+t i*! a root!# parasit! thro+gh
th! tiss+!s o' i'!, an# !"!rything g!ts into a rath!r p!c+iar (!ss.
8h!n yo+ narro, #o,n yo+r !pist!(oogy an# act on th! pr!(is!
98hat int!r!sts (! is (!, or (y organi/ation, or (y sp!ci!s,9 yo+
chop o'' consi#!ration o' oth!r oops o' th! oop str+ct+r!. Fo+
#!ci#! that yo+ ,ant to g!t ri# o' th! byCpro#+cts o' h+(an i'! an#
that @a*! =ri! ,i b! a goo# pac! to p+t th!(. Fo+ 'org!t that th!
489
!coC(!nta syst!( ca!# @a*! =ri! is a part o' your ,i#!r !coC
(!nta syst!(;an# that i' @a*! =ri! is #ri"!n insan!, its insanity is
incorporat!# in th! arg!r syst!( o' your tho+ght an# !-p!ri!nc!.
Fo+ an# I ar! so #!!py acc+t+rat!# to th! i#!a o' 9s!'9 an#
organi/ation an# sp!ci!s that it is har# to b!i!"! that (an (ight
"i!, his r!ations ,ith th! !n"iron(!nt in any oth!r ,ay than th!
,ay ,hich I ha"! rath!r +n'airy ba(!# +pon th! nin!t!!nthC
c!nt+ry !"o+tionists. &o I (+st say a '!, ,or#s abo+t th! history
o' a this.
Anthropoogicay, it ,o+# s!!( 'ro( ,hat ,! *no, o' th!
!ary (at!ria, that (an in soci!ty too* c+!s 'ro( th! nat+ra
,or# aro+n# hi( an# appi!# thos! c+!s in a sort o' (!taphoric
,ay to th! soci!ty in ,hich h! i"!#. :hat is, h! i#!nti'i!# ,ith or
!(pathi/!# ,ith th! nat+ra ,or# aro+n# hi( an# too* that
!(pathy as a g+i#! 'or his o,n socia organi/ation an# his o,n
th!ori!s o' his o,n psychoogy. :his ,as ,hat is ca!#
9tot!(is(.9
In a ,ay, it ,as a nons!ns!, b+t it (a#! (or! s!ns! than (ost
o' ,hat ,! #o to#ay, b!ca+s! th! nat+ra ,or# aro+n# +s r!ay
has this g!n!ra syst!(ic str+ct+r! an# th!r!'or! is an appropriat!
so+rc! o' (!taphor to !nab! (an to +n#!rCstan# hi(s!' in his
socia organi/ation.
:h! n!-t st!p, s!!(ingy, ,as to r!"!rs! th! proc!ss an# to ta*!
c+!s 'ro( hi(s!' an# appy th!s! to th! nat+ra ,or# aro+n#
hi(. :his ,as 9ani(is(,9 !-t!n#ing th! notion o' p!rsonaity or
(in# to (o+ntains, ri"!rs, 'or!sts, an# s+ch things. :his ,as sti
not a ba# i#!a in (any ,ays. 0+t th! n!-t st!p ,as to s!parat! th!
notion o' (in# 'ro( th! nat+ra ,or#, an# th!n yo+ g!t th! notion
o' go#s.
0+t ,h!n yo+ s!parat! (in# 'ro( th! str+ct+r! in ,hich it is
i((an!nt, s+ch as h+(an r!ationship, th! h+(an soci!ty, or th!
!cosyst!(, yo+ th!r!by !(bar*, I b!i!"!, on '+n#a(!nta !rror,
,hich in th! !n# ,i s+r!y h+rt yo+.
&tr+gg! (ay b! goo# 'or yo+r so+ +p to th! (o(!nt ,h!n to
,in th! batt! is !asy. 8h!n yo+ ha"! an !''!cti"! !no+gh
t!chnoogy so that yo+ can r!ay act +pon yo+r !pist!(oogica
!rrors an# can cr!at! ha"oc in th! ,or# in ,hich yo+ i"!, th!n th!
!rror is !tha. =pist!(oogica !rror is a right, itIs 'in!, +p to th!
490
point at ,hich yo+ cr!at! aro+n# yo+rs!' a +ni"!rs! in ,hich that
!rror b!co(!s i((an!nt in (onstro+s chang!s o' th! +ni"!rs! that
yo+ ha"! cr!at!# an# no, try to i"! in.
Fo+ s!!, ,!
I
r! not ta*ing abo+t th! #!ar o# &+pr!(! Ain# o'
Aristot!, &t. :ho(as A.+inas, an# so on #o,n thro+gh ag!s;th!
&+pr!(! Ain# ,hich ,as incapab! o' !rror an# incapab! o'
insanity. 8!Ir! ta*ing abo+t i((an!nt (in#, ,hich is ony too
capab! o' insanity, as yo+ a pro'!ssionay *no,. :his is pr!cis!y
,hy yo+Ir! h!r!. :h!s! circ+its an# baanc!s o' nat+r! can ony too
!asiy g!t o+t o' *it!r, an# th!y in!"itaby g!t o+t o' *it!r ,h!n
c!rtain basic !rrors o' o+r tho+ght b!co(! r!in'orc!# by tho+san#s
o' c+t+ra #!tais.
I #onIt *no, ho, (any p!op! to#ay r!ay b!i!"! that th!r! is
an o"!ra (in# s!parat! 'ro( th! bo#y, s!parat! 'ro( th! soci!ty,
an# s!parat! 'ro( nat+r!. 0+t 'or thos! o' yo+ ,ho ,o+# say that
that is a 9s+p!rstition,9 I a( pr!Cpar!# to ,ag!r that I can
#!(onstrat! ,ith th!( in a '!, (in+t!s that th! habits an# ,ays o'
thin*ing that ,!nt ,ith thos! s+p!rsitions ar! sti in th!ir h!a#s an#
sti #!t!r(in! a arg! part o' th!ir tho+ghts. :h! i#!a that you can
see me sti go"!rns yo+r tho+ght an# action in spit! o' th! 'act that
yo+ (ay *no, int!!ct+ay that it is not so. In th! sa(! ,ay ,! ar!
(ost o' +s go"!rn!# by !pist!(oogi!s that ,! *no, to b! ,rong.
@!t +s consi#!r so(! o' th! i(pications o' ,hat I ha"! b!!n saying.
@!t +s oo* at ho, th! basic notions ar! r!in'orc!# an# !-pr!ss!#
in a sorts o' #!tai o' ho, ,! b!ha"!. :h! "!ry 'act that I a(
(onoog+ing to yo+;this is a nor( o' o+r aca#!(ic s+bc+t+r!, b+t
th! i#!a that I can t!ach yo+, unilaterally, is #!ri"ati"! 'ro( th!
pr!(is! that th! (in# contros th! bo#y. An# ,h!n!"!r a
psychoth!rapist aps!s into +niat!ra th!rapy, h! is ob!ying th!
sa(! pr!(is!. I, in 'act, stan#ing +p in 'ront o' yo+, a(
p!r'or(ing a s+b"!rsi"! act by r!in'orcing in yo+r (in#s a pi!c!
o' thin*ing ,hich is r!ay nons!ns!. 8! a #o it a th! ti(!
b!ca+s! itIs b+it into th! #!tai o' o+r b!ha"ior. )otic! ho, I stan#
,hi! yo+ sit.
:h! sa(! thin*ing !a#s, o' co+rs!, to th!ori!s o' contro an# to
th!ori!s o' po,!r. In that +ni"!rs!, i' yo+ #o not g!t ,hat yo+
,ant, yo+ ,i ba(! so(!bo#y an# !stabish !ith!r a Jai or a
(!nta hospita, accor#ing to tast!, an# yo+ ,i pop th!( in it i'
491
yo+ can i#!nti'y th!(. I' yo+ cannot i#!nti'y th!(, yo+ ,i say,
9
ItIs th! syst!(.9 :his is ro+ghy ,h!r! o+r *i#s ar! no,a#ays,
ba(ing th! !stabish(!nt, b+t yo+ *no, th! !stabish(!nts ar!nIt
to ba(!. :h!y ar! part o' th! sa(! !rror, too.
:h!n, o' co+rs!, th!r! is th! .+!stion o' ,!apons. I' yo+ b!i!"!
in that +niat!ra ,or# an# yo+ thin* that th! oth!r p!op! b!i!"!
in that ,or# 2an# yo+Ir! probaby rightL th!y #o3, th!n, o' co+rs!,
th! thing is to g!t ,!apons, hit th!( har#, an# 9contro9 th!(.
:h!y say that po,!r corr+ptsL b+t this, I s+sp!ct, is nonCs!ns!.
8hat is tr+! is that th! idea of po'er corr+pts. $o,!r corr+pts (ost
rapi#y thos! ,ho b!i!"! in it, an# it is th!y ,ho ,i ,ant it
(ost. 5b"io+sy o+r #!(ocratic syst!( t!n#s to gi"! po,!r to
thos! ,ho h+ng!r 'or it an# gi"!s !"!ry opport+nity to thos! ,ho
#onIt ,ant po,!r to a"oi# g!tting it. )ot a "!ry satis'actory
arrang!(!nt i' po,!r corr+pts thos! ,ho b!i!"! in it an# ,ant it.
$!rhaps th!r! is no s+ch thing as +niat!ra po,!r. A't!r a, th!
(an 9in po,!r9 #!p!n#s on r!c!i"ing in'or(ation a th! ti(! 'ro(
o+tsi#!. E! r!spon#s to that in'or(ation J+st as (+ch as h! 9ca+s!s9
things to happ!n. It is not possib! 'or 1o!bb!s to contro th! p+bic
opinion o' 1!r(any b!Cca+s! in or#!r to #o so h! (+st ha"! spi!s or
!g(!n or p+bic opinion pos to t! hi( ,hat th! 1!r(ans ar!
thin*ing. E! (+st th!n tri( ,hat h! says to this in'or(ationL an#
th!n again 'in# o+t ho, th!y ar! r!spon#ing. It is an int!rCaction,
an# not a in!a sit+ation.
0+t th! myt* o' po,!r is, o' co+rs!, a "!ry po,!r'+ (yth an#
probaby (ost p!op! in this ,or# (or! or !ss b!i!"! in it. It is a
(yth ,hich, i' !"!rybo#y b!i!"!s in it, b!co(!s to that !-t!nt s!'C
"ai#ating. 0+t it is sti !pist!(oogica +nacy an# !a#s in!"itaby
to "ario+s sorts o' #isast!r.
@ast, th!r! is th! .+!stion o' +rg!ncy. It is c!ar no, to (any
p!op! that th!r! ar! (any catastrophic #ang!rs ,hich ha"! gro,n
o+t o' th! 5cci#!nta !rrors o' !pist!(oogy. :h!s! rang! 'ro(
ins!ctici#!s to po+tion, to ato(ic 'ao+t, to th! possibiity o'
(!ting th! Antarctic ic! cap. Abo"! a, o+r 'antastic co(p+sion to
sa"! in#i"i#+a i"!s has cr!at!# th! possibiity o' ,or# 'a(in! in
th! i((!#iat! '+t+r!.
492
6er*aps ,! ha"! an !"!n chanc! o' g!tting thro+gh th! n!-t
t,!nty y!ars ,ith no #isast!r (or! s!rio+s than th! (!r! #!str+ction
o' a nation or gro+p o' nations.
I b!i!"! that this (assi"! aggr!gation o' thr!ats to (an an# his
!coogica syst!(s aris!s o+t o' !rrors in o+r habits o' tho+ght at
#!!p an# party +nconscio+s !"!s.
As th!rapists, c!ary ,! ha"! a #+ty.
7irst, to achi!"! carity in o+rs!"!sL an# th!n to oo* 'or !"!ry
sign o' carity in oth!rs an# to i(p!(!nt th!( an# r!in'orc! th!(
in ,hat!"!r is san! in th!(.
An# th!r! ar! patch!s o' sanity sti s+r"i"ing in th! ,or#. A+ch
o' 5ri!nta phiosophy is (or! san! than anything th! 8!st has
pro#+c!#, an# so(! o' th! inartic+at! !''orts o' o+r o,n yo+ng
p!op! ar! (or! san! than th! con"!ntions o' th! !stabish(!nt.
493
The Root! o5 E'oloi'al C&i!i!
%
Summary# 5th!r t!sti(ony has b!!n pr!s!nt!# r!gar#ing bis to
#!a ,ith partic+ar prob!(s o' po+tion an# !n"iron(!nta
#!gra#ation in Ea,aii. It is hop!# that th! proCpos!# 5''ic! o'
=n"iron(!nta V+aity Contro an# th! =n"iron(!nta C!nt!r at th!
%ni"!rsity o' Ea,aii ,i go b!yon# this ad *oc approach an# ,i
st+#y th! (or! basic ca+s!s o' th! c+rr!nt rash o' !n"iron(!nta
tro+b!s.
:h! pr!s!nt t!sti(ony arg+!s that th!s! basic ca+s!s i! in th!
com-ined action o' +a4 t!chnoogica a#"anc!L +-4 pop+ation
incr!as!L an# 2c3 con"!ntiona 2b+t ,rong3 i#!as abo+t th! nat+r! o'
(an an# his r!ation to th! !n"iron(!nt.
It is conc+#!# that th! n!-t 'i"! to t!n y!ars ,i b! a p!rio# i*!
th! 7!#!raist p!rio# in %nit!# &tat!s history in ,hich th! ,ho!
phiosophy o' go"!rn(!nt, !#+cation, an# t!chnoogy (+st b!
#!bat!#.
2e su-mit#
213 :hat a ad *oc (!as+r!s !a"! +ncorr!ct!# th! #!!p!r ca+s!s
o' th! tro+b! an#, ,ors!, +s+ay p!r(it thos! ca+s!s to gro,
strong!r an# b!co(! co(po+n#!#. In (!#icin!, to r!i!"! th!
sy(pto(s ,itho+t c+ring th! #is!as! is ,is! an# s+''ici!nt if and
only if !ith!r th! #is!as! is s+r!y t!r(ina or ,i c+r! its!'.
:h! history o' ??: i+strat!s th! '+n#a(!nta 'aacy o' ad *oc
(!as+r!s. 8h!n it ,as in"!nt!# an# 'irst p+t to +s!, it ,as its!' an
ad *oc (!as+r!. It ,as #isco"!r!# in 1939 that th! st+'' ,as an
ins!ctici#! 2an# th! #isco"!r!r got a )ob! $ri/!3. Ins!ctici#!s ,!r!
9n!!#!#9 +a4 to incr!as! agric+t+ra pro#+ctsL an# +-4 to sa"!
p!op!, !sp!ciay troops o"!rs!as, 'ro( (aaria. In oth!r ,or#s,
H
:his #oc+(!nt ,as t!sti(ony on b!ha' o' th! %ni"!rsity o' Ea,aii Co((itt!!
on =coogy an# Aan, pr!s!nt!# in Aarch, 1970, b!'or! a Co((itt!! o' th! &tat!
&!nat! o' Ea,aii, in 'a"or o' a bi 2&.0. 11323. :his bi propos!# th! s!tting +p o'
an 5''ic! o' =n"iron(!nta V+aity Contro in 1o"!rn(!nt an# an =n"iron(!nta
C!nt!r in th! %ni"!rsity o' Ea,aii. :h! bi ,as pass!#.
494
??: ,as a sy(pto(atic c+r! 'or tro+b!s conn!ct!# ,ith th!
incr!as! o' pop+ation.
0y 1950, it ,as *no,n to sci!ntists that ??: ,as s!rio+sy to-ic
to (any oth!r ani(as 24ach! CarsonIs pop+ar boo* Silent Spring
,as p+bish!# in 19G>4 .
0+t in th! (!an,hi!, +a4 th!r! ,as a "ast in#+stria co((it(!nt
to ??: (an+'act+r!L +-4 th! ins!cts at ,hich ??: ,as #ir!ct!#
,!r! b!co(ing i((+n!L 2c3 th! ani(as ,hich nor(ay at! thos!
ins!cts ,!r! b!ing !-t!r(inat!#L +d4 th! pop+ation o' th! ,or# ,as
p!r(itt!# by ??: to incr!as!.
In oth!r ,or#s, th! ,or# b!ca(! addicted to ,hat ,as onc! an
ad *oc (!as+r! an# is no, *no,n to b! a (aJor #ang!r. 7inay in
197C, ,! b!gin to prohibit or contro this #ang!r. An# ,! sti #o not
*no,, 'or !-a(p!, ,h!th!r th! h+(an sp!ci!s on its pr!s!nt #i!t
can s+r!y s+r"i"! th! ??: ,hich is ar!a#y circ+ating in th! ,or#
an# ,i b! th!r! 'or th! n!-t t,!nty y!ars !"!n i' its +s! is i((!#iC
at!y an# totay #iscontin+!#.
It is no, r!asonaby c!rtain 2sinc! th! #isco"!ry o' signi'icant
a(o+nts o' ??: in th! p!ng+ins o' Antarctica3 that all th! 'ishC
!ating bir#s as ,! as th! an#Cgoing carni"oro+s bir#s an# thos!
,hich 'or(!ry at! ins!ct p!sts ar! #oo(!#. It is probab! that a
th! carni"oro+s 'ish
1
,i soon contain too (+ch ??: 'or h+(an
cons+(ption an# (ay th!(s!"!s b!co(! !-tinct. It is possib! that
th! !arth,or(s, at !ast in 'or!sts an# oth!r spray!# ar!as, ,i
"anish;,ith ,hat !''!ct +pon th! 'or!sts is anybo#yIs g+!ss. :h!
pan*ton o' th! high s!as 2+pon ,hich th! !ntir! pan!tary !coogy
#!p!n#s3 is b!i!"!# to b! sti +na''!ct!#.
:hat is th! story o' on! bin# appication o' an ad *oc (!as+r!L
an# th! story can b! r!p!at!# 'or a #o/!n oth!r in"!ntions.
223 :hat th! propos!# co(bination o' ag!nci!s in &tat!
1o"!rn(!nt an# in th! %ni"!rsity sho+# a##r!ss its!' to
#iagnosing, +n#!rstan#ing an#, i' possib!, s+gg!sting r!(!#i!s 'or
th! ,i#!r proc!ss!s o' socia an# !n"iron(!nta #!gra#ation in th!
,or# an# sho+# att!(pt to #!'in! Ea,aiiIs poicy in "i!, o' th!s!
proc!ss!s.
1
Ironicay, it t+rns o+t that 'ish ,i probaby b!co(! poisono+s as carri!rs o'
(!rc+ry rath!r than ??:. >1.0. 1971]
495
233 :hat all of th! (any c+rr!nt thr!ats to (anIs s+r"i"a ar!
trac!ab! to thr!! root ca+s!s6
t!chnoogica progr!ss
pop+ation incr!as!
c!rtain !rrors in th! thin*ing an# attit+#!s o' 5cci#!nta c+t+r!.
5+r 9"a+!s9 ar! ,rong.
8! b!i!"! that a thr!! o' th!s! '+n#a(!nta 'actors ar!
n!c!ssary con#itions 'or th! #!str+ction o' o+r ,or#. In oth!r
,or#s, ,! optimistically b!i!"! that th! corr!ction o' any one o'
th!( ,o+# sa"! +s.
243 :hat th!s! '+n#a(!nta 'actors c!rtainy int!ract. :h!
incr!as! o' pop+ation sp+rs t!chnoogica progr!ss an# cr!at!s
that an-i!ty ,hich s!ts +s against o+r !n"iron(!nt as an !n!(yL
,hi! t!chnoogy both 'aciitat!s incr!as! o' pop+ation an#
r!in'orc!s o+r arroganc!, or 9h+bris,9 "isC_C"is th! nat+ra
!n"iron(!nt.
:h! attach!# #iagra( i+strat!s th! int!rconn!ctions. It ,i b!
not!# that in this #iagra( !ach corn!r is coc*,is!, #!noting that
!ach is by its!' a s!'Cpro(oting 2or, as th! sci!ntists say,
9a+tocataytic93 ph!no(!non6 th! bigg!r th! pop+ation, th! 'ast!r
it gro,sL th! (or! t!chnoogy ,! ha"!, th! 'ast!r th! rat! o' n!,
in"!ntionL an# th! (or! ,! b!i!"! in o+r 9po,!r9 o"!r an !n!(y
!n"iron(!nt, th! (or!
9
po,!r9 ,! s!!( to ha"! an# th! (or!
spit!'+ th! !n"iron(!nt s!!(s to b!.
&i(iary th! pairs o' corn!rs ar! coc*,is! conn!ct!# to (a*!
thr!! s!'Cpro(oting s+bsyst!(s.
:h! prob!( 'acing th! ,or# an# Ea,aii is si(py ho, to
intro#+c! so(! anticoc*,is! proc!ss!s into this syst!(. Eo, to #o
this sho+# b! a (aJor prob!( 'or th! propos!# &tat! 5''ic! o'
=n"iron(!nta V+aity Contro an# th! %ni"!rsity =n"iron(!nta
C!nt!r.
It app!ars, at pr!s!nt, that th! ony possib! !ntry point 'or
r!"!rsa o' th! proc!ss is th! con"!ntiona attit+#!s toC,ar# th!
!n"iron(!nt.
253 :hat '+rth!r t!chnoogica progr!ss cannot no, b! pr!"!nt!#
b+t that it can possiby b! st!!r!# in appropriat! #ir!ctions, to b!
!-por!# by th! propos!# o''ic!s.
496
263 :hat th! pop+ation !-posion is th! sing! (ost i(portant
prob!( 'acing th! ,or# to#ay. As ong as pop+ation contin+!s to
incr!as!, ,! (+st !-p!ct th! contin+o+s cr!ation o' n!, thr!ats to
s+r"i"a, p!rhaps at a rat! o' on! p!r y!ar, +nti ,! r!ach th!
+ti(at!. con#ition o' 'a(in! 2,hich Ea,aii is in no position to
'ac!3. 8! o''!r no so+tion h!r! to th! pop+ation !-posion, b+t ,!
not! that !"!ry so+tion ,hich ,! can i(agin! is (a#! #i''ic+t or
i(possib! by th! thin*ing an# attit+#!s o' 5cci#!nta c+t+r!.
273 :hat th! "!ry 'irst r!.+ir!(!nt 'or !coogica stabiity is a
baanc! b!t,!!n th! rat!s o' birth an# #!ath. 7or b!tCt!r or 'or
,ors!, ,! ha"! ta(p!r!# ,ith th! #!ath rat!, !sp!ciay by
controing th! (aJor !pi#!(ic #is!as!s an# th! #!ath o' in'ants.
A,ays, in any i"ing 2i.!., !coogica3 syst!(, !"!ry incr!asing
i(baanc! ,i g!n!rat! its o,n i(iting 'actors as si#! !''!cts o' th!
incr!asing i(baanc!. In th! pr!s!nt instanc!, ,! b!gin to *no,
so(! o' )at+r!Is ,ays o' corr!cting th! i(baanc!;s(og,
po+tion, ??: poisoning, in#+stria ,ast!s, 'a(in!, ato(ic 'ao+t,
an# ,ar. <ut t*e im-alance *as gone so far t*at 'e cannot trust ;ature
not to o&ercorrect.
283 :hat th! i#!as ,hich #o(inat! o+r ci"ii/ation at th! pr!s!nt
ti(! #at! in th!ir (ost "ir+!nt 'or( 'ro( th! In#+stria 4!"o+tion.
:h!y (ay b! s+((ari/!# as6
2a3ItIs +s against th! !n"iron(!nt.
2b3ItIs +s against oth!r (!n.
2c3ItIs th! in#i"i#+a 2or th! in#i"i#+a co(pany, or th!
in#i"i#+a nation3 that (att!rs.
2#38! can ha"! +niat!ra contro o"!r th! !n"iron(!nt an#
(+st stri"! 'or that contro.
2!38! i"! ,ithin an in'init!y !-pan#ing 9'ronti!r.9
2'3=cono(ic #!t!r(inis( is co((on s!ns!.
2g3:!chnoogy ,i #o it 'or +s.
8! s+b(it that th!s! i#!as ar! si(py pro"!# false by th! gr!at
b+t +ti(at!y #!str+cti"! achi!"!(!nts o' o+r t!chnoogy in th! ast
150 y!ars. @i*!,is! th!y app!ar to b! 'as! +n#!r (o#!rn !coogica
th!ory. !*e creature t*at 'ins against its en&ironment destroys
itself.
497
293 :hat oth!r attit+#!s an# pr!(is!s;oth!r syst!(s o' h+(an
9"a+!s9;ha"! go"!rn!# (anIs r!ation to his !n"iron(!nt an# his
'!o, (an in oth!r ci"ii/ations an# at oth!r ti(!s. )otaby, th!
anci!nt Ea,aiian ci"ii/ation an# th! Ea,aiians o' to#ay ar!
+nconc!rn!# abo+t 5cci#!nta 9h+bris.9 In oth!r ,or#s, o+r ,ay is
not th! ony possib! h+(an ,ay. It is concei&a-ly c*angea-le.
2103 :hat chang! in o+r thin*ing has ar!a#y b!g+n;a(ong
sci!ntists an# phiosoph!rs, an# a(ong yo+ng p!op!. 0+t it is not
ony ongChair!# pro'!ssors an# ongChair!# yo+th ,ho ar! changing
th!ir ,ays o' tho+ght. :h!r! ar! aso (any tho+san#s o'
b+sin!ss(!n an# !"!n !gisators ,ho wish th!y co+# chang! b+t
'!! that it ,o+# b! +nsa'! or not 9co((on s!ns!9 to #o so. :h!
chang!s ,i contin+! as in!"itaby as t!chnoogica progr!ss.
2113 :hat th!s! chang!s in tho+ght ,i i(pact +pon o+r
go"!rn(!nt, !cono(ic str+ct+r!, !#+cationa phiosophy, an#
(iitary stanc! b!ca+s! th! o# pr!(is!s ar! #!!py b+it into a
th!s! si#!s o' o+r soci!ty.
2123 :hat nobo#y can pr!#ict ,hat n!, patt!rns ,i !(!rg!
'ro( th!s! #rastic chang!s. 8! hop! that th! p!rio# o' chang! (ay
b! charact!ri/!# by ,is#o(, rath!r than by !ith!r "io!nc! or th!
'!ar o' "io!nc!. In#!!#, th! +ti(at! goa o' this bi is to (a*! s+ch
a transition possib!.
2133 8! conc+#! that th! n!-t 'i"! to t!n y!ars ,i b! a p!rio#
co(parab! to th! 7!#!raist p!rio# in %nit!# &tat!s history. )!,
phiosophi!s o' go"!rn(!nt, !#+cation, an# t!chnoogy (+st b!
#!bat!# both insi#! th! go"!rn(!nt an# in th! p+bic pr!ss, an#
!sp!ciay a(ong !a#ing citi/!ns. :h! %ni"!rsity o' Ea,aii an# th!
&tat! 1o"!rn(!nt co+# ta*! a !a# in th!s! #!bat!s.
498
E'oloy an# Fle1i)ility in U&)an
Ci0ili7ation
%
7irst, it ,i b! con"!ni!nt to ha"!, not a sp!ci'ic or +ti(at!
goa, b+t an abstract i#!a o' ,hat ,! (ight (!an by !coogica
h!ath. &+ch a g!n!ra notion ,i both g+i#! th! co!ction o' #ata
an# g+i#! th! !"a+ation o' obs!r"!# tr!n#s.
I s+gg!st th!n that a h!athy !coogy o' h+(an ci"ii/ation ,o+#
b! #!'in!# so(!,hat as 'oo,s6
A sing! syst!( o' en&ironment com-ined 'it* *ig* *uman
ci&ili:ation in ,hich th! '!-ibiity o' th! ci"ii/ation sha (atch
that o' th! !n"iron(!nt to cr!at! an ongoing co(p!- syst!(, op!nC
!n#!# 'or so, chang! o' !"!n basic 2har#Cprogra((!#3
charact!ristics.
8! no, proc!!# to consi#!r so(! o' th! t!r(s in this #!'inition
o' syst!(ic h!ath an# to r!at! th!( to con#itions in th! !-isting
,or#.
"A ,i&h Ci"ili4ation"
It app!ars that th! (anC!n"iron(!nt syst!( has c!rtainy b!!n
progr!ssi"!y +nstab! sinc! th! intro#+ction o' (!tas, th! ,h!!,
an# script. :h! #!'or!station o' =+rop! an# th! (anC(a#! #!s!rts o'
th! Ai##! =ast an# )orth A'rica ar! !"i#!nc! 'or this stat!(!nt.
Ci"ii/ations ha"! ris!n an# 'a!n. A n!, t!chnoogy 'or th!
!-poitation o' nat+r! or a n!, t!chni.+! 'or th! !-poitation o'
oth!r (!n p!r(its th! ris! o' a ci"ii/ation. 0+t !ach ci"ii/ation, as
H
In 5ctob!r, 1970, th! a+thor con"!n!# an# chair!# a s(a 'i"!C#ay con'!r!nc!
on 94!str+ct+ring th! =coogy o' a 1r!at City,9 sponsor!# by th! 8!nn!rC1r!n 7o+nC
#ation. A p+rpos! o' th! con'!r!nc! ,as to Join ,ith pann!rs in th! o''ic! o' John
@in#say, (ayor o' )!, For* City, in !-a(ining r!!"ant co(pon!nts o' !coogica
th!ory. :his !ssay ,as ,ritt!n 'or this con'!r!nc! an# s+bs!.+!nty !#it!#. &!ction GI
on th! :rans(ission o' :h!ory has b!!n a##!# an# r!pr!s!nts a't!rtho+ghts
'oo,ing th! con'!r!nc!.
499
it r!ach!s th! i(its o' ,hat can b! !-poit!# in that partic+ar ,ay,
(+st !"!nt+ay 'a. :h! n!, in"!ntion gi"!s !bo, roo( or
'!-ibiity, b+t th! +sing +p o' that '!-ibiity is #!ath.
=ith!r (an is too c!"!r, in ,hich cas! ,! ar! #oo(!#, or h! ,as
not c!"!r !no+gh to i(it his gr!!# to co+rs!s ,hich ,o+# not
#!stroy th! ongoing tota syst!(. I pr!'!r th! s!con# hypoth!sis.
It b!co(!s th!n n!c!ssary to ,or* to,ar# a #!'inition o' 9high.9
2a3It ,o+# not b! ,is! 2!"!n i' possib!3 to r!t+rn to th!
innoc!nc! o' th! A+straian aborigin!s, th! =s*i(o, an# th!
0+sh(!n. &+ch a r!t+rn ,o+# in"o"! oss o' th! ,is#o( ,hich
pro(pt!# th! r!t+rn an# ,o+# ony start th! ,ho! proc!ss o"!r.
2b3A 9high9 ci"ii/ation sho+# th!r!'or! b! pr!s+(!# to ha"!,
on th! t!chnoogica si#!, ,hat!"!r ga#g!ts ar! n!c!ssary to
pro(ot!, (aintain 2an# !"!n incr!as!3 ,is#o( o' this g!n!ra
sort. :his (ay ,! inc+#! co(p+t!rs an# co(p!-
co((+nication #!"ic!s.
2c3A 9high9 ci"ii/ation sha contain ,hat!"!r is n!c!ssary 2in
!#+cationa an# r!igio+s instit+tions3 to (aintain th! n!c!ssary
,is#o( in th! h+(an pop+ation an# to gi"! physica, a!sth!tic,
an# cr!ati"! satis'action to p!op!. :h!r! sha b! a (atching
b!t,!!n th! '!-ibiity o' p!op! an# that o' th! ci"ii/ation. :h!r!
sha b! #i"!rsity in th! ci"ii/ation, not ony to acco((o#at! th!
g!n!tic an# !-p!ri!ntia #i"!rsity o' p!rsons, b+t aso to pro"i#!
th! '!-ibiity an# 9pr!a#aptation9 n!c!ssary 'or +npr!#ictab!
chang!.
2#3A 9high9 ci"ii/ation sha b! i(it!# in its transactions ,ith
!n"iron(!nt. It sha cons+(! +nr!pac!ab! nat+ra r!Cso+rc!s only
as a (!ans to 'aciitat! n!c!ssary chang! 2as a chrysais in
(!ta(orphosis (+st i"! on its 'at3. 7or th! r!st, th! (!tabois( o'
th! ci"ii/ation (+st #!p!n# +pon th! !n!rgy inco(! ,hich
&pac!ship =arth #!ri"!s 'ro( th! s+n. In this conn!ction, gr!at
t!chnica a#"anc! is n!c!ssary. 8ith pr!s!nt t!chnoogy, it is
probab! that th! ,or# co+# ony (aintain a s(a 'raction o' its
pr!s!nt h+(an pop+ation, +sing as !n!rgy so+rc!s ony
photosynth!sis, ,in#, ti#!, an# ,at!r po,!r.
500
+lexi$ility
:o achi!"!, in a '!, g!n!rations, anything i*! th! h!athy
syst!( #r!a(!# o' abo"! or !"!n to g!t o+t o' th! groo"!s o' 'ata
#!stiny in ,hich o+r ci"ii/ation is no, ca+ght, "!ry gr!at
"e#i$i"ity ,i b! n!!#!#. It is right, th!r!'or!, to !-Ca(in! this
conc!pt ,ith so(! car!. In#!!#, this is a cr+cia conc!pt. 8! sho+#
!"a+at! not so (+ch th! "a+!s an# tr!n#s o' r!!"ant "ariab!s as
th! r!ation b!t,!!n th!s! tr!n#s an# !coogica '!-ibiity.
7oo,ing 4oss Ashby, I ass+(! that any bioogica syst!( 2!.g.,
th! !coogica !n"iron(!nt, th! h+(an ci"ii/ation, an# th! syst!(
,hich is to b! th! co(bination o' th!s! t,o3 is #!scribab! in t!r(s
o' int!rin*!# "ariab!s I s+ch that 'or any gi"!n "ariab! th!r! is an
+pp!r an# a o,!r thr!sho# o' to!ranc! b!yon# ,hich #isco('ort,
pathoogy, an# +ti(at!y #!ath (+st occ+r. 8ithin th!s! i(its, th!
"ariab! can (o"! 2an# is (o"!#3 in or#!r to achi!"!
adaptation. 8h!n, +n#!r str!ss, a "ariab! (+st ta*! Ca "a+!
cos! to its +pp!r or o,!r i(it o' to!ranc!, ,! sha say, borro,ing
a phras! 'ro( th! yo+th c+t+r!, that th! syst!( is 9+p tight9 in
r!sp!ct to this "ariab!, or ac*s 9'!-ibiity9 in this r!sp!ct.
0+t, b!ca+s! th! "ariab!s ar! int!rin*!#, to b! +p tight in
r!sp!ct to on! "ariab! co((ony (!ans that oth!r "ariab!s cannot
b! chang!# ,itho+t p+shing th! +pCtight "ariab!. :h! oss

o'
'!-ibiity th+s spr!a#s thro+gh th! syst!(. In !-tr!(! cas!s, th!
syst!( ,i ony acc!pt thos! chang!s ,hich c*ange t*e
C
tolerance
limits 'or th! +pCtight "ariab!. 7or !-a(p!, an o"!rpop+at!#
soci!ty oo*s 'or thos! chang!s 2incr!as!# 'oo#, n!, roa#s, (or!
ho+s!s, !tc.3 ,hich ,i (a*! th! pathoogica an# pathog!nic
con#itions o' o"!rpop+ation (or! co('ortab!. 0+t th!s! ad *oc
chang!s ar! pr!cis!y thos! ,hich in ong!r ti(! can !a# to (or!
'+n#a(!nta !coogica pathoogy.
:h! pathoogi!s o' o+r ti(! (ay broa#y b! sai# to b! th!
acc+(+at!# r!s+ts o' this proc!ss;th! !ating +p o' '!-ibiity in
r!spons! to str!ss!s o' on! sort or anoth!r 2!sp!ciay th! str!ss o'
pop+ation pr!ss+r!3 an# th! r!'+sa to b!ar ,ith thos! byCpro#+cts
501
o' str!ss 2!.g., !pi#!(ics an# 'a(in!3 ,hich ar! th! ag!Co#
corr!cti"!s 'or pop+ation !-c!ss.
:h! !coogica anayst 'ac!s a #i!((a6 on th! on! han#, i' any
o' his r!co((!n#ations ar! to b! 'oo,!#, h! (+st 'irst
r!co((!n# ,hat!"!r ,i gi"! th! syst!( a positi"! b+#g!t o'
'!-ibiityL an# on th! oth!r han#, th! p!op! an# instit+tions ,ith
,hich h! (+st #!a ha"! a nat+ra prop!nsity to !at +p a a"aiab!
'!-ibiity. E! (+st cr!at! '!-ibiity an# pr!"!nt th! ci"ii/ation
'ro( i((!#iat!y !-pan#ing into it.
It 'oo,s that ,hi! th! !coogistIs goa is to incr!as!
'!-ibiity, an# to this !-t!nt h! is !ss tyrannica than (ost ,!'ar!
pann!rs 2,ho t!n# to incr!as! !gisati"! contro3, h! (+st aso
!-!rt a+thority to pr!s!r"! s+ch '!-ibiity as !-ists or can b!
cr!at!#. At this point 2as in th! (att!r o' +nr!pac!ab! nat+ra
r!so+rc!s3, his r!co((!n#ations (+st b! tyrannica.
&ocia '!-ibiity is a r!so+rc! as pr!cio+s as oi or titani+( an#
(+st b! b+#g!t!# in appropriat! ,ays, to b! sp!nt 2i*! 'at3 +pon
n!!#!# chang!. 0roa#y, sinc! th! 9!ating +p9 o' '!-ibiity is #+!
to r!g!n!rati"! 2i.!., !scaating3 s+bCsyst!(s ,ithin th!
ci"ii/ation, it is, in th! !n#, th!s! that (+st b! contro!#.
It is ,orth noting h!r! that '!-ibiity is to sp!ciai/ation as
!ntropy is to n!g!ntropy. 7!-ibiity (ay b! #!'in!# as un-
commited potentiality for c*ange.
A t!!phon! !-chang! !-hibits (a-i(+( n!g!ntropy, (a-i(+(
sp!ciai/ation, (a-i(+( in'or(ation oa#, an# (a-i(+( rigi#ity
,h!n so (any o' its circ+its ar! in use that on! (or!C ca ,o+#
probaby Ja( th! syst!(. It !-hibits (a-i(+(. !ntropy an#
(a-i(+( '!-ibiity ,h!n non! o' its path,ays ar! co((itt!#. 2In.
this partic+ar !-a(p!, th! stat! o' non+s! is not a co((itt!# stat!.3
It ,i b! not!# that th! b+#g!t o' '!-ibiity is 'ractionating
2not s+btracti"!, as is a b+#g!t o' (on!y or !n!rgy3 .
The Distri$!tion of +lexi$ility
Again 'oo,ing Ashby, th! distri-ution o' '!-ibiity a(ong
th! (any "ariab!s o' a syst!( is a (att!r o' "!ry gr!at i(portanc!.
502
:h! h!athy syst!(, #r!a(!# o' abo"!, (ay b! co(par!# to an
acrobat on a high ,ir!. :o (aintain th! ongoing tr+th o' his basic
pr!(is! 29I a( on th! ,ir!93, h! (+st b! 'r!! to (o"! 'ro( on!
position o' instabiity to anoth!r, i.!., c!rtain "ariab!s s+ch as th!
position o' his ar(s an# th! rat! o' (o"!(!nt o' his ar(s (+st ha"!
gr!at '!-ibiity, ,hich h! +s!s to (aintain th! stabiity o' oth!r
(or! '+n#a(!nta an# g!n!ra charact!ristics. I' his ar(s ar! 'i-!#
or paray/!# 2isoat!# 'ro( co((+nication3, h! (+st 'a.
In this conn!ction, it is int!r!sting to consi#!r th! !coogy o' o+r
!ga syst!(. 7or ob"io+s r!asons, it is #i''ic+t to contro by a,
thos! basic !thica an# abstract princip!s +pon ,hich th! socia
syst!( #!p!n#s. In#!!#, historicay, th! %nit!# &tat!s ,as 'o+n#!#
+pon th! pr!(is! o' 'r!!#o( o' r!igion an# 'r!!#o( o' tho+ghtCCth!
s!paration o' Ch+rch an# &tat! b!ing th! cassic !-a(p!.
5n th! oth!r han#L it is rath!r !asy to ,rit! a,s ,hich sha 'i-
th! more episodic an# s+p!r'icia #!tais o' h+(an b!ha"ior. In
oth!rC,or#s, as a,s proi'!rat!, o+r acrobat is progr!ssi"!y i(it!#
in his ar( (o"!(!nt b+t is gi"!n 'r!! p!r(ission to 'a off th!
,ir!.
) o t
e
, in passing, that th! anaogy o' th! acrobat can b!
a p p s at a high!r !"!. ?+ring th! p!rio#. ,h!n th! acrobat is
learning to (o"! his ar(s in an appropriat! ,ay, it is n!c!ssary
to ha"! a sa'!ty n!t +n#!r hi(, i.!., pr!cis!y to gi"! hi( th!
'r!!#o( to 'a o'' th! ,ir!. 7r!!#o( an# '!-ibiity in r!gar#Cto
th! (ost basic "ariab!s (ay b! n!c!ssary #+ring Cth! proc!ss o'
!arning an#. cr!ating a n!, syst!( by sociaI chang!6
:h!s! ar! pa r a #! s o' or#!r an# #isor#!rC ,hich th!
!coogica anayst an# pann!r (+st ,!igh.
0!Ca that as it may, it is at !ast arg+ab! that th! tr!n# o'
socia chang! in th! ast on! h+n#r!# y!ars, !sp!ciay in th! %&A,
has b!!n to,ar#s an inappropriat! #istrib+tion o' '!-ibiity a(ong
th! "ariab!s o' th! ci"ii/ation. :hos! "ariab!s ,hich sho+# b!
'!-ib! ha"! b!!n p!gg!#, ,hi! thos! ,hich sho+# b!
co(parati"!y st!a#y, changing ony so,y, ha"! b!!n cast oos!.
0+t, !"!n so, th! a, is s+r!y not th! appropriat! (!tho# 'or
stabii/ing th! '+n#a(!nta "ariab!s. :his sho+# b! #on! by th!
proc!ss!s o' !#+cation an# charact!r 'or(ation ;thos! parts o' o+r
503
socia syst!( ,hich ar! c+rr!nty and e.pecta-ly +n#!rgoing
(a-i(+( p!rt+rbation.
The +lexi$ility of (deas
A ci"ii/ation r+ns on i#!as o' a #!gr!!s o' g!n!raity. :h!s!
i#!as ar! pr!s!nt 2so(! !-picit, so(! i(picit3 in th! actions an#
int!ractions o' p!rsons;so(! conscio+s an# c!ary #!'in!#, oth!rs
"ag+!, an# (any +nconscio+s. C &o(! o' th!s! i#!as ar! ,i#!y
shar!#, oth!rs #i''!r!ntiat!# in "ario+s s+bsyst!(s o' th! soci!ty.
I' a b+#g!t o' '!-ibiity is to b! a c!ntra co(pon!nt o' o+r
+n#!rstan#ing o' ho, th! !n"iron(!ntCci"ii/ation ,or*s, an# i' a
cat!gory o' pathoogy is r!at!# to +n,is! sp!n#ing o' this b+#g!t ,
th!n s+r!y th! '!-ibiity o' i#!as ,i pay an i(port ant ro! in
o+r th!ory an# practic!.
A '!, !-a(p!s o' basi c c+t+ra i#!as ,i (a*! th! (att!r
c!ar6
9:h! 1o#!n 4+!,9 9An !y! 'or an !y!,9 an# 9J+stic!.9
9:h! Cco((onCs!ns! o' scarcity !cono(ics9 "!rs+s 9:h!
co((on s!ns! 6 o' a''+!nc!.9
9:h! na(! o' that thing is NchairI 9 an# (any o' th! r!i'ying
pr!(is!s o' ang+ag!.
9:h! s+r"i"a o' th! 'itt!st9 "!rs+s 9:h! s+r"i"a o' organis(C
p+sC!n"iron(!nt.9
$r!(is!s o' (ass pro#+ction, cha!ng!, pri#!, !tc.
:h! pr!(is!s o' trans'!r!nc!, i#!as abo+t ho, charact!r is
#!t!r(in!#, th!ori!s o' !#+cation, !tc.
$att!rns o' p!rsona r!at!#n!ss, #o(inanc!, o"!, !tc.
:h! i#!as in a ci"ii/ation ar! 2i*! a oth!r "ariab!s3
int!rin*!#, party by so(! sort o' psychoCogic an# party by
cons!ns+s abo+t th! .+asiCconcr!t! !''!cts o' action.
It is charact!ristic o' this co(p!- n!t,or* o' #!t!r(ination o'
i#!as 2an# actions3 that partic+ar in*s in th! n!t ar! o't!n ,!a* b+t
that any gi"!n i#!a or action is s+bJ!ct to (+tip! #!t!r(ination by
504
(any int!r,o"!n stran#s. 8! t+rn o'' th! ight ,h!n ,! go to b!#,
in'+!nc!# party by th! !cono(ics o' scarcity, party by pr!(is!s o'
trans'!r!nc!, party by i#!as o' pri"acy, party to r!#+c! s!nsory
inp+t, !tc.
:his (+tip! #!t!r(ination is charact!ristic o' a bioogica
'i!#s. Charact!risticay, !"!ry '!at+r! o' th! anato(y o' an ani(a
or pant an# !"!ry #!tai o' b!ha"ior is #!t!r(in!# by a (+tit+#! o'
int!racting 'actors at both th! g!n!tic an# physioogica !"!sL an#,
corr!spon#ingy, th! proc!ss!s o' any ongoing !cosyst!( ar! th!
o+tco(! o' (+tip! #!t!r(ination.
Aor!o"!r, it is rath!r +n+s+a to 'in# that any '!at+r! o' a
bioogica syst!( is at a #ir!cty #!t!r(in!# by th! n!!# ,hich it
'+'is. =ating is go"!rn!# by app!tit!, habit, an# socia con"!ntion
rath!r than by h+ng!r, an# r!spiration is go"!rn!# by C52, !-c!ss
rath!r than by o-yg!n ac*. An# so on.
In contrast, th! pro#+cts o' h+(an pann!rs an# !ngin!!rs ar!
constr+ct!# to (!!t sp!ci'i!# n!!#s in a (+ch (or! #ir!ct (ann!r,
an# ar! corr!spon#ingy !ss "iab!. :h! (+tip! ca+s!s o' !ating
ar! i*!y to !ns+r! th! p!r'or(anc! o' this n!c!ssary act +n#!r a
arg! "ari!ty o' circ+(stanc!s an# str!ss!s ,h!r!as, i' !ating ,!r!
contro!# ony by hypogyca!(ia, any #ist+rbanc! o' th! sing!
path,ay o' contro ,o+# r!s+t in #!ath. =ss!ntia bioogica
'+nctions ar! not contro!# by !tha "ariab!s, an# pann!rs ,i #o
,! to not! this 'act.
Against this co(p!- bac*gro+n#, it is not !asy to constr+ct a
th!ory o' '!-ibiity o' i#!as an# to conc!i"! o' a -udget of
'!-ibiity. :h!r! ar!, ho,!"!r, t,o c+!s to th! (aJor th!or!tica
prob!(. 0oth o' th!s! ar! #!ri"!# 'ro( th! stochastic proc!ss o'
!"o+tion or !arning ,h!r!by s+ch int!roc*!# syst!(s o' i#!as
co(! into b!ing. 7irst ,! consi#!r th! 9nat+ra s!!ction9 ,hich
go"!rns ,hich i#!as sha s+r"i"! ong!stL an# s!con# ,! sha
consi#!r ho, this proc!ss so(!ti(!s ,or*s to cr!at! !"o+tionary
c+sC#!Csac.
2Aor! broa#y, I r!gar# th! groo"!s o' #!stiny into ,hich o+r
ci"ii/ation has !nt!r!# as a sp!cia cas! o' !"o+tionary c+C#!C
sac. Co+rs!s ,hich o''!r!# shortCt!r( a#"antag! ha"! b!!n
a#opt!#, ha"! b!co(! rigi#y progra((!#, an# ha"! b!g+n to
pro"! #isastro+s o"!r ong!r ti(!. :his is th! para#ig( 'or
505
!-tinction by ,ay o' oss o' '!-ibiity. An# this para#ig( is (or!
s+r!y !tha ,h!n th! co+rs!s o' action ar! chos!n in or#!r to
(a-i(i/! sing! "ariab!s.3
In a si(p! !arning !-p!ri(!nt 2or any oth!r !-p!ri!nc!3, an
organis(, !sp!ciay a h+(an b!ing, ac.+ir!s a "ast "ari!ty o'
in'or(ation. E! !arns so(!thing abo+t th! s(! o' th! abL h!
!arns so(!thing abo+t th! patt!rns o' th! !-p!ri(!nt!rIs b!ha"iorL
h! !arns so(!thing abo+t his o,n capacity to !arn an# ho, it
'!!s to b! 9right
9
or 9,rong9L h! !arns that th!r! is 9right9 an#
9,rong9 in th! ,or#. An# so on.
I' h! no, is s+bJ!ct!# to anoth!r !arning !-p!ri(!nt 2or
!-p!ri!nc!3, h! ,i ac.+ir! so(! n!, it!(s o' in'or(ation6 so(!
o' th! it!(s o' th! 'irst !-p!ri(!nt ,i b! r!p!at!# or a''ir(!#L
so(! ,i b! contra#ict!#.
In a ,or#, so(! o' th! i#!as ac.+ir!# in th! 'irst !-p!ri!nc!
,i sur&i&e th! s!con# !-p!ri!nc!, an# nat+ra s!!ction ,i
ta+toogicay insist that thos! i#!as ,hich s+r"i"! ,i s+r"i"!
ong!r than thos! ,hich #o not s+r"i"!.
0+t in (!nta !"o+tion, th!r! is aso an !cono(y o' '!-ibiity.
I#!as ,hich s+r"i"! r!p!at!# +s! ar! act+ay han#!# in a sp!cia
,ay ,hich is #i''!r!nt 'ro( th! ,ay in ,hich th! (in# han#!s
n!, i#!as. :h! ph!no(!non o' *a-it formation sorts o+t th! i#!asI
,hich s+r"i"! r!p!at!# +s! an# p+ts th!( in a (or! or !ss
s!parat! cat!gory. :h!s! tr+st!# i#!as th!n b!co(! a"aiab! 'or
i((!#iat! +s! ,ithCo+t tho+ght'+ insp!ction, ,hi! th! (or!
'!-ib! parts o' th! (in# can b! sa"!# 'or +s! on n!,!r (att!rs.
In oth!r ,or#s, th! fre5uency o' +s! o' a gi"!n i#!a b!Cco(!s a
#!t!r(inant o' its s+r"i"a in that !coogy o' i#!as ,hich ,! ca
Ain#L an# b!yon# that th! s+r"i"a o' a 'r!.+!nty +s!# i#!a is
'+rth!r pro(ot!# by th! 'act that habit 'or(ation t!n#s to r!(o"!
th! i#!a 'ro( th! 'i!# o' critica insp!ction.
0+t th! s+r"i"a o' an i#!a is aso c!rtainy #!t!r(in!# by its
r!ations ,ith oth!r i#!as. I#!as (ay s+pport or contra#ict !ach
oth!rL th!y (ay co(bin! (or! or !ss r!a#iy. :h!y (ay in'+!nc!C
!ach oth!r in co(p!- +n*no,n ,ays in poari/!# syst!(s.
It is co((ony th! (or! g!n!rai/!# an# abstract i#!as that
s+r"i"! r!p!at!# +s!. :h! (or! g!n!rai/!# i#!as th+s t!n# to
506
b!co(! premises +pon ,hich oth!r i#!as #!p!n#. :h!s! pr!(is!s
b!co(! r!ati"!y in'!-ib!.
In oth!r ,or#s, in th! !coogy o' i#!as th!r! is an !"o+tionary
proc!ss, r!at!# to th! !cono(ics o' '!-ibiity, an# this proc!ss
#!t!r(in!s ,hich i#!as sha b!co(! har# progra((!#.
:h! sa(! proc!ss. #!t!r(in!s that th!s! har#Cprogra((!# i#!as
b!co(! n+c!ar or no#a ,ithin const!ations o' oth!r i#!as,
b!ca+s! th! s+r"i"a o' th!s! oth!r i#!as #!p!n#s on ho, th!y 'it
,ith th! har#Cprogra((!# i#!as.
1
It 'oo,s that any chang! in th!
har#Cprogra((!# i#!as (ay in"o"! chang! in th! ,ho! r!at!#
const!ation.
0+t 'r!.+!ncy o' "ai#ation o' an i#!a ,ithin a gi"!n s!g(!nt o'
ti(! is not th! sa(! as proof that th! i#!a is !ith!r tr+! or
prag(aticay +s!'+ o"!r ong ti(!. 8! ar! #isco"!ring to#ay that
s!"!ra o' th! pr!(is!s ,hich ar! #!!py ingrain!# in o+r ,ay o' i'!
ar! si(py +ntr+! an# b!co(! pathog!nic ,h!n i(p!(!nt!# ,ith
(o#!rn t!chnoogy.
Exercise of +lexi$ility
It is ass!rt!# abo"! that th! o"!ra '!-ibiity o' a syst!(
#!p!n#s +pon *!!ping (any o' its "ariab!s in th! (i##! o' th!ir
to!rab! i(its. 0+t th!r! is a partia con"!rs! o' this g!n!rai/ation6
SAnaogo+s r!ations c!rtainy obtain in th! !coogy o' a
r!#,oo# 'or!st or a cora r!!'. :h! (ost 'r!.+!nt or
9#o(inant9 sp!ci!s ar! i*!y to b! no#a to const!aC
tions o' oth!r sp!ci!s, b!ca+s! th! s+r"i"a o' a n!,C
co(!r to th! syst!( ,i co((ony b! #!t!r(in!# by
ho, its ,ay o' i'! 'its ,ith that o' on! or (or! #o(iC
nant sp!ci!s.
In th!s! cont!-ts;both !coogica an# (!nta;th!
,or# 9'it9 is a o,C!"! anaog+! o' 9(atching
'!-ibiity.9
507
5,ing to th! 'act that in!"itaby (any o' th! s+bsyst!(s o' th!
soci!ty ar! r!g!n!rati"!, th! syst!( as a ,ho! t!n#s to
9
!-pan#9
into any ar!a o' +n+s!# 'r!!#o(.
It +s!# to b! sai# that 9)at+r! abhors a "ac++(,9 an# in#!!#
so(!thing o' th! sort s!!(s to b! tr+! o' +n+s!# pot!ntiaity 'or
chang! in any bioogica syst!(.
In oth!r ,or#s, i' a gi"!n "ariab! r!(ains too ong at so(!
(i##! "a+!, oth!r "ariab!s ,i !ncroach +pon its 'r!!#o(,
narro,ing th! to!ranc! i(its +nti its 'r!!#o( to (o"! is /!ro or,
(or! pr!cis!y, +nti any '+t+r! (o"!(!nt can ony b! achi!"!# at
th! pric! o' #ist+rbing th! !ncroaching "ariab!s.
In oth!r ,or#s, th! "ariab! ,hich #o!s not chang! its "a+!
b!co(!s ipso facto har# progra((!#. In#!!#, this ,ay o' stating
th! g!n!sis o' har#Cprogra((!# "ariab!s is ony anoth!r ,ay o'
#!scribing *a-it formation.
As a Japan!s! M!n (ast!r onc! to# (!, 9!o -ecome accustomed
to anyt*ing is a terri-le t*ing.9
7ro( a o' this it 'oo,s that to (aintain th! '!-ibiity o' a
gi"!n "ariab!, !ith!r that '!-ibiity (+st b! e.ercised, or th!
!ncroaching "ariab!s (+st b! #ir!cty contro!#.
8! i"! in a ci"ii/ation ,hich s!!(s to pr!'!r prohibition to
positi"! r!.+ir!(!nt, an# th!r!'or! ,! try to !gisat! 2!.g., ,ith
antitr+st a,s3 against th! !ncroaching "ariab!sL an# ,! try to
#!'!n# 9ci"i ib!rti!s9 by !gay sapping th! ,rists o' !ncroaching
a+thority.
8! try to prohibit c!rtain !ncroach(!nts, b+t it (ight b! (or!
!''!cti"! to !nco+rag! p!op! to *no, th!ir 'r!!#o(s an#
'!-ibiiti!s an# to +s! th!( (or! o't!n.
In o+r ci"ii/ation, th! !-!rcis! o' !"!n th! physioogica bo#y,
,hos! prop!r '+nction is to (aintain th! '!-ibiity o' (any o' its
"ariab!s by p+shing th!( to !-tr!(! "a+!s, b!co(!s a 9sp!ctator
sport,9 an# th! sa(! is tr+! o' th! '!-ibiity o' socia nor(s. 8! go
to th! (o"i!s or th! co+rts ;or r!a# n!,spap!rs;'or "icario+s
!-p!ri!nc! o' !-c!ptiona b!ha"ior.
508
The Trans#ission of Theory
A 'irst .+!stion in a appication o' th!ory to h+(an prob!(s
conc!rns th! !#+cation o' thos! ,ho ar! to carry o+t th! pans. :his
pap!r is pri(ariy a pr!s!ntation o' th!ory to pann!rsL it is an
att!(pt at !ast to (a*! so(! th!or!tica i#!as a"aiab! to th!(.
0+t in th! r!str+ct+ring o' a gr!at city o"!r a p!rio# o' t!n to thirty
y!ars, th! pans an# th!ir !-!c+tion (+st pass thro+gh th! h!a#s an#
han#s o' h+n#r!#s o' p!rsons an# #o/!ns o' co((itt!!s.
Is it i(portant that th! right things b! #on! 'or th! right r!asonsD
Is it n!c!ssary that thos! ,ho r!"is! an# carry o+t pans sho+#
+n#!rstan# th! !coogica insights ,hich g+i#!# th! Ipann!rsD 5r
sho+# th! origina pann!rs p+t into th! "!ry 'abric o' th!ir pan
coat!ra inc!nti"!s ,hich ,i s!C#+c! thos! ,ho co(! at!r into
carrying o+t th! pan 'or r!asons .+it! #i''!r!nt 'ro( thos! ,hich
inspir!# th! panD
:his is an anci!nt prob!( in !thics an# on! ,hich 2'or !-a(p!3
b!s!ts !"!ry psychiatrist. &ho+# h! b! satis'i!# i' his pati!nt (a*!s
a r!a#J+st(!nt to con"!ntiona i'! 'or n!+rotic or inappropriat!
r!asonsD
:h! .+!stion is not ony !thica in th! con"!ntiona s!ns!, it is
aso an !coogica .+!stion. :h! (!ans by ,hich on! (an
in'+!nc!s anoth!r ar! a part o' th! !coogy o' i#!as in th!ir
r!ationship, an# part o' th! arg!r !coogica syst!( ,ithin ,hich
that r!ationship !-ists.
:h! har#!st saying in th! 0ib! is that o' &t. $a+, a#C#r!ssing th!
1aatians6 9(od is not moc3ed,9 an# this saying appi!s to th!
r!ationship b!t,!!n (an an# his !coogy. It is o' no +s! to p!a#
that a partic+ar sin o' po+tion or !-poitation ,as ony a itt! on!
or that it ,as +nint!ntiona or that it ,as co((itt!# ,ith th! b!st
int!ntions. 5r that 9I' I #i#nIt, so(!bo#y !s! ,o+# ha"!.9 :h!
proc!ss!s o' !coogy ar! not (oc*!#.
5n th! oth!r han#, s+r!y th! (o+ntain ion ,h!n h! *is th!
#!!r is not acting to prot!ct th! grass 'ro( o"!rgra/ing.
In 'act, th! prob!( o' ho, to trans(it o+r !coogica r!asoning
to thos! ,ho( ,! ,ish to in'+!nc! in ,hat s!!(s to +s to b! an
509
!coogicay 9goo#9 #ir!ction is its!' an !coogica prob!(. 8! ar!
not o+tsi#! th! !coogy 'or ,hich ,! pan;,! ar! a,ays an#
in!"itaby a part o' it.
E!r!in i!s th! char( an# th! t!rror o' !coogy;that th! i#!as o'
this sci!nc! ar! irr!"!rsiby b!co(ing a part o' o+r o,n !cosocia
syst!(.
8! i"! th!n in a ,or# #i''!r!nt 'ro( that o' th! (o+ntain ion
;h! is n!ith!r both!r!# nor b!ss!# by ha"ing i#!as abo+t !coogy.
8! ar!.
I b!i!"! that th!s! i#!as ar! not !"i an# that o+r gr!at!st
2!coogica3 n!!# is th! propagation o' th!s! i#!as as th!y #!"!op
;an# as th!y ar! #!"!op!# by th! 2!coogica3 proc!ss o' th!ir
propagation.
510
I' this !sti(at! is corr!ct, th!n th! !coogica i#!as i(picit in
o+r pans ar! (or! i(portant than th! pans th!(Cs!"!s, an# it
,o+# b! 'ooish to sacri'ic! th!s! i#!as on th! atar o'
prag(atis(. It ,i not in th! ong r+n pay to 9s!9 th! pans by
s+p!r'icia ad *ominem arg+(!nts ,hich ,i conc!a or
contra#ict th! #!!p!r insight.
511
T,E PU*9I+,ED WOR/ OF
"RE"OR. *ATE+ON

P/e0a/e+ b1 Ve/* Ca//,22

(5 Boo0s. -e"iews and Articles
1926
9
5n c!rtain ab!rrations o' th! r!#C!gg!# partri#g!s Alectoris rufa an#
sa.atilis.9 Journal of (enetics 166 101C23. 2 ,ith 8. 0at!son3 .
1932a
9
7+rth!r not!s on a sna*! #anc! o' th! 0aining.
9
@ceania ># 334C41.
1932b
9
&ocia str+ct+r! o' th! Iat(+ p!op! o' th! &!pi* 4i"!r 2$arts I an# I I 3 .
9
@ceania ># 245C91.
1932c
9
&ocia str+ct+r! o' th! Iat(+ p!op! o' th! &!pi* 4i"!r 2$art I I I 3 .
9
@ceania 26 401C53.
1935a
9
A+sic in )!, 1+in!a.
9
agle 47, no. 2146 158C70. >
9
:h! =ag! ... a
(aga/in! s+pport!# by (!(b!rs o' &t. John
I
s Co!g!, Ca(bri#g!,
=ngan#. $rint!# at th! %ni"!rsity $r!ss 'or s+bscrib!rs ony.
9
B
^1935b
9
C+t+r! contact an# schis(og!n!sis.
9
,an 356 178C83 2art. 1993.
1936 ;a&en# A Sur&ey of t*e 6ro-lems Suggested -y a "omposite 6icture of
t*e "ulture of a ;e' (uinea !ri-e 8ra'n from !*ree 6oints of Lie'.
Ca(bri#g!6 Ca(bri#g! %ni"!rsity $r!ss. 4!print. )!, For*6 Aac(ian
Co., 1937.
1937
9
An o# t!(p! an# a n!, (yth.
9
8=a'a 176 291C307. :!-t r!print!# in
`
^ Artic!s (ar*!# ,ith an ast!ris* ha"! b!!n inc+#!# in this "o+(!. As a
(att!r o' historica int!r!st, th! occasion 'or ,hich !ach pap!r ,as pr!Cpar!# has
b!!n not!#. 4!printings o' artic!s ha"! g!n!ray b!!n !-c+#!#. 4!a#!rs 'aiing to
'in# a boo* in this bibiography ist!# in a ibrary cataog +n#!r !ith!r th! "o+(!
!#itorIs na(! or th! "o+(! tit! sho+# try oo*ing +n#!r th! tit! o' th! con'!r!nc!
or sy(posi+(, ,hich is ist!# i((!#iat!y pr!c!!#ing th! !#itorIs na(!.
`
^ Artic!s (ar*!# ,ith an ast!ris* ha"! b!!n inc+#!# in this "o+(!. As a (att!r o'
historica int!r!st, th! occasion 'or ,hich !ach pap!r ,as pr!Cpar!# has b!!n not!#.
4!printings o' artic!s ha"! g!n!ray b!!n !-c+#!#. 4!a#!rs 'aiing to 'in# a boo* in this
bibiography ist!# in a ibrary cataog +n#!r !ith!r th! "o+(! !#itorIs na(! or th! "o+(!
tit! sho+# try oo*ing +n#!r th! tit! o' th! con'!r!nc! or sy(posi+(, ,hich is ist!#
i((!#iat!y pr!c!!#ing th! !#itorIs na(!.
512
!raditional <alinese "ulture, !#it!# by Jan! 0!o, pp. 111C36. )!, For*
an# @on#on6 Co+(bia %ni"!rsity $r!ss, 1970. >)ot!6 th! r!print
!-c+#!s 'i"! o' th! !ight origina photographs an# a##s t,o photographs
,hich #o not app!ar in th! origina, b+t ,hich p!rtain to t,o o' th! sa(!
s+bJ!cts app!aring in th! origina.B
^1941a =-p!ri(!nts in thin*ing abo+t obs!r"!# !thnoogica (at!ria.
9
6*ilosop*y of Science F# 53C68. $ap!r r!a# at th! &!"!nth Con'!r!nc! on
A!tho#s in $hiosophy an# th! &ci!nc!s, 28 Apri 1940, at th! )!,
&choo 'or &ocia 4!s!arch, )!, For*, )!, For*.
1941b
9
Ag! con'icts an# ra#ica yo+th.
9
Ai(!ograph!#. )!, For*6
Instit+t! 'or Int!rc+t+ra &t+#i!s. $r!Cpar!# 'or th! Co((itt!! 'or
)ationa Aora!.
1941c
9
:h! 'r+strationCaggr!ssion hypoth!sis an# c+t+r!.
9
6syc*ological
$e&ie' 4F# 350C55. $ap!r r!a# at th! 1940 (!!ting o' th! =ast!rn
$sychoogica Association in th! &y(posi+( on th! =''!cts o'
7r+stration.
1941# $rincip!s o' (ora! b+i#ing.
9
Journal of duca%
tional Sociology 15# 206C20. 2,ith Aargar!t A!a#3.
1941! 4!"i!, o' "onditioning and /earning, by =rn!st 4. Eigar# an#
?ona# 1. Aar.+is. American Ant*ropologist 436 115C16.
1941' 4!"i!, o' ,at*ematico%8educti&e !*eory of $ote /earning, by Car*
@. E+ !t a. American Ant*ropologist 436 116C18.
1942a <alinese "*aracter# A 6*otograp*ic Analysis. &p!cia $+bications o'
th! )!, For* Aca#!(y o' &ci!nc!s, "o. 2. )!, For*6 )!, For*
Aca#!(y o' &ci!nc!s. 2,ith Aargar!t A!a#3.
1942b
9
&o(! syst!(atic approach!s to th! st+#y o' c+t+r! an# p!rsonaity.
9
"*aracter and 6ersonality 116 76C82. 4!print!# in 6ersonal "*aracter
and "ultural ,ilieu, !#it!# by ?o+gas 1. Earing, pp. 71C77. &yrac+s!,
)!, For*, 1948. 4!". !#. &yrac+s! %ni". $r!ss, 1949.
^1942c Co((!nt on
9
:h! co(parati"! st+#y o' c+t+r! an# th! p+rposi"!
c+ti"ation o' #!(ocratic "a+!s,
9
by Aargar!t A!a#. In Science,
6*ilosop*y and $eligion0 Second Symposium 2h!# 8C11 &!pt!(b!r
1941, at )!, For*, )!, For*3. Con'!r!nc! on &ci!nc!, $hiosophy an#
4!igion. =#it!# by @y(an 0ryson an# @o+is 7in*!st!in, pp. 81C97.
)!, For*6 Con'!r!nc! on &ci!nc!, $hiosophy an# 4!igion in :h!ir
4!ation to th! ?!(ocratic 8ay o' @i'!, Inc. 4!print!# ,i#!y +n#!r th!
tit!
9
&ocia panning an# th! conc!pt o' #!+t!roC!arning.
H1942#
9
Aora! an# nationa charact!r.
9
In "i&ilian ,orale. &oci!ty 'or th!
$sychoogica &t+#y o' &ocia Iss+!s, &!con# F!arboo*. =#it!# by
1oo#,in 8atson, pp. 71C91. 0oston6 Eo+ghton Ai''in Co. 2'or 4!yna
X Eitchcoc*, )!, For*3.
1943a
9
C+t+ra an# th!(atic anaysis o' 'ictiona 'i(s.
9
!ransactions of
t*e ;e' Tor3 Academy of Sciences, s!ri!s 2, "o. 5, no. 46 7>%7F. An
a##r!ss to th! )!, For* Aca#!(y o' &ci!nc!s, 18 Jan+ary 1943.
4!Cprint!# in 6ersonal "*aracter and "ultural ,ilieu, !#it!# by
?o+gas 1. Earing, pp. 117C23. &yrac+s!, )!, For*, 1948.
513
1943b
9
An anaysis o' th! 'i( 1itler=unge Aue. 219333.
9
Ai(!ograph!#. )!,
For*6 A+s!+( o' Ao#!rn Art 7i( @ibrary. Aicro'i( copy (a#! in
1965 by 1raphic Aicro'i( Co. Abstract!# in !*e Study of "ulture at a
8istance, !#it!# by Aargar!t A!a# an# 4ho#a Aatra+-, pp. 302C14.
Chicago6 %ni"!rsity o' Chicago $r!ss, 1953. A copy o' th! 'irst thr!!
r!!s o' this 'i(, ,ith anaytic tit!s by 1r!gory 0at!son, is in th!
A+s!+( o' Ao#!rn Art 7i( @ibrary.
1943c
9
E+(an #ignity an# th! "ari!ti!s o' ci"ii/ation.
9
In Science, 6*ilosop*y
and $eligion0 !*ird Symposium, 2h!# 27C31 A+g+st 1942, at )!, For*,
)!, For*3. Con'!r!nc! on &ci!nc!, $hiosophy an# 4!igion. =#it!# by
@y(an 0ryson an# @o+is 7in*!st!in, pp. 245C55. )!, For*6 Con'!r!nc!
on &ci!nc!, $hiosophy an# 4!igion in :h!ir 4!ation to th! ?!(ocratic
8ay o' @i'!, Inc.
1943# ?isc+ssion conc!rning
9
:h! sci!nc! o' #!c!ncy.
9
6*ilosop*y of Science
106 140C42.
1944a
9
$sychoogy;in th! 8ar an# a't!r 2$art GII36 Aat!ria on cont!(porary
p!op!s.
9
Junior "ollege Journal 146 308C11.
1944b 9$i#gin =ngish an# crossCc+t+ra co((+nication.
9
!ransactions of t*e
;e' Tor3 Academy of Sciences, s!ri!s 2, "o. 6, no. 46 137C41. $ap!r r!a#
to th! )!, For* Aca#!(y o' &ci!nc!s, &!ction o' Anthropoogy, 24
Jan+ary 1944.
1944c
9
C+t+ra #!t!r(inants o' p!rsonaity.
9
In 6ersonality and t*e <e*a&ior
8isorders, "o. 2, !#it!# by Jos!ph AcG. E+nt, pp. 714C35. )!, For*6
4ona# $r!ss Co.
1944#
9
7or( an# '+nction o' th! #anc! in 0ai.
9
In !*e Junction of 8ance in
1uman Society# A Seminar 8irected -y Jran:is3a <oas, pp. 46C52. 0oas
&choo. )!, For*6 :h! 0oas &choo. 2,ith Cair Eot3. 4!Cprint!# in
!raditional <alinese "ulture, !#it!# by Jan! 0!o, pp. 322C30. )!, For*
an# @on#on6 Co+(bia %ni"!rsity $r!ss, 1970.
1944!
9
A A!an!sian c+t+r!Ccontact (yth in pi#gin =ngish.
9
Journal of
American Jol3lore 57, no. 2266 255C62. 2 ,ith 4ob!rt Ea, Jr.3.
1946a 9$hysica thin*ing an# socia prob!(s.
9
Science 103,
no. 2686 221 J+n! 19463 6 717C18.
1946b
9
Arts o' th! &o+th &!as.
9
Art <ulletin 286 119C23. 4!"i!, o' an !-hibit
h!# 29 Jan+ary 1946;19 Aay 1946, at th! A+s!+( o' Ao#!rn Art,
)!, For*, )!, For*.
1946c
9
:h! patt!rn o' an ar(a(!nts rac!, $art I6 An anthropoogica approach.
9
<ulletin of t*e Atomic Scientists >, nos. 5 X 66 10C11. 4!print!# in
6ersonal "*aracter and "ultural ,ilieu, !#it!# by ?o+gas 1. Earing,
pp. 85C88. &yrac+s!, )!, For*, 1948.
1946#
9
:h! patt!rn o' an ar(a(!nts rac!, $art II6 An anaysis o' nationais(.
9
<ulletin of t*e Atomic Scientists >, nos. 7 X 86 26C28. 4!print!# in
6ersonal "*aracter and "ultural ,ilieu, !#it!# by ?o+gas 1. Earing,
pp. 89C93. &yrac+s!, )!, For*, 1948.
1946! 97ro( on! socia sci!ntist to anoth!r.
9
American
Scientist 34 25ctob!r 19463 6 648 i'.
514
1946' 9$rot!cting th! '+t+r!.9 @!tt!r to th! ;e' Tor3
!imes, 8 ?!c!(b!r 1946, s!ction 4, p. 10.
1947a 9&!- an# c+t+r!.
9
Annals of t*e ;e' Tor3 Academy of Sciences 476 647C
60. $ap!r r!a# to th! Con'!r!nc! on $hysioogica an# $sychoogica
7actors in &!- 0!ha"ior, )!, For* Aca#!(y o' &ci!nc!s, &!ctions o'
0ioogy an# $sychoogy, 1 Aarch 1946. 4!print!# in 6ersonal
"*aracter and "ultural ,ilieu, !#it!# by ?o+gas 1. Earing, pp. 94C
107. &yrac+s!, )!, For*, 1948.
1947b 9Ato(s, nations, an# c+t+r!s.
9
International 1ouse Auarterly 11, no. 26
47C50. @!ct+r! #!i"!r!# 23 Aarch 1947, at Int!rnationa Eo+s!,
Co+(bia %ni"!rsity.
1947c 4!"i!, o' !*e !*eory of 1uman "ulture, by Ja(!s
7i!b!(an. 6olitical Science Auarterly 626 428C30.
^1949a 90ai6 :h! "a+! syst!( o' a st!a#y stat!.
9
In Social Structure# Studies
6resented to A. $. $adcliffe%<ro'n, !#it!# by A!y!r 7ort!s, pp. 35C53.
5-'or#6 Car!n#on $r!ss. 4!print. )!, For*6 4+ss! X 4+ss!, 1963.
1949b 9&tr+ct+r! an# proc!ss in socia r!ations.
9
6syc*iatry 126 105C24. 2,ith
J+rg!n 4+!sch3.
1951a "ommunication# !*e Social ,atri. of 6syc*iatry. )!, For*6 8. 8.
)orton X Co.L :oronto6 1!org! Ac@!o#. 2,ith J+rg!n 4+!sch3. 4!print.
)!, For*6 )orton, 1968.
^1951b
9
A!taog+!6 8hy #o 7r!nch(!nD
9
In Impulse, Annual of "ontemporary
8ance, 1951, !#it!# by Aarian Gan :+y. &an 7rancisco6 I(p+s!
$+bications, 1951. 4!print!# in !".# A $e&ie' of (eneral Semantics
10 219533 6 127C30. 4!print!# aso in Ant*ology of Impulse, Annual of
"ontemporary 8ance, 1951%19GG, !#it!# by Aarian Gan :+y. 0roo*yn6
?anc! Eori/ons, 1969.
1952
9
Appi!# (!taing+istics an# int!rnationa r!ations.
9
!".# A $e&ie' of
(eneral Semantics 106 71C73.
1953a
9
An anaysis o' th! )a/i 'i( 1itler=unge Aue..
9
In !*e Study of "ulture
at a 8istance, !#it!# by Aargar!t A!a# an# 4ho#a Aatra+-, pp. 302C14.
Chicago6 %ni"!rsity o' Chicago $r!ss. Abstract by Aargar!t A!a# o'
9
An Anaysis o' :h! 7i( 1itler=unge Aue. 219333W by 1r!gory 0at!son.
2c'. 0at!son 1943b3.
1953b
9
:h! position o' h+(or in h+(an co((+nication.
9
In "y-ernetics#
"ircular "ausal and Jeed-ac3 ,ec*anisms in <iological and Social
Sciences0 !ransactions of t*e ;int* "onference 2h!# 20C21 Aarch
1952, at )!, For*, )!, For*3. Con'!r!nc! on Cyb!rn!tics. =#it!# by
E!in/ Gon 7o!rst!r, pp. 1C47. )!, For*6 Josiah Aacy, Jr. 7o+n#ation.
^1953c 9A!taog+!6 Abo+t ga(!s an# b!ing s!rio+s.
9
!".# A $e&ie' of
(eneral Semantics 106 213C17.
^1953#
9
A!taog+!6 ?a##y, ho, (+ch #o yo+ *no,D
9
!".# A $e&ie' of
(eneral Semantics 106 311C15. 4!Cprint!# h!r!in as
9
A!taog+!6 Eo,
(+ch #o yo+ *n
o,
DII
^1953!
9
A!taog+!6 8hy #o things ha"! o+tin!sD
9
!".# A $e&ie' of
(eneral Semantics 116 59C63.
515
^1953'
9
A!taog+!6 8hy a s,anD
9
In Impulse, Annual of "ontemporary
8ance, 1954, !#it!# by Aarian Gan :+y, pp. 23C26. &an 7rancisco6
I(p+s! $+bications. 4!print!# in Ant*ology of Impulse, Annual of
"on%temporary 8ance, 1951%19GG, !#it!# by Aarian Gan :+y, pp.
95C99. 0roo*yn6 ?anc! Eori/ons, 1969.
1955a
9
A th!ory o' pay an# 'antasyL a r!port on th!or!tica asp!cts o' th!
proJ!ct 'or st+#y o' th! ro! o' para#o-!s o' abstraction in
co((+nication.
9
Approac*es to t*e Study of 1uman 6ersonality, pp. 39Y
51. A(!rican $sychiatric Association. $sychiatric 4!s!arch 4!ports, no.
2. $ap!r #!i"!r!# to a sy(posi+( o' th! A(!rican $sychiatric
Association on C+t+ra, Anthropoogica, an# Co((+nications
Approach!s, 11 Aarch 1954, at A!-ico City.
^1955b 9Eo, th! #!"iant s!!s his soci!ty.
9
In !*e pidemiology of ,ental
1ealt*, pp. 25Y31. Ai(!ograph!#. An Instit+t! &ponsor!# by th!
?!part(!nts o' $sychiatry an# $sychoogy o' th! %ni"!rsity o' %tah,
an# by th! G!t!rans A#(inistration Eospita, 7ort ?o+gas ?i"ision, &at
@a*! City, %tah, Aay 1955, at 0righton, %tah. 4!print!# h!r!in, !#it!#,
as
9
:h! !pi#!(ioogy o' a schi/ophr!nia.
9
1956a 9:h! (!ssag! N:his is pay
I
.
9
In (roup 6rocesses0 !ransactions of t*e
Second "onference 2h!# 9C12 5ctob!r 1955, at $rinc!ton, )!, J!rs!y3.
Con'!r!nc! on 1ro+p $roc!ss!s. =#it!# by 0!rtra( &cha''n!r, pp. 145Y
242. )!, For*6 Josiah Aacy, Jr. 7o+n#ation.
1956b 9Co((+nication in occ+pationa th!rapy.
9
American Journal of
@ccupational !*erapy 106 188.
^1956c 9:o,ar# a th!ory o' schi/ophr!nia.
9
<e*a&ioral Science 16 251Y64. 2,ith
?on ?. Jac*son, Jay Ea!y, an# John 8!a*an#3.
1958a )a"!n6 A &+r"!y o' th! $rob!(s &+gg!st!# by a Co(posit! $ict+r! o'
th! C+t+r! o' a )!, 1+in!a :rib! ?ra,n 'ro( :hr!! $oints o' Gi!,.
2n# !#., ,ith a##!# 9=piog+! 1958.9 &tan'or#6 &tan'or# %ni"!rsity
$r!ssL @on#on6 5-'or# %ni"!rsity $r!ss. 4!print. &tan'or#6 &tan'or#
%ni"!rsity $r!ss, 1965L @on#on6 5-'or# %ni"!rsity $r!ss, 1965.
2c'. 0at!son 19363.
1958b 9@ang+ag! an# psychoth!rapy;7ri!#a 7ro((C4!ich(annIs ast
proJ!ct.9 $sychiatry 216 96C100. :h! 7ri!#a 7ro((C4!ich(ann
A!(oria @!ct+r!, #!Ci"!r!# 3 J+n! 1957, at th! G!t!rans A#(inistration
Eospita, $ao Ato, Cai'ornia.
1958c &chi/ophr!nic #istortions o' co((+nication.9 In $sychoth!rapy o'
Chronic &chi/ophr!nic $ati!nts. &!a Isan# Con'!r!nc! on
$sychoth!rapy o' Chronic &chi/ophr!nic $ati!nts, sponsor!# by @itt!,
0ro,n X Co., 15Y17 5ctob!r 1955, at &!a Isan#, 1!orgia. =#it!# by
Car A. 8hita*!r, pp. 31Y56. 0oston an# :oronto6 @itt!, 0ro,n X
Co.L @on#on6 J. X A. Ch+rchi.
1958#
9
Anaysis o' gro+p th!rapy in an a#(ission ,ar#, %nit!# &tat!s
)a"a Eospita, 5a*an#, Cai'ornia.
9
In Social 6syc*iatry in Action#
A !*erapeutic "ommunity, by Earry A. 8i(!r, pp. 334;49.
&pring'i!#, Iinois6 Char!s C. :ho(as.
516
1958! :h! n!, conc!pt+a 'ra(!s 'or b!ha"iora r!s!arch.
9
In 6roceedings
of t*e Si.t* Annual 6syc*iatric Institute 2h!# 17 &!pt!(b!r 1958, at
th! )!, J!rs!y )!+roC$sychiatric Instit+t!, $rinc!ton, )!,
J!rs!y3, pp. 54C71. n.p.
1959a @!tt!r in r!spons! to
9
4o! an# stat+s o' anthropoogica th!ori!s,
by &i#n!y Aorganb!ss!r. Science 129 26 7!br+ary 19593 6 294;
98.
1959b an! 4!"i!,. In Indi&idual and Jamilial 8ynamics. Go. >, Science and
6syc*oanalysis. >4!port o' a con'!r!nc! h!# in Aay 1958, at th!
Aca#!(y o' $sychoCanaysis, Chicago.B Aca#!(y o'
$sychoanaysis, Chicago. =#it!# by J+!s E. Aass!r(an, pp. 207;
11. )!, For*6 1r+n! X &tratton.
1959c 9C+t+ra prob!(s pos!# by a st+#y o' schi/ophr!nic proc!ss.
9
In
Sc*i:op*renia0 an Integrated Approac*. >A(!rican $sychiatric
Association sy(posi+( o' th! Ea,aiian ?i"isiona A!!ting, 1958,
&an 7rancisco.B &y(posi+( on &chi/ophr!nia. =#it!# by A'r!#
A+!rCbac*, pp. 125C48. )!, For*6 4ona# $r!ss Co.
H1960a 9:h! gro+p #yna(ics o' schi/ophr!nia.
9
In "*ronic Sc*i:op*renia0
.plorations in !*eory and !reatment. Instit+t! on Chronic
&chi/ophr!nia an# Eospita :r!at(!nt $rogra(s, &tat! Eospita,
5sa,ato(i!, <ansas, 1;3 5ctob!r 1958. =#it!# by @a,r!nc! App!by,
Jor#an A. &ch!r, an# John C+((ing, pp. 90C105. 1!nco!, Iinois6 7r!!
$r!ssL @on#on6 Coi!rCAac(ian.
^1960b 9Aini(a r!.+ir!(!nts 'or a th!ory o' schi/ophr!nia.9 Archi"!s o'
1!n!ra $sychiatry 26 477C91. &!con# ann+a Ab!rt ?. @as*!r A!(oria
@!ct+r!, #!i"!r!# 7 Apri 1959, at th! Instit+t! 'or $sychoso(atic an#
$sychiatric 4!s!arch an# :raining o' th! Aicha! 4!!s! Eospita,
Chicago.
1960c ?isc+ssion o' 97a(ii!s o' schi/ophr!nic an# o' ,! chi#r!n,9 by
&a(+! J. 0!c*. A(!rican Jo+rna o' 5rthopsychiatry 306 263;66. 36th
Ann+a A!!ting o' th! A(!rican 5rthopsychiatric Association, 30
Aarch;1 Apri 1959, &an 7rancisco.
1961a !rc!"aIs )arrati"!6 A $ati!ntIs Acco+nt o' Eis $sychosis, 1830C1832, by
John $!rc!"a. =#it!# an# ,ith an Intro#+ction by 1r!gory 0at!son.
&tan'or#6 &tan'or# %ni"!rsity $r!ssL @on#on6 Eogarth $r!ss, 1962.
1961b :h! biosocia int!gration o' b!ha"ior in th! schi/ophr!nic 'a(iy.9 In
=-poring th! 0as! 'or 7a(iy :h!rapy. A. 4ob!rt 1o(b!rg A!(oria
Con'!r!nc! 2h!# 2C3 J+n! 1960, at th! )!, For* Aca#!(y o'
A!#icin!3. =#it!# by )athan 8. Ac*!r(an, 7ranc!s @. 0!at(an, an#
&an'or# ). &h!r(an, pp. 116C22. )!, For*6 7a(iy &!r"ic! Association
o' A(!rica.
1961c 97or(a r!s!arch in 'a(iy str+ct+r!.9 In =-poring th! 0as! 'or 7a(iy
:h!rapy. A. 4ob!rt 1o(b!rg A!(oria Con'!r!nc! 2h!# 2C3 J+n!
1960, at th! )!, For* Aca#!(y o' A!#icin!3. =#it!# by )athan 8.
Ac*!r(an, 7ranc!s @. 0!at(an, an# &an'or# ). &h!r(an, pp. 136C40.
)!, For*6 7a(iy &!r"ic! Association o' A(!rica.
517
1963a 9A socia sci!ntist "i!,s th! !(otions.9 In =-pr!ssion o' th! =(otions in
Aan. &y(posi+( on =-pr!ssion o' th! =(otions in Aan 2h!# at th!
(!!ting o' th! A(!rican Association 'or th! A#"anc!(!nt o' &ci!nc!,
29C30 ?!c!(b!r, at )!, For*, )!, For*3. =#it!# by $!t!r E. <napp,
pp. 230C36. )!, For*6 Int!rCnationa %ni"!rsiti!s $r!ss.
1963b 9=-chang! o' in'or(ation abo+t patt!rns o' h+(an b!ha"ior.I In
In'or(ation &torag! an# )!+ra Contro. Eo+ston )!+roogica &oci!ty
:!nth Ann+a &ci!nti'ic A!!ting, 1962, Jointy sponsor!# by th! ?!C
part(!nt o' )!+roogy, 0ayor %ni"!rsity Co!g! o' A!#icin!, :!-as
%ni"!rsity A!#ica C!nt!r. =#it!# by 8iia( &. 7i!#s an# 8at!r
Abbott, pp. 173C86, &pring'i!#, IinoisL Char!s C. :ho(as.
1963c A not! on th! #o+b! bin#.9 In 7a(iy $roc!ss 26 154C61. 2,ith ?on ?.
Jac*son, Jay Ea!y, an# John E. 8!a*an#3 .
^1963# 9:h! ro! o' so(atic chang! in !"o+tion.9 ="o+tion
176 529C39.
1964 &o(! "ari!ti!s o' pathog!nic organi/ation.9 In ?isor#!rs o'
Co((+nication. $roc!!#ings o' th! Association, 7 X 8 ?!c!(b!r 1962,
at )!, For*, )!, For*. Association 'or 4!s!arch in )!r"o+s an#
A!nta ?is!as!, 4!s!arch $+bications, "o. 42. =#it!# by ?a"i# Ac<.
4ioch an# =#,in A. 8!inst!in, pp. 270C90. 0ati(or!6 8iia(s X
8i*ins Co.L =#inb+rgh6 =. X &. @i"ingston!. 2,ith ?on ?. Jac*son3.
1966a 9Co((+nication th!ori!s in r!ation to th! !tioogy o' th! n!+ros!s.9 In
:h! =tioogy o' th! )!+ros!s. >4!port o' a sy(posi+( sponsor!# by th!
&oci!ty o' A!#ica $sychoanaysts, 17Y18 Aarch 1962, at )!, For*,
)!, For*.B =#it!# by Jos!ph E. A!rin, pp. 28Y35, $ao Ato, Cai'ornia6
&ci!nc! X 0!ha"ior 0oo*s.
1966b &ipp!ry th!ori!s.9 Co((!nt on 97a(iy int!raction an# schi/ophr!nia6
A r!"i!, o' c+rr!nt th!ori!s,9 by =iot 1. Aish!r an# )ancy =. 8a-!r.
Int!rnationa Jo+rna o' $sychiatry 26 415Y17. 4!print!# in 7a(iy
$roc!ss!s an# &chi/ophr!nia, !#it!# by =iot 1. Aish!r an# )ancy =.
8a-i!r. )!, For*6 &ci!nc! Eo+s!, 1969.
H1966c 9$rob!(s in c!tac!an an# oth!r (a((aian co((+nication.9 In
8ha!s, ?ophins, an# $orpois!s. Int!rnationa &y(posi+( on C!tac!an
4!s!arch 2sponsor!# by th! A(!rican Instit+t! o' 0ioogica &ci!nc!s,
A+g+st 1963, 8ashington, ?.C.3. =#it!# by <!nn!th &. )orris, pp. 569C
79. 0!r*!!y an# @os Ang!!s6 %ni"!rsity o' Cai'ornia $r!ss.
^1967a Cyb!rn!tic !-panation.9 A(!rican 0!ha"iora &ci!ntist 10, no. 6 2Apri
19673 6 29C32.
1967b 4!"i!, o' $!rson, :i(!, an# Con#+ct in 0ai, by Ci''or# 1!!rt/.
A(!rican Anthropoogist 696 765C66.
^1968a 94!#+n#ancy an# co#ing.9 In Ani(a Co((+nicationL :!chni.+!s o'
&t+#y an# 4!s+ts o' 4!s!arch. >4!Cport o' th! 8!nn!rC1r!n Con'!r!nc!
on Ani(a Co((+nication, h!# 13Y22 J+n! 1965, at 0+rg 8art!nst!in,
A+stria.B =#it!# y :ho(as A. &!b!o*, pp. 614Y26. 0oo(ington, In#iana
an# @on#on6 In#iana %ni"!rsity $r!ss.
1968b 4!"i!, o' $ri(at! =thoogy, !#it!# by ?!s(on# Aorris. A(!rican
518
Anthropoogist 706 1035.
^1968c Conscio+s p+rpos! "!rs+s nat+r!.9 In :h! ?ia!ctics o' @ib!ration, !#it!#
by ?a"i# Coop!r, pp. 34Y49. Congr!ss on th! ?ia!ctics o' @ib!ration,
h!# 15Y30 J+y 1967, at @on#on. Ear(on#s,orth, =ngan#L 0ati(or!,
Aaryan#L Gictoria, A+straia6 $!ng+in 0oo*s, $!ican 0oo*s. 4!print!#
+n#!r tit!6 :o 7r!! a 1!n!rationL th! ?ia!ctics o' @ib!ration. )!, For*6
Aac(ian Co., Coi!r 0oo*s, 1969.
^1969a A!taog+!6 8hat is an instinctD9 In Approach!s to Ani(a
Co((+nication, !#it!# by :ho(as A. &!b!o* an# A!-an#ra 4a(say,
pp. 11Y30. :h! Eag+! an# $aris6 Ao+ton X Co.
1969b Co((!nt on 9:h! st+#y o' ang+ag! an# co((+nication across
sp!ci!s,9 by Ear"!y 0. &ar!s. C+rr!nt Anthropoogy 106 215.
1970a 9An op!n !tt!r to Anato 4apoport.9 =:C.6 A 4!C
"i!, o' 1!n!ra &!(antics 276 359;63.
^1970b 5n !(ptyCh!a#!#n!ss a(ong bioogists an# stat!
boar#s o' !#+cation.9 0io&ci!nc! 206 819.
H1970c 97or(, s+bstanc! an# #i''!r!nc!.9 1!n!ra &!(antics 0+!tin "o. 37.
19th Ann+a A'r!# <or/ybs*i A!(oria @!ct+r!, #!i"!r!# 9 Jan+ary
1970, at )!, For*, )!, For*.
1970# :h! (!ssag! o' r!in'orc!(!nt.9 In @ang+ag! 0!ha"ior6 A 0oo* o'
4!a#ings in Co((+nication, !#it!# by Johnny! A*in !t a., pp. 62;72
Jan+a @ing+ar+(, s!ri!s (aior, 41. :h! Eag+!6 Ao+ton X Co.
^1971a 9:h! cyb!rn!tics o' Ns!'I6 A th!ory o' acohois(.9
$sychiatry 346 1;18.
^ 1971b 9A !C!-a(ination o' N0at!sonIs 4+!I.9 Jo+rna o'
1!n!tics, in pr!ss.
1971c A syst!(s approach.9 ="a+ation o' 97a(iy th!rapy,I by Jay Ea!y.
Int!rnationa Jo+rna o' $sychiatry 96 242C44.
1971# 9Intro#+ction9 to :h! )at+ra Eistory o' an Int!rC"i!,. %ni"!rsity o'
Chicago @ibrary Aicro'i( Co!ction o' Aan+scripts in C+t+ra
Anthropoogy, s!ri!s 15, nos. 95;98.
^1971! 9A!taog+!6 8hy #o things g!t in a (+##!D9
$r!"io+sy +np+bish!#. 2,ritt!n 19483.
^1971' 97ro( G!rsai!s to cyb!rn!tics.9 @!ct+r! gi"!n to th! :,o 8or#s
&y(posi+(, 21 Apri 1966, at &acra(!nto &tat! Co!g!, Cai'ornia.
$r!"io+sy +np+bish!#.
^1971g 9&ty!, grac! an# in'or(ation in pri(iti"! art.9 In :h! &t+#y o' $ri(iti"!
Art. >4!port o' th! 8!nn!rC1r!n &y(posi+( on $ri(iti"! Art an#
&oci!ty, h!# 27 J+n!;5 J+y 1967, at 0+rg 8art!nst!in, A+stria.B =#it!#
by Anthony 7org!. )!, For*6 5-'or# %ni"!rsity $r!ss, 'orthco(ing.
^1971h 9:h! ogica cat!gori!s o' !arning an# co((+nication, an# th!
ac.+isition o' ,or# "i!,s.9 $ap!r gi"!n at th! 8!nn!rC1r!n &y(posi+(
on 8or# Gi!,s6 :h!ir )at+r! an# :h!ir 4o! in C+t+r!, 2;11 A+g+st
1968, at 0+rg 8art!nst!in, A+stria. $r!"io+sy +np+bish!#. $+bish!#
h!r!in as 9:h! ogica cat!gori!s o' !arning an# co((+nication.9
^1971i 9$athoogi!s o' !pist!(oogy.9 In A!nta E!ath 4!s!arch in Asia an#
519
th! $aci'ic, "o. 2. >4!port o' th! &!con# Con'!r!nc! on C+t+r! an#
A!nta E!ath in Asia an# th! $aci'ic, h!# 17Y21 Aarch 1969, at
Eono++, Ea,aii.B =#it!# by 8iia( $. @!bra. Eono++6 =astC8!st
C!nt!r $r!ss, 'orthco(ing.
^1971J 9?o+b! bin#, 1969.9 $ap!r gi"!n at th! Ann+a A!!ting o' th! A(!rican
$sychoogica Association, 2 &!pt!(b!r 1969, at 8ashington, ?.C.
$r!"io+sy +np+bish!#.
^1971* 9&tat!(!nt on prob!(s ,hich ,i con'ront th! proCpos!# 5''ic! o'
=n"iron(!nta V+aity Contro in go"!rn(!nt an# an =n"iron(!nta
C!nt!r at th! %ni"!rsity o' Ea,aii.9 $r!par!# 'or th! %ni"!rsity o'
Ea,aii Co((itt!! on =coogy an# Aan, as t!sti(ony b!'or! a
co((itt!! o' th! Ea,aii &tat! &!nat!, 1970. $r!"io+sy +np+bish!#.
$+bish!# h!r!in as 9:h! roots o' !coogica crisis.9
H19711 4!str+ct+ring th! !coogy o' a gr!at city.9 $ap!r pr!par!# 'or th! 8!nn!rC
1r!n &y(posi+( on 4!Cstr+ct+ring th! =coogy o' a 1r!at City, h!#
26Y31 5ctob!r 1970, in )!, For* City. $r!"io+sy +np+bish!#.
$+bish!# h!r!in as 9=coogy an# '!-ibiity in +rban ci"ii/ation.9
^1971( :h! sci!nc! o' (in# an# or#!r.9 In &t!ps to an =coogy o' Ain#, by
1r!gory 0at!son. &an 7rancisco6 Chan#!r. )!, For*6 0aantin! 0oo*s.
1971n @a cara(oni! #+ na"!n6 !s prob!(!s pos!s par a #!scription so+s trois
rapports #I+n! trib+ #! no+"!!g+in!!. :ransat!# by J!anC$a+ @ato+ch!
an# )i(!t &a'o+anL transation !#it!# by J!anCCa+#! Cha(bor!#on an#
$asca! Aai#i#i!r. $aris6 @!s =#itions #! Ain+it.
((5 +il#s
:h! 'oo,ing 'i(s in th! s!ri!s Charact!r 7or(ation in ?i''!r!nt C+t+r!s,
pro#+c!# in coaboration ,ith Aargar!t A!a# 'or th! Instit+t! 'or Int!rc+t+ra
&t+#i!s, ,!r! r!!as!# in 1951 by th! )!, For* %ni"!rsity 7i( @ibrary, )!,
For*, )!, For* 10003. A ar! 16 ((, bac* an# ,hit!, so+n#6
A <alinese Jamily, > r!!s.
<at*ing <a-ies in !*ree "ultures, 1 r!!.
"*ild*ood $i&alry in <ali and ;e' (uinea, > r!!s.
Jirst 8ays in t*e /ife of a ;e' -uinea Ba$y, > r!!s.
Bar-a
D
s Jirst .ears, % r!!s.
!rance and 8ance in Bali, > r!!s.
:h! 'oo,ing 'i(s, pro#+c!# by 1r!gory 0at!son, ar! as y!t not co((!rciay
a"aiab!. 0oth ar! 16((, bac* an# ,hit!, so+n#6
"ommunication in !*ree Jamilies, > r!!s.
!*e ;ature of 6lay76art I# $i&er @tters, 1 r!!.
520
521