Grcgnry Batcsnn
}ason Aionson Inc.
NoilhvaIe, Nev }eisey
ßaIinese Iainling ( Ida ßagus Djali Suia, ßaluan, 1937 ) jAna|qsis, p. 147]
Copyiighl ® 1972, 1987 ly }ason Aionson Inc.
1O 9 8 7 6 5 4 3 2 1
AII iighls ieseived. Iiinled in lhe Uniled Slales of Aneiica. No pail of lhis look
nay le used oi iepioduced in any nannei vhalsoevei vilhoul viillen peinission
fion ]ascn Arcnscn |nc. excepl in lhe case of liief quolalions in ievievs foi incIusion
in a nagazine, nevspapei, oi lioadcasl.
Liliaiy of Congiess CalaIoging-in-IulIicalion Dala
ßaleson, Ciegoiy.
Sleps lo an ecoIogy of nind.
(ChandIei pulIicalions foi heaIlh sciences)
Repiinl. OiiginaIIy pulIished: San Iianciso :
ChandIei Iul. Co., 1972. Wilh nev pief.
CoIIeclion of ailicIes iepiinled fion vaiious
¨The pulIished voik of Ciegoiy ßaleson¨: p.
IncIudes index.
1. AnlhiopoIogy, CuIluiaI~CoIIecled voiks.
2. KnovIedge, Theoiy of~CoIIecled voiks. 3. Isychialiy ~ CoIIecled voiks. 4.
LvoIulion ~ CoIIecled voiks.
I. TilIe. II. Seiies. |DNLM: 1. AnlhiopoIogy, CuIluiaI~coIIecled voiks. 2.
LcoIogy ~ coIIecled voiks.
LvoIulion ~ coIIecled voiks. 4. Schizophienic
IsychoIogy~coIIecled voiks. 5. Thinking~coIIecled
voiks. CN 6 ß329s 1972aj
CN6.ß3 1987 3O6 87-24133
ISßN O-87668-95O-O
CONTENT5 ............................................................... ................... 4
1.1 1971 IRLIACL 6
1.2 1987 IRLIACL 8
2 Part I: Mcta!ngucs ............................................. ....................... 21
2.1 MelaIoque: Why Do Things Cel in a MuddIe` 22
2.2 MelaIogue: Why Do Iienchnen` 26
2.3 MelaIogue: Aloul Canes and ßeing Seiious 3O
2.4 MelaIogue: Hov Much Do You Knov` 35
2.5 MelaIogue: Why Do Things Have OulIines` 39
2.6 MelaIogue: Why a Svan` 43
2.7 MelaIoque: Whal Is an Inslincl` 47
3 Part II: Fnrm and Pattcrn In Anthrnpn!ngy ................... ....... 63
3.1 CuIluie Conlacl and Schisnogenesis 64
3.2 Lxpeiinenls in Thinking aloul Olseived LlhnoIogicaI MaleiiaI 72
3.3 MoiaIe and NalionaI Chaiaclei 82
3.4 ßaIi: The VaIue Syslen of a Sleady Slale 94
3.5 SlyIe, Ciace, and Infoinalion in Iiinilive Ail 1O8
3.6 Connenl on Iail II 124
4 Part III: Fnrm and Pathn!ngy In Rc!atInnshIp ................... 126
4.1 SociaI IIanning and lhe Concepl of Deuleio-Leaining 127
4.2 A Theoiy of IIay and Ianlasy 139
4.3 LpidenioIogy of a Schizophienia 15O
4.4 Tovaid a Theoiy of Schizophienia 154
4.5 The Cioup Dynanics of Schizophienia 172
4.6 MininaI Requiienenls foi a Theoiy of
Schizophienia 182
4.7 DoulIe ßind, 1969 199
4.8 The LogicaI Calegoiies of Leaining and Connunicalion 2O4
4.9 The Cyleinelics of ¨SeIf¨: A Theoiy of AIcohoIisn 224
4.1O Connenl on Iail III 243
5 Part IV: BIn!ngy and Evn!utInn .................................. .......... 244
5.1 On Lnply-Headedness Anong ßioIogisls and
Slale ßoaids of Lducalion 245
5.2 The RoIe of Sonalic Change in LvoIulion 247
5.3 IiolIens in Celacean and Olhei MannaIian Connunicalion* 259
5.4 A Re-exaninalion of ¨ßaleson´s RuIe¨ 269
5.5 Connenl on Iail IV 284
6 Part V: EpIstcmn!ngy and Ecn!ngy ................... ................... 286
6.1 Cyleinelic LxpIanalion 287
6.2 Redundancy and Coding 295
6.3 Lffecls of Conscious Iuipose on Hunan Adaplalion 313
6.4 Ioin, Sulslance, and Diffeience 318
6.5 Connenl on Iail V 329
7 Part VI: CrIsIs In thc Ecn!ngy nf MInd ............................... . 330
7.1 Iion VeisaiIIes lo Cyleinelics 331
7.2 IalhoIogies of LpislenoIogy 337
7.3 The Rools of LcoIogicaI Ciisis 343
7.4 LcoIogy and IIexiliIily in Uilan CiviIizalion 347
7.5 The IulIished Woik of Ciegoiy ßaleson 355
1.1 1971 PRE|ACE
I have leen one of Ciegoiy ßaleson
s sludenls foi lhiee yeais and I vas alIe lo
heIp hin seIecl lhe essays vhich aie heie lioughl logelhei foi lhe fiisl line in one
voIune. I leIieve lhal lhis is a veiy inpoilanl look, nol onIy foi lhose vho aie
piofessionaIIy conceined vilh lhe lehavioiaI sciences, lioIogy, and phiIosophy, lul
aIso and especiaIIy foi lhose of ny geneialion ~ lhe geneialion loin since
Hiioshina~vho aie seaiching foi a lellei undeislanding of lhenseIves and lheii
The cenliaI idea in lhis look is lhal ve cieale lhe voiId lhal ve peiceive, nol
lecause lheie is no ieaIily oulside oui heads (lhe Indochinese vai is viong, ve arc
deslioying oui ecosyslen and lheiefoie ouiseIves, vhelhei ve leIieve il oi nol), lul
lecause ve seIecl and edil lhe ieaIily ve see lo confoin lo oui leIiefs aloul vhal soil
of voiId ve Iive in. The nan vho leIieves lhal lhe ie-souices of lhe voiId aie
infinile, foi exanpIe, oi lhal if sonelhing is good foi you lhen lhe noie of il lhe
lellei, viII nol le alIe lo see his eiiois, lecause he viII nol Iook foi evidence of lhen.
Ioi a nan lo change his lasic, peiceplion-deleinining leIiefs ~ vhal ßaleson
caIIs his epislenoIogicaI pienises~he nusl fiisl le-cone avaie lhal ieaIily is nol
necessaiiIy as he leIieves il lo le. This is nol an easy oi confoilalIe lhing lo Ieain,
and nosl nen in hisloiy have piolalIy leen alIe lo avoid lhinking aloul il. And I
an nol convinced lhal lhe unexanined Iife is nevei voilh Ieading. ßul sonelines lhe
dissonance lelveen ieaIily and faIse leIiefs ieaches a poinl vhen il lecones
inpossilIe lo avoid lhe avaieness lhal lhe voiId no Iongei nakes sense. OnIy lhen is
il possilIe foi lhe nind lo considei iadicaIIy diffeienl ideas and peiceplions.
SpecificaIIy, il is cIeai lhal oui cuIluiaI nind has cone lo such a poinl. ßul lheie
is dangei as veII as possiliIily in oui silualion. Theie is no guaianlee lhal lhe nev
ideas viII le an inpiovenenl ovei lhe oId. Noi can ve hope lhal lhe change viII le
AIieady lheie aie psychic casuaIlies of lhe cuIluie change. The psychedeIics aie a
poveifuI educalionaI looI. They aie lhe suiesl vay lo Ieain lhe aililiaiiness of oui
oidinaiy peiceplion. Many of us have had lo use lhen lo find oul hov IillIe ve
knev. Too nany of us have lecone Iosl in lhe Ialyiinlh, have decided lhal if ieaIily
l nean vhal ve lhoughl il did lhen lheie is no neaning in il al aII. I knov lhal
pIace. I have leen Iosl lheie nyseIf. As fai as I knov, lheie aie onIy lvo vays oul.
One is ieIigious conveision. (I liied Taoisn. Olheis aie choosing vaiious veisions
of Hinduisn, ßuddhisn, and even Chiislianily. And such lines aIvays pioduce a
hosl of seIf-piocIained nessiahs. AIso, a fev of lhose vho sludy iadicaI ideoIogies
do so foi ieIigious ialhei lhan poIilicaI ieasons.) This soIulion nay salisfy sone, aI-
lhough lheie is aIvays lhe dangei of salanisn. ßul I lhink lhal lhose vho choose
ieady-nade syslens of leIief Iose lhe chance lo do sone liuIy ciealive lhinking, and
peihaps nolhing Iess viII save us.
This second vay oul~lhinking lhings lhiough and laking as IillIe as possilIe on
failh~ is lhe noie difficuIl. InleIIecluaI aclivily ~ fion science lo poeliy~has a lad
iepulalion in ny geneialion. The lIane faIIs on oui so-caIIed educalionaI syslen,
vhich seens designed lo pievenl ils viclins fion Ieaining lo lhink, vhiIe leIIing
lhen lhal lhinking is vhal you do vhen you sludy a lexllook. AIso, lo Ieain lo lhink,
you nusl have a leachei vho can lhink. The Iov IeveI of vhal passes foi lhinking
anong nosl of lhe Aneiican acadenic connunily can peihaps onIy le appiecialed
ly conliasl vilh a nan Iike Ciegoiy ßaleson, lul il´s lad enough lo cause nany of
oui lesl ninds lo give up Iooking foi lellei.
ßul lhe essence of aII oui piolIens is lad lhinking, and lhe´ onIy nedicine foi
lhal is lellei lhinking. This look is a sanpIe of lhe lesl lhinking I´ve found. I
connend il lo you, ny liolheis and sisleis of lhe nev cuIluie, in lhe hope lhal il viII
heIp us on oui jouiney.
~Maik LngeI HonoIuIu, Havaii ApiiI 16, 1971
1.2 1987 PRE|ACE
Ciegoiy ßaleson vas fond of quoling HeiacIeilus: ¨Inlo lhe sane iivei no nan
can slep lvice,¨ pailicuIaiIy in his Ialei voik, in vhich he vas liying lo define lhe
naluie of lhe inleiface lelveen lhe ieaIn of nind and physicaI ieaIily, and lo discuss
lhe vay in vhich nenlaI piocess eslalIishes Iandnaiks oi lhieshoIds, neanings and
definilions in lhe voiId of fIux. ßul a look is Iike a iivei, nol in lhe sinpIe sense of
valei fIoving ly, lul lecause lhe inleIIecluaI conlexl, Iike lhe ieadei, changes
sleadiIy. Whelhei one is ieading il foi lhe fiisl line oi ieluining aflei a Iapse of yeais,
Sleps lo an LcoIogy of Mind is loday nol lhe sane look as il vas vhen fiisl
pulIished sone fifleen yeais ago, and foi nosl ieadeis ils inpacl shouId le giealei.
We have changed and lhe lioad inleIIecluaI cIinale has changed. Il vouId nol le faii
lo say lhal lhis is lhe noie inpoilanl pulIicalion, lul il is ceilainIy noie accessilIe.
The incieased accessiliIily of Ciegoiy´s lhoughl loday has cone aloul IaigeIy
lecause of lhe sleady infIuence of lhese essays and olhei viileis diaving on lhen in
lhe inleivaI, and lecause, aflei iecognizing lhe unily of lhis coIIeclion, Ciegoiy
hinseIf vas alIe lo viile al a noie geneiaI IeveI.
The voik of Ciegoiy ßaleson has leen videIy iead duiing lhis inleivening
peiiod. Lvei yeai nov I heai of lvo oi lhiee confeiences focused on sone aspecl of
his lhoughl, sonelines vilhin a singIe discipIine, sonelines acioss a videi iange,
and his nane ciops up noie and noie oflen. Lven noie significanlIy, nany of lhe
ideas lhal veie nosl inpoilanl lo hin have lecone faniIiai nolions lhal ve feeI al
hone vilh. He vas one of a gioup of lhinkeis voiking lovaid an undeislanding of
connunicalions, of lhe inpoilance of seIf-ieguIaling syslens, and lhe causaI ioIe of
ideas, nessages, diffeiences. This has nade hin a cenliaI figuie in lhe gioving
appiecialion of lhe inpoilance of Iooking al evenls and nessages in conlexl and
Iooking al syslens hoIislicaIIy, vhelhei ve aie conceined vilh lhe heaIlh of lhe
hunan lody/nind oi lhe liospheie. The inpoilance of epislenoIogy is noie and
noie videIy undeislood. Al lhe sane line, nuch of lhis faniIiaiily is iIIusoiy.
Sliange oi unsellIing ideas aie deaIl vilh as lhe oyslei deaIs vilh lhe lil of giil,
packaged in soolhing vays, snoolhed ovei. The iisk foi a ieadei of Ciegoiy ßaleson
in 1972 vas lhal he oi she vouId loo ieadiIy say, ¨This doesn´l nake sense. Il´s loo
olscuie foi ne.¨ The iisk loday is lhe pienaluie cIain of undeislanding, lhe
pienaluie appIicalion.
I have had lvo suipiising expeiiences going lack ovei lhese ailicIes: The fiisl
vas lhe discoveiy of hov nany of lhe ideas lhal seened inpoilanl in his Ialei voik
veie aIieady heie, aIlhough fev viII have giasped lhen conpIeleIy on fiisl
encounlei. The second is hov nuch noie sliII avails discoveiy in lhese ailicIes foi
one vho has lecone accusloned lo Ciegoiy´s lhoughl. Woiking vilh Ciegoiy and
viiling aloul hin, vieslIing logelhei vilh nev ideas. as lhey cane aIong, I an
piolalIy as nuch al hone heie as any of his sludenls and coIIeagues, and yel lhe
ieieading ienains a discoveiy. Mosl of lhe pieces in lhis voIune aie lighl, inlense,
alsliacl aigunenls, lhal Ciegoiy and olheis Ialoied lo ¨unpack¨ ovei lhe
inleivening yeais, and sliII lheie aie suipiises hidden vilhin lhen lhal lecone
visilIe as lhe ieadei cones lo nove fieeIy in lhe lexl.
IiequenlIy , duiing his caieei, as his Inlioduclion indicales, Ciegoiy feIl as if he
veie speaking and viiling in a foieign Ianguage. IeopIe did nol sinpIy agiee oi
disagiee vilh hin, lhey veie leviIdeied oi inloxicaled. Maik LngeIs, in his 1971
Iieface, iecognized lhe anaIogy lelveen lhe ¨nind expanding¨ expeiiences of diugs
and ieIigious conveision and lhe kinds of inleIIecluaI change lhal couId le achieved
ly a peivasive ieshaping of palleins of lhoughl. In ieliospecl il sliikes ne lhal
inloxicalion and conveision veie connon iesponses even lo lhese alsliacl and
difficuIl pieces~iesponses in vhich a fiaclion of lhe aigunenl vas caiiied on a lide
of inluilive affiinalion. Today, hovevei, il is leconing incieasingIy possilIe lo cone
lo giips vilh Ciegoiy´s lhinking, lo seIecl, affiin, conlesl, queslion. Thioughoul his
Iife, he lieasuied lhe ieIalionships in vhich he found oppoilunilies foi inleIIecluaI
giappIing lhal venl leyond adniialion aduIalion, ciilicaI ieading is essenliaI.
This nev edilion, lhen, inviles ieadeis inlo an encounlei vilh lhe voik of
Ciegoiy ßaleson lhal vas onIy avaiIalIe lo a fev vhen lhe coIIeclion fiisl appeaied.
My advice lo ieadeis vouId le lo hang on lo lhe chaIIenge as veII as lhe affiinalion.
We have nol as a civiIizalion achieved lhose epislenoIogicaI shifls lhal nay sone
day enalIe nucIeai disainanenl, ecoIogicaI iesponsiliIily, and nev appioaches lo
lolh educalion and heaIing lhal viII vaIue and enhance lhe conpIexily of peisons in
lheii faniIiaI and sociaI selling. In lhese and in Ciegoiy´s Ialei looks (Mind and
Naluie: A Necessaiy Unily, Dullon 1979, and, joinlIy vilh ne, AngeIs Ieai: Tovaid
an LpislenoIogy of lhe Sacied, MacniIIan, 1987) lhe inleIIecluaI looIs aie offeied.
Today lhey viII cone noie ieadiIy lo hand, le easiei lo laIance and handIe in a
discipIined nannei lhan lhey veie in lhe eaiIy 197Os, le noie accessilIe lo piaclice
and skiII. ßul sliII lheie ienains lhe chaIIenge of using lhe looIs in such a vay lhal
lhey le-cone a pail of lhe usei. And sliII lhe lasks foi vhich lhese looIs have leen
shaped IaigeIy ienain lo le done, noie uigenl loday lhan evei.
~Maiy Calheiine ßaleson Canliidge, Mass. Augusl 1987
Sone nen seen alIe lo go on voiking sleadiIy vilh IillIe success and no
ieassuiance fion oulside. I an nol one of lhese. I have needed lo knov lhal
sonelody eIse leIieved lhal ny voik had pionise and diieclion, and I have oflen
leen suipiised lhal olheis had failh in ne vhen I had veiy IillIe in nyseIf. I have, al
lines, even liied lo shiug off lhe iesponsiliIily vhich lheii conlinued failh inposed
on ne ly lhinking, ¨ßul lhey don´l ieaIIy knov vhal I an doing. Hov can lhey
knov vhen I nyseIf do nol`¨
My fiisl anlhiopoIogicaI fieId voik anong lhe ßaining of Nev ßiilain vas a
faiIuie, and I had a peiiod of pailiaI faiIu6Oie in ieseaich vilh doIphins. Neilhei of
lhese faiIuies has evei leen heId againsl ne.
I lheiefoie have lo lhank nany peopIe and inslilulions foi lacking ne, al lines
vhen I did nol considei nyseIf a good lel.
Iiisl, I have lo lhank lhe CounciI of IeIIovs of Sl. }ohn´s CoIIege, Canliidge,
vho eIecled ne lo a IeIIovship innedialeIy aflei ny faiIuie anong lhe ßaining.
Nexl, in chionoIogicaI oidei, I ove a deep dell lo Maigaiel Mead, vho vas ny
vife and veiy cIose co-voikei in ßaIi and Nev Cuinea, and vho since lhen has
conlinued as a fiiend and piofessionaI coIIeague.
In 1942, al a Macy Ioundalion confeience, I nel Waiien McCuIIoch and }uIian
ßigeIov, vho veie lhen laIking exciledIy aloul ¨feedlack.¨ The viiling of Naven
had lioughl ne lo lhe veiy edge of vhal Ialei lecane cyleinelics, lul I Iacked lhe
concepl of negalive feedlack. When I ieluined fion oveiseas aflei lhe vai, I venl lo
Iiank Iienonl-Snilh of lhe Macy Ioundalion lo ask foi a confeience on lhis lhen-
nysleiious nallei. Iiank said lhal he had jusl aiianged such a confeience vilh
McCuIIoch as chaii-nan. Il lhus happened lhal I vas piiviIeged lo le a nenlei of
lhe fanous Macy Confeiences on Cyleinelics. My dell lo Waiien McCuIIoch,
Noileil Wienei, }ohn von Neunann, LveIyn Hulchinson, and olhei nenleis of
lhese confeiences is evidenl in eveiylhing lhal I have viillen since WoiId Wai II.
In ny fiisl allenpls lo synlhesize cyleinelic ideas vilh anlhiopoIogicaI dala, I
had lhe lenefil of a Cuggenhein IeIIovship.
In lhe peiiod of ny enliy inlo lhe psychialiic fieId, il vas }uigen Ruesch, vilh
vhon I voiked in lhe LangIey Ioilei CIinic, vho inilialed ne inlo nany of lhe
cuiious fealuies of lhe psychialiic voiId.
Iion 1949 lo 1962, I had lhe lilIe of ¨LlhnoIogisl
in lhe Veleians Adninislialion
HospilaI al IaIo AIlo, vheie I vas given singuIai fieedon lo sludy vhalevei I
lhoughl inleiesling. I vas piolecled fion oulside denands and given lhis fieedon
ly lhe diiecloi of lhe hospilaI, Di. }ohn }. Iiusnack.
In lhis peiiod, ßeinaid SiegeI suggesled lhal lhe Slanfoid Univeisily Iiess
iepulIish ny look, Naven, vhich had faIIen fIal on ils face vhen fiisl pulIished in
1936, and I vas Iucky enough lo gel fiIn foolage of a sequence of pIay lelveen olleis
in lhe IIeishhackei Zoo vhich seened lo ne of such lheoielicaI inleiesl as lo juslify a
snaII ieseaich piogian.
I ove ny fiisl ieseaich gianl in lhe psychialiic fieId lo lhe Iale Cheslei ßainaid
of lhe RockefeIIei Ioundalion, vho had kepl a copy of Naven foi sone yeais ly his
ledside. This vas a gianl lo sludy ¨lhe ioIe of lhe Iaiadoxes of Alsliaclion in
Undei lhis gianl, }ay HaIey, }ohn WeakIand, and ßiII Iiy joined ne lo foin a
snaII ieseaich lean vilhin lhe V.A. HospilaI.
ßul again lheie vas faiIuie. Oui gianl vas foi onIy lvo yeais, Cheslei ßainaid
had ieliied, and in lhe opinion of lhe Ioundalion slaff ve did nol have enough
iesuIls lo juslify ienevaI. The gianl ian oul, lul ny lean IoyaIIy slayed vilh ne
vilhoul pay. The voik venl on, and, a fev days aflei lhe end of lhe gianl, vhiIe I
vas viiling a despeiale Iellei lo Noileil Wienei foi his advice aloul vheie lo gel lhe
nexl gianl, lhe doulIe lind hypolhesis feII inlo pIace.
IinaIIy Iiank Iienonl-Snilh and lhe Macy Ioundalion saved us.
Aflei lhal lheie veie gianls fion lhe Ioundalions Iund foi Isychialiy and fion
lhe NalionaI Inslilule of MenlaI HeaIlh.
CiaduaIIy il appeaied lhal foi lhe nexl advances in lhe sludy of IogicaI lyping in
connunicalion I shouId voik vilh aninaI naleiiaI, and I slailed lo voik vilh
oclopus. My vife, Lois, voiked vilh ne, and foi ovei a yeai ve kepl a dozen
oclopuses in oui Iiving ioon. This pieIininaiy voik vas pionising lul needed lo le
iepealed and exlended undei lellei condilions. Ioi lhis no gianls veie avaiIalIe.
Al lhis poinl, }ohn LiIIy cane foivaid and inviled ne lo le lhe diiecloi of his
doIphin Ialoialoiy in lhe Viigin IsIands. I voiked lheie foi aloul a yeai and lecane
inleiesled in lhe piolIens of celacean connunicalion, lul I lhink I an nol cul oul lo
adninislei a Ialoialoiy duliousIy funded in a pIace vheie lhe Iogislics aie
inloIeialIy difficuIl.
Il vas vhiIe I vas sliuggIing vilh lhese piolIens lhal I ieceived a Caieei
DeveIopnenl Avaid undei lhe NalionaI Inslilule of MenlaI HeaIlh. These avaids
veie adninisleied ly ßeil ßoolhe, and I ove nuch lo his conlinued failh and
In 1963, TayIoi Iiyoi of lhe Oceanic Ioundalion in Havaii inviled ne lo voik in
his Oceanic Inslilule on celacean and olhei piolIens of aninaI and hunan
connunicalion. Il is heie lhal I have viillen noie lhan haIf of lhe piesenl look,
incIuding lhe vhoIe of Iail V.
WhiIe in Havaii, I have aIso leen voiking iecenlIy vilh lhe CuIluie Leaining
Inslilule of lhe Lasl-Wesl Cenlei in lhe Univeisily of Havaii, and ove sone
lheoielicaI insighls iegaiding Leaining III lo discussions heId in lhal Inslilule.
My dell lo lhe Wennei-Cien Ioundalion is evidenl fion lhe facl lhal lhe look
conlains no Iess lhan foui posilion papeis viillen foi Wennei-Cien confeiences. I
vish aIso lo lhank peisonaIIy Mis. Lila Osnundsen, lhe Diiecloi of Reseaich of lhal
Many aIso have Ialoied aIong lhe ioad lo heIp ne. Mosl of lhese cannol le
nenlioned heie, lul I nusl pailicuIaiIy lhank Di. Vein CaiioII, vho piepaied lhe
lilIiogiaphy, and ny secielaiy, }udilh Van SIoolen, vho Ialoied vilh accuiacy
lhiough Iong houis in piepaiing lhis look foi piess.
IinaIIy lheie is lhe dell lhal eveiy nan of science oves lo lhe gianls of lhe pasl.
Il is no nean confoil, al lines vhen lhe nexl idea cannol le found and lhe vhoIe
enleipiise seens fuliIe, lo ienenlei lhal giealei nen have vieslIed vilh lhe sane
piolIens. My peisonaI inspiialion has oved nuch lo lhe nen vho ovei lhe Iasl 2OO
yeais have kepl aIive lhe idea of unily lelveen nind and lody: Lanaick, lhe
foundei of evoIulionaiy lheoiy, niseialIe, oId, and lIind, and danned ly Cuviei,
vho leIieved in SpeciaI Ciealion, WiIIian ßIake, lhe poel and painlei, vho sav
¨lhiough his eyes, nol vilh lhen,¨ and knev noie aloul vhal il is lo le hunan lhan
any olhei nan, SanueI ßulIei, lhe alIesl conlenpoiaiy ciilic of Daivinian evoIulion
and lhe fiisl anaIysl of a schizophienogenic faniIy, R. C. CoIIingvood, lhe fiisl nan
lo iecognize~and lo anaIyze in ciyslaIIine piose~lhe naluie of conlexl, and WiIIian
ßaleson, ny falhei, vho vas ceilainIy ieady in 1894 lo ieceive lhe cyleinelic ideas.
Sc|cc|icn and Arrangcncn| cf ||cns
The look conlains aInosl eveiylhing lhal I have viillen, vilh lhe exceplion of
ilens loo Iong lo le incIuded, such as looks and exlensive anaIyses of dala, and
ilens loo liiviaI oi epheneiaI, such as look ievievs and conlioveisiaI noles. A
conpIele peisonaI lilIiogiaphy is appended.
ßioadIy, I have leen conceined vilh foui soils of suljecl nallei: anlhiopoIogy,
psychialiy, lioIogicaI evoIulion and genelics, and lhe nev epislenoIogy vhich
cones oul of syslens lheoiy and ecoIogy. Lssays on lhese suljecls nake up Iails II,
III, IV, and V of lhe look, and lhe oidei of lhese pails coiiesponds lo lhe
chionoIogicaI oidei of foui oveiIapping peiiods in ny Iife in vhich lhese suljecls
have leen cenliaI lo ny lhinking. Wilhin each pail, lhe essays aie in chionoIogicaI
I iecognize lhal ieadeis aie IikeIy lo allend nosl caiefuIIy lo lhose pails of lhe
look deaIing vilh lheii pailicuIai suljecls. I have lheiefoie nol ediled oul sone
iepelilion. The psychialiisl inleiesled in aIcohoIisn viII encounlei in ¨The
Cyleinelics of `SeIf´ ¨ ideas vhich appeai again in noie phiIosophic diess in ¨Ioin,
Sulslance, and Diffeience.¨
Oceanic Inslilule, Havaii Apia 16, 1971
1.4.1 Thc 5cIcncc nf MInd and Ordcr
The lilIe of lhis look of coIIecled essays and Iecluies is inlended pieciseIy lo
define lhe conlenls. The essays, spiead ovei lhiily-five yeais, conline lo piopose a
nev vay of lhinking aloul ideas and aloul lhose aggiegales of ideas vhich I caII
¨ninds.¨ This vay of lhinking I caII lhe ¨ecoIogy of nind,¨ oi lhe ecoIogy of ideas. Il
is a science vhich does nol yel exisl as an oiganized lody of lheoiy oi knovIedge.
ßul lhe definilion of an ¨idea
vhich lhe essays conline lo pio-pose is nuch
videi and noie foinaI lhan is convenlionaI. The es-says nusl speak foi lhenseIves,
lul heie al lhe leginning Iel ne slale ny leIief lhal such nalleis as lhe liIaleiaI
synneliy of an aninaI, lhe palleined aiiangenenl of Ieaves in a pIanl, lhe escaIalion
of an ainanenls iace, lhe piocesses of couilship, lhe naluie of pIay, lhe giannai of
a senlence, lhe nysleiy of lioIogicaI evoIulion, and lhe conlenpoiaiy ciises in nan´s
ieIalionship lo hin enviionnenl, can onIy le undeislood in leins of such an ecoIogy
of ideas as I piopose.
The queslions vhich lhe look iaises aie ecoIogicaI: Hov do ideas inleiacl` Is
lheie sone soil of naluiaI seIeclion vhich deleinines lhe suivivaI of sone ideas and
lhe exlinclion oi dealh of olheis` Whal soil of econonics Iinils lhe nuIlipIicily of
ideas in a given iegion of nind` Whal aie lhe necessaiy condilions foi slaliIily (oi
suivivaI) of such a syslen oi sulsyslen`
Sone of lhese queslions aie louched upon in lhe essays, lul lhe nain lhiusl of
lhe look is lo cIeai lhe vay so lhal such queslions can le neaningfuIIy asked.
Il vas onIy in Iale 1969 lhal I lecane fuIIy conscious of vhal I had leen doing.
Wilh lhe viiling of lhe Koizylski Lecluie, ¨Ioin, Sulslance, and Diffeience,¨ I
found lhal in ny voik vilh piinilive peopIes, schizophienia, lioIogicaI synneliy,
and in ny disconlenl vilh lhe convenlionaI lheoiies of evoIulion and Ieaining, I had
idenlified a videIy scalleied sel of lench naiks oi poinls of iefeience fion vhich a
nev scienlific leiiiloiy couId le defined. These lench naiks I have caIIed ¨sleps¨ in
lhe lilIe of lhe look.
In lhe naluie of lhe case, an expIoiei can nevei knov vhal he is expIoiing unliI il
has leen expIoied. He caiiies no ßaedekei in his pockel, no guidelook vhich viII leII
hin vhich chuiches he shouId visil oi al vhich holeIs he shouId slay. He has onIy
lhe anliguous foIkIoie of olheis vho have passed lhal vay. No doull deepei IeveIs
of lhe nind guide lhe scienlisl oi lhe ailisl lovaid expeiiences and lhoughls vhich
aie ieIevanl lo lhose piolIens vhich aie sonehov his, and lhis guidance seens lo
opeiale Iong lefoie lhe scienlisl has any conscious knovIedge of his goaIs. ßul hov
lhis happens ve do nol knov.
I have oflen leen inpalienl vilh coIIeagues vho seened unalIe lo discein lhe
diffeience lelveen lhe liiviaI and lhe piofound. ßul vhen sludenls have asked ne lo
This essay, viillen in 1971, has nol leen pulIished eIse-vheie.
define lhal diffeience, I have leen sliuck dunl. I have said vagueIy lhal any sludy
vhich lhiovs Iighl upon lhe naluie of ¨oidei¨ oi ¨pallein¨ in lhe univeise is suieIy
ßul lhis ansvei onIy legs lhe queslion.
I used lo leach an infoinaI couise foi psychialiic iesidenls in lhe Veleians
Adninislialion HospilaI al IaIo AIlo, liying lo gel lhen lo lhink sone of lhe
lhoughls lhal aie in lhese essays. They vouId allend dulifuIIy and even vilh inlense
inleiesl lo vhal I vas saying, lul eveiy yeai lhe queslion vouId aiise aflei lhiee oi
foui sessions of lhe cIass: ¨Whal is lhis couise aII aloul`¨
I liied vaiious ansveis lo lhis queslion. Once I diev up a soil of calechisn and
offeied il lo lhe cIass as a sanpIing of lhe queslions vhich I hoped lhey vouId le
alIe lo discuss aflei conpIeling lhe couise. The queslions ianged fion ¨Whal is a
sacianenl`´ lo ¨Whal is enliopy`¨ and ¨Whal is pIay`¨
As a didaclic naneuvei, ny calhechisn vas a faiIuie: il siIenced lhe cIass. ßul
one queslion in il vas usefuI:
A ceilain nolhei haliluaIIy ievaids hei snaII son vilh ice
ciean aflei he eals his spinach. Whal addilionaI infoinalion vouId
you need lo le alIe lo piedicl vhelhei lhe chiId viII: a. Cone lo
Iove oi hale spinach, l. Love oi hale ice ciean, oi c. Love oi hale
We devoled one oi lvo sessions of lhe cIass lo expIoiing lhe nany ianificalions
of lhis queslion, and il lecane cIeai lo ne lhal aII lhe needed addilionaI infoinalion
conceined lhe conlexl of lhe nolhei´s and son´s lehavioi. In facl, lhe phenonenon of
conlexl and lhe cIoseIy ieIaled phenonenon of ¨neaning
defined a division lelveen
lhe ¨haid¨ sciences and lhe soil of science vhich I vas liying lo luiId.
CiaduaIIy I discoveied lhal vhal nade il difficuIl lo leII lhe cIass vhal lhe couise
vas aloul vas lhe facl lhal ny vay of lhinking vas diffeienl fion lheiis. A cIue lo
lhis diffeience cane fion one of lhe sludenls. Il vas lhe fiisl session of lhe cIass and I
had laIked aloul lhe cuIluiaI diffeiences lelveen LngIand and Aneiica~a nallei
vhich shouId aIvays le louched on vhen an LngIishnan nusl leach Aneiicans
aloul cuIluiaI anlhiopoIogy. Al lhe end of lhe session, one iesidenl cane up. He
gIanced ovei his shouIdei lo le suie lhal lhe olheis veie aII Ieaving, and lhen said
ialhei hesilanlIy, ¨I vanl lo ask a queslion.¨ ¨Yes.¨ ¨Il´s~do you vanl us lo Ieain
vhal you aie leIIing us`¨ I hesilaled a nonenl, lul he iushed on vilh, ¨Oi is il aII a
soil of exanpIe, an iIIuslialion of sonelhing eIse`¨ ¨Yes, indeed!¨
ßul an exanpIe of vhal`
And lhen lheie vas, aInosl eveiy yeai, a vague conpIainl vhich usuaIIy cane lo
ne as a iunoi. Il vas aIIeged lhal ¨ßaleson knovs sonelhing vhich he does nol leII
you,¨ oi ¨Theie´s sonelhing le-hind vhal ßaleson says, lul he nevei says vhal il is.¨
LvidenlIy I vas nol ansveiing lhe queslion, ¨An exanpIe of vhal`¨
In despeialion, I consliucled a diagian lo desciile vhal I conceive lo le lhe lask
of lhe scienlisl. ßy use of lhis diagian, il lecane cIeai lhal a diffeience lelveen ny
halils of lhoughl and lhose of ny sludenls spiang fion lhe facl lhal lhey veie
liained lo lhink and aigue inducliveIy fion dala lo hypolheses lul nevei lo lesl
hypolheses againsl knovIedge deiived ly deduclion fion lhe fundanenlaIs of
science oi phiIosophy.
The diagian had lhiee coIunns. On lhe Iefl, I Iisled vaiious soils of
uninleipieled dala, such as a fiIn iecoid of hunan oi aninaI lehavioi, a desciiplion
of an expeiinenl, a desciiplion oi phologiaph of a leelIe´s Ieg, oi a iecoided hunan
ulleiance. I sliessed lhe facl lhal ¨dala¨ aie nol evenls oi oljecls lul aIvays iecoids
oi desciiplions oi nenoiies of evenls oi oljecls. AIvays lheie is a liansfoinalion oi
iecoding of lhe iav evenl vhich inleivenes lelveen lhe scienlisl and his oljecl. The
veighl of an oljecl is neasuied againsl lhe veighl of sone olhei oljecl oi iegisleied
on a ne-lei. The hunan voice is liansfoined inlo vaiialIe nagnelizalions of lape.
Moieovei, aIvays and inevilalIy, lheie is a seIeclion of dala lecause lhe lolaI
univeise, pasl and piesenl, is nol suljecl lo olseivalion fion any given olseivei´s
In a sliicl sense, lheiefoie, no dala aie liuIy ¨iav,¨ and eveiy iecoid has leen
sonehov suljecled lo ediling and liansfoinalion eilhei ly nan oi ly his
ßul sliII lhe dala aie lhe nosl ieIialIe souice of infoinalion, and fion lhen lhe
scienlisl nusl slail. They piovide his fiisl inspiialion and lo lhen he nusl Ialei
In lhe niddIe coIunn, I Iisled a nunlei of inpeifeclIy defined expIanaloiy
nolions vhich aie connonIy used in lhe lehavioiaI sciences~¨ego,¨ ¨anxiely,¨
¨inslincl,¨ ¨puipose,¨ ¨nind,¨ ¨seIf,¨ ¨fixed aclion pallein,¨ ¨inleIIigence,¨
¨slupidily,¨ ¨naluiily,¨ and lhe Iike. Ioi lhe sake of poIileness, I caII lhese
¨heuiislic¨ concepls, lul, in liulh, nosl of lhen aie so IooseIy deiived and so
nuluaIIy iiieIevanl lhal lhey nix logelhei lo nake a soil of concepluaI fog vhich
does nuch lo deIay lhe piogiess of science.
In lhe iighl-hand coIunn, I Iisled vhal I caII ¨fundanenlaIs.¨ These aie of lvo
kinds: pioposilions and syslens of pioposilions vhich aie liuislicaI, and
pioposilions oi ¨Iavs¨ vhich aie geneiaIIy liue. Anong lhe liuislicaI pioposilions I
incIuded lhe ¨LleinaI Veiilies¨ of nalhenalics vheie liulh is lauloIogicaIIy Iiniled
lo lhe do-nains vilhin vhich nan-nade sels of axions and definilions ollain: ¨If
nunleis aie appiopiialeIy defined and if lhe opeialion of addilion is appiopiialeIy
defined, lhen 5 + 7 = 12.¨ Anong pioposilions vhich I vouId desciile as
scienlificaIIy oi geneiaIIy and enpiiicaIIy liue, I vouId Iisl lhe conseivalion ¨Iavs¨
foi nass and eneigy, lhe Second Lav of Theinodynanics, and so on. ßul lhe Iine
lelveen lauloIogicaI liulhs and enpiiicaI geneiaIizalions is nol shaipIy definalIe,
and, anong ny ¨fundanenlaIs,¨ lheie aie nany pioposilions vhose liulh no
sensilIe nan can doull lul vhich can-nol easiIy le cIassified as eilhei enpiiicaI oi
lauloIogicaI. The ¨Iavs¨ of piolaliIily cannol le slaled so as lo le undeislood and
nol le leIieved, lul il is nol easy lo decide vhelhei lhey aie enpiiicaI oi lauloIogicaI,
and lhis is aIso liue of Shannon´s lheoiens in Infoinalion Theoiy.
Wilh lhe aid of such a diagian, nuch can le said aloul lhe vhoIe scienlific
endeavoi and aloul lhe posilion and diieclion of any pailicuIai piece of inquiiy
vilhin il. ¨LxpIanalion¨ is lhe napping of dala onlo fundanenlaIs, lul lhe uIlinale
goaI of science is lhe inciease of fundanenlaI knovIedge.
Many invesligalois, especiaIIy in lhe lehavioiaI sciences, seen lo leIieve lhal
scienlific advance is piedoninanlIy induclive and shouId le induclive. In leins of
lhe diagian, lhey leIieve lhal piogiess is nade ly sludy of lhe ¨iav¨ dala, Ieading
lo nev heuiislic concepls. The heuiislic concepls aie lhen lo le iegaided as ¨voiking
hypolheses¨ and lesled againsl noie dala. CiaduaIIy, il is hoped, lhe heuiislic
concepls viII le coiiecled and inpioved unliI al Iasl lhey aie voilhy of a pIace in lhe
Iisl of fundanenlaIs. Aloul fifly yeais of voik in vhich lhousands of cIevei nen
have had lheii shaie have, in facl, pioduced a iich ciop of seveiaI hundied heuiislic
concepls, lul, aIas, scaiceIy a singIe piincipIe voilhy of a pIace in lhe Iisl of
Il is aII loo cIeai lhal lhe vasl najoiily of lhe concepls of conlenpoiaiy
psychoIogy, psychialiy, anlhiopoIogy, socioIogy, and econonics aie lolaIIy delached
fion lhe nelvoik of scienlific fundanenlaIs.
MoIieie, Iong ago, depicled an oiaI docloiaI exaninalion in vhich lhe Ieained
doclois ask lhe candidale lo slale lhe ¨cause and ieason¨ vhy opiun puls peopIe lo
sIeep. The candidale liiunphanlIy ansveis in dog Lalin, ¨ßecause lheie is in il a
doinilive piincipIe (viilus doiniliva).¨
ChaiacleiislicaIIy, lhe scienlisl confionls a conpIex inleiaclive syslen~in lhis
case, an inleiaclion lelveen nan and opiun. He olseives a change in lhe syslen ~
lhe nan faIIs asIeep. The scienlisl lhen expIains lhe change ly giving a nane lo a
ficlilious ¨cause,¨ Iocaled in one oi olhei conponenl of lhe inleiacling syslen. Lilhei
lhe opiun conlains a ieified doinilive piincipIe, oi lhe nan conlains a ieified need
foi sIeep, an adoinilosis, vhich is ¨expiessed¨ in his iesponse lo opiun.
And, chaiacleiislicaIIy, aII such hypolheses aie ¨doinilive¨ in lhe sense lhal lhey
pul lo sIeep lhe ¨ciilicaI facuIly¨ (anolhei ieified ficlilious cause) vilhin lhe scienlisl
The slale of nind oi halil of lhoughl vhich goes fion dala lo doinilive
hypolhesis and lack lo dala is seIf-ieinfoicing. Theie is, anong aII scienlisls, a high
vaIue sel upon piediclion, and, indeed, lo le alIe lo piedicl phenonena is a fine
lhing. ßul piediclion is a ialhei pooi lesl of an hypolhesis, and lhis is especiaIIy liue
of ¨doinilive hypolheses.¨ If ve asseil lhal opiun conlains a doinilive piincipIe, ve
can lhen devole a Iifeline of ieseaich lo sludying lhe chaiacleiislics of lhis piincipIe.
Is il heal-slalIe` In vhich fiaclion of a disliIIale is il Iocaled` Whal is ils noIecuIai
foinuIa` And so on. Many of lhese queslions viII le ansveialIe in lhe Ialoialoiy
and viII Iead on lo deiivalive hypolheses no Iess ¨doinilive¨ lhan lhal fion vhich
ve slailed.
In facl, lhe nuIlipIicalion of doinilive hypolheses is a synplon of excessive
piefeience foi induclion, and lhis piefeience nusl aI-vays Iead lo sonelhing Iike lhe
piesenl slale of lhe lehavioiaI sciences~ a nass of quasi-lheoielicaI specuIalion
unconnecled vilh any coie of fundanenlaI knovIedge.
In conliasl, I liy lo leach sludenls~ and lhis coIIeclion of essays is veiy nuch
conceined vilh liying lo connunicale lhis lhesis~lhal in scienlific ieseaich you
slail fion lvo leginnings, each of vhich has ils ovn kind of aulhoiily: lhe
olseivalions cannol le denied, and lhe fundanenlaIs nusl le filled. You nusl
achieve a soil of pinceis naneuvei.
If you aie suiveying a piece of Iand, oi napping lhe slais, you have lvo lodies
of knovIedge, neilhei of vhich can le ignoied. Theie aie youi ovn enpiiicaI
neasuienenls on lhe one hand and lheie is LucIidean geoneliy on lhe olhei. If lhese
lvo cannol le nade lo fil logelhei, lhen eilhei lhe dala aie viong oi you have
aigued viongIy fion lhen oi you have nade a najoi discoveiy Ieading lo a ievision
of lhe vhoIe of geoneliy.
The vouId-le lehavioiaI scienlisl vho knovs nolhing of lhe lasic sliucluie of
science and nolhing of lhe 3OOO yeais of caiefuI phiIosophic and hunanislic lhoughl
aloul nan ~ vho cannol define eilhei enliopy oi a sacianenl ~had lellei hoId his
peace ialhei lhan add lo lhe exisling jungIe of haIf-laked hypolheses.
ßul lhe guIf lelveen lhe heuiislic and lhe fundanenlaI is nol soIeIy due lo
enpiiicisn and lhe induclive halil, noi even lo lhe seduclions of quick appIicalion
and lhe fauIly educalionaI syslen vhich nakes piofessionaI scienlisls oul of nen
vho caie IillIe foi lhe fundanenlaI sliucluie of science. Il is due aIso lo lhe
ciicunslance lhal a veiy Iaige pail of lhe fundanenlaI sliucluie of nineleenlh-
cenluiy science vas inappiopiiale oi iiieIevanl lo lhe piolIens and phenonena
vhich confionled lhe lioIogisl and lehavioiaI scienlisl.
Ioi al Ieasl 2OO yeais, say fion lhe line of Nevlon lo lhe Iale nineleenlh cenluiy,
lhe doninanl pieoccupalion of science vas vilh lhose chains of cause and effecl
vhich couId le iefeiied lo foices and inpacls. The nalhenalics avaiIalIe lo Nevlon
vas piepondeianlIy quanlilalive, and lhis facl, conlined vilh lhe cenliaI focus upon
foices and inpacls, Ied nen lo neasuie vilh ienaikalIe accuiacy quanlilies of
dislance, line, nallei, and eneigy.
As lhe neasuienenls of lhe suiveyoi nusl jile vilh LucIidean geoneliy, so
scienlific lhoughl had lo jile vilh lhe gieal conseivalive Iavs. The desciiplion of any
evenl exanined ly a physicisl oi chenisl vas lo le founded upon ludgels of nass
and eneigy, and lhis iuIe gave a pailicuIai kind of iigoi lo lhe vhoIe of lhoughl in
lhe haid sciences.
The eaiIy pioneeis of lehavioiaI science nol unnaluiaIIy legan lheii suivey of
lehavioi ly desiiing a siniIai iigoious lase lo guide lheii specuIalions. Lenglh and
nass veie concepls vhich lhey couId haidIy use in desciiling lehavioi (vhalevei
lhal nighl le), lul eneigy seened noie handy. Il vas lenpling lo ieIale ¨eneigy¨ lo
aIieady exisling nelaphois such as ¨slienglh¨ of enolions oi chaiaclei oi ¨vigoi.¨ Oi
lo lhink of ¨eneigy¨ as sonehov lhe opposile of ¨faligue¨ oi ¨apalhy.¨ MelaloIisn
oleys an eneigy ludgel (vilhin lhe sliicl neaning of ¨eneigy¨), and eneigy
expended in lehavioi nusl suieIy le incIuded in lhis ludgel, lheiefoie il seened
sensilIe lo lhink of eneigy as a deleininanl of lehavioi.
Il vouId have leen noie fiuilfuI lo lhink of Iack of eneigy as pievenlive of
lehavioi, since in lhe end a slaiving nan viII cease lo le-have. ßul even lhis viII nol
do: an anoela, depiived of food, le-cones foi a line noie aclive. Ils eneigy
expendiluie is an inveise funclion of eneigy inpul.
The nineleelh-cenluiy scienlisls (nolalIy Iieud) vho liied lo eslalIish a liidge
lelveen lehavioiaI dala and lhe fundanenlaIs of physicaI and chenicaI science
veie, suieIy, coiiecl in insisling upon lhe need foi such a liidge lul, I leIieve, viong
in choosing ¨eneigy¨ as lhe foundalion foi lhal liidge.
If nass and Ienglh aie inappiopiiale foi lhe desciiling of lehavioi, lhen eneigy
is unIikeIy lo le noie appiopiiale. Aflei aII, eneigy is Mass x VeIocily2, and no
lehavioiaI scienlisl ieaIIy insisls lhal ¨psychic eneigy¨ is of lhese dinensions.
Il is necessaiy, lheiefoie, lo Iook again anong lhe fundanenlaIs foi an
appiopiiale sel of ideas againsl vhich ve can lesl oui heuiislic hypolheses.
ßul sone viII aigue lhal lhe line is nol yel iipe, lhal suieIy lhe fundanenlaIs of
science veie aII aiiived al ly induclive ieasoning fion expeiience, so ve shouId
conlinue vilh induclion unliI ve gel a fundanenlaI ansvei.
I leIieve lhal il is sinpIy nol liue lhal lhe fundanenlaIs of science legan in
induclion fion expeiience, and I suggesl lhal in lhe seaich foi a liidgehead anong
lhe fundanenlaIs ve shouId go lack lo lhe veiy leginnings of scienlific and
phiIosophic lhoughl, ceilainIy lo a peiiod lefoie science, phiIosophy, and ieIigion
had le-cone sepaiale aclivilies sepaialeIy puisued ly piofessionaIs in sepaiale
Considei, foi exanpIe, lhe cenliaI oiigin nylh of }udaeo-Chiislian peopIes. Whal
aie lhe fundanenlaI phiIosophic and scienlific piolIens vilh vhich lhis nylh is
In lhe leginning Cod ciealed lhe heaven and lhe eailh. And lhe
eailh vas vilhoul foin, and void, and daikness vas upon lhe face
of lhe deep. And lhe Spiiil of Cod noved upon lhe face of lhe
And Cod said, Lel lheie le Iighl: and lheie vas Iighl. And Cod
sav lhe Iighl, lhal il vas good: and Cod divided lhe Iighl fion lhe
daikness. And Cod caIIed lhe Iighl Day, and lhe daikness he caIIed
Nighl. And lhe evening and lhe noining veie lhe fiisl day.
And Cod said, Lel lheie le a fiinanenl in lhe nidsl of lhe
valeis, and Iel il divide lhe valeis fion lhe valeis. And Cod nade
lhe fiinanenl, and divided lhe valeis vhich veie undei lhe
fiinanenl fion lhe valeis vhich veie alove lhe fiinanenl: and il
vas so. And Cod caIIed lhe fiinanenl Heaven. And lhe evening
and lhe noining veie lhe second day.
And Cod said, Lel lhe valeis undei lhe heaven le galheied
logelhei unlo one pIace, and Iel lhe diy Iand appeai: and il vas so.
And Cod caIIed lhe diy Iand Lailh, and lhe galheiing logelhei of
lhe valeis caIIed he Seas: and Cod sav lhal il vas good.
Aulhoiized veision
Oul of lhese fiisl len veises of lhundeious piose, ve can diav sone of lhe
pienises oi fundanenlaIs of ancienl ChaIdean lhoughl and il is sliange, aInosl eeiie,
lo nole hov nany of lhe fundanenlaIs and piolIens of nodein science aie
foieshadoved in lhe ancienl docunenl.
(1) The piolIen of lhe oiigin and naluie of nallei is sunnaiiIy disnissed.
(2) The passage deaIs al Ienglh vilh lhe piolIen of lhe oiigin of oidei.
(3) A sepaialion is lhus geneialed lelveen lhe lvo soils of piolIen. Il is possilIe
lhal lhis sepaialion of piolIens vas an eiioi, lul~eiioi oi nol~lhe sepaialion is
nainlained in lhe fundanenlaIs of nodein science. The conseivalive Iavs foi nallei
and eneigy aie sliII sepaiale fion lhe Iavs of oidei, negalive enliopy, and
(4) Oide is seen as a nallei of soiling and dividing. ßul lhe essenliaI nolion in aII
soiling is lhal sone diffeience shaII cause sone olhei diffeience al a Ialei line. If ve
aie soiling lIack laIIs fion vhile laIIs, oi Iaige laIIs fion snaII laIIs, a diffeience
anong lhe laIIs is lo le foIIoved ly a diffeience in lheii Iocalion~laIIs of one cIass
lo one sack and laIIs of anolhei cIass lo anolhei. Ioi such an opeialion, ve need
sonelhing Iike a sieve, a lhieshoId, oi, pai exceIIence, a sense oigan. Il is
undeislandalIe, lheiefoie, lhal a peiceiving Lnlily shouId have leen invoked lo
peifoin lhis funclion of ciealing an olheivise inpiolalIe oidei.
(5) CIoseIy Iinked vilh lhe soiling and dividing is lhe nysleiy of cIassificalion, lo
le foIIoved Ialei ly lhe exliaoidinaiy hunan achievenenl of naning.
Il is nol al aII cIeai lhal lhe vaiious conponenls of lhis nylh aie aII pioducls of
induclive ieasoning fion expeiience. And lhe nal-lei lecones sliII noie puzzIing
vhen lhis oiigin nylh is conpaied vilh olheis vhich enlody diffeienl fundanenlaI
Anong lhe IalnuI of Nev Cuinea, lhe cenliaI oiigin nylh, Iike lhe Cenesis sloiy,
deaIs vilh lhe queslion of hov diy Iand vas sepaialed fion valei. They say lhal in
lhe leginning lhe ciocodiIe KavvoknaIi paddIed vilh his fionl Iegs and vilh his
hind Iegs, and his paddIing kepl lhe nud suspended in lhe valei. The gieal cuIluie
heio, Kevenluangga, cane vilh his speai and kiIIed KavvoknaIi. Aflei lhal lhe
nud sellIed and diy Iand vas foined. Kevenluangga lhen slanped vilh his fool on
lhe diy Iand, i.e., he pioudIy denonslialed ¨lhal il vas good.¨
Heie lheie is a sliongei case foi deiiving lhe nylh fion expeiience conlined
vilh induclive ieasoning. Aflei aII, nud does ie-nain in suspension if iandonIy
sliiied and does sellIe vhen lhe slii-iing ceases. Moieovei, lhe IalnuI peopIe Iive in
lhe vasl svanps of lhe Sepik Rivei vaIIey vheie lhe sepaialion of Iand fion valei is
inpeifecl. Il is undeislandalIe lhal lhey nighl le inleiesled in lhe diffeienlialion of
Iand fion valei.
In any case, lhe IalnuI have aiiived al a lheoiy of oidei vhich is aInosl a piecise
conveise of lhal of lhe look of Cenesis. In IalnuI lhoughl, soiling viII occui if
iandonizalion is pievenled. In Cenesis, an agenl is invoked lo do lhe soiling and
ßul lolh cuIluies aIike assune a fundanenlaI division lelveen lhe piolIens of
naleiiaI ciealion and lhe piolIens of oidei and diffeienlialion.
Reluining nov lo lhe queslion of vhelhei lhe fundanenlaIs of science and/oi
phiIosophy veie, al lhe piinilive IeveI, aiiived al ly induclive ieasoning fion
enpiiicaI dala, ve find lhal lhe ansvei is nol sinpIe. Il is difficuIl lo see hov lhe
dicholony lelveen sulslance and foin couId le aiiived al ly induclive aigunenl.
No nan, aflei aII, has evei seen oi expeiienced foinIess and unsoiled nallei, jusl as
no nan has evei seen oi expeiienced a ¨iandon¨ evenl. If, lheiefoie, lhe nolion of a
univeise ¨vilhoul foin and void¨ vas aiiived al ly induclion, il vas ly a nonslious
~and peihaps eiioneous ~ junp of exliapoIalion.
And even so, il is nol cIeai lhal lhe slailing poinl fion vhich lhe piinilive
phiIosopheis look off vas olseivalion. Il is al Ieasl equaIIy IikeIy lhal dicholony
lelveen foin and sulslance vas an unconscious deduclion fion lhe suljecl-
piedicale ieIalion in lhe sliucluie of piinilive Ianguage. This, hovevei, is a nallei
leyond lhe ieach of usefuI specuIalion.
ße lhal as il nay, lhe cenliaI~lul usuaIIy nol expIicil ~ suljecl nallei of lhe
Iecluies vhich I used lo give lo psychialiic iesidenls and of lhese essays is lhe liidge
lelveen lehavioiaI dala and lhe ¨fundanenlaIs
of science and phiIosophy, and ny
ciilicaI connenls alove aloul lhe nelaphoiic use of ¨eneigy¨ in lhe lehavioiaI
sciences add up lo a ialhei sinpIe accusalion of nany of ny coIIeagues, lhal lhey
have liied lo luiId lhe liidge lo lhe viong haIf of lhe ancienl dicholony lelveen
foin and sulslance. The conseivalive Iavs foi eneigy and nallei concein sulslance
ialhei lhan foin. ßul nenlaI piocess, ideas, connunicalion, oiganizalion,
diffeienlialion, pallein, and so on, aie nalleis of foin ialhei lhan sulslance.
Wilhin lhe lody of fundanenlaIs, lhal haIf vhich deaIs vilh foin has leen
dianalicaIIy eniiched in lhe Iasl lhiily yeais ly lhe discoveiies of cyleinelics and
syslens lheoiy. This look is conceined vilh luiIding a liidge lelveen lhe facls of
Iife and lehavioi and vhal ve knov loday of lhe naluie of pallein and oidei.
2 Part I: Mcta!ngucs
DLIINITION: A nelaIogue is a conveisalion aloul sone piolIenalic suljecl.
This conveisalion shouId le such lhal nol onIy do lhe pailicipanls discuss lhe
piolIen lul lhe sliucluie of lhe conveisalion as a vhoIe is aIso ieIevanl lo lhe sane
suljecl. OnIy sone of lhe conveisalions heie piesenled achieve lhis doulIe foinal.
NolalIy, lhe hisloiy of evoIulionaiy lheoiy is inevilalIy a nelaIogue lelveen
nan and naluie, in vhich lhe ciealion and inleiaclion of ideas nusl necessaiiIy
exenpIify evoIulionaiy piocess.
2.1 Meta|oque: Whµ Do Thlngs Get ln a Mudd|e?
Daughlei: Daddy, vhy do lhings gel in a nuddIe`
Ialhei: Whal do you nean` Things` MuddIe`
D: WeII, peopIe spend a Iol of line lidying lhings, lul lhey nevei seen lo spend
line nuddIing lhen. Things jusl seen lo gel in a nuddIe ly lhenseIves. And
lhen peopIe have lo lidy lhen up again.
I: ßul do youi lhings gel in a nuddIe if you don´l louch lhen`
D: No~nol if nolody louches lhen. ßul if you louch lhen~oi if anylody louches
lhen~lhey gel in a nuddIe and il´s a voise nuddIe if il isn´l ne.
I: Yes~lhal´s vhy I liy lo keep you fion louching lhe lhings on ny desk. ßecause
ny lhings gel in a voise nuddIe if lhey aie louched ly sonelody vho isn´l ne.
D: ßul do peopIe aIvays nuddIe olhei peopIe´s lhings` Why do lhey, Daddy`
I: Nov, vail a ninule. Il´s nol so sinpIe. Iiisl of aII, vhal do you nean ly a
D: I nean~so I can´l find lhings, and so il Iooks aII nuddIed up. The vay il is vhen
nolhing is sliaighl
I: WeII, lul aie you suie you nean lhe sane lhing ly nuddIe lhal anylody eIse
vouId nean`
D: ßul, Daddy, I´n suie I do~lecause I´n nol a veiy lidy peison and if I say lhings
aie in a nuddIe, lhen I´n suie eveiylody eIse vouId agiee vilh ne.
I: AII iighl~lul do you lhink you nean lhe sane lhing ly ¨lidy¨ lhal. olhei peopIe
vouId` If youi nunny nakes youi lhings lidy, do you knov vheie lo find
D: Hnn. sonelines~lecause, you see, I knov vheie she puls lhings vhen she
lidies up
I: Yes, I liy lo keep hei avay fion lidying ny desk, loo. I´n suie lhal she and I don´l
nean lhe sane lhing ly ¨lidy.¨
D: Daddy, do you and I nean lhe sane lhing ly ¨lidy`¨ I: I doull il, ny deai~I
doull il.
D: ßul, Daddy, isn´l lhal a funny lhing~lhal eveiylody neans lhe sane vhen lhey
say ¨nuddIed¨ lul eveiy-lody neans sonelhing diffeienl ly ¨lidy.¨ ßul ¨lidy¨
is lhe opposile of ¨nuddIed,¨ isn´l il`
I: Nov ve legin lo gel inlo noie difficuIl queslions. Lel´s slail again fion lhe
leginning. You said ¨Why do lhings aIvays gel in a nuddIe`¨ Nov ve have
nade a slep oi lvo~and Iel´s change lhe queslion lo ¨Why do lhings gel in a
slale vhich Calhy caIIs 'nol lidy`´ ¨ Do you see vhy I vanl lo nake lhal change`
D:. Yes, I lhink so~lecause if I have a speciaI neaning foi ¨lidy¨ lhen sone of
olhei peopIe´s ¨lidies¨ viII Iook Iike nuddIes lo ne~even if ve do agiee aloul
nosl of vhal ve caII nuddIes
I: Thal´s iighl. Nov~Iel´s Iook al vhal you caII lidy. When youi painl lox is pul in a
lidy pIace, vheie is il` D: Heie on lhe end of lhis sheIf.
I: Okay~nov if il veie anyvheie eIse`
Wiillen in 1948, nol pieviousIy pulIished.
D: No, lhal vouId nol le lidy.
I: Whal aloul lhe olhei end of lhe sheIf, heie` Like lhis`
D: No, lhal´s nol vheie il leIongs, and anyhov il vouId have lo le sliaighl, nol aII
ciooked lhe vay you pul il.
I: Oh~in lhe iighl pIace and sliaighl.
D: Yes.
I: WeII, lhal neans lhal lheie aie onIy veiy fev pIaces vhich aie ¨lidy¨ foi youi
painl lox
D: OnIy one pIace~
I: No~veiy fev pIaces, lecause if I nove il a IillIe lil, Iike lhis, il is sliII lidy.
D: AII iighl~lul veiy, veiy fev pIaces.
I: AII iighl, veiy, veiy fev pIaces. Nov vhal aloul lhe leddy leai and youi doII, and
lhe Wizaid of Oz and youi svealei, and youi shoes` Il´s lhe sane foi aII lhe
lhings, isn´l il, lhal each lhing has onIy a veiy, veiy fev pIaces vhich aie ¨lidy¨
foi lhal lhing`
D: Yes, Daddy~lul lhe Wizaid of Oz couId le any-vheie on lhal sheIf. And Daddy
~do you knov vhal` I hale, hale il vhen ny looks gel aII nixed up vilh youi
looks and Munny´s looks.
I : Yes, I knov. (Iause)
D: Daddy, you didn´l finish. Why do ny lhings gel lhe vay I say isn´l lidy`
I: ßul I have finished~il´s jusl lecause lheie aie noie vays vhich you caII ¨unlidy¨
lhan lheie aie vays vhich you caII ¨lidy.¨
D: ßul lhal isn´l a ieason vhy
I: ßul, yes, il is. And il is lhe ieaI and onIy and veiy inpoilanl ieason.
D: Oh, Daddy! Slop il.
I: No, I´n nol fooIing. Thal is lhe ieason, and aII of science is hooked up vilh lhal
ieason. Lel´s lake an-olhei exanpIe. If I pul sone sand in lhe lollon of lhis cup
and pul sone sugai on lhe lop of il, and nov slii il vilh a leaspoon, lhe sand and
lhe sugai viII gel nixed up, von´l lhey`
D: Yes, lul, Daddy, is il faii lo shifl ovei lo laIking aloul ¨nixed up¨ vhen ve
slailed vilh ¨nuddIed up`¨
I: Hnn. I vondei. lul I lhink so~Yes~lecause Iel´s say ve can find sonelody
vho lhinks il is noie lidy lo have aII lhe sand undeinealh aII lhe sugai. And if
you Iike I´II say I vanl il lhal vay
D: Hnn.
I: AII iighl~lake anolhei exanpIe. Sonelines in lhe novies you viII see a Iol of
Ielleis of lhe aIphalel aII scalleied ovei lhe scieen, aII higgIedy-piggIedy and
sone even upside dovn. And lhen sonelhing shakes lhe lalIe so lhal lhe Ielleis
slail lo nove, and lhen as lhe shaking goes on, lhe Ielleis aII cone logelhei lo
speII lhe lilIe of lhe fiIn.
D: Yes, I´ve seen lhal~lhey speIIed DONALD.
I: Il doesn´l nallei vhal lhey speIIed. The poinl is lhal you sav sonelhing leing
shaken and sliiied up and in-slead of gelling noie nixed up lhan lefoie, lhe
Ielleis cane logelhei inlo an oidei, aII iighl vay up, and speIIed a void~lhey
nade up sonelhing vhich a Iol of peopIe vouId agiee is sense.
D: Yes, Daddy, lul you knov.
I: No, I don´l knov, vhal I an liying lo say is lhal in lhe ieaI voiId lhings nevei
happen lhal vay. Il´s onIy in lhe novies.
D: ßul, Daddy.
I: I leII you il´s onIy in lhe novies lhal you can shake lhings and lhey seen lo lake on
noie oidei and sense lhan lhey had lefoie.
D: ßul, Daddy.
I: Wail liII I´ve finished lhis line. And lhey nake il Iook Iike lhal in lhe novies ly
doing lhe vhoIe lhing lackvaids. They pul lhe Ielleis aII in oidei lo speII
DONALD and lhen lhey slail lhe caneia and lhen lhey slail shaking lhe lalIe.
D: Oh, Daddy~I knev lhal and I did so vanl lo leII you lhal~and lhen vhen lhey
iun lhe fiIn, lhey iun il lackvaids so lhal il Iooks as lhough lhings had
happened foivaids. ßul ieaIIy lhe shaking happened lack-vaids. And lhey have
lo phologiaph il upside dovn. Why do lhey, Daddy`
I: Oh Cod.
D: Why do lhey have lo fix lhe caneia upside dovn, Daddy`
I: No, I von
l ansvei lhal queslion nov lecause ve
ie in lhe niddIe of lhe queslion
aloul nuddIes.
D: Oh~aII iighl, lul don´l foigel, Daddy, you´ve gol lo ansvei lhal queslion aloul
lhe caneia anolhei day. Don´l foigel! You von´l foigel, viII you, Daddy` ße-
cause I nay nol ienenlei. IIease, Daddy.
I: Okay~lul anolhei day. Nov, vheie veie ve` Yes, aloul lhings nevei happening
lackvaids. And I vas liying lo leII you vhy il is a ieason foi lhings lo hap-pen
in a ceilain vay if ve can shov lhal lhal vay has noie vays of happening lhan
sone olhei vay.
D: Daddy~don´l legin laIking nonsense.
I: I´n nol laIking nonsense. Lel´s slail again. Theie´s onIy one vay of speIIing
DONALD. Agieed`
D: Yes.
I: AII iighl. And lheie aie niIIions and niIIions and niI-Iions of vays of scalleiing
six Ielleis on lhe lalIe. Agieed`
D: Yes. I suppose so. Can sone of lhese le upside dovn`
I: Yes~jusl in lhe soil of higgIedy-piggIedy nuddIe lhey veie in in lhe fiIn. ßul
lheie couId le niIIions and niIIions and niIIions of nuddIes Iike lhal, couIdn´l
lheie` And onIy one DONALD`
D: AII iighl~yes. ßul, Daddy, lhe sane Ielleis nighl speII OLD DAN.
I: Nevei nind. The novie peopIe don´l vanl lhen lo speII OLD DAN. They onIy
vanl DONALD.
D: Why do lhey`
I: Dann lhe novie peopIe.
D: ßul you nenlioned lhen fiisl, Daddy.
I: Yes~lul lhal vas lo liy lo leII you vhy lhings happen lhal vay in vhich lheie aie
nosl vays of lheii happening. And nov il´s youi ledline.
D: ßul, Daddy, you nevei did finish leIIing ne vhy lhings happen lhal vay~lhe
vay lhal has nosl vays.
I: AII iighl. ßul don´l slail any noie haies iunning~one is quile enough. Anyhov, I
an liied of DONALD, Iel´s lake anolhei exanpIe. Lel´s lake lossing pennies.
D: Daddy` Aie you sliII laIking aloul lhe sane queslion ve slailed vilh` ¨Why do
lhings gel in a nuddIe`¨
I: Yes.
D: Then, Daddy, is vhal you aie liying lo say liue aloul pennies, and aloul
DONALD, and aloul sugai and sand, and aloul ny painl lox, and aloul
I: Yes~lhal´s iighl.
D: Oh~I vas jusl vondeiing, lhal´s aII.
I: Nov, Iel´s see if I can gel il said lhis line. Lel´s go lack lo lhe sand and lhe sugai,
and Iel´s suppose lhal sonelody says lhal having lhe sand al lhe lollon is ¨lidy¨
oi ¨oideiIy.¨
D: Daddy, does sonelody have lo say sonelhing Iike lhal lefoie you can go on lo
laIk aloul hov lhings aie going lo gel nixed up vhen you slii lhen`
I: Yes~lhal´s jusl lhe poinl. They say vhal lhey hope viII happen and lhen I leII
lhen il von´l happen lecause lheie aie so nany olhei lhings lhal nighl happen.
And I knov lhal il is noie IikeIy lhal one of lhe nany lhings viII happen and nol
one of lhe fev.
D: Daddy, you´ie jusl an oId looknakei, lacking aII lhe olhei hoises againsl lhe one
hoise lhal I vanl lo lel on.
I: Thal´s iighl, ny deai. I gel lhen lo lel on vhal lhey caII lhe ¨lidy¨ vay~I knov
lhal lheie aie infinileIy nany nuddIed vays~so lhings viII aIvays go lovaid
nuddIe and nixedness.
D: ßul vhy didn´l you say lhal al lhe leginning, Daddy` I couId have undeislood
lhal aII iighl.
I: Yes, I suppose so. Anyhov, il´s nov ledline.
D: Daddy, vhy do giovnups have vais, inslead of jusl fighling lhe vay chiIdien do`
I: No~ledline. ße off vilh you. We´II laIk aloul vais anolhei line.
2.2 Meta|ogue: Whµ Do |renchmen?
Daughlei: Daddy, vhy do Iienchnen vave lheii ains aloul`
Ialhei: Whal do you nean`
D: I nean vhen lhey laIk. Why do lhey vave lheii ains and aII lhal`
I: WeII~vhy do you sniIe` Oi vhy do you slanp youi fool sonelines`
D: ßul lhal´s nol lhe sane lhing, Daddy. I don´l vave ny ains aloul Iike a
Iienchnan does. I don´l leIieve lhey can slop doing il, Daddy. Can lhey`
I: I don´l knov~lhey nighl find il haid lo slop.. Can you slop sniIing`
D: ßul Daddy, I don´l sniIe aII lhe line. Il´s haid lo slop vhen I feeI Iike sniIing. ßul
I don´l feeI Iike il aII lhe line. And lhen I slop.
I: Thal´s liue~lul lhen a Iienchnan doesn´l vave his ains in lhe sane vay aII lhe
line. Sonelines he vaves lhen in one vay and sonelines in anolhei~and
sonelines, I lhink, he slops vaving lhen.
* * *
I: Whal do you lhink` I nean, vhal does il nake you lhink vhen a Iienchnan
vaves his ains`
D: I lhink il Iooks siIIy, Daddy. ßul I don´l suppose il Iooks Iike lhal lo anolhei
Iienchnan. They cannol aII Iook siIIy lo each olhei. ßecause if lhey did, lhey
vouId slop il. WouIdn´l lhey`
I: Ieihaps~lul lhal is nol a veiy sinpIe queslion. Whal eIse do lhey nake you
D: WeII~lhey Iook aII exciled.
I: AII iighl~¨siIIy¨ and ¨exciled.¨
D: ßul aie lhey ieaIIy as exciled as lhey Iook` If I veie as exciled as lhal, I vouId
vanl lo dance oi sing oi hil sonelody on lhe nose . lul lhey jusl go on vaving
lheii ains. They can´l le ieaIIy exciled.
I: WeII~aie lhey ieaIIy as siIIy as lhey Iook lo you` And anyhov, vhy do you
sonelines vanl lo dance and sing and punch sonelody on lhe nose`
D: Oh. Sonelines I jusl feeI Iike lhal.
I: Ieihaps a Iienchnan jusl feeIs ¨Iike lhal¨ vhen he vaves his ains aloul.
D: ßul he couIdn´l feeI Iike lhal aII lhe line, Daddy, he jusl couIdn´l.
I: You nean~lhe Iienchnan suieIy does nol feeI vhen he vaves his ains exaclIy as
you vouId feeI if you vaved youis. And suieIy you aie iighl.
D: ßul, lhen, hov does he feeI`
I: WeII~Iel us suppose you aie laIking lo a Iienchnan and he is vaving his ains
aloul, and lhen in lhe niddIe of lhe conveisalion, aflei sonelhing lhal you have
said, he suddenIy slops vaving his ains, and jusl laIks. Whal vouId you lhink
lhen` Thal he had jusl slopped leing siIIy and exciled`
This nelaIogue is iepiinled fion |npu|sc 1951, an annuaI of conlenpoiaiy dance, ly
peinission of InpuIse IulIicalions, Inc. Il has aIso appeaied in |TC.. A Rcticu cf Gcncra|
Scnan|ics, VoI. X, 1953.
D: No. I´d le fiighlened. I´d lhink I had said sonelhing lhal huil his feeIings and
peihaps he nighl le ieaIIy angiy.
I: Yes~and you nighl le iighl.
* * *
D: AII iighl~so lhey slop vaving lheii ains vhen lhey slail leing angiy.
I: Wail a ninule. The queslion, aflei aII, is vhal does one Iienchnan leII anolhei
Iienchnan ly vaving his ains` And ve have pail of an ansvei~he leIIs hin
sonelhing aloul hov he feeIs aloul lhe olhei guy. He leIIs hin he is nol
seiiousIy angiy~lhal he is viIIing and alIe lo le vhal you caII ¨siIIy.¨
D: ßul~no~lhal´s nol sensilIe. He cannol do aII lhal voik so lhal Ialei he viII le
alIe lo leII lhe olhei guy lhal he is angiy ly jusl keeping his ovn ains sliII. Hov
does he knov lhal he is going lo le angiy Ialei on`
I: He doesn
l knov. ßul, jusl in case.
D: No, Daddy, il doesn´l nake sense. I don´l sniIe so as lo le alIe lo leII you I an
angiy ly nol sniIing Ialei on.
I: Yes~I lhink lhal lhal is pail of lhe ieason foi sniIing. And lheie aie Iols of peopIe
vho sniIe in oidei lo leII you lhal lhey aie nol angiy~vhen lhey ieaIIy aie.
D: ßul lhal´s diffeienl, Daddy. Thal´s a soil of leIIing Iies vilh one´s face. Like pIaying
I: Yes.
I: Nov vheie aie ve` You don´l lhink il sensilIe foi Iienchnen lo voik so haid lo
leII each olhei lhal lhey aie nol angiy oi huil. ßul aflei aII vhal is nosl
conveisalion aloul` I nean, anong Aneiicans`
D: ßul, Daddy, il´s aloul aII soils of lhings~laselaII and ice ciean and gaidens and
ganes. And peopIe laIk aloul olhei peopIe and aloul lhenseIves and aloul
vhal lhey gol foi Chiislnas.
I: Yes, yes~lul vho Iislens` I nean~aII iighl, so lhey laIk aloul laselaII and
gaidens. ßul aie lhey exchanging infoinalion` And, if so, vhal infoinalion`
D: Suie~vhen you cone in fion fishing, and I ask you ¨did you calch anylhing`¨
and you say ¨nolhing,¨ I didn´l knov lhal you vouIdn´l calch anylhing liII you
loId ne.
I: Hnn.
* * *
I: AII iighl-so you nenlion ny fishing~a nallei aloul vhich I an sensilive~and
lhen lheie is a gap, a siIence in lhe conveisalion~and lhal siIence leIIs you lhal I
don´l Iike ciacks aloul hov nany fish I didn´l calch. Il´s jusl Iike lhe Iienchnan
vho slops vaving his ains aloul vhen he is huil.
D: I´n soiiy, Daddy, lul you did say.
I: No~vail a ninule~Iel´s nol gel confused ly leing soiiy~I shaII go oul fishing
again lonoiiov and I shaII sliII knov lhal I an unIikeIy lo calch a fish.
D: ßul, Daddy, you said aII conveisalion is onIy leIIing
olhei peopIe lhal you aie nol angiy vilh lhen.
I: Did I` No~nol aII conveisalion, lul nuch of il. Sone-lines if lolh peopIe aie
viIIing lo Iislen caiefuIIy, il is possilIe lo do noie lhan exchange gieelings and
good vishes. Lven lo do noie lhan exchange infoinalion. The lvo peopIe nay
even find oul sonelhing vhich neilhei of lhen knev lefoie.
* * *
I: Anyhov, nosl conveisalions aie onIy aloul vhelhei peopIe aie angiy oi
sonelhing. They aie lusy leIIing each olhei lhal lhey aie fiiendIy~vhich is
sonelines a Iie. Aflei aII, vhal happens vhen lhey cannol lhink of anylhing lo
say` They aII feeI unconfoilalIe.
D: ßul vouIdn´l lhal le infoinalion, Daddy` I nean~infoinalion lhal lhey aie nol
I: SuieIy, yes. ßul il´s a diffeienl soil of infoinalion fion
lhe cal is on lhe nal.
* * *
D: Daddy, vhy cannol peopIe jusl say ¨I an nol cioss al you¨ and Iel il go al lhal`
I: Ah, nov ve aie gelling lo lhe ieaI piolIen. The poinl is lhal lhe nessages vhich
ve exchange in gesluies aie ieaIIy nol lhe sane as any liansIalion of lhose
gesluies inlo voids.
D: I don´l undeisland.
I: I nean~lhal no anounl of leIIing sonelody in neie voids lhal one is oi is nol
angiy is lhe sane as vhal one nighl leII lhen ly gesluie oi lone of voice.
D: ßul, Daddy, you cannol have voids vilhoul sone lone of voice, can you` Lven if
sonelody uses as IillIe lone as he can, lhe olhei peopIe viII heai lhal he is
hoIding hinseIf lack~and lhal viII le a soil of lone, von´l il`
I: Yes~I suppose so. Aflei aII lhal´s vhal I said jusl nov aloul gesluies~lhal lhe
Iienchnan can say sonelhing speciaI ly slopping his gesluies.
* * *
I: ßul lhen, vhal do I nean ly saying lhal ¨neie voids¨ can nevei convey lhe sane
nessage as gesluies~if lheie aie no ¨neie voids¨`
D: WeII, lhe voids nighl le viillen.
I: No~lhal von´l Iel ne oul of lhe difficuIly. ßecause viillen voids sliII have sone
soil of ihylhn and lhey sliII have oveilones. The poinl is lhal no neie voids
exisl. Theie aie onIy voids vilh eilhei gesluie oi lone of voice oi sonelhing of
lhe soil. ßul, of couise, gesluies vilhoul voids aie connon enough.
* * *
D: Daddy, vhen lhey leach us Iiench al schooI, vhy don´l lhey leach us lo vave oui
I: I don´l knov. I´n suie I don´l knov. Thal is piolalIy one of lhe ieasons vhy
peopIe find Ieaining Ianguages so difficuIl.
* * *
I: Anyhov, il is aII nonsense. I nean, lhe nolion lhal Ianguage is nade of voids is aII
nonsense~and vhen I said lhal gesluies couId nol le liansIaled inlo ¨neie
voids,¨ I vas laIking nonsense, lecause lheie is no such lhing as ¨neie voids.¨
And aII lhe synlax and giannai and aII lhal sluff is nonsense. Il´s aII lased on
lhe idea lhal ¨neie¨ voids exisl~and lheie aie none.
D: ßul, Daddy.
I: I leII you~ve have lo slail aII ovei again fion lhe leginning and assune lhal
Ianguage is fiisl and foie-nosl a syslen of gesluies. AninaIs aflei aII have onIy
gesluies and lones of voice~and voids veie invenled Ialei. Much Ialei. And
aflei lhal lhey invenled schooI-nasleis.
D: Daddy`
I: Yes.
D: WouId il le a good lhing if peopIe gave up voids and venl lack lo onIy using
I: Hnn. I don´l knov. Of couise ve vouId nol le alIe lo have any conveisalions
Iike lhis. We couId onIy laik, oi nev, and vave oui ains aloul, and Iaugh and
giunl and veep. ßul il nighl le fun~il vouId nake Iife a soil of laIIel~vilh
danceis naking lheii ovn nusic.
2.3 Meta|ogue: About Games and Belng Serlous
Daughlei: Daddy, aie lhese conveisalions seiious`
Ialhei: CeilainIy lhey aie.
D: They´ie nol a soil of gane lhal you pIay vilh ne`
I: Cod foilid. lul lhey aie a soil of gane lhal ve pIay logelhei.
D: Then lhey´ie nol seiious!
* * *
I: Suppose you leII ne vhal you vouId undeisland ly lhe voids ¨seiious¨ and a
D: WeII. if you
ie. I don´l knov.
I: If I an vhal`
D: I nean. lhe conveisalions aie seiious foi ne, lul if you aie onIy pIaying a
I: Sleady nov. Lel´s Iook al vhal is good and vhal is lad aloul ¨pIaying¨ and
¨ganes.¨ Iiisl of aII, I don´l nind ~nol nuch~aloul vinning oi Iosing. When
youi queslions pul ne in a lighl spol, suie, I liy a IillIe haidei lo lhink sliaighl
and lo say cIeaiIy vhal I nean. ßul I don´l lIuff and I don´l sel liaps. Theie is no
lenplalion lo cheal.
D: Thal´s jusl il. Il´s nol seiious lo you. Il´s a gane. IeopIe vho cheal jusl don´l
knov hov lo pIay. They lieal a gane as lhough il veie seiious.
I: ßul il is seiious.
D: No, il isn
l~nol foi you il isn
I: ßecause I don
l even vanl lo cheal`
D: Yes~pailIy lhal.
I: ßul do you vanl lo cheal and lIuff aII lhe line` D: No~of couise nol.
I: WeII lhen`
D: Oh~Daddy~you´II nevei undeisland.
I: I guess I nevei viII.
I: Look, I scoied a soil of delaling poinl jusl nov ly foicing you lo adnil lhal you
don´l vanl lo cheal~and lhen I lied onlo lhal adnission lhe concIusion lhal
lheiefoie lhe conveisalions aie nol ¨seiious¨ foi you eilhei. Was lhal a soil of
D: Yes~soil of.
I: I agiee~I lhink il vas. I
n soiiy.
D: You see, Daddy~if I chealed oi vanled lo cheal, lhal vouId nean lhal I vas nol
seiious aloul lhe lhings ve laIk aloul. Il vouId nean lhal I vas onIy pIaying a
gane vilh you.
I: Yes, lhal nakes sense.
* * *
This nelaIogue is iepiinled ly peinission fion LTC.: A Reviev of CeneiaI Senanlics, VoI.
X, 1953.
D: ßul il doesn´l nake sense, Daddy. Il´s an avfuI nuddIe.
I: Yes~a nuddIe~lul sliII a soil of sense.
D: Hov, Daddy`
* * *
I: Wail a ninule. This is difficuIl lo say. Iiisl of aII~I lhink lhal ve gel sonevheie
vilh lhese conveisalions. I enjoy lhen veiy nuch and I lhink you do. ßul aIso,
apail fion lhal, I lhink lhal ve gel sone ideas sliaighl and I lhink lhal lhe
nuddIes heIp. I nean~lhal if ve lolh spoke IogicaIIy aII lhe line, ve vouId
nevei gel anyvheie. We vouId onIy paiiol aII lhe oId cIiches lhal eveiylody has
iepealed foi hundieds of yeais.
D: Whal is a cIiche, Daddy`
I: A cIiche` Il´s a Iiench void, and I lhink il vas oiiginaIIy a piinlei´s void. When
lhey piinl a senlence lhey have lo lake lhe sepaiale Ielleis and pul lhen one ly
one inlo a soil of giooved slick lo speII oul lhe senlence. ßul foi voids and
senlences vhich peopIe use oflen, lhe piinlei keeps IillIe slicks of Ielleis ieady
nade up. And lhese ieady-nade senlences aie caIIed cIiches.
D: ßul I´ve foigollen nov vhal you veie saying aloul cIiches, Daddy.
I: Yes~il vas aloul lhe nuddIes lhal ve gel inlo in lhese laIks and hov gelling
inlo nuddIes nakes a soil of sense. If ve didn´l gel inlo nuddIes, oui laIks
vouId le Iike pIaying iunny vilhoul fiisl shuffIing lhe caids.
D: Yes, Daddy~lul vhal aloul lhose lhings~lhe ieady-nade slicks of Ielleis`
I: The cIiches` Yes~il´s lhe sane lhing. We aII have Iols of ieady-nade phiases and
ideas, and lhe piinlei has ieady-nade slicks of Ielleis, aII soiled oul inlo phiases.
ßul if lhe piinlei vanls lo piinl sonelhing nev~say, sonelhing in a nev
Ianguage, he viII have lo lieak up aII lhal oId soiling of lhe Ielleis. In lhe sane
vay, in oidei lo lhink nev lhoughls oi lo say nev lhings, ve have lo lieak up aII
oui ieady-nade ideas and shuffIe lhe pieces.
D: ßul, Daddy, lhe piinlei vouId nol shuffIe aII lhe Ielleis` WouId he` He vouIdn´l
shake lhen aII up in a lag. He vouId pul lhen one ly one in lheii pIaces~aII lhe
a´s in one lox and aII lhe l´s in anolhei, and aII lhe connas in anolhei, and so
I: Yes~lhal´s iighl. Olheivise he vouId go nad liying lo find an a vhen he vanled
* * *
I: Whal aie you lhinking`
D: No~il´s onIy lhal lheie aie so nany queslions. I: Ioi exanpIe`
D: WeII, I see vhal you nean aloul oui gelling inlo nuddIes. Thal lhal nakes us say
nev soils of lhings. ßul I an lhinking aloul lhe piinlei. He has lo keep aII his
IillIe Ielleis soiled oul even lhough he lieaks up aII lhe ieady-nade phiases.
And I an vondeiing´ aloul oui nuddIes. Do ve have lo keep lhe IillIe pieces of
oui lhoughl in sone soil of oidei~lo keep fion going nad`
I: I lhink so~yes~lul I don´l knov vhal soil of oidei. Thal vouId le a leiiilIy
haid queslion lo ansvei. I don´l lhink ve couId gel an ansvei lo lhal queslion
* * *
I: You said lheie veie ¨so nany queslions.¨ Do you have anolhei`
D: Yes~aloul ganes and leing seiious. Thal´s vhal ve slailed fion, and I don´l
knov hov oi vhy lhal Ied us lo laIk aloul oui nuddIes. The vay you confuse
eveiylhing~il´s a soil of chealing.
I: No, alsoIuleIy nol.
* * *
I: You lioughl up lvo queslions. And ieaIIy lheie aie a Iol noie. We slailed fion
lhe queslion aloul lhese conveisalions~aie lhey seiious` Oi aie lhey a soil of
gane` And you feIl huil lhal I nighl le pIaying a gane, vhiIe you veie seiious.
Il Iooks as lhough a conveisalion is a gane if a peison lakes pail in il vilh one sel
of enolions oi ideas~lul nol a ¨gane¨ if his ideas oi enolions aie diffeienl.
D: Yes, il´s if youi ideas aloul lhe conveisalion aie diffeienl fion nine.
I: If ve lolh had lhe gane idea, il vouId le aII iighl` D: Yes~of couise.
I: Then il seens lo le up lo ne lo nake cIeai vhal I nean ly lhe gane idea. I knov
lhal I an seiious~vhalevei lhal neans~aloul lhe lhings lhal ve laIk aloul. We
laIk aloul ideas. And I knov lhal I pIay vilh lhe ideas in oidei lo undeisland
lhen and fil lhen logelhei. Il´s ¨pIay¨ in lhe sane sense lhal a snaII chiId
¨pIays¨ vilh lIocks. And a chiId vilh luiIding lIocks is noslIy veiy seiious
aloul his ¨pIay.¨
D: ßul is il a gane, Daddy` Do you pIay againsl ne`
I: No. I lhink of il as you and I pIaying logelhei againsl lhe luiIding lIocks~lhe
ideas. Sonelines conpeling a lil~lul conpeling as lo vho can gel lhe nexl idea
inlo pIace. And sonelines ve allack each olhei´s lil of luiIding, oi I viII liy lo
defend ny luiIl-up ideas fion youi ciilicisn. ßul aIvays in lhe end ve aie
voiking logelhei lo luiId lhe ideas up so lhal lhey viII sland.
* * *
D: Daddy, do oui laIks have iuIes` The diffeience lelveen
a gane and jusl pIaying is lhal a gane has iuIes.
I: Yes. Lel ne lhink aloul lhal. I lhink ve do have a soil of iuIes. and I lhink a
chiId pIaying vilh lIocks has iuIes. The lIocks lhenseIves nake a soil of iuIes.
They viII laIance in ceilain posilions and lhey viII nol laIance in olhei posilions.
And il vouId le a soil of chealing if lhe chiId used gIue lo nake lhe lIocks sland
up in a posilion fion vhich lhey vouId olheivise faII.
D: ßul vhal iuIes do ve have`
I: WeII, lhe ideas lhal ve pIay vilh liing in a soil of iuIes. Theie aie iuIes aloul hov
ideas viII sland up and sup-poil each olhei. And if lhey aie viongIy pul
logelhei lhe vhoIe luiIding faIIs dovn.
D: No gIue, Daddy`
I: No~no gIue. OnIy Iogic.
* * *
D: ßul you said lhal if ve aIvays laIked IogicaIIy and did nol gel inlo nuddIes, ve
couId nevei say anylhing nev. We couId onIy say ieady-nade lhings. Whal did
you caII lhose lhings`
I: CIiches. Yes. CIue is vhal cIiches aie sluck logelhei vilh.
D: ßul you said ¨Iogic,¨ Daddy.
I: Yes, I knov. We´ie in a nuddIe again. OnIy I don´l see a vay oul of lhis pailicuIai
* * *
D: Hov did ve gel inlo il, Daddy`
I: AII iighl, Iel´s see if ve can ieliace oui sleps. We veie laIking aloul lhe ¨iuIes¨ of
lhese conveisalions. And I said lhal lhe ideas lhal ve pIay vilh have iuIes of
D: Daddy! WouIdn´l il le a good lhing if ve had a fev noie iuIes and oleyed lhen
noie caiefuIIy` Then ve nighl nol gel inlo lhese dieadfuI nuddIes.
I: Yes. ßul vail. You nean lhal I gel us inlo lhese nuddIes lecause I cheal againsl
iuIes vhich ve don´l have. Oi pul il lhis vay. Thal ve nighl have iuIes vhich
vouId slop us fion gelling inlo nuddIes~as Iong as ve oleyed lhen.
D: Yes, Daddy, lhal´s vhal lhe iuIes of a gane aie foi.
I: Yes, lul do you vanl lo luin lhese conveisalions inlo lhal soil of a gane` I´d
ialhei pIay canasla~vhich is fun loo.
D: Yes, lhal´s iighl. We can pIay canasla vhenevei ve vanl lo. ßul al lhe nonenl I
vouId ialhei pIay lhis gane. OnIy I don´l knov vhal soil of a gane lhis is. Noi
vhal soil of iuIes il has.
I: And yel ve have leen pIaying foi sone line.
D: Yes. And il´s leen fun.
I: Yes.
* * *
I: Lel´s go lack lo lhe queslion vhich you asked and vhich I said vas loo difficuIl
lo ansvei loday. We veie laIking aloul lhe piinlei lieaking up his cIiches, and
you said lhal he vouId sliII keep sone soil of oidei anong his Ielleis~lo keep
fion going nad. And lhen you asked ¨Whal soil of oidei shouId ve cIing lo so
lhal vhen ve gel inlo a nuddIe ve do nol go nad`
Il seens lo ne lhal lhe
¨iuIes¨ of lhe gane is onIy an-olhei nane foi lhal soil of oidei.
D: Yes~and chealing is vhal gels us inlo nuddIes.
I: In a sense, yes. Thal´s iighl. Lxcepl lhal lhe vhoIe poinl of lhe gane is lhal ve do
gel inlo nuddIes, and do cone oul on lhe olhei side, and if lheie veie no
nuddIes oui ¨gane¨ vouId le Iike canasla oi chess~and lhal is nol hov ve
vanl il lo le.
D: Is il you lhal nake lhe iuIes, Daddy` Is lhal faii`
I: Thal, daughlei, is a diily ciack. And piolalIy an unfaii one. ßul Iel ne accepl il al
face vaIue. Yes, il is I vho nake lhe iuIes~aflei aII, I do nol vanl us lo go nad.
D: AII iighl. ßul, Daddy, do you aIso change lhe iuIes` Sonelines`
I: Hnn, anolhei diily ciack. Yes, daughlei, I change lhen conslanlIy. Nol aII of
lhen, lul sone of lhen.
D: I vish you´d leII ne vhen you´ie going lo change lhen!
I: Hnn~yes~again. I vish I couId. ßul il isn´l Iike lhal. If il veie Iike chess oi
canasla, I couId leII you lhe iuIes, and ve couId, if ve vanled lo, slop pIaying
and discuss lhe iuIes. And lhen ve couId slail a nev gane vilh lhe nev iuIes.
ßul vhal iuIes vouId hoId us lelveen lhe lvo ganes` WhiIe ve veie discussing
lhe iuIes`
D: I don´l undeisland.
I: Yes. The poinl is lhal lhe puipose of lhese conveisalions is lo discovei lhe
¨iuIes.¨ Il´s Iike Iife~a gane vhose puipose is lo discovei lhe iuIes, vhich iuIes
aie aIvays changing and aIvays undiscoveialIe.
D: ßul I don´l caII lhal a gane, Daddy.
I: Ieihaps nol. I vouId caII il a gane, oi al any iale ¨pIay.¨ ßul il ceilainIy is nol
Iike chess oi canasla. Il´s noie Iike vhal killens and puppies do. Ieihaps. I don´l
* * *
D: Daddy, vhy do killens and puppies pIay`
I: I don´l knov~I don
l knov.
2.4 Meta|ogue: Hou Much Do You Knou?
Daughlei: Daddy, hov nuch do you knov`
Ialhei: Me` Hnn~I have aloul a pound of knovIedge.
D: Don´l le siIIy. Is il a pound sleiIing oi a pound veighl` I nean ieaIIy hov nuch
do you knov`
I: WeII, ny liain veighs aloul lvo pounds and I suppose I use aloul a quailei of il
~oi use il al aloul a quailei efficiency. So Iel´s say haIf a pound.
D: ßul do you knov noie lhan }ohnny´s daddy` Do you knov noie lhan I do`
I: Hnn~I once knev a IillIe loy in LngIand vho asked his falhei, ¨Do falheis
aIvays knov noie lhan sons`¨ and lhe falhei said, ¨Yes.¨ The nexl queslion vas,
¨Daddy, vho invenled lhe slean engine`¨ and lhe falhei said, ¨}anes Wall.¨
And lhen lhe son cane lack vilh ¨~lul vhy didn´l }anes Wall´s falhei invenl
* * *
D: I knov. I knov noie lhan lhal loy lecause I knov vhy }anes Wall´s falhei
didn´l. Il vas lecause sone-lody eIse had lo lhink of sonelhing eIse lefoie
anylody couId nake a slean engine. I nean sonelhing Iike~I don´l knov~lul
lheie vas sonelody eIse vho had lo discovei oiI lefoie anylody couId nake an
I: Yes~lhal nakes a diffeience. I nean, il neans lhal knovIedge is aII soil of knilled
logelhei, oi voven, Iike cIolh, and each piece of knovIedge is onIy neaningfuI oi
usefuI lecause of lhe olhei pieces~and.
D: Do you lhink ve oughl lo neasuie il ly lhe yaid`
I: No. I don´l.
D: ßul lhal´s hov ve luy cIolh.
I: Yes. ßul I didn´l nean lhal il is cIolh. OnIy il´s Iike il~and ceilainIy vouId nol le
fIal Iike cIolh~lul in lhiee dinensions~peihaps foui dinensions.
D: Whal do you nean, Daddy`
I: I ieaIIy don´l knov, ny deai. I vas jusl liying lo lhink.
I: I don´l lhink ve aie doing veiy veII lhis noining. Sup-pose ve slail oul on
anolhei lack. Whal ve have lo lhink aloul is hov lhe pieces of knovIedge aie
voven logelhei. Hov lhey heIp each olhei.
D: Hov do lhey`
I: WeII~il´s as if sonelines lvo facls gel added logelhei and aII you have is jusl lvo
facls. ßul sonelines inslead of jusl adding lhey nuIlipIy~and you gel foui facls.
D: You cannol nuIlipIy one ly one and gel foui. You knov you can´l.
I: Oh.
* * *
This nelaIogue is iepiinled ly peinission fion LTC.:A Reviev of CeneiaI Senanlics, VoI.
X, 1953. 91
I: ßul yes I can, loo. If lhe lhings lo le nuIlipIied aie pieces of knovIedge oi facls oi
sonelhing Iike lhal. ßecause eveiy one of lhen is a doulIe sonelhing.
D: I don´l undeisland.
I: WeII~al Ieasl a doulIe sonelhing.
D: Daddy!
I: Yes~lake lhe gane of Tvenly Queslions. You lhink of sonelhing. Say you lhink
of ¨lonoiiov.¨ AII iighl. Nov I ask
Is il alsliacl`¨ and you say ¨Yes.
Nov fion
youi ¨yes¨ I have gol a doulIe lil of infoinalion. I knov lhal il is alsliacl and I
knov lhal il isn´l conciele. Oi say il lhis vay~fion youi ¨yes¨ I can haIve lhe
nunlei of possiliIilies of vhal lhe lhing can le. And lhal´s a nuIlipIying ly one
ovei lvo.
D: Isn
l il a division`
I: Yes~il´s lhe sane lhing. I nean~aII iighl~il´s a nuIlipIicalion ly.5. The
inpoilanl lhing is lhal il´s nol jusl a sulliaclion oi an addilion.
D: Hov do you knov il isn
I: Hov do I knov il`~WeII, suppose I ask anolhei queslion vhich viII haIve lhe
possiliIilies anong lhe alsliaclions. And lhen anolhei. Thal viII have lioughl
dovn lhe lolaI possiliIilies lo an eighlh of vhal lhey veie al lhe leginning. And
lvo lines lvo lines lvo is eighl.
D: And lvo and lvo and lvo is onIy six.
I: Thal´s iighl.
D: ßul, Daddy, I don´l see~vhal happens vilh Tvenly Queslions`
I: The poinl is lhal if I pick ny queslions piopeiIy I can decide lelveen lvo lines
lvo lines lvo lines lvo lvenly lines ovei lhings~2
lhings. Thal´s ovei a niI-
Iion lhings lhal you nighl have lhoughl of. One queslion is enough lo decide
lelveen lvo lhings, and lvo queslions viII decide lelveen foui lhings~and so
D: I don´l Iike aiilhnelic, Daddy.
I: Yes, I knov. The voiking il oul is duII, lul sone of lhe ideas in il aie anusing.
Anyhov, you vanled lo knov hov lo neasuie knovIedge, and if you slail
neasuiing lhings lhal aIvays Ieads lo aiilhnelic.
D: We haven´l neasuied any knovIedge yel.
I: No. I knov. ßul ve have nade a slep oi lvo lovaid knoving hov ve vouId
neasuie il if ve vanled lo. And lhal neans ve aie a IillIe neaiei lo knoving
vhal knovIedge is.
D: Thal vouId le a funny soil of knovIedge, Daddy. I nean knoving aloul
knovIedge~vouId ve neasuie lhal soil of knoving lhe sane vay`
I: Wail a ninule~I don´l knov~lhal´s ieaIIy lhe $64 Queslion on lhis suljecl.
ßecause~veII, Iel´s go lack lo lhe gane of Tvenly Queslions. The poinl lhal ve
nevei nenlioned is lhal lhose queslions have lo le in a ceilain oidei. Iiisl lhe
vide geneiaI queslion and lhen lhe delaiIed queslion. And il´s onIy fion ansveis
lo lhe vide queslions lhal I knov vhich delaiIed queslions lo ask. ßul ve
counled lhen aII aIike. I don´l knov. ßul nov you ask ne if knoving aloul
knovIedge vouId le neasuied lhe sane vay as olhei knovIedge. And lhe
ansvei nusl suieIy le no. You see, if lhe eaiIy queslions in lhe gane leII ne
vhal queslions lo ask Ialei, lhen lhey nusl le pailIy queslions aloul knoving.
They´ie expIoiing lhe lusiness of knoving.
D: Daddy~has anylody evei neasuied hov nuch any-lody knev.
I: Oh yes. Oflen. ßul I don
l quile knov vhal lhe ansveis neanl. They do il vilh
exaninalions and lesls and quizzes, lul il
s Iike liying lo find oul hov lig a piece
of papei is ly lhioving slones al il.
D: Hov do you nean`
I: I nean~if you lhiov slones al lvo pieces of papei fion lhe sane dislance and
you find lhal you hil one piece noie oflen lhan lhe olhei, lhen piolalIy lhe one
lhal you hil nosl viII le liggei lhan lhe olhei. In lhe sane vay, in an
exaninalion you lhiov a Iol of queslions al lhe sludenls, and if you find lhal you
hil noie pieces of knovIedge in one sludenl lhan in lhe olheis, lhen you lhink
lhal sludenl nusl knov noie. Thal´s lhe idea.
D: ßul couId one neasuie a piece of papei lhal vay`
I: SuieIy one couId. Il nighl even le quile a good vay of doing il. We do neasuie a
Iol of lhings lhal vay. Ioi exanpIe, ve judge hov sliong a cup of coffee is ly
Iooking lo see hov lIack il is~lhal is, ve Iook lo see hov nuch Iighl is slopped.
We lhiov Iighl vaves al il inslead of slones, il´s lhe sane idea.
D: Oh.
* * *
D: ßul lhen~vhy shouIdn´l ve neasuie knovIedge lhal vay`
I: Hov` ßy quizzes` No~Cod foilid. The lioulIe is lhal lhal soil of neasuiing
Ieaves oul youi poinl~lhal lheie aie diffeienl soils of knovIedge~and lhal
s knoving aloul knovIedge. And oughl one lo give highei naiks lo lhe
sludenl vho can ansvei lhe videsl queslion` Oi peihaps lheie shouId le a
diffeienl soil of naiks foi each diffeienl soil of queslion.
D: WeII, aII iighl. Lel´s do lhal and lhen add lhe naiks logelhei and lhen.
I: No~ve couIdn
l add lhen logelhei. We nighl nuIlipIy oi divide one soil of
naiks ly anolhei soil lul ve couIdn´l add lhen.
D: Why nol, Daddy`
I: ßecause~lecause ve couIdn´l. No vondei you don´l Iike aiilhnelic if lhey don´l
leII you lhal soil of lhing al schooI~Whal do lhey leII you` CoIIy~I vondei
vhal lhe leacheis lhink aiilhnelic is aloul.
D: Whal is il aloul, Daddy`
I: No. Lel´s slick lo lhe queslion of hov lo neasuie knovIedge~Aiilhnelic is a sel
of liicks foi lhinking cIeaiIy and lhe onIy fun in il is jusl ils cIaiily. And lhe fiisl
lhing aloul leing cIeai is nol lo nix up ideas vhich aie ieaIIy diffeienl fion each
olhei. The idea of lvo oianges is ieaIIy diffeienl fion lhe idea of lvo niIes.
ßecause if you add lhen logelhei you onIy gel fog in youi head.
D: ßul, Daddy, I can´l keep ideas sepaiale. Oughl I lo do lhal`
I: No~ No~ Of couise nol. Conline lhen. ßul don´l add lhen. Thal´s aII. I nean~
if lhe ideas aie nunleis and you vanl lo conline lvo diffeienl soils, lhe lhing
lo do is lo nuIlipIy lhen ly each olhei. Oi divide lhen ly each olhei. And lhen
you´II gel sone nev soil of idea, a nev soil of quanlily. If you have niIes in youi
head, and you have houis in youi head, and you divide lhe niIes ly lhe houis,
you gel ¨niIes pei houi¨~lhal´s a speed.
D: Yes, Daddy. Whal vouId I gel if I nuIlipIied lhen`
I: Oh~ei~I suppose you´d gel niIe-houis. Yes. I knov vhal lhey aie. I nean,
vhal a niIe-houi is. Il
s vhal you pay a laxi diivei. His nelei neasuies niIes
and he has a cIock vhich neasuies houis, and lhe nelei and lhe cIock voik
logelhei and nuIlipIy lhe houis ly lhe niIes and lhen il nuIlipIies lhe niIe-
houis ly sonelhing eIse vhich nakes niIe-houis inlo doIIais.
D: I did an expeiinenl once.
I: Yes`
D: I vanled lo find oul if I couId lhink lvo lhoughls al lhe sane line. So I lhoughl
¨Il´s sunnei¨ and I lhoughl ¨Il´s vinlei.¨ And lhen I liied lo lhink lhe lvo
lhoughls logelhei.
I: Yes`
D: ßul I found I vasn´l having lvo lhoughls. I vas onIy having one lhoughl aloul
having lvo lhoughls.
I: Suie, lhal´s jusl il. You can´l nix lhoughls, you can onIy conline lhen. And in
lhe end, lhal neans you can´l counl lhen. ßecause counling is ieaIIy onIy adding
lhings logelhei. And you noslIy can´l do lhal.
D: Then ieaIIy do ve onIy have one lig lhoughl vhich has Iols of lianches and Iols
and Iols of lianches`
I: Yes. I lhink so. I don´l knov. Anyhov I lhink lhal is a cIeaiei vay of saying il. I
nean il´s cIeaiei
lhan laIking aloul lils of knovIedge and liying lo counl lhen.
* * *
D: Daddy, vhy don´l you use lhe olhei lhiee-quaileis of youi liain`
I: Oh, yes~lhal~you see lhe lioulIe is lhal I had schooI-leacheis loo. And lhey
fiIIed up aloul a quailei of ny liain vilh fog. And lhen I iead nevspapeis and
Iislened lo vhal olhei peopIe said, and lhal fiIIed up anolhei quailei vilh fog.
D: And lhe olhei quailei, Daddy`
I: Oh~lhal´s fog lhal I nade foi nyseIf vhen I vas liying lo lhink.
2.5 Meta|ogue: Whµ Do Thlngs Hate Out|lnes?
Daughlei: Daddy, vhy do lhings have oulIines`
Ialhei: Do lhey` I don´l knov. Whal soil of lhings do you nean`
D: I nean vhen I diav lhings, vhy do lhey have oulIines` I: WeII, vhal aloul olhei
soils of lhings~a fIock of sheep` oi a conveisalion` Do lhey have oulIines`
D: Don´l le siIIy. I can´l diav a conveisalion. I nean lhings.
I: Yes~I vas liying lo find oul jusl vhal you neanl. Do you nean ¨Why do ve give
lhings oulIines vhen ve diav lhen`¨ oi do you nean lhal lhe lhings have oul-
Iines vhelhei ve diav lhen oi nol`
D: I don´l knov, Daddy. You leII ne. Which do I nean`
I: I don
l knov, ny deai. Theie vas a veiy angiy ailisl once vho sciillIed aII soils of
lhings dovn, and aflei he vas dead lhey Iooked in his looks and in one pIace
lhey found he´d viillen ¨Wise nen see oulIines and lheiefoie lhey diav lhen¨
lul in anolhei pIace he´d viillen ¨Mad nen see oulIines and lheiefoie lhey diav
D: ßul vhich does he nean` I don´l undeisland.
I: WeII, WiIIian ßIake~lhal vas his nane~vas a gieal ailisl and a veiy angiy nan.
And sonelines he ioIIed up his ideas inlo IillIe spillaIIs so lhal he couId lhiov
lhen al peopIe.
D: ßul vhal vas he nad aloul, Daddy`
I: ßul vhal vas he nad aloul` Oh, I see~you nean ¨angiy.
We have lo keep
lhose lvo neanings of ¨nad¨ cIeai if ve aie going lo laIk aloul ßIake. ßecause a
Iol of peopIe lhoughl he vas nad~ieaIIy nad~ciazy. And lhal vas one of lhe
lhings he vas nad-angiy aloul. And lhen he vas nad-angiy, loo, aloul sone
ailisls vho painled picluies as lhough lhings didn´l have oul-Iines. He caIIed
lhen ¨lhe sIolleiing schooI.¨
D: He vasn´l veiy loIeianl, vas he, Daddy`
I: ToIeianl` Oh, Cod. Yes, I knov~lhal´s vhal lhey diun inlo you al schooI. No,
ßIake vas nol veiy loIeianl. He didn´l even lhink loIeiance vas a good lhing. Il
vas jusl noie sIolleiing. He lhoughl il lIuiied aII lhe oulIines and nuddIed
eveiylhing~lhal il nade aII cals giay. So lhal nolody vouId le alIe lo see
anylhing cIeaiIy and shaipIy.
D: Yes, Daddy.
I: No, lhal´s nol lhe ansvei. I nean ¨Yes, Daddy
is nol lhe ansvei. AII lhal says is
lhal you don´l knov vhal youi opinion is~and you don´l give a dann vhal I
say oi vhal ßIake says and lhal lhe schooI has so lefuddIed you vilh laIk aloul
loIeiance lhal you can-nol leII lhe diffeience lelveen anylhing and anylhing eIse.
D: (Weeps.)
I: Oh, Cod. I´n soiiy, lul I vas angiy. ßul nol ieaIIy angiy vilh you. }usl angiy al
lhe geneiaI nushiness of hov peopIe acl and lhink~and hov lhey pieach
nuddIe and caII il loIeiance.
D: ßul, Daddy
Reprinted by permission Irom ETC.: A Review oI CeneiaI Senanlics, VoI. XI, 1953.
I: Yes`
D: I don´l knov. I don´l seen alIe lo lhink veiy veII. Il´s aII in a nuddIe.
I: I´n soiiy. I suppose I nuddIed you ly slailing lo Iel off slean.
* * *
D: Daddy` I: Yes`
D: Why is lhal sonelhing lo gel angiy aloul`
I: Is vhal sonelhing lo gel angiy aloul`
D: I nean~aloul vhelhei lhings have oulIines. You said WiIIian ßIake gol angiy
aloul il. And lhen you gel angiy aloul il. Why is lhal, Daddy`
I: Yes, in a vay I lhink il is. I lhink il nalleis. Ieihaps in a vay, is lhe lhing lhal
nalleis. And olhei lhings onIy nallei lecause lhey aie pail of lhis.
D: Whal do you nean, Daddy`
I: I nean, veII, Iel´s laIk aloul loIeiance. When CenliIes vanl lo luIIy }evs lecause
lhey kiIIed Chiisl, I gel inloIeianl. I lhink lhe CenliIes aie leing nuddIe-headed
and aie lIuiiing aII lhe oulIines. ßecause lhe }evs didn´l kiII Chiisl, lhe IlaIians
did il.
D: Did lhey, Daddy`
I: Yes, onIy lhe ones vho did aie caIIed Ronans loday, and ve have anolhei void
foi lheii descendanls. We caII lhen IlaIians. You see lheie aie lvo nuddIes and I
vas naking lhe second nuddIe on puipose so ve couId calch il. Iiisl lheie´s lhe
nuddIe of gelling lhe hisloiy viong and saying lhe }evs did il, and lhen lheie´s
lhe nuddIe of saying lhal lhe descendanls shouId le iesponsilIe foi vhal lheii
anceslois didn´l do. Il´s aII sIovenIy.
D: Yes, Daddy.
I: AII iighl, I´II liy nol lo gel angiy again. AII I´n liying lo say is lhal nuddIe is
sonelhing lo gel angiy aloul. D: Daddy`
I: Yes`
D: We veie laIking aloul nuddIe lhe olhei day. Aie ve ieaIIy laIking aloul lhe
sane lhing nov`
I: Yes. Of couise ve aie. Thal
s vhy il
s inpoilanl~vhal ve said lhe olhei day.
D: And you said lhal gelling lhings cIeai vas vhal Science vas aloul.
I: Yes, lhal´s lhe sane lhing again.
* * *
D: I don´l seen lo undeisland il aII veiy veII. Lveiylhing seens lo le eveiylhing eIse,
and I gel Iosl in il.
I: Yes, I knov il´s difficuIl. The poinl is lhal oui conveisalions do have an oulIine,
sonehov~if onIy one couId see il cIeaiIy.
* * *
I: Lel´s lhink aloul a ieaI conciele oul-and-oul nuddIe, foi a change, and see if lhal
viII heIp. Do you ienenlei lhe gane of cioquel in AIice in WondeiIand`
D: Yes~vilh fIaningos`
I: Thal´s iighl.
D: And poicupines foi laIIs`
I: No, hedgehogs. They veie hedgehogs. They don´l have poicupines in LngIand.
D: Oh. Was il in LngIand, Daddy` I didn´l knov.
I: Of couise il vas in LngIand. You don´l have duchesses in Aneiica eilhei.
D: ßul lheie´s lhe Duchess of Windsoi, Daddy.
I: Yes, lul she doesn´l have quiIIs, nol Iike a ieaI poicupine.
D: Co on aloul AIice and don
l le siIIy, Daddy.
I: Yes, ve veie laIking aloul fIaningos. The poinl is lhal lhe nan vho viole AIice
vas lhinking aloul lhe sane lhings lhal ve aie. And he anused hinseIf vilh
IillIe AIice ly inagining a gane of cioquel lhal vouId le aII nuddIe, jusl
alsoIule nuddIe. So he said lhey shouId use fIaningos as naIIels lecause lhe
fIaningos vouId lend lheii necks so lhe pIayei vouIdn´l knov even vhelhei his
naIIel vouId hil lhe laII oi hov il vouId hil lhe laII.
D: Anyhov lhe laII nighl vaIk avay of ils ovn accoid lecause il vas a hedgehog.
I: Thal´s iighl. So lhal il´s aII so nuddIed lhal nolody can leII al aII vhal´s going lo
D: And lhe hoops vaIked aiound, loo, lecause lhey veie soIdieis.
I: Thal
s iighl~eveiylhing couId nove and nolody couId leII hov il vouId nove.
D: Did eveiylhing have lo le aIive so as lo nake a conpIele nuddIe`
I: No~he couId have nade il a nuddIe ly. no, I suppose you´ie iighl. Thal´s
inleiesling. Yes, il had lo le lhal vay. Wail a ninule. Il´s cuiious lul you´ie iighl.
ßecause if he´d nuddIed lhings any olhei vay, lhe pIayeis couId have Ieained
hov lo deaI vilh lhe nuddIing delaiIs. I nean, suppose lhe cioquel Iavn vas
lunpy, oi lhe laIIs veie a funny shape, oi lhe heads of lhe naIIels jusl vollIy
inslead of leing aIive, lhen lhe peopIe couId sliII Ieain and lhe gane vouId onIy
le noie difficuIl~il vouIdn´l le inpossilIe. ßul once you liing Iive lhings inlo
il, il lecones inpossilIe. I vouIdn´l have expecled lhal.
D: WouIdn´l you, Daddy` I vouId have. Thal seens naluiaI lo ne.
I: NaluiaI` Suie~naluiaI enough. ßul I vouId nol have expecled il lo voik lhal
D: Why nol` Thal´s vhal I vouId have expecled.
I: Yes. ßul lhis is lhe lhing lhal I vouId nol have expecled. Thal aninaIs, vhich aie
lhenseIves alIe lo see lhings ahead and acl on vhal lhey lhink is going lo
happen~a cal can calch a nouse ly junping lo Iand vheie lhe nouse viII
piolalIy le vhen she has conpIeled hei junp~lul il´s jusl lhe facl lhal aninaIs
aie capalIe of seeing ahead and Ieaining lhal nakes lhen lhe onIy ieaIIy
unpiediclalIe lhings in lhe voiId. To lhink lhal ve liy lo nake Iavs as lhough
peopIe veie quile ieguIai and piediclalIe.
D: Oi do lhey nake lhe Iavs jusl lecause peopIe aie nol piediclalIe, and lhe peopIe
vho nake lhe Iavs vish lhe olhei peopIe veie piediclalIe`
I: Yes, I suppose so.
* * *
D: Whal veie ve laIking aloul`
I: I don´l quile knov~nol yel. ßul you slailed a nev Iine ly asking if lhe gane of
cioquel couId le nade inlo a ieaI nuddIe onIy ly having aII lhe lhings in il aIive.
And I venl chasing aflei lhal queslion, and I don´l lhink I´ve caughl up vilh il
yel. Theie is sone-lhing funny aloul lhal poinl.
D: Whal`
I: I don´l quile knov~nol yel. Sonelhing aloul Iiving lhings and lhe diffeience
lelveen lhen and lhe lhings lhal aie nol aIive~nachines, slones, so on. Hoises
don´l fil in a voiId of aulonoliIes. And lhal´s pail of lhe sane poinl. They´ie
unpiediclalIe, Iike fIaningos in lhe gane of cioquel.
D: Whal aloul peopIe, Daddy`
I: Whal aloul lhen`
D: WeII, lhey´ie aIive. Do lhey fil` I nean on lhe slieels`
I: No, I suppose lhey don´l ieaIIy fil~oi onIy ly voiking pielly haid lo piolecl
lhenseIves and nake lhenseIves fil. Yes, lhey have lo nake lhenseIves
piediclalIe, le-cause olheivise lhe nachines gel angiy and kiII lhen.
D: Don´l le siIIy. If lhe nachines can gel angiy, lhen |ncq vouId
nol le piediclalIe.
They´d le Iike you, Daddy. You can´l piedicl vhen you´ie angiy, can you`
I: No, I suppose nol.
D: ßul, Daddy, I´d ialhei have you unpiediclalIe~sonelines.
* * *
D: Whal did qcu nean ly a conveisalion having an oul-Iine` Has lhis conveisalion
had an oulIine`
I: Oh, suieIy, yes. ßul ve cannol see il yel lecause lhe conveisalion isn´l finished.
You cannol evei see il vhiIe you´ie in lhe niddIe of il. ßecause if you couId see il,
you vouId le piediclalIe~Iike lhe nachine. And I vouId le piediclalIe~and
lhe lvo of us logelhei vouId le piediclalIe
D: ßul I don´l undeisland. You say il is inpoilanl lo le cIeai aloul lhings. And you
gel angiy aloul peopIe vho lIui lhe oulIines. And yel ve lhink il´s lellei lo le
unpiediclalIe and nol lo le Iike a nachine. And you say lhal ve cannol see lhe
oulIines of oui conveisalion liII il´s ovei. Then il doesn´l nallei vhelhei ve
cIeai oi nol. ßecause ve cannol dc anylhing aloul il lhen.
I: Yes, I knov~and I don´l undeisland il nyseIf.. ßul anyvay, vho vanls lo dc
anylhing aloul il`
2.6 Meta|ogue: Whµ a Suan?
Daughlei: Why a svan`
Ialhei: Yes~and vhy a puppel in Ielioushka`
D: No~lhal´s diffeienl. Aflei aII a puppel is soil of hunan~and lhal pailicuIai
puppel is veiy hunan. I: Moie hunan lhan lhe peopIe`
D: Yes.
I: ßul sliII onIy soil of hunan` And aflei aII lhe svan is aIso soil of hunan.
D: Yes.
* * *
D: ßul vhal aloul lhe dancei` Is she hunan` Of couise she rca||q is, lul, on lhe slage,
she seens inhunan oi inpeisonaI~peihaps supeihunan. I don´l knov.
I: You nean~lhal vhiIe lhe svan is onIy a scr| cf svan and has no velling lelveen
hei loes, lhe dancei seens onIy scr| cf hunan.
D: I don´l knov~peihaps il´s sonelhing Iike lhal.
* * *
I: No~I gel confused vhen I speak of lhe ¨svan¨ and lhe dancei as lvo diffeienl
lhings. I vouId ialhei say lhal lhe lhing I see on lhe slage~lhe svan figuie~is
soil of¨ hunan and ¨soil of¨ svan.
D: ßul lhen you vouId le using lhe void ¨soil of¨ in lvo senses.
I: Yes, lhal´s so. ßul anyhov, vhen I say lhal lhe svan figuie is ¨soil of¨ hunan, I
don´l nean lhal il (oi she) is a nenlei of lhal species oi soil vhich ve caII
hunan. D: No, of couise nol.
I: Ralhei lhal she (oi il) is a nenlei of anolhei suldivision of a Iaigei gioup vhich
vouId incIude Ielioushka puppels and laIIel svans and peopIe.
D: No, il´s nol Iike geneia and species. Does youi Iaigei gioup incIude geese`
I: AII iighl. Then I evidenlIy do nol knov vhal lhe void ¨soil of¨ neans. ßul I do
knov lhal lhe vhoIe of fanlasy, poeliy, laIIel, and ail in geneiaI oves ils
neaning and inpoilance lo lhe ieIalionship vhich I iefei lo vhen I say lhal lhe
svan figuie is a ¨soil of¨ svan~oi a ¨pielend¨ svan.
D: Then ve shaII nevei knov vhy lhe dancei is a svan oi a puppel oi vhalevei, and
shaII nevei le alIe lo say vhal ail oi poeliy is unliI soneone says vhal is ieaIIy
neanl ly ¨soil of.¨
I: Yes.
I: ßul ve don´l have lo avoid puns. In Iiench lhe phiase espece de (IileiaIIy ¨soil
of¨) caiiies a speciaI soil of punch. If one nan caIIs anolhei ¨a caneI¨ lhe insuIl
nay le a fiiendIy one. ßul if he caIIs hin an espece de chaneau~a soil of caneI
~lhal´s lad. Il´s sliII voise lo caII a nan an espece d´espece~a soil of a soil. D:
A soil of a soil of vhal`
This nelaIogue appeaied in |npu|sc 1954 and is ie-piinled ly peinission of InpuIse
IulIicalions, Inc.
I: No~jusl a soil of a soil. On lhe olhei hand, if you say of a nan lhal he is a liue
caneI, lhe insuIl caiiies a fIavoi of giudging adniialion.
D: ßul vhen a Iienchnan caIIs a nan a soil of caneI, is he using lhe phiase soil of in
anylhing Iike lhe sane vay as I, vhen I say lhe svan is soil of hunan`
* * *
I: Il´s Iike~lheie´s a passage in Maclelh. Maclelh is laIking lo lhe nuideieis
vhon he is sending oul lo kiII ßanquo. They cIain lo le nen, and he leIIs lhen
lhey aie soil of nen.
Ay~in lhe calaIogue ye go foi nen.
as hounds and gieyhounds, nongieIs, spanieIs, cuis,
shoughs, valei-iugs and deni-voIves aie cIepl
aII ly lhe nane of dogs.
(Maclelh, Acl III, Scene 1)
D: No~lhal´s vhal you said jusl nov. Whal vas il` ¨Anolhei suldivision of a Iaigei
I don´l lhink lhal´s il al aII.
I: No, il´s nol onIy lhal. Maclelh, aflei aII, uses dogs in his siniIe. And ¨dogs¨ neans
eilhei nolIe hounds oi scavengeis. Il vouId nol le lhe sane if he had used lhe
doneslic vaiielies of cals~oi lhe sulspecies of viId ioses.
D: AII iighl, aII iighl. ßul vhal is lhe ansvei lo ny queslion` When a Iienchnan
caIIs a nan a ¨soil of¨ caneI, and I say lhal lhe svan is ¨soil of¨ hunan, do ve
lolh nean lhe sane lhing ly ¨soil of¨`
* * *
I: AII iighl, Iel´s liy lo anaIyze vhal ¨soil of¨ neans. Lel´s lake a singIe senlence and
exanine il. If I say ¨lhe puppel Ielioushka is soil of hunan,¨ I slale a ieIalion-
D: ßelveen vhal and vhal`
I: ßelveen ideas, I lhink.
D: Nol lelveen a puppel and peopIe`
I: No. ßelveen sone ideas lhal I have aloul a puppel and sone ideas lhal I have
aloul peopIe.
D: Oh.
* * *
D: WeII lhen, vhal soil of a ieIalionship`
I: I don´l knov. A nelaphoiic ieIalionship`
* * *
I: And lhen lheie is lhal olhei ieIalionship vhich is enphalicaIIy nol ¨soil of.¨ Many
nen have gone lo lhe slake foi lhe pioposilion lhal lhe liead and vine aie nol
¨soil of¨ lhe lody and lIood.
D: ßul is lhal lhe sane lhing` I nean~is lhe svan laIIel a sacianenl`
I: Yes~I lhink so~al Ieasl foi sone peopIe. In Iioleslanl Ianguage ve nighl say
lhal lhe svanIike coslune and novenenls of lhe dancei aie ¨oulvaid and
visilIe signs of sone invaid and spiiiluaI giace¨ of vonan. ßul in CalhoIic
Ianguage lhal vouId nake lhe laIIel inlo a neie nelaphoi and nol a sacianenl.
D: ßul you said lhal foi sone peopIe il is a sacianenl. You nean foi Iioleslanls`
I: No, no. I nean lhal if foi sone peopIe lhe liead and vine aie onIy a nelaphoi,
vhiIe foi olheis~CalhoIics ~lhe liead and vine aie a sacianenl, lhen, if lheie
le sone foi vhon lhe laIIel is a nelaphoi, lheie nay le olheis foi vhon il is
enphalicaIIy noie lhan a nelaphoi~lul ialhei a sacianenl.
D: In lhe CalhoIic sense`
I: Yes.
* * *
I: I nean lhal if ve couId say cIeaiIy vhal is neanl ly lhe pioposilion ¨lhe liead
and vine is nol `soil of´ lhe lody and lIood¨, lhen ve shouId knov noie aloul
vhal ve nean vhen ve say eilhei lhal lhe svan is ¨soil of¨ hunan oi lhal lhe
laIIel is a sacianenl.
D: WeII~hov do you leII lhe diffeience`
I: Which diffeience`
D: ßelveen a sacianenl and a nelaphoi.
* * *
I: Wail a ninule. We aie, aflei aII, laIking aloul lhe pei-foinei oi lhe ailisl oi lhe
poel, oi a given nenlei of lhe audience. You ask ne hov I leII lhe diffeience
lelveen a sacianenl and a nelaphoi. ßul ny ansvei nusl deaI vilh lhe peison
and nol lhe nessage. You ask ne hov I vouId decide vhelhei a ceilain dance on
a ceilain day is oi is nol sacianenlaI foi lhe pailicuIai dancei.
D: AII iighl~lul gel on vilh il.
I: WeII~I lhink il´s a soil of a seciel.
D: You nean you von´l leII ne`
I: No~il´s nol lhal soil of seciel. Il´s nol sonelhing lhal one nusl nol leII. Il´s
sonelhing lhal one cannol leII.
D: Whal do you nean` Why nol`
I: Lel us suppose I asked lhe dancei, ¨Miss X, leII ne, lhal dance vhich you peifoin
~is il foi you a sacianenl oi a neie nelaphoi`¨ And Iel us inagine lhal I can
nake lhis queslion inleIIigilIe. She viII peihaps pul ne off ly saying, ¨You sav
il~il is foi you lo decide, if you vanl lo, vhelhei oi nol il is sacianenlaI foi
you.¨ Oi she nighl say, ¨Sonelines il is and sonelines il isn
Hov vas I,
Iasl nighl`
ßul in any case she can have no diiecl conlioI ovei lhe nallei.
* * *
D: Do you nean lhal anylody vho knev lhis seciel vouId have il in lheii povei lo
le a gieal dancei oi a gieal poel`
I: No, no, no. Il isn´l Iike lhal al aII. I nean fiisl lhal gieal ail and ieIigion and aII lhe
iesl of il is aloul lhis seciel, lul knoving lhe seciel in an oidinaiy conscious vay
vouId nol give lhe knovei conlioI.
* * *
D: Daddy, vhal has happened` We veie liying lo find oul vhal ¨soil of¨ neans
vhen ve say lhal lhe svan is ¨soil of¨ hunan. I said lhal lheie nusl le lvo
senses of ¨soil of.¨ One in lhe phiase ¨lhe svan figuie is a `soil of´ svan, and
anolhei in lhe phiase ¨lhe svan figuie is `soil of´ hunan.¨ And nov you aie
laIking aloul nysleiious seciels and conlioI.
I: AII iighl. I´II slail again. The svan figuie is nol a ieaI svan lul a pielend svan. Il
is aIso a pielend-nol hunan leing. Il is aIso ¨ieaIIy¨ a young Iady veaiing a
vhile diess. And a ieaI svan vouId iesenlIe a young Iady in ceilain vays.
D: ßul vhich of lhese is sacianenlaI`
I: Oh Loid, heie ve go again. I can onIy say lhis: lhal il is nol one of lhese slalenenls
lul lheii conlinalion vhich conslilules a sacianenl. The ¨pielend¨ and lhe
¨pielend-nol¨ and lhe ¨ieaIIy¨ sonehov gel fused logelhei inlo a singIe
D: ßul ve oughl lo keep lhen sepaiale.
I: Yes. Thal is vhal lhe Iogicians and lhe scienlisls liy lo do. ßul lhey do nol cieale
laIIels lhal vay~noi sacianenls.
2.7 Meta|oque: What ls an lnstlnct?
Daughlei: Daddy, vhal is an inslincl`
Ialhei: An inslincl, ny deai, is a expIanaloiy piincipIe. D: ßul vhal does il expIain`
I: Anylhing~aInosl anylhing al aII. Anylhing you vanl il lo expIain.
D: Don´l le siIIy. Il doesn´l expIain giavily.
I: No. ßul lhal is lecause nolody vanls ¨inslincl¨ lo expIain giavily. f lhey did, il
vouId expIain il. We couId sinpIy say lhal lhe noon has an inslincl vhose
slienglh vaiies inveiseIy as lhe squaie of lhe dislance.
D: ßul lhal´s nonsense, Daddy.
I: Yes, suieIy. ßul il vas you vho nenlioned ¨inslincl,¨ nol I.
D: AII iighl~lul lhen vhal does expIain giavily`
I: Nolhing, ny deai, lecause giavily is an expIanaloiy piincipIe.
D: Oh.
D: Do you nean lhal you cannol use one expIanaloiy piincipIe lo expIain anolhei`
I: Hnn. haidIy evei. Thal is vhal Nevlon neanl vhen he said, ¨hypolheses non
D: And vhal does lhal nean` IIease.
I: WeII, you knov vhal ¨hypolheses¨ aie. Any slalenenl Iinking logelhei lvo
desciiplive slalenenls is an hypolhesis. If you say lhal lheie vas a fuII noon on
Ieliuaiy 1sl and anolhei on Maich 1sl, and lhen you Iink lhese lvo olseivalions
logelhei in any vay, lhe slalenenl vhich Iinks lhen is an hypolhesis.
D: Yes~and I knov vhal non neans. ßul vhal´s fingo`
I: WeII~fingo is a Iale Lalin void foi ¨nake.
Il foins a veilaI noun ficlio fion
vhich ve gel lhe void ¨ficlion.¨
D: Daddy, do you nean lhal Sii Isaac Nevlon lhoughl lhal aII hypolheses veie jusl
nade up Iike sloiies`
I: Yes~pieciseIy lhal.
D: ßul didn´l he discovei giavily` Wilh lhe appIe` I: No, deai. He invenled il.
D: Oh.. Daddy, vho invenled inslincl`
I: I don´l knov. IiolalIy lilIicaI.
D: ßul if lhe idea of giavily Iinks logelhei lvo desciiplive slalenenls, il nusl le an
I: Thal´s iighl.
D: Then Nevlon did fingo an hypolhesis aflei aII.
I: Yes~indeed he did. He vas a veiy gieal scienlisl. D : Oh.
D: Daddy, is an expIanaloiy piincipIe lhe sane lhing as an hypolhesis`
This nelaIogue is iepiinled ly peinission of Moulon & Co. fion Appioaches lo AninaI
Connunicalion, ediled ly Thonas A. Seleok, 1969
I: NeaiIy, lul nol quile. You see, an hypolhesis liies lo expIain sone pailicuIai
sonelhing lul an expIanaloiy piincipIe~Iike ¨giavily¨ oi ¨inslincl¨~ieaIIy
expIains nolhing. Il´s a soil of convenlionaI agieenenl lelveen scienlisls lo slop
liying lo expIain lhings al a ceilain poinl.
D: Then is lhal vhal Nevlon neanl` If ¨giavily¨ expIains nolhing lul is onIy a soil
of fuII slop al lhe end of a Iine of expIanalion, lhen invenling giavily vas nol lhe
sane as invenling an hypolhesis, and he couId say he did nol fingo any
I: Thal´s iighl. Theie´s no expIanalion of an expIanaloiy piincipIe. Il´s Iike a lIack
D: Oh.
D: Daddy, vhal´s a lIack lox`
I: A ¨lIack lox¨ is a convenlionaI agieenenl lelveen scienlisls lo slop liying lo
expIain lhings al a ceilain poinl. I guess il´s usuaIIy a lenpoiaiy agieenenl.
D: ßul lhal doesn´l sound Iike a lIack lox.
I: No~lul lhal´s vhal il´s caIIed. Things oflen don´l sound Iike lheii nanes.
D: No.
I: Il´s a void lhal cones fion lhe engineeis. When lhey diav a diagian of a
conpIicaled nachine, lhey use a soil of shoilhand. Inslead of diaving aII lhe
delaiIs, lhey pul a lox lo sland foi a vhoIe lunch of pails and IaleI lhe lox vilh
vhal lhal lunch of pails is supposed lo do.
D: So a ¨lIack lox¨ is a IaleI foi vhal a lunch of lhings aie supposed lo do..
I: Thal´s iighl. ßul il´s nol an expIanalion of hov lhe lunch voiks.
D: And giavily`
I: Is a IaleI foi vhal giavily is supposed lo do. Il´s nol an expIanalion of hov il
does il.
D: Oh.
D: Daddy, vhal is an inslincl`
I: Il´s a IaleI foi vhal a ceilain lIack lox is supposed lo do.
D: ßul vhal´s il supposed lo do`
I: Hn. Thal is a veiy difficuIl queslion.
D: Co on.
I: WeII. Il´s supposed lo conlioI~pailIy conlioI~vhal an oiganisn does.
D: Do pIanls have inslincls`
I: No. If a lolanisl used lhe void ¨inslincl,¨ vhen laIking aloul pIanls, he vouId le
accused of zoonoiphisn. D: Is lhal lad`
I: Yes. Veiy lad foi lolanisls. Ioi a lolanisl lo le guiIly of zoonoiphisn is as lad
as foi a zooIogisl lo le guiIly of anlhioponoiphisn. Veiy lad, indeed.
D: Oh. I see.
D: Whal did you nean ly ¨pailIy conlioI¨`
I: WeII. If an aninaI faIIs dovn a cIiff, ils faIIing is con-lioIIed ly giavily. ßul if il
viggIes vhiIe faIIing, lhal nighl le due lo inslincl.
D: SeIf-pieseivalive inslincl`
I: I suppose so.
D: Whal is a seIf, Daddy` Does a dog knov il has a seIf`
I: I don´l knov. ßul if lhe dog does knov il has a seIf, and il viggIes in oidei lo
pieseive lhal seIf, lhen ils viggIing is ialionaI, nol inslinclive.
D: Oh. Then a ¨seIf-pieseivalive inslincl¨ is a conliadiclion. I: WeII, il´s a soil of
haIfvay house on lhe ioad lo anlhioponoiphisn.
D: Oh. Thal´s lad.
I: ßul lhe dog nighl knov il had a seIf and nol knov lhal lhal seIf shouId le
pieseived. Il vouId lhen le ialionaI lo nol viggIe. So if lhe dog sliII viggIes, lhis
vouId le inslinclive. ßul if il Ieained lo viggIe, lhen il vouId nol le inslinclive.
D: Oh.
D: Whal vouId nol le inslinclive, Daddy` The Ieaining oi lhe viggIing`
I: No~jusl lhe viggIing.
D: And lhe Ieaining vouId le inslinclive`
I: WeII. yes. UnIess lhe dog had lo Ieain lo Ieain. D : Oh.
D: ßul, Daddy, vhal is inslincl supposed lo expIain`
I: I keep liying lo avoid lhal queslion. You see, inslincls veie invenled lefoie
anylody knev anylhing aloul genelics, and nosl of nodein genelics vas
discoveied lefoie anylody knev anylhing aloul connunicalion lheoiy. So il is
doulIy difficuIl lo liansIale ¨inslincl¨ inlo nodein leins and ideas.
D: Yes, go on.
I: WeII, you knov lhal in lhe chionosones, lheie aie genes, and lhal lhe genes aie
sone soil of nessages vhich have lo do vilh hov lhe oiganisn deveIops and
vilh hov il lehaves.
D: Is deveIoping diffeienl fion lehaving, Daddy` Whal´s lhe diffeience` And
vhich is Ieaining` Is il ¨deveIoping¨ oi ¨lehaving`¨
I: No! No! Nol so fasl. Lel´s avoid lhose queslions ly pulling deveIoping-Ieaining-
lehavioi aII logelhei in one laskel. A singIe specliun of phenonena. Nov Iel´s
liy lo say hov inslincl conliilules lo expIaining lhis specliun.
D: ßul is il a specliun`
I: No~lhal´s onIy a Ioose vay of laIking.
D: Oh.
D: ßul isn´l inslincl aII on lhe lehavioi end of lhal ¨specliun¨` And isn´l Ieaining aII
deleinined ly enviionnenl and nol chionosones`
I: Lel´s gel lhis cIeai~lhal lheie is no lehavioi and no analony and no Ieaining in
lhe chionosones lhen-seIves.
D: Don´l lhey have lheii ovn analony`
I: Yes, of couise. And lheii ovn physioIogy. ßul lhe analony and physioIogy of lhe
genes and chionosones is nol lhe analony and physioIogy of lhe vhoIe aninaI.
D: Of couise nol.
I: ßul il is aloul lhe analony and physioIogy of lhe vhoIe aninaI.
D: Analony aloul analony`
I: Yes, jusl as Ielleis and voids have lheii ovn foins and shapes and lhose shapes
aie pails of voids oi senlences and so on~vhich nay le aloul anylhing.
D: Oh.
D: Daddy, is lhe analony of lhe genes and chionosones aloul lhe analony of lhe
vhoIe aninaI` And lhe physioIogy of lhe genes and chionosones aloul lhe
physioIogy of lhe vhoIe aninaI`
I: No, no. Theie is no ieason lo expecl lhal. Il´s nol Iike lhal. Analony and
physioIogy aie nol sepaiale in lhal vay.
D: Daddy, aie you going lo pul analony and physioIogy logelhei in one laskel, Iike
you did deveIoping-Ieaining-lehavioi`
I: Yes. CeilainIy.
D : Oh.
D: The sane laskel`
I: Why nol` I lhink deveIoping is iighl in lhe niddIe of lhal laskel. Righl snack in
lhe niddIe.
D: Oh.
D: If chionosones and genes have analony and physioIogy, lhey nusl have
I: Yes. Thal foIIovs.
D: Do you lhink lheii deveIopnenl couId le aloul lhe deveIopnenl of lhe vhoIe
I: I don´l even knov vhal lhal queslion vouId nean.
D: I do. Il neans lhal lhe chionosones and genes vouId le changing oi deveIoping
sonehov vhiIe lhe laly is deveIoping, and lhe changes in lhe chionosones
vouId le aloul lhe changes in lhe laly. ConlioIIing lhen oi pailIy conlioIIing
I: No. I don´l lhink so.
D: Oh.
D: Do chionosones Ieain`
I: I don´l knov.
D: They do sound ialhei Iike lIack loxes.
I: Yes, lul if chionosones oi genes can Ieain, lhen lhey aie nuch noie conpIicaled
lIack loxes lhan anylody al piesenl leIieves. Scienlisls aie aIvays assuning oi
hoping lhal lhings aie sinpIe, and lhen discoveiing lhal lhey aie nol.
D: Yes, Daddy.
D: Daddy, is lhal an inslincl`
I: Is vhal an inslincl`
D: Assuning lhal lhings aie sinpIe.
I: No. Of couise nol. Scienlisls have lo le laughl lo do lhal.
D: ßul I lhoughl no oiganisn couId le laughl lo le viong eveiy line.
I: Young Iady, you aie leing disiespeclfuI and viong. In lhe fiisl pIace, scienlisls aie
nol viong eveiy line lhey assune lhal lhings aie sinpIe. Quile oflen lhey aie
iighl oi pailIy iighl and sliII noie oflen, lhey lhink lhey aie iighl and leII each
olhei so. And lhal is enough ieinfoicenenl. And, anyhov you aie viong in
saying lhal no oiganisn can le laughl lo le viong eveiy line.
D: When peopIe say lhal sonelhing is ¨inslinclive,¨ aie lhey liying lo nake lhings
sinpIe` I: Yes, indeed.
D: And aie lhey viong`
I: I don´l knov. Il depends on vhal lhey nean.
D: Oh.
D: When do lhey do il`
I: Yes, lhal´s a lellei vay of asking lhe queslion. They do il vhen lhey see a ciealuie
do sonelhing, and lhey aie suie: fiisl, lhal lhe ciealuie did nol Ieain hov lo do
lhal sonelhing and, second, lhal lhe ciealuie is loo slupid lo undeisland vhy il
shouId do lhal.
D: Any olhei line`
I: Yes. When lhey see lhal aII nenleis of lhe species do lhe sane lhings undei lhe
sane ciicunslances, and vhen lhey see lhe aninaI iepealing lhe sane aclion
even vhen lhe ciicunslances aie changed so lhal lhe aclion faiIs.
D: So lheie aie foui vays of knoving lhal il´s inslinclive. I: No. Ioui condilions
undei vhich scienlisls laIk aloul inslincl.
D: ßul vhal if one condilion isn´l lheie` An inslincl sounds ialhei Iike a halil oi a
I: ßul halils aie Ieained.
D: Yes.
D: Aie halils aIvays lvice Ieained`
I: Whal do you nean`
D: I nean~vhen I Ieain a sel of choids on lhe guilai, fiisl I Ieain lhen oi find lhen,
and lhen Ialei vhen I piaclice, I gel lhe halil of pIaying lhen lhal vay. And
sonelines I gel lad halils.
I: Leaining lo le viong eveiy line`
D: Oh~aII iighl. ßul vhal aloul lhal lvice-ovei lusiness` WouId lolh pails of
Ieaining le nol lheie if guilai pIaying veie inslinclive`
I: Yes. If lolh pails of Ieaining veie cIeaiIy nol lheie, scienlisls nighl say lhal
guilai pIaying is inslinclive.
D: ßul vhal if onIy one pail of Ieaining vas nissing`
I: Then, IogicaIIy, lhe nissing pail couId le expIained ly
D: CouId eilhei pail le nissing`
I: I don´l knov. I don´l lhink anylody knovs.
D: Oh.
D: Do liids piaclice lheii songs`
I: Yes. Sone liids aie said lo piaclice.
D: I guess inslincl gives lhen lhe fiisl pail of singing, lul lhey have lo voik on lhe
second pail.
I: Ieihaps.
D: CouId piaclicing le inslinclive`
I: I suppose il couId le~lul I an nol suie vhal lhe void ¨inslincl¨ is coning lo
nean in lhis conveisalion.
D: Il´s an expIanaloiy piincipIe, Daddy, jusl Iike you said. Theie´s one lhing I don´l
I: Yes`
D: Is lheie a vhoIe Iol of inslincl` Oi aie lheie Iols of inslincls`
I: Yes. Thal´s a good queslion, and scienlisls have laIked a gieal deaI aloul il,
naking Iisls of sepaiale inslincls and lhen Iunping lhen logelhei again.
D: ßul vhal´s lhe ansvei`
I: WeII. Il´s nol quile cIeai. ßul one lhing is ceilain: Thal expIanaloiy piincipIes
nusl le nol nuIlipIied leyond necessily.
D: And lhal neans` IIease`
I: Il´s lhe idea lehind nonolheisn~lhal lhe idea of one lig Cod is lo le piefeiied lo
lhe idea of lvo IillIe gods.
D: Is Cod an expIanaloiy piincipIe`
I: Oh, yes~a veiy lig one. You shouIdn´l use lvo lIack loxes~oi lvo inslincls~lo
expIain vhal one lIack lox vouId expIain.
D: If il veie lig enough.
I: No. Il neans.
D: Aie lheie lig inslincls and IillIe inslincls`
I: WeII~as a nallei of facl, scienlisls do laIk as if lheie veie. ßul lhey caII lhe IillIe
inslincls ly olhei nanes ~¨iefIexes,¨ ¨innale ieIeasing nechanisns,¨ ¨fixed
aclion palleins,¨ and so on.
D: I see~Iike having one lig Cod lo expIain lhe univeise and Iols of IillIe ¨inps¨ oi
¨golIins¨ lo expIain lhe snaII lhings lhal happen.
I: WeII, yes. Ralhei Iike lhal.
D: ßul, Daddy, hov do lhey Iunp lhings logelhei lo nake lhe lig inslincls`
I: WeII, foi exanpIe, lhey don´l say lhal lhe dog has one inslincl vhich nakes il
viggIe vhen il faIIs dovn lhe cIiff and anolhei vhich nakes il iun avay fion
D: You nean lhose vouId lolh le expIained ly a seIf-pieseivalive inslincl`
I: Sonelhing Iike lhal. Yes.
D: ßul if you pul lhose diffeienl acls logelhei undei one inslincl, lhen you cannol gel
avay fion saying lhal lhe dog has lhe use of lhe nolion of ¨seIf.¨
I: No, peihaps nol.
D: Whal vouId you do aloul lhe inslincl foi lhe song and lhe inslincl foi piaclicing
lhe song`
I: WeII~depending on vhal lhe song is used foi. ßolh song and piaclice nighl le
undei a leiiiloiiaI inslincl oi a sexuaI inslincl.
D: I vouIdn
l pul lhen logelhei.
I: No`
D: ßecause vhal if lhe liid aIso piacliced picking up seed oi sonelhing` You´d
have lo nuIlipIy lhe inslincls ~vhal is il`~leyond necessily.
I: Whal do you nean`
D: I nean a food-gelling inslincl lo expIain lhe piaclicing picking up seed, and a
leiiiloiy inslincl foi piaclicing song. Why nol have a piaclicing inslincl foi lolh`
Thal saves one lIack lox.
I: ßul lhen you vouId lhiov avay lhe idea of Iunping logelhei undei lhe sane
inslincl aclions vhich have lhe sane puipose.
D: Yes~lecause if lhe piaclicing is foi a puipose~I nean, if lhe liid has a puipose
~lhen lhe piaclicing is ialionaI and nol inslinclive. Didn´l you say sonelhing
Iike lhal`
I: Yes, I did say sonelhing Iike lhal.
D: CouId ve do vilhoul lhe idea of ¨inslincl¨`
I: Hov vouId you expIain lhings lhen`
D: WeII. I´d jusl Iook al lhe IillIe lhings: When sone-lhing goes ¨pop,¨ lhe dog
junps. When lhe giound is nol undei his feel, he viggIes. And so on.
I: You nean~aII lhe inps lul no gods`
D: Yes, sonelhing Iike lhal.
I: WeII. Theie aie scienlisls vho liy lo laIk lhal vay, and il´s leconing quile
fashionalIe. They say il is noie oljeclive.
D: And is il`
I: Oh, yes.
D: Whal does ¨oljeclive¨ nean`
I: WeII. Il neans lhal you Iook veiy haid al lhose lhings vhich you choose lo Iook
D: Thal sounds iighl. ßul hov do lhe oljeclive peopIe choose vhich lhings lhey viII
le oljeclive aloul`
I: WeII. They choose lhose lhings aloul vhich il is easy lo le oljeclive.
D: You nean easy foi lhen`
I: Yes.
D: ßul hov do lhey knov lhal lhose aie lhe easy lhings`
I: I suppose lhey liy diffeienl lhings and find oul ly expeiience.
D: So il´s a suljeclive choice`
I: Oh, yes. AII expeiience is suljeclive.
D: ßul il´s hunan and suljeclive. They decide vhich lils of aninaI lehavioi lo le
oljeclive aloul ly consuIling hunan suljeclive expeiience. Didn´l you say lhal
anlhioponoiphisn is a lad lhing`
I: Yes~lul lhey do liy lo le nol hunan.
D: Which lhings do lhey Ieave oul`
I: Whal do you nean`
D: I nean~suljeclive expeiience shovs lhen vhich lhings il is easy lo le oljeclive
aloul. So, lhey go and sludy lhose lhings. ßul vhich lhings does lheii expeiience
shov aie difficuIl` So lhal lhey avoid lhose lhings. Which aie lhe lhings lhey
I: WeII, you nenlioned eaiIiei sonelhing caIIed ¨piaclice.¨ Thal´s a difficuIl lhing lo
le oljeclive aloul. And lheie aie olhei lhings lhal aie difficuIl in lhe sane soil of
vay. IIay, foi exanpIe. And expIoialion. Il´s difficuIl lo le oljeclive aloul
vhelhei a ial is ieaIIy expIoiing oi ieaIIy pIaying. So lhey don´l invesligale lhose
lhings. And lhen lheie´s Iove. And, of couise, hale.
D: I see. Those aie lhe soils of lhings lhal I vanled lo invenl sepaiale inslincls foi. I:
Yes~lhose lhings. And don´l foigel hunoi.
D: Daddy~aie aninaIs oljeclive`
I: I don´l knov~piolalIy nol. I don´l lhink lhey aie suljeclive eilhei. I don´l lhink
lhey aie spIil lhal vay.
D: Isn´l il liue lhal peopIe have a speciaI difficuIly aloul leing oljeclive aloul lhe
noie aninaI pails of lheii naluie`
I: I guess so. Anyhov Iieud said so, and I lhink he vas iighl. Why do you ask`
D: ßecause, oh deai, lhose pooi peopIe. They liy lo sludy aninaIs. And lhey
speciaIize in lhose lhings lhal lhey can sludy oljecliveIy. And lhey can onIy le
oljeclive aloul lhose lhings in vhich lhey lhenseIves aie Ieasl Iike aninaIs. Il
nusl le difficuIl foi lhen.
I: No~lhal does nol necessaiiIy foIIov. Il is sliII possilIe foi peopIe lo le oljeclive
aloul sone lhings in lheii aninaI naluie. You haven´l shovn lhal lhe vhoIe of
aninaI lehavioi is vilhin lhe sel of lhings lhal peopIe cannol le oljeclive aloul.
D: No`
D: Whal aie lhe ieaIIy lig diffeiences lelveen peopIe and aninaIs`
I: WeII~inleIIecl, Ianguage, looIs. Things Iike lhal.
D: And il is easy foi peopIe lo le inleIIecluaIIy oljeclive in Ianguage and aloul
I: Thal´s iighl.
D: ßul lhal nusl nean lhal in peopIe lheie is a vhoIe sel of ideas oi vhalnol vhich
aie aII lied logelhei. A soil of second ciealuie vilhin lhe vhoIe peison, and lhal
second ciealuie nusl have a quile diffeienl vay of lhinking aloul eveiylhing.
An oljeclive vay.
I: Yes. The ioyaI ioad lo consciousness and oljeclivily is lhiough Ianguage and looIs.
D: ßul vhal happens vhen lhis ciealuie Iooks al aII lhose pails of lhe peison aloul
vhich il is difficuIl foi peopIe lo le oljeclive` Does il jusl Iook` Oi does il
I: Il neddIes.
D: And vhal happens`
I: Thal´s a veiy leiiilIe queslion.
D: Co on. If ve aie going lo sludy aninaIs, ve nusl face lhal queslion.
I: WeII. The poels and ailisls knov lhe ansvei lellei lhan lhe scienlisls. Lel ne
iead you a piece:
Thoughl chang´d lhe infinile lo a seipenl, lhal vhich pilielh
To a devouiing fIane, and nan fIed fion ils face and hid
In foiesls of nighl: lhen aII lhe eleinaI foiesls veie´ divided
Inlo eailhs ioIIing in ciicIes of space, lhal Iike an ocean iush´d
And oveivheIned aII excepl lhis finile vaII of fIesh.
Then vas lhe seipenl lenpIe foin´d, inage of infinile
Shul up in finile ievoIulions, and nan lecane an
AngeI, Heaven a nighly ciicIe luining, Cod a lyianl ciovn´d.
D: I don´l undeisland il. Il sounds leiiilIe, lul vhal does il nean`
I: WeII. Il´s nol an oljeclive slalenenl, lecause il is laIking aloul lhe effecl of
oljeclivily~vhal lhe poel caIIs heie ¨lhoughl¨ upon lhe vhoIe peison oi lhe
vhoIe of Iife. ¨Thoughl¨ shouId ienain a pail of lhe vhoIe lul inslead spieads
ilseIf and neddIes vilh lhe iesl.
ßIake, W., 1794, |urcpc a Prcpnccq, piinled and pulIished ly lhe aulhoi. (IlaIics added.)
D: Co on.
I: WeII. Il sIices eveiylhing lo lils.
D: I don´l undeisland.
I: WeII, lhe fiisl sIice is lelveen lhe oljeclive lhing and lhe iesl. And lhen inside lhe
ciealuie lhal´s nade in lhe nodeI of inleIIecl, Ianguage, and looIs, il is naluiaI
lhal puipose viII evoIve. TooIs aie foi puiposes and anylhing vhich lIocks
puipose is a hindiance. The voiId of lhe oljeclive ciealuie gels spIil inlo
¨heIpfuI¨ lhings and ¨hindeiing¨ lhings.
D: Yes. I see lhal.
I: AII iighl. Then lhe ciealuie appIies lhal spIil lo lhe voiId of lhe vhoIe peison, and
¨heIpfuI¨ and ¨hindeiing¨ lecone Cood and LviI, and lhe voiId is lhen spIil
lelveen Cod and lhe Seipenl. And aflei lhal, noie and noie spIils foIIov
lecause lhe inleIIecl is aIvays cIassifying and dividing lhings up.
D: MuIlipIying expIanaloiy piincipIes leyond necessily` I: Thal´s iighl.
D: So, inevilalIy, vhen lhe oljeclive ciealuie Iooks al aninaIs, il spIils lhings up and
nakes lhe aninaIs Iook Iike hunan leings aflei lheii inleIIecls have invaded
lheii souIs.
I: LxaclIy. Il´s a soil of inhunan anlhioponoiphisn.
D: And lhal is vhy lhe oljeclive peopIe sludy aII lhe IillIe inps inslead of lhe Iaigei
I: Yes. Il´s caIIed S-R psychoIogy. Il´s easy lo le oljeclive aloul sex lul nol aloul
D: Daddy, ve´ve laIked aloul lvo vays of sludying aninaIs~lhe lig inslincl vay
and lhe S-R vay, and neilhei vay seened veiy sound. Whal do ve do nov`
I: I don´l knov.
D: Didn´l you say lhal lhe ioyaI ioad lo oljeclivily and consciousness is Ianguage
and looIs` Whal´s lhe ioyaI ioad lo lhe olhei haIf`
I: Iieud said dieans.
D: Oh.
D: Whal aie dieans` Hov aie lhey pul logelhei`
I: WeII~dieans aie lils and pieces of lhe sluff of vhich ve aie nade. The non-
oljeclive sluff.
D: ßul hov aie lhey pul logelhei`
I: Look. Aien´l ve gelling ialhei fai fion lhe queslion of expIaining aninaI
D: I don´l knov, lul I don´l lhink so. Il Iooks as if ve aie going lo le
anlhioponoiphic in one vay oi anolhei, vhalevei ve do. And il is olviousIy
viong lo luiId oui anlhioponoiphisn on lhal side of nan´s naluie in vhich he
is nosl unIike lhe aninaIs. So Iel´s liy lhe olhei side. You say dieans aie lhe
ioyaI ioad lo lhe olhei side. So.
I: I didn´l. Iieud said il. Oi sonelhing Iike il.
D: AII iighl. ßul hov aie dieans pul logelhei`
I: Do you nean hov aie lvo dieans ieIaled lo each olhei`
D: No. ßecause, as you said, lhey aie onIy lils and pieces. Whal I nean is: Hov is a
diean pul logelhei inside ilseIf` CouId aninaI lehavioi le pul logelhei in lhe
sane soil of vay`
I: I don´l knov vheie lo legin.
D: WeII. Do dieans go ly opposiles`
I: Oh Loid! The oId foIk idea. No. They don´l piedicl lhe fuluie. Dieans aie soil of
suspended in line. They don´l have any lenses.
D: ßul if a peison is afiaid of sonelhing vhich he knovs viII happen lonoiiov, he
nighl diean aloul il lo-nighl`
I: CeilainIy. Oi aloul sonelhing in his pasl. Oi aloul lolh pasl and piesenl. ßul
lhe diean conlains no IaleI lo leII hin vhal il is ¨aloul¨ in lhis sense. Il jusl is.
D: Do you nean il´s as if lhe diean had no lilIe page`
I: Yes. Il´s Iike an oId nanusciipl oi a Iellei lhal has Iosl ils leginning and end, and
lhe hisloiian has lo guess vhal il´s aII aloul and vho viole il and vhen~fion
vhal´s inside il.
D: Then ve´ie going lo have lo le oljeclive, loo`
I: Yes indeed. ßul ve knov lhal ve have lo le caiefuI aloul il. We have lo valch
lhal ve don´l foice lhe concepls of lhe ciealuie lhal deaIs in Ianguage and looIs
upon lhe diean naleiiaI.
D: Hov do you nean`
I: WeII. Ioi exanpIe: if dieans sonehov have nol lenses and aie sonehov
suspended in line, lhen il vouId le foicing lhe viong soil of oljeclivily lo say
lhal a diean ¨piedicls¨ sonelhing. And equaIIy viong lo say il is a slalenenl
aloul lhe pasl. Il´s nol hisloiy.
D: OnIy piopaganda`
I: Whal do you nean`
D: I nean~is il Iike lhe soil of sloiies lhal piopagandisls viile vhich lhey say aie
hisloiy lul vhich aie ieaIIy onIy falIes`
I: AII iighl. Yes. Dieans aie in nany vays Iike nylhs and falIes. ßul nol
consciousIy nade up ly a piopagandisl. Nol pIanned.
D: Does a diean aIvays have a noiaI`
I: I don´l knov aloul aIvays. ßul oflen, yes. ßul lhe noiaI is nol slaled in lhe diean.
The psychoanaIysl liies lo gel lhe palienl lo find lhe noiaI. ReaIIy lhe vhoIe
diean is lhe noiaI.
D: Whal does lhal nean`
I: I don´l quile knov.
D: WeII. Do dieans go ly opposiles` Is lhe noiaI lhe opposile of vhal lhe diean
seens lo say`
I: Oh yes. Oflen. Dieans oflen have an iionic oi saicaslic lvisl. A soil of ieduclio
ad alsuidun.
D: Ioi exanpIe`
I: AII iighl. A fiiend of nine vas a fighlei piIol in WoiId Wai II. Aflei lhe vai he
lecane a psychoIogisl and had lo sil foi his Ih. D. oiaI exan. He legan lo le
leiiified of lhe oiaI, lul, lhe nighl lefoie lhe exan, he had a nighlnaie in vhich
he expeiienced again leing in a pIane vhich had leen shol dovn. Nexl day he
venl inlo lhe exaninalion vilhoul feai.
D: Why`
I: ßecause il vas siIIy foi a fighlei piIol lo le afiaid of a lunch of univeisily
piofessois vho couIdn´l ieaIIy shool hin dovn.
D: ßul hov did he knov lhal` The diean couId have leen leIIing hin lhal lhe
piofessois vouId shool hin dovn. Hov did he knov il vas iionic`
I: Hnn. The ansvei is he didn´l knov. The diean doesn
l have a IaleI on il lo say il
is iionic. And vhen peopIe aie leing iionic in vaking conveisalion, lhey oflen
don´l leII you lhey aie leing iionic.
D: No. Thal´s liue. I aIvays lhink il´s soil of ciueI. I: Yes. Il oflen is.
D: Daddy, aie aninaIs evei iionic oi saicaslic`
I: No. I guess nol. ßul I an nol suie lhal lhose aie quile lhe voids ve shouId use.
¨Iionic¨ and ¨saicaslic
aie voids foi lhe anaIysis of nessage naleiiaI in
Ianguage. And aninaIs don´l have Ianguage. Il´s peihaps pail of lhe viong soil
of oljeclivily.
D: AII iighl. Then do aninaIs deaI in opposiles`
I: WeII, yes. As a nallei of facl, lhey do. ßul I´n nol suie il´s lhe sane lhing.
D: Co on. Hov do lhey` And vhen`
I: WeII. You knov hov a puppy Iies on his lack and piesenls his leIIy lo a liggei
dog. Thal´s soil of inviling lhe liggei dog lo allack. ßul il voiks in lhe opposile
vay. Il slops lhe liggei dog fion allacking.
D: Yes. I see. Il is a soil of use of opposiles. ßul do lhey knov lhal`
I: You nean does lhe lig dog knov lhal lhe IillIe dog is saying lhe opposile of vhal
he neans` And does lhe IillIe dog knov lhal lhal is lhe vay lo slop lhe lig dog`
D: Yes.
I: I don´l knov. I sonelines lhink lhe IillIe dog knovs a IillIe noie aloul il lhan
lhe lig dog. Anyhov, lhe IillIe dog does nol give any signaIs lo shov lhal he
knovs. He olviousIy couIdn´l do lhal.
D: Then il´s Iike lhe dieans. Theie´s no IaleI lo say lhal lhe diean is deaIing in
I: Thal´s iighl.
D: I lhink ve´ie gelling sonevheie. Dieans deaI in opposiles, and aninaIs deaI in
opposiles, and neilhei caiiies IaleIs lo say vhen lhey aie deaIing in opposiles.
I: Hnn.
D: Why do aninaIs fighl`
I: Oh, foi nany ieasons. Teiiiloiy, sex, food.
D: Daddy, you´ie laIking Iike inslincl lheoiy. I lhoughl ve agieed nol lo do lhal.
I: AII iighl. ßul vhal soil of an ansvei do you vanl lo lhe queslion, vhy aninaIs
D: WeII. Do lhey deaI in opposiles`
I: Oh. Yes. A Iol of fighling ends up in sone soil of peace-naking. And ceilainIy
pIayfuI fighling is pailIy a vay of affiining fiiendship. Oi discoveiing oi
iediscoveiing fiiendship.
D: I lhoughl so..
D: ßul vhy aie lhe IaleIs nissing` Is il foi lhe sane ieason in lolh aninaIs and
I: I don´l knov. ßul, you knov, dieans do nol aIvays deaI in opposiles.
D: Does a diean aIvays have a noiaI`
I: I don´l knov aloul aIvays. ßul oflen, yes. ßul lhe noiaI is nol slaled in lhe diean.
The psychoanaIysl liies lo gel lhe palienl lo find lhe noiaI. ReaIIy lhe vhoIe
diean is lhe noiaI.
D: Whal does lhal nean`
I: I don
l quile knov.
D: WeII. Do dieans go ly opposiles` Is lhe noiaI lhe opposile of vhal lhe diean
seens lo say`
I: Oh yes. Oflen. Dieans oflen have an iionic oi saicaslic lvisl. A soil of ieduclio
ad alsuidun.
D: Ioi exanpIe`
I: AII iighl. A fiiend of nine vas a fighlei piIol in WoiId Wai II. Aflei lhe vai he
lecane a psychoIogisl and had lo sil foi his Ih. D. oiaI exan. He legan lo le
leiiified of lhe oiaI, lul, lhe nighl lefoie lhe exan, he had a nighlnaie in vhich
he expeiienced again leing in a pIane vhich had leen shol dovn. Nexl day he
venl inlo lhe exaninalion vilhoul feai.
D: Why`
I: ßecause il vas siIIy foi a fighlei piIol lo le afiaid of a lunch of univeisily
piofessois vho couIdn´l ieaIIy shool hin dovn.
D: ßul hov did he knov lhal` The diean couId have leen leIIing hin lhal lhe
piofessois vouId shool hin dovn. Hov did he knov il vas iionic`
I: Hnn. The ansvei is he didn´l knov. The diean doesn´l have a IaleI on il lo say il
is iionic. And vhen peopIe aie leing iionic in vaking conveisalion, lhey oflen
don´l leII you lhey aie leing iionic.
D: No. Thal´s liue. I aIvays lhink il´s soil of ciueI.
I: Yes. Il oflen is.
D: Daddy, aie aninaIs evei iionic oi saicaslic`
I: No. I guess nol. ßul I an nol suie lhal lhose aie quile lhe voids ve shouId use.
¨Iionic¨ and ¨saicaslic¨ aie voids foi lhe anaIysis of nessage naleiiaI in
Ianguage. And aninaIs don´l have Ianguage. Il´s peihaps pail of lhe viong soil
of oljeclivily.
D: AII iighl. Then do aninaIs deaI in opposiles`
I: WeII, yes. As a nallei of facl, lhey do. ßul I´n nol suie il´s lhe sane lhing.
D: Co on. Hov do lhey` And vhen`
I: WeII. You knov hov a puppy Iies on his lack and piesenls his leIIy lo a liggei
dog. Thal´s soil of inviling lhe liggei dog lo allack. ßul il voiks in lhe opposile
vay. Il slops lhe liggei dog fion allacking.
D: Yes. I see. Il is a soil of use of opposiles. ßul do lhey knov lhal`
I: You nean does lhe lig dog knov lhal lhe IillIe dog is saying lhe opposile of vhal
he neans` And does lhe IillIe dog knov lhal lhal is lhe vay lo slop lhe lig dog`
D: Yes.
I: I don´l knov. I sonelines lhink lhe IillIe dog knovs a IillIe noie aloul il lhan
lhe lig dog. Anyhov, lhe IillIe dog does nol give any signaIs lo shov lhal he
knovs. He olviousIy couIdn´l do lhal.
D: Then il´s Iike lhe dieans. Theie´s no IaleI lo say lhal lhe diean is deaIing in
I: Thal
s iighl.
D: I lhink ve´ie gelling sonevheie. Dieans deaI in opposiles, and aninaIs deaI in
opposiles, and neilhei caiiies IaleIs lo say vhen lhey aie deaIing in opposiles.
I: Hnn.
D: Why do aninaIs fighl`
I: Oh, foi nany ieasons. Teiiiloiy, sex, food.
D: Daddy, you´ie laIking Iike inslincl lheoiy. I lhoughl ve agieed nol lo do lhal.
I: AII iighl. ßul vhal soil of an ansvei do you vanl lo lhe queslion, vhy aninaIs
D: WeII. Do lhey deaI in opposiles`
I: Oh. Yes. A Iol of fighling ends up in sone soil of peace-naking. And ceilainIy
pIayfuI fighling is pailIy a vay of affiining fiiendship. Oi discoveiing oi
iediscoveiing fiiendship.
D: I lhoughl so..
D: ßul vhy aie lhe IaleIs nissing` Is il foi lhe sane ieason in lolh aninaIs and
I: I don´l knov. ßul, you knov, dieans do nol aIvays deaI in opposiles.
D: No~of couise nol~noi do aninaIs.
I: AII iighl lhen.
D: Lel´s go lack lo lhal diean. Ils lolaI effecl on lhe nan vas lhe sane as if
sonelody had said lo hin, ¨ `you in a fighlei pIane´ is nol equaI lo `you in an
oiaI exan.´ ¨
I: Yes. ßul lhe diean didn´l speII lhal oul. Il onIy says, ¨you in a fighlei pIane. Il
Ieaves oul lhe ¨nol,¨ and il Ieaves oul lhe insliuclion lo conpaie lhe diean vilh
sonelhing eIse and il doesn´l say vhal he shouId conpaie il vilh.
D: AII iighl. Lel´s lake lhe ¨nol¨ fiisl. Is lheie any ¨nol¨ in aninaI lehavioi`
I: Hov couId lheie le`
D: I nean can an aninaI say ly ils aclions, ¨I viII nol lile you¨`
I: WeII, lo legin vilh. Connunicalion ly aclions cannol possilIy have lenses. They
aie onIy possilIe in Ianguage.
D: Didn´l you say lhal dieans have no lenses`
I: Hnn. Yes, I did.
D: Okay. ßul vhal aloul ¨nol¨. Can lhe aninaI say, ¨I an nol liling you¨`
I: Thal sliII has a lense in il. ßul nevei nind. If lhe aninaI is nol liling lhe olhei, he´s
nol liling il, and lhal´s il.
D: ßul he nighl le nol doing aII soils of olhei lhings, sIeeping, ealing, iunning, and
so on. Hov can he say, ¨Il´s liling lhal I´n nol doing¨`
I: He can onIy do lhal if liling has sonehov leen nenlioned.
D: Do you nean lhal he couId say, ¨I an nol liling you¨ ly fiisl shoving his fangs
and lhen nol liling`
I: Yes. Sonelhing Iike lhal.
D: ßul vhal aloul lvo aninaIs` They´d lolh have lo shov lheii fangs.
I: Yes.
D: And, il seens lo ne, lhey nighl nisundeisland each olhei, and gel inlo a fighl.
I: Yes. Theie is aIvays lhal dangei vhen you deaI in opposiles and do nol oi
cannol say vhal you aie doing, especiaIIy vhen you do nol knov vhal you aie
doing. D: ßul lhe aninaIs vouId knov lhal lhey laied lheii fangs in oidei lo say,
¨I von´l lile you.¨
I: I doull vhelhei lhey vouId knov. CeilainIy neilhei aninaI knovs il aloul lhe
olhei. The dieanei doesn´l knov al lhe leginning of lhe diean hov lhe diean is
going lo end.
D: Then il
s a soil of expeiinenl..
I: Yes.
D: So lhey nighl gel inlo a fighl in oidei lo find oul vhelhei fighling vas vhal lhey
had lo do.
I: Yes~lul I´d ialhei pul il Iess puiposiveIy~lhal lhe fighl shovs lhen vhal soil of
ieIalionship lhey have, aflei il. Il´s nol pIanned.
D: Then ¨nol¨ is ieaIIy nol lheie vhen lhe aninaIs shov lheii fangs`
I: I guess nol. Oi oflen nol. Ieihaps oId fiiends nighl engage in pIayfuI fighling and
knov al lhe leginning vhal lhey aie doing.
D: AII iighl. Then lhe ¨nol¨ is alsenl in aninaI lehavioi lecause ¨nol¨ is pail of
veilaI Ianguage, and lheie can-nol le any aclion signaI foi
¨nol.¨ And lecause
lheie is no ¨nol,¨ lhe onIy vay lo agiee on a negalive is lo acl oul lhe vhoIe
ieduclio ad alsuidun. You have lo acl oul lhe lallIe lo piove il isn´l one, and
lhen you have lo acl oul lhe sulnission lo piove lhal lhe olhei von
l eal you.
I: Yes.
D: Did lhe aninaIs have lo lhink lhal oul`
I: No. ßecause il´s aII necessaiiIy liue. And lhal vhich is necessaiiIy liue viII
govein vhal you do iegaidIess of vhelhei you knov lhal il is necessaiiIy liue. If
you pul lvo appIes vilh lhiee appIes you viII gel five appIes~even lhough you
cannol counl. Il´s anolhei vay of ¨expIaining¨ lhings.
D : Oh.
D: ßul, lhen, vhy does lhe diean Ieave oul lhe ¨nol¨`
I: I lhink ieaIIy foi a ialhei siniIai ieason. Dieans aie noslIy nade of inages and
feeIings, and if you aie going lo connunicale in inages and feeIings and such,
you again aie goveined ly lhe facl lhal lheie is no inage foi ¨nol.¨
D: ßul you couId diean of a ¨Slop¨ sign vilh a Iine lhiough il, vhich vouId nean
¨No Slopping.¨
I: Yes. ßul lhal´s haIfvay lovaid Ianguage. And lhe deIeling Iine isn´l lhe void
¨nol.¨ Il´s lhe void ¨don´l.¨ ¨Don´l¨ can le conveyed in aclion Ianguage~if lhe
olhei peison nakes a nove lo nenlion vhal you vanl lo foilid. You can even
diean in voids, and lhe void ¨nol¨ nighl le anong lhen. ßul I doull if you
can diean a ¨nol¨ vhich is aloul lhe diean. I nean a ¨nol¨ vhich neans ¨This
diean is nol lo le laken IileiaIIy.¨ Sonelines, in veiy Iighl sIeep, one knovs lhal
one is dieaning.
D: ßul, Daddy, you sliII haven´l ansveied lhe queslion aloul hov dieans aie pul
I: I lhink ieaIIy I have ansveied il. ßul Iel ne liy again. A diean is a nelaphoi oi a
langIe of nelaphois. Do you knov vhal a nelaphoi is`
D: Yes. If I say you aie Iike a pig lhal is a siniIe. ßul if I say you aie a pig, lhal is a
I: AppioxinaleIy, yes. When a nelaphoi is IaleIed as a nelaphoi il lecones a
D: And il´s lhal IaleIing lhal a diean Ieaves oul.
I: Thal´s iighl. A nelaphoi conpaies lhings vilhoul speIIing oul lhe conpaiison. Il
lakes vhal is liue of one gioup of lhings and appIies il lo anolhei. When ve say a
nalion ¨decays,¨ ve aie using a nelaphoi, suggesling lhal sone changes in a
nalion aie Iike changes vhich lacleiia pioduce in fiuil. ßul ve don´l slop lo
nenlion lhe fiuil oi lhe lacleiia.
D: And a diean is Iike lhal`
I: No. Il´s lhe olhei vay aiound. The diean vouId nenlion lhe fiuil and possilIy
lhe lacleiia lul vouId nol nenlion lhe nalion. The diean eIaloiales on lhe
ieIalionship lul does nol idenlify lhe lhings lhal aie ieIaled.
D: Daddy, couId you nake a diean foi ne`
I: You nean, on lhis iecipe` No. Lel´s lake lhe piece of veise vhich I iead you jusl
nov and luin il inlo a diean. Il´s aInosl diean naleiiaI lhe vay il slands. Ioi
nosl of il, you have onIy lo sulslilule inages foi lhe voids. And lhe voids aie
vivid enough. ßul lhe vhoIe sliing of nelaphois oi inages is pegged dovn,
vhich vouId nol le so in a diean.
D: Whal do you nean ly ¨pegged dovn¨`
I: I nean ly lhe fiisl void: ¨Thoughl.¨ Thal void lhe viilei is using IileiaIIy, and
lhal one void leIIs you vhal aII lhe iesl is aloul.
D: And in a diean`
I: Thal void, loo, vouId have leen nelaphoiic. Then lhe vhoIe poen vouId have
leen nuch noie difficuIl.
D: AII iighl~change il lhen.
I: Whal aloul ¨ßailaia changed lhe infinile.¨ and so on.
D: ßul vhy` Who is she`
I: WeII, she´s lailaious, and she´s fenaIe, and she is lhe nnenonic nane of a
syIIogislic nood. I lhoughl she vouId do ialhei veII as a nonslious synloI foi
¨Thoughl.¨ I can see hei nov vilh a paii of caIipeis, pinching hei ovn liain lo
change hei univeise.
D: Slop il.
I: AII iighl. ßul you see vhal I nean ly saying lhal in dieans lhe nelaphois aie nol
pegged dovn.
D: Do aninaIs peg dovn lheii nelaphois`
I: No. They don´l have lo. You see, vhen a giovn-up liid nakes Iike a laly liid in
appioaching a nenlei of lhe opposile sex, he´s using a nelaphoi laken fion lhe
ieIalionship lelveen chiId and paienl. ßul he doesn´l have lo peg dovn vhose
ieIalionship he is laIking aloul. Il´s olviousIy lhe ieIalionship lelveen hin-seIf
and lhe olhei liid. They´ie lolh of lhen piesenl.
D: ßul don´l lhey evei use nelaphois~acl oul nelaphois ~aloul sonelhing olhei
lhan lheii ovn ieIalionships`
I: I don´l lhink so. No~nol nannaIs. And I don´l lhink liids do eilhei. ßees~
peihaps. And, of couise, peopIe.
D: Theie´s one lhing I don´l undeisland.
I: Yes`
D: We´ve found a vhoIe Iol of lhings in connon lelveen dieans and aninaI
lehavioi. They lolh deaI in opposiles, and lhey lolh have no lenses, and lhey
lolh have no ¨nol,¨ and lhey lolh voik ly nelaphoi, and neilhei of lhen pegs
lhe nelaphois dovn. ßul vhal I don´l undeisland is~vhy, vhen lhe aninaIs do
lhese lhings, il nakes sense. I nean foi lhen lo voik in opposiles. And lhey
don´l have lo peg dovn lheii nelaphois~lul I don´l see vhy dieans shouId le
Iike lhal, loo.
I: Noi do I.
D: And lheie´s anolhei lhing.
I: Yes`
D: You laIked aloul genes and chionosones caiiying nessages aloul
deveIopnenl. Do lhey laIk Iike aninaIs and dieans` I nean in nelaphois and
vilh no ¨nols¨` Oi do lhey laIk Iike us`
I: I don´l knov. ßul I an suie lheii nessage syslen conlains no sinpIe liansfoin of
Inslincl Theoiy.
3 Part II: Fnrm and Pattcrn In
3.1 Cu|ture Contact and Schlsmogenesls
The Menoiandun viillen ly a Connillee of lhe SociaI Sciences Reseaich
CounciI (Man, 1935, 162) has slinuIaled ne lo pul foivaid a poinl of viev vhich
diffeis consideialIy fion lheiis, and, lhough lhe leginning of lhis ailicIe nay appeai
lo le ciilicaI of lheii Menoiandun, I vish lo nake il cIeai fion lhe oulsel lhal I
iegaid as a ieaI conliilulion any seiious allenpl lo devise calegoiies foi lhe sludy of
cuIluie conlacl. Moieovei, since lheie aie seveiaI passages in lhe Menoiandun
(anong lhen lhe Definilion) vhich I do nol peifeclIy undeisland, ny ciilicisns aie
offeied vilh sone hesilalion, and aie diiecled nol so nuch againsl lhe Connillee as
againsl ceilain eiiois pievaIenl anong anlhiopoIogisls.
(1) Tnc uscs cf sucn sqs|cns cf ca|cgcrics. In geneiaI il is unvise lo consliucl
syslens of lhis soil unliI lhe piolIens vhich lhey aie designed lo eIucidale have
leen cIeaiIy foinuIaled, and so fai as I can see, lhe calegoiies diavn up ly lhe
Connillee have leen consliucled nol in iefeience lo any specificaIIy defined
piolIens, lul lo lhiov a geneiaI Iighl on ¨lhe piolIen¨ of accuIluialion, vhiIe lhe
piolIen ilseIf ienains vague.
(2) Iion lhis il foIIovs lhal oui innediale need is nol so nuch lhe consliuclion
of a sel of calegoiies vhich viII lhiov a Iighl on aII lhe piolIens, lul ialhei lhe
schenalic foinuIalion of lhe piolIens in such a vay lhal lhey nay le sepaialeIy
(3) AIlhough lhe Connillee Ieave lheii piolIens undefined, ve nay fion a
caiefuI ieading of lhe calegoiies galhei ioughIy vhal queslions lhey aie asking of lhe
naleiiaI. Il seens lhal lhe Connillee have, as a nallei of facl, leen infIuenced ly lhe
soil of queslions vhich adninislialois ask of anlhiopoIogisls~
Is il a good lhing lo
use foice in cuIluie conlacls`¨ ¨Hov can ve nake a given peopIe accepl a ceilain
soil of liail`¨ and so on. In iesponse lo lhis lype of queslion ve find in lhe definilion
of accuIluialion an enphasis upon diffeience in cuIluie lelveen lhe gioups in
conlacl and upon lhe iesuIling changes, and such dicholonies as lhal lelveen
¨eIenenls foiced upon a peopIe oi ieceived voIunlaiiIy ly lhen¨
nay Iikevise le
iegaided as synplonalic of lhis lhinking in leins of adninislialive piolIens. The
sane nay le said of lhe calegoiies V, A, ß, and C, ¨acceplance,¨ ¨adaplalion¨ and
(4) We nay agiee lhal ansveis aie ladIy needed lo lhese queslions of
adninislialion and, fuilhei, lhal a sludy of cuIluie conlacls is IikeIy lo give lhese
ansveis, ßul il is aInosl ceilain lhal lhe scienlific foinuIalion of lhe piolIens of con-
lacl viII nol foIIov lhese Iines. Il is as if in lhe consliuclion of calegoiies foi lhe sludy
of ciininoIogy ve slailed vilh a dicholony of individuaIs inlo ciininaI and
The vhoIe conlioveisy of vhich lhis ailicIe vas a pail has leen iepiinled in 8eyond the
Frontier, ediled ly IauI ßohannon and Iied IIog. ßul lhe iippIes of lhis conlioveisy have Iong
since died dovn, and lhe ailicIe is incIuded heie onIy foi ils posilive conliilulions. Il is iepiinled,
unchanged, fion Man, AilicIe 199, VoI. XXXV, 1935, ly peinission of lhe RoyaI AnlhiopoIogicaI
Inslilule of Cieal ßiilain and IieIand.
In any case il is cIeai lhal in a scienlific sludy of piocesses and naluiaI Iavs lhis invocalion of
fiee viII can have no pIace.
nonciininaI ~and, indeed, lhal cuiious science vas hanpeied foi a Iong vhiIe ly
lhis veiy allenpl lo define a ¨ciininaI lype.¨
(5) The Menoiandun is lased upon a faIIacy: lhal ve can cIassify lhe liails of a
cuIluie undei such headings as econonic, ieIigious, elc. We aie asked, foi exanpIe,
lo cIassify liails inlo lhiee cIasses, piesenled iespecliveIy lecause of: (a) econonic
piofil oi poIilicaI doninance, (l) desiialiIily of liinging aloul confoinily lo vaIues
of donoi gioup, and (c) elhicaI and ieIigious consideialions. This idea, lhal each liail
has eilhei a singIe funclion oi al Ieasl sone one funclion vhich oveilops lhe iesl,
Ieads ly exlension lo lhe idea lhal a cuIluie can le suldivided inlo ¨inslilulions¨
vheie lhe lundIe of liails vhich nake up one inslilulion aie aIike in lheii najoi
funclions. The veakness of lhis nelhod of suldividing a cuIluie has leen
concIusiveIy denonslialed ly MaIinovski and his pupiIs, vho have shovn lhal
aInosl lhe vhoIe of a cuIluie nay le seen vaiiousIy as a nechanisn foi nodifying
and salisfying lhe sexuaI needs of lhe individuaIs, oi foi lhe enfoicenenl of lhe
noins of lehavioi, oi foi suppIying lhe individuaIs vilh food.
Iion lhis exhauslive
denonslialion ve nusl expecl lhal any singIe liail of a cuIluie viII piove on
exaninalion lo le nol sinpIy econonic oi ieIigious oi sliucluiaI, lul lo pailake of aII
lhese quaIilies accoiding lo lhe poinl of viev fion vhich ve Iook al il. If lhis le liue
of a cuIluie seen in synchionic seclion, lhen il nusl aIso appIy lo lhe diachionic
piocesses of cuIluie conlacl and change, and ve nusl expecl lhal foi lhe offeiing,
acceplance oi iefusaI of eveiy liail lhal aie sinuIlaneous causes of an econonic,
sliucluiaI, sexuaI, and ieIigious naluie.
(6) Iion lhis il foIIovs lhal oui calegoiies ¨ieIigious,¨ ¨econonic,
elc., aie nol
rca| suldivisions vhich aie piesenl in lhe cuIluies vhich ve sludy, lul aie neieIy
aos|rac|icns vhich ve nake foi oui ovn convenience vhen ve sel oul lo desciile
cuIluies in voids. They aie nol phenonena piesenl in cuIluie, lul aie IaleIs foi
vaiious poinls of viev vhich ve adopl in oui sludies. In handIing such alsliaclions
ve nusl le caiefuI lo avoid Whilehead´s ¨faIIacy of nispIaced concieleness,¨ a
faIIacy inlo vhich, foi exanpIe, lhe Maixian hisloiians faII vhen lhey nainlain lhal
econonic ¨phenonena¨ aie ¨piinaiy.¨
Cf. MaIinovski, Scxua| |ifc and Crinc and Cus|cn, A. I. Richaids, Hungcr and lcr|. This
queslion of lhe suldivision of a cuIluie inlo ¨inslilulions¨ is nol quile as sinpIe as I have
indicaled, and, in spile of lheii ovn voiks, I leIieve lhal lhe London SchooI sliII adheies lo a
lheoiy lhal sone such division is piaclicalIe. Il is IikeIy lhal confusion aiises fion lhe facl lhal
ceilain nalive peopIes~peihaps aII, lul in any case lhose of Weslein Luiope~acluaIIy lhink lhal
lheii cuIluie is so suldivided. Vaiious cuIluiaI phenonena aIso conliilule sonelhing lovaid
such a suldivision, e.g., (a) lhe division of Ialoi and diffeienlialion of noins of lehavioi lelveen
diffeienl gioups of individuaIs in lhe sane connunily, and (l) an enphasis, piesenl in ceilain
cuIluies, upon lhe suldivisions of pIace and line upon vhich lehavioi is oideied. These
phenonena Iead lo lhe possiliIily, in such cuIluies, of dulling aII lehavioi vhich, foi exanpIe,
lakes pIace in chuich lelveen 11.3O and 12.3O on Sundays as ¨ieIigious.¨ ßul even in lhe sludy of
such cuIluies lhe anlhiopoIogisl nusl Iook vilh sone suspicion upon his cIassificalion of liails
inlo inslilulions and nusl expecl lo find a gieal deaI of ovei-Iapping lelveen vaiious inslilulions.
An anaIogous faIIacy occuis in psychoIogy, and consisls in iegaiding lehavioi as cIassifialIe
accoiding lo lhe inpuIses vhich inspiie il, e.g., inlo such calegoiies as seIf-pioleclive, asseilive,
sexuaI, acquisilive, elc. Heie, loo, confusion iesuIls fion lhe facl lhal nol onIy lhe psychoIogisl,
lul aIso lhe individuaI sludied, is pione lo lhink in leins of lhese calegoiies. The psychoIogisls
vouId do veII lo accepl lhe piolaliIily lhal eveiy lil of lehavioi is~al Ieasl in a veII-inlegialed
individuaI ~sinuIlaneousIy ieIevanl lo aII lhese alsliaclions.
Wilh lhis pieanlIe, ve nay nov considei an aIleinalive schene foi lhe sludy of
conlacl phenonena.
(7) Sccpc cf |nc inquirq | suggesl lhal ve shouId considei undei lhe head of
¨cuIluie conlacl¨ nol onIy lhose cases in vhich lhe conlacl occuis lelveen lvo
connunilies vilh diffeienl cuIluies and iesuIls in piofound disluilance of lhe
cuIluie of one oi lolh gioups, lul aIso cases of conlacl vilhin a singIe connunily. In
lhese cases lhe conlacl is lelveen diffeienlialed gioups of individuaIs, e.g., lelveen
lhe sexes, lelveen oId and young, lelveen aiislociacy and pIels, lelveen cIans, elc.,
gioups vhich Iive logelhei in appioxinale equiIiliiun. I vouId even exlend lhe idea
of ¨conlacl
so videIy as lo incIude lhose piocesses vheiely a chiId is noIded and
liained lo fil lhe cuIluie inlo vhich he vas loin,
lul foi lhe piesenl ve nay confine
ouiseIves lo conlacls lelveen gioups of individuaIs, vilh diffeienl cuIluiaI noins of
lehavioi in each gioup.
(8) If ve considei lhe possilIe end of lhe diaslic disluilances vhich foIIov
conlacls lelveen piofoundIy diffeienl connunilies, ve see lhal lhe changes
nusl lheoielicaIIy iesuIl in one oi olhei of lhe foIIoving palleins:
(a) lhe conpIele fusion of lhe oiiginaIIy diffeienl gioups
(l) lhe eIininalion of one oi lolh gioups
(c) lhe peisislence of lolh gioups in dynanic equiIiliiun vilhin one najoi
(9) My puipose in exlending lhe idea of conlacl lo covei lhe condilions of
diffeienlialion inside a singIe cuIluie is lo use oui knovIedge of lhese quiescenl
slales lo lhiov Iighl upon lhe faclois vhich aie al voik in slales of disequiIiliiun. Il
nay le easy lo ollain a knovIedge of lhe faclois fion lheii quiel voiking, lul
inpossilIe lo isoIale lhen vhen lhey aie vioIenl. The Iavs of giavily cannol
convenienlIy le sludied ly olseivalion of houses coIIapsing in an eailh-quake.
(1O) Ccnp|c|c fusicn Since lhis is one of lhe possilIe ends of lhe piocess ve nusl
knov vhal faclois aie piesenl in a gioup of individuaIs vilh consislenl
honogeneous pal-leins of lehavioi in aII nenleis of lhe gioup. An appioach lo
such condilions nay le found in any connunily vhich is in a slale of appioxinale
equiIiliiun lul, unfoilunaleIy, oui ovn connunilies in Luiope aie in a slale of such
fIux lhal lhese condilions scaiceIy occui. Moieovei, even in piinilive connunilies.
lhe condilions aie usuaIIy conpIicaled ly diffeienlialion, so lhal ve nusl le conlenl
vilh sludies of such honogeneous gioups as can le olseived vilhin lhe najoi
diffeienlialed connunilies.
Oui fiisl lask viII le lo asceilain vhal soils of unily ollain vilhin such gioups,
oi ialhei~leaiing in nind lhal ve aie conceined vilh aspcc|s and nol cIasses of
phenonena~vhal aspecls of lhe unily of lhe lody of liails ve nusl desciile in
oidei lo gel a vhoIe viev of lhe silualion. I sulnil lhal lhe naleiiaI, lo le fuIIy
undeislood, nus| le exanined in, al Ieasl, lhe foIIoving five sepaialIe aspecls:
(a) A s|ruc|ura| aspcc| cf uni|q The lehavioi of any one individuaI in any one
conlexl is, in sone sense, cogniliveIy consislenl vilh lhe lehavioi of aII lhe olhei
The piesenl schene is oiienled lovaid lhe sludy of sociaI ialhei lhan psychoIogicaI
piocesses, lul a cIoseIy anaIogous schene nighl le consliucled foi lhe sludy of
psychopalhoIogy. Heie lhe idea of ¨conlacl¨ vouId le sludied, especiaIIy in lhe conlexls of lhe
noIding of lhe individuaI, and lhe piocesses of schisnogenesis vouId le seen lo pIay an
inpoilanl pail nol onIy in accenlualing lhe naIadjuslnenls of lhe devianl, lul aIso in
assiniIaling lhe noinaI individuaI lo his gioup.
individuaIs in aII olhei conlexls. Heie ve nusl le piepaied lo find lhal lhe inheienl
Iogic of one cuIluie diffeis piofoundIy fion lhal of olheis. Iion lhis poinl of viev
ve shaII see, foi exanpIe, lhal vhen individuaI A gives a diink lo individuaI ß, lhal
lehavioi is consislenl vilh olhei noins of lehavioi ollaining vilhin lhe gioup
vhich conlains A and ß.
This aspecl of lhe unily of lhe lody of lehavioi palleins nay le ieslaled in leins
of a slandaidizalion of lhe cognilive aspecls of lhe peisonaIilies of lhe individuaIs.
We nay say lhal lhe palleins of lhoughl of lhe individuaIs aie so slandaidized lhal
lheii lehavioi appeais lo lhen |cgica|.
(l) Affcc|itc aspcc|s cf uni|q In sludying lhe cuIluie fion lhis poinl of viev, ve aie
conceined lo shov lhe enolionaI selling of aII lhe delaiIs of lehavioi. We shaII see
lhe vhoIe lody of lehavioi as a conceiled nechanisn oiienled lovaid affeclive
salisfaclion and dissalisfaclion of lhe individuaIs.
This aspecl of a cuIluie nay aIso le desciiled in leins of a slandaidizalion of
affeclive aspecls of lhe peisonaIilies of lhe individuaIs, vhich aie so nodified ly
lheii cuIluie lhal lheii lehavioi is lo lhen enolionaIIy consislenl.
(c) |ccncnic uni|q Heie ve shaII see lhe vhoIe lody of lehavioi as a nechanisn
oiienled lovaid lhe pioduclion and disliilulion of naleiiaI oljecls.
(d) Cnrcnc|cgica| and spa|ia| uni|q Heie ve shaII see lhe lehavioi palleins as
schenalicaIIy oideied accoiding lo line and pIace. We shaII see A as giving lhe diink
lo ß
lecause il is Saluiday evening in lhe ßIue ßoai.¨
(e) Sccic|cgica| uni|q Heie ve shaII see lhe lehavioi of lhe individuaIs as oiienled
lovaid lhe inlegialion and disinlegialion of lhe najoi unil, lhe Cioup as a vhoIe.
We shaII see lhe giving of diinks as a facloi vhich pionoles lhe soIidaiily of lhe
(11) In addilion lo sludying lhe lehavioi of nenleis of lhe honogeneous gioup
fion aII lhese poinls of viev, ve nusl exanine a nunlei of such gioups lo discovei
lhe effecls of slandaidizalion of lhese vaiious poinls of viev in lhe peopIe ve aie
sludying. We have slaled alove lhal eveiy lil of lehavioi nusl le iegaided as
piolalIy ieIevanl lo aII lhese vievpoinls, lul lhe facl ienains lhal sone peopIes aie
noie incIined lhan olheis lo see and phiase lheii ovn lehavioi as ¨IogicaI¨ oi ¨foi
lhe good of lhe Slale.¨
(12) Wilh lhis knovIedge of lhe condilions vhich ollain in honogeneous
gioups, ve shaII le in a posilion lo exanine lhe piocesses of fusion of lvo diveise
gioups inlo one. We nay even le alIe lo piesciile neasuies vhich viII eilhei
pionole oi ielaid such fusion, and piedicl lhal a liail vhich fils lhe five aspecls of
unily can le added lo a cuIluie vilh-oul olhei changes. If il does nol fil, lhen ve can
seaich foi appiopiiale nodificalions eilhei of lhe cuIluie oi of lhe liail.
(13) Tnc c|inina|icn cf cnc cr oc|n grcups This end iesuIl is peihaps scaiceIy voilh
sludying, lul ve shouId al Ieasl exanine any naleiiaI lhal is avaiIalIe, lo deleinine
vhal soil of effecls such hosliIe aclivily has upon lhe cuIluie of lhe suivivois. Il is
possilIe, foi exanpIe, lhal lhe palleins of lehavioi associaled vilh eIininalion of
olhei gioups nay le assiniIaled inlo lheii cuIluie so lhal lhey aie inpeIIed lo
eIininale noie and noie.
(14) Pcrsis|cncc cf oc|n grcups in dqnanic cqui|ioriun This is piolalIy lhe nosl
insliuclive of lhe possilIe end iesuIls of conlacl, since lhe faclois aclive in lhe
dynanic equiIiliiun aie IikeIy lo le idenlicaI oi anaIogous vilh lhose vhich, in
disequiIiliiun, aie aclive in cuIluiaI change. Oui fiisl lask is lo sludy lhe
ieIalionships ollaining lelveen gioups of individuaIs vilh diffeienlialed lehavioi
palleins, and Ialei lo considei vhal Iighl lhese ieIalionships lhiov upon vhal aie
noie usuaIIy caIIed ¨conlacls.¨ Lveiy anlhiopoIogisl vho has leen in lhe fieId has
had oppoilunily of sludying such diffeienlialed gioups.
(15) The possiliIilies of diffeienlialion of gioups aie ly no neans infinile, lul faII
cIeaiIy inlo lvo calegoiies (a) cases in vhich lhe ieIalionship is chiefIy synneliicaI,
e.g., in lhe diffeienlialion of noielies, cIans, viIIages and lhe nalions of Luiope, and
(o) cases in vhich lhe ieIalionship is ccnp|cncn|arq, c.g., in lhe diffeienlialion of sociaI
sliala, cIasses, casles, age giades, and, in sone cases, lhe cuIluiaI diffeienlialion
lelveen lhe sexes.
ßolh lhese lypes of diffeienlialion conlain dynanic eIenenls,
such lhal vhen ceilain iesliaining faclois aie ienoved lhe diffeienlialion oi spIil
lelveen lhe gioups incieases piogiessiveIy lovaid eilhei lieakdovn oi a nev
(16) Sqnnc|rica| diffcrcn|ia|icn To lhis calegoiy nay le iefeiied aII lhose cases in
vhich lhe individuaIs in lvo gioups A and ß have lhe sane aspiialions and lhe sane
lehavioi palleins, lul aie diffeienlialed in lhe oiienlalion of lhese palleins. Thus
nenleis of gioup A exhilil lehavioi palleins A,ß,C in lheii deaIings vilh each
olhei, lul adopl lhe palleins X,Y,Z in lheii deaIings vilh nenleis of gioup ß.
SiniIaiIy, gioup ß adopl lhe palleins A,ß,C anong lhen-seIves, lul exhilil X,Y,Z in
deaIing vilh gioup A. Thus a posilion is sel up in vhich lhe lehavioi X,Y,Z is lhe
slandaid iepIy lo X,Y,Z. This posilion conlains eIenenls vhich nay Iead lo
piogiessive diffeienlialion oi scnisncgcncsis aIong lhe sane Iines. If, foi exanpIe, lhe
palleins X,Y,Z incIude loasling, ve shaII see lhal lheie is a IikeIihood, if loasling is
lhe iepIy lo loasling, lhal each gioup viII diive lhe olhei inlo excessive enphasis of
lhe pallein, a piocess vhich if nol ie-sliained can onIy Iead lo noie and noie
exliene iivaIiy and uIlinaleIy lo hosliIily and lhe lieakdovn of lhe vhoIe syslen.
(17) Ccnp|cncn|arq diffcrcn|ia|icn To lhis calegoiy ve nay iefei aII lhose cases in
vhich lhe lehavioi and aspiialions of lhe nenleis of lhe lvo gioups aie
fundanenlaIIy diffeienl. Thus nenleis of gioup A lieal each olhei vilh palleins
L,M,N, and exhilil lhe palleins O,I,Q in deaIings vilh gioup ß. In iepIy lo O,I,Q,
lhe nenleis of gioup ß exhilil lhe palleins U,V,W, lul anong lhenseIves lhey
adopl palleins R,S,T. Thus il cones aloul lhal O,I,Q is lhe iepIy lo U,V,W, and vice
veisa. This diffeienlialion nay le-cone piogiessive. If, foi exanpIe, lhe seiies, O,I,Q
incIudes palleins cuIluiaIIy iegaided as asseilive, vhiIe U,V,W incIudes cuIluiaI
sulnissiveness, il is IikeIy lhal sulnissiveness viII pionole fuilhei asseiliveness
vhich in luin viII pionole fuilhei sulnissiveness. This schisnogenesis, unIess il is
ie-sliained, Ieads lo a piogiessive uniIaleiaI disloilion of lhe peisonaIilies of lhe
nenleis of lolh gioups, vhich iesuIls in nuluaI hosliIily lelveen lhen and nusl
end in lhe lieak-dovn of lhe syslen.
Cf. Maigaiel Mead, Scx and Tcnpcrancn|, 1935. Of lhe connunilies desciiled in lhis look,
lhe Aiapesh and lhe Mundugunoi have a piepondeianlIy synneliicaI ieIalionship lelveen lhe
sexes, vhiIe lhe ChanluIi have a conpIenenlaiy ieIalionship. Anong lhe IalnuI, a liile in lhe
sane aiea, vhich I have sludied, lhe ieIalionship lelveen lhe sexes is conpIenenlaiy, lul on
ialhei diffeienl Iines fion lhal of lhe ChanluIi. I hope shoilIy lo pulIish a look on lhe IalnuI
vilh skelches of lheii cuIluie fion lhe poinls of viev a, o, and c cu|-Iined in paiagiaph 1O. (See
ßilIiogiaphy, ilens 1936 and 1958 ß.)
(18) Rcciprcci|q Though ieIalionships lelveen gioups can lioadIy le cIassified
inlo lvo calegoiies, synneliicaI and conpIenenlaiy, lhis suldivision is lo sone
exlenl lIuiied ly anolhei lype of diffeienlialion vhich ve nay desciile as rcciprcca|.
In lhis lype lhe lehavioi palleins X and Y aie adopled ly nenleis of each gioup in
lheii deaIings vilh lhe olhei gioup, lul inslead of lhe synneliicaI syslen vheiely X
is lhe iepIy lo X and Y is lhe iepIy lo Y, ve find heie lhal X is lhe iepIy lo Y. Thus in
eveiy singIe in-slance lhe lehavioi is asynneliicaI, lul synneliy is iegained ovei a
Iaige nunlei of inslances since sonelines gioup A exhilil X lo vhich gioup ß iepIy
vilh Y, and sonelines gioup A exhilil Y and gioup ß iepIy vilh X. Cases in vhich
gioup A sonelines seII sago lo gioup ß and lhe Iallei sone-lines seII lhe sane
connodily lo A, nay le iegaided as iecipiocaI, lul if gioup A haliluaIIy seII sago lo
ß vhiIe lhe Iallei haliluaIIy seII fish lo A, ve nusl, I lhink, iegaid lhe pallein as
conpIenenlaiy. The iecipiocaI pallein, il nay le noled, is conpensaled and
laIanced vilhin ilseIf and lheiefoie does nol lend lovaid schisnogenesis.
(19) Ioinls foi invesligalion:
(a) We need a piopei suivey of lhe lypes of lehavioi vhich can Iead lo
schisnogeneses of lhe synneliicaI lype. Al piesenl il is onIy possilIe lo poinl lo
loasling and conneiciaI iivaIiy, lul no doull lheie aie nany olhei palleins vhich
viII le found lo le acconpanied ly lhe sane lype of effecl.
(l) We need a suivey of lhe lypes of lehavioi vhich aie nuluaIIy
conpIenenlaiy and Iead lo schisnogeneses of lhe second lype. Heie ve can al
piesenl onIy cile asseiliveness veisus sulnissiveness, exhililionisn veisus
adniialion, fosleiing veisus expiessions of feelIeness and, in addilion, lhe vaiious
possilIe conlinalions of lhese paiis.
(c) We need veiificalion of lhe geneiaI Iav assuned alove, lhal vhen lvo
gioups exhilil conpIenenlaiy lehavioi lo each olhei, lhe inleinaI lehavioi lelveen
nenleis of gioup A nusl necessaiiIy diffei fion lhe inleinaI lehavioi lelveen
nenleis of gioup ß.
(d) We need a syslenalic exaninalion of schisnogeneses of lolh lypes fion lhe
vaiious poinls of viev oulIined in paiagiaph 1O. Al piesenl I have onIy Iooked al lhe
nallei fion lhe elhoIogicaI and sliucluiaI poinls of viev (paiagiaph 1O, aspecls a
and o). In addilion lo lhis, lhe Maixian hisloiians have given us a picluie of lhe
econonic aspecl of conpIenenlaiy schisnogenesis in Weslein Luiope. Il is IikeIy,
hovevei, lhal lhey lhenseIves have leen infIuenced unduIy ly lhe schisnogenesis
vhich lhey sludied and have leen lheiely pionpled inlo exaggeialion.
(e) We need lo knov sonelhing aloul lhe occuiience of iecipiocaI lehavioi in
ieIalionships vhich aie piepondeianlIy eilhei synneliicaI oi conpIenenlaiy.
(2O) Rcs|raining fac|crs ßul, noie inpoilanl lhan any of lhe piolIens in lhe
pievious paiagiaph, ve need a sludy of lhe faclois vhich iesliain lolh lypes of
schisnogenesis. Al lhe piesenl nonenl, lhe nalions of Luiope aie fai advanced in
synneliicaI schisnogenesis and aie ieady lo fIy al each olhei´s lhioals, vhiIe vilhin
each nalion aie lo le olseived gioving hosliIilies lelveen lhe vaiious sociaI sliala,
synplons of conpIenenlaiy schisnogenesis. LquaIIy, in lhe counliies iuIed ly nev
diclaloiships ve nay olseive eaiIy slages of conpIenenlaiy schisnogenesis, lhe
lehavioi of his associales pushing lhe diclaloi inlo evei giealei piide and
The puipose of lhe piesenl ailicIe is lo suggesl piolIens and Iines of
invesligalion ialhei lhan lo slale lhe ansveis, lul, lenlaliveIy, suggeslions nay le
offeied as lo lhe faclois conlioIIing schisnogenesis:
(a) Il is possilIe lhal, acluaIIy, no heaIlhy equiIilialed ieIalionship lelveen
gioups is eilhei puieIy synneliicaI oi puieIy conpIenenlaiy, lul lhal eveiy such
ieIalionship conlains eIenenls of lhe olhei lype. Il is liue lhal il is easy lo cIassify
ieIalionships inlo one oi lhe olhei calegoiy accoiding lo lheii piedoninanl
enphases, lul il is possilIe lhal a veiy snaII adnixluie of conpIenenlaiy lehavioi
in a synneliicaI ieIalionship, oi a veiy snaII adnixluie of synneliicaI lehavioi in a
conpIenenlaiy ieIalionship, nay go a Iong vay lovaid slaliIizing lhe posilion.
LxanpIes of lhis lype of slaliIizalion aie peihaps connon. The squiie is in a
piedoninanlIy conpIenenlaiy and nol aIvays confoilalIe ieIalionship vilh his
viIIageis, lul if he pailicipale in viIIage ciickel (a synneliicaI iivaIiy) lul once a
yeai, lhis nay have a cuiiousIy dispiopoilionale effecl upon his ieIalionship vilh
(l) Il is ceilain lhal, as. in lhe case quoled alove in vhich gioup A seII sago lo ß
vhiIe lhe Iallei seII fish lo A, conpIenenlaiy palleins nay sonelines have a ieaI
slaliIizing effecl ly pionoling a nuluaI dependence lelveen lhe gioups.
(c) Il is possilIe lhal lhe piesence of a nunlei of liuIy iecipiocaI eIenenls in a
ieIalionship nay lend lo slaliIize il, pievenling lhe schisnogenesis vhich olheivise
nighl iesuIl eilhei fion synneliicaI oi conpIenenlaiy eIenenls. ßul lhis vouId
seen lo le al lesl a veiy veak defense: on lhe one hand, if ve considei lhe effecls of
synneliicaI schisnogenesis upon lhe iecipiocaI lehavioi palleins, ve see lhal lhe
Iallei lend lo le Iess and Iess exhililed. Thus, as lhe individuaIs conposing lhe
nalions of Luiope lecone noie and noie invoIved in lheii synneliicaI inleinalionaI
iivaIiies, lhey giaduaIIy Ieave off lehaving in a iecipiocaI nannei, deIileialeIy
ieducing lo a nininun lheii foinei iecipiocaI conneiciaI lehavioi.
On lhe olhei
hand, if ve considei lhe effecls of conpIenenlaiy schisnogenesis upon lhe
iecipiocaI lehavioi palleins, ve see lhal one-haIf of lhe iecipiocaI pal-lein is IialIe lo
Iapse. Wheie foineiIy lolh gioups exhililed lolh X and Y, a syslen giaduaIIy
evoIves in vhich one of lhe gioups exhilils onIy X, vhiIe lhe olhei exhilils onIy Y. In
facl, lehavioi vhich vas foineiIy iecipiocaI is ieduced lo a lypicaI conpIenenlaiy
pallein and is IikeIy aflei lhal lo conliilule lo lhe conpIenenlaiy schisnogenesis.
(d) Il is ceilain lhal eilhei lype of schisnogenesis lelveen lvo gioups can le
checked ly faclois vhich unile lhe lvo gioups eilhei in IoyaIly oi opposilion lo sone
oulside eIenenl. Such an oulside eIenenl nay le eilhei a synloIic individuaI, an
eneny peopIe oi sone quile inpeisonaI ciicunslance~lhe Iion viII Iie dovn vilh
lhe Ianl if onIy il iain haid enough. ßul il nusl le noled lhal vheie lhe oulside
eIenenl is a peison oi gioup of peisons, lhe ieIalionship of lhe conlined gioups A
and ß lo lhe oulside gioup viII aIvays le ilseIf a polenliaIIy schisnogenic
ieIalionship of one oi lhe olhei lype. Lxaninalion of nuIlipIe syslens of lhis kind is
ladIy needed and especiaIIy ve need lo knov noie aloul lhe syslens (e.g., niIilaiy
In lhis, as in lhe olhei exanpIes given, no allenpl is nade lo considei lhe schisnogenesis
fion aII lhe poinls of viev oulIined in paiagiaph 1O. Thus, inasnuch as lhe econonic aspecl of lhe
nallei is nol heie leing consideied, lhe effecls of lhe sIunp upon lhe schisnogenesis aie ignoied.
A conpIele sludy vouId le sul-divided inlo sepaiale seclions, each liealing one of lhe aspecls of
lhe phenonena.
hieiaichies) in vhich lhe disloilion of peisonaIily is nodified in lhe niddIe gioups of
lhe hieiaichy ly peinilling lhe individuaIs lo exhilil iespecl and sulnission in
deaIings vilh highei gioups vhiIe lhey exhilil asseiliveness and piide in deaIing
vilh lhe Iovei.
(e) In lhe case of lhe Luiopean silualion, lheie is one olhei possiliIily~a speciaI
case of conlioI ly diveision of allenlion lo oulside ciicunslances. Il is possilIe lhal
lhose iesponsilIe foi lhe poIicy of cIasses and nalions nighl lecone conscious of lhe
piocesses vilh vhich lhey aie pIaying and coopeiale in an allenpl lo soIve lhe
difficuIlies. This, hov-evei, is nol veiy IikeIy lo occui since anlhiopoIogy and sociaI
psychoIogy Iack lhe pieslige necessaiy lo advise, and, vilh-oul such advice,
goveinnenls viII conlinue lo ieacl lo each olhei´s ieaclions ialhei lhan pay allenlion
lo ciicunslances.
(21) In concIusion, ve nay luin lo lhe piolIens of lhe adninislialoi faced vilh a
lIack-vhile cuIluie conlacl. His fiisl lask is lo decide vhich of lhe end iesuIls
oulIined in paiagiaph 8 is desiialIe and possilIe of allainnenl. This decision he nusl
nake vilhoul hypociisy. If he chooses fusion, lhen he nusl endeavoi lo conliive
eveiy slep so as lo pionole lhe condilions of consislency vhich aie oulIined (as
piolIens foi invesligalion) in paiagiaph 1O. If he chooses lhal lolh gioups shaII
peisisl in sone foin of dynanic equiIiliiun, lhen he nusl conliive lo eslalIish a
syslen in vhich lhe possiliIilies of schisnogenesis aie piopeiIy conpensaled oi
laIanced againsl each olhei. ßul al eveiy slep in lhe schene vhich I have oulIined
lheie aie piolIens vhich nusl le sludied ly liained sludenls and vhich vhen
soIved viII conliilule, nol onIy lo appIied socioIogy, lul lo lhe veiy lasis of oui
undeislanding of hunan leings in sociely.
3.2 Exµerlments ln Thlnklng about Obserted
Ethno|oglca| Materla|
As I undeisland il, you have asked ne foi an honesl, inliospeclive~peisonaI~
accounl of hov I lhink aloul anlhiopoIogicaI naleiiaI, and if I an lo le honesl and
peisonaI aloul ny lhinking, lhen I nusl le inpeisonaI aloul lhe iesuIls of lhal
lhinking. Lven if I can lanish lolh piide and shane foi haIf an houi, honesly viII sliII
le difficuIl.
Lel ne liy lo luiId up. a picluie of hov I lhink ly giving you an
auloliogiaphicaI accounl of hov I have acquiied ny kil of concepluaI looIs and
inleIIecluaI halils. I do nol nean an acadenic liogiaphy oi a Iisl of vhal suljecls I
have sludied, lul sonelhing noie significanl lhan lhal~a Iisl ialhei of lhe nolifs of
lhoughl in vaiious scienlific suljecls vhich Iefl so deep an inpiession on ny nind
lhal vhen I cane lo voik on anlhiopoIogicaI naleiiaI, I naluiaIIy used lhose
loiioved nolifs lo guide ny appioach lo lhis nev naleiiaI.
I ove lhe giealesl pail of lhis kil of looIs lo ny falhei, WiIIian ßaleson, vho vas
a genelicisl. In schooIs and univeisilies lhey do veiy IillIe lo give one an idea of lhe
lasic piincipIes of scienlific lhinking, and vhal I Ieained of lhis cane in veiy Iaige
neasuie fion ny falhei´s conveisalion and peihaps especiaIIy fion lhe oveilones of
his laIk. He hinseIf vas inailicuIale aloul phiIosophy and nalhenalics and Iogic,
and he vas ailicuIaleIy disliuslfuI of such suljecls, lul sliII, in spile of hinseIf, I
lhink, he passed on lo ne sonelhing of lhese nalleis.
The alliludes vhich I gol fion hin veie especiaIIy lhose vhich he had denied in
hinseIf. In his eaiIy~and as I lhink he knev~his lesl voik he posed lhe piolIens
of aninaI synneliy, segnenlalion, seiiaI iepelilion of pails, palleins, elc. Lalei he
luined avay fion lhis fieId inlo MendeIisn, lo vhich he devoled lhe ienaindei of
his Iife. ßul he had aIvays a hankeiing aflei lhe piolIens of pallein and synneliy,
and il vas lhis hankeiing and lhe nyslicisn lhal in-spiied il lhal I picked up and
vhich, foi lellei oi voise, I caIIed ¨science.¨
I picked up a vague nyslicaI feeIing lhal ve nusl Iook foi lhe sane soil of
piocesses in aII fieIds of naluiaI phenonena~lhal ve nighl expecl lo find lhe sane
soil of Iavs al voik in lhe sliucluie of a ciyslaI as in lhe sliucluie of sociely, oi lhal
lhe segnenlalion of an eailhvoin nighl ieaIIy le conpaialIe lo lhe piocess ly
vhich lasaIl piIIais aie foined.
I shouId nol pieach lhis nyslicaI failh in quile lhose leins loday lul vouId say
ialhei lhal I leIieve lhal lhe lypes of nenlaI opeialion vhich aie usefuI in anaIyzing
one fieId nay le equaIIy usefuI in anolhei~lhal lhe fianevoik (lhe cidcs) of science,
ialhei lhan lhe fianevoik of Naluie, is lhe sane in aII fieIds. ßul lhe noie nyslicaI
phiasing of lhe nallei vas vhal I vagueIy Ieainl, and il vas of paianounl
inpoilance. Il Ienl a ceilain dignily lo any scienlific invesligalion, inpIying lhal
This papei vas given al lhe Sevenlh Confeience on Melhods in IhiIosophy and lhe
Sciences, heId al lhe Nev SchooI foi SociaI Reseaich, ApiiI 28, 194O. Il is heie -iepiinled fion
Pni|cscpnq cf Scicncc, VoI. 8, No. 1, copyiighl 1941, The WiIIians & WiIkins Co. Repioduced ly
vhen I vas anaIyzing lhe pal-leins of pailiidges´ fealheis, I nighl ieaIIy gel an
ansvei oi a lil of an ansvei lo lhe vhoIe puzzIing lusiness of pallein and ieguIaiily
in naluie. And fuilhei, lhis lil of nyslicisn vas inpoilanl lecause il gave ne
fieedon lo use ny scienlific lackgiound, lhe vays of lhoughl lhal I had picked up in
lioIogy and eIenenlaiy physics and chenisliy, il encouiaged ne lo expecl lhese
vays of lhoughl lo fil in vilh veiy diffeienl fieIds of olseivalion. Il enalIed ne lo
iegaid aII ny liaining as polenliaIIy usefuI ialhei lhan ulleiIy iiieIevanl lo
When I cane inlo anlhiopoIogy lheie vas a consideialIe ieaclion laking pIace
againsl lhe use of Ioose anaIogies, especiaIIy againsl lhe Spenceiian anaIogy lelveen
lhe Oiganisn and Sociely. Thanks lo lhis nyslicaI leIief in lhe peivading unily of lhe
phenonena of lhe voiId, I avoided a gieal deaI of inleIIecluaI vasle. I nevei had any
doull lhal lhis anaIogy vas fundanenlaIIy sound, since lo doull vouId have leen
enolionaIIy expensive. Novadays, of couise, lhe enphasis has shifled. Iev vouId
seiiousIy doull lhal lhe vays of anaIysis vhich have leen found usefuI in anaIyzing
one conpIex funclioning syslen aie IikeIy lo le of use in anaIyzing any olhei siniIai
syslen. ßul lhe nyslicaI piop vas usefuI lhen, lhough ils phiasing vas lad.
Theie is anolhei vay, loo, in vhich lhal nyslicisn has heIped~a vay vhich is
especiaIIy ieIevanl lo ny lhesis. I vanl lo enphasize lhal vhenevei ve piide
ouiseIves upon finding a nevei, sliiclei vay of lhoughl oi exposilion, vhen-evei ve
slail insisling loo haid upon ¨opeialionaIisn¨ oi synloIic Iogic oi any olhei of lhese
veiy essenliaI syslens of lianIines, ve Iose sonelhing of lhe aliIily lo lhink nev
lhoughls. And equaIIy, of couise, vhenevei ve ieleI againsl lhe sleiiIe iigidily of
foinaI lhoughl and exposilion and Iel oui ideas iun viId, ve Iikevise Iose. As I see
il, lhe advances in scienlific lhoughl cone fion a ccnoina|icn cf |ccsc and s|ric|
|nin|ing, and lhis conlinalion is lhe nosl piecious looI of science.
My nyslicaI viev of phenonena conliiluled specificaIIy lo luiId up lhis doulIe
halil of nind~il Ied ne inlo viId ¨hunches¨ and, al lhe sane line, conpeIIed noie
foinaI lhinking aloul lhose hunches. Il encouiaged Iooseness of lhoughl and lhen
innedialeIy insisled lhal lhal Iooseness le neasuied up againsl a iigid concieleness.
The poinl is lhal lhe fiisl hunch fion anaIogy is viId, and lhen, lhe nonenl I legin
lo voik oul lhe anaIogy, I an lioughl up againsl lhe iigid foinuIalions vhich have
leen devised in lhe fieId fion vhich I loiiov lhe anaIogy.
Ieihaps il is voilh giving an exanpIe of lhis, il vas a nallei of foinuIaling lhe
sociaI oiganizalion of a Nev Cuinea liile,~lhe IalnuI. The IalnuI sociaI syslen
diffeis fion ouis in one veiy essenliaI poinl. Theii sociely conpIeleIy Iacks any soil
of chieflainship, and I phiased lhis nallei IooseIy ly saying lhal lhe conlioI of lhe
individuaI vas achieved ly vhal I caIIed ¨IaleiaI¨ sanclions ialhei lhan ly
¨sanclions fion alove.¨ Coing ovei ny naleiiaI, I found fuilhei lhal in geneiaI lhe
suldivisions of lhe sociely~lhe cIans, noielies, elc.~had viiluaIIy no neans of
punishing lheii ovn nenleis. I had a case in vhich a ceienoniaI house ovned ly a
pailicuIai junioi age giade had leen defiIed, and lhough lhe olhei nenleis of lhe
giade veie veiy angiy vilh lhe defiIei, lhey couId do nolhing aloul il. I asked
vhelhei lhey vouId kiII one of his pigs oi lake any of his piopeily, and lhey iepIied
¨No, of couise nol. He is a nenlei of lheii ovn inilialoiy giade.¨ If lhe sane lhing
had happened in lhe lig senioi ceienoniaI house vhich leIongs lo seveiaI giades,
lhen lhe defiIei vouId le punished. His ovn giade vouId defend hin lul lhe olheis
vouId slail a liavI.
I lhen legan Iooking foi noie conciele cases vhich couId le conpaied vilh lhe
conliasl lelveen lhis syslen and oui ovn. I said, ¨Il´s Iike lhe diffeience lelveen lhe
iadiaIIy synneliicaI aninaIs (jeIIyfish, sea anenones, elc.) and lhe aninaIs vhich
have liansveise segnenlalion (eailhvoins, Iolsleis, nan, elc.).¨
Nov in lhe fieId of aninaI segnenlalion ve knov veiy IillIe aloul lhe
nechanisns conceined, lul al Ieasl lhe piolIens aie noie conciele lhan in lhe sociaI
fieId. When ve conpaie a sociaI piolIen vilh a piolIen of aninaI diffeienlialion,
ve aie al once piovided vilh a visuaI diagian, in leins of vhich ve nay le alIe lo
laIk a IillIe noie pieciseIy. And foi lhe liansveiseIy segnenled aninaIs, al Ieasl, ve
have sonelhing noie lhan a neieIy analonicaI diagian. Thanks lo lhe voik lhal has
leen done on expeiinenlaI enliyoIogy and axiaI giadienls, ve have sone idea of
lhe dynanics of lhe syslen. We knov lhal sone soil of asynneliicaI ieIalion ollains
lelveen lhe successive segnenls, lhal each segnenl vouId, if il couId (I speak
IooseIy) foin a head, lul lhal lhe nexl anleiioi segnenl pievenls lhis. Iuilhei, lhis
dynanic asynneliy in lhe ieIalions lelveen successive segnenls is iefIecled
noiphoIogicaIIy, ve find in nosl such aninaIs a seiiaI diffeience~vhal is caIIed
nelaneiic diffeienlialion~lelveen lhe. successive segnenls.
Theii appendages, lhough lhey can le shovn lo confoin lo a singIe lasic
sliucluie, diffei one fion anolhei as ve go dovn lhe seiies. (The Iegs of lhe Iolslei
piovide a faniIiai exanpIe of lhe soil of lhing I nean.)
In conliasl vilh lhis, in lhe iadiaIIy synneliicaI aninaIs, lhe segnenls, aiianged
aiound lhe cenlei Iike seclois of a ciicIe, aie usuaIIy aII aIike.
As I say, ve do nol knov nuch aloul lhe segnenlalion of aninaIs, lul al Ieasl
heie vas enough foi ne lo lake lack lo lhe piolIen of IalnuI sociaI oiganizalion. My
¨hunch¨ had piovided ne vilh a sel of sliiclei voids and diagians, in leins of
vhich I couId liy lo le noie piecise in ny lhinking aloul lhe IalnuI piolIen. I
couId nov Iook again al lhe IalnuI naleiiaI lo deleinine vhelhei lhe ieIalionship
lelveen lhe cIans vas ieaIIy in sone sense sqnnc|rica| and lo deleinine vhelhei
lheie vas anylhing lhal couId le conpaied vilh lhe Iack of nelaneiic
diffeienlialion. I found lhal lhe ¨hunch¨ voiked. I found lhal so fai as opposilion,
conlioI, elc. lelveen lhe cIans vas conceined, lhe ieIalions lelveen lhen veie
ieasonalIy synneliicaI, and fuilhei, as lo lhe queslion of diffeienlialion lelveen
lhen, il couId le shovn lhal, lhough lheie veie consideialIe diffeiences, lhese
foIIoved no seiiaI pallein. AddilionaIIy, I found lhal lheie vas a sliong lendency foi
cIans lo inilale each olhei, lo sleaI lils of each olhei´s nylhoIogicaI hisloiy and lo
incoipoiale lhese inlo lheii ovn pasl~a soil of fiauduIenl heiaIdiy, each cIan
copying lhe olheis so lhal lhe vhoIe syslen lended lo dininish lhe diffeienlialion
lelveen lhen. (The syslen peihaps aIso conlained lendencies in an opposile
diieclion, lul lhis queslion I need nol discuss nov.)
I foIIoved up lhe anaIogy in anolhei diieclion. Inpiessed ly lhe phenonena of
nelaneiic diffeienlialion, I nade lhe poinl lhal in oui sociely vilh ils hieiaichicaI
syslens (conpaialIe lo lhe eailhvoin oi lhe Iolslei), vhen a gioup secedes fion
lhe paienl sociely, il is usuaI lo find lhal lhe Iine of fission, lhe division lelveen lhe
nev gioup and lhe oId, naiks a diffeienlialion of noies. The IiIgiin Ialheis vandei
Ioi delaiIs of lhis and olhei siniIai incidenls cfi. Natcn, pp. 98-1O7, Canliidge, Canliidge
Univeisily Iiess, 1936.
off in oidei lo le diffcrcn|. ßul anong lhe IalnuI, vhen lvo gioups in a viIIage
quaiieI, and one haIf goes off and founds a nev connunily, lhe noies of lhe lvo
gioups ienain idenlicaI. In oui sociely, fission lends lo le heielicaI (a foIIoving aflei
olhei docliines oi noies), lul in IalnuI, fission is ialhei schisnalic (a foIIoving aflei
olhei Ieadeis vilhoul change of dogna).
You viII nole lhal. heie I oveiiode ny anaIogy al one poinl and lhal lhis nallei
is sliII nol peifeclIy cIeai. When a liansveise fission oi a IaleiaI ludding occuis in a
liansveiseIy segnenled aninaI, lhe pioducls of lhal lud oi fission aie idcn|ica|, lhe
posleiioi haIf vhich vas heId in check ly lhe anleiioi is ieIieved of lhis conlioI and
deveIops inlo a noinaI, conpIele aninaI. I an lheiefoie nol in slep vilh ny anaIogy
vhen I iegaid lhe diffeienlialion vhich acconpanies fission in a hieiaichicaI sociely
as conpaialIe vilh lhal vhich exisls lefoie fission in a liansveiseIy segnenled
aninaI. This diveigence fion lhe anaIogy viII suieIy le voilh invesligalion, il viII
lake us inlo a noie piecise sludy of lhe asynneliicaI ieIalions vhich ollain lelveen
lhe unils in lhe lvo cases and iaise queslions aloul lhe ieaclions of lhe suloidinale
nenlei lo ils posilion in lhe asynneliy. This aspecl of lhe nallei I have nol yel
Having gol sone soil of concepluaI fiane vilhin vhich lo desciile lhe
inleiieIalions lelveen cIans, I venl on fion lhis lo considei lhe inleiieIalions
lelveen lhe vaiious age giades in leins of lhis sane fiane. Heie, if anyvheie,
vheie age nighl le expecled lo piovide a lasis foi seiiaI diffeienlialion, ve oughl lo
expecl lo find sone anaIogue of lhe liansveise segnenlalion vilh asynneliicaI
ieIalions lelveen lhe successive giades~and lo a ceilain exlenl lhe age-giade
syslen filled lhis picluie. Lach giade has ils ceienonies and ils seciels of inilialion
inlo lhal giade, and in lhese ceienonies and seciels il vas peifeclIy easy lo liace a
nelaneiic diffeienlialion. Ceienonies vhich aie fuIIy deveIoped al lhe lop of lhe
syslen aie sliII iecognizalIe in lheii lasic foin in lhe Iovei IeveIs~lul noie
iudinenlaiy al each IeveI as ve go dovn lhe seiies.
ßul lhe inilialoiy syslen conlains one veiy inleiesling eIenenl vhich vas
lioughl inlo shaip ieIief vhen ny poinl of viev vas defined in leins of aninaI
segnenlalion. The giades a||crna|c, sc lhal lhe vhoIe syslen consisls of lvo opposed
gioups, one gioup nade up of giades 3, 5, 7, elc. (lhe odd nunleis), and lhe olhei
nade up of 2, 4, 6, elc., and lhese lvo gioups nainlain lhe lype of ieIalionship unicn I
had aIieady desciiled as ¨synneliicaI¨~each pioviding sanclions ly quaiieIing
vilh lhe olhei vhen lheii iighls aie infiinged.
Thus even vheie ve nighl expecl lhe nosl definile hieiaichy, lhe IalnuI have
sulsliluled foi il a headIess syslen in vhich one side is synneliicaIIy opposed lo lhe
Iion lhis concIusion ny enquiiy, infIuenced ly nany olhei lypes of naleiiaI,
viII go on lo Iook al lhe nallei fion olhei poinls of viev~especiaIIy lhe
psychoIogicaI piolIens of vhelhei a piefeience foi synneliicaI ialhei lhan
asynneliicaI ieIalionships can le inpIanled in lhe individuaI, and vhal lhe
nechanisns of such chaiaclei foinalion nay le. ßul ve need nol go inlo lhal nov.
Lnough has leen said lo liing oul lhe nelhodoIogicaI lhene~lhal a vague
¨hunch¨ deiived fion sone olhei science Ieads inlo lhe piecise foinuIalions of lhal
olhei science in leins of vhich il is possilIe lo lhink noie fiuil-fuIIy aloul oui ovn
You viII have noliced lhal lhe foin in vhich I used lhe lioIogicaI findings vas
ieaIIy ialhei diffeienl fion lhal in vhich a zooIogisl vouId laIk aloul his naleiiaI.
Wheie lhe zooIogisl nighl laIk of axiaI giadienls, I laIked aloul ¨asynneliicaI
ieIalionships lelveen successive segnenls,¨ and in ny phiasing I vas piepaied lo
allach lo lhe void
lvo sinuIlaneous neanings~in iefeiiing lo lhe
aninaI naleiiaI il neanl a noiphoIogicaI seiies in a lhiee-dinensionaI conciele
oiganisn, vhiIe in iefeiiing lo lhe anlhiopoIogicaI naleiiaI lhe void ¨successive¨
neanl sone alsliacled piopeily of a hieiaichy.
I lhink il vouId le faii lo say lhal I use lhe anaIogies in sone cuiiousIy alsliacl
foin~lhal, as foi ¨axiaI giadienls¨ I sulslilule ¨asynneliicaI ieIalionships,¨ so aIso
I endov lhe void ¨successive¨ vilh sone alsliacl neaning vhich nakes il
appIicalIe lo lolh soils of cases.
This liings us lo anolhei veiy inpoilanl nolif in ny lhinking~a halil of
consliucling alsliaclions vhich iefei lo leins of conpaiison lelveen enlilies, and lo
iIIusliale lhis I can cIeaiIy ienenlei lhe fiisl occasion on vhich I vas guiIly of such
an alsliaclion. Il vas in ny ZooIogicaI Tiipos exaninalion al Canliidge, and lhe
exaninei had liied lo conpeI ne lo ansvei al Ieasl one queslion on each lianch of
lhe suljecl. Conpaialive analony I had aIvays iegaided as a vasle of line, lul I
found nyseIf face lo face vilh il in lhe exannalion and had nol lhe necessaiy
delaiIed knovIedge. I vas asked lo conpaie lhe uiinogenilaI syslen of lhe anphilia
vilh lhal of lhe nannaIia, and I did nol knov nuch aloul il.
Necessily vas lhe nolhei of invenlion. I decided lhal I oughl lo le alIe lo defend
lhe posilion lhal conpaialive analony vas a nuddIed vasle of line, and so I sel lo
voik lo allack lhe vhoIe enphasis on honoIogy in zooIogicaI lheoiy. As you
piolalIy viII knov, zooIogisls convenlionaIIy deaI in lvo soils of conpaialiIily
lelveen crgansncnc|cgq and ana|cgq. Oigans aie said lo le ¨honoIogous
vhen il
can le shovn lhal lhey have siniIai sliucluie oi leai siniIai sliucluiaI ieIalions lo
olhei oigans, e.g., lhe liunk of lhe eIephanl is honoIogous vilh lhe nose and Iip of a
nan le-cause il has lhe sane foinaI ieIalion lo olhei pails~eyes, elc., lul lhe liunk
of an eIephanl is anaIogous lo lhe hand of a nan lecause lolh have lhe sane uses.
Iifleen yeais ago conpaialive analony ievoIved endIessIy aiound lhese lvo soils of
conpaialiIily, vhich incidenlaIIy aie good exanpIes of vhal I nean ly ¨alsliaclions
vhich define lhe leins of a conpaiison lelveen enlilies.¨
My allack on lhe syslen vas lo suggesl lhal lheie nighl le olhei soils of
conpaialiIily and lhal lhese vouId con-fuse lhe issue lo such a degiee lhal neie
noiphoIogicaI anaIysis vouId nol suffice. I aigued lhal lhe liIaleiaI fins of a fish
vouId convenlionaIIy le iegaided as honoIogous vilh lhe liIaleiaI Iinls of a
nannaI, lul lhal lhe laiI of a fish, a nedian oigan, vouId convenlionaIIy le
iegaided a ¨diffeienl fion¨ oi al nosl onIy ¨anaIogous lo¨ lhe fins. ßul vhal aloul
lhe doulIe-laiIed }apanese goIdfish` In lhis aninaI lhe faclois causing an anonaIy of
lhe laiI aIso cause lhe sane anonaIy in lhe liIaleiaI fins, lheiefoie lheie vas heie
anolhei soil of conpaialiIily, an equivaIence in leins of piocesses and Iavs of
giovlh. WeII, I don´l knov vhal naik I gol foi ny ansvei. I found oul nuch Ialei
lhal, as a nallei of facl, lhe IaleiaI fins of lhe goIdfish aie scaiceIy, if al aII, affecled ly
lhe faclois vhich cause lhe anonaIy in lhe laiI, lul I doull if lhe exaninei caughl ne
in ny lIuff, and I found aIso lhal, cuiiousIy, HaekeI in 1854 had acluaIIy coined lhe
void ¨hononony¨ foi lhe veiy lype of equivaIence lhal I vas invenling. The void
is, so fai as I knov, olsoIele, and vas olsoIele vhen I viole ny ansvei.
So fai as I vas conceined, hovevei, lhe idea vas nev and I had lhoughl of il
nyseIf. I feIl lhal I had discoveied hov lo lhink. Thal vas in 1926, and lhis sane oId
cIue~iecipe, if you Iike~has ienained vilh ne evei since. I did nol ieaIize lhal I
had a iecipe, and il vas nol unliI len yeais Ialei lhal I fuIIy giasped lhe significance
of lhis anaIogyhonoIogy-hononony lusiness.
Ieihaps il viII le of inleiesl lo iecounl in sone delaiI ny vaiious liushes vilh
lhese concepls and lhe iecipe vhich lhey conlained. Soon aflei lhe exaninalion lo
vhich I have iefeiied, I venl inlo anlhiopoIogy and foi sone line slopped lhinking
~vondeiing ialhei vhal couId le nade of lhis suljecl, lul nol gelling anylhing
cIeai excepl a iepudialion of nosl of lhe convenlionaI appioaches vhich, lo ne,
seened neaningIess. I viole a IillIe skil on lhe concepl of lolenisn in 193O, fiisl
pioving lhal lhe lolenisn of lhe IalnuI is |ruc lolenisn lecause il conlains a ¨high
peicenlage¨ of chaiacleiislics of lolenisn Iisled in ¨Noles and Queiies on
AnlhiopoIogy¨ issued noie oi Iess ex calhedia ly lhe RoyaI AnlhiopoIogicaI
Inslilule, and lhen going on lo lhe queslion, vhal soil of equivaIence ve lhoughl ve
veie iefeiiing lo vhen ve equale sone lils of IalnuI cuIluie vilh lhe lolen-isn of
Noilh Aneiica, and diagging in honoIogy-hononony, elc.
In lhis discussion of ¨liue¨ lolenisn I sliII had lhe hononony-honoIogy
alsliaclions peifeclIy cIeai and vas using lhe concepls vilh a cIean (lhough
inailicuIale) undeislanding of vhal soil of alsliaclions lhey veie~lul il is
inleiesling lhal I afleivaids nade sone olhei conpaialIe alsliaclions foi lhe
anaIysis of IalnuI naleiiaI and nuddIed lhe issues lhiough foigelling lhis veiy
I vas especiaIIy inleiesled in sludying vhal I caIIed lhe ¨feeI¨ of cuIluie, and I
vas loied vilh lhe convenlionaI sludy of lhe noie foinaI delaiIs. I venl oul lo Nev
Cuinea vilh lhal nuch vagueIy cIeai~and in one of ny fiisl Ielleis hone I
conpIained of lhe hopeIessness of pulling any soil of saIl on lhe laiI of such an
inpondeialIe concepl as lhe ¨feeI¨ of cuIluie. I had leen valching a casuaI gioup of
nalives cheving leleI, spilling, Iaughing, joking, elc., and I feIl aculeIy lhe lanlaIizing
inpossiliIily of vhal.I vanled lo do.
A yeai Ialei, sliII in Nev Cuinea, I iead Araoia Dcscr|a and iecognized vilh a
lhiiII lhal Doughly had in a sense done vhal I vanled lo do. He had pul saIl on lhe
laiI of lhe veiy liid lhal I vas hunling. ßul I ieaIized aIso~sadIylhal he had used lhe
viong kind of saIl. I vas nol inleiesled in achieving a Iileiaiy oi ailislic
iepiesenlalion of lhe ¨feeI
of lhe cuIluie, I vas inleiesled in a scienlific anaIysis of il.
On lhe vhoIe I lhink lhal Doughly vas an encouiagenenl lo ne, and lhe
giealesl encouiagenenl I gol fion hin vas due lo a faIIacious lil of lhinking vhich
he pionpled. Il appeaied lo ne lhal il vas inpossilIe lo undeisland lhe lehavioi of
his Aials apail fion lhe ¨feeI
of lheii cuIluie, and fion lhis il seened lo foIIov lhal
lhe ¨feeI
of lhe cuIluie vas in sone uaq causa|itc in shaping nalive lehavioi. This
encouiaged ne lo go on lhinking lhal I vas liying aflei sonelhing lhal vas
inpoilanl~so fai so good. ßul il aIso guided ne inlo iegaiding lhe ¨feeI¨ of lhe
cuIluie as nuch noie conciele and causaIIy aclive lhan I had any iighl lo do.
This faIse concieleness vas ieinfoiced Ialei ly an accidenl of Ianguage. RadcIiffe-
ßiovn caIIed lo ny allenlion lhe oId void ´c|ncs¨ and loId ne lhal lhal vas vhal I
vas liying lo sludy. Woids aie dangeious lhings, and il so hap-pens lhal ¨elhos¨ is
in sone vays a veiy lad void. If I had leen conpeIIed lo nake up ny ovn void foi
vhal I vanled lo say, I nighl have done lellei and saved nyseIf a gieal deaI of
confusion. I vouId, I hope, have pul foivaid sonelhing Iike ¨elhonony,¨ vhich
vouId have ieninded ne lhal I vas iefeiiing lo an alsliaclion of lhe sane oidei as
honoIogy oi hononony. The lioulIe vilh lhe void ¨elhos¨ is jusl lhis~lhal il is |cc
sncr|. Il is a unil void, a singIe Cieek sulslanlive, and as such heIped ne lo go on
lhinking lhal il iefeiied lo a unil sonelhing vhich I couId sliII iegaid as causa|itc. |
handIed lhe void as if il veie a calegoiy of lehavioi oi a soil of facloi vhich shaped
We aie aII faniIiai vilh lhis Ioose use of voids in such phiases as: ¨lhe causes of
vai aie econonic,
¨econonic lehavioi,
¨he vas infIuenced ly his enolions,¨ ¨his
synplons aie lhe iesuIl of confIicl lelveen his supeiego and his id.¨ (I an nol suie
hov nany of lhese faIIacies aie conlained in lhal Iasl exanpIe, al a iough counl, lheie
seen lo le five vilh a possilIe sixlh, lul lheie nay le noie. IsychoanaIysis has
eiied sadIy in using voids lhal aie loo shoil and lheie-foie appeai noie conciele
lhan lhey aie.) I vas guiIly of jusl lhis soil of shoddy lhinking in ny handIing of lhe
void ¨elhos,¨ and you nusl excuse ne if I have galheied noiaI suppoil foi lhis
confession ly a digiession lo shov lhal al any iale olheis have connilled lhe sane
Lel us exanine lhe slages ly vhich I gol inlo lhe faIIacy and lhe vay in vhich I
gol oul of il. I lhink lhe fiisl slep lovaid an escape fion sin vas lo nuIlipIy offenses
~and lheie is a good deaI lo le said foi lhis nelhod. Vice is aflei aII a duII lusiness
vhelhei il le physicaI oi inleIIecluaI, and an effeclive cuie can sonelines le
achieved ly induIgence lo lhe poinl al vhich lhe palienl ieaIizes lhis. Il is a vay of
pioving lhal a given Iine of lhoughl oi conducl viII nol do, ly expeiinenlaIIy
exliapoIaling il lo infinily, vhen ils alsuidilies lecone evidenl.
I nuIlipIied ny offenses ly ciealing seveiaI noie concepls of aloul lhe sane
degiee of alsliaclion as
~I had ¨eidos,¨
cuIluiaI sliucluie,¨ ¨socioIogy¨~and
aII lhese I handIed as lhough lhey veie conciele enlilies. I picluied lhe ieIalions
lelveen elhos and cuIluiaI sliucluie as leing Iike lhe ieIalion lelveen a iivei and ils
lanks~¨The iivei noIds lhe lanks and lhe lanks guide lhe iivei. SiniIaiIy, lhe
elhos noIds lhe cuIluiaI sliucluie and is guided ly il.¨ I vas sliII Iooking foi physicaI
anaIogies, lul nov lhe posilion vas nol quile lhe sane as vhen I vas Iooking foi
anaIogies in oidei lo gel concepls vhich I couId use in anaIyzing olseived naleiiaI. I
vas Iooking nov foi physicaI anaIogies unicn I couId use in anaIyzing ny ovn
concepls, and lhal is a veiy nuch Iess salisfacloiy lusiness. I do nol nean, of couise,
lhal lhe olhei sciences can give one no heIp in lhe allenpl lo sliaighlen oul one´s
lhoughls, lhey suieIy can. Ioi exanpIe, lhe lheoiy of Dinensions in physics nay le
of enoinous heIp in lhis fieId. Whal I nean is lhal vhen one is seeking an anaIogy
foi lhe eIucidalion of naleiiaI of one soil, il is good lo Iook al lhe vay anaIogous
naleiiaI has leen anaIyzed. ßul vhen one is seeking an eIucidalion of one´s ovn
concepls, lhen one nusl Iook foi anaIogies on an equaIIy alsliacl IeveI. Hovevei,
lhese siniIes aloul iiveis and lheii lanks seened pielly lo ne and I liealed lhen
quile seiiousIy.
Heie I nusl digiess foi a nonenl lo desciile a liick of lhoughl and speech,
vhich I have found usefuI. When I an faced vilh a vague concepl and feeI lhal lhe
line is nol yel iipe lo liing lhal concepl inlo sliicl expiession, I coin sone Ioose
expiession foi iefeiiing lo lhis concepl and do nol vanl lo piejudge lhe issue ly
giving lhe concepl loo neaningfuI a lein. I lheiefoie dul il hasliIy vilh sone liief
conciele coIIoquiaI lein~geneiaIIy AngIo-Saxon ialhei lhan Lalin~I viII speak of
lhe ¨sluff¨ of cuIluie, oi ¨lils¨ of cuIluie, oi lhe ¨feeI¨ of cuIluie. These liief AngIo-
Saxon leins have foi ne a definile feeIing lone vhich ieninds ne aII lhe line lhal
lhe concepls lehind lhen aie vague and avail anaIysis. Il is a liick Iike lying a knol
in a handkeichief~lul has lhe advanlage lhal il sliII peinils ne, if I nay so expiess
il, lo go on using lhe handkeichief foi olhei puiposes. I can go on using lhe vague
concepl in lhe vaIualIe piocess of Ioose lhinking~sliII conlinuaIIy ieninded lhal ny
lhoughls aie Ioose.
ßul lhese siniIes aloul elhos leing lhe iivei and lhe foinuIalions of cuIluie oi
¨cuIluiaI sliucluie¨ leing ils lanks veie nol AngIo-Saxon ienindeis lhal I vas
Ieaving sone-lhing foi anaIysis al a Ialei dale. They veie, as I lhoughl, lhe ieaI lhing
~a ieaI conliilulion lo oui undeislanding of hov cuIluie voiks. I lhoughl lhal lheie
vas one soil of phenonenon vhich I couId caII ¨elhos¨ and anolhei soil vhich I
couId caII ¨cuIluiaI sliucluie¨ and lhal lhese lvo voiked logelhei~had nuluaI
effecl one on lhe olhei. AII lhal ienained foi ne lo do vas lo disciininale cIeaiIy
lelveen lhese vaiious soils of phenonena so lhal olhei peopIe couId peifoin lhe
sane soil of anaIysis lhal I vas doing.
This effoil of disciininalion I poslponed, feeIing peihaps lhal lhe piolIen vas
nol quile iipe~and I venl on vilh lhe cuIluiaI anaIysis. And did vhal I sliII lhink
vas good voik. I vanl lo enphasize lhis Iasl poinl~lhal, as a nallei of facl,
consideialIe conliilulions lo science can le nade vilh veiy lIunl and ciooked
concepls. We nay joke aloul lhe vay nispIaced concieleness alounds in eveiy void
of psycho-anaIylic viiling~lul in spile of aII lhe nuddIed lhinking lhal Iieud
slailed, psychoanaIysis ienains as |nc oulslanding conliilulion, aInosl lhe onIy
conliilulion lo oui undeislanding of lhe faniIy~a nonunenl lo lhe inpoilance and
vaIue of Ioose lhinking.
IinaIIy I had conpIeled ny look on IalnuI cuIluie, vilh lhe exceplion of lhe Iasl
chaplei, lhe viiling of vhich vas lo le lhe finaI lesling and ieviev of ny vaiious
lheoielicaI concepls and conliilulions. I pIanned lhal lhis chaplei shouId conlain
sone allenpl lo disciininale lelveen lhe soil of lhing lhal I caIIed ¨elhos¨ and lhe
soil of lhing lhal I caIIed ¨eidos,¨ elc.
I vas in a slale appioxinaling lhal panic in lhe exaninalion ioon vhich
foineiIy pioduced lhe concepl of ncncncnq. | vas due lo saiI foi ny nexl fieId liip~
ny look had lo le finished lefoie I saiIed~lhe look couId nol sland vilhoul sone
cIeai slalenenl aloul lhe inleiieIalions of lhese concepls of nine.
Heie I viII quole vhal finaIIy appeaied in lhe look in lhis Iasl chaplei:
¨I legan lo doull lhe vaIidily of ny ovn calegoiies, and peifoined an
expeiinenl. I chose lhiee lils of cuIluie: (a) a vau (nolhei´s liolhei) giving food lo a
|aua (sislei´s son), a piagnalic lil, (l) a nan scoIding his vife, an elhoIogicaI lil, and
(c) a nan naiiying his falhei´s sislei´s daughlei, a sliucluiaI lil. Then I diev a Iallice
of nine squaies on a Iaige piece of papei, lhiee iovs of squaies vilh lhiee squaies in
each iov. I IaleIed lhe hoiizonlaI iovs vilh ny lils of cuIluie and lhe veilicaI
coIunns vilh ny calegoiies. Then I foiced nyseIf lo see each lil as conceivalIy
leIonging lo each calegoiy. I found lhal il couId le done.
¨I found lhal I couId lhink of each lil of cuIluie sliucluiaIIy, I couId see il as in
accoidance vilh a consislenl sel of iuIes oi foinuIalions. LquaIIy, I couId see each lil
as `piagnalic,´ eilhei as salisfying lhe needs of individuaIs oi as conliiluling lo lhe
inlegialion of sociely. Again, I couId see each lil elhoIogicaIIy, as an expiession of
¨This expeiinenl nay seen pueiiIe, lul lo ne il vas veiy inpoilanl, and I have
iecounled il al Ienglh lecause lheie nay le sone anong ny ieadeis vho lend lo
iegaid such concepls as
sliucluie´ as conciele pails vhich `inleiacl´ in cuIluie, and
vho find, as I did, a difficuIly in lhinking of lhese concepls as IaleIs neieIy foi poinls
of viev adopled eilhei ly lhe scienlisl oi ly lhe nalives. Il is insliuclive lo peifoin
lhe sane expeiinenl vilh such concepls as econonics, elc.¨
In facl, ¨elhos¨ and lhe iesl veie finaIIy ieduced lo alsliaclions of lhe sane
geneiaI oidei as ¨honoIogy,¨ ¨hononony,
elc., lhey veie IaleIs foi poinls of viev
voIunlaiiIy adopled ly lhe invesligaloi. I vas, as you nay inagine, enoinousIy
exciled al gelling lhis langIe sliaighlened oul~lul I vas aIso voiiied lecause I
lhoughl I shouId le conpeIIed lo ieviile lhe vhoIe look. ßul I found lhal lhis vas
nol so. I had lo lune up lhe definilions, check lhiough lo see lhal each line lhe
lechnicaI lein appeaied I couId sulslilule lhe nev definilion foi il, naik lhe noie
egiegious pieces of nonsense vilh foolnoles vaining lhe ieadei lhal lhese passages
nighl le laken as a vaining of hov nol lo say lhings~and so on. ßul lhe lody of lhe
look vas sound enough~aII lhal il needed vas nev caslois on ils Iegs.
So fai I have spoken of ny ovn peisonaI expeiiences vilh sliicl and Ioose
lhinking, lul I lhink acluaIIy lhe sloiy vhich I have naiialed is lypicaI of lhe vhoIe
fIuclualing lusiness of lhe advance of science. In ny case, vhich is a snaII one and
conpaialiveIy insignificanl in lhe vhoIe advance of science, you can see lolh
eIenenls of lhe aIleinaling piocess~fiisl lhe Ioose lhinking and lhe luiIding up of a
sliucluie on unsound foundalions and lhen lhe coiieclion lo sliiclei lhinking and lhe
sulslilulion of a nev undeipinning lenealh lhe aIieady consliucled nass. And lhal, I
leIieve, is a pielly faii picluie of hov science advances, vilh lhis exceplion, lhal
usuaIIy lhe edifice is Iaigei and lhe individuaIs vho finaIIy conliilule lhe nev
undeipinning aie diffeienl peopIe fion lhose vho did lhe iniliaI Ioose lhinking.
Sonelines, as in physics, ve find cenluiies lelveen lhe fiisl luiIding of lhe edifice
and lhe Ialei coiieclion of lhe foundalions~lul lhe piocess is lasicaIIy lhe sane.
And if you ask ne foi a iecipe foi speeding up lhis piocess, I vouId say fiisl lhal
ve oughl lo accepl and enjoy lhis duaI naluie of scienlific lhoughl and le viIIing lo
vaIue lhe vay in vhich lhe lvo piocesses voik logelhei lo give us advances in
undeislanding of lhe voiId. We oughl nol lo fiovn loo nuch on eilhei piocess, oi al
Ieasl lo fiovn equaIIy on eilhei piocess vhen il is unsuppIenenled ly lhe olhei.
Theie is, I lhink, a deIay in science vhen ve slail lo speciaIize foi loo Iong eilhei in
sliicl oi in Ioose lhinking. I suspecl, foi exanpIe, lhal lhe Iieudian edifice has leen
aI-Ioved lo giov loo lig lefoie lhe coiieclive of sliicl lhoughl is appIied lo il~and
nov vhen invesligalois slail iephiasing lhe Iieudian dognas in nev sliiclei leins
lheie nay le a Iol of iII feeIing, vhich is vaslefuI. (Al lhis poinl I nighl peihaps
lhiov oul a void of confoil lo lhe oilhodox in psychoanaIysis. When lhe
foinuIalois legin iooling aloul anong lhe nosl lasic of anaIylic pienises and
queslioning lhe conciele ieaIily of such concepls as lhe ¨ego¨ oi ¨vishes¨ oi lhe ¨id¨
oi lhe ¨Iilido¨~as indeed lhey aie aIieady le-ginning lo iool~lheie is no need lo
gel aIained and lo slail having leiioi dieans of chaos and sloins al sea. Il is ceilain
lhal nosl of lhe oId faliic of anaIysis viII sliII le Iefl slanding aflei lhe nev
undeipinning has leen inseiled. And vhen lhe concepls, posluIales, and pienises
have leen sliaighlened oul, anaIysls viII le alIe lo enlaik upon a nev and sliII
Loc. cil., p. 261.
noie fiuilfuI oigy of Ioose lhinking, unliI lhey ieach a slage al vhich again lhe
iesuIls of lheii lhinking nusl le sliiclIy concepluaIized. I lhink lhal lhey oughl lo
enjoy lhis aIleinaling quaIily in lhe piogiess of science and nol deIay lhe piogiess of
science ly a iefusaI lo accepl lhis duaIisn.)
Iuilhei lhan lhis, lesides sinpIy nol hindeiing piogiess, I lhink ve nighl do
sonelhing lo haslen nalleis, and I have suggesled lvo vays in vhich lhis nighl le
done. One is lo liain scienlisls lo Iook anong lhe oIdei sciences foi viId anaIogies lo
lheii ovn naleiiaI, so lhal lheii viId hunches aloul lheii ovn piolIens viII Iand
lhen anong lhe sliicl foinuIalions. The second nelhod is lo liain lhen lo lie knols
in lheii handkeichiefs vhenevei lhey Ieave sone nal-lei unfoinuIaled~lo le
viIIing lo Ieave lhe nallei so foi yeais, lul sliII Ieave a vaining sign in lhe veiy
leininoIogy lhey use, such lhal lhese leins viII foievei sland, nol as fences hiding
lhe unknovn fion fuluie invesligalois, lul ialhei as signposls vhich iead:
3.3 Mora|e and Natlona| Character
We shaII pioceed as foIIovs: (1) We shaII exanine sone of lhe ciilicisns vhich
can le uiged againsl oui enleilaining any concepl of ¨nalionaI chaiaclei.¨ (2) This
exaninalion viII enalIe us lo slale ceilain concepluaI Iinils vilhin vhich lhe phiase
¨nalionaI chaiaclei¨ is IikeIy lo le vaIid. (3) We shaII lhen go on, vilhin lhese Iinils,
lo oulIine vhal oideis of diffeience ve nay expecl lo find anong Weslein nalions,
liying, ly vay of iIIuslialion, lo guess noie concieleIy al sone of lhese diffeiences.
(4) LaslIy, ve shaII considei hov lhe piolIens of noiaIe and inleinalionaI ieIalions
aie affecled ly diffeiences of lhis oidei.
ßaiiieis lo Any Concepl of ¨NalionaI Chaiaclei¨
Scienlific enquiiy has leen diveiled fion queslions of lhis lype ly a nunlei of
liains of lhoughl vhich Iead scienlisls lo iegaid aII such queslions as unpiofilalIe oi
unsound. ße-foie ve hazaid any consliuclive opinion as lo lhe oidei of diffeiences lo
le expecled anong Luiopean popuIalions, lheiefoie, lhese diveiling liains of
lhoughl nusl le exanined.
Il is, in lhe fiisl pIace, aigued lhal nol lhe peopIe lul ialhei lhe ciicunslances
undei vhich lhey Iive diffei fion one connunily lo anolhei, lhal ve have lo deaI
vilh diffeiences eilhei in hisloiicaI lackgiound oi in cuiienl condilions, and lhal
lhese faclois aie sufficienl lo accounl foi aII diffeiences in lehavioi vilhoul oui
invoking any diffeiences of chaiaclei in lhe individuaIs conceined. LssenliaIIy lhis
aigunenl is an appeaI lo Occan´s Razoi~an asseilion lhal ve oughl nol lo nuIlipIy
enlilies leyond necessily. The aigunenl is lhal, vheie olseivalIe diffeiences in
ciicunslance exisl, ve oughl lo invoke lhose ialhei lhan neie infeiied diffeiences in
chaiaclei, vhich ve cannol olseive.
The aigunenl nay le nel in pail ly quoling expeiinenlaI dala, such as Levin´s
expeiinenls (unpulIished naleiiaI), vhich shoved lhal lheie aie gieal diffeiences in
lhe vay in vhich Ceinans and Aneiicans iespond lo faiIuie in an expeiinenlaI
selling. The Aneiicans liealed faiIuie as a chaIIenge lo inciease effoil, lhe Ceinans
iesponded lo lhe sane faiIuie vilh discouiagenenl. ßul lhose vho aigue foi lhe
effecliveness of condilions ialhei lhan chaiaclei can sliII iepIy lhal lhe expeiinenlaI
condilions aie nol, in facl, lhe sane foi lolh gioups, lhal lhe slinuIus vaIue of any
ciicunslance depends upon hov lhal ciicunslance slands oul againsl lhe
lackgiound of olhei ciicunslances in lhe Iife of lhe suljecl, and lhal lhis conliasl
cannol le lhe sane foi lolh gioups.
Il is possilIe, in facl, lo aigue lhal since lhe sane ciicunslances nctcr occui foi
individuaIs of diffeienl cuIluiaI lack-giound, il is lheiefoie unnecessaiy lo invoke
such alsliaclions as nalionaI chaiaclei. This aigunenl lieaks dovn, I leIieve, vhen
il is poinled oul lhal, in sliessing ciicunslance ialhei lhan chaiaclei, ve vouId le
ignoiing lhe knovn facls aloul |carning. Ieihaps lhe lesl docunenled geneiaIizalion
in lhe fieId of psychoIogy is lhal, al any given nonenl, lhe lehavioiaI chaiacleiislics
This essay appeaied in CiviIian MoiaIe, ediled ly Coodvin Walson, copyiighl 1942 ly lhe
Sociely foi lhe IsychoIogicaI Sludy of SociaI Issues. Il is heie iepiinled ly peinission of lhe
pulIishei. Sone inlioducloiy naleiiaI has leen ediled oul.
of any nannaI, and especiaIIy of nan, depend upon lhe pievious expeiience and
lehavioi of lhal individuaI. Thus in piesuning lhal chaiaclei, as veII as
ciicunslance, nusl le laken inlo accounl, ve aie nol nuIlipIying enlilies leyond
necessily, ve |ncu of lhe significance of Ieained chaiaclei fion olhei lypes of dala,
and il is lhis knovIedge vhich conpeIs us lo considei lhe addilionaI ¨enlily.
A second laiiiei lo any acceplance of lhe nolion of
nalionaI chaiaclei
aflei lhe fiisl has leen negolialed. Those vho gianl lhal chaiaclei nusl le consideied
can sliII doull vhelhei any unifoinily oi ieguIaiily is IikeIy lo ollain vilhin such. a
sanpIe of hunan leings as conslilules a nalion. Lel us gianl al once lhal unifcrni|q
olviousIy does nol occui, and Iel us pioceed lo considei vhal soils of rcgu|ari|q naq
le expecled.
The ciilicisn vhich ve aie liying lo neel is IikeIy lo lake five foins. (1) The
ciilic nay poinl lo lhe occuiience of sulcuIluiaI diffeienlialion, lo diffeiences
lelveen lhe sexes, oi lelveen cIasses, oi lelveen occupalionaI gioups vilhin lhe
connunily. (2) He nay poinl lo lhe exliene heleiogeneily and confusion of cuIluiaI
noins vhich can le olseived in ¨neIling-pol¨ connunilies. (3) He nay poinl lo lhe
accidenlaI devianl, lhe individuaI vho has undeigone sone ¨accidenlaI¨ liaunalic
expeiience, nol usuaI anong lhose in his sociaI enviionnenl. (4) He nay poinl lo lhe
phenonena of cuIluiaI change, and especiaIIy lo lhe soil of diffeienlialion vhich
iesuIls vhen one pail of lhe connunily Iags lehind sone olhei in iale of change. (5)
LaslIy, he nay poinl lo lhe aililiaiy naluie of nalionaI loundaiies.
These oljeclions aie cIoseIy inleiieIaled, and lhe iepIies lo lhen aII deiive
uIlinaleIy fion lvo posluIales: fiisl, lhal lhe individuaI, vhelhei fion a
physioIogicaI oi a psycho-IogicaI poinl of viev, is a singIe crganizcd enlily, such lhal
aII ils ¨pails¨ oi ¨aspecls¨ aie nuluaIIy nodifialIe and nuluaIIy inleiacling, and
second, lhal a connunily is Iike-vise crganizcd in lhis sense.
If ve Iook al sociaI diffeienlialion in a slalIe connunily~say, al sex
diffeienlialion in a Nev Cuinea liile
~ve find lhal il is nol enough lo say lhal lhe
halil syslen oi lhe chaiaclei sliucluie of one sex is diffcrcn| fion lhal of anolhei. The
significanl poinl is lhal lhe halil syslen of each sex cogs inlo lhe halil syslen of lhe
olhei, lhal lhe lehavioi of each pionoles lhe halils of lhe olhei.
We find, foi
exanpIe, lelveen lhe sexes, such conpIenenlaiy palleins as speclaloiship-
exhililionisn, doninance-sulnission, and succoiing-dependence, oi nixluies of
lhese. Nevei do ve find nuluaI iiieIevance lelveen such gioups.
AIlhough il is unfoilunaleIy liue lhal ve knov veiy IillIe aloul lhe leins of
halil diffeienlialion lelveen cIasses, sexes, occupalionaI gioups, elc., in Weslein
nalions, lheie is, I lhink, no dangei in appIying lhis geneiaI concIusion lo aII cases of
slalIe diffeienlialion lelveen gioups vhich aie Iiving in nuluaI conlacl. Il is, lo ne,
inconceivalIe lhal lvo diffeiing gioups couId exisl side ly side in a connunily vilh-
Cf. M. Mead (Scx and Tcnpcrancn| in Tnrcc Prini|itc Sccic|ics, Nev Yoik, Moiiov, 1935),
especiaIIy Iail III, foi an anaIysis of sex diffeienlialion anong lhe ChanluIi, aIso C. ßaleson
(Natcn, Canliidge, Canliidge Univeisily Iiess, 1936) foi an anaIysis of sex diffeienlialion anong
aduIls in IalnuI, Nev Cuinea.
We aie consideiing heie onIy lhose cases in vhich elhoIogicaI diffeienlialion foIIovs lhe sex
dicholony. Il is aIso piolalIe lhal, vheie lhe elhos of lhe lvo sexes is nc| shaipIy diffeienlialed, il
vouId sliII le coiiecl lo say lhal lhe elhos of each pionoles lhal of lhe olhei, e.g., lhiough such
nechanisns as conpelilion and nuluaI inilalion. Cf. M. Mead (cp. ci|.).
oul sone soil of nuluaI ieIevance lelveen lhe speciaI chaiacleiislics of one gioup
and lhose of lhe olhei. Such an occuiience vouId le conliaiy lo lhe posluIale lhal a
connunily is an oiganized unil. We shaII, lheiefoie, piesune lhal lhis geneiaIizalion
appIies lo aII slalIe sociaI diffeienlialion.
Nov, aII lhal ve knov of lhe nechanics of chaiaclei foinalion~especiaIIy lhe
piocesses of piojeclion, ieaclion foinalion, conpensalion, and lhe Iike~foices us lo
iegaid lhese lipoIai palleins as unilaiy vilhin lhe individuaI. If ve knov lhal an
individuaI is liained in oveil expiession of one-haIf of one of lhese palleins, e.g., in
doninance lehavioi, ve can piedicl vilh ceilainly (lhough nol in piecise Ianguage)
lhal lhe seeds of lhe olhei haIf~sulnission~aie sinuIlaneousIy sovn. in his
peisonaIily. We have lo lhink of lhe individuaI, in facl, as liained in doninance-
sulnission, nol in eilhei doninance cr sulnission. Iion lhis il foIIovs lhal vheie
ve aie deaIing vilh slalIe diffeienlialion vilhin a connunily, ve aie juslified in
asciiling connon chaiaclei lo lhe nenleis of lhal connunily, piovided ve lake
lhe piecaulion of desciiling lhal connon chaiaclei in leins of lhe nolifs of
ieIalionship lelveen lhe diffeienlialed seclions of lhe connunily.
The sane soil of consideialions viII guide us in deaIing vilh oui second
ciilicisn~lhe exlienes of heleiogeneily, such as occui in nodein ¨neIling-pol¨
connunilies. Suppose ve allenpled lo anaIyze oul aII lhe nolifs of ieIalionship
lelveen individuaIs and gioups in such a connunily as Nev Yoik Cily, if ve did
nol end in lhe nadhouse Iong lefoie ve had conpIeled oui sludy, ve shouId aiiive
al a picluie of connon chaiaclei lhal vouId le aInosl infinileIy conpIex~ceilainIy
lhal vouId conlain noie fine diffeienlialions lhan lhe hunan psyche is capalIe of
iesoIving vilhin ilseIf. Al lhis poinl, lhen, lolh ve and lhe individuaIs vhon ve aie
sludying aie foiced lo lake a shoil cul: lo lieal heleiogeneily as a posilive
chaiacleiislic of lhe connon enviionnenl, suI gcncris. When, vilh such an
hypolhesis, ve legin lo Iook foi connon nolifs of lehavioi, ve nole lhe veiy cIeai
lendencies lovaid gIoiying in heleiogeneily foi ils ovn sake (as in lhe Rolinson
Lalouche ¨ßaIIad foi Aneiicans¨) and lovaid iegaiding lhe voiId as nade up of an
infinily of disconnecled quiz-lils (Iike RipIey
s ¨ßeIieve Il oi Nol
The lhiid oljeclion, lhe case of lhe individuaI devianl, faIIs in lhe sane fiane of
iefeience as lhal of lhe diffeienlialion of slalIe gioups. The loy on vhon an LngIish
pulIic-schooI educalion does nol lake, even lhough lhe oiiginaI iools of his deviance
veie Iaid in sone ¨accidenlaI¨ liaunalic incidenl, is ieacling |c lhe pulIic-schooI
syslen. The lehavioiaI halils vhich he acquiies nay nol foIIov lhe noins vhich lhe
schooI inlends lo inpIanl, lul lhey aie acquiied in ieaclion lo lhose veiy noins. He
nay (and oflen does) acquiie palleins lhe exacl opposile of lhe noinaI, lul he cannol
conceivalIy acquiie iiieIevanl palleins. He nay lecone a ¨lad¨ pulIic-schooI
LngIishnan, he nay lecone insane, lul sliII his devianl chaiacleiislics viII le
syslenalicaIIy ieIaled lo lhe noins vhich he is iesisling. We nay desciile his
chaiaclei, indeed, ly saying lhal il is as syslenalicaIIy ieIaled lo lhe slandaid pulIic-
schooI chaiaclei as lhe chaiaclei of IalnuI nalives of one sex is syslenalicaIIy ieIaled
lo lhe chaiaclei of lhe olhei sex. His chaiaclei is oiienled lo lhe nolifs and palleins of
ieIalionship in lhe sociely in vhich he Iives.
The sane fiane of iefeience appIies lo lhe fouilh consideialion, lhal of changing
connunilies and lhe soil of diffeienlialion vhich occuis vhen one seclion of a
connunily Iags lehind anolhei in change. Since lhe diieclion in vhich a change
occuis viII necessaiiIy le condilioned ly lhe, s|a|us quc an|c, lhe nev palleins, leing
ieaclions lo lhe oId, viII le syslenalicaIIy ieIaled lo lhe oId. As Iong as ve confine
ouiseIves lo lhe leins and lhenes of lhis syslenalic ieIalionship, lheiefoie, ve aie
enlilIed lo expecl ieguIaiily of chaiaclei in lhe individuaIs. Iuilheinoie, lhe
cxpcc|a|icn and cxpcricncc cf cnangc nay, in sone cases, le so inpoilanl as lo lecone a
connon chaiaclei-deleinining facloi
sui gcncris, in lhe sane soil of vay lhal
¨heleiogeneily¨ nay have posilive effecls.
LaslIy, ve nay considei cases of shifling nalionaI loundaiies, oui fiflh ciilicisn.
Heie, of couise, ve cannol expecl lhal a dipIonal´s signaluie on a liealy viII
innedialeIy nodify lhe chaiacleis of lhe individuaIs vhose nalionaI aIIegiance is
lheiely changed. Il nay even happen~foi exanpIe, in cases vheie a pieIileiale
nalive popuIalion is lioughl foi lhe fiisl line in conlacl vilh Luiopeans~lhal, foi
sone line aflei lhe shifl, lhe lvo pailies lo such a silualion viII lehave in an
expIoialoiy oi aInosl iandon nannei, each ielaining ils ovn noins and nol yel
deveIoping any speciaI adjuslnenls lo lhe silualion of conlacl. Duiing lhis peiiod, ve
shouId sliII nol expecl any geneiaIizalions lo appIy lo lolh gioups. Veiy soon,
hovevei, ve knov lhal each side does deveIop speciaI palleins of lehavioi lo use in
ils conlacls vilh lhe olhei.
Al lhis poinl, il lecones neaningfuI lo ask vhal
syslenalic leins of ieIalionship viII desciile lhe connon chaiaclei of lhe lvo
gioups, and fion lhis poinl on, lhe degiee of connon chaiaclei sliucluie viII
inciease unliI lhe lvo gioups lecone ieIaled lo each olhei jusl as lvo cIasses oi lvo
sexes in a slalIe, diffeienlialed sociely.
In sun, lo lhose vho aigue lhal hunan connunilies shov loo gieal inleinaI
diffeienlialion oi conlain loo gieal a iandon eIenenl foi any nolion of connon
chaiaclei lo appIy, oui iepIy vouId le lhal ve expecl such an appioach lo le usefuI
(a) piovided ve desciile connon chaiaclei in leins of lhe lhenes of ieIalionship
oc|uccn gioups and individuaIs vilhin lhe connunily, and (l) piovided lhal ve
aIIov sufficienl line lo eIapse foi lhe connunily lo ieach sone degiee of
equiIiliiun oi lo accepl eilhei change oi heleiogeneily as a chaiacleiislic of lheii
hunan enviionnenl.
Ioi a discussion of lhe ioIe pIayed ly ¨change¨ and ¨heleiogeneily¨ in neIling-pol
connunilies, cf. M. Mead (¨Lducalive effecls of sociaI enviionnenl as discIosed ly
sludies of piinilive socielies.¨ Iapei iead al lhe Synposiun on Lnviionnenl and Lducalion,
Univeisily of Chicago, Seplenlei 22, 1941). AIso I. AIexandei (¨Lducalive infIuence of
peisonaIily faclois in lhe enviionnenl.
Iapei iead al lhe Synposiun on Lnviionnenl and
Lducalion, Univeisily of Chicago, Seplenlei 22,1941).
In lhe Soulh Seas, lhose speciaI nodes of lehavioi vhich Luiopeans adopl lovaid
nalive peopIes, and lhose olhei nodes of lehavioi vhich lhe nalive adopls lovaid Luiopeans,
aie veiy olvious. Apail fion anaIyses of ¨pidgin¨ Ianguages, ve have, hovevei, no
psychoIogicaI dala on lhese palleins. Ioi a desciiplion of lhe anaIogous palleins in Negio-
vhile ieIalionships, cf. }. DoIIaid (Cas|c and C|ass in a Scu|ncrn Tcitn, Nev Haven, YaIe
Univeisily Iiess, 1937), especiaIIy Chaplei XII, Acconnodalion Alliludes of Negioes.
Cf. C. ßaleson, ¨CuIluie Conlacl and Schisnogenesis,¨ Man, 1935, 8: 199. (Repiinled in
lhis voIune.)
3.3.1 DIffcrcnccs WhIch Wc May Expcct Bctwccn NatInna!
The alove exaninalion of ¨sliav nen¨ in lhe case againsl ¨nalionaI chaiaclei¨
has veiy sliingenlIy Iiniled lhe scope of lhis concepl. ßul lhe concIusions fion lhis
exaninalion aie ly no neans sinpIy negalive. To Iinil lhe scope of a concepl is
aInosl synonynous vilh defining il.
We have added one veiy inpoilanl looI lo oui equipnenl ~lhe lechnique of
desciiling lhe connon chaiaclei (oi lhe ¨highesl connon facloi¨ of chaiaclei) of
individuaIs in a hunan connunily in leins of lipoIai adjeclives. Inslead of
despaiiing in face of lhe facl lhal nalions aie highIy diffeienlialed, ve shaII lake lhe
dinensions of lhal diffeienlialion as oui cIues lo lhe nalionaI chaiaclei. No Iongei
conlenl lo say,
Ceinans aie sulnissive,
oi ¨LngIishnen aie aIoof,
ve shaII use
such phiases as ¨doninanl-sulnissive
vhen ieIalionships of lhis soil can le shovn
lo occui. SiniIaiIy, ve shaII nol iefei lo ¨lhe paianoidaI eIenenl in Ceinan
chaiaclei,¨ unIess ve can shov lhal ly ¨paianoidaI¨ ve nean sone lipoIai
chaiacleiislic of Ceinan-Ceinan oi Ceinan-foieign ieIalionships. We shaII nol
desciile vaiielies of chaiaclei ly defining a given chaiaclei in leins of ils posilion on
a conlinuun lelveen exliene doninance and exliene sulnissiveness, lul ve shaII,
inslead, liy lo use foi oui desciiplions sone such conlinua as ¨degiee of inleiesl in,
oi oiienlalion lovaid, doninance-sulnission.¨
So fai, ve have nenlioned onIy a veiy shoil Iisl of lipoIai chaiacleiislics:
doninance-sulnission, succoiing-dependence, and exhililionisn-speclaloiship. One
ciilicisn viII ceilainIy le uppeinosl in lhe ieadei´s nind, lhal, in shoil, aII lhiee of
lhese chaiacleiislics aie cIeaiIy piesenl in aII Wesl-ein cuIluies. ßefoie oui nelhod
lecones usefuI, lheiefoie, ve nusl liy lo expand il lo give us sufficienl scope and
disciininaloiy povei lo diffeienliale one Weslein cuIluie fion anolhei.
As lhis concepluaI fiane deveIops, no doull, nany fuilhei expansions and
disciininalions viII le inlioduced. The piesenl papei viII deaI vilh onIy lhiee such
lypes of expansion.
3.3.2 A!tcrnatIvcs tn BIpn!arIty
When ve invoked lipoIaiily as a neans of handIing diffeienlialion vilhin
sociely vilhoul foiegoing sone nolion of connon chaiaclei sliucluie, ve
consideied onIy lhe possiliIily of sinpIe lipoIai diffeienlialion. CeilainIy lhis
pallein is veiy connon in Weslein cuIluies, lake, foi inslance, RepulIican-
Denocial, poIilicaI Righl-Lefl, sex diffeienlialion, Cod and lhe deviI, and so on.
These peopIes even liy lo inpose a linaiy pallein upon phenonena vhich aie nol
duaI in naluie~youlh veisus age, Ialoi veisus capilaI, nind veisus nallei~and, in
geneiaI, Iack lhe oiganizalionaI devices foi handIing liianguIai syslens, lhe
inceplion of any ¨lhiid¨ paily is aIvays iegaided, foi exanpIe, as a lhieal lo oui
poIilicaI oiganizalion. This cIeai lendency lovaid duaI syslens oughl nol, hovevei,
lo lIind us lo lhe occuiience of olhei palleins.
Theie is, foi exanpIe, a veiy inleiesling lendency in LngIish connunilies lovaid
lhe foinalion of leinaiy syslens, such as paienls-nuise-chiId, king-ninisleis-peopIe,
WhiIe lhe piecise nolifs of ieIalionship in lhese leinaiy
syslens ienain lo le invesligaled, il is inpoilanl lo nole lhal lhese syslens, lo vhich
I iefei as ¨leinaiy,¨ aie neilhei ¨sinpIe hieiaichies¨ noi ¨liiangIes.¨ ßy a puie
hieiaichy, I shouId nean a seiiaI syslen in vhich face-lo-face ieIalions do nol occui
lelveen nenleis vhen lhey aie sepaialed ly sone inleivening nenlei, in olhei
voids, syslens in vhich lhe onIy connunicalion lelveen A and C passes lhiough
ß. ßy a liiangIe I shouId nean a lhieefoId syslen vilh no seiiaI piopeilies. The
leinaiy syslen, paienl-nuise-chiId, on lhe olhei hand, is veiy diffeienl fion eilhei of
lhese olhei foins. Il conlains seiiaI eIenenls, lul face-lo-face conlacl does occui
lelveen lhe fiisl and lhe lhiid nenleis. LssenliaIIy, lhe funclion of lhe niddIe
nenlei is lo insliucl and discipIine lhe lhiid nenlei in lhe foins of lehavioi vhich
he shouId adopl in his conlacls vilh lhe fiisl. The nuise leaches lhe chiId hov lo
lehave lovaid ils paienls, jusl as lhe N.C.O. leaches and discipIines lhe piivale in
hov he shouId lehave lovaid officeis. In psychoanaIylic leininoIogy, lhe piocess of
inliojeclion is done indircc||q, nol ly diiecl inpacl of lhe paienlaI peisonaIily upon
lhe chiId.
The face-lo-face conlacls lelveen lhe fiisl and lhiid nenleis aie,
hovevei, veiy inpoilanl. We nay iefei, in lhis conneclion, lo lhe vilaI daiIy iiluaI in
lhe ßiilish Ainy, in vhich lhe officei of lhe day asks lhe assenlIed piivales and
N.C.O.´s vhelhei lheie aie any conpIainls.
CeilainIy, any fuII discussion of LngIish chaiaclei oughl lo aIIov foi leinaiy, as
veII as lipoIai palleins.
3.3.3 5ymmctrIca! MntIfs
So fai, ve have consideied onIy vhal ve have caIIed ¨conpIenenlaiy¨ palleins
of ieIalionship, in vhich lhe lehavioi palleins al one end of lhe ieIalionship aie
diffeienl fion, lul fil in vilh, lhe lehavioi palleins al lhe olhei end (doninance-
sulnission, elc.). Theie exisls, hovevei, a vhoIe calegoiy of hunan inleipeisonaI
lehavioi vhich does nol confoin lo lhis desciiplion. In addilion lo lhe conliasling
conpIenenlaiy palleins, ve have lo iecognize lhe exislence of a seiies of sqnnc|rica|
palleins, in vhich peopIe iespond lo vhal olheis aie doing ly lhenseIves doing
The ßaIinese sociaI syslen in lhe nounlain connunilies is aInosl enliieIy devoid of such
duaIisns. The elhoIogicaI diffeienlialion of lhe sexes is ialhei sIighl, poIilicaI faclions aie
conpIeleIy alsenl. In lhe pIains, lheie is a duaIisn vhich has iesuIled fion lhe inliusive Hindoo
casle syslen, lhose vilh casle leing disciininaled fion lhose vilhoul casle. Al lhe synloIic IeveI
(pailIy as a iesuIl of Hindoo infIuence) duaIisns aie nuch noie fiequenl, hovevei, lhan lhey aie
in lhe sociaI sliucluie (e.g., Noilheasl vs. Soulhvesl, Cods vs. denons, synloIic Lefl vs. Righl,
synloIic MaIe vs. IenaIe, elc.).
A fouilh inslance of lhis lhieefoId pallein occuis in sone gieal pulIic schooIs (as in
Chaileihouse), vheie lhe aulhoiily is divided lelveen lhe quielei, noie poIished, inleIIecluaI
Ieadeis (¨nonilois¨) and lhe ioughei, Ioudei, alhIelic Ieadeis (caplain of foollaII, head of Iong
ioon, elc.), vho have lhe duly of seeing lo il lhal lhe ¨fags¨ iun vhen lhe noniloi caIIs.
Ioi a geneiaI discussion of cuIluiaI vaiianls of lhe Oedipus silualion and lhe ieIaled
syslens of cuIluiaI sanclions, cf. M. Mead (¨SociaI change and cuIluiaI
sonelhing siniIai. In pailicuIai, ve have lo considei lhose conpelilive
pal-leins in
vhich individuaI oi gioup A is slinuIaled lo ncrc of any lype of lehavioi ly
peiceiving noie of lhal sane lype of lehavioi (oi giealei success in lhal lype of
lehavioi) in individuaI oi gioup ß.
Theie is a veiy piofound conliasl lelveen such conpelilive syslens of lehavioi
and conpIenenlaiy doninance-sulnission syslens~a highIy significanl conliasl
foi any discussion of nalionaI chaiaclei. In conpIenenlaiy sliiving, lhe slinuIus
vhich pionpls A lo giealei effoils is lhe ieIalive uca|ncss in ß, if ve vanl lo nake A
sulside oi sulnil, ve oughl lo shov hin lhal ß is sliongei lhan he is. In facl, lhe
conpIenenlaiy chaiaclei sliucluie nay le sunnaiized ly lhe phiase ¨luIIy-
covaid,¨ inpIying lhe conlinalion of lhese chaiacleiislics in lhe peisonaIily. The
synneliicaI conpelilive syslens, on lhe olhei hand, aie an aInosl piecise funclionaI
opposile of lhe conpIenenlaiy. Heie lhe slinuIus vhich evokes giealei sliiving in A
is lhe vision of giealei s|rcng|n oi giealei sliiving in ß, and, inveiseIy, if ve
denonsliale lo A lhal ß is ieaIIy veak, A viII ieIax his effoils.
Il is piolalIe lhal lhese lvo conliasling palleins aie aIike avaiIalIe as
polenliaIilies in aII hunan leings, lul cIeaiIy, any individuaI vho lehaves in lolh
vays al once viII iisk inleinaI confusion and confIicl. In lhe vaiious nalionaI gioups,
consequenlIy, diffeienl nelhods of iesoIving lhis disciepancy have deveIoped. In
LngIand and in Aneiica, vheie chiIdien and aduIls aie suljecled lo an aInosl
conlinuous laiiage of disappiovaI vhenevei lhey exhilil lhe conpIenenlaiy
palleins, lhey inevilalIy cone lo accepl lhe elhics of ¨faii pIay.
Responding lo lhe
chaIIenge of difficuIlies, lhey cannol, vilhoul guiIl, kick lhe undeidog.
Ioi ßiilish
noiaIe Dunkiik vas a slinuIus, nol a depiessanl.
In Ceinany, on lhe olhei hand, lhe sane cIiches aie appaienlIy Iacking, and lhe
connunily is chiefIy oiganized on lhe lasis of a conpIenenlaiy hieiaichy in leins
of doninance-sulnission. The doninance lehavioi is shaipIy and cIeaiIy deveIoped,
yel lhe picluie is nol peifeclIy cIeai and needs fuilhei invesligalion. Whelhei a puie
doninance-sulnission hieiaichy couId evei exisl as a slalIe syslen is doullfuI. Il
seens lhal in lhe case of Ceinany, lhe sulnission end of lhe pallein is nasked, so
lhal oveil sulnissive lehavioi is aInosl as sliongIy lalooed as il is in Aneiica oi
LngIand. In pIace of sulnission, ve find a soil of paiade-giound inpassivily.
A hinl as lo lhe piocess ly vhich lhe sulnissive ioIe is nodified and iendeied
loIeialIe cones lo us oul of lhe inlei-vievs in a iecenlIy legun sludy of Ceinan Iife
One Ceinan suljecl desciiled hov diffeienl vas lhe liealnenl vhich he,
as a loy, ieceived in his Soulh Ceinan hone, fion lhal vhich his sislei ieceived. He
said lhal nuch noie vas denanded of hin, lhal his sislei vas aIIoved lo evade
The lein ¨coopeialion,¨ vhich is sonelines used as lhe opposile of ¨conpelilion,¨ coveis a
veiy vide vaiiely of palleins, sone of lhen synneliicaI and olheis conpIenenlaiy, sone lipoIai
and olheis in vhich lhe coopeialing individuaIs aie chiefIy oiienled lo sone peisonaI oi
inpeisonaI goaI. We nay expecl lhal sone caiefuI anaIysis of lhese palleins viII give us
vocaluIaiy foi desciiling olhei soils of nalionaI chaiacleiislics. Such an anaIysis cannol le
allenpled in lhis papei.
io Il is, hovevei, possilIe lhal in ceilain seclions of lhese nalions, conpIenenlaiy palleins
occui vilh sone fiequency~pailicuIaiIy anong gioups vho have suffeied fion pioIonged
insecuiily and unceilainly, e.g., iaciaI ninoiilies, depiessed aieas, lhe slock exchange, poIilicaI
ciicIes, elc.
C. ßaleson, unpulIished ieseaich foi lhe CounciI on Hunan ReIalions.
discipIine, lhal vheieas he vas aIvays expecled lo cIick his heeIs and oley vilh
piecision, his sislei vas aIIoved nuch noie fieedon. The inleivievei al once legan
lo Iook foi inleisex silIing jeaIousy, lul lhe suljecl decIaied lhal il vas a giealei
honoi foi lhe loy lo oley. ¨One doesn´l expecl loo nuch of giiIs,¨ he said.
Whal one
feIl lhey (loys) shouId acconpIish and do vas veiy seiious, lecause lhey had lo le
piepaied foi Iife.¨ An inleiesling inveision of nco|cssc co|igc.
3.3.4 CnmbInatInns nf MntIfs
Anong lhe conpIenenlaiy nolifs, ve have nenlioned onIy lhiee~doninance-
sulnission, exhililionisn-speclaloiship, and succoiance-dependence~lul lhese
lhiee viII suffice lo iIIusliale lhe soil of veiifialIe hypolheses al vhich ve can aiiive
ly desciiling nalionaI chaiaclei in lhis hyphenaled leininoIogy.
Since, cIeaiIy, aII lhiee of lhese nolifs occui in aII Weslein cuIluies, lhe
possiliIilies foi inleinalionaI diffeience aie Iiniled lo lhe piopoilions and vays in
vhich lhe nolifs aie conlined. The piopoilions aie IikeIy lo le veiy difficuIl lo
delecl, excepl vheie lhe diffeiences aie veiy Iaige. We nay le suie ouiseIves lhal
Ceinans aie noie oiienled lovaid doninance-sulnission lhan aie Aneiicans, lul
lo denonsliale lhis ceilainly is IikeIy lo le difficuIl. To eslinale diffeiences in lhe
degiee of deveIopnenl of exhililionisnspeclaloiship oi succoiance-dependence in
lhe vaiious nalions viII, indeed, piolalIy le quile inpossilIe.
If, hovevei, ve considei lhe possilIe vays in vhich lhese nolifs nay le
conlined logelhei, ve find shaip quaIilalive diffeiences vhich aie susceplilIe of
easy veiificalion. Lel us assune lhal aII lhiee of lhese nolifs aie deveIoped in aII
ieIalionships in aII Weslein cuIluies, and fion lhis assunplion go on lo considei
unicn inditidua| p|aqs unicn rc|c.
Il is IogicaIIy possilIe lhal in one cuIluiaI enviionnenl A viII le doninanl and
exhililionisl, vhiIe ß is sulnissive and speclaloi, vhiIe in anolhei cuIluie X nay le
doninanl and speclaloi, vhiIe Y is sulnissive and exhililionisl.
LxanpIes of lhis soil of conliasl ialhei easiIy cone lo nind. Thus ve nay nole
lhal vheieas lhe doninanl Nazis pieen lhenseIves lefoie lhe peopIe, lhe czai of
Russia kepl his piivale laIIel, and SlaIin eneiges fion secIusion onIy lo ieviev his
lioops. We nighl peihaps piesenl lhe ieIalionship lelveen lhe Nazi Iaily and lhe
peopIe lhus:
Iaily IeopIe
Doninance Sulnission
Lxhililionisn Speclaloiship
WhiIe lhe czai and his laIIel vouId le iepiesenled:
Czai ßaIIel
Doninance Sulnission
Speclaloiship Lxhililionisn
Since lhese Luiopean exanpIes aie conpaialiveIy unpioved, il is voilhvhiIe al
lhis poinl lo denonsliale lhe occuiience of such diffeiences ly desciiling a ialhei
¨Ioi a fuIIei sludy, ve oughl lo considei such olhei nolifs as aggiession-passivily, possessive-
possessed, agenl-looI, elc. And aII of lhese nolifs viII iequiie sonevhal noie ciilicaI definilion
lhan can le allenpled in lhis papei.
sliiking elhnogiaphic diffeience vhich has leen docunenled noie fuIIy. In Luiope,
vheie ve lend lo associale succoiing lehavioi vilh sociaI supeiioiily, ve consliucl
oui paienl synloIs accoidingIy. Oui Cod, oi oui king, is lhe ¨falhei¨ of his peopIe.
In ßaIi, on lhe olhei hand, lhe gods aie lhe ¨chiIdien¨ of lhe peopIe, and vhen a god
speaks lhiough lhe noulh of a peison in liance, he addiesses anyone vho viII Iislen
as ¨falhei.¨ SiniIaiIy, lhe iajah is sajanganga (¨spoiIl¨ Iike a chiId) ly his peopIe. The
ßaIinese, fuilhei, aie veiy fond of pulling chiIdien in lhe conlined ioIes of god and
dancei, in nylhoIogy, lhe peifecl piince is poIished and naicissislic. Thus lhe
ßaIinese pallein nighl le sunnaiized lhus:
High Slalus Lov Slalus
Dependence Succoiing
Lxhililionisn Speclaloiship
And lhis diagian vouId inpIy, nol onIy lhal lhe ßaIinese feeI dependence and
exhililionisn and supeiioi slalus lo go naluiaIIy logelhei, lul aIso lhal a ßaIinese
viII nol ieadiIy conline succoiing vilh exhililionisn (lhal is, ßaIi conpIeleIy Iacks
lhe oslenlalious gifl-giving chaiacleiislic of nany piinilive peopIes) oi viII le
enlaiiassed if foiced ly lhe conlexl lo allenpl such a conlinalion.
AIlhough lhe anaIogous diagians foi oui Weslein cuIluies cannol le diavn
vilh lhe sane ceilainly, il is voilhvhiIe lo allenpl lhen foi lhe paienl-chiId
ieIalionships in LngIish, Aneiican, and Ceinan cuIluies. One exlia conpIicalion
nusl, hovevei, le faced, vhen ve Iook al paienl-chiId ieIalionships inslead of al
ieIalionships lelveen piinces and peopIe, ve have lo nake specific aIIovance foi lhe
changes in lhe pallein vhich occui as lhe chiId giovs oIdei. Succoiance-dependence
is undoulledIy a doninanl nolif in eaiIy chiIdhood, lul vaiious nechanisns Ialei
nodify lhis exliene dependence, lo liing aloul sone degiee of psychoIogicaI in-
The LngIish uppei- and niddIe-cIass syslen vouId le iepiesenled
diagiannalicaIIy lhus:
Iaienls ChiIdien
Doninance Sulnission
(nodified ly ¨leinaiy¨ nuise syslen)
Succoiing Dependence
(dependence halils lioken ly
sepaialion~chiIdien senl lo schooI)
Lxhililionisn Speclaloiship
(chiIdien Iislen siIenlIy al neaIs)
In conliasl vilh lhis, lhe anaIogous Aneiican pallein seens lo le:
Iaienls ChiIdien
Doninance (sIighl) Sulnission (sIighl)
Succoiing Dependence
Speclaloiship Lxhililionisn
And lhis pallein diffeis fion lhe LngIish nol onIy in lhe ieveisaI of lhe
speclaloiship-exhililionisn ioIes, lul aIso in lhe conlenl of vhal is exhililed. The
Aneiican chiId is encouiaged ly his paienls lo shov off his independence. UsuaIIy
lhe piocess of psychoIogicaI veaning is nol acconpIished ly sending lhe chiId avay
lo a loaiding schooI, inslead, lhe chiId´s exhililionisn is pIayed off againsl his
independence, unliI lhe Iallei is neuliaIized. Lalei, fion lhis leginning in lhe
exhililion of independence, lhe individuaI nay sonelines go on in aduIl Iife lo shov
off succoiance, his vife and faniIy leconing in sone degiee his ¨exhilils.¨
Though lhe anaIogous Ceinan pallein piolalIy iesenlIes lhe Aneiican in lhe
aiiangenenl of lhe paiied conpIenenlaiy ioIes, ceilainIy il diffeis fion lhe
Aneiican in lhal lhe falhei´s doninance is nuch sliongei and nuch noie consislenl,
and especiaIIy in lhal lhe conlenl of lhe loy´s exhililionisn is quile diffeienl. He is,
in facl, doninaled inlo a soil of heeI-cIicking exhililionisn vhich lakes lhe pIace of
oveil sulnissive lehavioi. Thus, vhiIe in lhe Aneiican chaiaclei exhililionisn is
encouiaged ly lhe paienl as a nelhod of psychoIogicaI veaning, lolh ils funclion
and ils conlenl aie foi lhe Ceinan enliieIy diffeienl.
Diffeiences of lhis oidei, vhich nay le expecled in aII Luiopean nalions, aie
piolalIy lhe lasis of nany of oui naive and oflen unkind inleinalionaI connenls.
They nay, indeed, le of consideialIe inpoilance in lhe nechanics of inleinalionaI
ieIalions, in as nuch as an undeislanding of lhen nighl dispeI sone of oui
nisundeislandings. To an Aneiican eye, lhe LngIish loo oflen appeai ¨aiioganl,
vheieas lo an LngIish eye lhe Aneiican appeais lo le ¨loaslfuI.
If ve couId shov
pieciseIy hov nuch of liulh and hov nuch of disloilion is piesenl in lhese
inpiessions, il nighl le a ieaI conliilulion lo inleiaIIied coopeialion.
In leins of lhe diagians alove, lhe ¨aiiogance¨ of lhe LngIishnan vouId le due
lo lhe conlinalion of doninance and exhililionisn. The LngIishnan in a peifoining
ioIe (lhe paienl al lieakfasl, lhe nevspapei ediloi, lhe poIilicaI spokesnan, lhe
Iecluiei, oi vhal nol) assunes lhal he is aIso in a doninanl ioIe~lhal he can decide
in accoidance vilh vague, alsliacl slandaids vhal soil of peifoinance lo give ~and
lhe audience can ¨lake il oi Ieave il.¨ His ovn aiiogance he sees eilhei as ¨naluiaI¨ oi
as niligaled ly his huniIily in face of lhe alsliacl slandaids. Quile unavaie lhal his
lehavioi couId conceivalIy le iegaided as a connenl upon his audience, he is, on
lhe conliaiy, avaie onIy of le-having in lhe peifoinei´s ioIe, as he undeislands lhal
ioIe. ßul lhe Aneiican does nol see il lhus. To hin, lhe ¨aiioganl¨ lehavioi of lhe
LngIishnan appeais lo le diiecled agains| lhe audience, in vhich case lhe inpIicil
invocalion of sone alsliacl slandaid appeais onIy lo add insuIl lo injuiy.
SiniIaiIy, lhe lehavioi vhich an LngIishnan inleipiels as ¨loaslfuI¨ in an
Aneiican is nol aggiessive, aIlhough lhe LngIishnan nay feeI lhal he is leing
suljecled lo sone soil of invidious conpaiison. He does nol knov lhal, as a nallei of
facl, Aneiicans viII onIy lehave Iike lhis lo peopIe vhon lhey ialhei Iike and
iespecl. Accoiding lo lhe hypolhesis alove, lhe ¨loasling¨ pallein iesuIls fion lhe
cuiious Iinkage vheiely exhililion of seIf-sufficiency and independence is pIayed off
againsl oveidependence. The Aneiican, vhen he loasls, is Iooking foi appiovaI of
his upslanding independence, lul lhe naive LngIishnan inleipiels lhis lehavioi as a
lid foi sone soil of doninance oi supeiioiily.
In lhis soil of vay, ve nay suppose lhal lhe vhoIe fIavoi of one nalionaI cuIluie
nay diffei fion lhal of anolhei, and lhal such diffeiences nay le consideialIe
enough lo Iead lo seiious nisundeislandings. Il is piolalIe, hovevei, lhal lhese
diffeiences aie nol so conpIex in lheii naluie as lo le leyond lhe ieach of
invesligalion. Hypolheses of lhe lype vhich ve have advanced couId le easiIy
lesled, and ieseaich on lhese Iines is uigenlIy needed.
3.3.5 NatInna! Charactcr and AmcrIcan Mnra!c
Using lhe nolifs of inleipeisonaI and inleigioup ieIalion-ship as oui cIues lo
nalionaI chaiaclei, ve have leen alIe lo indicale ceilain oideis of ieguIai diffeience
vhich ve nay expecl lo find anong lhe peopIes vho shaie oui Weslein civiIizalion.
Of necessily, oui slalenenls have leen lheoielicaI ialhei lhan enpiiicaI, sliII, fion
lhe lheoielicaI sliucluie vhich ve have luiIl up, il is possilIe lo exliacl ceilain
foinuIas vhich nay le usefuI lo lhe luiIdei of noiaIe.
AII of lhese foinuIas aie lased upon lhe geneiaI assunplion lhal peopIe viII
iespond nosl eneigelicaIIy vhen lhe conlexl is sliucluied lo appeaI lo lheii haliluaI
palleins of ieaclion. Il is nol sensilIe lo encouiage a donkey lo go up hiII ly offeiing
hin iav neal, noi viII a Iion iespond lo giass.
(1) Sinnce aII Weslein nalions lend lo lhink and lehave in lipoIai leins, ve shaII
do veII, in luiIding Aneiican noiaIe, lo lhink of oui vaiious enenies as a singIe
hosliIe enlily. The dislinclions and giadalions vhich inleIIecluaIs nighl piefei aie
IikeIy lo le disluiling.
(2) Since lolh Aneiicans and LngIish iespond nosl eneigelicaIIy lo synneliicaI
slinuIi, ve shaII le veiy unvise if ve sofl-pedaI lhe disasleis of vai. If oui enenies
defeal us al any poinl, lhal facl oughl lo le used lo lhe naxinun as a chaIIenge and
a spui lo fuilhei effoil. When oui foices have suffeied sone ieveise, oui nevspapeis
oughl lo le in no huiiy lo leII us lhal ¨eneny advances have leen checked.¨ MiIilaiy
piogiess is aIvays inleinillenl, and lhe nonenl lo sliike, lhe nonenl vhen
naxinun noiaIe is needed, occuis vhen lhe eneny is soIidifying his posilion and
piepaiing lhe nexl lIov. Al such a nonenl, il is nol sensilIe lo ieduce lhe aggiessive
eneigy of oui Ieadeis and peopIe ly snug ie-assuiance.
(3) Theie is, hovevei, a supeificiaI disciepancy lelveen lhe halil of synneliicaI
nolivalion and lhe need foi shoving seIf-sufficiency. We have suggesled lhal lhe
Aneiican loy Ieains lo sland upon his ovn feel lhiough lhose occasions in
chiIdhood vhen his paienls aie appioving speclalois of his seIf-sufficiency. If lhis
diagnosis is coiiecl, il vouId foIIov lhal a ceilain lullIing up of seIf-appiecialion is
noinaI and heaIlhy in Aneiicans and is peihaps an essenliaI ingiedienl of Aneiican
independence and slienglh.
A loo IileiaI foIIoving of lhe foinuIa alove, lheiefoie, a loo gieal insislence
upon disasleis and difficuIlies, nighl Iead lo sone Ioss of eneigy lhiough lhe
danning up of lhis sponlaneous exuleiance. A ialhei concenlialed diel of ¨lIood,
sveal, and leais¨ nay le good foi lhe LngIish, lul Aneiicans, vhiIe no Iess
dependenl upon synneliicaI nolivalion, cannol feeI lheii oals vhen fed on nolhing
lul disaslei. Oui pulIic spokesnen and nevspapei edilois shouId nevei soflpedaI
lhe facl lhal ve have a nan-sized jol on oui hands, lul lhey viII do veII lo insisl aIso
lhal Aneiica is a nan-sized nalion. Any soil of allenpl lo ieassuie Aneiicans ly
nininizing lhe slienglh of lhe eneny nusl le avoided, lul fiank loasls of ieaI
success aie good.
(4) ßecause oui vision of lhe peace is a facloi in oui vai-naking noiaIe, il is
voilhvhiIe lo ask al once vhal Iighl lhe sludy of nalionaI diffeiences nay lhiov
upon lhe piolIens of lhe peace lalIe.
We have lo devise a peace liealy (a) such lhal Aneiicans and ßiilish viII fighl lo
achieve il, and (l) such lhal il viII liing oul lhe lesl ialhei lhan lhe voisl
chaiacleiislics of oui enenies. If ve appioach il scienlificaIIy, such a piolIen is ly no
neans leyond oui skiII.
The nosl conspicuous psychoIogicaI huidIe lo le negolialed, in inagining such a
peace liealy, is lhe conliasl lelveen ßiilish and Aneiican synneliicaI palleins and
lhe Ceinan conpIenenlaiy pallein, vilh ils laloo on oveil sul-nissive lehavioi.
The aIIied nalions aie nol psychoIogicaIIy equipped lo enfoice a haish liealy, lhey
nighl diav up such a liealy, lul in six nonlhs lhey vouId liie of keeping lhe
undeidog dovn. The Ceinans, on lhe olhei hand, if lhey see lheii ioIe as
¨sulnissive,¨ viII nol slay dovn vilhoul haish liealnenl. We have seen lhal lhese
consideialions appIied even lo such a niIdIy punilive liealy as vas devised al
VeisaiIIes, lhe aIIies onilled lo enfoice il, and lhe Ceinans iefused lo accepl il. Il is,
lheiefoie, useIess lo diean of such a liealy, and voise lhan useIess lo iepeal such
dieans as a vay of iaising oui noiaIe nov, vhen ve aie angiy vilh Ceinany. To do
lhal vouId onIy olscuie lhe issues in lhe finaI sellIenenl.
This inconpaliliIily lelveen conpIenenlaiy and synneliicaI nolivalion
neans, in facl, lhal lhe liealy cannol le oiganized aiound sinpIe doninance-
sulnissive nolifs, hence ve aie foiced lo Iook foi aIleinalive soIulions. We nusl ex-
anine, foi exanpIe, lhe nolif of exhililionisn-speclaloiship ~vhal dignified ioIe is
each of lhe vaiious nalions lesl filled lo pIay`~and lhal of succoiing-dependence~
in lhe slaiving poslvai voiId, vhal nolivalionaI palleins shaII ve evoke lelveen
lhose vho give and lhose vho ieceive food` And, aIleinalive lo lhese soIulions, ve
have lhe possiliIily of sone lhieefoId sliucluie, vilhin vhich lolh lhe aIIies and
Ceinany vouId sulnil, nol lo each olhei, lul lo sone alsliacl piincipIe.
3.4 Ba|l: The Va|ue Sµstem of a Steadµ State
3.4.1 "Ethns" and "5chIsmngcncsIs"
Il vouId le an oveisinpIificalion~il vouId even le faIse ~lo say lhal science
necessaiiIy advances ly lhe consliuclion and enpiiicaI lesling of successive voiking
hypolheses. Anong lhe physicisls and chenisls lheie nay le sone vho ieaIIy
pioceed in lhis oilhocIox nannei, lul anong lhe sociaI scienlisls lheie is peihaps nol
one. Oui concepls aie IooseIy defined~a haze of chiaioscuio piefiguiing shaipei
Iines sliII undiavn~and oui hypolheses aie sliII so vague lhal iaieIy can ve inagine
any ciuciaI inslance vhose invesligalion viII lesl lhen.
The piesenl papei is an allenpl lo nake noie piecise an idea vhich I pulIished
in 1936
and vhich has Iain faIIov since lhal line. The nolion of c|ncs had pioved a
usefuI concepluaI looI foi ne, and vilh il I had leen alIe lo gel a shaipei
undeislanding of IalnuI cuIluie. ßul lhis expeiience ly no neans pioved lhal lhis
looI vouId necessaiiIy le usefuI in olhei hands oi foi lhe anaIysis of olhei cuIluies.
The nosl geneiaI concIusion I couId diav vas of lhis oidei: lhal ny ovn nenlaI
piocesses had ceilain chaiacleiislics, lhal lhe sayings, aclions, and oiganizalion of lhe
IalnuI had ceilain chaiacleiislics, and lhal lhe alsliaclion, ¨elhos,¨ peifoined sone
ioIe~calaIylic, peihaps~in easing lhe ieIalion lelveen lhese lvo specificilies, ny
nind and lhe dala vhich I nyseIf had coIIecled.
InnedialeIy aflei conpIeling lhe nanusciipl of Natcn, | venl lo ßaIi vilh lhe
inlenlion of liying upon ßaIinese dala lhis looI vhich had leen evoIved foi lhe
anaIysis of IalnuI. Ioi one ieason oi anolhei, hovevei, I did nol do lhis, pailIy
lecause in ßaIi Maigaiel Mead and I veie engaged in devising olhei looIs~
phologiaphic nelhods of iecoid and desciiplion~and pailIy lecause I vas Ieaining
lhe lechniques of appIying genelic psychoIogy lo cuIluiaI dala, lul noie especiaIIy
lecause al sone inailicuIale IeveI I feIl lhal lhe looI vas unsuilalIe foi lhis nev lask.
Il vas nol lhal elhos vas in any sense dispioved~indeed, a looI oi a nelhod can
scaiceIy le pioved faIse. Il can onIy le shovn lo le nol usefuI, and in lhis case lheie
vas nol even a cIeai denonslialion of useIessness. The nelhod ienained aInosl
unliied, and lhe nosl I couId say vas lhal, aflei lhal suiiendei lo lhe dala vhich is
lhe fiisl slep in aII anlhiopoIogicaI sludy, elhoIogicaI anaIysis did nol seen lo le lhe
nexl lhing lo do.
Il is nov possilIe lo shov vilh ßaIinese dala vhal pecuIiaiilies of lhal cuIluie
nay have infIuenced ne avay fion elhoIogicaI anaIysis, and lhis denonslialion viII
Iead lo a giealei geneiaIizalion of lhe alsliaclion, elhos. We shaII in lhe piocess nake
This essay appeaied in Sccia| S|ruc|urc. S|udics Prcscn|cd |c A. R. Radc|iffc-8rcun, ediled ly
Meyei Ioiles, 1949. Il is iepiinled ly peinission of lhe CIaiendon Iiess. Iiepaialion of lhe essay vas
aided ly a Cuggenhein IeIIovship.
C. ßaleson, Natcn, Canliidge, Canliidge Univeisily Iiess, 1936.
ceilain heuiislic advances vhich nay guide us lo noie iigoious desciiplive
pioceduies in deaIing vilh olhei cuIluies.
(1) The anaIysis of IalnuI dala Ied lo lhe definilion of elhos as ¨The expiession of
a cuIluiaIIy slandaidized syslen of oiganizalion of lhe inslincls and enolions of lhe
(2) AnaIysis of IalnuI elhos~consisling in lhe oideiing of dala so as lo nake
evidenl ceilain iecuiienl ¨enphases¨ oi ¨lhenes
~Ied lo iecognilion of
schisnogenesis. Il appeaied lhal lhe voiking of IalnuI sociely invoIved in|cr a|ia lvo
cIasses of iegeneialive
oi ¨vicious¨ ciicIes. ßolh of lhese veie sequences of sociaI
inleiaclion such lhal A´s acls veie slinuIi foi ß´s acls, vhich in luin lecane slinuIi
foi noie inlense aclion on lhe pail of A, and so on, A and ß leing peisons acling
eilhei as individuaIs oi as gioup nenleis.
(3) These schisnogenic sequences couId le cIassified inlo lvo cIasses: (a)
sqnnc|rica| scnisncgcncsis, vheie lhe nuluaIIy pionoling aclions of A and ß veie
essenliaIIy siniIai, e.g., in cases of conpelilion, iivaIiy, and lhe Iike, and ( l)
ccnp|cncn|arq scnisncgcncsis, vheie lhe nuluaIIy pionoling aclions aie essenliaIIy
dissiniIai lul nuluaIIy appiopiiale, e.g., in cases of doninance-sulnission,
succoiing-dependence, exhililionisn-speclaloiship, and lhe Iike.
(4) In 1939 a consideialIe advance vas nade in defining lhe foinaI ieIalions
lelveen lhe concepls of synneliicaI and conpIenenlaiy schisnogenesis. This cane
fion an allenpl lo slale schisnogenic lheoiy in leins of Richaidson´s equalions foi
inleinalionaI ainanenls iaces
. The equalions foi iivaIiy evidenlIy gave a fiisl
appioxinalion lo vhal I had caIIed ¨synneliicaI schisnogenesis.¨ These equalions
assune lhal lhe inlensily of A´s aclions (lhe iale of his aining, in Richaidson´s case)
is sinpIy piopoilionaI lo lhe anounl ly vhich ß is ahead of A. The slinuIus lein in
facl is (ß ~A), and vhen lhis lein is posilive il is expecled lhal A viII en-gage in
effoils lo ain. Richaidson´s second equalion nakes lhe sane assunplion nu|a|is
nu|andis aloul ß´s aclions. These equalions suggesled lhal olhei sinpIy iivaIious oi
conpelilive phenonena~e.g., loasling~lhough nol suljecl lo such sinpIe
neasuienenl as expendiluie on ainanenl, nighl yel vhen uIlinaleIy neasuied le
ieducilIe lo a sinpIy anaIogous sel of ieIalions.
The nallei vas, hovevei, nol so cIeai in lhe case of conpIenenlaiy
schisnogenesis. Richaidson
s equalions foi ¨sul-nission¨ evidenlIy define a
phenonenon sonevhal diffeienl fion a piogiessive conpIenenlaiy ieIalionship,
and lhe foin of his equalions desciiles lhe aclion of a facloi ¨sulnissivencss" vhich
Naven, p. 118.
The leins ¨iegeneialive¨ and ¨degeneialive¨ aie loiioved fion connunicalions
engineeiing. A iegeneialive oi ¨vicious¨ ciicIe is a chain of vaiialIes of lhe geneiaI lype: inciease in
A causes inciease in ß, inciease in ß causes inciease in C, .. inciease in N causes inciease in A.
Such a syslen, if piovided vilh lhe necessaiy eneigy souices and if exleinaI faclois peinil, viII
cIeaiIy opeiale al a giealei and giealei iale oi inlensily. A ¨degeneialive¨ oi
seIf-coiieclive¨ ciicIe
diffeis frcn a ie-geneialive ciicIe in conlaining al Ieasl one Iink of lhe lype: ¨inciease in N causes
dccrcasc in M.¨ The house lheinoslal oi lhe slean engine vilh a goveinoi aie exanpIes of such
seIf-coiiecling syslens. Il viII le noled lhal in nany inslances lhe sane naleiiaI ciicuil nay le
eilhei iegeneialive oi degeneialive accoiding lo lhe anounl of Ioading, fiequency of inpuIses
liansnilled aiound lhe palh, and line chaiacleiislics of lhe lolaI palh.
L. I. Richaidson, ¨CeneiaIized Ioieign IoIilics,¨ ßiilish }ouinaI of IsychoIogy,
Monogiaph SuppIenenl xxiii, 1939.
sIovs dovn and uIlinaleIy ieveises lhe sign of vaiIike effoil. Whal vas, hovevei,
iequiied lo desciile conpIenenlaiy schisnogenesis vas an equalionaI foin giving.
a shaip and disconlinuous ieveisaI of sign. Such an equalionaI foin is achieved ly
supposing A´s aclions in a conpIenenlaiy ieIalionship lo le piopoilionaI lo a
slinuIus lein of lhe lype (A ~ß). Such a foin has aIso lhe advanlage of
aulonalicaIIy defining lhe aclions of one of lhe pailicipanls as negalive, and lhus
gives sone nalhenalicaI anaIogue foi lhe appaienl psychoIogicaI ieIaledness of
doninalion lo sulnission, exhililionisn lo speclaloiship, succoiing lo dependence,
NolalIy lhis foinuIalion is ilseIf a negalive of lhe foinuIalion foi iivaIiy, lhe
slinuIus lein leing lhe opposile. Il had leen olseived lhal synneliicaI sequences of
aclions lend shaipIy lo ieduce lhe sliain of excessiveIy conpIenenlaiy ieIalionships
lelveen peisons oi gioups.
Il is lenpling lo asciile lhis effecl lo sone hypolhesis
vhich vouId nake lhe lvo lypes of schisnogenesis in sone degiee psychoIogicaIIy
inconpalilIe, as is done ly lhe alove foinuIalion.
(5) Il is of inleiesl lo nole lhal aII lhe nodes associaled vilh lhe eiogenous
lhough nol cIeaiIy quanlifialIe, define lhenes foi ccnp|cncn|arq ieIalionship.
(6) The Iink vilh eiogenous zones suggesled in 5, alove, indicales lhal ve oughl,
peihaps, nol lo lhink of sinpIe iising exponenliaI cuives of inlensily Iiniled onIy ly
faclois anaIogous lo faligue, such as Richaidson´s equalions vouId inpIy, lul ialhei
lhal ve shouId expecl oui cuives lo le lounded ly phenonena conpaialIe lo
oigasn~lhal lhe achievenenl of a ceilain degiee of lodiIy oi neuiaI invoIvenenl oi
inlensily nay le foIIoved ly a ieIease of schisnogenic lension. Indeed, aII lhal ve
knov aloul hunan leings in vaiious soils of sinpIe conlesls vouId seen lo indicale
lhal lhis is lhe case, and lhal lhe conscious oi unconscious vish foi ieIease of lhis
kind is an inpoilanl facloi vhich diavs lhe pailicipanls on and pievenls lhen fion
sinpIy vilhdiaving fion conlesls vhich vouId olheivise nol connend lhenseIves
connon sense.¨ If lheie le any lasic hunan chaiacleiislic vhich nakes nan
pione lo sliuggIe, il vouId seen lo le lhis hope of ieIease fion lension lhiough lolaI
invoIvenenl. In lhe case of vai lhis facloi is undoulledIy oflen polenl. (The ieaI
liulh~lhal in nodein vaifaie onIy a veiy fev of lhe pailicipanls achieve lhis
cIinaclic ieIease~seens haidIy lo sland againsl lhe insidious nylh of ¨lolaI¨ vai.)
(7) In 1936 il vas suggesled lhal lhe phenonenon of ¨faIIing in Iove¨ nighl le
conpaialIe lo a schisnogenesis vilh lhe signs ieveised, and even lhal ¨if lhe couise
of liue Iove evei ian snoolh il vouId foIIov an exponenliaI cuive.¨
has since, independenlIy, nade lhe sane poinl in noie foinaI leins. Iaiagiaph 6,
alove, cIeaiIy indicales lhal lhe ¨exponenliaI cuives¨ nusl give pIace lo sone lype of
cuive vhich viII nol iise indefinileIy lul viII ieach a cIinax and lhen faII. Ioi lhe
Naven, p. 173.
L. H. Honluigei, ¨Configuialions in IIay: Isycho-IogicaI Noles,¨ IsychoanaIylicaI
QuaileiIy, 1937, vi: 138-214. This papei, one of lhe nosl inpoilanl in lhe Iileialuie seeking lo
slale psychoanaIylic hypolheses in noie iigoious leins, deaIs vilh lhe ¨nodes¨ appiopiiale lo
lhe vaiious eiogenous zones~inliusion, incoipoialion, ielenlion, and lhe Iike~and shovs hov
lhese nodes nay le liansfeiied fion one zone lo anolhei. This Ieads lhe viilei lo a chail of lhe
possilIe peinulalions and conlinalions of such liansfeiied nodaIilies. This chail piovides
piecise neans of desciiling lhe couise of lhe deveIopnenl of a Iaige vaiiely cf diffeienl lypes of
chaiaclei sliucluie (e.g., as nel vilh in diffeienl cuIluies).
Natcn, p. 197.
Op. cil., 1939.
iesl, hovevei, lhe olvious ieIalion-ship of lhese inleiaclive phenonena lo cIinax and
oigasn veiy nuch slienglhens lhe case foi iegaiding schisnogenesis and lhose
cunuIalive sequences of inleiaclion vhich Iead lo Iove as oflen psychoIogicaIIy
equivaIenl. (Wilness lhe cuiious confusions lelveen fighling and Iovenaking, lhe
synloIic idenlificalions of oigasn vilh dealh, lhe iecuiienl use ly nannaIs of
oigans of offense as oinanenls of sexuaI alliacllion, elc.)
(8) Scnisncgcnic scqucnccs ucrc nc| fcund in 8a|i. This negalive slalenenl is of such
inpoilance and confIicls vilh so nany lheoiies of sociaI opposilion and Maixian
deleininisn lhal, in oidei lo achieve ciediliIily, I nusl heie de-sciile schenalicaIIy
lhe piocess of chaiaclei foinalion, lhe iesuIling ßaIinese chaiaclei sliucluie, lhe
exceplionaI in-slances in vhich sone soil of cunuIalive inleiaclion can le
iecognized, and lhe nelhods ly vhich quaiieIs and slalus diffeienlialion aie
handIed. (DelaiIed anaIysis of lhe vaiious poinls and lhe suppoiling dala cannol heie
le iepioduced, lul iefeiences viII le given lo pulIished souices vheie lhe dala can
le exanined.)
3.4.2 Ba!Incsc Charactcr
(a) The nosl inpoilanl exceplion lo lhe alove geneiaIizalion occuis in lhe
ieIalionship lelveen aduIls (especiaIIy paienls) and chiIdien. TypicaIIy, lhe nolhei
viII slail a snaII fIiilalion vilh lhe chiId, puIIing ils penis oi olheivise slinuIaling il
lo inleipeisonaI aclivily. This viII excile lhe chiId, and foi a fev nonenls cunuIalive
inleiaclion viII occui. Then jusl as lhe chiId, appioaching sone snaII cIinax, fIings
ils ains aiound lhe nolhei´s neck, hei allenlion vandeis. Al lhis poinl lhe chiId viII
lypicaIIy slail an aIleinalive cunuIalive inleiaclion, luiIding up lovaid lenpei
lanliun. The nolhei viII eilhei pIay a speclaloi´s ioIe, enjoying lhe chiId´s lanliun,
oi, if lhe chiId acluaIIy allacks hei, viII liush off his allack vilh no shov of angei on
hei pail. These sequences can le seen eilhei as an expiession of lhe nolhei´s dislasle
foi lhis lype of peisonaI invoIvenenl oi as conlexl in vhich lhe chiId acquiies a deep
disliusl of such invoIvenenl. The peihaps lasicaIIy hunan lendency lovaids
cunuIalive peisonaI inleiaclion is lhus nuled.
Il is possilIe lhal sone soil of
conlinuing pIaleau of inlensily is sulsliluled foi cIinax as lhe chiId lecones noie
fuIIy adjusled lo ßaIinese Iife. This cannol al piesenl le cIeaiIy docunenled foi
sexuaI ieIalions, lul lheie aie indicalions lhal a pIaleau lype of sequence is
chaiacleiislic foi liance and foi quaiieIs (see d, leIov).
(l)SiniIai sequences have lhe effecl of dininishing lhe chiId´s lendencies
lovaid conpelilive and iivaIious lehavioi. The nolhei viII, foi exanpIe, lease lhe
chiId ly suckIing lhe laly of sone olhei vonan and viII enjoy hei ovn chiId´s
effoils lo push lhe inliudei fion lhe lieasl.
(c)In geneiaI lhe Iack of cIinax is chaiacleiislic foi ßaIinese nusic, diana, and
olhei ail foins. The nusic lypicaIIy has a piogiession, deiived fion lhe Iogic of ils
foinaI sliucluie, and nodificalions of inlensily deleinined ly lhe duialion and
See especiaIIy C. ßaleson and M. Mead, ßaIinese Chaiaclei: A Ihologiaphic AnaIysis.
Since lhis pholo-giaphic iecoid is avaiIalIe, no phologiaphs aie incIuded in lhe piesenl papei.
ßaIinese Chaiaclei: A Ihologiaphic AnaIysis, pI. 47, and pp. 32-6.
Ilid., pIs. 49, 52, 53, and 69-72.
piogiess of lhe voiking oul of lhese foinaI ieIalions. Il does nol have lhe soil of
iising inlensily and cIinax sliucluie chaiacleiislic of nodein OccidenlaI nusic, lul
ialhei a foinaI piogiession.
(d) ßaIinese cuIluie incIudes definile lechniques foi deaIing vilh quaiieIs. Tvo
nen vho have quaiieIIed viII go foinaIIy lo lhe office of lhe IocaI iepiesenlalive of
lhe Rajah and viII lheie iegislei lheii quaiieI, agieeing lhal vhichevei speaks lo lhe
olhei shaII pay a fine oi nake an offeiing lo lhe gods. Lalei, if lhe quaiieI leininales,
lhis conliacl nay le foinaIIy nuIIified. SnaIIei~lul siniIai~avoidances (pui|) aie
piacliced, even ly snaII chiIdien in lheii quaiieIs. Il is significanl, peihaps, lhal lhis
pioceduie is nol an allenpl lo infIuence lhe piolagonisls avay fion hosliIily and
lovaid fiiendship. Ralhei, il is a foinaI iecognilion of lhe slale of lheii nuluaI
ieIalionship, and possilIy, in sone soil, a pegging of lhe ieIalionship al lhal slale. If
lhis inleipielalion is coiiecl, lhis nelhod of deaIing vilh quaiieIs vouId coiiespond
lo lhe sulslilulion of a pIaleau foi a cIinax.
(e) In iegaid lo vaifaie, conlenpoiaiy connenl on lhe oId vais lelveen lhe
Rajahs indicales lhal in lhe peiiod vhen lhe connenls veie coIIecled (1936-39) vai
vas lhoughl of as conlaining Iaige eIenenls of nuluaI avoidance. The viIIage of
ßajoeng Cede vas suiiounded ly an oId vaIIun and foss, and lhe peopIe expIained
lhe funclions of lhese foilificalions in lhe foIIoving leins: ¨If you and I had a
quaiieI, lhen you vouId go and dig a dilch aiound youi house. Lalei I vouId cone
lo fighl vilh you, lul I vouId find lhe dilch and lhen lheie vouId le no fighl¨~a
soil of nuluaI Maginol Line psychoIogy. SiniIaiIy lhe loundaiies lelveen
neighloiing kingdons veie, in geneiaI, a deseiled no-nan´s Iand inhaliled onIy ly
vagianls and exiIes. (A veiy diffeienl psychoIogy of vaifaie vas no doull deveIoped
vhen lhe kingdon of Kaiangasen enlaiked on lhe conquesl of lhe neighloiing
isIand of Lonlok in lhe leginning of lhe eighleenlh cenluiy. The psychoIogy of lhis
niIilaiisn has nol leen invesligaled, lul lheie is ieason lo leIieve lhal lhe line
peispeclive of lhe ßaIinese coIonisls in Lonlok is loday significanlIy diffeienl fion
lhal of ßaIinese in ßaIi.)
(f) The foinaI lechniques of sociaI infIuence~oialoiy and lhe Iike~aie aInosl
lolaIIy Iacking in ßaIinese cuIluie. To denand lhe conlinued allenlion of an
individuaI oi lo exeil enolionaI infIuence upon a gioup aie aIike dislaslefuI and
viiluaIIy inpossilIe, lecause in such ciicunslances lhe allenlion of lhe viclin iapidIy
vandeis. Lven such conlinued speech as vouId, in nosl cuIluies, le used foi lhe
leIIing of sloiies does nol occui in ßaIi. The naiialoi viII, lypicaIIy, pause aflei a
senlence oi lvo, and vail foi sone nenlei of lhe audience lo ask hin a conciele
queslion aloul sone delaiI of lhe pIol. He viII lhen ansvei lhe queslion and so
iesune his naiialion. This pioceduie appaienlIy lieaks lhe cunuIalive lension ly
iiieIevanl inleiaclion.
(g) The piincipaI hieiaichicaI sliucluies in lhe sociely~lhe casle syslen and lhe
hieiaichy of fuII cilizens vho aie lhe viIIage counciI~aie iigid. Theie aie no conlexls
in vhich one individuaI couId conceivalIy conpele vilh anolhei foi posilion in
eilhei of lhese syslens. An individuaI nay Iose his nenleiship in lhe hieiaichy foi
vaiious acls, lul his pIace in il cannol le aIleied. ShouId he Ialei ieluin lo oilhodoxy
See CoIin McIhee, ¨The AlsoIule Music of ßaIi,¨ Mcdcrn Music, 1935, and A Hcusc in 8a|i,
London, CoIIancz, 1947.
See C. ßaleson, ¨An OId TenpIe and a Nev Mylh,¨ Djaua, xvii, ßalavia, 1937.
and le accepled lack, he viII ieluin lo his oiiginaI posilion in ieIalion lo lhe olhei
The foiegoing desciiplive geneiaIizalions aie aII pailiaI ansveis lo a negalive
Why is ßaIinese sociely nonschisnogenic`¨~and fion lhe conlinalion
of lhese geneiaIizalions ve aiiive al a picluie of a sociely diffeiing veiy naikedIy
fion oui ovn, fion lhal of lhe IalnuI, fion lhose syslens of sociaI opposilion vhich
RadcIiffe-ßiovn has anaIyzed, and fion any sociaI sliucluie posluIaled ly Maixian
We slailed vilh lhe hypolhesis lhal hunan leings have a lendency lo invoIve
lhenseIves in sequences of cunuIalive inleiaclion, and lhis hypolhesis is sliII Iefl
viiluaIIy inlacl. Anong lhe ßaIinese lhe lalies, al Ieasl, evidenlIy have such
lendencies. ßul foi socioIogicaI vaIidily lhis hypolhesis nusl nov le guaided vilh a
paienlhelicaI cIause slipuIaling lhal lhese lendencies aie opeialive in lhe dynanics of
sociely onIy if lhe chiIdhood liaining is nol such as lo pievenl lheii expiession in
aduIl Iife.
We have nade an advance in oui knovIedge of lhe scope of hunan chaiaclei
foinalion in denonslialing lhal lhese lendencies lovaid cunuIalive inleiaclion aie
suljecl lo sone soil of nodificalion, decondilioning, oi inhililion.
And lhis is an
inpoilanl advance. We knov hov il is lhal lhe ßaIinese aie nonschisnogenic and ve
knov hov lheii dislasle foi schisnogenic palleins is expiessed in vaiious delaiIs of
lhe sociaI oiganizalion~lhe iigid hieiaichies, lhe inslilulions foi lhe handIing of
quaiieIs, elc.~lul ve sliII knov nolhing of lhe posilive dynanics of lhe sociely. We
have ansveied onIy lhe negalive queslion.
3.4.3 Ba!Incsc Ethns
The nexl slep, lheiefoie, is lo ask aloul ßaIinese elhos. Whal acluaIIy aie lhe
nolives and lhe vaIues vhich acconpany lhe conpIex and iich cuIluiaI aclivilies of
lhe ßaIinese` Whal, if nol conpelilive and olhei lypes of cunuIalive
inleiieIalionship, causes lhe ßaIinese lo caiiy oul lhe eIaloiale palleins of lheii Iives`
(1) Il is innedialeIy cIeai lo any visiloi lo ßaIi lhal lhe diiving foice foi cuIluiaI
aclivily is nc| eilhei acquisiliveness oi ciude physioIogicaI need. The ßaIinese,
especiaIIy in lhe pIains, aie nol hungiy oi poveily-sliicken. They aie vaslefuI of
food, and a veiy consideialIe pail of lheii aclivily goes inlo enliieIy nonpioduclive
aclivilies of an ailislic oi iiluaI naluie in vhich food and veaIlh aie IavishIy
expended. LssenliaIIy, ve aie deaIing vilh an econony of pIenly ialhei lhan an
econony of scaicily. Sone, indeed, aie ialed ¨pooi¨ ly lheii feIIovs, lul none of
lhese pooi aie lhiealened ly slaivalion, and lhe suggeslion lhal hunan leings nay
acluaIIy slaive in gieal OccidenlaI cilies vas, lo lhe ßaIinese, unulleialIy shocking.
See M. Mead, ¨IulIic Opinion Mechanisns anong Iiinilive IeopIes,¨ Puo|ic Opinicn
Quar|cr|q, 1937, is 5-16.
As is usuaI in anlhiopoIogy, lhe dala aie nol sufficienlIy piecise lo give us any cIue as lo lhe naluie
of lhe Ieaining piocesses invoIved. AnlhiopoIogy, al lesl, is onIy alIe lo raisc piolIens of lhis oidei.
The nexl slep nusl le Iefl foi Ialoialoiy expeiinenlalion.
(2) In lheii econonic liansaclions lhe ßaIinese shov a gieal deaI of caiefuIness in
lheii snaII deaIings. They aie ¨penny vise.¨ On lhe olhei hand, lhis caiefuIness is
counlei-acled ly occasionaI ¨pound fooIishness¨ vhen lhey viII expend Iaige suns
of noney upon ceienoniaIs and olhei foins of Iavish consunplion. Theie aie veiy
fev ßaIinese vho have lhe idea of sleadiIy naxinizing lheii veaIlh oi piopeily,
lhese fev aie pailIy disIiked and pailIy iegaided as oddilies. Ioi lhe vasl najoiily
lhe ¨saving of pennies¨ is done vilh a Iiniled line peispeclive and a Iiniled IeveI of
aspiialion. They aie saving unliI lhey have enough lo spend IaigeIy on sone
ceienoniaI. We shouId nol desciile ßaIinese econonics in leins of lhe individuaI´s
allenpl lo naxinize vaIue, lul ialhei conpaie il vilh lhe ieIaxalion osciIIalions of
physioIogy and engineeiing, ieaIizing lhal nol onIy is lhis anaIogy desciiplive of
lheii sequences of liansaclions, lul lhal lhey lhenseIves see lhese sequences as
naluiaIIy having sone such foin.
(3) The ßaIinese aie naikedIy dependenl upon spaliaI oiienlalion. In oidei lo le
alIe lo lehave lhey nusl knov lheii caidinaI poinls, and if a ßaIinese is laken ly
noloi cai ovei lvisling ioads so lhal he Ioses his sense of diieclion, he nay lecone
seveieIy disoiienlaled and unalIe lo acl (e.g., a dancei nay lecone unalIe lo dance)
unliI he has gol lack his oiienlalion ly seeing sone inpoilanl Iandnaik, such as lhe
cenliaI nounlain of lhe isIand aiound vhich lhe caidinaI poinls aie sliucluied. Theie
is a conpaialIe dependence upon sociaI oiienlalion, lul vilh lhis diffeience: lhal
vheie lhe spaliaI oiienlalion is in a hoiizonlaI pIane, sociaI oiienlalion is feIl lo le, in
lhe nain, veilicaI. When lvo sliangeis aie lioughl logelhei, il is necessaiy, lefoie
lhey can conveise vilh any fieedon, lhal lheii ieIalive casle posilions le slaled. One
viII ask lhe olhei, ¨Wheie do you sil`¨ and lhis is a nelaphoi foi casle. Il is asking,
essenliaIIy, ¨Do you sil high oi Iov`¨ When each knovs lhe casle of lhe olhei, each
viII lhen knov vhal eliquelle and vhal Iinguislic foins he shouId adopl, and
conveisalion can lhen pioceed. Lacking such oiienlalion, a ßaIinese is longue-lied.
(4) Il is connon lo find lhal aclivily (olhei lhan lhe ¨penny visdon¨ nenlioned
alove) ialhei lhan leing puiposive, i.e., ained al sone defeiied goaI, is vaIued foi
ilseIf. The ailisl, lhe dancei, lhe nusician, and lhe piiesl nay ieceive a pecuniaiy
ievaid foi lheii piofessionaI aclivily, lul onIy in iaie cases is lhis ievaid adequale lo
ieconpense lhe ailisl even foi his line and naleiiaIs. The ievaid is a loken of
appiecialion, il is a definilion of lhe conlexl in vhich lhe lhealiicaI conpany
peifoins, lul il is nol lhe econonic nain-slay of lhe lioupe. The eainings of lhe
lioupe nay le saved up lo enalIe lhen lo luy nev coslunes, lul vhen finaIIy lhe
coslunes aie loughl il is usuaIIy necessaiy foi eveiy nenlei lo nake a consideialIe
conliilulion lo lhe connon fund in oidei lo pay foi lhen. SiniIaiIy, in iegaid lo lhe
offeiings vhich aie laken lo eveiy lenpIe feasl, lheie is no puipose in lhis enoinous
expendiluie of ailislic voik and ieaI veaIlh. The god viII nol liing any lenefil
lecause you nade a leaulifuI sliucluie of fIoveis and fiuil foi lhe caIendiic feasl in
his lenpIe, noi viII he avenge youi alslenlion. Inslead of defeiied puipose lheie is
an innediale and innanenl salisfaclion in peifoining leaulifuIIy, vilh eveiylody
eIse, lhal vhich il is coiiecl lo peifoin in each pailicuIai conlexl.
(5) In geneiaI lheie is evidenl enjoynenl lo le had fion doing lhings lusiIy vilh
Iaige ciovds of olhei peopIe.
ConveiseIy lheie is such nisfoilune inheienl in lhe
ßaleson and Mead, cp. ci|., p1. 5.
Ioss of gioup nenleiship lhal lhe lhieal of lhis Ioss is one of lhe nosl seiious
sanclions in lhe cuIluie.
(6) Il is of gieal inleiesl lo nole lhal nany ßaIinese aclions aie ailicuIaleIy
accounled foi in socioIogicaI leins ialhei lhan in leins of individuaI goaIs oi
This is nosl conspicuous in iegaid lo aII aclions ieIaled lo lhe viIIage counciI, lhe
hieiaichy vhich incIudes aII fuII cilizens. This lody, in ils secuIai aspecls, is iefeiied
lo as | Dcsa (IileiaIIy, ¨Mi. ViIIage¨), and nuneious iuIes and pioceduies aie
ialionaIized ly iefeience lo lhis alsliacl peisonage. SiniIaiIy, in ils sacied aspecls,
lhe viIIage is deified as 8c|ara Dcsa (Cod ViIIage), lo vhon shiines aie eiecled and
offeiings lioughl. (We nay guess lhal a Duikheinian anaIysis vouId seen lo lhe
ßaIinese lo le an olvious and appiopiiale appioach lo lhe undeislanding of nuch of
lheii pulIic cuIluie.)
In pailicuIai aII noney liansaclions vhich invoIve lhe viIIage lieasuiy aie
goveined ly lhe geneiaIizalion, ¨The viIIage does nol Iose¨ (Dcsannc sing dadi pc|jc|).
This geneiaIizalion appIies, foi exanpIe, in aII cases in vhich a leasl is soId fion lhe
viIIage heid. Undei no ciicunslances can lhe viIIage accepl a piice Iess lhan lhal
vhich il acluaIIy oi noninaIIy paid. (Il is inpoilanl lo nole lhal lhe iuIe lakes lhe
foin of fixing a Iovei Iinil and is nol an injunclion lo naxinize lhe viIIage lieasuiy.)
A pecuIiai avaieness of lhe naluie of sociaI piocesses is evidenl in such incidenls
as lhe foIIoving: A pooi nan vas aloul lo undeigo one of lhe inpoilanl and
expensive ri|cs dc passagc vhich aie necessaiy foi peisons as lhey appioach lhe lop of
lhe counciI hieiaichy. We asked vhal vouId hap-pen if he iefused lo undeilake lhis
expendiluie. The fiisl ansvei vas lhal, if he veie loo pooi, | Dcsa vouId |cnd hin lhe
noney. In iesponse lo fuilhei piessing as lo vhal vouId happen if he ieaIIy iefused,
ve veie loId lhal nolody evei had iefused, lul lhal if sonelody did, nolody vouId
go lhiough lhe ceienony again. InpIicil in lhis ansvei and in lhe facl lhal nolody
evei does iefuse is lhe assunplion lhal lhe ongoing cuIluiaI piocess is ilseIf lo le
(7) Aclions vhich aie cuIluiaIIy coiiecl (pa|cc|) aie acceplalIe and aeslhelicaIIy
vaIued. Aclions vhich aie peinissilIe (dadi) aie of noie oi Iess neuliaI vaIue, vhiIe
aclions vhich aie nol peinissilIe (sing dadi) aie lo le depiecaled and avoided. These
geneiaIizalions, in lheii liansIaled foin, aie no doull liue in nany cuIluies, lul il is
inpoilanl lo gel a cIeai undeislanding of vhal lhe ßaIinese nean ly dadi. The nolion
is nol lo le equaled vilh oui ¨eliquelle
oi ¨Iav,¨ since each of lhese invokes lhe
vaIue judgnenl of sone olhei peison oi socioIogicaI enlily. In ßaIi lheie is no feeIing
lhal aclions have leen oi aie calegoiized as dadi oi sing dadi ly sone hunan oi
supeinaluiaI aulhoiily. Ralhei, lhe slalenenl lhal such-and-such an aclion is dadi is
an alsoIule geneiaIizalion lo lhe effecl lhal undei lhe given ciicunslances lhis aclion
is ieguIai.
Il is viong foi a casleIess peison lo addiess a piince in olhei lhan lhe
¨poIished Ianguage,
and il is viong foi a nensliualing vonan lo enlei a lenpIe.
The piince oi lhe deily nay expiess annoyance, lul lheie is no feeIing lhal eilhei lhe
piince, lhe deily, oi lhe casleIess pei-son nade lhe iuIes. The offense is feIl lo le
againsl lhe oidei and naluiaI sliucluie of lhe univeise ialhei lhan againsl lhe acluaI
Cf. Natcn, pp. 25O if., vheie il vas suggesled lhal ve nusl expecl lo find lhal sone peopIes of lhe voiId
vouId ieIale lheii aclions lo lhe socioIogicaI fiane.
The void dadi is aIso used as a copuIa iefeiiing lo changes in sociaI slalus. | Ancc dadi
Kccoajan neans ¨So-and-so has lecone a viIIage officiaI.¨
peison offended. The offendei, even in such seiious nalleis as incesl (foi vhich he
nay le exliuded fion lhe sociely)
is nol lIaned foi anylhing voise lhan slupidily
and cIunsiness. Ralhei, he is ¨an unfoilunale peison¨ (ana| |a|fccr), and nisfoilune
nay cone lo any of us ¨vhen il is oui luin.¨ Iuilhei, il nusl le sliessed lhal lhese
palleins vhich define coiiecl and peinissilIe lehavioi aie exceedingIy conpIex
(especiaIIy lhe iuIes of Ianguage) and lhal lhe individuaI ßaIinese (even lo sone
degiee inside his ovn faniIy) has conlinuaI anxiely Iesl he nake an eiioi. Moieovei,
lhe iuIes aie nol of such a kind lhal lhey can le sunnaiized eilhei in a sinpIe iecipe
oi an enolionaI allilude. Lliquelle cannol le deduced fion sone conpiehensive
slalenenl aloul lhe olhei peison´s feeIings oi fion iespecl foi supeiiois. The delaiIs
aie loo conpIex and loo vaiious foi lhis, and so lhe individuaI ßaIinese is foievei
picking his vay, Iike a lighliope vaIkei, afiaid al any nonenl Iesl he nake sone
(8) The nelaphoi fion posluiaI laIance used in lhe Iasl paiagiaph is
denonslialIy appIicalIe in nany conlexls of ßaIinese cuIluie:
The feai of Ioss of suppoil is an inpoilanl lhene in ßaIinese chiIdhood.
(a)LIevalion (vilh ils allendanl piolIens of physicaI and nelaphoiicaI
laIance) is lhe passive conpIenenl of iespecl.
The ßaIinese chiId is eIevaled Iike a supeiioi pei-son oi a god.
(l)In cases of acluaI physicaI eIevalion
lhe duly of laIancing lhe syslen
faIIs on lhe suppoiling Iovei peison, lul conlioI of lhe diieclion in vhich lhe
syslen viII nove is in lhe hands of lhe eIevaled. The IillIe giiI in lhe figuie
slanding in liance on a nan´s shouIdeis can cause hei leaiei lo go vheievei she
desiies ly neieIy Ieaning in lhal diieclion. He nusl lhen nove in lhal diieclion
in oidei lo nainlain lhe laIance of lhe syslen.
(c)A Iaige piopoilion of oui coIIeclion of 1200 ßaIinese caivings shovs
pieoccupalion on lhe pail of lhe ailisl vilh piolIens of laIance.
The Wilch, lhe peisonificalion of feai, fiequenlIy uses a gesluie caIIed |apar,
vhich is desciiled as lhal of a nan faIIing fion a coconul paIn on suddenIy seeing a
snake. In lhis gesluie lhe ains aie iaised sidevays lo a posilion sone-vhal alove lhe
The oidinaiy ßaIinese lein foi lhe peiiod lefoie lhe coning of lhe vhile nan is
¨vhen lhe voiId vas sleady¨ (dccgas gccninc cn|cg).
3.4.4 App!IcatInns nf thc Vnn NcumannIan Gamc
Lven lhis veiy liief Iisling of sone of lhe eIenenls in ßaIinese elhos suffices lo
indicale lheoielicaI piolIens of piine inpoilance. Lel us considei lhe nallei in
alsliacl leins. One of lhe hypolheses undeiIying nosl socioIogy is lhal lhe dynanics
of lhe sociaI nechanisn can le desciiled ly assuning lhal lhe individuaIs
Mead, ¨IulIic Opinion Mechanisns anong Iiinilive IeopIes,¨ |cc. ci|., 1937.
ßaleson and Mead, cp. ci|., pIs. 17, 67, and 79.
|oid., pIs. 1O-14.
|oid., p1. 45.
|oid., p1. 1O, fig. 3.
Al piesenl il is nol possilIe lo nake such a slalenenl in shaipIy defined quanlilalive leins,
lhe avaiIalIe judgnenls leing suljeclive and OccidenlaI.
consliluling lhal nechanisn aie nolivaled lo naxinize ceilain vaiialIes. In
convenlionaI econonic lheoiy il is assuned lhal lhe individuaIs viII naxinize vaIue,
vhiIe in schisnogenic lheoiy il vas lacilIy assuned lhal lhe individuaIs vouId
naxinize inlangilIe lul sliII sinpIe vaiialIes such as pieslige, seIf-esleen, oi even
sulnissiveness. The ßaIinese, hovevei, do nol naxinize any such sinpIe vaiialIes.
In oidei lo define lhe soil of conliasl vhich exisls lelveen lhe ßaIinese syslen
and any conpelilive syslen, Iel us slail ly consideiing lhe pienisses of a sliiclIy
conpelilive Von Neunannian gane and pioceed ly consideiing vhal changes ve
nusl nake in lhese pienisses in oidei lo appioxinale noie cIoseIy lo lhe ßaIinese
(1) The pIayeis in a Von Neunannian gane aie, ly hypolhesis, nolivaled onIy in
leins of a singIe Iineai (sc. nonelaiy) scaIe of vaIue. Theii slialegies aie deleinined:
(a) ly lhe iuIes of lhe hypolhelicaI gane, and (o) ly lheii inleIIigence, vhich is, ly
hypolhesis, sufficienl lo soIve aII piolIens piesenled ly lhe gane. Von Neunann
shovs lhal, undei ceilain definalIe ciicunslances depending upon lhe nunlei of
pIayeis and upon lhe iuIes, coaIilions of vaiious soils viII le foined ly lhe pIayeis,
and in facl Von Neunann´s anaIysis concenliales nainIy upon lhe sliucluie of lhese
coaIilions and lhe disliilulion of vaIue anong lhe nenleis. In conpaiing lhese
ganes vilh hunan socielies ve shaII iegaid sociaI oiganizalions as anaIogous lo
coaIilion syslens.
(2) Von Neunannian syslens diffei fion hunan socielies in lhe foIIoving
(a)His ¨pIayeis¨ aie fion lhe slail conpIeleIy inleIIigenl, vheieas hunan
leings Ieain. Ioi hunan leings ve nusl expecl lhal lhe iuIes of lhe gane and lhe
convenlions associaled vilh any pailicuIai sel of coaIilions viII lecone
incoipoialed inlo lhe chaiaclei sliucluies of lhe individuaI pIayeis.
(l)The nannaIian vaIue scaIe is nol sinpIe and nono-lone, lul nay le
exceedingIy conpIex. We knov, even al a physioIogicaI IeveI, lhal caIciun viII nol
iepIace vilanins, noi viII an anino acid iepIace oxygen. Iuilhei, ve knov lhal lhe
aninaI does nol sliive lo naxinize ils suppIy of any of lhese disciepanl
connodilies, lul ialhei is iequiied lo nainlain lhe suppIy of each vilhin loIeialIe
Iinils. Too nuch nay le as hainfuI as loo IillIe. Il is aIso doullfuI vhelhei
nannaIian piefeience is aIvays liansilive.
(c) In lhe Von Neunannian syslen lhe nunlei of noves in a given ¨pIay¨ of a
gane is assuned lo le finile. The slialegic piolIens of lhe individuaIs aie soIulIe
lecause lhe individuaI can opeiale vilhin a Iiniled line peispeclive. He need onIy
Iook foivaid a finile dislance lo lhe end of lhe pIay vhen lhe gains and Iosses viII le
paid up and eveiy-lhing viII slail again fion a |aou|a rasa. In hunan sociely Iife is nol
AIleinaliveIy, ve nighl handIe lhe anaIogy in anolhei vay. A sociaI syslen is, as Von Neunann
and Moigenslein poinl oul, conpaialIe lo a non-zeio sun gane in vhich one oi noie coaIilions of
peopIe pIay againsl each olhei and againsl naluie. The non-zeio sun chaiacleiislic is lased on lhe facl
lhal vaIue is conlinuaIIy exliacled fion lhe naluiaI enviionnenl. Inasnuch as ßaIinese sociely
expIoils naluie, lhe lolaI enlily, incIuding lolh enviionnenl and peopIe, is cIeaiIy conpaialIe lo a
gane iequiiing coaIilion lelveen peopIe. Il is possilIe, hovevei, lhal lhal suldivision of lhe lolaI
gane conpiising lhe pccp|c cn|q nighl le such lhal lhe foinalion of coaIilions vilhin il vouId nol
le essenliaI~lhal is, ßaIinese sociely nay diffei fion nosl olhei socielies in lhal lhe ¨iuIes¨ of lhe
ieIalionship lelveen peopIe de-fine a ¨gane¨ of lhe lype Von Neunann vouId caII ¨non-essenliaI.
This possiliIily is nol heie exanined. (See Von Neunann and Moigenslein, cp. ci|.)
punclualed in lhis vay, and each individuaI faces a visla of unknovalIe faclois
vhose nunlei incieases (piolalIy exponenliaIIy) inlo lhe fuluie.
(d) The Von Neunannian pIayeis aie, ly hypolhesis, nol susceplilIe eilhei lo
econonic dealh oi lo loiedon. The Ioseis can go on Iosing foievei, and no pIayei can
vilhdiav fion lhe gane, even lhough lhe oulcone of eveiy pIay is definileIy
piediclalIe in piolaliIily leins.
(3) Of lhese diffeiences lelveen Von Neunannian and hunan syslens, onIy lhe
diffeiences in vaIue scaIes and lhe possiliIily of ¨dealh¨ concein us heie. Ioi lhe sake
of sinpIicily ve shaII assune lhal lhe olhei diffeiences, lhough veiy piofound, can
foi lhe nonenl le ignoied.
(4) CuiiousIy, ve nay nole lhal, aIlhough nen aie nannaIs and lheiefoie have
a piinaiy vaIue syslen vhich is nuIlidinensionaI and nonnaxinizing, il is yel
possilIe foi lhese ciealuies lo le pul inlo conlexls in vhich lhey viII sliive lo
naxinize one oi a fev sinpIe vaiialIes (noney, pieslige, povei, elc.).
(5) Since lhe nuIlidinensionaI vaIue syslen is appaienlIy piinaiy, lhe piolIen
piesenled ly, foi exanpIe, IalnuI sociaI oiganizalion is nol so nuch lo accounl foi
lhe lehavioi of IalnuI individuaIs ly invoking (oi alsliacling) lheii vaIue syslen,
ve shouId aIso ask hov lhal vaIue syslen is inposed on lhe nannaIian individuaIs
ly lhe sociaI oiganizalion in vhich lhey find lhenseIves. ConvenlionaIIy in
anlhiopoIogy lhis queslion is allacked lhiough genelic psychoIogy. We endeavoi lo
coIIecl dala lo shov hov lhe vaIue syslen inpIicil in lhe sociaI piganizalion is luiIl
inlo lhe chaiaclei sliucluie of lhe individuaIs in lheii chiIdhood. Theie is, hovevei,
an aIleinalive appioach vhich vouId nonenlaiiIy ignoie, as Von Neunann does,
lhe phenonena of Ieaining and considei neieIy lhe slialegic inpIicalions of lhose
conlexls vhich nusl occui in accoidance vilh lhe given ¨iuIes¨ and lhe coaIilion
syslen. In lhis conneclion il is inpoilanl lo nole lhal conpelilive conlexls~piovided
lhe individuaIs can le nade lo iecognize lhe conlexls as conpelilive~inevilalIy
ieduce lhe conpIex ganul of vaIues lo veiy sinpIe and even Iineai and nonolone
Consideialions of lhis soil, p|us desciiplions of lhe ieguIaiilies in lhe piocess
of chaiaclei foinalion, piolalIy suffice lo de-sciile hov sinpIe vaIue scaIes aie
inposed upon nannaIian individuaIs in conpelilive socielies such as lhal of lhe
IalnuI oi lvenlielh-cenluiy Aneiica.
(6) In ßaIinese sociely, on lhe olhei hand, ve find an. enliieIy diffeienl slale of
affaiis. Neilhei lhe individuaI noi lhe viIIage is conceined lo naxinize any sinpIe
vaiialIe. Ralhei, lhey vouId seen lo le conceined lo naxinize sone-lhing vhich ve
nay caII slaliIily, using lhis lein peihaps in a highIy nelaphoiicaI vay. (Theie is, in
facl, one sinpIe quanlilalive vaiialIe vhich does appeai lo le naxinized. This
vaiialIe is lhe anounl of any fine inposed ly lhe viIIage. When fiisl inposed lhe
fines aie noslIy veiy snaII, lul if paynenl is deIayed lhe anounl of lhe fine is
incieased veiy sleepIy, and if lheie le any sign lhal lhe offendei is rcfusing lo pay
~¨opposing lhe viIIage¨~lhe fine is al once iaised lo an enoinous sun and lhe
offendei is depiived of nenleiship in lhe connunily unliI he is viIIing lo give up
his opposilion. Then a pail of lhe fine nay le excused.)
(7) Lel us nov considei an hypolhelicaI syslen consisling of a nunlei of
idenlicaI pIayeis, pIus an unpiie vho is conceined vilh lhe nainlenance of slaliIily
anong lhe pIayeis. Lel us fuilhei suppose lhal lhe pIayeis aie IialIe lo econonic
L. K. Iiank, ¨The Cosl of Conpelilion,¨ P| an Agc, 194O, vi : 314-24.
dealh, lhal oui unpiie is conceined lo see lhal lhis shaII nol occui, and lhal lhe
unpiie has povei lo nake ceilain aIleialions in lhe iuIes of lhe gane oi in lhe
piolaliIilies associaled vilh chance noves. CIeaiIy lhis unpiie viII le in noie oi
Iess conlinuaI confIicl vilh lhe pIayeis. He is sliiving lo nainlain a dynanic
equiIiliiun oi sleady slale, and lhis ve nay iephiase as lhe allenpl lo naxinize lhe
chances agains| lhe naxinizalion of any singIe sinpIe vaiialIe.
(8.) Ashly has poinled oul in iigoious leins lhal lhe sleady slale and conlinued
exislence of conpIex inleiaclive syslens depend upon pievenling lhe naxinizalion
of any vaiialIe, and lhal any conlinued inciease in any vaiialIe viII inevilalIy iesuIl
in, and le Iiniled ly, iiieveisilIe changes in lhe syslen. He has aIso poinled oul lhal
in such syslens il is veiy inpoilanl lo peinil ceilain vaiialIes lo aIlei.
The sleady
slale of an engine vilh a goveinoi is unIikeIy lo le nainlained if lhe posilion of lhe
laIIs of lhe goveinoi is cIanped. SiniIaiIy a lighliope vaIkei vilh a laIancing poIe
viII nol le alIe lo nainlain his laIance excepl ly tarqing lhe foices vhich he exeils
upon lhe poIe.
(9) Reluining nov lo lhe concepluaI nodeI suggesled in paiagiaph 7, Iel us lake
one fuilhei slep lovaid naking lhis nodeI conpaialIe vilh ßaIinese sociely. Lel us
sulslilule foi lhe unpiie a viIIage counciI conposed of aII lhe pIayeis. We nov have
a syslen vhich piesenls a nunlei of anaIogies lo oui laIancing aciolal. When lhey
speak as nenleis of lhe viIIage counciI, lhe pIayeis ly hypolhesis aie inleiesled in
nainlaining lhe sleady slale of lhe syslen~lhal is, in pievenling lhe naxinizalion of
any sinpIe vaiialIe lhe excessive inciease of vhich vouId pioduce iiieveisilIe
change. In lheii daiIy Iife, hovevei, lhey aie sliII engaged in sinpIe conpelilive
(1O) The nexl slep lovaid naking oui nodeI iesenlIe ßaIinese sociely noie
cIoseIy is cIeaiIy lo posluIale in lhe chaiaclei sliucluie of lhe individuaIs and/oi in
lhe conlexls of lheii daiIy Iife lhose faclois vhich viII nolivale lhen lovaid
nainlenance of lhe sleady slale nol onIy vhen lhey speak in counciI, lul´aIso in lheii
olhei inleipeisonaI ieIalions. These faclois aie in facl iecognizalIe in ßaIi and have
leen enuneialed alove. In oui anaIysis of vhy ßaIinese sociely is nonschisnogenic,
ve noled lhal lhe ßaIinese chiId Ieains lo avoid cunuIalive inleiaclion, i.e., lhe
naxinizalion of ceilain sinpIe vaiialIes, and lhal lhe sociaI oiganizalion and
conlexls of daiIy Iife aie so consliucled as lo piecIude conpelilive inleiaclion.
Iuilhei, in oui anaIysis of lhe ßaIinese elhos, ve noled iecuiienl vaIualion: (a) of lhe
cIeai and slalic definilion of slalus and spaliaI oiienlalion, and (l) of laIance and
such novenenl as viII conduce lo laIance.
In sun il seens lhal lhe ßaIinese exlend lo hunan ieIalionships alliludes lased
upon lodiIy laIance, and lhal lhey geneiaIize lhe idea lhal nolion is essenliaI lo
laIance. This Iasl poinl gives us, I leIieve, a pailiaI ansvei lo lhe queslion of vhy lhe
sociely nol onIy conlinues lo funclion lul funclions iapidIy and lusiIy, conlinuaIIy
undeilaking ceienoniaI and ailislic lasks vhich aie nol econonicaIIy oi
conpeliliveIy deleinined. This sleady slale is nainlained ly conlinuaI
nonpiogiessive change.
W. R. Ashly, ¨Lffecl of ConlioIs on SlaliIily,¨ Na|urc, c|t, nc. 3930, Ieliuaiy 24, 1945,
3.4.5 5chIsmngcnIc 5ystcm vcrsus thc 5tcady 5tatc
I have discussed lvo lypes of sociaI syslen in such schenalic oulIine lhal il is
possilIe lo slale cIeaiIy a conliasl lelveen lhen. ßolh lypes of syslen, so fai as lhey
aie capalIe of nainlaining lhenseIves vilhoul piogiessive oi iiieveisilIe change,
achieve lhe sleady slale. Theie aie, hov-evei, piofound diffeiences lelveen lhen in
lhe nannei in vhich lhe sleady slale is ieguIaled.
The IalnuI syslen, vhich is heie used as a piololype of schisnogenic syslens,
incIudes a nunlei of iegeneialive causaI ciicuils oi vicious ciicIes. Lach such ciicuil
consisls of lvo oi noie individuaIs (oi gioups of individuaIs) vho pailicipale in
polenliaIIy cunuIalive inleiaclion. Lach hunan individuaI is an eneigy souice oi
¨ieIay,¨ such lhal lhe eneigy used in his iesponses is nol deiived fion lhe slinuIi lul
fion his ovn nelaloIic piocesses. Il lheiefoie foIIovs lhal such a schisnogenic
syslen is~unIess conlioIIed~IialIe lo excessive inciease of lhose acls vhich
chaiacleiize lhe schisnogeneses. The anlhiopoIogisl vho allenpls even a quaIilalive
desciiplion of
such a syslen nusl lheiefoie idenlify: (1) lhe individuaIs and gioups
invoIved in schisnogenesis and lhe ioules of connunicalion lelveen lhen, (2) lhe
calegoiies of acls and conlexls chaiacleiislic of lhe schisnogeneses, (3) lhe piocesses
vheiely lhe individuaIs lecone psychoIogicaIIy apl lo peifoin lhese acls and/oi
lhe naluie of lhe conlexls vhich foice lhese acls upon lhen, and IaslIy, (4) he nusl
idenlify lhe nechanisns oi faclois vhich conlioI lhe schisnogeneses. These
conlioIIing faclois nay le of al Ieasl lhiee dislincl lypes: (a) degeneialive causaI
Ioops nay le supeiposed upon lhe schisnogeneses so lhal vhen lhe Iallei ieach a
ceilain inlensily sone foin of iesliainl is appIied as occuis in OccidenlaI syslens
vhen a goveinnenl inleivenes lo Iinil econonic conpelilion, (l) lheie nay le, in
addilion lo lhe schisnogeneses aIieady consideied, olhei cunuIalive inleiaclions
acling in an opposile sense and so pionoling sociaI inlegialion ialhei lhan fission, (c)
lhe inciease in schisnogenesis nay le Iiniled ly faclois vhich aie inleinaIIy oi
exleinaIIy enviionnenlaI lo lhe pails of lhe schisnogenic ciicuil. Such faclois vhich
have onIy snaII iesliaining effecl al Iov inlensilies of schisnogenesis nay inciease
vilh inciease of inlensily. Iiiclion, faligue, and Iinilalion of eneigy suppIy vouId le
exanpIes of such faclois.
In conliasl vilh lhese schisnogenic syslens, ßaIinese sociely is an enliieIy
diffeienl lype of nechanisn, and in de-sciiling il lhe anlhiopoIogisl nusl foIIov
enliieIy diffeienl pioceduies, foi vhich iuIes cannol as yel le Iaid dovn. Since lhe
cIass of ¨nonschisnogenic¨ sociaI syslens is defined onIy in negalive leins, ve
cannol assune lhal nenleis of lhe cIass viII have connon chaiacleiislics. In lhe
anaIysls of lhe ßaIinese syslen, hovevei, lhe foIIoving sleps occuiied, and il is
possilIe lhal sone al Ieasl of lhese nay le appIicalIe in lhe anaIysis of olhei cuIluies
of lhis cIass: (1) il vas olseived lhal schisnogenic sequences aie iaie in ßaIi, (2) lhe
exceplionaI cases in vhich such sequences occui veie invesligaled, (3) fion lhis
invesligalion il appeaied, (a) lhal in geneiaI lhe conlexls vhich iecui in ßaIinese
sociaI Iife piecIude cunuIalive inleiaclion and ( l) lhal chiIdhood expeiience liains
lhe chiId avay fion seeking cIinax in peisonaI inleiaclion, (4) il vas shovn lhal
ceilain posilive vaIues~ieIaled lo laIance~iecui in lhe cuIluie and aie incoipoialed
inlo lhe chaiaclei sliucluie duiing chiId-hood, and, fuilhei, lhal lhese vaIues nay le
specificaIIy ieIaled lo lhe sleady slale, (5) a noie delaiIed sludy is nov iequiied lo
aiiive al a syslenalic slalenenl aloul lhe seIf-coiiecling chaiacleiislics of lhe syslen.
Il is evidenl lhal lhe elhos aIone is insufficienl lo nainlain lhe sleady slale. Iion line
lo line lhe viIIage oi sone olhei enlily does slep in lo coiiecl infiaclions. The naluie
of lhese inslances of lhe voiking of lhe coiieclive nechanisn nusl le sludied, lul il
is cIeai lhal lhis inleinillenl nechanisn is veiy diffeienl fion lhe conlinuaIIy acling
iesliainls vhich nusl le piesenl in aII schisnogenic syslens.
3.5 Stµ|e, Grace, and lnformatlon ln Prlmltlte
3.5.1 IntrnductInn
This papei consisls of seveiaI sliII-sepaiale allenpls lo nap a lheoiy associaled
vilh cuIluie and lhe nonveilaI ails. Since no one of lhese allenpls is conpIeleIy
successfuI, and since lhe allenpls do nol as yel neel in lhe niddIe of lhe leiiiloiy lo
le napped, il. nay le usefuI lo slale, in non-lechnicaI Ianguage, vhal il is I an aflei.
AIdous HuxIey used lo say lhal lhe cenliaI piolIen foi hunanily is lhe quesl foi
gracc. This void he used in vhal he lhoughl vas lhe sense in, vhich il is used in lhe
Nev Teslanenl. He expIained lhe void, hovevei, in his ovn leins. He aigued~Iike
WaIl Whilnan~lhal lhe connunicalion and lehavioi of aninaIs has a naivele, a
sinpIicily, vhich nan has Iosl. Man´s lehavioi is coiiupled ly deceil~even seIf-
deceil~ly puipose, and ly seIf-consciousness. As AIdous sav lhe nallei, nan has
Iosl lhe ¨giace¨ vhich aninaIs sliII have.
In leins of lhis conliasl, AIdous aigued lhal Cod iesenlIes lhe aninaIs ialhei
lhan nan: He is ideaIIy unalIe lo deceive and incapalIe of inleinaI confusions.
In lhe lolaI scaIe of leings, lheiefoie, nan is as if dispIaced sidevays and Iacks
lhal giace vhich lhe aninaIs have and vhich Cod has.
I aigue lhal ail is a pail of nan´s quesl foi giace, sone-lines his ecslasy in pailiaI
success, sonelines his iage and agony al faiIuie.
I aigue aIso lhal lheie aie nany species of giace vilhin lhe najoi genus, and aIso
lhal lheie aie nany kinds of faiIuie and fiuslialion and depailuie fion giace. No
doull each cuIluie has ils chaiacleiislic species of giace lovaid vhich ils ailisls
sliive, and ils ovn species of faiIuie.
Sone cuIluies nay foslei a negalive appioach lo lhis difficuIl inlegialion, an
avoidance of conpIexily ly ciass piefeience eilhei foi lolaI consciousness oi lolaI
unconsciousness. Theii ail is unIikeIy lo le ¨gieal.¨
I shaII aigue lhal lhe piolIen of giace is fundanenlaIIy a piolIen of inlegialion
and lhal vhal is lo le inlegialed is lhe diveise pails of lhe nind~especiaIIy lhose
nuIlipIe IeveIs of vhich one exliene is caIIed ¨consciousness¨ and lhe olhei lhe
¨unconscious.¨ Ioi lhe allainnenl of giace, lhe ieasons of lhe heail nusl le
inlegialed vilh lhe ieasons of lhe ieason.
Ldnund Leach has confionled us, in lhis confeience, vilh lhe queslion: Hov is il
lhal lhe ail of one cuIluie can have neaning oi vaIidily foi ciilics iaised in a diffeienl
cuIluie` My ansvei vouId le lhal, if ail is sonehov expiessive of sonelhing Iike
giace oi psychic inlegialion, lhen lhe succcss of lhis expiession nighl veII le
iecognizalIe acioss cuIluiaI laiiieis. The physicaI giace of cals is piofoundIy
This essay vas a posilion papei foi lhe Wennei-Cien Confeience on Iiinilive Ail, 1967. Il is
heie iepiinled fion A S|udq cf Prini|itc Ar|, ediled ly Di. Anlhony Ioige, lo le pulIished ly
Oxfoid Univeisily Iiess, ly peinission of lhe pulIishei.
diffeienl fion lhe physicaI giace of hoises, and yel a nan vho has lhe physicaI giace
of neilhei can evaIuale lhal of lolh.
And even vhen lhe suljecl nallei of ail is lhe fiuslialion of inlegialion, cioss-
cuIluiaI iecognilion of lhe pioducls of lhis fiuslialion is nol loo suipiising.
The cenliaI queslion is: In vhal foin is infoinalion aloul psychic inlegialion
conlained oi coded in lhe voik of ail`
3.5.2 5ty!c and McanIng
They say lhal ¨eveiy picluie leIIs a sloiy,¨ and lhis geneiaIizalion hoIds foi nosl
of ail if ve excIude ¨neie¨ geoneliic oinanenlalion. ßul I vanl pieciseIy lo avoid
anaIyzing lhe ¨sloiy.
Thal aspecl of lhe voik of ail vhich can nosl easiIy le
ieduced lo voids~lhe nq|nc|cgq connecled vilh lhe suljecl nallei~is nol vhal I
vanl lo discuss. I shaII nol even nenlion lhe unconscious nylhoIogy of phaIIic
synloI-isn, excepl al lhe end.
I an conceined vilh vhal inpoilanl psychic infoinalion is in lhe ail oljecl quile
apail fion vhal il nay ¨iepiesenl.¨ ´|c s|q|c cs| |´ncnnc ncnc
(¨The slyIe is lhe nan
hin-seIf¨) (ßuffon). Whal is inpIicil in slyIe, naleiiaIs, conposilion, ihylhn, skiII,
and so on`
CIeaiIy lhis suljecl nallei viII incIude geoneliicaI oinanenlalion aIong vilh lhe
conposilion and slyIislic aspecls of noie iepiesenlalionaI voiks.
The Iions in TiafaIgai Squaie couId have leen eagIes oi luIIdogs and sliII have
caiiied lhe sane (oi siniIai) nessages aloul enpiie and aloul lhe cuIluiaI pienises
of nineleenlh-cenluiy LngIand. And yel, hov diffeienl nighl lheii nessage have
leen had lhey leen nade of vood!
ßul iepiesenlalionaIisn as such is ieIevanl. The exlieneIy ieaIislic hoises and
slags of AIlaniia aie suieIy nol aloul lhe sane cuIluiaI pienises as lhe highIy
convenlionaIized lIack oulIines of a Ialei peiiod. The ccdc vheiely peiceived oljecls
oi peisons (oi supeinaluiaIs) aie liansfoined inlo vood oi painl is a souice of
infoinalion aloul lhe ailisl and his cuIluie.
Il is lhe veiy iuIes of liansfoinalion lhal aie of inleiesl lo ne~nol lhe nessage,
lul lhe code.
My goaI is nol insliunenlaI. I do nol vanl lo use lhe liansfoinalion iuIes vhen
discoveied lo undo lhe liansfoinalion oi lo ¨decode¨ lhe nessage. To liansIale lhe
ail oljecl inlo nylhoIogy and lhen exanine lhe nylhoIogy vouId le onIy a neal vay
of dodging oi negaling lhe piolIen of ¨vhal is ail`¨
I ask, lhen, nol aloul lhe neaning of lhe encoded nessage lul ialhei aloul lhe
neaning of lhe code chosen. ßul sliII lhal nosl sIippeiy void ¨neaning¨ nusl le
Il viII le convenienl lo define neaning in lhe nosl geneiaI possilIe vay in lhe
fiisl inslance.
¨Meaning¨ nay le iegaided as an appioxinale synonyn of pallein,
iedundancy, infoinalion, and ¨iesliainl,¨ vilhin a paiadign of lhe foIIoving soil:
Any aggiegale of evenls oi oljecls (e.g., a sequence of phonenes, a painling, oi a
fiog, oi a cuIluie) shaII le said lo conlain ¨iedundancy¨ oi ¨pallein¨ if lhe aggiegale
can le divided in any vay ly a ¨sIash naik,¨ such lhal an olseivei peiceiving onIy
vhal is on one side of lhe sIash naik can gucss, vilh lellei lhan iandon success,
vhal is on lhe olhei side of lhe sIash naik. We nay say lhal vhal is on one side of
lhe sIash conlains infcrna|icn oi has ncaning aloul vhal is on lhe olhei side. Oi, in
engineei´s Ianguage, lhe aggiegale conlains ¨iedundancy.¨ Oi, again, fion lhe poinl
of viev of a cyleinelic olseivei, lhe infoinalion avaiIalIe on one side of lhe sIash
viII iesliain (i.e., ieduce lhe piolaliIily of) viong guessing. LxanpIes:
The Iellei T in a given Iocalion in a piece of viillen LngIish piose pioposes lhal
lhe nexl Iellei is IikeIy lo le an H oi an R oi a voveI. Il is possilIe lo nake a lellei
lhan iandon guess acioss a sIash vhich innedialeIy foIIovs lhe T. LngIish speIIing
conlains iedundancy.
Iion a pail of an LngIish senlence, deIiniled ly a sIash, il is possilIe lo guess al
lhe synlaclic sliucluie of lhe ienaindei of lhe senlence.
Iion a liee visilIe alove giound, il is possilIe lo guess al lhe exislence of iools
leIov giound. The lop piovides infoinalion aloul lhe lollon.
Iion an aic of a draun ciicIe, il is possilIe lo guess al lhe posilion of olhei pails
of lhe ciicunfeience. (Iion lhe dianelei of an idca| ciicIe, il is possilIe lo asseil lhe
Ienglh of lhe ciicunfeience. ßul lhis is a nallei of liulh vilhin a lauloIogicaI syslen.)
Iion hov lhe loss acled yesleiday, il nay le possilIe lo guess hov he viII acl
Iion vhal I say, il nay le possilIe lo nake piediclions aloul hov you viII
ansvei. My voids conlain neaning oi infoinalion aloul youi iepIy.
TeIegiaphisl A has a viillen nessage on his pad and sends lhis nessage ovei
viie lo ß, so lhal ß nov gels lhe sane sequence of Ielleis on his nessage pad. This
liansaclion (oi ¨Ianguage gane¨ in Willgenslein´s phiase) has ciealed a iedundanl
univeise foi an olseivei O. If O knovs vhal vas on A´s pad, he can nake a lellei
lhan iandon guess al vhal is on ß´s pad.
The essence and raiscn d´c|rc of connunicalion is lhe ciealion of iedundancy,
neaning, pallein, piediclaliIily, infoinalion, and/oi lhe ieduclion of lhe iandon ly
Il is, I leIieve, of piine inpoilance lo have a concepluaI syslen vhich viII foice
us lo see lhe ¨nessage¨ (e.g., lhe ail oljecl) as oc|n ilseIf inleinaIIy palleined and ilseIf
a pail of a Iaigei palleined univeise~lhe cuIluie oi sone pail of il.
The chaiacleiislics of oljecls of ail aie leIieved lo le aocu|, oi lo le pailIy
deiived fion, oi deleinined ly, olhei chaiacleiislics of cuIluiaI and psychoIogicaI
syslens. Oui piolIen nighl lheiefoie he oveisinpIy iepiesenled ly lhe diagian:
|Chaiacleiislic, of ail oljecl/Chaiacleiislics of iesl of cuIluiej
vheie squaie liackels encIose lhe univeise of ieIevance, and vheie lhe olIique
slioke iepiesenls a sIash acioss vhich sone guessing is possilIe, in one diieclion oi
in lolh. The piolIen, lhen, is lo speII oul vhal soils of ieIalionships,
coiiespondences, elc., cioss oi lianscend lhis olIique slioke.
Considei lhe case in vhich I say lo you, ¨Il´s iaining,¨ and you guess lhal if you
Iook oul lhe vindov you viII see iaindiops. A siniIai diagian viII seive:
|Chaiacleiislics of ¨Il´s iaining¨/Ieiceplion of iaindiopsj
Nolice, hovevei, lhal lhis case is ly no neans sinpIe. OnIy if you knov lhe
|anguagc and have sone liusl in ny veiacily viII you le alIe lo nake a guess aloul
lhe iain-diops. In facl, fev peopIe in lhis silualion iesliain lhen-seIves fion
seeningIy dupIicaling lheii infoinalion ly Iooking oul of lhe vindov. We Iike lo
piove lhal oui guesses aie iighl, and lhal oui fiiends aie honesl. SliII noie inpoilanl,
uc |i|c |c |cs| cr tcrifq |nc ccrrcc|ncss cf cur ticu cf cur rc|a|icnsnip |c c|ncrs.
This Iasl poinl is nonliiviaI. Il iIIusliales lhe necessaiiIy hieiaichic sliucluie of aII
connunicalionaI syslens: lhe facl of confoinily oi nonconfoinily (oi indeed any
olhei ieIalionship) lelveen pails of a palleined vhoIe nay ilseIf le infoinalive as
pail of sone sliII Iaigei vhoIe. The nallei nay he diagianned lhus:
|(¨Il´s iaining¨/iaindiop.)/Yon~ne ieIalionship)
vheie iedundancy acioss lhe sIash naik vilhin lhe snaIIei univeise encIosed in
iound liackels pioposes (is a nessage aloul) a iedundancy in lhe Iaigei univeise
encIosed in squaie liackels.
ßul lhe nessage ¨Il´s iaining¨ is ilseIf convenlionaIIy coded and inleinaIIy
palleined, so lhal seveiaI sIash naiks couId le diavn acioss lhe nessage indicaling
palleining vilhin lhe nessage ilseIf.
And lhe sane is liue of lhe iain. Il, loo, is palleined and sliucluied. Iion lhe
diieclion of one diop, I couId piedicl lhe diieclion of olheis. And so on.
8u| |nc s|asn nar|s acrcss |nc tcroa| ncssagc ´||´s raining¨ ui|| nc| ccrrcspcnd in anq
sinp|c uaq |c |nc s|asn nar|s acrcss |nc raindrcps.
If, inslead of a veilaI nessage, I had given you a picluie of lhe iain, sone of lhe
sIashes on lhe picluie vouId have coiiesponded vilh sIashes on lhe peiceived iain.
This diffeience piovides a neal foinaI ciileiion lo sepaiale lhe ¨aililiaiy¨ and
digilaI coding chaiacleiislic of lhe veilaI pail of Ianguage fion lhe iccnic coding of
ßul veilaI desciiplion is oflen iconic in ils Iaigei sliucluie. A scienlisl desciiling
an eailhvoin nighl slail al lhe head end and voik dovn ils Ienglh~lhus
pioducing a desciiplion iconic in ils sequence and eIongalion. Heie again ve olseive
a hieiaichic sliucluiing, digilaI oi veilaI al one IeveI and iconic al anolhei.
|ctc|s and |cgica| Tqpcs
¨LeveIs¨ have leen nenlioned: (a) Il vas noled lhal lhe ccnoina|icn of lhe
nessage ¨Il´s iaining¨ vilh lhe peiceplion of iaindiops can ilseIf conslilule a
nessage aloul a univeise of peisonaI ieIalions, and (l) lhal vhen ve change oui
focus of allenlion fion snaIIei lo Iaigei unils of nessage naleiiaI, ve nay discovei
lhal a Iaigei unil conlains iconic coding lhough lhe snaIIei pails of vhich il vas
nade aie veilaI: lhe veilaI desciiplion of an eailhvoin nay, as a vhoIe, le
The nallei of IeveIs nov ciops up in anolhei foin vhich is ciuciaI foi any
epislenoIogy of ail:
The void ¨knov¨ is nol neieIy anliguous in coveiing lolh ccnnai|rc (lo knov
lhiough lhe senses, lo iecognize oi peiceive) and satcir (lo knov in lhe nind), lul
vaiies ~acliveIy shifls~ in neaning foi lasic syslenic ieasons. Thal vhich ve knov
lhiough lhe senses can occcnc knovIedge in lhe nind.
¨I knov lhe vay lo Canliidge¨ nighl nean lhal I have sludied lhe nap and can
give you diieclions. Il nighl nean lhal I can iecaII delaiIs aII aIong lhe ioule. Il nighl
nean lhal vhen diiving lhal ioule I rcccgnizc nany delaiIs even lhough I couId iecaII
onIy a fev. Il nighl nean lhal vhen diiving lo Canliidge I can liusl lo ¨halil¨ lo
nake ne luin al lhe iighl poinls, vilhoul having lo |nin| vheie I an going. And so
In aII cases, ve deaI vilh a iedundancy oi palleining of a quile conpIex soil:
|(¨I knov.¨/ny nind)//lhe ioadj
and lhe difficuIly is lo deleinine lhe naluie of lhe palleining vilhin lhe iound
liackels, oi, lo pul lhe nallei anolhei vay: vhal par|s of lhe nind aie iedundanl
vilh lhe pailicuIai nessage aloul ¨knoving.
Lasl, lheie is a speciaI foin of ¨knoving
vhich is usuaIIy iegaided as
adaplalion ialhei lhan infoinalion. A shaik is leaulifuIIy shaped foi Ioconolion in
valei, lul lhe genone of lhe shaik suieIy does nol conlain diiecl infoinalion aloul
hydiodynanics. Ralhei, lhe genone nusl le supposed lo conlain infoinalion oi
insliuclions vhich aie lhe ccnp|cncn| of hydiodynanics. Nol hydiodynanics, lul
vhal hydiodynanics iequiies, has leen luiIl up in lhe shaik´s genone. SiniIaiIy, a
nigialoiy liid peihaps does nol knov lhe vay lo ils deslinalion in any of lhe senses
oulIined alove, lul lhe liid nay conlain lhe conpIenenlaiy insliuclions necessaiy
ld cause il lo fIy iighl.
´|c cccur a scs raiscns quc |a raiscn nc ccnnai| pcin|¨ (¨The heail has ils ieasons
vhich lhe ieason does nol al aII peiceive¨). Il is lhis~lhe conpIex Iayeiing of
consciousness and unconsciousness~lhal cieales difficuIly vhen ve liy lo discuss
ail oi iiluaI oi nylhoIogy. The nallei of |ctc|s of lhe nind has leen discussed fion
nany poinls of viev, al Ieasl foui of vhich nusl le nenlioned and voven inlo any
scienlific appioach lo ail:
(1) SanueI ßulIei´s insislence lhal lhe lellei an oiganisn ¨knovs¨ sonelhing,
lhe Iess conscious il lecones of ils knovIedge, i.e., lheie is a piocess vheiely
knovIedge (oi ¨halil¨ ~vhelhei of aclion, peiceplion, oi lhoughl) sinks lo deepei
and deepei IeveIs of lhe nind. This phenonenon, unicn is cenliaI lo Zen discipIine
(cf. HeiiigeI, Zcn in |nc Ar| cf Arcncrq), is aIso ieIevanl lo aII ail and aII skiII.
(2) AdaIleil Anes´ denonslialions lhal lhe conscious, lhiee-dinensionaI visuaI
inages, vhich ve nake of lhal vhich ve see, aie nade ly piocesses invoIving
nalhenalicaI pienises of peispeclive, elc., of lhe use of vhich ve aie lolaIIy
unconscious. Ovei lhese piocesses, ve have no voIunlaiy conlioI. A diaving of a
chaii vilh lhe peispeclive of van Cogh affionls lhe conscious expeclalions and,
dinIy, ieninds lhe consciousness of vhal had leen (unconsciousIy) laken foi
(3) The Iieudian (especiaIIy IenicheI´s) lheoiy of dieans as nelaphois coded
accoiding lo prinarq prcccss. I shaII considei slyIe~nealness, loIdness of conliasl, elc.
~as nelaphoiic and lheiefoie as Iinked lo lhose IeveIs of lhe nind vheie piinaiy
piocess hoIds svay.
(4) The Iieudian viev of lhe unconscious as lhe ceIIai oi cuploaid lo vhich
feaifuI and painfuI nenoiies aie con-signed ly a piocess of iepiession.
CIassicaI Iieudian lheoiy assuned lhal dieans veie a scccndarq pioducl, ciealed
ly ¨diean voik.¨ MaleiiaI unacceplalIe lo conscious lhoughl vas supposedIy
liansIaled inlo lhe nelaphoiic idion of piinaiy piocess lo avoid vaking lhe
dieanei. And lhis nay le liue of lhose ilens of infoinalion vhich aie heId in lhe
unconscious ly lhe piocess of iepiession. As ve have seen, hovevei, nany olhei
soils of infoinalion aie inaccessilIe lo conscious inspeclion, incIuding nosl of lhe
pienises of nannaIian inleiaclion. Il vouId seen lo ne sensilIe lo lhink of lhese
ilens as exisling prinari|q in lhe idion of piinaiy piocess, onIy vilh difficuIly lo le
liansIaled inlo ¨ialionaI¨ leins. In olhei voids, I leIieve lhal nuch of eaiIy Iieudian
lheoiy vas upside dovn. Al lhal line nany lhinkeis iegaided conscious ieason as
noinaI and seIf-expIanaloiy vhiIe lhe unconscious vas iegaided as nysleiious,
needing pioof, and needing expIanalion. Repiession vas lhe expIanalion, and lhe
unconscious vas fiIIed vilh lhoughls vhich couId have leen conscious lul vhich
iepiession and diean voik had disloiled. Today ve lhink of consciousness as lhe
nysleiious, and of lhe conpulalionaI nelhods of lhe unconscious, e.g., piinaiy
piocess, as conlinuaIIy aclive, necessaiy, and aII-enliacing.
These consideialions aie especiaIIy ieIevanl in any al-lenpl lo deiive a lheoiy of
ail oi poeliy. Ioeliy is nol a soil of disloiled and decoialed piose, lul ialhei piose is
poeliy vhich has leen sliipped dovn and pinned lo a Iiociuslean led of Iogic. The
conpulei nen vho vouId piogian lhe liansIalion of Ianguages sonelines foigel
lhis facl aloul lhe piinaiy naluie of Ianguage. To liy lo consliucl a nachine lo
liansIale lhe ail of one cuIluie inlo lhe ail of anolhei vouId le equaIIy siIIy.
AIIegoiy, al lesl a dislaslefuI soil of ail, is an inveision of lhe noinaI ciealive
piocess. TypicaIIy an alsliacl ieIalion, e.g., lelveen liulh and juslice, is fiisl
conceived in ialionaI leins. The ieIalionship is lhen nelaphoiized and doIIed up lo
Iook Iike a pioducl of piinaiy piocess. The alsliaclions aie peisonified and nade lo
pailicipale in a pseudonylh, and so on. Much adveilising ail is aIIegoiicaI in lhis
sense, lhal lhe ciealive piocess is inveiled.
In lhe cIiche syslen of AngIo-Saxons, il is connonIy assuned lhal il vouId le
sonehov lellei if vhal is unconscious veie nade conscious. Iieud, even, is said lo
have said, ¨Wheie id vas, lheie ego shaII le,¨ as lhough such an inciease in
conscious knovIedge and conlioI vouId le lolh possilIe and, of couise, an
inpiovenenl. This viev is lhe pioducl of an aInosl lolaIIy disloiled epislenoIogy
and a lolaIIy disloiled viev of vhal soil of lhing a nan, oi any olhei oiganisn, is.
Of lhe foui soils of unconsciousness Iisled alove, il is veiy cIeai lhal lhe fiisl
lhiee aie necessaiy. Consciousness, foi olvious nechanicaI ieasons,
nusl aIvays le
Iiniled lo a ialhei snaII fiaclion of nenlaI piocess. If usefuI al aII, il nusl lheiefoie
le huslanded. The unconsciousness associaled vilh halil is an econony lolh of
lhoughl and of consciousness, and lhe sane is liue of lhe inaccessaliIily of lhe
piocesses of peiceplion. The conscious oiganisn does nol iequiie (foi piagnalic
puiposes) lo knov ncu il peiceives ~onIy lo knov una| il peiceives. (To suggesl lhal
ve nighl opeiale vilhoul a foundalion in piinaiy piocess vouId le lo suggesl lhal
lhe hunan liain oughl lo le diffeienlIy sliucluied.) Of lhe foui lypes, onIy lhe
Iieudian cuploaid foi skeIelons is peihaps undesiialIe and couId le olvialed. ßul
lheie nay sliII le advanlages in keeping lhe skeIelon off lhe dining ioon lalIe.
In liulh, oui Iife is such lhal ils unconscious conponenls aie conlinuousIy
piesenl in aII lheii nuIlipIe foins. Il foIIovs lhal in oui ieIalionships ve
conlinuousIy exchange nessages aloul lhese unconscious naleiiaIs, and il lecones
Considei lhe inpossiliIily of consliucling a leIevision sel vhich vouId iepoil upon ils scieen a||
lhe voikings of ils conponenl pails, incIuding especiaIIy lhose pails conceined in lhis iepoiling.
inpoilanl aIso lo exchange nelanessages ly vhich ve leII each olhei vhal oidei
and species of unconsciousness (oi consciousness) allaches lo oui nessages.
In a neieIy piagnalic vay, lhis is inpoilanl lecause lhe oideis of liulh aie
diffeienl foi diffeienl soils of nessages. Insofai as a nessage is conscious and
voIunlaiy, il couId le deceilfuI. I can leII you lhal lhe cal is on lhe nal vhen in facl
she is nol lheie. I can leII you ¨I Iove you¨ vhen in facl I do nol. ßul discouise aloul
ieIalionship is connonIy acconpanied ly a nass of senivoIunlaiy kinesic and
aulononic signaIs vhich piovide a noie liuslvoilhy connenl on lhe veilaI
SiniIaiIy vilh skiII, lhe facl of skiII indicales lhe piesence of Iaige unconscious
conponenls in lhe peifoinance.
Il lhus lecones ieIevanl lo Iook al any voik of ail vilh lhe queslion: Whal
conponenls of lhis nessage naleiiaI had vhal oideis of unconsciousness (oi
consciousness) foi lhe ailisl` And lhis queslion, I leIieve, lhe sensilive ciilic usuaIIy
asks, lhough peihaps nol consciousIy.
Ail lecones, in lhis sense, an exeicise in connunicaling aloul lhe species of
unconsciousness. Oi, if you piefei il, a soil of pIay lehavioi vhose funclion is,
anongsl olhei lhings, lo piaclice and nake noie peifecl connunicalion of lhis kind.
I an indelled lo Di. Anlhony Ioige foi a quolalion fion Isadoia Duncan: ¨If I
couId leII you vhal il neanl, lheie vouId le no poinl in dancing il.¨
Hei slalenenl is anliguous. In leins of lhe ialhei vuIgai pienises of oui
cuIluie, ve vouId liansIale lhe slalenenl lo nean: ¨Theie vouId lhen le no poinl in
dancing il, le-cause I couId leII il lo you, quickei and vilh Iess anliguily, in voids.¨
This inleipielalion goes aIong vilh lhe siIIy idea lhal il vouId le a good lhing lo le
conscious of eveiylhing of vhich ve aie unconscious.
ßul lheie is anolhei possilIe neaning of Isadoia Duncan´s ienaik: If lhe
nessage veie lhe soil of nessage lhal couId le connunicaled in voids, lheie vouId
le no poinl in dancing il, lul il is nol lhal soil of nessage. Il is, in facl, pieciseIy lhe
soil of nessage vhich vouId le faIsified if connunicaled in voids, lecause lhe use
of voids (olhei lhan poeliy) vouId inpIy lhal lhis is a fuIIy conscious and voIunlaiy
nessage, and lhis vouId le sinpIy unliue.
I leIieve lhal vhal Isadoia Duncan oi any ailisl is liying lo connunicale is noie
Iike: ¨This is a pailicuIai soil of pailIy unconscious nessage. Lel us engage in lhis
pailicuIai soil of pailIy unconscious connunicalion.
Oi peihaps: ¨This is a nessage
aloul lhe inleiface lelveen conscious and unconscious.
The nessage of s|i|| of any soil nusl aIvays le of lhis kind. The sensalions and
quaIilies of skiII can nevei le pul in voids, and yel lhe facl of skiII is conscious.
The ailisl´s diIenna is of a pecuIiai soil. He nusl piaclice in oidei lo peifoin
lhe ciafl conponenls of his jol. ßul lo piaclice has aIvays a doulIe effecl. Il nakes
hin, on lhe one hand, noie alIe lo do vhalevei il is he is allenpling, and, on lhe
olhei hand, ly lhe phenonenon of halil foinalion, il nakes hin Iess avaie of hov
he does il.
If his allenpl is lo connunicale aloul lhe unconscious conponenls of his
peifoinance, lhen il foIIovs lhal he is on a soil of noving slaiivay (oi escaIaloi)
aloul vhose posilion he is liying lo connunicale lul vhose novenenl is ilseIf a
funclion of his effoils lo connunicale.
CIeaiIy, his lask is inpossilIe, lul, as has leen ienaiked, sone peopIe do il veiy
3.5.3 PrImary Prnccss
¨The heail has ils rcascns vhich lhe ieason does nol al aII peiceive.
AngIo-Saxons, il is ialhei usuaI lo lhink of lhe ¨ieasons
of lhe heail oi of lhe
unconscious as inchoale foices oi pushes oi heavings~vhal Iieud caIIed Tricocn. Tc
IascaI, a Iienchnan, lhe nallei vas ialhei diffeienl, and he no doull lhoughl of lhe
ieasons of lhe heail as a lody of Iogic oi conpulalion as piecise and conpIex as lhe
ieasons of consciousness.
(I have noliced lhal AngIo-Saxon anlhiopoIogisls sone-lines nisundeisland lhe
viilings of CIaude Levi-Sliauss foi pieciseIy lhis ieason. They say he enphasizes loo
nuch lhe inleIIecl and ignoies lhe ¨feeIings.¨ The liulh is lhal he assunes lhal lhe
heail has piecise aIgoiilhns.)
These aIgoiilhns of lhe heail, oi, as lhey say, of lhe unconscious, aie, hovevei,
coded and oiganized in a nannei lolaIIy diffeienl fion lhe aIgoiilhns of Ianguage.
And since a gieal deaI of conscious lhoughl is sliucluied in leins of lhe Iogics of
Ianguage, lhe aIgoiilhns of lhe unconscious aie doulIy inaccessilIe. Il is nol onIy
lhal lhe conscious nind has pooi access lo lhis naleiiaI, lul aIso lhe facl lhal vhen
such access is achieved, e.g., in dieans, ail, poeliy, ieIigion, inloxicalion, and lhe Iike,
lheie is sliII a foinidalIe piolIen of liansIalion.
This is usuaIIy expiessed in Iieudian Ianguage ly saying lhal lhe opeialions of
lhe unconscious aie sliucluied in leins of prinarq prcccss, vhiIe lhe lhoughls of
consciousness (especiaIIy veilaIized lhoughls) aie expiessed in scccndarq prcccss.
Nolody, lo ny knovIedge, knovs anylhing aloul secondaiy piocess. ßul il is
oidinaiiIy assuned lhal eveiylody knovs aII aloul il, so I shaII nol allenpl lo
desciile secondaiy piocess in any delaiI, assuning lhal you knov as nuch aloul il
as I.
Iiinaiy piocess is chaiacleiized (e.g., ly IenicheI) as Iacking negalives, Iacking
lense, Iacking in any idenlificalion of Iinguislic nood (i.e., no idenlificalion of
indicalive, suljunclive, oplalive, elc.) and nelaphoiic. These chaiacleiizalions aie
lased upon lhe expeiience of psychoanaIysls, vho nusl inleipiel dieans and lhe
palleins of fiee associalion.
Il is aIso liue lhal lhe suljecl nallei of piinaiy-piocess discouise is diffeienl
fion lhe suljecl nallei of Ianguage and consciousness. Consciousness laIks aloul
lhings oi peisons, and allaches piedicales lo lhe specific lhings oi peisons vhich
have leen nenlioned. In piinaiy piocess lhe lhings oi peisons aie usuaIIy nol
idenlified, and lhe focus of lhe discouise is upon lhe rc|a|icnsnips vhich aie asseiled
lo ollain lelveen lhen. This is ieaIIy onIy anolhei vay of saying lhal lhe discouise
of piinaiy piocess is nelaphoiic. A nelaphoi ielains unchanged lhe ieIalionship
vhich il ¨iIIusliales¨ vhiIe sulsliluling olhei lhings oi peisons foi lhe ieIala. In a
siniIe, lhe facl lhal a nelaphoi is leing used is naiked ly lhe inseilion of lhe voids
¨as if¨ oi ¨Iike.¨ In piinaiy piocess (as in ail) lheie aie no naikeis lo indicale lo lhe
conscious nind lhal lhe nessage naleiiaI is nelaphoiic.
(Ioi a schizophienic, il is a najoi slep lovaids a noie convenlionaI sanily vhen
he can fiane his schizophienic ulleiances oi lhe connenls of his voices in an ¨as if¨
The focus of ¨ieIalionship¨ is, hovevei, sonevhal noie naiiov lhan vouId le
indicaled neieIy ly saying lhal piinaiy-piocess naleiiaI is nelaphoiic and does nol
idenlify lhe specific ieIala. The suljecl nallei of diean and olhei piinaiy-piocess
naleiiaI is, in facl, ieIalionship in lhe noie naiiov sense of ieIalionship lelveen seIf
and olhei peisons oi lelveen seIf and lhe enviionnenl.
AngIo-Saxons vho aie unconfoilalIe vilh lhe idea lhal feeIings and enolions
aie lhe oulvaid signs of piecise and conpIex aIgoiilhns usuaIIy have lo le loId lhal
lhese nalleis, lhe ieIalionship lelveen seIf and olheis, and lhe ieIalionship lelveen
seIf and enviionnenl, aie, in facl, lhe suljecl nallei of vhal aie caIIed ¨feeIings¨~
Iove, hale, feai, confidence, anxiely, hosliIily, elc. Il is unfoilunale lhal lhese
alsliaclions iefeiiing lo pa||crns of ieIalionship have ieceived nanes, vhich aie
usuaIIy handIed in vays lhal assune lhal lhe ¨feeIings¨ aie nainIy chaiacleiized ly
quanlily ialhei lhan ly piecise pallein. This is one of lhe nonsensicaI conliilulions of
psychoIogy lo a disloiled epislenoIogy.
ße aII lhal as il nay, foi oui piesenl puiposes il is inpoilanl lo nole lhal lhe
chaiacleiislics of piinaiy piocess as desciiled alove aie lhe inevilalIe chaiacleiislics
of any connunicalionaI syslen lelveen oiganisns vho nusl use onIy iconic
connunicalion. This sane Iinilalion is chaiacleiislic of lhe ailisl and of lhe dieanei
and of lhe piehunan nannaI oi liid. (The connunicalion of insecls is, peihaps, an-
olhei nallei.)
In iconic connunicalion, lheie is no lense, no sinpIe negalive, no nodaI naikei.
The alsence of sinpIe negalives is of especiaI inleiesl le-cause il oflen foices
oiganisns in|c saqing |nc cppcsi|c cf una| |ncq ncan in crdcr |c gc| acrcss |nc prcpcsi|icn.
|na| |ncq ncan |nc cppcsi|c cf una| |ncq saq.
Tvo dogs appioach each olhei and need lo exchange lhe nessage: ¨We aie nc|
going lo fighl.¨ ßul lhe onIy vay in vhich fighl can le nenlioned in iconic
connunicalion is ly lhe shoving of fangs. Il is lhen necessaiy foi lhe dogs lo
discovei lhal lhis nenlion of fighl vas, in facl, onIy expIoialoiy. They nusl,
lheiefoie, expIoie vhal lhe shoving of fangs neans. They lheiefoie engage in a
liavI, discovei lhal neilhei uIlinaleIy inlends lo kiII lhe olhei, and, aflei lhal, lhey
can le fiiends.
(Considei lhe peace-naking ceienoniaIs of lhe Andanan IsIandeis. Considei
aIso lhe funclions of inveiled slalenenl oi saicasn, and olhei soils of hunoi in
diean, ail, and nylhoIogy.)
In geneiaI, lhe discouise of aninaIs is conceined vilh ieIalionship eilhei
lelveen seIf and olhei oi seIf and enviionnenl. In neilhei case is il necessaiy lo
idenlify lhe ieIala. AninaI A leIIs ß aloul his ieIalionship vilh ß and he leIIs C aloul
his ieIalionship vilh C. AninaI A does nol have lo leII aninaI C aloul his
ieIalionship vilh ß. AIvays lhe ieIala aie peiceplilIy piesenl lo iIIusliale lhe
discouise, and aIvays lhe discouise is iconic in lhe sense of leing conposed of pail
aclions (¨inlenlion novenenls¨) vhich nenlion lhe vhoIe aclion vhich is leing
nenlioned. Lven vhen lhe cal asks you foi niIk, she cannol nenlion lhe oljecl
vhich she vanls (unIess il le peiceplilIy piesenl). She says, ¨Mana, nana,¨ and
you aie supposed fion lhis invocalion of de-pendency lo guess lhal il is niIk lhal she
AII lhis indicales lhal piinaiy-piocess lhoughls and lhe connunicalion of such
lhoughls lo olheis aie, in an evoIulionaiy sense, noie aichaic lhan lhe noie
conscious opeialions of Ianguage, elc. This has inpIicalions foi lhe vhoIe econonics
and dynanic sliucluie of lhe nind. SanueI ßulIei vas peihaps fiisl lo poinl oul lhal
lhal vhich ve knov lesl is lhal of vhich ve aie Ieasl conscious, i.e., lhal lhe piocess
of halil foinalion is a sinking of knovIedge dovn lo Iess conscious and noie aichaic
IeveIs. The unconscious conlains nol onIy lhe painfuI nalleis vhich consciousness
piefeis lo nol inspecl, lul aIso nany nalleis vhich aie so faniIiai lhal ve do nol
need lo inspecl lhen. Halil, lheiefoie, is a najoi econony of conscious lhoughl. We
can do lhings vilhoul consciousIy lhinking aloul lhen. The skiII of an ailisl, oi
ialhei his denonslialion of a skiII, lecones a nessage aocu| lhese pails of his
unconsciousness. (ßul nol peihaps a nessage fion lhe unconscious.)
ßul lhe nallei is nol quile so sinpIe. Sone lypes of knovIedge can convenienlIy
le sunk lo unconscious IeveIs, lul olhei lypes nusl le kepl on lhe suiface. ßioadIy,
ve can affoid lo sink lhose soils of knovIedge vhich conlinue lo le liue iegaidIess
of changes in lhe enviionnenl, lul ve nusl nainlain in an accessilIe pIace aII lhose
conlioIs of lehavioi vhich nusl le nodified foi eveiy inslance. The Iion can sink
inlo his unconscious lhe pioposilion lhal zelias aie his naluiaI piey, lul in deaIing
vilh any pailicuIai zelia he nusl le alIe lo nodify lhe novenenls of his allack lo fil
vilh lhe pailicuIai leiiain and lhe pailicuIai evasive laclics of lhe pailicuIai zelia.
The econonics of lhe syslen, in facl, pushes oiganisns lovaid sinking inlo lhe
unconscious lhose geneiaIilies of ieIalionship vhich ienain peinanenlIy liue and
lovaid keeping vilhin lhe conscious lhe piagnalics of pailicuIai inslances.
The pienises nay, econonicaIIy, le sunk, lul pailicuIai concIusions nusl le
conscious. ßul lhe ¨sinking,¨ lhough econonicaI, is sliII done al a piice~lhe piice of
inaccessiliIily. Since lhe IeveI lo vhich lhings aie sunk is chaiacleiized ly iconic
aIgoiilhns and nelaphoi, il lecones difficuIl foi lhe oiganisn lo exanine lhe naliix
oul oi vhich his conscious concIusions spiing. ConveiseIy, ve nay nole lhal vhal is
ccnncn lo a pailicuIai slalenenl and a coiiesponding nelaphoi is of a geneiaIily
appiopiiale foi sinking.
3.5.4 QuantItatIvc LImIts nf CnnscInusncss
A veiy liief consideialion of lhe piolIen shovs lhal il is nol conceivalIy
possilIe foi any syslen lo le lolaIIy conscious. Suppose lhal on lhe scieen of
consciousness lheie aie iepoils fion nany pails of lhe lolaI nind, and considei lhe
addilion lo consciousness of lhose iepoils necessaiy lo covei vhal is, al a given slage
of evoIulion, nol aIieady coveied. This addilion viII invoIve a veiy gieal inciease in
lhe ciicuil sliucluie of lhe liain lul sliII viII nol achieve lolaI coveiage. The nexl slep
viII le lo covei lhe piocesses and evenls occuiiing in lhe ciicuil sliucluie vhich ve
have jusl added. And so on.
CIeaiIy, lhe piolIen is insoIulIe, and eveiy nexl slep in lhe appioach lo lolaI
consciousness viII invoIve a gieal in-ciease in lhe ciicuiliy iequiied.
Il foIIovs lhal aII oiganisns nusl le conlenl vilh ialhei IillIe consciousness, and
lhal if consciousness has any usefuI funclions vhalevei (vhich has nevei leen
denonslialed lul is piolalIy liue), lhen cccncnq in consciousness viII le of lhe fiisl
inpoilance. No oiganisn can affoid lo le conscious of nalleis vilh vhich il couId
deaI al unconscious IeveIs.
This is lhe econony achieved ly halil foinalion.
3.5.5 Qua!ItatIvc LImIts nf CnnscInusncss
Il is, of couise, liue foi lhe TV sel lhal a salisfacloiy picluie on lhe scieen is an
indicalion lhal nany pails of lhe nachine aie voiking as lhey shouId, and siniIai
consideialions appIy lo lhe ¨scieen¨ of consciousness. ßul vhal is piovided is onIy a
veiy indiiecl iepoil of lhe voiking of aII lhose pails. If lhe TV suffeis fion a lIovn
lule, oi lhe nan fion a slioke, cffcc|s of lhis palhoIogy nay le evidenl enough on lhe
scieen oi lo consciousness, lul diagnosis nusl sliII le done ly an expeil.
This nallei has leaiings upon lhe naluie of ail. The TV vhich gives a disloiled
oi olheivise inpeifecl picluie is, in a sense, connunicaling aloul ils unconscious
palhoIogies~exhililing ils synplons, and one nay ask vhelhei sone ailisls aie nol
doing sonelhing siniIai. ßul lhis sliII von´l do.
Il is sonelines said lhal lhe disloilions of ail (say, van Cogh´s ¨Chaii¨) aie
diieclIy iepiesenlalive of vhal lhe ailisl ´sccs.¨ If such slalenenls iefei lo ¨seeing¨ in
lhe sinpIesl physicaI sense (e.g., ienedialIe vilh speclacIes), I piesune lhal lhey aie
nonsense. If van Cogh couId onIy see lhe chaii in lhal viId vay, his eyes vouId nol
seive piopeiIy lo guide hin in lhe veiy accuiale pIacing of painl on canvas. And,
conveiseIy, a phologiaphicaIIy accuiale iepiesenlalion of lhe chaii on lhe canvas
vouId aIso le seen ly van Cogh in lhe viId vay. Re vouId see no need lo disloil lhe
ßul suppose ve say lhal lhe ailisl is painling loday vhal he sav yesleiday~oi
lhal he is painling vhal he sonehov knovs lhal he nign| see. ¨I see as veII as you
do~lul do you ieaIize lhal lhis olhei vay of seeing a chaii exisls as a hunan
polenliaIily` And lhal lhal polenliaIily is aIvays in you and in ne`¨ Is he exhililing
synplons vhich he nign| have, lecause lhe vhoIe specliun of psychopalhoIogy is
possilIe foi us aII`
Inloxicalion ly aIcohoI oi diugs nay heIp us lo see a disloiled voiId, and lhese
disloilions nay le fascinaling in lhal ve iecognize lhe disloilions as curs. |n tinc pars
tcri|a|is. We can le hunlIed oi aggiandized ly ieaIizing lhal lhis, loo, is a par| of lhe
hunan seIf, a par| of Tiulh. ßul inloxicalion does nol inciease skiII~al lesl il nay
ieIease skiII pieviousIy acquiied.
Wilhoul skiII is no ail.
Considei lhe case of lhe nan vho goes lo lhe lIackloaid ~oi lo lhe side of his
cave~and diavs, fieehand, a peifecl ieindeei in ils posluie of lhieal. He cannol |c||
qcu aloul lhe diaving of lhe ieindeei (¨If he couId, lheie vouId le no poinl in
diaving il¨). ¨Do you knov lhal his peifecl vay of seeing~and diaving~a ieindeei
exisls as a hunan polenliaIily`¨ The consunnale skiII of lhe diaflsnan vaIidales lhe
ailisl´s nessage aloul his ieIalionship lo lhe aninaI~his enpalhy.
(They say lhe AIlaniia lhings veie nade foi synpalhelic hunling nagic. ßul
nagic onIy needs lhe ciudesl soil of iepiesenlalions. The sciavIed aiiovs vhich
deface lhe leaulifuI ieindeei nay have leen nagicaI~peihaps a vuIgai allenpl lo
nuidei lhe ailisl, Iike nouslaches sciavIed on lhe Mona Lisa.)
3.5.6 Thc CnrrcctIvc Naturc nf Art
Il vas noled alove lhal consciousness is necessaiiIy seIeclive and pailiaI, i.e., lhal
lhe conlenl of consciousness is, al lesl, a snaII pail of liulh aloul lhe seIf. ßul if lhis
pail le sc|cc|cd in any syslenalic nannei, il is ceilain lhal lhe pailiaI liulhs of
consciousness viII le, in aggiegale, a disloilion of lhe liulh of sone Iaigei vhoIe.
In lhe case of an iceleig, ve nay guess, fion vhal is alove suiface, vhal soil of
sluff is leIov, lul ve cannol nake lhe sane soil of exliapoIalion fion lhe conlenl of
consciousness. Il is nol neieIy lhe seIeclivily of piefeience, vheiely lhe skeIelons
accunuIale in lhe Iieudian unconscious, lhal nakes such exliapoIalion unsound.
Such a seIeclion ly piefeience vouId onIy pionole oplinisn.
Whal is seiious is lhe ciossculling of lhe ciicuiliy of lhe nind. If, as ve nusl
leIieve, lhe lolaI nind is an inlegialed nelvoik (of pioposilions, inages, piocesses,
neuiaI palhoIogy, oi vhal have you~accoiding lo vhal scienlific Ianguage you
piefei lo use), and if lhe conlenl of consciousness is onIy a sanpIing of diffeienl pails
and IocaIilies in lhis nel-voik, lhen, inevilalIy, lhe conscious viev of lhe nelvoik as
a vhoIe is a nonslious deniaI of lhe in|cgra|icn of lhal vhoIe. Iion lhe culling of
consciousness, vhal appeais alove lhe suiface is arcs of ciicuils inslead of eilhei lhe
conpIele ciicuils oi lhe Iaigei conpIele ciicuils of ciicuils.
Whal lhe unaided consciousness (unaided ly ail, dieans, and lhe Iike) can nevei
appieciale is lhe sqs|cnic naluie of nind.
This nolion can convenienlIy le iIIuslialed ly an anaIogy: lhe Iiving hunan lody
is a conpIex, cyleinelicaIIy inlegialed syslen. This syslen has leen sludied ly
scienlisls~noslIy nedicaI nen~foi nany yeais. Whal lhey nov knov aloul lhe
lody nay aplIy le conpaied vilh vhal lhe unaided consciousness knovs aloul lhe
nind. ßeing doclois, lhey had puiposes: lo cuie lhis and lhal. Theii ieseaich effoils
veie lheiefoie focused (as allenlion focuses lhe consciousness) upon lhose shoil
liains of causaIily vhich lhey couId nanipuIale, ly neans of diugs oi olhei
inleivenlion, lo coiiecl noie oi Iess specific and idenlifialIe slales oi synplons.
Whenevei lhey discoveied an effeclive ¨cuie¨ foi sonelhing, ieseaich in lhal aiea
ceased and allenlion vas diiecled eIsevheie. We can nov pievenl poIio, lul nolody
knovs nuch noie aloul lhe syslenic aspecls of lhal fascinaling disease. Reseaich on
il has ceased oi is, al lesl, confined lo inpioving lhe vaccines.
ßul a lag of liicks foi cuiing oi pievenling a Iisl of specified diseases piovides no
oveiaII uisdcn. The ecoIogy and popuIalion dynanics of lhe species has leen
disiupled, paiasiles have leen nade innune lo anliliolics, lhe ieIalionship lelveen
nolhei and neonale has leen aInosl deslioyed, and so on.
ChaiacleiislicaIIy, eiiois occui vheievei lhe aIleied causaI chain is pail of sone
Iaige oi snaII ciicuil sliucluie of syslen. And lhe ienaindei of oui lechnoIogy (of
vhich nedicaI science is onIy a pail) lids faii lo disiupl lhe iesl of oui ecoIogy.
The poinl, hovevei, vhich I an liying lo nake in lhis papei is nol an allack on
nedicaI science lul a denonslialion of an inevilalIe facl: lhal neie puiposive
ialionaIily unaided ly such phenonena as ail, ieIigion, diean, and lhe Iike, is
necessaiiIy palhogenic and desliuclive of Iife, and lhal ils viiuIence spiings
specificaIIy fion lhe ciicunslance lhal Iife depends upon inleiIocking circui|s of
conlingency, vhiIe consciousness can see onIy such shoil aics of such ciicuils as
hunan puipose nay diiecl.
In a void, lhe unaided consciousness nusl aIvays invoIve nan in lhe soil of
slupidily of vhich evoIulion vas guiIly vhen she uiged upon lhe dinosauis lhe
connon-sense vaIues of an ainanenls iace. She inevilalIy ieaIized hei nislake a
niIIion yeais Ialei and viped lhen oul.
Unaided consciousness nusl aIvays lend lovaid hale, nol onIy lecause il is
good connon sense lo exleininale lhe olhei feIIov, lul foi lhe noie piofound
ieason lhal, seeing onIy aics of ciicuils, lhe individuaI is conlinuaIIy suipiised and
necessaiiIy angeied vhen his haidheaded poIicies ie-luin lo pIague lhe invenloi.
If you use DDT lo kiII insecls, you nay succeed in ieducing lhe insecl popuIalion
so fai lhal lhe inseclivoies viII slaive. You viII lhen have lo use noie DDT lhan le-
foie lo kiII lhe insecls vhich lhe liids no Iongei eal. Moie piolalIy, you viII kiII off
lhe liids in lhe fiisl iound vhen lhey eal lhe poisoned insecls. If lhe DDT kiIIs off lhe
dogs, you viII have lo have noie poIice lo keep dovn lhe luigIais. The luigIais viII
lecone lellei ained and noie cunning. and so on.
Thal is lhe soil of voiId ve Iive in~a voiId of ciicuil sliucluies~and Iove can
suivive onIy if visdon (i.e., a sense oi iecognilion of lhe facl of ciicuiliy) has an
effeclive voice.
Whal has leen said so fai pioposes queslions aloul any pailicuIai voik of ail
sonevhal diffeienl fion lhose vhich have leen convenlionaIIy asked ly
anlhiopoIogisls. The ¨cuIluie and peisonaIily schooI,¨ foi exanpIe, has liadilionaIIy
used pieces of ail oi iiluaI as sanpIes oi pioles lo ieveaI pailicuIai psychoIogicaI
lhenes oi slales.
The queslion has leen: Does lhe ail leII us aloul vhal soil of peison nade il` ßul
if ail, as suggesled alove, has a posilive funclion in nainlaining vhal I caIIed
¨visdon,¨ i.e., in coiiecling a loo puiposive viev of Iife and naking lhe viev noie
syslenic, lhen lhe queslion lo le asked of lhe given voik of ail lecones: Whal soils
of coiieclion in lhe diieclion of visdon vouId le achieved ly ciealing oi vieving
lhis voik of ail`
The queslion lecones dynanic ialhei lhan slalic.
3.5.7 Ana!ysIs nf Ba!Incsc PaIntIng
Tuining nov fion lhe consideialion of epislenoIogy lo a specific ail slyIe, ve
nole fiisl vhal is nosl geneiaI and nosl olvious.
Wilh aInosl no exceplions, lhe lehaviois caIIed ail oi lheii pioducls (aIso caIIed
ail) have lvo chaiacleiislics: lhey iequiie oi exhilil s|i||, and lhey conlain
iedundancy oi pallein.
ßul lhose lvo chaiacleiislics aie nol sepaiale: lhe skiII is fiisl in nainlaining and
lhen in noduIaling lhe iedundancies.
The nallei is peihaps nosl cIeai vheie lhe skiII is lhal of lhe jouineynan and
lhe iedundancy is of conpaialiveIy Iov oidei. Ioi exanpIe, in lhe ßaIinese painling
ly Ida ßagus Djali Suia of lhe viIIage of ßaluan, 1937 and in aInosl aII painling of lhe
ßaluan schooI, skiII of a ceilain eIenenlaiy lul highIy discipIined soil vas exeicised
oi piacliced in lhe lackgiound of foIiage. The iedundancies lo le achieved invoIve
ialhei unifoin and ihylhnicaI iepelilion of Ieaf foins, lul lhis iedundancy is, so lo
speak, fiagiIe. Il vouId le lioken oi inleiiupled ly snudges oi iiieguIaiilies of size
oi lone in lhe painling of lhe successive Ieaves.
When a ßaluan ailisl Iooks al lhe voik of anolhei, one of lhe fiisl lhings he
exanines is lhe lechnique of lhe Ieafy lackgiound. The Ieaves aie fiisl diavn, in fiee
oulIine in penciI, lhen each oulIine is lighlIy iedefined vilh pen and lIack ink. When
lhis has leen done foi aII lhe Ieaves, lhe ailisl legins lo painl vilh liush and Chinese
ink. Lach Ieaf is coveied vilh a paIe vash. When lhese vashes aie diy, each Ieaf
ieceives a snaIIei concenliic vash and aflei lhis anolhei sliII snaIIei, and so on. The
finaI iesuIl is a Ieaf vilh an aI-nosl vhile iin inside lhe inked oulIine, and successive
sleps of daikei and daikei coIoi lovaid lhe cenlei of lhe Ieaf.
A ¨good¨ picluie has up lo five oi six such successive vashes on eveiy Ieaf. (This
pailicuIai painling is nol veiy ¨good¨ in lhis sense. The Ieaves aie done in onIy lhiee
oi foui sleps.)
The skiII and lhe palleining so fai discussed depend upon nuscuIai iole and
nuscuIai accuiacy~achieving lhe peihaps nol negIigilIe ailislic IeveI of a veII-Iaid
oul fieId of luinips.
I vas valching a veiy gifled Aneiican caipenlei-aichilecl al voik on lhe
voodvoik of a house he had designed. I connenled on lhe suieness and accuiacy of
each slep. He said, ¨Oh, lhal. Thal´s onIy Iike using a lypeviilei. You have lo le alIe
lo do lhal vilhoul lhinking.¨
ßul on lop of lhis IeveI of iedundancy is anolhei. The unifoinily of lhe Iovei-
IeveI iedundancy nusl le noduIaled lo give highei oideis of iedundancy. The
Ieaves in one aiea nusl le diffcrcn| fion lhe Ieaves in anolhei aiea, and lhese
diffcrcnccs nusl le in sone vay nuluaIIy iedundanl: lhey nusl le pail of a Iaigei
Indeed, lhe funclion and necessily of lhe fiisl-IeveI conlioI is pieciseIy lo nake
lhe second IeveI possilIe. The peiceivei of lhe voik of ail nusl ieceive infoinalion
lhal lhe ailisl can painl a unifoin aiea of Ieaves lecause vilhoul lhis infoinalion he
viII nol le alIe lo accepl as significanl lhe vaiialions in lhal unifoinily.
OnIy lhe vioIinisl vho can conlioI lhe quaIily of his noles can use vaiialions of
lhal quaIily foi nusicaI puiposes.
This piincipIe is lasic and accounls, I suggesl, foi lhe aInosl univeisaI Iinkage in
aeslhelics lelveen skiII and pallein. The exceplions~e.g., lhe cuIl of naluiaI
Iandscapes, ¨found oljecls,¨ inklIols, scalleigians, and lhe voiks of }ackson IoIIock
~seen lo exenpIify lhe sane iuIe in ieveise. In lhese cases, a Iaigei palleining
seens lo piopose lhe iIIusion lhal lhe delaiIs nusl have leen conlioIIed. Inlei-
nediale cases aIso occui: e.g., in ßaIinese caiving, lhe naluiaI giain of lhe vood is
ialhei fiequenlIy used lo suggesl de-laiIs of lhe foin oi suiface of lhe suljecl. In
lhese cases, lhe skiII Iies nol in lhe diaflsnanship of lhe delaiIs, lul in lhe ailisl´s
pIacenenl of his design vilhin lhe lhiee-dinensionaI sliucluie of lhe vood. A
speciaI ¨effecl¨ is achieved, nol ly lhe neie iepiesenlalionaIisn, lul ly lhe
peiceivei´s pailiaI avaieness lhal a physicaI syslen c|ncr lhan lhal of diaflsnan-ship
has conliiluled lo deleinine his peiceplion.
We nov luin lo noie conpIex nalleis, sliII concenlialing allenlion upon lhe
nosl olvious and eIenenlaiy.
3.5.8 CnmpnsItInn
(1) The deIinealion of Ieaves and olhei foins does nol ieach lo lhe edge of lhe
picluie lul shades off inlo daikness so lhal aInosl aII aiound lhe ieclangIe lheie is a
land of undiffeienlialed daik pignenl. In olhei voids, lhe picluie is fianed vilhin
ils ovn fade-oul. We aie aIIoved lo feeI lhal lhe nallei is in sone sense ¨oul of lhis
voiId¨, and lhis in spile of lhe facl lhal lhe scene depicled is faniIiai~lhe slailing
oul of a cienalion piocession.
(2) The picluie is fi||cd. The conposilion Ieaves no open spaces. Nol onIy is none
of lhe papei Iefl unpainled, lul no consideialIe aiea is Iefl in unifoin vash. The
Iaigesl such aieas aie lhe veiy daik palches al lhe lollon lelveen lhe Iegs of lhe
To OccidenlaI eyes, lhis gives an effecl of ¨fussiness.¨ To psychialiic eyes, lhe
effecl is of ¨anxiely¨ oi ¨conpuIsivily.¨ We aie aII faniIiai vilh lhe sliange Iook of
lhose Ielleis fion cianks, vho feeI lhal lhey nusl fiII lhe page.
(3) ßul lefoie liying loo fasl lo diagnose oi evaIuale, ve have lo nole lhal lhe
conposilion of lhe Iovei haIf of lhe picluie, apail fion lhis fiIIing of lackgiound
space, is luiluIenl. Nol neieIy a depiclion of aclive figuies, lul a sviiIing
conposilion nounling upvaids and cIosed off ly lhe conliasling diieclion of lhe
gesluies of lhe nen al lhe lop of lhe pyianid.
The uppei haIf of lhe picluie, in conliasl, is seiene. Indeed, lhe effecl of lhe
peifeclIy laIanced vonen vilh offeiings on lheii heads is so seiene lhal, al fiisl
gIance, il appeais lhal lhe nen vilh nusicaI insliunenls nusl suieIy le silling.
(They aie supposed lo le noving in piocession.)
ßul lhis conposilionaI sliucluie is lhe ieveise of lhe usuaI OccidenlaI. We expecl
lhe Iovei pail of a picluie lo le lhe noie slalIe and expecl lo see aclion and
novenenl in lhe uppei pail~if anyvheie.
(4) Al lhis poinl, il is appiopiiale lo exanine lhe picluie as a sexuaI pun and, in
lhis conneclion, lhe inleinaI evidence foi sexuaI iefeience is al Ieasl as sliong as il is
in lhe case of lhe Tangaioa figuie discussed ly Leach. AII you have lo do is lo sel
youi nind in lhe coiiecl posluie and you viII see an enoinous phaIIic oljecl (lhe
cienalion lovei) vilh lvo eIephanls´ heads al lhe lase. This oljecl nusl pass
lhiough a naiiov enliance inlo a seiene couilyaid and lhence onvaid and upvaid
lhiough a sliII noie naiiov passagevay. Aiound lhe lase of lhe phaIIic oljecl you
see a luiluIenl nass of honuncuIi, a ciovd in vhich
Was none vho vouId le foienosl To Iead such
diie allack,
ßul lhose lehind ciied ¨Ioivaid!¨ And lhose
lefoie ciied ¨ßack!¨
And if you aie so ninded, you viII find lhal MacauIay
s poen aloul hov
Hoialius kepl lhe liidge is no Iess sexuaI lhan lhe piesenl picluie. The gane of
sexuaI inleipielalion is easy if you vanl lo pIay il. No doull lhe snake in lhe liee _ lo
lhe Iefl of lhe picluie couId aIso le voven inlo lhe sexuaI sloiy.
Il is sliII possilIe, hovevei, lhal sonelhing is added lo oui undeislanding of a
voik of ail ly lhe hypolhesis lhal lhe suljecl nallei is doulIe: lhal lhe picluie
iepiesenls lolh lhe slail of a cienalion piocession and a phaIIus vilh vagina. Wilh a
IillIe inaginalion, ve couId aIso see lhe picluie as a synloIic iepiesenlalion of
ßaIinese sociaI oiganizalion in vhich lhe snoolh ieIalions of eliquelle and gaiely
nelaphoiicaIIy covei lhe luiluIence of passion. And, of couise, ¨Hoialius¨ is veiy
evidenlIy an ideaIized nylh of nineleenlh-cenluiy inpeiiaI LngIand.
Il is piolalIy an eiioi lo lhink of diean, nylh, and ail as leing aloul any one
nallei olhei lhan ieIalionship. As vas nenlioned eaiIiei, diean is nelaphoiic and is
nol pailicuIaiIy aloul lhe ieIala nenlioned in lhe diean. In lhe convenlionaI
inleipielalion of diean, anolhei sel of ieIala, oflen sexuaI, is sulsliluled foi lhe sel in
lhe diean. ßul peihaps ly doing lhis ve onIy cieale anolhei diean. Theie indeed is
no a piioii ieason foi supposing lhal lhe sexuaI ieIala aie any noie piinaiy oi lasic
lhan any olhei sel.
In geneiaI, ailisls aie veiy unviIIing lo accepl inleipielalions of lhis soil, and il is
nol cIeai lhal lheii oljeclion is lo lhe sexuaI naluie of lhe inleipielalion. Ralhei, il
seens lhal iigid focusing upon any singIe sel of ieIala deslioys foi lhe ailisl lhe noie
piofound significance of lhe voik. If lhe picluie veie cn|q aloul sex oi cn|q aloul
sociaI oiganizalion, il vouId le liiviaI. Il is nonliiviaI oi piofound pieciseIy lecause
il is aloul sex and sociaI oiganizalion and cienalion, and olhei lhings. In a void, il is
onIy aloul ieIalionship and nol aloul anq idenlifialIe ieIala.
(5) Il is appiopiiale lhen lo ask hov lhe ailisl has handIed lhe idenlificalion of
his suljecl nallei vilhin lhe picluie. We nole fiisl lhal lhe cienalion lovei vhich
occupies aInosl one-lhiid of lhe picluie is aInosl invisilIe. Il does nol sland oul
againsl ils lackgiound as il shouId if lhe ailisl vanled lo asseil unequivocaIIy ¨lhis is
a cienalion.¨ NolalIy aIso, lhe coffin, vhich nighl le expecled lo le a focaI poinl, is
appiopiialeIy pIaced jusl leIov lhe cenlei lul even so does nol calch lhe eye. In facl,
lhe ailisl has inseiled delaiIs vhich IaleI lhe picluie as a cienalion scene lul lhese
delaiIs lecone aInosl vhinsicaI asides, Iike lhe snake and lhe IillIe liids in lhe liees.
The vonen aie caiiying lhe iiluaIIy coiiecl offeiings on lheii heads, and lvo nen
appiopiialeIy liing lanloo conlaineis of paIn loddy, lul lhese delaiIs, loo, aie onIy
vhinsicaIIy added. The ailisl pIays dovn lhe suljecl idenlificalion and lheiely gives
najoi sliess lo lhe conliasl lelveen lhe luiluIenl and lhe seiene nenlioned in 3,
(6) In sun, il is ny opinion lhal lhe ciux of lhe picluie is lhe inleivoven conliasl
lelveen lhe seiene and lhe luiluIenl. And a siniIai conliasl oi conlinalion vas aIso
piesenl, as ve have seen, in lhe painling of lhe Ieaves. Theie, loo, an exuleianl
fieedon vas oveiIaid ly piecision.
In leins of lhis concIusion, I can nov allenpl an ansvei lo lhe queslion posed
alove: Whal soils of coiieclion, in lhe diieclion of syslenic visdon, couId le
achieved ly ciealing oi vieving lhis voik of ail` In finaI anaIysis, lhe picluie can le
seen as an affiinalion lhal lo choose eilhei luiluIence oi seienily as a hunan
puipose vouId le a vuIgai eiioi. The conceiving and ciealing of lhe picluie nusl
have piovided an expeiience vhich exposed lhis eiioi. The unily and inlegialion of
lhe picluie asseil lhal neilhei of lhese conliasling poIes can le chosen lo lhe
excIusion of lhe olhei, lecause lhe poIes aie nuluaIIy dependenl. This piofound and
geneiaI liulh is sinuIlaneousIy asseiled foi lhe fieIds of sex, sociaI oiganizalion, and
3.6 Comment on Part ll
Since WoiId Wai II, il has leen fashionalIe lo engage in ¨inleidiscipIinaiy¨
ieseaich, and lhis usuaIIy neans, foi exanpIe, lhal an ecoIogisl viII need a geoIogisl
lo leII hin aloul lhe iocks and soiIs of lhe pailicuIai leiiain vhich he is invesligaling.
ßul lheie is anolhei sense in vhich scienlific voik nay cIain lo le inleidiscipIinaiy.
The nan vho sludies lhe aiiangenenl of Ieaves and lianches in lhe giovlh of a
fIoveiing pIanl nay nole an anaIogy lelveen lhe foinaI ieIalions lelveen slens,
Ieaves, and luds, and lhe foinaI ieIalions lhal ollain lelveen diffeienl soils of
voids in a senlence. He viII lhink of a ¨Ieaf¨ nol as sonelhing fIal and gieen lul as
sonelhing ieIaled in a pailicuIai vay lo lhe slen fion vhich il giovs and lo lhe
secondaiy slen (oi lud) vhich is foined in lhe angIe lelveen Ieaf and piinaiy slen.
SiniIaiIy lhe nodein Iinguisl lhinks of a ¨noun¨ nol as lhe ¨nane of a peison, pIace,
oi lhing,¨ lul as a nenlei of a cIass of voids de-fined ly lheii rc|a|icnsnip in
senlence sliucluie lo ¨veils
and olhei pails.
Those vho lhink fiisl of lhe ¨lhings¨ vhich aie ieIaled (lhe ¨ieIala¨) viII disniss
any anaIogy lelveen giannai and lhe analony of pIanls as fai-felched. Aflei aII, a
Ieaf and a noun do nol al aII iesenlIe each olhei in oulvaid appeaiance. ßul if ve
lhink fiisl of lhe ieIalionships and considei lhe ieIala as defined soIeIy ly lheii
ieIalionships, lhen ve legin lo vondei. Is lheie a piofound anaIogy lelveen
giannai and analony` Is lheie an inleidiscipIinaiy science vhich shouId concein
ilseIf vilh such anaIogies` Whal vouId such a science cIain as ils suljecl nallei`
And vhy shouId ve expecl such fai-fIung anaIogies lo have significance`
In deaIing vilh any anaIogy, il is inpoilanl lo define exaclIy vhal is cIained
vhen ve say lhal lhe anaIogy is neaningfuI. In lhe piesenl exanpIe, il is nol cIained
lhal a noun shouId Iook Iike a Ieaf. Il is nol even cIained lhal lhe ieIalion lelveen
Ieaf and slen is lhe sane as lhe ieIalion lelveen noun and veil. Whal is cIained is,
fiisl, lhal in lolh analony and giannai lhe pails aie lo le cIassified accoiding lo lhe
ieIalions lelveen lhen. In lolh fieIds, lhe rc|a|icns aie lo le lhoughl of as sonehov
piinaiy, lhe ieIala as secondaiy. ßeyond lhis, il is cIained lhal lhe ieIalions aie of lhe
soil geneialed ly piocesses of infoinalion ex-change.
In olhei voids, lhe nysleiious and poIynoiphic ieIalion lelveen ccn|cx| and
ccn|cn| ollains in lolh analony and Iinguislics, and evoIulionisls of lhe nineleenlh
cenluiy, pieoccupied vilh vhal veie caIIed ¨honoIogies,
veie, in facl, sludying
pieciseIy lhe conlexluaI sliucluies of lioIogicaI deveIopnenl.
AII of lhis specuIalion lecones aInosl pIalilude vhen ve ieaIize lhal lolh
giannai and lioIogicaI sliucluie aie pioducls of connunicalionaI and
oiganizalionaI piocess. The analony of lhe pIanl is a conpIex liansfoin of genolypic
insliuclions, and lhe ¨Ianguage¨ of lhe genes, Iike any olhei Ianguage, nusl of
necessily have conlexluaI sliucluie. Moie-ovei, in aII connunicalion, lheie nusl le a
ieIevance lelveen lhe conlexluaI sliucluie of lhe nessage and sone sliucluiing of
lhe iecipienl. The lissues of lhe pIanl couId nol ¨iead
lhe genolypic insliuclions
caiiied in lhe chionosones of eveiy ceII unIess ceII and lissue exisl, al lhal given
nonenl, in a conlexluaI sliucluie.
Whal has leen said alove viII seive as sufficienl definilion of vhal is heie neanl
ly ¨foin and pallein.
The focus of discussion vas upon foin ialhei lhan conlenl,
upon conlexl ialhei lhan upon vhal occuis ¨in¨ lhe given con-lexl, upon ieIalionship
ialhei lhan upon lhe ieIaled pei-sons oi phenonena.
The essays incIuded iange fion a discussion of ¨schisnogenesis¨ (1935) lo lvo
essays viillen aflei lhe liilh of cyleinelics.
In 1935, I ceilainIy had nol cIeaiIy giasped lhe cenliaI inpoilance of
conlexl.¨ I
lhoughl lhal lhe piocesses of schisnogenesis veie inpoilanl and nonliiviaI lecause
in lhen I seened lo see evoIulion al voik: if inleiaclion lelveen peisons couId
undeigo piogiessive quaIilalive change as in-lensily incieased, lhen suieIy lhis couId
le lhe veiy sluff of cuIluiaI evoIulion. Il foIIoved lhal aII diieclionaI change, even in
lioIogicaI evoIulion and phyIogeny, nighl~oi nusl ~le due lo piogiessive
inleiaclion lelveen oiganisns. Undei naluiaI seIeclion, such change in ieIalionships
vouId favoi piogiessive change in analony and physioIogy.
The piogiessive inciease in size and ainanenl of lhe dinosauis vas, as I sav il,
sinpIy an inleiaclive ainanenls iace~a schisnogenic piocess. ßul I couId nol lhen
see lhal lhe evoIulion of lhe hoise fion |cnip pus vas nol a one-sided adjuslnenl lo
Iife on giassy pIains. SuieIy lhe giassy pIains lhenseIves veie evoIved pari passc
vilh lhe evoIulion of lhe leelh and hooves of lhe hoises and olhei unguIales. Tuif
vas lhe evoIving iesponse of lhe vegelalion lo lhe evoIulion of lhe hoise. Il is lhe
ccn|cx| vhich evoIves.
The cIassificalion of schisnogenic piocess inlo ¨synneliicaI¨ and
conpIenenlaiy¨ vas aIieady a cIassificalion of con-lexls of lehavioi, and, aIieady
in lhis essay, lheie is a pioposaI lo exnine lhe possilIe conlinalions of lhenes in
conpIenenlaiy lehavioi. ßy 1942, I had conpIeleIy foi-gollen lhis oId pioposaI, lul
I allenpled lo do pieciseIy vhal I had pioposed seven yeais pieviousIy. In 1942
nany of us veie inleiesled in ¨nalionaI chaiaclei¨ and lhe con-, liasl lelveen
LngIand and Aneiica foilunaleIy lioughl inlo focus lhe facl lhal ¨speclaloiship¨ is
in LngIand a fiIiaI chaiacleiislic, Iinked vilh dependency and sulnission, vhiIe in
Aneiica speclaloiship is a paienlaI chaiacleiislic Iinked vilh doninance and
This hypolhesis, vhich I caIIed ¨end-Iinkage,¨ naiked a luining poinl in ny
lhinking. Iion lhal line on, I have consciousIy focused upon lhe quaIilalive
sliucluie of con-lexls ialhei lhan upon inlensily of inleiaclion. Alove aII, lhe
phenonena of end-Iinkage shoved lhal conlexluaI sliucluies couId lhenseIves le
ncssagcsan inpoilanl poinl vhich is nol nade in lhe 1942 ailicIe. An LngIishnan
vhen he is appIauding anolhei is indicaling oi signaIing polenliaI sulnission
and/oi dependency, vhen he shovs off oi denands speclaloiship, he is signaIing.
doninance oi supeiioiily, and so on. Lveiy LngIishnan vho viiles a look nusl le
guiIly of lhis. Ioi lhe Aneiican, lhe conveise nusl hoId. His loasling is lul a lid foi
quasipaienlaI appiovaI.
The nolion of conlexl ieappeais in lhe essay ¨SlyIe, Ciace, and Infoinalion in
Iiinilive Ail,¨ lul heie lhe idea of conlexl has evoIved lo neel lhe ieIaled ideas of
iedundancy,¨ ¨pallein,¨ and ¨neaning.¨
4 Part III: Fnrm and Pathn!ngy In
4.1 Socla| P|annlng and the Conceµt of Deutero-
Lel ne lake as focus foi lhis connenl lhe Iasl ilen
in Di. Mead´s sunnaiy of
hei papei. To lhe Iaynan vho has nol occupied hinseIf vilh lhe conpaialive sludy
of hunan cuIluies, lhis ieconnendalion nay appeai sliange, il nay appeai lo le an
elhicaI oi phiIosophicaI paiadox, a suggeslion lhal ve discaid puipose in oidei lo
achieve oui puipose, il nay even caII lo nind sone of lhe lasic aphoiisns of
Chiislianily and Taoisn. Such aphoiisns aie faniIiai enough, lul lhe Iaynan viII le
a IillIe suipiised lo find lhen coning fion a scienlisl and diessed in aII lhe
paiapheinaIia of anaIylic lhoughl. To olhei anlhiopoIogisls and sociaI scienlisls, Di.
Mead´s ieconnendalions viII le even noie suipiising, and peihaps noie
neaningIess, lecause insliunenlaIily and ¨lIuepiinls¨ aie an essenliaI ingiedienl in
lhe vhoIe sliucluie of Iife as science sees il. Likevise, lo lhose in poIilicaI Iife, Di.
Mead´s ieconnendalion viII le sliange, since lhey see decisions as cIassifialIe inlo
poIicy-naking decisions veisus execulive decisions. The goveinois and lhe scienlisls
aIike (nol lo nenlion lhe conneiciaI voiId) see hunan affaiis as palleined upon
puipose, neans and ends, connalion and salisfaclion.
If anylody doulls lhal ve lend lo iegaid puipose and insliunenlaIily as
dislincliveIy hunan, Iel hin considei lhe oId quip aloul ealing and Iiving. The
ciealuie vho ¨eals lo Iive¨ is lhe highesl hunan, he vho ¨Iives lo eal¨ is coaisei-
giained, lul sliII hunan, lul if he jusl ¨eals and Iives,¨ vilhoul alliiluling
insliunenlaIily oi a spuiious piioiily in line sequence lo eilhei piocess, he is ialed
onIy anong lhe aninaIs, and sone, Iess kind, viII iegaid hin as vegelalIe.
Di. Mead´s conliilulion consisls in lhis~lhal she, foilified ly conpaialive sludy
of olhei cuIluies, has leen alIe lo lianscend lhe halils of lhoughl cuiienl in hei ovn
cuIluie and has leen alIe lo say viiluaIIy lhis: ¨ßefoie ve appIy sociaI science lo oui
ovn nalionaI affaiis, ve nusl ie-exanine and change oui halils of lhoughl on lhe
suljecl of neans and ends. We have Ieainl, in oui cuIluiaI selling, lo cIassify
lehavioi inlo `neans´ and `ends´ and if ve go on. defining ends as sepaiale fion
neans and appIy lhe sociaI sciences as ciudeIy insliunenlaI neans, using lhe iecipes
This ailicIe vas ny connenl on Maigaiel Mead's ailicIe ¨The Conpaialive Sludy of
CuIluie and lhe Iuiposive CuIlivalion of Denocialic VaIues,¨ pulIished as Chaplei IV of Scicncc,
Pni|cscpnq and Rc|igicn, Scccnd Sqnpcsiun, copyiighl 1942 ly lhe Confeience on Science,
IhiIosophy and ReIigion, Nev Yoik. Il is heie iepiinled ly peinission of lhe Confeience and of
Haipei & Rov, Inc.
I have ilaIicized a paienlhesis in foolnole 5 vhich pie-figuies lhe concepl of lhe ¨doulIe lind.¨
Di. Mead viiles: ¨. . lhose sludenls vho have de-voled lhenseIves lo sludying cuIluies as
vhoIes, as syslens of dynanic equiIiliiun, can nake lhe foIIoving conliilulions:. ¨4.
InpIenenl pIans foi aIleiing oui piesenl cuIluie ly iecognizing lhe inpoilance of incIuding lhe
sociaI scienlisl ui|nin his expeiinenlaI naleiiaI, and ly iecognizing lhal ly voiking lovaid
defined cnds uc connil ouiseIves lo lhe nanipuIalion of peisons, and lheiefoie lo lhe negalion of
denociacy. OnIy ly voiking in leins of vaIues vhich aie Iiniled lo defining a dircc|icn is il
possilIe foi us lo use scienlific nelhods in lhe conlioI of lhe piocess vilhoul lhe negalion of lhe
noiaI aulonony of lhe hunan spiiil.¨ (IlaIics heis.)
of science lo nanipuIale peopIe, ve shaII aiiive al a lolaIilaiian ialhei lhan a
denocialic syslen of Iife.¨ The soIulion vhich she offeis is lhal ve Iook foi lhe
¨diieclion,¨ and ¨vaIues¨ inpIicil in lhe neans, ialhei lhan Iooking ahead lo a
lIuepiinled goaI and lhinking of lhis goaI as juslifying oi nol juslifying nanipuIalive
neans. We have lo find lhe vaIue of a pIanned acl inpIicil in and sinuIlaneous vilh
lhe acl ilseIf, nol sepaiale fion il in lhe sense lhal lhe acl vouId deiive ils vaIue fion
iefeience lo a fuluie end oi goaI. Di. Mead´s papei is, in facl, nol a diiecl pieachnenl
aloul ends and neans, she does nol say lhal ends eilhei do oi do nol juslify lhe
neans. She is laIking nol diieclIy aloul ends and neans, lul aloul lhe vay ve lend
lo lhink aloul vays and neans, and aloul lhe dangeis inheienl in oui halil of
Il is specificaIIy al lhis IeveI lhal lhe anlhiopoIogisl has nosl lo conliilule lo oui
piolIens. Il is his lask lo see lhe highesl connon facloi inpIicil in a vasl vaiiely of
hunan phenonena, oi inveiseIy, lo decide vhelhei phenonena vhich appeai lo le
siniIai aie nol inliinsicaIIy diffeienl. He nay go lo one Soulh Sea connunily, such
as lhe Manus, and lheie find lhal lhough eveiylhing lhal lhe nalives do is concieleIy
diffeienl fion oui ovn lehavioi, yel lhe undeiIying syslen of nolives is ialhei
cIoseIy conpaialIe vilh oui ovn Iove of caulion and veaIlh accunuIalion, oi again
he nay go lo anolhei sociely such as ßaIi and lheie find lhal, vhiIe lhe oulvaid
appeaiance of lhe nalive ieIigion is cIoseIy conpaialIe vilh oui ovn~kneeIing lo
piay, incense, inloned ulleiances punclualed ly a leII, elc.~lhe lasic enolionaI
alliludes aie fundanenlaIIy diffeienl. In ßaIinese ieIigion ve find an appiovaI
accoided lo iole, nonenolionaI peifoinance of ceilain acls inslead of lhe insislence
upon coiiecl enolionaI allilude, chaiacleiislic of Chiislian chuiches.
In eveiy case lhe anlhiopoIogisl is conceined nol vilh neie desciiplion lul vilh
a sIighlIy highei degiee of alsliaclion, a videi degiee of geneiaIizalion. His fiisl lask
is lhe nelicuIous coIIeclion of nasses of conciele olseivalions of nalive Iife~lul lhe
nexl slep is nol a neie sunnaiizing of lhese dala, il is ialhei lo inleipiel lhe dala in
an alsliacl Ianguage vhich shaII lianscend and conpiehend lhe vocaluIaiy and
nolions expIicil and inpIicil in oui ovn cuIluie. Il is nol possilIe lo give a scienlific
desciiplion of a nalive cuIluie in LngIish voids, lhe anlhiopoIogisl nusl devise a
noie alsliacl vocaluIaiy in leins of vhich lolh oui ovn and lhe nalive cuIluie can
le desciiled.
This lhen is lhe lype of discipIine vhich has enalIed Di. Mead lo poinl oul lhal a
disciepancy~a lasic and fundanenlaI disciepancy~exisls lelveen ¨sociaI
engineeiing,¨ nanipuIaling peopIe in oidei lo achieve a pIanned lIue-piinl sociely,
and lhe ideaIs of denociacy, lhe ¨supiene voilh and noiaI iesponsiliIily of lhe
individuaI hunan pei-son.¨ The lvo confIicling nolifs have Iong leen inpIicil in oui
cuIluie, science has had insliunenlaI Ieanings since lefoie lhe IndusliiaI RevoIulion,
and enphasis upon individuaI voilh and iesponsiliIily is even oIdei. The lhieal of
confIicl lelveen lhe lvo nolifs has onIy cone iecenlIy, vilh incieasing
consciousness of, and enphasis upon, lhe denocialic nolif and sinuIlaneous spiead
of lhe insliunenlaI nolif. IinaIIy, lhe confIicl is nov a Iife-oi-dealh sliuggIe ovei lhe
ioIe vhich lhe sociaI sciences shaII pIay in lhe oideiing of hunan ieIalionships. Il is
haidIy an exaggeialion lo say lhal lhis vai is ideoIogicaIIy aloul jusl lhis~lhe ioIe of
lhe sociaI sciences. Aie ve lo ieseive lhe lechniques and lhe iighl lo nanipuIale
peopIe as lhe piiviIege of a fev pIanning, goaI-oiienled, and povei-hungiy
individuaIs, lo vhon lhe insliunenlaIily of science nakes a naluiaI appeaI` Nov
lhal ve have lhe lechniques, aie ve, in coId lIood, going lo lieal peopIe as lhings` Oi
vhal aie ve going lo do vilh lhese lechniques`
The piolIen is one of veiy gieal difficuIly as veII as uigency, and il is doulIy
difficuIl lecause ve, as scienlisls, aie deepIy soaked in halils of insliunenlaI lhoughl
lhose of us, al Ieasl, foi vhon science is a pail of Iife, as veII as a leaulifuI and
dignified alsliaclion. Lel us liy lo suinounl lhis addilionaI souice of difficuIly ly
luining lhe looIs of science upon lhis halil of insliunenlaI lhoughl and upon lhe
nev halil vhich Di. Mead envisages~lhe halil vhich Iooks foi ¨diieclion¨ and
¨vaIue¨ in lhe chosen acl, ialhei lhan in defined goaIs. CIeaiIy, lolh of lhese halils
aie vays of Iooking al line sequences. In lhe oId jaigon of psychoIogy, lhey iepiesenl
diffeienl vays of appeiceiving sequences of lehavioi, oi in lhe nevei jaigon of
geslaIl psychoIogy, lhey nighl lolh le desciiled as halils of Iooking foi one oi
anolhei soil of conlexluaI fiane foi lehavioi. The piolIen vhich Di. Mead~vho
advocales a change in such halils~iaises is lhe piolIen of hov halils of lhis
alsliacl oidei aie Ieained.
This is nol lhe sinpIe lype of queslion vhich is posed in nosl psychoIogicaI
Ialoialoiies, ¨Undei vhal ciicunslances viII a dog Ieain lo saIivale in iesponse lo a
leII`¨ oi,
Whal vaiialIes govein success in iole Ieaining`¨ Oui queslion is one
degiee noie alsliacl, and, in a sense, liidges lhe gap lelveen lhe expeiinenlaI voik
on sinpIe Ieaining and lhe appioach of lhe geslaIl psychoIogisls. We aie asking,
Hov does lhe dog acquiie a halil of punclualing oi appeiceiving lhe infinileIy
conpIex sliean of evenls (incIuding his ovn lehavioi) so lhal lhis sliean appeais lo
le nade up of one lype of shoil sequences ialhei lhan an-olhei`¨ Oi, sulsliluling lhe
scienlisl foi lhe dog, ve nighl ask, ¨Whal ciicunslances deleinine lhal a given
scienlisl viII puncluale lhe sliean of evenls so as lo concIude lhal aII is
piedeleinined, vhiIe anolhei viII see lhe sliean of evenls as so ieguIai as lo le
susceplilIe of conlioI`¨ Oi, again, on lhe sane IeveI of alsliaclion Iel us ask~and
lhis queslion is veiy ieIevanl lo lhe pionolion of denociacy~¨Whal ciicunslances
pionole lhal specific haliluaI phiasing of lhe univeise vhich ve caII `fiee viII´ and
lhose olheis vhich ve caII `iesponsiliIily,´ `consliucliveness,´ `eneigy,´ `passivily,´
`doninance,´ and lhe iesl`¨ Ioi aII lhese alsliacl quaIilies, lhe essenliaI slock-in-liade
of lhe educalois, can le seen as vaiious halils of punclualing lhe sliean of
expeiience so lhal il lakes on one oi anolhei soil of coheience and sense. They aie
alsliaclions vhich legin lo assune sone opeialionaI neaning vhen ve see lhen
lake lheii pIace on a concepluaI IeveI lelveen lhe slalenenls of sinpIe Ieaining and
lhose of geslaIl psychoIogy.
We can, foi exanpIe, pul oui fingei veiy sinpIy on lhe piocess vhich Ieads lo
liagedy and disiIIusion vhenevei nen decide lhal lhe ¨end juslifies lhe neans¨ in
lheii effoils lo achieve eilhei a Chiislian oi a lIuepiinled heaven-on-eailh. They
ignoie lhe facl lhal in sociaI nanipuIalion, lhe looIs aie nol hanneis and
scievdiiveis. A scievdiivei is nol seiiousIy affecled vhen, in an eneigency, ve use
il as a vedge, and a hannei´s oulIook on Iife is nol affecled lecause ve sonelines
use ils handIe as a sinpIe Ievei. ßul in sociaI nanipuIalion oui looIs aie peopIe, and
peopIe Ieain, and lhey acquiie halils vhich aie noie sullIe and peivasive lhan lhe
liicks vhich lhe lIuepiinlei leaches lhen. Wilh lhe lesl inlenlions in lhe voiId, he
nay liain chiIdien lo spy upon lheii paienls in oidei lo eiadicale sone lendency
piejudiciaI lo lhe success of his lIuepiinl, lul lecause lhe chiIdien aie peopIe lhey
viII do noie lhan Ieain lhis sinpIe liick~lhey viII luiId lhis expeiience inlo lheii
vhoIe phiIosophy of Iife, il viII coIoi aII lheii fuluie alliludes lo-vaid aulhoiily.
Whenevei lhey neel ceilain soils of con-lexl, lhey viII lend lo see lhese conlexls as
sliucluied on an eaiIiei faniIiai pallein. The lIuepiinlei nay deiive an iniliaI
advanlage fion lhe chiIdien´s liicks, lul lhe uIlinale success of his lIuepiinl nay le
deslioyed ly lhe halils of nind vhich veie Ieained vilh lhe liick. (UnfoilunaleIy,
lheie is no ieason lo leIieve lhal lhe Nazi lIuepiinl viII lieak dovn foi lhese
ieasons. Il is piolalIe lhal lhe unpIeasanl alliludes heie iefeiied lo aie envisaged as
lasic oc|n lo lhe pIan ilseIf and lo lhe neans of achieving il. The ioad lo heII can aIso
le paved vilh lad inlenlions, lhough veII-inlenlioned peopIe find lhis haid lo
We aie deaIing, appaienlIy, vilh a soil of halil vhich is a ly-pioducl of lhe
Ieaining piocess. When Di. Mead leIIs us lhal ve shouId Ieave off lhinking in leins
of lIue-piinls and shouId inslead evaIuale oui pIanned acls in leins of lheii
innediale inpIicil vaIue, she is saying lhal in lhe upliinging and educalion of
chiIdien, ve oughl lo liy lo incuIcale a soil of ly-pioducl halil ialhei diffeienl fion
lhal vhich ve acquiied and vhich ve daiIy ieinfoice in ouiseIves in oui conlacls
vilh science, poIilics, nevspapeis, and so on.
She slales peifeclIy cIeaiIy lhal lhis nev shifl in lhe enphasis oi geslaIl of oui
lhinking viII le a selling foilh inlo unchailed valeis. We cannol knov vhal nannei
of hunan leings viII iesuIl fion such a couise, noi can ve le suie lhal ve ouiseIves
vouId feeI al hone in lhe voiId of 198O. Di. Mead can onIy leII us lhal if ve pioceed
on lhe couise vhich vouId seen nosl naluiaI, pIanning oui appIicalions of sociaI
science as a neans of allaining a defined goaI, ve shaII suieIy hil a iock. She has
chailed lhe iock foi us, and advises lhal ve enlaik on a couise in a diieclion vheie
lhe iock is nol, lul in a nev, sliII unchailed diieclion. Hei papei iaises lhe queslion
of hov ve aie lo chail lhis nev diieclion.
AcluaIIy, science can give us- sonelhing appioaching a chail. I indicaled alove
lhal ve nighl see a nixed lunch of alsliacl leins~fiee viII, piedeslinalion,
iesponsiliIily, consliucliveness, passivily, doninance, elc.~as aII of lhen desciiplive
of appeiceplive halils, haliluaI vays of Iooking al lhe sliean of evenls of vhich oui
ovn lehavioi is a pail, and fuilhei lhal lhese halils nighl aII le, in sone sense, ly-
pioducls of lhe Ieaining piocess. Oui nexl lask, if ve aie lo achieve sone soil of
chail, is cIeaiIy lo gel sonelhing lellei lhan a iandon Iisl of lhese possilIe halils. We
nusl ieduce lhis Iisl lo a cIassificalion vhich shaII shov hov each of lhese halils is
syslenalicaIIy ieIaled lo lhe olheis.
We neel in connon agieenenl lhal a sense of individuaI aulonony, a halil of
nind sonehov ieIaled lo vhal I have caIIed ¨fiee viII,¨ is an essenliaI of denociacy,
lul ve aie sliII nol peifeclIy cIeai as lo hov lhis aulonony shouId le defined
opeialionaIIy. Whal, foi exanpIe, is lhe ieIalion lelveen ¨aulonony¨ and
conpuIsive negalivisn` The gas slalions vhich iefuse lo confoin lo lhe cuifev~aie
lhey oi aie lhey nol shoving a fine denocialic spiiil` This soil of ¨negalivisn¨ is
undoulledIy of lhe sane degiee of alsliaclion as ¨fiee viII¨ oi ¨deleininisn¨, Iike
lhen il is an haliluaI vay of appeiceiving conlexls, evenl sequences and ovn
lehavioi, lul il is nol cIeai vhelhei lhis negalivisn is a ¨sulspecies¨ of individuaI
aulonony, oi is il ialhei sone enliieIy diffeienl halil` SiniIaiIy, ve need lo knov
hov lhe nev halil of lhoughl vhich Di. Mead advocales is ieIaled lo lhe olheis.
LvidenlIy oui need is foi sonelhing lellei lhan a iandon Iisl of lhese halils of
nind. We need sone syslenalic fiane-voik oi cIassificalion vhich shaII shov hov
each of lhese halils is ieIaled lo lhe olheis, and such a cIassificalion nighl piovide us
vilh sonelhing appioaching lhe chail ve Iack. Di. Mead leIIs us lo saiI inlo as yel
unchailed valeis, adopling a nev halil of lhoughl, lul if ve knev hov lhis halil is
ieIaled lo olheis, ve nighl le alIe lo judge of lhe lenefils and dangeis, lhe possilIe
pilfaIIs of such a couise. Such a chail nighl piovide us vilh lhe ansveis lo sone of
lhe queslions vhich Di. Mead iaises~as lo hov ve aie lo judge of lhe
and vaIue inpIicil in oui pIanned acls.
You nusl nol expecl lhe sociaI scienlisl lo pioduce such a chail oi cIassificalion
al a nonenl´s nolice, Iike a iallil oul of a hal, lul I lhink ve can lake a fiisl slep in
lhis diieclion, ve can suggesl sone of lhe lasic lhenes~lhe caidinaI poinls, if you
Iike~upon vhich lhe finaI cIassificalion nusl le luiIl.
We have noled lhal lhe soils of halil vilh vhich ve aie conceined aie, in sone
sense, ly-pioducls of lhe Ieaining piocesses, and il is lheiefoie naluiaI lhal ve Iook
fiisl lo lhe phenonena of sinpIe Ieaining as IikeIy lo piovide us vilh a cIue. We aie
iaising queslions one degiee noie alsliacl lhan lhose chiefIy sludied ly lhe
expeiinenlaI psychoIogisls, lul il is sliII lo lheii Ialoialoiies lhal ve nusl Iook foi
oui ansveis.
Nov il so happens lhal in lhe psychoIogicaI Ialoialoiies lheie is a connon
phenonenon of a sonevhal highei degiee of alsliaclion oi geneiaIily lhan lhose
vhich lhe expeiinenls aie pIanned lo eIucidale. Il is a connonpIace lhal lhe
expeiinenlaI suljecl~vhelhei aninaI oi nan, lecones a lellei suljecl aflei
iepealed expeiinenls. He nol onIy Ieains lo saIivale al lhe appiopiiale nonenls, oi
lo iecile lhe appiopiiale nonsense syIIalIes, he aIso, in sone vay, |carns |c |carn. He
nol onIy soIves lhe piolIens sel hin ly lhe expeiinenlei, vheie each soIving is a
piece of sinpIe Ieaining, lul, noie lhan lhis, he lecones noie and noie skiIIed in
lhe soIving of piolIens.
In senigeslaIl oi senianlhioponoiphic phiaseoIogy, ve nighl say lhal lhe
suljecl is Ieaining lo oiienl hinseIf lo ceilain lypes of conlexls, oi is acquiiing
¨insighl¨ inlo lhe conlexls of piolIen soIving. In lhe jaigon of lhis papei, ve nay say
lhal lhe suljecl has acquiied a halil of Iooking foi conlexls and sequences of one lype
ialhei lhan anolhei, a halil of ¨punclualing¨ lhe sliean of evenls lo give iepelilions
of a ceilain lype of neaningfuI sequence.
The Iine of aigunenl vhich ve have foIIoved has lioughl us lo a poinl al vhich
slalenenls aloul sinpIe Ieaining neel slalenenls aloul geslaIl and conlexluaI
sliucluie, and ve have ieached lhe hypolhesis lhal ¨Ieaining lo Ieain¨ is a synonyn
foi lhe acquisilion of lhal cIass of alsliacl halils of lhoughl vilh vhich lhis papei is
conceined, lhal lhe slales of nind vhich ve caII ¨fiee viII,¨ insliunenlaI lhinking,
doninance, passivily, elc., aie acquiied ly a piocess vhich ve nay equale vilh
Ieaining lo Ieain.¨
This hypolhesis is lo sone exlenl nev
lo psychoIogisls as veII as lo Iaynen, and
lheiefoie I nusl digiess al lhis poinl lo suppIy lechnicaI ieadeis vilh a noie piecise
slalenenl of ny neaning. I nusl denonsliale al Ieasl ny viIIingness lo slale lhis
liidge lelveen sinpIe Ieaining and geslaIl in opeialionaI leins.
Lel us coin lvo voids, ¨piolo-Ieaining
deuleioIeaining,¨ lo avoid lhe Ialoi
of defining opeialionaIIy aII lhe olhei leins in lhe fieId (liansfei of Ieaining,
geneiaIizalion, elc., elc.). Lel us say lhal lheie aie lvo soils of giadienl disceinilIe in
aII conlinued Ieaining. The giadienl al any poinl on a sinpIe Ieaining cuive (e.g., a
cuive of iole Ieaining) ve viII say chiefIy iepiesenls iale of piolo-Ieaining. If,
hovevei, ve infIicl a seiies of siniIai Ieaining expeiinenls on lhe sane suljecl, ve
shaII find lhal in each successive expeiinenl lhe suljecl has a sonevhal sleepei
piolo-Ieaining giadienl, lhal he Ieains sonevhal noie iapidIy. This piogessive
change in iale of piolo-Ieaining ve viII caII ¨deuleio-Ieaining.¨
Iion lhis poinl ve can easiIy go on lo iepiesenl deuleioIeaining giaphicaIIy
vilh a cuive vhose giadienl shaII iepiesenl iale of deuleio-Ieaining. Such a
iepiesenlalion nighl le ollained, foi exanpIe, ly inleisecling lhe seiies of
pioloIeaining cuives al sone aililaiiIy chosen nunlei of liiaIs, and noling vhal
piopoilion of successfuI iesponses occuiied in each expeiinenl al lhis poinl. The
cuive of deuleio-Ieaining vouId lhen le ollained ly pIolling lhese nunleis againsl
lhe seiiaI nunleis of lhe expeiinenls.
IsychoIogicaI papeis leaiing upon lhis piolIen of lhe ieIalionship lelveen geslaIl and
sinpIe Ieaining aie veiy nuneious, if ve incIude aII vho have voiked on lhe concepls of liansfei
of Ieaining, geneiaIizalion, iiiadialion, ieaclion lhieshoId (HuII), insighl, and lhe Iike.
HisloiicaIIy, one of lhe fiisl lo pose lhese queslions vas Mi. Iiank (L. K. Iiank, ¨The IiolIens of
Leaining,¨ Isych. Reviev, 1926, 33: 329-51, and Iiofessoi Maiei has iecenlIy inlioduced a
concepl of ¨diieclion¨ vhich is cIoseIy ieIaled lo lhe nolion of ¨deuleio-Ieaining.¨ He says:
¨diieclion . is lhe foice vhich inlegiales nenoiies in a pailicuIai nannei vilhoul leing a
nenoiy ilseIf.¨ (N. R. I. Maiei, ¨The ßehavioi Mechanisns Conceined vilh IiolIen SoIving,¨-
Isych. Reviev, 194O, 47: 43-58.) If foi ¨foice¨ ve sulslilule ¨halil,¨ and foi ¨nenoiy¨ ve
sulslilule ¨expeiience of lhe sliean of evenls,¨ lhe concepl of deuleio-Ieaining can le seen as
aInosl synonynous vilh Iiofessoi Maiei's concepl of ¨diieclion.¨
Il viII le noled lhal lhe opeialionaI definilion of deuleio-Ieaining is necessaiiIy sonevhal
easiei lhan lhal of piolo-Ieaining. AcluaIIy, no sinpIe Ieaining cuive iepiesenls piolo-Ieaining
aIone. Lven vilhin lhe duialion of lhe singIe Ieaining expeiinenl ve nusl suppose lhal sone
deuleio-Ieaining viII occui, and lhis viII nake lhe giadienl al any poinl sonevhal sleepei lhan
lhe hypolhelicaI giadienl of ¨puie¨ piolo-Ieaining.
In lhis definilion of piolo- and deuleio-Ieaining, one phiase ienains
conspicuousIy vague, lhe phiase ¨a seiies of siniIai expeiinenls.¨ Ioi puiposes of
iIIuslialion, I inagined a seiies of expeiinenls in iole Ieaining, each expeiinenl
siniIai lo lhe Iasl, excepl foi lhe sulslilulion of a nev seiies of nonsense syIIalIes in
pIace of lhose aIieady Ieained. In lhis exanpIe, lhe cuive of deuleio-Ieaining
iepiesenled in-cieasing pioficiency in lhe lusiness of iole Ieaining, and, as an
expeiinenlaI facl, such inciease in iole pioficiency can le denonslialed.
C. HuII, Ma|ncna|icc-Dcduc|itc Tnccrq cf Rc|c |carning, Nev Haven, YaIe Univeisily Iiess,
Apail fion iole Ieaining, il is nuch noie difficuIl lo de-fine vhal ve nean ly
saying lhal one Ieaining conlexl is ¨siniIai¨ lo anolhei, unIess ve aie conlenl lo iefei
lhe nallei lack lo lhe expeiinenlaIisls ly saying lhal Ieaining conlexls shaII le
consideied lo le ¨siniIai¨ one lo anolhei vhenevei il can le shovn expeiinenlaIIy
lhal expeiience of Ieaining in one conlexl does, as a nallei of facl, pionole speed of
Ieaining in anolhei, and asking lhe expeiinenlaIisls lo find oul foi us vhal soil of
cIassificalion lhey can luiId up ly use of lhis ciileiion. We nay hope lhal lhey viII
do lhis, lul ve cannol hope foi innediale ansveis lo oui queslions, lecause lheie
aie veiy seiious difficuIlies in lhe vay of such expeiinenlalion. Lxpeiinenls in
sinpIe Ieaining aie aIieady difficuIl enough lo conlioI and lo pei-foin vilh ciilicaI
exaclness, and expeiinenls in deuleioIeaining aie IikeIy lo piove aInosl inpossilIe.
Theie is, hovevei, an aIleinalive couise open lo us. When ve equaled ¨Ieaining
lo Ieain¨ vilh acquiiing appeiceplive halils, lhis did nol excIude lhe possiliIily lhal
such halils nighl le acquiied in olhei vays. To suggesl lhal lhe onIy nelhod of
acquiiing one of lhese halils is lhiough iepealed expeiience of Ieaining conlexls of a
given kind vouId le IogicaIIy anaIogous lo saying lhal lhe onIy vay lo ioasl pig is ly
luining lhe house dovn. Il is olvious lhal in hunan educalion such halils aie
acquiied in veiy vaiious vays. We aie nol conceined vilh a hypolhelicaI isoIaled
individuaI in conlacl vilh an inpeisonaI evenls sliean, lul ialhei vilh ieaI
individuaIs vho have conpIex enolionaI palleins of ieIalionship vilh olhei
individuaIs. In such a ieaI voiId, lhe individuaI viII le Ied lo acquiie oi iejecl
appeiceplive halils ly lhe veiy conpIex phenonena of peisonaI exanpIe, lone of
voice, hosliIily, Iove, elc. Many such halils, loo, viII le conveyed lo hin, nol lhiough
his ovn naked expeiience of lhe sliean of evenls, foi no hunan leings (nol even
scienlisls) aie naked in lhis sense. The evenls sliean is nedialed lo lhen lhiough
Ianguage, ail, lechnoIogy, and olhei cuIluiaI nedia vhich aie sliucluied al eveiy
poinl ly lianIines of appeiceplive halil.
Il lheiefoie foIIovs lhal lhe psychoIogicaI Ialoialoiy is nol lhe onIy possilIe
souice of knovIedge aloul lhese halils, ve nay luin inslead lo lhe conliasling
palleins inpIicil and expIicil in lhe vaiious cuIluies of lhe voiId sludied ly lhe
anlhiopoIogisls. We can anpIify oui Iisl of lhese olscuie halils ly adding lhose
vhich have leen deveIoped in cuIluies olhei lhan oui ovn.
Mosl piofilalIy, I leIieve, ve can conline lhe insighls of lhe expeiinenlaI
psychoIogisls vilh lhose of lhe anlhiopoIogisls, laking lhe conlexls of expeiinenlaI
Ieaining in lhe Ialoialoiy and asking of each vhal soil of appeiceplive halil ve
shouId expecl lo find associaled vilh il, lhen Iooking aiound lhe voiId foi hunan
cuIluies in vhich lhis halil has leen deveIoped. InveiseIy, ve nay le alIe lo gel a
noie definile~noie opeialionaI~definilion of such halils as ¨fiee viII¨ if ve ask
aloul each, ¨Whal soil of expeiinenlaI Ieaining conlexl vouId ve devise in oidei lo
incuIcale lhis halil`¨ ¨Hov vouId ve iig lhe naze oi piolIen-lox so lhal lhe
anlhioponoiphic ial shaII ollain a iepealed and ieinfoiced inpiession of his ovn
fiee viII`¨
The cIassificalion of conlexls of expeiinenlaI Ieaining is as yel veiy inconpIele,
lul ceilain definile advances have leen nade.
Il is possilIe lo cIassify lhe piincipaI
Vaiious cIassificalions have leen devised foi puiposes of exposilion. Heie I foIIov lhal
of HiIgaid and Maiquis (L. R. HiIgaid and D. C. Maiquis, Ccndi|icning and |carning, Nev
Yoik, AppIelon Cenluiy Co., 194O). These aulhois suljecl lheii ovn cIassificalion lo a liiIIianl
ciilicaI anaIysis, and lo lhis anaIysis I an indelled foi one of lhe foinalive ideas upon vhich lhis
conlexls of posilive Ieaining (as dislincl fion negalive Ieaining oi inhililion, Ieaining
nc| lo do lhings) undei foui heads, as foIIovs:
(1)CIassicaI IavIovian conlexls
These aie chaiacleiized ly a iigid line sequence in vhich lhe condilioned
slinuIus (e.g., luzzei) aIvays pie-cedes lhe uncondilioned slinuIus (e.g., neal
povdei) ly a fixed inleivaI of line. This iigid sequence of evenls is nol aIleied ly
anylhing lhal lhe aninaI nay do. In lhese con-lexls, lhe aninaI Ieains lo iespond lo
lhe condilioned slinuIus vilh lehavioi (e.g., saIivalion) vhich vas foineiIy evoked
onIy ly lhe uncondilioned slinuIus.
(2)Conlexls of insliunenlaI ievaid oi escape
These aie chaiacleiized ly a sequence vhich depends upon lhe aninaI´s
lehavioi. The uncondilioned slinuIus in lhese conlexls is usuaIIy vague (e.g., lhe
vhoIe sun of ciicunslances in vhich lhe aninaI is pul, lhe piolIen-lox) and nay le
inleinaI lo lhe aninaI (e.g., hungei). If and vhen, undei lhese ciicunslances, lhe
aninaI peifoins sone acl vilhin ils lehavioiaI iepeiloiie and pieviousIy seIecled ly
lhe expeiinenlei (e.g., Iifls ils Ieg), il is innedialeIy ievaided.
(3)Conlexls of insliunenlaI avoidance
These aie aIso chaiacleiized ly a condilionaI sequence. The uncondilioned
slinuIus is usuaIIy definile (e.g., a vaining luzzei) and lhis is foIIoved ly an
unpIeasanl expeiience (e.g., eIecliic shock) un|css in lhe inleivaI lhe aninaI pei-foins
sone seIecled acl (e.g., Iifls Ieg).
(4)Conlexls of seiiaI and iole Ieaining
These aie chaiacleiized ly lhe piedoninanl condilioned slinuIus leing an acl of
lhe suljecl. He Ieains, foi exanpIe, aIvays lo give lhe condilioned iesponse
(nonsense syIIalIe 8) aflei he has hinseIf ulleied lhe condilioned slinuIus (nonsense
syIIalIe A)
papei is lased. They insisl lhal any Ieaining conlexl can le desciiled in leins of any lheoiy of
Ieaining, if ve aie viIIing lo slielch and oveienphasize ceilain aspecls of lhe conlexl lo fil onlo
lhe Iiociuslean led of lhe lheoiy. I have laken lhis nolion as a coineislone of ny lhinking,
sulsliluling ¨appeiceplive halils¨ foi ¨lheoiies of Ieaining,¨ and aiguing lhal aInosl any
sequence of evenls can le slielched and vaiped and punclualed lo fil in vilh any lype of
appeiceplive halil. (lc naq suppcsc |na| cxpcrincn|a| ncurcsis is una| nappcns uncn |nc suojcc| fai|s
|c acnictc |nis assini|a|icn.)
I an aIso indelled lo Levin's lopoIogicaI anaIysis of lhe conlexls of ievaid and punishnenl.
(K. Levin, A Dqnanic Tnccrq cf Pcrscna|i|q, Nev Yoik, McCiav-HiII ßook Co., 1936.)
This snaII leginning of a cIassificalion
viII le sufficienl lo iIIusliale lhe
piincipIes vilh vhich ve aie conceined and ve can nov go on lo ask aloul lhe
occuiience of lhe appiopiiale appeiceplive halils anong nen of vaiious cuIluies. Of
giealesl inleiesl~lecause Ieasl faniIiai~aie lhe IavIovian pal-leins and lhe
palleins of iole. Il is a IillIe haid foi nenleis of Weslein civiIizalion lo leIieve lhal
vhoIe syslens of lehavioi can le luiIl on pienises olhei lhan oui ovn nixluie of
insliunenlaI ievaid and insliunenlaI avoidance. The Tioliiand IsIandeis, hovevei,
appeai lo Iive a Iife vhose coheience and sense is lased upon Iooking al evenls
lhiough IavIovian speclacIes, onIy sIighlIy linled vilh lhe hope of insliunenlaI
ievaid, vhiIe lhe Iife of lhe ßaIinese is sensilIe if ve accepl pienises lased upon
conlining iole vilh insliunenlaI avoidance.
CIeaiIy, lo lhe ¨puie¨ IavIovian, onIy a veiy Iiniled falaI-isn vouId le possilIe.
He vouId see aII evenls as pieoidained and he vouId see hinseIf as faled onIy lo
seaich foi onens, nol alIe lo infIuence lhe couise of evenls~alIe, al nosl, fion his
Many peopIe feeI lhal lhe conlexls of expeiinenlaI Ieaining aie so oveisinpIified as lo have
no leaiing upon lhe phenonena of lhe ieaI voiId. AcluaIIy, expansion of lhis cIassificalion viII
give neans of defining syslenalicaIIy nany hundieds of possilIe conlexls of Ieaining vilh lheii
associaled appeiceplive halils. The schene nay le expanded in lhe foIIoving vays:
a.IncIusion of conlexls of negalive Ieaining (inhililion).
l.IncIusion of nixed lypes (e.g., cases in vhich saIivalion, vilh ils
physioIogicaI ieIevance lo neal povdei, is aIso insliunenlaI in
ollaining lhe neal povdei).
c.IncIusion of lhe cases in vhich lhe suljecl is alIe lo deduce sone
soil of ieIevance (olhei lhan lhe physioIogicaI) lelveen sone lvo oi
noie eIenenls in lhe sequence. Ioi lhis lo le liue, lhe suljecl nusl
have expeiience of conlexls diffeiing syslenalicaIIy one fion
anolhei, e.g., conlexls in vhich sone lype of change in one eIenenl
is conslanlIy acconpanied ly a conslanl lype of change in anolhei
eIenenl. These cases can le spiead oul on a Iallice of possiliIilies,
accoiding lo vhich paii of eIenenls lhe suljecl sees as inleiieIaled.
Theie aie onIy five eIenenls (condilioned slinuIus, condilioned
iesponse, ievaid oi punishnenl, and lvo line inleivaIs), lul any
paii of lhese nay le inleiieIaled, and of lhe inleiieIaled paii, eilhei
nay le seen ly lhe suljecl as deleinining lhe olhei. These
possiliIilies, nuIlipIied foi oui foui lasic conlexls, give foily-eighl
d.The Iisl of lasic lypes nay le exlended ly incIuding lhose cases (nol
as yel invesligaled in Ieaining expeiinenls lul connon in inleipeisonaI
ieIalionships) in vhich lhe ioIes of suljecl and expeiinenlei aie
ieveised. In lhese, lhe Ieaining pailnei piovides lhe iniliaI and finaI
eIenenls, vhiIe sone olhei peison (oi ciicunslance) piovides lhe niddIe
lein. In lhese lypes, ve see lhe luzzei and lhe neal povdei as lhe
lehavioi of a peison and ask: ¨Whal does lhis peison Ieain`¨ A gieal pail
of lhe ganul of appeiceplive halils associaled vilh aulhoiily and
paienlhood is lased on conlexls cf lhis geneiaI lype.
ieading of lhe onens, lo pul hinseIf in lhe piopeiIy ieceplive slale, e.g., ly
saIivalion, lefoie lhe inevilalIe occuiied. Tioliiand cuIluie is nol so puieIy
IavIovian as lhis, lul Di. Lee,
anaIyzing Iiofessoi MaIinovski´s iich olseivalions,
has shovn lhal Tioliiand phiasings of puipose, cause, and effecl aie piofoundIy
diffeienl fion oui ovn, and lhough Di. Lee does nol use lhe soil of cIassificalion
heie pioposed, il appeais fion Tioliiand nagic lhal lhese peopIe conlinuaIIy exhilil
a halil of lhinking lhal lo acl as if a lhing veie so viII nake il so. In lhis sense, ve
nay desciile lhen as seni-IavIovians vho have decided lhal ¨saIivalion¨ is
insliunenlaI lo ollaining ¨neal povdei.¨ MaIinovski, foi exanpIe, gives us a
dianalic desciiplion of lhe aInosl physioIogicaI exlienes of iage
vhich lhe
Tioliiand lIack nagician piaclices in his incanlalions, and ve nay lake lhis as an
iIIuslialion of lhe seni-IavIovian fiane of nind in conliasl vilh lhe veiy vaiious
lypes of nagicaI pioceduie in olhei pails of lhe voiId, vheie, foi exanpIe, lhe
efficacy of a speII nay le associaled nol vilh lhe inlensily lul vilh lhe exliene iole
accuiacy of lhe iecilalion.
Anong lhe ßaIinese
ve find anolhei pallein vhich conliasls shaipIy lolh vilh
oui ovn and vilh lhal of lhe Tioliiandeis. The liealnenl of chiIdien is such lhal
lhey Ieain nol lo see Iife as conposed of connalive sequences ending in salisfaclion,
lul ialhei lo see il as conposed of iole sequences inheienlIy salisfying in lhenseIves
~a pallein vhich is lo sone exlenl ieIaled lo lhal pallein vhich Di. Mead has
ieconnended, of Iooking foi vaIue in lhe acl ilseIf ialhei lhan iegaiding lhe acl as a
neans lo an end. Theie is, hov-evei, one veiy inpoilanl diffeience lelveen lhe
ßaIinese pallein and lhal ieconnended ly Di. Mead. The ßaIinese pallein is
essenliaIIy deiivalive fion conlexls of insliunenlaI avoidance, lhey see lhe voiId as
dangeious, and lhenseIves as avoiding, ly lhe endIess iole lehavioi of iiluaI and
couilesy, lhe evei-piesenl iisk of faux pas. Theii Iife is luiIl upon feai, aIleil lhal in
geneiaI lhey enjoy feai. The posilive vaIue vilh vhich lhey endov lheii innediale
acls, nol Iooking foi a goaI, is sonehov associaled vilh lhis enjoynenl of feai. Il is
lhe aciolal´s enjoynenl lolh of lhe lhiiII and of his ovn viiluosily in avoiding
We aie nov, aflei a sonevhal Iong and lechnicaI excuision inlo psychoIogicaI
Ialoialoiies and foieign cuIluies, in a posilion lo exanine Di. Mead´s pioposaI in
sonevhal noie conciele leins. She advises lhal vhen ve appIy lhe sociaI sciences
ve Iook foi ¨diieclion¨ and ¨vaIue¨ in oui veiy acls, ialhei lhan oiienl ouiseIves lo
sone lIuepiinled goaI. She is nol leIIing us lhal ve oughl lo le Iike lhe ßaIinese,
excepl in oui line oiienlalion, and she vouId le lhe fiisl lo dispaiage any suggeslion
lhal feai (even enjoyed feai) shouId le oui lasis foi assigning vaIue lo oui acls.
Ralhei, as I undeisland il, lhis lasis shouId le sone soil of hope~nol Iooking lo
sone fai-off fuluie, lul sliII sone soil of hope oi oplinisn. In facl, ve nighl
Doiolhy Lee, ¨A Iiinilive Syslen of VaIues,¨ ]curna| Pni|cs. cf Scicncc, 194O, 7. 355-78.
A Il is possilIe lhal seni-IavIovian phiasings of lhe sliean of evenls lend, Iike lhe expeiinenls
vhich aie lheii piololypes, lo hinge pailicuIaiIy upon aulononic ieaclions~lhal lhose vho see
evenls in lhese leins lend lo see lhese ieaclions, vhich aie onIy pailiaIIy suljecl lo voIunlaiy conlioI,
as pecuIiaiIy effeclive and poveifuI causes of oulside evenls. Theie nay le sone iionicaI Iogic in
IavIovian falaIisn vhich piedisposes us lo leIieve lhal ve can aIlei lhe couise of evenls cn|q oq neans
of lhose lehaviois vhich ve aie Ieasl alIe lo conlioI.
The ßaIinese naleiiaI coIIecled ly Di. Mead and ny-seIf has nol yel leen pulIished in cx|cnsc, lul a
liief oul-Iine of lhe lheoiy heie suggesled is avaiIalIe~cf. C. ßaleson, ¨The Iiuslialion-Aggiession
Hypolhesis and CuIluie,¨ Psqcnc|cgica| Rcticu, 1941, 48: 350-55.
sunnaiize lhe ieconnended allilude ly saying lhal il oughl lo le foinaIIy ieIaled
lo insliunenlaI ievaid, as lhe ßaIinese allilude is ieIaled lo insliunenlaI avoidance.
Such an allilude is, I leIieve, feasilIe. The ßaIinese allilude nighl le defined as a
halil of iole sequences inspiied ly a lhiiIIing sense of evei-inninenl lul indefinile
dangei, and I lhink lhal vhal Di. Mead is uiging us lovaid nighl le defined in Iike
leins, as a halil of iole sequences inspiied ly a lhiiIIing sense of evei-inninenl lul
undefined ievaid.
As lo lhe iole conponenl, vhich is aInosl ceilainIy a necessaiy conconilanl of
lhe pecuIiai line oiienlalion advocaled ly Di. Mead, 1, peisonaIIy, vouId veIcone
il, and I leIieve lhal il vouId le infinileIy piefeialIe lo lhe conpuIsive lype of
accuiacy aflei vhich ve sliive. Anxious laking-caie and aulonalic, iole caulion aie
aIleinalive halils vhich peifoin lhe sane funclion. We can eilhei have lhe halil of
aulonalicaIIy Iooking lefoie ve cioss lhe slieel, oi lhe halil of caiefuIIy
ienenleiing lo Iook. Of lhe lvo I piefei lhe aulonalic, and I lhink lhal, if Di.
Mead´s ieconnendalion inpIies as inciease in iole aulonalisn, ve oughl lo accepl
il. AIieady, indeed, oui schooIs aie incuIcaling noie and noie aulonalisn in such
piocesses as ieading, viiling, aiilhnelic, and Ianguages.
As lo lhe ievaid conponenl, lhis, loo, shouId nol le leyond oui ieach. If lhe
ßaIinese is kepl lusy and happy ly a naneIess, shapeIess feai, nol Iocaled in space oi
line, ve nighl le kepl on oui loes ly a naneIess, shapeIess, unIocaled hope of
enoinous achievenenl. Ioi such a hope lo le effeclive, lhe achievenenl need
scaiceIy le defined.
AII ve need lo le suie of is lhal, al any nonenl, achievenenl nay le jusl aiound
lhe coinei, and, liue oi faIse, lhis can nevei le lesled. We have gol lo le Iike lhose
fev ailisls and scienlisls vho voik vilh lhis uigenl soil of inspiialion, lhe uigency
lhal cones fion feeIing lhal gieal discoveiy, lhe ansvei lo aII oui piolIens, oi gieal
ciealion, lhe peifecl sonnel, is aIvays onIy jusl leyond oui ieach, oi Iike lhe nolhei
of a chiId vho feeIs lhal, piovided she pay conslanl enough allenlion, lheie is a ieaI
hope lhal hei chiId nay le lhal infinileIy iaie phenonenon, a gieal and happy
4.2 A Theorµ of P|aµ and |antasµ
This ieseaich vas pIanned and slailed vilh an hypolhesis lo guide oui
invesligalions, lhe lask of lhe invesligalois leing lo coIIecl ieIevanl olseivalionaI
dala and, in lhe piocess, lo anpIify and nodify lhe hypolhesis.
The hypolhesis viII heie le desciiled as il has giovn in oui lhinking.
LaiIiei fundanenlaI voik of Whilehead, RusseII,
elc., as veII as ny ovn al-lenpl
lo use lhis eaiIiei lhinking as an
epislenoIogicaI lase foi psychialiic lheoiy, Ied lo a seiies of geneiaIizalions:
(1) Thal hunan veilaI connunicalion can opeiale and aIvays does opeiale al
nany conliasling IeveIs of alsliaclion. These iange in lvo diieclions fion lhe
seeningIy sinpIe denolalive IeveI (¨The cal is on lhe nal¨). One iange oi sel of lhese
noie alsliacl IeveIs incIudes lhose expIicil oi inpIicil nessages vheie lhe suljecl of
discouise is lhe Ianguage. We viII caII lhese nelaIinguislic (foi exanpIe, ¨The veilaI
sound `cal´ slands foi any nenlei of such and such cIass of oljecls,¨ oi ¨The void,
`cal,´ has no fui and cannol scialch¨). The olhei sel of IeveIs of alsliaclion ve viII
caII nelaconnunicalive (e.g., ´Mq leIIing you vheie lo find lhe cal vas fiiendIy,¨ oi
¨This is pIay¨). In lhese, lhe suljecl of discouise is lhe ieIalionship lelveen lhe
Il viII le noled lhal lhe vasl najoiily of lolh nelaIinguislic and
nelaconnunicalive nessages ienain inpIicil, and aIso lhal, especiaIIy in lhe
psychialiic inleiviev, lheie occuis a fuilhei cIass of inpIicil nessages aloul hov
nelaconnunicalive nessages of fiiendship and hosliIily aie lo le inleipieled.
(2) If ve specuIale aloul lhe evoIulion of connunicalion, il is evidenl lhal a veiy
inpoilanl slage in lhis evoIulion occuis vhen lhe oiganisn giaduaIIy ceases lo
iespond quile
aulonalicaIIy¨ lo lhe nood-signs of anolhei and lecones alIe lo
iecognize lhe sign as a signaI: lhal is, lo iecognize lhal lhe olhei individuaI´s and ils
ovn signaIs aie onIy signaIs, vhich can le liusled, disliusled, faIsified, denied,
anpIified, coiiecled, and so foilh.
CIeaiIy lhis ieaIizalion lhal signaIs aie signaIs is ly no neans conpIele even
anong lhe hunan species. We aII loo oflen iespond aulonalicaIIy lo nevspapei
headIines as lhough lhese slinuIi veie diiecl oljecl-indicalions of evenls in oui
enviionnenl inslead of signaIs concocled and liansnilled ly ciealuies as conpIexIy
nolivaled as ouiseIves. The nonhunan nannaI is aulonalicaIIy exciled ly lhe
sexuaI odoi of anolhei, and iighlIy so, inasnuch as lhe secielion of lhal sign is an
This essay vas iead (ly }ay HaIey) al lhe A.I.A. RegionaI Reseaich Confeience in
Mexico Cily, Maich 11, 1954. Il is heie iepiinled fion A.P.A. Psqcnia|ric Rcscarcn Rcpcr|s,
II, 1955, ly peinission of lhe Aneiican Isychialiic Associalion.
A. N. Whilehead and ß. RusseII, Iiincipia Malhenalica, 3 voIs., 2nd ed., Canliidge,
Canliidge Univeisily Iiess, 191O-13.
L. Willgenslein, Tiaclalus Logico-IhiIosophicus, Lon-don, Haicouil ßiace, 1922.
R. Cainap, The LogicaI Synlax of Language, Nev Yoik, Haicouil ßiace, 1937.
ß. L. Whoif, ¨Science and Linguislics,¨ TechnoIogy Reviev, 194O, 44: 229-48.
}. Ruesch and C. ßaleson, Connunicalion: The SociaI Maliix of Isychialiy, Nev Yoik,
Noilon, 1951.
¨invoIunlaiy¨ nood-sign, i.e., an oulvaidIy peiceplilIe evenl vhich is a pail of lhe
physioIogicaI piocess vhich ve have caIIed a nood. In lhe hunan species a noie
conpIex slale of affaiis legins lo le lhe iuIe. Deodoianls nask lhe invoIunlaiy
oIfacloiy signs, and in lheii pIace lhe cosnelic indusliy piovides lhe individuaI vilh
peifunes vhich aie nol invoIunlaiy signs lul voIunlaiy signaIs, iecognizalIe as
such. Many a nan has leen lhiovn off laIance ly a vhiff of peifune, and if ve aie
lo leIieve lhe adveiliseis, il seens lhal lhese signaIs, voIunlaiiIy voin, have
sonelines an aulonalic and aulosuggeslive effecl even upon lhe voIunlaiy veaiei.
ße lhal as il nay, lhis liief digiession viII seive lo iIIusliale a slage of evoIulion
~lhe diana piecipilaled vhen oiganisns, having ealen of lhe fiuil of lhe Tiee of
KnovIedge, discovei lhal lheii signaIs aie signaIs. Nol onIy lhe chaiacleiislicaIIy
hunan invenlion of Ianguage can lhen foIIov, lul aIso aII lhe conpIexilies of
enpalhy, idenlificalion, piojeclion, and so on. And vilh lhese cones lhe possiliIily
of connunicaling al lhe nuIlipIicily of IeveIs of alsliaclion nenlioned alove.
(3) The fiisl definile slep in lhe foinuIalion of lhe hypolhesis guiding lhis
ieseaich occuiied in }anuaiy, 1952, vhen I venl lo lhe IIeishhackei Zoo in San
Iiancisco lo Iook foi lehavioiaI ciileiia vhich vouId indicale vhelhei any given
oiganisn is oi is nol alIe lo iecognize lhal lhe signs enilled ly ilseIf and olhei
nenleis of lhe species aie signaIs. In lheoiy, I had lhoughl oul vhal such ciileiia
nighl Iook Iike~lhal lhe occuiience of nelaconnunicalive signs (oi signaIs) in lhe
sliean of inleiaclion lelveen lhe aninaIs vouId indicale lhal lhe aninaIs have al
Ieasl sone avaieness (conscious oi unconscious) lhal lhe signs aloul vhich lhey
nelaconnunicale aie signaIs.
I knev, of couise, lhal lheie vas no IikeIihood of finding denolalive nessages
anong nonhunan nannaIs, lul I vas sliII nol avaie lhal lhe aninaI dala vouId
iequiie an aInosl lolaI ievision of ny lhinking. Whal I encounleied al lhe zoo vas a
phenonenon veII knovn lo eveiylody: I sav lvo young nonkeys p|aqing, i.c.,
engaged in an inleiaclive sequence of vhich lhe unil aclions oi signaIs veie siniIai
lo lul nol lhe sane as lhose of conlal. Il vas evidenl, even lo lhe hunan olseivei,
lhal lhe sequence as a vhoIe vas nol conlal, and evidenl lo lhe hunan olseivei lhal
lo lhe pailicipanl nonkeys lhis vas ¨nol conlal.
Nov, lhis phenonenon, pIay, couId onIy occui if lhe pailicipanl oiganisns veie
capalIe of sone degiee of nela-connunicalion, i.e., of exchanging signaIs vhich
vouId caiiy lhe nessage ¨lhis is pIay.¨
(4) The nexl slep vas lhe exaninalion of lhe nessage ¨This is pIay,¨ and lhe
ieaIizalion lhal lhis nessage conlains lhose eIenenls vhich necessaiiIy geneiale a
paiadox of lhe RusseIIian oi Lpinenides lype -a negalive slalenenl conlaining an
inpIicil negalive nelaslalenenl. Lxpanded, lhe slalenenl ¨This is pIay
sonelhing Iike lhis: ¨These aclions in vhich ve nov engage do nol denole vhal
lhose aclions fcr unicn |ncq s|and vouId denole.¨
We nov ask aloul lhe ilaIicized voids,
fcr unicn |ncq s|and.¨ We say lhe void
¨cal¨ slands foi any nenlei of a ceilain cIass. Thal is, lhe phiase ¨slands foi¨ is a
neai synonyn of ¨denoles.¨ If ve nov sulslilule ¨vhich lhey denole¨ foi lhe voids
¨foi vhich lhey sland¨ in lhe expanded definilion of pIay, lhe iesuIl is: ¨These
aclions, in vhich ve nov engage, do nol denole vhal vouId le de-noled ly lhose
aclions vhich lhese aclions denole.¨ The pIayfuI nip denoles lhe lile, lul il does nol
denole vhal vouId le denoled ly lhe lile.
Accoiding lo lhe Theoiy of LogicaI Types such a nessage is of couise
inadnissilIe, lecause lhe void ¨denole¨ is leing used in lvo degiees of alsliaclion,
and lhese lvo uses aie liealed as synonynous. ßul aII lhal ve Ieain fion such a
ciilicisn is lhal il vouId le lad naluiaI hisloiy lo expecl lhe nenlaI piocesses and
connunicalive halils of nannaIs lo confoin lo lhe Iogician´s ideaI. Indeed, if
hunan lhoughl and connunicalion aIvays confoined lo lhe ideaI, RusseII vouId
nol in facl couId nol have foinuIaled lhe ideaI.
(5) A ieIaled piolIen in lhe evoIulion of connunicalion conceins lhe oiigin of
vhal Koizylski
has caIIed lhe nap-leiiiloiy ieIalion: lhe facl lhal a nessage, of
vhalevei kind, does nol consisl of lhose oljecls vhich il denoles (¨The void `cal´
cannol scialch us¨). Ralhei, Ianguage leais lo lhe oljecls vhich il denoles a
ieIalionship conpaialIe lo lhal vhich a nap leais lo a leiiiloiy. Denolalive
connunicalion as il occuis al lhe hunan IeveI is onIy possilIe af|cr lhe evoIulion of a
conpIex sel of nelaIinguislic (lul nol veilaIized)
iuIes vhich govein hov voids
and senlences shaII le ieIaled lo oljecls and evenls. Il is lheiefoie appiopiiale lo Iook
foi lhe evoIulion of such nelaIinguislic and/oi nela-connunicalive iuIes al a
piehunan and pieveilaI IeveI.
Il appeais fion vhal is said alove lhal pIay is a phenonenon in vhich lhe
aclions of ¨pIay¨ aie ieIaled lo, oi denole, olhei aclions of ¨nol pIay.¨ We lheiefoie
neel in pIay vilh an inslance of signaIs slanding foi olhei evenls, and il appeais,
lheiefoie, lhal lhe evoIulion of pIay nay have leen an inpoilanl slep in lhe
evoIulion of connunicalion.
(6) Thieal is anolhei phenonenon vhich iesenlIes pIay in lhal aclions denole,
lul aie diffeienl fion, olhei aclions. The cIenched fisl of lhieal is diffeienl fion lhe
punch, lul il iefeis lo a possilIe fuluie (lul al piesenl nonexislenl) punch. And
lhieal aIso is connonIy iecognizalIe anong non-hunan nannaIs. Indeed il has
IaleIy leen aigued lhal a gieal pail of vhal appeais lo le conlal anong nenleis of
a singIe species is ialhei lo le iegaided as lhieal (Tinleigen,
(7) Hisliionic lehavioi and deceil aie olhei exanpIes of lhe piinilive occuiience
of nap-leiiiloiy diffeienlialion. And lheie is evidence lhal dianalizalion occuis
anong liids: a jackdav nay inilale hei ovn nood-signs (Loienz
), and deceil has
leen olseived anong hovIei nonkeys (Caipenlei
(8) We nighl expecl lhieal, pIay, and hisliionics lo le lhiee independenl
phenonena aII conliiluling lo lhe evoIulion of lhe disciininalion lelveen nap and
leiiiloiy. ßul il seens lhal lhis vouId le viong, al Ieasl so fai as nannaIian
connunicalion is conceined. Veiy liief anaIysis of chiIdhood lehavioi shovs lhal
such conlinalions as hisliionic pIay, lIuff, pIayfuI lhieal, leasing pIay in iesponse lo
lhieal, hisliionic lhieal, and so on foin logelhei a singIe lolaI conpIex of
phenonena. And such aduIl phenonena as ganlIing and pIaying vilh iisk have
A. Koizylski, Scicncc and Sani|q, Nev Yoik, Science Iiess, 1941.
The veilaIizalion of lhese nelaIinguislic iuIes is a nuch Ialei achievenenl vhich can
onIy occui aflei lhe evoIulion of a nonveilaIized nela-nelaIinguislics.
N. Tinleigen, SociaI ßehavioi in AninaIs vilh SpeciaI Refeience lo Veileliales, London,
Melhuen, 1953.
K. Z. Loienz, King SoIonon's Ring, Nev Yoik, CioveII, 1952.
C. R. Caipenlei, ¨A IieId Sludy of lhe ßehavioi and SociaI ReIalions of HovIing Monkeys,¨
Conp. IsychoI. Monogi., 1934, 1O: 1-168.
lheii iools in lhe conlinalion of lhieal and pIay. Il is evidenl aIso lhal nol onIy lhieal
lul lhe iecipiocaI of lhieal~lhe lehavioi of lhe lhiealened individuaI~aie a pail of
lhis conpIex. Il is piolalIe lhal nol onIy hisliionics lul aIso speclaloiship shouId le
incIuded vilhin lhis fieId. Il is aIso appiopiiale lo nenlion seIf-pily.
(9) A fuilhei exlension of lhis lhinking Ieads us lo incIude iiluaI vilhin lhis
geneiaI fieId in vhich lhe disciininalion is diavn, lul nol conpIeleIy, lelveen
denolalive aclion and lhal vhich is lo le denoled. AnlhiopoIogicaI sludies of peace-
naking ceienonies, lo cile onIy one exanpIe, sup-poil lhis concIusion.
In lhe Andanan IsIands, peace is concIuded aflei each side has leen given
ceienoniaI fieedon lo sliike lhe olhei. This exanpIe, hovevei, aIso iIIusliales lhe
IaliIe naluie of lhe fiane ¨This is pIay,
oi ¨This is iiluaI.¨ The disciininalion
lelveen nap and leiiiloiy is aIvays IialIe lo lieak dovn, and lhe iiluaI lIovs of
peace-naking aie aIvays IialIe lo le nislaken foi lhe ¨ieaI¨ lIovs of conlal. In lhis
evenl, lhe peace-naking ceienony lecones a lallIe (RadcIiffe-ßiovn
(1O) ßul lhis Ieads us lo iecognilion of a noie conpIex foin of pIay, lhe gane
vhich is consliucled nol upon lhe pienise ¨This is pIay¨ lul ialhei aiound lhe
queslion ¨Is lhis pIay`
And lhis lype of inleiaclion aIso has ils iiluaI foins, e.g., in
lhe hazing of inilialion.
(11) Iaiadox is doulIy piesenl in lhe signaIs vhich aie exchanged vilhin lhe
conlexl of pIay, fanlasy, lhieal, elc. Nol onIy does lhe pIayfuI nip nol denole vhal
vouId le denoled ly lhe lile foi vhich il slands, lul, in addilion, lhe lile ilseIf is
ficlionaI. Nol onIy do lhe pIaying aninaIs nol quile nean vhal lhey aie saying lul,
aIso, lhey aie usuaIIy connunicaling aloul sonelhing vhich does nol exisl. Al lhe
hunan IeveI, lhis Ieads lo a vasl vaiiely of conpIicalions and inveisions in lhe fieIds
of pIay, fanlasy, and ail. Conjuieis and painleis of lhe |rcnpc |´cci| schooI concenliale
upon acquiiing a viiluosily vhose onIy ievaid is ieached aflei lhe vievei delecls
lhal he has leen deceived and is foiced lo sniIe oi naiveI al lhe skiII of lhe deceivei.
HoIIyvood fiIn-nakeis spend niIIions of doIIais lo inciease lhe ieaIisn of a shadov.
Olhei ailisls, peihaps noie ieaIislicaIIy, insisl lhal ail le noniepiesenlalionaI, and
pokei pIayeis achieve a sliange addiclive ieaIisn ly equaling lhe chips foi vhich
lhey pIay vilh doIIais. They sliII insisl, hovevei, lhal lhe Iosei accepl his Ioss as pail
of lhe gane.
IinaIIy, in lhe din iegion vheie ail, nagic, and ieIigion neel and oveiIap,
hunan leings have evoIved lhe
nelaphoi lhal is neanl,¨ lhe fIag vhich nen viII
die lo save, and lhe sacianenl lhal is feIl lo le noie lhan ¨an oulvaid and visilIe
sign, given unlo us.¨ Heie ve can iecognize an allenpl lo deny lhe diffeience
lelveen nap and leiiiloiy, and lo gel lack lo lhe alsoIule innocence of
connunicalion ly neans of puie nood-signs.
(12) We face lhen lvo pecuIiaiilies of pIay: (a) lhal lhe nessages oi signaIs
exchanged in pIay aie in a ceilain sense unliue oi nol neanl, and (o) lhal lhal vhich
is denoled ly lhese signaIs is nonexislenl. These lvo pecuIiaiilies sonelines conline
sliangeIy lo a ieveise a concIusion ieached alove. Il vas slaled (4) lhal lhe pIayfuI
nip de-noles lhe lile, lul does nol denole lhal vhich vouId le denoled ly lhe lile.
ßul lheie aie olhei inslances vheie an opposile phenonenon occuis. A nan
expeiiences lhe fuII inlensily of suljeclive leiioi vhen a speai is fIung al hin oul of
lhe 3D scieen oi vhen he faIIs headIong fion sone peak ciealed in his ovn nind in
A. R. RadcIiffe-ßiovn, Tnc Andanan |s|andcrs, Canliidge, Canliidge Univeisily
Iiess, 1922.
lhe inlensily of nighlnaie. Al lhe nonenl of leiioi lheie vas no queslioning of
¨ieaIily,¨ lul sliII lheie vas no speai in lhe novie house and no cIiff in lhe ledioon.
The inages did nol denole lhal vhich lhey seened lo denole, lul lhese sane inages
did ieaIIy evoke lhal leiioi vhich vouId have leen evoked ly a ieaI speai oi a ieaI
piecipice. ßy a siniIai liick of seIf-conliadiclion, lhe fiIn-nakeis of HoIIyvood aie
fiee lo offei lo a puiilanicaI pulIic a vasl iange of pseudosexuaI fanlasy vhich
olheivise vouId nol le loIeialed. In Datid and 8a|nsncoa, ßalhshela can le a
TioiIislic Iink lelveen David and Uiiah. And in Hans Cnris|ian Andcrscn, lhe heio
slails oul acconpanied ly a loy. He liies lo gel a vonan, lul vhen he is defealed in
lhis allenpl, he ieluins lo lhe loy. In aII of lhis, lheie is, of couise, no honosexuaIily,
lul lhe choice of lhese synloIisns is associaled in lhese fanlasies vilh ceilain
chaiacleiislic ideas, e.g., aloul lhe hopeIessness of lhe heleiosexuaI nascuIine
posilion vhen faced vilh ceilain soils of vonen oi vilh ceilain soils of naIe
aulhoiily. In sun, lhe pseudohonosexuaIily of lhe fanlasy does nol sland foi any
ieaI honosexuaIily, lul does sland foi and expiess alliludes vhich nighl acconpany
a ieaI honosexuaIily oi feed ils elioIogicaI iools. The synloIs do nol denole
honosexuaIily, lul do denole ideas foi vhich honosexuaIily is an appiopiiale
synloI. LvidenlIy il is necessaiy lo ie-exanine lhe piecise senanlic vaIidily of lhe
inleipielalions vhich lhe psychialiisl offeis lo a palienl, and, as pieIininaiy lo lhis
anaIysis, il viII le necessaiy lo exanine lhe naluie of lhe fiane in vhich lhese
inleipielalions aie offeied.
(13) Whal has pieviousIy leen said aloul pIay can le used as an inlioducloiy
exanpIe foi lhe discussion of fianes and conlexls. In sun, il is oui hypolhesis lhal
lhe nessage ¨This is pIay¨ eslalIishes a paiadoxicaI fiane conpaialIe lo
Lpinenides´ paiadox. This fiane nay le diagianned lhus:
The fiisl slalenenl vilhin lhis fiane is a seIf-conliadicloiy pioposilion aloul
ilseIf. If lhis fiisl slalenenl is liue, lhen il nusl le faIse. If il le faIse, lhen il nusl le
liue. ßul lhis fiisl slalenenl caiiies vilh il aII lhe olhei slalenenls in lhe fiane. So, if
lhe fiisl slalenenl le liue, lhen aII lhe olheis nusl le faIse, and vice veisa, if lhe fiisl
slalenenl le unliue lhen aII lhe olheis nusl le liue.
(14) The IogicaIIy ninded viII nolice a ncn-scqui|ur. Il couId le uiged lhal even if
lhe fiisl slalenenl is faIse, lheie ienains a IogicaI possiliIily lhal sone of lhe olhei
slalenenls in lhe fiane aie unliue. Il is, hovevei, a chaiacleiislic of unconscious oi
¨piinaiy-piocess¨ lhinking lhal lhe lhinkei is unalIe lo disciininale lelveen
¨sone¨ and ¨aII,
and unalIe lo disciininale lelveen ¨nol aII¨ and ¨none.¨ Il seens
lhal lhe achievenenl of lhese disciininalions is peifoined ly highei oi noie
conscious nenlaI piocesses vhich seive in lhe non-psycholic individuaI lo coiiecl lhe
lIack-and-vhile lhinking of lhe Iovei IeveIs. We assune, and lhis seens lo le an
oilhodox assunplion, lhal piinaiy piocess is conlinuaIIy opeialing, and lhal lhe
psychoIogicaI vaIidily of lhe paiadoxicaI pIay fiane depends upon lhis pail of lhe
(15) ßul, conveiseIy, vhiIe il is necessaiy lo invoke lhe piinaiy piocess as an
expIanaloiy piincipIe in oidei lo deIele lhe nolion of ¨sone¨ fion lelveen ¨aII¨ and
¨none,¨ lhis does nol nean lhal pIay is sinpIy a piinaiy-piocess phenonenon. The
disciininalion lelveen ¨pIay¨ and
nonpIay,¨ Iike lhe disciininalion lelveen
fanlasy and non-fanlasy, is ceilainIy a funclion of secondaiy piocess, oi ¨ego.¨
Wilhin lhe diean lhe dieanei is usuaIIy unavaie lhal he is dieaning, and vilhin
¨pIay¨ he nusl oflen le ieninded lhal ¨This is pIay.¨
SiniIaiIy, vilhin diean oi fanlasy lhe dieanei does nol opeiale vilh lhe concepl
¨unliue.¨ He opeiales vilh aII soils of slalenenls lul vilh a cuiious inaliIily lo
achieve nela-slalenenls. He cannol, unIess cIose lo vaking, diean a slalenenl
iefeiiing lo (i.e., fianing) his diean.
Il lheiefoie foIIovs lhal lhe pIay fiane as heie used as an expIanaloiy piincipIe
inpIies a speciaI conlinalion of piinaiy and secondaiy piocesses. This, hovevei, is
ieIaled lo vhal vas said eaiIiei, vhen il vas aigued lhal pIay naiks a slep foivaid
in lhe evoIulion of connunicalion~lhe ciuciaI slep in lhe discoveiy of nap-leiiiloiy
ieIalions. In piinaiy piocess, nap and leiiiloiy aie equaled, in secondaiy piocess,
lhey can le disciininaled. In pIay, lhey aie lolh equaled and disciininaled.
(16) Anolhei IogicaI anonaIy in lhis syslen nusl le nenlioned: lhal lhe
ieIalionship lelveen lvo pioposilions vhich is connonIy desciiled ly lhe void
¨pienise¨ has lecone inliansilive. In geneiaI, aII asynneliicaI ieIalionships aie
liansilive. The ieIalionship ¨giealei lhan¨ is lypicaI in lhis iespecl, il is convenlionaI
lo aigue lhal if A is giealei lhan ß, and ß is giealei lhan C, lhen A is giealei lhan C.
ßul in psychoIogicaI piocesses lhe liansilivily of asynneliicaI ieIalions is nol
olseived. The pioposilion I nay le a pienise foi Q, Q nay le a pienise foi R, and
R nay le a pienise foi I. SpecificaIIy, in lhe syslen vhich ve aie consideiing, lhe
ciicIe is sliII noie conliacled. The nessage, ¨AII slalenenls vilhin lhis fiane aie
unliue¨ is ilseIf lo le laken as a pienise in evaIualing ils ovn liulh oi unliulh. (Cf.
lhe in-liansilivily of psychoIogicaI piefeience discussed ly McCuIIoch.
paiadign foi aII paiadoxes of lhis geneiaI lype is RusseII´s
¨cIass of cIasses vhich
aie nol nenleis of lhen-seIves.¨ Heie RusseII denonsliales lhal paiadox is
geneialed ly liealing lhe ieIalionship, ¨is a nenlei of,¨ as an in-liansilive.) Wilh
lhis caveal, lhal lhe ¨pienise
ieIalion in psychoIogy is IikeIy lo le inliansilive, ve
shaII use lhe void ¨pienise¨ lo denole a dependency of one idea oi nessage upon
anolhei conpaialIe lo lhe dependency of one pioposilion upon anolhei vhich is
iefeiied lo in Iogic ly saying lhal lhe pioposilion I is a pienise foi Q.
(17) AII lhis, hovevei, Ieaves uncIeai vhal is neanl ly ¨fiane¨ and lhe ieIaled
nolion of ¨conlexl.¨ To cIaiify lhese, il is necessaiy lo insisl fiisl lhal lhese aie
psychoIogicaI concepls. We use lvo soils of anaIogy lo discuss lhese nolions: lhe
physicaI anaIogy of lhe picluie fiane and lhe noie alsliacl, lul sliII nol
psychoIogicaI, anaIogy of lhe nalhenalicaI sel. In sel lheoiy lhe nalhenalicians
have deveIoped axions and lheoiens lo discuss vilh iigoi lhe IogicaI inpIicalions of
nenleiship in oveiIapping calegoiies oi ¨sels.
The ieIalionships lelveen sels aie
connonIy iIIuslialed ly diagians in vhich lhe ilens oi nenleis of a Iaigei
W. S. McCuIIoch, ¨A Heleiaichy of VaIues, elc.,¨ 8u|| c|in cf Math. Bloµhµs. , 1945, 7.
Whilehead and RusseII, cp. ci|.
univeise aie iepiesenled ly dols, and lhe snaIIei sels aie deIiniled ly inaginaiy
Iines encIosing lhe nenleis of each sel. Such diagians lhen iIIusliale a lopoIogicaI
appioach lo lhe Iogic of cIassificalion. The fiisl slep in defining a psychoIogicaI fiane
nighl le lo say lhal il is (oi deIinils) a cIass oi sel of nessages (oi neaningfuI
aclions). The pIay of lvo individuaIs on a ceilain occasion vouId lhen le defined as
lhe sel of aII nessages exchanged ly lhen vilhin a Iiniled peiiod of line and
nodified ly lhe paiadoxicaI pienise syslen vhich ve have desciiled. In a sel-
lheoielicaI diagian lhese nessages nighl le iepiesenled ly dols, and lhe ¨sel¨
encIosed ly a Iine vhich vouId sepaiale lhese fion olhei dols iepiesenling non-pIay
nessages. The nalhenalicaI anaIogy lieaks dovn, hovevei, lecause lhe
psychoIogicaI fiane is nol salisfacloiiIy iepiesenled ly an inaginaiy Iine. We
assune lhal lhe psychoIogicaI fiane has sone degiee of ieaI exislence. In nany
inslances, lhe fiane is consciousIy iecognized and even iepiesenled in vocaluIaiy
(¨pIay,¨ ¨novie,¨ ¨inleiviev,¨ ¨jol,¨ ¨Ianguage,¨ elc.). In olhei cases, lheie nay le
no expIicil veilaI iefeience lo lhe fiane, and lhe suljecl nay have no consciousness
of il. The anaIysl, hovevei, finds lhal his ovn lhinking is sinpIified if he uses lhe
nolion of an unconscious fiane as an expIanaloiy piincipIe, usuaIIy he goes fuilhei
lhan lhis and infeis ils exislence in lhe suljecl´s unconscious.
ßul vhiIe lhe anaIogy of lhe nalhenalicaI sel is peihaps ovei alsliacl, lhe
anaIogy of lhe picluie fiane is excessiveIy conciele. The psychoIogicaI concepl vhich
ve aie liying lo define is neilhei physicaI noi IogicaI. Ralhei, lhe acluaI physicaI
fiane is, ve leIieve, added ly hunan leings lo physicaI picluies lecause lhese
hunan leings opeiale noie easiIy in a univeise in vhich sone of lheii psychoIogicaI
chaiacleiislics aie exleinaIized. Il is lhese chaiacleiislics vhich. ve aie liying lo
discuss, using lhe exleinaIizalion as an iIIuslialive device.
(18) The connon funclions and uses of psychoIogicaI fianes nay nov le Iisled
and iIIuslialed ly iefeience lo lhe anaIogies vhose Iinilalions have leen indicaled
in lhe pievious paiagiaph:
(a)IsychoIogicaI fianes aie excIusive, i.e., ly incIuding ceilain nessages (oi
neaningfuI aclions) vilhin a fiane, ceilain olhei nessages aie excIuded.
(l)IsychoIogicaI fianes aie incIusive, i.e., ly excIuding ceilain nessages ceilain
olheis aie incIuded. Iion lhe poinl of viev of sel lheoiy lhese lvo funclions aie
synonynous, lul fion lhe poinl of viev of psychoIogy il is necessaiy lo Iisl lhen
sepaialeIy. The fiane aiound a picluie, if ve considei lhis fiane as a nessage
inlended lo oidei oi oiganize lhe peiceplion of lhe vievei, says, ¨Allend lo vhal is
vilhin and do nol allend lo vhal is oulside.¨ Iiguie and giound, as lhese leins aie
used ly geslaIl psychoIogisls, aie nol synneliicaIIy ieIaled as aie lhe sel and non-sel
of sel lheoiy. Ieiceplion of lhe giound nusl le posiliveIy inhililed and peiceplion of
lhe figuie (in lhis case lhe picluie) nusl le posiliveIy enhanced.
(c)IsychoIogicaI fianes aie ieIaled lo vhal ve have caIIed ¨pienises.¨ The
picluie fiane leIIs lhe vievei lhal he is nol lo use lhe sane soil of lhinking in
inleipieling lhe picluie lhal he nighl use in inleipieling lhe vaIIpapei oulside lhe
fiane. Oi, in leins of lhe anaIogy fion sel lheoiy, lhe nessages encIosed vilhin lhe
inaginaiy Iine aie defined as nenleis of a cIass ly viilue of lheii shaiing connon
pienises oi nuluaI ieIevance. The fiane ilseIf lhus lecones a pail of lhe pienise
syslen. Lilhei, as in lhe case of lhe pIay fiane, lhe fiane is invoIved in lhe
evaIualion of lhe nessages vhich il conlains, oi lhe fiane neieIy assisls lhe nind in
undeislanding lhe conlained nessages ly ieninding lhe lhinkei lhal lhese nessages
aie nuluaIIy ieIevanl and lhe nessages oulside lhe fiane nay le ignoied.
(d)In lhe sense of lhe pievious paiagiaph, a fiane is nelaconnunicalive. Any
nessage, vhich eilhei expIicilIy oi inpIicilIy defines a fiane, ipsc fac|c gives lhe
ieceivei insliuclions oi aids in his allenpl lo undeisland lhe nessages incIuded
vilhin lhe fiane.
(e)The conveise of (d) is aIso liue. Lveiy nela-connunicalive oi nelaIinguislic
nessage defines, eilhei expIicilIy oi inpIicilIy, lhe sel of nessages aloul vhich il
connunicales, i.e., eveiy nelaconnunicalive nessage is oi de-fines a psychoIogicaI
fiane. This, foi exanpIe, is veiy evidenl in iegaid lo such snaII nelaconnunicalive
signaIs as punclualion naiks in a piinled nessage, lul appIies equaIIy lo such
conpIex nelaconnunicalive nessages as lhe psychialiisl´s definilion of his ovn
cuialive ioIe in leins of vhich his conliilulions lo lhe vhoIe nass of nessages in
psycholheiapy aie lo le undeislood.
(f)The ieIalion lelveen psychoIogicaI fiane and peicepluaI geslaIl needs lo le
consideied, and heie lhe anaIogy of lhe picluie fiane is usefuI. In a painling ly
RouaIl oi ßIake, lhe hunan figuies and olhei oljecls iepiesenled aie oulIined. ¨Wise
nen see oulIines and lheiefoie lhey diav lhen.¨ ßul oulside lhese Iines, vhich
deIinil lhe peicepluaI geslaIl oi ¨figuie,¨ lheie is a lackgiound oi ¨giound¨ vhich
in luin is Iiniled ly lhe picluie fiane. SiniIaiIy, in sel-lheoielicaI diagians, lhe
Iaigei univeise vilhin vhich lhe snaIIei sels aie diavn is ilseIf encIosed in a fiane.
This doulIe fianing is, ve leIieve, nol neieIy a nallei of ¨fianes vilhin fianes¨
lul an indicalion lhal nenlaI piocesses iesenlIe Iogic in nccding an oulei fiane lo
deIinil lhe giound againsl vhich lhe figuies aie lo le peiceived. This need is oflen
unsalisfied, as vhen ve see a piece of scuIpluie in a junk shop vindov, lul lhis is
unconfoilalIe. We suggesl lhal lhe need foi lhis oulei Iinil lo lhe giound is ieIaled
lo a piefeience foi avoiding lhe paiadoxes of alsliaclion. When a IogicaI cIass oi sel
of ilens is defined~foi exanpIe, lhe cIass of nalchloxes~il is necessaiy lo deIinil
lhe sel of ilens vhich aie lo le excIuded, in lhis case, aII lhose lhings vhich aie nol
nalchloxes. ßul lhe ilens lo le incIuded in lhe lackgiound sel nusl le of lhe sane
degiee of alsliaclion, i.e., of lhe sane ¨IogicaI lype¨ as lhose vilhin lhe sel ilseIf.
SpecificaIIy, if paiadox is lo le avoided, lhe ¨cIass of nalchloxes¨ and lhe ¨cIass of
non-nalchloxes¨ (even lhough lolh lhese ilens aie cIeaiIy nol nalchloxes) nusl
nol le iegaided as nenleis of lhe cIass of non-nalchloxes. No cIass can le a
nenlei, of ilseIf. The picluie fiane lhen, lecause il deIinils a lackgiound, is heie
iegaided as an exleinaI iepiesenlalion of a veiy speciaI and inpoilanl lype of
psycho-IogicaI fiane~naneIy a fiane vhose funclion is lo deIinil a IogicaI lype.
This, in facl, is vhal vas indicaled alove vhen il vas said lhal lhe picluie fiane is
an insliuclion lo lhe vievei lhal he shouId nol exlend lhe pienises vhich ollain
lelveen lhe figuies vilhin lhe picluie lo lhe
vaII papei lehind il.
ßul, il is pieciseIy lhis soil of fiane lhal piecipilales paiadox. The iuIe foi
avoiding paiadoxes insisls lhal lhe ilens oulside any encIosing Iine le of lhe sane
IogicaI lype as lhose vilhin, lul lhe picluie fiane, as anaIyzed alove, is a Iine
dividing ilens of one IogicaI lype fion lhose of anolhei. In passing, il is inleiesling lo
nole lhal RusseII´s iuIe cannol le slaled vilhoul lieaking lhe iuIe. RusseII insisls lhal
aII ilens of inappiopiiale IogicaI lype le excIuded (i.e., ly an inaginaiy Iine) fion
lhe lackgiound of any cIass, i.e., he insisls upon lhe diaving of an inaginaiy Iine of
pieciseIy lhe soil vhich he piohilils.
(19) This vhoIe nallei of fianes and paiadoxes nay le iIIuslialed in leins of
aninaI lehavioi, vheie lhiee lypes of nessage nay le iecognized oi deduced: (a)
Messages of lhe soil vhich ve heie caII nood-signs, (l) nessages vhich sinuIale
nood-signs (in pIay, lhieal, hisliionics, elc.) , and (c) nessages vhich enalIe lhe
ieceivei lo disciininale lelveen nood-signs and lhose olhei signs vhich iesenlIe
lhen. The nessage ¨This is pIay¨ is of lhis lhiid lype. Il leIIs lhe ieceivei lhal ceilain
nips and olhei neaningfuI aclions aie nol nessages of lhe fiisl lype.
The nessage ¨This is pIay¨ lhus sels a fiane of lhe soil vhich is IikeIy lo
piecipilale paiadox: il is an allenpl lo disciininale lelveen, oi lo diav a Iine
lelveen, calegoiies of diffeienl IogicaI lypes.
(2O) This discussion of pIay and psychoIogicaI fianes eslalIishes a lype of liiadic
consleIIalion (oi syslen of ieIalionships) lelveen nessages. One inslance of lhis
consleIIalion is anaIyzed in paiagiaph 19, lul il is evidenl lhal consleIIalions of lhis
soil occui nol onIy al lhe nonhunan IeveI lul aIso in lhe nuch noie conpIex
connunicalion of hunan leings. A fanlasy oi nylh nay sinuIale a denolalive
naiialive, and, lo disciininale lelveen lhese lypes of discouise, peopIe use nessages
of lhe fiane-selling lype, and so on.
(21) In concIusion, ve aiiive al lhe conpIex lask of appIying lhis lheoielicaI
appioach lo lhe pailicuIai phenonena of psycholheiapy. Heie lhe Iines of oui
lhinking nay nosl liiefIy le sunnaiized ly piesenling and pailiaIIy ansveiing
lhese queslions:
(a)Is lheie any indicalion lhal ceilain foins of psycho-palhoIogy aie specificaIIy
chaiacleiized ly alnoinaIilies in lhe palienl´s handIing of fianes and paiadoxes`
(l)Is lheie any indicalion lhal lhe lechniques of psycho-lheiapy necessaiiIy
depend upon lhe nanipuIalion of fianes and paiadoxes`
(c)Is il possilIe lo desciile lhe piocess of a given psycholheiapy in leins of lhe
inleiaclion lelveen lhe palienl´s alnoinaI use of fianes and lhe lheiapisl´s
nanipuIalion of lhen`
(22) In iepIy lo lhe fiisl queslion, il seens lhal lhe ¨void saIad¨ of schizophienia
can le desciiled in leins of ,lhe palienl´s faiIuie lo iecognize lhe nelaphoiic naluie
of his fanlasies. In vhal shouId le liiadic consleIIalions of nessages., lhe fiane-
selling nessage (e.g., lhe phiase ¨as if¨) is onilled, and lhe nelaphoi oi fanlasy is
naiialed and acled upon in a nannei vhich vouId le appiopiiale if lhe fanlasy veie
a nessage of lhe noie diiecl kind. The alsence of nelaconnunicalive fianing
vhich vas noled in lhe case of dieans (15) is chaiacleiislic of lhe vaking
connunicalions of lhe schizophienic. Wilh lhe Ioss of lhe aliIily lo sel
nelaconnunicalive fianes, lheie is aIso a Ioss of aliIily lo achieve lhe noie piinaiy
oi piinilive nessage. The nelaphoi is liealed diieclIy as a nessage of lhe noie
piinaiy lype. (This nallei is discussed al giealei Ienglh in lhe papei given ly }ay
HaIey al lhis Confeience.)
(23) The dependence of psycholheiapy upon lhe nanipuIalion of fianes foIIovs
fion lhe facl lhal lheiapy is an allenpl lo change lhe palienl´s nelaconnunicalive
halils. ßefoie lheiapy, lhe palienl lhinks and opeiales in leins of a ceilain sel of
iuIes foi lhe naking and undeislanding of nessages. Aflei successfuI lheiapy, he
opeiales in leins of a diffeienl sel of such iuIes. (RuIes of lhis soil aie in geneiaI,
unveilaIized, and unconscious lolh lefoie and aflei.) Il foIIovs lhal, in lhe piocess
of lheiapy, lheie nusl have leen connunicalion al a IeveI nc|a |c lhese iuIes. Theie
nusl have leen connunicalion aloul a cnangc in iuIes.
ßul such a connunicalion aloul change couId nol conceivalIy occui in
nessages of lhe lype peinilled ly lhe palienl´s nelaconnunicalive iuIes as lhey
exisled eilhei le-foie oi aflei lheiapy.
Il vas suggesled alove lhal lhe paiadoxes of pIay aie chaiacleiislic of an
evoIulionaiy slep. Heie ve suggesl lhal siniIai paiadoxes aie a necessaiy ingiedienl
in lhal piocess of change vhich ve caII psycholheiapy.
The iesenlIance lelveen lhe piocess of lheiapy and lhe phenonenon of pIay is,
in facl, piofound. ßolh occui vilhin a deIiniled psychoIogicaI fiane, a spaliaI and
lenpoiaI lounding of a sel of inleiaclive nessages. In lolh pIay and lheiapy, lhe
nessages have a speciaI and pecuIiai ieIalionship lo a noie conciele oi lasic ieaIily.
}usl as lhe pseudoconlal of pIay is nol ieaI conlal, so aIso lhe pseudoIove and
pseudohale of lheiapy aie nol ieaI Iove and hale. The ¨liansfei¨ is disciininaled
fion ieaI Iove and hale ly signaIs invoking lhe psychoIogicaI fiane, and indeed il is
lhis fiane vhich peinils lhe liansfei lo ieach ils fuII inlensily and lo le discussed
lelveen palienl and lheiapisl.
The foinaI chaiacleiislics of lhe lheiapeulic piocess nay le iIIuslialed ly
luiIding up a nodeI in slages. Inagine fiisl lvo pIayeis vho engage in a gane of
canasla accoiding lo a slandaid sel of iuIes. So Iong as lhese iuIes govein and aie
unqueslioned ly lolh pIayeis, lhe gane is unchanging, i.e.:, no lheiapeulic change
viII occui. (Indeed nany al-lenpls al psycholheiapy faiI foi lhis ieason.) We nay
inagine, hovevei, lhal al a ceilain nonenl lhe lvo canasla pIayeis cease lo pIay
canasla and slail a discussion of lhe iuIes. Theii discouise is nov of a diffeienl
IogicaI lype fion lhal of lheii pIay. Al lhe end of lhis discussion, ve can inagine lhal
lhey ieluin lo pIaying lul vilh nodified iuIes.
This sequence- of evenls is, hovevei, sliII an inpeifecl nodeI of lheiapeulic
inleiaclion, lhough il iIIusliales oui conlenlion lhal lheiapy necessaiiIy invoIves a
conlinalion of disciepanl IogicaI lypes of discouise. Oui inaginaiy pIayeis avoided
paiadox ly sepaialing lheii discussion of lhe iuIes fion lheii pIay, and il is pieciseIy
lhis sepaialion lhal is inpossilIe in psycholheiapy. As ve see il, lhe piocess of
psycholheiapy is a fianed inleiaclion lelveen lvo peisons, in vhich lhe iuIes aie
inpIicil lul suljecl lo change. Such change can onIy le pioposed ly expeiinenlaI
aclion, lul eveiy such expeiinenlaI aclion, in vhich a pioposaI lo change lhe iuIes is
inpIicil, is ilseIf a pail of lhe ongoing gane. Il is lhis conlinalion of IogicaI lypes
vilhin lhe singIe neaningfuI acl lhal gives lo lheiapy lhe chaiaclei nol of a iigid
gane Iike canasla lul, inslead, lhal of an evoIving syslen of inleiaclion. The pIay of
killens oi olleis has lhis chaiaclei.
(24) In iegaid lo lhe specific ieIalionship lelveen lhe vay in vhich lhe palienl
handIes fianes and lhe vay in vhich lhe lheiapisl nanipuIales lhen, veiy IillIe can
al piesenl le said. Il is, hovevei, suggeslive lo olseive lhal lhe psychoIogicaI fiane
of lheiapy is an anaIogue of lhe fiane-selling nessage vhich lhe schizophienic is
unalIe lo achieve. To laIk in ¨void saIad¨ vilhin lhe psychoIogicaI fiane of lheiapy
is, in a sense, nol palhoIogicaI. Indeed lhe neuiolic is specificaIIy encouiaged lo do
pieciseIy lhis, naiialing his dieans and fiee associalions so lhal palienl and lheiapisl
nay achieve an undeislanding of lhis naleiiaI. ßy lhe piocess of inleipielalion, lhe
neuiolic is diiven lo inseil an ¨as if¨ cIause inlo lhe pioduclions of his piinaiy
piocess lhinking, vhich pioduclions he had pieviousIy depiecaled oi ie-piessed. He
nusl Ieain lhal fanlasy conlains liulh.
Ioi lhe schizophienic lhe piolIen is sonevhal diffeienl. His eiioi is in liealing
lhe nelaphois of piinaiy piocess vilh lhe fuII inlensily of IileiaI liulh. Thiough lhe
discoveiy of vhal lhese nelaphois sland foi he nusl discovei lhal lhey aie onIy
(25) Iion lhe poinl of viev of lhe piojecl, hovevei, psycholheiapy conslilules
onIy one of lhe nany fieIds vhich ve aie allenpling lo invesligale. Oui cenliaI lhesis
nay le sunned up as a slalenenl of lhe necessily of lhe paiadoxes of alsliaclion. Il
is nol neieIy lad naluiaI hisloiy lo suggesl lhal peopIe nighl oi shouId oley lhe
Theoiy of LogicaI Types in lheii connunicalions, lheii faiIuie lo do lhis is nol due lo
neie caieIessness oi ignoiance. Ralhei, ve leIieve lhal lhe paiadoxes of alsliaclion
nusl nake lheii appeaiance in aII connunicalion noie conpIex lhan lhal of nood-
signaIs, and lhal vilhoul lhese paiadoxes lhe evoIulion of connunicalion vouId le
al an end. Life vouId lhen le an endIess inleichange of slyIized nessages, a gane
vilh iigid iuIes, unieIieved ly change oi hunoi.
4.3 Eµldemlo|ogµ of a Schltoµhrenla
If ve aie lo discuss lhe epidenioIogy of nenlaI condilions, i.e., condilions pailIy
induced ly expeiience, oui fiisl lask is lo pinpoinl a defecl of an idealionaI syslen
sufficienlIy so lhal ve can go on fion lhal pinpoinling lo posluIale vhal soil of
conlexls of Ieaining nighl induce lhis foinaI defecl.
Il is convenlionaIIy said lhal schizophienics have ¨ego veakness.¨ I nov define
ego veakness as lioulIe in idenlifying and inleipieling lhose signaIs vhich shouId
leII lhe individuaI vhal soil of a nessage a nessage is, i.e., lioulIe vilh lhe signaIs of
lhe sane IogicaI lype as lhe signaI ¨This is pIay.¨ Ioi exanpIe, a palienl cones inlo
lhe hospilaI can-leen and lhe giiI lehind lhe counlei says, ¨Whal can I do foi you`¨
The palienl is in doull as lo vhal soil of a nessage lhis is~is il a nessage aloul
doing hin in` Is il an indicalion lhal she vanls hin lo go lo led vilh hei` Oi is il an
offei of a cup of coffee` He heais lhe nessage and does nol knov vhal soil oi oidei
of a nessage il is. He is unalIe lo pick up lhe noie alsliacl IaleIs vhich ve aie nosl
of us alIe lo use convenlionaIIy lul aie nosl of us unalIe lo idenlify in lhe sense lhal
ve don´l knov vhal loId us vhal soil of a nessage il vas. Il is as if ve sone-hov
nake a coiiecl guess. We aie acluaIIy quile unconscious of ieceiving lhese nessages
vhich leII us vhal soils of nessage ve ieceive.
DifficuIly vilh signaIs of lhis soil seens lo le lhe cenlei of a syndione vhich is
chaiacleiislic foi a gioup of schizophienics, so lheiefoie ve can ieasonalIy Iook foi
an elioIogy slailing fion lhis synplonaloIogy as foinaIIy defined.
When you legin lhinking in lhis vay, a gieal deaI of vhal lhe schizophienic says
faIIs inlo pIace as a desciiplion of his expeiience. Thal is, ve have a second Iead
lovaid lhe lheoiy of elioIogy oi liansnission. The fiisl Iead is fion lhe synplon. We
ask, ¨Hov does a hunan individuaI acquiie an inpeifecl aliIily lo disciininale lhese
specific signaIs`¨ and vhen ve Iook al his speeches, ve find lhal, in lhal pecuIiai
Ianguage vhich is schizophienic saIad, he is de-sciiling a :liaunalic silualion vhich
invoIves a nelaconnunicalive langIe.
A palienl, foi exanpIe, has a cenliaI nolion, lhal ¨sone-lhing noved in space,¨
and lhal lhal is vhy he ciacked up. I sonehov, fion lhe vay he spoke aloul
¨space,¨ gol an idea lhal space is his nolhei and said so. He said, ¨No, space is |nc
nolhei.¨ I suggesled lo hin lhal she nighl le in sone vay a cause of his lioulIes.
He said, ¨I nevei condenned hei.¨ Al a ceilain poinl he gol angiy, and he said~lhis
is veilalin~¨If ve say she had novenenl in hei lecause of vhal she caused, ve aie
onIy condenning ouiseIves.¨ Sonelhing noved in space lhal nade hin ciack up.
Space is nol his nolhei, il is |nc nolhei. ßul nov ve focus upon his nolhei vhon he
says he nevei condenned. And he nov says, ¨If ve say lhal she had novenenl in
hei lecause of vhal she caused, ve aie onIy condenning oui-seIves.¨
This is an ediled veision of a laIk, ¨Hov lhe Devianl Sees His Sociely,¨ given in May, 1955, al
a confeience on ¨The LpidenioIogy of MenlaI HeaIlh¨ heId al ßiighlon, Ulah, sponsoied ly lhe
Depailnenls of Isychialiy and IsychoIogy of lhe Univeisily of Ulah, and lhe Veleians
Adninislialion HospilaI, Ioil DougIas Division, of SaIl Lake Cily, Ulah. A iough liansciipl of lhe
laIks al lhis confeience vas nineogiaphed and ciicuIaled ly lhe oiganizeis.
Look veiy caiefuIIy al lhe IogicaI sliucluie of lhal Iasl quolalion. Il is ciicuIai. Il
inpIies a vay of inleiaclion and chionic cioss-puiposes vilh lhe nolhei such lhal foi
lhe chiId lo nake lhose noves vhich nighl sliaighlen oul lhe nisundeislanding vas
aIso piohililed.
On anolhei occasion he had skipped his lheiapy session in lhe noining, and I
venl ovei lo lhe dining haII al suppei line lo see hin and assuie hin lhal he vouId
see ne nexl day. He iefused lo Iook al ne. He Iooked avay. I nade sone ienaik
aloul 9.3O lhe nexl noining~no ansvei. Then, vilh gieal difficuIly, he said, ¨The
judge disappioves.¨ ße-foie I Iefl hin, I said, ¨You need a defense alloiney,¨ and
vhen I found hin on lhe giounds nexl noining I said, ¨Heie is youi defense
alloiney,¨ and ve venl inlo session logelhei. I slailed oul ly saying, ¨An I iighl in
supposing lhal lhe judge nol onIy disappioves of youi laIking lo ne lul aIso
disappioves of youi leIIing ne lhal he disappioves`¨ He said, ¨Yes!¨ Thal is, ve aie
deaIing vilh lvo IeveIs heie. The ¨judge¨ disappioves of lhe allenpl lo sliaighlen
oul lhe confusions and disappioves of connunicaling lhe facl of his (lhe judge´s)
We have lo Iook foi an elioIogy invoIving nuIlipIe IeveIs of liauna.
I an nol laIking al aII aloul lhe conlenl of lhese liaunalic sequences, vhelhei
lhey le sexuaI, oi oiaI. Noi an I laIking aloul lhe age of lhe suljecl al lhe line of
liauna, noi aloul vhich paienl is invoIved. Thal is aII episodic as fai as I´n
conceined. I´n onIy luiIding up lovaid lhe slalenenl lhal lhe liauna nusl have had
foinaI sliucluie in lhe sense lhal nuIlipIe IogicaI lypes veie pIayed againsl each
olhei lo geneiale lhis pailicuIai palhoIogy in lhis individuaI.
Nov, if you Iook al oui convenlionaI connunicalion vilh one anolhei, vhal you
find is lhal ve veave lhese IogicaI lypes vilh inciedilIe conpIexily and quile
suipiising faciIily. We even nake jokes, and lhese nay le difficuIl foi a foieignei lo
undeisland. Mosl jokes, lolh canned and sponlaneous, and neaiIy anyvheie, aie
veavings of nuIlipIe IogicaI lypes. Kidding and hazing siniIaiIy depend upon lhe
uniesoIved queslion vhelhei lhe kid-ee can idenlify lhal lhis is kidding. In any
cuIluie, lhe individuaIs acquiie quile exliaoidinaiy skiII in handIing nol onIy lhe fIal
idenlificalion of vhal soil of a nessage a nessage is lul in deaIing in nuIlipIe
idenlificalions of vhal soil of a nessage a nessage is. When ve neel lhese nuIlipIe
idenlificalions ve Iaugh, and ve nake nev psychoIogicaI discoveiies aloul vhal
goes on inside ouiseIves, vhich is peihaps lhe ievaid of ieaI hunoi.
ßul lheie aie peopIe vho have lhe ulnosl difficuIly vilh lhis piolIen of
nuIlipIe IeveIs, and il seens lo ne lhal lhis unequaI disliilulion of aliIily is a
phenonenon vhich ve can appioach vilh lhe queslions and leins of epidenioIogy.
Whal is needed foi a chiId lo acquiie, oi lo nol acquiie, a skiII in lhe vays of
inleipieling lhese signaIs`
Theie is nol onIy lhe niiacIe lhal any of lhen acquiie lhe skiIIs~and a Iol of
lhen do~lheie is aIso lhe olhei side, lhal a gieal nany peopIe have difficuIly. Theie
aie peopIe, foi exanpIe, vho, vhen ßig Sislei in lhe soap opeia suffeis fion a coId,
viII send a lollIe of aspiiin lo lhe iadio slalion oi ieconnend a cuie foi ßig Sislei´s
coId, in spile of lhe facl lhal ßig Sislei is a ficlilious chaiaclei vilhin a iadio soap
opeia. These pailicuIai nenleis of lhe audience aie appaienlIy a IillIe lil askev in
lheii idenlificalion of vhal soil of a connunicalion lhis is lhal is coning fion lheii
We aII nake eiiois of lhal kind al vaiious lines. I´n nol suie lhal I´ve evei nel
anylody lhal doesn´l suffei fion ¨schizophienia I¨ noie oi Iess. We aII have sone
difficuIly in deciding sonelines vhelhei a diean vas a diean oi nol, and il vouId
nol le veiy easy foi nosl of us lo say ncu ve knov lhal a piece of oui ovn fanlasy is
fanlasy and nol expeiience. The aliIily lo pIace an expeiience in line is one of lhe
inpoilanl cues, and iefeiiing il lo a sense oigan is anolhei.
When you Iook al lhe nolheis and falheis of palienls foi an ansvei lo lhis
elioIogicaI queslion, you neel vilh seveiaI soils of ansveis.
Iiisl of aII lheie aie ansveis connecled vilh vhal ve nay caII lhe inlensifying
faclois. Any disease is nade voise oi noie piolalIe ly vaiious ciicunslances, such
as faligue, coId, lhe nunlei of days of conlal, lhe piesence of olhei diseases, elc.
These seen lo have a quanlilalive effecl upon lhe incidence of aInosl any palhoIogy.
Then lheie aie lhose faclois vhich I nenlioned~lhe heiedilaiy chaiacleiislics and
polenliaIilies. To gel confused aloul lhe IogicaI lypes, one piesunalIy has lo le
inleIIigenl enough lo knov lhal lheie is sonelhing viong, and nol so inleIIigenl as lo
le alIe lo scc vhal il is lhal is viong. I piesune lhal lhese chaiacleiislics aie
heiedilaiiIy deleinined.
ßul lhe nul of lhe piolIen, il seens lo ne, is lo idenlify vhal ieaI ciicunslances
Iead lo lhe specific palhoIogy. I acknovIedge lhal lhe lacleiia aie nol ieaIIy ly any
neans lhe soIe deleininanl of a lacleiiaI disease, and gianl aIso lheiefoie lhal lhe
occuiience of such liaunalic sequences oi conlexls is nol ly any neans lhe soIe
deleininanl of nenlaI iIIness. ßul sliII il seens lo ne lhal lhe idenlificalion of lhose
conlexls is lhe nul of undeislanding lhe disease, as idenlifying lhe lacleiia is
essenliaI lo undeislanding a lacleiiaI disease.
I have nel lhe nolhei of lhe palienl vhon I nenlioned eaiIiei. The faniIy is nol
ladIy off. They Iive in a nice liacl house. I venl lheie vilh lhe palienl, and vhen ve
aiiived nolody vas hone. The nevspapei loy had lossed lhe evening papei oul in
lhe niddIe of lhe Iavn, and ny palienl vanled lo gel lhal papei fion lhe niddIe of
lhal peifecl Iavn. He cane lo lhe edge of lhe Iavn and slailed lo lienlIe.
The house Iooks Iike vhal is caIIed a ¨nodeI¨ hone~a house vhich has leen
fuinished ly lhe ieaI eslale peopIe in oidei lo seII olhei houses lo lhe pulIic. Nol a
house fuinished lo Iive in, lul ialhei fuinished lo Iook Iike a fuinished house.
I discussed his nolhei vilh hin one day, and suggesled lhal peihaps she vas a
ialhei fiighlened peison. He said, ¨Yes.¨ I said, ¨Whal is she fiighlened of`¨ He said,
¨The appeaiienliaI secuiilies.¨
Theie is a leaulifuI, peifeclIy cenleied nass of ailificiaI, pIaslic vegelalion on lhe
niddIe of lhe nanlIe. A china pheasanl heie and a china pheasanl lheie,
synneliicaIIy aiianged. The vaII-lo-vaII caipel is exaclIy as il shouId le.
Aflei his nolhei aiiived, I feIl a IillIe unconfoilalIe, inliuding in lhis house. He
had nol visiled lheie foi aloul five yeais, lul lhings seened lo le going aII iighl, so I
decided lo Ieave hin lheie and lo cone lack vhen il vas line lo go lack lo lhe
hospilaI. Thal gave ne an houi in lhe slieels vilh alsoIuleIy nolhing lo do, and I
legan lo lhink vhal I vouId Iike lo do lo lhis selup. Whal and hov couId I
connunicale` I decided lhal I vouId Iike lo pul inlo il sonelhing lhal vas lolh
leaulifuI and unlidy. In liying lo inpIenenl lhal decision, I decided lhal fIoveis
veie lhe ansvei, so I loughl sone gIadioIuses. I look lhe gIadioIuses, and, vhen I
venl lo gel hin, I piesenled lhen lo lhe nolhei vilh a speech lhal I vanled hei lo
have in hei house sonelhing lhal vas ¨lolh leaulifuI and unlidy.¨ ¨Oh!¨ she said,
¨Those aie nol unlidy fIoveis. As each one vilheis, you can snip il off.¨
Nov, as I see il, vhal is inleiesling is nol so nuch lhe caslialive slalenenl in lhal
speech, lul lhe pulling ne in lhe posilion of having apoIogized vhen in facl I had
nol. Thal is, she look ny nessage and iecIassified il. She changed lhe IaleI vhich
indicaled vhal soil of a nessage il vas, and lhal is, I leIieve, vhal she does aII lhe
line. An endIess laking of lhe olhei peison´s nessage and iepIying lo il as if il veie
eilhei a slalenenl of veakness on lhe pail of lhe speakei oi an allack on hei vhich
shouId le luined inlo a veakness on lhe pail of lhe speakei, and so on.
Whal lhe palienl is up againsl loday~and vas up againsl in chiIdhood~is lhe
faIse inleipielalion of his nessages. If he says, ¨The cal is on lhe lalIe,¨ she iepIies
vilh sone iepIy vhich nakes oul lhal his nessage is nol lhe soil of nessage lhal he
lhoughl il vas vhen he gave il. His ovn nessage idenlifiei is olscuied oi disloiled
ly hei vhen lhe nessage cones lack. And hei ovn nessage idenlifiei she
conlinuaIIy conliadicls. She Iaughs vhen she is saying lhal vhich is Ieasl funny lo
hei, and so on.
Nov lheie is a ieguIai naleinaI doninance picluie in lhis faniIy, lul I an nol
conceined al lhe nonenl lo say lhal lhis is lhe necessaiy foin of lhe liauna. I an
onIy conceined vilh lhe puieIy foinaI aspecls of lhis liaunalic consleIIalion, and I
piesune lhe consleIIalion couId le nade up vilh falhei laking ceilain pails of il,
nolhei laking ceilain olhei pails of il, and so foilh.
I an liying lo nake onIy one poinl: lhal lheie is heie a piolaliIily of liauna
vhich viII conlain ceilain foinaI chaiacleiislics. Il viII piopagale a specific
syndione in lhe palienl lecause lhe liauna ilseIf has inpacl upon a ceilain eIenenl
in lhe connunicalionaI piocess. Thal vhich is al-lacked is lhe use of vhal I have
caIIed lhe ¨nessage-idenlifying signaIs¨~lhose signaIs vilhoul vhich lhe ¨ego¨
daie nol disciininale facl fion fanlasy oi lhe IileiaI fion lhe nelaphoiic.
Whal I liied lo do vas pinpoinl a gioup of syndionala, naneIy lhose
syndionala ieIaled lo an inaliIily lo knov vhal soil of a nessage a nessage is. Al
one end of lhe cIassificalion of lhose, lheie viII le noie oi Iess helephienic
individuaIs foi vhon no nessage is of any pailicuIai definile lype lul vho Iive in a
soil of chionic shaggy-dog sloiy. Al lhe olhei end aie lhose vho liy lo oveiidenlify,
lo nake an oveiIy iigid idenlificalion of vhal soil of a nessage eveiy nessage is.
This viII give a nuch noie paianoid lype of picluie. WilhdiavaI is anolhei
IinaIIy, il seens lo ne lhal vilh a hypolhesis of lhis kind, one couId Iook foi lhe
deleininanls in a popuIalion vhich nighl Iead lo lhe occuiience of lhal soil of
consleIIalion. This vouId seen lo ne an appiopiiale nallei foi epidenioIogicaI
4.4 Touard a Theorµ of Schltoµhrenla
Schizophienia~ils naluie, elioIogy, and lhe kind of lheiapy lo use foi il~
ienains one of lhe nosl puzzIing of lhe nenlaI iIInesses. The lheoiy of schizophienia
piesenled heie is lased on connunicalions anaIysis, and specificaIIy on lhe Theoiy
of LogicaI Types. Iion lhis lheoiy and fion olseivalions of schizophienic palienls is
deiived a desciiplion, and lhe necessaiy condilions foi, a silualion caIIed lhe ¨doulIe
lind¨~a silualion in vhich no nallei vhal a peison does, he ¨can´l vin.¨ Il is
hypolhesized lhal a peison caughl in lhe doulIe lind nay deveIop schizophienic
synplons. Hov and vhy lhe doulIe lind nay aiise in a faniIy silualion is
discussed, logelhei vilh iIIuslialions fion cIinicaI and expeiinenlaI dala.
This is a iepoil
on a ieseaich piojecl vhich has leen foinuIaling and lesling a
lioad, syslenalic viev of lhe naluie, elioIogy, and lheiapy of schizophienia. Oui
ieseaich in lhis fieId has pioceeded ly discussion of a vaiied lody of dala and ideas,
vilh aII of us conliiluling accoiding lo oui vaiied expeiience in anlhiopoIogy,
connunicalions anaIysis, psycholheiapy, psychialiy, and psychoanaIysis. We have
nov ieached connon agieenenl on lhe lioad oulIines of a connunicalionaI lheoiy
of lhe oiigin and naluie of schizophienia, lhis papei is a pieIininaiy iepoil on oui
conlinuing ieseaich.
4.4.1 Thc Basc In CnmmunIcatInns Thcnry
Oui appioach is lased on lhal pail of connunicalions lheoiy vhich RusseII has
caIIed lhe Theoiy of LogicaI Types.
The cenliaI lhesis of lhis lheoiy is lhal lheie is a
disconlinuily lelveen a cIass and ils nenleis. The cIass cannol le a nenlei of ilseIf
noi can one of lhe nenleis oc lhe cIass, since lhe lein used foi lhe cIass is of a
diffcrcn| |ctc| cf aos|rac|icna diffeienl LogicaI Type~fion leins used foi nenleis.
AIlhough in foinaI Iogic lheie is an al-lenpl lo nainlain lhis disconlinuily lelveen a
This papei ly Ciegoiy ßaleson, Don D. }ackson, }ay HaIey, and. }ohn H. WeakIand is heie
iepioduced fion 8cnaticra| Scicncc, VoI. I, Nc. 4, 1956, ly peinission of 8cnaticra| Scicncc
This papei deiives fion hypolheses fiisl deveIoped in a ieseaich piojecl financed ly lhe
RockfeIIei Ioundalion fion 1952-54, adninisleied ly lhe Depailnenl of SocioIogy and
AnlhiopoIogy al Slanfoid Univeisily and diiecled ly Ciegoiy ßaleson. Since 1954 lhe piojecl has
financed ly lhe }osiah Macy, }i. Ioundalion. To }ay HaIey is due ciedil foi iecognizing
lhal lhe synplons of schizophienia aie suggeslive of an inaliIily lo disciininale lhe
LogicaI Types, and lhis vas anpIified ly ßaleson, vho added lhe nolion lhal lhe
synplons and elioIogy couId le foinaIIy desciiled in leins of a doulIe lind hypolhesis.
The hypolhesis vas connunicaled lo D. D. }ackson and found lo fil cIoseIy vilh his ideas
of faniIy honeoslasis. Since lhen Di. }ackson has voiked cIoseIy vilh lhe piojecl. The
sludy of lhe foinaI anaIogies lelveen hypnosis and schizophienia has leen lhe voik of
}ohn H. WeakIand and }ay HaIey.
A. N. Whilehead and ß. RusseII, Principia Ma|ncna|ica, Canliidge, Canliidge Univeisily
Iiess, 191O.
cIass and ils nenleis, ve aigue lhal in lhe psychoIogy of ieaI connunicalions lhis
disconlinuily is conlinuaIIy and inevilalIy lieached,
and lhal a piioii ve nusl
expecl a palhoIogy lo occui in lhe hunan oiganisn vhen ceilain foinaI pal-leins of
lhe lieaching occui in lhe connunicalion lelveen nolhei and chiId. We shaII aigue
lhal lhis palhoIogy al ils exliene viII have synplons vhose foinaI chaiacleiislics
vouId Iead lhe palhoIogy lo le cIassified as a schizophienia.
IIIuslialions of hov hunan leings handIe connunicalion invoIving nuIlipIe
LogicaI Types can le deiived fion lhe foIIoving fieIds:
1. Tnc usc cf taricus ccnnunica|icna| ncdcs in nunan ccnnunica|icn. LxanpIes aie
pIay, non-pIay, fanlasy, sacianenl, nelaphoi, elc. Lven anong lhe Iovei nannaIs
lheie appeais lo le an exchange of signaIs vhich idenlify ceilain neaningfuI
lehavioi as ¨pIay,¨ elc.
These signaIs aie evidenlIy of highei LogicaI Type lhan lhe
nessages lhey cIassify. Anong hunan leings lhis fianing and IaleIing of nessages
and neaningfuI aclions ieaches consideialIe conpIexily, vilh lhe pecuIiaiily lhal
oui vocaluIaiy foi such disciininalion is sliII veiy pooiIy deveIoped, and ve ieIy
piepondeianlIy upon nonveilaI nedia of posluie, gesluie, faciaI expiession,
inlonalion, and lhe conlexl foi lhe connunicalion of lhese highIy alsliacl, lul vilaIIy
inpoilanl, IaleIs.
2. Huncr. This seens lo le a nelhod of expIoiing lhe inpIicil lhenes in lhoughl
oi in a ieIalionship. The nelhod of expIoialion invoIves lhe use of nessages vhich
aie chaiacleiized ly a condensalion of LogicaI Types oi connunicalionaI nodes. A
discoveiy, foi exanpIe, occuis vhen il suddenIy lecones pIain lhal a nessage vas
nol onIy nelaphoiic lul aIso noie IileiaI, oi vice veisa. Thal is lo say, lhe expIosive
nonenl in hunoi is lhe nonenl vhen lhe IaleIing of lhe node undeigoes a
dissoIulion and ie-synlhesis. ConnonIy, lhe punch Iine conpeIs a ie-evaIualion of
eaiIiei signaIs vhich asciiled lo ceilain nessages a pailicuIai node (e.g., IileiaIness
oi fanlasy). This has lhe pecuIiai effecl of alliiluling ncdc lo lhose signaIs vhich had
pieviousIy lhe slalus of lhal highei LogicaI Type vhich cIassifies lhe nodes.
3. Tnc fa|sifica|icn cf ncdc-idcn|ifqing signa|s. Anong hunan leings node
idenlifieis can le faIsified, and ve have lhe ailificiaI Iaugh, lhe nanipuIalive
sinuIalion of fiiendIiness, lhe confidence liick, kidding, and lhe Iike. SiniIai
faIsificalions have leen iecoided anong nannaIs.
Anong hunan leings ve neel
vilh a sliange phenonenon~lhe unconscious faIsificalion of lhese signaIs. This nay
occui vilhin lhe seIf~lhe suljecl nay conceaI fion hinseIf his ovn ieaI hosliIily
undei lhe guise of nelaphoiic pIay~oi il nay occui as an unconscious faIsificalion
of lhe suljecl´s undeislanding of lhe olhei peison´s node-idenlifying signaIs. He
nay nislake shyness foi conlenpl, elc. Indeed nosl of lhe eiiois of seIf-iefeience faII
undei lhis head.
4. |carning. The sinpIesl IeveI of lhis phenonenon is exenpIified ly a silualion
in vhich a suljecl ieceives a nessage and acls appiopiialeIy on il: ¨I heaid lhe cIock
sliike and knev il vas line foi Iunch. So I venl lo lhe lalIe.¨ In Ieaining expeiinenls
lhe anaIogue of lhis sequence of evenls is olseived ly lhe expeiinenlei and
connonIy liealed as a singIe nessage of a highei lype. When lhe dog saIivales
C. ßaleson, ¨A Theoiy of IIay and Ianlasy,¨ Psqcnia|ric Rcscarcn Rcpcr|s, 1955, 2. 39-51.
A fiIn piepaied ly lhis piojecl, ¨The Naluie of IIay, Iail I, Rivei Olleis,¨ is avaiIalIe.
C. R. Caipenlei, ¨A IieId Sludy of lhe ßehavioi and SociaI ReIalions of HovIing Monkeys,
Ccnp. Psqcnc|. Mcncgr., 1934, 10. 1-168, aIso K. Z. Loienz, King Sc|cncn's Ring, Nev Yoik,
CioveII, 1952.
lelveen luzzei and neal povdei, lhis sequence is accepled ly lhe expeiinenlei as a
nessage indicaling lhal ¨The dog has |carncd lhal luzzei neans neal povdei.¨ ßul
lhis is nol lhe end of lhe hieiaichy of lypes invoIved. The expeiinenlaI suljecl nay
lecone noie skiIIed in Ieaining. He nay |carn |c |carn,
and il is nol inconceivalIe
lhal sliII highei oideis of Ieaining nay occui in hunan leings.
5. Mu||ip|c |ctc|s cf |carning and |nc |cgica| Tqping cf signaIs. These aie lvo
insepaialIe sels of phenonena~insepaialIe lecause lhe aliIily lo handIe lhe
nuIlipIe lypes of signaIs is ilseIf a |carncd skiII and lheiefoie a funclion of lhe nuIlipIe
IeveIs of Ieaining.
Accoiding lo oui hypolhesis, lhe lein ¨ego funclion¨ (as lhis lein is used vhen
a schizophienic is desciiled as having ¨veak ego funclion¨) is pieciseIy |nc prcccss cf
discrinina|ing ccnnunica|icna| ncdcs ci|ncr ui|nin |nc sc|f cr oc|uccn |nc sc|f and c|ncrs.
The schizophienic exhilils veakness in lhiee aieas of such funclion: (a) He has
difficuIly in assigning lhe coiiecl connunicalionaI node lo lhe nessages he ieceives
fion olhei peisons. (o) He has difficuIly in assigning lhe coiiecl connunicalionaI
node lo lhose nessages vhich he hinseIf ulleis oi enils nonveilaIIy. (c) He has
difficuIly in assigning lhe coiiecl connunicalionaI node lo his ovn lhoughls,
sensalions, and peicepls.
Al lhis poinl il is appiopiiale lo conpaie vhal vas said in lhe pievious
paiagiaph vilh von Donaius´
appioach lo lhe syslenalic desciiplion of
schizophienic ulleiance. He suggesls lhal lhe nessages (and lhoughl) of lhe
schizophienic aie devianl in syIIogislic sliucluie. In pIace of sliucluies vhich deiive
fion lhe syIIogisn, ßailaia, lhe schizophienic, accoiding lo lhis lheoiy, uses
sliucluies vhich idenlify piedicales. An exanpIe of such a disloiled syIIogisn is:
Men die.
Ciass dies.
Men aie giass.
ßul as ve see il, von Donaius
foinuIalion is onIy a noie piecise~and
lheiefoie vaIualIe~vay of saying lhal schizophienic ulleiance is iich in nelaphoi.
Wilh lhal geneiaIizalion ve agiee. ßul nelaphoi is an indispensalIe looI of lhoughl
and expiession~a chaiacleiislic of aII hunan connunicalion, even of lhal of lhe
scienlisl. The concepluaI nodeIs of cyleinelics and lhe eneigy lheoiies of psycho-
anaIysis aie, aflei aII, onIy IaleIed nelaphois. The pecuIiaiily of lhe schizophienic is
nol lhal he uses nelaphois, lul lhal he uses un|aoc|cd nelaphois. He has speciaI
difficuIly in handIing signaIs of lhal cIass vhose nenleis assign LogicaI Types lo
olhei signaIs.
If oui foinaI sunnaiy of lhe synplonaloIogy is coiiecl and if lhe schizophienia
of oui hypolhesis is essenliaIIy a iesuIl of faniIy inleiaclion, il shouId le possilIe lo
aiiive a piioii al a foinaI desciiplion of lhese sequences of expeiience vhich vouId
induce such a synplonaloIogy. Whal is knovn of Ieaining lheoiy conlines vilh lhe
evidenl facl lhal hunan leings use ccn|cx| as a guide foi node disciininalion.
Theiefoie, ve nusl Iook nol foi sone specific liaunalic expeiience in lhe infanliIe
C. ßaleson, ¨SociaI IIanning and lhe Concepl of Deuleio-Leaining,¨ Ccnfcrcncc cn Scicncc,
Pni|cscpnq and Rc|igicn, Scccnd Sqnpcsiun, Nev Yoik, Haipei, 1942. (See alove, p. 159) , aIso H. I.
HaiIov, ¨The Ioinalion of Leaining Sels,¨ Psqcnc|. Rcticu, 1949, 56. 51-65, aIso C. L. HuII, c| a|.,
Ma|ncna|icc-dcduc|itc Tnccrq cf Rc|c |carning, Nev Haven, YaIe Univeisily Iiess, 194O.
L. von Donaius, ¨The Specific Lavs of Logic in Schizophienia,¨ |anguagc and Tncugn| in
Scnizcpnrcnia, }. S. Kasanin, ed., ßeikeIey, Univeisily of CaIifoinia Iiess, 1944.
elioIogy lul ialhei foi chaiacleiislic sequenliaI palleins. The specificily foi vhich ve
seaich is lo le al an alsliacl oi foinaI IeveI. The sequences nusl have lhis
chaiacleiislic: lhal fion lhen lhe palienl viII acquiie lhe nenlaI halils vhich aie
exenpIified in schizophienic connunicalion. Thal is lo say, nc nus| |itc in a unitcrsc
uncrc |nc scqucnccs cf ctcn|s arc sucn |na| nis unccntcn|icna| ccnnunica|icna| naoi|s ui||
oc in scnc scnsc apprcpria|c. The hypolhesis vhich ve offei is lhal sequences of lhis
kind in lhe exleinaI expeiience of lhe palienl aie iesponsilIe foi lhe innei confIicls of
LogicaI Typing. Ioi such uniesoIvalIe sequences of expeiiences, ve use lhe lein
¨doulIe lind.¨
4.4.2 Thc Dnub!c BInd
The necessaiy ingiedienls foi a doulIe lind silualion, as ve see il, aie:
1. Tuc cr ncrc pcrscns. Of lhese, ve designale one, foi puiposes of oui definilion,
as lhe ¨viclin.¨. We do nol assune lhal lhe doulIe lind is infIicled ly lhe nolhei
aIone, lul lhal il nay le done eilhei ly nolhei aIone oi ly sone conlinalion of
nolhei, falhei, and/oi silIings.
2. Rcpca|cd cxpcricncc. We assune lhal lhe doulIe lind is a iecuiienl lhene in lhe
expeiience of lhe viclin. Oui hypolhesis does nol invoke a singIe liaunalic
expeiience, lul such iepealed expeiience lhal lhe doulIe lind sliucluie cones lo le
an haliluaI expeclalion.
3. A prinarq ncga|itc injunc|icn. This nay have eilhei of lvo foins: (a) ¨Do nol do
so and so, oi I viII punish you,¨ oi (l) ¨If you do nol do so and so, I viII punish you.
Heie ve seIecl a conlexl of Ieaining lased on avoidance of punishnenl ialhei lhan a
conlexl of ievaid seeking. Theie is peihaps no foinaI ieason foi lhis seIeclion. We
assune lhal lhe punishnenl nay le eilhei lhe vilhdiavaI of Iove oi lhe expiession
of hale oi angei~oi nosl devaslaling~lhe kind of alandonnenl lhal iesuIls fion
lhe paienl´s expiession of exliene heIpIessness.
4. A secondaiy injunclion confIicling vilh lhe fiisl al anoie alsliacl IeveI, and
Iike lhe fiisl enfoiced ly punishnenls oi signaIs vhich lhiealen suivivaI. This
secondaiy injunclion is noie difficuIl lo desciile lhan lhe piinaiy foi lvo ieasons.
Iiisl, lhe secondaiy injunclion is connonIy connunicaled lo lhe chiId ly nonveilaI
neans. Iosluie, gesluie, lone of voice, neaningfuI aclion, and lhe inpIicalions
conceaIed in veilaI connenl nay aII le used lo convey lhis noie alsliacl nessage.
Second, lhe secondaiy injunclion nay inpinge upon any eIenenl of lhe piinaiy
piohililion. VeilaIizalion of lhe secondaiy injunclion nay, lheie-foie, incIude a vide
vaiiely of foins, foi exanpIe, ¨Do nol see lhis as punishnenl¨, ¨Do nol see ne as lhe
punishing agenl¨, ¨Do nol sulnil lo ny piohililions¨, ¨Do nol lhink of vhal you
nusl nol do¨, ¨Do nol queslion ny Iove of vhich lhe piinaiy piohililion is (oi is
nol) an exanpIe¨, and so on. Olhei exanpIes lecone possilIe vhen lhe doulIe lind
is infIicled nol ly one individuaI lul ly lvo. Ioi ex-anpIe, one paienl nay negale al
a noie alsliacl IeveI lhe injunclions of lhe olhei.
5. A |cr|iarq ncga|itc injunc|icn prcnioi|ing |nc tic|in frcn cscaping frcn |nc fic|d. In a
foinaI sense il is peihaps unnecessaiy lo Iisl lhis injunclion as a sepaiale ilen since
lhe ieinfoicenenl al lhe olhei lvo IeveIs invoIves a lhieal lo suivivaI, and if lhe
Oui concepl of punishnenl is leing iefined al piesenl. Il appeais lo us lo invoIve peicepluaI
expeiience in a vay lhal cannol le enconpassed ly lhe nolion of ¨liauna.¨
doulIe linds aie inposed duiing infancy, escape is naluiaIIy inpossilIe. Hovevei, il
seens lhal in sone cases lhe escape fion lhe fieId is nade inpossilIe ly ceilain
devices vhich aie nol puieIy negalive, e.g., capiicious pionises of Iove, and lhe Iike.
6. IinaIIy, lhe conpIele sel of ingiedienls is no Iongei necessaiy vhen lhe viclin
has Ieained lo peiceive his univeise in doulIe lind palleins. AInosl any pail of a
doulIe lind sequence nay lhen le sufficienl lo piecipilale panic oi iage.
The pallein of confIicling injunclions nay even le laken ovei ly haIIucinaloiy
4.4.3 Thc Effcct nf thc Dnub!c BInd
In lhe Laslein ieIigion, Zen ßuddhisn, lhe goaI is lo achieve enIighlennenl. The
Zen naslei allenpls lo liing aloul enIighlennenl in his pupiI in vaiious vays. One
of lhe lhings he does is lo hoId a slick ovei lhe pupiI´s head and say fieiceIy, ¨If you
say lhis slick is ieaI, I viII sliike you vilh il. If you say lhis slick is nol ieaI, I viII
sliike you vilh il. If you don´l say anylhing, I viII sliike you vilh il.¨ We feeI lhal lhe
schizophienic finds hinseIf conlinuaIIy in lhe sane silualion as lhe pupiI, lul he
achieves sonelhing Iike disoiienlalion ialhei lhan enIighlennenl. The Zen pupiI
nighl ieach up and lake lhe slick avay fion lhe naslei~vho nighl accepl lhis
iesponse, lul lhe schizophienic has no such choice since vilh hin lheie is no nol
caiing aloul lhe ieIalionship, and his nolhei´s ains and avaieness aie nol Iike lhe
We hypolhesize lhal lheie viII le a lieakdovn in any individuaI´s aliIily lo
disciininale lelveen LogicaI Types vhenevei a doulIe lind silualion occuis. The
geneiaI chaiacleiislics of lhis silualion aie lhe foIIoving:
(A) When lhe individuaI is invoIved in an inlense ieIalionship, lhal is, a
ieIalionship in vhich he feeIs il is vilaIIy inpoilanl lhal he disciininale accuialeIy
vhal soil of nessage is leing connunicaled so lhal he nay iespond appiopiialeIy.
(ß) And, lhe individuaI is caughl in a silualion in vhich lhe olhei peison in lhe
ieIalionship is expiessing lvo oideis of nessage and one of lhese denies lhe olhei.
(C) And, lhe individuaI is unalIe lo connenl on lhe nessages leing expiessed
lo coiiecl his disciininalion of vhal oidei of nessage lo iespond lo, i.e., nc cannol
nake a nelaconnunicalive slalenenl.
We have suggesled lhal lhis is lhe soil of silualion vhich occuis lelveen lhe pie-
schizophienic and his nolhei, lul il aIso occuis in noinaI ieIalionships. When a
peison is caughl in a doulIe lind silualion, he viII iespond defensiveIy in a nannei
siniIai lo lhe schizophienic. An individuaI viII lake a nelaphoiicaI slalenenl
IileiaIIy vhen he is in a silualion vheie he nusl iespond, vheie he is faced vilh
conliadicloiy nessages, and vhen he is unalIe lo connenl on lhe conliadiclions.
Ioi exanpIe, one day an enpIoyee venl hone duiing office houis. A feIIov
enpIoyee caIIed hin al his hone, and said IighlIy, ¨WeII, hov did you gel |ncrc?¨
The enpIoyee iepIied, ¨ßy aulonoliIe.¨ He iesponded IileiaIIy lecause he vas faced
}. IeicevaI, A Naiialive of lhe Tiealnenl Lxpeiienced ly a CenlIenan Duiing a Slale of
MenlaI Deiangenenl, Designed lo LxpIain lhe Causes and Naluie of Insanily, elc., London,
Lffinghan WiIson, 1836 and 184O. (See lilIiogiaphic ilen, 1961 a.)
vilh a nessage vhich asked hin vhal he vas doing al hone vhen he shouId have
leen al lhe office, lul vhich denied lhal lhis queslion vas leing asked ly lhe vay il
vas phiased. (Since lhe speakei feIl il vasn´l ieaIIy his lusiness, he spoke
nelaphoiicaIIy.) The ieIalionship vas inlense enough so lhal lhe viclin vas in doull
hov lhe infoinalion vouId le used, and he lheiefoie iesponded IileiaIIy. This is
chaiacleiislic of anyone vho feeIs ¨on lhe spol,¨ as denonslialed ly lhe caiefuI
IileiaI iepIies of a vilness on lhe sland in a couil liiaI. The schizophienic feeIs so
leiiilIy on lhe spol al aII lines lhal he haliluaIIy iesponds vilh a defensive
insislence on lhe IileiaI IeveI vhen il is quile inappiopiiale, e.g., vhen soneone is
Schizophienics aIso confuse lhe IileiaI and nelaphoiic in lheii ovn ulleiance
vhen lhey feeI lhenseIves caughl in a doulIe lind. Ioi exanpIe, a palienl nay vish
lo ciilicize his lheiapisl foi leing Iale foi an appoinlnenl, lul he nay le unsuie vhal
soil of a nessage lhal acl of leing Iale vas~pailicuIaiIy if lhe lheiapisl has
anlicipaled lhe palienl´s ieaclion and apoIogized foi lhe evenl. The palienl cannol
say, ¨Why veie you Iale` Is il lecause you don
l vanl lo see ne loday`¨ This vouId
le an accusalion, and so he shifls lo a nelaphoiicaI slalenenl. He nay lhen say, ¨I
knev a feIIov once vho nissed a loal, his nane vas San and lhe loal aInosl
sunk,. elc.,¨ Thus he deveIops a nelaphoiicaI sloiy and lhe lheiapisl nay oi nay
nol discovei in il a connenl on his leing Iale. The convenienl lhing aloul a
nelaphoi is lhal il Ieaves il up lo lhe lheiapisl (oi nolhei) lo see an accusalion in lhe
slalenenl if he chooses, oi lo ignoie il if he chooses. ShouId lhe lheiapisl accepl lhe
accusalion in lhe nelaphoi, lhen lhe palienl can accepl lhe slalenenl he has nade
aloul San as nelaphoiicaI. If lhe lheiapisl poinls oul lhal lhis doesn´l sound Iike a
liue slalenenl aloul San, as a vay of avoiding lhe accusalion in lhe sloiy, lhe
palienl can aigue lhal lheie ieaIIy vas a nan naned San. As an ansvei lo lhe
doulIe lind silualion, a shifl lo a nelaphoiicaI slalenenl liings safely. Hovevei, il
aIso pievenls lhe palienl fion naking lhe accusalion he vanls lo nake. ßul inslead
of gelling ovei his accusalion ly indicaling lhal lhis is a nelaphoi, lhe schizophienic
palienl seens lo liy lo gel ovei lhe facl lhal il is a nelaphoi ly naking il noie
fanlaslic. If lhe lheiapisl shouId ignoie lhe accusalion in lhe sloiy aloul San, lhe
schizophienic nay lhen leII a sloiy aloul going lo Mais in a iockel ship as a vay of
pulling ovei his accusalion. The indicalion lhal il is a nelaphoiicaI slalenenl Iies in
lhe fanlaslic aspecl of lhe nelaphoi, nol in lhe signaIs vhich usuaIIy acconpany
nelaphois lo leII lhe Iislenei lhal a nelaphoi is leing used.
Il is nol onIy safei foi lhe viclin of a doulIe lind lo shifl lo a nelaphoiicaI oidei
of nessage, lul in an inpossilIe silualion il is lellei lo shifl and lecone sonelody
eIse, oi shifl and insisl lhal he is sonevheie eIse. Then lhe doulIe lind cannol voik
on lhe viclin, lecause il isn´l he and lesides he is in a diffeienl pIace. In olhei voids,
lhe slalenenls vhich shov lhal a palienl is disoiienled can le inleipieled as vays of
defending hinseIf againsl lhe silualion he is in. The palhoIogy enleis vhen lhe
viclin hinseIf eilhei does nol knov lhal his iesponses aie nelaphoiicaI oi cannol
say so. To iecognize lhal he vas speaking nelaphoiicaIIy he vouId need lo le avaie
lhal he vas defending hinseIf and lheiefoie vas afiaid of lhe olhei peison. To hin
such an avaieness vouId le an indiclnenl of lhe olhei peison and lheiefoie piovoke
If an individuaI has spenl his Iife in lhe kind of doulIe lind ieIalionship
desciiled heie, his vay of ieIaling lo peopIe aflei a psycholic lieak vouId have a
syslenalic pal-lein. Iiisl, he vouId nol shaie vilh noinaI peopIe lhose signaIs vhich
acconpany nessages lo indicale vhal a peison neans. His nelaconnunicalive
syslen~lhe connunicalions aloul connunicalion~vouId have lioken dovn, and
he vouId nol knov vhal kind of nessage a nessage vas. If a peison said lo hin,
¨Whal vouId you Iike lo do loday`
he vouId le unalIe lo judge accuialeIy ly lhe
conlexl oi ly lhe lone of voice oi gesluie vhelhei he vas leing condenned foi vhal
he did yesleiday, oi leing offeied a sexuaI invilalion, oi jusl vhal vas neanl. Civen
lhis in-aliIily lo judge accuialeIy vhal a peison ieaIIy neans and an excessive
concein vilh vhal is ieaIIy neanl, an individuaI nighl defend hinseIf ly choosing
one oi noie of seveiaI aIleinalives. He nighl, foi exanpIe, assune lhal lehind eveiy
slalenenl lheie is a conceaIed neaning vhich is deliinenlaI lo his veIfaie. He vouId
lhen le excessiveIy conceined vilh hidden neanings and deleinined lo denonsliale
lhal he couId nol le deceived~as he had leen aII his Iife. If he chooses lhis
aIleinalive, he viII le conlinuaIIy seaiching foi neanings lehind vhal peopIe say
and lehind chance occuiiences in lhe enviionnenl, and he viII le chaiacleiislicaIIy
suspicious and defianl.
He nighl choose anolhei aIleinalive, and lend lo accepl IileiaIIy eveiylhing
peopIe say lo hin, vhen lheii lone oi gesluie oi conlexl conliadicled vhal lhey said,
he nighl eslalIish a pallein of Iaughing off lhese nelaconnunicalive signaIs. He
vouId give up liying lo disciininale lelveen IeveIs of nessage and lieal aII
nessages as uninpoilanl oi lo le Iaughed al.
If he didn´l lecone suspicious of nelaconnunicalive nessages oi allenpl lo
Iaugh lhen off, he nighl choose lo liy lo ignoie lhen. Then he vouId find il
necessaiy lo see and heai Iess and Iess of vhal venl on aiound hin, and do his
ulnosl lo avoid piovoking a iesponse in his enviionnenl. He vouId liy lo delach his
inleiesl fion lhe exleinaI voiId and concenliale on his ovn inleinaI piocesses and,
lheiefoie, give lhe appeaiance of leing a vilhdiavn, peihaps nule, individuaI.
This is anolhei vay of saying lhal if an individuaI doesn´l knov vhal soil of
nessage a nessage is, he nay defend hinseIf in vays vhich have leen desciiled as
paianoid, helephienic, oi calalonic. These lhiee aIleinalives aie nol lhe onIy ones.
The poinl is lhal he cannol choose lhe one aIleinalive vhich vouId heIp hin lo
discovei vhal peopIe nean, he cannol, vilhoul consideialIe heIp, discuss lhe
nessages of olheis. Wilhoul leing alIe lo do lhal, lhe hunan leing is Iike any seIf-
coiiecling syslen vhich has Iosl accepl lhe accusalion in lhe nelaphoi, lhen lhe
palienl can accepl lhe slalenenl he has nade aloul San as nelaphoiicaI. If lhe
lheiapisl poinls oul lhal lhis doesn´l sound Iike a liue slalenenl aloul San, as a vay
of avoiding lhe accusalion in lhe sloiy, lhe palienl can aigue lhal lheie ieaIIy vas a
nan naned San. As an ansvei lo lhe doulIe lind silualion, a shifl lo a nelaphoiicaI
slalenenl liings safely. Hovevei, il aIso pievenls lhe palienl fion naking lhe
accusalion he vanls lo nake. ßul inslead of gelling ovei his accusalion ly indicaling
lhal lhis is a nelaphoi, lhe schizophienic palienl seens lo liy lo gel ovei lhe facl lhal
il is a nelaphoi ly naking il noie fanlaslic. If lhe lheiapisl shouId ignoie lhe
accusalion in lhe sloiy aloul San, lhe schizophienic nay lhen leII a sloiy aloul
going lo Mais in a iockel ship as a vay of pulling ovei his accusalion. The indicalion
lhal il is a nelaphoiicaI slalenenl Iies in lhe fanlaslic aspecl of lhe nelaphoi, nol in
lhe signaIs vhich usuaIIy acconpany nelaphois lo leII lhe Iislenei lhal a nelaphoi is
leing used.
Il is nol onIy safei foi lhe viclin of a doulIe lind lo shifl lo a nelaphoiicaI oidei
of nessage, lul in an inpossilIe silualion il is lellei lo shifl and lecone sonelody
eIse, oi shifl and insisl lhal he is sonevheie eIse. Then lhe doulIe lind cannol voik
on lhe viclin, lecause il isn´l he and lesides he is in a diffeienl pIace. In olhei voids,
lhe slalenenls vhich shov lhal a palienl is disoiienled can le inleipieled as vays of
defending hinseIf againsl lhe silualion he is in. The palhoIogy enleis vhen lhe
viclin hinseIf eilhei does nol knov lhal his iesponses aie nelaphoiicaI oi cannol
say so. To iecognize lhal he vas speaking nelaphoiicaIIy he vouId need lo le avaie
lhal he vas defending hinseIf and lheiefoie vas afiaid of lhe olhei peison. To hin
such an avaieness vouId le an indiclnenl of lhe olhei peison and lheiefoie piovoke
If an individuaI has spenl his Iife in lhe kind of doulIe lind ieIalionship
desciiled heie, his vay of ieIaling lo peopIe aflei a psycholic lieak vouId have a
syslenalic pal-lein. Iiisl, he vouId nol shaie vilh noinaI peopIe lhose signaIs vhich
acconpany nessages lo indicale vhal a peison neans. His nelaconnunicalive
syslen~lhe connunicalions aloul connunicalion~vouId have lioken dovn, and
he vouId nol knov vhal kind of nessage a nessage vas. If a peison said lo hin,
¨Whal vouId you Iike lo do loday`¨ he vouId le unalIe lo judge accuialeIy ly lhe
conlexl oi ly lhe lone of voice oi gesluie vhelhei he vas leing condenned foi vhal
he did yesleiday, oi leing offeied a sexuaI invilalion, oi jusl vhal vas neanl. Civen
lhis in-aliIily lo judge accuialeIy vhal a peison ieaIIy neans and an excessive
concein vilh vhal is ieaIIy neanl, an individuaI nighl defend hinseIf ly choosing
one oi noie of seveiaI aIleinalives. He nighl, foi exanpIe, assune lhal lehind eveiy
slalenenl lheie is a conceaIed neaning vhich is deliinenlaI lo his veIfaie. He vouId
lhen le excessiveIy conceined vilh hidden neanings and deleinined lo denonsliale
lhal he couId nol le deceived~as he had leen aII his Iife. If he chooses lhis
aIleinalive, he viII le conlinuaIIy seaiching foi neanings lehind vhal peopIe say
and lehind chance occuiiences in lhe enviionnenl, and he viII le chaiacleiislicaIIy
suspicious and defianl.
He nighl choose anolhei aIleinalive, and lend lo accepl IileiaIIy eveiylhing
peopIe say lo hin, vhen lheii lone oi gesluie oi conlexl conliadicled vhal lhey said,
he nighl eslalIish a pallein of Iaughing off lhese nelaconnunicalive signaIs. He
vouId give up liying lo disciininale lelveen IeveIs of nessage and lieal aII
nessages as uninpoilanl oi lo le Iaughed al.
If he didn´l lecone suspicious of nelaconnunicalive nessages oi allenpl lo
Iaugh lhen off, he nighl choose lo liy lo ignoie lhen. Then he vouId find il
necessaiy lo see and heai Iess and Iess of vhal venl on aiound hin, and do his
ulnosl lo avoid piovoking a iesponse in his enviionnenl. He vouId liy lo delach his
inleiesl fion lhe exleinaI voiId and concenliale on his ovn inleinaI piocesses and,
lheiefoie, give lhe appeaiance of leing a vilhdiavn, peihaps nule, individuaI.
This is anolhei vay of saying lhal if an individuaI doesn´l knov vhal soil of
nessage a nessage is, he nay defend hinseIf in vays vhich have leen desciiled as
paianoid, helephienic, oi calalonic. These lhiee aIleinalives aie nol lhe onIy ones.
The poinl is lhal he cannol choose lhe one aIleinalive vhich vouId heIp hin lo
discovei vhal peopIe nean, he cannol, vilhoul consideialIe heIp, discuss lhe
nessages of olheis. Wilhoul leing alIe lo do lhal, lhe hunan leing is Iike any seIf-
coiiecling syslen vhich has Iosl ils goveinoi, il spiiaIs inlo nevei-ending, lul aIvays
syslenalic, disloilions.
4.4.4 A DcscrIptInn nf thc FamI!y 5ItuatInn
The lheoielicaI possiliIily of doulIe lind silualions slinuIaled us lo Iook foi
such connunicalion sequences in lhe schizophienic palienl and in his faniIy
silualion. Tovaid lhis end ve have sludied lhe viillen and veilaI iepoils of
psycholheiapisls vho have liealed such palienls inlensiveIy, ve have sludied lape
iecoidings of psycholheiapeulic inlei-vievs, lolh of oui ovn palienls and olheis, ve
have inlei-vieved and laped paienls of schizophienics, ve have had lvo nolheis
and one falhei pailicipale in inlensive psycholheiapy, and ve have inleivieved and
laped paienls and palienls seen conjoinlIy.
On lhe lasis of lhese dala ve have deveIoped a hypolhesis aloul lhe faniIy
silualion vhich uIlinaleIy Ieads lo an individuaI suffeiing fion schizophienia. This
hypolhesis has nol leen slalislicaIIy lesled, il seIecls and enphasizes a ialhei sinpIe
sel of inleiaclionaI phenonena and does nol allenpl lo desciile conpiehensiveIy lhe
exliaoidinaiy conpIexily of a faniIy ieIalionship.
We hypolhesize lhal lhe faniIy silualion of lhe schizophienic has lhe foIIoving
geneiaI chaiacleiislics:
(1) A chiId vhose nolhei lecones anxious and vilhdiavs if lhe chiId iesponds
lo hei as a Ioving nolhei. Thal is, lhe chiId´s veiy exislence has a speciaI neaning lo
lhe nolhei vhich aiouses hei anxiely and hosliIily vhen she is in dangei of inlinale
conlacl vilh lhe chiId.
(2) A nolhei lo vhon feeIings of anxiely and hosliIily lovaid lhe chiId aie nol
acceplalIe, and vhose vay of denying lhen is lo expiess oveil Ioving lehavioi lo
peisuade lhe chiId lo iespond lo hei as a Ioving nolhei and lo vilh-diav fion hin if
he does nol. ¨Loving lehavioi¨ does nol necessaiiIy inpIy ¨affeclion¨, il can, foi
exanpIe, le sel in a fianevoik of doing lhe piopei lhing, insliIIing ¨goodness,¨ and
lhe Iike.
(3) The alsence of anyone in lhe faniIy, such as a sliong and insighlfuI falhei,
vho can inleivene in lhe ieIalionship lelveen lhe nolhei and chiId and suppoil lhe
chiId in lhe face of lhe conliadiclions invoIved.
Since lhis is a foinaI desciiplion ve aie nol specificaIIy conceined vilh vhy lhe
nolhei feeIs lhis vay aloul lhe chiId, lul ve suggesl lhal she couId feeI lhis vay foi
vaiious ieasons. Il nay le lhal neieIy having a chiId aiouses anxiely aloul heiseIf
and hei ieIalionships lo hei ovn faniIy, oi il nay le inpoilanl lo hei lhal lhe chiId is
a loy oi a giiI, oi lhal lhe chiId vas loin on lhe anniveisaiy of one of hei ovn
oi lhe chiId nay le in lhe sane silIing posilion in lhe faniIy lhal she vas,
oi lhe chiId nay le speciaI lo hei foi olhei ieasons ieIaled lo hei ovn enolionaI
Civen a silualion vilh lhese chaiacleiislics, ve hypolhesize lhal lhe nolhei of a
schizophienic viII le sinuIlaneousIy expiessing al Ieasl lvo oideis of nessage. (Ioi
sinpIicily in lhis piesenlalion ve shaII confine ouiseIves lo lvo oideis.) These oideis
of nessage can le ioughIy chaiacleiized as (a) hosliIe oi vilhdiaving lehavioi
vhich is aioused vhen-evei lhe chiId appioaches hei, and (l) sinuIaled Ioving oi
appioaching lehavioi vhich is aioused vhen lhe chiId iesponds lo hei hosliIe and
R. HiIgaid, ¨Anniveisaiy Reaclions in Iaienls Iiecipilaled ly ChiIdien,¨ Psqcnia|rq, 1953,
16. 73-80.
vilhdiaving lehavioi, as a vay of denying lhal she is vilhdiaving. Hei piolIen is
lo conlioI hei anxiely ly conlioIIing lhe cIoseness and dislance lelveen heiseIf and
hei chiId. To pul lhis anolhei vay, if lhe nolhei legins lo feeI affeclionale and cIose
lo hei chiId, she legins lo feeI endangeied and nusl vilhdiav fion hin, lul she
cannol accepl lhis hosliIe acl and lo deny il nusl sinuIale affeclion and cIoseness
vilh hei chiId. The inpoilanl poinl is lhal hei Ioving lehavioi is lhen a connenl on
(since il is conpensaloiy foi) hei hosliIe lehavioi and consequenlIy il is of a diffeienl
crdcr of nessage lhan lhe hosliIe lehavioi~il is a nessage aloul a sequence of
nessages. Yel ly ils naluie il denies lhe exislence of lhose nessages vhich il is aloul,
i.e., lhe hosliIe vilhdiavaI.
The nolhei uses lhe chiId´s iesponses lo affiin lhal hei lehavioi is Ioving, and
since lhe Ioving lehavioi is sinuIaled, lhe chiId is pIaced in a posilion vheie he nusl
nol accuialeIy inleipiel hei connunicalion if he is lo nainlain his ieIalionship vilh
hei. In olhei voids, he nusl nol disciininale accuialeIy lelveen oideis of nessage,
in lhis case lhe diffeience lelveen lhe expiession of sinuIaled feeIings (one LogicaI
Type) and ieaI feeIings (anolhei LogicaI Type). As a iesuIl lhe chiId nusl
syslenalicaIIy disloil his peiceplion of nelaconnunicalive signaIs. Ioi ex-anpIe, if
nolhei legins lo feeI hosliIe (oi affeclionale) lo-vaid hei chiId and aIso feeIs
conpeIIed lo vilhdiav fion hin, she nighl say, ¨Co lo led, you´ie veiy liied and I
vanl you lo gel youi sIeep.¨ This oveilIy Ioving slalenenl is inlended lo deny a
feeIing vhich couId le. veilaIized as ¨Cel oul of ny sighl lecause I´n sick of you.¨ If
lhe chiId coiieclIy disciininales hei nelaconnunicalive signaIs, he vouId have lo
face lhe facl lhal she lolh doesn´l vanl hin and is deceiving hin ly hei Ioving
lehavioi. He vouId le ¨punished¨ foi Ieaining lo disciininale oideis of nessages
accuialeIy. He lheiefoie vouId lend lo accepl lhe idea lhal he is liied ialhei lhan
iecognize his nolhei´s deceplion. This neans lhal he nusl deceive hinseIf aloul his
ovn inleinaI slale in oidei lo suppoil nolhei in hei deceplion. To suivive vilh hei
he nusl faIseIy disciininale his ovn inleinaI nessages as veII as faIseIy disciininale
lhe nessages of olheis.
The piolIen is conpounded foi lhe chiId lecause lhe nolhei is ¨lenevoIenlIy¨
defining foi hin hov he feeIs, she is expiessing oveil naleinaI concein ovei lhe facl
lhal he is liied. To pul il anolhei vay, lhe nolhei is conlioIIing lhe chiId´s definilions
of his ovn nessages, as veII as lhe definilion of his iesponses lo hei (e.g., ly saying,
¨You don´l ieaIIy nean lo say lhal,¨ if he shouId ciilicize hei) ly insisling lhal she is
nol conceined aloul heiseIf lul onIy aloul hin. ConsequenlIy, lhe easiesl palh foi
lhe chiId is lo accepl nolhei´s sinuIaled Ioving lehavioi as ieaI, and his desiies lo
inleipiel vhal is going on aie undeinined. Yel lhe iesuIl is lhal lhe nolhei is
vilhdiaving fion hin and defining lhis vilhdiavaI as lhe vay a Ioving ieIalionship
shouId le.
Hovevei, accepling nolhei´s sinuIaled Ioving lehavioi as ieaI aIso is no
soIulion foi lhe chiId. ShouId he nake lhis faIse disciininalion, he vouId appioach
hei, lhis nove lo-vaid cIoseness vouId piovoke in hei feeIings of feai and
heIpIessness, and she vouId le conpeIIed lo vilhdiav. ßul if he lhen vilhdiev fion
hei, she vouId lake his vilhdiavaI as a slalenenl lhal she vas nol a Ioving nolhei
and vouId eilhei punish hin foi vilhdiaving oi appioach hin lo liing hin cIosei.
If he lhen appioached, she vouId iespond ly pulling hin al a dislance. Tnc cni|d is
punisncd fcr discrinina|ing accura|c|q una| snc is cxprcssing, and nc is punisncd fcr
discrinina|ing inaccura|c|qnc is caugn| in a dcuo|c oind.
The chiId nighl liy vaiious neans of escaping fion lhis silualion. He nighl, foi
exanpIe, liy lo Iean on his falhei oi sone olhei nenlei of lhe faniIy. Hovevei,
fion oui pieIininaiy olseivalions ve lhink il is IikeIy lhal lhe falheis of
schizophienics aie nol sulslanliaI enough lo Iean on. They aie aIso in lhe avkvaid
posilion vheie if lhey agieed vilh lhe chiId aloul lhe naluie of nolhei´s deceplions,
lhey vouId need lo iecognize lhe naluie of lheii ovn ieIalion-ships lo lhe nolhei,
vhich lhey couId nol do and ienain allached lo hei in lhe ncdus cpcrandi lhey have
voiked oul.
The need of lhe nolhei lo le vanled and Ioved aIso pievenls lhe chiId fion
gaining suppoil fion sone olhei peison in lhe enviionnenl, a leachei, foi exanpIe.
A nolhei vilh lhese chaiacleiislics vouId feeI lhiealened ly any olhei allachnenl of
lhe chiId and vouId lieak il up and liing lhe chiId lack cIosei lo hei vilh
consequenl anxiely vhen lhe chiId lecane dependenl on hei.
The onIy vay lhe chiId can ieaIIy escape fion lhe silualion is lo connenl on lhe
conliadicloiy posilion his nolhei has pul hin in. Hovevei, if he did so, lhe nolhei
vouId lake lhis as an accusalion lhal she is unIoving and lolh punish hin and insisl
lhal his peiceplion of lhe silualion is disloiled. ßy pievenling lhe chiId fion laIking
aloul lhe silualion, lhe nolhei foilids hin using lhe nelaconnunicalive IeveI~lhe
IeveI ve use lo coiiecl oui peiceplion of connunicalive lehavioi. The aliIily lo
connunicale aloul connunicalion, lo connenl upon lhe neaningfuI aclions of
oneseIf and olheis, is essenliaI foi successfuI sociaI inlei-couise. In any noinaI
ieIalionship lheie is a conslanl inlei-change of nelaconnunicalive nessages such as
¨Whal do you nean`¨ oi ¨Why did you do lhal`¨ oi ¨Aie you kidding ne`¨ and so
on. To disciininale accuialeIy vhal peopIe aie ieaIIy expiessing, ve nusl le alIe lo
connenl diieclIy oi indiieclIy on lhal expiession. This nelaconnunicalive IeveI lhe
schizophienic seens unalIe lo use successfuIIy.
Civen lhese chaiacleiislics of lhe
nolhei, il is appaienl vhy. If she is denying one oidei of nessage, lhen any
slalenenl aloul hei slalenenls endangeis hei and she nusl foilid il. Theiefoie, lhe
chiId giovs up unskiIIed in his aliIily lo connunicale aloul connunicalion and, as
a iesuIl, unskiIIed in deleinining vhal peopIe ieaIIy nean and unskiIIed in
expiessing vhal he ieaIIy neans, vhich is essenliaI foi noinaI ieIalionships.
In sunnaiy, lhen, ve suggesl lhal lhe doulIe lind naluie of lhe faniIy silualion
of a schizophienic iesuIls in pIacing lhe chiId in a posilion vheie, if he iesponds lo
his nolhei´s sinuIaled affeclion, hei anxiely viII le aioused and she viII punish hin
(oi insisl, lo piolecl heiseIf, lhal his oveiluies aie sinuIaled, lhus confusing hin
aloul lhe naluie of his ovn nessages) lo defend heiseIf fion cIoseness vilh hin.
Thus lhe chiId is lIocked off fion inlinale and secuie associalions vilh his nolhei.
Hovevei, if he does nol nake oveiluies of affeclion, she viII feeI lhal lhis neans she
is nol a Ioving nolhei and hei anxiely viII le aioused. Theiefoie, she viII eilhei
punish hin foi vilh-diaving oi nake oveiluies lovaid lhe chiId lo insisl lhal he
denonsliale lhal he Ioves hei. If he lhen iesponds and shovs hei affeclion, she viII
nol onIy feeI endangeied again, lul she nay iesenl lhe facl lhal she had lo foice hin
lo iespond. In eilhei case in a ieIalionship, lhe nosl inpoilanl in his Iife and lhe
nodeI foi aII olheis, he is punished if he indicales Iove and affeclion and punished if
he does nol, and his escape ioules fion lhe silualion, such as gaining suppoil fion
olheis, aie cul off. This is lhe lasic naluie of lhe doulIe lind ieIalionship lelveen
C. ßaleson, ¨. . . IIay and Ianlasy,¨ op. cit.
nolhei and chiId. This desciiplion has nol depicled, of couise, lhe noie conpIicaled
inleiIocking geslaIl lhal is lhe ¨faniIy¨ of vhich lhe ¨nolhei¨ is one inpoilanl pail.
4.4.5 I!!ustratInns frnm C!InIca! Data
An anaIysis of an incidenl occuiiing lelveen a schizophienic palienl and his
nolhei iIIusliales lhe doulIe lind silualion. A young nan vho had faiiIy veII
iecoveied fion an acule schizophienic episode vas visiled in lhe hospilaI ly his
nolhei. He vas gIad lo see hei and inpuIsiveIy pul his ain aiound hei shouIdeis,
vheieupon she sliffened. He vilhdiev his ain and she asked, ¨Don´l you Iove ne
any noie`
He lhen lIushed, and she said, ¨Deai, you nusl nol le so easiIy
enlaiiassed and afiaid of youi feeIings.¨ The palienl vas alIe lo slay vilh hei onIy a
fev ninules noie and foIIoving hei depailuie he assauIled an aide and vas pul in
lhe luls.
OlviousIy, lhis iesuIl couId have leen avoided if lhe young nan had leen alIe
lo say, ¨Molhei, il is olvious lhal you lecone unconfoilalIe vhen I pul ny ain
aiound you, and lhal you have difficuIly accepling a gesluie of affeclion fion ne.¨
Hovevei, lhe schizophienic palienl doesn´l have lhis possiliIily open lo hin. His
inlense dependency and liaining pievenls hin fion connenling upon his nolhei´s
connunicalive lehavioi, lhough she connenls on his and foices hin lo accepl and
lo allenpl lo deaI vilh lhe conpIicaled sequence. The conpIicalions foi lhe palienl
incIude lhe foIIoving:
(1) The nolhei´s ieaclion of nol accepling hei son´s affeclionale gesluie is
nasleifuIIy coveied up ly hei condennalion of hin foi vilhdiaving, and lhe palienl
denies his peiceplion of lhe silualion ly accepling hei condennalion.
(2) The slalenenl ¨Don´l you Iove ne any noie¨ in lhis conlexl seens lo inpIy:
(a) ¨I an IovalIe.¨
(l) ¨You shouId Iove ne and if you don´l you aie lad oi al fauIl.¨
(c) ¨Wheieas you did Iove ne pieviousIy you don´l any Iongei,¨ and lhus focus
is shifled fion his expiessing affeclion lo his inaliIily lo le affeclionale. Since lhe
palienl has aIso haled hei, she is on good giound heie, and he iesponds
appiopiialeIy vilh guiIl, vhich she lhen allacks.
(d) ¨Whal you jusl expiessed uas nc| affeclion,¨ and in oidei lo accepl lhis
slalenenl, lhe palienl nusl deny vhal she and lhe cuIluie have laughl hin aloul
hov one expiesses affeclion. He nusl aIso queslion lhe lines vilh hei, and vilh
olheis, vhen he lhoughl he vas expeiiencing affeclion and vhen lhey sccncd lo lieal
lhe silualion as if he had. He expeiiences heie Ioss-of-suppoil phenonena and is pul
in doull aloul lhe ieIialiIily of pasl expeiience.
(3) The slalenenl, ¨You nusl nol le so easiIy enlaiiassed and afiaid of youi
feeIings,¨ seens lo inpIy:
(a) ¨You aie nol Iike ne and aie diffeienl fion olhei nice oi noinaI peopIe
lecause ve expiess oui feeIings.¨
D. D. }ackson, ¨The Queslion of IaniIy Honeoslasis,¨ piesenled al lhe
Aneiican Isychialiic Associalion Meeling, Sl. |cuis, May 7, 1954, aIso }ackson,
¨Sone Iaclois InfIuencing lhe Oedipus ConpIex,¨ Psqcncana|q|ic Quar|cr|q, 1954,
23. 566-81.
(l) ¨The feeIings you expiess aie aII iighl, il´s onIy lhal qcu can´l accepl lhen.¨
Hovevei, if lhe sliffening on hei pail had indicaled ¨These aie unacceplalIe
feeIings,¨ lhen lhe loy is loId lhal he shouId nol le enlaiiassed ly unacceplalIe
feeIings. Since he has had a Iong liaining in vhal is and is nol acceplalIe lo lolh hei
and sociely, he again cones inlo confIicl vilh lhe pasl. If he is unafiaid of his ovn
feeIings (vhich nolhei inpIies is good), he shouId le unafiaid of his affeclion and
vouId lhen nolice il vas she vho vas afiaid, lul he nusl nol nolice lhal le-cause hei
vhoIe appioach is ained al coveiing up lhis shoil-coning in heiseIf.
The inpossilIe diIenna lhus lecones: ¨If I an lo keep ny lie lo nolhei, I nusl
nol shov hei lhal I Iove hei, lul if I do nol shov hei lhal I Iove hei, lhen I viII Iose
The inpoilance lo lhe nolhei of hei speciaI nelhod of conlioI is sliikingIy
iIIuslialed ly lhe inleifaniIy silualion of a young vonan schizophienic vho gieeled
lhe lheiapisl on lheii fiisl neeling vilh lhe ienaik, ¨Molhei had lo gel naiiied and
nov I´n heie.¨ This slalenenl neanl lo lhe lheiapisl lhal:
(1) The palienl vas lhe iesuIl of an iIIegilinale piegnancy.
(2) This facl vas ieIaled lo hei piesenl psychosis (in hei opinion).
(3) ¨Heie¨ iefeiied lo lhe psychialiisl´s office and lo lhe palienl´s piesence on
eailh foi vhich she had lo le eleinaIIy indelled lo hei nolhei, especiaIIy since hei
nolhei had sinned and suffeied in oidei lo liing hei inlo lhe voiId.
(4) ¨Had lo gel naiiied¨ iefeiied lo lhe sholgun naluie of nolhei´s vedding
and lo lhe nolhei´s iesponse lo piessuie lhal she nusl naiiy, and lhe iecipiocaI, lhal
she iesenled lhe foiced naluie of lhe silualion and lIaned lhe palienl foi il.
AcluaIIy, aII lhese supposilions sulsequenlIy pioved lo le facluaIIy coiiecl and
veie coiioloialed ly lhe nolhei duiing an aloilive allenpl al psycholheiapy. The
fIavoi of lhe nolhei´s connunicalions lo lhe palienl seened essenliaIIy lhis: ¨I an
IovalIe, Ioving, and salisfied vilh nyseIf. You aie IovalIe vhen you aie Iike ne and
vhen you do vhal I say.¨ Al lhe sane line lhe nolhei indicaled lo lhe daughlei
lolh ly voids and lehavioi: ¨You aie physicaIIy deIicale, uninleIIigenl, and diffeienl
fion ne (
nol noinaI´). You need ne and ne aIone lecause of lhese handicaps, and I
viII lake caie of you and Iove you.
Thus lhe palienl´s Iife vas a seiies of leginnings,
of allenpls al expeiience, vhich vouId iesuIl in faiIuie and vilhdiavaI lack lo lhe
naleinaI heailh and loson lecause of lhe coIIusion lelveen hei and hei nolhei.
Il vas noled in coIIaloialive lheiapy lhal ceilain aieas inpoilanl lo lhe nolhei´s
seIf-esleen veie especiaIIy confIicluaI silualions foi lhe palienl. Ioi exanpIe, lhe
nolhei needed lhe ficlion lhal she vas cIose lo hei faniIy and lhal a deep Iove
exisled lelveen hei and hei ovn nolhei. ßy anaIogy lhe ieIalionship lo lhe
giandnolhei seived as lhe piololype foi lhe nolhei´s ieIalionship lo hei ovn
daughlei. On one occasion vhen lhe daughlei vas seven oi eighl yeais oId, lhe
giandnolhei in a iage lhiev a knife vhich laieIy nissed lhe IillIe giiI. The nolhei
said nolhing lo lhe giandnolhei lul huiiied lhe IillIe giiI fion lhe ioon vilh lhe
voids, ¨Ciandnonny ieaIIy Ioves you.¨ Il is significanl lhal lhe giandnolhei look
lhe allilude lo-vaid lhe palienl lhal she vas nol veII enough conlioIIed, and she
used lo chide hei daughlei foi leing loo easy on lhe chiId. The giandnolhei vas
Iiving in lhe house duiing one of lhe palienl´s psycholic episodes, and lhe giiI look
gieal deIighl in lhioving vaiious oljecls al lhe nolhei and giandnolhei vhiIe lhey
coveied in feai.
Molhei feIl heiseIf veiy alliaclive as a giiI, and she feIl lhal hei daughlei
iesenlIed hei ialhei cIoseIy, aIlhough ly danning vilh fainl piaise, il vas olvious
lhal she feIl lhe daughlei definileIy ian second. One of lhe daughlei´s fiisl acls
duiing a psycholic peiiod vas lo announce lo hei nolhei lhal she vas going lo cul
off aII hei haii. She pioceeded lo do lhis vhiIe lhe nolhei pIeaded vilh hei lo slop.
SulsequenlIy lhe nolhei vouId shov a picluie of ncrsc|f as a giiI and expIain lo
peopIe hov lhe palienl vouId Iook if she onIy had hei leaulifuI haii.
The nolhei, appaienlIy vilhoul avaieness of lhe significance of vhal she vas
doing, vouId equale lhe daughlei´s iIIness vilh nol leing veiy liighl and vilh sone
soil of oiganic liain difficuIly. She vouId invaiialIy conliasl lhis vilh hei ovn
inleIIigence as denonslialed ly hei cun schoIaslic iecoid. She liealed hei daughlei
vilh a conpIeleIy palionizing and pIacaling nannei vhich vas insinceie. Ioi
exanpIe, in lhe psychialiisl´s piesence she pionised hei daughlei lhal she vouId nol
aIIov hei lo have fuilhei shock liealnenls, and as soon as lhe giiI vas oul of lhe
ioon she asked lhe docloi if he didn´l feeI she shouId le hospilaIized and given
eIecliic shock liealnenls. One cIue lo lhis deceplive lehavioi aiose duiing lhe
nolhei´s lheiapy. AIlhough lhe daughlei had had lhiee pievious hospilaIizalions,
lhe nolhei had nevei nenlioned lo lhe doclois lhal she heiseIf had had a psycholic
episode vhen she discoveied lhal she vas piegnanl. The faniIy vhisked hei avay lo
a snaII sanilaiiun in a neaily lovn, and she vas, accoiding lo hei ovn slalenenl,
sliapped lo a led foi six veeks. Hei faniIy did nol visil hei duiing lhis line, and no
one excepl hei paienls and hei sislei knev lhal she vas hospilaIized.
Theie veie lvo lines duiing lheiapy vhen lhe nolhei shoved inlense enolion.
One vas in ieIaling hei ovn psycholic expeiience, lhe olhei vas on lhe occasion of
hei Iasl visil vhen she accused lhe lheiapisl of liying lo diive hei ciazy ly foicing
hei lo choose lelveen hei daughlei and hei husland. Againsl nedicaI advice, she
look hei daughlei oul of lheiapy.
The falhei vas as invoIved in lhe honeoslalic aspecls of lhe inliafaniIy silualion
as lhe nolhei. Ioi exanpIe, he slaled lhal he had lo quil his posilion as an inpoilanl
alloiney in oidei lo liing his daughlei lo an aiea vheie conpelenl psychialiic heIp
vas avaiIalIe. SulsequenlIy, acling on cues fion lhe palienl (e.g., she fiequenlIy
iefeiied lo a chaiaclei naned ¨Neivous Ned¨), lhe lheiapisl vas alIe lo eIicil fion
hin lhal he had haled his jol and foi yeais had leen liying lo ¨gel oul fion undei.¨
Hovevei, lhe daughlei vas nade lo feeI lhal lhe nove vas inilialed foi hei.
On lhe lasis of oui exaninalion of lhe cIinicaI dala, ve have leen inpiessed ly a
nunlei of olseivalions incIuding:
(1) The heIpIessness, feai, exaspeialion, and iage vhich a doulIe lind silualion
piovokes in lhe palienl, lul vhich lhe nolhei nay seieneIy and un-undeislandingIy
pass ovei. We have noled ieaclions in lhe falhei lhal lolh cieale doulIe lind
silualions, oi exlend and anpIify lhose ciealed ly lhe nolhei, and ve have seen lhe
falhei, passive and ouliaged, lul heIpIess, lecone ensnaied in a siniIai nannei lo
lhe palienl.
(2) The psychosis seens, in pail, a vay of deaIing vilh doulIe lind silualions lo
oveicone lheii inhililing and con-lioIIing effecl. The psycholic palienl nay nake
aslule, pilhy, oflen nelaphoiicaI ienaiks lhal ieveaI an insighl inlo lhe foices
linding hin. Conliaiivise, he nay lecone ialhei expeil in selling doulIe lind
silualions hinseIf.
(3) Accoiding lo oui lheoiy, lhe connunicalion silualion desciiled is essenliaI lo
lhe nolhei´s secuiily, and ly infeience lo lhe faniIy honeoslasis. If lhis le so, lhen
vhen psycholheiapy of lhe palienl heIps hin lecone Iess vuIneialIe lo nolhei´s
allenpls al conlioI, anxiely viII le pioduced in lhe nolhei. SiniIaiIy, if lhe lheiapisl
inleipiels lo lhe nolhei lhe dynanics of lhe silualion she is selling up vilh lhe
palienl, lhis shouId pioduce an anxiely iesponse in hei. Oui inpiession is lhal vhen
lheie is a peiduiing conlacl lelveen palienl and faniIy (especiaIIy vhen lhe palienl
Iives al hone duiing psycholheiapy), lhis Ieads lo a disluilance (oflen seveie) in lhe
nolhei and sonelines in lolh nolhei and falhei and olhei silIings.
4.4.6 Currcnt PnsItInn and Futurc Prnspccts
Many viileis have liealed schizophienia in leins of lhe nosl exliene conliasl
vilh any olhei foin of hunan lhinking and lehavioi. WhiIe il is an isoIalIe
phenonenon, so nuch enphasis on lhe diffeiences fion lhe noinaI~ialhei Iike lhe
feaifuI physicaI segiegalion of psycholics~does nol heIp in undeislanding lhe
piolIens. In oui appioach ve assune lhal schizophienia invoIves geneiaI piincipIes
vhich aie inpoilanl in aII connunicalion and lheiefoie nany in-foinalive
siniIaiilies can le found in ¨noinaI¨ connunicalion silualions.
We have -leen pailicuIaiIy inleiesled in vaiious soils of connunicalion vhich
invoIve lolh enolionaI significance and lhe necessily of disciininaling lelveen
oideis of nessage. Such silualions incIude pIay, hunoi, iiluaI, poeliy, and ficlion.
IIay, especiaIIy anong aninaIs, ve have sludied al sone Ienglh.
Il is a silualion
vhich sliikingIy iIIusliales lhe occuiience of nelanessages vhose coiiecl
disciininalion is vilaI lo lhe coopeialion of lhe individuaIs invoIved, foi ex-anpIe,
faIse disciininalion couId easiIy Iead lo conlal. Ralhei cIoseIy ieIaled lo pIay is
hunoi, a conlinuing suljecl of oui - ieseaich. Il invoIves sudden shifls in LogicaI
Types as veII as disciininalion of lhose shifls. RiluaI is a fieId in vhich unusuaIIy
ieaI oi IileiaI asciiplions of LogicaI Type aie nade and defended as vigoiousIy as lhe
schizophienic defends lhe ¨ieaIily¨ of his deIusions. Ioeliy exenpIifies lhe
connunicalive povei of nelaphoi~even veiy unusuaI nelaphoi~vhen IaleIed as
such ly vaiious signs, as conliasled lo lhe olscuiily of unIaleIed schizophienic
nelaphoi. The enliie fieId of ficlionaI connunicalion, defined as lhe naiialion oi
depiclion of a seiies of evenls vilh noie oi Iess of a IaleI of acluaIily, is nosl ieIevanl
lo lhe invesligalion of schizophienia. We aie nol so nuch conceined vilh lhe conlenl
inleipielalion of ficlion~aIlhough anaIysis of oiaI and desliuclive lhenes is
iIIuninaling lo lhe sludenl of schizophienia~as vilh lhe foinaI piolIens invoIved
in sinuIlaneous exislence of nuIlipIe IeveIs of nessage in lhe ficlionaI piesenlalion
of ¨ieaIily.¨ The diana is especiaIIy inleiesling in lhis iespecl, vilh lolh peifoineis
and speclalois iesponding lo nessages aloul lolh lhe acluaI and lhe lhealiicaI
We aie giving exlensive allenlion lo hypnosis. A gieal aiiay of phenonena lhal
occui as schizophienic synplons~haIIucinalions, deIusions, aIleialions of
D. D. }ackson, ¨An Lpisode of SIeepvaIking,¨ }ouinaI of lhe Aneiican IsychoanaIylic
Associalion, 1954, 2: 5O3~5O8, aIso }ackson, ¨Sone Iaclois . . . ,¨ Isycho-anaIylic QuaileiIy, 1954,
23: 566~581.
ßaleson, ¨ A Theoiy of IIay .¨ cp. ci|.
peisonaIily, annesias, and so on~can le pioduced lenpoiaiiIy in noinaI suljecls
vilh hypnosis. These need nol le diieclIy suggesled as specific phenonena, lul can
le lhe ¨sponlaneous¨ iesuIl of an aiianged connunicalion sequence. Ioi exanpIe,
viII pioduce a haIIucinalion ly fiisl inducing calaIepsy in a suljecl´s hand
and lhen saying, ¨Theie is no conceivalIe vay in vhich youi hand can nove, yel
vhen I give lhe signaI, il nusl nove.¨ Thal is, he leIIs lhe suljecl his hand viII
ienain in pIace, yel il viII nove, and in no vay lhe suljecl can consciousIy conceive.
When Liickson gives lhe signaI, lhe suljecl haIIucinales lhe hand noved, oi
haIIucinales hinseIf in a diffeienl pIace and lheiefoie lhe hand vas noved. This use
of haIIucinalion lo iesoIve a piolIen posed ly conliadicloiy connands vhich
cannol le discussed seens lo us lo iIIusliale lhe soIulion of a doulIe lind silualion
via a shifl in LogicaI Types. Hypnolic iesponses lo diiecl suggeslions oi slalenenls
aIso connonIy invoIve shifls in lype, as in accepling lhe voids ¨Heie´s a gIass of
valei¨ oi ¨You feeI liied¨ as exleinaI oi inleinaI ieaIily, oi in IileiaI iesponse lo
nelaphoiicaI slalenenls, nuch Iike schizophienics. We hope lhal fuilhei sludy of
hypnolic induclion, phenonena, and vaking viII, in lhis conlioIIalIe silualion, heIp
shaipen oui viev of lhe essenliaI connunicalionaI sequences vhich pioduce
phenonena Iike lhose of schizophienia.
Anolhei Liickson expeiinenl seens lo isoIale a doulIe lind connunicalionaI
sequence vilhoul lhe specific use of hypnosis. Liickson aiianged a seninai so as lo
have a young chain snokei sil nexl lo hin and lo le vilhoul cigaielles, olhei
pailicipanls veie liiefed on vhal lo do. AII vas oideied so lhal Liickson iepealedIy
luined lo offei lhe young nan a cigaielle, lul vas aIvays inleiiupled ly a queslion
fion soneone so lhal he luined avay, ¨inadveilenlIy¨ vilhdiaving lhe cigaielles
fion lhe young nan´s ieach. Lalei anolhei pailicipanl asked lhis young nan if he
had ieceived lhe cigaielle fion Di. Liickson. He ie-pIied, ¨Whal cigaielle`¨, shoved
cIeaiIy lhal he had foigol-len lhe vhoIe sequence, and even iefused a cigaielle
offeied ly anolhei nenlei, saying lhal he vas loo inleiesled in lhe seninai
discussion lo snoke. This young nan seens lo us lo le in an expeiinenlaI silualion
paiaIIeIing lhe schizophienic´s doulIe lind silualion vilh nolhei: an inpoilanl
ieIalionship, conliadicloiy nessages (heie of giving and laking avay), and connenl
lIocked~lecause lheie vas a seninai going on, and anyvay il vas aII
¨inadveilenl.¨ And nole lhe siniIai oulcone: annesia foi lhe doulIe lind sequence
and ieveisaI fion ¨He doesn´l give¨ lo ¨I don´l vanl.¨
AIlhough ve have leen Ied inlo lhese coIIaleiaI aieas, oui nain fieId of
olseivalion has leen schizophienia ilseIf. AII of us have voiked diieclIy vilh
schizophienic palienls and nuch of lhis case naleiiaI has leen iecoided on lape foi
delaiIed sludy. In addilion, ve aie iecoiding inleivievs heId joinlIy vilh palienls
and lheii faniIies, and ve aie laking sound nolion picluies of nolheis and
disluiled, piesunalIy pie-schizophienic, chiIdien. Oui hope is lhal lhese opeialions
viII piovide a cIeaiIy evidenl iecoid of lhe conlinuing, iepelilive doulIe linding
vhich ve hypolhesize goes on sleadiIy fion infanliIe leginnings in lhe faniIy
silualion of individuaIs vho lecone schizophienic. This lasic faniIy silualion, and
lhe oveilIy connunicalionaI chaiacleiislics of schizophienia, have leen lhe najoi
focus of lhis papei. Hovevei, ve expecl oui concepls and sone of lhese dala viII
aIso le usefuI in fuluie voik on olhei piolIens of schizophienia, such as lhe vaiiely
M. H. Liickson, IeisonaI connunicalion, 1955.
of olhei synplons, lhe chaiaclei of lhe ¨adjusled slale¨ lefoie schizophienia
lecones nanifesl, and lhe naluie and ciicunslances of lhe psycholic lieak.
4.4.7 ThcrapcutIc Imp!IcatInns nf thIs HypnthcsIs
Isycholheiapy ilseIf is a conlexl of nuIliIeveI connunicalion, vilh expIoialion
of lhe anliguous Iines lelveen lhe IileiaI and nelaphoiic, oi ieaIily and fanlasy, and
indeed, vaiious foins of pIay, diana, and hypnosis have leen used exlensiveIy in
lheiapy. We have leen inleiesled in lheiapy, and in addilion lo oui ovn dala ve
have leen coIIecling and exanining iecoidings, veilalin liansciipls, and peisonaI
accounls of lheiapy fion olhei lheiapisls. In lhis ve piefei exacl iecoids since ve
leIieve lhal hov a schizophienic laIks depends giealIy, lhough oflen sullIy, on hov
anolhei peison laIks lo hin, il is nosl difficuIl lo eslinale vhal vas ieaIIy occuiiing
in a lheiapeulic inleiviev if one has onIy a desciiplion of il, especiaIIy if lhe
desciiplion is aIieady in lheoielicaI leins.
Lxcepl foi a fev geneiaI ienaiks and sone specuIalion, hovevei, ve aie nol yel
piepaied lo connenl on lhe ieIalion of lhe doulIe lind lo psycholheiapy. Al piesenl
ve can onIy nole:
(1) DoulIe lind silualions aie ciealed ly and vilhin lhe psycholheiapeulic
selling and lhe hospilaI niIieu. Iion lhe poinl of viev of lhis hypolhesis, ve vondei
aloul lhe effecl of nedicaI ¨lenevoIence¨ on lhe schizophienic palienl. Since
hospilaIs exisl foi lhe lenefil of peisonneI as veII as~as nuch as~noie lhan~foi
lhe palienl´s lenefil, lheie viII le conliadiclions al lines in sequences vheie aclions
aie laken ¨lenevoIenlIy¨ foi lhe palienl vhen acluaIIy lhey aie inlended lo keep lhe
slaff noie confoilalIe. We vouId assune lhal vhenevei lhe syslen is oiganized foi
hospilaI puiposes and il is announced lo lhe palienl lhal lhe aclions aie foi his
lenefil, lhen lhe schizophienogenic silualion is leing peipelualed. This kind of
deceplion viII piovoke lhe palienl lo iespond lo il as a doulIe lind silualion, and his
iesponse viII le ¨schizophienic¨ in lhe sense lhal il viII le indiiecl and lhe palienl
viII le unalIe lo connenl on lhe facl lhal he feeIs lhal he is leing deceived. One
vignelle, foilunaleIy anusing, iIIusliales such a iesponse. On a vaid vilh a
dedicaled and ¨lenevoIenl¨ physician in chaige lheie vas a sign on lhe physician´s
dooi vhich said ¨Docloi´s Office. IIease Knock.¨ The docloi vas diiven lo
disliaclion and finaIIy capiluIalion ly lhe oledienl palienl vho caiefuIIy knocked
eveiy line he passed lhe dooi.
(2) The undeislanding of lhe doulIe lind and ils connunicalive aspecls nay
Iead lo innovalions in lheiapeulic lechnique. }usl vhal lhese innovalions nay le is
difficuIl lo say, lul on lhe lasis of oui invesligalion ve aie assuning lhal doulIe
lind silualions occui consislenlIy in psycholheiapy. Al lines lhese aie inadveilenl in
lhe sense lhal lhe lheiapisl is inposing a doulIe lind silualion siniIai lo lhal in lhe
palienl´s hisloiy, oi lhe palienl is inposing a doulIe lind silualion on lhe lheiapisl.
Al olhei lines lheiapisls seen lo inpose doulIe linds, eilhei deIileialeIy oi
inluiliveIy, vhich foice lhe palienl lo iespond diffeienlIy lhan he has in lhe pasl.
An incidenl fion lhe expeiience of a gifled psycholheiapisl iIIusliales lhe
inluilive undeislanding of a doulIe lind connunicalionaI sequence. Di. Iiieda
vas liealing a young vonan vho fion lhe age of seven had
luiIl a highIy conpIex ieIigion of hei ovn iepIele vilh poveifuI gods. She vas veiy
schizophienic and quile hesilanl aloul enleiing inlo a lheiapeulic silualion. Al lhe
le-ginning of lhe liealnenl she said, ¨Cod R says I shouIdn
l laIk vilh you.¨ Di.
Iionn-Reichnann iepIied, ¨Look, Iel´s gel sonelhing inlo lhe iecoid. To ne Cod R
l exisl, and lhal vhoIe voiId of youis doesn´l exisl. To you il does, and fai le il
fion ne lo lhink lhal I can lake lhal avay fion you, I have no idea vhal il neans. So
I´n viIIing lo laIk vilh you in leins of lhal voiId, if onIy you knov I do il so lhal ve
have an undeislanding lhal il doesn
l exisl foi ne. Nov go lo Cod R and leII hin lhal
ve have lo laIk and he shouId give you peinission. AIso you nusl leII hin lhal I an
a docloi and lhal you have Iived vilh hin in his kingdon nov fion seven lo sixleen
~lhal´s nine yeais ~and he hasn´l heIped you. So nov he nusl peinil ne lo liy and
see vhelhei you and I can do lhal jol. TeII hin lhal I an a docloi and lhis is vhal I
vanl lo liy.¨
The lheiapisl has hei palienl in a ¨lheiapeulic doulIe lind.¨ If lhe palienl is
iendeied doullfuI aloul hei leIief in hei god, lhen she is agieeing vilh Di. Iionn-
Reichnann, and is adnilling hei allachnenl lo lheiapy. If she insisls lhal Cod R is
ieaI, lhen she nusl leII hin lhal Di. Iionn-Reichnann is ¨noie poveifuI¨ lhan he
~again adnilling hei invoIvenenl vilh lhe lheiapisl.
The diffeience lelveen lhe lheiapeulic lind and lhe oiiginaI doulIe lind
silualion is in pail lhe facl lhal lhe lheiapisl is nol invoIved in a Iife and dealh
sliuggIe hinseIf. He can lheiefoie sel up ieIaliveIy lenevoIenl linds and giaduaIIy
aid lhe palienl in his enancipalion fion lhen. Many of lhe uniqueIy appiopiiale
lheiapeulic ganlils aiianged ly lheiapisls seen lo le inluilive. We shaie lhe goaI of
nosl psycholheiapisls vho sliive lovaid lhe day vhen such sliokes of genius viII le
veII enough undeislood lo le syslenalic and connonpIace.
4.4.8 AddItInna! Rcfcrcnccs
}. HaIey, ¨Iaiadoxes in IIay, Ianlasy, and Isycholheiapy,¨ Psqcnia|ric
Rcscarcn Rcpcr|s, 1955, 2. 52-8.
}. Ruesch and C. ßaleson, Ccnnunica|icn. Tnc Sccia| Ma|rix cf Psqcnia|rq, Nev
Yoik, Noilon, 1951.
I. Iionn-Reichnann, IeisonaI connunicalion, 1956
4.5 The Grouµ Dµnamlcs of Schltoµhrenla
Iiisl, I inlend lo allach veiy specific neaning lo lhe lilIe of lhis papei. An
essenliaI nolion allached lo lhe void ¨gioup¨ as I shaII use il is lhe idea of
ieIaledness lelveen nenleis. Oui concein is nol vilh lhe soil of phenonena vhich
occui in expeiinenlaIIy foined gioups of giaduale sludenls vho have no pieviousIy
deleinined halils of connunicalion~no haliluaI diffeienlialions of ioIe. The gioup
lo vhich I noslIy iefei is lhe faniIy, in geneiaI, lhose faniIies in vhich lhe paienls
nainlain an adjuslnenl lo lhe voiId aiound lhen vilhoul leing iecognized as
giossIy devianl, vhiIe one oi noie of lheii offspiing diffei conspicuousIy fion lhe
noinaI popuIalion in lhe fiequency and olvious naluie of lheii iesponses. I shaII aIso
le lhinking of olhei gioups anaIogous lo lhese, i.e., vaid oiganizalions, vhich voik
in such a vay as lo pionole schizophienic oi schizophienoid lehavioi in sone of lhe
The void ¨dynanics¨ is IooseIy and convenlionaIIy used foi aII sludies of
peisonaI inleiaclion and especiaIIy vhen lhey sliess change oi Ieaining exhililed ly
lhe suljecls. De-spile oui foIIoving ils convenlionaI use, lhis void is a nisnonei. Il
evokes anaIogies vilh physics vhich aie lolaIIy faIse.
¨Dynanics¨ is piincipaIIy a Ianguage devised ly physicisls and nalhenalicians
foi lhe desciiplion of ceilain evenls. In lhis sliicl sense, lhe inpacl of one liIIiaid laII
upon an-olhei is suljecl nallei foi dynanics, lul il vouId le an eiioi of Ianguage lo
say lhal liIIiaid laIIs ¨lehave.¨ Dynanics appiopiialeIy desciile lhose evenls vhose
desciiplions can le checked ly asking vhelhei lhey conliavene lhe Iiisl Lav of
Theinodynanics, lhe Lav of lhe Conseivalion of Lneigy. When one liIIiaid laII
sliikes anolhei, lhe nolion of lhe second is eneigized ly lhe inpacl of lhe fiisl, and
such liansfeiences of eneigy aie lhe cenliaI suljecl nallei of dynanics. We, hovevei,
aie nol conceined vilh evenl sequences vhich have lhis chaiacleiislic. If I kick a
slone, lhe novenenl of lhe slone is eneigized ly lhe acl, lul if I kick a dog, lhe
lehavioi of lhe dog nay indeed le pailIy conseivalive~he nay liaveI aIong a
Nevlonian liajecloiy if kicked haid enough, lul lhis is neie physics. Whal is
inpoilanl is lhal he nay exhilil iesponses vhich aie eneigized nol ly lhe kick lul
ly his nelaloIisn, he nay luin and lile.
This, I lhink, is vhal peopIe nean ly nagic. The ieaIn of phenonena in vhich
ve aie inleiesled is aIvays chaiacleiized ly lhe facl lhal ¨ideas¨ nay infIuence
evenls. To lhe physicisl, lhis is a giossIy nagicaI hypolhesis. Il is one vhich cannol le
lesled ly asking queslions aloul lhe conseivalion of eneigy.
The ideas in lhis Iecluie iepiesenl lhe conlined lhinking of lhe slaff of The Iiojecl foi lhe
Sludy of Schizophienic Connunicalion. The slaff consisled of Ciegoiy ßaleson, }ay HaIey, }ohn H.
WeakIand, Don D. }ackson, M.D., and WiIIian I. Iiy, M.D
The ailicIe is iepiinled fion Cnrcnic Scnizcpnrcnia. |xp|cra|icns in Tnccrq and Trca|ncn|,
ediled ly L. AppIely, }. M. Schei, and }. Cunning, The Iiee Iiess, CIencoe, IIIinois, 196O,
iepiinled ly peinission.
AII lhis, hovevei, has leen lellei and noie iigoiousIy said ly ßeilaIanffy, vhich
nakes il easiei foi ne lo fuilhei expIoie lhis ieaIn of phenonena in vhich
connunicalion occuis. We shaII sellIe foi lhe convenlionaI lein ¨dynanics¨
piovided il is cIeaiIy undeislood lhal ve aie nol laIking aloul dynanics in lhe
physicaI sense.
Roleil Louis Slevenson
in ¨The Iooi Thing¨ has achieved peihaps lhe nosl
vivid chaiacleiizalion of lhis nagicaI ieaIn:
¨In ny lhoughl one lhing is as good as anolhei in lhis voiId, and a shoe of a
hoise viII do.¨ The void ¨yes¨ oi a vhoIe peifoinance of Han|c|, oi an injeclion of
epinephiine in lhe iighl pIace on lhe suiface of lhe liain nay le inleichangealIe
oljecls. Any one of lhen nay, ac-coiding lo lhe convenlions of connunicalion
eslalIished al lhal nonenl, le an affiinalive (oi a negalive) ansvei lo any queslion.
In lhe fanous nessage, ¨One if ly Iand, lvo if ly sea,
lhe oljecls acluaIIy used veie
Ianps, lul fion lhe poinl of viev of connunicalions lheoiy, lhey couId have leen
anylhing fion aaidvaiks lo zygonalic aiches.
Il nighl veII le sufficienlIy confusing lo le loId lhal, accoiding lo lhe
convenlions of connunicalion in use al lhe nonenl, anylhing can sland foi anylhing
eIse. ßul lhis ieaIn of nagic is nol lhal sinpIe. Nol onIy can lhe shoe of a hoise sland
foi anylhing eIse accoiding lo lhe convenlions of connunicalion, il can aIso and
sinuIlaneousIy le a signaI vhich viII aIlei lhe convenlions of connunicalion. My
fingeis ciossed lehind ny lack nay aIlei lhe vhoIe lone and inpIicalion of
eveiylhing. I iecaII a schizophienic palienl vho, Iike nany olhei schizophienics, had
difficuIly vilh lhe fiisl peison pionoun, in pailicuIai, he did nol Iike lo sign his
nane. He had a nunlei of aIiases, aIleinalive naned aspecls of seIf. The vaid
oiganizalion, of vhich he vas a pail, iequiied lhal he sign his nane lo ollain a pass,
and foi one oi lvo veekends he did nol ieceive a pass lecause he insisled on signing
one of his aIiases. One day he ienaiked lhal he vas going oul lhe nexl veekend. I
Oh, did you sign`¨ He said, ¨Yes,¨ vilh an odd giin. His ieaI nane, ve viII
say, vas Ldvaid W. }ones. Whal he had acluaIIy signed vas ¨W. Ldvaid }ones.¨ The
vaid officiaIs did nol nolice lhe diffeience. Il appeaied lo lhen lhal lhey had von a
lallIe and had succeeded in foicing hin lo acl saneIy. ßul lo hinseIf lhe nessage
vas, ¨He (lhe ieaI ne) did nol sign.¨ He had von lhe lallIe. Il vas as if his fingeis
veie ciossed lehind his lack.
AII connunicalion has lhis chaiacleiislic~il can le nagicaIIy nodified ly
acconpanying connunicalion. In lhis confeience, ve have leen discussing vaiious
vays of inleiacling vilh palienls, desciiling vhal ve do and vhal oui slialegy
seens lo us lo le. Il vouId have leen noie difficuIl lo discuss oui aclions fion lhe
palienls´ poinl of viev. Hov do ve quaIify oui connunicalions lo lhe palienls, so
lhal lhe expeiience vhich lhey ieceive viII le lheiapeulic`
AppIely, foi exanpIe, desciiled a sel of pioceduies on his vaid, and if I veie a
schizophienic Iislening lo hin, I vouId have leen lenpled lo say, ¨Il aII sounds Iike
occupalionaI lheiapy lo ne.¨ He leIIs us veiy convincingIy and vilh figuies lhal his
piogian is successfuI, and in docunenling his success he is no doull leIIing lhe
liulh. If lhis is so, lhen his desciiplion of lhe piogian nusl necessaiiIy le
inconpIele. The expeiiences vhich lhe piogian piovides foi lhe palienls nusl le
sonelhing a IillIe noie aIive lhan lhe diy lones of lhe piogian vhich he has
R. L. Slevenson, ¨The Iooi Thing,¨ Nctc|s and Ta|cs cf Rcocr| |cuis S|ctcnscn, VoI. 20, Nev
Yoik, Sciilneis, 1918, pp. 496-502.
desciiled. The vhoIe seiies of lheiapeulic pioceduies nusl have leen quaIified,
possilIy vilh enlhusiasn oi vilh hunoi, vilh sone sel of signaIs vhich aIleied lhe
nalhenalicaI sign~pIus oi ninus~of vhal vas leing done. AppIely has loId us
onIy aloul lhe shoe of lhe hoise, nol aloul lhe nuIlilude of ieaIilies vhich
deleinined foi vhal lhal hoiseshoe slood.
Il is as if he had ieIaled lhal a given nusicaI conposilion vas sel in lhe key of C
najoi, and asked us lo leIieve lhal lhis skeIelaI slalenenl vas a sufficienl desciiplion
lo enalIe us lo undeisland vhy lhis pailicuIai conposilion aIleied lhe nood of lhe
Iislenei in a pailicuIai vay. Whal is onilled in aII such desciiplions is lhe enoinous
conpIexily of noduIalion of connunicalion. Il is lhis noduIalion vhich is nusic.
Lel ne shifl fion a nusicaI lo a vide lioIogicaI anaIogy in oidei lo exanine
fuilhei lhis nagicaI ieaIn of connunicalion. AII oiganisns aie pailiaIIy deleinined
ly genelics, i.e., oq conpIex consleIIalions of nessages caiiied piincipaIIy in lhe
chionosones. We aie pioducls of a connunicalionaI piocess, nodified and
quaIified in vaiious vays ly enviionnenlaI inpacl. Il foIIovs, lheiefoie, lhal lhe
diffeiences lelveen ieIaled oiganisns, say, a cial and a Iolslei, oi lelveen a laII pea
and a shoil pea, nusl aIvays le lhe soil of diffeiences lhal can le ciealed ly changes
and noduIalions in a consleIIalion of nessages. Sonelines lhese changes in lhe
nessage syslen viII le ieIaliveIy conciele~a shifl fion ¨yes¨ lo ¨no¨ in lhe ansvei
lo sone queslion goveining a ieIaliveIy supeificiaI delaiI of lhe analony. The lolaI
picluie of lhe aninaI nay le aIleied ly as IillIe as one spol in lhe vhoIe haIflone
lIock, oi lhe change nay le one vhich nodifies oi noduIales lhe vhoIe syslen of
genelic nessages, so lhal eveiy nessage in lhe syslen lakes on a diffeienl Iook vhiIe
ielaining ils foinei ieIalion-ship lo aII neighloiing nessages. Il is, I leIieve, lhis
slaliIily of lhe ieIalionship lelveen nessages undei lhe inpacl of lhe change in one
pail of lhe consleIIalion lhal piovides a lasis foi lhe Iiench aphoiisn ¨IIus gel
cnangc, p|us c´cs| |a ncnc cncsc.¨ Il is a iecognized facl lhal lhe skuIIs of lhe vaiious
anlhiopoids can le diavn upon diveiseIy skeved cooidinales 'lo denonsliale lhe
fundanenlaI siniIaiily of ieIalions and lhe syslenalic naluie of lhe liansfoinalion
fion one species lo anolhei.
My falhei vas a genelicisl, and he used lo say, ¨Il´s aII vilialions,¨
and lo
iIIusliale lhis he vouId poinl oul lhal lhe sliiping of lhe connon zelia is an oclave
highei lhan lhal of Cievy´s zelia. WhiIe il is liue lhal in lhis pailicuIai case lhe
¨fiequency¨ is doulIed, I don´l lhink lhal il is enliieIy a nallei of vilialions as he
endeavoied lo ex-pIain il. Ralhei, he vas liying lo say lhal il is aII a nallei of lhe soil
of nodificalions vhich couId le expecled anong syslens vhose deleininanls aie
nol a nallei of physics in lhe ciude sense, lul a nallei of nessages and noduIaled
syslens of nessages.
Il is voilh noling, loo, lhal peihaps oiganic foins aie leaulifuI lo us and lhe
syslenalic lioIogisl can find aeslhelic salisfaclion in lhe diffcrcnccs lelveen ieIaled
oiganisns sinpIy lecause lhe diffeiences aie due lo noduIalions of connunicalion,
vhiIe ve ouiseIves aie lolh oiganisns vho connunicale and vhose foins aie
deleinined ly consleIIalions of genelic nessages. This is nol lhe pIace, hovevei, foi
D. W. Thonpson, On Grcu|n and |crn, VoI. 2, Ox-foid, Oxfoid Univeisily Iiess, 1952.
ßealiice C. ßaleson, li||ian 8a|cscn, Na|ura|is|, Canliidge, Canliidge Univeisily Iiess,
such a ievision of aeslhelic lheoiy. An expeil in lhe lheoiy of nalhenalicaI gioups
couId nake a najoi conliilulion in lhis fieId.
AII nessages and pails of nessages aie Iike phiases oi segnenls of equalions
vhich a nalhenalician puls in liackels. Oulside lhe liackels lheie nay aIvays le a
quaIifiei oi nuIlipIiei vhich viII aIlei lhe vhoIe lenoi of lhe phiase. Moie-ovei,
lhese quaIifieis can aIvays le added, even yeais Ialei.
They do nol have lo piecede lhe phiase inside lhe liackels. Olheivise, lheie
couId le no psycholheiapy. The palienl vouId le enlilIed and even conpeIIed lo
aigue, ¨My nolhei sIapped ne dovn in such and such vays, and, lheiefoie, I an
nov sick, and lecause lhose liaunala occuied in lhe pasl lhey cannol le aIleied, and
I, lheiefoie, cannol gel veII.¨ In lhe ieaIn of connunicalion, lhe ctcn|s of lhe pasl
conslilule a chain of oId hoiseshoes so lhal lhe neaning of lhal chain can le changed
and is conlinuaIIy leing changed. Whal exisls loday aie onIy nessages aloul lhe pasl
vhich ve caII nenoiies, and lhese nessages can aI-vays le fianed and noduIaled
fion nonenl lo nonenl.
Up lo lhis poinl lhe ieaIn of connunicalion appeais lo le noie and noie
conpIex, noie fIexilIe, and Iess anenalIe lo anaIysis. Nov lhe inlioduclion of lhe
gioup concepl~lhe consideialion of nany peisons~suddenIy sinpIifies lhis
confused ieaIn of sIipping and sIiding neanings. If ve shake up a nunlei of
iiieguIai slones in a lag, oi suljecl lhen lo an aInosl iandon lealing ly lhe vaves
on lhe seashoie, even al lhe ciudeIy physicaI IeveI, lheie viII le a giaduaI
sinpIificalion of lhe syslen~lhe slones viII iesenlIe each olhei. In lhe end, lhey
viII aII lecone spheiicaI, lul in piaclice ve usuaIIy encounlei lhen as pailIy
iounded pellIes. Ceilain foins of honogenizalion iesuIl fion nuIlipIe inpacl even
al lhe ciude physicaI IeveI, and vhen lhe inpacling enlilies aie oiganisns capalIe of
conpIex Ieaining and connunicalion, lhe lolaI syslen opeiales iapidIy lo-vaid
eilhei unifoinily oi lovaid syslenalic diffeienlialion~an inciease of sinpIicily~
vhich ve caII oiganizalion. If lheie aie diffeiences lelveen lhe inpacling enlilies,
lhese diffeiences viII undeigo change, eilhei in lhe diieclion of ieducing lhe
diffeience, oi in lhe diieclion of achieving a nuluaI filling oi conpIenenlaiily.
Anong gioups of peopIe, vhelhei lhe diieclion of change is lovaid honogeneily oi
lovaid conpIenenlaiily, lhe achievenenl is a shaiing of pienises iegaiding lhe
neaning and appiopiialeness of nessages and olhei acls in lhe conlexl of lhe
I shaII nol go inlo lhe conpIex piolIens of Ieaining invoIved in lhis piocess lul
shaII pioceed lo lhe piolIen of schizophienia. An individuaI, i.e., lhe idenlified
palienl, exisls vilhin a faniIy selling, lul vhen ve viev hin singuIaiIy, ceilain
pecuIaiilies of his connunicalionaI halils aie noled.
These pecuIiaiilies nay le pailIy deleinined ly genelics oi physioIogicaI
accidenl, lul il is sliII ieasonalIe lo queslion lhe funclion of lhese pecuIiaiilies vilhin
lhe connunicalionaI syslen of vhich lhey aie a pail lhe faniIy. A nunlei of Iiving
ciealuies have leen, in a sense, shaken up logelhei and one of lhen has cone oul
appaienlIy diffeienl fion lhe iesl, ve have lo ask nol onIy aloul diffeiences in lhe
naleiiaI of vhich lhis pailicuIai individuaI nay le nade, lul aIso hov his pailicuIai
chaiacleiislics veie deveIoped in lhis faniIy syslen. Can lhe pecuIiaiilies of lhe
idenlified palienl le seen as apprcpria|c, i.c., as eilhei honogeneous vilh, oi
conpIenenlaiy lo, lhe chaiacleiislics of lhe olhei nenleis of lhe gioup` We do nol
doull lhal a Iaige pail of schizophienic. synplonaloIogy is, in sone sense, Ieained
oi deleinined ly expeiience, lul an oiganisn can Ieain onIy lhal vhich il is laughl
ly lhe ciicunslances of Iiving and lhe expeiiences of exchanging nessages vilh
lhose aiound hin. He cannol Ieain al iandon, lul onIy lo le Iike oi unIike lhose
aiound hin. We have, lheiefoie, lhe necessaiy lask of Iooking al lhe expeiienliaI
selling of schizophienia.
We shaII oulIine liiefIy vhal ve have leen caIIing lhe doulIe lind hypolhesis,
vhich has leen noie fuIIy desciiled eIsevheie.
This hypolhesis conlains lvo pails,
a foinaI desciiplion of lhe connunicalionaI halils of lhe schizophienic, and a
foinaI desciiplion of lhe sequences of expeiience vhich vouId undeislandalIy liain
lhe individuaI in his pecuIiai disloilions of connunicalion. LnpiiicaIIy ve find lhal
one desciiplion of lhe synplons is, on lhe vhoIe, salisfacloiy, and lhal lhe faniIies
of schizophienics aie chaiacleiized ly lhe lehavioiaI sequences vhich aie piedicled
ly lhe hypolhesis.
TypicaIIy, lhe schizophienic viII eIininale fion his nessages eveiylhing lhal
iefeis expIicilIy oi inpIicilIy lo lhe ieIalionship lelveen hinseIf and lhe peison he is
addiessing. Schizophienics connonIy avoid lhe fiisl and second peison pionouns.
They avoid leIIing you vhal soil of a nessage lhey aie liansnilling~vhelhei il le
IileiaI oi nelaphoiic, iionic oi diiecl and lhey aie IikeIy lo have difficuIly vilh aII
nessages and neaningfuI acls vhich inpIy inlinale conlacl lelveen lhe seIf and
sone olhei. To ieceive food nay le aInosl inpossilIe, lul so aIso nay le lhe
iepudialion of food.
When Ieaving foi lhe A.I.A. neelings in HonoIuIu, I loId ny palienl lhal I vouId
le avay and vheie I vas going. He Iooked oul lhe vindov and said, ¨Thal pIane
fIies avfuIIy sIovIy.¨ He couId nol say, ¨I shaII niss you,¨ lecause he vouId lhus le
idenlifying hinseIf in a ieIalionship lo ne, oi ne in ieIalionship lo hinseIf. To say, ¨I
shaII niss you¨ vouId le lo asseil a lasic pienise aloul oui nuluaI ieIalionship ly
defining lhe soils of nessages vhich shouId le chaiacleiislic of lhal ieIalionship.
OlseivalIy, lhe schizophienic avoids oi disloils anylhing vhich nighl seen lo
idenlify eilhei hinseIf oi lhe peison vhon he is addiessing. He nay eIininale
anylhing vhich inpIies lhal his nessage iefeis lo, and is a pail of, a ieIalionship
lelveen lvo idenlifialIe peopIe, vilh ceilain slyIes and pienises goveining lheii
lehavioi in lhal ieIalionship. He nay avoid anylhing vhich nighl enalIe lhe olhei
lo inleipiel vhal he says. He nay olscuie lhe facl lhal he is speaking in nelaphoi oi
in sone speciaI code, and he is IikeIy lo disloil oi onil aII iefeience lo line and pIace.
If ve use a Weslein Union leIegian foin as an anaIogy, ve nighl say lhal he onils
vhal vouId le pul on lhe pioceduiaI pails of lhe leIegiaph foin and viII nodify lhe
C. ßaleson, D. D. }ackson, }. HaIey, and }. H. Weak-Iand, ¨Tovaid a Theoiy of
Schizophienia,¨ 8cnaticra| Scicncc, 1956, 1. 251-64, aIso C. ßaleson, ¨Language and
Isycholheiapy, Iiieda Iionn-Reichnann's Lasl Iiojecl,¨ Psqcnia|rq, 1958, 21. 96-100, aIso C.
ßaleson (nodeialoi), ¨Schizophienic Disloilions of Connunicalion,¨ Psqcnc|ncrapq cf Cnrcnic
Scnizcpnrcnic Pa|icn|s, C. A. Whilackei, ed., ßoslon and Toionlo, LillIe, ßiovn and Co., 1958, pp.
31-56, aIso C. ßaleson, ¨AnaIysis of Cioup Theiapy in an Adnission Waid, Uniled Slales NavaI
HospilaI, OakIand, CaIifoinia,¨ Sccia| Psqcnia|rq in Ac|icn, H. A. WiInei, SpiingfieId, III., ChaiIes
C. Thonas, 1958, pp. 334-49, aIso }. HaIey, ¨The Ail of IsychoanaIysis,¨ c|c., 1958, .15. 190-200, aIso
}. HaIey, ¨An InleiaclionaI LxpIanalion of Hypnosis,¨ Ancrican ]curna| cf C|inica| Hqpncsis, 1958, 1:
41-57, aIso }. H. WeakIand and D. D. }ackson, ¨Ialienl and Theiapisl Olseivalions on lhe
Ciicunslances of a Schizophienic Lpisode,¨ AMA Arcnitcs cf Ncurc|cgica| Psqcnia|rq, 1958, 79. 554-
lexl of his nessage lo disloil oi onil any indicalion of lhese nelaconnunicalive
eIenenls in lhe lolaI noinaI nessage. Whal ienains is IikeIy lo le a nelaphoiic
slalenenl unIaleIIed as lo conlexl. Oi, in exliene cases, lheie nay le nolhing Iefl lul
a sloIid acling oul of lhe nessage, ¨Theie is no ieIalionship lelveen us.¨
This nuch is olseivalIe and nay le sunnaiized ly saying lhal lhe
schizophienic connunicales as if he expecled lo le punished eveiy line he indicales
lhal he is iighl in his viev of lhe conlexl of his ovn nessage.
The ¨doulIe lind,
vhich is cenliaI lo lhe elioIogicaI haIf of oui hypolhesis, nay
nov sinpIy le sunnaiized ly saying lhal il is an expeiience of leing punished
pieciseIy foi leing iighl in one´s ovn viev of lhe conlexl. Oui hypolhesis assunes
lhal iepealed expeiience of punishnenl in sequences of lhis kind viII Iead lhe
individuaI lo lehave haliluaIIy as if he expecled such punishnenl.
The nolhei of one of oui palienls pouied oul lIane upon hei husland foi
iefusing foi fifleen yeais lo hand ovei conlioI of lhe faniIy finances lo hei. The falhei
of lhe palienl said, ¨I adnil lhal il vas a gieal nislake of ne nol lo Iel you handIe il, I
adnil lhal. I have coiiecled lhal. My ieasons foi lhinking il vas a nislake aie
enliieIy diffeienl fion youis, lul I adnil lhal il vas a veiy seiious eiioi on ny pail.¨
Mc|ncr. Nov, you
ie jusl leing facelious.
|a|ncr. No, I an nol leing facelious.
Mc|ncr. WeII, anyvay I don´l caie lecause vhen you cone iighl dovn lo il lhe
dells veie incuiied, sliII lheie is no ieason vhy a peison vouId nol le loId of lhen.
I lhink lhe vonan shouId le loId.
|a|ncr. Il nay le lhe sane ieason vhy vhen }oe (lheii psycholic son) cones
hone fion schooI and he has had lioulIe he doesn´l leII you.
Mc|ncr. WeII, lhal´s a good dodge.
The pallein of such a sequence is sinpIy lhe successive disquaIificalion of each of
lhe falhei´s conliilulions lo lhe ieIalionship. He is conlinuousIy leing loId lhal lhe
nessages aie nol vaIid. They aie ieceived as if lhey veie in sone vay diffeienl fion
lhal vhich he lhoughl he inlended.
We nay say lhal he is penaIized eilhei foi leing iighl aloul his vievs of his ovn
inlenlions, oi he is penaIized vhenevei his iepIy is appiopiiale lo vhal she said.
ßul, pei conlia, fion hei vievpoinl, il seens lhal he is endIessIy nisinleipieling
hei, and lhis is one of lhe nosl pecuIiai chaiacleiislics of lhe dynanic syslen vhich
suiiounds~oi is~schizophienia. Lveiy lheiapisl vho has deaIl vilh schizophienics
viII iecognize lhe iecuiienl liap. The palienl endeavois lo pul lhe lheiapisl in lhe
viong ly his inleipielalion of vhal lhe lheiapisl said, and lhe palienl does lhis
lecause he expecls lhe lheiapisl lo nisinleipiel vhal he (lhe palienl) said. The lind
lecones nuluaI. A slage is ieached in lhe ieIalionship in vhich neilhei peison can
affoid lo ieceive oi enil nelaconnunicalive nessages vilhoul disloilion.
Theie is, hovevei, usuaIIy, an asynneliy in such ieIalionships. This nuluaI
doulIelinding is a lype of sliuggIe and connonIy one oi lhe olhei has lhe uppei
hand. We have deIileialeIy chosen lo voik vilh faniIies vheie one of lhe offspiing
is lhe idenlified palienl, and, pailIy foi lhis ieason, in oui dala, il is lhe supposedIy
noinaI paienls vho have lhe uppei hand ovei an idenlifialIy psycholic youngei
nenlei of lhe gioup. In such cases, lhe asynneliy lakes lhe cuiious foin lhal lhe
idenlified palienl saciifices hinseIf lo nainlain lhe sacied iIIusion lhal vhal lhe
paienl says nakes sense. To le cIose lo lhal paienl, he nusl saciifice his iighl lo
indicale lhal he sees any nelaconnunicalive incongiuencies, even vhen his
peiceplion of lhese incongiuencies is coiiecl. Theie is, lheiefoie, a cuiious dispaiily
in lhe disliilulion of avaieness of vhal is happening. The palienl nay knov lul
nusl nol leII, and lheiely enalIes lhe paienl lo nol knov vhal he oi she is doing.
The palienl is an acconpIice in lhe paienl´s unconscious hypociisy. The iesuIl nay le
veiy gieal unhappiness and veiy gioss, lul aI-vays syslenalic, disloilions of
Moieovei, lhese disloilions aie aIvays pieciseIy lhose vhich vouId seen
appiopiiale vhen lhe viclins aie faced vilh a liap lo avoid vhich vouId le lo
deslioy lhe veiy naluie of lhe seIf. This paiadign is nealIy iIIuslialed ly a pas-sage
vhich is voilh quoling in fuII fion Iesling }ones´ Iife of SanueI ßulIei.
ßulIei venl lo dinnei al Mi. Seelohn´s vheie he nel SkeilchIey, vho loId lhen
aloul a ial-liap invenled ly Mi. TyIoi´s coachnan.
Mi. Dunkell found aII his liaps faiI one aflei anolhei, and vas in such despaii al
lhe vay lhe coin gol ealen lhal he iesoIved lo invenl a ial-liap. He legan ly pulling
hinseIf as neaiIy as possilIe in lhe ial´s pIace.
"Is lheie anylhing,¨ he asked hinseIf, ¨in vhich, if I veie a ial, I shouId have
such conpIele confidence lhal I couId nol suspecl il vilhoul suspecling eveiylhing in
lhe voiId and leing unalIe hencefoilh lo nove feaiIessIy in any diieclion`¨
He pondeied foi a vhiIe and had no ansvei, liII one nighl lhe ioon seened lo
lecone fuII of Iighl and he heais a voice fion heaven saying:
Then he sav his vay. To suspecl a connon diain-pipe vouId le lo cease lo le a
ial. Heie SkeilchIey enIaiged a IillIe, expIaining lhal a spiing vas lo le conceaIed
inside, lul lhal lhe pipe vas lo le open al lolh ends, if lhe pipe veie cIosed al one
end, a ial vouId naluiaIIy nol Iike going inlo il, foi he vouId nol feeI suie of leing
alIe lo gel oul again, on vhich I |ßulIeij inleiiupled and said:
¨Ah, il vas jusl lhis vhich slopped ne fion going in-lo lhe Chuich.¨
When he |ßulIeij loId ne lhis I |}onesj knev vhal vas in his nind, and lhal, if
he had nol leen in such iespeclalIe conpany, he vouId have said: ¨Il vas jusl lhis
vhich slopped ne fion gelling naiiied.¨
Nolice lhal Dunkell couId onIy invenl lhis doulIe lind foi ials ly vay of an
haIIucinaloiy expeiience, and lhal lolh ßulIei and }ones innedialeIy iegaided lhe
liap as a paiadign foi hunan ieIalions. Indeed, lhis soil of diIenna is nol iaie and
is nol confined lo lhe conlexls of schizophienia.
The queslion vhich ve nusl face, lheiefoie, is vhy lhese sequences aie eilhei
speciaIIy fiequenl oi speciaIIy desliuclive in lhose faniIies vhich conlain
schizophienics. I do nol have lhe slalislics lo asseil lhis, hovevei, fion Iiniled lul
inlense olseivalion of a fev of lhese faniIies, I can offei an hypolhesis aloul lhe
gioup dynanics vhich vouId deleinine a syslen of inleiaclion, such lhal doulIe
lind expeiiences nusl iecui ad nauscan. The piolIen is lo consliucl a nodeI vhich
viII necessaiiIy cqc|c lo iecieale lhese palleined sequences ovei and ovei again.
H. I. }ones, Sanuc| 8u||cr. A Mcncir, VoI. 1, London, MacniIIan, 1919.
Such a nodeI is piovided in Von Neunann´s and Moigenslein´s
lheoiy of
ganes, piesenled heie nol, indeed, vilh ils fuII nalhenalicaI iigoi, lul al Ieasl in
leins sone-vhal lechnicaI.
Von Neunann vas conceined vilh nalhenalicaI sludy of lhe foinaI condilions
undei vhich enlilies, vilh lolaI inleIIigence and a piefeience foi gain, vouId foin
coaIilions anong lhenseIves in oidei lo naxinize lhe piofils vhich coaIilion
nenleis nighl ieceive al lhe expense of lhe non-nenleis. He inagined lhese
enlilies as engaged in sone-lhing Iike a gane and pioceeded lo ask aloul lhe foinaI
chaiacleiislics of lhe iuIes vhich vouId conpeI lhe lolaIIy inleIIigenl lul gain-
oiienled pIayeis lo foin coaIilions. A veiy cuiious concIusion eneiged, and il is lhis
concIusion vhich I vouId piopose as a nodeI.
LvidenlIy, coaIilion lelveen pIayeis can onIy eneige vhen lheie aie al Ieasl
lhiee of lhen. Any lvo nay lhen gel logelhei lo expIoil lhe lhiid, and if such a gane
le synneliicaIIy devised, il evidenlIy has lhiee soIulions vhich ve nay iepiesenl as
A8 ts. C
8C ts. A
AC ts. 8
Ioi lhis lhiee-peison syslen, Von Neunann denonsliales lhal once foined, any
one of lhese coaIilions viII le slalIe. If A and 8 aie in aIIiance, lheie is nolhing C can
do aloul il. And, inleieslingIy enough, A and 8 viII necessaiiIy deveIop convenlions
(suppIenenlaiy lo lhe iuIes) vhich viII, foi exanpIe, foilid lhen fion Iislening lo
C´s appioaches.
In lhe five-peison gane, lhe posilion lecones quile diffeienl, lheie viII le a
vaiiely of possiliIilies. Il nay le lhal foui pIayeis conlenpIale a conlinalion againsl
one, iIIuslialed in lhe foIIoving five palleins:
A ts. 8CD|
8 ts. ACD|
C ts. A8D|
D ts. A8C|
| ts. A8CD
ßul none of lhese vouId le slalIe. The foui pIayeis vilhin lhe coaIilion nusl,
necessaiiIy, engage in a sulgane in vhich lhey naneuvei againsl each olhei lo
achieve an unequaI division of lhe gains vhich lhe coaIilion couId squeeze oul of lhe
fiflh pIayei. This nusl Iead lo a coaIilion pallein vhich ve nay desciile as 2 ts. 2 ts.
1, i.e., 8C ts. D| ts. A. In such a silualion, il vouId lecone possilIe foi A lo appioach
and join one of lhese paiis, so lhal lhe coaIilion syslen viII lecone 3 ts. 2.
ßul in lhe syslen 3 ts. 2, il vouId le advanlageous foi lhe lhiee lo ieciuil ovei lo
lheii side one of lhe lvo, in oidei lo nake lheii gains noie ceilain. Nov ve aie lack
lo a 4 vs. 1 syslen~nol necessaiiIy lhe pailicuIai Iine-up lhal ve slailed fion lul al
any iale a syslen having lhe sane geneiaI piopeilies. Il, in luin, nusl lieak dovn
inlo 2 vs. 2 vs. 1, and so on.
In olhei voids, foi eveiy possilIe pallein of coaIilions, lheie is al Ieasl one olhei
pallein vhich viII ¨doninale¨ il~lo use Von Neunann´s lein~and lhe ieIalionship
of doninalion lelveen soIulions is inliansilive. Theie viII aI-vays le a ciicuIai Iisl of
aIleinalive soIulions so lhal lhe syslen viII nevei cease fion passing on fion
soIulion lo soIulion, aIvays seIecling anolhei soIulion vhich is piefeialIe lo lhal
}. Von Neunann and O. Moigenslein, Tnccrq cf Gancs and |ccncni c 8cnati cr,
Iiincelon, Iiincelon Univeisily Iiess, 1944.
vhich pieceded il. This neans, in facl, lhal lhe iolols (oving lo lheii lolaI
inleIIigence) viII le unalIe lo decide upon a singIe ¨pIay¨ of lhe gane.
I offei lhis nodeI as leing ieniniscenl of vhal happens in schizophienic
faniIies. No lvo nenleis seen alIe lo gel logelhei in a coaIilion slalIe enough lo le
decisive al lhe given nonenl. Sone olhei nenlei oi nenleis of lhe faniIy viII
aIvays inleivene. Oi, Iacking such inleivenlion, lhe lvo nenleis vho conlenpIale a
coaIilion viII feeI guiIly vis-a-vis vhal lhe lhiid nighl do oi say, and viII diav lack
fion lhe coaIilion.
Nolice lhal il lakes five hypolhelicaI enlilies vilh lolaI inleIIigence lo achieve lhis
pailicuIai soil of inslaliIily oi osciIIalion in a Von Neunannian gane. ßul lhiee
hunan leings seen lo le enough. Ieihaps lhey aie nol lolaIIy inleIIigenl oi peihaps
lhey aie syslenalicaIIy inconsislenl iegaiding lhe soil of ¨gain¨ in leins of vhich
lhey aie nolivaled.
I vanl lo sliess lhal in such a syslen, lhe expeiience of each sepaiale individuaI
viII le of lhis kind: eveiy nove vhich he nakes is lhe connon-sense nove in lhe
silualion as he coiieclIy sees il al lhal nonenl, lul his eveiy nove is sulsequenlIy
denonslialed lo have leen viong ly lhe noves vhich olhei nenleis of lhe syslen
nake in iesponse lo his ¨iighl¨ nove. The individuaI is lhus caughl in a peipeluaI
sequence of vhal ve have caIIed doulIe lind expeiiences.
I do nol knov hov vaIid lhis nodeI nay le, lul I offei il foi lvo ieasons. Iiisl, il
is pioposed as a sanpIe of liying lo laIk aloul lhe Iaigei syslen~lhe faniIy~
inslead of laIking, as ve haliluaIIy do, aloul lhe individuaI. If ve aie lo undeisland
lhe dynanics of schizophienia, ve nusl devise a Ianguage adequale lo lhe
phenonena vhich aie eneigenl in lhis Iaigei syslen. Lven if ny nodeI is
inappiopiiale, il is sliII voilhvhiIe lo liy lo laIk in lhe soil of Ianguage vhich ve
shaII need foi desciiling lhese eneigenl phenonena. SecondIy, concepluaI nodeIs,
even vhen incoiiecl, aie usefuI lo lhe exlenl lhal ciilicisn of lhe nodeI nay poinl lo
nev lheoielicaI deveIopnenls.
Lel ne, lheiefoie, poinl oul one ciilicisn of lhis nodeI, and considei lo vhal
ideas il viII Iead. Theie is no lheoien in Von Neunann´s look vhich vouId indicale
lhal his enlilies oi iolols, engaged in lhis infinile dance of changing coaIilions, vouId
evei lecone schizophienic. Accoiding lo lhe alsliacl lheoiy, lhe enlilies sinpIy
ienain lolaIIy inleIIigenl ad infini|un.
Nov, lhe najoi diffeience lelveen peopIe and von Neunann´s iolols Iies in lhe
facl of Ieaining. To le infinileIy inleIIigenl inpIies lo le infinileIy fIexilIe, and lhe
pIayeis in lhe dance vhich I have desciiled couId nevei cxpcricncc lhe pain vhich
hunan leings vouId feeI if conlinuaIIypioven viong vhenevei lhey had leen vise.
Hunan leings have a connilnenl lo lhe soIulions vhich lhey discovei, and il is lhis
psychoIogicaI connilnenl lhal nakes il possilIe foi lhen lo le huil in lhe vay
nenleis of a schizophienic faniIy aie huil.
Il appeais lhen, fion consideialion of lhe nodeI, lhal lhe doulIe lind
hypolhesis, lo le expIanaloiy of schizophienia, nusl depend upon ceilain
psychoIogicaI assunplions aloul lhe naluie of lhe hunan individuaI as a Ieaining
oiganisn. Ioi lhe individuaI lo le pione lo schizophienia, individualion nusl
conpiise |uc conliasling psychoIogicaI nechanisns. The fiisl is a nechanisn of
adaplalion lo denands of lhe peisonaI enviionnenl, and lhe second, a piocess oi
nechanisn vheiely lhe individuaI lecones eilhei liiefIy oi enduiingIy connilled
lo lhe adaplalions vhich lhe fiisl piocess has discoveied.
I lhink lhal vhal I an caIIing a liief connilnenl lo an adaplalion is vhal
ßeilaIanffy caIIed lhe innancn| s|a|c cf ac|icn, and lhal lhe noie enduiing
connilnenl lo adaplalion is sinpIy vhal ve usuaIIy caII ¨halil.¨
Whal is a peison` Whal do I nean vhen I say ¨I`¨ Ieihaps vhal each of us
neans ly lhe ¨seIf¨ is in facl an aggiegale of halils of peiceplion and adaplive aclion
p|us, fion nonenl lo nonenl, oui ¨innanenl slales of aclion.¨ If sonelody allacks
lhe halils and innanenl slales vhich chaiacleiize ne al lhe given nonenl of
deaIing vilh lhal sonelody~lhal is, if lhey allack lhe veiy halils and innanenl
slales vhich have leen caIIed inlo leing as pail of ny ieIalionship lo lhen al lhal
nonenl~lhey aie negaling ne. If I caie deepIy aloul lhal olhei peison, lhe negalion
of ne viII le sliII noie painfuI.
Whal ve have said so fai is enough lo indicale lhe soils of slialegy~oi peihaps
ve shouId say synplons~vhich aie lo le expecled in lhal sliange inslilulion, lhe
schizophienic faniIy. ßul il is sliII suipiising lo olseive hov lhese slialegies nay le
conlinuaIIy and haliluaIIy piacliced vilhoul fiiends and neighlois nolicing lhal
sonelhing is viong. Iion lheoiy ve nay piedicl lhal eveiy pailicipanl nenlei of
such an inslilulion nusl le defensive of his oi hei ovn innanenl slales of aclion and
enduiing adaplive halils, pioleclive, lhal is, of lhe seIf.
To iIIusliale vilh one exanpIe: a coIIeague had leen voiking foi sone veeks
vilh one of lhese faniIies, pailicuIaiIy vilh lhe falhei, lhe nolhei, and lheii aduIl
schizophienic son. His neelings veie on lhe conjoinl pallein~lhe nenleis of lhe
faniIy leing piesenl logelhei. This appaienlIy piovoked sone anxiely in lhe nolhei
and she iequesled face-lo-face inleivievs vilh ne. This nove vas discussed al lhe
nexl conjoinl neeling and in due couise she cane lo hei fiisl session. Upon aiiivaI
she nade a coupIe of conveisalionaI ienaiks, and lhen opened hei puise and fion il
handed ne a piece of papei, saying, ¨Il seens ny husland viole lhis.¨ I unfoIded
lhe papei and found il lo le a singIe sheel of singIe-spaced lypesciipl, slailing vilh
lhe voids, ¨My husland and I nuch appieciale lhe oppoilunily of discussing oui
piolIens vilh you,¨ elc. The docunenl lhen venl on lo oulIine ceilain specific
queslions vhich ¨I vouId Iike lo iaise.
Il appeaied lhal lhe husland had, in facl, sal dovn al his lypeviilei lhe nighl
lefoie and had viillen lhis Iellei lo mc as lhough il veie viillen ly his vife, and in
il he oulIined lhe queslions foi hei lo discuss vilh ne.
In noinaI daiIy Iife lhis soil of lhing is connon enough, il passes nuslei. When
allenlion is focused upon lhe chaiacleiislic slialegies, hovevei, lhese seIf-piolecling
and seIf-deslioying naneuveis lecone conspicuous. One suddenIy discoveis lhal in
such faniIies lhese slialegies seen lo pie-doninale ovei aII olheis. Il lecones haidIy
suipiising lhal lhe idenlified palienl exhilils lehavioi vhich is aInosl a caiicaluie of
lhal Ioss of idenlily vhich is chaiacleiislic of aII lhe faniIy nenleis.
I leIieve lhal lhis is lhe essence of lhe nallei, lhal lhe schizophienic faniIy is an
oiganizalion vilh gieal ongoing slaliIily vhose dynanics and innei voikings aie
such lhal each nenlei is conlinuaIIy undeigoing lhe expeiience of negalion of seIf.
4.6 Mlnlma| Requlrements for a Theorµ of
Lveiy science, Iike eveiy peison, has a duly lovaid ils neighlois, nol peihaps lo
Iove lhen as ilseIf, lul sliII lo Iend lhen ils looIs, lo loiiov looIs fion lhen, and,
geneiaIIy, lo keep lhe neighloiing sciences sliaighl. We nay peihaps judge of lhe
inpoilance of an advance in any one science in leins of lhe changes vhich lhis
advance conpeIs lhe neigh-loiing sciences lo nake in lheii nelhods and in lheii
lhinking. ßul aIvays lheie is lhe iuIe of paisinony. The changes vhich ve in lhe
lehavioiaI sciences nay ask foi in genelics, oi in phiIosophy, oi in infoinalion
lheoiy nusl aIvays le nininaI. The unily of science as a vhoIe is achieved ly lhis
syslen of nininaI denands inposed ly each science upon ils neighlois, and~nol a
IillIe~ly lhe Iending of concepluaI looIs and palleins vhich occuis anong lhe
vaiious sciences.
My puipose, lheiefoie, in lhe piesenl Iecluie is nol so nuch lo discuss lhe
pailicuIai lheoiy of schizophienia vhich ve have leen deveIoping al IaIo AIlo.
Ralhei, I vanl lo indicale lo you lhal lhis lheoiy and olheis Iike il have inpacl upon
ideas aloul lhe veiy naluie of expIanalion. I have used lhe lilIe ¨MininaI
Requiienenls foi a Theoiy of Schizophienia,¨ and vhal I had in nind in choosing
lhis lilIe vas a discussion of lhe inpIicalions of lhe doulIe lind lheoiy foi lhe videi
fieId of lehavioiaI science and even, leyond lhal, ils effecl upon evoIulionaiy lheoiy
and lioIogicaI epislenoIogy. Whal nininaI changes does lhis lheoiy denand in
ieIaled sciences`
I vanl lo deaI vilh queslions aloul lhe inpacl of an expeiienliaI lheoiy of
schizophienia upon lhal liiad of ieIaled sciences, Ieaining lheoiy, genelics, and
The hypolhesis nay fiisl le liiefIy desciiled. In ils essenliaIs, lhe idea appeaIs
onIy lo eveiyday expeiience, and eIenenlaiy connon sense. The fiisl pioposilion
fion vhich lhe hypolhesis is deiived is lhal Ieaining occuis aIvays in sone conlexl
vhich has foinaI chaiacleiislics. You nay lhink, if you viII, of lhe foinaI
chaiacleiislics of an insliunenlaI avoidance sequence, oi of lhe foinaI chaiacleiislics
of a IavIovian expeiinenl. To Ieain lo Iifl a pav in a IavIovian conlexl is diffeienl
fion Ieaining lhe sane aclion in a conlexl of insliunenlaI ievaid.
Iuilhei, lhe hypolhesis depends upon lhe idea lhal lhis sliucluied conlexl aIso
occuis vilhin a videi conlexl~a nelaconlexl if you viII~and lhal lhis sequence of
conlexls is an open, and conceivalIy infinile, seiies.
The hypolhesis aIso assunes lhal vhal occuis vilhin lhe naiiov conlexl (e.g.,
insliunenlaI avoidance) viII le affecled ly lhe videi conlexl vilhin vhich lhis
snaIIei one has ils leing. Theie nay le incongiuence oi confIicl lelveen conlexl and
nelaconlexl. A conlexl of IavIovian Ieaining nay, foi exanpIe, le sel vilhin a
Second AnnuaI AIleil D. Laskei MenoiiaI Lecluie, deIiveied al lhe Inslilule foi
Isychosonalic and Isychialiic Reseaich and Tiaining of lhe MichaeI Reese HospilaI, Chicago,
ApiiI 7, 1959. This Iecluie is heie iepiinled ly peinission of lhe A. M. A. Arcnitcs cf Gcncra|
Psqcnia|rq vheie il appeaied in 196O, VoI. 2, pp. 477-491.
nelaconlexl vhich vouId punish Ieaining of lhis kind, peihaps ly insisling upon
insighl. The oiganisn is lhen faced vilh lhe diIenna eilhei of leing viong in lhe
piinaiy conlexl oi of leing iighl foi lhe viong ieasons oi in a viong vay. This is lhe
so-caIIed doulIe lind. We aie invesligaling lhe hypolhesis lhal schizophienic
connunicalion is Ieained and le-cones haliluaI as a iesuIl of conlinuaI liaunala of
lhis kind.
Thal is aII lheie is lo il.
ßul even lhese ¨connon-sense¨ assunplions lieak avay fion lhe cIassicaI iuIes
of scienlific epislenoIogy. We have Ieained fion lhe paiadign of lhe fieeIy faIIing
lody~and fion nany siniIai paiadigns in nany olhei sciences~lo appioach
scienlific piolIens in a pecuIiai vay: lhe piolIens aie lo le sinpIified ly ignoiing~
oi poslponing consideialion of~lhe possiliIily lhal lhe Iaigei conlexl nay infIuence
lhe snaIIei. Oui hypolhesis iuns counlei lo lhis iuIe, and is focused pieciseIy upon
lhe deleinining ieIalions lelveen Iaigei and snaIIei conlexls.
Lven noie shocking is lhe facl lhal oui hypolhesis suggesls ~lul does nol sland
oi faII vilh lhe suggeslion~lhal lheie nay le an infinile iegiess of such ieIevanl
In aII of lhis, lhe hypolhesis iequiies and ieinfoices lhal ievision in scienlific
lhoughl vhich has leen occuiiing in nany fieIds, fion physics lo lioIogy. The
olseivei nusl le incIuded vilhin lhe focus of olseivalion, and vhal can le sludied
is aIvays a ieIalionship oi an infinile iegiess of ieIalionships. Nevei a ¨lhing.¨
An exanpIe viII nake cIeai lhe ieIevance of lhe Iaigei conlexls. Lel us considei
lhe Iaigei conlexl vilhin vhich a Ieaining expeiinenl nighl le conducled using a
schizophienic as a suljecl. The schizophienic is vhal is caIIed a palienl, vis-a-vis a
nenlei of a supeiioi and unIoved oiganizalion, lhe hospilaI slaff. If lhe palienl veie
a good piagnalic Nevlonian, he vouId le alIe lo say lo hinseIf: ¨The cigaielles
vhich I can gel ly doing vhal lhis feIIov expecls ne lo do aie aflei aII onIy
cigaielles, and as an appIied scienlisl I viII go ahead and do vhal he vanls ne lo do.
I viII soIve lhe expeiinenlaI piolIen and ollain lhe cigaielles.¨ ßul hunan leings,
and especiaIIy schizophienics, do nol aIvays see lhe nallei lhis vay. They aie
affecled ly lhe ciicunslance lhal lhe expeiinenl is leing conducled ly sonelody
vhon lhey vouId ialhei nol pIease. They nay even feeI lhal lheie vouId le a ceilain
shaneIessness aloul seeking lo pIease sone one vhon lhey disIike. Il lhus cones
aloul lhal lhe sign of lhe signaI vhich lhe expeiinenlei enils, giving oi vilhhoIding
cigaielles, is ieveised. Whal lhe expeiinenlei lhoughl vas a ievaid luins oul lo le a
nessage of pailiaI indignily, and vhal lhe expeiinenlei lhoughl vas a punishnenl
lecones in pail a souice of salisfaclion.
Considei lhe acule pain of lhe nenlaI palienl in a Iaige hospilaI vho is
nonenlaiiIy liealed as a hunan leing ly a nenlei of lhe slaff.
To expIain lhe olseived phenonena ve a|uaqs have lo considei lhe videi
conlexl of lhe Ieaining expeiinenl, and ctcrq liansaclion lelveen peisons is a conlexl
of Ieaining.
The doulIe lind hypolhesis, lhen, depends upon alliiluling ceilain
chaiacleiislics lo lhe Ieaining piocess. If lhis hypolhesis is even appioxinaleIy liue,
ioon nusl le nade foi il vilhin lhe lheoiy of Ieaining. In pailicuIai, Ieaining lheoiy
nusl le nade disconlinuous so as lo acconnodale lhe disconlinuilies of lhe
hieiaichy of lhe conlexls of Ieaining lo vhich I have iefeiied.
Moieovei, lhese disconlinuilies aie of a pecuIiai naluie. I have said lhal lhe
Iaigei conlexl nay change lhe sign of lhe ieinfoicenenl pioposed ly a given
nessage, and evidenlIy lhe Iaigei conlexl nay aIso change lhe node~nay pIace lhe
nessage in lhe calegoiy of hunoi, nelaphoi, elc. The selling nay nake lhe nessage
inappiopiiale. The nessage nay le oul of lune vilh lhe Iaigei conlexl, and so on.
ßul lheie aie Iinils lo lhese nodificalions. The conlexl nay leII lhe iecipienl anylhing
aocu| lhe nessage, lul il cannol evei deslioy oi diieclIy conliadicl lhe Iallei. ¨I vas
Iying vhen I said `The cal is on lhe nal´ ¨ leIIs lhe vis-a-vis nolhing aloul lhe
Iocalion of lhe cal. Il leIIs hin onIy sonelhing aloul lhe ieIialiIily of his pievious
infoinalion. Theie is a guIf lelveen conlexl and nessage (oi lelveen nelanessage
and nessage) vhich is of lhe sane naluie as lhe guIf lelveen a lhing and lhe void
oi sign vhich slands foi il, oi lelveen lhe nenleis of a cIass and lhe nane of lhe
cIass. The conlexl (oi nelanessage) c|assifics lhe nessage, lul can nevei neel il on
equaI leins.
In oidei lo fil lhese disconlinuilies inlo Ieaining lheoiy, il is necessaiy lo enIaige
lhe scope of vhal is lo le incIuded vilhin lhe concepl of |carning. Whal lhe
expeiinenleis have desciiled as ¨Ieaining¨ aie in geneiaI changes in vhal an
oiganisn does in iesponse lo a given signaI. The expeiinenlei olseives, foi exanpIe,
lhal al fiisl lhe luzzei evokes no ieguIai iesponse, lul lhal aflei iepealed liiaIs in
vhich lhe luzzei has leen foIIoved ly neal povdei, lhe aninaI viII legin lo
saIivale vhenevei il heais lhe luzzei. We nay say IooseIy lhal lhe aninaI has legun
lo allach significance oi neaning lo lhe luzzei.
A change has occuiied. In oidei lo consliucl a hieiaichic seiies, ve pick on lhe
void ¨change.¨ Seiies such as ve aie inleiesled in aie in geneiaI luiIl in lvo vays.
Wilhin lhe fieId of puie connunicalions lheoiy, lhe sleps of an hieiaichic seiies nay
le consliucled ly successive use of lhe void
oi ¨nela.¨ Oui hieiaichic seiies
viII lhen consisl of nessage, nelanessage, nela-nelanessage, and so on. Wheie ve
deaI vilh phenonena naiginaI lo connunicalions lheoiy, siniIai hieiaichies nay le
consliucled ly lhe piIing up of ¨change¨ upon ¨change.¨ In cIassicaI physics, lhe
sequence: posilion, veIocily (i.e., change in posilion), acceIeialion (i.e., change in
veIocily oi change in change of posilion), change of acceIeialion, elc., is an exanpIe of
such a hieiaichy.
Iuilhei conpIicalions aie added~iaieIy in cIassicaI physics lul connonIy in
hunan connunicalion~ly noling lhal nessages nay le aloul (oi ¨nela¨ lo) lhe
ieIalionship lelveen nessages of diffeienl IeveIs. The sneII of lhe expeiinenlaI
hainess nay leII lhe dog lhal lhe luzzei viII nean neal povdei. We viII lhen say
lhal lhe nessage of lhe hainess is nela lo lhe nessage of lhe luzzei. ßul in hunan
ieIalions anolhei soil of conpIexily nay le geneialed, e.g., nessages nay le enilled
foilidding lhe suljecl lo nake lhe nela conneclion. An aIcohoIic paienl nay punish
a chiId foi shoving lhal he knovs lhal he shouId Iook oul foi sloins vhenevei lhe
paienl gels lhe lollIe oul of lhe cuploaid. The hieiaichy of nessages and conlexls
lhus lecones a conpIex lianching sliucluie.
So ve can consliucl a siniIai hieiaichic cIassificalion vilhin Ieaining lheoiy in
sulslanliaIIy lhe sane vay as lhe physicisls. Whal lhe expeiinenleis have
invesligaled is cnangc in lhe ieceipl of a signaI. ßul, cIeaiIy, lo ieceive a signaI aIieady
denoles cnangca change of a sinpIei oi Iovei oidei lhan lhal vhich lhe
expeiinenleis have invesligaled. This gives us lhe lvo fiisl sleps in a hieiaichy of
Ieaining, and alove lhese an infinile seiies can le inagined. This hieiaichy
can nov
le Iaid oul as foIIovs :
(1) Tnc Rcccip| cf a Signa| I an voiking al ny desk on vhich lheie is a papei lag,
conlaining ny Iunch. I heai lhe hospilaI vhislIe, and fion lhis I knov lhal il is
lveIve o´cIock. I ieach oul and lake ny Iunch. The vhislIe nay le iegaided as an
ansvei lo a queslion Iaid dovn in ny nind ly pievious Ieaining of lhe second oidei,
lul lhe singIe evenl~lhe ieceiving of lhis piece of infoinalion~is a piece of
Ieaining, and is denonslialed lo le so ly lhe facl lhal having ieceived il, I an nov
changed and iespond in a speciaI vay lo lhe papei lag.
(2) Tncsc |carnings lnicn Arc Cnangcs in (1) These aie exenpIified ly lhe cIassicaI
Ieaining expeiinenls of vaiious kinds: IavIovian, insliunenlaI ievaid, insliunenlaI
avoidance, iole, and so on.
(3) Tncsc |carnings lnicn Ccns|i|u|c Cnangcs in Scccnd-Ordcr |carning | have in lhe
pasl, unfoilunaleIy, caIIed lhese phenonena ¨deuleio-Ieaining,
and have liansIaled
lhis as ¨Ieaining lo Ieain.¨ Il vouId have leen noie coiiecl lo coin lhe void liilo-
Ieaining and lo liansIale il as ¨Ieaining lo Ieain lo ieceive signaIs.¨ These aie lhe
phenonena in vhich lhe psychialiisl is piepondeianlIy inleiesled, naneIy, lhe
changes vheiely an individuaI cones lo expecl his voiId lo le sliucluied in one
vay ialhei lhan an-olhei. These aie lhe phenonena vhich undeiIie ¨liansfeience¨~
lhe expeclalion on a palienl´s pail lhal lhe ieIalionship vilh lhe lheiapisl viII conlain
lhe sane soils of conlexls of Ieaining lhal lhe palienl has pieviousIy nel vilh in
deaIing vilh his paienls.
(4) Cnangcs in Tncsc Prcccsscs cf Cnangc Rcfcrrcd |c in (3) Whelhei Ieaining of lhis
fouilh oidei occuis in hunan leings is unknovn. Whal lhe psycholheiapisl allenpls
lo pioduce in his palienl is usuaIIy a lhiid-oidei Ieaining, lul il is possilIe, and
ceilainIy conceivalIe, lhal sone of lhe sIov and unconscious changes nay le shifls
in sign of sone highei deiivalive in lhe Ieaining piocess.
Al lhis poinl il is necessaiy lo conpaie lhiee lypes of hieiaichy vilh vhich ve
aie faced: (a) lhe hieiaichy of crdcrs of Ieaining, (l) lhe hieiaichy of conlexls of
Ieaining, and (c) hieiaichies of ciicuil sliucluie vhich ve nay~indeed, nusl~
expecl lo find in a leIencephaIized liain.
Il is ny conlenlion lhal (a) and (l) aie synonynous in lhe sense lhal aII
slalenenls nade in leins of conlexls of Ieaining couId le liansIaled (vilhoul Ioss oi
gain) inlo slalenenls in leins of oideis of Ieaining, and, fuilhei, lhal lhe
cIassificalion oi hieiaichy of conlexls nusl le isonoiphic vilh lhe cIassificalion oi
hieiaichy of oideis of Ieaining. ßeyond lhis, I leIieve lhal ve shouId Iook foivaid lo
a cIassificalion oi hieiaichy of neuiophysioIogicaI sliucluies vhich viII le
isonoiphic vilh lhe olhei lvo cIassificalions.
This synonyny lelveen slalenenls aloul conlexl and slalenenls aloul oideis of
Ieaining seens lo ne lo le seIf-evidenl, lul expeiience shovs lhal il nusl le speIIed
oul. ¨The liulh cannol le said so as lo le undeislood, and nol le leIieved,¨ lul,
conveiseIy, il cannol le leIieved un|i| il is said so as lo le undeislood.
Il is necessaiy fiisl lo insisl lhal in lhe voiId of connunicalion lhe onIy ieIevanl
enlilies oi ¨ieaIilies¨ aie nessages, incIuding in lhis lein pails of nessages, ieIalions
' 1971. In ny finaI veision of lhis hieiaichy of oideis of Ieaining, pulIished in lhis voIune
as ¨The LogicaI Calegoiies of Leaining and Connunicalion,¨ (see p. 283) I have used a diffeienl
syslen of nunleiing. The ieceipl of a signaI is lheie caIIed ¨Zeio Leaining¨, changes in Zeio
Leaining aie caIIed Leaining I, ¨deuleioIeaining¨ is caIIed Leaining II, elc
lelveen nessages, significanl gaps in nessages, and so on. Tnc pcrccp|icn of an evenl
oi oljecl oi ieIalion is ieaI. Il is a neuiophysioIogicaI nessage. ßul lhe 'evenl ilseIf oi
lhe oljecl ilseIf cannol enlei lhis voiId and is, lheiefoie, iiieIevanl and, lo lhal exlenl,
unieaI. ConveiseIy, a nessage has no ieaIily oi ieIevance qua nessage, in lhe
Nevlonian voiId: il lheie is ieduced lo sound vaves oi piinlei´s ink.
ßy lhe sane loken, lhe ¨conlexls¨ and ¨conlexls of con-lexls¨ upon vhich I an
insisling aie onIy ieaI oi ieIevanl insofai as lhey aie connunicalionaIIy effeclive, i.e.,
funclion as nessages oi nodifieis of nessages.
The diffeience lelveen lhe Nevlonian voiId and lhe voiId of connunicalion is
sinpIy lhis: lhal lhe Nevlonian voiId asciiles ieaIily lo oljecls and achieves ils
sinpIicily ly excIuding lhe conlexl of lhe conlexl~excIuding indeed aII
nelaieIalionships~a foilioii excIuding an infinile iegiess of such ieIalions. In
conliasl, lhe lheoiisl of connunicalion insisls upon exanining lhe nelaieIalionships
vhiIe achieving ils sinpIicily ly excIuding aII oljecls.
This voiId, of connunicalion, is a ßeikeIeyan voiId, lul lhe good lishop vas
guiIly of undeislalenenl. ReIevance oi ieaIily nusl le denied nol onIy lo lhe sound
of lhe liee vhich faIIs unheaid in lhe foiesl lul aIso lo lhis chaii vhich I can see and
on vhich I an silling. My peiceplion of lhe chaii is connunicalionaIIy ieaI, and lhal
on vhich I sil is, foi ne, onIy an idea, a nessage in vhich I pul ny liusl.
¨In ny |ncugn|, one lhing is as good as anolhei in lhis voiId, and lhe shoe of a
hoise viII do,¨ lecause in lhoughl and in expeiience lheie aie no lhings, lul onIy
nessages and lhe Iike.
In lhis voiId, indeed, I, as a naleiiaI oljecl, have no ieIevance and, in lhis sense,
no ieaIily. ¨I,¨ hovevei, exisl in lhe connunicalionaI voiId as an essenliaI eIenenl
in lhe synlax of ny expeiience and in lhe expeiience of olheis, and lhe
connunicalions of olheis nay danage ny idenlily, even lo lhe poinl of lieaking up
lhe oiganizalion of ny expeiience.
Ieihaps one day, an uIlinale synlhesis viII le achieved lo conline lhe
Nevlonian and lhe connunicalionaI voiIds. ßul lhal is nol lhe puipose of lhe
piesenl discussion. Heie I an conceined lo nake cIeai lhe ieIalion lelveen lhe con-
lexls and lhe oideis of Ieaining, and lo do lhis il vas fiisl necessaiy lo liing inlo
focus lhe diffeience lelveen Nevlonian and connunicalionaI discouise.
Wilh lhis inlioducloiy slalenenl, hovevei, il lecones cIeai lhal lhe sepaialion
lelveen conlexls and oideis of Ieaining is onIy an ailifacl of lhe conliasl lelveen
lhese lvo soils of discouise. The sepaialion is onIy nainlained ly saying lhal lhe
conlexls have Iocalion oulside lhe physicaI individuaI, vhiIe lhe oideis of Ieaining
aie Iocaled inside. ßul in lhe connunicalionaI voiId, lhis dicholony is iiieIevanl
and neaningIess. The conlexls have connunicalionaI ieaIily onIy insofai as lhey aie
effeclive as nessages, i.e., insofai as lhey aie iepiesenled oi iefIecled (coiieclIy oi
vilh disloilion) in nu||ip|c pails of lhe connunicalionaI syslen vhich ve aie
sludying, and lhis syslen is nol lhe physicaI individuaI lul a vide nelvoik of
palhvays of nessages. Sone of lhese palhvays nappcn lo le Iocaled oulside lhe
physicaI individuaI, olheis inside, lul lhe chaiacleiislics of lhe sqs|cn aie in no vay
dependenl upon any loundaiy Iines vhich ve nay supeipose upon lhe
connunicalionaI nap. Il is nol connunicalionaIIy neaningfuI lo ask vhelhei lhe
lIind nan´s slick oi lhe scienlisl´s nicioscope aie ¨pails¨ of lhe nan vho uses lhen.
ßolh slick and nicioscope aie inpoilanl palhvays of connunicalion and, as such,
aie pails of lhe nelvoik in vhich ve aie inleiesled, lul no loundaiy Iine~e.g.,
haIfvay up lhe slick~can le ieIevanl in a desciiplion of lhe lopoIogy of lhis nel.
Hovevei, lhis discaiding of lhe loundaiy of lhe physicaI individuaI does nol
inpIy (as sone nighl feai) lhal connunicalionaI discouise is necessaiiIy chaolic. On
lhe conliaiy, lhe pioposed hieiaichic cIassificalion of Ieaining and/oi conlexl is an
oideiing of vhal lo lhe Nevlonian Iooks Iike chaos, and il is lhis oideiing lhal is
denanded ly lhe doulIe-lind hypolhesis.
Man nusl le lhe soil of aninaI vhose Ieaining is chaiacleiized ly hieiaichic
disconlinuilies of lhis soil, eIse he couId nol lecone schizophienic undei lhe
fiuslialions of lhe doulIe lind.
On lhe evidenliaI side, lheie is leginning lo le a lody of expeiinenl
denonslialing lhe ieaIily of lhiid-oidei Ieaining
, lul on lhe piecise poinl of
disccn|inui|q lelveen lhese oideis of Ieaining lheie is, so fai as I knov, veiy IillIe
evidence. The expeiinenls of }ohn Slioud aie voilh quoling. These veie liacking
expeiinenls. The suljecl is faced vilh a scieen on vhich a spol noves lo iepiesenl a
noving laigel. A second spol, iepiesenling lhe ain of a gun, can le conlioIIed ly lhe
suljecl, vho opeiales a paii of knols. The suljecl is chaIIenged lo nainlain
coincidence lelveen lhe laigel spol and lhe spol ovei vhich he has conlioI. In such
an expeiinenl lhe laigel can le given vaiious soils of nolion, chaiacleiized ly
second-, lhiid-, oi highei-oidei deiivalives. Slioud shoved lhal, as lheie is a
disconlinuily in lhe oideis of lhe equalions vhich a nalhenalician nighl use lo
desciile lhe novenenls of lhe laigel spol, so aIso lheie is a disconlinuily in lhe
Ieaining of lhe expeiinenlaI suljecl. Il is as if a nev Ieaining piocess veie invoIved
vilh each slep lo a highei oidei of conpIexily in lhe novenenl of lhe laigel.
Il is lo ne fascinaling lo find lhal vhal one had supposed vas a puie ailifacl of
nalhenalicaI desciiplion is aIso appaienlIy an inluiIl chaiacleiislic of lhe hunan
liain, in spile of lhe facl lhal lhis liain ceilainIy does nol opeiale ly neans of
nalhenalicaI equalions in such a lask.
Theie is aIso evidence of a noie geneiaI naluie vhich vouId suppoil lhe nolion
of disconlinuily lelveen lhe oideis of Ieaining. Theie is, foi exanpIe, lhe cuiious facl
lhal psychoIogisls have nol haliluaIIy iegaided vhal I caII Ieaining of lhe fiisl oidei,
lhe ieceipl of a neaningfuI signaI, as Ieaining al aII, and lhe olhei cuiious facl, lhal
psychoIogisls have unliI iecenlIy shovn veiy IillIe appiecialion of lhal lhiid oidei of
Ieaining, in vhich lhe psychialiisl is piedoninanlIy inleiesled. Theie is a foinidalIe
guIf lelveen lhe lhinking of lhe expeiinenlaI psychoIogisl and lhe lhinking of lhe
psychialiisl oi anlhiopoIogisl. This guIf I leIieve lo le due lo lhe disconlinuily in lhe
hieiaichic sliucluie.
4.6.1 LcarnIng, GcnctIcs, and Evn!utInn
ßefoie ve considei lhe inpacl of lhe doulIe lind hypolhesis upon genelics and
evoIulionaiy lheoiy, il is necessaiy lo exanine lhe ieIalionship lelveen lheoiies of
Ieaining and lhese lvo olhei lodies of knovIedge. I iefeiied eaiIiei lo lhe lhiee
suljecls logelhei as a liiad. The sliucluie of lhis liiad ve nusl nov considei.
C. L. HuII, c| a|., Ma|ncna|icc-dcduc|itc Tnccrq cf Rc|c |carning. A S|udq in Scicn|ific
Mc|ncdc|cgq, (YaIe Univeisily Inslilule of Hunan ReIalions), Nev Haven, YaIe Univeisily Iiess,
1940, aIso H. I. HaiIov, ¨The Ioinalion of Leaining Sels,¨ Psqcnc|. Rcticu, 1949, 56. 51-65.
Cenelics, vhich coveis lhe connunicalionaI phenonena of vaiialion,
diffeienlialion, giovlh, and heiedily, is connonIy iecognized as lhe veiy sluff of
vhich evoIulionaiy lheoiy is nade. The Daivinian lheoiy, vhen puiged of
Lanaickian ideas, consisled of a genelics in vhich vaiialion vas piesuned lo le
iandon, conlined vilh a lheoiy of naluiaI seIeclion vouId inpail adaplive
diieclion lo lhe accunuIalion of changes. ßul lhe ieIalion lelveen Ieaining and lhis
lheoiy has leen a nallei of vioIenl conlioveisy vhich has iaged ovei lhe so-caIIed
¨inheiilance of acquiied chaiacleiislics.¨
Daivin´s posilion vas aculeIy chaIIenged ly SanueI ßulIei, vho aigued lhal
heiedily shouId le conpaied vilh~even idenlified vilh~nenoiy. ßulIei
pioceeded fion lhis pienise lo aigue lhal lhe piocesses of evoIulionaiy change, and
especiaIIy adaplalion, shouId le iegaided as lhe achievenenls of a deep cunning in
lhe ongoing fIov of Iife, nol as foiluilous lonuses confeiied ly Iuck. He diev a cIose
anaIogy lelveen lhe phenonena of invenlion and lhe phenonena of evoIulionaiy
adaplalion, and vas peihaps lhe fiisl lo poinl oul lhe exislence of iesiduaI oigans in
nachines. The cuiious honoIogy vheiely lhe engine is Iocaled in lhe fionl of an
aulonoliIe, vheie lhe hoise used lo le, vouId have deIighled hin. He aIso aigued
veiy cogenlIy lhal lheie is a piocess vheiely lhe nevei invenlions of adaplive
lehavioi aie sunk deepei inlo lhe lioIogicaI syslen of lhe oiganisn. Iion pIanned
and conscious aclions lhey lecone halils, and lhe halils lecone Iess and Iess
conscious and Iess and Iess suljecl lo voIunlaiy conlioI. He assuned, vilh-oul
evidence, lhal lhis haliluaIizalion, oi sinking piocess, couId go so deep as lo
conliilule lo lhe lody of nenoiies, vhich ve vouId caII lhe genolype, and vhich
deleinine lhe chaiacleiislics of lhe nexl geneialion.
The conlioveisy aloul lhe inheiilance of acquiied chaiacleiislics has lvo facels.
On lhe one hand, il appeais lo le an aigunenl vhich couId le sellIed ly facluaI
naleiiaI. One good case of such inheiilance nighl sellIe lhe nallei foi lhe
Lanaickian side. ßul lhe case againsl such inheiilance, leing negalive, can nevei le
pioved ly evidence and nusl ieIy upon an appeaI lo lheoiy. UsuaIIy lhose vho lake
lhe negalive viev aigue fion lhe sepaialion lelveen gein pIasn and sonalic lissue,
uiging lhal lheie can le no syslenalic connunicalion fion lhe sona lo lhe gein
pIasn in lhe Iighl of vhich lhe genolype nighl ievise ilseIf.
The difficuIly Iooks Iike lhis: conceivalIy a liceps nuscIe nodified ly use oi
disuse nighl seciele specific nelaloIiles inlo lhe ciicuIalion, and lhese nighl
conceivalIy seive as chenicaI nessengeis fion nuscIe lo gonad. ßul (a) il is difficuIl
lo leIieve lhal lhe chenisliy of liceps is so diffeienl fion lhal of, say, liiceps lhal lhe
nessage couId le specific, and (l) il is difficuIl lo leIieve lhal lhe gonad lissue couId
le equipped lo le appiopiialeIy affecled ly such nessages. Aflei aII, lhe ieceivei of
any nessage nusl knov lhe code of lhe sendei, so lhal if lhe gein ceIIs aie alIe lo
ieceive lhe nessages fion lhe sonalic lissue, lhey nusl aIieady le caiiying sone
veision of lhe sonalic code. The diieclions vhich evoIulionaiy change couId lake
vilh lhe aid of such nessages fion lhe sona vouId have lo le piefiguied in lhe
gein pIasn.
The case againsl lhe inheiilance of acquiied chaiacleiislics lhus iesls upon a
sepaialion, and lhe diffeience lelveen lhe schooIs of lhoughl ciyslaIIizes aiound
phiIosophic ieaclions lo such a sepaialion. Those vho aie viIIing lo lhink of lhe
voiId as oiganized upon nuIlipIe and sepaialIe piincipIes viII accepl lhe nolion
lhal sonalic changes induced ly enviionnenl nay le coveied ly an expIanalion
vhich couId le lolaIIy sepaiale fion lhe expIanalion of evoIulionaiy change. ßul
lhose vho piefei lo see a unily in naluie viII hope lhal lhese lvo lodies of
expIanalion can sonehov le inleiieIaled.
Moieovei, lhe vhoIe ieIalionship lelveen Ieaining and evoIulion has undeigone
a cuiious change since lhe days vhen ßulIei nainlained lhal evoIulion vas a nallei
of cunning ialhei lhan Iuck, and lhe change vhich has laken pIace is ceilainIy one
vhich neilhei Daivin noi ßulIei couId have foieseen. Whal. has happened is lhal
nany lheoiisls nov assune Ieaining lo le fundanenlaIIy a slochaslic oi piolaliIislic
affaii, and indeed, apail fion nonpaisinonious lheoiies vhich vouId posluIale
sone enleIechy al lhe consoIe of lhe nind, lhe slochaslic appioach is peihaps lhe
onIy oiganized lheoiy of lhe naluie of Ieaining. The nolion is lhal iandon changes
occui, in lhe liain oi eIse-vheie, and lhal lhe iesuIls of such iandon change aie
seIecled foi suivivaI ly piocesses of ieinfoicenenl and exlinclion. In lasic lheoiy,
ciealive lhoughl has cone lo iesenlIe lhe evoIulionaiy piocess in ils fundanenlaIIy
slochaslic naluie. Reinfoicenenl is seen as giving diieclion lo lhe accunuIalion of
iandon changes of lhe neuiaI syslen, jusl as naluiaI seIeclion is seen as giving
diieclion lo lhe accunuIalion of iandon changes of vaiialion.
In lolh lhe lheoiy of evoIulion and lhe lheoiy of Ieaining, hovevei, lhe void
¨iandon¨ is conspicuousIy undefined, and lhe void is nol an easy one lo define. In
lolh fieIds, il is assuned lhal vhiIe change nay le dependenl upon piolaliIislic
phenonena, lhe piolaliIily of a given change is deleinined ly sonelhing diffeienl
fion piolaliIily. UndeiIying lolh lhe slochaslic lheoiy of evoIulion and lhal of
Ieaining, lheie aie unslaled lheoiies iegaiding lhe deleininanls of lhe piolaliIilies
in queslion.
If, hovevei, ve ask aloul change in lhese deleininanls, ve shaII again
le given slochaslic ansveis, so lhal lhe void ¨iandon,¨ up-on vhich aII of lhese
expIanalions luin, appeais lo le a void vhose neaning is hieiaichicaIIy sliucluied,
Iike lhe neaning of lhe void ¨Ieaining,¨ vhich vas discussed in lhe fiisl pail of lhis
LaslIy, lhe queslion of lhe evoIulionaiy funclion of acquiied chaiacleiislics has
leen ieopened ly Waddinglon´s voik on phenocopies in Drcscpni|a. Al lhe veiy
Ieasl, lhis voik indicales lhal lhe changes of phenolype vhich can le achieved ly lhe
oiganisn undei enviionnenlaI sliess aie a veiy inpoilanl pail of lhe nachineiy ly
vhich lhe species oi heiedilaiy Iine nainlains ils pIace in a sliessfuI and conpelilive
enviionnenl, pending lhe Ialei appeaiance of sone nulalion oi olhei genelic change
vhich nay nake lhe species oi Iine lellei alIe lo deaI vilh lhe ongoing sliess. In lhis
sense al Ieasl, lhe acquiied chaiacleiislics have inpoilanl evoIulionaiy funclion.
Hovevei, lhe acluaI expeiinenlaI sloiy indicales sonelhing noie lhan lhis and is
voilh iepioducing liiefIy.
Whal Waddinglon voiks vilh is a phenocopy of lhe phenolype lioughl aloul
ly lhe gene lilhoiax. This gene has veiy piofound effecls upon lhe aduIl phenolype.
In ils piesence lhe lhiid segnenl of lhe lhoiax is nodified lo iesenlIe lhe second,
and lhe IillIe laIancing oigans, oi haIleies, on lhis lhiid segnenl lecone vings. The
iesuIl is a foui-vinged fIy. This foui-vinged chaiacleiislic can le pioduced
ailificiaIIy in fIies vhich do nol caiiy lhe gene lilhoiax ly suljecling lhe pupae lo a
peiiod of inloxicalion vilh elhyI elhei. Waddinglon voiks vilh Iaige popuIalions of
Drcscpni|a fIies deiived fion a viId sliain leIieved lo le fiee of lhe gene lilhoiax. He
In lhis sense, of couise, aII lhe lheoiies cf change assune lhal lhe ncx| change is in sone
degiee piefiguied in lhe syslen vhich is lo undeigo lhal change.
suljecls lhe pupae of lhis popuIalion in successive geneialions lo lhe elhei liealnenl,
and fion lhe iesuIling aduIls seIecls foi lieeding lhose vhich shov lhe lesl
appioxinalion lo lilhoiax. He has conlinued lhis expeiinenl ovei nany geneialions,
and aIieady in lhe lvenly-sevenlh geneialion he finds lhal lhe lilhoiax appeaiance is
achieved ly a Iiniled nunlei of fIies vhose pupae veie vilhdiavn fion lhe
expeiinenlaI liealnenl and nol suljecled lo elhei. Upon lieeding fion lhese, il luins
oul lhal lheii lilhoiax appeaiance is nol due lo lhe piesence of lhe specific gene,
lilhoiax, lul is due lo a consleIIalion of genes vhich voik logelhei lo give lhis effecl.
These veiy sliiking iesuIls can le iead in vaiious vays. We can say lhal in
seIecling lhe lesl phenocopies, Wadding-lon vas in facl seIecling foi a genelic
polenliaIily foi achieving lhis phenolype. Oi ve can say lhal he vas seIecling lo
ieduce lhe lhieshoId of elhei sliess necessaiy lo pioduce lhis iesuIl.
Lel ne suggesl a possilIe nodeI foi lhe desciiplion of lhese phenonena. Lel us
suppose lhal lhe acquiied chaiacleiislic is achieved ly sone piocess of
fundanenlaIIy slochaslic naluie~peihaps sone soil of sonalic Ieaining~and lhe
neie facl lhal Waddinglon is alIe lo seIecl lhe ¨lesl¨ phenocopies vouId Iend
suppoil lo lhis assunplion. Nov, il is evidenl lhal any such piocess is, in lhe naluie
of lhe case, vaslefuI. To achieve a iesuIl ly liiaI and eiioi vhich couId have leen
achieved in any noie diiecl vay necessaiiIy consunes line and effoil in sone sense
of lhese voids. Insofai as ve lhink of adaplaliIily as achieved ly slochaslic piocess,
ve Iel in lhe nolion of an econonics of adaplaliIily.
In lhe fieId of nenlaI piocess, ve aie veiy faniIiai vilh lhis soil of econonics,
and in facl a najoi and necessaiy saving is achieved ly lhe faniIiai piocess of halil
foinalion. We nay, in lhe fiisl inslance, soIve a given piolIen ly liiaI and eiioi, lul
vhen siniIai piolIens iecui Ialei, ve lend lo deaI vilh lhen noie and noie
econonicaIIy ly laking lhen oul of lhe iange of slochaslic opeialion and handing
ovei lhe soIulions lo a deepei and Iess fIexilIe nechanisn, vhich ve caII ¨halil.¨ Il
is, lheiefoie, peifeclIy conceivalIe lhal sone anaIogous phenonenon nay ollain in
iegaid lo lhe pioduclion of lilhoiax chaiacleiislics. Il nay le noie econonicaI lo
pioduce lhese ly lhe iigid nechanisn of genelic deleininalion ialhei lhan ly lhe
noie vaslefuI, noie fIexilIe (and peihaps Iess piediclalIe) nelhod of sonalic
This vouId nean lhal in Waddinglon´s popuIalion of fIies lheie vouId le a
seIeclive lenefil foi any heiedilaiy Iine of fIies vhich nighl conlain appiopiiale
genes foi lhe vhoIe~oi foi sone pail~of lhe lilhoiax phenolype. Il is aIso possilIe
lhal such fIies vouId have an exlia advanlage in lhal lheii sonalic adaplive
nachineiy nighl lhen le avaiIalIe foi deaIing vilh sliesses of olhei kinds. Il vouId
appeai lhal in Ieaining, vhen lhe soIulion of lhe given piolIen has leen passed on
lo halil, lhe slochaslic oi expIoialoiy nechanisns aie sel fiee foi lhe soIulion of
olhei piolIens, and il is quile conceivalIe lhal a siniIai advanlage is achieved ly
passing on lhe lusiness of deleinining a sonalic chaiacleiislic lo lhe gene-sciipl
These consideialions aIlei sonevhal lhe oId piolIen of lhe evoIulionaiy effecl of use and
disuse. Oilhodox lheoiy couId onIy suggesl lhal a nulalion ieducing lhe (polenliaI) size of a
disused oigan had suivivaI vaIue in leins of lhe iesuIling econony of lissue. The piesenl lheoiy
vouId suggesl lhal aliophy of an oigan, occuiiing al lhe sonalic IeveI, nay conslilule a diain
upon lhe lolaI avaiIalIe adaplaliIily of lhe oiganisn, and lhal lhis vasle of adaplaliIily nighl le
saved if ieduclion of lhe oigan couId le achieved noie diieclIy ly genelic deleininanls.
Il nay le noled lhal such a nodeI vouId le chaiacleiized ly |uc slochaslic
nechanisns: fiisl, lhe noie supeificiaI nechanisn ly vhich lhe changes aie
achieved al lhe sonalic IeveI, and, second, lhe slochaslic nechanisn of nulalion (oi
lhe shuffIing of gene consleIIalions) al lhe chionosonaI IeveI. These lvo slochaslic
syslens viII, in lhe Iong iun undcr sc|cc|itc ccndi|icns, le conpeIIed lo voik logelhei,
even lhough no nessage can pass fion lhe noie supeificiaI sonalic syslen lo lhe
gein pIasn. SanueI ßulIei´s hunch lhal sonelhing Iike ¨halil¨ nighl le ciuciaI in
evoIulion vas peihaps nol loo vide of lhe naik.
Wilh lhis inlioduclion ve can nov pioceed lo Iook al lhe piolIens vhich a
doulIe lind lheoiy of schizophienia vouId pose foi lhe genelicisl.
4.6.2 GcnctIc Prnb!cms Pnscd by Dnub!c BInd Thcnry
If schizophienia le a nodificalion oi disloilion of lhe Ieaining piocess, lhen
vhen ve ask aloul lhe genelics of schizophienia, ve cannol le conlenl jusl vilh
geneaIogies upon vhich ve disciininale sone individuaIs vho have leen
connilled lo hospilaIs, and olheis vho have nol. Theie is no a piioii expeclalion lhal
lhese disloilions of lhe Ieaining piocess, vhich aie highIy foinaI and alsliacl in lheii
naluie, viII necessaiiIy appeai vilh lhal appiopiiale conlenl vhich vouId iesuIl in
hospilaI connilnenl. Oui lask as genelicisls viII nol le lhe sinpIe one upon vhich
lhe MendeIians concenlialed, assuning a one-lo-one ieIalion lelveen phenolype and
genolype. We cannol sinpIy assune lhal lhe hospilaIized nenleis caiiy a gene foi
schizophienia and lhal lhe olheis do nol. Ralhei, ve have lo expecl lhal seveiaI genes
oi consleIIalions of genes viII aIlei palleins and polenliaIilies in lhe Ieaining piocess,
and lhal ceilain of lhe iesuIlanl palleins, vhen confionled ly appiopiiale foins of
enviionnenlaI sliess, viII Iead lo oveil schizophienia.
In lhe nosl geneiaI leins, any Ieaining, le il lhe alsoiplion of one lil of
infoinalion oi a lasic change in lhe chaiaclei sliucluie of lhe vhoIe oiganisn, is,
fion lhe poinl of viev of genelics, lhe acquisilion of an ¨acquiied chaiacleiislic.¨ Il is
a change in lhe phenolype, of vhich lhal phenolype vas capalIe lhanks lo a vhoIe
chain of physioIogic and enliyoIogic piocesses vhich Iead lack lo lhe genolype.
Lveiy slep in lhis lackvaid Ieading seiies nay (conceivalIy) le nodified oi
inleiiupled ly enviionnenlaI inpacls, lul, of couise, nany of lhe sleps viII le iigid
in lhe sense lhal enviionnenlaI inpacl al lhal poinl vouId deslioy lhe oiganisn. We
aie conceined onIy vilh lhose poinls in lhe hieiaichy al vhich enviionnenl can lake
effecl and lhe oiganisn sliII le vialIe. Hov nany such poinls lheie nay le ve aie
fai fion knoving. And uIlinaleIy, vhen ve ieach lhe genolype, ve aie conceined lo
knov vhelhei lhe genolypic eIenenls in vhich ve aie inleiesled aie oi aie nol
vaiialIe. Do diffeiences occui fion genolype lo genolype vhich viII affecl lhe
nodifialiIily of lhe piocesses Ieading lo lhe phenolypic lehaviois vhich ve olseive`
In lhe case of schizophienia uc deaI evidenlIy vilh a ieIaliveIy Iong and conpIex
hieiaichy, and lhe naluiaI hisloiy of lhe disease indicales lhal lhe hieiaichy is nol
neieIy a chain of causes and effecls fion gene-sciipl lo phenolype, vhich chain
lecones al ceilain poinls condilionaI upon enviionnenlaI faclois. Ralhei, il seens
lhal in schizophienia lhe enviionenlaI faclois lhenseIves aie IikeIy lo le nodified
ly lhe suljecl´s lehavioi vhenevei lehavioi ieIaled lo schizophienia slails lo
To iIIusliale lhese conpIexilies, il is peihaps voilhvhiIe lo considei foi a
nonenl lhe genelic piolIens piesenled ly olhei foins of connunicalionaI lehavioi
~hunoi, nalhenalicaI skiII, oi nusicaI conposilion. Ieihaps in aII lhese cases, lheie
aie consideialIe genelic diffeiences lelveen individuaIs in lhose faclois vhich nake
foi an aliIily lo acquiie lhe appiopiiale skiIIs. ßul lhe skiIIs lhenseIves and lheii
pailicuIai expiession aIso depend IaigeIy upon enviionnenlaI ciicunslances and
even upon specific liaining. In addilion, hovevei, lo lhese lvo conponenls of lhe
silualion, lheie is lhe facl lhal lhe individuaI vho shovs aliIily, e.g., in nusicaI
conposilion, is IikeIy lo noId his enviionnenl in a diieclion vhich viII favoi his
deveIoping his aliIily, and lhal he viII, in luin, cieale an enviionnenl foi olheis
vhich viII favoi lheii deveIopnenl in lhe sane diieclion.
In lhe case of hunoi, lhe silualion nay even le one degiee noie conpIicaled. Il
is nol cIeai lhal in lhis case lhe ieIalionship lelveen hunoiisl and his hunan
enviionnenl viII necessaiiIy le synneliicaI. Cianled lhal in sone cases lhe
hunoiisl pionoles hunoi in olheis, in nany olhei cases lheie occuis lhe veII-
knovn conpIenenlaiy ieIalionship lelveen hunoiisl and ¨sliaighl¨ nan. Indeed,
lhe hunoiisl, insofai as he hogs lhe cenlei of lhe slage, nay ieduce olheis lo lhe
posilion of ieceiving hunoi lul nol lhenseIves conliiluling.
These consideialions can le appIied unchanged lo lhe piolIen of schizophienia.
Anylody valching lhe lians-aclions vhich occui lelveen lhe nenleis of a faniIy
conlaining an idenlified schizophienic viII peiceive innedialeIy lhal lhe
synplonalic lehavioi of lhe idenlified palienl fils vilh lhis enviionnenl and,
indeed, pionoles in lhe olhei nenleis lhose chaiacleiislics vhich.evoke lhe
schizophienic lehavioi. Thus, in addilion lo lhe lvo slochaslic nechanisns oulIined
in lhe pievious seclion, ve nov face a lhiid, naneIy lhe nechanisn of lhose changes
vheiely lhe faniIy, peihaps giaduaIIy, lecones oiganized (i.e., Iinils lhe lehaviois
of lhe conponenl individuaIs) in such a vay as lo fil lhe schizophienia.
A queslion vhich is fiequenlIy asked is lhis: ¨If lhis faniIy is schizophienogenic,
hov does il happen lhal aII of lhe silIings aie nol diagnosalIe as schizophienic
palienls`¨ Heie il is necessaiy lo insisl lhal lhe faniIy, Iike any olhei oiganizalion,
cieales and depends upon diffeienlialion anong ils nenleis. As in nany
oiganizalions, lheie is ioon onIy foi one loss, in spile of lhe facl lhal lhe
oiganizalion opeiales upon lhose pienises vhich vouId induce adninislialive skiII
and anlilion in ils nenleis, so aIso in lhe schizophienogenic faniIy lheie nay le
ioon foi onIy one schizophienic. The case of lhe hunoiisl is quile conpaialIe. The
oiganizalion of lhe Maix faniIy, vhich couId cieale foui piofessionaI hunoiisls,
nusl have leen quile exceplionaI. Moie usuaIIy one such individuaI vouId suffice lo
ie-duce lhe olheis lo noie connonpIace lehavioiaI ioIes. Cene-lics nay pIay a ioIe
in deciding vhich of seveiaI silIings shaII le lhe schizophienic~oi vhich shaII le
lhe cIovn~lul il is ly no neans cIeai lhal such heiedilaiy faclois couId conpIeleIy
deleinine lhe evoIulion oi ioIes vilhin lhe faniIy oiganizalion.
A second queslion~lo vhich ve have no finaI ansvei~conceins lhe degiee of
schizophienia (genelic and/oi acquiied) vhich nusl le assigned lo lhe
schizophienogenic paienl. Lel ne, foi puiposes of lhe piesenl inquiiy, define lvo
degiees of schizophienic synplonaloIogy, and nole lhal lhe so-caIIed ¨psycholic
lieak¨ sonelines divides lhese lvo degiees.
The noie seiious and conspicuous degiee of synplonaloIogy is vhal is
convenlionaIIy caIIed schizophienia. I viII caII il ¨oveil schizophienia.¨ The peisons
so affIicled le-have in vays vhich aie giossIy devianl fion lhe cuIluiaI-
enviionnenl. In pailicuIai, lheii lehavioi seens chaiacleiized ly conspicuous oi
exaggeialed eiiois and disloilions iegaiding lhe naluie and lyping of lheii ovn
nessages (inleinaI and exleinaI), and of lhe nessages vhich lhey ieceive fion olheis.
Inaginalion is seeningIy confused vilh peiceplion. The IileiaI is confused vilh lhe
nelaphoiic. InleinaI nessages aie confused vilh exleinaI. The liiviaI is confused
vilh lhe vilaI. The oiiginaloi of lhe nessage is confused vilh lhe iecipienl and lhe
peiceivei vilh lhe lhing peiceived. And so on. In geneiaI, lhese disloilions loiI dovn
lo lhis: lhal lhe palienl lehaves in such a vay lhal he shaII le iesponsilIe foi no
nelaconnunicalive aspecl of his nessages. He does lhis, noieovei, in a nannei
vhich nakes his condilion conspicuous: in sone cases, fIooding lhe enviionnenl
vilh nessages vhose IogicaI lyping is eilhei lolaIIy olscuie oi nisIeading, in olhei
cases, oveilIy vilhdiaving lo such a poinl lhal he connils hinseIf lo no oveil
In lhe ¨coveil¨ case lhe lehavioi of lhe idenlified palienl is siniIaiIy lul Iess
conspicuousIy chaiacleiized ly a conlinuaI changing of lhe IogicaI lyping of his oi
hei nessages, and a lendency lo iespond lo lhe nessages of olheis (cspeciaIIy lo
lhose of olhei faniIy nenleis) as lhough lhese veie of IogicaI lype, diffeienl fion
lhal vhich lhe speakei inlended. In lhis syslen of lehavioi lhe nessages of lhe vis-a-
vis aie conlinuaIIy disquaIified, eilhei ly indicaling lhal lhey aie inappiopiiale
iepIies lo vhal lhe coveil schizophienic has said oi ly indicaling lhal lhey aie lhe
pioducl of sone fauIl in lhe chaiaclei oi nolivalion of lhe speakei. Moieovei, lhis
desliuclive lehavioi is in geneiaI nainlained in such a vay as lo le undelecled. So
Iong as lhe coveil schizophienic can succeed in pulling lhe olhei in lhe viong, his oi
hei palhoIogy is olscuied and lhe lIane faIIs eIse-vheie. Theie is sone evidence lhal
lhese peisons feai coI-Iapse inlo oveil schizophienia vhen faced ly ciicunslances
vhich vouId foice lhen lo iecognize lhe pallein of lheii opeialions. They viII even
use lhe lhieal, ¨You aie diiving ne ciazy,¨ as a defense of lheii posilion.
Whal I an heie caIIing coveil schizophienia is chaiacleiislic of lhe paienls of
schizophienics in lhe faniIies vhich ve have sludied. This lehavioi, vhen il occuis
in lhe nolhei, has leen exlensiveIy caiicaluied, so I shaII use heie an exanpIe of
vhich lhe cenliaI figuie is lhe falhei. Mi. and Mis. I. had leen naiiied sone
eighleen yeais and have a neai-helephienic son of sixleen. Theii naiiiage is difficuIl
and is chaiacleiized ly aInosl conlinuaI hosliIily. Hovevei, she is a keen gaidenei,
and on a ceilain Sunday afleinoon lhey voiked logelhei pIanling ioses in vhal vas
lo le hei iose gaiden. She iecaIIs lhal lhis vas an unusuaIIy pIeasanl occasion. On
Monday noining, lhe husland venl lo voik as usuaI, and vhiIe he vas gone Mis. I.
ieceived a phone caII fion a conpIele sliangei inquiiing, ialhei apoIogelicaIIy, vhen
Mis. I. vas going lo Ieave lhe house. This cane as sonevhal of a suipiise. She did
nol knov lhal fion hei husland´s poinl of viev lhe nessages of shaied voik on lhe
iose gaiden veie fianed vilhin lhe Iaigei conlexl of his having agieed duiing lhe
pievious veek lo seII lhe house.
In sone cases, il aInosl Iooks as lhough lhe oveil schizophienic veie a caiicaluie
of lhe coveil.
If ve assune lhal lolh lhe giossIy schizophienic synplons of lhe idenlified
palienl and lhe ¨coveil schizophienia¨ of lhe paienls aie in pail deleinined ly
genelic faclois, i.e., lhal, given lhe appiopiiale expeiienliaI selling, genelics in sone
degiee iendeis lhe palienl noie IialIe lo deveIop lhese pailicuIai palleins of
lehavioi, lhen ve have lo ask hov lhese lvo degiees of palhoIogy nighl le ieIaled
in a genelic lheoiy.
CeilainIy, no ansvei lo lhis queslion is al piesenl avaiI-alIe, lul il is cIeaiIy
possilIe ve heie face lvo quile dislincl piolIens. In lhe case of lhe oveil
schizophienic, lhe genelicisl viII have lo idenlify lhose foinaI chaiacleiislics of lhe
palienl vhich viII iendei hin noie IikeIy lo le diiven lo a psycholic lieak ly lhe
coveilIy inconsislenl lehavioi of his paienls (oi ly lhis in conjunclion and conliasl
vilh lhe noie consislenl lehavioi of peopIe oulside lhe faniIy). Il is loo eaiIy lo
nake a specific guess al lhese chaiacleiislics, lul ve nay ieasonalIy assune lhal
lhey vouId incIude sone soil of iigidily. Ieihaps lhe peison pione lo oveil
schizophienia vouId le chaiacleiized ly sone exlia slienglh of psychoIogicaI
connilnenl lo lhe s|a|us quc as he al lhe nonenl sees il, vhich connilnenl vouId
le huil oi fiuslialed ly lhe paienls´ iapid shifls of fiane and conlexl. Oi peihaps lhis
palienl nighl le chaiacleiized ly lhe high vaIue of sone paianelei deleinining lhe
ieIalionship lelveen piolIen soIving and halil foinalion. Ieihaps il is lhe peison
vho loo ieadiIy hands ovei lhe soIulions lo halil vho is huil ly lhose changes in
conlexl vhich invaIidale hIs soIulions jusl al lhe nonenl vhen he has incoipoialed
lhen inlo his halil sliucluie.
In lhe case of coveil schizophienia, lhe piolIen foi lhe genelicisl viII le
diffeienl. He viII have lo idenlify lhose foinaI chaiacleiislics vhich ve olseive in
lhe paienls of lhe schizophienic. Heie vhal is iequiied vouId seen lo le a fIexiliIily
ialhei lhan a iigidily. ßul, having had sone expeiience in deaIing vilh lhese peopIe,
'I nusl confess lo feeIing lhal lhey aie iigidIy connilled lo lheii palleins of
Whelhei lhe lvo queslions vhich lhe genelicisl nusl ansvei can sinpIy le
Iunped logelhei ly iegaiding lhe coveil palleins as neieIy a niIdei veision of lhe
oveil, oi can le lioughl undei a singIe head ly suggesling lhal in sone sense lhe
sane iigidily opeiales al diffeienl IeveIs in lhe lvo cases, I do nol knov.
ße lhal as il nay, lhe difficuIlies vhich ve heie face aie enliieIy chaiacleiislic of
any allenpl lo find a genelic lase foi any lehavioiaI chaiacleiislic. NoloiiousIy, lhe
sign of any nessage oi lehavioi is suljecl lo ieveisaI, and lhis geneiaIizalion is one of
lhe nosl inpoilanl. conliilulions of psycho-anaIysis, lo oui lhinking. If ve find lhal
a sexuaI exhililionisl is lhe chiId of a piudish paienl, aie ve juslified in going lo lhe
genelicisl lo ask hin lo liace oul lhe genelics of sone lasic chaiacleiislic vhich viII
find ils phenolypic expiession lolh in lhe piudishness of lhe paienl and in lhe
exhililionisn of lhe offspiing` The phenonena of suppiession and
oveiconpensalion Iead conlinuaIIy lo lhe difficuIly lhal an excess of sonelhing al
one IeveI (e.g., in lhe genolype) nay Iead lo a deficiency of lhe diiecl expiession of
lhal sonelhing al , sone noie supeificiaI IeveI (e.g,. in lhe phenolype). And
We aie veiy fai, lhen, fion leing alIe lo pose specific queslions foi lhe
genelicisl, lul I leIieve lhal lhe videi inpIicalions of vhal I have leen saying
nodify sonevhal lhe phiIosophy of genelics. Oui appioach lo lhe piolIens of
schizophienia ly vay of a lheoiy of IeveIs oi IogicaI lypes has discIosed fiisl lhal lhe
piolIens of adaplalion and Ieaining and lheii palhoIogies nusl le consideied in
leins of a hieiaichic syslen in vhich slochaslic change occuis al lhe loundaiy poinls
lelveen lhe segnenls of lhe hieiaichy. We have consideied lhiee such iegions of
slochaslic change ~lhe IeveI of genelic nulalion, lhe IeveI of Ieaining, and lhe IeveI
of change in faniIy oiganizalion. We have discIosed lhe possiliIily of a ieIalionship
of lhese IeveIs vhich oilhodox genelics vouId deny, and ve have discIosed lhal al
Ieasl in hunan socielies lhe evoIulionaiy syslen consisls nol neieIy in lhe seIeclive
suivivaI of lhose peisons vho happen lo seIecl appiopiiale enviionnenls lul aIso in
lhe nodificalion of faniIy enviionnenl in a diieclion vhich nighl enhance lhe
phenolypic and genolypic chaiacleiislics of lhe individuaI nenleis.
4.6.3 What Is Man?
If I had leen asked fifleen yeais ago vhal I undeislood ly lhe void naleiiaIisn,
I lhink I shouId have said lhal naleiiaIisn is a lheoiy aloul lhe naluie of lhe
univeise, and I vouId have accepled as a nallei of couise lhe nolion lhal lhis lheoiy
is in sone sense nonnoiaI. I vouId have agieed lhal lhe scienlisl is an expeil vho
can piovide hinseIf and olheis vilh insighls and lechniques, lul lhal science couId
have nolhing lo say aloul vhelhei lhese lechniques sncu|d le used. In lhis, I vouId
have leen foIIoving lhe geneiaI liend of scienlific phiIosophy associaled vilh such
nanes al Denociilus, CaIiIeo, Nevlon,
Lavoisiei, and Daivin. I vouId have leen
discaiding lhe Iess iespeclalIe vievs of such nen as HeiacIilus, lhe aIchenisls,
WiIIian ßIake, Lanaick, and SanueI ßulIei. Ioi lhese, lhe nolive foi scienlific
inquiiy vas lhe desiie lo luiId a conpiehensive viev of lhe univeise vhich shouId
shov vhal Man is and hov he is ieIaled lo lhe iesl of lhe univeise. The picluie vhich
lhese nen veie liying lo luiId vas elhicaI and aeslhelic.
Theie is lhis nuch conneclion ceilainIy lelveen scienlific liulh, on lhe one hand,
and leauly and noiaIily, on lhe olhei: lhal if a nan enleilain faIse opinions
iegaiding his ovn naluie, he viII le Ied lheiely lo couises of aclion vhich viII le in
sone piofound sense innoiaI oi ugIy.
Today, if asked lhe sane queslion iegaiding lhe neaning of naleiiaIisn, I vouId
say lhal lhis void slands in ny lhinking foi a coIIeclion of iuIes aloul vhal
queslions shouId le asked iegaiding lhe naluie of lhe univeise. ßul I vouId nol
suppose lhal lhis sel of iuIes has any cIain lo le uniqueIy iighl.
The nyslic ¨sees lhe voiId in a giain of sand,¨ and lhe voiId vhich he sees is
eilhei noiaI oi aeslhelic, oi lolh. The Nevlonian scienlisl sees a ieguIaiily in lhe
lehavioi of faIIing lodies and cIains lo diav fion lhis ieguIaiily no noinalive
concIusions vhalsoevei. ßul his cIain ceases lo le consislenl al lhe nonenl vhen he
pieaches lhal lhis is lhe iighl vay lo viev lhe univeise. To pieach is possilIe onIy in
leins of noinalive concIusions.
I have louched upon seveiaI nalleis in lhe couise of lhis Iecluie vhich have leen
foci of conlioveisy in lhe Iong lallIe lelveen a nonnoiaI naleiiaIisn and a noie
ionanlic viev of lhe univeise. The lallIe lelveen Daivin and SanueI ßulIei nay
have oved sone of ils lilleiness lo vhal Iooked Iike peisonaI affionls, lul lehind aII
lhis lhe aigunenl conceined a queslion vhich had ieIigious slalus. The lallIe vas
The nanc of Nevlon ceilainIy leIongs in lhis Iisl. ßul lhe nan hinseIf vas of a diffeienl
kidney. His nyslicaI pieoccupalion vilh aIcheny and apocaIyplic viilings, and his seciel lheoIogicaI
nonisn indicale lhal he vas nol lhe fiisl oljeclive scienlisl lul, ialhei, lhe ¨Iasl of lhe nagicians¨
(see }. M. Keynes, ¨Nevlon, lhe Man,¨ Teicenlenaiy CeIelialions, London, Canliidge Univeisily
Iiess, 1947, pp. 27-34). Nevlon and ßIake veie aIike in devoling nuch line and lhoughl lo lhe
nyslicaI voiks of }acol ßoehne.
ieaIIy aloul ¨vilaIisn.¨ Il vas a queslion of hov nuch |ifc and vhal oidei of Iife
couId le assigned lo oiganisns, and Daivin´s vicloiy anounled lo lhis, lhal vhiIe he
had nol succeeded in deliacling fion lhe nysleiious IiveIiness of lhe individuaI
oiganisn, he had al Ieasl denonslialed lhal lhe evoIulionaiy picluie couId le
ieduced lo naluiaI ¨Iav.¨
Il vas, lheiefoie, veiy inpoilanl lo denonsliale lhal lhe as yel unconqueied
leiiiloiy~lhe Iife of lhe individuaI oiganisn~couId nol conlain anylhing vhich
vouId iecapluie lhis evoIulionaiy leiiiloiy. Il vas sliII nysleiious lhal Iiving
oiganisns couId achieve adaplive change duiing lheii individuaI Iives, and al aII
cosls lhese adaplive changes, lhe fanous acquiied chaiacleiislics, nusl nol have
infIuence up-on lhe evoIulionaiy liee. The ¨inheiilance of acquiied chaiacleiislics¨
lhiealened aIvays lo iecapluie lhe fieId of evoIulion foi lhe vilaIisl side. One pail of
lioIogy nusl le sepaiale fion lhe olhei. The oljeclive scienlisls cIained, of couise,
lo leIieve in a unily in naluie~lhal uIlinaleIy lhe vhoIe of naluiaI phenonena
vouId piove susceplilIe lo lheii anaIysis, lul foi aloul a hundied yeais il vas
convenienl lo sel up an inpeinealIe scieen lelveen lhe lioIogy of lhe individuaI
and lhe lheoiy of evoIulion. SanueI ßulIei´s ¨inheiiled nenoiy¨ vas an allack upon
lhis scieen.
The queslion vilh vhich I an conceined in lhis concIuding seclion of lhe Iecluie
couId le pul in vaiious vays. Is lhe lallIe lelveen nonnoiaI naleiiaIisn and lhe
noie nyslicaI viev of lhe univeise affecled ly a change in lhe funclion assigned lo
lhe ¨acquiied chaiacleiislics`¨ Does lhe oIdei naleiiaIisl lhesis ieaIIy depend upon
lhe pienise lhal conlexls aie isoIalIe` Oi is oui viev of lhe voiId changed vhen ve
adnil an infinile iegiess of conlexls, Iinked lo each olhei in a conpIex nelvoik of
nelaieIalions` Does lhe possiliIily lhal lhe sepaiale IeveIs of slochaslic change (in
phenolype and genolype) nay le connecled in lhe Iaigei conlexl of lhe ecoIogicaI
syslen aIlei oui aIIegiance in lhe lallIe`
In lieaking avay fion lhe pienise lhal conlexls aie aI-vays concepluaIIy
isoIalIe, I have Iel in lhe nolion of a univeise nuch noie unified~and in lhal sense
nuch noie nyslicaI~lhan lhe convenlionaI univeise of nonnoiaI naleiiaIisn. Does
lhe nev posilion so achieved give us nev giounds foi hope lhal science nighl
ansvei noiaI oi aeslhelic queslions`
I leIieve lhal lhe posilion is significanlIy changed, and peihaps I can lesl nake
lhis cIeai ly consideiing a nallei vhich you as psychialiisls have lhoughl aloul
nany lines. I nean lhe nallei of ¨conlioI¨ and lhe vhoIe ieIaled conpIex suggesled
ly such voids as nanipuIalion, sponlaneily, fiee viII, and lechnique. I lhink you viII
agiee vilh ne lhal lheie is no aiea in vhich faIse pienises iegaiding lhe naluie of
lhe seIf and ils ieIalion lo olheis can le so suieIy pioduclive of desliuclion and
ugIiness as lhis aiea of ideas aloul conlioI. A hunan leing in ieIalion vilh anolhei
has veiy Iiniled conlioI ovei vhal happens in lhal ieIalionship. He is a par| cf a lvo-
peison unil, and lhe. conlioI vhich any pail can have ovei any vhoIe is sliiclIy
The infinile iegiess of conlexls vhich I have laIked aloul is onIy anolhei
exanpIe of lhe sane phenonenon. Whal I have conliiluled lo lhis discussion is lhe
nolion. lhal lhe conliasl lelveen pail and vhoIe, vhenevei lhis conliasl appeais in
lhe ieaIn of connunicalion, is sinpIy a conliasl in IogicaI lyping. The vhoIe is
aIvays in a nelaieIalionship vilh ils pails. As in Iogic lhe pioposilion can nevei
deleinine lhe nela pioposilion, so aIso in nalleis of conlioI lhe snaIIei conlexl can
nevei deleinine lhe Iaigei. I have ienaiked (e.g., vhen discussing lhe phenonena of
phenolypic conpensalion) lhal in hieiaichies of IogicaI lyping lheie is oflen sone
soil of change of sign al each IeveI, vhen lhe IeveIs aie ieIaled lo each olhei in such a
vay as lo cieale a seIf-coiieclive syslen. This appeais in a sinpIe diagiannalic foin
in lhe inilialoiy hieiaichy vhich I sludied in a Nev Cuinea liile. The inilialois aie
lhe naluiaI enenies of lhe novices, lecause il is lheii lask lo luIIy lhe novices inlo
shape. The nen vho inilialed lhe piesenl inilialois nov have a ioIe of ciilicizing
vhal is nov leing done in lhe inilialion ceienonies, and lhis nakes lhen lhe naluiaI
aIIies of lhe piesenl novices. And so on. Sonelhing of lhe sane soil aIso occuis in
Aneiican coIIege fialeinilies, vheie juniois lend lo le aIIied vilh fieshnen and
seniois vilh sophonoies.
This gives us a viev of lhe voiId vhich is sliII aInosl unexpIoied. ßul sone of
ils conpIexilies nay le suggesled ly a veiy ciude and inpeifecl anaIogy. I lhink lhal
lhe funclioning of such hieiaichies nay le conpaied vilh lhe lusiness of liying lo
lack a liuck lo vhich one oi noie liaiIeis aie allached. Lach segnenlalion of such a
syslen denoles a ieveisaI of sign, and each added segnenl denoles a diaslic deciease
in lhe anounl of conlioI lhal can le exeiled ly lhe diivei of lhe liuck. If lhe syslen is
paiaIIeI lo lhe iighl-hand side of lhe ioad, and he vanls lhe liaiIei innedialeIy
lehind hin lo appioach lhe iighl-hand side, he nusl luin his fionl vheeIs lo lhe Iefl.
This viII guide lhe ieai of lhe liuck avay fion lhe iighl-hand side of lhe ioad so lhal
lhe fionl of lhe liaiIei is puIIed ovei lo ils Iefl. This viII nov cause lhe ieai of lhe
liaiIei lo poinl lovaid lhe iighl. And so on.
As anylody vho has allenpled lhis viII knov, lhe anounl of avaiIalIe conlioI
faIIs off iapidIy. To lack a liuck vilh one liaiIei is aIieady difficuIl lecause lheie is
onIy a Iiniled iange of angIes vilhin vhich lhe conlioI can le exeiled. If lhe liaiIei is
in Iine, oi aInosl in Iine, vilh lhe liuck, lhe conlioI is easy, lul as lhe angIe lelveen
liaiIei and liuck dininishes, a poinl is ieached al vhich conlioI is Iosl and lhe
allenpl lo exeil il onIy iesuIls in jackknifing of lhe syslen. When ve considei lhe
piolIen of conlioIIing a second liaiIei, lhe lhieshoId foi jackknifing is diaslicaIIy
ieduced, and conlioI lecones, lheiefoie, aInosl negIigilIe.
As I see il, lhe voiId is nade up of a veiy conpIex nel-voik (ialhei lhan a chain)
of enlilies vhich have lhis soil of ieIalionship lo each olhei, lul vilh lhis diffeience,
lhal nany of lhe enlilies have lheii ovn suppIies of eneigy and peihaps even lheii
ovn ideas of vheie lhey vouId Iike lo go.
In such a voiId lhe piolIens of conlioI lecone noie akin lo ail lhan lo science,
nol neieIy lecause ve lend lo lhink of lhe difficuIl and lhe unpiediclalIe as conlexls
foi ail lul aIso lecause lhe iesuIls of eiioi aie IikeIy lo le ugIiness.
Lel ne lhen concIude vilh a vaining lhal ve sociaI scienlisls vouId do veII lo
hoId lack oui eageiness lo conlioI lhal voiId vhich ve so inpeifeclIy undeisland.
The facl of oui inpeifecl undeislanding shouId nol le aIIoved lo feed oui anxiely
and so inciease lhe need lo conlioI. Ralhei, oui sludies couId le inspiied ly a noie
ancienl, lul loday Iess honoied, nolive: a cuiiosily aloul lhe voiId of vhich ve aie
pail. The ievaids of such voik aie nol povei lul leauly.
Il is a sliange facl lhal eveiy gieal scienlific advance~nol Ieasl lhe advances
vhich Nevlon achieved~has leen eIeganl.
Addi|icna| Rcfcrcnccs
W. R. Ashly, Dcsign fcr a 8rain, Nev Yoik, }ohn WiIey & Sons, Inc., 1952.
, |n|rcduc|icn |c Cqocrnc|ics, Nev Yoik and
London, }ohn WiIey & Sons, Inc., 1956.
C. ßaleson, D. D. }ackson, }. HaIey, and }. H. WeakIand, ¨Tovaid a Theoiy of
Schizophienia,¨ 8cnaticra| Scicncc, 1956, 1: 251-64.
C. ßaleson, ¨CuIluiaI IiolIens Iosed ly a Sludy of Schizophienic Iiocess,
Sqnpcsiun cn Scnizcpnrcnia, an |n|cgra|cd Apprcacn, ly AIfied Aueilack, M.
D., ed., Aneiican Isychialiic Associalion, Synposiun of lhe Havaiian
DivisionaI Meeling, 1958, Nev Yoik, RonaId Iiess, 1959.
, ¨The Nev ConcepluaI Iianes foi ßehavioiaI Re-seaich,¨ Iioceedings of
lhe Sixlh AnnuaI Isychialiic Confeience al lhe Nev }eisey Neuio-
Isychialiic Inslilule, Iiincelon, 1958, pp. 54-71.
, ¨The Cioup Dynanics of Schizophienia,¨ Chionic
Schizophienia, L. AppIely, }. M. Schei, and }. H. Cunnings, eds., CIencoe,
III., The Iiee Iiess, 196O.
, ¨SociaI IIanning and lhe Concepl of Deuleio-
Leaining,¨ ReIalion lo lhe Denocialic Way of Life, Confeience on Science,
IhiIosophy and ReIigion, Second Synposiun, Ied ly L. ßiyson and L.
IinkeIslein, Nev Yoik, Haipei & ßios., 1942.
, Naven, a Suivey of IiolIens Suggesled ly a Conposile Iicluie of
CuIluie of a Nev Cuinea Tiile Diavn fion Thiee Ioinls of Viev, Ld. 2,
Slanfoid, CaIif., Slanfoid Univeisily Iiess, 1958.
S. ßulIei, Thoughl and Language, 189O, pulIished in lhe Shievsluiy Ldilion of lhe
voiks of SanueI ßulIei, 1925, voI. xix.
, Luck oi Cunning as lhe Main Means of Oiganic Modificalion, London,
Tiulnei, 1887.
C. D. DaiIinglon, ¨The Oiigins of Daivinisn,¨ Scienlific Aneiican, 1959, 2OO: 6O-65.
C. Daivin, On lhe Oiigin of Species, ly Means of NaluiaI SeIeclion, London, Muiiay,
C. C. CiIIispie, ¨Lanaick and Daivin in lhe Hisloiy of Science,¨ Aneiican Scienlisl,
1958, 46: 388-4O9.
}. Slioud, ¨IsychoIogicaI Monenl in Ieiceplion-Discussion,¨ Cyleinelics: CiicuIai
CausaI and Ieedlack Mechanisns in ßioIogicaI and SociaI Syslens,
Tiansaclions of lhe Sixlh Confeience, H. Von Ioeislei, el aI:, eds., Nev
Yoik, }osiah Macy, }i. Ioundalion, 1949, pp. 27-63.
C. H. Waddinglon, The Slialegy of lhe Cenes, London, Ceoige AIIen & Unvin, Lld.,
, ¨The Inlegialion of Cene-ConlioIIed Iiocesses and Ils ßeaiing on
LvoIulion,¨ CaiyoIogia, SuppIenenl, 1954, pp. 232-45.
, ¨Cenelic AssiniIalion of an Acquiied Chaiaclei,¨ LvoIulion, 1953, 7: 118-
A. Weisnann, Lssays upon Heiedily, aulhoiized liansIalion, L. ß. IouIlon, el aI.,
eds., Oxfoid, CIaiendon Iiess, 1889.
4.7 Doub|e Blnd, 1969
DoulIe lind lheoiy vas, foi ne, an exenpIificalion of hov lo lhink aloul such
nalleis and, in lhis aspecl al Ieasl, lhe vhoIe lusiness is voilh sone ie-exaninalion.
Sonelines~oflen in science and aIvays in ail~one does nol knov vhal lhe
piolIens veie liII aflei lhey have leen soIved. So peihaps il viII le usefuI lo slale
ieliospecliveIy vhal piolIens veie soIved foi ne ly doulIe lind lheoiy.
Iiisl lheie vas lhe piolIen of ieificalion.
CIeaiIy lheie aie in lhe nind no oljecls oi evenls~no pigs, no coconul paIns,
and no nolheis. The nind conlains onIy liansfoins, peicepls, inages, elc., and iuIes
foi naking lhese liansfoins, peicepls, elc. In vhal foin lhese iuIes exisl ve do nol
knov, lul piesunalIy lhey aie enlodied in lhe veiy nachineiy vhich cieales lhe
liansfoins. The iuIes aie ceilainIy nol connonIy expIicil as conscious ¨lhoughls.¨
In any case, il is nonsense lo say lhal a nan vas fiighlened ly a Iion, lecause a
Iion is nol an idea. The nan nakes an idca of lhe Iion.
The expIanaloiy voiId of suos|ancc can invoke no diffeiences and no ideas lul
onIy foices and inpacls. And, pei conlia, lhe voiId of fcrn and connunicalion
invokes no lhings, foices, oi inpacls lul onIy diffeiences and ideas. (A diffeience
vhich nakes a diffeience is an idea. Il is a ¨lil,¨ a unil of infoinalion.)
ßul lhese lhings I Ieained onIy Ialei~vas enalIed lo Ieain lhen ly doulIe lind
lheoiy. And yel, of couise, lhey aie inpIicil in lhe lheoiy vhich couId haidIy have
leen ciealed vilhoul lhen.
Oui oiiginaI papei on lhe doulIe lind conlains nuneious eiiois due sinpIy lo
oui having nol yel ailicuIaleIy exanined lhe ieificalion piolIen. We laIk in lhal
papei as lhough a doulIe lind veie a sonelhing and as lhough such sone-lhings
couId le counled.
Of couise lhal´s aII nonsense. You cannol counl lhe lals in an inklIol lecause
lheie aie none. And yel a nan~if he le ¨lal-ninded¨~nay
see¨ seveiaI.
ßul aie lheie doulIe linds in lhe nind` The queslion is nol liiviaI. As lheie aie
in lhe nind no coconuls lul onIy peicepls and liansfoins of coconuls, so aIso, vhen
I peiceive (consciousIy oi unconsciousIy) a doulIe lind in ny loss
lehavioi, I
acquiie in ny nind no doulIe lind lul onIy a peicepl oi liansfoin of a doulIe lind.
And |na| is nol vhal lhe lheoiy is aloul.
We aie laIking lhen aloul sone soil of langIe in lhe iuIes foi naking lhe
liansfoins and aloul lhe acquisilion oi cuIlivalion of such langIes. DoulIe lind
lheoiy asseils lhal lheie is an expeiienliaI conponenl in lhe deleininalion oi
elioIogy of schizophienic synplons and ieIaled lehavioiaI palleins, such as hunoi,
ail, poeliy, elc. NolalIy lhe lheoiy does nol dislinguish lelveen lhese sulspecies.
This papei vas given in Augusl, 1969, al a Synposiun on lhe DoulIe ßind, Chaiinan, Di.
Roleil Rydei, sponsoied ly lhe Aneiican IsychoIogicaI Associalion. Il vas piepaied undei Caieei
DeveIopnenl Avaid (MH-21,931) of lhe NalionaI Inslilule of MenlaI HeaIlh.
Wilhin ils leins lheie is nolhing lo deleinine vhelhei a given individuaI shaII
lecone a cIovn, a poel, a schizophienic, oi sone conlinalion of lhese. We deaI nol
vilh a singIe syndione lul vilh a genus of syndiones, nosl of vhich aie nol
convenlionaIIy iegaided as palhoIogicaI.
Lel ne coin lhe void ¨liansconlexluaI¨ as a geneiaI lein foi lhis genus of
Il seens lhal lolh lhose vhose Iife is eniiched ly lians-conlexluaI gifls and lhose
vho aie inpoveiished ly liansconlexluaI confusions aie aIike in one iespecl: foi
lhen lheie is aIvays oi oflen a ¨doulIe lake.
A faIIing Ieaf, lhe gieeling of a fiiend,
oi a ¨piiniose ly lhe iivei´s liin¨ is nol ¨jusl lhal and nolhing noie.¨ Lxogenous
expeiience nay le fianed in lhe conlexls of diean, and inleinaI lhoughl nay le
piojecled inlo lhe conlexls of lhe exleinaI voiId. And so on. Ioi aII lhis, ve seek a
pailiaI expIanalion in Ieaining and expeiience.
Theie nusl, of couise, aIso le genelic conponenls in lhe elioIogy of lhe
liansconlexluaI syndiones. These vouId expeclalIy opeiale al IeveIs noie alsliacl
lhan lhe expeiienliaI. Ioi exanpIe, genelic conponenls nighl deleinine skiII in
Ieaining lo le liansconlexluaI oi (noie alsliaclIy) lhe polenliaIilies foi acquiiing lhis
skiII. Oi, conveiseIy, lhe genone nighl deleinine skiIIs in iesisling liansconlexluaI
palhvays, oi lhe polenliaIily foi acquiiing lhis Iallei skiII. (Cenelicisls have paid tcrq
IillIe allenlion lo lhe necessily of defining lhe IogicaI lyping of nessages caiiied ly
In any case, lhe neeling poinl vheie lhe genelic deleininalion neels lhe
expeiienliaI is suieIy quile alsliacl, and lhis nusl le liue even lhough lhe
enlodinenl of lhe genelic nessage le a singIe gene. (A singIe oi| of infoinalion~a
singIe diffeience~nay le lhe yes-oi-no ansvei lo a queslion of any degiee of
conpIexily, al any IeveI of alsliaclion. )
Cuiienl lheoiies vhich piopose (foi ¨schizophienia¨) a singIe doninanl gene of
¨Iov peneliance¨ seen lo Ieave lhe fieId open foi any expeiienliaI lheoiy vhich
vouId indicale vhal cIass of expeiiences nighl cause lhe Ialenl polenliaIily lo appeai
in lhe phenolype.
I nusl confess hovevei lhal lhese lheoiies seen lo ne of IillIe inleiesl unliI lhe
pioponenls liy lo specify vhal conponenls of lhe conpIex piocess of deleinining
¨schizophienia¨ aie piovided ly lhe hypolhelicaI gene. To idenlify lhese conponenls
nusl le a suo|rac|itc piocess. Wheie lhe conliilulion of enviionnenl is Iaige, lhe
genelics cannol le invesligaled unliI lhe enviionnenlaI effecl has leen idenlified and
can le conlioIIed.
ßul sauce foi lhe goose is aIso sauce foi lhe gandei, and vhal is said alove aloul
genelicisls pIaces an olIigalion upon ne lo nake cIeai vhal conponenls of
liansconlexluaI piocess couId le piovided ly doulIe lind expeiience. Il is
appiopiiale lheiefoie lo ie-exanine lhe lheoiy of deuleioIeaining upon vhich
doulIe lind lheoiy is lased.
AII lioIogicaI syslens (oiganisns and sociaI oi ecoIogicaI oiganizalions of
oiganisns) aie capalIe of adaplive change. ßul adaplive change lakes nany foins,
such as iesponse, Ieaining, ecoIogicaI succession, lioIogicaI evoIulion, cuIluiaI
evoIulion, elc., accoiding lo lhe size and conpIexily of lhe syslen vhich ve choose
lo considei.
Whalevei lhe syslen, adaplive change depends upon fccdoac| |ccps, le il lhose
piovided ly naluiaI seIeclion oi lhose of individuaI ieinfoicenenl. In aII cases, lhen,
lheie nusl le a piocess of |ria| and crrcr and a nechanisn of ccnpariscn.
ßul liiaI and eiioi nusl aIvays invoIve eiioi, and eiioi is aIvays lioIogicaIIy
and/oi psychicaIIy expensive. Il foIIovs lheiefoie lhal adaplive change nusl aIvays
le nicrarcnic.
Theie is needed nol onIy lhal fiisl-oidei change vhich suils lhe innediale
enviionnenlaI (oi physioIogicaI) denand lul aIso second-oidei changes vhich viII
ieduce lhe anounl of liiaI and eiioi needed lo achieve lhe fiisl-oidei change. And so
on. ßy supeiposing and inleiconnecling nany feedlack Ioops, ve (and aII olhei
lioIogicaI syslens) nol onIy soIve pailicuIai piolIens lul aIso foin naoi|s vhich ve
appIy lo lhe soIulion of c|asscs of piolIens.
We acl as lhough a vhoIe cIass of piolIens couId le soIved in leins of
assunplions oi pienises, fevei in nunlei lhan lhe nenleis of lhe cIass of
piolIens. In olhei voids, ve (oiganisns) |carn |c |carn, oi in lhe noie lechnicaI
phiase, ve deuleio-Ieain.
ßul halils aie noloiiousIy iigid and lheii iigidily foIIovs as a necessaiy coioIIaiy
of lheii slalus in lhe hieiaichy of adaplalion. The veiy econony of liiaI and eiioi
vhich is achieved ly halil foinalion is onIy possilIe lecause halils aie
conpaialiveIy ¨haid piogianned,¨ in lhe engineeis´ phiase. The econony consisls
pieciseIy in nc| ie-exanining oi iediscoveiing lhe pienises of halil eveiy line lhe
halil is used. We nay say lhal lhese pienises aie pailIy ¨unconscious¨, oi~if you
pIease~lhal a naoi| of nol exanining lhen is deveIoped.
Moieovei, il is inpoilanl lo nole lhal lhe pienises of halil aie aInosl necessaiiIy
alsliacl. Lveiy piolIen is in sone degiee diffeienl fion eveiy olhei and ils
desciiplion oi iepiesenlalion in lhe nind viII lheiefoie conlain unique pioposilions.
CIeaiIy lo sink lhese unique pioposilions lo lhe IeveI of pienises of halil vouId le
an eiioi. Halil can deaI successfuIIy onIy vilh pioposilions vhich have geneiaI oi
iepelilive liulh, and lhese aie connonIy of a ieIaliveIy high oidei of alsliaclion.
Nov lhe pailicuIai pioposilions vhich I leIieve lo le inpoilanl in lhe
deleininalion of lhe liansconlexluaI syndiones aie lhose foinaI alsliaclions vhich
desciile and deleinine inleipeisonaI ieIalionship.
I say ¨desciile and deleinine,¨ lul even lhis is inadequale. ßellei vouId le lo
say lhal lhe ieIalionship is lhe exchange of lhese nessages, oi lhal lhe ieIalionship is
innanenl in lhese nessages.
IsychoIogisls connonIy speak as if lhe alsliaclions of ieIalionship
(¨dependency,¨ ¨hosliIily,¨ ¨Iove,¨ elc.) veie ieaI lhings vhich aie lo le desciiled oi
¨expiessed¨ ly nessages. This is epislenoIogy lackvaids: in liulh, lhe nessages
conslilule lhe ieIalionship, and voids Iike
dependency¨ aie veilaIIy coded
desciiplions of palleins innanenl in lhe conlinalion of exchanged nessages.
As has aIieady leen nenlioned, lheie aie no ¨lhings¨ in lhe nind~nol even
Whal is inpoilanl, hovevei, is lhal lhe pioposilion le conslanlIy liue, ialhei lhan lhal il le
alsliacl. Il jusl so happens~coincidenlaIIy~lhal alsliaclions, if veII chosen, have a conslancy of
liulh. Ioi hunan leings il is ialhei conslanlIy liue lhal aii is piesenl aiound lhe nose, lhe iefIexes
vhich conlioI iespiialion can lheiefoie le haid-piogianned in lhe neduIIa. Ioi lhe poipoise, lhe
pioposilion ¨aii aiound lhe lIovhoIe¨ is onIy inleinillenlIy liue, and lheiefoie iespiialion nusl
le con-lioIIed in a noie fIexilIe nannei fion sone highei cenlei.
We aie so lefuddIed ly Ianguage lhal ve cannol lhink sliaighl, and il is
convenienl, sonelines, lo ienenlei lhal ve aie ieaIIy nannaIs. The epislenoIogy
of lhe ¨heail¨ is lhal of any nonhunan nannaI. The cal does nol say ¨niIk¨, she
sinpIy acls oul (oi is) hei end of an inleichange, lhe pallein of vhich ve in Ianguage
vouId caII ¨dependency.¨
ßul lo acl oi le one end of a pallein of inleiaclion is lo piopose lhe olhei end. A
ccn|cx| is sel foi a ceilain cIass of iesponse.
This veaving of conlexls and of nessages vhich piopose conlexl~lul vhich,
Iike aII nessages vhalsoevei, have ¨neaning¨ onIy ly viilue of conlexl~is lhe
suljecl nallei of lhe so-caIIed doulIe lind lheoiy.
The nallei nay le iIIuslialed ly a fanous and foinaIIy coiiecl
anaIogy. Coelhe poinled oul 15O yeais ' ago lhal lheie is a soil of synlax oi giannai
in lhe analony of fIoveiing pIanls. A ¨slen¨ is lhal vhich leais ¨Ieaves¨, a ¨Ieaf¨ is
lhal vhich has a lud in ils axiI, a lud is a slen vhich oiiginales in lhe axiI of a Ieaf,
elc. The foinaI (i.e., lhe connunicalionaI) naluie of each oigan is deleinined ly ils
conlexluaI slalus~lhe conlexl in vhich il occuis and lhe conlexl vhich il sels foi
olhei pails.
I said alove lhal doulIe lind lheoiy is conceined vilh lhe expeiienliaI
conponenl in lhe genesis of langIes in lhe iuIes oi pienises of halil. I nov go on lo
asseil lhal expeiienced lieaches in lhe veave of conlexluaI sliucluie aie in facl
¨doulIe linds¨ and nusl necessaiiIy (if lhey conliilule al aII lo lhe hieiaichic
piocesses of Ieaining and adaplalion) pionole vhal I an caIIing liansconlexluaI
Considei a veiy sinpIe paiadign: a fenaIe poipoise (S|cnc orcdancnsis) is liained
lo accepl lhe sound of lhe liainei´s vhislIe as a ¨secondaiy ieinfoicenenl.¨ The
vhislIe is expeclalIy foIIoved ly food, and if she Ialei iepeals vhal she vas doing
vhen lhe vhislIe lIev, she viII expeclalIy again heai lhe vhislIe and ieceive food.
This poipoise is nov used ly lhe liaineis lo denonsliale ¨opeianl condilioning¨
lo lhe pulIic. When she enleis lhe exhililion lank, she iaises hei head alove suiface,
heais lhe vhislIe and is fed. She lhen iaises hei head again and is again ieinfoiced.
Thiee iepelilions of lhis sequence is enough foi lhe denonslialion and lhe poipoise
is lhen senl off-slage lo vail foi lhe nexl peifoinance lvo houis Ialei. She has
Ieained sone sinpIe iuIes vhich ieIale hei aclions, lhe vhislIe, lhe exhililion lank,
and lhe liainei inlo a pallein~a conlexluaI sliucluie, a sel of iuIes foi hov lo pul lhe
in-foinalion logelhei.
ßul lhis pallein is filled onIy foi a singIe episode in lhe exhililion lank. She nusl
lieak lhal pallein lo deaI vilh lhe cIass of such episodes. Theie is a Iaigei ccn|cx| cf
ccn|cx|s vhich viII pul hei in lhe viong.
Al lhe nexl peifoinance, lhe liainei again vanls lo denonsliale ¨opeianl
condilioning,¨ lul lo do lhis she nusl pick on a diffeienl piece of conspicuous
When lhe poipoise cones on slage, she again iaises hei head. ßul she gels no
vhislIe. The liainei vails foi lhe nexl piece of conspicuous lehavioi~IikeIy a laiI
fIap, vhich is a connon expiession of annoyance. This lehavioi is lhen iein-foiced
and iepealed.
IoinaIIy coiiecl lecause noiphogenesis, Iike lehavioi, is suieIy a nallei of nessages in
conlexls. (See C. ßaleson, ¨A Re-exaninalion of 'ßaleson's RuIe,'¨ ]curna| cf Gcnc|ics, in
ßul lhe laiI fIap vas, of couise, nol ievaided in lhe lhiid peifoinance.
IinaIIy lhe poipoise Ieained lo deaI vilh lhe conlexl of conlexls~ly offeiing a
diffeienl oi ncu piece of conspicuous lehavioi vhenevei she cane on slage.
AII lhis had happened in lhe fiee naluiaI hisloiy of lhe ieIalionship lelveen
poipoise and liainei and audience. The sequence vas lhen iepealed expeiinenlaIIy
vilh a nev poipoise and caiefuIIy iecoided.
Tvo poinls fion lhis expeiinenlaI iepeal of lhe sequence nusl le added:
Iiisl, lhal il vas necessaiy (in lhe liainei´s judgnenl) lo lieak lhe iuIes of lhe
expeiinenl nany lines. The expeiience of leing in lhe viong vas so disluiling lo
lhe poipoise lhal in oidei lo pieseive lhe ieIalionship lelveen poipoise and liainei
(i.e., lhe conlexl of conlexl of conlexl) il vas necessaiy lo give nany ieinfoicenenls
lo vhich lhe poipoise vas nol enlilIed.
Second, lhal each of lhe fiisl fouileen sessions vas chaiacleiized ly nany fuliIe
iepelilions of vhalevei lehavioi had leen ieinfoiced in lhe innedialeIy pievious
session. SeeningIy onIy ly ¨accidenl¨ did lhe aninaI piovide a piece of diffeienl
lehavioi. In lhe line-oul lelveen lhe fouileenlh and fifleenlh sessions, lhe poipoise
appeaied lo le nuch exciled, and vhen she cane on slage foi lhe fifleenlh session
she pul on an eIaloiale peifoinance incIuding eighl conspicuous pieces of lehavioi
of vhich foui veie enliieIy nev~nevei lefoie olseived in lhis species of aninaI.
The sloiy iIIusliales, I leIieve, lvo aspecls of lhe genesis of a liansconlexluaI
Iiisl, lhal seveie pain and naIadjuslnenl can le induced ly pulling a nannaI
in lhe viong iegaiding ils iuIes foi naking sense of an inpoilanl ieIalionship vilh
anolhei nannaI.
And second, lhal if lhis palhoIogy can le vaided off oi iesisled, lhe lolaI
expeiience nay pionole crca|iti|q.
C. ßaleson, ¨SociaI IIanning and lhe Concepl of Deuleio-Leaining,¨ Scicncc,
Pni|cscpnq and Rc|igicn, Scccnd Sqnpcsiun, L. ßiyson and L. IinkeIslein,
eds., Nev Yoik, Confeience on Science, IhiIosophy and ReIigion in lheii
ReIalion lo lhe Denocialic Way of Life, Inc., 1942.
¨MininaI Requiienenls foi a Theoiy of Schizophienia,¨ A.M.A. Arcnitcs cf
Gcncra| Psqcnia|rq, 196O, 2: 477-91.
, Pcrccta|
s Narra|itc, A Pa|icn|´s Acccun| cf nis Psqcncsis, 183O-1832, ediled
and vilh an inlioduclion ly Ciegoiy ßaleson, Slanfoid, CaIif., Slanfoid
Univeisily Iiess, 1961.
, ¨Lxchange of Infoinalion aloul Ialleins of Hu-nan ßehavioi,¨
|nfcrna|icn S|cragc and Ncura| Ccn|rc|, Tcn|n Annua| Scicn|ific Mcc|ing cf |nc
Hcus|cn Ncurc|cgica| Sccic|q, l. S. IieIds and W. Alloll, eds., SpiingfieId,
III., ChaiIes C. Thonas, 1963.
, ¨The RoIe of Sonalic Change in LvoIulion,¨ |tc|u|icn, 1963, 17: 529-39.
K. Iiyoi, R. Haag, and }. O'RieIIy, ¨Deuleio-Leaining in a Roughloolh Ioipoise (S|cnc
orcdancnsis),¨ U. S. NavaI Oidinance Tesl Slalion, China Lake, NOTS TP 427O
4.8 The Loglca| Categorles of Learnlng and
AII species of lehavioiaI scienlisls aie conceined vilh
Ieaining¨ in one sense oi
anolhei of lhal void. Moieovei, since ¨Ieaining¨ is a connunicalionaI phenonenon,
aII aie affecled ly lhal cyleinelic ievoIulion in lhoughl vhich has occuiied in lhe Iasl
lvenly-five yeais. This ievoIulion vas liiggeied ly lhe engineeis and
connunicalion lheoiisls lul has oIdei iools in lhe physioIogicaI voik of Cannon and
CIaude ßeinaid, in lhe physics of CIaike MaxveII, and in lhe nalhenalicaI
phiIosophy of RusseII and Whilehead. Insofai as lehavioiaI scienlisls sliII ignoie lhe
piolIens of Principia Ma|ncna|ica,
lhey can cIain appioxinaleIy sixly yeais of
Il appeais, hovevei, lhal lhe laiiieis of nisundeislanding vhich divide lhe
vaiious species of lehavioiaI scienlisls can le iIIuninaled (lul nol eIininaled) ly an
appIicalion of RusseII´s Theoiy of LogicaI Types lo lhe concepl of ¨Ieaining
vhich aII aie conceined. To allenpl lhis iIIuninalion viII le a puipose of lhe piesenl
4.8.1 Thc Thcnry nf LngIca! Typcs
Iiisl, il is appiopiiale lo indicale lhe suljecl nallei of lhe Theoiy of LogicaI
Types: lhe lheoiy asseils lhal no cIass can, in foinaI IogicaI oi nalhenalicaI
discouise, le a nenlei of ilseIf, lhal a cIass of cIasses cannol le one of lhe cIasses
vhich aie ils nenleis, lhal a nane is nol lhe lhing naned, lhal ¨}ohn ßaleson¨ is lhe
cIass of vhich lhal loy is lhe unique nenlei, and so foilh. These asseilions nay
seen liiviaI and even olvious, lul ve shaII see Ialei lhal il is nol al aII unusuaI foi
lhe lheoiisls of lehavioiaI science lo connil eiiois vhich aie pieciseIy anaIogous lo
lhe eiioi of cIassifying lhe nane vilh lhe lhing naned~oi ealing lhe nenu caid
inslead of lhe dinnei~an eiioi of |cgica| |qping.
Sonevhal Iess olvious is lhe fuilhei asseilion of lhe lheoiy: lhal a cIass cannol
le one of lhose ilens vhich aie coiieclIy cIassified as ils nonnenleis. If ve cIassify
chaiis logelhei lo conslilule lhe cIass of chaiis, ve can go on lo nole lhal lalIes and
Ianp shades aie nenleis of a Iaige cIass of ¨nonchaiis,¨ lul ve shaII connil an
eiioi in foinaI discouise if ve counl lhe c|ass cf cnairs anong lhe ilens vilhin lhe
cIass of nonchaiis.
Inasnuch as no cIass can le a nenlei of ilseIf, lhe cIass of nonchaiis cIeaiIy
cannol le a nonchaii. SinpIe consideialions of synneliy nay suffice lo convince lhe
This essay vas viillen in 1964 vhiIe lhe aulhoi vas enpIoyed ly lhe Connunicalions
Reseaich Inslilule, undei a Caieei DeveIopnenl Avaid (K3-NH-21, 931) fion lhe NalionaI
Inslilule of MenlaI HeaIlh. Il vas sulnilled as a posilion papei lo lhe ¨Confeience on WoiId Vievs¨
sponsoied ly lhe Wennei-Cien Ioundalion, Augusl 2-11, 1968. The seclion on ¨Leaining III¨ vas
added in 1971.
A. N. Whilehead and ß. RusseII, Principia Ma|ncna|ica, 3 voIs., 2nd ed., Canliidge,
Canliidge Univeisily Iiess, 191O-13.
nonnalhenalicaI ieadei: (a) lhal lhe cIass of chaiis is of lhe sane oidei of alsliaclion
(i.e., lhe sane IogicaI lype) as lhe cIass of nonchaiis, and fuilhei, (l) lhal if lhe cIass of
chaiis is nol a chaii, lhen, coiiespondingIy, lhe cIass of nonchaiis is nol a nonchaii.
LaslIy, lhe lheoiy asseils lhal if lhese sinpIe iuIes of foinaI discouise aie
conliavened, paiadox viII le geneialed and lhe discouise vilialed.
The lheoiy, lhen, deaIs vilh highIy alsliacl nalleis and vas fiisl deiived vilhin
lhe alsliacl voiId of Iogic. In lhal voiId, vhen a liain of pioposilions can le shovn
lo geneiale a paiadox, lhe enliie sliucluie of axions, lheoiens, elc., invoIved in
geneialing lhal paiadox is lheiely negaled and ieduced lo nolhing. Il is as if il had
nevei leen. ßul in lhe ieaI voiId (oi al Ieasl in oui desciiplions of il), lheie is aIvays
|inc, and nolhing vhich has leen can evei le lolaIIy negaled in lhis vay. The
conpulei vhich encounleis a paiadox (due lo fauIly piogianning) does nol vanish
The ¨if. lhen.¨ of Iogic conlains no line. ßul in lhe conpulei, cause and effecl
aie used lo sinu|a|c lhe ¨if. lhen.¨ of Iogic, and aII sequences of cause and effecl
necessaiiIy invoIve line. (ConveiseIy, ve nay say lhal in scienlific expIanalions lhe
¨if. lhen.¨ of Iogic is used lo sinuIale lhe ¨if. lhen.¨ of cause and effecl.)
The conpulei nevei liuIy encounleis IogicaI paiadox, lul onIy lhe sinuIalion of
paiadox in liains of cause and effecl. The conpulei lheiefoie does nol fade avay. Il
neieIy osciIIales.
In facl, lheie aie inpoilanl diffeiences lelveen lhe voiId of Iogic and lhe voiId
of phenonena, and lhese diffeiences nusl le aIIoved foi vhenevei ve lase oui
aigunenls upon lhe pailiaI lul inpoilanl anaIogy vhich exisls lelveen lhen.
Il is lhe lhesis of lhe piesenl essay lhal lhis pailiaI anaIogy can piovide an
inpoilanl guide foi lehavioiaI scienlisls in lheii cIassificalion of phenonena ieIaled
lo Ieaining. IieciseIy in lhe fieId of aninaI and nechanicaI connunicalion
sonelhing Iike lhe lheoiy of lypes nusl appIy.
Queslions of lhis soil, hovevei, aie nol oflen discussed in zooIogicaI
Ialoialoiies, anlhiopoIogicaI fieId canps, oi psychialiic convenlions, and il is
necessaiy lheiefoie lo denonsliale lhal lhese alsliacl consideialions aie inpoilanl lo
lehavioiaI scienlisls.
Considei lhe foIIoving syIIogisn:
(a) Changes in fiequency of ilens of nannaIian lehavioi can le
desciiled and piedicled in leins of vaiious ¨Iavs¨ of ieinfoicenenl.
(l) ¨LxpIoialion¨ as olseived in ials is a calegoiy, oi cIass, of
nannaIian lehavioi.
(c) Theiefoie, changes in fiequency of ¨expIoialion
shouId le
desciilalIe in leins of lhe sane ¨Iavs¨ of ieinfoicenenl.
ße il said al once: fiisl, lhal enpiiicaI dala shov lhal lhe concIusion (c) is
unliue, and second, lhal if lhe concIusion (c) veie denonslialIy liue, lhen eilhei (a)
oi (o) vouId le unliue.
is conceivalIe lhal lhe sane ucrds nighl le used in desciiling lolh a cIass and ils
nenleis and le liue in lolh cases. The void ¨vave¨ is lhe nane of a cIass of novenenls of
Logic and naluiaI hisloiy vouId le lellei seived ly an expanded and coiiecled
veision of lhe concIusion (c) sone-vhal as foIIovs:
(c) If, as asseiled in (l), ¨expIoialion¨ is nol an i|cn of nannaIian lehavioi
lul is a ca|cgcrq of such ilens, lhen no desciiplive slalenenl vhich is
liue of i|cns of lehavioi can le liue of ¨expIoialion.¨ If, hovevei,
desciiplive slalenenls vhich aie liue of ilens of lehavioi aie aIso liue
of ¨expIoialion,¨ lhen ¨expIoialion¨ is an ilen and nol a calegoiy of
The vhoIe nallei luins on vhelhei lhe dislinclion lelveen a c|ass and ils
ncnocrs is an oideiing piincipIe in lhe lehavioiaI phenonena vhich ve sludy.
In Iess foinaI Ianguage: you can ieinfoice a ial (posiliveIy oi negaliveIy) vhen
he invesligales a pailicuIai sliange oljecl, and he viII appiopiialeIy Ieain lo
appioach oi avoid il. ßul lhe veiy puipose of expIoialion is lo gel infoinalion aloul
vhich oljecls shouId le appioached and vhich avoided. The discoveiy lhal a given
oljecl is dangeious is lheiefoie a succcss in lhe lusiness of gelling infoinalion. The
success viII nol discouiage lhe ial fion fuluie expIoialion of olhei sliange oljecls.
A piioii il can le aigued lhal aII peiceplion and aII iesponse, aII lehavioi and aII
cIasses of lehavioi, aII Ieaining and aII genelics, aII neuiophysioIogy and
endociinoIogy, aII oiganizalion and aII evoIulion~one enliie suljecl nallei nusl le
iegaided as connunicalionaI in naluie, and lheie-foie suljecl lo lhe gieal
geneiaIizalions oi ¨Iavs¨ vhich appIy lo connunicalive phenonena. We lheiefoie
aie vained lo expecl lo find in oui dala lhose piincipIes of oidei vhich fundanenlaI
connunicalion lheoiy vouId pio-pose. The Theoiy of LogicaI Types, Infoinalion
Theoiy, and so foilh, aie expeclalIy lo le oui guides.
4.8.2 Thc "LcarnIng" nf Cnmputcrs, Rats, and Mcn
The void ¨Ieaining¨ undoulledIy denoles cnangc of sone kind. To saq una| |ind
of change is a deIicale nallei.
Hovevei, fion lhe gioss connon denoninaloi,
change,¨ ve can deduce lhal
oui desciiplions of ¨Ieaining¨ viII have lo nake lhe sane soil of aIIovance foi lhe
vaiielies of IogicaI lype vhich has leen iouline in physicaI science since lhe days of
Nevlon. The sinpIesl and nosl faniIiai foin of change is nc|icn, and even if ve
voik al lhal veiy sinpIe physicaI IeveI ve nusl sliucluie oui desciiplions in leins
of ¨posilion oi zeio nolion,¨ ¨conslanl veIocily,¨
acceIeialion,¨ ¨iale of change of
acceIeialion,¨ and so on.
pailicIes. We can aIso say lhal lhe vave ilseIf ¨noves,¨ lul ve shaII le iefeiiing lo a novenenl
of a cIass of novenenls. Undei fiiclion, lhis nelanovenenl viII nol Iose veIocily as vouId lhe
novenenl of a pailicIe.
The Nevlonian equalions vhich desciile lhe nolions of a ¨pailicIe¨ slop al lhe IeveI of
¨acceIeialion.¨ Cnangc cf accc|cra|icn can onIy happen vilh defoinalion of lhe noving lody,
lul lhe Nevlonian ¨pailicIe¨ vas nol nade up of ¨pails¨ and vas lheiefoie (IogicaIIy) incapalIe of
defoinalion oi any olhei inleinaI change. Il vas lheiefoie nol suljecl lo iale of change of
Change denoles piocess. ßul piocesses aie lhenseIves suljecl lo
change.¨ The
piocess nay acceIeiale, il nay sIov dovn, oi il nay undeigo olhei lypes of change
such lhal ve shaII say lhal il is nov a
diffeienl¨ piocess.
These consideialions suggesl lhal ve shouId legin lhe oideiing of oui ideas
aloul ¨Ieaining¨ al lhe veiy sinpIesl IeveI.
Lel us considei lhe case of specificily of iesponse, oi zcrc |carning. This is lhe case
in vhich an enlily shovs nininaI change in ils iesponse lo a iepealed ilen of
sensoiy inpul. Ihenonena vhich appioach lhis degiee of sinpIicily occui in vaiious
(a) In expeiinenlaI sellings, vhen ¨Ieaining¨ is conpIele and lhe aninaI
gives appioxinaleIy 1OO pei cenl coiiecl iesponses lo lhe iepealed
(l) In cases of halilualion, vheie lhe aninaI has ceased lo give oveil
iesponse lo vhal vas foineiIy a disluiling slinuIus.
(c) In cases vheie lhe pallein of lhe iesponse is nininaIIy deleinined ly
expeiience and naxinaIIy deleinined ly genelic faclois.
(d) In cases vheie lhe iesponse is nov highIy sleieo-lyped.
(e) In sinpIe eIeclionic ciicuils, vheie |nc circui| s|ruc|urc is nc| i|sc|f suojcc|
|c cnangc rcsu||ing frcn |nc passagc cf inpu|scs ui|nin |nc circui|i.c.,
vheie lhe causaI Iinks lelveen ¨slinuIus¨ and ¨iesponse¨ aie as lhe
engineeis say ¨soIdeied in.¨
In oidinaiy, nonlechnicaI paiIance, lhe void ¨Ieain¨ is oflen appIied lo vhal is
heie caIIed ¨zeio Ieaining,¨ i.e., lo lhe sinpIe ieceipl of infoinalion fion an exleinaI
evenl, in such a vay lhal a siniIai evenl al a Ialei (and appiopiiale) line viII convey
lhe sane infoinalion: I ¨Ieain¨ fion lhe facloiy vhislIe lhal il is lveIve o´cIock.
Il is aIso inleiesling lo nole lhal vilhin lhe fiane of oui definilion nany veiy
sinpIe nechanicaI devices shov al Ieasl lhe phenonenon of zeio Ieaining. The
queslion is nol, ¨Can nachines Ieain`¨ lul vhal IeveI oi oidei of Ieaining does a
given nachine achieve` Il is voilh Iooking al an exliene, if hypolhelicaI, case:
The ¨pIayei¨ of a Von Neunannian gane is a nalhenalicaI ficlion, conpaialIe
lo lhe LucIidean sliaighl Iine in geoneliy oi lhe Nevlonian pailicIe in physics. ßy
definilion, lhe
pIayei¨ is capalIe of aII conpulalions necessaiy lo soIve vhalevei
piolIens lhe evenls of lhe gane nay piesenl, he is incapalIe of nol peifoining lhese
conpulalions vhenevei lhey aie appiopiiale, he aIvays oleys lhe findings of his
conpulalions. Such a ¨pIayei¨ ieceives infoinalion fion lhe evenls of lhe gane and
acls appiopiialeIy upon lhal infoinalion. ßul his Ieaining is Iiniled lo vhal is heie
caIIed zeio Ieaining.
An exaninalion of lhis foinaI ficlion viII conliilule lo oui definilion of zeio
The ¨pIayei¨ nay ieceive, fion lhe evenls of lhe gane, infoinalion of highei oi
Iovei IogicaI lype, and he nay use lhis infoinalion lo nake decisions of highei oi
Iovei lype. Thal is, his decisions nay le eilhei slialegic oi laclicaI, and he can
idenlify and iespond lo indicalions of lolh lhe laclics and lhe slialegy of his
opponenl. Il is, hov-evei, liue lhal in Von Neunann´s foinaI definilion of a ¨gane,¨
aII piolIens vhich lhe gane nay piesenl aie conceived as conpulalIe, i.e., vhiIe lhe
gane nay conlain piolIens and infoinalion of nany diffeienl IogicaI lypes, lhe
hieiaichy of lhese lypes is sliiclIy finile.
Il appeais lhen lhal a definilion of zeio Ieaining viII nol depend upon lhe IogicaI
lyping of lhe infoinalion ieceived ly lhe oiganisn noi upon lhe IogicaI lyping of lhe
adaplive decisions vhich lhe oiganisn nay nake. A veiy high (lul finile) oidei of
conpIexily nay chaiacleiize adaplive lehavioi lased on nolhing highei lhan zeio
(1) The ¨pIayei¨ nay conpule lhe vaIue of infoinalion vhich vouId lenefil hin
and nay conpule lhal il viII pay hin lo acquiie lhis infoinalion ly engaging in
¨expIoialoiy¨ noves. AIleinaliveIy, he nay nake deIaying oi lenlalive noves vhiIe
he vails foi needed infoinalion.
Il foIIovs lhal a ial engaging in expIoialoiy lehavioi nighl do so upon a lasis of
zeio Ieaining.
(2) The ¨pIayei¨ nay conpule lhal il viII pay hin lo nake iandon noves. In lhe
gane of nalching pennies, he viII conpule lhal if he seIecls ¨heads¨ oi ¨laiIs¨ al
iandon, he viII have an even chance of vinning. If he uses any pIan oi pallein, lhis
viII appeai as a pallein oi iedundancy in lhe sequence of his noves and his
opponenl viII lheiely ieceive infoinalion. The ¨pIayei¨ viII lheiefoie eIecl lo pIay
in a iandon nannei.
(3) The ¨pIayei¨ is incapalIe of ¨eiioi.¨ He nay, foi good ieason, eIecl lo nake
iandon noves oi expIoialoiy noves, lul he is ly definilion incapalIe of ¨Ieaining
ly liiaI and eiioi.¨
If ve assune lhal, in lhe nane of lhis Ieaining piocess, lhe void ¨eiioi¨ neans
vhal ve neanl il lo nean vhen ve said lhal lhe ¨pIayei¨ is incapalIe of eiioi, lhen
¨liiaI and eiioi¨ is excIuded fion lhe iepeiloiie of lhe Von Neunannian pIayei. In
facl, lhe Von Neunannian ¨pIayei¨ foices us lo a veiy caiefuI exaninalion of vhal
ve nean ly ¨liiaI and eiioi¨ Ieaining, and indeed vhal is neanl ly ¨Ieaining¨ of
any kind. The assunplion iegaiding lhe neaning of lhe void ¨eiioi
is nol liiviaI
and nusl nov le exanined.
Theie is a sense in vhich lhe ¨pIayei¨ can le viong. Ioi exanpIe, he nay lase a
decision upon piolaliIislic consideialions and lhen nake lhal nove vhich, in lhe
Iighl of lhe Iiniled avaiIalIe infoinalion, vas nosl piolalIy iighl. When noie
infoinalion lecones avaiIalIe, he nay discovei lhal lhal nove vas viong. ßul |nis
discctcrq can ccn|riou|c nc|ning |c nis fu|urc s|i||. ßy definilion, lhe pIayei used
coiieclIy aII lhe atai|ao|c infoinalion. He eslinaled lhe piolaliIilies coiieclIy and
nade lhe nove vhich vas nosl piolalIy coiiecl. The discoveiy lhal he vas viong
in lhe pailicuIai inslance can have no leaiing upon fuluie in-slances. When lhe sane
piolIen ieluins al a Ialei line, he viII ccrrcc||q go lhiough lhe sane conpulalions
and ieach lhe sane decision. Moieovei, lhe sel of aIleinalives anong vhich he nakes
his choice viII le lhe sane sel~and coiieclIy so.
In conliasl, an oiganisn is capalIe of leing viong in a nunlei of vays of vhich
lhe ¨pIayei¨ is incapalIe. These viong choices aie appiopiialeIy caIIed ¨eiioi¨ vhen
lhey aie of such a kind lhal lhey vouId piovide infoinalion lo lhe oiganisn vhich
nighl conliilule lo his fuluie skiII. These viII aII le cases in vhich sone of lhe
avaiIalIe infoinalion vas eilhei ignoied oi incoiieclIy used. Vaiious species of such
piofilalIe eiioi can le cIassified.
Suppose lhal lhe exleinaI evenl syslen conlains delaiIs vhich nighl leII lhe
oiganisn: (a) fion vhal sel of aIleinalives he shouId choose his nexl nove, and (o)
vhich nenlei of lhal sel he shouId choose. Such a silualion peinils lvo crdcrs of
The oiganisn nay use coiieclIy lhe infoinalion vhich leIIs hin fion vhal sel of
aIleinalives he shouId choose, lul choose lhe viong aIleinalive vilhin lhis sel, oi
He nay choose fion lhe viong sel of aIleinalives. (Theie is aIso an inleiesling
cIass of cases in vhich lhe sels of aIleinalives conlain connon nenleis. Il is lhen
possilIe foi lhe oiganisn lo le ¨iighl¨ lul foi lhe viong ieasons. This foin of eiioi
is inevilalIy seIf-ieinfoicing.)
If nov ve accepl lhe oveiaII nolion lhal aII Ieaining (olhei lhan zeio Ieaining) is
in sone degiee slochaslic (i.e., conlains conponenls of ¨liiaI and eiioi¨), il foIIovs
lhal an oideiing of lhe piocesses of Ieaining can le luiIl upon an hieiaichic
cIassificalion of lhe lypes of eiioi vhich aie lo le coiiecled in lhe vaiious Ieaining
piocesses. Zeio Ieaining viII lhen le lhe IaleI foi lhe innediale lase of aII lhose acls
(sinpIe and conpIex) vhich aie nol suljecl lo coiieclion ly liiaI and eiioi. Leaining
I viII le an appiopiiale IaleI foi lhe ievision of choice vilhin an unchanged sel of
aIleinalives, Leaining II viII le lhe IaleI foi lhe ievision of lhe sc| fion vhich lhe
choice is lo le nade, and so on.
4.8.3 LcarnIng I
IoIIoving lhe foinaI anaIogy piovided ly lhe ¨Iavs¨ of nolion (i.e., lhe ¨iuIes¨
foi desciiling nolion), ve nov Iook foi lhe cIass of phenonena vhich aie
appiopiialeIy desciiled as cnangcs in zeio Ieaining (as ¨nolion¨ desciiles change of
posilion). These aie lhe cases in vhich an enlily gives al Tine 2 a diffeienl iesponse
fion vhal il gave al Tine 1, and again ve encounlei a vaiiely of cases vaiiousIy
ieIaled lo expeiience, physioIogy, genelics, and nechanicaI piocess:
(a)Theie is lhe phenonenon of halilualion~lhe change fion iesponding lo
each occuiience of a iepealed evenl lo nol oveilIy iesponding. Theie is aIso lhe
exlinclion oi Ioss of halilualion, vhich nay occui as a iesuIl of a noie oi Iess Iong
gap oi olhei inleiiuplion in lhe sequence of iepelilions of lhe slinuIus evenl.
(Halilualion is of especiaI inleiesl. Specificily of iesponse, vhich ve aie caIIing zeio
Ieaining, is chaiacleiislic of aII piolopIasn, lul il is inleiesling lo nole lhal
¨halilualion¨ is peihaps lhe onIy foin of Leaining I vhich Iiving lhings can achieve
vilhoul a neuiaI ciicuil.)
The nosl faniIiai and peihaps nosl sludied case is lhal of lhe cIassicaI IavIovian
condilioning. Al Tine 2 lhe dog saIivales in iesponse lo lhe luzzei, he did nol do lhis
al Tine 1.
(l)Theie is lhe ¨Ieaining¨ vhich occuis in conlexls of insliunenlaI ievaid and
insliunenlaI avoidance.
Theie is lhe phenonenon of iole Ieaining, in vhich an ilen in lhe lehavioi of lhe
oiganisn lecones a slinuIus foi anolhei ilen of lehavioi.
Theie is lhe disiuplion, exlinclion, oi inhililion of ¨conpIeled¨ Ieaining vhich
nay foIIov change oi alsence of ieinfoicenenl.
In a void, lhe Iisl of Leaining I conlains lhose ilens vhich aie nosl connonIy
caIIed ¨Ieaining¨ in lhe psycho-IogicaI Ialoialoiy.
Nole lhal in aII cases of Leaining I, lheie is in oui desciiplion an assunplion
aloul lhe ¨conlexl.¨ This assunplion nusl le nade expIicil. The definilion of
Leaining I assunes lhal lhe luzzei (lhe slinuIus) is sonehov lhe ¨sane¨ al Tine 1
and al Tine 2. And lhis assunplion of ¨saneness¨ nusl aIso deIinil lhe ¨conlexl,¨
vhich nusl (lheoielicaIIy) le lhe sane al lolh lines. Il foIIovs lhal lhe evenls vhich
occuiied al Tine 1 aie nol, in oui desciiplion, incIuded in oui definilion of lhe
conlexl al Tine 2, lecause lo incIude lhen vouId al once cieale a gioss diffeience
lelveen ¨con-lexl al Tine 1¨ and ¨conlexl al Tine 2.¨ (To paiaphiase HeiacIilus:
¨No nan can go lo led vilh lhe sane giiI foi lhe fiisl line lvice.¨)
The convenlionaI assunplion lhal conlexl can le iepealed, al Ieasl in sone cases,
is one vhich lhe viilei adopls in lhis essay as a coineislone of lhe lhesis lhal lhe
sludy of lehavioi nusl le oideied accoiding lo lhe Theoiy of LogicaI Types. li|ncu|
lhe assunplion of iepealalIe conlexl (and lhe hypolhesis lhal fcr |nc crganisns vhich
ve sludy lhe sequence of expeiience is ieaIIy sonehov punclualed in lhis nannei), il
vouId foIIov lhal aII ¨Ieaining¨ vouId le of one lype: naneIy, aII vouId le zeio
Ieaining. Of lhe IavIovian expeiinenl, ve vouId sinpIy say lhal lhe dog´s neuiaI
ciicuils conlain ¨soIdeied in¨ fion lhe leginning such chaiacleiislics lhal in Conlexl
A al Tine 1 he viII nol saIivale, and lhal in lhe lolaIIy diffeienl Conlexl ß al Tine 2
he viII saIivale. Whal pieviousIy ve caIIed ¨Ieaining¨ ve vouId nov desciile as
¨disciininalion¨ lelveen lhe evenls of Tine 1 and lhe evenls of Tine 1 p|us Tine 2.
Il vouId lhen foIIov IogicaIIy lhal aII queslions of lhe lype, ¨Is lhis lehavioi `Ieained´
oi `innale´`¨ shouId le ansveied in favoi of genelics.
We vouId aigue lhal vilhoul lhe assunplion of iepeal-alIe conlexl, oui lhesis
faIIs lo lhe giound, logelhei vilh lhe vhoIe geneiaI concepl of ¨Ieaining.¨ If, on lhe
olhei hand, lhe assunplion of iepealalIe conlexl is accepled as sonehov liue of lhe
oiganisns vhich ve sludy, lhen lhe case foi IogicaI lyping of lhe phenonena of
Ieaining necessaiiIy slands, lecause lhe nolion ¨conlexl¨ is ilseIf suljecl lo IogicaI
Lilhei ve nusl discaid lhe nolion of ¨conlexl,¨ oi ve ielain lhis nolion and, vilh
il, accepl lhe hieiaichic seiies~slinuIus, conlexl of slinuIus, conlexl of conlexl of
slinuIus, elc. This seiies can le speIIed oul in lhe foin of a hieiaichy of IogicaI lypes
as foIIovs:
SlinuIus is an eIenenlaiy signaI, inleinaI oi exleinaI. Conlexl of slinuIus is a
nelanessage vhich c|assifics lhe eIenenlaiy signaI.
Conlexl of conlexl of slinuIus is a nela-nelanessage vhich cIassifies lhe
And so oiI.
The sane hieiaichy couId have leen luiIl up fion lhe nolion of ¨iesponse¨ oi
lhe nolion of ¨ieinfoicenenl.¨
AIleinaliveIy, foIIoving up lhe hieiaichic cIassificalion of eiiois lo le coiiecled
ly slochaslic piocess oi ¨liiaI and eiioi,¨ ve nay iegaid ¨conlexl¨ as a coIIeclive
lein foi aII lhose evenls vhich leII lhe oiganisn anong vhal sc| of aIleinalives he
nusl nake his nexl choice.
Al lhis poinl il is convenienl lo inlioduce lhe lein ¨con-lexl naikei.¨ An
oiganisn iesponds lo lhe ¨sane¨ slinuIus diffeienlIy in diffeiing conlexls, and ve
nusl lheiefoie ask aloul lhe souice of lhe oiganisns´s infoinalion. Iion vhal
peicepl does he knov lhal Conlexl A is diffeienl fion Con-lexl ß`
In nany inslances, lheie nay le no specific signa| oi IaleI vhich viII cIassify and
diffeienliale lhe lvo conlexls, and lhe oiganisn viII le foiced lo gel his infoinalion
fion lhe acluaI congeiies of evenls lhal nake up lhe conlexl in each case. ßul,
ceilainIy in hunan Iife and piolalIy in lhal of nany olhei oiganisns, lheie occui
signaIs vhose najoi funclion is lo cIassify conlexls. Il is nol unieasonalIe lo sup-pose
lhal vhen lhe hainess is pIaced upon lhe dog, vho has had pioIonged liaining in lhe
psychoIogicaI Ialoialoiy, he knovs fion lhis lhal he is nov enlaiking upon a seiies
of conlexls of a ceilain soil. Such a souice of infoinalion ve shaII caII a ¨conlexl
naikei,¨ and nole innedialeIy lhal, al Ieasl al lhe hunan IeveI, lheie aie aIso
¨naikeis of conlexls of conlexls.¨ Ioi exanpIe: an audience is valching Han|c| on
lhe slage, and heais lhe heio discuss suicide in lhe con-lexl of his ieIalionship vilh
his dead falhei, OpheIia, and lhe iesl. The audience nenleis do nol innedialeIy
leIephone foi lhe poIice lecause lhey have ieceived infoinalion aloul lhe conlexl of
HanIel´s conlexl. They knov lhal il is a ¨pIay¨ and have ieceived lhis infoinalion
fion nany ¨naikeis of conlexl of conlexl¨~lhe pIayliIIs, lhe sealing aiiangenenls,
lhe cuilain, elc., elc. The ¨King,¨ on lhe olhei hand, vhen he Iels his conscience le
piicked ly lhe pIay vilhin lhe pIay, is ignoiing nany ¨naikeis of conlexl of
Al lhe hunan IeveI, a veiy diveise sel of evenls faIIs vilhin lhe calegoiy of
¨conlexl naikeis.¨ A fev exanpIes aie heie Iisled:
(1) The Iope´s lhione fion vhich he nakes announcenenls ex calhedia,
vhich announcenenls aie lheie.. ly endoved vilh a speciaI oidei of
(2) The pIacelo, ly vhich lhe docloi sels lhe slage foi a change in lhe
palienl´s suljeclive expeiience.
(3) The shining oljecl used ly sone hypnolisls in ¨inducing liance.¨
(4) The aii iaid siien and lhe ¨aII cIeai.¨
(5) The handshake of loxeis lefoie lhe fighl.
(6) The olseivances of eliquelle.
These, hovevei, aie exanpIes fion lhe sociaI Iife of a highIy conpIex oiganisn,
and il is noie piofilalIe al lhis slage lo ask aloul lhe anaIogous phenonena al lhe
pie-veilaI IeveI.
A dog nay see lhe Ieash in his naslei´s hand and acl as if he knovs lhal lhis
indicales a vaIk, oi he nay gel in-foinalion fion lhe sound of lhe void ¨vaIk¨ lhal
lhis lype of conlexl oi sequence is coning.
When a ial slails a sequence of expIoialoiy aclivilies, does he do so in iesponse
lo a ¨slinuIus`¨ Oi in iesponse lo a conlexl` Oi in iesponse lo a conlexl naikei`
These queslions liing lo lhe suiface foinaI piolIens aloul lhe Theoiy of LogicaI
Types vhich nusl le discussed. The lheoiy in ils oiiginaI foin deaIs onIy vilh
iigoiousIy digilaI connunicalion, and il is doullfuI hov fai il nay le appIied lo
anaIogue oi iconic syslens. Whal ve aie heie caIIing ¨conlexl naikeis¨ nay le
digilaI (e.g., lhe void ¨vaIk¨ nenlioned alove) , oi lhey nay le anaIogue signaIs ~
a liiskness in lhe naslei´s novenenls nay indicale lhal a vaIk is pending, oi sone
par| of lhe coning conlexl nay seive as a naikei (lhe Ieash as a pail of lhe vaIk) , oi
in lhe exliene case, lhe vaIk ilseIf in aII ils conpIexily nay sland foi ilseIf, vilh no
IaleI oi naikei lelveen lhe dog and lhe expeiience. The peiceived evenl ilseIf nay
connunicale ils ovn occuiience. In lhis case, of couise, lheie can le no eiioi of lhe
¨nenu caid¨ lype. Moieovei, no paiadox can le geneialed lecause in puieIy
anaIogue oi iconic connunicalion lheie is no signaI foi ¨nol.¨
Theie is, in facl, aInosl no foinaI lheoiy deaIing vilh anaIogue connunicalion
and, in pailicuIai, no equivaIenl of Infoinalion Theoiy oi LogicaI Type Theoiy. This
gap in foinaI knovIedge is inconvenienl vhen ve Ieave lhe iaiified voiId of Iogic
and nalhenalics and cone face lo face vilh lhe phenonena of naluiaI hisloiy. In lhe
naluiaI voiId, connunicalion is iaieIy eilhei puieIy digilaI oi puieIy anaIogic. Oflen
disciele digilaI pips aie conlined logelhei lo nake anaIogic picluies as in lhe
piinlei´s haIflone lIock, and sonelines, as in lhe nallei of conlexl naikeis, lheie is a
conlinuous giadalion fion lhe oslensive lhiough lhe iconic lo lhe puieIy digilaI. Al
lhe digilaI end of lhis scaIe aII lhe lheoiens of infoinalion lheoiy have lheii fuII
foice, lul al lhe oslensive and anaIogic end lhey aie neaningIess.
Il seens aIso lhal vhiIe nuch of lhe lehavioiaI connunicalion of even highei
nannaIs ienains oslensive oi anaIogic, lhe inleinaI nechanisn of lhese ciealuies
has lecone digilaIized al Ieasl al lhe neuionaI IeveI. Il vouId seen lhal anaIogic
connunicalion is in sone sense noie piinilive lhan digilaI and lhal lheie is a lioad
evoIulionaiy liend lovaid lhe sulslilulion of digilaI foi anaIogic nechanisns. This
liend seens lo opeiale faslei in lhe evoIulion of inleinaI nechanisns lhan in lhe
evoIulion of exleinaI lehavioi.
RecapiluIaling and exlending vhal vas said alove:
(a)The nolion of iepealalIe conlexl is a necessaiy pienise foi any lheoiy vhich
defines ¨Ieaining¨ as cnangc.
This nolion is nol a neie looI of oui desciiplion lul conlains lhe inpIicil
hypolhesis lhal foi lhe oiganisns vhich ve sludy, lhe sequence of Iife expeiience,
aclion, elc., is sonehov segnenled oi punclualed inlo sulsequences oi ¨conlexls¨
vhich nay le equaled oi diffeienlialed ly lhe oiganisn.
The dislinclion vhich is connonIy diavn lelveen peiceplion and aclion,
affeienl and effeienl, inpul and oul-pul, is foi highei oiganisns in conpIex silualions
nol vaIid. On lhe one hand, aInosl eveiy ilen of aclion nay le ie-poiled eilhei ly
exleinaI sense oi endoceplive nechanisn lo lhe C.N.S., and in lhis case lhe iepoil of
lhis ilen le-cones an inpul. And, on lhe olhei hand, in highei oiganisns, peiceplion
is nol ly any neans a piocess of neie passive ieceplivily lul is al Ieasl pailIy
deleinined ly effeienl conlioI fion highei cenleis. Ieiceplion, noloiiousIy, can le
changed ly expeiience. In piincipIe, ve nusl aIIov lolh foi lhe possiliIily lhal eveiy
ilen of aclion oi oulpul nay cieale an ilen of inpul, and lhal peicepls nay in sone
cases pai-lake of lhe naluie of oulpul. Il is no accidenl lhal aInosl aII sense oigans
aie used foi lhe enission of signaIs lelveen oiganisns. Anls connunicale ly lheii
anlennae, dogs ly lhe piicking of lheii eais, and so on.
In piincipIe, even in zeio Ieaining, any ilen of expeiience oi lehavioi nay le
iegaided as eilhei
slinuIus¨ oi
iesponse¨ oi as lolh, accoiding lo hov lhe lolaI
sequence is punclualed. When lhe scienlisl says lhal lhe luzzei is lhe ¨slinuIus¨ in a
given sequence, his ulleiance inpIies an hypolhesis aloul hov lhe oiganisn
puncluales lhal sequence. In Leaining I, eveiy ilen of peiceplion oi lehavioi nay le
slinuIus oi iesponse oi rcinfcrccncn| accoiding lo hov lhe lolaI sequence of
inleiaclion is punclualed.
4.8.4 LcarnIng II
Whal has leen said alove has cIeaied lhe giound foi lhe consideialion of lhe
nexl IeveI oi IogicaI lype of ¨Ieaining¨ vhich ve shaII heie caII Leaining II. Vaiious
leins have leen pioposed in lhe Iileialuie foi vaiious phenonena of lhis oidei.
¨sel Ieaining,¨
¨Ieaining lo Ieain,¨ and ¨liansfei of Ieaining¨
nay le nenlioned.
We iecapiluIale and exlend lhe definilions so fai given:
Zcrc |carning is chaiacleiized ly spccifici|q cf rcspcnsc, vhich~iighl oi viong~is
nol suljecl lo coiieclion.
|carning | is cnangc in spccifici|q cf rcspcnsc ly coiieclion of eiiois of choice vilhin
a sel of aIleinalives.
|carning || is cnangc in |nc prcccss cf |carning |, c.g., a coiieclive change in lhe sel of
aIleinalives fion vhich choice is nade, oi il is a change in hov lhe sequence of
expeiience is punclualed.
|carning ||| is cnangc in |nc prcccss cf |carning ||, c.g., a coiieclive change in lhe
syslen of sc|s of aIleinalives fion vhich choice is nade. (We shaII see Ialei lhal lo
denand lhis IeveI of peifoinance of sone nen and sone nannaIs is sonelines
|carning |V vouId le cnangc in |carning |||, lul piolalIy does nol occui in any
aduIl Iiving oiganisn on lhis eailh. LvoIulionaiy piocess has, hovevei, ciealed
oiganisns vhose onlogeny liings lhen lo LeveI III. The conlinalion of
phyIogenesis vilh onlogenesis, in facl, achieves LeveI IV.
Oui innediale lask is lo give sulslance lo lhe definilion of Leaining II as
¨change in Leaining I,¨ and il is foi lhis lhal lhe giound has leen piepaied. ßiiefIy, I
leIieve lhal lhe phenonena of Leaining II can aII le incIuded undei lhe iuliic of
changes in lhe nannei in vhich lhe sliean of aclion and expeiience is segnenled oi
punclualed inlo conlexls logelhei vilh changes in lhe use of conlexl naikeis.
The Iisl of phenonena cIassified undei Leaining I incIudes a consideialIe (lul
nol exhauslive) sel of diffeienlIy sliucluied conlexls. In cIassicaI IavIovian conlexls,
lhe conlingency pallein vhich desciiles lhe ieIalion lelveen ¨slinuIus
s aclion (CR), and ieinfoicenenl. (UCS ) is piofoundIy diffeienl fion lhe
conlingency pallein chaiacleiislic of insliunenlaI conlexls of Ieaining.
In lhe IavIovian case: |f slinuIus and a ceilain Iapse of line: |ncn ieinfoicenenl.
In lhe InsliunenlaI Revaid case: |f slinuIus and a pailicuIai ilen of lehavioi:
|ncn ieinfoicenenl.
In lhe IavIovian case, lhe ieinfoicenenl is nol conlingenl upon lhe aninaI´s
lehavioi, vheieas in lhe insliunenlaI case, il is. Using lhis conliasl as an exanpIe,
ve say lhal Leaining II has occuiied if il can le shovn lhal expeiience of one oi noie
conlexls of lhe IavIovian lype iesuIls in lhe aninaI´s acling in sone Ialei conlexl as
lhough lhis, loo, had lhe IavIovian conlingency pallein. SiniIaiIy, if pasl expeiience
of insliunenlaI sequences Ieads an aninaI lo acl in sone Ialei conlexl as lhough
expecling lhis aIso lo le an insliunenlaI conlexl, ve shaII again say lhal Leaining II
has occuiied.
C. ßaleson, ¨SociaI IIanning and lhe Concepl of Deuleio-Leaining,¨ Ccnfcrcncc cn Scicncc,
Pni|cscpnq and Rc|igicn, Scccnd Sqnpcsiun, Nev Yoik, Haipei, 1942.
H. |. HaiIov, ¨The Ioinalion of Leaining Sels,¨ Psqcnc!. Rcticu, 1949, 56: 51-65.
When so defined, Leaining II is adaplive onIy if lhe aninaI happens lo le iighl in
ils expeclalion of a given conlingency pallein, and in such a case ve shaII expecl lo
see a neasuialIe |carning |c |carn. Il shouId iequiie fevei liiaIs in lhe nev conlexl lo
eslalIish ¨coiiecl¨ lehavioi. If, on lhe olhei hand, lhe aninaI is viong in his
idenlificalion of lhe Ialei conlingency pallein, lhen ve shaII expecl a deIay of
Leaining I in lhe nev conlexl. The aninaI vho has had pioIonged expeiience of
IavIovian conlexls nighl nevei gel aiound lo lhe pailicuIai soil of liiaI-and-eiioi
lehavioi necessaiy lo discovei a coiiecl insliunenlaI iesponse.
Theie aie al Ieasl foui fieIds of expeiinenlalion vheie Leaining II has leen
caiefuIIy iecoided:
(a) In hunan iole Ieaining. HuII
caiiied oul veiy caiefuI quanlilalive sludies
vhich ieveaIed lhis phenonenon, and consliucled a nalhenalicaI nodeI vhich
vouId sinuIale oi expIain lhe cuives of Leaining I vhich he iecoided. He aIso
olseived a second-oidei phenonenon vhich ve nay caII ¨Ieaining lo iole Ieain¨
and pulIished lhe cuives foi lhis phenonenon in lhe Appendix lo his look. These
cuives veie sepaialed fion lhe nain lody of lhe look lecause, as he slales, his
nalhenalicaI nodeI (of Role Leaining I) did nol covei lhis aspecl of lhe dala.
Il is a coioIIaiy of lhe lheoielicaI posilion vhich ve heie lake lhal no anounl of
iigoious discouise of a given IogicaI lype can ¨expIain¨ phenonena of a highei lype.
HuII´s nodeI acls as a louchslone of IogicaI lyping, aulonalicaIIy excIuding fion
expIanalion phenonena leyond ils IogicaI scope. Thal lhis vas so~and lhal HuII
peiceived il~is leslinoniaI lolh lo his iigoi and lo his peispicacily.
Whal lhe dala shov is lhal foi any given suljecl, lheie is an inpiovenenl in iole
Ieaining vilh successive sessions, asynplolicaIIy appioaching a degiee of skiII vhich
vaiied fion suljecl lo suljecl.
The conlexl foi lhis iole Ieaining vas quile conpIex and no doull appeaied
suljecliveIy diffeienl lo each Ieainei. Sone nay have leen noie nolivaled ly feai of
leing viong, vhiIe olheis Iooked ialhei foi lhe salisfaclions of leing iighl. Sone
vouId le noie infIuenced lo pul up a good iecoid as conpaied vilh lhe olhei
suljecls, olheis vouId le fascinaled lo conpele in each session vilh lheii ovn
pievious shoving, and so on. AII nusl have had ideas (coiiecl oi incoiiecl) aloul lhe
naluie of lhe expeiinenlaI selling, aII nusl have had ¨IeveIs of aspiialion,¨ and aII
nusl have had pievious expeiience of nenoiizing vaiious soils of naleiiaI. Nol one
of HuII´s suljecls couId have cone inlo lhe Ieaining conlexl uninfIuenced ly
pievious Leaining II.
In spile of aII lhis pievious Leaining II, and in spile of genelic diffeiences vhich
nighl opeiale al lhis IeveI, aII shoved inpiovenenl ovei seveiaI sessions. This
inpiovenenl cannol have leen due lo Leaining I lecause any iecaII of lhe specific
sequence of syIIalIes Ieained in lhe pievious session vouId nol le of use in deaIing
vilh lhe nev sequence. Such iecaII vouId noie piolalIy le a hindiance. I sulnil,
lheiefoie, lhal lhe inpiovenenl fion session lo session can onIy le accounled foi ly
sone soil of adaplalion lo lhe ccn|cx| vhich HuII piovided foi iole Ieaining.
Il is aIso voilh noling lhal educalois have sliong opinions aloul lhe vaIue
(posilive oi negalive) of liaining in iole Ieaining. ¨Iiogiessive¨ educalois insisl on
liaining in ¨insighl,¨ vhiIe lhe noie conseivalive insisl on iole and diiIIed iecaII.
L. L. HuII, c| a|., Ma|ncna|icc-dcduc|itc Tnccrq cf Rc|c |carning, Nev Haven, YaIe
Univeisily, Inslilule of Hunan ReIalions, 194O
(l) The second lype of Leaining II vhich has leen expeiinenlaIIy sludied is
caIIed ¨sel Ieaining.¨ The concepl and lein aie deiived fion HaiIov and appIy lo a
ialhei speciaI case of Leaining II. ßioadIy, vhal HaiIov did vas lo piesenl ihesus
nonkeys vilh noie oi Iess conpIex gcs|a||cn oi ¨piolIens.¨ These lhe nonkey had
lo soIve lo gel a food ievaid. HaiIov shoved lhal if lhese piolIens veie of siniIai
¨sel,¨ i.e., conlained siniIai lypes of IogicaI conpIexily, lheie vas a caiiy-ovei of
Ieaining fion one piolIen lo lhe nexl. Theie veie, in facl, lvo oideis of conlingency
palleins invoIved in HaiIov´s expeiinenls: fiisl lhe oveiaII pallein of
insliunenlaIisn (if lhe nonkey soIves lhe piolIen, |ncn ieinfoicenenl), and second,
lhe conlingency palleins of Iogic vilhin lhe specific piolIens.
(c) ßilleinan and olheis have iecenlIy sel a fashion in expeiinenlalion vilh
ieveisaI Ieaining.¨ TypicaIIy in lhese expeiinenls lhe suljecl is fiisl laughl a linaiy
disciininalion. When lhis has leen Ieained lo ciileiion, lhe neaning of lhe slinuIi is
ieveised. If X iniliaIIy ¨neanl¨ R
, and Y iniliaIIy neanl R
, lhen aflei ieveisaI X
cones lo nean R
, and
Y cones lo nean R
. Again lhe liiaIs aie iun lo ciileiion vhen
again lhe neanings aie ieveised. In lhese expeiinenls, lhe ciuciaI queslion is: Does
lhe suljecl Ieain aloul lhe ieveisaI` I.e., aflei a seiies of ieveisaIs, does lhe suljecl
ieach ciileiion in fevei liiaIs lhan he did al lhe leginning of lhe seiies`
In lhese expeiinenls, il is conspicuousIy cIeai lhal lhe queslion asked is of IogicaI
lype highei lhan lhal of queslions aloul sinpIe Ieaining. If sinpIe Ieaining is lased
upon a sc| of liiaIs, lhen ieveisaI Ieaining is lased upon a sel of such sels. The
paiaIIeIisn lelveen lhis ieIalion and RusseII´s ieIalion lelveen ¨cIass¨ and ¨cIass of
cIasses¨ is diiecl.
(d) Leaining II is aIso exenpIified in lhe veII-knovn phenonena of
¨expeiinenlaI neuiosis.¨ TypicaIIy an aninaI is liained, eilhei in a IavIovian oi
insliunenlaI Ieaining con-lexl, lo disciininale lelveen sone X and sone Y, e.g.,
lelveen an eIIipse and a ciicIe. When lhis disciininalion has leen Ieained, lhe lask is
nade noie difficuIl: lhe eIIipse is nade piogiessiveIy fallei and lhe ciicIe is fIallened.
IinaIIy a slage is ieached al vhich disciininalion is inpossilIe. Al lhis slage lhe
aninaI slails lo shov synplons of seveie disluilance.
NolalIy, (a) a naive aninaI, piesenled vilh a silualion in vhich sone X nay (on
sone iandon lasis) nean eilhei A oi 8, does nol shov disluilance, and (o) lhe
disluilance does nol occui in alsence of lhe nany conlexl naikeis chaiacleiislic of
lhe Ialoialoiy silualion.
Il appeais, lhen, lhal Leaining II is a necessaiy piepaialion foi lhe lehavioiaI
disluilance. The infoinalion, ¨This is a conlexl foi disciininalion,¨ is connunicaled
al lhe leginning of lhe sequence and undcr|incd in lhe seiies of slages in vhich
disciininalion is nade piogiessiveIy noie difficuIl. ßul vhen disciininalion
lecones inpossilIe, lhe sliucluie of lhe conlexl is lolaIIy changed. The conlexl
naikeis (e.g., lhe sneII of lhe Ialoialoiy and lhe expeiinenlaI hainess) nov lecone
nisIeading lecause lhe aninaI is in a silualion vhich denands guessvoik oi
ganlIing, nc| disciininalion. The en-liie expeiinenlaI sequence is, in facl, a
pioceduie foi pulling lhe aninaI in lhe viong al lhe IeveI of Leaining 11.
H. S. LiddeII, ¨RefIex Melhod and LxpeiinenlaI Neuiosis,¨ Pc¡sonuíít¸ und HcIuuío¡
Díso¡dc¡s, Nev Yoik, RonaId Iiess, 1944
In ny phiase, lhe aninaI is pIaced in a lypicaI ¨doulIe lind,¨ vhich is
expeclalIy schizophienogenic.
In lhe sliange voiId oulside lhe psychoIogicaI Ialoialoiy, phenonena vhich
leIong lo lhe calegoiy Leaining II aie a najoi pieoccupalion of anlhiopoIogisls,
educalois, psychialiisls, aninaI liaineis, hunan paienls, and chiIdien. AII vho lhink
aloul lhe piocesses vhich deleinine lhe chaiaclei of lhe individuaI oi lhe piocesses
of change in hunan (oi aninaI) ieIalionship nusl use in lheii lhinking a vaiiely of
assunplions aloul Leaining II. Iion line lo line, lhese peopIe caII in lhe Ialoialoiy
psychoIogisl as a consuIlanl, and lhen aie confionled vilh a Iinguislic laiiiei. Such
laiiieis nusl aIvays iesuIl vhen, foi exanpIe, lhe psychialiisl is laIking aloul
Leaining II, lhe psychoIogisl is laIking aloul Leaining I, and neilhei iecognizes lhe
IogicaI sliucluie of lhe diffeience.
Of lhe nuIliludinous vays in vhich Leaining II eneiges in hunan affaiis, onIy
lhiee viII le discussed in lhis essay:
(a) In desciiling individuaI hunan leings, lolh lhe scienlisl and lhe Iaynan
connonIy iesoil lo adjeclives desciiplive of ¨chaiaclei.¨ Il is said lhal Mi. }ones is
dependenl, hosliIe, fey, finicky, anxious, exhililionislic, naicissislic, passive,
conpelilive, eneigelic, loId, covaidIy, falaIislic, hunoious, pIayfuI, canny,
oplinislic, peifeclionisl, caieIess, caiefuI, casuaI, elc. In lhe Iighl of vhal has aIieady
leen said, lhe ieadei viII le alIe lo assign aII lhese adjeclives lo lheii appiopiiale
IogicaI lype. AII aie desciiplive of (possilIe) iesuIls of Leaining II, and if ve vouId
define lhese voids noie caiefuIIy, oui definilion viII consisl in Iaying dovn lhe
conlingency pallein of lhal conlexl of Leaining I vhich vouId expeclalIy liing
aloul lhal Leaining II vhich vouId nake lhe adjeclive appIicalIe.
We nighl say of lhe ¨falaIislic¨ nan lhal lhe pallein of his liansaclions vilh lhe
enviionnenl is such as he nighl have acquiied ly pioIonged oi iepealed expeiience
as suljecl of IavIovian expeiinenl, and nole lhal lhis definilion of ¨falaIisn¨ is
specific and piecise. Theie aie nany olhei foins of ¨falaIisn¨ lesides lhal vhich is
defined in leins of lhis pailicuIai conlexl of Ieaining. Theie is, foi exanpIe, lhe noie
conpIex lype chaiacleiislic of cIassicaI Cieek liagedy vheie a nan´s ovn aclion is
feIl lo aid lhe inevilalIe voiking of fale.
(l) In lhe punclualion of hunan inleiaclion. The ciilicaI ieadei viII have
olseived lhal lhe adjeclives alove vhich puipoil lo desciile individuaI chaiaclei aie
ieaIIy nol sliiclIy appIicalIe lo lhe individuaI lul ialhei desciile |ransac|icns lelveen
lhe individuaI and his naleiiaI and hunan enviionnenl. No nan is ¨iesouicefuI¨ oi
¨dependenl¨ oi ¨falaIislic¨ in a vacuun. His chaiacleiislic, vhalevei il le, is nol his
lul is ialhei a chaiacleiislic of vhal goes on lelveen hin and sonelhing (oi
sonelody) eIse.
This leing so, il is naluiaI lo Iook inlo vhal goes on lelveen peopIe, lheie lo find
conlexls of Leaining I vhich aie IikeIy lo Iend lheii shape lo piocesses of Leaining II.
In such syslens, invoIving lvo oi noie peisons, vheie nosl of lhe inpoilanl evenls
aie posluies, aclions, oi ulleiances of lhe Iiving ciealuies, ve nole innedialeIy lhal
lhe sliean of evenls is connonIy punclualed inlo conlexls of Ieaining ly a lacil
agieenenl lelveen lhe peisons iegaiding lhe naluie of lheii ieIalionship~oi ly
conlexl naikeis and lacil agieenenl lhal lhese conlexl naikeis shaII ¨nean¨ lhe
sane foi lolh pailies. Il is insliuclive lo allenpl anaIysis of an ongoing inleichange
C. ßaleson, ct uí., ¨Tovaid a Theoiy of Schizophienia,¨ HcIuuío¡uí Scícncc, 1956, l.
lelveen A and ß. We ask aloul any pailicuIai ilen of A´s lehavioi: Is lhis ilen a
slinuIus foi ß` Oi is il a iesponse of A lo sonelhing ß said eaiIiei` Oi is il a
ieinfoicenenl of sone ilen piovided ly ß` Oi is A, in lhis ilen, consunnaling a
ieinfoicenenl foi hinseIf` Llc.
Such queslions viII ieveaI al once lhal foi nany ilens of A´s lehavioi lhe ansvei
is oflen quile uncIeai. Oi if lheie le a cIeai ansvei, lhe cIaiily is due onIy lo a lacil
(iaieIy fuIIy expIicil) agieenenl lelveen A and ß as lo lhe naluie of lheii nuluaI
ioIes, i.e., as lo lhe naluie of lhe conlexluaI sliucluie vhich lhey viII expecl of each
If ve Iook al such an exchange in lhe alsliacl:
a1l1a2l2a3l3a4l4a5l5 vheie lhe a´s iefei lo ilens of A´s lehavioi, and lhe
o´s lo ilens of ß´s lehavioi, ve can lake any a
and consliucl aiound il lhiee sinpIe
conlexls of Ieaining. These viII le:


in vhich a
is lhe slinuIus foi o
) , in vhich a
is lhe iesponse lo o
, vhich iesponse ß ieinfoices vilh o
) , in vhich a
is nov A´s ieinfoicenenl of ß´s o

vhich vas iesponse
lo a
Il foIIovs lhal a
nay le a slinuIus foi ß oi il nay le A´s iesponse lo ß, oi il nay
le A´s ieinfoicenenl of ß.
ßeyond lhis, hovevei, if ve considei lhe anliguily of lhe nolions ¨slinuIus¨
and ¨iesponse,¨ ¨affeienl¨ and ¨effeienl¨~as discussed alove~ve nole lhal any a
nay aIso le a slinuIus foi A, il nay le A´s ieinfoicenenl of seIf, oi il nay le A´s
iesponse lo sone pievious lehavioi of his ovn, as is lhe case in sequences of iole
This geneiaI anliguily neans in facl lhal lhe ongoing sequence of inleichange
lelveen lvo peisons is sliucluied onIy ly lhe peison´s ovn peiceplion of lhe
sequence as a seiies of conlexls, each conlexl Ieading inlo lhe nexl. The pailicuIai
nannei in vhich lhe sequence is sliucluied ly any pailicuIai peison viII le
deleinined ly lhal peison´s pievious Leaining II (oi possilIy ly his genelics).
In such a syslen, voids Iike ¨doninanl¨ and ¨sulnissive,¨ ¨succoiing¨ and
¨dependenl¨ viII lake on definalIe neaning as desciiplions of segnenls of
inleichange. We shaII say lhal ¨A doninales ߨ if A and ß shov ly lheii lehavioi
lhal lhey see lheii ieIalionship as chaiacleiized ly sequences of lhe lype a
is seen (ly A and ß) as a signaI defining condilions of insliunenlaI ievaid oi
punishnenl, l
as a signaI oi acl oleying lhese condilions, and a
as a signaI
ieinfoicing l
SiniIaiIy ve shaII say lhal ¨A is dependenl on ߨ if lheii ieIalionship is
chaiacleiized ly sequences a
vheie a
is seen as a signaI of veakness, o
as a
heIping acl, and a
as an acknovIedgenenl of o
ßul il is up lo A and ß lo dislinguish (consciousIy oi unconsciousIy oi nol al aII)
lelveen ¨doninance¨ and ¨dependence.¨ A ¨connand¨ can cIoseIy iesenlIe a ciy
foi ¨heIp.¨
(c) In psycholheiapy, Leaining II is exenpIified nosl conspicuousIy ly lhe
phenonena of
liansfeience.¨ Oilhodox Iieudian lheoiy asseils lhal lhe palienl viII
inevilalIy liing lo lhe lheiapy ioon inappiopiiale nolions aloul his ieIalion-ship lo
lhe lheiapisl. These nolions (conscious oi unconscious) viII le such lhal he viII acl
and laIk in a vay vhich vouId piess lhe lheiapisl lo iespond in vays vhich vouId
iesenlIe lhe palienl´s picluie of hov sone inpoilanl olhei peison (usuaIIy a paienl)
liealed lhe palienl in lhe neai oi dislanl pasl. In lhe Ianguage of lhe piesenl papei,
lhe palienl viII liy lo shape his inleichange vilh lhe lheiapisl accoiding lo lhe
pienises of his (lhe palienl´s) foinei Leaining II.
Il is connonIy olseived lhal nuch of lhe Leaining II vhich deleinines a
palienl´s liansfeience palleins and, in-deed, deleinines nuch of lhe ieIalionaI Iife of
aII hunan leings, (a) da|cs frcn car|q infancq, and (o) is unccnscicus. ßolh of lhese
geneiaIizalions seen lo le coiiecl and lolh need sone expIanalion.
Il seens piolalIe lhal lhese lvo geneiaIizalions aie liue lecause of lhe veiy
naluie of lhe phenonena vhich ve aie discussing. We suggesl lhal una| is Ieained in
Leaining II is a vay of punc|ua|ing ctcn|s. ßul a uaq cf punc|ua|ing is nol liue oi faIse.
Theie is nolhing conlained in lhe pioposilions of lhis Ieaining lhal can le lesled
againsl ieaIily. Il is Iike a picluie seen in an inklIol, il has neilhei coiieclness noi
incoiieclness. Il is onIy a uaq of seeing lhe inklIol.
Considei lhe insliunenlaI viev of Iife. An oiganisn vilh lhis viev of Iife in a
nev silualion viII engage in liiaI-and-eiioi lehavioi in oidei lo nake lhe silualion
piovide a posilive ieinfoicenenl. If he faiIs lo gel lhis ieinfoicenenl, his puiposive
phiIosophy is nol lheiely negaled. His liiaI-and-eiioi lehavioi viII sinpIy conlinue.
The pienises of ¨puipose¨ aie sinpIy nol of lhe sane IogicaI lype as lhe naleiiaI
facls of Iife, and lheiefoie cannol easiIy le conliadicled ly lhen.
The piaclilionei of nagic does nol unIeain his nagicaI viev of evenls vhen lhe
nagic does nol voik. In facl, lhe pioposilions vhich govein punclualion have lhe
geneiaI chaiacleiislic of leing seIf-vaIidaling.
Whal ve lein ¨con-lexl¨ incIudes lhe
suljecl´s lehavioi as veII as lhe exleinaI evenls. ßul lhis lehavioi is conlioIIed ly
foinei Leaining II and lheiefoie il viII le of such a kind as lo noId lhe lolaI conlexl
lo fil lhe expecled punclualion. In sun, lhis seIf-vaIidaling chaiacleiislic of lhe
conlenl of Leaining II has lhe effecl lhal such Ieaining is aInosl ineiadicalIe. Il
foIIovs lhal Leaining II acquiied in infancy is IikeIy lo peisisl lhiough Iife.
ConveiseIy, ve nusl expecl nany of lhe inpoilanl chaiacleiislics of an aduIl´s
punclualion lo have lheii iools in eaiIy infancy.
In iegaid lo lhe unconsciousness of lhese halils of punclualion, ve olseive lhal
lhe ¨unconscious¨ incIudes nol onIy iepiessed naleiiaI lul aIso nosl of lhe piocesses
and naoi|s of geslaIl peiceplion. SuljecliveIy ve aie avaie of oui ¨dependency¨ lul
unalIe lo say cIeaiIy hov lhis pallein vas consliucled noi vhal cues veie used in
oui ciealion of il.
4.8.5 LcarnIng III
Whal has leen said alove aloul lhe seIf-vaIidaling chaiaclei of pienises
acquiied ly Leaining II indicales lhal Leaining III is IikeIy lo le difficuIl and iaie
even in hunan leings. LxpeclalIy, il viII aIso le difficuIl foi scienlisls, vho aie onIy
hunan, lo inagine oi desciile lhis piocess. ßul il is cIained lhal sonelhing of lhe
soil does fion line lo line occui in psycholheiapy, ieIigious conveision, and in
olhei sequences in vhich lheie is piofound ieoiganizalion of chaiaclei.
J. FucscI and C. Daicson, Connunícutíon. TIc Socíuí Mut¡íx o¡ Ps¸cIíut¡¸, Ncw
Yorl, Norion, 1951.
Zen ßuddhisls, OccidenlaI nyslics, and sone psychialiisls asseil lhal lhese
nalleis aie lolaIIy leyond lhe ieach of Ianguage. ßul, in spile of lhis vaining, Iel ne
legin lo specuIale aloul vhal nusl (IogicaIIy) le lhe case.
Iiisl a dislinclion nusl le diavn: il vas noled alove lhal lhe expeiinenls in
ieveisaI Ieaining denonsliale Leaining II vhenevei lheie is neasuialIe Ieaining
aocu| lhe facl of ieveisaI. Il is possilIe lo Ieain (Leaining I) a given pienise al a given
line and lo Ieain lhe conveise pienise al a Ialei line vilhoul acquiiing lhe knack of
ieveisaI Ieaining. In such a case, lheie viII le no inpiovenenl fion one ieveisaI lo
lhe nexl. One ilen of Leaining I has sinpIy ie-pIaced anolhei ilen of Leaining I
vilhoul any achievenenl of Leaining II. If, on lhe olhei hand, inpiovenenl occuis
vilh successive ieveisaIs, lhis is evidence foi Leaining II.
If ve appIy lhe sane soil of Iogic lo lhe ieIalion lelveen Leaining II and
Leaining III, ve aie Ied lo expecl lhal lheie nighl le iepIacenenl of pienises al lhe
IeveI of Leaining II ui|ncu| lhe achievenenl of any Leaining III.
IieIininaiy lo any discussion of Leaining III, il is lheie-foie necessaiy lo
disciininale lelveen neie iepIacenenl vilhoul Leaining III and lhal faciIilalion of
iepIacenenl vhich vouId le liuIy Leaining III.
Thal psycholheiapisls shouId le alIe lo aid lheii palienls even in a neie
iepIacenenl of pienises acquiied ly Leaining II is aIieady no nean feal vhen ve
considei lhe seIf-vaIidaling chaiaclei of such pienises and lheii noie oi Iess
unconscious naluie. ßul lhal lhis nuch can le done lheie is no doull.
Wilhin lhe conlioIIed and piolecled selling of lhe lheiapeulic ieIalionship, lhe
lheiapisl nay allenpl one oi noie of lhe foIIoving naneuveis:
lo achieve a confionlalion lelveen lhe pienises of lhe palienl and lhose of lhe
lheiapisl~vho is caiefuIIy liained nol lo faII inlo lhe liap of vaIidaling lhe oId
lo gel lhe palienl lo acl, eilhei in lhe lheiapy ioon oi oulside, in vays vhich viII
confionl his ovn pienises,
lo denonsliale conliadiclion anong lhe pienises vhich cuiienlIy conlioI lhe
palienl´s lehavioi,
lo induce in lhe palienl sone cxaggcra|icn cr carica|urc (c.g., in diean oi hypnosis)
of expeiience lased on his oId pienises.
As WiIIian ßIake noled, Iong ago, ¨Wilhoul Conliaiies is no piogiession.¨
(LIsevheie I have caIIed lhese conliadiclions al IeveI II ¨doulIe linds.¨)
ßul lheie aie aIvays IoophoIes ly vhich lhe inpacl of conliadiclion can le
ieduced. Il is a connonpIace of Ieaining psychoIogy lhal vhiIe lhe suljecl viII Ieain
(Leaining I) noie iapidIy if he is ieinfoiced eveiy line he iesponds coiieclIy, such
Ieaining viII disappeai ialhei iapidIy if ieinfoicenenl ceases. If, on lhe olhei hand,
ieinfoicenenl is onIy occasionaI, lhe suljecl viII Ieain noie sIovIy lul lhe iesuIling
Ieaining viII nol easiIy le exlinguished vhen ieinfoicenenl ceases aIlogelhei. In
olhei voids, lhe suljecl nay Ieain (Leaining 11) lhal lhe conlexl is such lhal alsence
of ieinfoicenenl does nol indicale lhal his iesponse vas viong oi inappiopiiale. His
viev of lhe conlexl vas, in facl, coiiecl unliI lhe expeiinenlei changed his laclics.
The lheiapisl nusl ceilainIy so suppoil oi hedge lhe conliaiies ly vhich lhe
palienl is diiven lhal IoophoIes of lhis and olhei kinds aie lIocked. The Zen
candidale vho has leen assigned a paiadox (|can) nusl Ialoi al his lask ¨Iike a
nosquilo liling on an iion lai.¨
I have aigued eIsevheie (¨SlyIe, Ciace, and Infoinalion in Iiinilive Ail,¨ see p.
128) lhal an essenliaI and necessaiy funclion of aII halil foinalion and Leaining I1 is
an cccncnq of lhe lhoughl piocesses (oi neuiaI palhvays) vhich aie used foi
piolIen-soIving oi Leaining I. The pienises of vhal is connonIy caIIed
¨chaiaclei¨~lhe definilions of lhe ¨seIf¨ ~save lhe individuaI fion having lo
exanine lhe alsliacl, phiIosophicaI, aeslhelic, and elhicaI aspecls of nany sequences
of Iife. ¨I don´l knov vhelhei il´s good nusic, I onIy knov vhelhei I Iike il.¨
ßul Leaining III viII lhiov lhese unexanined pienises open lo queslion and
Lel us, as vas done alove foi Leaining I and II, Iisl sone of lhe changes vhich
ve shaII le viIIing lo caII Leaining III.
The individuaI nighl Ieain lo foin noie ieadiIy lhose halils lhe foining of
vhich ve caII Leaining II.
He nighl Ieain lo cIose foi hinseIf lhe ¨IoophoIes¨ vhich vouId aIIov hin lo
avoid Leaining III.
He nighl Ieain lo change lhe halils acquiied ly Leaining II.
(d)He nighl Ieain lhal he is a ciealuie vhich can and does unconsciousIy
achieve Leaining II.
(e)He nighl Ieain lo Iinil oi diiecl his Leaining II.
If Leaining II is a Ieaining of lhe conlexls of Leaining I, lhen Leaining III shouId
le a Ieaining of lhe conlexls of lhose conlexls.
ßul lhe alove Iisl pioposes a paiadox. Leaining III (i.e., Ieaining aocu| Leaining
II) nay Iead eilhei lo an inciease in Leaining II oi lo a Iinilalion and peihaps a
ieduclion of lhal phenonenon. CeilainIy il nusl Iead lo a giealei fIexiliIily in lhe
pienises acquiied ly lhe piocess of Leaining II a frccdcn fion lheii londage.
I once heaid a Zen naslei slale calegoiicaIIy: ¨To lecone accusloned lo
anylhing is a leiiilIe lhing.¨
ßul any fieedon fion lhe londage of halil nusl aIso denole a piofound
iedefinilion of lhe seIf. If I slop al lhe IeveI of Leaining II, ¨I¨ an lhe aggiegale of
lhose chaiacleiislics vhich I caII ny ¨chaiaclei.
¨I¨ an ny halils of acling in conlexl
and shaping and peiceiving lhe conlexls in vhich I acl. SeIfhood is a pioducl oi
aggiegale of Leaining II. To lhe degiee lhal a nan achieves Leaining III, and Ieains lo
peiceive and acl in leins of lhe conlexls of conlexls, his ¨seIf¨ viII lake on a soil of
iiieIevance. The concepl of ¨seIf¨ viII no Iongei funclion as a nodaI aigunenl in lhe
punclualion of expeiience.
This nallei needs lo le exanined. In lhe discussion of Leaining II, il vas
asseiled lhal aII voids Iike ¨dependency,¨ ¨piide,¨ ¨falaIisn,¨ iefei lo chaiacleiislics
of lhe seIf vhich aie Ieained (Leaining II) in sequences of ieIalionship. These voids
aie, in facl, leins foi ¨ioIes¨ in ieIalionships and iefei lo sonelhing ailificiaIIy
chopped oul of inleiaclive sequences. Il vas aIso suggesled lhal lhe coiiecl vay lo
assign iigoious neaning lo any such voids is lo speII oul lhe foinaI sliucluie of lhe
sequence in vhich lhe naned chaiacleiislic nighl have leen Ieained. Thus lhe
inleiaclive sequence of IavIovian Ieaining vas pioposed as a paiadign foi a ceilain
soil of ¨falaIisn,¨ elc.
ßul nov ve aie asking aloul lhe conlexls of lhese con-lexls of Ieaining, i.e.,
aloul lhe Iaigei sequences vilhin vhich such paiadigns aie enledded.
Considei lhe snaII ilen of Leaining II vhich vas nenlioned alove as pioviding
a ¨IoophoIe¨ foi escape fion Leaining III. A ceilain chaiacleiislic of lhe seIf~caII il
¨peisislence¨~is geneialed ly expeiience in nuIlipIe sequences anong vhich
ieinfoicenenl is spoiadic. We nusl nov ask aloul lhe Iaigei conlexl of such
sequences. Hov aie such sequences geneialed`
The queslion is expIosive. The sinpIe slyIized expeiinenlaI sequence of
inleiaclion in lhe Ialoialoiy is geneialed ly and pailIy deleinines a nelvoik of
conlingencies vhich goes oul in a hundied diieclions Ieading oul of lhe Ialoialoiy
inlo lhe piocesses ly vhich psychoIogicaI ieseaich is designed, lhe inleiaclions
lelveen psychoIogisls, lhe econonics of ie-seaich noney, elc., elc.
Oi considei lhe sane foinaI sequence in a noie ¨naluiaI¨ selling. An oiganisn
is seaiching foi a needed oi nissing oljecl. A pig is iooling foi acoins, a ganlIei is
feeding a sIol nachine hoping foi a jackpol, oi a nan nusl find lhe key lo his cai.
Theie aie lhousands of silualions vheie Iiving lhings nusl peisisl in ceilain soils of
lehavioi pieciseIy occausc ieinfoicenenl is spoiadic oi inpiolalIe. Leaining II viII
sinpIify lhe univeise ly handIing lhese inslances as a singIe calegoiy. ßul if Leaining
III le conceined vilh lhe conlexls of lhese inslances, lhen lhe calegoiies of Leaining
II viII le luisl open.
Oi considei vhal lhe void ¨ieinfoicenenl¨ neans al lhe vaiious IeveIs. A
poipoise gels a fish fion lhe liainei vhen he does vhal lhe liainei vanls. Al IeveI I,
lhe facl of lhe fish is Iinked vilh lhe ¨iighlness¨ of lhe pailicuIai aclion. Al IeveI II,
lhe facl of lhe fish confiins lhe poipoise´s undei-slanding of his (possilIy
insliunenlaI oi dependenl) ieIalionship vilh lhe liainei. And nole lhal al lhis IeveI,
if lhe poipoise hales oi feais lhe liainei, pain ieceived fion lhe Iallei nay le a
posilive ieinfoicenenl confiining lhal hale. (¨If il´s nol lhe vay I vanl il, I´II piove
ßul vhal of ¨ieinfoicenenl¨ al IeveI III (foi poipoise oi foi nan)`
If, as I have suggesled alove, lhe ciealuie is diiven lo IeveI III ly ¨conliaiies¨
geneialed al IeveI II, lhen ve nay expecl lhal il is lhe iesoIving of lhese conliaiies
lhal viII conslilule posilive ieinfoicenenl al IeveI III. Such iesoIulion can lake nany
Lven lhe allenpl al IeveI III can le dangeious, and sone faII ly lhe vayside.
These aie oflen IaleIed ly psychialiy as psycholic, and nany of lhen find
lhenseIves inhililed fion using lhe fiisl peison pionoun.
Ioi olheis, noie successfuI, lhe iesoIulion of lhe conliaiies nay le a coIIapsing
of nuch lhal vas Ieained al IeveI II, ieveaIing a sinpIicily in vhich hungei Ieads
diieclIy lo ealing, and lhe idenlified seIf is no Iongei in chaige of oiganizing lhe
lehavioi. These aie lhe incoiiuplilIe innocenls of lhe voiId.
Ioi olheis, noie ciealive, lhe iesoIulion of conliaiies ieveaIs a voiId in vhich
peisonaI idenlily neiges inlo aII lhe piocesses of ieIalionship in sone vasl ecoIogy oi
aeslhelics of cosnic inleiaclion. Thal any of lhese can suivive seens aInosl
niiacuIous, lul sone aie peihaps saved fion leing svepl avay on oceanic feeIing
ly lheii aliIily lo focus in on lhe ninuliae of Iife. Lveiy delaiI of lhe univeise is seen
as pioposing a viev of lhe vhoIe. These aie lhe peopIe foi vhon ßIake viole lhe
fanous advice in lhe ¨Auguiies of Innocence
Tc scc |nc lcr|d in a Grain cf Sand, And a Hcatcn in a li|d ||cucr,
Hc|d |nfini|q in |nc pa|n cf qcur nand, And ||crni|q in an ncur.
4.8.6 Thc Rn!c nf GcnctIcs In Psychn!ngy
Whalevei can le said aloul an aninaI´s Ieaining oi in-aliIily lo Ieain has leaiing
upon lhe genelic nake-up of lhe aninaI. And vhal has leen said heie aloul lhe
IeveIs of Ieaining has leaiing upon lhe vhoIe inleipIay lelveen genelic nake-up
and lhe changes vhich lhal individuaI can and nusl achieve.
Ioi any given oiganisn, lheie is an uppei Iinil leyond vhich aII is deleinined
ly genelics. IIanaiians can piolalIy nol go leyond Leaining I. MannaIs olhei lhan
nan aie piolalIy capalIe of Leaining II lul incapalIe of Leaining III. Man nay
sonelines achieve Leaining III.
This uppei Iinil foi any oiganisn is (IogicaIIy and piesunalIy) sel ly genelic
phenonena, nol peihaps ly individuaI genes oi conlinalions of genes, lul ly
vhalevei faclois conlioI lhe deveIopnenl of lasic phyIai chaiacleiislics.
Ioi eveiy change of vhich an oiganisn is capalIe, lheie is lhe fac| of lhal
capaliIily. This facl nay le genelicaIIy deleinined, oi lhe capaliIily nay have leen
Ieained. If lhe Iallei, lhen genelics nay have deleinined lhe capaliIily of Ieaining lhe
capaliIily. And so on.
This is in geneiaI liue of aII sonalic changes as veII as of lhose lehavioiaI
changes vhich ve caII Ieaining. A nan´s skin lans in lhe sun. ßul vheie does
genelics enlei lhis picluie` Does genelics conpIeleIy deleinine his aoi|i|q lo lan` Oi
can sone nen inciease lheii aliIily lo lan` In lhe Iallei case, lhe genelic faclois
evidenlIy have effecl al a highei IogicaI IeveI.
The piolIen in iegaid lo any lehavioi is cIeaiIy nol "Is il Ieained oi is il
innale`¨ lul ¨Up lo vhal IogicaI IeveI is Ieaining effeclive and dovn lo vhal IeveI
does genelics pIay a deleininalive oi pailIy effeclive ioIe`¨
The lioad hisloiy of lhe evoIulion of Ieaining seens lo have leen a sIov pushing
lack of genelic deleininisn lo IeveIs of highei IogicaI lype.
4.8.7 A Nntc nn HIcrarchIcs
The nodeI discussed in lhis papei assunes, lacilIy, lhal lhe IogicaI lypes can le
oideied in lhe foin of a sinpIe, unlianching Iaddei. I leIieve lhal il vas vise lo deaI
fiisl vilh lhe piolIens iaised ly such a sinpIe nodeI.
ßul lhe voiId of aclion, expeiience, oiganizalion, and Ieaining cannol le
conpIeleIy napped onlo a nodeI vhich excIudes pioposilions aloul lhe ieIalion
oc|uccn cIasses of diffeienl IogicaI lype.
If C
is a cIass of pioposilions, and C
is a cIass of pioposilions aloul lhe
nenleis of C
, C
lhen leing a cIass of pioposilions aloul lhe nenleis of C
, hov
lhen shaII ve cIassify pioposilions aloul lhe ieIalion oc|uccn lhese cIasses` Ioi
exanpIe, lhe pioposilion ¨As nenleis of C
aie lo nenleis of C
, so nenleis of C
aie lo nenleis of C
¨ cannol le cIassified vilhin lhe unlianching Iaddei of lypes.
The vhoIe of lhis essay is luiIl upon lhe pienise lhal lhe ieIalion lelveen C
and C
can le conpaied vilh lhe ieIalion lelveen C1 and C2. I have again and again
laken a slance lo lhe side of ny Iaddei of IogicaI lypes lo discuss lhe sliucluie of lhis
Iaddei. The essay is lheiefoie ilseIf an exanpIe of lhe facl lhal lhe Iaddei is nol
Il foIIovs lhal a nexl lask viII le lo Iook foi exanpIes of Ieaining vhich cannol
le cIassified in leins of ny hieiaichy of Ieaining lul vhich faII lo lhe side of lhis
hieiaichy as Ieaining aloul lhe ieIalion lelveen sleps of lhe hieiaichy. I have
suggesled eIsevheie (¨SlyIe, Ciace, and Infoinalion in Iiinilive Ail¨) lhal ail is
connonIy conceined vilh Ieaining of lhis soil, i.e., vilh liidging lhe gap lelveen
lhe noie oi Iess unconscious pienises acquiied ly Leaining II and lhe noie episodic
conlenl of consciousness and innediale aclion.
Il shouId aIso le noled lhal lhe sliucluie of lhis essay is induc|itc in lhe sense lhal
lhe hieiaichy of oideis of Ieaining is piesenled lo lhe ieadei fion lhe lollon
upvaid, fion IeveI zeio lo IeveI III. ßul il is nol inlended lhal lhe expIanalions of lhe
phenonenaI voiId vhich lhe nodeI affoids shaII le unidiieclionaI. In expIaining lhe
nodeI lo lhe ieadei, a unidiieclionaI appioach vas necessaiy, lul vilhin lhe nodeI il
is assuned lhal highei IeveIs aie expIanaloiy of Iovei IeveIs and vice veisa. Il is aIso
assuned lhal a siniIai iefIexive ieIalion~lolh induclive and deduclive~ollains
anong ideas and ilens of Ieaining as lhese exisl in lhe Iives of lhe ciealuies vhich
ve sludy.
IinaIIy, lhe nodeI ienains anliguous in lhe sense lhal vhiIe il is asseiled lhal
lheie aie expIanaloiy oi deleininalive ieIalions lelveen ideas of adjacenl IeveIs lolh
upvaid and dovnvaid, il is nol cIeai vhelhei diiecl expIanaloiy ieIalions exisl
lelveen sepaialed IeveIs, e.g., lelveen IeveI III and IeveI I oi lelveen IeveI zeio and
IeveI II.
This queslion and lhal of lhe slalus of pioposilions and ideas coIIaleiaI lo lhe
hieiaichy of lypes ienains unexanined.
4.9 The Cµbernetlcs of ºSe|f": A Theorµ of
The ¨Iogic
of aIcohoIic addiclion has puzzIed psychialiisls no Iess lhan lhe
¨Iogic¨ of lhe slienuous spiiiluaI iegine vheiely lhe oiganizalion AIcohoIics
Anonynous is alIe lo counleiacl lhe addiclion. In lhe piesenl essay il is suggesled:
(1) lhal an enliieIy nev epislenoIogy nusl cone oul of cyleinelics and
syslens lheoiy, invoIving a nev undeislanding of nind, seIf, hunan
ieIalionship, and povei,
(2) lhal lhe addicled aIcohoIic is opeialing, vhen solei, in leins of an
epislenoIogy vhich is convenlionaI in OccidenlaI cuIluie lul vhich is
nol acceplalIe lo syslens lheoiy,
(3) lhal suiiendei lo aIcohoIic inloxicalion piovides a pailiaI and suljeclive
shoil cul lo a noie coiiecl slale of nind, and
(4) lhal lhe lheoIogy of AIcohoIics Anonynous coincides cIoseIy vilh an
epislenoIogy of cyleinelics.
The piesenl essay is lased upon ideas vhich aie, peihaps aII of lhen, faniIiai
eilhei lo psychialiisls vho have had deaIings vilh aIcohoIics, oi lo phiIosopheis vho
have lhoughl aloul lhe inpIicalions of cyleinelics and syslens lheoiy. The onIy
noveIly vhich can le cIained foi lhe lhesis heie offeied deiives fion liealing lhese
ideas seiiousIy as pienises of aigunenl and fion lhe liinging logelhei of
connonpIace ideas fion lvo loo sepaiale fieIds of lhoughl.
In ils fiisl conceplion, lhis essay vas pIanned lo le a syslens-lheoielic sludy of
aIcohoIic addiclion, in vhich I vouId use dala fion lhe pulIicalions of AIcohoIics
Anonynous, vhich has lhe onIy oulslanding iecoid of success in deaIing vilh
aIcohoIics. Il soon lecane evidenl, hovevei, lhal lhe ieIigious vievs and lhe
oiganizalionaI sliucluie of AA piesenled poinls of gieal inleiesl lo syslens lheoiy,
and lhal lhe coiiecl scope of ny sludy shouId incIude nol onIy lhe pienises of
aIcohoIisn lul aIso lhe pienises of lhe AA syslen of liealing il and lhe pienises of
AA oiganizalion.
My dell lo AA viII le evidenl lhioughoul~aIso, I hope, ny iespecl foi lhal
oiganizalion and especiaIIy foi lhe exliaoidinaiy visdon of ils cofoundeis, ßiII W.
and Di. ßol.
In addilion, I have lo acknovIedge a dell lo a snaII sanpIe of aIcohoIic palienls
vilh vhon I voiked inlensiveIy foi aloul lvo yeais in 1949-52, in lhe Veleians
Adninislialion HospilaI, IaIo AIlo, CaIifoinia. These nen, il shouId le nenlioned,
caiiied olhei diagnoses~noslIy of ¨schizophienia¨~in addilion lo lhe pains of
aIcohoIisn. SeveiaI veie nenleis of AA. I feai lhal I heIped lhen nol al aII.
This ailicIe appeaied in Psqcnia|rq, VoI. 34, No. 1, pp. 1-18, 1971. Copyiighl © 1971 ly lhe
WiIIian AIanson While Isychialiic Ioundalion. Repiinled ly peinission of Psqcnia|rq
4.9.1 Thc Prnb!cm
Il is ialhei geneiaIIy leIieved lhal ¨causes¨ oi ¨ieasons¨ foi aIcohoIisn aie lo le
Iooked foi in lhe solei Iife of lhe aIcohoIic. AIcohoIics, in lheii solei nanifeslalions,
aie connonIy dulled ¨innaluie,¨ ¨naleinaIIy fixaled,¨ ¨oiaI,¨ ¨honosexuaI,¨
¨passive-aggiessive,¨ ¨feaifuI of success,¨ ¨oveisensilive,¨ ¨pioud,¨ ¨affalIe,¨ oi
sinpIy ¨veak.¨ ßul lhe IogicaI inpIicalions of lhis leIief aie usuaIIy nol exanined:
If lhe solei Iife of lhe aIcohoIic sonehov diives hin lo diink oi pioposes lhe
fiisl slep lovaid inloxicalion, il is nol lo le expecled lhal any pioceduie vhich
ieinfoices his pailicuIai slyIe of soliiely viII ieduce oi conlioI his aIcohoIisn.
If his slyIe of soliiely diives hin lo diink, lhen lhal slyIe nusl conlain eiioi oi
palhoIogy, and inloxicalion nusl piovide sone~al Ieasl suljeclive~coiieclion of
lhis eiioi. In olhei voids, conpaied vilh his soliiely, vhich is in sone vay
¨viong,¨ his inloxicalion nusl le in sone vay ¨iighl.¨ The oId lag |n tinc tcri|as
nay conlain a liulh noie piofound lhan is usuaIIy alliiluled lo il.
An aIleinalive hypolhesis vouId suggesl lhal vhen solei, lhe aIcohoIic is
sonehov noie sane lhan lhe peopIe aiound hin, and lhal lhis silualion is
inloIeialIe. I have heaid aIcohoIics aigue in favoi of lhis possiliIily, lul I shaII ignoie
il in lhis essay. I lhink lhal ßeinaid Snilh, lhe non-aIcohoIic IegaI iepiesenlalive of
AA, cane cIose lo lhe naik vhen he said, ¨lhe |AAj nenlei vas nevei ensIaved ly
aIcohoI. AIcohoI sinpIy seived as an escape fion pcrscna| ensIavenenl lo lhe faIse
ideaIs of a naleiiaIislic sociely.¨
Il is nol a nallei of ievoIl againsl insane ideaIs
aiound hin lul of escaping fion his ovn insane pienises, vhich aie conlinuaIIy
ieinfoiced ly lhe suiiounding sociely. Il is possilIe, hovevei, lhal lhe aIcohoIic is in
sone vay noie vuIneialIe oi sensilive lhan lhe noinaI lo lhe facl lhal his insane
(lul convenlionaI) pienises Iead lo unsalisfying iesuIls.
The piesenl lheoiy of aIcohoIisn, lheiefoie, viII pio-vide a ccntcrsc na|cning
lelveen lhe soliiely and lhe inloxicalion, such lhal lhe Iallei nay le seen as an
appiopiiale suljeclive coiieclion foi lhe foinei.
Theie aie, of couise, nany inslances in vhich peopIe iesoil lo aIcohoI and even
lo exliene inloxicalion as an aneslhelic giving ieIease fion oidinaiy giief,
iesenlnenl, oi physicaI pain. Il nighl le aigued lhal lhe aneslhelic aclion of aIcohoI
piovides a sufficienl conveise nalching foi oui lheoielicaI puiposes. I shaII,
hovevei, specificaIIy excIude lhese cases fion consideialion as leing nol ieIevanl lo
lhe piolIen of addiclive oi iepelilive aIcohoIisn, and lhis in spile of lhe undoulled
facl lhal ¨giief,¨ ¨iesenlnenl,¨ and
fiuslialion¨ aie connonIy used ly addicled
aIcohoIics as cxcuscs foi diinking.
I shaII denand, lheiefoie, a conveise nalching lelveen soliiely and inloxicalion
noie specific lhan lhal piovided ly neie aneslhesia.
4.9.2 5nbrIcty
The fiiends and ieIalives of lhe aIcohoIic connonIy uige hin lo le ¨sliong,¨ and
lo ¨iesisl lenplalion.¨ Whal lhey nean ly lhis is nol veiy cIeai, lul il is significanl
|AIcohoIics Anonynousj, A|ccnc|ics Ancnqncus Ccncs cf Agc, Nev Yoik, Haipei, 1957, p.
279. (IlaIics added.)
lhal lhe aIcohoIic hinseIf~vhiIe solei~connonIy agiees vilh lheii viev of his
He leIieves lhal he couId le, oi, al Ieasl, oughl lo le ¨lhe caplain of his
ßul il is a cIiche of aIcohoIisn lhal aflei ¨lhal fiisl diink,¨ lhe nolivalion lo
slop diinking is zeio. TypicaIIy lhe vhoIe nallei is phiased oveilIy as a lallIe
lelveen ¨seIf¨ and ¨}ohn ßaiIeycoin.
CoveilIy lhe aIcohoIic nay le pIanning oi
even secielIy Iaying in suppIies foi lhe nexl linge, lul il is aInosl inpossilIe (in lhe
hospilaI selling) lo gel lhe solei aIcohoIic lo pIan his nexl linge in an oveil nannei.
He cannol, seeningIy, le lhe ¨caplain¨ of his souI and oveilIy viII oi connand his
ovn diunkenness. The ¨caplain¨ can onIy connand soliiely ~and lhen nol le
ßiII W., lhe cofoundei of AIcohoIics Anonynous, hinseIf an aIcohoIic, cul
lhiough aII lhis nylhoIogy of confIicl in lhe veiy fiisl of lhe fanous ¨TveIve Sleps¨
of AA. The fiisl slep denands lhal lhe aIcohoIic agiee lhal he is poveiIess ovei
aIcohoI. This slep is
usuaIIy iegaided as a ´surrcndcr
and nany aIcohoIics aie eilhei
unalIe lo achieve il oi achieve il onIy liiefIy duiing lhe peiiod of ienoise foIIoving
a linge. AA does nol iegaid lhese cases as pionising: lhey have nol yel ¨hil lollon¨,
lheii despaii is inadequale and aflei a noie oi Iess liief speII of soliiely lhey viII
again allenpl lo use ¨seIf-conlioI¨ lo fighl lhe ¨lenplalion.
They viII nol oi cannol
accepl lhe pienise lhal, diunk oi solei, lhe lolaI peisonaIily of an aIcohoIic is an
aIcohoIic peisonaIily vhich cannol conceivalIy fighl aIcohoIisn. As an AA IeafIel
puls il, ¨liying lo use viII povei is Iike liying lo Iifl youiseIf ly youi loolsliaps.¨
The fiisl lvo sleps of AA aie as foIIovs:
1.We adnilled ve veie poveiIess ovei aIcohoI~lhal oui Iives had lecone
2.Cane lo leIieve lhal a Iovei giealei lhan oui-seIves couId iesloie us lo
InpIicil in lhe conlinalion of lhese lvo sleps is an exliaoidinaiy~and I leIieve
coiiecl~idea: lhe expeiience of defeal nol onIy seives lo convince lhe aIcohoIic lhal
change is necessaiy, il is lhe fiisl slep in lhal change. To le defealed ly lhe lollIe and
lo knov il is lhe fiisl ¨spiiiluaI expeiience.¨ The nylh of seIf-povei is lheiely
lioken ly lhe denonslialion of a giealei povei.
In sun, I shaII aigue lhal lhe ¨soliiely¨ of lhe aIcohoIic is chaiacleiized ly an
unusuaIIy disaslious vaiianl of lhe Cailesian duaIisn, lhe division lelveen Mind
and Mallei, oi, in lhis case, lelveen conscious viII, oi ¨seIf,¨ and lhe ienaindei of
lhe peisonaIily. ßiII W.´s slioke of genius vas lo lieak up vilh lhe fiisl ¨slep¨ lhe
sliucluiing of lhis duaIisn.
IhiIosophicaIIy vieved, lhis fiisl slep is nc| a suiiendei, il is sinpIy a change in
epislenoIogy, a change in hov lo knov aloul lhe peisonaIily-in-lhe-voiId. And,
nolalIy, lhe change is fion an incoiiecl lo a noie coiiecl epislenoIogy.
This phiase is used ly AA in deiision of lhe aIcohoIic vho liies lo use viII povei againsl lhe
lollIe. The quolalion, aIong vilh lhe Iine, ¨My head is lIoody lul unloved,¨ cones fion lhe
poen ¨Inviclus¨ ly WiIIian Linesl HenIey, vho vas a ciippIe lul nol an aIcohoIic. The use of lhe
viII lo conquei pain and physicaI disaliIily is piolalIy nol conpaialIe lo lhe aIcohoIic's use of
'|AIcohoIics Anonynousj, A|ccnc|ics Ancnqncus, Nev Yoik, Woiks IulIishing, 1939
4.9.3 EpIstcmn!ngy and Ontn!ngy
IhiIosopheis have iecognized and sepaialed lvo soils of piolIen. Theie aie fiisl
lhe piolIens of hov lhings aie, vhal is a peison, and vhal soil of a voiId lhis is.
These aie lhe piolIens of onloIogy. Second, lheie aie lhe piolIens of hov ve knov
anylhing, oi noie specificaIIy, hov ve knov vhal soil of a voiId il is and vhal soil
of ciealuies ve aie lhal can knov sonelhing (oi peihaps nolhing) of lhis nallei.
These aie lhe piolIens of epislenoIogy. To lhese queslions, lolh onloIogicaI and
epislenoIogicaI, phiIosopheis liy lo find liue ansveis.
ßul lhe naluiaIisl, olseiving hunan lehavioi, viII ask ialhei diffeienl queslions.
If he le a cuIluiaI ieIalivisl, he nay agiee vilh lhose phiIosopheis vho hoId lhal a
¨liue¨ onloIogy is conceivalIe, lul he viII nol ask vhelhei lhe onloIogy of lhe peopIe
he olseives is ¨liue.
He viII expecl lheii epislenoIogy lo le cuIluiaIIy deleinined
oi even idiosyncialic, and he viII expecl lhe cuIluie as a vhoIe lo nake sense in
leins of lheii pailicuIai epislenoIogy and onloIogy.
If, on lhe olhei hand, il is cIeai lhal lhe IocaI epislenoIogy is urcng, lhen lhe
naluiaIisl shouId le aIeil lo lhe possiliIily lhal lhe cuIluie as a vhoIe viII nevei
ieaIIy nake ¨sense,
oi viII nake sense onIy undei iesliicled ciicunslances, vhich
conlacl vilh olhei cuIluies and nev lechnoIogies nighl disiupl.
In lhe naluiaI hisloiy of lhe Iiving hunan leing, onloIogy and epislenoIogy
cannol le sepaialed. His (connonIy unconscious) leIiefs aloul vhal soil of voiId il
is viII deleinine hov he sees il and acls vilhin il, and his vays of peiceiving and
acling viII deleinine his leIiefs aloul ils naluie. The Iiving nan is lhus lound
vilhin a nel of epislenoIogicaI and onloIogicaI pienises vhich~iegaidIess of
uIlinale liulh oi faIsily~lecone pailiaIIy seIf-vaIidaling foi hin
Il is avkvaid lo iefei conslanlIy lo lolh epislenoIogy and onloIogy and
incoiiecl lo suggesl lhal lhey aie sepaialIe in hunan naluiaI hisloiy. Theie seens lo
le no convenienl void lo covei lhe conlinalion of lhese lvo concepls. The neaiesl
appioxinalions aie ¨cognilive sliucluie¨ oi ¨chaiaclei sliucluie,¨ lul lhese leins faiI
lo suggesl lhal vhal is inpoilanl is a lody of haliluaI assunplions oi pienises
inpIicil in lhe ieIalionship lelveen nan and enviionnenl, and lhal lhese pienises
nay le liue oi faIse. I shaII lheie-foie use lhe singIe lein ¨epislenoIogy¨ in lhis
essay lo covei lolh aspecls of lhe nel of pienises vhich govein adaplalion (oi
naIadaplalion) lo lhe hunan and physicaI enviionnenl. In Ceoige KeIIy´s
vocaluIaiy, lhese aie lhe iuIes ly vhich an individuaI ¨consliues¨ his expeiience.
I an conceined especiaIIy vilh lhal gioup of pienises upon vhich OccidenlaI
concepls of lhe ¨seIf¨ aie luiIl, and conveiseIy, vilh pienises vhich aie coiieclive lo
sone of lhe noie gioss OccidenlaI eiiois associaled vilh lhal concepl.
4.9.4 Thc EpIstcmn!ngy nf CybcrnctIcs
Whal is nev and suipiising is lhal ve nov have pailiaI ansveis lo sone of lhese
queslions. In lhe Iasl lvenly-five yeais exliaoidinaiy advances have leen nade in
oui knovIedge of vhal soil of lhing lhe enviionnenl
is, vhal soil of lhing an
}. Ruesch and C. ßaleson, Ccnnunica|icns. Tnc Sccia| Ma|rix cf Psqcnia|rq, Nev Yoik,
Noilon, 1951.
oiganisn is, and, especiaIIy, vhal soil of lhing a nind is. These advances have cone
oul of cyleinelics, syslens lheoiy, infoinalion lheoiy, and ieIaled sciences.
We nov knov, vilh consideialIe ceilainly, lhal lhe ancienl piolIen of vhelhei
lhe nind is innanenl oi lianscendenl can le ansveied in favoi of innanence, and
lhal lhis ansvei is noie econonicaI of expIanaloiy enlilies lhan any lianscendenl
ansvei: il has al Ieasl lhe negalive sup-poil of Occan´s Razoi.
On lhe posilive side, ve can asseil lhal anq ongoing ensenlIe of evenls and
oljecls vhich has lhe appiopiiale conpIexily of causaI ciicuils and lhe appiopiiale
eneigy ieIalions viII suieIy shov nenlaI chaiacleiislics. Il viII ccnparc, lhal is, le
iesponsive lo diffcrcncc (in addilion lo leing affecled ly lhe oidinaiy physicaI
such as inpacl oi foice). Il viII ¨piocess infoinalion¨ and viII inevilalIy le
seIf-coiieclive eilhei lovaid honeoslalic oplina oi lovaid lhe naxinizalion of
ceilain vaiialIes.
A ¨lil¨ of infoinalion is definalIe as a diffeience vhich nakes a diffeience. Such
a diffeience, as il liaveIs and undeigoes successive liansfoinalion in a ciicuil, is an
eIenenlaiy idea.
ßul, nosl ieIevanl in lhe piesenl conlexl, ve knov lhal no pail of such an
inleinaIIy inleiaclive syslen can have uniIaleiaI conlioI ovei lhe ienaindei oi ovei
any olhei pail. The nenlaI chaiacleiislics aie inheienl oi innanenl in lhe ensenlIe
as a unc|c.
Lven in veiy sinpIe seIf-coiieclive syslens, lhis hoIislic chaiaclei is evidenl. In
lhe slean engine vilh a ¨goveinoi,¨ lhe veiy void ¨goveinoi¨ is a nisnonei if il le
laken lo nean lhal lhis pail of lhe syslen has uniIaleiaI conlioI. The goveinoi is,
essenliaIIy, a sense oigan oi liansducei vhich ieceives a liansfoin of lhe diffcrcncc
lelveen lhe acluaI iunning speed of lhe engine and sone ideaI oi piefeiied speed.
This sense oigan liansfoins lhese diffeiences inlo diffeiences in sone effeienl
nessage, foi exanpIe, lo fueI suppIy oi lo a liake. The lehavioi of lhe goveinoi is
deleinined, in olhei voids, ly lhe lehavioi of lhe olhei pails of lhe syslen, and
indiieclIy ly ils ovn lehavioi al a pievious line.
The hoIislic and nenlaI chaiaclei of lhe syslen is nosl cIeaiIy denonslialed ly
lhis Iasl facl, lhal lhe lehavioi of lhe goveinoi (and, indeed, of eveiy pail of lhe
causaI ciicuil) is pailiaIIy deleinined ly ils ovn pievious lehavioi. Message naleiiaI
(i.e., successive liansfoins of diffeience) nusl pass aiound lhe lolaI ciicuil, and lhe
|inc iequiied foi lhe nessage naleiiaI lo ieluin lo lhe pIace fion vhich il slailed is a
lasic chaiacleiislic of lhe lolaI syslen. The lehavioi of lhe goveinoi (oi any olhei
pail of lhe ciicuil) is lhus in sone degiee deleinined nol onIy ly ils innediale pasl,
lul ly vhal il did al a line vhich piecedes lhe piesenl ly lhe inleivaI necessaiy foi
lhe nessage lo conpIele lhe ciicuil. Theie is lhus a soil of deleininalive ncncrq in
even lhe sinpIesl cyleinelic ciicuil.
The slaliIily of lhe syslen (i.e., vhelhei il viII acl seIf-coiiecliveIy oi osciIIale oi
go inlo iunavay) depends upon lhe ieIalion lelveen lhe opeialionaI pioducl of aII
lhe liansfoinalions of diffeience aiound lhe ciicuil and upon lhis chaiacleiislic line.
goveinoi¨ has no conlioI ovei lhese faclois. Lven a hunan goveinoi in a sociaI
syslen is lound ly lhe sane Iinilalions. He is conlioIIed ly infoinalion fion lhe
syslen and nusl adapl his ovn aclions lo ils line chaiacleiislics and lo lhe effecls of
his ovn pasl aclion.
Thus, in no syslen vhich shovs nenlaI chaiacleiislics can any pail have
uniIaleiaI conlioI ovei lhe vhoIe. In olhei voids, lhe nenlaI chaiacleiislics of lhe
syslen aie innanenl, nol in sone pail, lul in lhe syslen as a vhoIe.
The significance of lhis concIusion appeais vhen ve ask, ¨Can a conpulei
lhink`¨ oi, ¨Is lhe nind in lhe liain`¨ And lhe ansvei lo lolh queslions viII le
negalive unIess lhe queslion is focused upon one of lhe fev nenlaI chaiacleiislics
vhich aie conlained vilhin lhe conpulei oi lhe liain. A conpulei is seIf-coiieclive
in iegaid lo sone of ils inleinaI vaiialIes. Il nay, foi exanpIe, incIude lheinoneleis
oi olhei sense oigans vhich aie affecled ly diffeiences in ils voiking lenpeialuie,
and lhe iesponse of lhe sense oigan lo lhese diffeiences nay affecl lhe aclion of a fan
vhich in luin coiiecls lhe lenpeialuie. We nay lheiefoie say lhal lhe syslen shovs
nenlaI chaiacleiislics in iegaid lo ils inleinaI lenpeialuie. ßul il vouId le incoiiecl
lo say lhal lhe nain lusiness of lhe conpulei~lhe liansfoinalion of inpul
diffeiences inlo oulpul diffeiences~is ¨a nenlaI piocess.¨ The conpulei is onIy an
aie of a Iaigei ciicuil vhich aIvays incIudes a nan and an enviionnenl fion vhich
infoinalion is ieceived and upon vhich effeienl nessages fion lhe conpulei have
effecl. This lolaI syslen, oi ensenlIe, nay IegilinaleIy le said lo shov nenlaI
chaiacleiislics. Il opeiales ly liiaI and eiioi and has ciealive chaiaclei.
SiniIaiIy, ve nay say lhal ¨nind¨ is innanenl in lhose ciicuils of lhe liain
vhich aie conpIele vilhin lhe liain. Oi lhal nind is innanenl in ciicuils vhich aie
conpIele vilhin lhe syslen, liain pIus lody. Oi, finaIIy, lhal nind is innanenl in
lhe Iaigei syslen~nan pIus enviionnenl.
In piincipIe, if ve desiie lo expIain oi undeisland lhe nenlaI aspecl of any
lioIogicaI evenl, ve nusl lake inlo accounl lhe syslen~lhal is, lhe nelvoik of cIosed
ciicuils, vilhin vhich lhal lioIogicaI evenl is deleinined. ßul vhen ve seek lo
expIain lhe lehavioi of a nan oi any olhei oiganisn, lhis ¨syslen¨ viII usuaIIy nol
have lhe sane Iinils as lhe ¨seIf¨~as lhis lein is connonIy (and vaiiousIy)
Considei a nan feIIing a liee vilh an axe. Lach slioke of lhe axe is nodified oi
coiiecled, accoiding lo lhe shape of lhe cul face of lhe liee Iefl ly lhe pievious slioke.
This seIf-coiieclive (i.e., nenlaI) piocess is lioughl aloul ly a lolaI syslen, liee-eyes-
liain-nuscIes-axe-slioke-liee, and il is lhis lolaI syslen lhal has lhe chaiacleiislics of
innanenl nind.
Moie coiieclIy, ve shouId speII lhe nallei oul as: (diffeiences in liee) -
(diffeiences in ielina) -(diffeiences in liain) - (diffeiences in nuscIes) -(diffeiences in
novenenl of axe) -(diffeiences in liee), elc. Whal is liansnilled aiound lhe ciicuil is
liansfoins of diffeiences. And, as noled alove, a diffeience vhich nakes a diffeience
is an idca oi unil of infoinalion.
ßul lhis is nc| hov lhe aveiage OccidenlaI sees lhe evenl sequence of liee feIIing.
He says, ¨I cul dovn lhe liee¨ and he even leIieves lhal lheie is a deIiniled agenl,
lhe ¨seIf,¨ vhich peifoined a deIiniled ¨puiposive¨ aclion upon a de-Iiniled oljecl.
Il is aII veiy veII lo say lhal ¨ßiIIiaid laII A hil liIIiaid laII ß and senl il inlo lhe
pockel¨, and il vouId peihaps le aII iighl (if ve couId do il) lo give a conpIele haid-
science accounl of lhe evenls aII aiound lhe ciicuil conlaining lhe nan and lhe liee.
ßul popuIai paiIance incIudes nind in ils ulleiance ly invoking lhe peisonaI
pionoun, and lhen achieves a nixluie of nenlaIisn and physicaIisn ly iesliicling
nind vilhin lhe nan and ieifying lhe liee. IinaIIy lhe nind ilseIf lecones ieified ly
lhe nolion lhal, since lhe ¨seIf¨ acled upon lhe axe vhich acled upon lhe liee, lhe
¨seIf¨ nusl aIso le a ¨lhing.¨ The paiaIIeIisn of synlax lelveen ¨I hil lhe liIIiaid
laII¨ and ¨The laII hil anolhei laII¨ is lolaIIy nisIeading.
If you ask anylody aloul lhe IocaIizalion and loundaiies of lhe seIf, lhese
confusions aie innedialeIy dispIayed. Oi considei a lIind nan vilh a slick. Wheie
does lhe lIind nan´s seIf legin` Al lhe lip of lhe slick` Al lhe handIe of lhe slick` Oi
al sone poinl haIfvay up lhe slick` These queslions aie nonsense, lecause lhe slick is
a palhvay aIong vhich diffeiences aie liansnilled undei liansfoinalion, so lhal lo
diav a deIiniling Iine acrcss lhis palhvay is lo cul off a pail of lhe syslenic ciicuil
vhich deleinines lhe lIind nan´s Ioconolion.
SiniIaiIy, his sense oigans aie liansduceis oi palhvays foi infoinalion, as aIso
aie his axons, elc. Iion a syslens-lheoielic poinl of viev, il is a nisIeading nelaphoi
lo say lhal vhal liaveIs in an axon is an ¨inpuIse.¨ Il vouId le noie coiiecl lo say
lhal vhal liaveIs is a diffeience, oi a liansfoin of a diffeience. The nelaphoi of
inpuIse¨ suggesls a haid-science Iine of lhoughl vhich viII ianify onIy loo easiIy
inlo nonsense aloul ¨psychic eneigy,¨ and lhose vho laIk lhis kind of nonsense viII
disiegaid lhe infoinalion conlenl of quicsccncc. The quiescence of an axon diffcrs as
nuch fion aclivily as ils aclivily does fion quiescence. Theiefoie quiescence and
aclivily have equaI infoinalionaI ieIevance. The nessage of aclivily can onIy le
accepled as vaIid if lhe nessage of quiescence can aIso le liusled.
Il is even incoiiecl lo speak of lhe ¨nessage of aclivily¨ and lhe ¨nessage of
quiescence.¨ AIvays lhe facl lhal in-foinalion is a liansfoin of diffeience shouId le
ienenleied, and ve nighl lellei caII lhe one nessage
aclivily ~nol quiescence¨
and lhe olhei
quiescence~nol aclivily.¨
SiniIai consideialions appIy lo lhe iepenlanl aIcohoIic. He cannol sinpIy eIecl
¨soliiely.¨ Al lesl he couId onIy eIecl ¨soliiely~nol diunkenness,¨ and his univeise
ienains poIaiized, caiiying aIvays lolh aIleinalives.
The lolaI seIf-coiieclive unil vhich piocesses infoinalion, oi, as I say, ¨lhinks¨
and ¨acls¨ and ¨decides,¨ is a sqs|cn vhose loundaiies do nol al aII coincide vilh lhe
loundaiies eilhei of lhe lody oi of vhal is popuIaiIy caIIed lhe ¨seIf¨ oi
¨consciousness¨, and il is inpoilanl lo nolice lhal lheie aie nu||ip|c diffeiences
lelveen lhe lhinking syslen and lhe ¨seIf¨ as popuIaiIy conceived:
The syslen is nol a lianscendenl enlily as lhe ¨seIf¨ is connonIy supposed lo le.
The ideas aie innanenl in a nelvoik of causaI palh-vays aIong vhich
liansfoins of diffeience aie conducled. The
ideas¨ of lhe syslen aie in aII cases al
Ieasl linaiy in sliucluie. They aie nol ¨inpuIses¨ lul ¨infoinalion.¨
This nelvoik of palhvays is nol lounded vilh consciousness lul exlends lo
incIude lhe palhvays of aII unconscious nenlalion~lolh aulononic and iepiessed,
neuiaI and hoinonaI.
The nelvoik is nol lounded ly lhe skin lul incIudes aII exleinaI palhvays aIong
vhich infoinalion can liaveI. Il aIso incIudes lhose effeclive diffeiences vhich aie
innanenl in lhe ¨oljecls¨ of such infoinalion. Il incIudes lhe palh-vays of sound
and Iighl aIong vhich liaveI liansfoins of diffeiences oiiginaIIy innanenl in lhings
and olhei peopIe ~and especiaIIy in cur cun ac|icns.
Il is inpoilanl lo nole lhal lhe lasic~and I leIieve eiioneous~lenels of popuIai
epislenoIogy aie nuluaIIy iein-foicing. If, foi exanpIe, lhe popuIai pienise of
lianscendence is discaided, lhe innediale sulslilule is a pienise of innanence in
lhe lody. ßul lhis aIleinalive viII le unacceplalIe lecause Iaige pails of lhe lhinking
nelvoik aie Iocaled oulside lhe lody. The so-caIIed ¨ßody-Mind¨ piolIen is
viongIy posed in leins vhich foice lhe aigunenl lovaid paiadox: if nind le
supposed innanenl in lhe lody, lhen il nusl le lianscendenl. If lianscendenl, il
nusl le innanenl. And so on.
SiniIaiIy, if ve excIude lhe unconscious piocesses fion lhe ¨seIf¨ and caII lhen
¨ego-aIien,¨ lhen lhese piocesses lake on lhe suljeclive coIoiing of ¨uiges¨ and
¨foices¨, and lhis pseudodynanic quaIily is lhen exlended lo lhe conscious ¨seIf¨
vhich allenpls lo ¨iesisl¨ lhe ¨foices¨ of lhe unconscious. The ¨seIf¨ lheiely
lecones ilseIf an oiganizalion of seening ¨foices.¨ The popuIai nolion vhich vouId
equale ¨seIf¨ vilh consciousness lhus Ieads inlo lhe nolion lhal ideas aie ¨foices¨,
and lhis faIIacy is in luin suppoiled ly saying lhal lhe axon caiiies ¨inpuIses.¨ To
find a vay oul of lhis ness is ly no neans easy.
We shaII pioceed ly fiisl exanining lhe sliucluie of lhe aIcohoIic´s poIaiizalion.
In lhe epislenoIogicaIIy unsound iesoIulion, ¨I viII fighl lhe lollIe,¨ vhal is
supposedIy Iined up againsl vhal`
4.9.5 A!cnhn!Ic "PrIdc"
AIcohoIics aie phiIosopheis in lhal univeisaI sense in vhich aII hunan leings
(and aII nannaIs) aie guided ly highIy alsliacl piincipIes of vhich lhey aie eilhei
quile unconscious, oi unavaie lhal lhe piincipIe goveining lheii peiceplion and
aclion is phiIosophic. A connon nisnonei foi such piincipIes is ¨feeIings.
This nisnonei aiises naluiaIIy fion lhe AngIo-Saxon epislenoIogicaI lendency
lo ieify oi alliilule lo lhe lody aII nenlaI phenonena vhich aie peiipheiaI lo
consciousness. And lhe nisnonei is, no doull, suppoiled ly lhe facl lhal lhe exeicise
and/oi fiuslialion of lhese piincipIes is oflen acconpanied ly visceiaI and olhei
lodiIy sensalions. I leIieve, hovevei, lhal IascaI vas coiiecl vhen he said, ¨The
heail has ils rcascns vhich lhe ieason does nol al aII peiceive.
ßul lhe ieadei nusl nol expecl lhe aIcohoIic lo piesenl a consislenl picluie. When
lhe undeiIying epislenoIogy is fuII of eiioi, deiivalions fion il aie inevilalIy eilhei
seIf-conliadicloiy oi exlieneIy iesliicled in scope. A consislenl coipus of lheoiens
cannol le deiived fion an inconsislenl lody of axions. In such cases, lhe allenpl lo
le consislenl Ieads eilhei lo lhe gieal pioIifeialion of conpIexily chaiacleiislic of
psychoanaIylic lheoiy and Chiislian lheoIogy oi lo lhe exlieneIy naiiov viev
chaiacleiislic of conlenpoiaiy lehavioiisn.
I shaII lheiefoie pioceed lo exanine lhe
vhich is chaiacleiislic of
aIcohoIics lo shov lhal lhis piincipIe of lheii lehavioi is deiived fion lhe sliange
duaIislic epislenoIogy chaiacleiislic of OccidenlaI civiIizalion.
A convenienl vay of desciiling such piincipIes as ¨piide,¨ ¨dependency,¨
¨falaIisn,¨ and so foilh, is lo exanine lhe piincipIe as if il veie a iesuIl of deuleio-
¨ R. C. CoIIingvood, Tnc |dca cf Na|urc, Oxfoid, Ox-foid Univeisily Iiess, 1945.
¨ C. ßaleson, ¨A SociaI Scienlisl Vievs lhe Lnolions,¨ |xprcssicn cf |nc |nc|icns in Man, I.
Knapp, ed., InleinalionaI Univeisily Iiess, 1963.
and lo ask vhal conlexls of Ieaining nighl undeislandalIy incuIcale lhis
(1) Il is cIeai lhal lhe piincipIe of aIcohoIic Iife vhich AA caIIs ¨piide¨ is nol
conlexluaIIy sliucluied aiound pasl achievenenl. They do nol use lhe void lo nean
piide in sonelhing acconpIished. The enphasis is nol upon ¨I succeeded,¨ lul
ialhei upon ¨I can..¨ Il is an olsessive acceplance of a chaIIenge, a iepudialion of
lhe pioposilion ¨I cannol.¨
(2)Aflei lhe aIcohoIic has legun lo suffei fion~oi le lIaned foi~aIcohoIisn,
lhis piincipIe of ¨piide¨ is noliIized lehind lhe pioposilion, ¨I can slay solei.¨ ßul,
nolicealIy, success in lhis achievenenl deslioys lhe ¨chaIIenge.¨ The aIcohoIic
cocksuie,¨ as AA says. He ieIaxes his deleininalion, iisks a diink, and
finds hinseIf on a linge. We nay say lhal lhe conlexluaI sliucluie of soliiely
changes vilh ils achievenenl. Soliiely, al lhis poinl, is no Iongei lhe appiopiiale
conlexluaI selling foi ¨piide.¨ Il is lhe iisk of lhe diink lhal nov is chaIIenging and
caIIs oul lhe falaI ¨I can..
(3)AA does ils lesl lo insisl lhal lhis change in con-lexluaI sliucluie shaII nevei
occui. They iesliucluie lhe vhoIe conlexl ly asseiling ovei and ovei again lhal
´Oncc an a|ccnc|ic, a|uaqs an a|ccnc|ic.¨ They liy lo have lhe aIcohoIic pIace
aIcohoIisn vilhin lhe seIf, nuch as a }ungian anaIysl liies lo have lhe palienl
discovei his ¨psychoIogicaI lype¨ and lo Ieain lo Iive vilh lhe slienglhs and
veaknesses of lhal lype. In conliasl, lhe conlexluaI sliucluie of aIcohoIic ¨piide¨
pIaces lhe aIcohoIisn cu|sidc lhe seIf: ¨I can iesisl diinking.¨
(4)The chaIIenge conponenl of aIcohoIic ¨piide¨ is Iinked vilh ris|-|a|ing. The
piincipIe nighl le pul in voids: ¨I can do sonelhing vheie success is inpiolalIe
and faiIuie vouId le disaslious.¨ CIeaiIy lhis piincipIe viII nevei seive lo nainlain
conlinued soliiely. As success legins lo appeai piolalIe, lhe aIcohoIic nusl
chaIIenge lhe iisk of a diink. The eIenenl of ¨lad Iuck¨ oi ¨piolaliIily¨ of faiIuie
pIaces faiIuie leyond lhe Iinils of lhe seIf. ¨If faiIuie occuis, il is nol ninc.¨
AIcohoIic ¨piide¨ piogiessiveIy naiiovs lhe concepl of ¨seIf,¨ pIacing vhal
happens oulside ils scope.
(5)The piincipIe of piide-in-iisk is uIlinaleIy aInosl suicidaI. Il is aII veiy veII
lo lesl once vhelhei lhe univeise is on youi side, lul lo do so again and again, vilh
incieasing sliingency of pioof, is lo sel oul on a piojecl vhich can onIy piove lhal
lhe univeise hales you. ßul, sliII and aII, lhe AA naiialives shov iepealedIy lhal, al
lhe veiy lollon of despaii, pridc sonelines pievenls suicide. The finaI quielus nusl
nol le deIiveied ly lhe ¨seIf.¨
This use of foinaI conlexluaI sliucluie as a desciiplive device does nol necessaiiIy assune
lhal lhe piincipIe discussed is vhoIIy oi in pail acluaIIy ícu¡ncd in conlexls having lhe
appiopiiale foinaI sliucluie. The piincipIe couId have leen genelicaIIy deleinined, and il nighl
sliII foIIov lhal lhe piincipIe is lesl desciiled ly lhe foinaI deIinealion of lhe conlexls in vhich il
is exenpIified. Il is pieciseIy lhis filling of lehavioi lo conlexl lhal nakes il difficuIl oi inpossilIe lo
deleinine vhelhei a piincipIe of lehavioi vas genelicaIIy deleinined oi Ieained in lhal conlexl,
see C. ßaleson, ¨SociaI IIanning and lhe Concepl of Deuleio-Leaining,¨ Con¡c¡cncc on Scícncc,
PIííoso¡I¸ und Hcíígíon, Sccond S¸n¡osíun, Nev Yoik, Haipei, l942.
See ßiII's Sloiy, AIcohoIics Anonynous, op. cil.
4.9.6 PrIdc and 5ymmctry
The so-caIIed piide of lhe aIcohoIic aIvays piesunes a ieaI oi ficlilious ¨olhei,¨
and ils conpIele conlexluaI definilion lheiefoie denands lhal ve chaiacleiize lhe
ieaI oi inagined ieIalionship lo lhis ¨olhei.¨ A fiisl slep in lhis lask is lo cIassify lhe
ieIalionship as eilhei ¨synneliicaI¨ oi ¨conpIenenlaiy.¨
To do lhis is nol enliieIy
sinpIe vhen lhe ¨olhei¨ is a ciealion of lhe unconscious, lul ve shaII see lhal lhe
indicalions foi such a cIassificalion aie cIeai.
An expIanaloiy digiession is, hovevei, necessaiy. The piinaiy ciileiion is
If, in a linaiy ieIalionship, lhe lehaviois of A and ß aie iegaided (ly A and ß) as
sini|ar and aie Iinked so lhal noie of lhe given lehavioi ly A slinuIales noie of il in
ß, and vice veisa, lhen lhe ieIalionship is ¨synneliicaI¨ in iegaid lo lhese lehaviois.
If, conveiseIy, lhe lehaviois of A and ß aie dissini|ar lul nuluaIIy fil logelhei
(as, foi exanpIe, speclaloiship fils exhililionisn), and lhe lehaviois aie Iinked so
lhal noie of A´s lehavioi slinuIales noie of ß´s filling lehavioi, lhen lhe
ieIalionship is ¨conpIenenlaiy¨ in iegaid lo lhese lehaviois.
Connon exanpIes of sinpIe synneliicaI ieIalionship aie ainanenls iaces,
keeping up vilh lhe }oneses, alhIelic enuIalion, loxing nalches, and lhe Iike.
Connon exanpIes of conpIenenlaiy ieIalionship aie doninance-sulnission,
sadisn-nasochisn, nuiluiance-dependency, speclaloiship-exhililionisn, and lhe
Moie conpIex consideialions aiise vhen highei IogicaI lyping is piesenl. Ioi
exanpIe: A and ß nay conpele in gifl-giving, lhus supeiposing a Iaigei synneliicaI
fiane upon piinaiiIy conpIenenlaiy lehaviois. Oi, conveiseIy, a lheiapisl nighl
engage in conpelilion vilh a palienl in sone soil of pIay lheiapy, pIacing a
conpIenenlaiy nuiluianl fiane aiound lhe piinaiiIy synneliicaI liansaclions of
lhe gane.
Vaiious soils of ¨doulIe linds¨ aie geneialed vhen A and ß peiceive lhe
pienises of lheii ieIalionship in diffeienl leins~A nay iegaid ß´s lehavioi as
conpelilive vhen ß lhoughl he vas heIping A. And so on.
Wilh lhese conpIexilies ve aie nol heie conceined, le-cause lhe inaginaiy
¨olhei¨ oi counleipail in lhe ¨piide¨ of lhe aIcohoIic does nol, I leIieve, pIay lhe
conpIex ganes vhich aie chaiacleiislic of lhe ¨voices¨ of schizophienics.
ßolh conpIenenlaiy and synneliicaI ieIalionships aie IialIe lo piogiessive
changes of lhe soil vhich I have caIIed ¨schisnogenesis.¨
SynneliicaI sliuggIes
and ainanenls iaces nay, in lhe cuiienl phiase, ¨escaIale¨, and lhe noinaI pallein
of succoiing-dependency lelveen paienl and chiId nay lecone nonslious. These
polenliaIIy palhoIogicaI deveIopnenls aie due lo undanped oi uncoiiecled posilive
feedlack in lhe syslen, and nay~as slaled~occui in eilhei conpIenenlaiy oi
synneliicaI syslens. Hovevei, in nixcd syslens schisnogenesis is necessaiiIy
ieduced. The ainanenls iace lelveen lvo nalions viII le sIoved dovn ly
acceplance of conpIenenlaiy lhenes such as doninance, de-pendency, adniialion,
and so foilh, lelveen lhen. Il viII le speeded up ly lhe iepudialion of lhese lhenes.
C. ßaleson, Natcn, Canliidge, Canliidge Univeisily Iiess, 1936.
This anlilhelicaI ieIalionship lelveen conpIenenlaiy and synneliicaI lhenes
is, no doull, due lo lhe facl lhal each is lhe IogicaI opposile of lhe olhei. In a neieIy
synneliicaI ainanenls iace, nalion A is nolivaled lo giealei effoils ly ils eslinale
of |nc grca|cr s|rcng|n of ß. When il eslinales lhal ß is veakei, nalion A viII ieIax ils
effoils. ßul lhe exacl opposile viII happen if A´s sliucluiing of lhe ieIalionship is
conpIenenlaiy. Olseiving lhal ß is uca|cr lhan lhey, A viII go ahead vilh hopes of
This anlilhesis lelveen conpIenenlaiy and synneliicaI palleins nay le noie
lhan sinpIy IogicaI. NolalIy, in psychoanaIylic lheoiy,
lhe palleins vhich aie caIIed
¨IilidinaI¨ and vhich aie nodaIilies of lhe eiogenous zones aie aII ccnp|cncn|arq.
Inliusion, incIusion, excIusion, ieceplion, ielenlion, and lhe Iike~aII of lhese aie
cIassed as ¨IilidinaI.¨ Wheieas iivaIiy, conpelilion, and lhe Iike faII undei lhe iuliic
of ¨ego¨ and ¨defense.¨
Il is aIso possilIe lhal lhe lvo anlilhelicaI codes~synneliicaI and
conpIenenlaiy~nay le physioIogicaIIy iepiesenled ly conliasling slales of lhe
cenliaI neivous syslen. The piogiessive changes of schisnogenesis nay ieach
cIinaclic disconlinuilies and sudden ieveisaIs. SynneliicaI iage nay suddenIy luin
lo giief, lhe ieliealing aninaI vilh laiI lelveen his Iegs nay suddenIy ¨luin al lay¨
in a despeiale lallIe of synneliy lo lhe dealh. The luIIy nay suddenIy lecone lhe
covaid vhen he is chaIIenged, and lhe voIf vho is lealen in a synneliicaI confIicl
nay suddenIy give ¨suiiendei¨ signaIs vhich pievenl fuilhei allack.
The Iasl exanpIe is of speciaI inleiesl. If lhe sliuggIe lelveen lhe voIves is
synneliicaI~lhal is, if voIf A is slinuIaled lo noie aggiessive lehavioi ly lhe
aggiessive lehavioi of ß~lhen if ß suddenIy exhilils vhal ve nay caII ¨negalive
aggiession,¨ A viII nol le alIe lo conlinue lo fighl unIess he can quickIy svilch ovei
lo lhal conpIenenlaiy slale of nind in vhich ß´s veakness vouId le a slinuIus foi
his aggiession. Wilhin lhe hypolhesis of synneliicaI and conpIenelaiy nodes, il
lecones unnecessaiy lo posluIale a specificaIIy ¨inhililoiy¨ effecl foi lhe suiiendei
Hunan leings vho possess Ianguage can appIy lhe IaleI ¨aggiession¨ lo aII
allenpls lo danage lhe olhei, iegaidIess of vhelhei lhe allenpl is pionpled ly lhe
olhei´s slienglh oi veakness, lul al lhe pieIinguislic nannaIian IeveI lhese lvo
soils of ¨aggiession¨ nusl appeai lolaIIy diffeienl. We aie loId lhal fion lhe Iion´s
poinl of viev, an ¨allack¨ on a zelia is lolaIIy diffeienl fion an ¨allack¨ on anolhei
Lnough has nov leen said so lhal lhe queslion can le posed: Is aIcohoIic piide
conlexluaIIy sliucluied in synneliicaI oi conpIenenlaiy foin`
Iiisl, lheie is a veiy sliong lendency lovaid synneliy in lhe noinaI diinking
halils of OccidenlaI cuIluie. Quile apail fion addiclive aIcohoIisn, lvo nen
diinking logelhei aie inpeIIed ly convenlion lo nalch each olhei, diink foi diink. Al
C. ßaleson, ¨The Iallein of an Ainanenls Race-Iail I: An AnlhiopoIogicaI Appioach,¨
ßuIIelin of Alonic
Scienlisls, 1946, 2(5): 1O-11: aIso L. I. Richaidson, ¨CeneiaIized Ioieign IoIilics,¨ ßiilish
}ouinaI of IsychoIogy, Monogiaph SuppIenenls, 1939.
L. H. ErIksnn, ¨Configuialions in IIay~CIinicaI
Noles,¨ Psµchoana|µtlc Quarter|µ, 1937, 6: 139-214.

K. Z. Loienz, On Aggrcssicn, Nev Yoik, Haicouil, ßiace & WoiId, 1966.
lhis slage, lhe ¨olhei¨ is sliII ieaI and lhe synneliy, oi iivaIiy, lelveen lhe paii is
As lhe aIcohoIic lecones addicled and liies lo iesisl diinking, he legins lo find il
difficuIl lo iesisl lhe sociaI conlexl in vhich he shouId nalch his fiiends in lheii
diinking. The AA says, ¨Heaven knovs, ve have liied haid enough and Iong enough
lo diink Iike olhei peopIe!¨
As lhings gel voise, lhe aIcohoIic is IikeIy lo lecone a soIilaiy diinkei and lo
exhilil lhe vhoIe specliun of iesponse lo chaIIenge. His vife and fiiends legin lo
suggesl lhal his diinking is a uca|ncss, and he nay iespond, vilh synneliy, lolh ly
iesenling lhen and ly asseiling his slienglh lo iesisl lhe lollIe. ßul, as is
chaiacleiislic of synneliicaI iesponses, a liief peiiod of successfuI sliuggIe veakens
his nolivalion and he faIIs off lhe vagon. SynneliicaI effoil iequiies conlinuaI
opposilion fion lhe opponenl.
CiaduaIIy lhe focus of lhe lallIe changes, and lhe aIcohoIic finds hinseIf
connilled lo a nev and noie deadIy lype of synneliicaI confIicl. He nusl nov
piove lhal lhe lollIe cannol kiII hin. His ¨head is lIoody lul unloved.
He is sliII
lhe ¨caplain of his souI¨~foi vhal il´s voilh.
MeanvhiIe, his ieIalionships vilh vife and loss and fiiends have leen
deleiioialing. He nevei did Iike lhe conpIenenlaiy slalus of his loss as an aulhoiily,
and nov as he deleiioiales his vife is noie and noie foiced lo lake a conpIenenlaiy
ioIe. She nay liy lo exeil aulhoiily, oi she lecones pioleclive, oi she shovs
foileaiance, lul aII lhose piovoke eilhei iage oi shane. His synneliicaI ¨piide¨ can
loIeiale no conpIenenlaiy ioIe.
In sun, lhe ieIalionship lelveen lhe aIcohoIic and his ieaI oi ficlilious ¨olhei¨ is
cIeaiIy synneliicaI and cIeaiIy schisnogenic. Il escaIales. We shaII see lhal lhe
ieIigious conveision of lhe aIcohoIic vhen saved ly AA can le de-sciiled as a
dianalic shifl fion lhis synneliicaI halil, oi epislenoIogy, lo an aInosl puieIy
conpIenenlaiy viev of his ieIalionship lo olheis and lo lhe univeise oi Cod.
4.9.7 PrIdc nr Invcrtcd Prnnf?
AIcohoIics nay appeai lo le sliff-necked, lul lhey aie nol slupid. The pail of lhe
nind in vhich lheii poIicy is decided ceilainIy Iies loo deep foi lhe void ¨slupidily¨
lo le appIicalIe. These IeveIs of lhe nind aie pieIinguislic and lhe conpulalion
vhich goes on lheie is coded in prinarq prcccss.
ßolh in diean and in nannaIian inleiaclion, lhe onIy vay lo achieve a
pioposilion vhich conlains ils ovn negalion (¨I viII nol lile you,
oi ¨I an nol afiaid
of hin¨) is ly an eIaloiale inagining oi acling oul of lhe pioposilion lo le negaled,
Ieading lo a rcduc|ic ad aosurdun. ¨I viII nol lile you¨ is achieved lelveen lvo
nannaIs ly an expeiinenlaI conlal vhich is a ¨nol conlal,
sonelines caIIed
¨pIay.¨ Il is foi lhis ieason lhal ¨agonislic
lehavioi connonIy evoIves inlo fiiendIy
In lhis sense, lhe so-caIIed piide of lhe aIcohoIic is in sone degiee iionic. Il is a
deleinined effoil lo lesl sone-lhing Iike ¨seIf-conlioI¨ vilh an uIleiioi lul
C. ßaleson, ¨MelaIogue: Whal Is an Inslincl`,¨ Aprcacncs |c Anina| Ccnnunica|icn, T.
Seleok, Hague, Moulon, 1969.
unslalealIe puipose of pioving lhal ¨seIf-conlioI¨ is ineffecluaI and alsuid. ¨Il
sinpIy von´l voik.¨ This uIlinale pioposilion, since il conlains a sinpIe negalion, is
nol lo le expiessed in piinaiy piocess. Ils finaI expiession is in an aclion~lhe laking
of a diink. The heioic lallIe vilh lhe lollIe, lhal ficlilious ¨olhei,¨ ends up in a ¨kiss
and nake fiiends.
In favoi of lhis hypolhesis, lheie is lhe undoulled facl lhal lhe lesling of seIf-
conlioI Ieads lack inlo diinking. And, as I have aigued alove, lhe vhoIe
epislenoIogy of seIf-conlioI vhich his fiiends uige upon lhe aIcohoIic is nonslious.
If lhis le so, lhen lhe aIcohoIic is iighl in iejecling il. He has achieved a rcduc|ic ad
aosurdun of lhe convenlionaI epislenoIogy.
ßul lhis desciiplion of achieving a rcduc|ic ad aosurdun veiges upon leIeoIogy. If
lhe pioposilion ¨Il von´l voik¨ can-nol le enleilained vilhin lhe coding of piinaiy
piocess, hov lhen can lhe conpulalions of piinaiy piocess diiecl lhe oiganisn lo liy
oul lhose couises of aclion vhich viII denonsliale lhal ¨Il von´l voik¨`
IiolIens of lhis geneiaI lype aie fiequenl in psychialiy and can peihaps onIy le
iesoIved ly a nodeI in vhich, undei ceilain ciicunslances, lhe oiganisn´s
disconfoil aclivales a posilive feedlack Ioop lo incrcasc lhe lehavioi vhich pieceded
lhe disconfoil. Such posilive feedlack vouId piovide a veiificalion lhal il vas ieaIIy
lhal pailicuIai lehavioi vhich lioughl aloul lhe disconfoil, and nighl in-ciease lhe
disconfoil lo sone lhieshoId IeveI al vhich change vouId lecone possilIe.
In psycholheiapy such a posilive feedlack Ioop is connonIy piovided ly lhe
lheiapisl vho pushes lhe palienl in lhe diieclion of his synplons~a lechnique
vhich has leen caIIed lhe ¨lheiapeulic doulIe lind.¨ An exanpIe of lhis lechnique is
quoled Ialei in lhis essay, vheie lhe AA nenlei chaIIenges lhe aIcohoIic lo go and
do sone ¨conlioIIed diinking¨ in oidei lhal he nay discovei foi hinseIf lhal he has
no conlioI.
Il is aIso usuaI lhal lhe synplons and haIIucinalions of lhe schizophienic~Iike
dieans~conslilule a coiieclive expeiience, so lhal lhe vhoIe schizophienic episode
lakes on lhe chaiaclei of a seIf-inilialion. ßailaia O´ßiien´s accounl of hei ovn
is peihaps lhe nosl sliiking exanpIe of lhis phenonenon, vhich has leen
discussed eIsevheie.
Il viII le noled lhal lhe possilIe exislence of such a posilive feedlack Ioop,
vhich viII cause a iunavay in lhe diieclion of incieasing disconfoil up lo sone
lhieshoId (vhich nighl le on lhe olhei side of dealh), is nol incIuded in convenlionaI
lheoiies of Ieaining. ßul a lendency lo veiify lhe unpIeasanl ly seeking iepealed
expeiience of il is a connon hunan liail. Il is peihaps vhal Iieud caIIed lhe ¨dealh
4.9.8 Thc Drunkcn 5tatc
Whal has leen said alove aloul lhe lieadniII of synneliicaI piide is onIy one
haIf of lhe picluie. Il is lhe picluie of lhe slale of nind of lhe aIcohoIic oa|||ing vilh
lhe lollIe. CIeaiIy lhis slale is veiy unpIeasanl and cIeaiIy il is aIso unieaIislic. His
ß. O'ßiien, Opeialois and Things: The Innei Life of a Schizophienic, Canliidge, Mass.,
AiIinglon ßooks, 1958.
C. ßaleson, ed., Pcrccta|'s Narra|itc, Slanfoid, CaIif., Slanfoid Univeisily Iiess, 1961,
¨olheis¨ aie eilhei lolaIIy inaginaiy oi aie gioss disloilions of peisons on vhon he
is dependenl and vhon he nay Iove. He has an aIleinalive lo lhis unconfoilalIe
slale~he can gel diunk. Oi, ´a| |cas|,¨ have a diink.
Wilh lhis conpIenenlaiy suiiendei, vhich lhe aIcohoIic viII oflen see as an acl
of spile~a ßailhian dail in a synneliicaI sliuggIe~his enliie epislenoIogy changes.
His anxielies and iesenlnenls and panic vanish as if ly nagic. His seIf-conlioI is
Iessened, lul his need lo conpaie hinseIf vilh olheis is ieduced even fuilhei. He
feeIs lhe physioIogicaI vainlh of aIcohoI in his veins and, in nany cases, a
coiiesponding psychoIogicaI vainlh lovaid olheis. He nay le eilhei naudIin oi
angiy, lul he has al Ieasl lecone again a pail of lhe hunan scene.
Diiecl dala leaiing upon lhe lhesis lhal lhe slep fion soliiely inlo inloxicalion is
aIso a slep fion synneliicaI chaIIenge inlo conpIenenlaiily aie scaice, and aIvays
confused lolh ly lhe disloilions of iecaII and ly lhe conpIex loxicily of lhe aIcohoI.
ßul lheie is sliong evidence fion song and sloiy lo indicale lhal lhe slep is of lhis
kind. In iiluaI, pailaking of vine has aIvays slood foi lhe sociaI aggiegalion of
peisons uniled in ieIigious ¨connunion¨ oi secuIai Gcnù||icn|ci|. In a veiy IileiaI
sense, aIcohoI supposedIy nakes lhe individuaI see hinseIf as and acl as a par| cf lhe
gioup. Thal is, il enalIes conpIenenlaiily in lhe ieIalionships vhich suiiound hin.
4.9.9 HIttIng Bnttnm
AA allaches gieal inpoilance lo lhis phenonenon and iegaids lhe aIcohoIic vho
has nol hil lollon as a pooi piospecl foi lheii heIp. ConveiseIy, lhey aie incIined lo
expIain lheii faiIuie ly saying lhal lhe individuaI vho goes lack lo his aIcohoIisn
has nol qc| ¨hil lollon.¨
CeilainIy nany soils of disaslei nay cause an aIcohoIic lo hil lollon. Vaiious
soils of accidenls, an allack of deIiiiun lienens, a palch of diunken line of vhich he
has no nenoiy, iejeclion ly vife, Ioss of jol, hopeIess diagnosis, and so on~any of
lhese nay have lhe iequiied effecl. AA says lhal ¨lollon¨ is diffeienl foi diffeienl
nen and sone nay le dead lefoie lhey ieach il.
Il is possilIe, hovevei, lhal ¨lollon¨ is ieached nany lines ly any given
individuaI, lhal ¨lollon¨ is a speII of panic vhich piovides a favoialIe nonenl foi
change, lul nol a nonenl al vhich change is inevilalIe. Iiiends and ieIalives and
even lheiapisls nay puII lhe aIcohoIic oul of his panic, eilhei vilh diugs oi
ieassuiance, so lhal he ¨ie-coveis¨ and goes lack lo his ¨piide¨ and aIcohoIisn~
onIy lo hil a noie disaslious ¨lollon¨ al sone Ialei line, vhen he viII again le iipe
foi a change. The allenpl lo change lhe aIcohoIic in a peiiod oc|uccn such nonenls
of panic is unIikeIy lo succeed.
The naluie of lhe panic is nade cIeai ly lhe foIIoving desciiplion of a ¨lesl.¨
We do nol Iike lo pionounce any individuaI as aIcohoIic, lul you can quickIy
diagnose youiseIf. Slep ovei lo lhe neaiesl laiioon and liy sone conlioIIed
diinking. Tiy lo diink and slop aliuplIy. Tiy il noie lhan once. Il viII nol lake Iong
foi you lo decide, if you aie honesl vilh youiseIf aloul il. Il nay le voilh a lad case
of jilleis if you gel a fuII knovIedge of youi condilion.
We nighl conpaie lhe lesl quoled alove lo connanding a diivei lo liake
suddenIy vhen liaveIing on a sIippeiy ioad: he viII discovei fasl lhal his conlioI is
IeisonaI connunicalion fion a nenlei.
Iiniled. (The nelaphoi ¨skid iov¨ foi lhe aIcohoIic seclion of lovn is nol
The panic of lhe aIcohoIic vho has hil lollon is lhe panic of lhe nan vho
lhoughl he had conlioI ovei a vehicIe lul suddenIy finds lhal lhe vehicIe can iun
avay vilh hin. SuddenIy, piessuie on vhal he knovs is lhe liake seens lo nake lhe
vehicIe go faslei. Il is lhe panic of discoveiing lhal i| (lhe syslen, seIf p|us vehicIe) is
liggei lhan he is.
In leins of lhe lheoiy heie piesenled, ve nay say lhal hilling lollon
exenpIifies syslens lheoiy al lhiee IeveIs:
(1)The aIcohoIic voiks on lhe disconfoils of soliiely lo a lhieshoId poinl al vhich
he has lankiupled lhe epislenoIogy of ¨seIf-conlioI.¨ He lhen gels diunk~lecause
lhe ¨syslen¨ is liggei lhan he is~and he nay as veII suiiendei lo il.
(2)He voiks iepealedIy al gelling diunk unliI he pioves lhal lheie is a sliII Iaigei
syslen. He lhen encounleis lhe panic of ¨hilling lollon.¨
(3)If fiiends and lheiapisls ieassuie hin, he nay achieve a fuilhei unslalIe
adjuslnenl~leconing addicled lo lheii heIp~unliI he denonsliales lhal lhis syslen
von´l voik, and ¨hils lollon¨ again lul al a Iovei IeveI. In lhis, as in aII cyleinelic
syslens, lhe sign (pIus oi ninus) of lhe effecl of any inliusion upon lhe syslen
depends upon lining.
(4)LaslIy, lhe phenonenon of hilling lollon is conpIexIy ieIaled lo lhe expeiience
of doulIe lind.
ßiII W. naiiales lhal he hil lollon vhen diagnosed as a hopeIess
aIcohoIic ly Di. WiIIian D. SiIkvoilh in 1939, and lhis evenl is iegaided as lhe
leginning of AA hisloiy.
Di. SiIkvoilh aIso ¨suppIied us vilh lhe looIs vilh vhich
lo puncluie lhe loughesl aIcohoIic ego, lhose shalleiing phiases ly vhich he
desciiled oui iIIness: |nc coscssicn cf |nc nind lhal conpeIs us lo diink and |nc a||crgq
cf |nc ocdq lhal condenns us lo go nad oi die.¨
This is a doulIe lind coiieclIy
founded upon lhe aIcohoIic´s dicholonous epislenoIogy of nind veisus lody. He is
foiced ly lhese voids lack and lack lo lhe poinl al vhich onIy an invoIunlaiy
change in deep unconscious epislenoIogy~a spiiiluaI expeiience~viII nake lhe
IelhaI desciiplion iiieIevanl.
4.9.10 Thc Thcn!ngy nf A!cnhn!Ics Annnymnus
Sone oulslanding poinls of lhe lheoIogy of AA aie:
(1) Tncrc is a Pcucr grca|cr |nan |nc sc|f. Cyleinelics vouId go sonevhal fuilhei
and iecognize lhal lhe ¨seIf¨ as oidinaiiIy undeislood is onIy a snaII pail of a nuch
Iaigei liiaI-and-eiioi syslen vhich does lhe lhinking, acling, and deciding. This
syslen incIudes aII lhe infoinalionaI palh-vays vhich aie ieIevanl al any given
nonenl lo any given decision. The ¨seIf¨ is a faIse ieificalion of an inpiopeiIy de-
Iiniled pail of lhis nuch Iaigei fieId of inleiIocking piocesses. Cyleinelics aIso
AIcohoIics Anonynous, cp. ci|., p. 43.
ßaleson, c| a|., ¨Tovaid a Theoiy of Schizophienia,¨ 8cnaticra| Scicncc, 1956, 1: 251-64.
A A Ccncs cf Agc, cp. ci|., p. tii
|oid., p. 13. (IlaIics in lhe oiiginaI)
iecognizes lhal lvo oi noie peisons ~any gioup of peisons~nay logelhei foin
such a lhinkingand-acling syslen.
(2) This Iovei is feIl lo le peisonaI and lo le inlinaleIy Iinked vilh each peison.
Il is ¨Cod as you undeisland hin lo le.¨
CyleinelicaIIy speaking, ¨ny¨ ieIalion lo any Iaigei syslen aiound ne and
incIuding olhei lhings and peisons viII le diffeienl fion ¨youi¨ ieIalion lo sone
siniIai syslen aiound you. The ieIalion ¨pail of¨ nusl necessaiiIy and IogicaIIy aI-
vays le conpIenenlaiy lul lhe neaning of lhe phiase ¨pail of¨ viII le diffeienl foi
eveiy peison.
This diffeience viII le especiaIIy inpoilanl in syslens conlaining
noie lhan one peison. The syslen oi ¨povei¨ nusl necessaiiIy appeai diffeienl fion
vheie each peison sils. Moieovei, il is expecl-alIe lhal such syslens, vhen lhey
encounlei each olhei, viII iecognize each olhei as syslens in lhis sense. The ¨leauly¨
of lhe voods lhiough vhich I vaIk is ny iecognilion lolh of lhe individuaI liees and
of lhe lolaI ecoIogy of lhe voods as syslens. A siniIai eslhelic iecognilion is sliII
noie sliiking vhen I laIk vilh anolhei peison.
(3) A favoialIe ieIalionship vilh lhis Iovei is discoveied lhiough ¨hilling
lollon¨ and ¨suiiendei.¨
(4) ßy iesisling lhis Iovei, nen and especiaIIy aIcohoIics liing disaslei upon
lhenseIves. The naleiiaIislic phiIosophy vhich sees ¨nan¨ as pilled againsl his
enviionnenl is iapidIy lieaking dovn as lechnoIogicaI nan lecones noie and noie
alIe lo oppose lhe Iaigesl syslens. Lveiy lallIe lhal he vins liings a lhieal of
disaslei. The unil of suivivaI~eilhei in elhics oi in evoIulion~is nol lhe oiganisn oi
lhe species lul lhe Iaigesl syslen oi ¨povei¨ vilhin vhich lhe ciealuie Iives. If lhe
ciealuie deslioys ils enviionnenl, il deslioys il-seIf.
(5) ßul
and lhis is inpoilanl~lhe Iovei does nol ie-vaid and punish. Il does
nol have ¨povei¨ in lhal sense. In lhe lilIicaI phiase, ¨AII lhings voik logelhei foi
good lo lhen lhal Iove Cod.¨ And, conveiseIy, lo lhen lhal do nol. The idea of
povei in lhe sense of uniIaleiaI conlioI is foieign lo AA. Theii oiganizalion is sliiclIy
¨denocialic¨ (lheii void), and even lheii deily is sliII lound ly vhal ve nighl caII a
syslenic deleininisn. The sane Iinilalion appIies lolh lo lhe ieIalionship lelveen
lhe AA sponsoi and lhe diunk vhon he hopes lo heIp and lo lhe ieIalionship
lelveen AA cenliaI office and eveiy IocaI gioup.
(6) The fiisl lvo ¨sleps¨ of AIcohoIics Anonynous laken logelhei idenlify lhe
addiclion as a nanifeslalion of lhis Iovei.
(7) The heaIlhy ieIalion lelveen each peison and lhis Iovei is conpIenenlaiy.
Il is in piecise conliasl lo lhe ¨piide¨ of lhe aIcohoIic, vhich is piedicaled upon a
synneliicaI ieIalionship lo an inagined ¨olhei.¨ The schisnogenesis is aIvays noie
poveifuI lhan lhe pailicipanls in il.
(8) The quaIily and conlenl of each peison´s ieIalion lo lhe Iovei is indicaled oi
iefIecled in lhe sociaI sliucluie of AA. The secuIai aspecl of lhis syslen~ils
goveinance~is deIinealed in ¨TveIve Tiadilions¨
vhich suppIenenl lhe ¨TveIve
Sleps,¨ lhe Iallei deveIoping nan´s ieIalionship lo lhe Iovei. The lvo docunenls
oveiIap in lhe TveIflh Slep, vhich enjoins aid lo olhei aIcohoIics as a necessaiy
spiiiluaI exeicise vilhoul vhich lhe nenlei is IikeIy lo ieIapse. The lolaI syslen is a
This diveisily in slyIes of inlegialion couId accounl foi lhe facl lhal sone peisons lecone
aIcohoIic vhiIe olheis do nol.
AA Cones of Age, op. cil. 24 Ilid., p. 288. 25 Ilid., pp. 286-94.
Duikheinian ieIigion in lhe sense lhal lhe ieIalionship lelveen nan and his
connunily paiaIIeIs lhe ieIalionship lelveen nan and Cod. ¨AA is a povei giealei
lhan any of us.
In sun, lhe ieIalionship of each individuaI lo lhe ¨Iovei¨ is lesl defined in lhe
voids is par| cf.¨
(9) Anonynily. Il nusl le undeislood lhal anonynily neans nuch noie in AA
lhinking and lheoIogy lhan lhe neie pioleclion of nenleis fion exposuie and
shane. Wilh incieasing fane and success of lhe oiganizalion as a vhoIe, il has
lecone a lenplalion foi nenleis lo use lhe facl of lheii nenleiship as a posilive
assel in pulIic ieIalions, poIilics, educalion, and nany olhei fieIds. ßiII W., lhe co-
foundei of lhe oiganizalion, vas hinseIf caughl ly lhis lenplalion in eaiIy days and
has discussed lhe nallei in a pulIished ailicIe.
He sees fiisl lhal any gialling of lhe
spolIighl nusl le a peisonaI and spiiiluaI dangei lo lhe nenlei, vho cannol affoil
such seIf-seeking, and leyond lhis lhal il vouId le falaI foi lhe oiganizalion as a
vhoIe lo lecone invoIved in poIilics, ieIigious conlioveisy, and sociaI iefoin. He
slales cIeaiIy lhal lhe eiiois of lhe aIcohoIic aie lhe sane as lhe ¨foices vhich aie
loday iipping lhe voiId apail al ils seans,¨ lul lhal il is nol lhe lusiness of AA lo
save lhe voiId. Theii singIe puipose is ¨lo caiiy lhe AA nessage lo lhe sick aIcohoIic
vho vanls il.¨
He concIudes lhal anonynily is ¨lhe giealesl synloI of seIf-saciifice
lhal ve knov.¨ LIsevheie lhe lveIflh of lhe ¨TveIve Tiadilions¨ slales lhal
¨anonynily is lhe spiiiluaI foundalion of oui liadilions, evei ieninding us lo pIace
piincipIes lefoie peisonaIilies.¨
To lhis ve nay add lhal anonynily is aIso a piofound slalenenl of lhe syslenic
ieIalion, pail-lo-vhoIe. Sone syslens lheoiisls vouId go even fuilhei, lecause a
najoi lenplalion foi syslens lheoiy Iies in lhe ieificalion of lheoielicaI concepls.
AnaloI HoIl says he vanls a lunpei slickei vhich vouId (paiadoxicaIIy) say,
¨Slanp oul nouns.¨
(1O) Iiayei. The AA use of piayei siniIaiIy affiins lhe conpIenenlaiily of pail-
vhoIe ieIalionship ly lhe veiy sinpIe lechnique of asking foi lhal ieIalionship. They
ask foi lhose-peisonaI chaiacleiislics, such as huniIily, vhich aie in facl-exeicised in
lhe veiy acl of piayei. If lhe acl of piayei le sinceie (vhich is nol so easy), Cod
cannol lul gianl lhe iequesl. And lhis is pecuIiaiIy liue of ¨Cod, as qcu undcrs|and
nin.¨ This seIf-affiining lauloIogy, vhich conlains ils ovn leauly, is pieciseIy lhe
laIn iequiied aflei lhe anguish of lhe doulIe linds vhich venl vilh hilling lollon.
Sonevhal noie conpIex is lhe fanous ¨Seienily Iiayei¨: ¨Cod gianl us lhe
seienily lo accepl lhe lhings ve cannol change, couiage lo change lhe lhings ve can,
and visdon lo knov lhe diffeience.
If doulIe linds cause anguish and despaii and deslioy peisonaI epislenoIogicaI
pienises al sone deep IeveI, lhen il foIIovs, conveiseIy, lhal foi lhe heaIing of lhese
vounds and lhe giovlh of a nev epislenoIogy, sone conveise of lhe doulIe lind
|oid, p. 288.
|oid, pp.286-294
M. C. ßaleson, ed., Our Oun Mc|apncr, Wennei-Cien Ioundalion, Confeience on
lhe Lffecls of Conscious Iuipose on Hunan Adaplalion, 1968, Nev Yoik, Knopf, in piess.
This vas nol oiiginaIIy an AA docunenl and ils aulhoiship is unknovn. SnaII vaiialions in
lhe lexl occui. I have quoled lhe foin vhich I peisonaIIy piefei fion AA Ccncs cf Agc, cp. ci|., p.
viII le appiopiiale. The doulIe lind Ieads The Seienily Iiayei expIicilIy fiees lhe
voishippei fion lhese naddening londs.
lo lhe concIusion of despaii, ¨Theie aie no aIleinalives.¨
In lhis conneclion il is voilh nenlioning lhal lhe gieal schizophienic, }ohn
IeicevaI, olseived a change in his
In lhe leginning of his psychosis lhey
luIIied hin vilh ¨conliadicloiy connands¨ (oi as I vouId say, doulIe linds), lul
Ialei he legan lo iecovei vhen lhey offeied hin choice of cIeaiIy defined
(11) In one chaiacleiislic, AA diffeis piofoundIy fion such naluiaI nenlaI
syslens as lhe faniIy oi lhe iedvood foiesl. Il has a sing|c puipose~¨lo caiiy lhe AA
nessage lo lhe sick aIcohoIic vho vanls il¨~and lhe oiganizalion is dedicaled lo lhe
naxinizalion of lhal puipose. In lhis iespecl, AA is no noie sophislicaled lhan
CeneiaI Molois oi an OccidenlaI nalion. ßul lioIogicaI syslens, olhei lhan lhose
pienised upon OccidenlaI ideas (and especiaIIy ncncq), aie nuIlipuiposed. Theie is
no singIe vaiialIe in lhe ied-vood foiesl of vhich ve can say lhal lhe vhoIe syslen
is oiienled lo naxinizing lhal vaiialIe and aII olhei vaiialIes aie sulsidiaiy lo il,
and, indeed, lhe iedvood foiesl voiks lovaid oplina, nol naxina. Ils needs aie
salialIe, and loo nuch of anylhing is loxic.
Theie is, hovevei, lhis: lhal lhe singIe puipose of AA is diiecled oulvaid and is
ained al a nonconpelilve ieIalionship lo lhe Iaigei voiId. The vaiialIe lo le
naxinized is a conpIenenlaiily and is of lhe naluie of ¨seivice¨ ialhei lhan
4.9.11 Thc EpIstcmn!ngIca! 5tatus nf Cnmp!cmcntary and
5ymmctrIca! PrcmIscs
Il vas noled alove lhal in hunan inleiaclion, synneliy and conpIenenlaiily
nay le conpIexIy conlined. Il is lheiefoie ieasonalIe lo ask hov il is possilIe lo
iegaid lhese lhenes as so fundanenlaI lhal lhey shaII le caIIed ¨epislenoIogicaI,¨
even in a naluiaI hisloiy sludy of cuIluiaI and inleipeisonaI pienises.
The ansvei seens lo hang upon vhal is neanl ly ¨fundanenlaI¨ in such a sludy
of nan´s naluiaI hisloiy, and lhe void seens lo caiiy lvo soils of neaning.
Iiisl, I caII ncrc fundancn|a| lhose pienises vhich aie lhe noie deepIy
enledded in lhe nind, vhich aie lhe noie ¨haid piogianned¨ and lhe Iess
susceplilIe lo change. In lhis sense, lhe synneliicaI piide oi huliis of lhe aIcohoIic is
Second, I shaII caII noie fundanenlaI lhose pienises of nind vhich iefei lo lhe
Iaigei ialhei lhan lhe snaIIei syslens oi geslaIlen of lhe univeise. The pioposilion
¨Ciass is gieen¨ is Iess fundanenlaI lhan lhe pioposilion ¨CoIoi diffeiences nake a
ßul, if ve ask aloul vhal happens vhen pienises aie changed, il lecones cIeai
lhal lhese lvo definilions of lhe ¨fundanenlaI¨ oveiIap lo a veiy gieal exlenl. If a
nan achieves oi suffeis change in pienises vhich aie deepIy enledded in his nind,
he viII suieIy find lhal lhe iesuIls of lhal change viII ianify lhioughoul his vhoIe
univeise. Such changes ve nay veII caII ¨epislenoIogicaI.
ßaleson, IeicevaI . . . , op. cil.
The queslion lhen ienains iegaiding vhal is epislenoIogicaIIy ¨iighl¨ and vhal
is epislenoIogicaIIy ¨viong.
Is lhe change fion aIcohoIic synneliicaI ¨piide¨ lo lhe
AA species of conpIenenlaiily a coiieclion of his epislenoIogy` And is
conpIenenlaiily a|uaqs sonehov lellei lhan synneliy`
Ioi lhe AA nenlei, il nay veII le liue lhal conpIenenlaiily is aIvays lo le
piefeiied lo synneliy and lhal even lhe liiviaI iivaIiy of a gane of lennis oi chess
nay le dangeious. The supeificiaI episode nay louch off lhe deepIy enledded
synneliicaI pienise. ßul lhis does nol nean lhal lennis and chess piopose
epislenoIogicaI eiioi foi eveiylody.
The elhicaI and phiIosophic piolIen ieaIIy conceins onIy lhe videsl univeise
and lhe deepesl psychoIogicaI IeveIs. If ve deepIy and even unconsciousIy leIieve
lhal oui ieIalion lo lhe Iaigesl syslen vhich conceins us~lhe ¨Iovei giealei lhan
seIf¨~is synneliicaI and enuIalive, lhen ve aie in eiioi.
4.9.12 LImItatInns nf thc HypnthcsIs
IinaIIy, lhe alove anaIysis is suljecl lo lhe foIIoving Iinilalions and
Il is nol asseiled lhal aII aIcohoIics opeiale accoiding lo lhe Iogic vhich is heie
oulIined. Il is veiy possilIe lhal olhei lypes of aIcohoIics exisl and aInosl ceilain lhal
aIcohoIic addiclion in olhei cuIluies viII foIIov olhei Iines.
1.Il is nol asseiled lhal lhe vay of AIcohoIics Anonynous is lhe cn|q vay lo
Iive coiieclIy oi lhal lheii lheoIogy is lhe onIy coiiecl deiivalion fion lhe
epislenoIogy of cyleinelics and syslens lheoiy.
2.Il is nol asseiled lhal aII liansaclions lelveen hunan leings oughl lo le
conpIenenlaiy, lhough il is cIeai lhal lhe ieIalion lelveen lhe individuaI and
lhe Iaigei syslen of vhich he is a pail nusl necessaiiIy le so. ReIalions
lelveen peisons viII (I hope) aIvays le conpIex.
Il is, hovevei, asseiled lhal lhe nonaIcohoIic voiId has nany Iessons vhich il
nighl Ieain fion lhe epislenoIogy of syslens lheoiy and fion lhe vays of AA. If ve
conlinue lo opeiale in leins of a Cailesian duaIisn of nind veisus nallei, ve shaII
piolalIy aIso conlinue lo see lhe voiId in leins of Cod veisus nan, eIile veisus
peopIe, chosen iace veisus olheis, nalion veisus nalion, and nan veisus
enviionnenl. Il is doullfuI vhelhei a species having oc|n an advanced lechnoIogy
and lhis sliange vay of Iooking al ils voiId can enduie.
4.10 Comment on Part lll
In lhe essays coIIecled in Iail III, I speak of an aclion oi ulleiance as occuiiing
¨in¨ a conlexl, and lhis convenlionaI vay of laIking suggesls lhal lhe pailicuIai
aclion is a ¨dependenl¨ vaiialIe, vhiIe lhe conlexl is lhe ¨independenl¨ oi
deleinining vaiialIe. ßul lhis viev of hov an aclion is ieIaled lo ils conlexl is IikeIy
lo disliacl lhe ieadei~as il has disliacled ne
fion peiceiving lhe ecoIogy of lhe
ideas vhich logelhei conslilule lhe snaII sulsyslen vhich I caII
This heuiislic eiioi~copied Iike so nany olheis fion lhe vays of lhoughl of lhe
physicisl and chenisl~iequiies coiieclion.
Il is inpoilanl lo see lhe pailicuIai ulleiance oi aclion as par| of lhe ecoIogicaI
sulsyslen caIIed conlexl and nol as lhe pioducl oi effecl of vhal ienains of lhe
conlexl aflei lhe piece vhich ve vanl lo expIain has leen cul oul fion il.
The nislake in queslion is lhe sane foinaI eiioi as lhal nenlioned in lhe
connenl on Iail II vheie I discuss lhe evoIulion of lhe hoise. We shouId nol lhink of
lhis piocess jusl as a sel of changes in lhe aninaI´s adaplalion lo Iife on lhe giassy
pIains a ccns|ancq in |nc rc|a|icnsnip lelveen aninaIs and enviionnenl. Il is lhe
ecoIogy vhich suivives and sIovIy evoIves. In lhis evoIulion, lhe ieIala~lhe aninaIs
and lhe giass~undeigo changes vhich aie indeed adaplive fion nonenl lo
nonenl. ßul if lhe piocess of adaplalion veie lhe vhoIe sloiy, lheie couId le no
syslenic palhoIogy. TioulIe aiises pieciseIy lecause lhe ¨Iogic¨ of adaplalion is a
diffeienl ¨Iogic¨ fion lhal of lhe suivivaI and evoIulion of lhe ecoIogicaI syslen.
In Waiien ßiodey´s phiase, lhe ¨line-giain¨ of lhe adaplalion is diffeienl fion
lhal of lhe ecoIogy.
¨SuivivaI¨ neans lhal ceilain desciiplive slalenenls aloul sone Iiving syslen
conlinue lo le liue lhiough sone peiiod of line, and, conveiseIy, ¨evoIulion¨ iefeis
lo changes in lhe liulh of ceilain desciiplive slalenenls aloul sone Iiving syslen.
The liick is lo define vhich slalenenls aloul vhich syslens ienain liue oi undeigo
The paiadoxes (and lhe palhoIogies) of syslenic piocess aiise pieciseIy lecause
lhe conslancy and suivivaI of sone Iaigei syslen is nainlained ly changes in lhe
consliluenl sulsyslens.
The ieIalive conslancy~lhe suivivaI~of lhe ieIalionship lelveen aninaIs and
giass is nainlained ly changes in lolh ieIala. ßul any adaplive change in eilhei of
lhe ieIala, if uncoiiecled ly sone change in lhe olhei, viII aIvays jeopaidize lhe
ieIalionship lelveen lhen. These aigunenls piopose a nev concepluaI fiane foi lhe
¨doulIe lind¨ hypolhesis, a nev concepluaI fiane foi lhinking aloul
¨schizophienia,¨ and a nev vay of Iooking al conlexl and IeveIs of Ieaining.
In a void, schizophienia, deuleio-Ieaining, and lhe doulIe lind cease lo le
nalleis of individuaI psychoIogy and le-cone pail of lhe ecoIogy of ideas in syslens
oi ¨ninds¨ vhose loundaiies no Iongei coincide vilh lhe skins of lhe pailicipanl
5 Part IV: BIn!ngy and Evn!utInn
5.1 On Emµtµ-Headedness Among Blo|oglsts and
State Boards of Educatlon
My falhei, lhe genelicisl WiIIian ßaleson, used lo iead us passages of lhe ßilIe al
lieakfasl~Iesl ve giov up lo le cnp|q-ncadcd alheisls, and so I find il naluiaI lo
vondei vhal lioadening of lhe nind nay cone fion lhe sliange anli-evoIulionaiy
iuIing of lhe Slale ßoaid of Lducalion in CaIifoinia.
LvoIulion has Iong leen ladIy laughl. In pailicuIai, sludenls~and even
piofessionaI lioIogisls~acquiie lheoiies of evoIulion vilhoul any deep
undeislanding of vhal piolIen lhese lheoiies allenpl lo soIve. They Ieain lul IillIe
of lhe evoIulion of evoIulionaiy lheoiy.
The exliaoidinaiy achievenenl of lhe viileis of lhe fiisl chaplei of Cenesis vas
lheii peiceplion of lhe piolIen: lncrc dccs crdcr ccnc frcn? They olseived lhal lhe
Iand and lhe valei veie, in facl, sepaiale and lhal species veie sepaiale, lhey sav
lhal such sepaialion and soiling in lhe univeise piesenled a fundanenlaI piolIen. In
nodein leins, ve nay say lhal lhis is lhe piolIen inpIicil in lhe Second Lav of
Theinodynanics: If iandon evenls Iead lo lhings gelling nixed up, ly vhal
noniandon evenls did lhings cone lo le soiled` And vhal is a ¨iandon
This piolIen has leen cenliaI lo lioIogy and lo nany olhei sciences foi lhe Iasl
5OOO yeais, and lhe piolIen is nol liiviaI.
Wilh vhal Woid shouId ve designale lhe piincipIe of oidei vhich seens lo le
innanenl in lhe univeise`
The CaIifoinia iuIing suggesls lhal sludenls le loId of olhei allenpls lo soIve
lhis ancienl piolIen. I nyseIf coIIecled one of lhese anong lhe Slone Age head-
hunleis of lhe IalnuI liile in Nev Cuinea. They, loo, nole lhal lhe Iand and lhe
valei aie sepaiale even in lheii svanpy iegion. They say lhal in lhe leginning lheie
vas a vasl ciocodiIe, KavvoknaIi, vho paddIed vilh his fionl Iegs and paddIed
vilh his lack Iegs, and lheiely kepl lhe nud in suspension. The cuIluie heio,
Kevenluangga, speaied lhe ciocodiIe, vho lhen ceased lo paddIe, causing lhe nud
and lhe valei lo sepaiale. The iesuIl vas diy Iand upon vhich Kevenluangga
slanped his fool in liiunph. We nighl say he veiified lhal ¨il vas good.¨
Oui sludenls nighl have lheii ninds lioadened sonevhal if lhey vouId Iook al
olhei lheoiies of evoIulion and considei hov a nan´s spiiil nusl lake a diffeienl
shape if he leIieves lhal aII soiling in lhe univeise is due lo an exleinaI agenl, oi if,
Iike lhe IalnuI and nodein scienlisls, he sees lhal lhe polenliaIily foi oidei and
pallein is innanenl lhioughoul lhis voiId.
And lhen lhe sludenl nay le foiced ly lhe nev syslen lo Iook al lhe ¨Cieal
Chain of ßeing,¨ vilh Supiene Mind al lhe lop and lhe piolozoa al lhe lollon. He
viII see hov Mind vas invoked as an expIanaloiy piincipIe aII lhiough lhe MiddIe
Ages and hov Mind Ialei lecane lhe prco|cn. Mind lecane lhal vhich needed
expIanalion vhen Lanaick shoved lhal lhe Cieal Chain of ßeing shouId le inveiled
This ilen in 8icScicncc, Vc|. 20, 197O, is iepioduced ly peinission fion lhal jouinaI.
See ¨CaIifoinia's Anli-LvoIulion RuIing,¨ 8icScicncc, Maich 1, 197O.
lo give an evoIulionaiy sequence fion lhe piolozoa upvaid. The piolIen lhen vas
lo expIain Mind in leins of vhal couId le knovn of lhis sequence.
And vhen lhe sludenl ieaches lhe nid-nineleenlh cenluiy, he nighl le given as
a lexllook IhiIip Heniy Cosse
s Crca|icn (Onpna|cs). An A||cnp| |c Un|ic |nc Gcc|cgica|
Knc|. He viII Ieain fion lhis exliaoidinaiy look lhings aloul lhe sliucluie of aninaIs
and pIanls vhich aie loday scaiceIy nenlioned in nany couises of lioIogy, nolalIy,
lhal aII aninaIs and pIanls shov a line sliucluie, of vhich lhe iings of giovlh in
liees aie an eIenenlaiy exanpIe and lhe cycIes of Iife hisloiy, a noie conpIex one.
Lveiy pIanl and aninaI is consliucled upon lhe pienise of ils cycIic naluie.
Aflei aII, lheie can le no hain in Cosse, vho vas a devoul fundanenlaIisl~a
IIynoulh ßiolhei~as veII as a dislinguished naiine lioIogisl. His look vas
pulIished in 1857, lvo yeais lefoie lhe Origin a f Spccics. He viole il lo shov lhal lhe
facls of lhe fossiI iecoid as veII as lhose of lioIogicaI honoIogy couId le nade lo fil
vilh lhe piincipIes of fundanenlaIisn. Il vas lo hin inconceivalIe lhal Cod couId
have ciealed a voiId in vhich Adan had no naveI, lhe liees in lhe Caiden of Lden,
no iings of giovlh, and lhe iocks, no sliala. Theiefoie, Cod nusl have ciealed lhe
voiId as lhough il had a pasl.
Il viII do lhe sludenl no hain lo vieslIe vilh lhe paiadoxes of Cosse´s ¨Lav of
Iiochionisn¨, if he Iislens caie-fuIIy lo Cosse´s gioping geneiaIizalions aloul lhe
lioIogicaI voiId, he viII heai an eaiIy veision of lhe
sleady slale¨ hypolhesis.
Of couise, eveiylody knovs lhal lioIogicaI phenonena aie cycIic-fion egg, lo
hen, lo egg, lo hen, elc. ßul nol aII lioIogisls have exanined lhe inpIicalions of lhis
cycIic chaiacleiislic foi evoIulionaiy and ecoIogicaI lheoiy. Cosse´s viev of lhe
lioIogicaI voiId nighl lioaden lheii ninds.
Il is siIIy and vuIgai lo appioach lhe iich specliun of evoIulionaiy lhoughl vilh
queslions onIy aloul vho vas iighl and vho vas viong. We nighl as veII asseil
lhal lhe anphilia and iepliIes veie ¨viong¨ and lhe nannaIs and liids ¨iighl¨ in
lheii soIulions lo lhe piolIens of hov lo Iive.
ßy fighling lhe fundanenlaIisls, ve aie Ied inlo an enply-headedness anaIogous
lo lheiis. The liulh of lhe nallei is lhal ¨Olhei nen have Ialouied and ye aie enleied
inlo lheii Ialouis¨ (}ohn 1.38), and lhis lexl is nol onIy a ienindei of lhe need foi
huniIily, il is aIso an epilone of lhe vasl evoIulionaiy piocess inlo vhich ve
oiganisns aie viIIy-niIIy enleied.
5.2 The Ro|e of Somatlc Change ln Eto|utlon
AII lheoiies of lioIogicaI evoIulion depend upon al Ieasl lhiee soils of change: (a)
change of genolype, eilhei ly nulalion oi ly iedisliilulion of genes, (l) sonalic
change undei piessuie of enviionnenl, and (c) changes in enviionnenlaI condilions.
The piolIen foi lhe evoIulionisl is lo luiId a lheoiy conlining lhese lypes of change
inlo an ongoing piocess vhich, undei naluiaI seIeclion, viII accounl foi lhe
phenonena of adaplalion and phyIogeny.
Ceilain convenlionaI pienises nay le seIecled lo govein such lheoiy luiIding:
(a) Tnc |nccrq sna|| nc| dcpcnd upcn |anarc|ian inncri|ancc. Augusl Weisnann´s
aigunenl foi lhis pienise sliII slands. Theie is no ieason lo leIieve lhal eilhei
sonalic change oi changes in enviionnenl can, in piincipIe, caII (ly physioIogicaI
connunicalion) foi appiopiiale genolypic change. Indeed, lhe IillIe lhal ve knov
aloul connunicalion vilhin lhe nuIliceIIuIai
individuaI indicales lhal such
connunicalion fion sona lo gene sciipl is IikeIy lo le iaie and unIikeIy lo le
adaplive in effecl. Hovevei, il is appiopiiale lo allenpl lo speII oul in lhis essay
vhal lhis pienise inpIies:
Whenevei sone chaiacleiislic of an oiganisn is nodifialIe undei neasuialIe
enviionnenlaI inpacl oi undei neasuialIe inpacl of inleinaI physioIogy, il is
possilIe lo viile an equalion in vhich lhe vaIue of lhe chaiacleiislic in queslion is
expiessed as sone funclion of lhe vaIue of lhe inpacling ciicunslance. ¨Hunan skin
coIoi is sone funclion of exposuie lo sunIighl,¨ ¨iespiialion iale is sone funclion of
alnospheiic piessuie,¨ elc. Such equalions aie consliucled lo le liue foi a vaiiely of
pailicuIai olseivalions, and necessaiiIy conlain sulsidiaiy pioposilions vhich aie
slalIe (i.e., conlinue lo le liue) ovei a vide iange of vaIues of inpacling
ciicunslance and sonalic chaiacleiislic. These sulsidiaiy pioposilions aie of
diffeienl IogicaI lype fion lhe oiiginaI olseivalions in lhe Ialoialoiy and aie, in facl,
desciiplive nol of lhe dala lul of cur equalions. They aie slalenenls aloul lhe foin
of lhe pailicuIai equalion and aloul lhe vaIues of lhe paianeleis nenlioned vilhin
Il vouId le sinpIe, al lhis poinl, lo diav lhe Iine lelveen genolype and
phenolype ly saying lhal lhe fcrns and paranc|crs of such equalions aie piovided ly
genes, vhiIe lhe inpacls of enviionnenl, elc. deleinine lhe acluaI evenl vilhin lhis
fiane. This vouId anounl lo saying, e.g., lhal lhe aoi|i|q lo lan is genolypicaIIy
deleinined, vhiIe lhe anounl of lanning in a pailicuIai case depends upon exposuie
lo sun-Iighl.
In leins of lhis oveisinpIified appioach lo lhe oveiIapping ioIes of genolype
and enviionnenl, lhe pioposilion excIuding Lanaickian inheiilance vouId iead
This essay appeaied in lhe jouinaI |tc|u|icn, VoI 17, 1963, and is iepiinled vilh lhe ediloi's
The piolIens of lacleiiaI genelics aie heie deIileialeIy excIuded.
sonevhal as foIIovs: In lhe allenpl lo expIain evoIulionaiy piocess, lheie shaII le no
assunplion lhal lhe achievenenl of a pailicuIai vaIue of sone vaiialIe undei
pailicuIai ciicunslances viII affecl, in lhe ganeles pioduced ly lhal individuaI, lhe
foin oi paianeleis of lhe funclionaI equalion goveining lhe ieIalionship lelveen
lhal vaiialIe and ils enviionnenlaI ciicunslances.
Such a viev is oveisinpIified, and paienlheses nusl le added lo deaI vilh noie
conpIex and exliene cases. Iiisl, il is inpoilanl lo iecognize lhal lhe oiganisn,
consideied as a connunicalionaI syslen, nay ilseIf opeiale al nuIlipIe IeveIs of
IogicaI lyping, i.e., lhal lheie viII le inslances in vhich vhal veie alove caIIed
¨paianeleis¨ aie suljecl lo change. The individuaI oiganisn nighl as a iesuIl of
¨liaining¨ change ils aliIily lo deveIop a lan undei sunIighl. And lhis lype of change
is ceilainIy of veiy gieal inpoilance in lhe fieId of aninaI lehavioi, vheie ¨Ieaining
lo Ieain¨ can nevei le ignoied.
Second, lhe oveisinpIified viev nusl le eIaloialed lo covei ncga|itc effecls. An
enviionnenlaI ciicunslance nay have such inpacl upon an oiganisn unalIe lo
adapl lo il, lhal lhe individuaI in queslion viII in facl pioduce nc ganeles.
Thiid, il is expeclalIe lhal sone of lhe paianeleis in one equalion nay le suljecl
lo change undei inpacl fion sone enviionnenlaI oi physioIogic ciicunslance olhei
lhan lhe ciicunslance nenlioned in lhal equalion.
ße aII lhal as il nay, lolh Weisnann´s oljeclion lo Lanaickian lheoiy and ny
ovn allenpl lo speII lhe nallei oul shaie a ceilain paisinony: an assunplion lhal
lhe piincipIes vhich oidei phenonena shaII nol lhenseIves le supposed changed ly
lhose phenonena vhich lhey oidei. WiIIian of Occan´s iazoi nighl le
iefoinuIaled: in any expIanalion, IogicaI lypes shaII nol le nuIlipIied leyond
(o) Scna|ic cnangc is aosc|u|c|q ncccssarq fcr surtita|. Any change of enviionnenl
vhich iequiies adaplive change in lhe species viII le IelhaI unIess, ly sonalic
change, lhe oiganisns (oi sone of lhen) aie alIe lo vealhei oul a peiiod of
unpiediclalIe duialion, unliI eilhei appiopiiale genolypic change occuis (vhelhei ly
nulalion oi ly iedisliilulion of genes aIieady avaiIalIe in lhe popuIalion), oi
lecause lhe enviionnenl ieluins lo lhe pievious noinaI. The pienise is liuislicaI,
iegaidIess of lhe nagnilude of lhe line span invoIved.
(c) Scna|ic cnangc is a|sc ncccssarq |c ccpc ui|n anq cnangcs cf gcnc|qpc unicn nign|
aid |nc crganisn in i|s cx|crna| s|rugg|c ui|n |nc cntircnncn|. The individuaI oiganisn is
a conpIex oiganizalion of inleidependenl pails. A nulalionaI oi olhei genolypic
change in any one of lhese (hovevei exleinaIIy vaIualIe in leins of suivivaI) is
ceilain lo iequiie change in nany olheis~vhich changes viII piolalIy nol le
specified oi inpIicil in lhe singIe nulalionaI change of lhe genes. A hypolhelicaI
piegiiaffe, vhich had lhe Iuck lo caiiy a nulanl gene ¨Iong neck,¨ vouId have lo
adjusl lo lhis change ly conpIex nodificalions of lhe heail and ciicuIaloiy syslen.
These coIIaleiaI adjuslnenls vouId have lo le achieved al lhe sonalic IeveI. OnIy
lhose piegiiaffes vhich aie (genolypicaIIy) capalIe of lhese sonalic nodificalions
vouId suivive.
(d) In lhis essay, il is assuned lhal |nc ccrpus cf gcnc|qpic ncssagcs is prcpcndcran||q
digi|a| in naluie. In conliasl, lhe sona is seen as a voiking syslen in vhich lhe
genolypic iecipes aie liied oul. ShouId il lianspiie lhal lhe genolypic coipus is aIso in
sone degiee anaIogic~a voiking nodeI of lhe sona~pienise c (alove) vouId le
negaled lo lhal degiee. Il vouId lhen le conceivalIe.lhal lhe nulanl gene ¨Iong
neck¨ nighl nodify lhe nessage of lhose genes vhich affecl lhe deveIopnenl of lhe
heail. Il is, of couise, knovn lhal genes nay have pIeioliopic effecl, lul lhese
phenonena aie ieIevanl in lhe piesenl conneclion onIy if il can le shovn, e.g., lhal
lhe effecl of gene A upon lhe phenolype and ils effecl upon lhe phenolypic
expiession of gene ß aie nuluaIIy appiopiiale in lhe oveiaII inlegialion and
adaplalion of lhe oiganisn.
These consideialions Iead lo a cIassifying of lolh genolypic and enviionnenlaI
changes in leins of lhe pricc vhich lhey exacl of lhe fIexiliIily of lhe sonalic syslen.
A IelhaI change in eilhei enviionnenl oi genolype is sinpIy one vhich denands
sonalic nodificalions vhich lhe oiganisn cannol achieve.
ßul lhe sonalic piice of a given change nusl depend, nol alsoIuleIy upon lhe
change in queslion, lul upon lhe iange of sonalic fIexiliIily avaiIalIe lo lhe
oiganisn al lhe given line. This iange, in luin, viII depend upon hov nuch of lhe
oiganisn´s sonalic fIexiliIily is aIieady leing used up in adjusling lo olhei
nulalions oi enviionnenlaI changes. We face an cccncnics of fIexiliIily vhich, Iike
any olhei econonics, viII lecone deleininalive foi lhe couise of evoIulion if and
onIy if lhe oiganisn is opeialing cIose lo lhe Iinils sel ly lhis econonics.
Hovevei, lhis econonics of sonalic fIexiliIily viII diffei in one inpoilanl
iespecl fion lhe noie faniIiai econonics of noney oi avaiIalIe eneigy. In lhese
Iallei, each nev expendiluie can sinpIy le addcd lo lhe pieceding expendiluies and
lhe econonics lecones coeicive vhen lhe addilive lolaI appioaches lhe Iinil of lhe
ludgel. In conliasl, lhe conlined effecl of nuIlipIe changes, each of vhich exacls a
piice in lhe sona, viII le nu||ip|ica|itc. This poinl nay le slaled as foIIovs: Lel S le
lhe finile sel of aII possilIe Iiving slales of lhe oiganisn. Wilhin S, Iel s
le lhe snaIIei
sel of aII slales conpalilIe vilh a given nulalion (n
), and Iel s
le lhe sel of slales
conpalilIe vilh a second nulalion (n
). Il foIIovs lhal lhe lvo nulalions in
conlinalion viII Iinil lhe oiganisn lo lhe IogicaI pioducl of s
and s
, i.e., lo lhal
usuaIIy snaIIei sulsel of slales vhich is conposed onIy of nenleis connon lo lolh
and s
. In lhis vay each successive nulalion (oi olhei genolypic change) viII
fiaclionale lhe possiliIilies foi lhe sonalic adjuslnenl of lhe oiganisn. And, shouId
lhe one nulalion iequiie sone sonalic change, lhe exacl opposile of a change
iequiied ly lhe olhei, lhe possiliIilies foi sonalic adjuslnenl nay innedialeIy le
ieduced lo zeio.
The sane aigunenl nusl suieIy appIy lo nuIlipIe enviionnenlaI changes vhich
denand sonalic adjuslnenls, and lhis viII le liue even of lhose changes in
enviionnenl vhich nighl seen lo lenefil lhe oiganisn. An inpiovenenl in diel, foi
exanpIe, viII excIude fion lhe oiganisn´s iange of sonalic adjuslnenls lhose
palleins of giovlh vhich ve vouId caII ¨slunled¨ and vhich nighl le iequiied lo
neel sone olhei exigency of lhe enviionnenl.
Iion lhese consideialions il foIIovs lhal if evoIulion pioceeded in accoidance
vilh convenlionaI lheoiy, ils piocess vouId le lIocked. The finile naluie of sonalic
change indicales lhal no ongoing piocess of evoIulion can iesuIl onIy fion successive
exleinaIIy adaplive genolypic changes since lhese nusl, in conlinalion, lecone
IelhaI, denanding conlinalions of inleinaI sonalic adjuslnenls of vhich lhe sona is
We luin lheiefoie lo a consideialion of olhei cIasses of genolypic change. Whal is
iequiied lo give a laIanced ¨lheoiy of evoIulion is lhe occuiience of genolypic
changes vhich shaII incrcasc lhe avaiIalIe iange of sonalic fIexiliIily. When lhe
inleinaI oiganizalion of lhe oiganisns of a species has leen Iiniled ly enviionnenlaI
oi nulalionaI piessuie lo sone naiiov sulsel of lhe lolaI iange of Iiving slales,
fuilhei evoIulionaiy piogiess viII iequiie sone soil of genolypic change vhich viII
conpensale foi lhis Iinilalion.
We nole fiisl lhal vhiIe lhe iesuIls of genolypic change aie iiieveisilIe vilhin
lhe Iife of lhe individuaI oiganisn, lhe opposile is usuaIIy liue of changes vhich aie
achieved al lhe sonalic IeveI. When lhe Iallei aie pioduced in iesponse lo speciaI
enviionnenlaI condilions, a ieluin of lhe enviionnenl lo lhe pievious noin is
usuaIIy foIIoved ly a dininulion oi Ioss of lhe chaiacleiislic. (We nay ieasonalIy
expecl lhal lhe sane vouId le liue of lhose sonalic adjuslnenls vhich nusl
acconpany an exleinaIIy adaplive nulalion lul, of couise, il is inpossilIe in lhis
case lo ienove fion lhe individuaI lhe inpacl of lhe nulalionaI change.)
A fuilhei poinl iegaiding lhese ieveisilIe sonalic changes is of speciaI inleiesl.
Anong highei oiganisns il is nol unusuaI lo find lhal lheie is vhal ve nay caII a
¨defense in deplh¨ againsl enviionnenlaI denands. If a nan is noved fion sea IeveI
lo 1O,OOO feel, he nay legin lo panl and his heail nay iace. ßul lhese fiisl changes aie
sviflIy ieveisilIe: if he descends lhe sane day, lhey viII disappeai innedialeIy. If,
hovevei, he ienains al lhe high aIlilude, a second Iine of defense appeais. He viII
lecone sIovIy accIinaled as a iesuIl of conpIex physioIogicaI changes. His heail
viII cease lo iace, and he viII no Iongei panl unIess he undeilakes sone speciaI
exeilion. If nov he ieluins lo sea IeveI, lhe chaiacleiislics of lhe second Iine of
defense viII disappeai ialhei sIovIy and he nay even expeiience sone disconfoil.
Iion lhe poinl of viev of an econonics of sonalic fIexiliIily, lhe fiisl effecl of
high aIlilude is lo ieduce lhe oiganisn lo a Iiniled sel of slales (s
) chaiacleiized ly
lhe iacing of lhe heail and lhe panling. The nan can sliII suivive, lul onIy as a
conpaialiveIy infIexilIe ciealuie. The Ialei accIinalion has pieciseIy lhis vaIue: il
coiiecls foi lhe Ioss of fIexiliIily. Aflei lhe nan is accIinaled he can use his panling
nechanisns lo adjusl lo c|ncr eneigencies vhich nighl olheivise le IelhaI.
A siniIai ¨defense in deplh¨ is cIeaiIy iecognizalIe in lhe fieId of lehavioi.
When ve encounlei a nev piolIen foi lhe fiisl line, ve deaI vilh il eilhei ly liiaI
and eiioi oi possilIy ly insighl. Lalei, and noie oi Iess giaduaIIy, ve foin lhe
¨halil¨ of acling in lhe vay vhich eaiIiei expeiience ievaided. To conlinue lo use
insighl oi liiaI and eiioi upon lhis cIass of piolIen vouId le vaslefuI. These
nechanisns can nov le saved foi c|ncr piolIens.
ßolh in accIinalion and in halil foinalion lhe econony of fIexiliIily is achieved
ly sulsliluling a deepei and noie enduiing change foi a noie supeificiaI and noie
ieveisilIe one. In lhe leins used alove in discussing lhe anli-Lanaickian pienise, a
change has occuiied in lhe paianeleis of lhe funclionaI equalion Iinking iale of
iespiialion lo exleinaI alnospheiic piessuie. Heie il seens lhal lhe oiganisn is
lehaving as ve nay expecl any uIliaslalIe syslen lo lehave. Ashly
has shovn lhal
il is a geneiaI foinaI chaiacleiislic of such syslens lhal lhose ciicuils con-lioIIing lhe
noie iapidIy fIuclualing vaiialIes acl as laIancing nechanisns lo piolecl lhe
ßaleson, ¨MininaI Requiienenls foi a Theoiy of Schizophienia,¨ A.M.A. Arcnitcs cf
Gcncra| Psqcnia|rq, 196O, 2. 447.
W. R. Ashly, ¨The Lffecl of ConlioIs on SlaliIily,¨ Na|urc, 1945, 155: 242, aIso Ashly,
Dcsign fcr a 8rain, Nev Yoik, }ohn WiIey & Co., 1952.
ongoing conslancy of lhose vaiialIes in vhich change is noinaIIy sIov and of snaII
anpIilude, and lhal any inleifeience vhich fixes lhe vaIues of lhe changefuI vaiialIes
nusl have a disluiling effecl upon lhe conslancy of lhe noinaIIy sleady conponenls
of lhe syslen. Ioi lhe nan vho nusl conslanlIy panl al high aIliludes, lhe iespiialion
iale can no Iongei le used as a changealIe quanlily in lhe nainlaining of
physioIogicaI laIance. ConveiseIy, if lhe iespiialion iale is lo lecone avaiI-alIe again
as a iapidIy fIuclualing vaiialIe, sone change nusl occui anong lhe noie slalIe
conponenls of lhe syslen. Such a change viII, in lhe naluie of lhe case, le achieved
conpaialiveIy sIovIy and le conpaialiveIy iiieveisilIe.
Lven accIinalion and halil foinalion aie, hovevei, sliII ieveisilIe vilhin lhe Iife
of lhe individuaI, and lhis veiy ieveisiliIily indicales a Iack of connunicalionaI
econony in lhese adaplive nechanisns. ReveisiliIily inpIies lhal lhe changed vaIue
of sone vaiialIe is achieved ly neans of honeoslalic, eiioi-aclivaled ciicuils. Theie
nusl le a neans of delecling an undesiialIe oi lhiealening change in sone vaiialIe,
and lheie nusl le a liain of cause and effecl vheiely coiieclive aclion is inilialed.
Moieovei, lhis enliie ciicuil nusl, in sone degiee, le avaiIalIe foi lhis puipose foi
lhe enliie line duiing vhich lhe ieveisilIe change is nainlained~a consideialIe
using up of avaiIalIe nessage palhvays.
The nallei of connunicalionaI econonics lecones sliII noie seiious vhen ve
nole lhal lhe honeoslalic ciicuils of an oiganisn aie nol sepaiale lul conpIexIy
inleiIocked, e.g., hoinonaI nessengeis vhich pIay a pail in lhe honeoslalic conlioI
of oigan A viII aIso affecl lhe slales of oigans ß, C, and D. Any speciaI ongoing
Ioading of lhe ciicuil conlioIIing A viII lheiefoie dininish lhe oiganisn´s fieedon
lo conlioI ß, C, and D.
In conliasl, lhe changes lioughl aloul ly nulalion oi olhei genolypic change
aie piesunalIy of a lolaIIy diffeienl naluie. Lveiy ceII conlains a copy of lhe nev
genolypic coipus and lheiefoie viII (vhen appiopiiale) lehave in lhe changed
nannei, vilhoul any change in lhe nessages vhich il ieceives fion suiiounding
lissues oi oigans. If lhe hypolhelicaI piegiiaffes caiiying lhe nulanl gene ¨Iong
neck¨ couId aIso gel lhe gene ¨lig heail,¨ lheii heails vouId le enIaiged vilhoul lhe
necessily of using lhe honeoslalic palhvays of lhe lody lo achieve and nainlain lhis
enIaigenenl. Such a nulalion viII have suivivaI vaIue nol le-cause il enalIes lhe
piegiiaffe lo suppIy ils eIevaled head vilh sufficienl lIood, since lhis vas aIieady
achieved ly sonalic change lul lecause il incieases lhe oveiaII fIexiliIily of lhe
oiganisn, enalIing il lo suivive c|ncr denands vhich nay le pIaced upon il eilhei
ly enviionnenlaI oi
genolypic change.
Il appeais, lhen, lhal lhe piocess of lioIogicaI evoIulion couId le conlinuous if
lheie veie a cIass of nulalions oi olhei genolypic changes vhich vouId sinuIale
Lanaickian inheiilance. The funclion of lhese changes vouId le lo achieve ly
genolypic fIal lhose chaiacleiislics vhich lhe oiganisn al lhe given line is aIieady
achieving ly lhe unecononicaI nelhod of sonalic change. Such a hypolhesis, I
leIieve, confIicls in no vay vilh convenlionaI lheoiies of genelics and naluiaI
seIeclion. Il does, hovevei, sonevhal aIlei lhe cuiienl convenlionaI picluie of
evoIulion as a vhoIe, lhough ieIaled ideas veie pul foivaid ovei sixly yeais ago.
suggesled lhal ve considei nol onIy lhe opeialion of lhe exleinaI
enviionnenl in naluiaI seIeclion lul aIso vhal he caIIed ¨oiganic seIeclion¨ in vhich
}. M. ßaIdvin, ¨Oiganic SeIeclion,¨ Scicncc, 1897, 5. 634.
lhe fale of a given vaiialion vouId depend upon ils physioIogic vialiIily. In lhe sane
ailicIe, ßaIdvin alliilules lo LIoyd Moigan lhe suggeslion lhal lheie nighl exisl
¨coincidenl vaiialions¨ vhich vouId sinuIale Lanaickian inheiilance (lhe so-caIIed
¨ßaIdvin effecl
Accoiding lo such a hypolhesis, genolypic change in an oiganisn lecones
conpaialIe lo IegisIalive change in a sociely. The vise IegisIaloi viII onIy iaieIy
iniliale a nev iuIe of lehavioi, noie usuaIIy he viII confine hinseIf lo affiining in
Iav lhal vhich has aIieady lecone lhe cuslon of lhe peopIe. An innovalive iuIe can
le inlioduced onIy al lhe piice of aclivaling and peihaps oveiIoading a Iaige nunlei
of honeoslalic ciicuils in lhe sociely.
Il is inleiesling lo ask hov a hypolhelicaI piocess of evoIulion vouId voik if
Lanaickian inheiilance veie lhe iuIe, i.e., if chaiacleiislics achieved ly sonalic
honeoslasis veie inheiiled. The ansvei is sinpIe: i| ucu|d nc| ucr|, foi lhe foIIoving
(1)The queslion luins upon lhe concepl of econony in lhe use of honeoslalic
ciicuils, and il vouId le lhe ieveise of econonicaI lo fix ly genolypic change aII lhe
vaiialIes vhich acconpany a given desiialIe and honeoslalicaIIy achieved
chaiacleiislic. Lveiy such chaiacleiislic is achieved ly anciIIaiy honeoslalic changes
aII aiound lhe ciicuils, and il is nosl undesiialIe lhal lhese anciIIaiy changes shouId
le fixed ly inheiilance, as vouId IogicaIIy happen accoiding lo any lheoiy invoIving
an indisciininale Lanaickian inheiilance. Those vho vouId defend a Lanaickian
lheoiy nusl le piepaied lo suggesl hov in lhe genolype an appiopiiale seIeclion can
le achieved. Wilhoul such a seIeclion, lhe inheiilance of acquiied chaiacleiislics
vouId neieIy in-ciease lhe piopoilion of nonvialIe genolypic changes.
(2)Lanaickian inheiilance vouId disluil lhe ieIalive lining of lhe piocesses
upon vhich evoIulion nusl~accoiding lo lhe piesenl hypolhesis~depend. Il is
essenliaI lhal lheie le a line Iag lelveen lhe unecononicaI lul ieveisilIe sonalic
achievenenl of a given chaiacleiislic and lhe econonicaI lul noie enduiing
aIleialions of lhe genolype. If ve Iook upon eveiy sona as a voiking nodeI vhich
can le nodified in vaiious vays in lhe voikshop, il is cIeai lhal sufficienl lul nol
infinile line nusl le given foi lhese voikshop liiaIs lefoie lhe iesuIls of lhese liiaIs
aie incoipoialed inlo lhe finaI lIuepiinl foi nass pioduclion. This deIay is piovided
ly lhe indiieclion of slochaslic piocess. Il vouId le unduIy shoilened ly Lanaickian
The piincipIe invoIved heie is geneiaI and ly no neans liiviaI. Il ollains in aII
honeoslalic syslens in vhich a given effecl can le lioughl aloul ly neans of a
honeoslalic ciicuil, vhich ciicuil can, in luin, le nodified in ils chaiacleiislics ly
highei syslen of conlioI. In aII such syslens (ianging fion lhe house
lheinoslal lo syslens of goveinnenl and adninislialion) il is inpoilanl lhal lhe
highei syslen of conlioI |ag ocnind lhe evenl sequences in lhe peiipheiaI honeoslalic
In evoIulion lvo conlioI syslens aie piesenl: lhe honeoslases of lhe lody vhich
deaI vilh loIeialIe inleinaI sliess, and lhe aclion of naluiaI seIeclion upon lhe
(genelicaIIy) nonvialIe nenleis of lhe popuIalion. Iion an engineeiing poinl of
viev, lhe piolIen is lo |ini| connunicalion fion lhe Iovei, ieveisilIe sonalic
syslen lo lhe highei iiieveisilIe genolypic syslen.
Anolhei aspecl of lhe pioposed hypolhesis aloul vhich ve can onIy specuIale is
lhe piolalIe ieIalive fiequency of lhe lvo cIasses of genolypic change: lhose vhich
iniliale sonelhing nev and lhose vhich affiin sone honeoslalicaIIy achieved
chaiacleiislic. In lhe Melazoa and nuIliceIIuIai pIanls, ve face conpIex nelvoiks of
nuIlipIe inleiIocking honeoslalic ciicuils, and any given nulalion oi gene
ieconlinalion vhich iniliales change viII piolalIy iequiie veiy vaiious and
nuIlipIe sonalic chaiacleiislics lo le achieved ly honeoslasis. The hypolhelicaI
piegiiaffe vilh lhe nulanl gene ¨Iong neck¨ viII need lo nodify nol onIy ils heail
and ciicuIaloiy syslen lul aIso peihaps ils seniciicuIai canaIs, ils inleiveileliaI
discs, ils posluiaI iefIexes, lhe ialio of Ienglh and lhickness of nany nuscIes, ils
evasive laclics vis-a-vis piedalois, elc. This suggesls lhal in such conpIex oiganisns,
lhe neieIy affiinalive genolypic changes nusl fai oulnunlei lhose vhich iniliale
change, if lhe species is lo avoid lhal cuI-de-sac in vhich lhe fIexiliIily of lhe sona
appioaches zeio.
ConveiseIy, lhis picluie suggesls lhal nosl oiganisns, al any given line, aie
piolalIy in such a slale lhal lheie aie nuIlipIe possiliIilies foi affiinalive genolypic
change. If, as seens piolalIe, lolh nulalion and gene iedisliilulion aie in sone
sense iandon phenonena, al Ieasl lhe chances aie consideialIe lhal one oi olhei of
lhese nuIlipIe possiliIilies viII le nel.
IinaIIy, il is appiopiiale lo discuss vhal evidence is avaiI-alIe oi nighl le
soughl lo suppoil oi dispiove such a hypolhesis. Il is cIeai al lhe oulsel lhal such a
lesling viII le difficuIl. The affiinalive nulalions upon vhich lhe hypolhesis
depends viII usuaIIy le intisio|c. Iion anong lhe nany nenleis of a popuIalion
vhich aie achieving a given adjuslnenl lo enviionnenlaI ciicunslances ly sonalic
change, il viII nol le possilIe innedialeIy lo pick oul lhose fev in vhich lhe sane
adjuslnenl is piovided ly lhe genolypic nelhod. In such a case, lhe genolypicaIIy
changed individuaIs viII have lo le idenlified ly lieeding and iaising lhe offspiing
undei noie noinaI condilions.
A sliII giealei difficuIly aiises in cases vheie ve vouId invesligale lhose
honeoslalicaIIy acquiied chaiacleiislics vhich aie achieved in iesponse lo sone
innovalive genolypic change. Il viII oflen le inpossilIe, ly neie inspeclion of lhe
oiganisn, lo leII vhich of ils chaiacleiislics aie lhe piinaiy iesuIls of genolypic
change and vhich aie secondaiy sonalic adjuslnenls lo lhese. In lhe inaginaiy case
of lhe piegiiaffe vilh a sonevhal eIongaled neck and an enIaiged heail, il nay le
easy lo gucss lhal lhe nodificalion of lhe neck is genolypic vhiIe lhal of lhe heail is
sonalic. ßul aII such guesses viII depend upon lhe veiy inpeifecl piesenl
knovIedge of vhal an oiganisn can achieve in vay of sonalic adjuslnenl.
Il is a najoi liagedy lhal lhe Lanaickian conlioveisy has defIecled lhe allenlion
of genelicisls avay fion lhe phenonenon of sonalic adaplaliIily. Aflei aII, lhe
nechanisns, lhieshoIds, and naxina of individuaI phenolypic change undei sliess
nusl suieIy le genolypicaIIy deleinined.
Anolhei difficuIly, of ialhei siniIai naluie, aiises al lhe popuIalion IeveI, vheie
ve encounlei anolhei ¨econonics¨ of polenliaI change, lheoielicaIIy dislinguishalIe
fion lhal vhich opeiales vilhin lhe individuaI. The popuIalion of a viId species is
loday convenlionaIIy iegaided as genolypicaIIy heleiogeneous in spile of lhe high
degiee of supeificiaI iesenlIance lelveen lhe individuaI phenolypes. Such a
popuIalion expeclalIy funclions as a sloiehouse of genolypic possiliIilies. The
econonic aspecl of lhis sloiehouse of possiliIilies has, foi exanpIe, leen sliessed ly
He poinls oul lhal faineis and lieedeis vho denand 1OO pei cenl
phenolypic unifoinily in a highIy seIecl ciop aie in facl lhioving avay nosl of lhe
nuIlipIe genelic possiliIilies accunuIaled lhiough hundieds of geneialions in lhe
viId popuIalion. Iion lhis Sinnonds aigues lhal lheie is uigenl need foi
inslilulions vhich shaII ¨conseive¨ lhis sloiehouse of vaiialiIily ly nainlaining
unseIecled popuIalions.
has aigued lhal seIf-coiieclive oi luffeiing nechanisns opeiale lo hoId
conslanl lhe conposilion of lhese nixluies of viId genolypes and lo iesisl lhe effecls
of ailificiaI seIeclion. Theie is lheiefoie al Ieasl a piesunplion lhal lhis econonics of
vaiialiIily vilhin lhe popuIalion viII luin oul lo le of lhe nuIlipIicalive kind.
Nov, lhe difficuIly of disciininaling lelveen a chaiacleiislic achieved ly
sonalic honeoslasis and lhe sane chaiacleiislic achieved (noie econonicaIIy) ly a
genolypic shoil cul is cIeaiIy going lo le conpounded vhen ve cone lo considei
popuIalions inslead of physioIogic individuaIs. AII acluaI expeiinenlalion in lhe fieId
viII inevilalIy voik vilh popuIalions, and, in lhis voik, il viII le necessaiy lo
disciininale lhe effecls of lhal econonics of f|cxioi|i|q vhich opeiales inside lhe
individuaIs fion lhe effecls of lhe econonics of tariaoi|i|q vhich opeiales al lhe
popuIalion IeveI. These lvo oideis of econonics nay le easy lo sepaiale in lheoiy,
lul lo sepaiale lhen in expeiinenlalion viII suieIy le difficuIl.
ße aII lhal as il nay, Iel us considei vhal evidenliaI sup-poil nay le avaiIalIe foi
sone of lhe pioposilions vhich aie ciuciaI lo lhe hypolhesis:
(1) Thal lhe phenonena of sonalic adjuslnenl aie appiopiialeIy desciiled in
leins of an econonics of f|cxioi|i|q. In geneiaI, ve leIieve lhal lhe piesence of sliess A
nay ieduce an oiganisn´s aliIily lo iespond lo sliess ß and, guided ly lhis opinion,
ve connonIy piolecl lhe sick fion lhe vealhei. Those vho have adjusled lo lhe
office Iife nay have difficuIly in cIinling nounlains, and liained nounlain cIinleis
nay have difficuIly vhen confined lo offices, lhe sliesses of ieliienenl fion lusiness
nay le IelhaI, and so on. ßul scienlific knovIedge of lhese nalleis, in nan oi olhei
oiganisns, is veiy sIighl.
(2) Thal lhis econonics of fIexiliIily has lhe IogicaI sliucluie desciiled alove~
each successive denand upon fIexiliIily fiaclionaling lhe sel of avaiIalIe
possiliIilies. The pioposilion is expeclalIe, lul so fai as I knov lheie is no evidence
foi il. Il is, hovevei, voilhvhiIe lo exanine lhe ciileiia vhich deleinine vhelhei a
given ¨econonic¨ syslen is noie appiopiialeIy desciiled in addilive oi
nuIlipIicalive leins. Theie vouId seen lo le lvo such ciileiia:
(a)A syslen viII le addilive insofai as lhe unils of ils cuiiency aie nuluaIIy
inleichangealIe and, lheiefoie, can-nol neaningfuIIy le cIassified inlo sels such as
veie used eaiIiei in lhis papei lo shov lhal lhe econonics of fIexiliIily nusl suieIy
le nuIlipIicalive. CaIoiies in lhe econonics of eneigy aie conpIeleIy inleichangealIe
and uncIassifialIe, as aie doIIais in lhe individuaI ludgel. ßolh lhese syslens aie
lheiefoie addilive. The peinulalions and conlinalions of vaiialIes vhich define lhe
slales of an oiganisn aie cIassifialIe and~lo lhis exlenl~noninleichangealIe. The
syslen is lheiefoie nuIlipIicalive. Ils nalhenalics viII iesenlIe lhal of infoinalion
lheoiy oi negalive enliopy ialhei lhan lhal of noney oi eneigy conseivalion.
N. W. Sinnonds, ¨VaiialiIily in Ciop IIanls, Ils Use and Conseivalion,¨ ßioI. Reviev,
1962, 37: 422-62.
I. M. Leinei, Gcnc|ic Hcnccs|asis, Ldinluigh, OIivei and ßoyd, 1954.
A syslen viII le addilive insofai as lhe unils of ils cuiiency aie nuluaIIy
independenl. Heie lheie vouId seen lo le a diffeience lelveen lhe econonic syslen
of lhe individuaI, vhose ludgelaiy piolIens aie addilive (oi sul-liaclive) and lhose
of sociely al Iaige, vheie lhe oveiaII disliilulion oi fIov of veaIlh is goveined ly
conpIex (and peihaps inpeifecl) honeoslalic syslens. Is lheie, peihaps, an
econonics of econonic fIexiliIily (a nelaecononics) vhich is nuIlipIicalive and so
iesenlIes lhe econonics of physioIogicaI fIexiliIily discussed alove` Nolice,
hovevei, lhal lhe unils of lhis videi econonics viII le nol doIIais lul palleins of
disliilulion of veaIlh. SiniIaiIy, Leinei´s ¨genelic honeoslasis,¨ insofai as il is liuIy
honeoslalic, viII have nuIlipIicalive chaiaclei.
The nallei is, hovevei, nol sinpIe and ve cannol expecl lhal eveiy syslen viII
le eilhei lolaIIy nuIlipIicalive oi lolaIIy addilive. Theie viII le inleinediale cases
vhich conline lhe lvo chaiacleiislics. SpecificaIIy, vheie seveiaI indcpcndcn|
aIleinalive honeoslalic ciicuils conlioI a singIe vaiialIe, il is cIeai lhal lhe syslen
nay shov addilive chaiacleiislics~and even lhal il nay pay lo incoipoiale such
aIleinalive palhvays in lhe syslen piovided lhey can le effecliveIy insuIaled fion
each olhei. Such syslens of nuIlipIe aIleinalive conlioIs nay give suivivaI
advanlage insofai as lhe nalhenalics of addilion and sulliaclion viII pay lellei lhan
lhe nalhenalics of IogicaI fiaclionalion.
(3) Tna| inncta|itc gcnc|qpic cnangc ccnncn|q na|cs dcnands upcn |nc adjus|itc
aoi|i|q cf |nc scna. This pioposilion is oilhodoxIy leIieved ly lioIogisls lul cannol in
lhe naluie of lhe case le veiified ly diiecl evidence.
(4) Tna| succcssitc gcnc|qpic inncta|icns na|c nu||ip|ica|itc dcnands upcn |nc scna.
This pioposilion (vhich invoIves oc|n lhe nolion of nuIlipIicalive econonics of
fIexiliIily and lhe nolion lhal each innovalive genolypic change has ils sonalic piice)
has seveiaI inleiesling and peihaps veiifialIe inpIicalions.
(a)We nay expecl lhal oiganisns in vhich nuneious iecenl genolypic changes
have accunuIaled (e.g., as a iesuIl of seIeclion, oi pIanned lieeding) viII le deIicale,
i.e., viII need lo le piolecled fion enviionnenlaI sliess. This sensilivily lo sliess is lo
le expecled in nev lieeds of doneslicaled aninaIs and pIanls and expeiinenlaIIy
pioduced oiganisns caiiying eilhei seveiaI nulanl genes oi unusuaI (i.e., iecenlIy
achieved) genolypic conlinalions.
(l)We nay expecl lhal foi such oiganisns fuilhei genolypic innovalion (of any
kind olhei lhan lhe affiinalive changes discussed alove) viII le piogiessiveIy
(c)Such nev and speciaI lieeds shouId lecone noie iesislanl lolh lo
enviionnenlaI sliess and lo genolypic change, as seIeclion voiks upon successive
geneialions lo favoi lhose individuaIs in vhich ¨genelic assiniIalion of acquiied
chaiacleiislics¨ is achieved (Iioposilion 5).
(5) Thal enviionnenlaIIy induced acquiied chaiacleiislics nay, undei
appiopiiale condilions of seIeclion, le iepIaced ly siniIai chaiacleiislics vhich aie
genelicaIIy deleinined. This phenonenon has leen denonslialed ly Waddinglon
foi lhe lilhoiax phenolypes of DiosophiIa.
He caIIs il lhe ¨genelic assiniIalion of acquiied chaiacleiislics.¨ SiniIai
phenonena have aIso piolalIy occuiied in vaiious expeiinenls vhen lhe
expeiinenleis sel oul lo piove lhe inheiilance of acquiied chaiacleiislics lul did nol
C. H. Waddinglon, ¨Cenelic AssiniIalion of an Acquiied Chaiaclei,¨ |tc|u|icn, 1953, 7.
118, aIso Waddinglon, Tnc S|ra|cgq cf Gcncs, London, AIIen and Unvin, 1957.
achieve lhis pioof lhiough faiIuie lo conlioI lhe condilions of seIeclion. We have,
hovevei, no evidence al aII as lo lhe fiequency of lhis phenonenon of genelic
assiniIalion. Il is voilh noling, hovevei, lhal, accoiding lo lhe aigunenls of lhis
essay, il nay le inpossilIe, in piincipIe, lo excIude lhe facloi of seIeclion fion
expeiinenls vhich vouId lesl ¨lhe inheiilance of acquiied chaiacleiislics.¨ Il is
pieciseIy ny lhesis lhal lhe sinu|a|icn of Lanaickian inheiilance viII have suivivaI
vaIue undei ciicunslance of undcfincd oi nuIlipIe sliess.
(6). Thal il is, in geneiaI, noie econonicaI of fIexiliIily lo achieve a given
chaiacleiislic ly genolypic lhan ly sona-lic change. Heie lhe Waddinglon
expeiinenls do nol lhiov any Iighl, lecause il vas lhe expeiinenlei vho did lhe
seIecling. To lesl lhis pioposilion, ve need expeiinenls in vhich lhe popuIalion of
oiganisns is pIaced undei doulIe sliess: (a) lhal sliess vhich viII induce lhe
chaiacleiislic in vhich ve aie inleiesled, and (l) a second sliess vhich viII
seIecliveIy decinale lhe popuIalion, favoiing, ve hope, lhe suivivaI of lhose
individuaIs vhose fIexiliIily is noie alIe lo neel lhis second sliess aflei adjusling lo
lhe fiisl. Accoiding lo lhe hypolhesis, such a syslen shouId favoi lhose individuaIs
vhich achieve lheii adjuslnenl lo lhe fiisl sliess ly genolypic piocess.
(7) IinaIIy, il is inleiesling lo considei a coioIIaiy vhich is lhe conveise of lhe
lhesis of lhis essay. Il has leen aigued heie lhal sinuIaled Lanaickian inheiilance
viII have suivivaI vaIue vhen lhe popuIalion nusl adjusl lo a sliess vhich ienains
conslanl ovei successive geneialions. This case is in facl lhe one vhich has leen
exanined ly lhose vho vouId denonsliale an inheiilance of acquiied
chaiacleiislics. A conveise piolIen is piesenled ly lhose cases in vhich a popuIalion
faces a sliess vhich changes ils inlensily unpiediclalIy and ialhei oflen~peihaps
eveiy lvo oi lhiee geneialions. Such silualions aie peihaps veiy iaie in naluie, lul
couId le pioduced in lhe Ialoialoiy.
Undei such vaiialIe ciicunslances, il nighl pay lhe oiganisns in suivivaI leins
lo achieve lhe ccntcrsc of lhe genelic assiniIalion of acquiied chaiacleiislics. Thal is,
lhey nighl piofilalIy hand ovei lo sonalic honeoslalic nechanisns lhe conlioI of
sone chaiacleiislic vhich had pieviousIy leen noie iigidIy conlioIIed ly lhe
Il is evidenl, hovevei, lhal such expeiinenlalion vouId le veiy difficuIl. MeieIy
lo eslalIish lhe genelic assiniIalion of such chaiacleiislics as lilhoiax iequiies
seIeclion on an asliononicaI scaIe, lhe finaI popuIalion in vhich lhe genelicaIIy
deleinined lilhoiax individuaIs can le found leing a seIecled sanpIe fion a
polenliaI popuIalion of sonelhing Iike 1O5O. oi 1O6O individuaIs. Il is veiy doullfuI
vhelhei, aflei lhis seIeclive piocess, lheie vouId sliII. exisl in lhe sanpIe enough
genelic heleiogeneily lo undeigo a fuilhei conveise seIeclion favoiing lhose
individuaIs vhich sliII achieve lheii lilhoiax phenolype ly sonalic neans.
NeveilheIess, lhough lhis conveise coioIIaiy is possilIy nol denonslialIe in lhe
Ialoialoiy, sonelhing of lhe soil seens lo opeiale in lhe lioad picluie of evoIulion.
The nallei nay le piesenled in dianalic foin ly consideiing lhe dicholony
lelveen ¨ieguIalois¨ and ¨adjusleis.¨
Iiossei pioposes lhal vheie inleinaI
physioIogy conlains sone vaiialIe of lhe sane dinensions as sone exleinaI
enviionnenlaI vaiialIe, il is convenienl lo cIassify oiganisns accoiding lo lhe degiee
lo vhich lhey hoId lhe inleinaI vaiialIe conslanl in spile of changes in lhe exleinaI
C. L. Iiossei, ¨IhysioIogicaI Vaiialion in AninaIs,¨ ßioI. Reviev, 1955, 3O: 22-262.
vaiialIe. Thus, lhe honoiolheinic aninaIs aie cIassified as ¨ieguIalois¨ in iegaid lo
lenpeialuie vhiIe lhe poikiIolheinic aie ¨adjusleis.¨ The sane dicholony can le
appIied lo aqualic aninaIs accoiding lo hov lhey handIe inleinaI and exleinaI
osnolic piessuie.
We usuaIIy lhink of ieguIalois as leing in sone lioad evoIulionaiy sense
¨highei¨ lhan adjusleis. Lel us nov considei vhal lhis nighl nean. If lheie is a
lioad evoIulionaiy liend in favoi of ieguIalois, is lhis liend consislenl vilh vhal has
leen said alove aloul lhe suivivaI lenefils vhich acciue vhen conlioI is liansfeiied
lo genolypic nechanisns`
CIeaiIy, nol onIy lhe ieguIalois lul aIso lhe adjusleis nusl ieIy upon
honeoslalic nechanisns. If Iife is lo go on, a Iaige nunlei of essenliaI physioIogicaI
vaiialIes nusl le heId vilhin naiiov Iinils. Il lhe inleinaI osnolic piessuie, foi
exanpIe, is aIIoved lo change, lheie nusl le nechanisns vhich viII defend lhese
essenliaI vaiialIes. Il foIIovs lhal lhe diffeience lelveen adjusleis and ieguIalois is a
nallei of uncrc, in lhe conpIex nelvoik of physioIogic causes and effecls,
honeoslalic piocess opeiales.
In lhe ieguIalois, lhe honeoslalic piocesses opeiale al oi cIose lo lhe inpul and
oulpul poinls of lhal nelvoik vhich is lhe individuaI oiganisn. In lhe adjusleis, lhe
enviionnenlaI vaiialIes aie peinilled lo enlei lhe lody and lhe oiganisn nusl lhen
cope vilh lheii effecls, using nechanisns vhich viII invoIve deepei Ioops of lhe
lolaI nelvoik.
In leins of lhis anaIysis, lhe poIaiily lelveen adjusleis and ieguIalois can le
exliapoIaled anolhei: slep lo incIude vhal ve nay caII ¨exliaieguIalois¨ vhich
achieve honeoslalic conlioIs cu|sidc lhe lody ly changing and conlioIIing lhe
enviionnenl~nan leing lhe nosl conspicuous exanpIe of lhis cIass.
In lhe eaiIiei pail of lhis essay, il vas aigued lhal in adjusling lo high aIlilude
lheie is a lenefil lo le ollained, in leins of an econonics of fIexiliIily, ly shifling
fion, e.g., panling lo lhe noie piofound and Iess ieveisilIe changes of accIinalion,
lhal halil is noie econonicaI lhan liiaI and eiioi, and lhal genolypic conlioI nay le
noie econonicaI lhan accIinalion. These aie aII ccn|ripc|a| changes in lhe Iocalion of
In lhe lioad picluie of evoIulion, hovevei, il seens lhal lhe liend is in lhe
opposile diieclion: lhal naluiaI seIeclion, in lhe Iong iun, favois ieguIalois noie lhan
adjusleis, and exliaieguIalois noie lhan ieguIalois. This seens lo indicale lhal lheie
is a Iong line evoIulionaiy advanlage lo le gained ly ccn|rifuga| shifls in lhe Iocus of
To specuIale aloul piolIens so vasl is peihaps ionanlic, lul il is voilh noling
lhal lhis conliasl lelveen lhe oveiaII evoIulionaiy liend and lhe liend in a
popuIalion faced vilh conslanl sliess is vhal ve nighl expecl fion lhe conveise
coioIIaiy heie leing consideied. If conslanl sliess favois cenliipelaI shifl in lhe Iocus
of conlioI, and vaiialIe sliess favois cenliifugaI shifl, lhen il shouId foIIov lhal in lhe
vasl spans of line and change vhich deleinine lhe lioad evoIulionaiy picluie,
cenliifugaI shifl of conlioI viII le favoied.
5.2.1 5ummary
In lhis essay lhe aulhoi uses a deduclive appioach. Slailing fion pienises of
convenlionaI physioIogy and evoIulionaiy lheoiy and appIying lo lhese lhe
aigunenls of cyleinelics, he shovs lhal lheie nusl le an cccncnics cf scna|ic
f|cxioi|i|q and lhal lhis econonics nusl, in lhe Iong iun, le coeicive upon lhe
evoIulionaiy piocess. LxleinaI adaplalion ly nulalion oi genolypic ieshuffIing, as
oidinaiiIy lhoughl of, viII inevilalIy use up lhe avaiIalIe sonalic fIexiliIily. Il
foIIovs~if evoIulion is lo le conlinuous~lhal lheie nusl aIso le a cIass of genolypic
changes vhich viII confei a lonus of sonalic fIexiliIily.
In geneiaI, lhe sonalic achievenenl of change is unecononicaI lecause lhe
piocess depends upon honeoslasis, i.e., upon vhoIe ciicuils of inleidependenl
vaiialIes. Il foIIovs lhal inheiilance of acquiied chaiacleiislics vouId le IelhaI lo lhe
evoIulionaiy syslen lecause il vouId fix lhe vaIues of lhese vaiialIes aII aiound lhe
ciicuils. The oiganisn oi species vouId, hovevei, lenefil (in suivivaI leins) ly
genolypic change vhich vouId sinu|a|c Lanaickian inheiilance, i.e., vouId liing
aloul lhe adaplive conponenl of sonalic honeoslasis vilhoul invoIving lhe vhoIe
honeoslalic ciicuil. Such a genolypic change (eiioneousIy caIIed lhe ¨ßaId-vin
effecl¨) vouId confei a lonus of sonalic fIexiliIily and vouId lheiefoie have naiked
suivivaI vaIue.
IinaIIy, il is suggesled lhal a conliaiy aigunenl can le appIied in lhose cases
vheie a popuIalion nusl accIinale lo tariao|c sliess. Heie naluiaI seIeclion shouId
favoi an anli-ßaIdvin effecl.
5.3 Prob|ems ln Cetacean and Other Mamma|lan
5.3.1 Thc CnmmunIcatInn nf Prcvcrba! Mamma!s
Of lhe Celacea I have had IillIe expeiience. I once dissecled in lhe Canliidge
ZooIogicaI Laloialoiies a specinen of Pnccccna loughl fion lhe IocaI fishnongei,
and did nol ieaIIy encounlei celaceans again unliI lhis yeai, vhen I had an
oppoilunily lo neel Di. LiIIy´s doIphins. I hope lhal ny discussion of sone of lhe
queslions lhal aie in ny nind as I appioach lhese pecuIiai nannaIs viII assisl you
in exanining eilhei lhese oi ieIaled queslions.
My pievious voik in lhe fieIds of anlhiopoIogy, aninaI elhoIogy, and
psychialiic lheoiy piovides a lheoielicaI fianevoik foi lhe liansaclionaI anaIysis of
lehavioi. The pienises of lhis lheoielicaI posilion nay le liiefIy sunnaiized: (1)
lhal a ieIalionship lelveen lvo (oi noie) oiganisns is, in-facl, a sequence of S-R
sequences (i.e.,. of conlexls in vhich piolo-Ieaining occuis) , (2) lhal deuleioIeaining
(i.e., Ieaining lo Ieain) is, in facl, lhe acquiiing of infoinalion aloul lhe conlingency
palleins of lhe conlexls in vhich piolo-Ieaining occuis, and (3) lhal lhe ¨chaiaclei¨ of
lhe oiganisn is lhe aggiegale of ils deuleio-Ieaining and lheiefoie iefIecls lhe
conlexluaI palleins of pasl pioloIeaining.
These pienises aie essenliaIIy a hieiaichic sliucluiing of Ieaining lheoiy aIong
Iines ieIaled lo RusseII´s Theoiy of LogicaI Types.
The pienises, foIIoving lhe
Theoiy of Types, aie piinaiiIy appiopiiale foi lhe anaIysis of digi|a| connunicalion.
To vhal exlenl lhey nay le appIicalIe lo anaIogic connunicalion oi lo syslens lhal
conline lhe digilaI vilh lhe anaIogic is piolIenalic. I hope lhal lhe sludy of doIphin
connunicalion viII lhiov Iighl on lhese fundanenlaI piolIens. The poinl is nol
eilhei lo discovei lhal doIphins have conpIex Ianguage oi lo leach lhen LngIish, lul
lo cIose gaps in oui lheoielicaI knovIedge of ccnnunica|icn ly sludying a syslen
lhal, vhelhei iudinenlaiy oi conpIex, is aInosl ceilainIy of a lolaIIy unfaniIiai
Lel ne slail fion lhe facl lhal lhe doIphin is a nannaI. This facl has, of couise,
aII soils of inpIicalions foi analony and physioIogy, lul il is nol vilh lhese lhal I an
conceined. I an inleiesled in his connunicalion, in vhal is caIIed his ¨lehavioi,¨
Iooked al as an aggiegale of dala peiceplilIe and ncaningfu| lo olhei nenleis of lhe
sane species. Il is neaningfuI, fiisl, in lhe sense lhal il affecls a iecipienl aninaI´s
This ailicIe appeaied as Chaplei 25, pp. 569-799, in lna|cs, Dc|pnins and Pcrpciscs,
ediled ly Kennelh S. Noiiis, Univeisily of CaIifoinia Iiess, 1966. Repiinled ly peinission of The
Regenls of lhe Univeisily of CaIifoinia.
}. Ruesch and C. ßaleson, Ccnnunica|icn. Tnc Sccia| Ma|rix cf Psqcnia|rq, Nev Yoik, Noilon,
A. N. Whilehead and ß. RusseII, Principia Ma|ncna|ica, London, Canliidge Univeisily Iiess,
lehavioi, and, second, in lhe sense lhal peiceplilIe faiIuie lo achieve appiopiiale
neaning in lhe fiisl sense viII affecl lhe lehavioi of lolh aninaIs. Whal I say lo you
nay le lolaIIy ineffeclive, lul ny incffcc|itcncss, if peiceplilIe, viII affecl lolh you
and ne. I sliess lhis poinl lecause il nusl le ienenleied lhal in aII ieIalionships
lelveen nan and sone olhei aninaI, especiaIIy vhen lhal aninaI is a doIphin, a
veiy Iaige piopoilion of lhe lehavioi of lolh oiganisns is deleinined ly lhis kind of
When I viev lhe lehavioi of doIphins as connunicalion, lhe nannaIian IaleI
inpIies, foi ne, sonelhing veiy definile. Lel ne iIIusliale vhal I have in nind ly an
exanpIe fion ßenson Cinsluig´s voIf pack in lhe ßiookfieId Zoo.
Anong lhe Canidae, veaning is peifoined ly lhe nolhei. When lhe puppy asks
foi niIk, she piesses dovn vilh hei open noulh on lhe lack of his neck, ciushing
hin dovn lo lhe giound. She does lhis iepealedIy unliI he slops asking. This nelhod
is used ly coyoles, dingoes, and lhe doneslic dog. Anong voIves lhe syslen is
diffeienl. The puppies giaduale snoolhIy fion lhe nippIe lo ieguigilaled food. The
pack cones lack lo lhe den vilh lheii leIIies fuII. AII ieguigilale vhal lhey have gol
and aII eal logelhei. Al sone poinl lhe aduIls slail lo vean lhe puppies fion lhese
neaIs, using lhe nelhod enpIoyed ly lhe olhei Canidae, lhe aduIl ciushes lhe
puppy dovn ly piessing ils open noulh on lhe lack of lhe puppy´s neck. In lhe voIf
lhis funclion is nol confined lo lhe nolhei, lul is peifoined ly aduIls of lolh sexes.
The pack Ieadei of lhe Chicago pack is a nagnificenl naIe aninaI vho endIessIy
palioIs lhe acie of Iand lo vhich lhe pack is confined. He noves vilh a leaulifuI liol
lhal appeais liieIess, vhiIe lhe olhei eighl oi nine nenleis of lhe pack spend nosl of
lheii line dozing. When lhe fenaIes cone in heal lhey usuaIIy pioposilion lhe
Ieadei, lunping againsl hin vilh lheii ieai ends. UsuaIIy, hovevei, he does nol
iespond, lhough he does acl lo pievenl olhei naIes fion gelling lhe fenaIes. Lasl
yeai one of lhese naIes succeeded in eslalIishing coilus vilh a fenaIe. As in lhe
olhei Canidae, lhe naIe voIf is Iocked in lhe fenaIe, unalIe lo vilhdiav his penis,
and lhis aninaI vas heIpIess. Up iushed lhe pack Ieadei. Whal did he do lo lhe
heIpIess naIe vho daied lo infiinge lhe Ieadei´s pieiogalives` Anlhioponoiphisn
vouId suggesl lhal he vouId leai lhe heIpIess naIe lo pieces. ßul no. The fiIn shovs
lhal he piessed dovn lhe head of lhe offending naIe foui lines vilh his open javs
and lhen sinpIy vaIked avay.
Whal aie lhe inpIicalions foi ieseaich fion lhis iIIuslialion` Whal lhe pack
Ieadei does is nol desciilalIe, oi onIy insufficienlIy desciiled, in S-R leins. He does
nol ¨negaliveIy ieinfoice
lhe olhei naIe´s sexuaI aclivily. He asseils oi affiins lhe
naluie of lhe ieIalionship lelveen hinseIf and lhe olhei. If ve veie lo liansIale lhe
pack Ieadei´s aclion inlo voids, lhe voids vouId nol le ¨Don´l do lhal.¨ Ralhei,
lhey vouId liansIale lhe nelaphoiic aclion: ¨I an youi senioi aduIl naIe, you
puppy!¨ Whal I an liying lo say aloul voIves in pailicuIai, and aloul pieveilaI
nannaIs in geneiaI, is lhal lheii discouise is piinaiiIy aloul lhe iuIes and lhe
conlingencies of ieIalionship.
Lel ne offei a noie faniIiai exanpIe lo heIp liing hone lo you lhe geneiaIily of
lhis viev, vhich is ly no neans oilhodox anong elhoIogisls. When youi cal is liying
lo leII you lo give hei food, hov does she do il` She has no void foi food oi foi niIk.
Whal she does is lo nake novenenls and sounds lhal aie chaiacleiislicaIIy lhose
lhal a killen nakes lo a nolhei cal. If ve veie lo liansIale lhe cal´s nessage inlo
voids, il vouId nol le coiiecl lo say lhal she is ciying ¨MiIk!¨ Ralhei, she is saying
sonelhing Iike ¨Ma-na!¨ Oi, peihaps sliII noie coiieclIy, ve shouId say lhal she is
asseiling ¨Dependency! Dependency!¨ The cal laIks in leins of palleins and
conlingencies of ieIalionship, and fion lhis laIk il is up lo you lo lake a dcduc|itc slep,
guessing lhal il is niIk lhal lhe cal vanls. Il is lhe necessily foi lhis deduclive slep
vhich naiks lhe diffeience lelveen pieveilaI nannaIian connunicalion and oc|n
lhe connunicalion of lees and lhe Ianguages of nen.
Whal vas exliaoidinaiy~lhe gieal nev lhing~in lhe evoIulion of hunan
Ianguage vas nol lhe discoveiy of alsliaclion oi geneiaIizalion, lul lhe discoveiy of
hov lo le specific aloul sonelhing olhei lhan ieIalionship. Indeed, lhis discoveiy,
lhough il has leen achieved, has scaiceIy affecled lhe lehavioi even of hunan
leings. If A says lo ß, ¨The pIane is scheduIed lo Ieave al 6.30,¨ ß iaieIy accepls lhis
ienaik as sinpIy and soIeIy a slalenenl of facl aloul lhe pIane. Moie oflen he
devoles a fev neuions lo lhe queslion, ¨Whal does A´s leIIing ne lhis indicale foi ny
ieIalionship lo A`¨ Oui nannaIian ancesliy is veiy neai lhe suiface, despile
iecenlIy acquiied Iinguislic liicks.
ße lhal as il nay, ny fiisl expeclalion in sludying doIphin connunicalion is lhal
il viII piove lo have lhe geneiaI nannaIian chaiacleiislic of leing piinaiiIy aloul
ieIalionship. This pienise is in ilseIf peihaps sufficienl lo accounl foi lhe spoiadic
deveIopnenl of Iaige liains anong nannaIs. We need nol conpIain lhal, as
eIephanls do nol laIk and vhaIes invenl no nouseliaps, lhese ciealuies aie nol
oveilIy inleIIigenl. AII lhal is needed is lo suppose lhal Iaige-liained ciealuies veie,
al sone evoIulionaiy slage, unvise enough lo gel inlo lhe gane of ieIalionship and
lhal, once lhe species vas caughl in lhis gane of inleipieling ils nenleis´ lehavioi
lovaid one anolhei as ieIevanl lo lhis conpIex and vilaI suljecl, lheie vas suivivaI
vaIue foi lhose individuaIs vho couId pIay lhe gane vilh giealei ingenuily oi
giealei visdon. We nay, lhen, ieasonalIy expecl lo find a high conpIexily of
connunicalion aloul ieIalionship anong lhe Celacea. ßecause lhey aie nannaIs,
ve nay expecl lhal lheii connunicalion viII le aloul, and piinaiiIy in leins of,
palleins and conlingencies of ieIalionship. ße-cause lhey aie sociaI and Iaige-liained,
ve nay expecl a high degiee of conpIexily in lheii connunicalion.
5.3.2 Mcthndn!ngIca! CnnsIdcratInns
The alove hypolhesis inlioduces veiy speciaI difficuIlies inlo lhe piolIen of
hov lo lesl vhal is caIIed lhe
psychoIogy¨ (e.g., inleIIigence, ingenuily,
disciininalion, elc.) of individuaI aninaIs. A sinpIe disciininalion expeiinenl, such
as has leen iun in lhe LiIIy Ialoialoiies, and no doull eIsevheie, invoIves a seiies of
(1) The doIphin nay oi nay nol peiceive a diffeience lelveen lhe slinuIus
oljecls, X and Y.
(2) The doIphin nay oi nay nol peiceive lhal lhis diffeience is a cue lo
(3) The doIphin nay oi nay nol peiceive lhal lhe lehavioi in queslion has a
good oi lad effecl upon ieinfoicenenl, lhal is, lhal doing ¨iighl¨ is
condilionaIIy foIIoved ly fish.
(4) The doIphin nay oi nay nol choose lo do ¨iighl,¨ even aflei he knovs
vhich is iighl. Success in lhe fiisl lhiee sleps neieIy piovides lhe
doIphin vilh a fuilhei choice poinl. This exlia degiee of fieedon nusl le
lhe fiisl focus of oui invesligalions.
Il nusl le oui firs| focus foi nelhodoIogicaI ieasons. Considei lhe aigunenls
lhal aie convenlionaIIy lased upon expeiinenls of lhis kind. We aigue aIvays fion
lhe Ialei sleps in lhe seiies lo lhe eaiIiei sleps. We say, ¨If lhe aninaI vas alIe lo
achieve slep 2 in oui expeiinenl, lhen he nusl have leen alIe lo achieve slep 1.¨ If
he couId Ieain lo lehave in lhe vay lhal vouId liing hin lhe ievaid, lhen he nusl
have had lhe necessaiy sensoiy acuily lo disciininale lelveen X and Y, and so on.
IieciseIy lecause ve vanl lo aigue fion olseivalion of lhe aninaI´s success in
lhe Ialei sleps lo concIusions aloul lhe noie eIenenlaiy sleps, il lecones of piine
inpoilance lo knov vhelhei lhe oiganisn vilh vhich ve aie deaIing is capalIe of
slep 4. If il is capalIe, lhen aII aigunenls aloul sleps 1 lhiough 3 viII le invaIidaled
unIess appiopiiale nelhods of conlioIIing slep 4 aie luiIl inlo lhe expeiinenlaI
design. CuiiousIy enough, lhough hunan leings aie fuIIy capalIe of slep 4,
psychoIogisls voiking vilh hunan suljecls have leen alIe lo sludy sleps 1 lhiough
3 vilhoul laking speciaI caie lo excIude lhe confusions inlioduced ly lhis facl. If lhe
hunan suljecl is ¨coopeialive and sane,¨ he usuaIIy iesponds lo lhe lesling silualion
ly iepiessing nosl of his inpuIses lo nodify his lehavioi accoiding lo his peisonaI
viev of his ieIalionship lo lhe expeiinenlei. The voids cccpcra|itc and sanc inpIy a
degiee of consislency al lhe IeveI of slep 4. The psychoIogisl opeiales ly a soil of
pc|i|ic principii. if lhe suljecl is coopeialive and sane (i.e., if lhe ieIalionaI iuIes aie
faiiIy conslanl), lhe psychoIogisl need nol voiiy aloul changes in lhose iuIes.
The piolIen of nelhod lecones enliieIy diffeienl vhen lhe suljecl is
noncoopeialive, psychopalhic, schizophienic, a naughly chiId, oi a doIphin. Ieihaps
lhe nosl fascinaling chaiacleiislic of lhis aninaI is deiived pieciseIy fion his aliIily
lo opeiale al lhis ieIaliveIy high IeveI, an aliIily lhal is sliII lo le denonslialed.
Lel ne nov considei foi a nonenl lhe ail of lhe aninaI liainei. Iion
conveisalions vilh lhese highIy skiIIed peopIe ~liaineis of lolh doIphins and guide
dogs~ny inpiession is lhal lhe fiisl iequiienenl of a liainei is lhal he nusl le alIe
lo pievenl lhe aninaI fion exeiling choice al lhe IeveI of slep 4. Il nusl conlinuaIIy
le nade cIeai lo lhe aninaI lhal, vhen he knovs vhal is lhe iighl lhing lo do in a
given conlexl, lhal is lhe onIy lhing he can do, and no non-sense aloul il. In olhei
voids, il is a piinaiy condilion of ciicus success lhal lhe aninaI shaII aliogale lhe
use of ceilain highei IeveIs of his inleIIigence. The ail of lhe hypnolisl is siniIai.
Theie is a sloiy loId of Di. SanueI }ohnson. A siIIy Iady nade hei dog peifoin
liicks in his piesence. The Docloi seened uninpiessed. The Iady said, ¨ßul Di.
}ohnson, you don´l knov hov difficuIl il is foi lhe dog.¨ Di. }ohnson ie-pIied,
¨DifficuIl, nadan` WouId il veie inpossilIe!¨
Whal is anazing aloul ciicus liicks is lhal lhe aninaI can aliogale lhe use of so
nuch of his inleIIigence and sliII have enough Iefl lo peifoin lhe liick. I iegaid lhe
conscious inleIIigence as lhe giealesl oinanenl of lhe hunan nind. ßul nany
aulhoiilies, fion lhe Zen nasleis lo Signund Iieud, have sliessed lhe ingenuily of
lhe Iess conscious and peihaps noie aichaic IeveI.
5.3.3 CnmmunIcatInn Abnut Rc!atInnshIp
As I said eaiIiei, I expecl doIphin connunicalion lo le of an aInosl lolaIIy
unfaniIiai kind. Lel ne expand on lhis poinl. As nannaIs, ve aie faniIiai vilh,
lhough IaigeIy unconscious of, lhe halil of connunicaling aloul oui ieIalionships.
Like olhei leiiesliiaI nannaIs, ve do nosl of oui connunicaling on lhis suljecl ly
neans of kinesic and paiaIinguislic signaIs, such as lodiIy novenenls, invoIunlaiy
lensions of voIunlaiy nuscIes, changes of faciaI expiession, hesilalions, shifls in
lenpo of speech oi novenenl, oveilones of lhe voice, and iiieguIaiilies of
iespiialion. If you vanl lo knov vhal lhe laik of a dog ¨neans,¨ you Iook al his Iips,
lhe haii on lhe lack of his neck, his laiI, and so on. These ¨expiessive¨ pails of his
lody leII you al vhal oljecl of lhe enviionnenl he is laiking, and vhal palleins of
ieIalionship lo lhal oljecl he is IikeIy lo foIIov in lhe nexl fev seconds. Alove aII,
you Iook al his sense oigans: his eyes, his eais, and his nose.
In aII nannaIs, lhe oigans of sense lecone aIso oigans foi lhe liansnission of
nessages aloul ieIalionship. A lIind nan nakes us unconfoilalIe, nol lecause he
cannol see lhal is his piolIen and ve aie onIy dinIy avaie of il~lul lecause he
does nol liansnil lo us lhiough lhe novenenl of his eyes lhe nessages ve expecl
and need so lhal ve nay knov and le suie of lhe slale of oui ieIalionship lo hin. We
shaII nol knov nuch aloul doIphin connunicalion unliI ve knov vhal one
doIphin can iead in anolhei´s use, diieclion, voIune, and pilch of echoIocalion.
Ieihaps il is lhis Iack in us vhich nakes lhe connunicalion of doIphins seen
nysleiious and opaque, lul I suspecl a noie piofound expIanalion. Adaplalion lo
Iife in lhe ocean has sliipped lhe vhaIes of faciaI expiession. They have no exleinaI
eais lo fIap and fev if any eiecliIe haiis. Lven lhe ceivicaI veileliae aie fused inlo a
soIid lIock in nany species, and evoIulion has slieanIined lhe lody, saciificing lhe
expiessiveness of sepaiale pails lo lhe Ioconolion of lhe vhoIe. Moieovei, condilions
of Iife in lhe sea aie such lhal even if a doIphin had a noliIe face, lhe delaiIs of his
expiession vouId le visilIe lo olhei doIphins onIy al ialhei shoil iange, even in lhe
cIeaiesl valeis.
Il is ieasonalIe, lhen, lo suppose lhal in lhese aninaIs vocaIizalion has laken
ovei lhe connunicalive funclions lhal nosl aninaIs peifoin ly faciaI expiession,
vagging laiIs, cIenched fisls, supinaled hands, fIaiing nosliiIs, and lhe Iike. We nighl
say lhal lhe vhaIe is lhe connunicalionaI opposile of lhe giiaffe, il has no neck, lul
has a voice. This specuIalion aIone vouId nake lhe connunicalion of doIphins a
suljecl of gieal lheoielicaI inleiesl. Il vouId le fascinaling, foi exanpIe, lo knov
vhelhei oi nol, in an evoIulionaiy shifl fion kinesics lo vocaIizalion, lhe sane
geneiaI sliucluie of calegoiies is ielained.
My ovn inpiession~and il is onIy an inpiession unsuppoiled ly lesling~is
lhal lhe hypolhesis lhal doIphins have sulsliluled paiaIinguislics foi kinesics does
nol quile fil in vilh ny expeiience vhen I Iislen lo lheii sounds. We leiiesliiaI
nannaIs aie faniIiai vilh paiaIinguislic connunicalion, ve use il ouiseIves in
giunls and gioans, Iaughlei and solling, noduIalions of liealh vhiIe speaking, and
so on. Theiefoie ve do nol find lhe paiaIinguislic sounds of olhei nannaIs lolaIIy
opaque. We Ieain ialhei easiIy lo iecognize in lhen ceilain kinds of gieeling, palhos,
iage, peisuasion, and leiiiloiiaIily, lhough oui guesses nay oflen le viong. ßul
vhen ve heai lhe sounds of doIphins ve cannol even guess al lheii significance. I do
nol quile liusl lhe hunch lhal vouId expIain lhe sounds of doIphins as neieIy an
eIaloialion of lhe paiaIinguislics of olhei nannaIs. (To aigue lhus fion oui
inaliIily is, hovevei, veakei lhan lo aigue fion vhal ve can do.)
I peisonaIIy do nol leIieve lhal lhe doIphins have any-lhing lhal a hunan
Iinguisl vouId caII a ¨Ianguage.¨ I do nol lhink lhal any aninaI vilhoul hands vouId
le slupid enough lo aiiive al so oulIandish a node of connunicalion.
To use a synlax and calegoiy syslen appiopiiale foi lhe discussion of lhings lhal
can le handIed, vhiIe ieaIIy discussing lhe palleins and conlingencies of
ieIalionship, is fanlaslic. ßul lhal, I sulnil, is vhal is happening in lhis ioon. I sland
heie and laIk vhiIe you Iislen and valch. I liy lo convince you, liy lo gel you lo see
lhings ny uaq, liy lo eain youi iespecl, liy lo indicale ny iespecl foi you, chaIIenge
you, and so on. Whal is ieaIIy laking pIace is a discussion of lhe palleins of oui
ieIalionship, aII accoiding lo lhe iuIes of a scienlific confeience aloul vhaIes. So il is
lo le hunan.
I sinpIy do nol leIieve lhal doIphins have Ianguage in lhis sense. ßul I do leIieve
lhal, Iike ouiseIves and olhei nannaIs, lhey aie pieoccupied vilh lhe palleins of
lheii ieIalionships. Lel us caII lhis discussion of palleins of ieIalionship lhe l funclion
of lhe nessage. Aflei aII, il vas lhe cal vho shoved us lhe gieal inpoilance of lhis
funclion ly hei neving. IieveilaI nannaIs connunicale aloul lhings, vhen lhey
nusl, ly using vhal aie piinaiiIy µ-funclion signaIs. In conliasl, hunan leings use
Ianguage, vhich is piinaiiIy oiienled lovaid lhings, lo discuss ieIalionships. The cal
asks foi niIk ly saying ¨Dependency,¨ and I ask foi youi allenlion and peihaps
iespecl ly laIking aloul vhaIes. ßul ve do nol knov lhal doIphins, in lheii
connunicalion, iesenlIe eilhei ne oi lhe cal. They nay have a quile diffeienl
5.3.4 Ana!ngIc vcrsus DIgIta! CnmmunIcatInn
Theie is anolhei side of lhe piolIen. Hov does il happen lhal lhe paiaIinguislics
and kinesics of nen fion sliange cuIluies, and even lhe paiaIinguislics of olhei
leiiesliiaI nannaIs, aie al Ieasl pailIy inleIIigilIe lo us, vheieas lhe veilaI
Ianguages of nen fion sliange cuIluies seen lo le lolaIIy opaque` In lhis iespecl il
vouId seen lhal lhe vocaIizalions of lhe doIphin iesenlIe hunan Ianguage ialhei
lhan lhe kinesics oi paiaIinguislics of leiiesliiaI nannaIs.
We knov, of couise, vhy gesluies and lones of voice aie pailIy inleIIigilIe vhiIe
foieign Ianguages aie uninleIIigilIe. Il is lecause Ianguage is digi|a| and kinesics and
paiaIinguislics aie ana|cgic.
The essence of lhe nallei is lhal in digilaI
connunicalion a nunlei of puieIy convenlionaI signs -1, 2, 3, X, Y, and so on~aie
pushed aiound accoiding lo iuIes caIIed aIgoiilhns. The signs lhenseIves have no
sinpIe conneclion (e.g., coiiespondence of nagnilude) vilh vhal lhey sland foi. The
nuneiaI ¨5¨ is nol liggei lhan lhe nuneiaI ¨3.¨ Il is liue lhal if ve ienove lhe
ciosslai fion ´7¨ ve ollain lhe nuneiaI ¨1¨, lul lhe ciosslai does nol, in any sense,
sland foi ¨6.¨ A nane usuaIIy has onIy a puieIy convenlionaI oi aililiaiy conneclion
The diffeience lelveen digilaI and anaIogic nodes of connunicalion nay peihaps le nade
cIeai ly lhinking of an LngIish-speaking nalhenalician confionled vilh a papei ly a }apanese
coIIeague. He gazes unconpiehendingIy al lhe }apanese ideogiaphs, lul he is alIe pailIy lo
undeisland lhe Cailesian giaphs in lhe }apanese pulIicalion. The ideogiaphs, lhough lhey nay
oiiginaIIy have leen anaIogic picluies, aie nov puieIy digilaI, lhe Cailesian giaphs aie anaIogic.
vilh lhe c|ass naned. The nuneiaI ¨5¨ is onIy lhe nanc of a nagnilude. Il is non-
sense lo ask if ny leIephone nunlei is Iaigei lhan youis, lecause lhe leIephone
exchange is a puieIy digilaI conpulei. Il is nol fed vilh nagniludes, lul onIy vilh
nancs of posilions on a naliix.
In anaIogic connunicalion, hovevei, ieaI nagniludes aie used, and lhey
coiiespond lo ieaI nagniludes in lhe suljecl of discouise. The Iinked iange findei of
a caneia is a faniIiai exanpIe of an anaIogue conpulei. This device is fed vilh an
angIe lhal has ieaI nagnilude and is, in facl, lhe angIe lhal lhe lase of lhe iange
findei sullends al sone poinl on lhe oljecl lo le phologiaphed. This angIe conlioIs a
can lhal in luin noves lhe Iens of lhe caneia foivaid oi lack. The seciel of lhe
device Iies in lhe shape of lhe can, vhich is an anaIogic iepiesenlalion (i.e., a picluie,
a Cailesian giaph) of lhe funclionaI ieIalionship lelveen dislance of oljecl and
dislance of inage.
VeilaI Ianguage is aInosl (lul nol quile) puieIy digilaI. The void ¨lig¨ is nol
liggei lhan lhe void ¨IillIe¨, and in geneiaI lheie is nolhing in lhe pallein (i.e., lhe
syslen of inleiieIaled nagniludes) in lhe void ¨lalIe¨ vhich vouId coiiespond lo
lhe syslen of inleiieIaled nagniludes in lhe oljecl denoled. On lhe olhei hand, in
kinesic and paiaIinguislic connunicalion, lhe nagnilude of lhe gesluie, lhe Ioudness
of lhe voice, lhe Ienglh of lhe pause, lhe lension of lhe nuscIe, and so foilh~lhese
nagniludes connonIy coiiespond (diieclIy oi inveiseIy) lo nagniludes in lhe
ieIalionship lhal is lhe suljecl of discouise. The pallein of aclion in lhe
connunicalion of lhe voIf pack Ieadei is innedialeIy inleIIigilIe vhen ve have
dala aloul lhe veaning piaclices of lhe aninaI, foi lhe veaning piaclices aie
lhenseIves anaIogic kinesic signaIs.
Il is IogicaI, lhen, lo considei lhe hypolhesis lhal lhe vocaIizalion of doIphins
nay le a digi|a| expiession of µ funclions. Il is lhis possiliIily lhal I especiaIIy have in
nind in saying lhal lhis connunicalion nay le of an aInosl lolaIIy unfaniIiai kind.
Man, il is liue, has a fev voids foi µ funclions, voids Iike ¨Iove,¨ ¨iespecl,¨
¨dependency,¨ and so on. ßul lhese voids funclion pooiIy in lhe acluaI discussion of
ieIalionship lelveen pailicipanls in lhe ieIalionship. If you say lo a giiI, ¨I Iove you,¨
she is IikeIy lo pay noie allenlion lo lhe acconpanying kinesics and paiaIinguislics
lhan lo lhe voids lhenseIves.
We hunans lecone veiy unconfoilalIe vhen sonelody slails lo inleipiel oui
posluies and gesluies ly liansIaling lhen inlo voids aloul ieIalionship. We nuch
piefei lhal oui nessages on lhis suljecl ienain anaIogic, unconscious, and
invoIunlaiy. We lend lo disliusl lhe nan vho can sinuIale nessages aloul
ieIalionship. We lheiefoie have no idea vhal il is Iike lo le a species vilh even a veiy
sinpIe and iudinenlaiy digi|a| syslen vhose piinaiy suljecl nallei vouId le µ
funclions. This syslen is sonelhing ve leiiesliiaI nannaIs cannol inagine and foi
vhich ve have no enpalhy.
5.3.5 Rcscarch P!ans
The nosl specuIalive pail of ny papei is lhe discussion of pIans foi lhe lesling
and anpIificalion of such a lody of hypolheses. I shaII le guided ly lhe foIIoving
heuiislic assunplions:
(1) The epislenoIogy in vhose leins lhe hypolheses aie consliucled is ilseIf nol
suljecl lo lesling. Deiived fion Whilehead and RusseII,
il seives lo guide oui voik.
ShouId lhe voik piove ievaiding, lhe success viII le onIy a veak veiificalion of lhe
(2)We do nol even knov vhal a piinilive digilaI syslen foi lhe discussion of
palleins of ieIalionship nighl Iook Iike, lul ve can guess lhal il vouId nol Iook Iike
a ¨lhing
Ianguage. (Il nighl, noie piolalIy, iesenlIe nusic.) I shaII lheiefoie nol
expecl lhe lechniques foi ciacking hunan Iinguislic codes lo le innedialeIy
appIicalIe lo lhe vocaIizalion of doIphins.
(3)The fiisl iequiienenl, lhen, is lo idenlify and lo cIassify lhe vaiielies and lhe
conponenls of ieIalionship exisling anong lhe aninaIs lhiough delaiIed elhoIogicaI
sludy of lheii aclions, inleiaclions, and sociaI oiganizalion. The eIenenls of vhich
lhese palleins aie luiIl aie doullIess sliII piesenl in lhe kinesics and aclions of lhe
species. We lheie-foie legin vilh a Iisling of lhe kinesic signaIs of individuaI
doIphins, and lhen liy lo ieIale lhen lo lhe conlexls in vhich lhey aie used.
(4)No doull, jusl as lhe pack Ieadei´s lehavioi leIIs us lhal
doninance¨ anong
voIves is nelaphoiicaIIy ieIaled lo veaning, so aIso lhe doIphins viII leII us lheii
kinesic nelaphois foi
doninance,¨ ¨dependency,¨ and olhei µ funclions. CiaduaIIy
lhis syslen of signaIs viII fil logelhei piece ly piece lo foin a picluie of lhe vaiielies
of ieIalionship exisling even anong aninaIs aililiaiiIy confined logelhei in a lank.
(5)As ve legin lo undeisland lhe nelaphoi syslen of lhe doIphin, il viII
lecone possilIe lo iecognize and cIassify lhe conlexls of his vocaIizalion. Al lhis
poinl lhe slalislicaI lechniques foi ciacking codes nay conceivalIy lecone usefuI.
The assunplions iegaiding lhe hieiaichic sliucluie of lhe Ieaining piocess~
upon vhich lhis vhoIe papei is lased ~piovide lhe lasis foi vaiious kinds of
expeiinenlalion. The conlexls of piolo-Ieaining nay le vaiiousIy consliucled vilh a
viev lo olseiving in vhal lypes of conlexls ceilain lypes of Ieaining nosl ieadiIy
occui. We shaII pay speciaI allenlion lo lhose conlexls lhal invoIve eilhei
ieIalionships lelveen lvo oi noie aninaIs and one peison, oi ieIalionships lelveen
lvo oi noie peopIe and one aninaI. Such conlexls aie ninialuie nodeIs of sociaI
oiganizalion vilhin vhich lhe aninaI nay le expecled lo shov chaiacleiislic
lehaviois and lo nake chaiacleiislic allenpls lo nodify lhe conlexl (i.e., lo
nanipuIale lhe hunans).
5.3.6 Cnmmcnts
Mr. lccd. In lhe couise of lveIve yeais in Maiine Sludios in IIoiida, I spenl a
gieal deaI of line valching vhal vas peihaps lhe nosl naluiaI assenlIage of
Tursicps in caplivily, incIuding aninaIs of vaiious ages, usuaIIy lvo oi noie of lhen
in lhe piocess of gioving up, and I sav ienaikalIy IillIe of vhal you aie going lo
Iook foi in a nuch noie iesliicled gioup of aninaIs in lhe Viigin IsIands.
One line I sav sonelhing veiy inleiesling. LaiIy one noining aloul six oi six-
lhiily, ovei a peiiod of al Ieasl haIf an houi, lhe aduIl naIe assuned a posilion nexl
lo one of lhe fenaIes in lhe lank vho vas hanging nolionIess in lhe cui-ienl. He
vouId go up occasionaIIy and nove avay and lhen cone lack and assune a posilion
leside hei, and he vouId slioke hei side vilh his iighl fIippei iepealedIy. Theie vas

Whilehead and RusseII, cp. ci|.
no indicalion lhal lhis had sexuaI significance. Theie vas no eieclion on lhe pail of
lhe naIe, and no olseivalIe iesponse on lhe pail of lhe fenaIe. ßul il vas as cIeai-cul
a nonvocaI signaI as I evei olseived in lhe lank.
Mr. 8a|cscn. | vouId Iike lo say lhal lhe anounl of signaIing lhal goes on is nuch
giealei lhan is evidenl al fiisl sighl. Theie aie, of couise, lhe ialhei specific kinds of
signaIs vhich aie veiy inpoilanl. I an nol denying lhal. I nean lhe louching, and so
on. ßul lhe shy individuaI, lhe liaunalized fenaIe, slaying aInosl slalionaiy lhiee
feel le-Iov lhe suiface vhiIe lvo olhei individuaIs fooI aiound, is gelling a gieal
deaI of allenlion jusl ly silling lheie and slaying. She nay nol le acliveIy
liansnilling, lul in lhis lusiness of lodiIy connunicalion, you don´l have lo le
acliveIy liansnilling in oidei lo have youi signaIs picked up ly olhei peopIe. You
can jusl oc, and jusl ly leing she alliacls an enoinous anounl of allenlion fion lhese
olhei lvo individuaIs vho cone ovei, pass ly, pause a IillIe as lhey pass, and so on.
She is, ve vouId say, ¨vilhdiavn,¨ lul she is acluaIIy aloul as vilhdiavn as a
schizophienic vho ly leing vilhdiavn lecones lhe cenlei of giavily of lhe faniIy.
AII olhei nenleis of lhe gioup nove aiound lhe facl of hei vilhdiavaI, vhich she
nevei Iels lhen foi-gel.
Dr. Raq. I lend lo agiee vilh Mi. ßaleson. We aie voiking al lhe Nev Yoik
Aquaiiun vilh lhe leIuga vhaIe, and I leIieve lhese aninaIs aie nuch noie
expiessive lhan ve Iike lo suspecl. I lhink one of lhe ieasons lhey don´l do veiy nuch
in caplivily is lhal lhey aie loied lo leais nosl of lhe line. Theie is nolhing nuch of
inleiesl in lheii lank enviionnenl, and I vouId Iike lo suggesl lhal ve have lo
nanipuIale lheii caplivily nuch noie cIeveiIy lhan ve do. I don´l nean handIing lhe
vhaIes. They don´l Iike lhal. ßul lhe inlioduclion of diffeienl lypes of aninaIs, oi
cIevei IillIe lhings lhal ve nighl do vouId gel lhen lo iespond noie. Caplive
celaceans aie Iike nonkeys in a cage. They aie highIy inleIIigenl and highIy
deveIoped, and lhey aie loied.
Anolhei facloi is oui skiII in olseivalion, and in lhe leIuga vhaIe, al Ieasl, ve
have leen alIe lo nolice visuaIIy lhe sounds lhey aie naking ly valching lhe change
in lhe shape of lhe neIon, vhich is exlieneIy naiked in lhis aninaI. Il can sveII on
one side oi lhe olhei, oi lake seveiaI diffeienl shapes coiieIaled vilh sound
pioduclion. So, ly veiy caiefuI olseivalion and/oi skiIIed nanipuIalion, I lhink a
gieal deaI can le done vilh lhese aninaIs ialhei sinpIy.
Mr. 8a|cscn. I had neanl lo poinl oul lhal aII sense oigans anong nannaIs, and
even anong anls, lecone najoi oigans foi lhe liansnission of nessages, such as,
¨Wheie aie lhe olhei feIIov´s eyes focused`¨ and, ¨Aie his pinnae focused in one
diieclion oi anolhei`¨ In lhis vay sense oigans lecone liansnilling oigans foi
One of lhe lhings ve nusl alsoIuleIy acquiie if ve aie going lo undeisland
doIphins is a knovIedge of vhal one aninaI knovs and can iead fion anolhei
aninaIs´ use of sonai. I suspecl lhe piesence of aII soils of couilesy iuIes in lhis
lusiness, il piolalIy isn´l poIile lo sonai scan youi fiiends loo nuch, jusl as anong
hunan leings il is nol poIile, ieaIIy, lo Iook al anolhei´s feel in delaiI. We have nany
laloos on olseiving one anolheis´ kinesics, lecause loo nuch infoinalion can le gol
in lhal vay.
Dr. Purtcs. Il seens lo ne lhal lhe doIphin oi lhe celacean nusl suffei fion an
even giealei disadvanlage lhan nan has in lhe pasl, lecause~I have foigollen lhe
aulhoiily~il has leen said lhal lhe oiigin of hunan speech is an anaIogue Ianguage.
In olhei voids, if you use lhe void ¨dovn,¨ you Iovei lhe hand and Iovei lhe Iovei
jav al lhe sane line. If you say ¨up,¨ you iaise lhe hand and iaise lhe Iovei jav.
And if you use lhe void ¨lalIe,¨ and, lellei sliII, pionounce il in Iiench, youi noulh
videns oul and you nake a hoiizonlaI gesluie. Hovevei conpIicaled lhe hunan
Ianguage is, il has ils oiigin in an anaIogue Ianguage. The pooi poipoise has nolhing
Iike lhis lo slail fion. So he nusl have leen highIy inleIIigenl lo have deveIoped a
connunicalion syslen conpIeleIy dc nctc.
Mr. 8a|cscn. Whal has happened lo lhis ciealuie is lhal lhe infoinalion ve gel
visuaIIy and lhe olhei leiiesliiaI aninaIs gel visuaIIy nusl have leen pushed inlo
voice. I sliII nainlain lhal il is appiopiiale foi us lo slail ly invesligaling vhal is Iefl
of lhe visuaI naleiiaI.
5.4 A Re-examlnatlon of ºBateson´s Ru|e"
5.4.1 IntrnductInn
NeaiIy eighly yeais ago, ny falhei, WiIIian ßaleson, le-cane fascinaled ly lhe
phenonena of synneliy and nelaneiic ieguIaiily as exhililed in lhe noiphoIogy of
aninaIs and pIanls. Il is difficuIl loday lo define pieciseIy vhal he vas aflei, lul,
lioadIy, il is cIeai lhal he leIieved lhal an enliieIy nev concepl of lhe naluie of Iiving
lhings vouId deveIop fion lhe sludy of such phenonena. He heId, no doull
coiieclIy, lhal naluiaI seIeclion couId nol le lhe onIy deleininanl of lhe diieclion of
evoIulionaiy change and lhal lhe genesis of vaiialion couId nol le a iandon nallei.
He lheiefoie sel oul lo denonsliale ieguIaiily and ¨IavfuIness¨ anong lhe
phenonena of vaiialiIily.
In his allenpl lo denonsliale a soil of oidei vhich lhe lioIogisls of his day had
IaigeIy ignoied, he vas guided ly lhe nolion, nevei cIeaiIy foinuIaled, lhal lhe pIace
lo Iook foi ieguIaiily in vaiialion vouId le pieciseIy vheie vaiialion had ils inpacl
upon vhal vas aIieady ieguIai and iepelilive. The phenonena of synneliy and
nelaneiisn, lhenseIves sliikingIy ieguIai, nusl suieIy have leen lioughl aloul ly
ieguIaiilies oi ¨Iavs¨ vilhin lhe evoIulionaiy piocess and, lheiefoie, lhe taria|icns of
synneliy and nelaneiisn shouId pieciseIy exenpIify lhese Iavs al voik.
In lhe Ianguage of loday, ve nighl say lhal he vas gioping foi lhose oideiIy
chaiacleiislics of Iiving lhings vhich iIIusliale lhe facl lhal oiganisns evoIve and
deveIop vilh-in cyleinelic, oiganizalionaI, and olhei connunicalionaI Iinilalions.
Il vas foi lhis sludy lhal he coined lhe void ¨genelics.
He sel oul lo exanine lhe naleiiaI in lhe voiId
s nuseuns, piivale coIIeclions,
and jouinaIs leaiing upon lhe leialoIogy of aninaI synneliy and nelaneiisn. The
de-laiIs of lhis suivey veie pulIished in a Iaige look
vhich is sliII of consideialIe
To denonsliale ieguIaiily vilhin lhe fieId of leialoIogicaI vaiialion, he
allenpled a cIassificalion of lhe vaiious soils of nodificalion lhal he encounleied.
Wilh lhis cIassificalion I an nol heie conceined, excepl lhal in lhe suivey he
happened upon a geneiaIizalion vhich can le caIIed a ¨discoveiy.¨ This discoveiy
cane lo le caIIed ¨ßaleson´s RuIe¨ and ienains one of lhe unexpIained nysleiies of
The puipose of lhe piesenl nole is lo pIace ßaleson´s RuIe in a nev lheoielicaI
peispeclive deleinined ly cyleinelics, infoinalion lheoiy, and lhe Iike.
ßiiefIy, ßaleson´s RuIe asseils in ils sinpIesl foin lhal vhen an asynneliicaI
IaleiaI appendage (e.g., a iighl hand) is iedupIicaled, lhe iesuIling iedupIicaled Iinl
viII le liIaleiaIIy synneliicaI, consisling of lvo pails each a niiioi inage of lhe
olhei and so pIaced lhal a pIane of synneliy couId le inagined lelveen lhen.
This essay has leen accepled foi pulIicalion in lhe ]curna| cf Gcnc|ics, and is heie
iepioduced vilh lhe peinission of lhal jouinaI.
He hinseIf vas, hovevei, veiy doullfuI vhelhei such sinpIe iedupIicalion evei
occuis. He leIieved and accunuIaled evidence lo shov lhal, in a veiy Iaige
piopoilion of such cases, one conponenl of lhe iedupIicaled syslen vas il-seIf
doulIe. He asseiled lhal in such syslens lhe lhiee conponenls aie noinaIIy in one
pIane, lhal lhe lvo conponenls of lhe doulIel aie niiioi inages of each olhei, and
lhal lhal conponenl of lhe doulIel vhich is lhe neaiei lo lhe piinaiy appendage is a
niiioi inage of lhe piinaiy.
This geneiaIizalion vas shovn oq ny falhei lo hoId foi a veiy Iaige nunlei of
exanpIes of iedupIicalion in lhe veileliales and in ailhiopods, and foi a fev cases in
olhei phyIa vheie lhe nuseun naleiiaI vas, of couise, noie scaice.
Ross Haiiison
leIieved lhal ßaleson undeieslinaled lhe inpoilance of sinpIe
Whelhei oi nol sinpIe iedupIicalion is a ieaI and connon phenonenon, I shaII
legin lhis essay vilh a discussion of lhe IogicaI piolIens vhich il vouId piesenl.
5.4.2 Thc Prnb!cm RcdcfIncd
In 1894, il appeaied lhal lhe piolIen cenleied aiound lhe queslion: Whal causes
lhe deveIopnenl of liIaleiaI synneliy in a conlexl vheie il does nol leIong`
ßul nodein lheoiy has luined aII such queslions upside dovn. Infoinalion, in
lhe lechnicaI sense, is lhal vhich cxc|udcs ceilain aIleinalives. The nachine vilh a
goveinoi does nol eIecl lhe sleady slale, il prctcn|s ilseIf fion slaying in any
aIleinalive slale, and in aII such cyleinelic syslens, coiieclive aclion is lioughl
aloul ly diffcrcncc. In lhe jaigon of lhe engineeis, lhe syslen is ¨eiioi aclivaled.¨ The
diffeience lelveen sone piesenl slale and sone
piefeiied¨ slale aclivales lhe
coiieclive iesponse.
The lechnicaI lein

infoinalion¨ nay le succinclIy de-fined as anq diffcrcncc
unicn na|cs a diffcrcncc in scnc |a|cr ctcn|. This definilion is fundanenlaI foi aII
anaIysis of cyleinelic syslens and oiganizalion. The definilion Iinks such anaIysis lo
lhe iesl of science, vheie lhe causes of evenls aie connonIy nol diffeiences lul
foices, inpacls, and lhe Iike. The Iink is cIassicaIIy exenpIified ly lhe heal engine,
vheie avaiIalIe eneigy (i.e., negalive enliopy) is a funclion of a diffcrcncc lelveen
lvo lenpeialuies. In lhis cIassicaI inslance, ¨infoinalion¨ and ¨negalive enliopy
Moieovei, lhe eneigy ieIalions of such cyleinelic syslens aie connonIy
inveiled. ßecause oiganisns aie alIe lo sloie eneigy, il is usuaI lhal lhe eneigy
expendiluie is, foi Iiniled peiiods of line, an inveise funclion of eneigy in-pul. The
anoela is noie aclive vhen il Iacks food, and lhe slen of a gieen pIanl giovs faslei
on lhal side vhich is luined avay fion lhe Iighl.
Lel us lheiefoie inveil lhe queslion aloul lhe synneliy of lhe lolaI iedupIicaled
appendage: Why is lhis doulIe appendage nol asynneliicaI Iike lhe coiiesponding
appendages of noinaI oiganisns`

W. ßaleson, ¨The Iiogiess of Cenelic Reseaich,¨ In-auguiaI Addiess, RoyaI HoilicuIluiaI
Sociely Repoil, 19O6.
'W. ßaleson, MaleiiaIs foi lhe Sludy of Vaiialion, London, MacniIIan and Cc., 1894.
R. C. Haiiison, ¨On ReIalions of Synneliy in TianspIanled Linls,¨ ]curna| cf
Exµerlmenta| Zoo|ogµ, 1921, 32: 1-118.
To lhis queslion a foinaI and geneiaI (lul nol pailicuIai) ansvei can le
consliucled on lhe foIIoving Iines:
(1) An unfeiliIized fiog
s egg is iadiaIIy synneliicaI, vilh aninaI and vegelaI
poIes lul no diffeienlialion of ils equaloiiaI iadii. Such an egg deveIops inlo a
liIaleiaIIy synneliicaI enliyo, lul hov does il seIecl one neiidian lo le lhe pIane
of liIaleiaI synneliy of lhal enliyo` The ansvei is knovn~lhal, in facl, lhe fiog´s
egg ieceives infoinalion frcn |nc cu|sidc. The poinl of enliy of lhe speinalozoon (oi
lhe piick of a fine filei) naiks one neiidian as diffeienl fion aII olheis, and lhal
neiidian is lhe fuluie pIane of liIaleiaI synneliy.
Conveise cases can aIso le ciled. IIanls of nany faniIies leai liIaleiaIIy
synneliicaI fIoveis. Such fIoveis aie aII cIeaiIy deiived fion liiadic iadiaI
synneliy (as in oichids) oi fion penladic synneliy (as in Lalialae, Leguninosae,
elc.) , and lhe liIaleiaI synneliy is achieved ly lhe diffeienlialion of one axis (e.g.,
lhe ¨slandaid¨ of lhe faniIiai sveel pea) of lhis iadiaI synneliy. We again ask hov
il is possilIe lo seIecl one of lhe siniIai lhiee (oi five) axes. And again ve find lhal
each fIovei ieceives infoinalion frcn |nc cu|sidc. Such liIaleiaIIy synneliicaI fIoveis
can cn|q le pioduced on lianch slens, and lhe diffeienlialion of lhe fIovei is aIvays
oiienled lo lhe nannei in vhich lhe fIovei-leaiing lianch slen cones off fion lhe
nain slen. Veiy occasionaIIy a pIanl vhich noinaIIy leais liIaleiaIIy synneliicaI
fIoveis viII foin a fIovei al lhe leininus of a nain slen. Such a fIovei is necessaiiIy
onIy iadiaI in ils synneliy~a cup-shaped nonsliosily. (The piolIen of liIaleiaIIy
asynneliicaI fIoveis, e.g., in lhe Ca|asc|un gioup of oichids, is inleiesling.
IiesunalIy lhese nusl le loine, Iike lhe IaleiaI appendages of aninaIs, upon
lianches fion nain slens vhich aie lhenseIves aIieady liIaleiaIIy synneliicaI, e.g.,
doiso-venliaIIy fIallened.)
(2) We nole lhen lhal, in lioIogicaI syslens, lhe slep fion iadiaI synneliy lo
liIaleiaI synneliy connonIy iequiies a piece of infoinalion fion lhe oulside. Il is,
hovevei, conceivalIe lhal sone diveigenl piocess nighl le louched off ly ninule
and iandonIy disliiluled diffeiences, e.g., anong lhe iadii of lhe fiog´s egg. In lhis
case, of couise, lhe seIeclion of a pailicuIai neiidian foi speciaI deveIopnenl vouId
ilseIf le iandon and couId nol le oiienled lo olhei pails of lhe oiganisn as is lhe
pIane of liIaleiaI synneliy in sveel peas and Ialiale fIoveis.
(3) SiniIai consideialions appIy lo lhe slep fion liIaleiaI synneliy lo
asynneliy. Again eilhei lhe asynneliy (lhe diffeienlialion of one haIf fion lhe
olhei) nusl le achieved ly a iandon piocess oi il nusl le achieved ly infoinalion
ieceived fion lhe oulside, i.e., fion neighloiing lissues and oigans. Lveiy IaleiaI
appendage of a veileliale oi ailhiopod is noie oi Iess asynneliicaI
and lhe
asynneliy is nevei sel iandonIy in ieIalion lo lhe iesl of lhe aninaI. Righl Iinls aie
nol loine upon lhe Iefl side of lhe lody, excepl undei expeiinenlaI ciicunslances.
Theiefoie lhe asynneliy nusl depend upon lhe oulside infoinalion, piesunalIy
deiived fion lhe neighloiing lissues.
In lhis conneclion, scaIes and fealheis and haiis aie of speciaI inleiesl. A fealhei vouId seen
lo have a veiy cIeai liIaleiaI synneliy in vhich lhe pIane of synneliy is ieIaled lo lhe anleio-
posleiioi diffeienlialion of lhe liid. Supeiposed on lhis is an asynneliy Iike lhal of lhe individuaI
liIaleiaI Iinls. As in lhe case of IaleiaI Iinls, coiiesponding fealheis on opposile sides of lhe bndy
aie niiioi inages of each olhei. Lveiy fealhei is, as il veie, a fIag vhose shape and coIoiing
denole lhe vaIues of deleinining vaiialIes al lhe poinl and line of ils giovlh.
(3) ßul if lhe slep fion liIaleiaI synneliy lo asynneliy iequiies addilionaI
infoinalion, lhen il foIIovs lhal in alsence of lhis addilionaI infoinalion, lhe
appendage vhich shouId have leen asynneliicaI can onIy le liIaleiaIIy
The piolIen of lhe liIaleiaI synneliy of iedupIicaled Iinls lhus lecones
sinpIy a piolIen of lhe |css of a piece of infoinalion. This foIIovs fion lhe geneiaI
IogicaI iuIe lhal eveiy ieduclion in synneliy (fion iadiaI lo liIaleiaI oi fion
liIaleiaI lo asynneliicaI) iequiies addi|icna| in-foinalion.
Il is nol cIained lhal lhe alove aigunenl is an expIanalion of aII lhe phenonena
vhich iIIusliale ßaleson´s RuIe. Indeed, lhe aigunenl is offeied onIy lo shov lhal
lheie aie sinpIe vays of lhinking aloul lhese phenonena vhich have scaiceIy leen
expIoied. Whal is pioposed is a fani|q of hypolheses ialhei lhan a singIe one. A
ciilicaI exaninalion of vhal has leen said alove as if il veie a singIe hypolhesis viII,
hov-evei, piovide a fuilhei iIIuslialion of lhe nelhod.
In any given case of iedupIicalion, il viII le necessaiy lo decide vhal pailicuIai
piece of infoinalion has leen Iosl, and lhe aigunenl so fai given shouId nake lhis
decision easy. A naluiaI fiisl guess vouId le lhal lhe deveIoping appendage needs
lhiee soils of oiienling infoinalion lo en-alIe il lo achieve asynneliy: pioxino-
dislaI infoinalion, doiso-venliaI infoinalion, and anleio-posleiioi infoinalion. The
sinpIesl hypolhesis suggesls lhal lhese nighl le scpara|c|q ieceived and lheiefoie
lhal cnc of lhese soils of infoinalion viII le Iosl oi alsenl in any given case of
iedupIicalion. Il shouId lhen le easy lo cIassify cases of iedupIicalion ac-coiding lo
vhich piece of oiienling infoinalion is nissing. Theie shouId le al nosl lhiee such
lypes of iedupIicalion, and lhese shouId le cIeaiIy dislincl.
5.4.3 5upcrnumcrary Dnub!c Lcgs In Cn!cnptcra
ßul in lhe onIy sel of cases vheie lhis deduclion can le lesled, facls cIeaiIy do
nol fil lhe hypolhesis. The cases aie lhose of supeinuneiaiy paiis of appendages in
leelIes. Aloul a hundied such cases veie knovn in 1894, and of lhese ßaleson
desciiles aloul haIf and figuies lhiileen.
The foinaI ieIalions aie ienaikalIy unifoin and Ieave no doull lhal a singIe
lype of expIanalion shouId appIy lo lhe synneliy in aII cases.
W. ßaleson, MaleiiaIs . . . , op. cil., pp. 477-5O3.
Iig. 2 P|crcs|icnus nun|fc|dii, No. 742. Senidiagiannalic iepiesenlalion of
lhe Iefl niddIe lilia leaiing lhe exlia laisi upon lhe anleio-venliaI loidei
of lhe apex. L, lhe noinaI laisus, R, lhe exlia iighl, L' lhe exlia Iefl laisus.
( The piopeily of Di. Kiaalz. ) Iion ßaleson, l., Ma|cria|s fcr |nc S|udq cf
Varia|icn, London: MacniIIan, 1894, p 485.

Iig. 1 Caraous scncid|cri, No. 736. The noinaI iighl foie Ieg, R, leaiing
an exlia paii of Iegs, SL and SR', aiising fion lhe venliaI suiface of lhe
coxa, C. Seen fion in fionl. (The piopeily of Di. Kiaalz.) Iion ßaleson, W.,
Ma|cria|s fcr |nc S|udq cf Varia|icn, London: MacniIIan, 1894, p 483.
one Ieg (iaieIy noie lhan one) of a leelIe is alnoinaI in leaiing a
lianch al sone poinl in ils Ienglh. This lianch is ieguIaiIy a doulIel, consisling of
See Iiguies 1 and 2, pages 385 and 386.
Iig. 5 A nechanicaI device foi shoving lhe ieIalions lhal exlia
Iegs in Secondaiy Synneliy leai lo each olhei and lo lhe noinaI Ieg
fion vhich lhey aiise. The nodeI R iepiesenls a noinaI iighl Ieg. SL
and SR iepiesenl iespecliveIy lhe exlia iighl and exlia Iefl Iegs of lhe
supeinuneiaiy paii. A and I, lhe anleiioi and posleiioi spuis of lhe
lilia. In each Ieg lhe ncrpnc|cgica||q an|cricr suiface is shaded, lhe
posleiioi leing vhile. R is seen fion lhe venliaI aspecl and SL and
SR aie in Iosilion VI. Iion ßaleson, W., Materla|s fcr the Studµ cf
Varlatlon, London: MacniIIan, 1894, p. 48O.
lvo pails vhich nay le fused al lhe poinl of lianching off fion lhe piinaiy Ieg lul
vhich aie connonIy sepaiale al lheii dislaI ends.
DislaIIy fion lhe poinl of lianching lheie aie lhus lhiee conponenls~a piinaiy
Ieg and lvo supeinuneiaiy Iegs. These lhiee Iie in one pIane and have lhe foIIoving
synneliy: lhe lvo conponenls of lhe supeinuneiaiy doulIel aie a conpIenenlaiy
paii~one leing a Iefl and lhe olhei a iighl~as ßaleson´s RuIe vouId suggesl. Of
lhese lvo, lhe Ieg neaiesl lo lhe piinaiy Ieg is conpIenenlaiy lo il.
These ieIalions aie iepiesenled in Iiguie 3. (See page 387.) Lach conponenl is
shovn in diagiannalic cioss seclion, and lheii doisaI, venliaI, anleiioi, and
posleiioi faces aie indicaled ly lhe Ielleis D, V, A, and I, iespecliveIy.
Whal is suipiising aloul lhese alnoinaIilies~in lhal il confIicls vilh lhe
hypolhesis offeied alove~is lhal lheie is no cIeai disconlinuily ly vhich lhe cases
can le cIassified accoiding lo vhich soil of oiienling infoinalion has leen Iosl. The
supeinuneiaiy doulIel nay le loine on any pail of lhe ciicunfeience of lhe
piinaiy Ieg.
Iiguie 3 iIIusliales lhe synneliy of a doulIel occuiiing in lhe doisaI iegion.
Iiguie 4 (page 387) iIIusliales lhe synneliy of a doulIel in lhe doiso-anleiioi iegion.
Il appeais, lhen, lhal lhe pIanes of synneliy aie paiaIIeI lo a langenl of lhe
ciicunfeience of lhe piinaiy Ieg al lhe poinl of lianching lul, since lhe poinls of
lianching nay le anyvheie on lhe ciicunfeience, a ccn|inucus seiies of possilIe
liIaleiaI synneliies is geneialed.
Iiguie 5 (page 388) is a nachine invenled ly W. ßaleson lo denonsliale lhis
conlinuous seiies of possilIe liIaleiaI synneliies.
If lhe liIaleiaI synneliy of lhe doulIel is due lo a Ioss of oiienling infoinalion,
ve shouId expecl lhe pIane of lhal liIaleiaI synneliy lo le al iighl angIes lo lhe
diieclion of lhe Iosl infoinalion, i.e., if doiso-venliaI infoinalion veie Iosl, lhe
iesuIling Iinls oi doulIel shouId conlain a pIane of synneliy vhich vouId le al
iighl angIes lo lhe doiso-venliaI Iine.
(The aigunenl foi lhis expeclalion nay le speIIed oul as foIIovs: a giadienl in a
IineaI sequence cieales a diffeience lelveen lhe lvo ends of lhe sequence. If lhis
giadienl is nol piesenl, lhen lhe ends of lhe sequence viII le siniIai, i.e., lhe
sequence viII le synneliicaI aloul a pIane of synneliy liansveise lo ilseIf. Oi,
considei lhe case of lhe fiog´s egg. The lvo poIes and lhe poinl of enliy of lhe
speinalozoon deleinine a pIane of liIaleiaI synneliy. To achieve asynneliy, lhe
egg iequiies infoinalion a| rign| ang|cs |c |nis p|anc, i.c., sonelhing vhich viII nake
lhe iighl haIf diffeienl fion lhe Iefl. If lhis sonelhing is Iosl, lhen lhe egg viII ieveil
lo lhe oiiginaI liIaleiaI synneliy, vilh lhe oiiginaI pIane of synneliy liansveise lo
lhe diieclion of lhe Iosl infoinalion.)
As noled alove, lhe supeinuneiaiy doulIels nay oiiginale fion anq face of lhe
piinaiy Ieg, and lheiefoie aII inleinediales occui lelveen lhe expecledIy
disconlinuous lypes of Ioss of infoinalion. Il foIIovs lhal if liIaleiaI synneliy in
lhese doulIels is due lo Ioss of infoinalion, lhen lhe infoinalion Iosl cannol le
cIassified as anleio-posleiioi, doiso-venliaI, oi pioxino-dislaI.
The hypolhesis nusl lheiefoie le coiiecled.
Lel us ielain lhe geneiaI nolion of Iosl infoinalion, and lhe coioIIaiy of lhis lhal
lhe pIane of liIaleiaI synneliy nusl le al iighl angIes lo lhe diieclion of lhe
infoinalion lhal vas Iosl.
The nexl sinpIesl hypolhesis suggesls lhal lhe Iosl infoinalion nusl have leen
cenlio-peiipheiaI. (I heie ielain lhis lipoIai lein ialhei lhan use lhe sinpIei
Lel us inagine, lhen, sone cenlio-peiipheiaI diffeience ~possilIy a chenicaI oi
eIecliicaI giadienl vilhin lhe cioss seclion of lhe piinaiy Ieg, and suppose lhal lhe
Ioss oi lIuiiing of lhis diffeience al sone poinl aIong lhe Ienglh of lhe piinaiy Ieg
deleinines lhal any lianch Iinl pioduced al lhis poinl shaII faiI lo achieve
Il viII foIIov, naluiaIIy, lhal such a lianch Iinl (if pioduced) viII le liIaleiaIIy
synneliicaI and lhal ils pIane of liIaleiaI synneliy viII le al iighl angIes lo lhe
diieclion of lhe Iosl giadienl oi diffeience.
ßul, cIeaiIy, a cenlio-peiipheiaI diffeience oi giadienl is nc| a piinaiy
conponenl of lhal infoinalion syslen vhich deleinined lhe asynneliy of lhe
piinaiy Ieg. Such a giadienl nighl, hovevei, inhilil lianching, so lhal ils Ioss oi
lIuiiing vouId iesuIl in pioduclion of a supeinuneiaiy lianch al lhe poinl of Ioss.
The nallei lecones supeificiaIIy paiadoxicaI: lhe Ioss of a giadienl vhich nighl
inhilil lianching iesuIls in lianch foinalion, such lhal lhe lianch cannol achieve
asynneliy. Il appeais, lhen, lhal lhe hypolhelicaI Cenlio-peiipheiaI giadienl oi
diffeience nay have lvo soils of connand funclions : (a) lo inhilil lianching, and
(o) lo deleinine an asynneliy in lhal lianch vhich can onIy cone inlo exislence al
aII if lhe Cenlio-peiipheiaI giadienl is alsenl. If lhese lvo soils of nessage funclions
can le shovn lo oveiIap oi le in sone sense synonynous, ve shaII have geneialed
an econonicaI hypolhelicaI desciiplion of lhe phenonena.
We lheiefoie addiess ouiseIves lo lhe queslion: Is lheie an a piioii case foi
expecling lhal lhe aoscncc of a giadienl vhich vouId piohilil lianching in lhe
piinaiy Ieg viII peinil lhe foinalion of a lianch vhich viII Iack lhe infoinalion
necessaiy lo deleinine asynneliy acioss a pIane al iighl angIes lo lhe nissing
The queslion nusl le inveiled lo fil lhe upside-dovnness of aII cyleinelic
expIanalion. The concepl ¨infoinalion necessaiy lo deleinine asynneliy¨ lhen
lecones ¨infoinalion necessaiy lo prcnioi| liIaleiaI synneliy.¨
ßul anylhing vhich ¨piohilils liIaleiaI synneliy¨ viII aIso ¨piohilil
lianching,¨ since lhe lvo conponenls of a lianching sliucluie conslilule a
synneliicaI paii (even lhough lhe conponenls nay le iadiaIIy synneliicaI).
Il lheiefoie lecones ieasonalIe lo expecl lhal Ioss oi lIuiiing of a Cenlio-
peiipheiaI giadienl vhich piohilils lianch foinalion viII peinil lhe foinalion of a
lianch vhich viII, hovevei, ilseIf le liIaleiaIIy synneliicaI aloul a pIane paiaIIeI lo
lhe ciicunfeience of lhe piinaiy Iinl.
MeanvhiIe, vilhin lhe piinaiy Iinl, il is possilIe lhal a Cenlio-peiipheiaI
giadienl, ly pievenling lianch foinalion, couId have a funclion in pieseiving a
pieviousIy delei-nined asynneliy.
The alove hypolheses piovide a possilIe fianevoik of expIanalion of lhe
foinalion of lhe supeinuneiaiy doulIel and lhe liIaleiaI synneliy vilhin il. Il
ienains lo considei lhe oiienlalion of lhe conponenls of lhal doulIel. Accoiding lo
ßaleson´s RuIe, lhe conponenl neaiesl lo lhe piinaiy Ieg is in liIaleiaI synneliy
vilh il. In olhei voids, lhal face of lhe supeinuneiaiy vhich is lovaid lhe piinaiy
is lhe noiphoIogicaI counleipail of lhal face of lhe peiipheiy of lhe piinaiy fion
vhich lhe lianch spiang.
The sinpIesl, and peihaps olvious, expIanalion of lhis ieguIaiily is lhal in lhe
piocess of lianching lheie vas a shaiing of noiphoIogicaIIy diffeienlialed sliucluies
lelveen lianch and piinaiy and lhal lhese shaied sliucluies aie, in facl, lhe caiiieis
of lhe necessaiy infoinalion. Hovevei, since infoinalion caiiied lhis vay viII
cIeaiIy have piopei-lies veiy diffeienl fion lhose of infoinalion caiiied ly giadienls,
il is appiopiiale lo speII lhe nallei oul in sone delaiI.
Considei a iadiaIIy synneliicaI cone vilh ciicuIai lase. Such a figuie is
diffeienlialed in lhe axiaI dinension, as lelveen apex and lase. AII lhal is necessaiy
lo nake lhe cone fuIIy asynneliicaI is lo diffeienliale on lhe ciicunfeience of lhe
lase lvo poinls vhich shaII le diffeienl fion each olhei and shaII nol le in
dianeliicaIIy opposile posilions, i.e., lhe lase nusl conlain such diffeienlialion lhal
lo nane ils pails in cIockvise oidei gives a iesuIl diffeienl fion lhe iesuIl of naning
lhe pails in anlicIockvise oidei.
Assune nov lhal lhe supeinuneiaiy lianch, ly ils veiy oiigin as a unil gioving
oul fion a naliix, has pioxino-dislaI diffeienlialion, and lhal lhis diffeienlialion is
anaIogous lo lhe diffeienlialion in lhe axiaI dinension of lhe cone. To achieve
conpIele asynneliy, il is lhen onIy necessaiy lhal lhe deveIoping Iinl ieceive
diieclionaI infoinalion in sone aic of ils ciicunfeience. Such infoinalion is cIeaiIy
innedialeIy avaiIalIe fion lhe ciicunslance lhal, al lhe poinl of lianching, lhe
secondaiy Iinl nusl shaie sone ciicunfeience vilh lhe piinaiy. ßul lhe shaied
poinls vhich aie in cIockvise oidei on lhe peiipheiy of lhe piinaiy viII le in
anlicIockvise oidei on lhe peiipheiy of lhe lianch. The infoinalion fion lhe shaied
aic viII lheiefoie le such as lo deleinine lolh lhal lhe iesuIling Iinl viII le a niiioi
inage of lhe piinaiy and lhal lhe lianch viII face appiopiialeIy lovaid lhe piinaiy.
Il is nov possilIe lo consliucl a hypolhelicaI sequence of evenls foi lhe
iedupIicalions in lhe Iegs of leelIes:
(1)A piinaiy Ieg deveIops asynneliy, deiiving lhe necessaiy infoinalion
fion suiiounding lissues.
(2)This infoinalion, aflei il has had ils effecl, conlinues lo exisl, liansfoined
inlo noiphoIogicaI diffeienlialion.
The asynneliy of lhe noinaI piinaiy Ieg is hence-foilh nainlained ly a cenlio-
peiipheiaI giadienl vhich noinaIIy pievenls lianching.
In lhe alnoinaI specinens, lhis cenlio-peiipheiaI giadienl is Iosl oi lIuiied~
possilIy al sone poinl of Iesion oi liauna.
IoIIoving lhe Ioss of lhe cenlio-peiipheiaI giadienl, lianching occuis.
The iesuIling lianch is a doulIel, Iacking lhe giadienl infoinalion vhich vouId
have deleinined asynneliy, il nusl lheiefoie le liIaleiaIIy synneliicaI.
Thal conponenl of lhe doulIel vhich is nexl lo lhe piinaiy is oiienled lo le a
niiioi inage of lhe piinaiy ly lhe shaiing of diffeienlialed peiipheiaI sliucluies.
(3)SiniIaiIy each conponenl of lhe doulIel is ilseIf asynneliicaI, deiiving
lhe necessaiy infoinalion fion lhe noiphoIogy of shaied peiipheiies in lhe
pIane of lhe doulIel.
The alove specuIalions aie inlended lo iIIusliale hov lhe expIanaloiy piincipIe
of |css of infoinalion nighl le appIied lo sone of lhe ieguIaiilies sulsuned undei
s RuIe. ßul il viII le noled lhal lhe dala on synneliy in lhe Iegs of leelIes
have, in facl, leen oveiexpIained.
Tvo dislincl lul nol nuluaIIy excIusive~lypes of ex-pIanalion have leen
invoked: (a) lhe Ioss of infoinalion vhich shouId have leen deiived fion a cenlio-
peiipheiaI giadienl, and (l) infoinalion deiived fion shaied peiipheiaI
Neilhei of lhese lypes of expIanalion is sufficienl ly ilseIf lo expIain lhe
phenonena, lul vhen conlined lhe lvo piincipIes oveiIap so lhal sone delaiIs of
lhe lolaI picluie can le iefeiied sinuIlaneousIy lo lolh

Such iedundancy is, no doull, lhe iuIe ialhei lhan lhe exceplion in lioIogicaI
syslens, as il is in aII olhei syslens of oiganizalion, diffeienlialion, and
connunicalion. In aII such syslens, iedundancy is a najoi and necessaiy souice of
slaliIily, piediclaliIily, and inlegialion.
Redundancy vilhin lhe syslen viII inevilalIy appeai as oveiIapping lelveen
oui expIanalions of lhe syslen. Indeed, vilhoul oveiIapping, oui expIanalions viII
connonIy le insufficienl, faiIing lo expIain lhe facls of lioIogicaI inlegialion.
We knov IillIe aloul hov lhe palhvays of evoIulionaiy change aie infIuenced
ly such noiphogenelic and physioIogicaI iedundancies. ßul ceilainIy such inleinaI
iedundancies nusl inpose noniandon chaiacleiislics upon lhe phenonena of
5.4.4 Rcdup!Icatcd LImbs In AmphIbIa
Al lhis poinl il is inleiesling lo luin fion anaIysis of iedupIicalion in leelIes´ Iegs
lo anolhei lody of dala in vhich iedupIicalion connonIy occuis and has leen
iefeiied lo ßaleson´s RuIe.
These aie lhe dala on iedupIicalion in lhe expeiinenlaIIy
lianspIanled Iinls of IaivaI nevls.
(1) Theie aie sone cases, noslIy of heleiolopic lians-pIanls in vhich lhe giafled
Iinl lud deveIops inlo a sinpIe and appaienlIy equaI linaiy syslen, in vhich lhe
lvo conponenls aie in niiioi inage synneliy. I vas shovn aloul lhiee yeais ago a
veiy sliiking piepaialion ly Di. Lneison Hillaid of lhe CaIifoinia Inslilule of
TechnoIogy. In lhis specinen lhe Iinl lud had leen iolaled lhiough 18O°, so lhal lhe
anleiioi edge of lhe lud faced lovaid lhe posleiioi end of lhe hosl, and had leen
inpIanled in a nedian doisaI posilion on lhe posleiioi iegion of lhe head of lhe hosl.
This lianspIanl had deveIoped inlo lvo ienaikalIy conpIele Iegs in niiioi inage
ieIalionship. This linaiy syslen vas connecled lo lhe head of lhe hosl onIy ly a
sIendei liidge of lissue.
Such piepaialions, vheie lhe pioducl is linaiy and lhe pails equaI, ceilainIy
Iook Iike vhal vouId le expecled fion a sinpIe Ioss of one dinension of oiienling
infoinalion. (Il vas Di. Hillaid´s specinen lhal suggesled lo ne lhal lhe hypolhesis
of Iosl infoinalion nighl le appIicalIe lo lhe anphilian naleiiaI.)
(2) Hovevei, apail fion lhese inslances of equaI linaiy iedupIicalion, lhe
anphilian naleiiaI does nol al aII fil vilh any hypolhesis lhal vouId expIain lhe
iedupIicalion as due lo a sinpIe Ioss of infoinalion. Indeed, if ßaleson´s RuIe veie
iesliicled lo cases vheie lhe expIanalion is foinaIIy anaIogous lo lhal vhich fils lhe
C. ßaleson, ¨The RoIe of Sonalic Change in LvoIulion,¨ |tc|u|icn, 1962, 17: 5 2 9 - 3 9 .
Haiiison, cp. ci|., aIso I. H. Svell, ¨On The Iioduclion of DoulIe Linls in Anphilians,¨
]curna| cf |xpcrincn|a| Zcc|cgq, 1926, 44: 419-72.
iedupIicalion in lhe leelIes´ Iegs, lhen lhe anphilian cases vouId piolalIy nol faII
undei lhis iuliic.
The Iinilalions of a hypolhesis aie, hovevei, as inpoilanl as ils appIicalions,
and I shaII lheiefoie sunnaiize heie lhe veiy conpIex dala on oilholopic
One schenalic paiadign viII suffice: if lhe iighl anleiioi Iinl lud is excised,
luined lhiough 18O° and iepIaced in lhe vound, il viII giov lo le a |cf| Iinl. ßul lhis
piinaiy Iinl nay sulsequenlIy foin secondaiy Iinl luds al ils lase, usuaIIy eilhei
innedialeIy anleiioi oi posleiioi lo lhe poinl of inseilion. The secondaiy viII le a
niiioi inage of lhe piinaiy, and nay even Ialei deveIop a leiliaiy vhich viII
lypicaIIy le foined oulside lhe secondaiy, i.e., on lhal side of lhe secondaiy vhich is
failhesl fion lhe piinaiy.
The foinalion of lhe Iefl piinaiy on lhe iighl side of lhe lody is expIained
assuning lhal anleio-posleiioi oiienlalion is ieceived ly lhe Iinl lud eaiIiei lhan
doiso-venliaI infoinalion, and lhal, once ieceived, lhis anleio-posleiioi infoinalion
is iiieveisilIe. Il is supposed lhal lhe giafl is aIieady anleio-posleiioiIy deleinined
al lhe line of giafling lul Ialei ieceives doiso-venliaI infoinalion fion lhe lissues
vilh vhich il is nov in conlacl. The iesuIl is a Iinl vhose doiso-venliaI oiienlalion
is coiiecl foi ils nev selling lul vhose anleio-posleiioi oiienlalion is ieveised. Il is
lacilIy assuned lhal lhe pioxino-dislaI oiienlalion of lhe lud is undisluiled. The
iesuIl is a Iinl vhich is ieveised in iegaid lo cnc of ils lhiee soils of asynneliy.
Such a Iinl nusl IogicaIIy le a Iefl.
This expIanalion I accepl and pioceed lo considei lhe iedupIicalions.
These diffei in foui inpoilanl iespecls fion lhe iedupIicalions in leelIes´ Iegs
discussed alove:
(a)In lhe leelIes, lhe iedupIicalion is usuaIIy equaI. The lvo haIves of lhe
supeinuneiaiy doulIel aie equaI in size, and aie usuaIIy appioxinaleIy equaI in size
lo lhe coiiesponding pails of lhe piinaiy Ieg. Such diffeiences as do appeai anong
lhe lhiee conponenls aie such as nighl expeclalIy iesuIl fion liophic diffeiences.
ßul in lhe IaivaI nevls, gieal diffeiences in size occui lelveen lhe conponenls of lhe
iedupIicaled syslen, and il appeais lhal lhese diffeiences aie deleinined ly |inc.
The secondaiies aie snaIIei lhan lhe piinaiies lecause lhey aie pioduced Ialei and,
siniIaiIy, lhe iaie leiliaiies aie Ialei and snaIIei lhan lhe secondaiies. This spacing of
evenls in line indicales cIeaiIy lhal lhe piinaiy Iinl ieceived aII lhe infoinalion
necessaiy lo deleinine ils ovn asynneliy. Il ieceived, in-deed, ¨viong¨
infoinalion and giev lo le a Iefl Ieg on lhe iighl side of lhe lody lul il did nol suffei
fion such a deficiency of infoinalion as vouId nake il innedialeIy faiI lo achieve
asynneliy. The iedupIicalion cannol sinpIy le asciiled lo Ioss of oiienling
infoinalion in lhe piinaiy.
(l)The iedupIicalions in leelIes´ Iegs nay occui al any poinl aIong lhe Ienglh of
lhe Ieg. ßul lhose of anphilian Iaivae usuaIIy aiise fion lhe iegion of allachnenl of
lhe Iinl lo lhe lody. Il is nol even suie lhal lhe secondaiy aIvays shaies lissue vilh
lhe piinaiy.
(c)In lhe case of lhe leelIes, lhe supeinuneiaiy doulIels foin a conlinuous
seiies, leing given off fion any poilion of lhe peiipheiy of lhe piinaiy. In conliasl,
Svell, cp. ci|., aIso Haiiison, cp. ci|.
lhe iedupIicalion of Iinls in anphilian Iaivae is IocaIized eilhei anleiioi oi posleiioi
lo lhe piinaiy.
In lhe leelIes il is cIeai lhal lhe lvo supeinuneiaiy conponenls foin logelhei a
singIe unil. In nany cases lheie is acluaI conpounding of lhe lvo conponenls (as in
Iiguie 1). In no case
is lhal conponenl of lhe doulIel vhich is neaiei lo lhe piinaiy
conpounded vilh il ialhei lhan vilh lhe olhei supeinuneiaiy. In lhe anphilian
piepaialions, on lhe olhei hand, il is nol cIeai lhal secondaiy and leiliaiy foin a
sulunil. The ieIalion lelveen leiliaiy and secondaiy seens no cIosei lhan lelveen
secondaiy and piinaiy. Alove aII, lhe ieIalion is asynneliic in lhe line dinension.
These piofound foinaI diffeiences lelveen lhe lvo lodies of dala indicale lhal
lhe expIanalions foi lhe anphilian dala nusl le of a diffeienl oidei. Il vouId seen
lhal lhe piocesses aie Iocaled nol in lhe shafl of lhe Iinl lul in ils lase and lhe
lissues suiiounding lhe lase. TenlaliveIy ve nay guess lhal lhe piinaiy in sone
vay pioposes lhe Ialei foinalion of a secondaiy ly a ieveisaI of giadienl
infoinalion, and lhal lhe secondaiy siniIaiIy pioposes a ieveised leiliaiy. ModeIs
foi such syslens aie avaiIalIe in cyleinelic lheoiy in lhose ciicuil sliucluies vhich
piopose RusseIIian paiadoxes.
To allenpl lo consliucl any such nodeI al lhe
piesenl line vouId le pienaluie.
5.4.5 5ummary
This essay on lhe synneliy of iedupIicaled IaleiaI appendages slails fion an
expIanaloiy piincipIe, viz., lhal any slep of onlogenelic diffeienlialion vhich ieduces
lhe synneliy of an oigan (e.g., fion iadiaI lo liIaleiaI synneliy, oi fion liIaleiaI
synneliy lo asynneliy) iequiies addilionaI oiienling infoinalion. Iion lhis
piincipIe il is aigued lhal a noinaIIy asynneliicaI IaleiaI appendage, |ac|ing sone
necessaiy piece of oiienling infoinalion, viII onIy le alIe lo achieve liIaleiaI
synneliy, i.e., inslead of a noinaI asynneliicaI appendage, lhe iesuIl viII le a
liIaleiaIIy synneliicaI doulIel.
To exanine lhis expIanaloiy piincipIe, lhe viilei has al-lenpled lo consliucl a
hypolhesis lo expIain ßaleson´s RuIe as lhis ieguIaiily is exenpIified in lhe iaie
supeinuneiaiy doulIe Iegs of CoIeopleia. In lhe consliuclion of lhis hypolhesis, il
vas assuned lhal noiphogenelic oiienling infoinalion nay undeigo liansfoinalion
fion one lype of coding lo anolhei, and lhal each liansfoin oi code is suljecl lo
chaiacleiislic Iinilalions:
(a) The infoinalion nay le enlodied in gradicn|s (peihaps liochenicaI). In lhis
coding, lhe infoinalion can le diffused fion neighloiing lissues and piovide lhe
fiisl deleininanls of asynneliy in lhe deveIoping appendage. Il is suggesled lhal
infoinalion coded in lhis vay is onIy liiefIy avaiIalIe, and lhal once lhe asynneliy
of lhe Iinl is eslalIished, lhe infoinalion conlinues lo exisl, lul lians-foined inlo
(o) Il is suggesled lhal infoinalion coded as noiphoIogicaI diffeience is
essenliaIIy slalic. Il cannol le diffused lo neighloiing lissues and il cannol inhilil
ßaleson (Ma|cria|s ., op. cil., p. 5O7) desciiles and figuies one doullfuI exceplion lo lhis
slalenenl. This is a iedupIicalion in lhe Iefl hind laisus of pIalyceius caialoides.
C. ßaleson, ¨MininaI Requiienenls foi a Theoiy of Schizophienia,¨ A.M.A. Arcnitcs cf
Gcncra| Psqcnia|rq, 196O, 2. 477-91.
lianching. Il can, hovevei, le used ly a lianch vhich al ils inceplion shaies lissue
vilh lhe piinaiy Iinl fion vhich il lianches off. In lhis case, lhe infoinalion passed
on ly lhe nelhod of shaied peiipheiy viII le necessaiiIy inveiled: if lhe piinaiy le a
iighl, lhe lianch viII le a Iefl.
(c) The infoinalion in noiphoIogicaI foin leing (ly hypolhesis) unalIe lo
inhilil lianching, lhe asynneliy of a gioving piinaiy nusl le pieseived ly a
cenlio-peiipheiaI giadienl~nol ilseIf a deleininanl of lhal asynneliy.
(d) Il is suggesled lhal lhe |css of such a cenlio-peiipheiaI giadienl nighl have
lvo effecls: lhal of peinilling lianching and lhal of depiiving lhe iesuIling lianch of
one dinension of necessaiy oiienling infoinalion, so lhal lhe lianch can onIy le a
liIaleiaIIy synneliicaI unil vilh a pIane of synneliy al iighl angIes lo lhe Iosl
cenliopeiipheiaI giadienl.
The dala on iedupIicalion in lhe expeiinenlaIIy lians-pIanled Iinl luds of
anphilia aie aIso exanined. Il is aigued lhal lhese dala aie nol lo le expIained ly
sinpIe Ioss of oiienling infoinalion. SinpIe Ioss, il is suggesled, viII expeclalIy
iesuIl in equaI and synchionous liIaleiaI synneliy. The anphilian iedupIicales aie,
in geneiaI, unequaI and successive. In a fev cases, synchionous and equaI ie-
dupIicalion occuis in lhe anphilian expeiinenls, especiaIIy in heleiolopic inpIanls.
Such cases couId peihaps le iegaided as due lo sinpIe Ioss of oiienling infoinalion.
5.4.6 PnstscrIpt, 1971
Conpaie lhe liIaleiaI synneliy in lhe supeinuneiaiy doulIel of lhe leelIe´s Ieg
vilh lhe liIaleiaI synneliy in lhe sveel pea oi oichid fIovei. ßolh in lhe pIanl and
in lhe aninaI, lhe liIaleiaIIy synneliicaI unil cones off fion a poinl of lianching.
In lhe pIanl, lhe noiphoIogy of lhe foik prctidcs infoinalion enalIing lhe fIovei
lo le nol iadiaIIy lul liIaleiaIIy synneliicaI, i.e., infoinalion vhich viII diffeienliale
lhe ¨doisaI¨ slandaid fion lhe venliaI Iip of lhe fIovei.
In lhe doulIel on lhe leelIe´s Ieg, lhe pIane of liIaleiaI synneliy is oilhogonaI lo
lhal in lhe fIovei.
We nighl say lhal lhe infoinalion vhich lhe leelIe´s Ieg has Iosl is pieciseIy lhal
infoinalion vhich lhe pIanl cieales ly lhe acl of lianching.
5.5 Comment on Part lV
The papeis pIaced logelhei in lhis pail aie diveise in lhal vhiIe each papei is a
lianch fion lhe nain slen of lhe aigunenl of lhe look, lhese lianches cone off
fion veiy diffeienl Iocalions. ¨The RoIe of Sonalic Change in LvoIulion
is an
expansion of lhe lhoughl lehind ¨MininaI Requiienenls foi a Theoiy of
vhiIe ¨IiolIens in Celacean and Olhei MannaIian
is an appIicalion of ¨The LogicaI Calegoiies of Leaining and
lo a pailicuIai lype of aninaI.
A Re-exaninalion of ßaleson
s RuIe
nay seen lo lieak nev giound, lul is
ieIaled lo lhe ienaindei of lhe look in lhal il ex-lends lhe nolion of infoinalionaI
conlioI lo incIude lhe fieId of noiphogenesis and, ly discussing vhal happens in
aoscncc of needed infoinalion, liings oul lhe inpoilance of lhe conlexl in|c vhich
infoinalion is ieceived.
SanueI ßulIei, vilh uncanny insighl, once connenled upon lhe anaIogy
lelveen dieans and pailhenogenesis. We nay say lhal lhe nonslious doulIe Iegs of
lhe leelIes shaie in lhis anaIogy: lhey aie lhe piojeclion of lhe ieceplive conlexl
depiived of infoinalion vhich shouId have cone fion an exleinaI souice.
Message naleiiaI, oi infoinalion, cones oul of a conlexl inlo a conlexl, and in
olhei pails of lhe look lhe focus has leen on lhe conlexl cu| of vhich infoinalion
cane. Heie lhe focus is ialhei upon lhe inleinaI slale of lhe oiganisn as a conlexl in|c
vhich lhe infoinalion nusl le ieceived.
Of couise, neilhei focus is sufficienl ly ilseIf foi oui undei-slanding of eilhei
aninaIs oi nen. ßul il is peihaps nol an accidenl lhal in lhese papeis deaIing vilh
non-hunan oiganisns lhe ¨conlexl
vhich is discussed is lhe olveise oi conpIenenl
of lhe ¨conlexl¨ upon vhich I have focussed allenlion in olhei pails of lhe look.
Considei lhe case of lhe unfeiliIized fiog´s egg foi vhich lhe enliy poinl of lhe
speinalozoon defines lhe pIane of liIaleiaI synneliy of lhe fuluie enliyo.
The piick of a haii fion a caneI´s haii liush can le sulsliluled and sliII caiiy lhe
sane nessage. Iion lhis il seens lhal lhe exleinaI conlexl oul of vhich lhe nessage
cones is ieIaliveIy undefined. Iion lhe enliy poinl aIone, lhe egg Ieains lul IillIe
aloul lhe exleinaI voiId. ßul lhe inleinaI conlexl inlo vhich lhe nessage cones nusl
le exceedingIy conpIex.
The unfeiliIized egg, lhen, enlodies an innancn| qucs|icn lo vhich lhe enliy
poinl of speinalozoon piovides an ansvei, and lhis vay of slaling lhe nallei is lhe
conliaiy oi olveise of lhe convenlionaI viev, vhich vouId see lhe exleinaI conlexl of
Ieaining as a ¨queslion¨ lo vhich lhe ¨iighl¨ lehavioi of lhe oiganisn is an ansvei.
We can even legin lo Iisl sone of lhe conponenls of lhe innanenl queslion.
Iiisl lheie aie lhe aIieady exisling poIes of lhe egg and, necessaiiIy, sone
poIaiizalion of lhe inleivening piolopIasn lovaids lhese poIes. Wilhoul sone such
sliucluiaI condilions foi lhe ieceipl of lhe piick of lhe speinalozoon, lhis nessage
couId have no neaning. The nessage nusl cone inlo an appiopiiale s|ruc|urc.
ßul sliucluie aIone is nol enough. Il seens piolalIe lhal any neiidian of lhe
fiog´s egg can polenliaIIy lecone lhe pIane of liIaleiaI synneliy and lhal, in lhis, aII
neiidians aie aIike. Il foIIovs lhal lheie is, lo lhis exlenl, no sliucluiaI diffeience
lelveen lhen. ßul eveiy neiidian nusl le rcadq foi lhe aclivaling nessage, ils
¨ieadiness¨ leing given diieclion lul olheivise uniesliicled ly sliucluie. Readiness,
in facl, is pieciseIy nc|-s|ruc|urc. If and vhen lhe speinalozoon deIiveis ils nessage,
nev sliucluie is geneialed.
In leins of lhe econonics of fIexiliIily, discussed in ¨The RoIe of Sonalic
Change in LvoIulion¨ and Ialei in ¨LcoIogy and IIexiliIily in Uilan CiviIizalion¨
(Iail VI), lhis ¨ieadiness¨ is unccnni||cd pc|cn|ia|i|q fcr cnangc, and ve nole heie lhal
lhis unconnilled polenliaIily is nol onIy aIvays finile in quanlily lul nusl le
appiopiialeIy Iocaled in a sliucluiaI naliix, vhich aIso nusl le quanlilaliveIy finile
al any given line.
These consideialions Iead naluiaIIy inlo Iail V, vhich I have lilIed
¨LpislenoIogy and LcoIogy.¨ Ieihaps ¨epislenoIogy¨ is onIy anolhei void foi lhe
sludy of lhe ecoIogy of nind.
6 Part V: EpIstcmn!ngy and
6.1 Cµbernetlc Exµ|anatlon
Il nay le usefuI lo desciile sone of lhe pecuIiaiilies of cyleinelic expIanalion.
CausaI expIanalion is usuaIIy posilive. We say lhal liIIiaid laII ß noved in such
and such a diieclion lecause liIIiaid laII A hil il al such and such an angIe. In
conliasl lo lhis, cyleinelic expIanalion is aIvays negalive. We considei vhal
aIleinalive possiliIilies couId conceivalIy have occuiied and lhen ask vhy nany of
lhe aIleinalives veie nol foIIoved, so lhal lhe pailicuIai evenl vas one of lhose fev
vhich couId, in facl, occui. The cIassicaI exanpIe of lhis lype of expIanalion is lhe
lheoiy of evoIulion undei naluiaI seIeclion. Ac-coiding lo lhis lheoiy, lhose
oiganisns vhich veie nol lolh physioIogicaIIy and enviionnenlaIIy vialIe couId
nol possilIy have Iived lo iepioduce. Theiefoie, evoIulion aIvays foIIoved lhe
palhvays of vialiIily. As Levis CaiioII has poinled oul, lhe lheoiy expIains quile
salisfacloiiIy vhy lheie aie no liead-and-lullei-fIies loday.
In cyleinelic Ianguage, lhe couise of evenls is said lo le suljecl lo rcs|rain|s, and
il is assuned lhal, apail fion such iesliainls, lhe palhvays of change vouId le
goveined onIy ly equaIily of piolaliIily. In facl, lhe ¨iesliainls¨ upon vhich
cyleinelic expIanalion depends can in aII cases le iegaided as faclois vhich
deleinine inequaIily of piolaliIily. If ve find a nonkey sliiking a lypeviilei
appaienlIy al iandon lul in facl viiling neaningfuI piose, ve shaII Iook foi
iesliainls, eilhei inside lhe nonkey oi inside lhe lypeviilei. Ieihaps lhe nonkey
couId nol sliike inappiopiiale Ielleis, peihaps lhe lype lais couId nol nove if
inpiopeiIy sliuck, peihaps incoiiecl Ielleis couId nol suivive on lhe papei.
Sonevheie lheie nusl have leen a ciicuil vhich couId idenlify eiioi and eIininale
IdeaIIy~and connonIy~lhe acluaI evenl in any sequence oi aggiegale is
uniqueIy deleinined vilhin lhe leins of lhe cyleinelic expIanalion. Resliainls of
nany diffeienl kinds nay conline lo geneiale lhis unique deleininalion. Ioi
exanpIe, lhe seIeclion of a piece foi a given posilion in a jigsav puzzIe is
¨iesliained¨ ly nany faclois. Ils shape nusl confoin lo lhal of ils seveiaI neighlois
and possilIy lhal of lhe loundaiy of lhe puzzIe, ils coIoi nusl confoin lo lhe coIoi
pallein of ils iegion, lhe oiienlalion of ils edges nusl oley lhe lopoIogicaI
ieguIaiilies sel ly lhe culling nachine in vhich lhe puzzIe vas nade, and so cn.
Iion lhe poinl of viev of lhe nan vho is liying lo soIve lhe puzzI