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AUTHOR Handy, olio; Harwood, E.C. TITLE A Current Appraisal of the Behavioral Sc nces, Revised Edition. PUB DATE 73 NOTE 157p.; For a related document, see SO 009 390 AVAILABLB FROM Behavioral Research Council, Great Barrington, Massachusetts 01230($12.50 cloth-bound, 10 or $5.00 each)

5 PRICE MP-$0.83 NC-$8.89 Plus Postage. CRIPTORS Anthropology; *Behavioral Sciences; Bibliographies; Cybernetics; Economics; Game Theory; BistorY; Information Theory; *Intellectual Discipanes; Linguistics; Periodicals; Political Science; *Problem Solving; Psychology; Scientific Methodology; *Social ScienCes; Sociology IDENTIFIERS *Inquiry Methods; Scientific inquiry

ABSTRACT This book discusse. _modern scientific inquiry and examines the pr cedures of inquiry into human behavior used in the behavioral science disciplines. Psychologists look at the individual's adjastive procedures and the evolution of:those adjustments within a species. Anthropologists inquire into the behavioral similarities and differences of human culturaa groupings, from earliest man to the present. Sociologists investigate the behavior of people in groups and organizations, including the patterns, regularities, variations, and developmental changes in human relations, customs, and institutions. Political scientists study the behavior of human Individuals and groups, withan emphasis on tte distribution and attainment of political influence and power wad on the functione organization, and connections among the political units, institutions, laws, and customs. Other disciplines examined in the book are economics, history, jurisprudence, linguistics, game and decision theory, information theory and cybernetics, and general systems theory.:The book devotesa chapter to each field. In addition to the discussion, a selected bibliography and a listing of germane journals are provided for each discipline. (Author/R.1)

Documents acquired by ERIC include many informal unpublished * materials not available from other sources. ERIC makes every effort * * to ottain the best copy available. Nevertheless, items of marginal * * reproducibility are often encountered and this affects the quality * * of the microfiche and hardcopy reproductions BRIC makes available * via the ERIC Document Reproduction Service (EDRS). EBBS is not * responsible for the quality of the original document. Reproductions * * supplied by EDRS are the best that can be made from the original. ***********************************************************************

A CURRENT APPRAI AL of the BehavoraiSciences

Revis Edi;ioz by

ROLLO HANDY and E. C. HARWOOD

First Ed

ROLLO HANDY and PAUL KURTZ

I3EHAVIORAE RESEARCH COUNCIL Great Barrinioi,lasbathilsetts Copyright 1973, by Behavioral Research Council, Gi-cat Barrington, Mass. 01230

Library of Congress Catalog Card No. 73-79255 motional Standard Book Number 0-913610-01-1

Manufactured in the United States ofmerica PREFACE

rfIIE BehavioralResearchCouncilisaprivate the various sections. In the preparation of the revised nonprofitresearaandeducationalinstitution edition, additional consultants criticized the chapters as designed to promote and to carry on research into they appeared in the first edition. the problems of men in society. Its aim is to suprIt.ment rather than duplicate the work of existing agencies. The followingindividualsservedas consultantsfor either the first or the revised editior,: C. Lester Anderson, A canvassof currentagencies shovedthat such l'ehoshua Bar-Hillel, J. L2onard Bates, Samuel H. Beer, supplementing seems most needed on !cog-term and Frederick K.Beutel, Robert Bientedt, Hadley Cantril, large-scale social research that requires and would develop JohnB. Carroll,Joseph B. Casagrande,Alphonse the most useful interdiscipliniwy methods and the most Chapanis, F. Stuart Chapin, C. West Churchman, jere W. talented researchers todirect such inquiry. The BRC Clark, Henry V. Cobb, William K. Estes, Robert E. L. therefore seeks to supplement the present agencies: (I) Faris, Ralph W. Gerard, John P. Galin, Bertram Gross, through gathoing funds arid resources on a massive scale GeorgeC. Hornansrohn Kirk, Samuel Krislov, Bert eventually, however modest atthe start; (2) through James Loewenberg, David G. Mandclbaum, Robert thorough research training of talented youth who would Meade, Delbert C. Mille:, Richard K. Morris, George P. he well_ supported for midi complex inquiry; (3) through Murdock, GeorgeII.Nadel, Martin Ncurneyer, Henry far-reacting research projects commensurate with man's Ladd Smith, Walter E. Spahr, George A. Theodorson, wajorproblems,carriedthroughtopublicationof Richard T. Vann, and John E. W einrich. scientifically warranted information on the probable costs aid consequences of alternative courses of action. 'Ole The Council is grateful for the work of the consultants ery remoteness of these goals makes it the more urgent and acknowledges its indebtedne.to them. However, the that sorne supplementing agency begin work along these consultants are not responsible for the final wording of lines prorriptly- the reports and should not be under-stood as necessarily agreeing with the views expressed in them. The authors of de first edition of .4 Current Appraisal of theBehavioralSciencesundertooktheex tensive BEHAVIORAL RESEARCH COUNCIL investigations and writing involved. Their first drafts were subsequentlyreviewedindetailbytheBehavioral ResearchCouncilAfterthemanuscriptwasthus Alfred de Grazia processedthe various sections of it were scnt to leading Stuart C. Dodd scientists in all fields covered. These individuals, who are Rollo Handy listed separately as consultants, were given research grants E. C. Harwood to cover their time-consuming work involved ;11 reviewing 7aul W. Kurtz

iii t TENTS

IN RODUCTION: MODERN SCIENTIFIC INQUIRY .. . vii

Ch. I PROCEDURES OF INQUIRY INTO HUMAN BEHAVIOR...

Ch.2 PSYCHOLOGY ...... 15

Ch. .3 ANTHROPULOGY

Ch.4 SOCIOLOGY 37

Ch.5 i'OLtTiCeL SCIENCE...... Ch. 6 ECONOMICS ...... 8

Ch. 7 HISTORY 71

Ch. 8 JURISPRUDENCE 79 Ch. 9 LINGUISTICS...... 87 NOTE ON THE NEWEF,. FIELDS.... Ch. 10 GAME AND DECISION THEORY ...... , ... , 97 Ch. 11 INFORMATION THEORY AND CYBERNETICS . ....106

Ch. 12 GENERAL SYSTEMS THEORY 116

CONCLUSION ...... 123

APPENDIX: TRIAL NA ES 127

INDEX .137 INT DCT 10 N

MODERN SCIENTIFIC INQUIRY

Y the mid-Twenticth Century the inquiries of inquiry satisfactory to them have yielded ultimate truth. ntoproblemsituationshadachievedemit] The rroeedures of inquiry suggested herein are radicariy succem to encourage hope for rapid progress. different and apparently are the only ones that provid.: new xelopmentsareperhapsthemostimportant for continuing devdopment including revision aS may be "breakthrough" ia the long history of man's evoiutionary advisi;!ilefor themselves as methods as well aS fur the progression. When the significantfeatures are generally findings of Inquiry. understood and applied, inquirers into the problems 01 men in society may become as .-uccesdul in developing Traditional Inquiry warranted assertionsaSthe phys:eal ncientists and the The record of man's inquiries into problem situations physiological scientists have by n M recent centuries. extends back only a few thousand yinra. Of course, such A highly important aspect of the new developments in inquiries had i:cen eveloring for uncounted centmies inquiry'isreorientation to a different goal. Apparently, since the beginning of man s existence; bnt the details of fromdiebeginning of men'sinquiriesinto problem earlier inquiries we can only infer rrom the Lilt:facts liat situations, the accepted objective was TRU Eli or absolute have been discovered. By the time: written records were certainty. By the time written records were kept, that eunsistaittykept in aformavailableforfuture goal was unquestioned. Moreover, the quest for certainty generations, the early Creek philosophers had devel,tiped was the accepted goal even of the relatively modern their ideas L...s to the proper objective of inquhy. scientists during recent centuries. The different goal now To those catty philosophers, the situation seen-id clear. accepted by those who have pioneeredinthelatest Thenaturalthingstheyencounteredwerealways advancesininquiryissimplya description of what changing,stnuctirnesdowly,sometimesrapidly.Ob- happens ionler specifnni circumstances. viously, the early philosophers coneluded, knowledge of is Ascertaining what happens part of the scientific what alwaysisin the process of becoming something inquirer's job, hut his task is not completed until he has different cannot he eternal, absolute, aid certain. Real rovided a scientifically useful dtscription of his findM knowledge, theyassumed, must he aboutBeing,an Scientifically useful" dnnignates a description that can imagined realm, eternal and unchanging, that men can used by othersaswellas the inquirer concerned for seek to know with absolute certainty. rechecking the inquiry, orfor further inquiry, or for In short, the early Greek philosophers accepted as the modifying either extern& evnnts or Mtcmal adjustive proper objective of serious inquiry what Dewey 30mtle tw o behavior. thousandyearslaterreferredtoasthe'questfor The objective of scientific inquiry here suggested does eertainty." That certainty was attainable, that absolute not include achievement of "knowledge" in any absolute TRUTH could be found, seemed to be assured by the then orfinal inquiry form. The repons of scientific are new development of mathematics withitsapparently invariably provisional, always subject to revisionif and errorIrecmodes of proeeeding fro'mthe supposedly when better means of observation and mcasioement or known to the formerly unknown. What followed has been otheriniprovernentsin proceduresof inquirymake well described by Dr. Joseph Ratner* possible more useful descrip&ms of what happens under specified circumstances. 'Now the Greek theory of eternal and immutable A second important characteristic of the suggested Being and its antiphonal spectator theory of mind entered procedures of inquiry istlt they are self-corrective; that intothe bloodstream of modern thoned atits very is, included among them are the procedures for correcting inception. They onered not only by way of philosophy them.Men haveusedvariousmethods ofinquiry andreligion,inwhichfieldstheyhad luxuriantly including those of common sense, of revealed religion, of flourished under the fervid care of medieval logicians and secular revelations,of seeking the aid of spooks and theologians; more importanthi, they entered by way of fairies, of consulting the oracles, of Aristotelian logic, of sciencemore importantly becausetotallyunsuspected the philosophers' quest for certainty, and of Newtonian and unacknowledged there. mechanics, to name a few. By one or more of these or * * * other means men have claimed to find certainty, and have "The founders of modern science made a great show earnestly offered verbiage tu einbalm their findings in a of being pure and uncontaminated philosophically. With copper-riveted.indestructible,andforeverestablished one accord they attacked philosophy which meant, for form, never torequire amendment, updating, or recon- them,niedievalizedAristotelianlogic anditsstain sideration. progeny.... Intheirmarchagainstthepowers Some men have been so sure that the methods of darkness they were guided by the lamp of Euclid which inquirysatisfactorytothemhadyieldedabsolute certainty that they have tied km tics among their fellow 5introduebon to John Dewey's Philosophy," in Joseph Ratner, ed.., Intelligence in tile Modern World, New York, Modern Libra men to stakes and burned them; and, although these ae 1939. Haloes introd, Olen is reprinted in Rollo Handy and E. glaring examples, they may wellbe among theless Harwood,UsefulProcedures of Inquiry,GreatHarlington, harmful actions, all things considered, that men have, done Behavioral Research Council, 1973; the quotations are from pages while laboring under the delusion that the methods of 20, 29, 33, 40, 41, 42, and 71 of that plinting. vii viii INTRODUCTION theyheldaloft.But,alas,Euclid's mathematics :Ind "The Greek doctrine thatscientific knowledge is Aristotle's logic both involvethe sant(' basic preslipposi- knowledge of eternal and imnintable Reality consistently tions; they both rest on thesame fundamental voneep- functioned to make it inconceivable for the Greeks that the lions of knowledge,nature,and mind: they are both worldof change couldhescientificallystudied and results of the Sallietype ofmetaphysicaliii iii king and known. Theywroteouttheir own prescriptionfor scien ti rub method. seience, and their scientific activities were conducted * * aecordance with the dirwtions they themselves prescribed. -Thefather;of modern science,inadditionto Ccinscquently,thoughtheirscienceWasrestrictedin reclaiming mathenuttics and gaining unrestricted rights to fundamental character, and by our standards was hardly observe nature...also introduced,it M true, a new and scienceatall,itheydidnot getinto the niuddle of non-Greek method of experimentation. This methodolog- contradictions,confusionsandabsurditieswhichhas ical novelty was destined to become all-important in the mired modern thought. progress of scientific knowledge and the development of "Modernscientists,however,beganbytak ing scientific ideas but, at the time of its introduction, it had preciselytheworldof changeastheirsubjectfor only asupplementaryintellectualvalue.... Fvenin scientific study, and to help them on their way, they Newton's work, the most sel f-conscionsly 'ex pe rimenta introduced the method of experimentation whieh is no of all, the supreme right-of-way was given to mathematics less and no other thana method whereby the natural and not to experimental findiwis whneever the two caem changes g-,i.nngon can hefurther increased and compli- in conflict and blocked each otrier's path. In other words, catedin manifold ways by changes deliberately made. the supreme right-of-way in the foundations of modern From the Greek point of view (andinthis case, nal sience was given to Greek ideas of method and science. excepting anyGreek),thisis confounding confusion, * * * * science gone insane.Butas events have fully demon- What isthecommon,ultimatedestination of strated,itissciencereallycometoitssenses, and modern science and philosophy? ...to say itis the eternal intelligence come into its own. and immutable Reality leads us straight home, into the * * * * theoretical heart of modern science and philosophyand "'The work of Galileo was not a development, but a hack to the bosom of the Greeks. revolution.'" Likeall revolutionsit started something "The first success of science in its quest for certainty which led to further developments. llrie itis true to was wonderfully great, so wonderful that nearly three say, as does Russell, that Galileo's few tads sufficed to hundred years elapsed before science matured sufficiently destroythe wholevastF'ISterilof Aristotelian knowl- to have serious doubts of its own as to whether or not it edge... thenewmethodofscientificinquiryhas had exclusivelyand permanentlycaptured eternal and succeededinfinallydestroying Aristotelianisminthe immutable Realityfirst crack out of the box. It must, technicalfields of the most important natural sciences; however, be said anmediately on behalf of most scientists butAristotdianism(includingthePlatonismitboth today that they have not allowed themselves to become supports and is supported by)is very much alive and too discouraged by these doubts. Recent revelations have kicking in our current culture generally and in our social setthembacksomewhatandshakentheirearly 'sciences,' philosophies and logics in particular. confidence, but most of them still hope to succeed in "Why is it that in the technical fields of science, the finally and exclusively cornering Reality in the nex t try, revolution in method initiated by Galileo has already been or inthe tryafter that, and they steadfastly aim that substantially completed, hos, in our time, carried throu way. its last fundamental reform, whereas in other fields.-.tIe "...Science discovered the eternal and immutable revolution is just about now seriously getting under way? Realityinmaterial masses and motion and the laws The easy answer isto invoke a distinction between governing masses in motion. It was not, of course, just 'natural' sciences and 'social' sciences. . The 'distinction' thefactthatthey were material masses and physical simplyrepeats,asanexplanation,thefacttobe motion that assured scientists they had found what they explained.Itis the 'logic of explanation' of ancient and were looking for. It was the eternal, indestructible nature medieval vintage working over their time: opium puts to of the constituent particles of the masses, and the eternal, sleep because of its dorrnative power; unchangeable nature of the laws of motion that proved to "The backwardness of philosophy,logic and all them,withtheinerrantsimplicityandunshakable social inquiries does not explain the forwardness of the certainty of mathematics, that their conviction of success natural sciences. It simply exposes and emphasizes the was true and not the fanciful product of their dream. need for an explanation.... "Now philosophers, like common men, have eyes * * * a_nd the eyes see colorsbut colors, said the new science, "When a 'distinction' in subject-matter between the are not ultimately real; philosophers have cars and ears 'natural' (physical) and 'social' (mental) is used as ground hear soundsbut sounds, said the new science, ale not ul- forexplainingthedifferencesbetweenthe'natural' timatelyreal; philosophers have noses and noses smell ( hysical) and 'social' (mental) sciences, the 'distinction,' smellsbut smells, said the new science, are not ultimately it does not start out as a variant term for `separation,' real; philosophers have hands and hands feel surfaces, tem- forcedto growinto anassertion of an abysmal peratures, and textures, rough and anooth, hot and cold, separationinorder to maintainitself. And when the wet and dry, soft and hardbut soft and hot, wet and dry, cold and smooth and rough, said the new science, are not tEinsteinandWhiteheadforinstance,agreewithDewey ultimatelyreal; .... The only genuinely, ultimately real (independently, ofcourse)that Greeksciencewas hardly science as we understanditnow. Einstein (asfar asIknow) is more things are the atoms and their qualities of shape, size, hard- sweepingthanWhitehead, who at least excepts Aristotle (the ness, motion, number, mass, inertia.* biologist) and Archimedes and an unnuned number of astrono- mersfrom his statementthatthe work of the Greeks 'was excellent; ii was genius_ ..Butit W38 notscience a c we understand *The list o rimary' or ultimately real qualities varies from scientist it:(Science and the Modern World, p. 10). to scientist. e list above is a Galilean-Newtonian mixture. **John Dewey, TheQuest for Certainty, p. 94.

8 INTRODUCTION

so-called natural sciences are separated from thc social, objective?Progressininquiryperhaps isimaginable are taken out of their context ill human history, and out without a goal in view, hut in the absence of an objective of relationto human activity,then an adequate and how would one know whether or not progress had been satisfactory explanation of the natural sciences themselves achieved, and how would one know when a particular becomes impossible. research task had been completed? * A. suggestionisthat the objective or goal of scientific "That corrections,to beierrlifie (or what is the inquiry is a desenption of whathappens under specified same thing, to be worthy of intelligent acceptance), must circumstances. Ascertainingwhat happens is part of the be made by methods developedbyinquiry, andin scientific inquirer's job, but histaskis not completed response to needs of lest growing out of inquiry, is also until he has provided a scientifically useful description of best seen when science is placed in the social context and hisfindings. "Scientifically useful"as hereapplied isa when contrasted,forinstance,withthe 'method of name or short-hand designation for a description that can cometing' scienceinitiat!d and enforced by politkal he used by others as well as the inquirer concerned for demands!". 'Nazi science' toil something new; itisthe rechecking the inquiry, or as a basis for further inquiry, revivalof somethingalas,veryold. Itisasoldas or asa meansof modifying either external events or religion, ...TheChurchalsocoercedscientistsinto interaal adjustive behavior, or for any combination of keeping quiet, and sometimes even succeeded in getting such purposes. them to reeant, witness, for exampk, the case of Galileo The objective of scientific inquiry here suggested does But no scientist (or any person of intelligence) accepts not include achievement of "knowledge" in any absolute Galiieo's recantation LIS Seien en. That's the difference. or final form, does not purport to establish "eerminty," * * * and does not offer its findings as unalterable indestruct- long as man was unable by means of the arts ible Truth (whatever that may he). The goal is assertions ofpraitT to direct the course of events,it was natural warranted by the procedura; of inquiry but not alleged to tor him to seek an emotional substitute; in the almenee of be fixedand immutable.The reports of scientific inquiry actualcertaintyinthemidstofaprecariousand arc invariably provisional, always subject to revisiooif and hazardous world, men cultivatedall sorts of things that when better means of observation and measurement or would givethemthe feeling of certainty. And itis otherimprovementsinprocedures ofinquirymake possible that, when not carried to an illusory point, the possible more useful descriptions of what happens under cultivationofthe feelinggavemancourageand specified circurns tan ces. cxmiidence and enaoled him to carry the burdens of life more successfully. But one could hardly seriously contend Useful Procedures that this fact, if it be such, is one upon which to found a reasoned philosophy.'t We begin our description of usefulprocedures of "Philosophic reasonings, like all reasonings, generate inquiry by noting the vast universe of the world, sun, fedings of certainty. And no individual philosopher can stars, and all that wecan see, smell,taste, hear, and feel. orer escape from having these feelings engendered in him. We wish to discuss the sum trad of such things without A philosopherisatleastas human asascientist and repeatedly having to describe them indetail. For that usually he is more so. . purpose we need a short name, and we select "cosmos." * * * This name is applied to the universe as a whok system For the purposes of this summary, cuiougii has been includaig the speaking-naming thing who uses the name. said about the "quest for certainty." That "truth" or Next we differentiate (ur note differences) among the "reality" or "ultimate certainty" stillis the objeetive of vast number of things inthe cosmos and select for muchpurportedlyscientificinquiry is clear.Even naming the living things; for these we choose the name Einstein,muchofwhoselifeworkconsistedof "organism." Note that selecting for naming does not dethroning Newton's ultimate and irrefutable "certain- imply detaching the physicalthing from the cosmos. ties," in the later years of his life devoted much time and Everythingnamedremainsapartof cosmoswith effort to finding an ultimat,1 "truth" more "real" and innumerable relations to other parts. "certain" then anything he had discovered. ApparentlY, Among the organisms, we further differentiate and his emotional attachment to the long-accepted goal of selectfor naming ourselves,ourancestors,and our inquiry had strengthened habits of thinking not readily progeny; these we name "man." changed, Vie thenobservethetransactions of man with the remainder of cosmos and note the transactions named The Objective of Scientific Inquiry "eating," "breathing," etc. Among the numerous transac- tions, we differentiate further arid select for naming those Now if an inquirer into problem situations is to discard transactions typical of man but rarely characteristic of the quest for certainty what is be to substitute for that other organisms. *Heisenberg. ina lecture delivered in1934 in Berlin, said that iMicheLson'sexperiments andEinstein'stheoryofrelaiivity Sign Process 'belongedtothe absolutely certim bases of physics,' A Dr Rosskothen (a high school teacher) heard the lecture and wrote in Human behavior involves some transactions wherein complaint to Reich Director Dr. Alfred Rosenberg, ComtMssioner appointed by the Fiihrer to supervise the Philosophical Instruction something is regarded as standing for or referring to of the National Socialist (Nazi) Movement: 'should sneh a man something else. This process we name "sign behavior," or [Ileenbergl occupy a chairata German university? In my simply "sign." Note that "sign" is not the name of the opinion, he should be given the opportunity to make a thorough thingthatis regarded as standing for something else; stud, of the theones of the Jews of the Einstein and Michelson "sign" is the name of the transaction as a whole (i.e. the type, andnodoulata concentrationc&ropwouldbe an appropriate spot Also a charge of treason against people and rare short narne for "sign process"). -501 or sign proces.s isthe would not be out of place.'.... type of organism-environmental transaction that distin- tDewcy,The Quent for Certainty,p. 33: italics in original. guishes a behavioral from a physiologicalprocess, from a iNTRODUCTION transaction such as iating. digesting, microscope., and other instruments at present provide. Sign process has evolved through the [lowing Various subject ;natters of inquiry may be classified still-existing stages: into groups froin time to time in accordance with the . The signaling or perceptive-rnanipnlatior1ago of varioustechniques of inquirythat may bc applicable. sign in transactions mull as beckoning, whistling, etc. Majorclassificationsnowwidelyrecognized arethe h. The naming stage used generally in speaking and physical, the physiological, and the behavioral. None of these fields of inquiry is subject to the domination of one c. Thu svmholing stage as used in mathematics. over another, yet in each an inquirer may make use of some regions remainLi,be explored and characterized findings in another, and all remain :it the general system of tentative!) named). cosmos becoming known by means of man's knowing be- Fin-using onr attention iinw on the naming stage of havior. sigiiprocess, we clunise nameit"designating." Within much of the realm of knowing behavior wherever Designating always is behavior, an organism-environmental sign process is involved, knowing is naming. Naming is ap- transactiontypical primarily of manincosmos. Desig- plication of verbal or other signs to things differentiated in nating inelndes: msmos. Things are differentiated by observing, hearing, 'the earliest stage of desiguating or naming in touching, or otlwrwise noticing that this differs from that the evolutionary scale, which we shall name cueing." in sonic aspect or phase. Differences arc ascertained by Curing, as primitivnaming, is so dose to the situation of comparison, one thing with another, one aspect with its origin that at times it is not readily differentiated from another, etc. signaling. Face-to-face perceptive situations are character- Durationally and cx tensionally observable events are suf- istic of cueing.It may include cry, expletive, or other ficient for inquiry. Nothing more real than the observable is single-wurd sentenees; and in fully developed lanpage ii established by using the word "real" or by attempting to may appear as an interjection, eAclaina Lion, abbreviated peer behind or beyond the observable for something to utterance,orothercasuallypracticalcommunicative which its name can be applied. Abandoned is the notion (onvenience. that "reals" exist as matter, or that "minds" exist as mani- 2. A moreadvanced ty.peof 1 l'signalnti g or festations of organically specialized "reals," or that the inmting, in the evolutionary scale, which we shall name "certainty" of matter somehow survives all the "uncertain- "characterizing." This name is applied to the everyday use tics" of increasing knowledge about it. Finally, nothing LS of words, usage reasonably adequate for many practical accepted or assumed in modern scientific inquiry that is purposes of life. alleged to be inherently nonobservable or as requiring some 3. The,atpresent,farthest advancedtype of type of supernatural observation. designating, which we shall name "specifying." This name One of the most significant characteristics of the sug- applies to the 114.0ily developed naming behavior found in gested methods of inquiry is that they include procedures modem scientific-inquiry. for correcting and revising both the findings of inquiry and For the purpose of economizMg words in discourse, we the methods used. The inquirer begins with what seem to need a general name for the aspects and phases of cosmos be the pertinent facts ina problem situation, and he differentiatedand named. Forthisgeneral name we pts to develop a description of what is happening that choose "fact.Fact is the name for aspects and phases of is adequate for solving the problem. When advance towad cosmos in the course of being differentiated and nrmed solution is blocked, conjectures are imagined by the in- byman (hehimselfbeing mnongitsaspects)in quirer about possible connections among the facts. The descriptionssufficientlydevelopedtoinclude definite conjecturesthat emerge from observation of facts are time and space aspects. Fact includes all namings-named merged with observation of new facts (including improved durationally and extensionally spread; it is not limited to dcsmiption of the earlier facts). When advance again is what is differentiated and named by any one man at arly blocked, new or improved conjectures emerge that m turn moment or in his lifetime. are merged with further observations; the entire process Frequently, we have need to discuss a limited range of may be repeated many times in succession. In the course of fact where our attention is focused for the time being. inquiry, the initial problem situation may be reformulated, For this we choose the name "situation." Thisisthe what seemed to be hard facts may turn out to be mistaken, blanket name for those facts localized intirne and space facts that apparently were pertinent may become irrelevant for our immediate attention. and vice-versa, and the initially most plausible conjectures Within a situation we frequently have occasion to refer may have to he abandoned. The outcome, when inquiry is to durational changes among facts. For these we choose successful, is a warranted assertion; i.e., a useful description the name "events." of what happens under specified circumstances. But even Finally, indiscussingeventswefrequentlyhave die best available warranted assertion is not "certain" or an occasion to refer to aspects of the situation involved that embodiment of "truth"; later inquiry may lead to its modi- arcleastvague or more firmlydetermined and more fication or abandonment. accuratdyspecified.For those we choosethe name "object." Object is differentiated from event in that it Ls SUMMARY DESCRIPTION OF PROCEDURES subject matter of inquiry that is relatively stable, at least FOUND USEFUL for the time being. All the subject matter; of scientific inquiry are aspeits A suminary description of the procedures of scientific and phases of cosmos,allare natural inthat modern inquiry that we find have been useful in many instances may scientific inquiren do not purport to provide warranted be helpful to readers. A primary purpose of this discus.sion is rtions (useful descriptions) about the allegedly super- to comment on the technical names "conjecture," "hypoth- natural. Nor do modern scientific inquirers assert that esis," and "theory." The latter two terms in particular are nothing ever will be fonnd beyond tbe scope of present used in so many different ways in the current literature on means of obsening by sight, smell, feeling, hearing, taste, scientific method that clarification is a first essential to useful and such extensions of sense perception as telescopes, discussion.

1 0 INTRODUCTION

I. The objectiveofscflitifie inquiry is to provide them in order that iuquily may proceed. Aspects of the usefuldescriptionsittwh ath optionsu riders1,i'eifieii various conjectures suggest or point toward facts possibly not (ire oinstances. previously recognized as pertinent or in any event not yet 2. The adjective "rt-eful" designates those descriptions adequately investigated. The inquirer proceeds to test one that are adequate for such purposes as von finnation of conk cture after another by returning to the facts to the ease, the conclusions by duplicating dm procedures insofar as perhaps discarding some faets at first thought pertinent, may be practicable, or those descriptions of what happens perhaps ascertaining new facts by experimental procedures or that can be used to predict what probably will happen, or by further investigation in other ways. Eventually, ade- those descriptionsofwhathappensthatfacilitate quately developed description Li achieved so that the inquirer modification of future developments either by changes proceeds to the next point in his inquiry where again his effectedex ternaltothe human beings involved or by progress temporarily is blocked. adjustive behavior or; their part, or by various combina- e.Again the inquirer imagines what may have hap- tions of these uses. wiled and new conjectures are formulated (possibly with the 3. An inquirer proceeds toward his goal of achieviug nip of mathematical formulas) until a return to the again usefuldescriptioninaseriesofstepsthat may be possibly revised facts or newly ascertained facts is possible in dcscribed as folk ovs : order once more to select the apparently most useful among a.FirStLi a wat-er problem situation, of alternative conjectures in order to proceed with the inquiry. happenings for which a us Is: tio n is not a,-ailable f.Ultimately, if the inquirer is successful, useful de- or is som chow in adeq tla te. scriptionof what happens (or what happened) under Next isthe attempt to ascertain dic facts in the specified circumstances is achieved. case, but the facts in the case, including the relationships The foregoingis not an attempt toprscribe how among variousfacts,usuallyarenotat firstreadily scientific inquiry should be conducted. As we said earlier, aPparent. aprimary .purpose is toclarifyourapplicationof c. Difficultiesarise;i.e.,development of adequate conjecture,"hypothesis," and "theory." description of whatishappening or has happened is When weuse'hypothesis" in this book, we apply it as blocked in one way or ;mother, perhaps by the lack of a name for a conjecture developed inthe course of sufficiently delicate instruments with which to observe inquiry, and we avoid usingit otherwise except when and measure, perhaps by ignorance about some facts or quoting from, or discussing, the work of others. aspects of facts pertinent to the investigation, or for any We apply "theory" as a name for the useful description num 1,cr of reasons, of what happens under specified circumstances that is the d. Althoughtemporarilyblockedinthefurther go:IT ,,fscientific inquiry, and we shall endeavor to avoid development of adequate description, the inquirer does itotherwiseexceptwhenquotingfrom,or not abandonhisinquiry.inimagination he develops discussing,the work of others (e.g.,asin"Freudian notionsorconjecturesaboutthepossiblefactsor theory" arid game theory"). relationships among far Isthat may be involved. Usually, Forfurtherdiscussionsee theeonnpanuioinYol rune, many different conjectures ean be developed, and the Useful l'rrwedures of Inquiry,nd also pp, 744 of the inquirer's immediate problem thenis selection among present ,.olutne. PROCEDURES OF INQUIRY INTO DUMAN BEIIANI1Ole

A. PRELIMINARY COMMENTS study may be calledascience depends on our definition of the Lynn. To be a scientist,inlny IN this chapter mime of the procedures of inquiry irpinion, isto have boundless curiosity tempered by that are ctirrently IISCd or advocated are described; discipline," (In T.W. Warm, ed.,Bch(' bi`o 14k in, and the most useful proceduresof inquiry with which Phenomenology:Contrasflu Rosesforillodern we arefamiliararediscussedindetail;* and several Ps ychology,Chicago, U Diversity of Chicap Pres8, historical examples are considered. p. "Science," "scientific method," and relatednames are applied in such different and inconsistentways that their Ilero we see a revival of what seined liven usefulness ii in communicationfrequently is limited. eliminated frtnaLi5) ehological inquiry and a rove :m to Agreement about the name of a particular field of inquiry anolderuse s_ienee"that1( not emlkiite (e.g.,ECI100111100 may indicate littlemore than ron0 observational _co ti ion. agreement about the subject matter of the lidd; the most Benjamin E. Lippincott, a political seientiA, diverse proeedures of inquiry iatothat subject matter may be used or advocated by diffrent workers. "Empiric ism, we sug2(Test,is based upon th roe f,;conornists,forexample,haverecommended pro- falseeoneeptions. lt is Cased, ..upon a raise theory cedures ranOng frorna reliance on introspection, reason of knowledge;namely, that only 'facts' are real, 'IIiC unaided by experience, mid the allegedstructure of the truulhl is that universals are as real as faets, and facts human mind, to the use of the procedures so soceessfidly canonly have meauing inconnection with unb applied in the physical sciences, versals. Empiricism...is based on a false coneeption American psyjholwl*ts for some time were moving in of scie utific meth od.Ittends to assume LBUt l'acts the direction of morrern scientific inquiry, hut inrecent ,intuellowarrange,themselves,althoughit isthe years so-e,fled -empirical psycholoa" has been nutter social scientist who imparts order and meaniugIii attack from within the profession, not only hy those them by bringing ideas to bearfromwithin his own advocatingexistentialistandphenomenologicalprooe- head...Ernpirieism.. Assumes,with respect dures, but also by those urging a revival of mentalism. social science, a false relation between the ollserver In Linguistics,which had developedrapidly as a andhisdata;the observer can never hereally scientific field, much attention in recent years bus been objective with respect to his data, for he ispart of givento Noam Chornsky's views. Chomsky deliberately it. His data are not like atoms, which are Mania-rate, uses mentalistic procedures, claimsthatthemind but are human beings,like himself, whiat litOe possesses innate knowledge, mid assumes a fundamental feelings and emotions.... difference between man and other animals, reminiscent of "If theforegoing analysisiscorrect, prAtical traditional dualistic philosophies. theory cannot hope to develop unless itgives op lit other fields also considerable agreement about the empiricism with its emphasis on description, old general subject matter of the fieldisfound, but g-reat adoptsa more creative scientific method.nis doos disagreement about the most useful procedures of inquiry. notmean throwingdescriptionoverboard,..At Even when there is agreement on the subject matter, the mesas. that description mast be more selective, use of a particular method may preclude inquky into and possess more meming. We must see ware some important problems, and some questions that are clearly thepart played by values and by reasontile discussed utgreatdetailmayarisemore frointhe power to draw logicalinferences,to make de Lim- tasumptions of the particular method used than front lions, to connect facts with propositions,And to what isf(umdin the field of inquiry (e.g., questions conned one proposition with another)," (lzalitical about theinteraction of mind and body, takenas Theory inthe United States," in ContemPorary basically different levels or types of reality). ln addition, PoliticalScience,Paris, UNESCO, 1950, p. sometimes there is controversy about what the subjeot 291) matter ofagivenfieldis.Andeven among those advocatingscientificprocedures of inquiry, there are Here we set strong influences of traditional epi widely varying tuitions of what the appropriateprom. ogy and p tilu6nphical rationafism, and the attrihn (lures of incloiry are. "empirical" scientists of views thatare not held by niany A complexsotofcontroversiesis found,then, such inquirers. including disanmements about what "science" and"scierv. Inthepast many nonscientists,especiallyliterary idle methoedesig-nate, the extent to which various fields people,arguedagainstscientific inquiry of nupdry can be intobainan usefully investigated scientifically, and behavior on the grounds that such inquirymade lintrans associatedmatters. TwO quotationS will help to illustrate stibservienttotechnology,ledtothe destruction of these controversies.R.B. NlaeLeod, a psychologit, says: beauty, the standardizing of life, the_ &spiritualization of man,etc.(See, for example, Ittorris Goran, "The Literati ..insisting that what, in theold, prescien- Revolt Against Science,"Philosophy of. Science,Vot 7, tificdays, weused to rail 'consciousness' still call 1940.) Those arguments are now being reVived, and in the

and Amalfi_ be studied. Whether or not this kind of last few years some, usually younger, individuals ediroted *Foramore &tailed &mission, seethe companion volume to thw w behavioralscien tistshave made similar arguments present book: Rollo Ilandy and E.G. flarwood. Userful Procodureg against the behavioral science "cstablishment.'"fbereqta of Inquiry, Great Barrington.Behavioral Hi,. II Council. 1973, attack on "objectivity" oftenis expressedinpohiticoi

1

2 A C URBENT Aprtm ISA terms,and thecritics sometimes maintain diatmany can grasp reality , as the ancients dreamed. (Quoted in allegedbehavioralsciencefudings,far from being GeraldHolton,"Nlach,Einstein,andthe Seanh for warrantedassertions,sirnplyexpress the conclusions Doedanis,Spring,1968, p. 650. For a recent desired bya government ageney t:Pr sone vested interest. defenseof"se h,rit Hierat ional ism,"sec G rgi(m de Such critics froquendy uprise the"ethieal nen trait y" ef Santillana,irlefiectionson Men arzdideas,Cambridge, science; insista-tat responsible scholars mastbe "corm Press, 19621) mated" on publicissues; arid arguethat professional Noon' Chontsliyhas not onlyrevivedaCartesian organizations sudi as the diseiplinoryassociations im the dualismand suggestedthat the mind posse&ics innate scholarly fieldsshouldtake ofliciai stands oni knowledge, but believes he has found the solution to the controversies of the day, Theflavor of such criticisms is classical problem of such a dualism. Descartes and others illustratedin abook editedby Theodore koszak, The struggled with theproblem of how two ontologically _Dissenting Academy (New York, Pantheon Books, 1 96f3), different suLstaraceswhich by defmition can eadi act and in his The Iinhing of o Co onter Calve (Garden City, onlywithinitsown realmcan interact, as when a Doubleday, 1969). human decides to raise his arin and does so. Chi:musky LriRoszak's latesthook (Where the Wasteland frid-s: believes he has found a solution in man's creative use of lolities and Transcendence in lostilidustrial Society, New language, which be sees as the most important distinction Nor+,Doubleday, 1972), the humanistic protests of between may and other animals. (Language and Itlind, severaldecadesagoare again emphasized- Mysticism is New York,Harcourt,Brace & World, 1968; Cartesian advocated, scientifie inquiry issaidto underIM the. "'mad, Linguistics,New York, Harper & Row,1966; and lad ontology of our cult me,' a dorratie adherence to "Recent _(onan lions to the Theory of Innate Ideas," in scientific procedures is claimed to have stripped our 'world Robert Cullen and !Marx Wartofsky, eds., Boston Studies of purpose, spirit, and meaning, etc intilePhilcsophyof Science,Vol, 111,New York, Assessing the claims iazei eounter-elaitns invol-ved Di the Humanities Press, 1967-) controversies ooneerning theapplicability of scientific In ceonornies, RA. Hayek argued that human behavior procedures of 4-aquiry its .complicated because thereis so mast be understood from "within" and that we must much disagreement, incoherence, artd confusionin the use interpret other people's behavior in "the light of our own of keyterrns in those woltroversies. In the treat section tudivigvon Mises awed thatto understand vc anOyze sorhe of the conflicting procedirres of inquiry; human behavior"there_ is bbt one scheme of interpreta- in later sections we describe what appeani to he the most tion and analysis available, namely, that provided by the useful type of inquiry- cognition anti analysis of our own purposeful behavior," aidalso that the "ultimate yardstick of an ecunomic B. SOME OUTA101DEO Pa0CF,DURES 0 F theorem's correc Mess or incorrectnessissolely reason QU 1ItY unakled hiy expeirience." (Ilayek, The Courzier.Reuolalion uf Science, Clencoc, Free Press, 1952, pp. 44-45, p. 77; In our civilization many alleged "ways ofknovving" von nlises, lfziman Action: A Treatise on Economies, New itave beentriedandatleasttraces of thoseways are Haven, Y ale University Press, 1949, p. 26, p. 858.) frequentlyfound in contemporary discussions. The A marked fcature of such views is what John Dewey purport cdsukessfulout comes of knowingalso vary called the von for certainty. Whatever may be foubd in considerably. Many useful ways of grouping and organ- a changing world, the rnind is alleged to be so structured izing the numerous methods Ltiat have been suggested cir thatit apprehends truths with complete accuracy, thereby used probablycouldhefound-forpresentpurpose s, yielding some fully assured knowledge of human behavior. discussion nay be facilitated by focusing attention on Thisattempt tomaketheresultsofratiocination three general procedures (Alentalistic-Rationalistie, Formal irrefutable in 'principleby"facts,"experience,or Nodel Building,and Subjectivism), ascontrasted witha ionbtscenrvetattuiounlflies. the face of hard-won lessons in hurnan !more useful procedure diseussed later, 'Various aspects of the methods here differentiated may he c unthilled, rod Probably the number ofinvestigatorsof human variationsofthe methods also can be foamd.Our behavior who espouse rationalistic mentalism as boldly as classifying Ls only for convenience; we 114venot attempted the writers quoted here is not large, but milder or more to 'carve Nature at her joints,' disguised siriailarvieAvs (and therefore at least potentially genrolistie.RationalinieProcedures. 'This type of pro- wore dangerous) are munerous. The belief that the mind cedurepostulates abasic sptot between the Inental and czil tell us gontething important about human behavior in monanental, which are vieviedas fundamentally- different advance or independently of observation is widespread. ondirreconcilable types or levelsof reality. Knowledge The "outcome"cherishedby those following such shout nonrnental realityis said to be possible for the proceduresapparently is sz_iine sortofintelleetoal inind, old attainableby pearls of propositions orsortie satisfaction. `That satisfaction results from an emphasis on otherintervening entitiesthatpurportedlyrcpreserit internaleonoistency, general plausibility, and a kind of inonmentalreality toor for ale mind. Knowledge about secular revelation thatprovides"starting points," "in- ouch human behavior is alleged to beattainable thr-oiiIm sights," or conelcsions. Such investigators apparently are direct inspection of the n-iimur lby the raind, introspection, reassured bya conviction that no posslde observation or or some other type of actionof the roind upon its own e:xperience couldcatitdoubt on the results. A "pure !processes. So-called reasoning,of tile type urged by the knowledge,"then, seclus to be what is searched for; the philosophic Rationalists, iistressed L important knowledge lure of which is so appealing to some that they ignore the as believedto he attainahde Avid* out recourseto riontenius fm 1 limr. attrib Malik to such procedures and the observation or ex perieill!e. (,)f implirers who have been developing a more I I hist rat it-311sVali be fit Lindin rummy areas f inquiry. of certainty eau be so strong Albert Einstein once wrote: "Nature jssthe realization of that important evidence is ignored. Vor example, although the Si MP le Siets Ilcc iv aideiij theatatic allI dea, hi a Lahnide hadt'oirsiderable evidencefor Neptune's tciht- certainsense, therefore, huid ittrue that pur thciortit eller, inC.1)- Darlington's phrase, "I-le knew so well that PROCEDURES 01 II'IQUfBY 3 there was no planet there that he could not discover it." approach. Canie theory is definitely nonnati c in (TheConflict of Science and Socieiy, London, Watts, spirit and method. Its goal is a prescription of how 1943, p. 4.) Nlany suggested descriptions of events have aratioual player should behavein a Oven game considerableplausibility and may accord with strongly situatioli when the preferences of this player and of held beliefs, but still be mistaken. in discussing the failure alldie other players are giveninutilityunits." -fsomewriterstonotethedif ferencebetween (Fights, Carnes, and Debates, Ann Arbor, University confirmationandinitialplausibility,the psychologists of Michigan l'ress, 1960, pp. 226-227.) George Nlandler and William Kessen say: But this toomay generate difficulties, According to "...theymayevenprovide aprodigality of Robert L.Davis,thc use of "rational" intheusual plausibleinitialstatenients intheir building of contextsof decisiontheory isunfortunate,for the convincing portraits, but they and the nonernpirical theories do not tell the alleged rational person what he psychologists in general, apparently never feel the should do,but rather state onewayinwhich the sharpest goad cf the research psychologistto find expected pay-off can be maximized, even though the out by looking whether or nut he is ttht." (The pay-off may be obtained more easilyinother ways. Language of Psychology, New York, Wiley, 1959, p. ( 'In troduction," in R.NI. Thrall, CH Coombs, and R.L. 250.) Day6, DecisionProeesses,New York, Wiley, 1958, pp. 4-5.) In a later paper Rapoport agrees that game theory Fo trial Model Building. Despite the criticisms made "ceases to he normative" in some situations, and says that later on in this section, we are not arguing in general grune theory is "neither prescriptive nor descriptive," but against the use of modelsformal, mathematical, physical, Lsa structural theory that describes in mathematical terms or otherwise. Rather, we are pointing out misleading or "thelogical structure of a greatvarietyof conflict uncritical uses of those models.In many respects the situations." ("Game Theoq and Human Conffict,"in dangers are similarto those discussedinthe preceding Elton B. McNeil, ed., The Nature of Ifurnan Conflict, section, but rather than relying on the "structure of the Englewood Cliffs, Prentice-Hall, 1965, p. 196.) mind" to arrive at conclusions about human behavior, In many game and decision theories the most that can sometimes workers confuse a warranted assertion about a be said is that if a person finds himself in a specified type particular rnodd with a warranted assertion about sonic of situation and ifall the players behave according to the aspect of human behavivr. specifiedrules, etc., then solutions are available that will For present purposes we shall emphasize examples from tell him a way to achieve as much as can be achieved in game theory, utility theory, and decision theory; similar suchsituations.Butthat seems a farcry from the maniples could be taken from information theory, general grandiose claims sometimes made for those fields. systemstheory,cybernefics,andotherareas.The Theinternalconsistency,mathematicalrigor,and underlying a4n apparently is to develop a model that can ingenuity used in developing these models may all be of be controlled dgorously and studied thoroughly, in the an exceptionally high order, and perhaps the satisfaction anticipation that useful light will he shed on aspects of Tailed in doing such work is sufficient for many workers. human behavior that have been difficult to study using ut that alone is no wwrant for saying either that the other techniques. But, as we diall see, the light shed may theories predict or otherwise illuminate human behavior, be viewed in quite different ways by different workers, or that the prescriptions given are useful in solving human and one begins to suspect that for some workers the problems. For example, much work in game theory is on delightsof further and further manipulations of the "zero sum" games in which the winnings of some players mo eltake precedence over useful information about must be curial to losses by other players. In economic human behavior. competition, ontheother hand,there need not be To illustrate, in their work on game theory John von winners and losers in that sense, but rather a general Neumann and Oskar Morgenstern hoped to show that improvement or net gain for all involved can occur. The "thetypicalproblems of economic behavior become conditions essential to a game theory solution, then, may strictlyidenticalwiththemathematicalnotions of contradict whatisfoundirrthe human behavior the suitablegames of strateor." (Theory of Games and theory is designed to illuminate. Economic Behavior, 3rd ed-., Princeton, Princeton Ur-river- Some of the main reasons models of the type we are sity Press, 1953, pp. 1-2, emphasis added.) An enormous discussing often yield poor predictions are: amount of attention was given to working out game (1) To develop the theory, assumptions are inade theory, and it was sometimes hailed as an outstandin that are clearly inconsistent with the type of situation in scienfific achievement, comparable to Newton's celestia which thepredicted human behavior occurs, suchas mechanics.(AnatolRapoport,"Critiquesof Game "perfect knowledge" assumptions; Theory," Behavioral Science, Vol. 4, 1959, p.49.) Yet (2) Doubtful assumptions arc made, such asthat many became disillusioned with game theory and doubted utility is substitutableandunrestrictedlytransferable that the various problems it was originally hoped could be among the players; solved would be solved. (R. Duncan Luce and Howard (3) Difficulties occur in correlating something within Raiffa, Games and Deeirionz, New York, Wiley, 1957, p. the model to something outside it,such asa numerical 10.) Probably a main factor inthe disillusionment was measure inthe game and a person's -utility function," that many predictions of human behavior resulting froni (Seevon Neumann and Nlorgenstern, op. cit.,p.604; game theory were not confirmed hy the evidence. But Luce and Raiff a, op. cit., p. 5; Rapoport, 1959, op. cit., this, rather than discouraging sonar workers, led them to p.65; and Ewald Burger,Introductiontothe Theory of viewgame theory asprescriptive,notdescriptive. Cannes,trans, by John E. Freund, Englewood Cliffs, N.J., Rapoport, for example, says: Prentice.I1 all,1963, p.iii. For a genend discussion of some of the key issues, see Ch. VI,'Utility, It'ationality, "Ithink a categorical disavowal of descrip tale and Formal Approaches to Value," in Rollo Handy, The content isimplicitin the entire game-theoretieal Measurement ofValues,St.Lonis, Warren El.Green, 4 A CURRENT APPRAISAL 1970.) of quest for certainty does occur. Two examples will be When the modds are taken as descriptive, there often given: seems to be relatively little attention given to external (a) George Humans developed a model of "elemen- testing. With reference to models, such as an information-- tary social behavior" based on five"postulate:l" reflecting handling model for human behavior, that have been used somenotionsfound in econoniic "theory" andin by many workers in psychology, Alphonse Chapanis rotes behaviorist psychology. (Social BehaMor: Its Eleraen tar). that:"Even when we find model builders attempting to Forms, New York, Harcourt, Brace & World, 1961.) lie make some validation of their models we sometimes find viewed elementary social behavior as "face-to-face contact them usingasscientific evidence the crudest form of between individuals, in which the reward each gets from observationscollectedundercompletelyuncontrolled thebehavioroftheothersisrelativelydirectand conditions." Pim, Machines, and Models," American immediate." (Ibid., p. 7.) His five "postulates" follow: Psychologist, Vol. 16, 1961, p. 13(L) Luce and Raiffaregardutility as "an indispensable (1) "If in the past the occurrence of a particular tool"fortheir book, emphasize how difficult it is to stiniulus-situation has been the occasion on which a determine a person's ufility function even under the most man's activityhas been rewarded, then the more idealandidealized experimental conditions," but urge similar the preaent stimulus-situation is to the past more work on that topic. They then say : one, the more likely he is to emit the activity, or some similar activity, flow." "If it is so difficult to determine unlity functions (2) "The more often within a given period of under the best of conditions, thereiscertainly no timeaman'sactivityrewardstheactivityof hopeat allthatitcan be done underfield another, the more often the other will emit the conditions for situations of practical interest. Thus, activity." ifthetheories built uponutilitytheoryreally (3) "The more valuable to a man a unit of the demandsuchmeasurements,theyare doomed activity another gives him, the more often he will practically; if they can be useful without making emit activity rewarded by the activity of the other." such measurements, then why go to the trouble of (4) "The more oftena man has in the reLent learning how? As in the physical sciences, we would past received a rewarding activity from another, the claimthatatheorymayverywellpostulate lessvaluableanyfarther unitof thatactivity quantities which cannot be measured in general, and becomes to him." yetthat it willbepossibletoderivesome (5) "The more to a man's disaclvantag.! the rule conclusions from them which are of use. ...The of distributive justice fails of realization, the more main purpose isto seeif under any conditions, likely he isto display tbe ernotione.1 behavior we however limited, the postulates of the model can bc call anger." (Ibid., pp. 53, 54, 55, 75.) confirmed and,if not, to see how they may be modified to accord better at least with those cases. The usefulness of these conjectures migh t be qnestionedri Itwillstillbe an act of faith to postulate the view of their reliance on marginal utility aotions, and one generalexistenceof these new constructs,but wonders if differing cultural settings anci social stmetures somehow one feels less cavalier if he knows that mightnotmakeanimportantdifferenceinsocial thereare two or three cases where the postulates behavior. Hornans has great confidence in his postulates, have actually been verified." (Luce mid Raiffa, op. despite the lack of c,..mfirming evidence. He says: cit., p. 12, pp. 36-37.) "At the level of elementary social behavior there The remark Just quoted seems to expre. ssa certain is neither Jew nor Gentile, Greek nor barbarian, but ambivalence: if one wishes not to be "cavalier," testing of only man. Although I believethisto be true, the "postulates" is called for, yet the inabilitytotest cannot demonstratethatitisso.. Accordingly, thoroughlyisnot taken as fatal to the existence of the diou01 1 believethatthegeneralfeaturesof postulat. If one adopts the view of sone inquirers that elementarysocialbehavioraresharedby all it does not matter if the "postulates," "assumptions," mankind, 1 believe it as a matter of faith only, and etc., are "contrary to fact" or "distort reality," so long as the evidence that Ishall in fact adduce is almost geoid predictions result from the 'theory," we still have the wholly American." ((bid., pp. 6.7.) embarrassment that such predictions are not forthcoming in practice. And, if the descriptive roleis given up, we Our present interest is in what other workers have done have other problems about how useful the "theory" is in with1-fornans' postulates. John and Jeanne Cullahorn prescribing behavior. have developed a computer model of elementary social As a general sta: en-lent of what is often found in uses behavior relyMg heavily on liornans' model. Their report of formal models, we note the following stages: shows how difficult the technical construction of sucha (1) Various assumed notions about human behavior model can be. They are enthusiastic about the uses of the are taken as sound (axiomatic, or tmisrns, or as otherwise computer model, but at the time of their report had done assured). verylittleinthe way of testing the modelagainst (2) Those notions are translated into a formal model observed behavior. They say: "The simulation appears to (mathematical, cy-bernetic, etc.). have verisimilitude, but its verity has not yet been tested (3) Numeroustransforniatio us,perh apsrequirin g against actual social interaction." (John T. and Jeanne E. marked ingenuity and technicalproficiency, are made Gullahorn, "A Computer Nlodd of ElementarySocial within the model_ Behavior," in Edward A. Feigenbatun mid Julian Feldman, (4) Theresultsofthosetransformations,when eds., Computers and Thought, New York, McGraw-Hill, tran slat ed out of the model,are assumedto provide 1963, p. 37('i.) illumination of typical problems of human behavior. RogerNI aris has recen tlyworkedin de tailon the As stated,onenowquestionwhethertins type internal consistency of Humans' fivepostulates. ("Ehe PROCEDUR F INQUIRY 5 Logical Adequacy of Unmans' Social Theory," .4 me ricon in highly intelleetw Itedutuiral. and quantitative settings. Sociological Review, Vol. 35, l97(I,) Maris conelndrs that Robert II. Strota, ample, in a di,cussion of cardinal the postulates are probably logicall) consistent and that if u'dlity, emphasizes th 'strong intuitive appeal" of some certain assumptions are made, sonic of which he regards game theory axioms, and maintains that every "norrnal as questionable, niany of !Ionians' other conclusions can personwouldclearlyacceptthemaspreceptsof be logically deduced from his five postulates. behavior." ("Cardinal Utility,American Economic Re- Here we have a logical model and a computer model uiew,Vol.XLII1,1953, pp. 39 1-393.) This typifies a constructed from an original postulate model, both of classical deductive questfor certaintyinwhich some which may provide usethl information about Hornans' certain or unchallengeable starting point is "found," and original model, but which do not go to the heart o f the thenlatertransfonaations of thatstarting point are natterin the senseof assessing how warrantedthe Lelieved to similarly "perfect knowledge. ' onginal modd was. The ap lto some private, inner sense is also found, (b) In1953 Arnold Tustin publisheda hook in not at the beginni.,e of an inquiry, but at the end. An which lie applied a feedback analysis to, and developed an interesting example is found in the work of the physicisi, engineering modelfor, some of the economiinotions P. IV. Bridgman.Hisviewsarecomplicated,and he (investmentmultiplier; the conclusion thatinvestment frequently exhibits remarkable candor. He says that he is equals savings)in J.M_ Keynes' General Tlwory. (Tustin, -becoming more and more conscious that my life will not The Illecha nis in ofEconomic Systems, London, standintelligentscrutiny."Al thoughmuchofhis Heinemann,1953.) In commenting on Tustin's work, methodological work concerns problems discussed exten- Stafford Beer writes enthusiastically: sivelyby philosophers,hesays that his "reading of philosophicalliteraturehasbeenverylimited." He '. _no one would claim that the model is wholly struggles with many issues at great length and without cornpara ble withareal-life economic system. What apparent progress, and at one point notes that his readers has been achieved, surely,is insight into economic may wonder why he is trying to make a certain point at mechanisms,and an implicitpromise th at a all. scientificattackoncertainlimitedeconomic In his discussion ofprocedures of inquiryBridgman problems(hitherto,perhaps,regardedas unap- stronglyrejects such notions as that' thought isthe proachable, or unstateable, or even as manifestations measure of all things," that "conclusions can be drawn of divine wrath) may prove possible.. _With the aid endowedwithaninescapablenecessity,"andthat of the simulation techniques of operational research, mathematicshasanabsolutevalidityandcontrols then, it must be possible to constrnct a model of on experience." He also rejects some forms of solipsism, but economy competent to handle at any rate some yet says that "nothing matters except what I am awm-e proMerns. Withtheaidof analogue of," and that "direct experience embraces only the things engineering it rnay further be possible to experiment in my consciousness." Implicit in his view is the notion of on the model, and to use it aS a guinea-pig. And if a mind possessing psychic powers; the "objectivity" of allthisis possible, then the economy becomes a fit tables, stars, etc., is generated when different minds react subject for cybernetic control rather than vesswork in a similar way. and the vap cm rings of political theorists.(Cyber- Bridgman rejects the view that "public confirmation" is netics and Management, !New York, Wiley, 1959, p. a central aspect of scientific method. Hi argues that in 35.) the last analysis itis always one individual who finally accepts a conclusion. Ile notes the possibility that he But if Keynes' notions turn out to be mistaken, all we might, under extreme circumstances, make the judgment have are models upon models of a misleading "theory," thatallhisfellowworkers had goneinsane,and which may turn out to be equivalek to the "vapourings concludes: "The criteria are thus ultimately my own _f political th eorists." private criteria, and in this sense physics or mathematics ubjectivism. The materialdiscussed in thissection or any other science is my private science." He also overlaps to sone degree that discussed under Mentalism, argues that the final teat in scientific inquiry is when the but the subjectivisms discussed here do not necessarily conclusion "clicks" for the individual. (The Nature o involve the assumption of a separate mind. "Subjectivism" Physical Theory,Princeton, Princeton University Press, is a loose term and has been applied to many procedures 1936, pp. 13.15, pp. 135-136; Reflections of a Physicist, of inquiry, sone of which have a strong "intellectual" 2nd ed., New York, Philosophical Library,1950, pp. flavor and some of which are highly "emotional." At 36-61, p. 347; The Intelligent lndividual and Society, present there is considerable interest, in many behavioral New York, Macmillan, 1938, p.v,p. 1, pp. 152-153, pp. sciencefields,inexistentialist, phenomenological, and 157-159.) hurnimistic procedures,all of which focus attention on (2) Rather than an appeal to some inner certainty "inner" processesin human behavior. (For examples of either at the beginning or the end of an inquiry, as has such methodoloficalthanes,see William D. Hitt, "Two just been discussed, some writers argue that inquiry into Models of Mail,American Psychologist, Vol. 2,4, 1969; human behavior must be subjective in the sense that an Abraham H. Naslow, "What Psychology Can Learn &orn understanding of inner states, such as feelings, is necessary the Existentialists," Ch. 2 of his Toward a Psychology of to such an inquiry, while natural science procedures of Being, 2nd ed., New Nork, Van Nostrand Reinhold, 1968; inquiry are restricted to external happenings. This general and Charlotte Balder,"Basic Theoretical Concepts of point is advocated by workers ina variety of fields. Humanistic Psychology," American Psycholcrgis(, Vol. 26, F.A. Hayek, for example, says that there is no obstacle 197 1.) to investigating "unconscious reflexes or processes" in the For present purposes, wc shall focus on two a.speets of human body scientifically, and as "caused by objectively this general approach: observable external events." Ilowever, he goes on, the (1) The reliance on some inner sense of curreetnes.s, social sciences (in the sense of what formerly were called troth, or warranty, such as intuitions. This can be found the moral sciences) are "concerned with man's conscious A CURREN7 PRA ISAL or reflected action'in which choice is possible. Inquiry he did, then, but restate in other words the very into such behavior is based on "our subjective knowledr quesUon 1 had asked." (The Process of Government, of the workings of the human mind" wid 'whatwc can Bloomington, Principia Press, 1935 ed., p. 3, p. 6.) see only from the inside." (Hayek, op, cit., pp. 25-26, p. 44, p. 59) Such views are frequently bound in Verstehen ThatBentley'scriticismof motive-explanationsas theories. William Dray, for example, holds that human frequentlyonlyrestatements of the behaviorto be actions have to be understood from "the actor's point of accountedforisstillpertinentisillustrated bythe view" and insists that "only by putting yourself in the following recent quotation from a psychologist: agent's posi6on can you understand why he did what he did." Even though many human behaviors are lawful, "Th.., other things equal, the person described as "discovery of thelawwouldstillnot enable usto stronginachievementmotiveshould be more understand flieminthe sense proper tothisspecial willingtoinitiateachievernent-orientedactivities subjec t.matter."(LawsandExplanationinHistory, when preeented with challenging opportunities in his London, Oxford University Press, 1957,p. 118, p. 128.) environment and should be more persistent in them For a pointed criticism of views that much human when confronted with opportunities to engage in behavior can he understood only ftom the "inside,"see other kinds of activity than the person described as May Brodbeck,"On the PhilosophyoftheSocial weak in achievement motive." (John W. Atkinson, Sciences," Philosophy of Science, Vol. 21, 1954, and "'Change of Activity: A 1Ne w Focus for the Theory RichardRudner,"PhilosophyandSocialScience," of Motivation," in Theodore Miscliel, ed., Human Philosophy of Science, Vol. 21, 1954. Bothare reprinted Fiction:Conceptual and EmpiricalIssues,New in E.C. Harwood, Reconstruction of Economics, 3rd ed., York, Academic Press, 1969, p. 130.) GreatBarrington,AmericasInstituteforEconomic Research, 1970; i volume in which several other relevant The procedures of inquiry described in this section all methadoloOcal issuss are also discussed) rely in some important way on an appeal to some inner As a Lnal exampls, Peter Winch wgues that thereis a knowledge. In view of the human record, one might well basic difference between the "concepts" of the physical suggest strong skepticism toward whatever seems sub- and the social sciences. Conceptions used in the social jectivelycertain or unquestionable. Hueshes, intuitions, sciences "enter into social life itself and not merely into senses of certainty, and what is self-evident have been the observer's description of it." Winch argues that social wrong so often, and can so impede progress, that the scientists often err by regarding as empirical questions persistence of defenses of subjective methods is surprising. what are a priori conceptual questions. Physical science possible clues to that persistence will be mentioned inquiry aims at prediction, but human decisions cannot be here. definitely predicted; "if they could be, we should not call First, subjeetivsms (ex treme or mild) tend to ussume them decisions.Fle maintains that the central concepts the separation in some fundamentM way of man and the which belong to our understanding of sociallifeare rest of the cosmos. Even if there is no commitment to a incompatible with concepts centraltotheactivity of fully developed or clearly thought Jut epistemological or scientiEe prediction." (The Idea ofa Social Science and ontologic.al dualism, a dualism is accepted methodologi- its Relation to Philosophy, London, Routledge & Kegan cally. Once human thinking, feeling, etc., is regarded, not Paul, 1958, pp. 93-95.) asLiosocialadjustivebehavior,but as psychic or Without in the slieitest denying that human emotions, mentalisticproducts or processes (contrasted in some feelings,etc.,areimportant, one may questionthe fundamental way to the nonhuman), one faces a gap ruefulness of alleged explanations Oven in terms of a between the two realms that cannot be bridged or can sympathetic understanding of the behavior of oneself or only be bridged with difficulty. One is likely to generate others,inasmuchassupportersofVerstehenoften problems about "privacy," how the mind can know the emphasize thattheyaresupplying "explanationsof world or other minds," etc. T'se long and intrenched behaviorrather than "mere descriptions." ArthurF. dualistictraditioninWesterncivilization may make Bentley, at least as long agoas 1908, pointed out that acceptance of dualism (even if one is not fully aware of allegedexplanationsintermsoffeelingsoftenare the dualism) seem so normal that challenging it is nearly tautological. He givesas an illustration a person who, unthinkable. upon seeinga man bullying a boy, knocks the bully Second, some purported scientific proceduresthat down. Bentley asked why thehero behaved as he did, and rejectthemind,mentalism,consciousness,etc.,still was told that sympathy for others motivated the action. reflectsomeoftheconsequences of dualisticand Bentley then asks why the sympathy was exprtsed in spiritistieassumptions. Some forms of American beha- some social settings but not in ethers: viorism fall into that category. Beginning with a Cartesian mind-body dualism, many behaviorists and materialists "The man who got the praise from the crowd is rejected the mental half of the dualism and constnicted known to me. Half a mile from where he lives there theirmethodologies on what wasleft, but without arc women and children working their lives out for rejecting thoroughly the entire framework of a mlird-body less than a nourishing living. Nearby an old woman split. (For trenchant comments, c'e J.R. Kantor, The stra-ved to death a few days ago. Child-labor under Logic of Ilfodern Science, Bloomington, Piincipia Press, mostevilconditionsis common inthe city. A 1953, pp. 258-259; and John Dewey and Arthur F. frieed of his is making his wife's life a burden by Bentley, Knowing and the Known, Boston, Beacon Press, clayandahorror at niWit_ Yet he does not 1949, paperback edition 1960, pp. 130-132.) intervene to save the starving, or to alleviate the Either the brain (or the brain plus other parts of the condition of the half-fed workers. Ele does not join body) is given many of the old psychic functions of the the society for the prevention of child-labor. lle mind, or much that is distinctively human is overlooked. does not use his influence with his friend to show just 4e., at present, physical investigative techniques alone hint the brutality of his ways.. _When my friend arc not adequa:e for inquiry into physiological subject said that sympathy had moved the man to his act, matters,sophysiologicaltechniquesalonearenot PROCEDURES OF INQUIRY 7 adequate for much human behavior. The failure of some and secanngly arrogant aim of knowing why Nature is workers to come to grips with distinctive bump behavior on thus and not otherwae." (Holton, op. 659.) But thebasis of physical and physiologicalinvestigative one can always "'Why should Nature he that way; techniques does not, of course, show that subjectivist what is the ultimate explanation of that?" methods areuseful,but may lead sortietoturnto In everyday life we often ask for an explanation wheal subjectivism. somethil g untoward, surprising, inconvenient, or diso.,n- Theissuescan become complex andsubtle.B.F. ceding happens; e.g., we ask why the car would not start. Skinner, for example, says: The ' explanation,' that the starter gear broke, points to what needs to be repaired so that the car will again An adequate science of behavior must consider function normally. Such explanations are descriptions of events taking place within the shin of the orgmism, various things, events, and their relations. not as physiological mediators of behavior, but as Both descriptions and observations involve abstractions part of -behavior itself. It can deal with these events from the totality of things and events in the acid of without assuming that they have any special nature inquiry. Some observations, measurements, and descrip- or must be known in any special way.. Public and tions, althouer not enoneous, may be 4-relevant or trivial privateevent havethe same kin& of physical (if one is attempting to decrease traffic congestion in the dirriensiorts." (In Warm, op.cit.,p_ 84, emphasis Lincoln Tunnel, presumably the roost meticulous record added.) of the serial numbers of the automobiles passing through will not be useful). Fuaher inquiry may lead to more and Here Skinner rejects a bifurcation between public and more useful observations and descriptions,all of which privateeventsandnonscientificinquiryinto human abstract among (focus attention on some) aspects and behavior, yet his statement suggests a detaching of the phases of the total situation. organism frontitsenvironment nuichas the mind is The viewseemingly supported not only by common separated fromits body in older dualisms. A pointed sense but by Aristotle's metaphysiesthat heavier bodies critique of such localizations of behavior has been made by their very nature fall faster than lighter bodies, was an by A.F. Bentley. ("The Human Skin: Philosophy's Last accepted report that accorded with some observations (for Line of Defense," Philosophy of Science, Vol. 8, 1941.) example, a feather encounters so much air resistance that Intrenchedculturaltraditionsofinquirycanbe itfalls much slower than a lead ball). One of the early exceptionally difficult to overcome, and traces may occur experiments by Simon Stevin involved two lead balls, one even in writers who pride themselves on having reject?al ten times heavier than the other, dropped from a height spiritisticormentalisticprocedures.Viewing human of thirty feet on a sounding board. Stevin found that the behavior as organism-environment transartions, which will two balls reached the board so nearly at the same time he disaused in detail later,requires rinch vigilance to that only one sound was heard. He also found the sante avoid falling into the traps that have impeded so many to occur when balls of the same circumference, but past attempts to ardve at warranted assertions. differing ten-fold in wei&ht, were used. (De Beghinselen des Waterwichts, 1586; Stevin's reportis quoted in F. C. AMORE USEFUL PROCEDURE OF INQUIRY Sherwood Taylor, A Short History of Scienceanti Scientific Thought, New York, Norton, 1949, p. WO-) General Account of Prwedum. We havediscussed Admitteffly by later standards Stevin's measurements were procedures in which the outcomes for many inquirers crude, but they still were useful and provided imponant were plausible and intellectually satisfying reports, and clues for more precise measuxernents. which sometimes reflected confidence that the results The technology available to an inquirer often is a major were guaranteed to hold independently of observations. factor in what can be observed. in Galileo's account of Theprocedurespresentlyunderdiscussionarenot his experiments on balls rolling down an inclined plane, expected to yield such certainty or finality. The hope, he emphasizes the care he took to minimize friction by rather,isfor usefulresults, and the outcome is the making the balls "very hard, round and smooth," and hi deveklimentofwarrantedassertionsenablingusto making the surface of the groove in the inclined plane predict events and thus in some degree to eontrol those "polished and smoothed as exactly as can he." fle was events ortoadjust our responses to them. (Accurate not &ale to measure time more accurately than to 1/10 of predictions of adverse weather, for example, enable us to a pulse beat, which he accomplished by an ingeainus take appropriate protective action evenif we cannot water clock. Within those technological limitations, he prevent storms.) found thatthe distances the balls traveled wert always Rather than the development of satisfying and plausible proportionaltothesquareof thetimesinvolved. reports, the objective isthe development of increasingly (Dialognes Concerning Two New Sciences, 16313; Galilcos accurate descriptions of what happens under specified report is quoted in Taylor, op. eit., pp. 100.101.) circumstances. Many commentators argue that "explana- Michael Scriven has observed that in a sense Galileo tion" sliould he the goal, and maintain, for example, that was fortunate in the instruments available to him, for descriptiontells you only that grassisgreenbut an they were sufficiently sensitive to reveal the "law" of explanatiorr tells you why grass is green. But explanations, fallingbodies,butnotsensitiveenoughtoreveal whenanalyzed,always seemtohedescriptionsof mounting energy losses as the size of the balls, or the connections among things and events. Even so.called distancetraveled,increased.("APossibleDistinction "ultimate explanations" aredescriptions o fpresumed between Traditional Scientific DiscipZines and the Study eneral invariant connections, suchasthat Nature, or of HumanBehavior,"inHerbertFeigl and Michael od, or ficality, is "just that way." Soliven, eds.,)hfinnesota Studies inthe Philosophy of EinsteM, for example, once maintained that the aim of Science,Vol.I,Minneapolis, Universityof Minnesota hysical theoryis "to help us not only to know how Press, 1956, p. 335.) ature is and how her transactions ore carried through, Thislead-toanother issue about which confusing but also to reach as far as possible the perhaps utopian things have been said. Anatol Rapoport, for example, in a

8 Et A CURREPIT APPRAISAL eriticisraofviewserrrphasizingtheimportanceof "In Dr. Monroe Eaton's laboratory in the United observation,saysthatmathematicalphysics"would States influenza virus can be made to spread from have never left the ground" without "ideally toe and one mouse to another, hut in Dr. CH. Andrewes' factuallyfalselaws" such asGalileo's law of falling laboratory in England this cannot be brought about, bodies.("ValiousMeaningsofTheory,"Ainericon even though the same strains of mice and virus, the Politico( Science Review, Vol. LH, 1958, p. 983.) Here ssme cages and an exactly similar technique are aim we should ask what the objective of inquiry is. used." (7'he Art of Scientific Investigation, London, the goalisplausibilityof some sort, Ideally true Heinemann, 1951, p. 24.) laws" may satisfy,but if we wishtopredict and control,the"factualfalseness"isaproblem. A From time to urne an apparently sound experimental statement of possiblerelations, such as Galileo's law, testrefutes a conjecture, but later work shows that relaylieusefulwithin acertainrange because our unnoticed defects in the test accounted for faulty results ineasarinig devices cannot detect deviations, or because and the original conjecture is confirmed. For example, the deviations are so sinful they do not a-ratter, and Kaufmann's early experimental test of Einstein's work on May heusefulasapproximationsinotherranges relativity gave results incompatible with Einstein's con- becausecorrections(forenergylosses,etc.)can be jectures, and other competing conjectures yielded predic- made. & statement of connections so "ideal" that it tions closer to Kaufniann's experimental findings. After does riot apply to any situations we are investigating severalyears,physicistsconcludedthatKaufmann's may even he helpful if we can use the "law" together equipment was not adepate for his inquiry; what seemed withsonewarrantedassertionstoarriveatnew to be "hard" or correct data incompatible with a theory warranted assertions.But topraisethe "contraryto turned out to be mistaken. (See Holton, op. cit., pp. fact" aspect of a generalization seems peculiar, because 651-652) usein inquiry depends on our ability to compensate And Hertz, who suggested that if cathode rays consist for the inaccuracies. of particles a magnetic field would be developed, found A worrantedassertion,then,doesnotrepresent that experimentally he could not detect the predicted Trial, perfect knowledge, or certainty. The name itself magnetic field. Later he suggested that if cathode rays suggests thatattention be givento what the warraat were discharged between negatively and positively charged is; i.e., the adequacy of the evidence supporting the plates,thecathode rays should be deflected by the assertion. As inquiry progresses, a warranted assertion charged plates. roat too failed in his experimental test. may be changedand mademoreaccurate;the However,hisconjectureslaterwereconfirmed; his assertionisalways open to inspection, challenge, and experiments hadbeendefective.(SeeL.W.Taylor, modificationin thelightof newevidence(e.g., Pkysics: The Pioneer Science, Boston, Houghton Mifflin, successive determiaations of the speed of light). Within 1941, p. 776, and Kantor, op. cit., p. 108.) thelimits(technoloOcaland otherwise) of Galileo's Often conjectures that were developed on the basis of experiment,his"law"heldexactly;underother generalspeculation, but which were untestable for a long circumstancesthe "law" does not describe accurately time, or at least not tested, later are confirmed. J.R. what is found. Thelatterisneither a derogation of Kantor has summarized some of those conjectures about Galileo'sachievements,norabasisfor praising his heat: findinam "ideally true." Although perfect or complete knowledge no lo "A fascinating and paradoxical feature of the isregardedas the goal of inquiry, one merit of physics of heat is the early development of ideas eof inquirypracticed so successfullyin modem which, though later abandoned, finally turned out scientificinvestationsisthe high level of agreement tobeexceedinglysatisfactory.Thesearethe oftenreached. Thereliabilityof the bestscientific variants of the notion that heat is, or is connected findings issuchas to overcome (usually) many other with, motion or agitation of particles. Beginning Eferencespolitical,ideological,cultural.Thisisin with Bacon (1620), Descartes (1637), and Hobbes Marked contrasttvotherprocedures,wherepraefi- (1635),the following philosophers and scientists lionenofthesame method often arrive atvastly proposed this view, though for different reasons: different results, perbaps all of which -re alteged to Amontons (1702), Boyle (1738), Cavendish (1783), certain. Even when strong political pressureis ased on Locke(1706),Newton (1692,1717), Huygens behalfofa scientifichyp othesisorconjecture* 1690),Hooke(1678),Daniel Bernoulli (1738), contradicted by theevidence(e.g.,Lysenkoisrn), the avoisier and Laplace (1783 ) and Davy (1799)." weight of the evidence oftenisenoughtodisplace (Kantor, op. cit., pp. 173-174. eventudly the politically supported conclusion. Theecandnuingcycleof checkingconjecturesor This suggests the hyp,othesesagainsttheevidence, developing mo&ified mportance of continued interweaving conjeAztrans on the basis of new evidence, etc., with no between conjectures and data rather than seeking for finalstopping point envisaged,isthe ongoing process permanent establishment of a scientific conclusionor a of inquiry. Th6 is,of coarse, no t to deny that at any refutation for all time of a hypothesis byan experiment. giventime,errors The desire for an ultimate solution is often found. For can occur or thatthe datawill example, in an article minimizing the relevance of history seem to support what later turns out to be mistaken. of science to methodology, Norwood R. Hanson attaches W.I.8.13everidge,for example, notes a situation that great importance to the point that frequently the best Inas itsarallels from time to time: argument, based on the best data available at a given nc,netliodologicaliitcrsture. "hypothesis" some firnes designates any conjecture about possible connections among facts, sometimes time, is not the argument "that is ultimately correct.' He deaignates oraty the relatively mac t formulations that may occu r in the furthercharacteriiesas "an excitingdisclosure"that later stages calif-malty, and sometimes is used in.& context ernphaming logical'lei-faction. To ,avoid possible confusion, we prefer to use "scientific advance and rigorous logic do not always walk "cosjectios applyma to any tentative notion about possible arm in ann"; a "disclosure" that would hardly come as a connections. surprise unless one were strongly influenced by the quest 1 9 PROCEDURES OF INQUIRY 9 for certainty. ("The Irrelevanee of History of Science to emphasize testing arguethatitis permissalleto start the Philosophy of S ience," Journal of Iihilosophy,Vol. inquiry with the development of elaborate hypotheses, if La, 1962, p. 581, pp. 578-579.) they eventually are tested. John Dewey pointed out some thirty-five years ago However, if conjectures arc allowed to proliferate in thatin scientific hiquiry both the initially selected facts the sense that an untested conjecture is assumed to be and the plausible conjectures about them probably will be correct and further untested conjectures are based upon modified as inquiry progresses; that scientific conclusions it, the chances of arriving at a useful conclusion are srnall. taken to be -finally true ' normally obstruct inquiry; and To illustrate, if there are 10 stages in an inquiry, and 10 thattypically in the,:ourseofinquiry"correct initially plausthle conjectures at each stage, the chance of conclusions have been! regressivelyreached fromin- an inquirer selecting the correct conjecture 10 times in correct 'premises.' " (Logic: The Theory of Inquiry, New succession is only 1 in 10 billion. Even if there were only York, Holt, Rinehart and Winston, 1938, pp. 142-143.) 2 alternative conjectures at each of 10 stages, the chances One of the most significant characteristics of modern of selecting allthe correct or more useful conjectures scientificmethodsofinquiry is thattheyinilude wouldonlybe 1 in1,024.Theinterweaving of procedures for correcting and revising both the findings of conjectures and measurements of change at each stage in inquiry and the methods used. The inquirer begins with inquiry, then,is the procedure offering most hope for what seemto bethe pertinentfactsina nroblem success. situation, and he attempts to develop a description of The interweaving just described was emphasized many whatishappening thatisadequateforsolving the times by John Dewey. In the passage quoted below, he problem. When advance toward a solution is blocked, uses "idea" for what we call "conjecture." When inquiry conjectures are knagined by the inquirer about possible isblocked, the inquirer moves beyond the immediate connections among the facts. The conjectures that emerge facts or presumed facts: from observation of facts are merged with observation of new facts (including hnproved description of the earlier flight away from what there and then exists facts). When advance again is blocked, new or hnproved does not of itself accomplish anything. It may take conjectures emerge that in tnni are merged with further the form of day-dreaming or building castles in the observations; the entire process may be repeated many air. But when the flight lands upon what for the times in succession. in the course of inquiry, the initial purpose of inquiry is an idea, it at once becomes roblem situation may be reformulated, what scented to the point of departure for instigating and directing be hard facts may turn out to be mistaken, facts that new observations serving to bring to light facts the apparently were pertinent may become irrelevant and use of which will develop further use and which vice-versa, and the initially most plausible conjectures may thereby develop awareness of the problem to be have to be abandoned. The outcome, when inquiryis dealt with, and consequently serve to indicate an successful, is awarrantedassertion ;i.e.,ause ful improved mode of solution; which in turn instigates description of what happens under specifiedcircum- and directs new observation of existential material, stances. But iven the best available warranted assertion is and so on and on till both problem and solution not "certain" or an embodiment of "truth"; later inquiry take on a determinate form....Every ideais an may lead to its modification or abandonment. escape, but escapes are saved from being evasions so The matters just discussed are related to the question far as they are put to use in evoking and directing of the most useful beginning point ininquiry. John observations of further factual material." (Knowing Dewey contrasted the "gross macroscopic, crude subject- and the Known, p. 319.) matters in primary experience" with the "refined, derived objects of reflection. 'The macroscopic subject-matter Closely related to this isue are questions concerning "sets the problems of science and furnishes the first data" systematization and deduethility. Some writers argue that of reflection, and the results of reflection are tested by the more advanced a scientificarea is,the more the "return to things of crude or macroscopic experiencethe warranted assertions in that area can be deduced from a sun, earth, plants and animals of common everyday life." relatively few generahzations or "laws." Such views have (Experience and iVature, 2nd ed., La Salle, Open Court, encouraged some behavioral scientists to develop very 1929, Ch. I.) inclusivehypothetical structures and to emphasize a JosephB.atnerconcludesthat"thefundamental deductive structure within those structures. But, as Ratner methodological problem ofallinquiry" concerns the points out, "Galileo's badly systematized 'few facts' " starting point of inquiry, and that the rise of modern were scientifically superior to Aristotle's welkystematized scientificinquiry stems from Galileo's b,Iginning with structure that purportedly "explained" so much. And macroscopicsubject-mattersratherthan therefined Newton's physics, although more developed as a formal objects of reflection which constituted the AHstotelian- deductive system than the physics that superseded it, was medieval 'science of physics.'(`Introduction," in Joseph far less useful than the later physics. (Ratner, op. cit., pp. Ratner, ed., Intelligence in the Modern World, New York, 92-93.) What facilitates prediction and control, then, need Modern Library, 1939, p. 91.) not be part of a highly developed deductive system. Other investigators begin their inquiries with refined Two other aspects of much scientific inquiryquantifi- objects of reflection. Ratner considers several io.larices of cation and experimentationalso ehould not be viewed writers who take formal logic and mathemati,as the uncritically. Detailed and precise quantification often is model for scientific inquiry, and the difficulti s those possible and useful. But at times, especially in the early writers encounter. Other illustrations can be found in stages of inquiry-, crude cpantification (expressed in terms recent discussions. For example, the sociologist Arthur L. such as "more," "less," 'nearly," etc.) also can be useful- StiachcornbcMysth atit is moreimportantfor Stev in's early experiment withfalling lead balls,for contemporary sociologists to invent theory than it is for example, had no better measure of elapsed time than them to test it. (Constructing Social Theories, New York, listening to the sound of the balls hitting a board, and yet Harcourt, Brace and World, 1968.) Some authors who this was sufficient to show how erroneous the accepted

2 0 10 A CURRENT APPRAISAL views were. AnyonesIo insists on detailed and precise be kept for an indefinite period without putrefaction. quantification as being essential to scientific method may After breaking off the neck, however, within a few hours wrmte time and effort on unhelpful quantification or themeat beganto decay and micro-organisms were focus uncritically only on what is precisely quantifiable at observed in the broth. To show that micro-organisms a given time. could be canied in the air, Pasteur passed air through two Controlled experiments inthe course of which the sterilefilters and found that.the first fdter, but not the consequences of a deliberate change in one aspect or sewn& could induceputrefaction. (The account just phase can he measured also are usually useful. But useful suntruarized istaken from H.T. Pledge, Science Since measurements of change can be made in other circum- 1500, London, Ilis Majesty's Stationery Office, 1947, PP. stances (e.g., astronomy) and yield important warranted 163-1(,5.) assertions. A "fixation" on expedmentation may lead to a Pasteur's work, of course, did not absolutely disprove neeect of problems that could be studied by other spontaneous generation, but instead developed a highly techniques or to pseudo-experiniental techniques. warranted description of what happens under specified Inanyevent,theexperimentaldesignandthe Orcumstances, and thus made the invoking of spontane- Mstrurnentation used mest be viewed as entically as any ous generation "explanations" pointless for the type of other part of the inquiry, as Arthur S. Eddington has situation under investigation. pointed out in a parable about fish nets. In his parable an (2 ) Galileo performed some early experiments on the ichthyologiet ioterested in exploring ocean life uses a net weight of air. lie first worked with a large glass bottle with two-ind openings.Aftercarefully surveying his stoppered by a leather valve. The valve was constructed to c.atch, he concludes that no sea creature is less than two admit a syringe with which Galileo forced air into the inches long. In reply to criticisms that his net was not bottle; he estimated he could force in two or three times adapted to sauvey all ocean life, the ichthyologist says: more air than the bottle ordinarily contained. Thee, using "Anything uncatchable by my net is ipso facto outside a balance with sand asthe weightshe weighedthe the scope of ichthyological knowledge, and is not port of compressed air. After opening the bot;le, he reweighed it the kingdom of fishes wEich has been defined as the and concludedthatthe"extra'. compressedair was theme of ichthyological knowledge. In short, what niy net equivalentinv./eighttothe sand removed fromthe can'tcatchisn'tfish." (The Philosophy of Physical balance. But he had not been able to measure with arty Science, Cambndge, Cambridge University Press, 1939, accuracy the volume of the "extra" air forcedia to the pp. 16-17.) bottle. So Galileo then devised another experiment in Additional Historical Examples. Able scientific workers which he forced water into a bottle of airwithout sometimes do notgiveanaccurate account of the allowing any air to escape; the air compressed enough so procedures they actually used, or they may believe that that the bottle could be filled about three-fourths full of they are using one set of procedures but actually are water.Thebottlecontainingthewaterplusthe using another, or they may deny, flatly they are using the compressedair was weighed. Then the "extra'air was procedures that they are using. Our description of modern released, and Galileo concluded that the volume of air inquiryin the previous section was based on successful which escaped just equalled the volume of water in the examples of scientific work. Three additional examples bottle. Then the bottle was reweighed, with the difference will be considered as further illustrations. between the two weighings equalling the weight of a (I) For a comsiderable period, the spontaneous genera- volume ofairequivalentto the directlymeasurable tion of life was widely accepted and used to account for volume of water in the bottle. (Galileo, op. cit.) many observable processes. Fermentation, for example, (3) In the 18th century heat was generally believed to- seemsto start from non-living materials and yet exhibits be a material substance in the form of a very light or life-like traits. The scientific issues were often intermixed weightless fluid;a hot body was said to contain more with other issues. Some philosophic materialists favored a caloric fluid than a cold body. The caloric theory fit in type of spontaneous generation of life from non-living withotherprevailingnotionsthatemphasizedthe matter in order to avoid theological ideas about the divine presenceor absenceof some materialfluid.Living creationoflife.Some religiouslyorientedscientists organisms were believedto contain vitalspirits, m disapprovedofspontaneousgenerationinorderto netized objects to contain magnetic fluid, etc. Such flui s support a religious view that life oily comes from life. were saidto be "subtle" and capalle of penetrating Some chemists, who were seeking to avoid importing bodies having no visible apertures. A satisfying report that biological notions into chemistry, favored spontaneous emed to offer an explanation" of observed changes generation. (heating/cooling,magnetizing/demagnetizing,etc.?was Although in 1765 Spallanzani showed that fermenta- thus developed that obstructed inquiry for some ttrne to tion processes could be delayed indefinitely by boiling, come. some scientists of the period believed that they had Inthelate1790's Rumford's work inthe Hunich demonstrated the occurrence of spontaneous generation. military arsenal provided a much superior description of A limiting factor in scientific progress was the inadequacy certain heat phenomena and showed the irrelevance of of the microscope lensesthen availablefor observing caloric theory to the warranted assertions he developed, micro-organism.Inthe 1830's and 4.0's considerable even though the caloric theory was retained by many progress was made toward more useful views, but by and until the middle isf the 19th century. large spontaneous generation was still accepted and any Rumford carefully measured the weight of gold heated organismsobservedwerebelievedtoberesultsof from 32°F tO a bright red, and found the weight did not putrefaction, Mfection, etc., rather than causes. change by one-millionth part. Inasmuch as the prevailing In 1861 Pasteur's work helped lead to the abandon- view wasthat caloricis imponderable, those measure- ment of the doctrine of spontaneous generation. Using a ments wereconsistentwiththe existence of calonc. flask with a long, thin neck, he boded meat broth until Rumford's measurements, however, in conjunction with no bacteria remained. The neck of the flask was so narrow his other work, helped to show that warranted asertions that new bacteria could not enter. The boiled broth could about heat could be made without reliance on caloric PROCEDURES OF INQUIRY Ii fluid notions. In boring cannons in the arsenal, Rumford attributable to a serious terminological problem. We have noted the eonsiderahle rise in temperature of the brass little in the way of agreed upon firm names useful for barrels and the men higher temperature of the chips being communicating aboutaspects and phasesof human drilled out. One conjecture was that perhaps the total behavior.Until naming isimproved we may remain heat produced comes from the chips. Rumford argued bo-fged down in such confusion (of ourselves and others) thatif so, according to accepted caloric notions the ar1 incoherencethatcommunicationisdifficultor "capacity for heat" of the chips should be significantly impossible. changed. But comparative measurements of those chips he emphasis on useful Darning sometimes is quickly and of similar pieces of metal uhowed no such change. dismissed as a fixation on the trivial or the merely verbal He then designed an apparatus in which a hollow and a neeect of "substantive" problems. In our opinion, cylinder was enclosed in a box of water. A blunt drill was what is distinctively human about human behavior isor rotated continuously against the bottom of the cylinder. involveswhat we callsign-behavior. In that sense, a After one hour, die water temperature rose to 107°F; concern about language is a "substantive" issue in inquiry after two and one-half hours, the water boiled. Rurrdord into human behavior. Moreover, we believe that in the ccmcluded that the heat generated by friction appears to physicalandphysioloOcalareasprogresswasalso be inexhaustible. If the friction apparatus is isolated from dependent on developing useful naming. Pledge,for other bodies and can continue to yield heat indefinitely, example, notes: Rumford argued, heat could not profitably be regarded as a material substance. The only conjecture he regarded as "The French chemical world did not abandon likely,inview of his experiments, wasthat heatis hlogistonuntilabout1787;whilePriestley, motion. ("An Inquiry Concerning the Weight Ascribed to cheele,Cavendish, and many others never did Heat," and "An Inquiry Concerning the Source of the abandonit.The supersession of phlogiston by HeatwhichIsExcitedbyFriction," Philosophical oxygen, together with the accumulation of what we Transactions of the Royal Society of London, 1799 and now seen to be antique errors, drew attention to a 1798.) matter of primary importance in chemistry as in Belief in caloric could still be maintained, of course, if every science, nomenclature. The technical terms of one assumed that the caloric fluid flowed from the air the time made accurate thinking almost impossible." suffounding Rumford's isolated friction system, so further (Pledge, op. cit., p. 116, emphasis added.) workwould. benecessary(suchasperformingthe experiment in a vacuum) to refuteallvariants of the This isnot to imply that some scientific areas have calcific conjecture, but experiments like Rumford's helped satisfactorily resolved all the language problems; far from to show both that the caloric conjecture was not useful it. We are only suggesting that overall the communication and that a motion conjecture was useful. problem is worse in inquiry into human behavior than in SeveralpoLnts are suggested by the materials just other areas of scientific investigation. Elaborate specula- discussed. At times religious,philosophical, and other tive or technical constructions are often developed, with beliefscanhaveastronginfluence ontheinitial no one being able to communicate clearly or definitely conjecturesascientistdevelops. Suchbeliefs can be what is being talked about. productive,butalsocan beobstaclesif adhered to A criticism of some economists by Joseph Mayer is tenaciously without sufficient, or any, evidence. Tech- applicabletodiscussionsinmanyareas of human nological factors may play a significant role; at any given behavior. In describing the quest of certain economists for time the equipment necessary to test competia g conjec- a particular type of cost measurement, Mayer says: tures may not be available. Many rejected conjectures arc not completely refuted, but rather are abandoned when "Since the actual problem is so disheartening, a they fail to yield useful results. Plausible "explanations," shell-game attempt toescapeit has been inau- however intellectually satisfying, are simply no substitute gurated.... This procedure seems not only to have for warranted assertions from the point of view of 'ven no aid whatever toward a solution but to have facilitating effective prediction and control. ept the minds of economists from the actual problem. In wying to discover under which shell the D. MODERN INQUIRY INTO HUMAN BEHAVIOR costorutil*buttonhasbeenput,some economists have been lulled into believing that they Our view isthatthe same general procedures so have been investigating the nature of the button effectively applied 41 the physical and physiological areas itself.... [T]hemindiskeptoccupiedwith of inquiry probably will lead to similarly useful results bn guessing under which shell the button is... , [but] inquiry into human behavior. That application faces at the button itself never appears to have been laid least two major initial obstacles. bare for examination." (Social Science Principles in (1) InWesterncivilization,thebeliefis deeply the Light of Scientific Method, Durham, Duke intrenched that human behavior (or some parts of that University Press, 1941, p. 95.) behavior) must be fundamentally different in kind from other processes we encounter, and that therefore some "Behavior." is used here as a name covering all the different method must be used. Refutation of such views adjustmental processes of organWri-in-erivironment. This consists chiefly in developing warranted assertions about differsfrom those who restrict"bchavioteitherto human behavior that foster prediction and control. The muscular and glandular activities within the organism, or results of inquiry into human behavior to date do not to those who restrict "behavior" to so-called gross, overt begin to compare with the results already obtained in the activities ascontrastedwith"inner"or"mental" other areas of scientificinquiry. We suggest that the activities. Man is viewed here as abiosocialorganism; relative paucity of results 6 partly attributable to the thatis,asa biological organism operating in-and-by- non-use of the method we here call modern inquiry. means-of a social envirournent. (2) Therelativepaucityofresultsisalsopartly Knowing, as hiunan behavior, ex tends over a broad

22 12 A CURRENT APPRAISAL range ofactivities.Naming ispart of the range of in common process. In many typical inquiries into human knowing behavior. One who names states, relates, selects, behaviorthe attempttoisolate and detach separate identifies, orders, systematizes, etc., as aspects and phases "reals" and then somehow bring them together yields of things and events are differentiated. Names are not incoherence,confusion, and aninabilitytomaintain taken as things separate from, and intermediate between, mnsistently the interactional procedure. the or.s:,ism and its environment_ Nor do we accept the To illustrate, conventionally in inquiry into perception, oonventional sharp separation between a word and its "stimulus" and "response" are viewed interactionally. meaning, for making the word, the word=user, and the And yet the attempts to state just what the stimulus is, as word's meaning into separate and independent "reals" is severed from the response, and what both are in relation only too likely to result in hypostatization and insoluble to other aspects and phases of the situation, often fail epistemological _problems about the locus and status of utterly. The following quotation shows the kindof "meanings'and "knowledge." Nor do we imply the difficulty encountered: alightest finality in naming; as inquiry progresses we find changes and improvements in earlier naming. "Stimulus: A keyconcept, or ratherseto Within naming, some names are considerably more concepts, used in a great many ways in psychology useful than othem. "Specifying" is that part of naming and within the pages of this book. For purposes of behavior concerned with increasiney useful differentiating this chapter, the term refers to a unit of sensory among aspects and phases of things and events, and more inputfor example, some definable unit of light consistentlyaccurate naming of them,asistypically falling on and exciting the receptors in the retina of found insuccessfulscientificinquiry.Even the best theeye.Evenwithinthisnarrowdefinition, scientific specifications are not taken as final. All aspects however, complexities inevitably arise in specifying of scientific achievement are subject to possible change, the unit. correction, improvement, or abandoninent. "The unit of input may be defined by the "Describing" is expanded naming of more than one environmental object that serves as the immediate aspect or phase of some thing(s) or event(s), including source of energy, as in the statement: 'The stimulus reladons among them. Useful descriptioris are a primary was a red ckele three inches in diameter.' But aid in communication among humans and in one's own defining the object clearly does not specify what reflections. Much scientific inquiry is directed toward the happens in the eye, for any environmental object development of more and more complete and useful can project an infinite variety of patterns onto the descriptions. Descriptions often are linked together in an retina, and various objects can produce identical "If...then..." form in warranted assertions and provide projections. Furthermore, as we shall see, the unit humans with the information necessary to predict and as experienced by the observer is something else control events within or without the body, including again, and cannot be inferred Erectly from the adjustive behavior to events beyond our control. environmental object or the retinal pattern. (For As tentative descdptions are developed in inquiry about example,a man may'see'his wife or 'hear' uniformities of relationships or patterns of connections, footsteps when neither would be inferred by other the adequacy of the descriptions arc tested by means of observers)" (Bernard Berelson and Gary A. Steiner, measured changes occurring among things and events. HumanBehavior:AnInventoryof Scientific Logical implications of the conjectures lead to still further Findings, New York, Harcourt, Brace & World, measurementsofchanges.Frequently,mathematical 1964, pp. 87-88.) symbols are used to state the conjecture in shorthand form, to develop its logical implications, and to record Here, in the space of a few lines, we see that even therelevantdata.Providedthat the situation being within the authors' "narrow definition," the unit of investigated is such that mathematical tramformations are sensoryinput refeffed to may be an "environmental plicable,those transformations may greatly facilitate object,"ora"sensoryevent,"ortheperceiver's e development and testing of conjectures. experiencing of something as a unit. The apparently Inthehistoryofinquirywe findthree general straight-forward and common-sense sharp separation of procedures of inquiry,which(following Dewey and stimulus and response simply breaks down in inquiry Bentley) we call the self-aelional,the interactional, and when one attempts to say what the two are and how they the transactional. are differentiated from each other and from other parts hi self-actional procedures, Mdependent powers, actors, of the situation. This is not to say that what we start out or causes are assumed tofunction on ill& own. A with as stimulus is identical to what we start out with as primitiveexample is describMgthunderboltsasa response, but rather that focusing attention on the full consequence of Zeus' anger. Still prominently on display process in a Ecld in which the aspects and phases are in are attribufions of human behavior to the free action of a common process avoids the entanglement Berelson and mind. Steiner describe. In interactional procedures, presumptively independent In an effort to avoid such entanglements, we suggest it things come together Ln causal interconnection. Within a isuseful to begin by seeking agreement- on names for field of activity, isolated elements, substances, units, or things and events we can observe, so that we do not constituentsof some type are assumed to have an always have to repeat a longer description. independent existence and thento interact with each If we use "cosmos" to name the sum total of things we other. Examples are the sevenng of a word's rneanin cansee,taste,hear,feel,and smell (often aided by from the functioning of the word in human behavior, an instruments), including relationships among those things, accounts of behavior in which selves arc said to interact we can then differentiate among the many things in with other selves or with a detachable environment. cosmos the living things, which we name "organisms." In transactional procedures, "transaction" is the name Among the organisms, we differentiate further and use for the full cngoing process in a field where all aspects the name "man" for ourselves, our ancestors, and our and phases of the field, including the inquirer himself, are progeny.

2 3 PROCEDURES OP INQUIRY 13 In observing the transactions of loan with other aspects E. SU MARY and phases ofthe cosmos, we note thetransactions named"eating,""breathing,"etc.Wealsoobserve During man's long history, many different procedures transactions typical of man but found infrequently or not of inquiry have been used. Marry inquirers seek plausible, atallinother organisms. Such transactions involve intellectually satisfying reports, and are confident that at processes in which something stands for or refers to leastsomecorrectresultscanbe achieved through something .else. We name these processes "sign.behavior" ratiocination alone, through an appeal to intuition, etc. or signtor short. But such procedures repeatedly have led to confusing, Sign-behavior isthetype of transaction that distin- incoherent, and conflicting recommendations about solu- guishes some behavioral from physiological processes; i.e., tions to problem situations. a knowing transaction from eating,digesting,etc. No We have attempted to describe more useful procedures ultimateor absolute separationissuggested,for sign of inquiry, the outcome of which is the development of processes always include physiological processes and may warranted descriptions of things and events, including the affect them, as when the reading of a message containing connections among them. Those procedures, as developed bad news affects respiration. We use "sign process"as the to date, may be summarized as follows: name for the whole process, not asthe name of one Knowing as human behavior extends over a broad range aspect only. "Sign."is sometimes used torefer tothe of activities. thing that stands for something else (smokeas a sign of Naming is the name applied to part of this broad range fire), but we use "sign" as short for "sign process" andas of human behavior. including the full situation. Humans behaving within the naming range of knowing Signprocessesincludesignaling(asinbeckoning, apply names to aspects and phases of things, including frowning, etc.), narning (as found generally in speaking events. and writing), and symboling (as in symbolic logic and Specifyingisthe name applied to part of naming mathematics).Withinnaming, wedifferentiate cueing behavior; that part concerned with increasingly useful cries, expletives, interjections, etc.), characterizing (every. differentiatingamongaspectsandphases ofthings ay practicalnaming), arid specifying (the increasingly including events, and more consistently accurate naming useful differentiating arid naming of aspects and phases of of them. thingi and events). Describing isthe name applied to expanded naming, Modern inquiry (sometimes labeled scientific), then, is that is, to naming more than one aspect or phase of some humanknowingbehavior.Humanbehasioris riot thing(s) or event(s), including connections among them. separated from the rest of the cosmos and is investigated Mathematical symboling as used in knowing behavior is by the same method as used for nonhuman things and shorthand specifying. For example, the symbol 2 can he events. The centralrole of sign processesiu human used as the shofthand name for two similar aspects or behavior adds to the kaportance of adequate communica- phases of things or events, or as the shorthand name for tion when human behavioristhe subject matter of second in some rank-ordering of aspects or phases. inqiiry. As yet, man has not succeeded in differentiating all the We make no claims to originality for the views on aspects or phases of any thing or event. Therefore, all inquiry in this chapter. Many workers have made many of naming involves what is commonly named "alstracting." the same keypoints. For example, the 19t.h century Even the most accurate specifying and the most extensive English mathematician and philosopher of science, W.K. describing possible today should not be assumed to be Clifford, said in his address to the Bntish Association in final and complete indie sense of having named or 1872: described all that ever can be known concerning any thing or event. "Remember, then, that [scientific thought] is the The procedures of inquiry include measuring changes guide of action; that the truth which it arrives at is ariddeveloping tentative conjectures, sometimes called not that which we can ideally contemplate without hypotheses,about theuniformities and discrepancies error, but that which we may act upon without found among measured changea. Such conjectures suggest fear; and you cannot failto seethatscientific additional measurements of changes, which in turnmay thought is not an accompaniment or condition of suggest modification of earlier conjectures. When con- human progress, but human progress itself." ("On firmed by sufficient measurements of changes, conjectures the Aims and Instruments of Scientific Thought," are finally accepted as theory; that is to say, as adequate contained in Leslie Stephen and F. Pollock, eds., descriptions of what happens under certain circumstances. Lectures and Essays, London, Macmillan, 187'1) Modern inquiry, sometimes labeled scientific, is human knowingbehavior,largelyinthe namingrangeof ChadesPeirceand WilliamJamesalsohelped to knowing, concerned with describing what happens, has develop some of the main points we have made. The happened, or might happen under specified circumstances major contributiontodate has been made by John in order to facilitate useful corktrol over future events Dewey and Arthur F. Bentley. In many respects their when practicable, including adjustive control of human work isstillfar ahead of other work in the field, and behavior to external events. assimilation oftheir achievementsisfar from being The following stages occur in the course of inquiry: achieved. (See Dewey, Logic: The Theory of Inquiry, 1. The inquirer becomes aware of a problem situation. New York, Ilok, 1938; Dewey arid Bentley, ICnowing and 2. Ile observes some facts that appear to be pertinent. the Known, Boston, Beacon Press, 1949, paperback ed., Vaxious aspects and phases of the situationare differen- 1960; Bentley, Inquiry into inquiries, Sidney Ratner, ed., tiated, some changes among themare measured, and a Boston, Beacon Press, 1954; and Sidney Ratner, Jules tentativepartialdescription of whatishappening is Altman, and James Wheeler, eds, John Dewey and Arthur berm F. Bentley: A Philosophical Correspondence, 1932-1951, d. In noting connections amongsome of the things New Brunswick, Rutgers University Press, 1964.) observedandmeasured,otherconnections may be 14 A CURRENT APPRAISAL ed. Tbe inquirer focuses on what seem to be the more adequatedescription. These procedures of runentaspectsaridphases ofthesituation,and observation,reconsideration,renewed observation;i.e,, evelops a conjectureasto what may happen under theinterweavingorreciprocalstimulationof what specified circumstances. aresometimescalledempkical observations andthe 4. That conjecture may involve otherfacts to be formulationofhypotheses,may berepeated many observed, perhapsincluding somefacts originallynot times in succession. believed to be pertinent. As the inquirer proceeds, he may 8. Finally,if theinquirerissuccessful, a descrip- find that the oriOnal problem situation is quite different tion _adequateforresolvi-ngtheimmediate problem than it first had seerned. situation is developed. 5. Thetentativedescriptionof what happensis 9. _Furtherinquiriesmayfurthersupplementthe supplemented and_ perhaps revised. Transformations via description of what happens;in some instances new verbal or rn.ithernatical logic may he ased. What were inquiries may reveal aspects or phases that force drastic earlier taken as facts may be revised or rejected. amendment of the best earlier description. 6. Perhaps another conjecture occurs to the inquirer 10. Inquir_hasnonecessaryend. A complete aboutpossilleenimecfionsamongfacts,including description of even a simple problem situation apparently measured champs. never has been achieved and may never be, but an 7. Investigation of the new conjecture requires further adequatelyusefuldescriptionisthegoalof modern observation and perhaps results M the development of a scientific inquky. IL PSYCHOLOGY*

I. WORKING DESCRIPTION OF "Psychologyisactually what psychologists du THE FIELD and teach:definedbriefly,itisthe science of human and animal behavior, both individual and 13 SYCHOLOGISTS inquire into human and animal social. To expand this definition, psychology is the behavior, with emphasis on both the individad's systematic study, by any andall applkable and adjustive procedures and the evolution of those fruitful methods, of organisms in relation to their adjustments within a species. Behavioral pmcesses such as behavior, environmental relations, and experience lealniog, speaking, perceiving, etc., are investigated, with Itspurposeis to discover facts,principles, an considerableattentiongiventothe measurement of generalizations which shallincrease mart's know,I. individual differences in those processes. On the one side, edge,understanding,predictiveinsight,directive sychological inquiry merges with physiological and other wisdom and control of the natural phenomena of iological ioquiry; on the other, with inquiry into group behavior and experience, and of himself aod dse behavior- social groups and institutions in which and thto which he functions." (The Place of Psychology in 2. OTHER DESCRIPTIONS OF THE an ideal University. Cambridge, Harvard UniversitY FIELD Press, 1947, p. 2.) Modern psychology had its inception in Germany with The followiug quotation illustrates the wide tante of GustavFechner,Hennann Ebbinghaus,and Wilhelm contemporary psychological inquiry: Wundt. In America psychology began with William James' establishment of a laboratory at Harvard. James described "Our subject matter has become quite boundles0: psychology AS "the science of mental life, both of its muscle twitches and wars, the sound of porpoises phenomena and of their conditions." (The Principles of and problems of space, the aesthetic qualities of Psychology, New York, Holt, 1890.) Understood earlier as tonesarid sick minds, psychophysics and labor "the science of consciousness," in the twentieth century turnover. 'The range of organisms involved in Lite thefield was viewed by most psychologists as "the studies of these problems extends from pigeons to science of behavior." John Watson said that psychology people, from amoeba to social groups." (aidse 0. "is a purely objective, experimental branch of natural Webb, "The Choice of the Problem,' Antericati science." ("Psychology as the Behaviorist Views it," The Psychologist, Vol- 16, 1961, p. 223.) Psychological Review, Vol. 20, 1913, p. 176.) Some commentators emphasize the behavior of the A not atypical description of the field is found in the individual as the main object of study. M. Brewster Smith recent survey of behavioral sciences sponsored by the says that in psychology "what runs through art otherwise National Academy of Sciences and the Social Science heterogeneoushistoryisa pervadingfocusonthe Research Council: indMdual." ("Anthropology and Psychology," in John Galin,ed., For aScience of Social Man, New York, 'Psychologyis usually defined as the seieutifik Macmillan, 1954, p. 33-) And Walter Reitman describes studyofbehavior.Itssubject matter includes psychology as the study of the "individual in interaction behavioral processes that are observable, Both as with hisienvironment."("Psychology,"inBertF- gestures,speech, and physiologicalchanges, and Hoselita, ed., A Reader's Guide to the Social Sciences, processesthatcan onlybeinferred,such SS rev. ed., New York, Free Press, 1970, p. 93.) thoughts arid dreams. Psychology occupies a ctuchal Others maintain that social behavior isalso part of position among the disciplines that endeaven, psycholohieal inquir". In any event, a total separation of understand :oar scientifically.It is in Part the individual and the social does not seem possible. As science, closely related to biology and psychiatry, B.B. Wolman points out, even "purely" physiological for it studies the behavior and mental functions of events involve an environment. (Contemporary Theories living organisms. It is also a social science, telated to and .Vstents in Psychology, New York, Harper, 1960.) anthropology, sociology, and political science, for it And Hadley Cantril argues that there can be "no 'person' des witht behavior in complexsocialeriviroll' except for an 'envirorunent,' nothing 'subjective' except ments." (Kenneth E. Clan and Geor.e A. Miller, for what is `objective,' nothing 'personal' encept for what eds., Psychology, Englewood Cliffs,PrerItice11sall, is 'social.' " ("Toward a Humanistic Psychology," ETC., 1970, p. 5.) Vol. XII, 1955, p. 280.) Sometimes descriptions of thefield of psychological Inrecentyears,however, some psychologists have inquiry are so broad as to include all, or practically all, beguntorejectthe type of scientific procedures of the behavioral fields. A special committee at Harvard, for inquiry so successfully applied in the physical sciences. example, said: RH. MacLeod, who urges the use of a phenomenological method, insists that "consciousness" can and should he *We are grateful to William K. Estes tor his thorough criticism of studied, and saysthatto bea scientist 'is to have the original version of this chapter.In our revision we have boundless curiosity tempered by discipline." ("rherione- adopted many of his proposals and have incorporated many of his suggested wordings. However, he might well disagree with many of nology," in WT. Vann, cd, Behaviorism and Phenane- the judgments we have made; consequently the chapter should not nolagy;ContrastingBasesforModernPsycho/MY, be taken as representative of his views, Chicago, University of Chicago Press, 1964, p. 71.) Others 1 a

26 A CURRENT APPRAISAL have defended in psychological inquiry the mentalism Behavior in Animals and Men,New York, urged by Noam Chomsky in linguistics, or have developed Appleton, 1932). Later sonic of the leading ideas oftheethologists, existentialist and humanistic approaches that arenor .u- notably K.Z. Lorenz (King Solomon'sRing,New York, tific. (See John Shotter and Alan Gau Id, "The Delent,e of Crowell, 1952) and N.Tinbergen (The Study of Instinct, Empirical Psychology," American Psychologist,Vol. 26, Oxford, Clarendon, 1951), led to increasedinterest in 1971; William D. :Hitt, "Two Models of Man,"American analyzingdifferencesinbehavior organization Psychologist, among Vol. 24, 1969; AbrahamH. Maslow, "What species and in studying animal behaviorin closer relation PsychologyCan Learn from the Existentialists," Ch. 2 of to its natural settings. his Toward a Psychology of Being, NewYork, Van (3) General Experimental Psychology.Sensorypsy- Nostrand Reinhold, 1968; and Charlotte Buhler, "Basic chologywas the first subdiscipline to develop substantial Theoretical Concepts of Humanistic Psychology," experimental and quantitative methods, beginning with American Psychologist,Vol. 26, 1971.) the work of G.T. Fechner, H.L.F. Helmholtz, and W. Wundt.(SeeE.G. Boring, A History of Experimental 3. METHODS AND TYPES OF INQUIRY Psychology,2nd ed., New York, Appleton-Century-Crofts, 1950.) Much work in this tradition has remained closely A eross-sectional view of the field of psychologycan be aligned with physiology, leading to quantitath,ely stated gained by looking at the principal subdisciplines that have conjectures about receptor processes (for example, J.C.R. arisen in response to different Ittorical traditions. Licklider, "Three Auditory Theories," inS. Koch,ed., (1)Developmental and Experimental Child Psychology. Psychology: A Study of a Science, Vol.1, New York, For a long penod child psychologists primarily observed McGraw-Hill, 1959; M.H. Pirenne aid F.H.C. Marriott, childrentoget information about the maturation of "The Quantum Theory of Light and the Psychophysiol- various skills and capacities. (A. Gesell and F.L. Ilg,The ogy of Vision," inKoch, op. cit.)and to the exploration Child from Five to Ten,New York, Harper, 1946; F.L. of basicphysiological and biochemical processesfor Goodenough,DevelopmentalPsychology,New York, example, R. Granit,Receptors and Sensory Perception, Nc Appleton-Century, 1934; L. Carmichael, ed.Manual of Haven, Yale University Press, 1955; S.S.Stevens andH. Child Psychology,New York, Wiley, 1954.) More recently Davis, Hearing,New York, Wiley, 1938; C. Pfaffmann, "The workersinibisfieldhave combinedobservational, Afferent Codefor Sensory Quality,"A merican Psychologist, experimental, and "theoretieaf'procedures.(SeeL.P. Lipsitt Vol. 15, 1960). and C.C. Spiker,Advances in Child Development and Other work in sensory psychology has led to the various Behavior, New York, Academic Press, 1963, 1965, 1967.) branches of psychophysics and, more recently,signal Much current work isinfluenced by and directed by detectabilitytheory.(See,for example, S.S.Stevens, leadingideasfrom JeanPiaget(The Language and "Mathematics Measurement andPsychophysics," in S.S. Thought of the Child,New York, Ilarcourt, 1926), from Stevens, ed., ilandbook of Experimental Psychology, New work in linguistics (T. Bever, "The Cognitive Basis for York: Wiley, 1951; j. Swets,ed., Signal Detection and Linguistic Structures 'in J.R. Hayes,ed., Cognition and Recognition by Human Observers,New York, Wiley, 1964.) Language Learning, NewYork, Wiley, 1970), and from The study of perception, originally almost indistinguishable developments in general learning and behavior theory* from work in sensory psychology, has branched out into the W,K.Estes, Learning Theory and Menial Development, behavioral conjectures of C.H. Graham and his associates ewYork, Academic Press, 1970). Cross-cultural compari- (Vision and Visual Perception,New York, Wiley, 1965), the sons of cognitive development in children raised in very phenomenological procedures ofJ.J. Gibson(The Perception different cuctimstances is an important new trend in child of the Visual Vorld,Boston, HouOi ton, 1950, ) and various psychology. (M, Cole, J. Gay, J.A. Glick, and D.W. Sharp, limited quantitatively elaborated hypotheses. Current active Culture and Cognitive Processes,New York, Basic Books, arch fields concern perceptual learning (E.J. Gibson, 1971.) Principles of Perceptual Learning and Development, New (2) Comparative andPhysiological Psychology.For York, Appleton-Century-Crofts, 1969) and visual informa- several decadesfollowing the pioneering_ works of CI. tionprocessing(R.N.Haber,InformationProcessing Thorndike(AnimalIntelligence, New York, Macmillan, Approaches to Visual Perception, New York,Holt, 1969). 1911), J.B. Watson (Behaviorism, New York, Horton, (4)Learning.Research on learning prior to about 1940 1925), and R.N1. Yerkes ("The Mental Life of Monkeys was dominated by Pavlov's work in conditioning, by andApes,"Behavioral Monographs,Vol.3, 191 association theory as interpreted by Thorndike, and by research in mimal behaviorwas largely concerned wit the largely eclectic functionalist traditionas represented intensive analyses of particular laboratory situations, such byR.S.Woodworth(ExperimentalPsychology, New as the multiple T-maze, the problem box, or the "Skinner York, Holt, 1938) and J.A. McGeach(The Psychology of box," for a few selected species of animals, most often Human Learning, New York, Longmans, 1942).During the albino rat.Relativelylittleattention was given to the next decade research was concentrated heavilyupon differences among species and phyla.Severalgeneral animalsratherthan upon human subjects, and was learning theories were developed, notably those of Clark organized and directed largelyin terms of the learning L. Hull(Principles of Behavior, NewYork, Appleton, theories of C.L. Hull, E.R. Guthrie, B.F. Skinner, and the 1943), B.F. Skinner(The Behavior of Organisms, New controversies involving them. More recentlythere has York,Century,1938),andE.G.Tolman(Purposive beeninerea.singattentionto human memory, verbal *In discussingthehistorical development of psychology and learning, and so-called "concept" formation. (Much work rdated matters, for the reader's convenience we use conventional on "concept" formation inquires into the application of labels such as "learning theory," -Freudian theory," "Weber's narnes to what is common to a class of things, as when a Law," etc. We wish, however, to draw attention to the differing young child learns that both men and applications of -theory"; a name applied sometimes to highly women ue people speculative conjectures, sometimes to the best warranted assertions (5) Per.sonality and social psychology.Thefieldof avAable, and sometimes to assertions intermediate between those personalityoriginallywas asubfieldofdifferential extremes. -Law" also sometimes turns out to have been applied psychology, investigatod either in terms of typologiesor to unwarranted conclusions. (See Section 8 on terminology.) trail organizations. (See A. Anastasiand J.P. Foley, Jr., P3 YUIVLOC r I Differential Psyehnlogy, New Y orkNlacmilhm, spectivedata,aslonirasthe resulting hivpuutituu are More recently, inquirer3have turned strongly toward the testable, airectlyir inSireetiv, study of motivational processes in the individual. Major Eihvin G. Boring summarizes a widek lutlul influences have been psychoanalytic theor,Kurt Ecivin's topological procedures (I Dynninie Theory of Per- "The fundamental principle here is that science sonaht trans. by D.K. dams and K.E. Zener, New York, deals only with public information, and, whatever leGraw-Ilill,1935), and general behavior theory (John privateconsc iousness may belike,itgets into Dollard and N.E. Miller, Personality and Psychotherapy, science only by publication of sonic sodby the NewYork,McGraw-Ilill,1950).Concurrentlysocial words or gestures or other behavior of the organism psychologists have developed experimental techniqnes; the towhomtheconsciousnessbelongs.Eventhe mainlinesofresearchconcernattitudesandtheir loicouseionsis tapped by die psychoanalysts only determinants, thinking and knowing processesofparti- through the use of words or other behavior. This bit cular rdevanceforinterpersonal relations, and study of of behavioristic logic put the American psychol- relations in small groups. ogists at case, allowing, most of them to go all out forbehaviorism."("Psychology,"inJamesR. SchoolsofJ'svcIzolog Newman, ed., What is Science?, New York, Simon and Schuster, 1955, pp. 300.301.) During die first half of die century several distinctive schools or systems of psychology developed concerning Behaviorism,in extreme or mild versions, has been the subject matter and objectives of psycholog. (See R.S. challengedfrom vadous points of view, Some recent Woodworth, Contimtporary Schools of Psychology,rev. alternatives to behaviorism are gestalt psychology, psycho- ed., New York, Ronald, 1948.) Many of those schools analysis, existentialist and phenomenological psychology, have since been abandoned CalthouOi traces persist), and humanistic psychology, and transactional psychology. in general schools of the older type no longer exist.Iii b) Gestalt psychology. Gc$talt psychologists suchas the sense of clou-aeteristic points of view, however, there Max Wertheimer (Productive Thinking, New York, Harper, are distinctive groupings of contemporary psychologists. 1945), Wolfgang Kohler (Gestalt Psychology, New York, a) Behaviorism. Many leading American psychologists Liveright,1929), mid Kurt Koffka (The Growth of the todayarc sympathetic to some form of behaviorism, Mind, translated by RM. Ogden, London, Kegan Paul, deriving from the early version presented by John Watson 1924) denied that psychological processesare composed in 1913 of discrete elements that can be discovered bya reductive analys, mid focused on dynamic processes of integration -Psychology, asthe behaviorist viewsit,isa and selective organization. Kurt Lewin's workon life purelyobjective,experimental branch of natural space" and "fieldtheory" generated considerabledis- science which needs introspection as little as do the cussion. (See his "Behavior Development as a Function of sciences of chemistry and physics ...The behavior the Total Situation," in Carmichael, op. cit.) of animals can be investigated without appeal to The language used bythegestaltpsychologiststo consciousness, ...Thebehaviorof man andthe describe their -holistic" methods was sometimes obscure; behavior of animals must he considered on the same considerable emphasis was given to phrases suchas "the plane.. , ." (Watson, 1913, op. cit., p_ 176.) wholeisgreater than the sum of itsparts." Gestalt inquiry may be more adequately describedas inquiry that Watson wasinterested in giving a motoror focuses attention primarily on relationsamong things physiological account for Al psychological behavior. His constitutingapresumedwhole,ascontrastedwith positionis sometimes called "meehmiistic behaviorism" focusingattentionontheaspectsandphasesof and has some similarities to Ivan Pavlov's "reflexology." differentiated parts. Functioning systems and subsystems Another type of behaviorismgoesstillfurther. The areeie units observed and described, rather than the "physicalists" search for physicochemical bases for human components of those systems. Although there has been behavior andbelievethateventuallypsychologywill much criticism of gestalt speculation,- the. experimental become part of physics (i.e., thc -laws" of psychology work in perception done by gestalt psychologists is useful will he reducible to physical laws," or the language" of and highly regarded. physics will suffice to "explain" psychological c) Psychoanalytic psychology. Many psychological in- phenomena, or that in some other way behavior will be quiricsareconcernedprimarilywithactivitiesand fully describable in physical terms). processes characteristic of thinking and knowing behavior, Many recent behaviorists take a broader view. Edward believedto be common toallnormal individuals, but C. Tolman preferred the label "purposive behaviorism" psychoanalysts emphasizethe motivational determinants and emphasized inquiry into goal-directed behavior, such of behavior and deviations from the norm ("psycho- as that of an animal in a maze. Ile argued that the use of pathology"). The term "psychoanalysis" is used in several "intervening variables" makes possible the description of ways.It may refer to Sigmund Freud's insistence that behavior in terms of functions that are not themselves repressed factors in the unconscious account for much directly observable. behavior, tohistechniquesforinvestigatingsuch Clark L. Hull championed hypotlietical-deductive pro- phenomena, to his treatment of his patients,or to the cedures allowing for experimental testing. (Hull,op. cit.) generalproeedurescharacte6sticofFreudandhis Although much criticized, his work is often viewedas an followers. excellent example of theory construction in psychology. For Freud human behavior was influenced bycon- Burthus F. Skinner remains the outstanding exponent of flicting impulses of love and hate, sexual motivation, the "radicalbehaviorism" and "operationisrn." (See Verbal "id,"'libido," etc. The motives of human behavior, he Behavior,New York,Appleton.Century-Crofts,1957; maintained,arebiologicallygeneratedandundergo "Behaviorism at Fifty," Science, Vol. 140, 1963.) Most progressivechangesasaresultofsocialpressures, recentbehaviorists arewillingto make use of intro- especiallyin the early years of lifeas the "superego" A CURRENT APPRAISAL develops. These processes result in rivalries between children humanistic psychotherapist." (Buhler, O. Lit., p. 380.) and puents, between siblings, and so on, and may lead to ThelateAbrahamH.Maslowwastheleading neurotic reactions such as substitution, frustration, regres- yn-oponentof humanistic psychology, which he saw as a sion, and fixation. Neurotic behavior patterns can sometimes "thirdforce"thatwould build on, but surpass,the be overcome with great effort, but only if the person becomes viewpointsofbehaviorismandpsychoanalysis. In aware of and adjusts to his "true situation. In Freud's Maslow's opinion,thepsychoanalyticpsychologists therapeutic method, the patient's free association and his derived their notions of human poten6ality from a study dreams, humor, slips-of-the-tongue, etc., are interpreted in of poorly functioning or pathological people, while the order to uncover unconscious moaves and conflicts. behaviorists overemphasizedstatisticalaveragesindis- Manylaterpsychoanalysts deviated from some of cussing "normal" behavior and minimized the norms of Frend's views and interpretative principles. Alfred Adler successfullyfunctioning humans.In contrast tothose founded "individual psychology,a branch of psycho- views,Maslowadvocatedinquiryintohealthy,self- analysis that emphasized striving for power and its role in actualizing humans, such as "saints, sages, good leaders, personality development. Carl G. Jung emphasized the responsibles, ...strong men, winners rather than losers, "collective unconscious" and "archetypes" as part of a constructorsratherthandestroyers... (Towarda biologicalinheritance.Karen Homeyadvocatedthe Psychology of Being, 2nd ed., New York, Van Nostrand importance of "self-development" in relationships with Reinhold, 1968, p.iv.) Maslow's work had considerable others.Erich Fromm stressedsocial,economicand appealfor many psychologists (especiallyclinical and cidt111-al factors,andHarryStackSullivanadopted applied workers) who believed academic psychology was "interactional"procedures.Ruth Monroe's Schools of becomingincreasinglyirrelevant,and he was elected Psychcanalytic Thought: An Exposition,Critique, and President of the American Psychological Association for AttemptatIntegration(New York,Dryden,1955) 1967-1968. prevides a useful account of the psychoanalytic schools. Inhishierarchyofneeds,Maslowdifferentiated Many scientificallyorientedinquirerswere severely betweenbasic(ordeficiency)needs,whichinclude critical of psychoanalytic conjectures, not least because physiological needs and needs for safety and secmity, love those conjectures chaxacteristically, were stated in ways and belongingness, self esteem and esteem of others, and that were not subject to empirical testing. Recently there growth (or Being or meta-) needs, such as meaningfulness, have been attempts to reformulate psychoanalytic prin- self-sufficiency, justice, truth, goodness, beauty, etc. In a ciples in empirically testable ways. (See especially Albert social setting in which the basic needs are easily gratified, Ellis, "An Operational Reformulation of Some of the the emphasis can be placed on the meta-needs; Maslow Basic Principles of Psychoanalysis," in Herbert Feigl and believed that under those circumstances the good of the Michael Scriven, eds., Minnesota Studies in the Philosophy individual and the social good "can come closer and of Science, Vol.1, Minneapolis, University of Minnesota closer te being synonymous rather than antagonistic." eress, 1956;B.F.Skinner'scritiqueoftraditional (Ibid., p. 221.) psychoanalysis,Ibid.;andR.R.Sears,"Experimental Maslow also believed that a normative psychology was Analysis of Psychoanalytic Phenomena," in J. McV. Hunt, possible in which a study of healthy people would- reveal ed., Personality and !he Behavior Disorders, Vol. 1, New the values that should be accepted; there is a scientific York, Ronald, 1944.) basis for moral principles and responsible behavior. (For a d) Existential and phenomenological psychology. The recent account of Maslow's work and its extension to outgrowthof existentialismfrom phenomenologyin "responsthility psychology," see Frank Goble, The Third philosophyhasbeenparalleledinpsychologby Force, New York, Pocket Books, 1971.) phenomenological and existentialist procedures of inquiFy. f) Transactional psychology. Stemming from Knowing For present purposes those developments can be grouped and the Known by John Dewey and Arthur Bentley together. Psychologists supponing this general tendency (Boston,BeaconPress,1949, paperback ed.,1960), oppose the'objective" procedures of scientific inquiry transactional psychology contrastsmarkedly with andemphasizetheinner,subjectiveworldofthe phenomenologyandexistenfialism.Transactionalpsy- individual.According toDonald Snygg: "Behavior is chologists reject self-action and interaction for the view completelydeterminedbyandpertinenttothe "that man's thought and behavior can be understood only phenomenologicalfieldof the behaving organism. By asprocesses of a'fullsituation of organism-environ- phenomenological fieldis meant the universe, includini ment.' (HadleyCantrilet.at.,,"Psychologyand himself, as experienced by the behaver at the moment. ScientificReseach,III:The TransactionalViewin ("The Needfora Phenomenological System of Psy- Psychological Research," Science, Vol. 110, 1949, p. 517. chology," Psychological Review, Vol. 48, 1941, p. 411.) SeealsoFranklinP.Kilpatrick,ed., Explorationsin Frequently human nature is regarded as unique, and man Transactional Psychology, New York, New York Univer- is viewed as having free will. Some existentialists emphasize sityPress,1961.) Transactionalists emphasize both the the almost total freedom of the "authentic manfrom alteration the organism incurs in transacting with other environmental and even genetic causes and conditions. (See aspects of the envirortment and the extent to which an Rollo May, E. Angel, and H.F. Ellenberger, eds., Existence: individual'sperceptionsareinfluencedbyhispast A New Dimension in Psychiatry and Psychology, New ex pedence. York, Basic Books, 1958; MacLeod, op. cit.; Hitt, op. cit.; Asimilar,"biosociid,"pointof view about psy- and CadFt Rogers, Client-Centered Therapy, Boston, chologicalinquiryhasbeendevelopedby Norman Houghton Mifflin, 1951.) Cameron. Quoting him atleogthwillillustrate many e) Humanistic psychology. Htunanistic psychologis cument methodological issues: closelyrelated to existentialistic and phenomenological psychology.CharlotteBuhlersaysthat"existential 'We have already wasted years of effort in trying considerations form the underlying philosophical basis of to work out the internal structure of a fictitious humanistic psychology," and that to "help the person psyche and its esoteric love life, when we might experience his exLstence as real is the essential goal of the better have been working out the dynamics of the PSYCIIOLOCY organization, disorganizationand reorganization of many respects. Field oluservationis of behavior are often humanbehavior-ofactionand reaction,of supplementedbysystematicpsychologicaltestingat thinking, wishing, loving,hating,learning, fearing_ variousages,asinL.M. Terman's studies of gifted forgetting,avoiding,desiringandhiding-but all children. (Genetic Studies of GeniusStanford, Stanford these studied as the activities of a social organism, University Press,1925.) Scales have been developed that not the dreams of a gliost....This is essentially tile facilitate quantitative descriptions of the development of biosocial point of view. It differs radically from tile both physical skills and intellectual capacities. (N. Bayiey, contemporary psychosomatic approach to the be- -Mental GrowthintheFirst Three Years," Genetic havior disorders by breaking completely with the Psychology Monographs, 1933, Vol. 14; J. Kagan & H. tradition of mind-body dualism. There is no need to Moss,BirthtoMaturity: A Study inPsychological beginbyacceptingtheancient and gratuitous Development, New York, Wiley, 1962.) During the past assumption that an invisible and intangible psyche fewyears investigators have become increasinglycon- lurks within the soma, or is coextensive with it. We cerned with designing experiments to trace developmental begininsteadwithwhat wefind,abiological changes. (See Estes, 1970, op. cit.; Lipsitt and Spiker, op. organism operatingin and by means of a social cit.) environment. We thus create no artificial need to (3) Psychologicalmeasurement.Theconcernwith solve such meaningless conundrums as How does the measurement in psychophysics has ledto theories and soma affectthe psyche? How does the psyche techniques of scaling, with attempts to make relatively influence the soma? And how is nonpsychic reality precise measurements of senscry experiences and of more evercontacted andtestedby aninsubstantial complex behaviors (J.P. Guilford, Psychometric Methods, psyche? These questions are not inherent in the New York, McGraw-Hill, 1954; L.L. Thurstone and E.J. problems which our patients present. They are the Chave, The Measurement of Attitudes,Universityof offspring of psychosomatic dualism and we can Chicago Press, 1929), and, through the early work of J. discard them with their parent. McK. Cattell and E.L. Thorndike (The Measurement of "The point of view which I hsve developed in Intelligence, New York, Teachers College, 1925), to the thisworkdiffersfromclassicalbehaviorismin development of psychological tests widely used in applied rejecting reflexes, instincts and emotions as bulletin psychology (L.J. Cronbach, Essentials of Psychological blocks out of which human behavior was suppose Testing, New York, Harper, 1949). Associated with the to be constructed. It is holistic and analytical rather development of test theory are methodological procedures than atomistic and synthetic....The biosocial inter- for dealing with such characteristics as the reliability and pretation departs from traditional psychobiology by validityof tests and the development of norms. (H. dispensing entirely with the concept of conscious: Gulliksen, A Theory of Mental Testing, New York, Wiley, nessandthedistinctionbetweenmentaland 1950.) nommental." (The Psychology of Behavior Disorders, (4) Mathematical models. The development of experi- Boston, Houghton Mifflin, 1947, Preface.) mental methods in psychology has been paralleled by the growth and elaboration of- mathematical models. The Types of Specific Methods Used earliestmodels having an importantroleinguidin research were the psychophysical "lawsof Weber an Psychologists have devoted considerable effort to the Fechner, which led to such contemporary models as H. development of suitable expedmental, quantitative, and nelson's. (Adaptation-Level Theory, New York, Harper observational methods. An account of the major methods and Row, 1964.) The heavy concentration of research follows. upon problems of intelligence and the organization of (1) Genetic methods. From the beginnMgs of psy- "mental abilities" during the early years of this century chology as a separate discipline, a major cluster of issues led rapidly to the flourishing of factor analysis, which has hascenteredaroundtheproblemofanalyzing the continuedto beatechniquewidelyapplied.(L.L. contributions of heredity and environment to behavior. Thurstone,MultipleFactorAnalysis,Universityof Initially, relevant information carne largely from family Chicago Press, 1947.) In the areas of perception, learning, history studies, an important refinement of which is the andcommunication, much attenfion has been given method of co-twin control utilized M efforts to ascertain during the past two decades to attempted applications of the relation of genetic factors to indhridual differences in infonnationtheory(W.R.Garner,Uncertaintyand intelligence and personality. (H,D. Carter, "Ten Years of Structure as Psychological Concepts, New York, Wiley, Research on Twins," in 39th Yearbook of the National 1962), probabilistic and statistical models, and game and Society for the Study of Education, 1940.) decision theory (R.D. Luce, R.R. Bush, and E. Galanter, Thesetechniqueshave beensupplementedtoan Handbook of Mathematical Psychology, New York, Wiley, increasing extent by selective breeding studies with lower Vol. I, 1963; Vol. 2, 1965). organisms, beginning with relatively crude efforts of R.C. (5) Experimental analysis.Specific lines of develo Tryon and others to develop "maze brighr and "maze ment within this broad domain include operant con 1- dull"strains of rats ("GeneticDifferences inMaze- tioning proeedures (A.C. Catmia, Contemporary Researez Learning AbilityinRats," in 39thYearbook of the in Operant Behavior, Glenview, Scott-Foresman, 1968), National Society for the Study of Education, 1940), and the development of multivariate methods (R.B. Cattell, evolving later into more elaborate analyses of genetic ed., Handbook of Multivariate Experimental Psychology, components of variance in simple behaviors of lower Chicago, Rand McNally, 1966), and the exploration of organisms(J.L.Fuller and W.R. Thompson, Behavior the neural correlates of behavior by surgical extirpation Genetics, New York, Wiley, 1960). techniques and by direct electrical stimulation of the (2) Longitudinal methods.Originally simply observa- brain(S.P.Grossman, A Textbook of Physiological don of children over considerable periods of time in order Psychology, New York, Wiley, 1967). togaininformation about the maturation of various (6) Field observational studies.Field observation of capacities, the longitudinal method has become refined in both animal and human behavior has been progressively 20 A CURRENT APPRAISAL improved w.th the development of photogaphic tech- quantitative theory nif Iluevich andIlurvich(C.II, niquesand rating scalesmethods forquantify ing (-,;raliani, "Color Theory," in Koch, 1959,op. cu.)and observations. the investigation byR. DeValois of the specific neural mechanisms involved ;11traiinmiss;on or color information 4.RESULTS ACHIEVED through several levels of the vertAratenervous system ("Behavioral and. Ehmtrophysiological Stitches in Primate The enorinous number of written reports in psychology Vision," in W.D. Neff,ed.,Contributions to.'3ensory makes summarizing difficult, Even Psychologkal.4h.tiracts Ph yshrlogy, NewYork,Academie Press, 1965),In has become volurninous.In this Section we present a auditimi, much work has been done on spatial localiza. sampling of tile type of results achievedor believed to tion, the cochlear intequetation of frequency discrimina- have been achieved, classified under some conventional 60n, arid the volley theory of loudness, (See E.G. Wexer, headings. The results noted should not he confused with Theory of Hearing,New York, Wile), 1949.) the"wan-antedassertiofts"discussed inclapterI, Deveiopments have also occurred in the less frequently althoughmany suchwarrantedassertions have been studiedsensoryareas.Inthecaseof gustation and developed by psychologists. olfaction, the earlier preoccupation with classification of Frequentlyin .a given report we find a mixture of substances giving riseto different experiences bas been warrantedassertions, apparendy good guesses, and fomlowed by studies of neurophysiological mechanisms and speculation. Moreover, many research efforts rest on prior their connections with motivations. (See C, Hoffmann, work that may be problematic. To illustrate, reference ed.,Olfaction and Taste,New York, Rockefeller Univer- will be made to Stanley Schacter's work on obesity, His sit), Press, 1969.) Use ofsystematicobservational researchis impressive in many respects and may have techniques indicatesthatinfants discriminate odors at considerablepracticalimportanceinthecontrolof earlier ages than formerly suspected. (E.g., I Engen, obesity.Ileand a co-worker. decidedlomake a Lipsitt, & II. Kaye, "011actory Responses aml Adaptation point-by-point comparison of his findings on humans with inthe Human Neonate,"Journal of Comparative (Ind thework of others onthe hypothalamic obeserat, Physiological Psychology,Vol, 56, 1963.) The study of Schacter _was nota physlological psychologist, but he tactualvnsationhaspossibleusefulapplicationsin attempted to read everything &bout the appropriaterat developingalternativeroutes of efficientinformation subjects. He says: input for individuals suffering visual or auditory handi- caps. (See F.A. Geldard, The Human Senses, New York, "If you've ever made this sort of attem Wiley, 1961) may have been seized by the same despair as we In psychophysics, the early quantitative work leading were when it sometimes seemed as if there were no to Weber's and Feehaer's "laws" and the notion ofa such thing as a fact thatsomeonehad not failed to noticeable difference"has been followed by a confirm...Andit sometimes seemed as if there family of methods for measuring sensotymagnitudes, were nosuchthuig as anexperimentwhich basedonThurstone'slaw of comparative judgment, so.-rteonehad not failed to replicate.. , .1 cannot say Steven's power law, and Luce's choicetheory (Luce, that I find this particularly surprising, but ifone is Bush, and Galanter, 1963,op. cit.).Gestalt approaches to trying to decide what is the fact,itis a depressing percolation, which led to important findings concerning state of affairs." ("Some Extraordinary Facts about figure-ground relationships and perceptual organization, Obese Human's and Rats,"Anierican Psychologist, haveneen largely superseded by morebehavioral Vol. 26, 1971, p. 132.) procedures (Graham, op.cit.)and a general theory of adaptation level (nelson,op.cit.). D.O. Hebb's neuro- Later Schacter notes that none of the existing accounts physiologicaltheoryhasbeena major influencein of obesityfitall the currently available facts (or what research on sensoty deprivation and developmentalaspects seem to be foes), and he attempts to develop a new of perception.(Organization of Behavior,New York, conjecture or hypothesis that doas. also candidly Wiley, 1949.) Recent trends include the vfrtnal replace- discusses some of the problems his hypothesis encounters. ment of classical threshold theory with applications of the He concludes by attempting to sort out "what I believe theory of signal detectability (Swets,op. cit.),thework we now know, what seems to be good guesswork, and ofJ.J. Gibson on perception of surfaces (op.cit.),and the what isstill out-and-out speculation."(kid.,p. 137, pp. initiation of major research effortson perceptual learnini 142-143.) (E.J.Gibson, op.cit.), the perception of speech,al In what follows, then, the results that appear promising weial influences on perception (F,11. Allport,Theories o may later turn Out not to be useful, and the warranted Perception and the Concept of Structure,New York, assertions achievedareintermixedwitlsome as yet Wiley, 1955), speculative material. Learning and Memory Sensatioii arid Perception I.P.Pavlov'sclassicwork on conditioned reflexes The earlywork of Selig Hecht,followed by the Conditioned Reflexes,trans. by G.V. Anrep, London, contributions of G. Wald, 11, Granit, and ILK. Hartiine, Oxford University Press, 1927) has been highly influen- among others, led to more adequate descriptions of the tial,althoughhisspecificnotions havelargelybeen photochemistry of visin:dreception and otherretinal superseded by J. Konorski's neurophysiologieal theoryof processes basic to vision. (See Pirenne and Marriott,op. conditioning(Integrative Activity of the Brain,Chicago, cit.) The duplicity theory of rod and cone function has University of Chicago Press, 1967) and thebehavioral become well established and helps to account for the theories of Hull(op.cit.)and K.W. Spence(Bchavior processes of light and dark adaptation. The interpretation Theory and Conditioning,New Haven, Yale Unhlersity of color vision has advanced from Ilehnholtz's triehro- Press, 1956). matic theory and Hering's opponent colors theory to the Majorresults includethediscoveryof thepartial

1 PSYCHOLO(; 21 reinforCIMIeniel feet(thatis,increasedresist anceto in Human Learning, New York, Academic Press, 1968), ex tinctionfollowineintermitter! trein foreement);the and the distinction between long and short term memory. conditioned emotiorial response, whielt has served widely That distinctionisfound ina number of models for as a baseline measure in ,tudies of the emotiola effect in men ory that are currently influential. (Sec D.A. Norman, conditioning,the effects of drugs, aml the like OVA. Models for Unman Ment(,n, New York Academic Press, Estes and RE. Skinner, "Some Quantitative Properties of 1970.)Increasing attentionis being given to organiza- Anxiety," Journal of Experimental Psychology, V ol. 29, tional aspects of learning, particularly with reforence to 1941); die phenomnon of "blocking otf conditioning" by free verbal recall. (Sec, for example, W. Kintseli, Learning, L.Kamin;demonstrationoftheimportantroleof Memory, and Conceptual Processes. New York, Wiley, contingencies in conditioning byR. Reso:oda (see N.J. 1970.) Mackintosh and W.K. Honig, eds., Fundamental Lssues in Major lines of possiblepracticalapplication of the Associative Learning,11 ali fax ,Dalhousie University Pro:ss, results of learning theodes include the study of problems 1969); and work on operant behaviorinrelationto of mental retardation (Estes, 1970, Op. cit.); computer schedules of reinforcement (C. Ferster and B.F. Skinner, assisted education (1LC. Atkinson, "Computerized Educa- ScheLiolesofReinforcement, NewYork,Appleton- tion and the Learning Processes," American Psychologist, Century-Crofts, 1957), with its numerous applications to Vol. 23, 1968), and psychotherapy (Dollard and Miller, the shaping of behavior in practical stivations. (in operant 1950, op. cu.). conditioningthesubjectispresentedwithareward immediately following the desired behavior, as when a lion arid Env lion pigeon istaught to walk in a S-shaped path by giving it food whenever it moves in the right direction.) The t_arlypreoccupation with basic emotionsfear, Thegeneralandsomewhat programmaticlearning rage, elation, etc.) construed as unitary entities, and with theories developed by Tolman, Hull, and Guthrie were suchquestionsastheahilityof peopletoidentify important influences upon research in learning during the emotionsfromfacialexpi-essiGns,has given way to period 1930-1950. The difficulty of working with Rich rescarch on the ncurophysiological hases of emotional broadsystemsandthecriticismstheyreceivedon behavior, the tracing of the development of those patterns technical grounds (W.K. Estes etal., Modern Learning inchildhood,and in-depthexperimentalanalyses of Theory, New York, Appleton-Century-Crofts, 1955) led selected examples. to the recent trend toward more limited andquantiLalue Thebeginningsofa usefuldescriptionofthe theories.Someoftheserepresentspecializationsof relationshipbetween emotions and bodilystates was aspects of Hull's theory(e.g.,F.A. Logan and A.R. expressed in the classic James-Langq theory of emotion. Wagner, Rewar'd and Punishment,Boston.Allyn and (SeeR.S. Woodworth, Experimental Psychology, New Bacon,1965) and some are variations or Hull's basic York, Holt, 1938.) Studies of physiological mechanisms pointofview,such asN.E.Miller's"liberalized have uncovered the importance of the thalamus as a basis associationtheory" ("Liberalization of Basic S-P Con- ofprimitivepatternsofemotionalbehavior(R.A. cepts: Extensions to Conflict Behavior, Nlotivation and McCleary and R.Y. Moore, Sahrortical Mechanisms of Social Learning," in Koch, 1959, op. cit.).Stillothers, Behavior, New York,BasicBooks, 1%5) and, more suchasstatisticallearningtheory,involvebasically recently, have led to the notion of reticular activation and different points of view. (See, for example, E.C. Neimark the more general notion of arousal, both of which are and W.K. Estes, Stimulus Samp:ing Theory, San Fran. gi-ien considerable attention in contemporary work. cisco, Holden-Day, 1967.) Experimentalworkconductedlargelywithinthe Thestudyofdiscriminationlearninghas become framework of Hull's behavior theory has concerned the increasingly emphasized, leading to the multiple process importance of fearas an "acquired drive"inanimal theoriesofE.Lovejoy(.4ttentioninDiscrimination learning and the relations between "manifest anxiety" and Learning, San Francisco, Holden-Day, 1968) and of D. learning and performance in human beings. (E.g., Spence, Zeman and B.J. House ("The Role of Attention in 1956, op.cit.) The developmentally-oriented study of RetardateDiscrimination Learning," ia HAI Ellis,ed., emotion is exemplified in J.W.M. Whiting and I. L. Child, Handbook of Mental Deficiency, New York, McGraw-Hill, Child Training and Personality: A Cross-Cultural Study 1969), which have been applied to the study of learning (New Haven, Yale University Press, 1953). in the mentally retarded; to developmental approaches to The firststeps in quantifying aspects of motivation discrimination learning involving mediation (see Estes, wereachievedinC.J.Warden s development of the 1970, op. cit.); and to the notions of "learning set" and obstruction method for measuring animal drives (Animal "learning to learn" arising from the work of H.F. Harlow Motivation: Experimental Studies on the Albino Rat, New ("The Formation of Learning Sets," Psychological Re- York,ColumbiaUniversityPress,1931);later more view,Vol.56,1949). The work of D.E. Broadbent derelopcd techniques were worked out within the context (Perception and Communication, Oxford, Pergamon Press, of operant cundicioning (Skinner, 1938,op. cit.)Using 1958) and T. Trabasso and G.H. Bower (Attention in behavioralstudies,ex tirpationmethods,anddirect Learning, New York, Wiley,1968) has attempted to electricalstimulation of the brain,psychologists have bridgethegapbetweentheformeremphasison studied the subcortical brain processes involved inthe "attention" and other aspects of discrimination leuning. basic drives. (McCleary and Moore, op. cit.; Grossman, op. The increasingly active research on verbal learning and cit.) Combinations of behavioral and physiological pro- memoryhasy ielded numerousfindingsconcerning cedures have been used to study problems such as the probability learning and probability matching (W.K. Estes, motivational control of obesity. (E.g., Schacter, op. cit.) "Probability Learning." in W.A. Melton, ed., ('ategories o_ Combinations of experimental and psychological scaling Human Learning, New York, Wiley, 1964), the functions methods have generated a substantial number of reports ofawareness,taskorientation,andinformationin on achievement motives in both children alid adults. (See determining the effeetiveness of rewards and punishments LW_ Atkinson, An Introduction to Ifotivation, Princeton, (J. Nuttin and A.G. Greenwald, Reward and Punishment Van Nostrand, 1964.) `PP CUR Cogn ii iu II and Tbnoght WS. Zimmermann, "Fourteen Dimensions of Temper' wilts," Psychological Ahmographs, Vol, 70, 195(i.) Theilevelt,jiriitiitof the more complex intellectual Nlore closelyrelated to sinne psychoanalytic theories processes in human beinifs was forlong time dominated are projective tests in which the individualis presented idmost ex cheavely by die work Piaget. (See, for withrelativelyuustructured material,forcxrinple ink example, his Language and MI ,;gh Iof the (:hild. New idols, responses towhich are assumedtoreflect York, Harcourt, 1926.) Nlore rec, i'dy such work has been persooality characteristics.(E.g.,11.Rorschach,Psycho- supplemented by other work ri Iiti goneral learning diagnostics: A Diagnostic Test Based on P('rception, 3rd and bib vior theory are titilisi id 070, lip. . yd., New York, Crime,1942;11.A. Murray, The Thematic amt in which combination.s of experimental and ethno- ,tipperception Test Manual, Cambridge, Ilarvard University graphic methods are it:wit (Cole, Gay, (flick, and Sharp, Press,1943.) A relativelynew aspect of personality op. cit.). At the adult level much recent inquiry has lwen researchdealswiththedeterminants of "creativity," directed toward investigatingtilerole of strategies and utilizing a combination of experimental,_case history, and rules in thinking and problem solviug. (J.S. Bruner, J measurementtechniques.(SeeJ.1),Guilford,"Some Goodnow,and J.A. Austin, A Study of Thinking, New Theoretical Views of Creativity,"inII. Belson and W. York,Wiley,1956;F.Restle,TilePsychology(If Bevan, Contemporary Approaches to Psychology, New Judgment and Choice, New York, Wiley, 1961.) York, Van Nostrand, 1967.) Experimentid work in conjunction with the application Problemsoftheassessmentandorganizationof of mathematical models hw been used in an attempt to "mental" abilities (psychometrics) have traditionally been bridge the gap between learnicg processes having to do treated separatelyfrom the psychology of personality. withdiscriminatio.: and generalization and the more Principallandmarksaretheinitialdevelopment of complexprocesses.(See,tor example,R.C. Atkinson, individual intelligence testing by Binet in the ealy 1900's GM. Bower, andE.J.Crothers, Introduction to Mathe- and the revision and standardization of the scale by Lewis maticalLearningTheory, iNew York,Wiley,1965; NI. Terman. (Op. cit.: see also Q. McNemar,_The Revision TrabassnandBower,op.cit.)Recentlyconjectures of the Stanford-Binet Scale, Boston, Houghton Mifflin, derived fromlinguisticsandcomputerinformation 1942) The same general procedures were extended to the processing have also been used. (Noam Chomsky, "Three development of a widely used adult intelligence scale by Models for the Description of Languagein Luce, Bush, D.Wechsler,(The Measurement of AdultIntelligence, and Galanter,1965, op. ca.; W.R. Re unan, Cognition Baltimore, Williams and Wilkias, 1939.) and Thought, New York, Wiley, 1965.) Group intelligence testing was initialed on_a large scale with the U.S. Anny's Alpha awl Beta tests during World Personalit y WarI,andthegrouptechniquewas subsequently expanded to provide for mass evaluation of aptitude and The studyof personalitydeals withherelatively achievement in school children. The two most distinctive generaltraits or disposikions that characterize an indi- views on the organization of intnlleetuaiabilitieshave vidual's responses to a variety of situations. Personality been the notion of a generalintelligence ("g" factor), psychologists have often used interdisciplinary methods, developed by C.E, Spearman (The Abilities of Matt: Their drawing upon anthropology,sociology, andpsychoanalysis iNature and Measurement, London, Macmillan, 1927), and inadditiontoexperimentaland devdonmentalpsy- themultiplefactorpoint of view(L.L.Thurstone, chology. In itsearlierphasesthepsychologyof "Primary MentalAbilities," Psychological Monographs, personalitywasrather tharply subdivided nito the study No.1, 1938). of modes or mechanisms of adjustment growing out of Many of the personality_ and psychometric tests have psyclioanaly he notions (for example sublimation,displace- been severely'criticized, both asto _details and more ment, and projection) onthe one hand,and, on the generally, and there is a continuing effort to assess and other,theinvestigationofindividualdifferencesin assurethe reliabilityand validity of suchtests. See temperament, traits, and values. Section on Contemporary Controversy.) Thefirstbranch led to studies of the processes of acculturation and socidization ofthe individual. (See, for Social Psychology example,I.G.Sarason, cd., Contemporary Research in Personality, Princeton, Van Nostrand, 1962, and C.S. Hall Considerable effort has gone into the development of and G.Lindzey, Theories of Personality, New York, sampling and survey methods fortheassessment of 1957) The second branch has proliferated into opinions and attitudes, (Sec L. Festinger and D. Katz, several distinct ways of attempting to measurepersonality Research Methods in the Behavioral Sciences,New York, variables. One line of development is represented by the Dtyden, 1953.) A byproductof practical importance is Minnesota Multiphasic Personality Inventory in which the the development of public opinion polls widely used in items comprising various scales are selected solely an the politics and elsewhere. Extensive results concerning the basis of their ability'to differentiate groups of people modification of attitudes and opinions_ were reported in falling in different psychiatric categories (SAL Hathaway die series of _studies by Hovland and associates. (CA. and J.C. McKinley, The Minnesota Multiphesie Personality Hovland, l.L. Janis, and MI. Kelley, Communication and Inventory: Mantml,rev.ed.,New York,Psychological Persuasion: Psychological Studies of Opinion Change, Yale Corporation,1951; W,G, frahlstrom and G.S. Welsh, An University Press, 1953.) WWI Handbook: A Guide to (Ise in Clinical Practice and Studiesofthewaysanindividualmaintainsa Research, University of MinnesotaPress,1(,60). Efforts serviceable, self-consistent set of beliefs in social situations toward extracting major dimensions of personality from have been made. (See L. Festinger, A Theory of Cognitive the results of tests and questionnaires depend primarily Dissonance, Evanston, Row Petersen,I957.)_ Attempts on the methods of factor analysis. (See, for example, R.B. have been made to develop mathematical transformations Cattell, Personality: .1 Systematic Theoretical and Factual that will facilitate prediction of small group interactions. Study, New York, McGraw-Hill, 1950; J.P. Guilford and (E.g.,J. Criswell, H. Solomon, and P. Suppes, Mathe- PSYCHOLOGY 23 ma Lira/MethodsinSmall Group Processes, Staidord, disaster. Such generalizations are dm building a StanfordUniversityPress,1962.)In some instances forallfutu:e advance; lichee the importance of experimental studies with animals have yielded apparently deriving tlwin from the facts in a proper quantified usefulresultsfor human socialbehavior.particularly maimer." (Ibid., p. xiii.) analyses of the effects of early social deprivation upon the development of affeetional systems. llarlow, "The The issue of behavior vs. conscious experience as the Nature of Love," American Psychologist, Vol. 13, 1958.) basic subject matter of psychology for some time seemed to have been largely resolved in favorofa Physiological Psychology "methodological behaviorism" in which "mental" events and processes were treated as behavior or inferences from Developments in biochemistry, parjeularly the "break- observed behavior, and introspection was taken simply as ing" of the genetic code and die discovery of DNA and one technique of observationthat hcd no privileged BINA,haveledtointenseactivitydirectedtoward status.However, therecentupsurge of existentialist, investigating the biological basis of memory by neuro- phenomenological, and humanistic psyeholoo has tended physiological methods, but without much progress to date toreinstatesubjectivistprocedures of inquiry.Such m terms of die development of warranted assertions. With writers often lMk the methodological issue concerning respect to receptor processes and basic drive mechanisms, consciousness to the alleged behaviorist denigration of on the other hand, suhstantial progress has been achieved human autonomy, freedom, dignity, etc. in describing specific neurophysiological and biochemical In what probably is his most controversial book, B.F. mechanisms. Investigatioms of the effects of hormones on Skinner hal; discussed both the methodological issues and behavior have ccrntributed materially to the understanding the larger issues concerning what type of organism the of developmental processes and sexual behavior. (E.g., human is.(Beyond Freedom and Diptity, New York, Ford arid F.A. Beach, Patterns of Sexual Behavior, New Knopf, 1971.) His book represents a sharp attack on York, Harper, 1951.) In the rapidly expandingm-ea of subjectivism and mentalism. He argues that tbe behavioral psychopharmacolog,workershave developedsuch sciences are a century behind the physical and biological practical results as tranquilizers used to control neurotic sciences, primarily because of the persistence of prescien- and psychotic symptoms, and have attempted to develop tificwaysoftalkingabout humanbehavior.The usefulaccounts of psychophysiologicalprocesses.(W. attribution of behaviorto "states of mind" such as Ilimwich and J.P.Schade, Horizons inNeuro-Psycho- purposes, intentions, and aims should be replaced by a pharmacology, New York, Elsevier, 1965.) direct investigation of the relations between behavior and environment. 5. CONTEMPORARY CONTROVERSY Skinner is especially crifical of the conventional notions of human freedomandautonomy,andurgesthat Althoughtheearliercontroversiesrelatingtothe inquirersstudytheobserved,thenatural,andthe development of schools or systems of psychology have manipulable, rather than the inferred, the miraculous, and largely been abandoned, some of the controversies of theinaccessible. He emphasizes thecontrolof the earlier days persist, usually in modified form. environment so that behavior like.), to be punished will One canstillfind numerous instances of the long- occur infrequently or not at all; more control, rattle; than standing controversies between advocates of "hard" and less (as advocated by many critics of behaviorism), is what soft" methodologies, the former amociated with quanti- is needed. tative and laboratory-onented procedures, and the latter Therecentemphasisbysomepsychologistson associated with more intuitive and field-oriented proce- freedom, autonomy, dignity, etc., and Skinner's counter- dures. Some of the most severe criticisms have been made attack,suggeststhatthe whole set of controversies ofwidelyusedprojectivetests. H J.Eysenck,for involved willagain become aprominentpartof examplesaysthatinthe caseof Rorschachtests, psychological literature. "detailed investigation revealed all dross andno gold." An issuethat has generated some controversy, but (Handbook of Abnormal Psychology: An Experimental erhaps less than its importance warrants, concerns the Ap roach, New York, Basic Books, 1961, p. xii.) ocus of behavior. The prevailing view is what we called ysenck comments on his study of tex ts on psychiatry, nteractional in Chapter I:the individualis viewed as abnormal, and clinical pqchology a S follows: existing separately from his environment and as inter- acting with it. In contrast, other psychologists argue that "The perusal of some fifty of these left me in a behavior literally cannot be kept within the boundaries of stateof profound depression,as none of them theskinandthatsevering the individualfrom his containedany evidence of properly planned or environment seriously handicaps inquiry. The transae. executed experimental investigations, or even the tional procedures emphasize the entire organismic-environ. realization of the necessity for such. Nor did I find mental process in a field of activity. J.R. Kantor has long that concise and consistent framing of theories and maintainedasimilarview;ratherthanthename hypotheseswhichusuallyprecedes experimental "transaction," he uses "interbehavior." (The Logic of investigation; all was speculation and surmise, laced Modern Science, Bloomington, Principia Press, 1953, p. with references to 'clinical experience.'(Ibid., p. 262.) xiv.) Many of the controversial issues of a few decadesago no longer command mach interest or attention, not so In general, he believes psychologists have wanted to run much because ono side or the other "won," but because before they can walk: the issues became obsolete in the lkiht of advances in inquiry or were fragmented into a number ofmore "In its present humble state, psychology can at technical issues. Polemics concerning the relative merits of hest support on a factual basis certainow-order behaviorism and introspectionism have become consider- generalizations;to go beyond theseisto court ablymuted,butrelateddifferencesinorientation 24 A CURRENT APPRAISAL continue to be visible,for exampleinbehavioral vs. share an objective common property: 'honest linguistic approachet to the acquisition of language and 'virtue,' (Verplanek,op. i.n.,p7.) linguistic skills. (See T.R. Dixon_and D.L. Horton,Verbal Behavior and General Behavior Theory, EnglewoodCliffs, Frequently concepts are viewed as the constituents of a Prentice-11AI, 1961.) statement, but here Verplanck says that most concepts So-calledparapsychology, associated with J.B. Rhine are statements. If honesty" is a psendoconcept became and his Duke University colleagues, produces many claims the members of itsclass lackan "(Acet.ve common and counterclaims. Not only the interpretations of the property," how can "beauty" he a proper concept? If findings of the parapsychologists, hut also the findings 'velocity"is a concept,why is-rigidity"only a themselves, have been critically received. Although souse pseudoconcept? And how does Verplanek's definition fit prominent psychologists accept theoccurrenceof with some of his own statements about concepts, such as: parapsychological phenomena, most contemporary "Some terms are used in two ways: empirically, as a label American psychologistsseem highlyskeptical.(For for a class of behavior, and theoretically, as the name of a examplesofthecontroversy, seeGeorge R.Price, concept relating that behavior to other classes of events"? "Science and the Supernatural,"Science,Vol. 122, 1955, (Ibid.,p.ii.) One suspects that Verplanck's comments and B.A. McConnell-, "ESP and CredibilityinScience, about "cognition" apply equally to "concept." American Psychologist,Vol. 24, 1969.) Other names used inconsistentlyrelate to the issues As in many other fields, recently some psychologists discussedinChapter 1 concerninginteractionand have argued that the dominant methods, problems, and transaction.For example, even those who take the subject lindii,gs of psychologists too often lack relevance, or are matter of psychological inquiry as behavior often disagTee tied to the socioeconomic establishment, or are racist, or inimportant ways about what "behavior" designates. are anti-woman, etc. Many pages of articles, comments, Verplanck takes "behavioras applying to "the whole and reports in recent issues ofAmerican Psychologistare complex of observable, recordable, or measurable acti- devoted to such matters. Whether the.- controversies will vities of a living animal," andasincluding skeletal and increase or wane in the next fewyears is difficult to muscle movements, glandidar secretions, body chemistry predict,but atthe moment theyaxeattracting con- changes, the making of sounds, etc. (Ibid.,p.2.) Others siderable attention. focus on "the organism's external activity which interacts with the environment, as distinguished from the internal 6. TERMINOLOGICAL PROBLEMS processes of growth and maintenance." (B.S. Woodworth, Dynamics of Behavior,New York, Holt, 1958, pp. 21.22.) Compared to workers in many other behavioral fields, Yet others, as noted, emphasize the entire organismic- psychologists have given much attention to the technical environmental process and do not restrict the locus of language they use. The influence of logical positivists such behavior to within the organism. as Rudolph Carnap has been strong. (See, for example, Conventional use ofstimulus-responsenotions is Estes et. ol., 1955, op. cit.). Concerted efforts have been interactional and assumes a detachability or severability of made toavoidmentalisticaridnonbehavioral uses of stimulus from response as well as their ability to interact. words. (See William S. Verplanck, .4Glossary of Some Such procedures frequently lead to incoherence and a TermsUsedintheObjectiveScienceof Behavior, literalinability, to maintain the separates assumed in the Washington,D.C., Amelican Psychological Association, inquiry. To illustrate, one discussion in which a "narrow 1957.) de inition" of "stimulus" as a "unit of inputis adopted Difficulties atise, however. Certain names carried over (e.g., "some definable unit of light falling on and exciting from older mentalistic frameworks tend to retain sonie of thereceptorsintheret1naoftheeye") getsinto their earlier connotations. For example, frequent use of difficulty because there seems to be no way to hold as cognition," "cognitive,"etc.,ismade, apparentlyto separate and to differentiate adequatelyin inquiry the refertosome sort of knowing behavior,butitis "environmental object," the "sensory event," and "the frequentlydifficulttoascertaM what is being named. unit as experienced by the observer." (Bernard Berelson Verplanck,referringtohinself,says: ..thewriter and Gary A. Steiner,Human Behavior: An Inventory of remains ignorant of what acognitionis. So far as he Scientific Findings,New York, Harcourt, Brace & World, knows, he has never had one, and no one has ever been 1964, pp. 87-88.) able to correct him on this, or tell him how to have one, Verplanck notes five different uses of "stimulus" and or how to recognize it if he did." (Ibid., p. ii.) says: Perhaps the worst difficulties Occur with "concept," which is very widely used by psychologists, including "Fortunately for the intellectual comfort of the Verplanck.As Deweyand Bentleycomment,often reader (but for nothing else),in most cases the concept- is "a word that is all things to all sentences. ambiguity of this term does not reveal itself, since (Dewey and Bentley,op.cit., p. 21.) Verplanck's own most students of behavior have not shown any great statement, intended to make "concept" usable, equates interest intreating the problem of stimulation hi "concept.' to- eat experimental detail." (Verplanek, op. cit.,P. 3.) '...any mporise, verbal or motor, that is under thediscriminativecontrol of a broadclassof He differentiates: 1) "a physical event impinging on the environmental objects or events; the members of the receptors of an animal," and says that usage "is perhaps class may differ from one another inallrespects always ineoffect"; 2) "a physical event impinging on the otherthan asinOe quantifiable property. Most receptors of an animal and capable of exciting those concepts are statements that refer to the common receptors" 3) "a specified part, or change in a part, of the property:'hlue,square,veloeity,' 'beauty,' environment correlatedin an orderly manner with the 'length.Pseudoconeepts may depend on a number occurrence of a specified response" (Skinner's usage); 4) df partially overlapping classes of events that do not "an event within the animal hypothesized to account for r,, 11,11tILllb I ha certain complexbc:h av ior";and elyusedas research methods Techniques of measurement and :,cal:ng synonymouswithstimulusobject(an(rbjectwhich devAoped by psychologists are basic tools in many of the produces stimuli) and with stimulus e mt (an event which behavioral sciences and are widely used in problems of produces stimuli)." p. 33.) selection and evaluation in industry, education, etc. The Oth..r names supposedly useful in the development of adaptation to behavioral inquiry of methods of analysis of descriptionsandwarrantedasqertionshaveledto variance, multivariate data analysis, and the principles of difficulties and controversies. There has been considerable experimental design, has been higlily developed. discussion of "intervening variable" and "hypothetical Many well-supporied findings have resulted from the construct." (See Paul E. Mead and Kenneth inquiries of psychologists, but those findings often :ke not MacCorquodale, "On a Distinction Between Hypothetical integrated in a way useful for the solution of large scale ConstructsandInterveningVariables"Psychological human problems. Some warranted assertions have been Review, Vol. 55, 1948.) Tolman originally proposed the developed that are as quantitatively precise and as useful intervening variable as a construct orrationallv defined in making predictions a.s are many warrantrA assertions byspecificsetsof antecedent and consequent(i.e., developed by physical scientists. As noted, however, at stimulus and response) variables.ln time, "intervenin presentthereisarenewedtendencyfor some psy- variable" was used to refer to many other things an chologists to advocate the use of nonscientific procedures. sometimes was usedasa_magical _devicetoavoid Therapidexpansion of both academic andapplied enabarmssint! problems. Meehl and MacCorquodA suggest psychology in recent years has had its drawbackschiefly that"intervening variable"bereserved -forTolnian's that attempted applications have outrun well-supported original usage and that "hypothetical construct" be used findings. This trend has been especially conspicuous in for situations cqntainMg more that a stknulus-response clinicalpsychology,whichduringandimmediately relationship. following World War II was subject to a demand for Here weseetheinterrelationsof someofthe "solations" for which there was no adequate scientific terminological problems,including"stimulus,""re- ground..ork. sponse," and "operational definition." After operationism Probablythe best supporte,1findings to date have was advocated by Percy Bridgman (The Logic of Modern occurredinthe physiologicat --eas of psychology and Physics, New York, Macmillan, 1927), many psychologists with animal subjects. Much of the experimental work of adopted some variant as a useful tool in psychological behavioristssuchasSkinnerseemscomparablein inquiry. "Operationism" is a name used in different ways. scientific rigor to the work done in the physical science Verplanck, forexample, although heemphasizes fields. However, Mquiries in the more distinctive human "objective" and "behavioral" procedures of inquiry, gives areas (what we called sign-behavior in Chapter 1), seems a rather traditional account: "the general point of view far less advanced. Some psychologists hope that even- toward the data and concepts of natural science which tually sign-behavior can be described adequately using the holds that the concepts of a science are defined by the characteristic procedures of inquiry found in the physical experimentaloperationsinvolvedininvestigation and and physiological fields, hut we suggest that such hopes measurement." (Verplanck, op. cit., p. 23.) are not likely to be realized. Skinner, on the other hand, emphasizes the reports a Perhaps the recent upsurge of existential and human- scientist makes about his methods: istic psychologies is to a considerable extent the result of thefailureof behavioristsand others tosolvethe "Operationism may be defined as the practice of problemsofsign-behaviorusingonlyphysicaland talkingabout(1)one'sobservations,(2)the physiological procedures of inquiry. The relative failure to manipulative and calculational procedures involved solve such distinctively human problems suggests strongly in making them, (3) the logical and mathematical the importance of the work of Kantor, Cameron, and steps which intervene betweenearlier and later some of the recent transactional psychologists, who do statements, and (4) nothing else." ("The Operation- not sever the organism from the environment, mind from al Analysis of Psychological Terms," Psychological body, the individual from the social, etc. In short, quite Review, Vol. 52, 1945, p. 270.) possiblyfurther "substanthe progress in sign-behavior willnot occur until improvements are made inthe Some commentary on "theory seems appropriate. procedures of inquiry. Sometimes psychologists use the word to designate highly warranteddescriptions(asin "theory of evolution"); 8. SELECTED BIBLIOGRAPHY sometimestodesignateaninclusive,butnotyet confirmed, set of conjectures or hypotheses in somearea Allport, F.H., Theories of Perception and the Concept of ("learning theory"); sometimes to designate an internally Structure, New York, Wiley, 1955. consistent set of assumptions and logical derivations from Boring, Edwin G., A History of Experimental Psychology, those assumptions ("game theory'); sometimes to desig- 2nd ed., New York, Appleton-Century-Crofts, 1950. natespeculative systems not likelytobe confirmed Broadbent, D.E., Perception and Communication, Oxford, ("Freudian theory' ); sometimes as equivalent to "con- Pergamon Preso, 1958. jecture" as we used that name in Chapter 1. Bruner, Jerome S.; Goodnow, Jacqueline J.; and Austin, Finally,inthe clinical and social areas a number of George A., A Study of Thinkidg, New York, Wiley, names ae often used unclearly or ambiguously; for 1956. example,"personality,""normal,""integration,"and Estes, William, et al, Modern Learning Theory: A Critical "mental health." Analysis of Five Examples, New York, Appleton- Century-Crofts, 1954. 7. COMMENT AND EVALUATION Feigi,Herbert, andScriven,Michael,eds., Minnesota Studies in the Philosophy of Science, Vol. I, The A major contribution of psychologists to the behavioral Foundationsof ScienceandtheConceptsof sciences has beenthe development of widely useful Ps ychology and Psychoanalysis, Minneapolis, 26 .4CURRENT APPRAISAL University of1 mnesota Press, 1956, 9. GERMANE JOURNALS Festiiigcr, Leon, and Katz, Daniel, ResearchMethods in the Behavioral Sciences,New York, Dryden, 1953. AMERICAN JOURNAL OF ORTHOPSYCHIATRY Grinstein,Alexander, The indexof Psychoanalytic AMERICAN JOURNAL OF PSYCH IATRY Writings,New York, Wiky, 1956-1958, AMERICAN JOURNAL OF PSYCHOLOGY I kill,CalvinS,,andLindzey,Gardner,Theoriesof AMERICAN PSYCIIOLOGIST PersonaliTy,New York, Wiley, 1957, ANNUAL REVIEW OF PSYCHOLOGY nelson, II and Bevan, W., ContemporaryApproaches I BRITISH JOURNAL OF PSYCHOLOGY Psychology,New York, Van Nostrand, 1967, CANADIAN JOURNAL OF PSYCHOLOGY HilgaA, P.R., and Bower, G.H.,Theories ofLearning, 2nd CHILD DEVELOPMENT ed., New York, Appleton-Century-Crofts, 1966. COGNITIVE PSYCHOLOGY Jones,Marshall IL,ed.,Nebraska Symposiumon COMPARATIVE GROUP STUDIES Motivation,Lincoln, University of Nebraska Press (a CONTEMPORARY PSYCHOLOGY senes, 1954 on). DEVELOPMENTAL PSYCHOLOGY Kantor, J.R.,The Logic of Modern Science,Bloomington, INTERNATIONAL JOURNAL OF SOCIAL PSYCIIIATRY Indiana, Principia Press, 1953. JOURNAL OF ABNORMAL PSYCHOLOGY Koch, Sigmund,Psychology: A Study of a Scipnee,New JOURNAL OF APPLIED PSYCHOLOGY York, McGraw-Hill, 1959 to present. JOURNAL OF COMPARATWE AND PHYSIOLOGICAL Lindzey, Gardner, ed.,Handbook of Social Psychology, PSYCHOLOGY Cambridge, Addison-Wesley, 1954. JOURNAL OF CONSULTING AND CLINICAL Luce, R.D.; Bush, R.R,; and Galanter, E.,Handbook of PSYCHOLOGY Mathematical Psychology,New York, Wiley, Vol, 1 OURNAL OF COUNSELING PSYCHOLOGY 1963; Vol, 2, Vol. 3,1965, JOURNAL OF EDUCATIONAL PSYCHOLOGY Mandler, George, and Kessen, William,Ti.e Language of JOURNAL OF EXPERIMENTAL PSYCHOLOGY Psychology,New York, Wiley, 1959. JOURNAL OF EXPERIMENTAL CHILD PSYCHOLOGY Marx, Melvin, ed., Psychological Theory:Contemporary JOURNAL OF HUMANISTIC PSYCHOLOGY Readings,New York, Macmillan, 1951. JOURNAL OF MATHEMATICAL PSYCHOLOGY Munroe, Ruth,Schools of Psychoanafrtic Thought: An JOURNAL OF PERSONALITY Exposition,Critique, and Attempt atIntegration, JOURNAL OF PERSONALITY AND SOCIAL PSYCHOLOGY New York, Dryden, 1955. JOURNAL OF SOCIAL PSYCHOLOGY Murphy,Gardner,HistoricalIntroductiontoModern JOURNAL OF VERBAL LEARNING AND VERBAL Psychology,New York, Harcourt, Brace, rev. ed,, BEHAVIOR 194.), PERCEPTION AND PSYCHOPHYSICS Spence, K.W., and Spence, J.T eds., The Psychologyof PSYCHIATRY Learning and Motivation: Advances in Research and PSYCHOANALY SIS AND THE PSYCHOANALYTIC Theory, New York, Academic Press, Vol. 1,1967; REVIEW Vol. 2,1968; Vol. 3,1969 (GIL Bower and J.T. PSYCHOLOGICAL ABSTRACTS Spence, eds.); Vol. 4,1970 (G.H. Bower, ed. PSYCHOLOGICAL BULLETIN SteYew, Stanley Smith, ed.,Handbook of Exprimcnrtal PSYCHOLOGICAL MONOGRAPHS Psychology,New York, Wiley, 1951. PSYCHOLOGICAL REVIEW Wilson, John,et al., Current Trends in Psychology and PSYCHOLOGY theBehavioral Sciences,Pittsburgh,Universityof PSYCHOMETRIKA Pittsburffi Press, 1954. PSYCHONOMIC SCIENCE Woodworth, RobertS., Contetnparary Schools of Psy- QUA RTE RL Y JOU RN AL OF UER[UEMTAL PSYChOLOGY chology, rev.edNew York; Ronald, 1948. SOCIOMETRY

3 7 ilL ANTHROPOLOGY'

1.WORKING DESCRIPTION OF THE FIELD behaviorallid Social Sciences Survey, Englewood Cliffs, Prentice-Ball, 1970, p. 5). ANTHROPOLOGISTS inquire into the behavioral As will be discussed more thoroughly later, the broad similarities _anddifferencesof human cultural range of concerns clainvd for anthropology has had as

- groupings, from earliest man to the present. Th, one result that ,,adcly varying procedures of inquiry have major sublichis are:the study of the organization of been usedsane scientific and some characteristic of cultures and the development, dist.ribution, and funetions scholarship in the humanities. As Cora Dubois says: of customs, techniques, and other culture traits (cultural anthropology);the studyof the evolution of human "American anthropologists consider that their sub- physical characteristics in their cultoral settings (physical ject properly .-.,,compasses the biologic, psychologic, anthropology); the study of past cultures through the social, and cultural aspects of man. Nothing human is excavation and investigation of materiA remains (archaeol- foreign to them. They have embraced enthusiastically ogy); and _the study of human languages in their eultural and immodestly the literal meaning of the word anthro- settings(linguistics).Theinquiriesof anthropologists pologythe science of man. Not satisfied with the overlap considerably with work done by biological and scienceof man, they honor many in their profession otter hdaavioral scientists, as well as with work done in who are avowed humanists." ("Anthropology: Its the humanities. Present Interests," in Bernard Berelson, ed.,The Be- havioral Sciences Today,New York, Basic Books, 2. OTHER DESCRIPTIONS OF THE FIELD 1963, p. 26. Clyde Kluckhohn's statement of nearly twenty years And Kelly maintains that: ago is represen tative ofthebread th claimed for it [anthropology] cannot demonstrate tha anthropologicalinquiryandthe main areas in which does, in fact, successfully encompass the study of man research is conducted. in all aspects of his existence, anthropology can at least claim that it offers a greater variety of knowledge and "Anthropology is the study of the similarities and approaches to this study than does any other field. differences, both biological and bthavioral, among (Kelly,op.cit., p. 189.) the peoples of the world from the dawn of human history to the present day. Anthropology excavates In practice, anthropological inquiries have tended to be differentiated from inquiries in other behavioral fields in four andanalyzestheremainsofpastcivilizations (archaeology); describes the evolution and present ways. Anthropologists often emphasize: 1) comparative in- quiries (present men compared to past men; cross-cultural biologicalcharacteristics of our species (physic-A studies, etc.); 2) relatively small groups, often nonliterate, anthropology); traces the development and spread which are not as complex as some larger groups, tend to be of customs and technologies over the face of the isolated in some respects, and tend not to be studied by faiths and earth, showing how these forms, arts, workers in other behavioral fields; 3) field work in which the tools satisfy the psychological needs of individuals anthropologist functions as a "participant-observer"; and 4) Lnd keep societies together (cultural anthropology); the customs, beliefs, rituals, technologies, etc., characteristic definesthe varieties of human speech and the relationships among the tongues of men (linguis- of the group as a whole. However, workers in other fields also tics)." ("Anthropology," in James Newman, ed., have inquired into the matters just mentioned; and some work done by anthropologists is not comparative, much What Is Science?,New York, Simon and Schuster. recent anthropological work has been done on literate, rda- 1955 p. 31).) Lively complex cultural groups, inquiry into past cultures Many of the descriptions found in the literature claim cannot involve the participant-observer method, and a an extremely broad subject matter for anthropolog. In holistic" emphasis is not always found in anthropological inquiry. the 1930's Franz Boas maintained that anthropological Anthropological inquiry, then, is not sharply differenti- subject matter "includes all the phenomena of the social ated from work in other behavioral fields either in subject lifeof man without limitation of time and space." matter investigated or in methods used. And the grouping of (Encyclopaedia of the Social Sciences, V ol.11, p. 73.) In the four major subfields mentioned within anthropology in later years, anthropology was viewed as "the science of part is accidental: man" (Ralph Linton, ed.,The Science of Man inthe WorldCrisis,New York, Columbia UniversityPress, "This grouping of somewhat disparate subjects 1945); as "that discipline which claims an interest in 'man under the banner of anthropologyisinpart a mid his works' at all times and in allplaces" (Gail Kelly, response to a special historical situation: the rapid "Anthropology," inBertF.Hoselitz,ed.,A Reader's acculturation and disintegration of many American Guide to the Social Sciences,Glencoe, Free Press, 1959, Indiantribesduringtheformativeperiodof p.189); andasthefielddealing with "theorigin, American anthropology before and after the turn of development, and nature of man and his culture" (Allen thecentury.Intheirfieldresearchtheearly H. Smith and John L. Fischer, eds.,Anthropology,The anthropologists encountered small neOected groups of people, apparently about to lose their identity, *W e acknowledge with appreciation the critical comments and westions of Joseph13, Casagrande. He, of course, bears no who werethelastrepresentativesof formedy responsibility for the final form of this chapter. flourishing native societies. The investigators felt an 27

3 28 A CURRENT APPRAISAL obligation to science to ncurd 0 possible informa- great confusion,in a recent publication Paul Kay has tionaboutthesevanishing groups;a complete defended the objective of studying the human mind." naturalistic descriptionofphysique, language, Ile goes on to say: customs, traditions, and even a little of the local archaeologyif possible." (Smith and Fischer,op. "1 am sorry if that word offends anyone, bot to cit.,p. 22.) pm.1. tuiid that human beings do not have min& becausea mindhasnever been seen or touched 3. METHODS AND TYPES OF INQUIRY would require that we reject virtuallyall highly abstract and therefore usefulscientificconcepts, As was noted earlier, a wide vi'iety of both general including, forexample,gravity,relativity and procedures and specific methods of inquiry are found in prohability. ("Some TheoreticalImplications of use among anthropologists, including psychoanalytically- Ethnographic Sem an t ics,"inAnnFischer,ed., oriented inquiry (from the extreme version found in Géza CurrentDirections in Anthropology,Washington, Ittilicim'sPsychoanalysis and Anthropology, NewYork, frc., American Anthropological Association, 1970, InternationalUniversitiesPress, 1950,tothe milder p. 30.) ersion found in J.W.M. Whiting and Irvin L. Child'sChild Training and Personality Development,New Haven, Yale Not onlyis the "thereforestrangely placed in his University Press, 1933), formal and mathematical models assertion, but his argument, as stated, is a non-sequitur,as (Hams Hoffman, Mathematical Anthropolory,- in willbe notediflurniniferous etheris substituted for Bernard J. Siegel,cd, Biennial Review of Anthropology- humanmind.Rejecting one -abstraction"asuseless 1969,Stanford,Stanfortl UniversityPress,1970; Paul certainlydoes not implythatall"abstractions" are Kay,ed.,ExplorationsinMathematical Anthropology, useless.In addition, Kay's statementcenms to require Cambridge, MIT Press, 1971; Ira R. Buehler and Henry A. considerable clarification with reference to whatobserva- Selby,Rinship andSocialOrganization,New York, tionis;surelya restriction to what can be -seen or Macmillan, 1968), game theory applications (see articles teuchedby the unaided senses (as is apparently his view) by Walter Goldschmidt and Richard F. Salisbury in Ira R. is not required. Buehler and 11.G.Nutini,eds., Game Theory inthe An autobiographicalstatement byPerttiJ.Pelto Behavioral Sciences,Pittsburgh, University of Pittsburgh suggests that often the formal training of anthropologists Prez,s,1969), and a host of other literary and purported puts little emphasis on scientific method: scient;fic methods. In this Section we willonsider first some oithegeneralprocedures of inquiry used by "When I embarked on my first major anthropo- anthropologists,and thenreview some of the more logicalre.searchventure...Ihad had no formal specific methods used in the four major subfieluis. training in the logic and structure of social sciences research. Many of my peers have described a similar General Procedures of Inquiry lack of methodological preparedness in theyears of their doctoral candidacy. Our generation of anthro- In terms of our discussion in Chapter 1, anthropolog- pologists, trained in the 1950s, learnedthe ical inquiry tends to be partiallytransactional, in that descriptiveandtheoreticalcontributions of our typically the focus is on a full process in a field having predecessors,butriot how these anthropological many mutually connected aspects and phases. However, cont6biltions were achieved. We were not uncon- the`holisbc" procedures used by some anthropologists cerned about how field research is eamied outin are also partially self-actional and interactional; warranted fact we were almost frantic to find outbutwe assertionsarcsometimes freelymixed with elaborate were assured by our teachers that we could learn speculation, apparently in order to "fill out the picture. the mysteries of field work only through personal airly often the objective seems to be the development of immersioninthepractically'indescribablebut a plausible,intecnally consistent "reeonstniction" of a romantically alluring complexities of the field. Much culture, a developmental stage in human evolution, etc., of the lore about field research that we pickedup rather than achieving warranted assertions. informally in our graduate-student days wascon- There appears to be less interest among anthropologists cerned with the gentle arts of rapport-building and than among inquirers in many other behavioral fields in role-playinginfield situations. We were not so both the usefulnessofapplying modernscientific much concerned, nor were our mentors, with rules proceduresandinwhatthoseprocedures are.The of evidence, questions of 'representativeness,"validi- confusion is great; sometimes those criticized as following ty,"reliability,'andthemanyotherrelated unscientific procedures claim that they want to model elements of scientific inquiry with which our friends anthropologyafterthe physical sciences(e.g.,Claude in other social sciences seemed to be preoccupied." Levi-Strauss); quite often scientific inquiry is construed as (Anthropological Research: The Structure of In- involvingtheimaginativeelaboration of conjectures quiry,New York, Harper St Row, 1970, pp. xi-xii.) in advance of testing(seetrio Rossi, "Reply to Nutini's 'The Ideological Bases of lAvi-Strauss's Structuralism,' " Despite what has just been said,"natural science American Anthropologist,Vol. 74, 1972); and there is procedures of inquiry have been strongly urged bymany disagreement even about suchtopics as what an major figures in anthropology. A.L. Kroeber, for example, experiment is (see Hollis D. Paul's review inBehavioral arguedthat"culture is "wholly anevolutionary Science,Vol.17,1972, of Michael Cole, John Gay, development within nature, and therefore to be investi- Joseph A.Glick, and Donald W. Sharp,The Cultural gated bythe methods of fundamental natural science" Context of Learning and Thinking: An Exploration in nthropology Today:_,4n EncyclopedicInventory, Experimental Anthropology,New York,Basic Books, Chicago, University of Chicago Press, 1953,p. xiv, italics 1971). added), and he believed that the wthropologists of his To give only one further example of what we regard as time generally followed "naturalistic" procedures: ANTHROPOLOGY 29 "What thepast half-centuryhas accomplished statisticaltecliriiquies,to have reached unreliablecon- above allfor anthropology [is the development of a clusions on the basis of highly fragmentary data, etc. (For common naturalisticprocedure I .. Itinsists on some such criticisms, see Leroy Johnson, Jr., "Problems treating the cirstonts and histories, the ideals and in 'Avant-Garde' Archaeology," American Anthropologist, values, the societies and languages of man as being Vol. 74, 1972.) phenomena of nature to cxaCtlY the same degree as PhysicalanthropologistshaveItasicallyused,and the biology of men, or for that matter of animals and continue to use, the general scientific procedures found in men. This may seem a simple and trite program. thebiological sciences.Linguistsfor some time were Perhaps it is simple conceptually, but operationally it stronglycommittedtoscientificproceduresintheir has been difficult and hard-won. How far arc men and descriptions of langnages, to the extent that observers their activities actually treated as a part of nature in oftenplacedlinguisticinquiryasamong themost most economic andsociologicalstudy,inmost advanced in the behavioral areas. (See, for example, the history and philology? Hardly at all; in these fields assessments hy Kluckhohn, op. cit., p. 346, and john B. human activitiesareconsistentlysetapartfront Carroll,The Study of Language, Cambridge, Harvard nature...." (The Nature of Culture, Chicago, University Press,1959, p.66.) More recently, even in University of Chicago Press, 1952, p. 143.) (Kroeber anthropological linguistics, the C:homsky "revolutionhas also tended to emphasize anthropology as a "historical givenrise to the adoption of mentn1istic methods. (See science" and was suspicious of the social sciences of his the Chapter on Linguistics.) day. See -The Place of Anthropology in Universities," Asisalsocharacteristic of many other behavioral American Anthropologist, Vol. 56, 1954.) inquirers,somerecentanthropologists who advocate scientific procedures put great emphasis on theory-con- Leslie A. White has argued vigorously and polemically struction -utd the use of formal models elaborated far in over a long period for scientific procedures of inquiry advance of observation and measurement of changes. (See into human behavior, including gyrnbolic behavior. (See Chapter 1 for our criticians of such premature "theo- especially his essays "Science is Sciencing" and "Mind is rizing.") That issue aside, there appear to be two main Minding," inhis The Science of Culture, New York, pointsof viewopposingscientificprocedures:the Farrar, Straus, 1949.) George P. Murdock has urged that -historical" and the 'qualitative." anthropologists become more scientific .Inrelation to Thestrongestversionofanthropologyasculture sociologists, he says, anthropologists are: historywas developed by the school associated with Franz Boas. Boas opposed any simplistic determinism .extraordinarilynaiveinscientificmatters. such as the older evolutionism and racial or environmental Many frankly confess a humanistic rather than a determinisms. His skepticism seems to have led some of scientificorientation, and not a few arc openly hisfollowers to emphasize "particularistic" descriptions anti-scientific.Among thosewhoareactuly andtoavoidmore generalinquiries.Throughthe engaged in reseuch problems which can he classed influence of BOaS and others, the point of view sometimes asscientific,only a handfulareadequately called The American Historical School became estallished grounded in scientific method, and many of these as nearly the "official" anthropology. His students, among are committed to one method and are skeptical of them Clark Wissler and A.L. Kroeber, exerted a strong others.Those who,likeKluckhohn,areboth Mfluence on the subseiquent course of anthropological genuinely sophisticated and broadly oriented are inquiry. The American Historical School regarded anro- rare indeed. In sociology, men with a flaming zeal pology as primarily culture history, and was charactetized for science are not uncommon. The writer thinks by "a straightforward desire to know what happened in instantaneously of such diverse figures as Keller, the past, especially in the ages before writing and in areas Lundberg,andStouffer,but he has never en- without writing." (C.W.M. Hart, "Cultural Anthropolog countered such a man in anthropology. The low and Sociology,' in Howard Becker and Alvin Boskoff, statusofscientificinterestandawarenessin Modern Sociological Theory, New York, Ctryden, 1957) anthropology is assuredly the most serious handicap Field work was strongly emphasized; workers were judged to the full participation of this discipline in the primarily on the basis of their field work, rather than on integrated human science of the future." ("Sociol- the general conclusions they attempted to develop from ogy and Anthropology," in John Gitlin, ed., For a that work. As Hart observes: Science of Social Man, New York, Macmillan, 1954, pp. 26-27.) "Nothing better demonstrates the natural-history birthright of cultural anthropology than the fact Inuchaeology,theso-called "new archaeologis that sheer description of a natural phenomenon, or argue for explicitly scientific procedures of inquiry that of human behavior treated as a natural phenom- wi I help "to integrate archeology with the mainstream of enon, is still regarded as both a primary duty and a the social sciences." Considerable emphasis is put on the problem in itsel "(Ibid., p. 538.) "hypothetical-deductive" method and the relevance of prehistoric data to the description of cultures. (See, for Althoughthedisputesbetweenthosewho saw example,PattyJo Watson,Steven A. LeBlanc, and anthropoloyasscientificand those who sawitas CharlesL.Redman, ExplanationinArcheology:.4n "historical'have waned, traces of the histodcal view ExplicitlyScientificApproach, New York, Columbia remain, and some, such as E.E. Evans-Pritchard, argue UniversityPress,1971,and LewisR.Binford, An that anthropology should he historical, particularistic, and .4rchaeological Perspective, New York, Seminar Press, "idiographic." (For a general discussion of the alleged 1972.) The "new archaeologists" have not lacked for oppositon between science and history, see the Chapter critics, mid have been accused of not being scientific on History.) enoughthey aresaidtohavereliedondubious The-qualitative"viewappearstohave muchin generalizationsfromotherfields,tohavemisused common with the so-cAled "qualitative methodologists"

4 0 30 A CURRENT APPRAISAL in sociology. At least for some problems, it is maintained, language, and understand their world. He regards myths as scientific procedures must be snpplemented or replaced ways Ln which humans solve the problems facing them. by subjective or introspective procedures. Oscar Lewis has He views nature and culture as two different ontological described the situation of some years ago as follows: levels, and sees culture as a way of coding and organizing natural reality. (Hugo G. Nutini, "The Ideological Bmes "On the one hand, there are those who would of Levi-Strauss's Structuralism," American Anthropologist, underscore the kinship of anthropolog with the Vol.73,1971.) In general, Levi-Strauss argues,ina natural sciences, would stress the need for quantifi- somewhatKantianway,that man organizesreality cation, objective testa experiments, and a general through a binary mode in which dialecticallyrelated develo-ment and improvement of techniques which opposites"(suchasthe raw andthe cooked) are ight lead to great precision and objectivity in the extremely important. Despite the freirent praise given ering, reporting, and interpreting of field data. Levi-Strauss for his insights, elegance, and sophistication, n the other hand, there aie thoae Who, though not many critics have been harsh. Robert T. Anderson, for denying for a moment the kinship of anthropolog example, says: with the sciences, believe that what needs to be stressed at th6 time is the kinahip of anthropolog "The prominence presently given to structuralism with the humanities and, accordingly, they would seems disproportionate to its achievements. It is an emphasize the need for insight, empathy, intuition, approach that purports to offer an integrated body and the element of art." ("Controls and Experi- of theory. In fact, it is hard to see where it has ments in Field Work," ki Anthropology Today, p. done much more than provide a way of looking at 453.) certain phenomena, including marriage alliances in some societies." ("Recent Trends in Ethnology: More recently, some anthropologists, although insistini 1966-1970," in The Annals, Vol. 401, May, 1972.) on the scientific nature of theft- work, have emphasize the use of methods characteristic of some humanistic Theemphasisonseuchingfordeepstructures scholarshipandhavereliedheavilyonmentalistic underlying what we can observe more directly is found in assumptions. For example, practitioners of "ethnoscience" many fields, and recently much excitement has been sometimescalledthe new ethnography,""ethno- generated by such work. Noam Chomsky's transforma- semantics," "emic analysis," etc.) investigate the "mem- tionalgrammu,forexample,concernsthetrans- ings." through which a cultural group organizes reality." formational rules by which the "surface" structure of the Considerable attention is given to the beliefs, expecta- grammarsofspecificlanguagesue generated from tions, etc., shared within a culture that help to make the allegedly "deepinnate structures. (See Jacques Ehrmann, behavior of the members mutually intelligible. According ed., Structuralism, Guden City, Doubleday, 1970, for a to Paul Kay: "The system of meaningsthe tacit theory deussion of many applications of structuralism.) of the worldlying behind a language and its usage is a natural phenomenon worthy of scientific study.(In Ann Specific Techniques Used Fischer, op. cit., p. 20.) Such work is similar in certain respects to that done in Physical Anthropology. Several conventionally differen- sociologybythe"saimbolicinteractionists" and the tiated fields, in addition to physical anthropology, inquire "ethnomethmiologists.(See the Chapter on Sociology.) into human evolution and the structure and operations of Erving Goffman s use of symbolic interactionist proce- the human body. The general focus of much recent work dures has been influential among anthropologists studying inphysicalanthropologyhas been on the complex inter-group relations. (Goftman, Relations in Public, New interconnections of cultural and genetic factors in human York,BasicBooks,1971.)Thereuealsocertain biology, which involves many techniques of inquiry. As 6inilaritiestotheworkdone bythe"subjective Frederick S. Hulse says: behaviorists" in psychology, who make use of subjective methods and talk about the "mind." (George A. Miller, "Culture is seen as the unifying theme of our Eugene Galanter, and Kari R. Pribram, Plans and the stuclies, whether we are observing the behavior of Structure of Behavior, New York, Holt, Rinehart and baboons, subjecting laboratory animals to environ- Winston,1960,p.211)Perhapsbecauseofthe mental stress, operating an electrophoresis appara- difficulties an "outsider" faces M trying to understand tus,or engagedinstatisticalcalculations. The another culture from the "inside," there also has been cultural nature of man is an aspect and a product of some attention givento presumed fundamental episte- his culturalnature. Man in natureis not distin- mological problems in anthropology. (See F.S.C. Northrup guishable from man in culture,for our nature is and Elden H. Livingston,eds.,Cross-CulturalUnder- cultural." (The Human Species: An Introduction to standing:EpistemologyinAnthropology, New York, PhysicalAnthropology,2nded.,NewYork, Harper & Row,1964; Edmund Leach, Rethinking Random House, 1971, p. 485.) Anthropology, London, Athlone Press, 1961.) Claude Levi-Strauss' "structural anthropology" has been Much attention has been given (by paleoanthropologists given much attention, and he has been described as "one and others) to the "reconstruction" of the biocultural of the vitalintellectualfigures of the contemporary evolution of man, which involves the use of biological world." (Smith and Fischer, op. cit., p. 37.) In a series of techniquesofinquiryaswellasphysicalscience books (among them Structurnl Anthropology, New York, techniques for dating ancient remains. The older emphasis Basic Books, 1963; The Savage Mind, Chicago, University on the gross morphological character6tics of humans and of Chicago Press, 1966; and The Raw and the Cooked, on typologies for racial classification has been superseded New York, Harper & Row, 1969), Levi-Strauss has to a considerable extent by a concern for the distribution attempted to discover the elementary structures governing of particular traits among human populations, including ANTHROPOLOGY hemoglobin variants, scrum factors, etc. Human growth and explain the history of human adaptadonas among and development also is studied, particulasly as related to the techniques that have proliferated faster than "our environmental stress (extremes of climate, altitude, diet, abilityto find their application or organization within etc Techniques of "naturalistic seription" also are archaeological research programs." ("Operations Problems as when the locomotion, dcding habits,social in Archeoloff," in Ann Fischer,op. cit.,pp. 111-112.) hthavior, and communication of primates are observed in Anthropological Linguistics.Our main discussion of order to help describe evolutionary changes. linguistictechniques of inquiryiscontainedinthe Recently a technological revolution in physical anthro- Chapter on Linguistics; consequently only a few points pology has occurred, involving radiographs,reflection willbe made here. The fieldoftenisarided into colorimeters, spectrophotometers, paper chromatography, descriptivelinguistics,inwhichlanguage systems or starch-gel electrophoresis, etc., as replacements for many dialects are described at a giyen stage in their histories, older techniques of measurement. (See Stanley M. Gam, andhistorical linguistics,inwhich the history of the "The Newer Physical Anthropology,"American Anthro- changes, developments, and relationships among languages pologist,Vol. 64, 1962.) is investigated. The latter field has been more speculative Archaeology.H.L. Movius, Jr., summarizes the major than the former, and conjectures have been extended far interests of archaeologists as follows: beyond the available evidence. A wide variety of special techniques has been developed to describe the structure (0...the establishment of a relative time scale of languages, considering them primarily asvehiclesof by means of which the fossil remains of early man communication.What iscommunicatedinagiven and his cultural relics may be placed in their proper language is only of indirect concern; the emphasis ison sequence; (2). ..the study of developing technology ihe characteristic "patternment" or ways in which the and material culture, as well as the survival(s) of elements of a language arc combined by native speakers. ancient tool-makinghabitsortraditions;and A language is often viewed as a particular system for (3)...the reconstniction of the changing environ- coding what the language user wishes to say; theconcern mental (biogeographical or ecological) conditions.., is with the code revealed in the utterances of the language which confronted man." ("Old-World Paleolithic user rather than with the content of the utterances. Archaeology,"Bulletin of the Geological Society of Cultural Anthropology.Cultural anthropologists use a .4nzerica,Vol. LX, 1949, pp. 1448.1449.) wide variety of specific techniques of inquiry,all of which probably are found in use in other fields. Perhaps Insuchwork,archaeologistshaveused sciendfic, the main ddference is that cultural anthropologists have historical,and humanistictechniques.As Gordon R. placed much more emphasis than do workers in other Willey says: behavioral fields on intensive and protracted field work in cultures other than theLr own; field work that involves "To begin, [the ehaeologist]is a historian in participationintheculture(the "participant-observer the broader sense of that term. Like the historian, method"), interviewing, and the systematic collecdon of his studies are directed toward retelling the human lifehistories,case studies,myths,and many other pait,and his studyitouldbea dynande and materials.(Thisisnot,ofcourse,todenythat integrated one, not a series of static facts. He isa anthropologists also sometimes study their own culture.) scientist,too,orgrillestobeone,inthat Inanalyzing and obtaining the field work data, the archaeologyis a part of anthropology, and he is techniques,findings, and conjectures from many other interested in came and effect as well as generaliza- fieldsbehavioral and literaryhave been used. tions about human social hehavior and the develop- ment of civilization. Finallyand this is in no way incompatible with h6 scientific interestshe isa 4. RESULTS ACHIEVED humanist." ("Archaeology: The Snows of Yester- year, inLynnWhite,Jr.,ed.,Frontierso Surveying the genenA assesaments of what has been Knowledgeinthe Study ofHan, New York, Ha Ter, achieved hy anthropologists reveals an interesting alterna. 1956, p. 49.) tionbetweenhighlyfavorableandhieilynegative judgments. To illustrate, since the time of Lewis Henry Physical science techniques are used in the exploration Morgan, kinship studies have occupied a central place in and evacuation of sites and the analysis of data. Carbon anthropological research, and often that work 6 assessed 14 dating, chemical and geological anWyses of soils and as a great accomplithment. (See Priscilla Reining, ed., rocks, and botanical technives such as dendrochronology Kinship Studies in the Morgan Centennial Year,Washing- are used. Work also is done concerning the application of ton, D.C., Anthropological Society of Washington, 1972 electronics and atomic physics to the exploration of sites and Meyer Fortes,Kinship andtheSocial Order,Chicago, fromthe surface. Computerized analyses of data and Aldine, 1969.) On the other hand, J.A. Barnes concludes simulation of archaeological processes are also employed. that only a "few scraps and odd hits" have been achieved Many other complex techniques are coming into promi- so far in kinship studies.(Three Styles in the Study of nence. (See Raymond E. Chaplin,The Study of Animal Kinship,Berkeley, University of California Press, 1971, p. Bones from ArchaeologicalSites, New York, Seminar 265.) Much well-supported infortnation has been Press, 1971, and the review by Dexter Perkins, Jr.,in developed about different peoples and cultures throut- Science,Vol. 176, June, 1972.) out the world, and yet Pelto notes that unfordmately The introduction of so many new techniques has anthropologists have "not succeeded in eliminatingany involvednew problems.C.C.Lainberg4(arlovskylists exceptthe moreoutlandishlyimprobabletheoretical "culturalecology, systems theory, computer techniques positions," and that most attemptstoreplicatestudies for quantification,the many and varied techniques of areutterfailures.(Pelto, op.eit,p.315). &maul-chemical analysis annlied in arehavnInwiral cssrn aro,. 1:nen.:.t:n. 32 A CURRENT APPRAISAL "Itcanbeconfidentlystatedthatlinguistic brain. methodology is so well advanced today that if we In recent years a widely accepted view of the evolution took two fairly bright graduate students, trained of Homo Sapiens has been developed, although much them in linguistic analysis at two different univer- remains to be ascertained. Rarnapithecusis believed to sities, mul sent them out to make descriptions of a have flourished from 14 to 10 million years ago (and new and unanalyzed language at two different times perhaps later) in Asia and Africa; Australopithecus from 6 and using two different informants (assuming the to1 million years ago in Africa;* Homo Erectus from 1 informants spoke the same dialect), the resulting millionto 200,000 years ago, world-wide; and Homo analyses would be highly similar, differing only in Sapiens (including subspecies such as the Neanderthal) matters of emphasis and minor detail." (Carroll, op. from 200,000 years ago to the present. The tendency has cit., p. 30.) been for newer evidence to push back the time estimates for the emergence of the hominids. (For a sampling of In other areas, far less firm results are found. According work in physical anthropology, see John Buettner-Janush, to Paul L. Garvin: Origins of Man, New York, Wiley, 1966; DavidPi lbcam, The Ascent of Man, New York, Macmillan, 1972; Stardey "Alookatthedevelopmentofhistorical NI. Garn, Human Races, 3rd ed., Springfield, Charles C linguistics will show that there has been no scarcity Thomas, 1971; and Charles Hocken and Robert Ascher, of explanatorytheories about linguistic history. "The Human Revolution," Current Anthropology, Vol. 5, Note, however, how most of these explanations, no 1964.) matter how attractive they may have seemed at the Anthropological linguists have had considerable success time they were proposed, have since been relegated in analyzing the structures of a large number of languages, to oblivion." (Method and Theory inLinguistics, which has been highly useful for fieldwork among the The Hague, Mouton, 1970, p. 11.) users of those languages. Much attention has been given to linguistic "salvage work"; the study of unrecorded or Inarchaeology,aswasnotedearlier,the"new only partially recorded languages that are in danger of archaeologists" are highly critical of much prior work, but eLrlyextinction.Studies of thedistributionof, and in turn themselves are criticized for taking speculations as changes in, languages can be useful to nonlinguists; for wLrranted assertions. And similar differences of views can example,archaeologists have used the astribution of be found inthe area of physical anthropolog. (See Indian languages in South America as one indication of Gabriel W. Lasker, "Physical Anthropology: The Search the movement of peoples. Although, as noted, much work for General Processes and Principles, ' American Anthro- in linguistics emphasized the structure of languages rather pologist, Vol. 72, 1970.) than what was communicated, recently many accounts Although some such differences of assessment can be emphasizing "semantic analysis" have been given. Much found inallthe behavioral fields, the differences seem recent work has inquired into communicative behavior in greater in anthropology than in most other areas. A major the same general way that other forms of behavior are reason,wesuggest,isthatanthropologists so often studied, and has attempted to place communication in its attempt "reconstructions" based on insufficiently war- full ethnographic context. (For some representative work, ranted assertions. Many highly warranted "pieces" of the Dell Hymes, ed., Language in Culture and Society, reconstruction may be available, but the conjectures often New York, Harper & Row, 1964; Harry Hoijer,ed., move far beyond the available evidence. Rather than the Language in Culture, Chicago, University of Chicago Press, interweaving between conjectures and observation that we 1954; John J. Gumperz and Dell Hymes, eds, Directions describedin Chapter1,elaborate"theodzing" based on inSociolinguistics, NewYork,Holt,Rinehart,and somehut not enoughevidence often is undertaken. This Winston, 1972; and Benjamin N. Co ly, "Ethnographic is illustrated in the earlier quotation from Pe lto, in which Semantics: A PrelLminary Survey," Current Anthropology, he complains about the inability to refute any but the Vol. 5, 1966.) most outlandishtheories.In view of the number of Useful discoveries have been made by archaeologists in plausible (to someone) conjectures that can be imagined practicallyeveryregion of the world. In recent years about the connectiorm among facts and assumed facts, to much work has been done in areas somewhat neglected constme the task as refuting as many of the conjectures earlier, such as Africa, Southeast Asia, New Guinea, and aspossible seems "upside-down"; usefulinquiry, we the Pacific islands. Based on the remains, archaeologists suggest, involves testing conjectures by repeated return to have reconstructed the probable culture history of many observation, rather than the development of elaborate groups. In addition to descriptions of the diet, subsis, conjectures that are logically consistent with scanty data. tence, dwelling forms, settlement patterns, etc., of vadous In the following review of some of the representative oups, the "new archaeologists" have also attempted to results in the major subfields, we have not attempted to escribe general cultural processes in prehistoric popula- summarize all the work done by anthropologists. tions, including social, political, and economic behavior. Physical anthropologists have made progress in helping Hypothetical reconstructions based on the interconnec- to trace the evolutionary development of humans. The tions of cultural, ecological, and biological systems are proliferation of fossil discoveries during the past several emphasized by some archaeologists. (For some work, see decades has aided in the hypothetical reconstruction of Gordon R. Willey mid Philip Phillips, Method and Theory the probable stages of evolution, and improved techniques in American Archaeology, Chicago, University of Chicago of dating have been useful (for example, the development Press, 1958; Stuart Struever, ed., Pre-Historic Agriculture, ofpotassium-argondatingsuggestsatimespanof approximately2-3millionyearsforthePleistocene *Recent work continues to modify earlier tentative conclusions, period). Thefossilrecordsuggestsarelativelyearly For example, as this Chapter was being written (Nov., 1972), Richard Leakey reported on a skull recently found in Kenya. His development of a bipedal gait, dentition in the human finding casts doubt on widely-held views of human evolution, and direction. and the use of stone tools, and a relatively late orntirrlif Ihdt A strainnitheellg chntilli he exeluded from ANTHROPOLOGY 33 Garden City, NaturalHistory Prs, 1971; and Don Pritchard, and L6vi-Strauss) use nonscientific and sub. Brothwdl and Eric Higgs,Science in Archaeology,rev. jectivist methods and regard culture as an abstraction. ed., New York, Praeger, 1970.) For some time Leslie White's advocacy of cultural Cultural anthropologists have studied the "ways of life evolutionary theory was heavily criticized, and an almost of many cultures and subcultures, with emphasis upon standard point of view was that even the technologically behavior in such areas as socioeconomic organization, simplest cultural groups of today could not be taken as family structures and relationships, personality structures, representative of earlier evolutionary stages of develop- mythologies and systems of magic and religion, legal and ment. More recently many anthropologists have adopted other control systems, and art forms. The relation of an evolutionary point of view, and often emphasize (as do particular cultural forms to the maintenance of the larger the"culturalecologists") the varying human adjustive culture have been investigated. Cultural change has been responses to changing circumstances. (See Julian Steward, intensively studied. In recent years, considerable attention TheoryofCulturalChange: TheMethodologyo has been given toethnicity,including questions of the Multihnear Evolution,Urbana, University of Illinois Press, wa s in which ethnic groups maintain a sense of identity 1955; Marshall D. Sahlins and Elman R. Service, eds., and relateto other groups. Research on contemporary EvolutionandCulture,ArutArbor,Universityof groups incities (urban anthropology) has also become Michigan, 1960.) prominent; subcultures, such as a minority group or the Some anthropologists argue that cultural phenomena poor, are studied in terms of their adaptive behavior to are "autonomous" or "superorganic." Leslie White has their marginal social position. (For examples, see Elliot probably been the strongest advocate of that point of Liebow,Tally'sCorner,Boston, Little, Brown, 1967; view: Oscar Lewis,TheChildrenof Sdnchez,New York, Random House, 1961.) "Customs and institutionsculturetraits in A general theme in much of the work mentioned is generalconstitute a distinct class of phenomenc... that human patterns of adjustive behavior, to a much cultureas culturecan be explained only in terms of greater extent than those of other animals, are socially culture... An additiontotheindividual organic transmitted rather than biologically inherited, and may be component in human behavior and over and above considerably modified through the generations. (See Alan the social factor which comes from the interaction Lomax,with Norman Berkowitz,"The Evolutionary ofindividuals,thereistheinfluenceofthe Taxonomy of Culture,"Science,Vol. 177, July, 1972.) traditional customs, institutions, tools, philosophies, The anthologies edited by Yehudi A. Cohen(Man in tc.Thesethings,theseculturetraits,have an Adaptation,Chicago, Aldine, 3 vols., 1968-1971) provide existence prior to the birth of any person living. a convenient overview of much anthropological work. They exist outside the human organism; they act * * * * upon him from the outside as meteorologic forces Inadditiontothefourmajorsubfields,other do." hite,op, cit.,pp. 78-79.) specialties are sometimes differentiated, such as medical anthropology, ethnomusology,historicalarchaeology, Others regard that view of culture as hypostatization or anthropologyandeducation,and ethnohistory. Such even mysticism, and maintain that the cultural can be specialtiesoften areorganizedinformal professional "reducedto"or"explainedby thesocial or the groups and publish their own journals. Applied anthro- psychological. A.R. Radcliffe-Brown, for example, said: pology frequently is considered as a fifth major subfield. See discussion on applications in Smith andFiaher,op. "You cannot have a science of culture. You can cit.;and George M.Foster,Applied Anthropology, study culture only as a characteristic of a social Boston, Little, Brown, 1969.) system.Therefore,if you are going to have a science, it must be a science of social systems." (.4 5. CONTEMPORARY CONTROVERSY Natural Science of Society,Glencoe, Free Press, 1957, p. 106.) Certain controversies concerning general procedures of inquLq were noted earlier. Some anthropologists argue for And Robert S. Lynd notes that "Culture does not a plurality or diversity of methods, on the ground that enamel its fingernails, vote, or believe in capitalism, but anthropology maybeenrichedtherebyandthata people do."(Knowledge for What?,Princeton, Princeton provocative set of competinetheories"may help in the University Press, 1939, p. 27.) accumulation of sufficient data to develop "ccimpelling Recentlytherehave been controversies about the reconstructions." (Alan How7rd, "Polynesian Social Strati- comparative merits, the relations, etc, of "emic" and ficationRevisted,"American Anthropologist,Vol. 74, "eticanalyses. Botheticandernicare used in somewhat 1972, pp. 821-822.) In hisThe Dialectics of SocialLife different ways, but the main core of the controversies (New York, Basic Books, 1971), Robert F. Murphy has seems similar to issues found in many of the behavioral attempted toreconciledialectically some of the con- areas of inquiry concerning contrasts between "inside" flicting points of view, by developing a new methodology. and "outside" techniques of observation. Emic analysis Others oppose the diversity of methods, and there is some concerns thedistinctions,categories,taxonomies, etc. tendencytodiscuss thoseissuesinthe context of ce.g.,the way the color spectrumis divided) that are philosophical points of view. Marvin Harris, for example, subjectively meaningful' in a particularcultural in hisThe Rise of Anthropological Theory(New York, grouping, and that may vary considerably from culture to Crowell, 1968) defends cultural materialism as opposed to culture. Itt etic analysis, the distinctions that are found to idealistic interpretations of culture. According to Harris, be scientifically useful are emphasized, even if they are the materialists emphasize evolution, the "materialistic not in accord with the subjective opinions of a cultural reality" of culture, and logico-empirical methods, while group. Ernie inquirers are sometimes alleged to accept the ..id.e_alists(such as the ethnoscientistsandthe gullibly what they are told by informants, to mista -e . I 34 A CURRENT APPRAISAL confuse the objective and the subjective. On the other Berreman,Kathleen Gough, and Gutorm Gjessingin hand, defenders of emic inquLey argue that the native's CurrentAnthropology,Vol.9,1968.)Inaddition, beliefs, understandings, etc., are important, and need not members of some of the cultures much studied by be confused with anything else. (See Marvin Harris,op. anthropologistq, such as the American Indians, recently cit.,pp. 568-604; Gerald D. Berreman, "Anemic and have protested the "invasion" of anthropologists and have EmeticAnalysesinSocialAnthropolog," American maintained that the findings of anthropologists have been Anthropologist,Vol. 68, 1966; and Paul Kay, "Some distorted, demeaning, patronizing, and chauvinistic. Theoretical Implications of Ethnographic Semantics," in Ann Fischer, op. cit.) 6. TERMINOLOGICAL PROBLEMS Thecontroversiesjustmentionedclearlyinvolve divergent views about the objectives of inquiry in general, Asinmany otherareas,thereisconfusion and what "explanation"is,and other issues of the type disagreementconcerningsomeofthewordsused discussed in Chapter 1. frequentlyin general discussions of the procedures of Other long-standing controversies center on the degree inquiry.'Scientific," for example, is used to designate of continuity between humans and other primates, with quite differenttypes of procedures. The Britishsocial languagebeingacentralissue, inasmuchas humans anthropologists are sometimes taken as representative of everywhere, and almost uniquely, use language. Recent highly developed scientific procedures, and yet have also work on the communicative behavior of primates shows been severely criticized as nonscientific: that an absolute difference between humans andnon- humans is hard tomaintain. The chimpanzee, Washoe, "The misunderstanding of scientific method is for example, was taught the sign language used by the perhaps most extreme in that group of anthropolo- deaf, and was able to combine those signs spontaneously gists which makes the most vociferous pretensions and appropriately in the manner sometimes descnbedas tobeingscientificand comparativethe British "true language." To illustrate, when she wanted the structuralistsheadedbyRadcliffe-Brown.The refrigerator opened, Washoe made the hand signs for alleged'laws'ofthisschoolturnout,upon open-food-drink, and when the alarm clock went off at examination,tobeverbalstatementslikethe meal time, she made the signs for listen-eat. (See R.A. equivalence of brothers' or 'the necessity for social and Beatrice T. Gardner, "Teaching Sign Language toa integration' whichfailcompletely to specify the Chimpanzee,"Science, Vol. 165, August, 1969.) concomitant behavior of variables.., ." (Murdock, The controversies now tend to concern the differences op. cit., p.7.) in degree, rather than in kind, between humans and other 'inmates, and how language developed. Some have argued "Explanation" has also proved troublesome, egiecially that the development of lanpage competence in humans when an explanation telling why Fomething happened is was a gradual process extending over many rnillenia, while opposed to a description telling what happened. Some others have defended a single "great leap" view. (See "explanations" are tautological, as when Ralph Linton Charles F. Hockett and Robert Ascher,'The Human asserted that the Plains Indians foutt many wars, not to Revolution," Current Anthropology, Vol. 5, 1964; and obtain hunting gundsro or the like,ut because they were Eric H. Lenneberg, "Language, Evolution, and Purposive "warlike." (The Study of Man, New York, Appleton- Behavior," in Stanley Diamond, ed., Culture in History, Century, 1936, p. 461.) Other "explananons," intended New York, Columbia University Press, 1960.) to be scientific and useful, are descriptive in the sense in Some inquirersbelievetheyhavefound evidence which we use that word, for they describe what happens diowing that the members of relatively simple social under specified circumstances. groups tend to think less abstractly than individuals in To illustrate, Leslie White, after criticizing attempts to more complex groups, or simply lack the capacity for "reduce" the criltural to the psychological, says: abstractthouOt. (SeeBrentBerlin, "A Universalist- Evolutionary Approach in Ethnographic Semantics," in "To the culturologist the reasoning that says that Ann Fischer, op. cit.,pp.14-15; and John Gay and onepeopledrinks milk because'theylikeit,' Michael Cole, The New Mathematics and an Old Culture, another does notbecause'theyloatheit,'is New York, Holt, Rinehart and Winston, 1967.) On the senseless; it explains nothing at all. Why does one other hand, Gary J. Witherspoon believes that the Navajo people like, another loathe, milk? This is what we have a highly developed capacity for abstraction, and he want to know. And the psychologist cannot give us suggests that, rather than the thinking of people in simple the answer. Nor can he tell us why a people does or societies being primitive, it is our understanding of them does not avoid mothers-in-law; practice monogamy, that is primitive. ("Navajo Categories of Objects at Rest," inhumation,thecouvade,orcircumcision;use American Anthropologist, Vol. 73, 1971, p. 121.) chopsticks,forks,thepentatonicscale,hats or In addition to the type of controversy just considered, microscopes; form plurals by affixationor any of anthropologists recently have been involved in the type of the other thousands of customs....The cultnrol- heated debate found in many other fields concerning the ogist explains the behavior of a people by pointing possible political uses and releviince of their work, the out thatitis merely the response of a particular ethical responsibilities of anthropologists in relation to the type of priniate organism to a particular set of peopletheyarestudying,thequestion of whether stimuli. AO he explains culture along the lines objective" researchispossibleinprinciple,etc. The indicated earlier [human behavior has two separate Newsletter of the American Anthropological Association, and independent sourcesthe biological and the for example, contained many strongly-worded discussions sociallytransmitted supra-biological,or cultural]. of such matters in 1971 and 1972, and at the recent Thus, while the eulturologistis quite willing to annual meetings of the Aasociation much time has been admit that it is people who 'enamel their fingernails' spent in discussion and voting on political matters. (For or chink milk, he desires to point out that whether the activist nnint ra viewCep the millers hv Gerald 11 thew firs esr nest ;e do! Iar ANTHROPOLOGY 35 bytheir culture." (White, op. ru., pp.143-144; are partially transactional. In our opinion, however, the italics added to the long phrase.) full benefits of such procedures will not be obtained as long as anthropologists emphasize "hypothetical recon- The -why- answer provided by White is no more than structions"basedoninsufficientdataand onthe a description of what happens under specified circum- sclf-actionaland interactionalprocedures -criticizedin stances. His argument, if correct, shows that much human Chapter 1. behavior varies according to the cultural field, but it does Another way of making this pointisto note the not provide an explanation that goes "beyond- descrip- institutionalized tolerance in the field of anthropology for tion. subjective and speculative methods. According to Pelto: ThequotationfromWhitealsorelatestoother terminological problems concerning "levels of behavior." "...1 have been suggesting...that the apparent Some inquirers conclude or assume that there are four weaknesses of anthropological work derive much separatebutinteractinglevels: thebiological,the less from the inherent difficulties of our subject psycholoOcal, the social, and the cultural. Others deny matter, and much more from persistently nonpro- the existence of the cultural as a separate level, but retain ductive features of our anthropological subculture. theotherthree;while yet others make some other These nonproductivefeaturesareperpetuated differentiation. Such procedures almost inevitably involve through direct transmission within our programs of the old difficulties of how to provide coherently both for graduate instruction. They are also perpetuated by "separation" and for "interaction," and tend to encourage some verygeneraltendencies in the institutional futile debate sMiilar to the ancient discussions concerning make-up of the social sciences.I have written this hierarchically arranged kinds of being. book with the hope of furthering a patient of Many of the key names used withinthefieldof culture change which already seems to be gathering anthropologyareappliedindiverseways;thereis momentum. Possibly new methodological develop- considerable vagueness and ambiguityin the uses of ntswillarisethatcanbringabout areal "culture," "lineage," "descent," -structure,and "func- 'revitalization movement.' " (Pelto, op. eit., p. 316.) tion." Krocher and Kluckhohn, for example, found 164 "definitions" of "culture." ("Culture: A Critical Review Although many anthropologists have urged the use of of Concepts and Definitions," Cambridge, Papers of the scientific procedures :_)f inquiry, quite often they include Peabody Museum,Vol.)GVII,No.la,1952.) And asscientificelaborate "theorizing" farinadvanceof William E. Mitchell has argued that the different and observation. To illustrate,inhisfinalchapter Pelto conflicting ways of using "kindred" raise serious difficul- advocatestheuse of multiple hypothesesthat ties,particularlyin the cross.cultural description of the derived from a theoretical point of view. Those alternative structural aspects of kindreds. ("Theoretical Problems in hypotheses are then tested against the data,arid the the Concept of Kindred," American Anthropologist, Vol. process is continued until only one hypothesis remns. 65,1963.)Suchdisagreementsaboutnamingare Pelto goes on to complain that so far only the most enmeshedinthecontroversiesabout procedures of bizarre hypotheses have been eliminated, which is about inquiry and the objectives of anthropological reseuch. what one would expect. After all, human ingenuity has a The situation is exacerbated by the unusually broad proven record for concocting plauslile conjectures, and it arrayof methodsusedbyanthropdogistsand the seems probable that such conjectures can be imagined borrowing of names from everyda?, speech ("family," faster than they can be tested. "marriage,""function,""pattern,'etc.),oftenwith We suggest that the procedures described in Chapter 1 relativelylittleor no progress toward useful scientific are more weful and would tend to free anthropological naming or specifying.Moreover,the language system inquiry from many of the controversies and blind alleys nativetothe anthropologist may imposea kind of generated by the self.actional and interactional procedures "strait-jacker in the study of euJtures very unlike the now frequently used. anthropologist's own, as is suggested by the Sapir-Whorf One need notpostulatea separatelevel(logical, hypothesis. (See Benjamin L. Whorf, Language, Thought ontological, or other) for culture in order to emphasize and Reality, edited by J.B. Carroll, New York, Wiley, the importance in human behavior of socially transmitted 1956.) culture traits and patterns, thereby avoiding a mare's nest Comparing highlydiverse cultures requirestechnical of issues about the possible connections of various levels. naming and ways of categorizing that are appropriate for Nor does one have to opt for an "inner," an "outer," or cross-cidturalobservations. A beginning was made by acombination"inner-outer"procedurefor studying Murdock and others in the Human Relations Area Files, behavior; in knowing-naming transactions the inquirer is in which data from a sizeable number of cultures is always connected in many ways with aspects and phases classified. However, the categories used reflect the eadier of the field into which he inquiring. Nor, finally, does interests of comparativists, and the Files do not include inquiry into sign-behavior (so important inthe trans- much recentdata.(See GeorgeP. Murdocket.al., mission, acquiring, and modification of culturetraits) Outline of Cultural Materials, 4th rev. ed., New Haven, requireproceduresrelying on subjective "meanings," Human Relations Area Files, 1961.) motives, intentions, etc. To illustratein one specificinstance, some of the 7. COMMENT AND EVALUATION controversies concerning the emic-etic distinction appear to have little point. Rather than two basically opposed Moreoftenthandoinquirersin otherfields, methods, both may be appropriate and useful in different anthropologists view human adjustive behavior as bin- phases of inquiry. Ernic xnalyses" may be particularly social, thus avoiding considerable obscurantism and many useful in "cracking the code" used within a culture, but needless puzzlesthatfollowfromdualisticviews of because a particular number of godsisdifferentiated humannature.As was notedearlier,the"holistic" withina given culture does not demonstrate that those procedures characteristic of much anthronolorical iliouinr ends exist. More generally the wayg rfrlifferenti.tirm 36 A CURRENT APPRAISAL classifying characteristic of any human group may not be Sahlins,MarshallD.,andService,ElmanR.,eds., as useful as the ways developed through scientific inquiry. Evolution and Culture, Ann Arbor, University of An "ernic analysis" would presumably show that whales Michigan Press, 1960. areclassifiedasfishby many people,but an "clic I, BernardJ.,ed.,Biennial Review of 4nthro- arodysis" classifying wilides as mammals is not thereby pologyI97I, Stanford, Stanford UniversityPress, refuted.Inshort,inquiry intothebeliefs about the 1972. (To be succeeded by Siegel, Bernard J., Beals, cosmos sharedbya group may be highlyusefulin Alan R, and Tyler, Stephen A., eds.4nnual Review describing that culture, but obviously those beliefs need of Anthropology.) not be warranted. Smith, Allen IL, and Fischer, John L., eds., Anthro- There are some indicationsthat anthropologists are pology, The Behavioral and Social Sciences Survey, givingincreasingattentiontothereqMrementsof Englewood Cliffs, Prentice-Hall, 1970. scientificinquiry,as notedthroughoutthisChapter. Tax, Sol,et.al.,eds., An Appraisal of Anthropology Possiblythe"mitalization movement" mentioned by Today, Chicago, University of Chicago Press, 1953. Pe Ito will occur. On the other hand, in many behavioral Watson,PattyJo;LeBlanc, Steven A.; and Redman, fieldsinrecent years a retrogression has occurredin Charles L., Explanation in Archeology: An Explicitly which many inquirers have turned away from scientific Scientific Approach, New York, Columbia University procedures, and pethaps the most characteristic rine- Press, 1971. dures used in the behavioral fields during the next decade White, Leslie A., The Science of Culture, New York, will be nonscientific ones. Farrar, Straus, 1949. Willey, GordonR.,andPhillips,Philip, Method and 8. SELECTED BIBLIOGRAPHY Theory in American Archaeology, Chicago, Univer- sity of Chicago Press, 1958. Buettner-Janush, John, Origins of Man, New York, Wiley, 1.966. 9. GERMANE JOURNALS Carroll, John B.,The Study of Language, Cambddge, Harvard University Press, 1953. AFRICA Chaplin, Raymond E., The Studv of Animal Bones from AMERICAN ANTHROPOLOGIST ArchaeologicalSites,New- York,SeminarPress, AMERICAN ANTIQUITY 1971. AMERICAN JOURNAL OF ARCHAEOLOGY Childe, V. Gordon, Piecing Together the Past, New York, AMERICAN JOURNAL OF HUMAN GENETICS Praeger, 1956. AMERICAN JOURNAL OF PHYSICAL Garn, Stanley M., Human Races, 3rd ed., Springfield, ANTHROPOLOGY Charles C Thomas, 1971. ANTHROPOLOGICAL LINGUISTICS Harris, Marvin, The Rise of Anthropological Theory, New ANTHROPOLOGICAL QUARTERLY York, Crowell, 1968. ARCHAEOLOGY lIoijer,[Jury,ed.,LanguageinCulture,Chicago, ASIAN PERSPECTIVES University of Chicago Press, 1954. COMPARATIVE STUDIES IN SOCIETY Hulse, Frederick S., The Human Species, 2nd ed, New AND HISTORY York, Random House, 1971. CURRENT ANTHROPOLOGY llymes, Dell, ed., Language in Culture and Society, New ETHNOHISTORY York, Harper & Row, 1964. ETHNOLOGY Kroeber,A.L.,ed.,Anthropology Today: An Ency- FOLKLORE clopedic Inventory, Chicago, University of Chicago HUMAN BIOLOGY Press, 1953. HUMAN ECOLOGY Leach,Edmund,RethinkingAnthropology,London, HUMAN ORGANIZATION Athlone Press, 1961. HUMAN RELATIONS L6vi-5trauss, Claude, Structural Anthropology, New York, INTERNATIONAL BIBLIOGRAPHY OF SOCIAL Basic Books, 1963. AND CULTURAL XNTHROPOLOGY Murdock, George P., et. al., Outline of Cultural Materials, INTERNATIONAL JOURNAL OF AMERICAN 4threv.ed., New Haven, Human Relations Area LINGUISTICS Files, 1961. JOURNAL OF AMERICAN FOLKLORE Pelto, Pertti J., Anthropological Research: The Struc JOURNAL OF THE POLYNESIAN SOCIETY of Inquiry, New York, Harper & Row, 1970. JOURNAL OF THE ROYAL ANTHROPOLOGICAL Pil beam, Dav id, TheAscentof Man,New Y ork, INSTITUTE Macmillan, 1972. MAN Radcliffe-Brown, A.R.. Method in Soc ithropohwy, OCEANIA M.N. Srinivas, ed., Chicago. Universitof Chicago SOUTHWESTERN JOURNAL OF ANTHROPOLOGY Press, 1958. URBAN ANTHROPOLOGY

4 7 Ivs SOCIOLOGY* 1. WORKING DESCRIPTION OF THE FIELD psychological phenomena, such as small goup interaction patterns,interacfionofpersonalityandsocietyin SOC1OLOGISTSinquireintothebehaviorof socialization, etc.; 3) collective behavior in groups and people in groups and organizations, including the organizations;4)structuralrelationsarisinginsocial patterns, regularities, variations, and developmental interaction,asinthe patterns of rolesina political changes in human relations, customs, and institutions. stTucture; and 5) cultural phenomena such as norms, Sociological inquiry overlaps considerably with inquiries values, and ideologies that tend to regulate or legitimize made by cultural anthropologists and psychologists, and social behavior. They go on to say: sharespartiallythesubjectmatterof many other behavioral fields. "The subject matter of sociology, then, is found in the demographic-ecological, social-psychological, 2. OTHER DESCRIPTIONS OF THE FIELD collective, structural, and cultural aspects of social life.Thesociologicalenterpriseistoexplain Sociology as a distinct field gradually emerged during regularities, variations, and interdependencies among the nineteenth century. Auguste Comte was the first to those aspects. This enterprise has both a static and a usethelabel"sociology" and advocated a scientific dynamic aspect. Sometimes sociologists ask why "positive'), rather than a theologcal or metaphysical, patterns of organized social life persist, but equally stndy of society. Herbert Spencer applied the theory of often they are concerned with processes of social biological evolution to social processes. Emile Durkheim change, which destroy old social forms and create attempted to deal with "social facts" as an emergent level new ones." (Neil J. Smelser and James A. Davis, ofphenomenanotreducibletothebiologicalor Sociology, Englewood Cliffs, Prentice-Hall,1969, psychological levels. Max Weber and Georg Simmel held pp. 31-32.) that sociology was a"generalizing science" concerned with "common value orientations" and "ideal types." 3. METHODS AND TYPES OF INQUIRY Among the earlyinfluential sociologists in America were Lester F. Ward, William Graham Sumner, Albion When the first edition of this volume was written, the Small,FranklinH. Giddings, and Charles H. Cooley. proceduresofinquirycalledthe"naturMscience Sociology was often regarded as the sole social science, as. approach"tended to dominate American sociological a synthesis of the separate social sciences, or as the basic inquiry. In the intervening years, sociologists critical of social science. scientific procedures of inquiry have become much more Some typical recent efforts to describe the field of numerous, and many controversies concerning scientific sociology follow. method and its applicability to sociological problems have Sociology is "the discipline that describes the pheno- again become prominent. Kurt W. Back describes the mena that are created by the social interaction of human current scene as follows: beings and the manner in which these phenomena affect the -behavior of individuals." (Don Martindale and E.D. "From the number of rerneclies reccimmended for Monchesi, Elements of Sociology, New York, Harper, the current situatitm of simicilogy, (me must conclude 1951, p. 39.) that this field is very sick. Advice on diagrumis and Sociology is "a body of related generalizations about therapy comes from allsides. Some claim that human social behavior arrived at by scientific methods." sciciolog is nizit a strict enough science in killowing (George A. Lundberg, C.C. Schrag, and O.N. Larsen, empirical logical procedures, and see the remedy as Sociotogy, rev. ed., New York, Harper, 1958, pp. 6-7.) improvement of mathematical and logical procedures. Sociology is"the science which studies the structure Others accuse socicilogy arid especially scich3logists of and funciion of social relations, customs, and institutions not being sensitive enough to the crucial prc)lakms of indifferent goups, and the processes by which they the present tirne, and i3f pursuing the chimera of change."(EvaJ.Ross,BasicSociology,rev.ed., value-free science, suggesting instead a methiadoltJgy Milwaukee, Bruce, 1958, p. 4.) of engagement such as Neo-Marxisra or Gouldner s Arnold Rose sees sociology as "the science of human reflexive sociolc)gy. Still t:ithers loiJk to participant relations" (Sociology: The Study of Human Relations, cilmervatii371 and to extracting the syrnbcilic meaning New York, Knopf, 1956), and James A. Quinn as "the frcgn the behavicir and the language of the actcus eneral science of human social groups" (Sociology: A themselves.... Of the critics, one side wants to achnit ystematic Analysis, New York, Lippincott, 1963). the metheid and 13rocedure of the hard sciences arid A report jointly sponsored by the National Academy of use the language of mathematics; ancuher wants to SciencesandtheSocialScienceResearchCouncil adopt th method arid procedure of social actkm and mentions five aspects of social life as constituting "the Luse the language of the activists and propagandists; anti major peispectives of sociology":1) demographic and the third wants to adopt the philcisojihical apprciach of ecological patterns of human populations, such as birth, the existentialists awl 13hencanenologists and use the death,migation, spatialarrangement,etc.;2) social- language (4 the novelists." (Review of Robert L. Burgess and likin BushmAl, Jr., Behavit_md Sociology, * We are gratefulto George A. Theodorson and MartinII. Neumeyer for their comments concerning this chapter. No part of ; New Y cirk, Columbiatim uiv er. i LvPress, 1969, in the chapter, as revised, necessarily represents either of their points America/1 SOCiOhvical II V1 )1. 35, 1970, p. of view. 1098.) A CUR 'NT APPRAISAL The major controversies will be discussed inmore detail byexponents, andby three other scripts specifyin in Section 5 of this Chapter. In the preseot sectionwe the kind and number ofclasses, class-intervals,an will consider some of the major points of view about the cases of what the index denotes, and combined by field and the most useful procedures for inquiry into its thesignsforadding,subtracting,multiplying, subject matter. aggregating,cross-classifying,correlating, andidentifying. ' (Ibid.,p. 26.) Natural Science Procedures Dodd later developedhis system further;see,for Defenders of this type of inquiry argue that sociologists example, "TheTransactModel"(Sociometry,Vol. should apply the general methods (but not necessarily thr LXVIII, 1955). specifictechniquesandinstruments)ofthenatural Despite the strong emphasison quantification, Lund- sciences to human behavior. Among the leading exponents berg cautioned against exaggerating its importance. He wereGeorgeA. Lundberg, Read Bain, Stuart C. Dodd, said: Samuel Stouffer, and Paul F. Lazarsfeld. "Science" and related names are often used indifferent ways, and ...wc hold that'quantitativismis merely a differing emphases are found within this general point of particular way of observing, recording, and mani- view. Some ctitics regarded the natural science sociologists ptdating data. ... Quanfificafion is only a way of as "neopositivists," becauseof certainsimilaritiesto expressing degrees of qualities and relationships.... Comte's views and to those of the later logical positivists. We have never thought of either quantificationor In the 1950's the natural science viewpoint was often operationisrn as entirely supplanting or preventing descdbedbybothitsdefendersandcriticsasthe other forms of thinking.. (Lundberg, -1955, op. dominant trend in American sociology. (George Lundberg, cir., pp, 192-193.) "The Natural Science Trend in Sociology,"American Journal of Sociology,Vol. LM, 1955; N.F. Tirnasheff, More recent critics, although makingsome of the sarne Sociological Theory,Garden City, Doubleday, 1955, Ch. objections as the earlier critics, emphasize charges suchas 15.) Even then there were many critics; the earlier critics that the natural science trend istrivial,artificial, and often viewed behaviorism, pragmatism, and quantitativism distorts, or is a flight from, reality. Some illustrations of as the three-fold basis of the natural science trend. (See such criticisms follow. Timasheff,op. cit.,p. 137, and Preston Valien and Bonita Valien, "General Sociological Theodes of Current Refer- "The import of this natural science approachto ence," in Howard Becker and Alvin Boskoff, eds.,Modern the subject matter of sociology is that sociologists Sociological Theory, NewYork, Dryden, 1957, p. 86.) have tended to bend, re-shape, and distortthe Lundberg pointedoutthatbehaviodsmdoes not empirical social world to fit the model theyuse to exclude inquiry into so-called "mentarprocesses, which investigateit. Wherever possible, socialreality is he regarded as symbolic or verbal forms of behavior. nored. Most sociologists seem to have forgotten Rather than ignore or declare "unreal" such behavior, the that reality exists only in the empirical world and natural science sociologiststriedto describe it scien- not in the methods sociologists use to measure it, I tifically. What the critics referred to as "pragmatism- is can findnomethodologicalorepistemological not always clear. Some may have been objecting to justification that would support the natural science Dewey's insistence that the "mental" can be inquired into model as being the best model for presentation of using scientific procedures. Or they may have opposed thc the empirical social world." (William J. Filstead, ed., Peirce-Deweyviewthatallscientificstatementsare Qualitative Methodology,Chicago, Markham, 1970, subject to possible future modification, correction,or P. 3.) rejection, andthat there are no known absolutesin science. Broadly speaking, the "pragmatists" insist that all Irving L. Horowitz criticizes the "transformation of conjectores or hypotheses are to be tested by reference to sociology into scientism," maintains that "methodology their consequences and that methodologicalruies and became a substitute for social problems" and empiricisma procedures are to be evaluated in terms of their usefulness way of avoidingmoralissues, and arguesthatthe in inquiry. specialized techniques used often become the end of Quantificationisemphasized by the natural science research rather than instruments of research.(The New in socioloOsts the development of scales and other Sociology,New York, Oxford University Press, 1964,p. measuring devices; the use of statistical analyses, surveys 6, p. 9.) involving sampling, interviewing, questionnaire construc- Irwin Deutscher says: tion,andcomplextabulation; andinsystematizing methodsofquantitativeobservation.(SeePaulF. "In attempting to assume the stance of physical Lazarsfeld and IMorris Rosenberg, eds.,The Language of science, we have necessarily assumed its epistemol- Social Research,Glencoe, Free Press, 1955.) ogy, its assumptions about the nature of knowledge As an example of one elaborate attempt to quantify, and the appropriate means of knowing, including Stuart C. Dodd constructed "a quantitative systematics therules of scientificevidence... . One of the for the social sciences" in hisDimensions of Society(New consequences of using the natural science model was York, Macmillan, 1942). He introduced "the S-theory," to break down human behavior in a way that was later renamed the "S-system," for standardized descrip- not only artificial hut which did not jibe with the tion in algebraic formulae: manner in which behavior was observed." c"Words and Deeds: Social Science and Social Policy, "Social "Any quantitatively recorded soci talsituation Problems,Vol. 13, 1966, p. 241.) can be expressed as a combination of indices of time,ofcharacteristicsof peopleor of their Pitirim A. Sorokin, whose views earlierwere often environments, ofspace,and ofpopulation,modified ignored hut who apparently isnow regaining influence, SUCIOLUG Y notes thatinthe late nineteenth and early twentieth systeatic "theory construction." According to Parsons: century sociologists were synthesizers and generalizers, butforfortyorfiftyyearsthereaftersociologists "Theory...in the scientific sense, consists in a emphasized fact-finding. He then says: logically related integrated set of propositions about the relations of variables, that is, abstract concep- 'Preoccupiedmainlywithtechniques, narrow tual entities, in terms of which many statements of concrete problems and analyticaltheorizing,de- fact can be systematically related to each other, and tached from empirical realities, recent sociology has theirmeaningsforthesolutionofempirical neither produced a great synthesis nor discovered a problemsinterpreted.Besidestheall-important great, empidcal uniformity. Its theories and -research empirical relevance, the principle criteria of good represent mainly reiteration, variation, refinement, theoryare conceptualclarity and precision and and verification of methods and theories developed logicalintegrationinthe sense not only of the by sociologists of the preceding period. Through logicalcompatibilityof the various propositions empirical research, recent sociology h.:As given us a includedinatheoretical scheme, but oftheir fuller knowledge of a few 'speck' and dimensions mutual support, so that inference from one part of ofthetotal,immense,multidimensionalsocio- theschemetootherpartsbecomes possible." cultural reality but it has not substantially increased Comment" on"PrefacetoaMetatheoretical our understanding of the total `superorganic' reality- Framework for Soeiolog-y," American Journal of If sociology is going to grow as a basic science of Sociology, Vol. LXVII, 1961, p. 137.) sociocultural phenomena, rt is bound to 'pass into a new synthesizing-generalizing phase." ("Sociology of Functionalism Yesterday, Today and Tomorrow," American Socio- logical Review, Vol. 30, 1965, p. 833.) Many consider functionalismto be a major tTend among recent American sociologists, but functionalism is In many of the "new" sociokgists there is a kind of not always easily distinguishable from social-action and romanticvoluntadsm.AlvinGouldner,forexample, other types of inquiry. Several important sociologists are emphasizes self-awareness, accepfing the validity of one's closelyidentifiedwithfunctionalanalysis,including sentiments, and trusting one's authentic impulses. The Robert K. Merton (Social Theory and Social Siructure, "reflexive sociology" he advocates hasthefollowing rev. ed., Glencoe, Free Press, 1957) and Talcott Parsons, objective: as well as others who emphasize social-action. (See also Marion J. Levy, Jr., The Structure of Society, Princeton, "...the historical mission of a Reflexive Sociol- Princeton University Press, 1952, and F. Stuart Chapin, ogy as I conceive it...would be to transform the Contemporary American Institutions, New York, Harper, sociologist, to penetrate deeply into his daily life 1935.) and work, enriching them with new sensitivities, and A functional analysisis said to be a study of social to raisethe sociologist's self-awareness to a new phenomena as operations within, or effects of, specified historicallevel." (The Coming Crisis of Western social structures (e.g., a class system, a kinship group). Sociology, New York, Basic Books, 1970, p. 489.) Mertonsays"functions" are"those observed conse- quences which make for the adaptation or adjustment of Social-Action Theory a given system." (Merton, op. cit., p. 50.) The parts of a socialsystemareviewedasinterdependentand rth Social-action theoryis somefimes labeledanalytical contributing,onbalance,tothemaintenaoceand sociology," and focuses on the expenditure of effort by a integration of the whole system. Merton allows also for group; i.e., on collective endeavor, social interaction, and "dysfunctions" in regard to the total system and its social systems. Florian Znaniecki, Robert M. Maclver, subsystems or parts.l'he "equilibrium" of a system is Howard S. Recker, and Talcott Parsons were some of the emphasized by functionOists. Some interpret an equili- leading social-actionists. (See R.C. Flinkle, Jr., and Gisela brium in static terms, others in the form of a dynamic J. Hinitle, The Development of Modern Sociology, Garden unity. Merton distinguishes between "manifest functions" City, Doubleday, 1954.) Ends and norms, aswell as (the objective consequences of a social or cultural unit as means and conditions, were emphasized as basic consti- recognized by the participants) and "latent functions" tuents of sociA-action systems. the unintended and unrecognized consequences). The The supporters of social-actiontheory oftenwere unetionalists claim to find iniportant functional analyses influenced by Max Weber's versteheade sociology. Such in anthropology, psychology, and other fields. %niters emphasize the meaning of social behavior through Sometimes functionalism is said to be a special method an understanding of the subjective perspective of the of inquiry, the use of which differentiates the social from behaver. According to John C. McKinney: "The emphasis the physical sciences. Ernest Nagel rejects such a view, was on understanding sociA behavior, which meant that pointing out that the type of process the functionalists mere statisticalregularities had to he supplemented by emphasize is found also in the physical sciences; e.g., a knowledge of the subjective motivation before causality thermostat's operation is "functional." (The Structure of could be imputed on the level of meaning." ("Methodol- Science, New York, Harcourt, Brace, 1961, Chs. 12, 14.) ogy, Procedures, and Techniques in Sociology," in Becker Kingsley Davis has argued that all sociologists inquire into and Boskoff, op.cit.,p. 196.) A decade or two ago bothstructures,asfoundatany giventime,and sociologists seemed to be abandoning verstehen proce- functions, construed as time series and consequences of dures, but recently there has been a marked revival. (See structures.("The Myth of FunctionalAnalysis as a Leonard S. Krimerman, ed., The Nature and Scope of Special Method in Sociology and Anthropology," Ameri- SocialScience,NewYork,Appleton-Century-Crofts, can Sociological Review, Vol. 24, 1959.) 1969.) Recently some critichave argued that the function- TalcottParsonsandhisfollowersalsoadvocated alists, with their emphasis on equilibria, give political and 40 A CURRENT APPRAISAL ideological support to the existmg socioeconomicarrange- explanatory schemes of human behavior. In order to ments.AlvinGouldner,for example, sees Parsous as increasetheir understanding of human behavior, exemplifying establishment sociology and says that the sociologists must become, not more detached from, functionalists "arc conscientious 'guardians' devotedto but more involved with the phenomena of the the maintenance of the socialmachinery of whatever empirical social world." (Filstead, op. cit., p. 2.) industrialsocietytheyarecalledupon to service." (Gouldner, op. cit., p. 332.) Filstead mentions Herbert Blumer, Irwin Dentscher, Marshall B. Clinard, Severyn Bruyn, Howard S. Becker,- Ideal Type Theory Alvin Gouldner, and Irving Horowitz as important critics of positivisticsociology, and Harold Garfinkel, David Ham E. Moore says an "ideal typeis: Sudnow, Donald W. Ball, Howard S. Becker, Sherri Cavan, Ned Polsky, Barney Glaser, Anselm Strauss, Fred Davis, A configurationor gestalt of characteristics andJuliusRothas qualitative methodologists. Such constructed by bringing together those most often writers are interested in verstehen, "sympathetic intro- observedinspecimensofthecategoryunder spection,"andtheuseofparticipant observer and consideration.... It must be observed that 'ideal' as phenomenological methods. here used carries no connotation of 'better'or Often a sharp separation is made between the physical 'poorer,' i.e.,is entirely non-noimative." (In Henry and the behavioral sciences, Krimerman (op. cit.) believes Pratt Fairchild, ed Dictionary of Sociology, New that the explanation of human action is different from York, Philosophical Library, 1944.) physical science explanations, empha4zes the voluntary natureofhumanaction,regardsverstehen asan The development ofidealtypes was emphasized by indispensable social science method, sees objectivityas Max Weber inorder "to analyzehistoricallyunique impossible in the social sciences, etc. configurations or their individual components by means Severyn Bruyn believes that physical science inquirers of genetic concepts." He used the ideal types of church use an outer,behavioristic, and phydicalistic type of and sect to inquire into the Christianity of the Middle procedure, while humanists study human meanings inan Ages and to relate Protestantism to the rise of capitalism. inner,personal-social, experiential way. Sociological in- (The Methodology of the Social Sciences, translated and quiry, he says, can perform a synthesis; a participant edited by Edward A. Shils and Henry A. Finch, Glencoe, observer (e.g., a trerson who studies a street gang while he Free Press, 1949, p. 93.) isa member of it) can emphasize the "inner" as he Howard S. Becker prefers the name "constructed type" studies "lived experience" rather than "scientific abstrac- to "ideal type." He regards the types as end products of tionsand reductionisms." (The Human Perspectivein research that may have predictive power and that helpto Sociology, Englewood Cliffs,Prentice-Hall,1966, and clarify our accounts of the phenomena involved._(Through "The New Empiricists: The Participant Obsemer and Values to Social interpretation, Durham, Duke University Phenomenologist," Sociology and Social Research, Vol. Press, 1950.) 51, 1967.) Ideal type theory has recently been viewed by some as As in psychology, phenomenological and existentialist "model building" that specifies in precise detail what the procedures of inquiry arealso advocated. Edward A. type is and how it can be applied. Don Martindale points Tiryakian sees existential phenomenology as related to the out that much ambiguity prevails whether the types are sociological tradition of subjective realism or verstehen. taken as "theories" ormodels," ("Sociological Theory ("Existential Phenomenology and the Sociological Tradi- andtheIdealType,"inLlewellynZ.Gross,ed., tion," American Sociological Review, Vol. 30, 1965. See Symposium onSociologicalTheory,Evanston, Row, also John C. McKinney and Edward A. Tiryakian, eds., Peterson, 1959.) For a discussion of some of the uses and TheoreticalSociology,New York, Appleton-Century- abuses of models, see May Brodbeck, "Models, Meaning, Crofts,1970.) Bruynnotessimilaritiesbetween the and Theories" (in Gross, op. cit.) phenomenological and participant observer methods and Joseph Lopreato and Letitia Alston find attempts to says: use ideal types are often "self-defeating" and produce "indescribable confusion." They recommend that "ideal "The phenomenologist and the parficipant ob. typebe dropped from the vocabulary of sociologists and server...are both taking man as he is given in his bereplacedby"idealization,""research model," or lived experience. They are placing the mechanical, "guiding scheme." ("Ideal Types and the Idealization organic, and functional images of man intheir Strategy," American Sociological Review, Vol. 35, 1970.) proper perspective--not negating their value' to the formulation of theory but denying thel: supremacy Qualitative Methods inthe explanation of society. They are giving supremacy to an inner perspective of man in society Much of the opposition to the procedures of inquiry whichultimatelycouldleadtowardamore suggested inChapterI isillustratedintheboo comprehensivesociologicalperspective."(Bruyn, ulitative Methodology, edited by Filstead, who says: 1967, op. cit., p, 322.) "We are gaining technical specialities with little Such methods are similar in some respects to those thought as to their usefulness in terms of assaying used by the symbolic interactionists (whose work is therealityof the empirical socialworld.This discussed in Section 4) and the ethnomethodologists. The increasing trend toward quantification has led to a ethnomethodologks, influenced by the phenomenological lessened understanding of die empirical social world. philosophy of Alfred Schutz, inquire into the "rational The artificial conception of reality that is fostered properties" of thetaken-for-granted expectations and in present-daytheoretical,methodological,and understandings found in the everyday activities of the conceptualschemesresultsin thepaucityof members ofaparticularsocialgroup.(SeeHarold soCIOOGY 41 Garfinkel,StudiesinEthnornethodology,Englewood framework and considers the interactions of personality Cliffs, Prentice-Hall, 1967; and the Review Symposium in characteristics and social and cultural variables, including American Sociological Review, Vol. 33, 1968, especially studies of attitudes, values, and beliefs. (See, for example, the scathing criticisms by James S. Coleman.) Arnold Rose, ed., Human Behavior and Social Processes: Until recently, extreme antiscientific views maintaining An Interactionist Afproach, Boston, Houghton Mifflin, that there could be no successful scientific inquiry into 1962.) Sometimesinteraction" is applied as we use the much human behavior because humans areradically name in Chapter I, and sometimes as closer to what we unlike the proper subject matter of scientific inquiry, that call "transaction." Considerable attention is given to how free will makes prediction impossible, etc., were found children and adults arc socialized, i.e., how they learn to primarily in writers outside of sociology (for example, adjust to the social order through both conformist and Peter Winch, The Idea of a Social Science and its Relation nonconformist behavior patterns. (See John A. Clausen, to Philosophy, London, Routledge & Kegan Paul, 1958), ed.,Socialization and Society,Boston, Little, Brown, but now such views are re-emerging in sociology. (Fora 1968, for a report on much recent work.) A generJ generalcritique of suchviews,seeFelix Kaufmann, overview of work in social psychology can be found in Methodology of the Social Sciences, New York, Oxford Leonard Berkowitz, cd. Advances in Experimental Social University Press, 1944, pp. 141-147, and Rollo Handy, Psychology (New York, Academic Press, 1967) and in MethodologyoftheBehavioralSciences,Springfield, Henry C. Lindgren, ed, Contemporary Research in Social Charles C Thomas, 19(4.) Psychology (New York, Wiley, 1969). Much interest has been shown in "symbolic interne- 4. RESULTS ACHIEVED tionism." The symbolic interactionists are interested in how individualsinterpret situations and communicate When the first edition of this book was written, there with each other. They attempt to relate overt behavioral seemed to be a marked convergence at least in research interactionstocovertsymbolicbehavior,withan methods among sociologists holding diverse opinions on emphasisonthemeaningsobjectsacquireinthose other matters. In 1955, for example, George Lundberg interactions. Frequently the self and the subjective are was impressed bythe convergencesinthe work of emphasized, and natural science procedures of inquiry sociologists such as Parsons, Merton, and Bes and the into human behavior are rejected. There are also links to work of Stouffer,Lundberg,Dodd, and Lazarsfeld. social-action theory. (For a sampling of work in this area, (Lundberg, 1955, up. cit.) As we have noted, however, see Jerome G. Manis and Bernard N. Meltzer, eds., more recently many sociologists have begun to advocate Symbolic Interaction: A Reader in Social Psychology, and use"innerprocedures of inquiry; possiblythe Boston,AllynandBacon,1967;HerbertBlumer, immediate future will show an even greater divergence in Symbolic Interactionism, Englewood Cliffs, Prentice-Hall, the main procedures of inquiry used by sociologists. 1969; Charles K. Warriner, The Emergence of Society, A detailed account of all current research in sociology Homewood, Dorsey, 1970;Hugh Dalzrel Duncan, .Sym- is impracticable here. Some of the major lines of work are batsinSociety, New York, Oxford University Press, indicated below. 1968; and Manford H. Kuhn, "Major Trends in Symbolic Interaction Theoryinthe Past Twenty-Five Years," Demography and Ecology Sociological Quarterly, Vol. 5, 1964.) Demography is the study of the sizes, distributions, and Groups, Organizations, Instit compositions of populations. Demographers use precise and Strati ication quantitative methods and have made predictive extrapola- tions of population trends based on birth rates, death A central concern of sociologists is the investigation of rates, and migration patterns. Demographic studies are human behavior inorganized groups (primary groups, related to economics, biology, and medicine; theyare also voluntary associations, formal organizations, and whole related to studies of psychological and social procses societies),includingtherolesindividualsplay,the associated with population characteristics. The develop- stmcture of the groups, stratification and differentiation ment of computers has been highly usefulfor many within groups, and the influence of social institutions on demographic inquiries. (For work in demography, see behavior. Richard N. Farmer, John D. Long, and George J. Stolnitz, A great deal of effort has gone into the study of small eds., Wotld PopulationThe View Ahead, Bloomington, groups such as the family. An influential early study was IndianaBureau of BusinessResearch,1968; Joseph Jacob Moreno's Who Shall Survive? (Washington, D.C., Spengler and Otis D. Duncan, eds.Population Theory Nervous and Mental Disease Monographs, 58, 1934). A and Policy, Glencoe, Free Press, 1956.) more recent representative collection of work done is Studies in the area of human ecology inquire into the found in Small Croups, edited by A. Paul flare, Edgar F. rOation between important aspects of individual behavior Borgatta, and Robert F. Bales (New York, Knopf, 1955). and spatialareasthat are homogeneous in important Theodore Mills' The Sociology of Small Croups (Engle- ways.Forarecentexample, seeGeraldT.Slatin, wood Cliffs, Prentice-Hall, 1967) contains a history of "EcoloFical Analyses ofDelinquency: Aggregation smallgroupresearchandcomparestheresultsof Effects(American Sociological Review, Vol, 34, 196(J). laboratory studies unfavorably to what can be learned Much work in urban sociology (concerning the ways fromtheexperienceofleaderswhoarepartof metropolitanareas change and develop) aridinrural "self-analytic" training or therapy4roups. sociology (concerning the diffusion of farm practices, Studies of formal organizaticas and bureaucracies have migration,laborforce,etc.)iscloselyrelatedto also received much attention. One procedure involves coc demographic and ecological invmtigations. studies and focuses upon internal comparisonsamong the Social Psychology segments of an organization. (See Seymour M. Upset, M.A. Trow, and J.S. Coleman, Union Democracy: 7'Ire Typically workinthisareausesanintrrartiouist Internal Politics of the International Typographical Union, 42 A CURRENT APPRAISAL

Glericuc,FreePress,1956.) Another procedureisto "eonnter-cultures.- In inquiry into social disorganization, emphasizea systematiccomparisonof organizations. the focus is not on the individual's deviant behavior, but Somehave emploisizedthedevelopmentof "formal on the breakdown of institutional processes and the loss theories" of organizations.(See,for example, Peter M. or decreasedacceptance of group codes of behavior, Blau, -A Formal Theory of Differentiation in Organiza- attitudes, etc. tions," American Sociological Review, Vol. 35, 1970.) Albert K. Cohen, Delinquent Boys: The Culture of Also of intemt are investigations of mass communica- the Gang, Glencoe, Free Press, 1955; Robert K. Merton time propaganda, and persuasion. Mathematical models of and RobertA. Nisbet, eds., ContemporarySocial message diffusion have been developed in the context of Problems, New York, Harcourt, Brace, 1961; F. James air-droppedleaflets.(Melvin1. DeFleur and Otto N. Davis, Social Problems, New York, Free Press, 1970; and Larsen, The Flow of Information, New York, Harper, Simon Dinitz, Russell R. Dynes, and Alfred C. Clarke, 1958,) eds., Deviance: Studies in the Process of Stigmatization Ethnic and race relations has been a field attracting and SocietalReaction, New York, Oxford University much interest. William I. Thomas and Florian Znaniecki's Press, 1969.) The PolishPeasantinEurope arid America (Chicago, . - University of Chicago Press, 1918) was anearly licidinark Social Change study. Another influential book was Gunnar Nlyrdal's An Ameriranpilettomi (NewYork, Harper, 1944). For a Considerable sociologicaleffortalso has gone into sample of recent work, see Seymour Spilerman, "The inquiryintotheprocesses of socialchange and the Causes of Racial Disturbances: A Comparison of Alter- problems associated with those changes. Vadous ways in native Explanations" (American Sociological Review, Vol. which change occurs are studied, such as assimilation, 35, 1970.) diffusion, innovation, competition, conflict, etc. William Many inquiries have been made irito die religiom F. Ogburn was among the first of modern sociologists to educational,political,economic,military,andtither attempt asystematicanalysisofsocialchange;he institutions of contemporary society.Inaddition,the emphasized the notion of'cultural lag." More recent relations of man's intellectual efforts to the social setting_ inquiries focus on large scale institutional changes that have been investigated in fields such as the sociology ot occur when a society is modernized; on social movements science and the sociology of knowledge, subject matters such as reform and radical groups, religious cults, new that now seem to be attracting increasing attention. (See, political parties,ete.;andonhistoricallyoriented forexampl e, hans Neisser,On theSociologyof descriptions of major social changes. Knowledge, New York, Heineman, 1965; Peter L. Berger (See, for example, Robert A. Nisbet, Social Change and and Thomas Luckman, The SocialConstructionof History, London, Oxford University Press, 1969; Kai T. Reality,Garden City,Doubleday,1966; and Gunter Erikson, Wayward Puritans, New York, -0.Tiley, 1966; W.G. Reminling, Road toSuspicion, New York, Appleton. Runciman,RelativeDeprivationandSocialJustice, Century-Crofts, 1967.) Berkeley, University of California Press, 1966; and Werner Inquiries into social stratification investigate the ways J.Cahliman andAlvinlloskoff,eds., Sociology and in which people are ranked according to some character- History, New York, Free Press, 1964.) istic regarded as important, such as wealth or influence; St * St ** ** thedifferentialdistribution of rewards; the effects on Theforegoing surveyof therange of sociological behavior patterns of such differentiations; the relation of literature includes rcsults ranging from warranted asser- stratificationto social mobility, stability, conflict, and tions about human behavior to what die investigators change;andrelatedmatters.Connectionsare found regard as highly plausiblestatementsaboutsocial between sociai stratification and a very large number of phenomena. As an example of the former, John A. behaviors; e.g., patterns of crime, divorce, recreation, and Clausen reports on predictions made on the basis of religion. (See Richard tl. flail, Occupations and the Social questionnaireandattitudescalesof whatfields of Structure, Englewood Cliffs, Prentice-Hall, 1969; Jack L. endeavor would be entered by veterans returning to Roach, Llewellyn Gross, asul Orville R. Gursslin, eds., civilian life. The predictions made generally proved to be Social StratificationintheUnited States, Englewood reliable and accurate. ("Studies of the Post War Plans of Cliffs, Prentice-Hall, 1969; and William A. Rushing, "Two Soldiers: A Problem in Prediction," in Samuel Stouffer et. Patternsinthe Relationship between Social Class and al., eds., Measurementand Prediction, Vol. IV of Studies Mental Hospitalization," American Sociological Reciew, inSocialPsychologyin World WarII,Princeton, Vol. 34, 1969.) Princeton UniversityPress,1950, Chs.15,16.) Some sociologists regard such results as relative!):trivial and Social Deviance and Soc jl Problems believe"explaining"and"understanding' aremore important than prediction, which returns us to the topic ManyearlyAmerican sociologistswere involvedin of controversies among sociologists. social reform movements and hoped to find ways of ameliorating socialills. As the field developed, consider- 5. CONTEMPORARY CONTROVERSY able emphasis continued to be placed on problems such as crime,prostitution,alcoholism,drugaddiction,etc. Aninterestingdevelopmentalreadynoted is the Deviant behavior often isinvestigated in terms of the re-emergence of controversiesthat formerly generated developmentand enforcementofsocialrules,the much discussion but which seemed to have abated. The circumstances and conditions under which those roles will main thrust of recent criticisms of the natural science probably be challenged, the study of subgroups condoning trend islittle different from the criticisms made in the orapprovingdeviantbehavior,andtherelationsof 1930's and 1940's. In that period George Lundberg and deviant behavior and the measures by which the larger Read Bain (among others) replied in detail to nearly all groups try to control it. Currently attention is also given the arguments currently found that human behavior is toeollectiv .deviantbehavior, asisfound in youth laNtstudiedinsomenonscientificway.(Lundberg, SOCIOLOGY. Foun(1atiows of Sociology, New York, Macmillan, 1939, ellerecentliterary,voluntaristic,andsubjectivist and Can Science Save Us?, New York, Longmans, Green, procedures of inquiry being emphasized may lead to an 1947, 2nd ed.,1961; Bain,"Sociology as a Natural even greater split between the development of conjectures Science," American Journal of Sociology,Vol,1.111, (hypotheses)andthecollectionof datathanthat 1947) claraeterizing earlier sociological inquiry. (For an account Perhapsthemostimportantcurrentcontroversies of what we believe isthe most useful relation between concern methodological issues. Those issues often overlap; conjectures and data, see the closing section of Ch. 1 on for conveniencetheywill be diseassed under several the course of inquiry.) headings. Priority of Problems Theorizing and Observation V Data One group of sociologists has advocated workon Some sociologists have attempted to concentrate almost important human problemsfor whichtechniques01 exclusivelyonthecollection of data without using desirable rigor rue not yet available, much along the lines explicitconjecturesorhypotheses. Such "descriptive arguedbyRobertS.Lynd (Knowledge forWhat?, empiricists" have beencriticized on the grounds that Princeton,PrincetonUniverrityPress, 1939).Other unrecorized "theorymay bias the results, that sociologists emphasized the difficultiesthat can result their findings are random, petty, and helter-skelter, that fromsuch attempts and advocatedconcentrating on the mere collection of facts is only part of scientific problems that can be handled with the methods now inquiry,etc.(SeeRobert Bierstcdt, "A Critique of available. C. Wright Mills was stronglycriticalof the Empiricism in So.-'ology," American Sociological Review, members of the latter group, whom he called "abstracted Vol. 14, 1949; McKinney, 1957, op. cit.) empiricists." Mills held that they tended to select their There arealso sociologists who regard conclusions problems solely on the basis of methodologicA criteria, based on experiments in laboratory situationsas unlikely rather than on the basis of human significance. (C. Wright toapplyto"natural"situationsbecauseofthe Mills, op. cit.) Some of the naturrd science sociologists artificiality of laboratory settings. Sometimes such critics (perhapsLundbergmostprominently)advocatedan urgethat natural social behavior be investigated by a attack on the urgent problems of men-in society, but by phenomenological or panicipant observer method (for the nse ofhard" methods and with the recognition that example, see Theodore Mills, op. cit.) atany giventime some urgent problems cannot be Other sociologists, those whom C. Wright Mills called satisfactorily solved because we simply do not have the the "grand theorists," developed obscure notions that required infonnation to do so. (Lundberg, 1947 & 1961, were either untestable in principle or at least beyond our op. ('it.) present capability of testing. (The Sociological Imagina- ln the last few years, some sociologists have not only tion, New York, Oxford University Press, 1959.) urged that the "burning issues" be treated, but maintain Arthur L. Stinchcombe, while not defending "grand that conventional sociologists cannot do so because they theoriai," arguesthat "a sociologist is ordinarily con- only function in trivial ways or as ratiomdizing agents for fronted with phenomena for which there are no theories," thegroupholding power inour society. A radical andthat under contemporary conditionsitismore sociology is cAled for in which sociologists side with the important for sociologists to invent than to test theories. down-trodden, the dispossessed, and the exploited. (See (Constructing Social Theories, New York, Harcourt, Brace Steven E. Dettisch and John Howard, eds., Where ii s A t: and World, 1968.) And Barney Glaser and Anselm Strauss, Radical Perspectives in Sociology, New York, Harper and although urging that theory be derived from aclose Row, 1970; Gouldner, op. cit.; J. David Colfax and Jack familiarity with data, also separate sharply the "genera- L.Roach, Ms., .Ka(licalSociology, New York,Basic tion" and the "verification" of theory. They maintain Books, 1971; and Norman Birnbaum, Toward a Critical that too much attention has gone into testing, and regret Sociology, New York, Oxford, 1971.) that too often young sociologists are tanOit that they arc not functioning as sociologists unless they are involved in Operalionista verifyingtheir "theories:" (TheDiscovery of Grounded Theory, Chicago, Aldine, 1967.) In manybehavioral science areas operationism and Some sociologistsemphasizedthedevelopmentof relatedissueshave generated much controversy, even "middle range theories" that are testable but not triv:al. though often what "nperationism" names is not clear. (ThomasK.Marshall,SociologyattheCrossroads, (See Chapter on Psychology.) Operationists often regard London, Longmans, Green, 1947). Robert K. Merton theirproceduresashighlyusefulinguarding against believedthatmiddlerangetheorieswerethe most subjectivityanduntestahility.Their opponents often productive and argued(in1949) thattheoretical und claimthat operatiomsm unduly narrowstherange of empirical work were being united in sociological inquiry: nquity, that the "essential meaning" of terms is missed, or that manly useful scientific terms cannot he given a "The stereotype of the social theorist high in the direct operational interpretation. empyrean of pure ideas uncontaminated by mun- By the middle 1950's the controversies about opera. dane facts isfast becoming no less outmoded than tionism had diminislred among sociologists. In 1957, for the stereotype of the sociairesearcher equippe(l example, MeXinney believed that "instrumentalism' with questionnaire and pencil hot on the chase of to he confusedinthiscontext withail adulation of theisolatedandmeaninglessstatistic.Forin scientific equipm('nt) was a variety of operationism that building the mansion of sociology during the last was accepted by most soriologists: decades,theorist and empiricist have learned to work together. What is more, they have learned to "Originallyformulated by Dewey, itis now a talk to one another in the process." (Merton, Op. prevailing orientation of both the theoretically and cit., P. 97.) the empirically inclined, instrumentalism (often still A CURRENT APPRAISAL travelnig under thelabel of operationismsimply national Science Press, 1.9(i 7), and discussi Or lof Imre( maintained that concepts shoald be made subject to nized logical in Olen ces on sociologicad conjectures (I. inquiry and suscept ibhto hypotheticals t ate nie nt NI. Zcitlin, Ideology mu! iii e Iterelopincat of Sociological forpurposesof examination.A loreove r,instru Theory, Englewood bliiis, Prentice-Hall, 1968.) mentalism asiseristhat theories, discrete or system- Sitnil ar issues have been heatedl y discussed throughim t atic, must he evaluated intermsof their researeh much of the history of sociology. Undedying many of the adaptability,veri fiability ,andfruit ful !less." lc. iSS a (lispl toas to w he the rtheobjective of Kinney, 1957, op. cit., pp. 208209.) soviologists isthe development of warranted assertions that describe what happens tinder specified circumstances, 'Morerecent tly thepnneduresofinquiry Dewey or isthe developnient of a moral, political,religious, defended asuseful havebeenchallenged IT rna my literary, etc., standpoint on human affairs that will lead sociologists,andonecannot saythat contemporarv to "gianr action. To illustrate, in the editorial foreword sociologists by and large accept those procedures. to the journal Sociologic Intericaiotuilis, one finds the following: Sociology us NI. 'At present two major schools of thought. Nlany sociologists have argued that scientific inquiry is confronting each other. One is the e a t acr.itr:

'value free- inthe sense of "morally neutral.- Lundberg, verstclicude type of sociology. . The other is the for example, said: prac tic al, theempirical orthe observational type- . Only whenthe synthesis of both these both physical and social science Inc Lii ods comes toge the r on the highest level of have a commoniUra'ljoti,niunely,toaruwer human action eau we proceed inthe fundamental scientific qiutions. These answers will always be of task of sociology which may be called Lehenskunst an impersimal, conditional type: the temperature or 'art of living.' Lehenskunst must be based upon falls to 32°F, then water (1190) will freez.e.''If a both truthful thinking und correct action.- certain type of tax is adopted, then certain types of indnstriai ac tivitywilldecrease.' Neither of these This type of issue apparently is deeply enmeshed in statements carries any implications as to whether or Smelser-Davis report onthe how the knowledge should be used. Far from being sstotactit7l,o,tgiscoalciotllowg7shaty,s;the a weakness,this characteristic of scientific knowl. edge isits greatest strength. [T I hose scientists ". -sociology overlaps with religious, moral, and and others who tryto identify science with some politicaldoctrines because allinvolvegeneral particular social program, sect, Or party runs t he assertio ns about man 'srelation to man. A conse- regarded as the most dangerous enemies of science. quence ofthisisthatmuch of whatiscalled They are more dangermis than its avowed enemies, 'theoreticalanalysis'insociologyis,infact, an because the defenders of 'democratic,' 'communist,' effort to relate the work of a sociological theorist 'reli'oils,' or 'moral' science pose as defenders of to some epistemological, moral, or political posi-

and carry on their agitation in the name of tion... . Iii any case, given sociology 's kinship with ofty social sentiments. .Unfortunately, the same political and moral preoccupations, it is reasonable has been saidfor prominent proponents ofthe to expect that scientific sociology will not soon be Inquisition.- (Lundberg, 1%1, op. cit., pp. 4041. wparated from man's propensity to politicize and licmakesthe samepoin inFoundations of moralize.' Su-miser and Davis, op. cit., p. 36-) Sociology.revised and abridged cd., New York, David NicKay, 19(i4, pp. 24-35.) 6. TERMINOIA)GICAL PROBLEMS That view has come under strong attack from many As in any field,there are difficulties With the more iters. Irving L. Horowitz, for example, associatts value ter !laical andspecializedtermsusedinsociological neutrality with moral aloofness and says: "The truth of inquiry. Inouropinion,however,offargreater course is not that values have actually disappeared from importanceare theproblemsconcerning keynames the socialsciences,rather that the social scientil has bearing on the methods used and the subject matters become soidentifiedw iththegoingval ne-system." chosen for investigation. Some problems of that type will (Horowitz, op. uiL,p.10) Richard 1,_ Means argites, as he discussed here. haveothers before him,that sociologists must adopt John Dewey and Arthur F. Bentley described three ethical positions if they are to study a society in which typesof procedure for inquiry,the selfacilanal,the ethical issues are central. (The Ethical imperative, Carden limo!, and the transacnowil,and they analyzed City, Doubleday, 1%9.) A.R. Louill maintains that the with care the defects in the first two as used in inquiry social sciences are necessarily moral and that therefore into human behavior, (knowing and Ow Known, Boston, social scientists most openly adopt a moral perspective. Beacon Press,1949; reprintedinits entiretyin Rollo (Explanation and Hu ma n lion. Berkeley, University, of !land y andK.C. I I arwood, Ilsepil Procedures of Inquiry, California Press, 1967.) Iloward S. Hecker emphasizes the (reat l3arriugtomi, Behavioral Iteseardi Council, 197 3.) MI influences of values on "objective- work and Illientiolls three procedures ean he found in contemporary socio- that every inquiryis made from a point of view. (-Whose logical inquiry. Side Are We On,- Social Problems, Vol. 14, 19(i7.) Self-aetional assumptions long have been abandoned in ;Many other works on similar themes mild be cited. In most scientific fields; the attribution of events to the acts addition, there arediscussi onsof the possiblemoral ofindependententities, powers, or selves, as in damage research may inflict 011 the subjects by tampering "explaining" thundetholts astheresult of Zeus' anger, has with their lives, belief systems, etc. (John It. Seeley, The notbeen melt& But some sociologists use self-actional 1rnerieonizalion tf Ow Unconscious, New York,Inter- procedures of inquily; many symbolic interactionists place SOCIOLOGY eotesid erahlc emphasis On self.actionalnotions and teN othersociologistson theother hand, do emphasize innidogy, asillustratedinthe statement that at "the scientific procedures, and possiblya _renewed interest in heart of group life his a series of social selves that have scientific sociokgy will be seen in the future. (See, for been lodgedinthat strueuire." (Norman K. I)enzin, exarupk, Fact. Park's call for scientific procedures in his "Symbol icIn terac tionisniandE th wine thodology : A SociologyTomorrow: AnEra/nation_ of Smiological Proposed S yil thesis ,"I inericon Sociological Review, V ol. Theories in Terms of .5cien(e, New York, Pegasus, 1(_l69.) 34, 1969, p. 923.) Other sociologists also stress the acts Perhaps much of thedissatisfactionwith (AC' otilie of actors, sometimes in a way suggesting entirelyfree procedures of inquiry occurred because many of the actions,and other at timesusinganinteractional residtsobtainedwerefragmentary a ml lackedwide procedure in which Puht1tiV1iindependent actors, selves, application.GeorgeMurdock,in a comparisonof (37 persons arc brooght into some kind of i'aiial relation anthropology and sociology, says: with other actors. The extremely heavy use of meaningamong sorne [Sociology] gives the impression, sociologistsalsogivesrisetoproblems.Duncan, for by the periodical literatnre rather than the tom example, after saying that "'it is impossible to talk about the system-builders, of being composed of avery human rdationshipswithoutsaying something about large number of fragmentary and isolated proposi- nneaning,goes on to conclude: tions each tested and at icast tentatively validated, whicharemainly of a relatively low order of ".Sciunless we assume that action is'patterned' generality... ," ("Sociology and Anthropology," in by some ex trasyntholic 'force' or is 'determined' by John Gitlin, ed., For a Science of Social Man, New a past, or a future, or is simply a random activity, York, Macmillan, 1954, p. 24.) we must assume that action is determined by the forminwhich men communicateas theyact The remedy for such fragmentary warranted assertions, together, and that the,!reation of such forms is, according to many sociologists, is the further development therefore, the creation of ways in whichwe relate of integrating theory. Recently, for example, Lee Freese in society." (Duncan, up. cit., p. 5, p. 48.) has complained that sociological inquiry hasnot resulted in''cumulative knowledge'of the type found inthe 'Pie widespread use of mentalistic languageamong the phycal sciences. He suggests that even the development symbolic interactionists isinteresting muthat they often of "tested theories" will not suffice, unless such theories tracethe originof their procedures of inquiryfrom have a "common theoretical denominator," which will George R. Nlead through John Dewey, but apparently notbepotnible"without applying formalrulesfor without being aware of the criticisms Dewey made of systematizing verbalpropositions." ("Cumulative Socio- "meaning," "self,' "concept," "definition," and related logic alKnowledge," American Sociological Review, Vol, names. Many of the symbolic interactionists apparently 37, 1972, pp. 472473, 481, 481) are groring for procedurt% something like those Dewey But past attempts to develop integrating theory (often and peridey used in their inquiry into sign-behavior, but formalized), in advance of testing, has not ledto useful theyrelyonterminologythatDeweyandBentley results, and has been followed by many criticisms that demonstrated was worse than useless for inquiring into such work wi-6- only pseudo-scientific. The doorwas then behavioral transactions. opened tothe use of allegedly superior nonscientific Interaction"iswidelyusedas akey name by procedures. We suggest that probablya major reason sociologists of many points of view_ Thomas P. Wilson, useful solutions to the "burning issues" have not been for example, says that sociological inquiry fundamentally found is thattherelevantsign-behaviorhasbeen depends upon descriptions of interactions," and that investigatedeitherbyusinginappropriatescientific large4c ale social phenomena" can be viewedas "pat- procedurescopiedfromphysicalandphysiological terned relations arriong the actions_ of individual actors in inquiries, or by using traditional mentalistic and subjec- interaction with one_another." ("Conceptions of Interac- tivistic procedures. tion and Forms of Sociolo4ical Explanation," A Inerican Many sociological writings do not appeal- to reflecta Soc. .11ogical Review, Vol.35,1970,p. 704, p. 698.) high level of familiarity with the development of modern Sometimes "interaction" is used in a way suggesting that scientific inquiry. In 1955 Lundberg found it lamentable separate "reals" causally affect cad' other within some that "a field of study as prominentas sociology...and system, as .ina reaction away from, or an action toward, making such vigorous claims tothe status of science, something else. At other times, it is used as "transaction" should have paid so little attention toa formulation of its isused in Chapter 1,to name mutual,reciprocally basic postulates, its logic, and its methods." (Lundberg, influenced,connectionswithin a fieldofactivity. 1955, op. cit., p. 197.) And many years laterwe still find Inconsistencyand incoherencefrequehtlyarefound, sociologists relying on traditional epistemological formula- weeially inattemptsto specify what the interacting tions of what is involved. David Willer and Judith XViller, units are. for example, say:"Scientific knowledge consists of a The current controversies about value neutralityin eembination of empirical and theoretical knowledge, The behavioral inquiry are intermeshed with conflicting and former is the result of research or the collection ofsense amhipoususes of value, whichVariouslynames Ata,whilethelatterisconcerned withdieinerztal preferences, convictions, goals, criteria, approvals, desires, relationsof nonobstrvable constrtict&" ("Why Socio- nohons of the dish-able as contrasted to the desired, etc. logicalKnowledgeisNot Cumulative: A Replyto Professor Freese,American Sociological Review, 'Vol, 37, 7. COMMENT AND EVALUATION 1972, p 483. Italics added.) Some comments in the Smelser-Davis repo.: alsomay The extent to which many recent sociologists have be pertinent, Relying on Ethridge Sibley'ssurvcv(The rejectedthcso-callednaturalscience procedu resof Educationof Sociologists in the United States, INeW inquiry has been noted repeatedly in this Chapter. Nlany Russell Sage Foundation, 1963), they note thatmany CURRENT ,-IPPR:1 PhD's insuciul ogy believed that their doctoml education TheoryinCioiu(j,iicjfvandChange,NewYork, had been deficient in research train Mg, mathematics and Dryden,957. stotis ties,training in rdatcd inv.,- and t raining in Blalock,Ildwrt NI.,Jr.,andBlaloek, Ann B,,eds., theory, plide,sopIly, and logio.They also, say: 3/ethodohigy in SocialResearch, !NOW York, 1968 eat erges as a di,scolinewil ow poten- Borgata, Edgar F., and Bohmstedt,George NV., eds.,Sociolog- tialrecruikareex possed ti itsprrifess io rail and ical Methodology,San Francisco, Jossey-Bass, 1969. o( : ial-sewlilifte usliertsless and later than iri other Costner, Ilerbert1,., cd,,Sociological Methodology,San behavioral and N oial sciences.., .Wi threspect to Frarwiseolossey4lass, 1971. sociology, women enteringti c. fidd aresomewhat Filstead, William J., ed.,Qualitativeillethodology, less able than women entering other g-raduate fields; Chicago, Markham, 1970. mul men planning gradvate study insoc iology are Cross, Llewellyn, ed,,Symposium on Sociological Theory, not onlylessable than men iri other behavioral and Evanston, How, Peterson, 1959, social sciences., butalso1,elow LEarc,d au of azarsfeld, Paul F.; Sewell, William II.; and Wilensky, H., graduating seniors in general:- and Davis, eds.,Uses of Sociology,New York, Basic Books, -1p. 141-112, p.110.) 1966. Lazorsfeld,Paid P., and Rosenberg, Nlorris,eds.,The Inn ir opinion, the problem ncitiLllogitilsare grappling Language of Social Research,G leneoe,Free Pmss, with areroostusefully investigatedby trousactional 1955. procedures of inquiry, a method used irmlicitly by sonic Lundberg, George A.,Foundations of Sociology,revised sociologis ts and moreexplicitlyby those "in teradionists and abridged ed., Neu York, David McKay, 1964, who emphasize theinutnal, remprocal relations in what McKinney, John C., and 'firyakian, Edward A.,eds., they callinteractions.Sonicof the controversies about Theoretical Sociology, New Y ork, Appleton- special methodsalso can be resolved inthetransaction Century-Crofts, 1970. f rattleork. Merton, Robert K.,Social Theory and Social Structure,rev. For example,the emphasis funetionidistsplace on the ed., Glencoe, Free Press, 1957, notions of adjustive behavior, the interdependence of the Merton, Robert K., and Lazarsfeld, Paul F., eds.,Continuities parts of a system, and dynamic unity, fits nicely within in Social Research: Studies in the Scope and Method of tratwactiojial procedures, arid there appears tc he HO need "The4 inerican Soldicrr Glencoe,Free Press, 1950. to regard functional iso asa specialforrn or rnethod of Mitchell, G. Duncan, A flundredYearsof Sociology, description diat peellijarly uppropriate to behavioral Chicago, Aldine, 1969, inquiryascontrastedtophysicalinquiry.And the Park,Peter,Sociology Tomorrow: An Evaluation of symbolic interattionists' emphasis on the importance of Sociological TheoriesinTerms of Science, New communication and "'meaning"indescribing human York, Pegasus, 1969. behavior ean, we bdieve,be more usefully handled by Parsons, Talcott; Shils, Edward; Naegde, Kaspar D.; and inquiring into sigmbdiavior transactionswithou t reifying Pius, Jesse R., eds.,Theories of Society,2 vol., New selves, meanings, etc. York, Free Press, 1961, Similarly,oncei tisrecognizedthat in behavioral Sjoberg, Gideon, ed.,Ethics, PoliticsandSocial Research, inquiry the inquireris in cornmon process with what k Cambndge, Sebenkman, 1967. beinginquired into,participation in wh at is being Smelser, NeilJ., and Davis, James A.eds.,Sociology, observedisneithertohe deplored(assomecritics 01 Englewood Cliffs, Prentiec-Hall, 1969. participrit observation claim) nor to he acclaimed as a Stouffer, SamuelA.,et.al., Measurement and Prediction, method superiorto ordinaryscientific observ ation Princeton, Princeton University Press, 1950, some _supportersof participant observation nnalotain Arthur F. Bendel notedas long ago as 1935, in th 9. GERMANE JOURNALS typical sulajec t matters sociologists investigate die observer is necessarilya partic ipant: ADMINISTRATIVE SCIENCE QUARTERLY AMERICAN JOURNAL OF ECONOMICS AND "Aliemust face thecondition tbatwe, the SOCIOLOGY investigators, are participants in what !owe investigate; AMERICAN JOURNAL OF SOCIOLOGY that our participation is local within ; that AMERICAN SOCIOLOGICAL REVIEW thedefinitedeterminationof snch locializations, ANNALS OF THE AMERICAN ACADEMY OF however diffictdt,is 4uential to tile interpretation POLITICAL AND SOCIAL SCIENCE of what we, thus localized, observe;. .and that the BRITISH JOURNAL OF SOCIOLOGY two-fold constniction of the observation,interms, COMPARATIVE GROUP STUDIES on the one side,of what is observed, and, on the COMPARATIVE STUDIES IN SOCIETY AND HISTORY otherside,of theposition(romwhich the CONTEMPORARY SOCIOLOGY: A JOURNAL OF observation ismade, is essential to any dependable REVIEWS knowledge of tile Icind we call scientific."(lielzavior, CRIMINOLOGY Silo zeledge,Fact,Bloomington,Prineipia Press, CURRENT SOCIOLOGY 1935, p.38L) EUROPEAN JOURNAL OF SOCIOLOGY HUMAN RELATIONS 8. SELECTEV BIL-31.10GRAIP11 Y IMPACT OF SCIENCE ON SOCIETY INTERNATIONAL SOCIAL SCIENCE JOURNAL 13arrus, Harry Ebner, ed.,l n Introduction to theHistory JOURNAL OF CRIMINAL LAW, CRIMINOLOGY AND of Sociology,Chicago, University of Chicago Press, POLICE SCIENCE 1941. JOURNAL OF MARRIAGE AND THE FAMILY Be clte r, H ow ard , andLi o sk o ff, Alvin, linden'Soc iological JOURNAL OF SOCIAL ISSUES 5 7 socroL OGY 47 PACIFIC SOCIOLOGICAL REVIEW SOCIAL SCIENCE RESEARCH POPUTATION INDEX SOCIETY PUBLIC OPINION QUARTEB1Y SOCIOLOGIA LNTEITINATIONA1 S RURAL SOCIOLOGY SOCIOLOGICAL ABSTRACTS SCHOOL AND SOCIETY SOCIOLOGICAL INQUIRY SCIENCE AND SOCIETY SOCIOLOGICAL METHODS AND RESEARCH SOCIAL FORCES SOCIOLOGY AND SOCIAL RESEARCH SOCIAL PROBLEMS SOCIOLOGY OF EDUCATION SOCIAL RESEARCH SOCIOMETRY V. POLITICAL SCIENCE* 1. WORKING DESCRIPTION OF THE FIELD ed., New York, Crowell, 1947, pp. 1-2.) pOLITICAL scientists inquire into the behavior of Others, such as George E.G. Catlin, emphasize the human individuals and groups, with an emphasis general notion of social control: on the distribution and attainment of political influence and power, and the functioning, organization, "We cancallpolitics,if we like (along with and connections among the political units, the institu- Professor V.O. Key),'the study of government,' Com, the laws, and the customs by means of which provided that we bear in mind that 'government' lnunans are governed. here must be used as a synonym for 'control,' and Politicalscience inquiries overlap inquiriesin many carries no necessary implication of presidents and other behavioral fields, including sociology, psychology, cabinets; that our theory has to cover the arguments economics, anthropology, history, and jurisprudence. of anarchism; and that we must beware of the fallacy of loaded tenns and of packing into our 2. OTHER DESCRIPTIONS OF THE FIELD definitionanauthoritarianismat the beginning which we hope, as I have said, to pun out of the Politicalinquiryhas hada long historyand not hat at the end. We can also callit'the study of surprisingly many different viewpoints have developed as power and influence'if, with George Washington, to what the field is or should he. For some time, the we bear in mind that 'influenceis not govern- emphasis was on the state, often interpreted according to ment'.... The field of political science is the field some metaphysical system. of study of social controls, or, more specifically, of In recent years, the descriptions offered of the field the control relationship of human, and even arimal, frequendy emphasize inquiry into governmental processes, wills.... Theunitof°ham'scienceis the to power, and influence. For example, according to the individual act of control.'"Political Theory: What Report by The Behavioral and Social Sciences Survey Is Jt?," Political Science Quarterly,Vol. LXXII, Committee (sponsored hy theNational Academy of 1957, pp. 6-10.) Sciences and the Social Science Research Council): Sometimes influence is emphaeized. Darold Laaswell, "Political scienceis concerned with government forexample,distinguishesbetweenthe"scienceof inallitsaspects,inboth theory and practice: politics," which "states conditions," and the "philosophy political parties, interest groups, public opinion and oflitics," which "justifies preferences," and says: "The communication,bureaucracy,administration, and stu y of politicsisthe study of influence and the international relations." (The Behavioral and Social influential.... The influential are those who get the most Sciences:Outlook and Needs, Englewcod Cliffs, of what there is to get. Available values may be clasified Prentice-Hall, 1969, p. 38.) as deference, income, safety." (Politics: Who Gets What, When, flow, New York, MeGraw.Hill, 1936, p.13, p, Peter Odegard says: 187.) David Easton reviewed the many different tasks and "The political scientists' special preoccupation is objectives exhibited in politica science literature to see if 'th those aspects of human behavior having to do they had anything in common around which a compre- with the exercise of politicM power as a means of hensiveframeworkcouldbedevelopedfor ordering social control.... Itistherefore with the nature, institutionaldataaswellasdataaboutindividual basis, structure, scope, and dynamics of political behavior. He concluded that all political scientits share a power that the political scientist is mainly, Athough concern with the same basic problem, which he described not entirely, concerned." ("Politics: A New Look at as "the authoritative allocation of values for a society." Leviathan, 'in Lynn White, Jr, ed., Frontiers of (The Political System, New York, Knopf, 1953, p. 129) Knowledge, New 'York, Harper, 1956, p. 96.) Many political scientists describe their field broadly enough to include what ordinarily may not be regarded as And V.O. Key says: political. Robert A. Dahl, for example, says: -A peliVcal systemisany persistent pattern of human relationships -Broadly, die study of politics is concerned with that involves,to a significant extent, power, rule, or the institutions and proceses of governance. The authority,"andthusnotonlybusinesses,religious study of the structure of government, of constitu- organizations,privateclubs,etc.,but "perhaps even tions, of administration, of international relations, families" have political systems_ Modern Political Analy- of the legislation proces, of the dynamics of the sis, Englewood Cliffs, Prentice-Hall, 1963, p. 6.) Charles political struggle, all revolve around the problem of Merriam suggested that political inquiry is directee ...oward thegoverning of men.... A singlethread runs the structure of organizations in general, not only toward through allthe areas into which political scientists governmental organizations, and other political scientists dividetheirsubjectforstudy.That threadis alsohavefollowedhislead.(PublicandPrivate power." (Politics, Parties, and Pressure Groups, 2nd Government, New Haven, Yale University Press, 1944.) *Samuel I(risloy critically analyzed an earlier version of this chapter. In recent years there has been an emphasis on inquiry We appreciate his help, but emphasize that he is not responsible into political events viewed as inLeractiorialprocesses. for the contents of this chapter. Felix E. Oppenheim, for example, says: 48 POLITICASCIENCE 49 "Social science in general has become the science of creating an order thatwill endow thefact of its humaninteraction,andpoliticalsciencein existencewith meaning interrns of ends divine and particular,that of political interaction. Key con- human.- (Order andHistory,Vol.1, Baton Rouge, cepts such as influencE, control, power, authority Louisiana State University Press, 1956, p. ix.) are now interpreted as relationships of interaction Others, such as Herbert Marcuse, have offered a more among persons or groups."Dimensions of Free- ideologicallyandlessmetaphysicallyorientedphilo- dom, New York, St. Martin's Press, 1961, p. 4.) sophical critique of contemporary society. (One Dimen- sional Man, Boston, Beacon Press, 1964: and, with ltobert In the 1950's arid 1960's the behavioralists became an Paul Wolff and Barrington Moore, A Critique of Pure influential group within political science. They maintained Tolerance,Boston,BeaconPress,1)65.) MulfordQ. that -the ,cience of politicsisa science of behavior.- Sibley adopts a utopian approach in his recent book; his (James G. Marsh, "An Introduction to the Theory and work isa link also to "natural law" views.(Political Measurement of Influence," American Political Science Ideas and Ideologies, New York, Ilarper and Row, 1970.) Review, Vol. 49, 1955, p. 431.) Begincing as a protest againstthenonscientificprocedures f inquirythen Procedures Emphasizing Theories and Models prevalent, the "political behavior movement" now often is regarded as a major, if not the dominant, trend in the Along with workers in other fields, politicd scientists field. use "theory" in diverse ways. Confusion may result from Some political scientists have emphasized applying the anoscillation between "theory" as applied tohighly fi_ndings of political inquiry to administrative and other warranted scientific findings, as in "theory of evnlution, relevant needs of the time, as in Lasswell's callfor a and "theory" as applied to untestedor only partially "policy orientation." ("The Policy Orientation," in Daniel testedconjectures of broad range, as in "psychoanaly tic Lerner and Harold D. Lasswell, eds., The Policy Sciences, theory of polities." (One suspects that sometimes the Stanford, Stanford University Press, 1951.) Some policy oscillation is only too convenient.) science advocates maintain that in addition to describing Manypoliticalscientists,althoughsympatheticto politicalprocesses,politicalscientists can also help to scientific inquiry and wary of metaphysics, place a strong prescribe what shoiAd he done. emphasis on theorizing.ArnoldBrecht,for example, argues that althouh political science should avoid any 3. METHODS AND TYPES OF INQUIRY simple dependence upon "the history of ideas," theory should be emphasized. (Political Theory: The Foundations In this Section some of the major emphases in the of Twentieth-Century Political Thought, Princeton, Prince- procedures of inquiry used by politicalscientistsare ton University Press, 1959.) discussed.Those emphases are not necessarilyto be -3avid Easton also advocated that point of view and identified with schools of thought, and there can be complainedthatpoliticalsciencehaslaggedbehind overlapping among the themes, which were chosen simply sociologyandeconomicsinachievingageneralor for convenience. systematic theory. Easton wants politicalscientiststo developa greatintegratingtheorylikeEinstein'sin PhilosophicalMethods physics or Darwin's in biology. He urges a comprehensive theoretical scheme that will guide, measure, and stimulate The recent emphasis on political inquiry as scientific research, along the 1Mes of Talcott Parsons' work in has been criticized by numerous authors. Some entics are sociology. He advocates a system of working hypotheses still concerned primarfly with the history of ideas. Some that is "adopted and used only as long as it helps orient consider politics as a practical art, not a science. Others empirical research in such a way that socially significant regard it as a branch of history that describes unique or problemsarebetter understood." His general system particular eventsin political history. Some pursue the wouldconsistofpostulatesfromwhichnarrower quest for a satisfying ideology. Some argue that political generalizations would be deduced. From these, in turn, philosophymustraise"basic"questionsdioutthe specificgeneralizations"capableof empiricalproof' "nature of the state" and the "nature of justice." would be deduced. (Easton, op. cit., pp. 57-58.) In his Leo Strauss and hisfollowers criticizepresent-day laterpresidentialaddress(AmericanPoliticalScience scientifically oriented inquirers for rejecting the aims of Review, Vol. LXI!1, 1969), Easton calls for behavioral classicalpolitical philosophy and for being too much precision in dealing with important policy questions and absorbed in method. Clamical political philosophy, Strauss the synthesizing of some of the conflicting tendencies in claims, was essentially "practical" and was concerned with political science. normative questions such as the nature of virtue and "The Harold Lasswell and Abraham Kaplan attempted to bestpolidcalorder.Straussmaintainsthatpolitical construct a "conceptual framework" for political inquiry philosophy is an essential part of the study of politics, that would advance political theory, and insisted that and that political scientists who believe their inquiries can "theorizing, even about politics,is not to be confused be value-free or ethically neutral are mistaken. Essays on with metaphysical speculation in terms of abstractions the Scientific Study of Politics, edited by Hj. Storing hopelesslyremoved.- fromempiricalobservationand New York, Holt, Rinehart & Winston, 1962), reflects a control." (Power and Society: ,4 Framework for Political Straussianmethodand attacks the various notions of Inquiry, New Haven, Yale University Press, 1950, p. x.) scientific inquiry held by A.F. Bentley, Harold Lasswell, Like workers in many otherfields,theyapparently and Herbert A. Simon. believedthatelaborate conjecturescanusefully be Erie Voegelin's work is an extreme instance of the developed in advance of testing. Their general aim was: revolt against "positivism," "relativism," and scientific inquiry. His many-volumed Order and History attempts a elaborate a conceptual framework within comprehensive synthesis in the grand style: "Every society' whichinquiryintothepoliticalprocess may is burdened with the task, under its concrete conditions, fruitfully proceed. For, at bottom, it is only on the 50 .1 RREIV7' APPRAISAL basis of such inquirythat political policy can he St udy of Comparative Government,New York, Random intelligently selected and applied.... Our purpose is I louse, 1955, p. 4. primardy to advance political theory.... Inthcse tenns, the present work is an attempt to formulate Three types of comparison axe frequently found: (I) thehat-icconcepts and hypotheses of political theconfigurational,in which comparisons arc made of science."(Ibid.,pp. x-xi.) entire political systems; (2) theinstitutional,in which the structures of particular institutions are compared (e.g., Others have attempted to develop maul models for judicial systems); and (3) thefunctional,in which the politicalinquiryfrom game and decisiontheory. For various operations of a system or institution are compared example, R. Duncan Luce and Aniold A. Rogow argue (e.g, the methods of judicial review). that mathematical models are useful in politied science, Comparative studies,as thus viewed, do not use a with the -theory of games providing a model for conflicts "speciA" method, but rather use regular investigative between intelligent and goal-seeking agents," and they techniques of classification and comparoo to develop outline a possible application to the congressional power and testconjecturesorhypothesesaboutpossible structure. ("A Game Theoretic Analysis of Congressioncl connections. Power D6tributionsfor a Stable Two-Party System,' The work of Gabriel Almond and the Social Science Behavioral Seience,Vol. I,1956.) Another example is Research Couned's Committee on Comparative Politics L.S. Shapley and M. Shubik's endeavor to apply game may alc,o be mentioned.Almondhasemphasized theorytechniquesto concrete problems such as the evolutionary models for societies, as opposed to a single distribution of power in a committee system. ("A Nlethod model, and the need for the clarification of key processes. for EvaluatMg tile Distribution of Power in a Committee (Gabdel Almond and LS. Coleman, eds.,The Politics of System,"American Polit;cal Science Review,Vol. 48, the Developing Areas,Princeton, Princeton University 1954.) Press,1960; Gabriel Almond and G. Powell Bingharn, William Ul. Riker and William J. Zavoina reliew so Comparative Politics: A Developmental Approach,Boston, of the disputes about "rational behavior" and "utilities" Little, Brown, 1966.) and believe they have found at least indirect evidence that insituations where the participants can make choices, Behavioralism "utilitymaximizationisthe theorythatfits folitical behavior best." ("Rational Behavior in Politics: Evidence A group of contemporary politicalscientists, usually from a Three Person Game,American Political Science calledbehavioralists,have adopted scientific procedures of Review,Vol. 64, 1970, P. 60.) inquiry. Broadly speaking, they continue some of the Riker has beenoneofthemajor exponents of earlier scientific emphases as found in Graham Wallas analyticalmathemaficalmodels.(Theory of Political HumanNature in Politics,New York, Appleton-Century- Coalitions,New Haven, Yale University Press,l962.) rofts, 1908) and Charles E. Merriam(New Aspects of Gordon Tulloch has emphaAzed logical model building Politics,Chicago, University of Chicago Press, 1925). A and the use of economic models inpolitical inquiry. major influence WAS that of Arthur F. Bentley's now (Toward a Mathematics of Politics,Ann Arbor, University famous but long neglected work of 1908, TheProcess of of Michigan Press, 1967.) Other mathematical procedures Government: A Study of Sodal Pressures.Bentley said: are Aso found, as in,for example, Douglas Rae and Michael Taylor'sThe Analysis of Political Cleavages(New "[W]e have a dead political science. It is a formal Haven, Yale University Press,1970), and Brian Barry's studyofthemostexternalcharacteristicsof Political Argument(London, Routledge and Kegan Paul, governing institutions.It loves to classify govern- 1965). ments by incidental attributes, and when all is said and done it cannot classify them much better now Comparative Method than by lilting up bodily Aristotle's monarchies, aristocracies,anddemocracies which he found There is a Joni tradition in political science, going back significant for Greek institutions, and using them to the claffiical Greeks, of comparing aspects of differing for measurements of allsorts and conditions of political systems. Often the "comparative method" was modern governments." (Bentley,op.eit., 1935 ed., viewed as a separate or special method, althoughall Bloomington, Principia Press, p. 162.) behavioral inquiry involves comparisons, and comparisons of political phenomena may use a vadety of scientific and Bentleymaintainedthattodescribegovernmental unscientific procedures. According to Roy M. klacridis, processes asthey operate, one must inquire into the contemporary comparative inquiry proceeds as follows: group interests at work: "MI phenomena of government are phenomena of groups pressing one another, forming "(1) the collection and description of facts on one another, and pushing out new groups and group thebasisof carefullyconstructed and generally representatives (the organs or agencies of government) to adhered to classificatory schemes; (2) the discovery mediate the adjustments."(Ibid.,p. 269.) He rejected and description of uniformities and differences; (3) teleological explanations of why men behave, argued that the formulationsofinterrelationshipsbetween mentalistic and subjectivistic entities such as feelings and component elements of the political process and motives impede rather than advance useful inquiry and other social phenomena in the form of tentative concentratedonobservedgroup behavior:".61eraw hypotheses, (4) the subsequent verification of such material for the study of goverment...is first, last, and tentative hypoduNes by rigorous empirical observa- always activity, action, 'something doing'.... It must be tionfor the purpose of amplifying the original taken as it comes in many men together. It is a 'relation' hypothesesandultimatelyverifyingthem;and between men."(Ibid.,pp. 175-176.) For a sympathetic finally,(51 theslow, cumulative processof appraisal of Bentley's influence on a variety of behavioral 'acceptanceof certainbasic proposi ions."(The fields,seeLife, Language, Law: Essays in Honor of

1 POLITICAL SCIENCE Arthur F. Bentley, edited by Richard W. Taylor (Yellow Beginning as asmallprotestmovement,recent Springs, Antioch Press, 1957). behaviorAism rapidly became a major influence within David B. Truman, following Bentley's general proce- political science, and is now sometimes criticized as being dures, has studied "the role of political groups in the an"establishment"point of view.Theprestigeof governingprocess." (The Governmental Process, New presumed scientific procedures may be related to the ark,h.nopf,1951.) Although Truman, likeBentley, recent emphases on the formal, logical side of scientific focuses on interest groups, he is far more concerned than inquiry, as found, for example, in The Methodology of wa't Bentley with unorganized interests or "rules of the Comparative Research, edited by Robert T. Holt and game."Suchunorganizedintertsareattitudesor John E. Turner (New York, Free Press, 1970). Such systems of belief rather than groups of people. They writers put much more emphasis on the logical empiricist become part of our habit patterns as a result of early notions about inquiry as developed hy Rudolf Carnap, family and school experiences and exert a restraining CarlHempel, and others than on the Dewey-Bentley influence on organized interest groups. Exainples are the transactional procedures, which are opposed to formalism. notions of justice, fairness, majority rule, etc. Bertram Gross attempted to descrthe on the basis of observed data 4. RESULTS ACHIEVED the way in which bargaining and log-rolling elements function in the legislative procs. Ile gave more attention What the problems and results of political science to therole of individuAs (their personalities, strategies, inquiry are is frequently a matter of dispute. As Heinz than did Bentley. (The Legislative Struggle, New Eulau notes, there are not only many differing views as to Jork, McGraw-Hill, 1953.) what the fieldis, but disagreement as to the criteria by For good accounts of the type of behavioralism that which conclusions are to be tested: developedinthe1950'sand1960's, Behavior, edited by Heinz Eulau, Samuel J. 17.1d.trsveld, "The history of political science as an independent andMorrisJ&nowitz(Gkncoe,FreePress, 1956); field of inquiry can be written as a history of succes- Legislative Behavior, edited by John C. Wahlke and Ileinz sive emancipations from earlier limitations and false Eulau (Glencoe, Free Press,1959); and Essays on the starts. Yet, these successive emancipations have been Behavioral Study of Politics,edited by Austin Ronney additive rather than cumulative; the old survives with (Urbana, University of Illinois Prcss, 1962). the new, and the old acquires new defenders as the Such behavioralists focus not on the form and legal new relies on old apostles. It is impossible to say, powers of government but on the politically oriented therefore, that anything has been disproven as long as behavior of individuals and groups. They warn against conventional tests of proofthe requisites of scientil. premature system building and hold that the estrangement ic status in any field of knowledgeare not common- of theory and empirical research, even on lower levels of ly accepted by political scientists, or, in fact, are re- invmtigation, is a crippling flaw in much political inquiry. jected Liz some as altogether irrelevant in political Recent behavioralist procedures of inquiry do emphasize inquiry.'("Political Science," in Bert F. Hoselitz, thefonaulationofconjecturesor hypotheses:"Its ed., A Reader's Guide to the Social Sciences, rev. ed., empiricismis,therefore, quite unlike the 'brutefacts' New York, Free Press, 1970, p. 135.) approachof anearlierdescriptiveempiricism.Itis self-consciously theory-oriented." (Eulau, Eldersveld, and In what follows, the major subfields of political science Janowitz,op.cit.,p.3.)Atthesametime,the are reviewed to indicate the type ,sf work being done and behavioralists wish to be "a:ianfitative wherever possible." the type of conclusions reached. In general, the behavioral trend: Political Theory ...tries to develop rigorous research design and to apply precise methods of analysis to political As noted earlier, "theoryis used in several ways in behaviorproblems.Itis concernedwiththe the political science literature. Those adopting scientific formulation and derivation of testable hypotheses, proceduresoftenuse"theory" toreferto scientific operafional definitions problems of experimental or conjectures, and emphasize testing,die emergence of post-factodesign,reliabilityof instruments and theoryout of observations'data, etc. Some political criteria of validation, and other features of scientific scientists engage in the analysis of the work of famous procedures." (Ibid., p. 4.) writers in the history of political theory. In that context, "theory" usualy refers to discussions of issues associated Pofifical science inquiry is viewed as centinuous with with traditiorml and speculative political philosophy, such other behavioral inquiry: as the ends of government, the nature of sovereignty, the types of political authority, and the analysis of ideologies. "Although the study of politicalbehavioris Other inquirers have attempted to develop a general concerned with the actions of men and groups theoretical system or framework that is linked deductively of meninpolitics,therearebasicsimilarities to observable events. George E.G. Catlin, for example, betweentheactionsof menandgroupsof earlier used a postulational method something like that of men inother socialinstitutionsand situations. Spinoza and Hobbes in his The Science and Method of Consequently,manyofthetechniquesand Politics (New York, Knopf, 1927). That procedure was conceptsdeveloped,particularlyby psycholo elaborated in his Systematic Politics (Toronto, Universi socid psychology, and sociology, for the stu y ofTorontoPress,1962),which encompassed bo of human behavior ingeneralare applicAdeto political science and political theory (viewed as a study of thestudyofhumanbehaviorinpolitics." vAues). The volume is prefaced hy fifty-three proposifions (SamuelJ. Eldersveldet.al.,"Researchin progessing through the scientific aspects to the value PoliticalBehavior,"AmericanPoliticalScience aspects. Although there was 'considerable emphasis on Review, Vol. 46,1952.) logic,Catlinalsoattemptedtorelatethelogical 52 A LuRRENT APPRAISAL implications to observational data. As noted eadier, other Voling political scientists also have emphasized deductive models, particularly those from economies and game theory. Ilanyvotingstudiesusepanelsurveysbased on In recent years, the rise of "new left" criticisms of the repeatedinterviewsandrelyuponsociologicaland rdevance of most work inpoliticalscience has been psychologicaltechniques and findings. Voting oftenis associated with a strong intemt in the developrmmt of related torelativelylocalizedconditions,midthe "normative theory" and a qumtioning of thebasisfor generalizations reached often have only restricted appliew obedience and loyalty. Muth interest has been shown in lion. Predictions derived from public opinion polling are anarchist views. apt to be highly limited. There ids° has been an attempt to combine workon Among the important studies of voting behulor are relevant and normative quistions with logical analysis,as Voting, by Bernard 1. Berelson, Pard1'. Lazarsfeld, and in Robert Dald's Preface to Democratic Theory (Chicago, William N. McPhee (Chicago, liniversity of (Anew l'ress, University of Chicago Press, 1956); Hannah Pitkin's The 1954),and TheVoterDecides,by Angus Campbell, Conceptof Representation(Berkeley,Universityof Gerd Gurin, and Warren E. Miller (Evanston, Row, California, 1967); and David Braybrooke's Three Tests for Peterson,1954). The American Voter, by Angus Camp. Democracy (New York, Random House, 1968). Recently bell,PhilipE. Converse, and Donald Stokes (New somepoliticalscientistshavearguedthat normative York, Wiley, 1960), tries to account for voting decisions theory and scientific inquiry are compatible.Ithiel de and to discover the connection between public opinion Sola Pool, for example, holds that "normative political and antecedent conditions. The earlier work of Campbell theory and empirical political science are not contestants" andothersintheSurveyResearchCenteratthe and should be viewed "as a team in tandem when brought University of Michigan is elaborated in Elections and the to hear on public policy." (lthielde Sola Pool, ed., PoliticalOrder (New York, Wiley,1966), which also ContemporaryPoliticalScience: TowardEmpirical contains comparative materials. Data banks have been Theory, New York, McGraw-Hill, 1967, p. 230.) developed on both the national and international levels. (See Stein Rokkan, ed., Comparative Research Across Public Administration Nations andCultures,New York, HumanitiesPress, 196B.) Intin_field V.O. Key, Jr, attempted a broad synthesis of voting of public administrationthere are at behavior findings in leas!threemajor areas:(1)organizationof govern- his Public Opinion and American mental Democracy (New York, Knopf, 1961). His posthumous structures;(2)behavioral,sociological,and book, psychological The Responsible Electorate (with Milton Cum- aspects of administration; and (3)rela- mings, Cambridge, Harvard University Press, 1966) argues tionships of politics, administration, and policy formation. that"the voterisnofool"; Key iscritics]of the Amongtheproblemsinvestigated are theob- "irrational voter" notions held by some inquirers. jectives, goals, and motives ofpersonnel, the Legislative Behavior specializationanddivisionoflabor,authorityand control, communication, c-Tanizational decision- "By legislative behavior is meant not only conduct in making,etc.The administrati importance of small the performance of the legislative role, but also those groups and informal face-to-face associations is attitudes and perceptions which_ relate to the process and studied.Psychologicalandaptitudetestshavebeen substance of legislation." (Wahlke and Eulau, op. cii.,p. widelyusedforassessingqualifications.Administra- a) Numerous studies have been made of the psycho-. tivestudiesareoftenelient-orientedanddirected logical and sociological bases of legislative behavior and of towardspecificproblemsinaparticularcontext. the historical and institutional backgrounds. Considerable Frank G. Goodnow, Frederick W. Taylor, Leonard D. attention has been given to the origins, backgrounds, and White, Luther Gulick, and John M. Baus, among others, attitudesof legislators and their occupational, ethnic, made significant ealy contributions. For areview of income, class, sex, and age distributions. Also studied are those developments, see Dwight Waldo, The Administra- legislative practices, the influence of pat-ties and pressure tive State (New York, Ronald, 1948), group, representation systems, etc. The most influential recent figure probably has been On the national level, Richard Fenno studied the relation HerbertA.Simon, who wasoneoftheoriginal of the committee system to the larger legislativeprocess in popularizers of the language of decision-making and who Power of the Parse (Boston, Little, Brown, 1966). For triedto provide a scientificbasisfor "efficient" and other developments, sec Robert L. Peabody and Nelson "rational"decisions. Simon's account of administration W. Polsby's New Perspectives on the House of fiepre.5.ea1a- regarded organizationW leaders as continually striving, to rives (2nd ed., Chicago, Rand McNally, 1969). adjusttothepoliticalcontextandtoachievean The Legislative System, by John C. Wahlke et. al. (New equilibrium. His work draws from many other behavioral York, Wiley, 1962) explored state legislativeprocesses and science areas. (See Simon's Administrative Behavior, 2nd the self-images of _legislators.Politics _inthe American ed., New York, Macmillan, 1957, and James G. March States, by Herbert Jacob and Kenneth N. Vines (Boston, and Herbert Simon's Organizations. New York, Wiley, Little, Brown, 1965) compares many aspects ofstate 1958, which summarizes many of the types of inquiry in governments. Studies of the links of public policy in the this Held.) states to population, wealth, etc., are contained in Austin Inrecent yearstherehas been strong interestin Ranney, ed., Political Science and Public Policy (Chicago, comparative problems of public administration, especially Markham, 1968.) in devdoping areas (see Fred Riggs, Administration in Developing Countries, Boston, Houghton Mifflin, 1964), Judicial Behavior and a renewed interest in budgeting processes (see Aaron Wildavsky, Politicsof the Budgetary Process,Boston, Jack IV. Peltason's study, Federal Courtsin the Political Little, Brown, 1964). Process (Garden City, Doubleday, 1955),was Bentleyan 6 POLITICAL SCIENCE 53 in orientation and related judicial decisions to the judges' focu5ing n p crsonalt ty and leadership have been made, interest affiliations. Clement Vose, Joel Grossman, Samuel LewisJ.Edioger sumn arizes many such studies in his Kris lov,and manyothers haveinquiredinto group biography n Schumacher (Stanford, Stanford Univcr. influences on judicialselectionand judichildecisions. sity press, 190 fi), Others, suchas Gkndon Schubert, have attempted to Nlanx psyd-lologicalinvestigations of propaganda and applypsychometricmodelstojudicialattitude;and perstiasiork 1t:6o been made. Content unalytis studies, decisions. There have been studies of state, federal, and aided bY c-_,onifivoter technology, have been widely used. Supreme Court judicial behavior. For some representative Political sociology focuses on groups, organizations, and recent work, see Stuart Nagel, Legal Process instittitiorti os influencesonpoliticallife.See,for BehavioralStandpoint Olornewood, Dorsey, , exaMple, Seyrriour NI.Upset's Political Man: The Social Kenneth Dolbeare,Trial Courts in Urban Politic(New Basesofp0diiics(GardenCity,Doubleday,1960). York,Wiley, 1967),GlendonSchubertandDavid Consideratik emplias is foundonparticipationin Danelski, eds., Comparativ Judicial Behavior (New York, politics; sve Litobert E. Lane, Political Life: Why Peopl Oxford Univenity Press,1969), and Walter F. Murphy Get invalried el Pdit ics (Glencoe, Free Press, 1959) and and Joseph Tanenhaus, The Study of Public Law New Joseph, Schksoinger, mbition and Politics (Chicago, Rand York, Random Home, 1972). McNally, 1966 ). There havealso been studies relating political science Parties, Pressure Groups. Public ()pinion andanth topology,includingworkonthepolitical structuresof afereat cultures and on the influence of The various groups and processes linking the fomlal cultural POterrts on political processes. See, for example, machinery of govenunent to the individual citizen have Ccogca t3olarolier, Political Anthropology (New York, been invitigated by many inquirers. Pantheon,191i), aridClaireHolt,ed.,Culture and 111 studiesof politicalparties and pressure groups, Politiesi 're lacjone (Ithaca, Cornell University Press, topics similar to those mentioned under voting, legislative, 1972), and judicial behavior are investigated. For example, in Politics, Parties and Pressure Groups (4th ed, New York, Covip tralive Studies Crowell,1958), V.O. Key, Jr.deals with agricultur, labor, business, and other interest groups; the nature and W t inoted artier the work sponsored by the Social functioningof the party system;partyorganization, ScienceIttscarell Council's Committee on Comparative machinery, and leadership; citmpaigns, elections, and the Politics. Nine zoos symposia on topics such as develop- electorate; the politicalaspects of administration; etc. ment, commonication, andparties haveresulted. Other political scientists have used organizational theory Almond'sadvcpaacy a,f anthropological and sociological in studying political parties, and considerable work has techniques and perspectives in the comparison of political been done on compara6ve party systems (for example, systems, Lendthe necessity to go beyond the regional, Leon Epstein, Political PartiesinWestern Democracies, democratic.- ordictatorial, two-party or multi-party type New York, Praeger, 1967). of classificatic u, has been influential. (G.A. Almond, As noted, considerable work on interest groups was "Comparative PoliticalSystems," Journal of Politics, Vol. stimulatedhyBentley'swork(e.g.,Truman'sThe 18, 1956.) GovernmentalProcess).Thepluralisticapproachof Work has also been done onrelatingtypesof Truman, Dahl, and others has been criticized in works governaiic toeconcunicdevelopment byBarrington such as Theodore Lowi's The End of Liberalism (New Moore(Sc_lciat Originsof Dictatorship and Democracy, York, Norton, 1969) and Grant McConnell's Private Boston, Bcacoci Press,1966), See also Samuel Hunting- Power and American Democracy (New York, Knopf, ton's politica/40rder in Changing Societies (New Haven, 1966). Mancur Olson reexamined die relation of individual Yale Iluiversit," Press,1968), and Zbigniew Brzezinski's and group intensts in The Logic of Collective Action Between T200 Met (New York, Viking, 1970). (Cambridge, Harvard Univerty Press, 1965), in a way opposed to many Bendeyan notions. Urban Gonrarnent arid Community Studies Public opinion research has become a sizable field and involvesinterdisciplinaryinquiryintoindividualand The corircprary concern with urban problems has group attitudes, preferences, etc. (See, for example, Lloyd revivedirkteret inthisarea.Robert Wood's 1400 A.Free and Hadley Cantril, The Political Beliefs of Governatertu (Cambri(Jge, Harvard University Press, 1961) Americans: A Study of Public Opinion, New Brunswick, is an ocannpleof a systematic examination of relevant ?tutgers Univerty Press, 1967, and John P. Robinson, problems, -especially in the New York metropolitan area. jerroldG. Rusk, and KendraB. Head, Measures of Thequestion of thedegreetowhichpoweris Political Attitudes, Institute for Social Research, Univer- concentratudor dispersedhasalsoattractedmuch sity of Michigan, 1968.) attentiorliRobert Dahl, in Who Governs? (New Haven, Yale UrtiversityPress, 1961) found a pluralistic dispersal Psychology, Sociology, arid Anthropology of power,whiLe others argued there was a control by of Politics elitiN(forexarriple, see Robert Agger, Daniel Goldrich, andBertSwarison, The Rulers and the Ruled, New Harold D. Lasswell's introduction of psychological and York, Wiley, 19.61),' personality theories into politicalscience materials had considerable influence. In Psychopathology and Politics American GOUCrILrnCIi (Chicago, University of Chicago Press,1930), Lasswell gave a psychoanalytic interpretation of "political man," This earion,ts fieldof investigation encompasses all who was viewed as fundamentally abnormal. His Power American governmentallevels (federal, state, local) and and Personality (New York, Norton, 1948 )discussed branches c ecintive, judicial,legislative).In American "politicized" human relations. Numerous o _er studies State NA Now Y ork, Knopf, 1956), V,O. Key, Jr, 5 4 .1 CUR PM IS used he iavioral and analytic teelmiques to study the role "In studying the writings of Plato, Locke, or of state governments, state politics,_ party organization, Marx, we are in reality familiarizing ourselves with a politicalleadership, primaries,etc. The Presidency has fairly stable vocabulary and a set of categories that been a favoritetopic.See Edward S.Corwin, The help orient tit; towards a particular world, the world President: Office and Powers (4th ed., rev., New York, of political phenomena. But more than this, since New York University Press, 1957) and Richard Neustadt, the history of political philosophy is au intellectual Presidential Power (New York, Wiley, 1960). development wherein successive thinkers have added new dimensions to the analysis and understanding International Relations of politics, an inquiry into that development is not Sui much a venture into antiquarianism as a form of lii [erriatioiial tensions siiier World War I have helped to political education." (Politics and Vision, Boston, make this anextensive area of inquiry. Sonic writers Little, Brown, 1960, p. 27.) approached their materials from a particular ideoloeical viewpoint, such as a "one world" commitment. Others Others, primarily the hehavioralists, strongly criticize have been concerned with the "realities" of politics. Hens such historical emphases. They may make considerable Morgenthau, George F. Kerman, and others have been use of historical data, and have no_ objections to using concernedwiththeconduct offoreignpolicy,the promising materials from political theory or elsewhere, techniques by which itis executed, and ways to adjust but they reject the notion that historical insightscan be and accommodate power conflicts among nations. accepted without scientific confirmation. Recently efforts have been made to apply behavioral procedures of inquirytointernationaltensionsaud Theorizing and Observation of Data relations. J. David Singer, for example, discussed the uses and limits of sociology, anthropology, and psycholo Within the group of political scientists who attemptto ("The Relevance of the Behavioral Sciences to the Study adopt scientific procedures of inquiry, roughly the same of International Relations," Behavioral Science, Vol. rangeof opinionsare found about therelationof 1961.) Others have been interested in decision-making and theorizingtoobservationthatarefoundinother anie theories. See, for example, Richard C. Snyder, li.W. behavioral fields. ruck, and Burton Sapin, eds., Foreign Policy Decision- Some political scientists advocate the formulation of Making (New York, Free Press, 1962). Karl Deutsch has general theories of broad potential application, analogous inquired into communication and other phenomena as to the theory of relativityin physics. Such formalized indices of interaction. (Nationalism and Social Communi- political theories are partially based on the observation of cation, Cambridge, M.I.T. Press, 1953, and The Nerves of data, but often also are partially derived from whatare Government, New York, Free Press, 1963.) Quantitative believedto be sound general assumptions concerning research has been done on a cross-national scale. See A.S. human behavior, and are intended to be testablein Banks and R.B. Textor, .4Cross Polity Survey (Cam- principle. Emphasis on such formal theories (whether ui bridge, M.I.T. Press, 1963); Ted R. Gurr, Why Men Rebel the form of deductive theories or of mathematicalor (Princeton, Princeton University Press, 1970); and John statistical models) has been challenged by critics whoare V. Gillespie and Betty A. Nesvold, eds., Alacro-Quantita- not impressed either by the possibility of testing the tive Analysis Beverly Hills, Sage, 1971). conjecturesinvolvedorbythepredictionsthatare deduced from them. Some of the critics emphasize what 5. CONTEMPORARY CONTROVERSY sociologistscall "middlerangetheories,'which are intended to be testable and yet not trivial. Others take In a field such as political science many controversies the point of view suggested in Chapter 1 of this book, and asise; our emphasis willbe on general methodological believe thatthe continuous interweaving betweende- disputes. velopingconjectures, on the one hand, and observation, measurement of changes, etc., on the other band, is the The Extent to Which PcliticalScience most useful procedure. Can BeScientific Inviewof such controversies,the remarks of a sociologist reviewing some recent methodological work by Some believethatpoliticalscience inquirycan be political scientistsis of interest. Sanford Labovitz notes entirely scientific, others that only certain aspects of the that some political scientists: field are amenable to scientific inquiry, and still others that by far the most important aspects of the field are " ...write as iftheyhavejustdiscovered best investigated ift some nonscientific fashion. axiomatictheory, the philosophyofscience, The controversyisexacerbated because of different paradigms,models,logic,and mathematics (not applicationsofthe name"science."Certainwriters including statistics). The authors overstress these maintaining that political science is or has been scientific aspects in their attempt to refocus political science mean primarily that work in the field has been carefully along the scientific images of physics or biology. done,that greatefforts have been made to achieve They emphasize, for the most part, only the formal internallogicalconsistency, andthat the speculative ortheoreticalsideof science and neglect...the system developed is relevant to the problems that it was research and data analysis dimensions!' (American intendedto cover. Others emphasize deductive model Sociological Review, Vol. 36, 1971, p. 329.) building and consider that scientific. Yet others emphasize the type of modern inquiry discussed in Chapter 1 of this Labovitzalsosuggeststhat "perhaps afairlylarge book. number of political scientists have just moved intoa stage More thanin many other fields,thereisa related that many sociologists have been in for 10 to 20years or disagreement about the role of the history of political more." Of those who "emphasizeformal axiomatic thought. Sheldon Wolin argues: theory,model building,taxonomies, and paradigms," MLITICA CIENCE 55 Lab vitz says: -Rather tha aking the field of political methodologies, The division of research along the lines of science more scienti fie, they arlikely to make it a sterile separate disciplines often tends to impede inquiry. theorizing dead end.theorymeasurement, ariddata l'erhaps mostcon temporaryscien tificallyinclined develop t( igether; each support,the other.- p. 329, inquirerswould agreewith thethrustofLipset's p. 3:12.) comments:

,Norata 'Many politicalscientists, particularly in_ recent years, .have argued, sometimes _with others iti their Some traditionalists believe that political scientists can own field,thatitis impossible to study political ascertain in some nonscientific way what the good society processes except as special cases of more general is;theyv iew political scieiwe as basicallya normative sociologicalandpsychologicalrelationships. The discipline. increasing collaboration, as well as the acceptance of Within the group advocating scientific methods, practi- coflimnonl conceptsandmethods,among_ those callyallagree that political values, in the sense of the studyingpoliticalbehaviorwithinthefieldsof preferences, objectives, etc., actually held by persons or political science, sociology, psychology, and anthro- groups, can lw investigated scientifically. Many maintain pology,(eachof thelatter three now having a thatscientistsqua Eicicutistseannot determine what recognized sub-discipline dealing with politics)is political values ought to be ehosen; thaL seientie new evidence of _thebasicunity of the social inquiry is ethicallyneutral.Snell a viewhasb. cri sciences. The study of maninsocietycannot criticized by some who regard themscly-s as scientific, fruitfully be compartmentalized according to sub- often in the context of advocating a"policy science" stantive concerns.' (Lipset, 1960,op. cit.,P. 9.) pointofview.Policysciencesupporterssometimes emphasizetheimportanceof a studyof probable 6. TERMINOLOGICAL PROBLEMS consequencesfortheselectionofpolicy,which is with the "ethical neutrality" point of view, Despitethemanyeffortstoclarifyterminology but sometimes believe that normative political decisions throughoutthehistoryof politicalscience, problems themselves can he made within scientific inquiry. The abound.Oftenclarificationmeant onlymakingthe entire issee is complicated by vague and inconsistent uses terminology consistent within some speculative system. of "value" and "science. The earlier emphasis on notions such as "state" and in toxin years, value-h-e" behavioralisin has been "sovereignty" yielded many conflicting descriptions of attacked by "new left" critics on the ground that ethical what was involved, and often the processes being named neutrality masks value commitments and that behavior- were reified. As an illustration of the disagreements, CIL alists ia practice are irresponsibly or cyrnically serving the Titus found 145 separate "definitions" of "state." ("A nterests af dominant social groaps. (See Charles McCoy Nomenclature inPolitical Science,"American Political and John Playford,eds., Apolitical Politics,New York, Science Review,Vol. 25, 1931.) Crowell, 1068; and Philip Green and Sanford 1.-winson, Therecentemphasis onpoliticalbehavior asthe vds., Power and Community,New York, Pantheon, 1970.) subject matter of inquiry has called attention to the importance of terminology referring to behavioral pro- Is Political Science a Separate Field? cesses. Felix Oppenheim, for example, says that probally the most important task of politicalscientistsisthe Politicalinquiry generally has been closely connected developmentof a "satisfactoryvocabularyforthe with work done in other fields. Recent developments have description of human behavior." (Oppenheim. op. cit., p. led both some political scientists and other behavioral 5 scientiststomaintainthatpoliticalscienceisnot a As isthe casein other behavioral fields, there are separate area of inquiry and that the problems investi- roblems aboutthebasicterminologyfordescribing gatedbypoliticalinquirersfalllogicallyinto other ehavior. As discussed in the Chapter on Psychology and behavioralfieldssuch associology, psychology, and elsewhere, there are disagreements as to whether behavior aothropology. The most important of such developments should be viewed as overt only, and an "belonging to" the wasthesuccessofthebehavioralistsinusingthe organism involved, or is more usefully viewed as including techniques of other behavioralareastoinquire into all organic-environmental adjustmental transactiona. political processes; another factor was the widening of the Oppenheim, for example, takes behavior as overt arid as description of thefield of political inquiry to include excludingprocesses suchaspreferring andbelieving, behavicr that conventionally would not be regarded as although others would use "behavior" to include what he primarily political. Other observers, especially those who excludes: deitythn usefulness of scientific procedures. insist that political scienceisfundamentally an autonomous field, "Behaviormay be defined as any bodily however muchitmay draw upon other areas. (For movement of anorganism, animal or human- hscussions about the relation of political science to other including, of course, verbal behavior. Behavior, by hehavioral areas, sec Seymour M. Lipset, ed.,Politics and definition overt, must be distinguished from mental the Social Sciences,New York, Oxford University Press, processes-for example, believing, inferring, prefer- 1969.) ring, intending-which may or may not terminate in Suchcontroversiesarerelatedto atnoregeneral sorne physical doing."(Ibid.,p. 15.) problem inbehavioralinquiry about the division and specialization of labor. Both the investigative techniques Given the important difftrences and confusions about and the descriptions of presumed subject matters cut basic nomenclature that arccloselyconnectedto across the conventionally differentiated lwhavioral fields; disagreements about methods, the terminology used in the inquiry into the bhavior of men-in-society cannot be problemspoliticalscientists are most interestedinis compartmentalized into separate fidds requiring differing almost certain to be involved in controversy also.

66 T .11'111:11.SAL klthougli many illustrationscould be given of ter- remedy hardly tire1118 (0 be an emphasis "theorizing minologicaldisagreementwithincharaeteristic per se. Before rolled balls down an inclined plane, nrience inquin, only (dnewillbe mentioned here.ks impinwsdidnothavethedataenablinathemto noted. many (Ipetnot all) political sientists emphasize formelate warranted assertions about falling rbodies. The -power" as basictotheir subject matter. Aceounts of traditional Aristotelian doctrine had the "advantage" of what -power" most usefully names van widely. Someare llowing "the entire range of logical possibilities" to be nonformal, Charles Liseninann's statementisrrpr'siiila- fed intoit, amid wasnotrestrictedto'sensory ti\I, of such approaches. Ile sw,s that political power is experience,- but alsofailedto lead to prediction and -the effective ability to regulate human eondoet with the control. Galileo's achievement was to get appropriate data lce'king of sanctions, implying, where neci'ssary, recourse forthe problem at hand andthentoformulatea to force." (-On thy Matter of Methods of the Political eencrilization that could be tested further. Scienet's,"in(lit (Inp(?rurcPoliticalScienc(,Park Moreover, even when there is an emphasis on deriving UNESCO, 1950, p. 82.) predictions about the "real world" from a formal model, Others find such accouuts somewhat vague and Offer often what is taken as a confirmation of the model is not more formalized statements.Lasswell and Kaplan,for adequate. In view oil the prominence of models in recent ceample, give a partially formalized account of power as political science inquiry, looking at one example insonic die-participationinthe making of decisions: G has &tail may be useful. power over II with regard to value k if G participate's in Inthework byRiker andZavoinacitedearlier, the making of decisions affecting the k-policies of II." subjects (primarily college students) were involved in a (Lasswell and Kaplan, op. cit., p 75.) three person game in which coalitions were formed after Others believe a more rigorous formulation isnecessary negotiations between pairs of the subjects. The coalitions so that [precise rankings in power can he made. Robert received$6.00, $5.00, and$4.00ifthreetypes of Dahl,for example, developed a symbolic notation for coalition were formed; otherwise nothing. Tile subjects' his nion of power as a relation between people, and behavior in the game very often conformed closely to the then ranked U.S. Senators according to their power over von Neumann-Morgenstern solution for the type of game legislation. (-The (oncept of Power," lPhavioral Science, being played. Overall, from 92% to 95% of the subjects Vol.2,1957.) Numerous other formulations canbe. "tried to maximize the probability of winning," and the found, and doubtless additional ones will continue to be majorityoftheothers"were apparentlytryingto developed. Political scientists often have not focusedon maximize where some alternative other than winning names that are useful in describing observable behavihr, stood higher intheir order of preference." (Riker and but on -definitions" that make for neat, consistent, and Zavoina, op. cit., p. 56.) comprehensive systems. We have, then, a situation in which observed behavior conforms to some notions about rationality and utility 7. COMMENT AND EVALUATJON maximization; how does that behavior comp0 to the behavior of politicians? The authexs admitthat,their A s noted in otherChapters, a strong movement study deals only with "surrogate politicians in a surrogate favoring a return to subjective methods has occurred in political setting." They discuss many of the ways in recentyears in.severalfieldsiiiwhichpurportedly which the analogy between their game and politics fails, scientific procedures of impiiry had been dominant,or at andtheytriedto make their game asrealistic" as least influential,for some time. Althoughsimilar possible by introducing "putative equivalents" for what tendencies are found in political science, at least on the would be found in politica: situations. They alsosay, surfacethe commitmenttoscientificinquirystillis however,"we know,of course,thattheseputative widespread and the "return to subjectivism" movement equivalents are pretty pale imitations of these forces in may be less influential than in some other fields. political life." (Ibid., p. 59, p. 52.) If one looks more carefully, however, some of the Givenall thoseconsiderations,theauthorsstill allegedly scientific procedures of recent years have been conclude that "it is safest to assume that politicians are primarilyconcernedwith "theory development" farin calculating maximizers"; that although their evidence is advance of the available observational data, and there indirect,the "message" from the evidence IS"crystal seems to be a strong tendency to "test" theory by the clear" that in situations where choice is possible "utility intellectual satisfaction or initial plausibility it may have. maximizationisthe theory that fits politiec1 behavior Sometimes, indeed, the gap betwtten available data and a best," and that until politicians can be induceii to answer modeliregarded as a virtue. For example, in a review of whatthey"would surelyregardassilly"questions, Tulloek's Toward a Mathematics of Politics, Joseph I. "games in the laboratory are about the hest we can do to Bernd says the following about logical model building: study political behavior int exhaustive detail." (Ibid,, p. 60, p. 52.) "A chief advatita6e of this approach, whether in Many logical models are faced with a similar type of behalf of pure science or policy formulation, is that problem. If the behavior of interest cannot be inquired the variables which are fed into the model may be intodirectly, a model presumably analogous to that derived from the entire range of hugical possibilities beh-vior in important ways may be constructed ari a and are not narrowly limitedto the usable data g'irrogate. But if the "target behavior" cannot be inquired whichfalltohandin theworldofsensory into howcanthepredictionsfromthe model be ex perienee."(PoliticalScience Quarterly. Vol. con?irmed? If it turnsout that the "target behavior" can ',A X V, 1970, 12(i.) bc studieddirectly,aswould be required to confirm predictions, perhaps an elaborate model was not necessary Much the same might be saidii) behalf of traditional or even useful in the first place. "theories" in politieal philosophy. At a given moment there The recentemphasis ontheoretical maids among may be insufficient reliable data to allow the development politicalscientistshas somesimilaritytotheolder of a conjecture that can be thoroughly tested, hut the nonscientific procedures of inquiry. The importance of POLITICA L SCIENCE 57 many policy decisionsfor so many humans obviously Nlerriam, Charles E., New Aspects of Polities, Chicago, makes itdesirableto base policy on the best findings University of Chicago Press, 1925. available.Butfairlyoftenthewarrantedassertions Ranney, Austin, ed., Essays on the Behoviwal Stud_. f necessary for reliable practical use simply have not been Politics, Urbana, Ilniversity of Illinois Press, 1962, developed as yet. Then looking for a "short cut" through Ranncy, Austin, ed., Political Science and Public Polic imufficiently tested conjectures is tempting. Chicago, Markham, 1968. In general,in the last two decades there has been a Sabine, George II., A History of Political Theory,rev niL, marked shift among American political scientists away New York, Holt, Rinehart & Winston, 1950. from a focus on legal forms and the structural aspects of Soma, Albert, and Tanenhaus, Joseph, 'Ow Development institutionstoafocus_ on behavioral processeS. Sin+ of AmericanPoliticalScience: From Burgess to processeshavebeeninvestigatedbyinquirerswino' Behavioralism, Boston, !dlyn and Bacon, 1967. transactional,interactional, and sometimss self-actiona7 Storing, Herbert J., ed., Essays on the Scientific Study of procedures. Thescientificresultstodate have been York, Holt, Rinehart & Winston, 1962. limited, but the prospects seem promising, especially if Truman, David B., The Governmental Process, New York, politicalscientists do not succumb to the temptation Knopf, 1951. (seemingly attractive_ to many) of focusing their efforts on Tulloch, Gordon, Toward a Mathematics of Politics, Ann the formulation of elaborate conjecturesfar_ removed Arbor, University of Michigan Press, 1967. from observation of facts and measurement of changes. Wahlke, JohnC.,and Eulau, Heinz,eds.,Legislative The "behavioralists" qoparently Imve abaoloned many of Behavior, Glencoe, Free Press, 1959. the outmoded procedures of inquiry; if they focus inquiry on the relevant sign-behavior and avoid the pitfall of formulating pseudo-scientific conjectures, progress may 9. GERMANE JOURNALS become. rapid. AMERICAN BEHAVIORAL SCIENTIST B. SELECTED BIBLIOGRAPHY AMERICAN POLITICAL SCIENCE REVIEW Al ond, Gabriel A., and Bingham, G. Powell, Compara- AMERICAN POLITICS QUARTERLY Politics: A Developmental Approach, Boston, ANNALS OF THE AMERICAN ACADEMY OF Little, Brown, 1966. Bentley, Arthur F., The Process of Government: A Study POLITICAL AND SOCIAL SCIENCE of Social Pressures, Chicago, University of Chicago COMPARATIVE POLITICAL STUDIES Press, 1908. ETHICS: AN INTERNATIONAL JOURNAL OF Brecht, Arnold, Political Theory: The Foundations of SOCIAL, POLITICAL AND LEGAL PHILOSOPHY Twentieth-CenturyPolitical Thought,Princeton, Princeton University Press, 1959. FOREIGN AFFAIRS Catlin, George, The Science and Method of Politics, New York, Knopf, 1927. INTERNATIONAL POLITICAL SCIENCE ABSTRACTS Mid, Robert A., Modern Political Analysis, Englewood INTERNATIONAL SOCIAL SCIENCE JOURNAL Cliffs, Prentice-Hall, 1963. JOURNAL OF POLITICS De Sola Pool, Ithiel, ed., Contemporary Political Science: Toward Empirical Theory, New York, McGraw-Hill, AW AND SOCIETY 1967. POLITICAL SCIENCE QUARTERLY Easton, David, The Political Systen:, New York, Knopf, POLITICAL STUDIES 1953. Eulau, Heinz; Eldersveld, Samuel J.; and Janowitz, Morris; POLIT/CAL THEORY eds., Political Behavior, Glencoe, Free Prem, 1956. PROCEEDINGS OF THE ACADEMY OE Holt,Robert1.,andTurner, JohnE.,eds.,The Methodology of Comparative Research, New York, POUTICA1, SCIENCE Free Press, 1970. PUBLIC ADMINISTRATION REVIEW Key, V.O., Jr., Public Opinion and American Democracy, PUBLIC CHOICE New York, Knopf, 1961. Lasswell, Harold D., and Kaplan, Abraham, Power and PUBLIC OPINION QUARTERLY Society: A Framework for Political Inquiry, New REVIEW OF POLITICS Haven, Yale University Press, 1950. Lasswell, Harold D., and Lerner, Daniel, eds., The Policy SOCIAL RESEARCH .Sciences, Stanford, Stanford University Press, 1951. STATE GOVERNMENT Lipset, Seymour M., ed., Politics and the Sociol Sciences, URBAH AFFAIRS QUARTERLY New York, Oxford University Press, 1969. March, James G., and Simon, Herbert, Organizations, New WESTERN POLITICAL QUARTERLY York, Wiley, 1958. WORLD POLITICS VI. ECONOMICS

L WORKING DESCRIPPION OF THE FIELD or if a set of means is given and a maximum result isto be achieved. Thus, an economic problem arises ECONOM1STS inquire into human behavior in- whenever scarce resources must be allocated among volved in obtaining and modifying things that can alternative uses." ("Economics," in Bert F. Hoselitz, be used forfood, clothing, shelter, and other cd., A Reader's Guide to the Socia( Sciences,rev. purposes; behavior that includes the processing of things, ed., New -York, Free Press, 1970, pp. 241-242.) including distribution and exchange, and the consumption of scarce commodities and services, most of which have The institutionalists emphasized the influence of other alternativepossibleuses.Many aspects of economic social institutions on economic institutions and behavior: behavior overlapwithinquiries made bysociologists, psychologists,politicalscientists,anthropologists,his- define economics as the study of man's torians, and other behavioral scientists. behavior in making a living, if would seem relatively easy to designate tine relevant institutions. But man 2. OTHER DESCRIPTIONS OF THE FIELD doesn't divide Ids life into separate compartments. His activityinpolitics, religion, and sociallife The field of economics has been described in many cannot be completely disassociated from his eco- different ways. At timesa broad view of the fieldis nomic activity. He acts as an entire organism, and taken. For example, Alfred Marshall viewed ecoromicsas the influences of one sphere of activity do not a study of man's actions inthe ordinary business of completelydisappear when he goesinto other life."(Principlesof Economics,Vol.1,New York, activities. Consequently, the realm of pure economic Macmillan,1890, p. 1.)LudwigvonMisessaid: institutions cannot he isolated.' (Donald W. Me- Economics, as a branch of the more general theory of Comte!!et. A, Economic Behavior: An Institu- human action, deals with all human action, i.e., with tional Approach, rev. ed., Boston,liooghton Mifflin, man's purposive aiming at the attainment of ends chosen, 1939, pp. 902-903.) whatever these ends may be."(flunion Action: 4 Treatise on Economies, New Haven, Yale University Press, 1949, Some authors attempt to describe the fieldso as to p.830.) Other wnters have describedthefield more include not only market economies in which prices playa narrowly. rullior role, but also relatively simple and unindustrialized According to L. M. Fraser, there are two marr groups systems and collectivist economies. Morris A. Co eland, ofdescriptionsfoundintheliterature:'Thefirst for example, suggests that "economies should be defined connects the concept with wealth, or welfare, the second as the study of economies," and further says: withscarcity."(EconomicThoughtandLanguoge, London, Adam and Charles Black, 1947, p. 21.) The "An economy is a particulartype of social emphasis onwealthischaracteristicof many early structure, a typethatisconcernedwiththe economic treatises; e.g., Adarn Smith viewed eL...enontics as problems of social organization arising out of...the the "science of wealth," or as an "inquiry into tile nature dWisionoflabor. . ETheldivisionoflabor arid causes of the wealth of nations." (The Wealth. of consists in the fact that the work to be done in the Nations, 1776.) More recently, scarcity often has been the community or society is divided up so that different focusofattention;e.g.,LionelRobbinsheld that specialists do different parts of it.... An economy, economics "is the science which studies human behavior then,isa socialstructure that coordinates the as a relationship between ends and scarce means which activities of the various specialists in a community have alternative uses." (An Essay on the Nature ond orsociety. And by conunwiity or society.. .we Significance of Economic Science,rev.ed.,London, meanasocial pomp living inaparticular geo- Nlacmillan, 1935, p. 16.) graphical area=a group thatis inclusive enough to Sometimes the notion of maximizing is made central: be more or less self-sufficient, so that the most of those wants of its members that other people are "Economicsisthestudyoftheprinciples expected to satisfy are satisfied through the labors governing the allocation of scarce means among ofothermembersofthegroupratherthan competing ends when the objective of the allocation outsiders." (Our Free Enterprise Economy, New is to maximize the attainment of the ends." (George York, Macmillan, 19(35, pp. 15-16.) J.Stialer,TheTheoryof Price,New York, Macmillan, 1946, p. 12.; Other descriptions focus attention on behaviormore characteristic of economic systems similar toour own. And Bert F. lloselitz says: Nancy D. Ruggles, for example, says: 4, One centralfeature of all economic problems, "Since [Adarn Smith ], economists have sought to theoretical and applied,isthat they all involve a explain the behavior of the economic system asan process of maximization (or minimization) in the interactingtnechanism. SIM thconcernedhimself redniof socialaction.This may be expressed with the interdependence of wages, profits, rents, differently by saying that an economic problem prices, money, and capital accumulation. These are existsif some social endisgiven and has to be the sante tupics which printarily interest economists achieved with a minimum of expenditure of means, today. The long-range goal most economists recog- 511 69 EcoNaincS 59 nise as central to the discipline is the development "For if orthodox economics is at fault, theerror of an understanding of precisely how the economic is to be found not in the superstructure, which has system operatesthe mechanisms by whichre- been erected with great care for logical consistency, sources are allocated,pricesdetermined, income but in a lack of clearness and of generality in the distributed,and economic growth takes place." premises." (le Ceneral Theory of Ernployrizent, ("The Goals and Achievements of Economics," in interest end Money, New York, Harcourt, Brace & Nancy D. Ruggles, ed., Economics, The Behavioral World, 1949 ed., p. v.) and Social Sciences Survey sponsored by the National Academy of Sciences and Social Science Research According to Leland B. Yeager: Council, Englewood Cliffs, Prentice-Hall, 1970,p. 3.) "Often we cannot check economic the9rerns in Paul Samuelson, in his widely-used texthook,says that the complex, 'real,' or 'macro,' world because the contemporary economists "agree on a general definition ef fectsofnumerousinfluencesarehopelessly something like the following": intemingled. Fortunately, however, wecan check economic theoremsinanother wy--a way not "Economics is the study of how men and society availabletonaturalscientists.We checkthe end up choosing, with or without theuse of mone postulates directly. That is, we start the chains of to employ scarce productive resources which con d deductive reasoning from dependable knowledge,as havealternativeuses,to produce various com- of the scarcity of productive resources in relation to modities and distribute them for consumption,now practically unlimited human needs and wants, of the or in the future, among various people and groups law of diminishing returns, and of human motives in society. (Economics,fithcd, New York, and wants and choices-.. in forming theories, we McGraw.flill, 1970, p. 4.) can sort out the influences of various factors on economic affairs because we know from personal 3. METHODS AND TYPES OF INQUIRY experience how people react." ("Measurementas Scientific Method in Economics," American Journal Various ways of classifying economists methodologi- of Economics and Sociology, Vol. 16, 1957,pp. callycan be found.Classifications may he based on 342-343.) relatively speciEc techniques rather than generalproce- dures of inquiry (e.g., when mathematical economistsare Perhaps the strongest recent confidenceinrational differentiated ftom others); on the methods and tech. certainty has been expressed by Ludwig von Mise niques associated -with a particular economist or group of economists (e.g., when the neoclassical methodology is "What assigns economics its peculiar and unique differentiated from others); or on some cornbination of position.. ,is the fact that its particular theorems proceduresandleadingconclusions(e.g.,Keynesian are not open to any verification or ralsification on economics vs. other economics). the ground of experience.... The ult re ste yardstick Forpresentpurposes,wewillemphasizeissues of an economic theorem's correetnesor incorrect- concerningthegeneralproceduresofinquiry,and ness is solely reason unaided by ear erience." (Von consider specific techniques onlyin relation to those Mises, op. cit., p. 858.) general procedures. From our perspective, procedures that often are regarded as distinctive methods (e.g., much of Other writers, although arguing in favor of observa- mathematicaleconomics)areviewedinsteadasa tionaltestingineconomics, also believethat certain continuation of certain traditional procedures. We also assumptions about behavior will be acceptable to nearly should notethat a particular economist may con.bine all "normal" humans Robert H. Strata, for example, ina onsistentlyor inconsistently) various aspects of the discussion of some "'mionis" assumed in themeasurement different procedures we discuss. of utilities, says th ,t the "axioms have strong intuitive appeal. It would suern that every normal person would The Quest for Certainty clearly accept them as precepts of behavior." He admits that possibly a hwnan might behave in a way inconsistent Although Adam Smithandotterearlyclassical with the axioms, but adds that "it would bea staange economists frequently described economic events and the man indeed who would persist in violating these precepts connections among them in a manner that would qualify once he understood clearly in what way he was violating as excellent work to-jay, they also attempted to develop them." ("Cardinal Utility," in Papers cosd Proceedings, mutually consistent and presumed basic assumptions from American Econcnnic Review, Vol. UHL No. 2, 1953,p. whichfurtherconclusions Omut behavior couldhe 391, p. 393.) logicallyderived.Inthelatenineteenth andearly In its strongest form, the quest for certaintycan be twentieth centuries, the neoclassical economists empha- described as follows: At leastsome important "knowl- sized the logical implications of assumptions basedon edge" about human economic behaviorcan be aehievcd common sense,introspection, and presumed universal by beginning with premises known through "reason" to traits of human behavior. Often their confidence in the be true," and then rigorously deducingconsequences "certainty" of the assumptions and the deductive rigor of from those premises that will be as certainas the premises their arguments was so great that they believed their were. In weaker versions, there may be no requ;rement conclusions did not require observational confirmation in that the initial premises are "absolutely true,' and the order to be accepted. logical consequences derived may be said to be testable in Many later economists, who often disagree strongly principle by observation, but there still is confidence that abouttheir findings and policy recommendations, also thedeductiveelaborationofapparentlysoundand em hasize logical deductions from plausible premises. J. mutually consistent premises can lead to useful conclusions, eynes, for example, said: even though the conclusions eannot be tested adequately.

70 A CURRENT APPl AISAL Introspection Mil EnziiinlIzY older economists, in which the emphasis is on deduction, not on observational tests or measurements of change. The questforcertaintyjustdescribedoften is According to Richard C. Bernhard: accompanied by anilisistenethateconomists, unlike natural scientists,earl arrive at some important "knowl- In the social sciemlees, many mod elsare edge" abouttheir field thraughintrospeetionand the mathematicalformulationsusingtypeequations empathicinterpretationof otherpeople'sbehavior. withoutspecificnumericalcontent.The most Friedrich A, llayek, for example, viewed economies as a eminent of theseisthe Walrasian pure theory of subjective discipline on the groonds that human behavior economics, a logical structure of manielous intricacy must be understood from"within," antithat Nicmust and greatbeauty, but hyitselfnotbased on interpret other people's behavior in "the light of our own measurements nor leading to experimental verifica- mind."(TheCounter-tlevolutieniof Science,Clencoe, thou of deductions fromits postulates." ("Mathe- Free Press, 1952, rp, 44-45, p. 77.) matics,Models, and Language inthe Social Sennetimesa Kantian view of "mind isadopted in Sciences,"Symposia Studies SeTies No.3, [National which all human !minds are said to have Ole same logical Institute of Social and Behavioral Science, George structure. Ludwig von Mises says that 'It is impossible for Washington University, 1960, p. 2.) the human mind to conceive logical relations atvariance with the logicalstructu re of oar lai nd. There fore, he Sometimes the language used ( tested against reality," goes on, to understand human behavior "there is but one "observation of behavior ') suggests that a model is being scheme of interpretation and analysis available,namely, tested by something external to it, when actually the tests that provided bythe cognition arid analysis of our own are primarilyinternal.E.F. Beach, for example, says: purpose fillbehavior.- (V on Nises, op,cit., p.5, p. 26.) "Mathematical models are theoretical constructions which And Yeager says: aretested againstrealitymainly on grounds of con- sistencyandreasonableness." (Economic Models: An t is understandable that to people trairid in Exposition, New York, %Icy, 1957, p. 3. Italics added. natural scieo co-; the me thodd f Cann& And FritzMachlup,inacriticismof an article by Ifi'urY may smock of KaMianisrn and 4,6 synthetic a Samuelson, says: ... A otli ropornorphisrn,righ tly scorned in 'i rii,j sciences as pre.scientificmetaphysics, is ". Samuelson.. .characterized the problem as 'a justifiedir czonorrics because smonornicsis about purelylogicalone'. .. .But hesometimesuses human action." (Yeager, op. cit., p. 344.) language of empirical operations, for example, when he speaksof'observingthe behaviourofa A i other times, the emphasis is out on assumed a priori representativefirm.'Itshould be clear, however, Arm:taresoron the "mind" per se, but ongaining thatwhathe'observes'ismerely thelogical presumed "knowledge"throughimaginativelyplacing consequenceof asetof assumptions; thatthe yourself in another s position. According to Samuelson: 'behaviour' is purely fictitious;and thathis representativefirm is only an idealtype,a "In a sense,preciselybecause, wc aro ourselves theoreticalconstruct."("Professor Samuelson on men,we have an advantageover thenatural Theory and Realism," American Economic Review, scientist- Ile cannot usefully say, 'Suppose I were all Vol. L1V, 1964,-pp- 734-735.) Balimolecule; what might I do ia such a situation?' 'Thesocialscientist often, knowingly or b. Game theory. The founders of game theory, John unknowingly, employs suchintroapetiveacts of von Neumann and Oskar Morgenstern, were critical of ernpa thy." Samuelson, op.eit., p.9 -) many of the older mathematical models: "frequently one is offered not proofs but mere assertions which arc really Afodel Building no better than the same assertions given in literary form. Beginning with problems in gaine, of strategy such as a.Mathematical models.Although mathematical models chess and poker, they attempted to develop models for of some sort have been used by economistsfor a long "rational" economic behavioriiiwhich` mathematical time, in recent years a substantial portion of the work in treatment can be brought beyiaid the mere formalism to economic -theory hascoasistedindeveloping such the point where it yields complete numerical results." A models. Wassily Leontief says: major objective was "to establish satisfactorily. that the typical problems of economic behavior become strictly "[I!! 19511 high school calculus was viewead by identical with the mathematical !lotions of suitable games mosteconomis ts as advanced mathe mat ics arid of strategy." (Theory of Gaines and Economic Behavior, inatria algebra was still relegated to the pages of the 3rd cd, Princeton, Princeton University Press, 1953, p. 5, journal called Erna ometrica. Now, lea, than fi fteen p. 32, pp. 1-2. Italics added-) yearslater,mathematics bas without doubt Leen Solutions to a great many games have been developed. reeognized as the lingua franca of eemiomie th cory To illustrate briefly, in two-person "constant-sum" games and most of thecurrent wor t-.iri thefield of (in which the algebraic sum of the gains and losses is economic theory is El evia tedto pr rofs of fo rmal cimstant), the solution involves each player's adopting the thee -ems derivablefrommore mlesa arbitrarily strategy in which minimal gain is at least as great as that eh user! setsofaxionla CI.assumptions a nil,wil at is provided by any other strategy. via-wilt-idly tire same, a large-scale produe thin of new Among the objec tions that have been made togame nniallcIrli hical "-wick" ft:move-5 in Ccorremnied, Nw theoryas descriptive of behavioristhat assumptions York, ford University Press, On(aP. vii.) necessary to the solutions offered are inconsistent with the actual situation (e.g., that the players have "complete wtclitile general prned (lureotilizcaisthatciithe knowledge" ofthepreferencepatternsof the other 7 1 ECONOMICS 61 playersand thatthe analogy between the games and 1953-1962 period: typicaleconomic behavior fails(e.g.,in many games whatever one person gains must be lost by others, hutin "The resultsare very discouraging. While the many economic transactions thereis a net gain for all model is able to generate the 1953-54 recession, it participants). In recent years, defenders of game theory completely misses both the 1957.58 and 1960-61 often have argued that the solutions are prescriptive, not recessions.Thepredictedchangeinreal GNP descriptive; the solutions show howa rational person between 1957:3 and 1958:2 is an increase of $6 should behave in certain circumstances, not how humans billion,compared to an actualdeclineof $16 do behave. billion." ("The Brookin_s Model in Action," Journal Game theory is discussed in more detail in Chapter X. of Political Economy, Vol. 78, 1970, p. 521.) Forpresentpurposes,we concludebynoting that whethergametheoryisviewedasdescriptiveor Apparently many recent economists agree that although prescriptive,the main procedure of inquiryusedin in principle the consequences of deductions made from developing solutions is the deriving ofconsequences from premisesshouldhetestedobservationally,andthat assumptions in the hope that the consequences somehow economic "knowledge" cannot be based on deduction and will be useful for desciibing actual human behavior. ratiocination alone, considerable emphasis may still be c. Simulation models and computers. Computers and lacedonthedeductiveelaborationof conjectures. other technoloOcal aids are increasingly used byecono- muelson, for example, after criticizing the "exaggerated mists. The following quotation from Robert M. Solow claims" made for the "power of deduction anda priori illustrateshow farinadvanceof observation sonic reasoning" by many earlier oomomists throughvon Mises, economistsarewillingtoproceed, andtherelative says that "we have left tha behind lie then discusses importance they give to "theory": critically some ct his !,)'rt, aarlier1948) work as follows:

"...as economic theory is forced into models too "Fromcertairernioricalhypotheses takenas complicatedfor mathematical solution, even the postulates, by znt logic I deducedas theorems puretheonstwillhavetoturntocomputer certainotherempirical properties.... When one experimentsto discover implications of his looks at the complicated realworld, one finds it assumptions, and to compare them with the crude obvious that the hypotheses of the syllogismare far facts... .The need for computation serviceson the from valid, and, also, the consequencesare far from part of microcconornic theorists can arise in another valid. This is indeed a matter for regret and full way. When one formulates a theoretical description disclosure of inaccuracy should be medi._ Neverthe- of the behavior of a single firm or household, there less...a strong polar caselikethis oat, is likely to be an enormous variety of behavioral shed useful light on factual rearty.. assumptions that can be made withsome degree of constantly utilize parables, oaradignas, strong polav plausibility. The choice among them cannot wait for modelstohelpunderstandmore complted empirical research, which is likely to be difficult reality. The degree to which these domore good anyway. It is often the case, however, that the end than haim is always an open question, more likean roduct of the theory is insensitive to certain of the un than a science.. Nature [sometimes] seems to ehavioral assumptions. It is important to findout show an inexpliciible . As a result, the which of the assumptions fall into that category, workingscientist?earns asamatter of routine and sensitivity analysis through computer simulation experience that he should have faith that themore isa k ;. alwaytodo ( `Microeconomic beautiful and more simple of two equally (inac- Theory," ;11Ruggles, op.cit.,pp. 42-43. Italics curate) theories will end up beinf a more accurate added.) describerofwiderexperience, ("Theory and Realism: A Reply," American Economic ftcvi-iv, Inaneffort to make elaborate conjecturesmore Vol. UV, 1964, p. 736, p. '737, p. 739.) "realistic" and"scientific," considerable attentionhas been given to the development of computer simulation Inpassing, we note our difficultyin understanding models of a firm, an industre, or a nation, (Thomas H. Sarnuelson's assertionthat of two equally inaccurate Naylor, Computer Simulation i3xperiments with Models of conjectures, one may be a more accurate describer of Economic Systems, New York, Wiley, 1971.) Much effort behavior, unless accurate" designates two different things has gone into aggregate models of the United -stes inthe same sentence. (More will be saidon semantic economy, such as the Social Science Research 1.,,tocil- problems in Section 6.) In any event,some economists Brookings Institute model, the construction of which who reject "rationalism" continue to apply "rationalistic" involvedthecooperativeefforts of many well-known rreth.30.6 economists.(For abrief description of some recent large-sce models, see Carl F. Christ, "Econometrics and Attempts to Use Scientific Procedures Model-Building, 1967-1972," The Annals of the American in Economics Academy of Political and Social Science, Vol. 403, 1972.) The hope is that the models can be made useful enough Unfortunately, science"isalabelthat has been so that important policy recommendations can he soundly applied in such diverse ways that communication oftenis based on the simulations. One important technique used impeded. Il'the recent literature of the methodology of in evaluating and improving a model is to simulate past economics,scientificinquiryfrequentlyislinkedto periodsof economic events and see how closethe observational testing, although major importancemay still resulting predictions are to what actually happened. At be given to "theory" development. A typical statement is times the predictions are confirmed, but at times great from Bert F. qoselitz: discrepancies are found. In his report on the Brookings model, Robert Gordon says of the simulation for the Economists todaytendto proceedintheir

7 2 62 A C ENT APPRAISAL research by a common_ method, which is in its chief do, his procedures of inquiryunlike those of sorne of the aspectsidenticalwith_theproceduresofany morerecentquantitativeeconomistsagreewithour empiricalscience,i.e.,the testing of theories by suggestions in Chapter I concerning the interweaving of relatingthemtoempiricallyobservabledata.-' conjectures and observation. The National Bureau of (Roselitz, op. cit., p. 264.) Economic Research, which Mitchell founded and directed for many years, was concerned with the collection of data At times the tentative character of all scientific con- and the measurements of changes that would facilitate the clusions is stressed. Andreas G. Papandreou, for example, developrnem of conjecturescloselylinked tocareful says: observations. Pure spmulation, or only casually checked speculation,wasrejected.For example,ina report ...hypotheses which occur inthe theoryas relating the work of the Bureau to Keynesian notions, theorems must be capable (inplinciple) of being Arthur F. Burns said: refuted by reference to empirical evidence. If the predictions incorporated in the hypotheses are not "Fanciful ideas about business cycles are widely falsified by the empirical evidence, they may be entertained both by men of affairs and by academic adopted by the theoristbut in a tentative man- economists.Thatisinevitableaslongasthe nerfor they are always capable of being refuted, problem is attacked on a speculativelevel, or if by newempiricalevidence." (Economicsasa statisticsservemerelyasa casualcheck on Science, Chicago, Lippincott, 1958, p. 7.) speculation.... thereisno reliable short cut to tested knowledge." (TheFrontiers of Economic Some writers emphasize what we call the interweaving Knowledge, Princeton, Princeton University Press, of conjectures and observation. Leontief says: 1954, p. 19.) ...advance can he achieved only through an More recently,the National Bureau appears to have iterativeprocessinwhichimprovedtheoretical departed from the line of advance exemplified by Mitchell formulation raises new empirical questions and the and has begun to support elaborate conjectures developed answers to those questions, in their turn, lead to tar in advance of observation. (See Rollo Randy and E.C. new theoretical insights." ("Theoretical Assumptions Harwood, Useful Procedures of Inquiry, Great Banington, and Nonobservcd Facts, Arrzeriecin Economic Re- BehavioralResearch Council, 1973, pp. 204-205.) The view, Vol. LXI, 1971, p. 5.) proceduresofinquiryusedbyMitchellhavebeen Other economists have adopted views of scientific continuedandfurtherdevelopedbytheAmerican Institute for Economic Research: inquiryinwhich theimportanceofobservationis minimized. For present purposes, we have selected for commentary sorrof the views in which observational 'clic methods of conducting inquiries applied by esting is emphasized, although (as we shall see) there are the Keyriezians and to a substantial extent by the important differences of opinion about what constitutes classical ecmornists were ae older, now oltiolete adequate testing. methods. Briefly, those methods included Aristote. lian logic, in.,rospection, what may be called set ulir Institutionallsrnandrelateddevelopments.Certain revelation(atirocessat which Lord Keynes wa Americaneconomists, who oftenarecalledinstitu- especially adept), and the quest for certainty so tionalists, severely criticized many traditional economic longpersistedinaisohyphilosophers.Such procedures and conjectures as pre-Darwinian. Although me ods give great weight to the internallogical often disagreeing with each other, and sometimes engaging consistency and general pIauidillity of an !I,j.rotfic;is inthe "quest for certainty," the early institutionalists but accord little weight to the desirability of testin attempted to bring together observation and conjecturing, itslogicalimplicationsagainst measurements o argued for the importance of applying the findings of economic changes before offering the hypothesis as ot er behavioral sciences to economie,, and emphasized a warranted assertion applicable to the problems of the role of institutions (habitual and organized modes of men." (E.C.Harwood, Reconstructionof Eco- conduct) in economic behavior. nomics, 3rd ed., Great Barrington, American Institute That point of view was more fully developed by Wesley for Economic Research, 1970, p. 12.) C. Mitchell, who urged a fundamental reconstruction of economics as a science: Ecorzometricians. The work of the econometricians is sometimes viewedasthemathematical-statisticallink "If my foreca tis valid, our whole apparatus of between the development of conjectures and a thorough reasoning on the basis of utilities and disutilities, or test of those conjectures. According to Nancy Ruggles: motives, or choices, in the individual economy, will drop out of sight in the work of the quantitative "Econometricsrepresentstheapplicationof analysts, going the way of the static state. The mathematical and statistical methods to the testirN 'psychologicalelement in the work of these men of hypotheses and the analysis of economic data. It willconsistmainly of objective analysis of the has encouraged the mathematical formulation of economic behavior of groups. Motives will not be economictheoriessothathypothese;4canbe disregarded, but they will be treated as problems presented in a more rigorous form, capable of being requiring study, instead of being taken for granted tested. .. . Econometrics has thus ji.en th o. econo- as constituting explanations." ("Quantitative Analy- mistatoolthat bridgestheoryand empirical sisinEconomic Theory, American Economic observation, making possible the testing of hypoth- Review, Vol. XV, 1925, p. 5.) eses concerning economic behavior and the opera- tion of the economic system." (Ruggles, op. cit., p. Although Mitchell used a different terminology than we 6.)

7 3 ECONOMICS 63 Some observers, however, have been critical of the mental, including work in testing aspects ofgame theory testing. Harry G. Johnson, for example, says: and utility theory; work in computer simulation; and "real world" experiments. (For numerous examples,sec "Another[revolutionin economies] was the Thomas H. Naylor, Experirnental Economics Revisited," empiricaloreconometricrevolution,withits Journal of Political Economy, Vol. 80, 1972.) insistence initially on the measurement of economic The critics of such work argue that the controlled relationships and, subsequently and more ambitious laboratory situations are unlike typical economic behavior ly, on the testing of economic hypothesesthough outsidethelaboratory,thattheallegedcontrol of t e 'testing of hypotheses' is frequently a euphe- variables in many experiments is defective, that typical mism for obtaining plausible numbers to provide important economic problems involve so many vanahles ceremonial adequacyforatheory chosen and that the requisite controlfor an experiment is defended on a priori grounds." ("The Keynesian not possible, etc.; and that as a consequence theres11.Its 0,f Revolution and the Monetarist Counter-Revolution," experimentation have only a limited significance. Barry in Papers and Proceedings, American Economic Castro and Kenneth Weingarten have argued that theuse Review, Vol, IOU, No. 2, 1971, p. 2.) of inf.ahuman subjects would make possible thenecessary controls and that animal experiments may provide useful Tjalling C. Koopmans described the task ofecono- informationconcerninghumanbehavior-("Toward metrics as follows: Experimental Economies," Journal of Political Economy, Vol, 78, 1970.) "(1)toformulateallrelevant hypothesesto Although we do not oppose the use of experimental which the available data may conceivably makean roceduresanywherethey may proveuseful,sone answer possible; (2) to extract from those data all efenders of experiments seem to overemphasize the role informafion bearing on these hypotheses; (3) to ofexperimentationinscientifieinquiry. Inmany select from the set of competing hypotheses theone instances(with astronomy beingtheclassicinstance) hypothesis best supported, or the set of those warrantedassertionsmay bedevelopedthroughthe hypotheses equally well supported, by the data; (4) measurement of changeschanges that the investigator can to evaluate in some way the degree of confidence neither initiate nor otherwise control in themanner of a which canbeplacedinthe rejectionof the laboratory experimenter. hypotheses not so selected." ("The Econometric Approach to Business Fluctuation," in Papers and 4. RESULTS ACHIEVED Proceedings,AmericanEconomicReview,Vol. XXX1X, No. 3, 1949, p. 70.) The body of literature in economics is vast. Economists appeartodiscussearlierworkintheirfield more However, the number uf possible conjectures to which frequently than do inquirers in many other behavioral available data "may conceivably make an answer possible" fields, and the current output of literature is sizable. In can be large for many problems in economics, such as 1969 an estimate was made that from 1,300 to 1,500 that of business fluctuations; moreover, oftenprogress hooks "associatedin some significant sense with the requires the gathering of additional data, or the correction discipline" are published each yea, andmore than 5,000 of available data, hi order to test a conjecture. In general, major articles.("Editor's Note," Journal of Economic all too often we find a situation in which the available Literature, Vol. VII, 1969, p. iii.) data are inadequate for choosing among the conjectures Numerous classifications of the major subfields of deemed plausible by some economists. (Fora discussion economiescanbefound.The American Economic of the types of error found in economic data,see Oskar Association currently uses the following major divisions Morgenstem, On the Accuracy of Economic Observations, for classifying the economic literature: rev. ed., Princeton, Princeton University Press, 1963.) Some econometricians have been highlycritical of General economics; Theory; History; Systems much work done in their field and object to theuse of Economic growth; Development; Planning; Fluctuations dubious assumptions. Leontief says: Economic statistics Monetary and fiscal theory and institutions lEconometnes] can be in general characterized International economics asan attempttocompensateforthcglaring Administxation; Business finance; Marketing; weakness of the data base available to us by the Accounting widest possible use of more and more sophisticated Industrial organization; Technological change; statisticaltechniques.... However,liketheeco- Industry studies nomic models they are supposed to implement, the Agiculture; NaturiA resources validity of these statistical tools depends itselfon Manpower; Labor; Population the acceptance of certain convenient assumptions Welfare programs; Consumer econo i ; Urban pertaining to stochasticproperties of the and regional economies phenomena which theparticular models arein- tended to exRlain; assumptions that can be seldom In view of the extens:Ne literature in economics,our verified."("TheoreticalAssumptionsandNon- comments inthis Section must be highly selective. We observed Facts," pp. 2-3,) shall first sketch some of the historical developments in Much work in econometrice, then, rather than leading the field, then consider soine overall assessments of what to warranted assertions, is subject to the difficulties of has been achieved, and finally look at some of therecent the mathematical models discussed earlier. work in economies. Experirnen economics. An assortment of inquiries Some Historical Aspects into econoreic problems has been described as experi- Although discussions of economic topicsearl be found

74 6 A CURRENT APPRAISAL in much earlier writers, the French physiocrats (Francois cooperation, and urged equality of opportunity for all Quesnay and disciples)and Adam Smith usually are and special privileges for none. George supported a "single regarded as the founders of economics as a specialized tax" on land values that was intended to force those field of inquiry. The economic systems discussed by the holding such special privilegesto pay the competitive classicaleconomists were technologically undeveloped, market price for their privileges an 'tthus to help restore primarily agrarian, and strongiy controlled by national equality of opportunity. governments. The early economists offered both descrip- Several neoclassical schools of c,onomics developed in tions of observed connections among events and policy theperiod from 1870-1914, includingthe Jevonsian recommendations. They devoted much attention to the school(WilliamS.Jevons,PhilipWicksteed,F.Y. harmfuleffects of government intervention andto a Edgeworth). the Austrian school (Karl Menger, Eugen von defense of "laissez-faire" as the most effective way of Bolini-Bawerk,FrederickvonWieser),theRralrasian promoting economic efficiency and developire They school (Leon Walras, Vilfredo Pareto), the Sc&ndinavian emphasized the benefits of free trade and discussed the school (Knut Wicksell, Gustav Cassell), and the American advantages of a domestic andinternational exchange school (John B. Clark, Irving Fisher, Frank Fetter). The system based on a gold standard. neoclassicists tended to make economic inquiry even more The classicaleconomists attempted to formulate a deductive than it had been. system of fundamental and consistent premises from A major figure is Alfred Marshall, who attempted to which further conclusions could be developed logically- extend the range of economics beyond the study of Thomas Malthus was one of the first to conjecture about wealth and to unify the economic "theoriesof his time. the causes of economic crises. In his An Essay on the His The Principles of Economics (New York, Macmillan, Principles of Population (1798), he arguedthat the 1890) contains a detailed discussion of the business and population ter,,Is to increase geometrically and the means industrialdevelopments characteristic of the industrial of subsistence only arithmetically, and he concluded that revolution. He extended and coordinated the prevailing most of the population therefore must live in misery at views about supply and demand, marginal utility, gener the bare subsistence level, unless disasters such as war and equilibrium, and substitution and marginal productivity; famine, or moral restraints such as deferred marfiage, and emphasized the diagrammatic method of presenting reduced the population. Jean Baptiste Say (Treatise on economic analyses. His work served as a basis for much Political Economy, 1800) argued that for the economy as subsequent economic inquiry. a whole, the demand for commodities and the supply of The early American institutionalists, such as Thorstein commodities are different aspects of the same process Veblen and John R. Commons, in many respects strongly (supplycreates itsowndemand).DavidRicardo opposed the doctrines of the tradifional economists (see (Principles of Political Economy and Taxation, 1817) our prior discussion in Section 3). The institutionalists discussed the distribution of wealth and income within adopted a point of view that was emerging, although not a society, and formulated a "labor theory of value" in alwayscoherently,inmanyfields;their work has which labor was viewed as the major factor underlying similarities to that of Roscoe Pound in jurisprudence, J.H. exchange value. John Stuart. Mill (Principles of Political Robinson inhistory, WilliamF. Ogburn in sociology, Economy, 1848) argued that the laws of distribution are Arthur F. Bentleyin political science, and Charles S. not as immutable as the laws of production, and in Peirce, William James, and John Dewey in philosophy. generalhisconclusions suggestedthat the pessimistic Attenfion was directedto the observable behavior of consequencesenvisagedinMalthus'"dismal science" social man, rather than to the deductive elaboration of would not occur. assumed "fiuths." An evolutionary perspective was often Although Karl Marx argued that capitalism would be adopted, and "human nature" was viewed not as fixed, superseded by socialism, which would then develop into but as molded by changin§ sociocultural circumstances. communism, and thus rejected a basic tenet of classical John Maynard Keynes views have been heralded as economics, he adopted the general procedures of inquiry revolutionary and as initiating a "new economics," but his followed by the classical economists. Ells use of Ricardo's procedures of inquiry were basically those associated with labor theory of value is an example of the way Marx the traditional economists. Although many of the earlier attempted both touse and totransformtraditional writershadbeenconcernedwith"macroeconomic" economics. According to Marx, workers proauce more problems, Keynes believed that none of them had dealt value than they receive in wages. The surplus value thus adequately with overall or aggregate output, income, and created is appropriated by the capitalists in the form of levels of employment. Basic to his system is the notion of ofits and becomes the basis for capital accumulation. gross notional product (the total value of all final goods Marx argued that cyclical depressions were intrinsic to the andservices).AlthoughKeyneshasbeenseverely capitalist system and that inherent contradictions would criticized by those who object both to his procedures of leadto the ultimate overthrow of capitalism and the inquiry and his conclusions, his work has been extremelr establishment of a classless society. His Capital (1867) influential on recent economists. (For one such criticism, also excoriates the working and living conditions of the see W.H. Hutt, KeynesianismRetrospect and Prospect, laborers of the time. Marx transformed Ilegers dialectical Chicago, Regnery, 1963.) Probably itis no exaggeration idealism into a dialectical materialism in which the course to say that most English-language economics taught today of human social development is largely determined by the is at least partly Keynesian. economic and material conditions of life. Henry George (Progress and Poverty, 1879; The Science Overall Assessments of the Field of Political Economy, 1897) had a considerable impact on the social thought of his time, although he was far less There are strongly divergent assesrments of the merits influentialon academic economists. George criticized of what has been accomplished in t' e field of economies. conventional economistsfor the looseness with which Both economists and non.cconomists often view eco- they used technicalterminology.lie was one of the nomics as the most advanced of the behavioral fields; foremost proponents of free competition or voluntary Samuelson's statement that economics is "the queen of ECONOMICS 65 thesocialsciences"istypical of those assessments. "Economics today rides the crest of intellectual Economics, p. 1 ) According to F.A. Olafson: respectability and popular acclaim.... And yet an uneasyfeelingabout the present state of our "Among the sciences generally, physics ofcourse discipline has been growing in some ofus.... The offersthesupreme example of successinthe uneasiness...is caused...by the palpable inadequacy discovery of such laws [predictable regularities that of the scientific means with which they try to solve hold for all such phenomena wherever and whenever [practical problems]. The weak and all too slowly encountered];anditisadebatablequestion growing empirical foundation clearly cannot support whether any of the socialsciences have really the proliferating superstructure of pure, or should 1 discovered any comparable regularities. Nevertheless, say, speculativeeconomic theory." (Wassily there iswideagreementthateconomicshas Leontief,"TheoreticalAssumptions arid Nonob- progressed further in this direction than any other served Facts," p. 1.) socialscience. This means that economists have been more successful in isolating those features of Some Recent Work human behavior that are relevant and fruitful for thekinds of prediction they areinterestedin Economic inquiry sometimes isdivided into micro- making than have the other social scientists...." economics, the study of the economic behavior of firms ("Some Observations on Area Study Programs," and households, and macroeconomics, the study of the American Behavioral Scientist, Vol. 8, 1964, p. 12.) overallbehaviorof economic systems. Although the usefulness of the distinctionis open to question, we The wealth of "theory" (i.e., elaborate conjectures) follow that division here for convenience. developed by economists often is offered as proof of the Microeconomics. Workers in microeconomics frequently progressthat has been made. The mathematicalcon- assume that the objective of firms is to maximize profits, jectures so prominent in recent years perhaps are the andtheobjectiveofhouseholdsistomaximize most admired of such conjectures, although even the satisfaction. Given those assumptions, analyses are made earlier deductive procedures are sometimes suggestedas of how producers and consumers presumably will behave models for work in other behavioral areas. (Arnold Rose, under specified sets of circumstances. Considerable work for example, urged his fellow sociologists tocopy the sincethetimeof method Marshallhasbeendevotedto "sobrilliantlyemployed" bytheclassical conjectures about equilibria. For example, the neoclassical economists. See his "A Deductive Ideal-Type Method," economists held that as more of a particular commodity American Journal of Sociology, Vol. 56, 1950.) was possessed, the smaller the "utilityyielded by gaining Other commentators take a much more critical view: an additional unit of that commodity; they argued that an equilibrium for a consumer is achieved when the ratios "The apparatus of economics isvery flexible: of the marginal utility to unit cost are equal for all the without breaking the rules of the professionby goods purchased. Many other possible equilibria (not being illogical or even by denying the validity of the necessarily relying on marginal utility notions) also have traditional theorya sufficiently cleverperson can been discussed, for firms and for the whole system, with reach any conclusion he wishes on any real problem akeynotionbeingthatonceanequilibriumis (in contrast to formal problems). In general there is established, the situation tends to remain stable unless noposition...whichcannotbereachedbya disturbed from the outside. competent use of respectable economic theory." The distance between the usualconjectures about (George Stigler, "Politics of Political Economists," equilibria and the observation of behavior is considerable. uarterly journal of Economics,Vol.LXXIII, To illustrate, after claiming that.the "rigorous foundation 1959, P. 531.) of the theory of general competitive equilibrium isone of the major achievements of economic theory during the "That economists frequently do notagree has past fifteen years," Solow discusses several questions not become so commonplace that some economistsno answered by the "theory," and goes on to say: longer seem to be troubled by the sugestion that such a state of affairsis scandalous. That many "...the theory of general economic equilibrium is economi9ts doagree oncertainanalyses and far from complete. Indeed, only sketchy resultsare coneluLionsis equally scandalous from the view- known, and active research is being carried on bya point of ruodern science, however, because that smallbutverytalen't.edgroupoftheoretical agreement ruts on methods of inquiry that have economists. Their object is not only to findmore been found unreliable and have been discarded by complete answers to the questions already mentioned, capable scientists." (E.C. Harwood, op. cit., p. 3.) but also to extend the theory in still otherways. For example, itis of the greatest importance to 'The achievements of economic theory in the last extend the theory of general equilibrium tocover two decades are both impressive and in many ways marketstructuresotherthanperfectcompeti- beautiful. But it cannot be denied that thereis tion Moreover,thetheoryis almost entirely somethirg scandalous in the spectacle of somany static; even when it allows formally for thepassage people refiningthe analyses of economic states of time, it does so by assimilating the multiperiod which they give no reason to suppose willever, or economy to the one-period case-... The theory... haveever,comeabout.Itprobablyisalso tends to ignore such phenomena as the holding of dangerous. Itis an unsatisfactory and slightly quite different expectations about the future by dishonest state of affairs."(F.11.Hahn, "Some different households and firms, and the speculative AdjustmentProblems,"Econometricd,Vol 38, activities to which those different expectations give 1970, pp. 1-2.) rise." (Solow, op. cit., p. 33, p. 35.) 66 A CURRENT APPRAISAL And Ilahn, who believesthat thetechnically best Irwin,1971, p.1.) work in the last twenty years" has been in the study of equilibria, also says that the "study of equilibria alone is However, some economists who work on the problems of no help inpositive economic analysis," and that "to of inflating and the business cycle do not believe that discuss and analyze how the economy worksit ntay be .overnmentintervention helps tosolve thesocial necessary to go and look."(Hahn,op.cit., pp. 11-12, p. difficulties involved. In general, the macro-micro distinc- 1. Italics added.) tion does not seem useful except as a rough indication of Price theory is considered by some to be the major subject matter areas, and many problems in economics part of microeconomics, or synonymous with it, for many may require investigationin both the macro and the of the conjectures about supply and demand start from micro areas. assumptions concerning the behavior of households and Much of the recent work done by economists, then, firms. Something of the extensive nature of the work consists inthe building of a variety of models. The economists have done on prices, the complex character of prestige of such work isso great among professional the conjectures that have been made, and the type of economists that we have given much space in this Chapter conflicting conclusions arrived at, can be gained by a to that topic. On the other hand, considerable work also study of Arthur W. Marget's two-volume work,The hasbeendone thathas a muchfirmerbasisin Theory of Prices(New York, Prentice-Hall, 1938, 1942.) observation; e.g.,the work of the National Bureau of The foregoing should not be understood as denying Economic Research in gathering statistical data, measuring that"empirical"work is doneinmicroeconomics; economic changes, and developing economic indicators. however, the dominant tendency has been to begin with Perhaps such scientific work will become even more elaborate conjectures and then to test them "empirically," prominentinthe future; the two recent presidential if such testing is done at all. addresses quotedearlier(Leontief'stothe American Macroeconomics.According to James Tobin: Economic Association, and Hahn's to the Econometric Societyraise questions about the usefulness of "pure Macroeconomics concerns the determinants of theory. ' theperformanceofentireeconomies:nations, groups of nations, the whole world. The theoretical 5. CONTEMPORARY CONTROVERSY conceptsandAaiisticalmeasuresinvolved are generally econonly.wide aggregates or averages, such We have already discussed a number of controversies as national income, total employment, or a national among economists, particularly those concerned with the cost-of-living index. The objective is to explain ups jarocedures of inquiry. Basic to many of the methodo- and downs of these magnitudes and their inter- logical controversies 18 a disagreement about the stage of relations.... Macroeconomics is based on the faith inquiry at which ebiborate conjectures can be developed that economies are subject to laws of motion which most usefully. The latter disagreement comes out clearly are largely independent of their internal structure.' in Tjalling Kooprnans' criticism of the work of Mitchell ("Macroeconomics, in Ru _les,op.cit., p. 44.) and Burns on business cycles. Mitchell argued that although conjectures or hypotheses Although much of the work of the classical economists, are used "continuouslyto help ascertain which activities as well as of more recent inquirers, was concerned with and relations among them are worth investigating, inquiry large-scale trends, what today is called "macroeconomics" shouldbegin with the observation of behavior ina has developed during the last forty years or so. Keynes' problemsituation,notwith a "theory."Existing General Theory(1936) was probably the most influential "theories," he said, often can be neither confirmed nor singlework Inthedevelopmentofexplicitmacro- refutedbytheavailabledata,and many of those economic model-building. Keynes wanted to develop a "theories" were developed by individuals who had "sadly "theory"thatwould dealwiththeentire economic incomplete" or "badly distortedinformation about the system in terms of a few large quantities, such as national relevant facts. (Arthur F. Burns and Wesley C. Mitchell, income,stock and flowofmoney,consumption, Measuring Business Cycles,New York, National Bureau of investment, savings and income, employment, wages, and Economic Research, 1946, pp. 8-10.) general prices. Keynes rejected the widely-held view that Koopmans regardedsuchwork as "measurement voluntary unemployment was a temporary disequilibrium; without theory" (thetitleof his long review of the he saw such unemployment as a possible stable state of Burns-Mit( h ,..11 bookinReviewof Economicsand the system. He also rejected Say's Law, and argued that Statistics, 1.ol. 29, 1947). Koopmans argued in favor of government intervention often could stimulate economic combining'aprioriknowledgeorassumptionwith activity in periods of recession or depression. observation," and said: Governmentintervention,probablybecause of the influence of Keynes, sometimes is taken as a key aspect the approachof theNational Bureau of of macroeconomic inquiry. For example, in his recent Economic Researchtotheempiricalstudy of textbook Willis L. Peterson says: business cycles, developed by Mitchell, Burns, and their as iociates, emphasizes the number and wide "Macroeconomics...is concernedmainlywith coveraf,c of observations to the virtual exclusion of economic aggregates, or the economy asawhole. explicit a priori specification..."(Three Essays on The two major problem areas of macroeconomics theStateofEconomicScience,New York, are unemployment and inflation.... [These]are McGraw-Hill, 1957, tr. 199.) problems that the individual has virtually no control over.Rather the cause and/or solutions to these According to Edmond Malinvaud: problemslieinthe realm of government action; action which affects the entire economy."(Prin- "..Koopmansclearlythoughtthat economic ciples of Economics: Micro,Homewood, Richard D. science had little need for extensive contributions to

7 7 ECO OM1CS 67 the 'Kepler stage' of inquiry, in which empirical a oysters* insin the autside implies that it ts not the regularities are searched in the hope that they will only vot-aoiblc systeirt; in describing it we compare it suggest hypotheses. According to him we are now in (openly orveilly)with other actual or imagined the 'Newton stage' in which inference must be sYstenusDificreneesimplychoices, and choices basedonrigorouslyspecifiedmodels." ("The imply judgneent. We cannot escape from making ScientificPapersof Tjalling C.Koopmans: A judgmients arid the judgments that we make arise Review Article," Journal of Economic Literature. from doe ettlieal preconceptions that have soaked Vol. X, 1972, p. 801.) into our &see of life and are somehow printed in ourbrass.' ' (EconomicPhilosophy, Chicago, Presumably those arguing for Newtonian procedures in Aldine, 1.962, 1%14.) economics have not overlooked the obstacles to further physical inquiry set up by Newtonian absolutism, but Such sonorsoersies are complicated by confusions and theymayoverlooktheconnectionbetweensuch disagreemen tsass to what words suchas"moral," absolutisms and the development of plausible modelson 'ethicsl,''w1 'rake"designate. Also, without denying the basis of insufficient evidence. that often What Airman believes to be factual is strongly Within the group of economists who favor "scientific" influenced by preconceptions of which that person isun- procedures of inquiry, then, we find a marked disagree- aware, OW pally partially aware, the successes of scientific ment about the usefulness of a priori modds.* Other inquiry aimply shrew that warranted assertions oftencan he economists, however, view economics primarily as an art, developed tha liminatdB or minimize the effects of ratherthan as a science.And some,relyingonthe initial precesseertions Other procedures of inquir "noinothetic-idiographic"'distinction,arguethatthe reinforcetilt initial preconceptions, aridthe agreenteut objective of economic inquiry is not the development of reached thrciughIls use of those procedures may signify warranted generalizations about behavior, but the develop- little else dam tJuai the preconceptions have been elabo- ment of "knowledge" about particular historical situa- rated logically, (for a detailed discussion of therange of tions. economists' -viow...ca on this topic, see T.W. Hutchison, 'Posi- Sometimes several of those views are combined. Sidney nue' Ecorionniwongolicey Objectives, Cambridge, Harvard Schoeffler, for example, says that "economics is nota University Pr-ess, :1964.) nomotheticempiricalscience."Partof economicsis In recall. 3,caro work in the field of economics, like that deductive and belongs to mathematics and logic, part is in most othrbelliwioral fields, has been criticized byinem- idiographic and describes particular historical facts, but hers of the"nevi, left" and other radicals. Establishment "most important, by far, economicsis an art." (The eennomice us mist to be preoccupied with trivial problems, Failure of Economics: A Diagnostic Study, Cambridge, rather than with froblorts such as the unequal distribution Harvard University Press, 1955, pp. 155-156) of income, sneisrsas and militarism; to lendsupport to impe- There also has been considerable discussion concerning rialism; to Nave.4 "fixation" on an ever-increasing Gross the "role of value pdpments" in economics and the National rrosluet, raker than to be concerned with crucial dtinetion between ' positive" and "normative" econom- ecologiesl problems; etc- The Union for Radical Political ics. The earlier economists tended to differentiate sharply Economics,rgaraized by graduate students and younger between positive economics (the description of "what ie") nornistA hos a Liable membership. Some of the work by andnormativeeconomics("what ought-to-be')and e radical eennuesists reflects a Marxist orientation, while maintained that positive economics is "objective," "neu- some is 0mA-climatic. Although a bitter attack has been vat," "disinters Aed," etc. Many recent economists have mounted !loam &importance of many typical problems adopted theis me view. Milton Friedman, for example, selected by ecaucroists for inquiry andon many of the says: typical conelusioris they have reached, the radical econo- mists teal"! to, scleopt the same procedures of inquiry that "Positive economics is in principle independent of their opponeins Lose. (Fcor a sampling of the radical litera- any parti'.ular ethical position or normative judg- ture, see palm G.Gurley, "The State of Political Econom- ments... . Itstaskistoprovideasystemof ics," in ['open aisd Proceedings, American Economic Re- generalizations that can be used to make correct view, Vol. LNI, rtJo, 2, 1971; 'Symposium: Economics of predictions about the consequences of any change the New Left," is, Gt Bach, Stephen Hymer and Frank in circumstances.... In short, positive economics is, Roosevelt, Parch Sesseczy, arid Assar Lindbeek, The Quarterly or can be, an 'objective' science, in precisely the Journal of Eeessonica, Val. LXXVI, 1972; Angus Black, A same sense as any of the physical sciences." (Essays Radical's euEde CO Ecarlontie Reality, New York. Holt, inPositive Economics, Chicago,University of Rinehart, and lkfisallon, 1970; and Paul A. Baran and Paul Chicago Press, 1953, p. 4.) M. Sweesy, Alssoply Capital, New York, Monthly Review Press, 1966.) Other economists arguethatmoral iudgments are A large nuuthear of other controversies could be men- inescapable eveu in descriptive economics..oan Robinson, tioned, raragirag frau technical disagreements to disagree- for example, Bays: ments ahout fundomentall economic policy. Almost every shade of cepiridancan be found concerning the extent to "Butitis not possible to describe a system which governsseartl interventioncan improve economic without moral judgments creeping in. For to look at performance, the relative merits of central vs. individual planning, and da tel ma tters. At one time, mostecono- *Mention also may be made of Milton Friedman's well-known mists agreed Mat ronninuiwn individual freedom would yield view that conjectures may be "vicl" even if based on -unreal" the greatest C.etnic Hie development and the most efficient aaaumptions that run counter to well-established findings; "the only relevant teat of the validity of a hypothesis is compariaon of allocation d resorsrces; more recently many of themost its predictions with experience." (Ch. 1 of Essays in Positive iii fl uential economists have arguedthatconsiderable Economics, Chicago,Universityof Chicago Press,1953. The governmental regulation and control isnecessary to achieve quotation is from pp. 8.9.) those objectivies yvf sly of the more technical disagreements 68 A CURRENT APPRAISAL among econontistsseenito stem from differences of than 'throw away his vote. Social Choice and opinion abouttheefficacyof "free markets"; Hahn Individual Values, 2nd cd., New York, Wiley, 1963, claims that the "most intellectually exciting question of p. 7. Italics added.) our subject remains: is it true that the pursuit of private interest produces not chaos but coherence, and if so, how Arrow goes on to say that the prob.om is therefore to is it done?" (Hahn, op. ed., p. 12.) find ru es for a game so that individuals "will actually Althoughsharplydivergentopinionsaboutsocial expresstheirtruetastes even when they are acting objectives sometimes may beinvolved, many of the rationally." controversiesjustmentionedapparentlyarebased To describe a situation in which a person votes for the primarily on disagreements about the probable conse- least undesirable of the only candidates having a chance quences of alternative courses of action. Disputes about of getting elected as a misrepresentation of a "true taste" probableconsequencesmaycontinueuntilmodern (whateverthat may he)seemsaconfusing use of procedures of inquiry are adopted; i.e., until application language, unless one assumes that voting for a candidate of the procedures associated with the Galilean revolution somehow signifies approving that candidate aboveall yields warranted assertions. others. A common situation in life is desiring somethi thatispresentlyunattainable;sotoallocate 6 TERMINOLOGICAL PROBLEMS resources in order to get the best that is attainable hardly is a misrepresentation of one's ideal. A major obstacle to the development of economic (3) At times economists mistakenly assume that some- inquiry is the lack of useful naming such as that found in thing exists in behavior corresponding to some part of the the physical and physiological sciences. Basic terminology model used by the economist. Many uses of "utility" in economics oftenis applied inconsistently and inco- reflectsuchanassumption.For example, economic herently. The existing confused terminology is described behavior often is construed as an attempt to maximize in Chapter II of E.C. Harwood's Useful Economics (Great something; for consumers, "utility" is postulated as that Barrington, American Institute for Economic Research, something. Maximization models are then developed in 1970 edition). Although we believe that many of the whichnumericalmeasurescanbemanipulatedand suggestions about terminolo_gy in L.M. Fraser's Economic solutions arrived at; certain of those measures are labeled Thought and Language (London, Adam and Charles as utilities and are assumed to correspond to something Black, 1947) are far front meeting the requirements of found in observable behavior. But observation of behavior scientific specification, his book illustrates in detail many rarely reveals the purported utilities. of the ways in which economists have attempted to use Other economists have viewed utilities not as sornethinfi key names and the resulting difficulties. found in economic behavior, but as "logical entities n what follows, we have selected examples of some of useful for achieving logical closure of a model. Typically the major types of semantic problems encountered in such conjectures are developed so far in advance of the economics: relevant observations that they are not usefid. (For a brief (1) Often a single word is used confusingly to name history of the notion of utility, see Jerome Rothenberg, diverse aspects or phases of a situation. "Money," for "Values and Value Theory in Economics," in Sherman example, sometimes designatesonly the money com- Roy K rupp, ed., The Structure of Economic Science, modity (gold) and representative paper (such as the gold En lewood Cliffs, Prentice-Hall, 1966.) certificates formerly in circulation); sometimes currency 4) Many economists use the self-actionel language long plus demand deposits (checking accounts); sometimes outmoded in scientific inquiry and emphasize the role of savingdepositsinadditiontocurrency and demand an Actor spurred on by internal forces. For example, deposits; and sometimes other thingsalso. Assertions Rothenberg says: about "money" that are warranted for some of those uses "The concept of utility here has heen a useful are not warranted for others (For a further discussion of between such matters and the recommended use of "purchasin buffer theactionofchoice andthe media," rather than "money," to designate the total o supposed psychological ground of this action. By being ableto speak of maximizing utility,the hand-to-hand currency plus checking accounts immedi- economist has not had to say that individuals try to ately available to the public, see E.C. Harwood, Cause and maximize gratification, or satisfaction, or pleasure, Control of the Business Cycle, 9th ed., Great Barrington, or happiness, or virtue, etc., each one of which American Institutefor Economic Research, 1971, pp. would seem to be making an empirical commitment 4-6.) in the field of psychology. Utility seems philosoph- (2) Economists sometimes use words in a special sense, icallyneutral,whiletheothers seemtoassert atthesametimerelyingon many oftheusual connotations of those words in order to make their something about the substantive quality of the iceurnent plausible. For exannWe, in discussing the work ultimate inner goadif indeed it is unitary." (Ibid., von Neumann and Morgenstern, Kenneth Arrow (a p. 227.) recent Nobel Laureate in Economies) says: Although there may be some gain in refraining from discussionsaboutthe"substantivequality"ofthe -The point here, broadly speaking, is that, once a presumedgoad,toassumethatthereisaninner machinery for making social choices from individual maximizing goad cgoads is hardly neutral; self-actional tastes is established, individuals will find it profit- rather than transactional procedures are implied. able, from a rational point of view, to misrepresent Economists who want to be "scientific" often argue theirtastesbytheiractions... .Thus,inan for the use of special methods to handle "inner states." electoral system based on pluralityvoting,itis George Katona, for example, says: notorious that an individual who reallyfavors a minor party candidate will frequently vote for Oil "Behavioral science derives front interest in and less undesirable of the major party r ndidates rather concern with factorsthat shape the behavior of 7 9 ECONOMICS 69 people.... But human beings have 'images' of the Saulnier said there was a 50-50 chalice ofa recession; and futurewhich influence their behavior and which, Pierre A.Binfret said that "There aio't gonna he no sincethey are endowed with language, theycan recess:on in 1970, period."[New York Times,issues of communicate to others. Access to such intervening Dee. 10 ond Dee. 17, 1969.]) variables as motives and expectations requires tb- Thefollowing seems afair statement about many use of a methodology which differs somewhat frs :thiomists: Theirprefts-red conjectures or "models" that of other sciences."Letterto the Eu- Is:sather verbal, mathematical, econometric, computer, Behavioral Science,Vat7, I(r.) game theory, etc.) seem so plausible that they believe economic behavior must he describable at least To snm up, the terrn'aolsay used; y orsali,/in approximately by their conjectures, and many predictions discussing both technical mattors shs field and and policy recommendations are made in good faithon the eneral procedural matters often iinders communication. basis of the conjectures. When events prove that the he American Institute for Econmoic Research has long predictions or recommendations are mistaken, beenconcerned _aboutimproving thatsituation.See modifications may be madeintheconjectures but "Toward MorerreciseEconomic Naming"(Research confidence in the usefulness of extensive conjectures or Reports,July8,1968) andthe Economic Naming hypotheses (sometimes called "theory") is retained. (Fora sections iiisubsequent issues. nontechnical account of both the erroneous predictions often made and the continuing trust exhibited in the 7. COMMENT AND EVALUATION usefulness of the procedures of inquiry underlying the edictions, sec "Bad Year for Econometrics,"Business Many historically influential economic conjectureswere tc,Dec. 20, 1969.) developed at a time when the measurements of change We suggest that the difficulty is fundamental and consists necessary for a thorough testing of those conjectures were in the development of conjectures far in advance of the not available.Insteadof attempting toimprove the relevant observations and measurements.Werecognize that observational basis from which conjectures could be made frequently the problems, of men-in-society areso critical and restricting their conjectures to those that sould be that the temptation to arrive at "solutions" before the tested adequately, many of the early economists applied relevantfactsareavailableisalmostoverwhelming. methods that could be followed without such testing. The However, there is no dearth of instances in which presumed often quoted statement by John Stuart Mill illustrates the "short cuts" to useful warranted assertions have worsened extent to which the quest for certainty was sometimes the originalsituation, and the timespent on mistaken pursued: "Ilappily, there is nothing in the laws of Value "short cuts" cannot be used for inquiry that eventually which remains for the present or any future writerto clear may solve the problems adequately. up; the theory of the subject is complete. , ."(Principles of Political Economy, Book111, Ch. 1, Sec. 1, 1948; quoted 8. SELFCTED BIBLIOGRAPHY (rom Vol. I of the 1884 edition, New York, D. Appleton, pp. 536-537.) Although some later economists were less Arrow, Kenneth J.,Social Choice and IndividualValues, inclined to make assertions as far-reaching as Mill's, they 2nd ed., New York, Wiley, 1963. ften exhibited great confidence in the soundness of Burns, Arthur F., and Mitchell, Wesley C.,Measuring various economic conclusionsthatno longer can be BusinessCycles,New York, National Bureau of considered warranted assertions. Eaonomic Beseass'-1946. However unsound economic views may be, influential Dorfman, Joseph, nstit a aortalEconomics: politicsi groups sometimes adopt them as "articles of Vel.ka, Corn, MitchellReconsidered, faith."Forexample,inhis autobiography JohnIt. Berkeley, Us:.a:- o;,alifornia Press, 1963. Commons tells of his employment by the Democratic party Friedman, Wiwi), Essays in PositiveEconomics, in 1900. The Democrats, influenced by the views of W.J. Chicago, University of Chicago Press, 1953. Bryan and others, were convinced that under the gold Gide Chades, and Rist, Charies, AHistory of Economic standard the quantity of goods would increase faster than Doctrines,trans. by R. Richards, 2nd English ed the quantity of money, and prices therefore would fall. Boston, Heath, 1948. Commons was hired to construet and piaisli a weekly Haberier, Gottfried,Prosperity and Depression,4th cd, price index number. Unfortunately for the Democrats, the Cambridge, Harvard University Press, 1958. index number stopped falling in the middle of August and Harris, Seymour E.,ed.,The New Economies,New began to rise in September. Commons then was promptly York, Knopf, 1947. discharged, although his contract had seven months torun. Harwood, E.C.,Reconstruction of Economics,3rd ed., (John R. Commons,Myself, New York,Macmillan, 1934, Great Barrington, American Institute for Economic p. 66.) Research, 1970. In the 193% many economists maintained that the H la t, W .11 ., Keynesianism-RetrospectandProspe United States economy had reached the apogee of its Chicago, Regnery, 1963. growth;inthe period justafter World War II, many Keynes, John Maynard,The General Theory of Employ- predicted an immediate depression; and in late 1969, some ment, Interest and Money,New York, Harcourt, economists predictedwithout qualificationthatthere Brace & World, 1936. would be no recession in 1970; but allthese assertions Koopmans, Tjalling C.,Three Essays on the State of proved to he erroneous. This is riot to deny, of course, that Economic Science,New York, McGraw-Hill, 1957. the predictions made by economists often are accurate; Mal i nvaud, Edmond,StatisticalMethodsof Econo. indeed, at a given moment reputable economists may make metrics,2nd rev. ed., New York, American Elsevier, so many contlicting forecasts that one is almost certain to 1970. be correct. (TO give one illustration, in December of 1969 Marget, Arthur W.,The Theory of Prices,New York, Milton Friedman said that a recession thu the order of that Prentice-Hall, Vol. I, 1938; Vol. II, 1942. in 1960 -seems to be in the cards" for 1970; Raymond .1. Papandreou,AndreasG.,EcUllorniesasaScience,

8 0 70 A CURRENT APPRAISAL Chicago, Lippine 1958. ECONOMETRICA Robbins, Lionel, .4n Essay on the No, tire and Significance ECONOMIC DEVELOPMENT AND CULTURAL of Economic Science. 2nd ed., London. Macmillan, CHANGE 1935. ECONOMIC HISTORY REVIEW Ruggles, Nancy D.,ed., Economics. 'Englewood Cliffs, ECONOMIC JOURNAL Prentice-Hall, 1970. ECONOMICA Schoeffler,Sidney, TheFailures of Economics, Cam- HISTORY OF POLITICAL ECONOMY bridge, Harvard University Press, 1955. INTERNATIONAL ECONOMIC REVIEW Schumpeter, Joseph A., History Economic A natysis, JOURNAL OF ECONOMIC ABSTRACTS (superseded New York, Oxford University Press, 1954. by JOURNAL OF ECONOMIC LITERATUKE) Spiegel,HenryWilliam,TheGrowthof Economic JOURNAL OF ECONOMIC EDUCATION Thought, Englewood Cliffs, Prentice-Hall, 1971. JOURNAL OF ECONOMIC HISTORY Tinbergen,J.,Econometrics,Philadelphia,Blakiston, JOURNAL OF ECONOMIC THEORY 1951. JOURNAL OF FARM ECONOMICS VonMises,Ludwig, Human Action: ATreatise on JOURNAL OF FINANCE Economics, New Haven, Yale University Press, 1949. JOURNAL OF LAW AND ECONOMICS Von Neumann, John, and Morgenstern, Oskar, Theory of JOURNAL OF MONEY, CREDIT AND BANKING Games and Economic Behavior,3rd ed.,Prineeton, JOURNAL OF POLITICAL ECONOMY Princeton University Press, 1953. JOURNAL OF THE AMERICAN STATISTICAL ASSOCIATION LAND ECONOMICS 9. GERMANE JOURNALS MONTHLY LABOR REVIEW NATIONAL TAX JOURNAL AMERICAN ECONOMIC REVIEW PUBLIC FINANCE QUARTERLY AMERICAN JOURNAL OF AGRICU TURAL QUARTERLY JOURNAL OF ECONOMICS ECONOMICS REVIEW OF ECONOMIC STUDIES AMERICAN JOURNAL OF ECONOMICS AND REVIEW OF ECONOMICS AND STATISTICS SOCIOLOG Y REVIEW OF RADICAL POLITICAL ECONOMICS AMERICAN STATISTICIAN SCIENCE AND SOCIETY ANNALS OF ECONOMIC AND SOCIAL SCOTTISH JOURNAL OF POLITICAL ECONOMY MEASUREMENT SOUTHERN ECONOMIC JOURNAL CANADIAN JOURNAL OF ECONOMICS WESTERN ECONOMIC JOURNAL VII. HISTORY*

I. WORKING DESCRIPTION OF THE FIELD physicalscienceseekstoestablishdealwith re eatable elements and asser that whenever and HISTORIANS inquire into what happened in the erever AthenB.... DI::giff, rence,then, past, with emphasis on developmental changes, the between history and general s.;_- t; sr this respect sequence of significant events, the circumstances is unmistakable." (The Meaning af Human History, from which the events developed, and the connections LaSalle, Open Court, 1947, pp. 36-37.) among those events. Historians make considerable use of the findings and methods of inquiry of many other fields, Cohen continues: includingpolitical science, econorni cs,psychology, sociology, demography, anthropology, archaeology, and "What is distinctive, then, about human history, geograp y. isnotitsmaterial, whichisidentical with the material of thesocialsciences, nor the critical 2. OTHER DESCRIPTIONS OF THE FIELD apparatus that is utilized to search out this material and consists primarily of hypotheses bon-owed from "History" has been used to name many things, the the sciences. What is distinctive is rather the fo.tus most pertinent of which for our purposes are: (a) a tale or perspective which makes description orunder- or story; (b) a record of presumed significant happenings standinq of individual hap enings in time and plase about aperson,institution, or problem(asincase central. ' (Ibid., pp. 40-41. histories);(c)a systematic account of sequences of presumed significant events together with an account of Many historians emphasize the development of "ex- what are believed to be the causes of those events; (d) the planations" of the ordering of events. The 1954 Report eventsthemselves, o differentiatedfromattempted of the Committee on Historiography of the Social Science descriptions of those events; (c) reifications of the total Research Council says: past of everything, or of some portion of the past, as when History is said to demand or to produce something. ...anessentialproblemofhistoryisthe The descriptions of the field of history found in the descriptionandexplanationof humanactivity literature vary widely. Some representative descriptions through time.... [A] chief task of thehistorian is follow. to ascertain what has happened, to identify events Sometimes history is viewed as a group recollection of in sequence, to analyze interrelations among those significantevents.G.J.Renier,forexample, regards events, and to discover how and why they occurred history asfiguratively"the memory of societies.As in a given order." (The Social Sciences in Higtorical custodian of social memory, the historian helps to answer Study, Bulletin No. 64, New York, Social Science "society's urgent demand for specific points of compari- Research Council, 1954, p. 106.) son taken from past experience." (History: Its Purpose and Method, London, George Allen & Unwin, 1950, pp. Some historians believe the past should be studied for 22-24.) And Carl Becker says:'History is the memory its own sake, while others believe that historical inquiry is of things said and done.' This is a definition that reduces importantforthe illuminationitcan provide about history to its lowest terms, and yet includes everythin contemporary or future events. According to the 1946 thatisessentialto understanding whatitreallyis. Report of the Committee on Historiogaphy: (Everyman His Own Historian, New York, Appleton- Century-Crofts, 1935, p. 235.) "Thehistorian...aimstocomposeaccurate Oftenhistoriansbelievethatthemaindistinctive accounts and analyses of selected portions of the feature of historical inquiry is a focus on particular or past. From these accounts and analyses, or from the individualevents.GeoffreyElton,for example, says: original sources themselves, he endeavors in reach "Historyisconcernedwith allthose human sayings, generalizations that appear to be valid. On the basis thoughts, deeds, and sufferings which occurred in the past of his knowledge he also seeks to provide credible and have left present deposit; and it deals with them from explanations of- the development of contemporary thepointof viewof happening,change,andthe events, thoughts, manners, and institutions. (7'heory articular." (The Practice of History, Sydney, Sydney arid Practice in Historical Study, Bulletin No. 54, ruversity Press, 1967, p.12.) Frequently this emphasis NewYork, SocialScience Research Council, 1946, on the particular is taken as a basic distinction between p. 134.) historical inquiry and scientific inquiry (sec Section on Contemporary Controversy). The philosopher Morris It. And Curtis P. Nettels says: Cohen says: "History is man's guide to action in the present "Now history isconcernedwithestablishing and future. And such action is certain to be most specific events that occurred at a definite time and constructive when it is informed by an understand- place, whereas thefactsor laws which general ing of the problems and conditions which, having *This chapter.as it appeared in the first edition, was critically emerged slowly from the past, mold and limit the reviewed by Richard T. Vann, who made many sumestionstor activities of today and tomorrow. Those who know improvements.His efforts are appreciated; however, he should not the circumstances of their country's development be understoodasendorsing the point of view of the authors. and who understand the elements of its civilization 71 82 72 A C R PHA S vill be thetitlesbest qualified to meet present livethrough such events. Such historians stree for issues with decision, intelligence, ,ind economy of shrewd mid sympathetic_ delineationc.f.character; tilev effort. (The Roots of AmericanCivilization,New tend 10 deserlie political or diplomatic crises:uiud heir York, Appleton-Century-Crofts, 1 9 3 8,p. xi. work sometimes exhibits the dramatic tensien typical of a novel. (See Garrett Mattingly, TheArmada,7row York, Whati,oftencalled"luny ersal"or"specula dye's Houghtvm 19:59: Dom DavidKnowles,The history is an attempt to discover genend patterns or laws Historian and Character,Cambridge, Cambridge Universi(y applicable to the historyti human society as a whole. Press, 1955.) Arnold Toynbee is the most notable recent representative (2)Biography. _Ilistorianssometimes approachthe of that point of view. He attempted to deseribe the entire history 4-4 a period through writing the story of the life eimrse of human history by distinguishing 21 different of some great or representative man. The editor ofa civilizationsand consideringtheireffortstorespmul series of historical works based on this principle says: effectivelyto challenges stemming fronttheir social or natnralenvironment.(AStu(iyof History,1ondon, "I am convinced that tile most congenial, as well OxfordUniversityPress, 11 vols.,1934-1959.) Most asthe most concrete and practical, approach _to contemporary professional historians view universal his- history is the biographical, through the lives of the tory with great disfavor, although Geoffrey Barraclough ,-Yreat men whose actions have been so_ much part of has strongly criticized his colleagues for not giving more history, and whose careers inturn_ have been so attention to what history as a whole is all about: "The moulded and formed by events. The key idea of failure of the historian to provide an interpretation of this series.. ,is the intention by way_of a biography history, to say what it is all about, is another example of of a great man to open up a significant historical the notorious:raison deseleres, of the refusal of the theme:forexample. Cromwell and the _Puritan specialist to livup to his work " (History in aChanging Revoluona. Lenin and the Russian Revolution." World,Oxford, Blackwell, 1955, p. 222.) (A.L, Ru,- The Use , f History,London, Hodder and Sion iiui, 1946, p. vi.) 3. METHODS AND TYPES OF INQUIRY (3)Prosopography.This isthe technique of investi. Historians have often used both sorne of the methods gating political history by 'means of multiple biogrvhies characteristic of writers in the field of literature and some of many important and less important political figures. It of the methods and viewpoints of behavioral scientists. was applied to Roman history by Sir Ronald Syme and to For a considerable period of time there have been those the history of eighteenth-century England 1 S:r Lewis who urge completely scientific procedures of inquiry into Namier. In Namicr'sThe Structure of os atthe historical sub:v.:A matters; within that group, however, the Accession of George HI(2vols., Lonn Macmillan, label "science" has been used in many different ways. In 1929), biographical sketches of the members of mid- this Section some of the major ways in which historical eighteenth-century parliaments were usedtoshowthe subject matter has been investigated are described. Some importance of familytiesor"connections" and the of those ways arefundamentallynonscientific,while unimportance of the traPtional party affiliations of Whig others are compatible with modern scientific procedures and Tory inthe parliamentary groupings of that time. of inquiry even though those proeedures may not he The technique of multiple, biography has subsequently widely used. been applied to the members of religious grol,-;s and to theparliamentary history of other periods. (See also Narrative Empliases LawrenceStone,"Prosopography,"Daedalus,Winter, 1971.) Narrative elements are found in all histories, but in the (4) Psychohistory. William Langer, inhis 1957 followingkindsofhistoricalinquiry thenarrative 'sidential address to the American Historical Associa- approach is paramount, Ii,urged historians to enrich their narratives by using (1) History asImaginative lie-enaettnent.Many histori- the findings and, where possible, the techniques of depth ans have as their chief aim the reconstruction of a past psychology. ("The Next Assignment," American Historical sequeace of events through an empathic understanding of Review,Vol. 63, 1958.) The, leading exponent of suchan thethoughtsandmotivesofthehistoricalpersons approach isthepsychoanalystErikH.Erikson,but involved. According to ,fohn Iligham: increasing numbers of historians have taken training in psychology or psychoanalysis and have begun to publish ''No amount of scientific analysis or synthesis can sychoanalytically oriented biographies. Erikson's books take the plaee of that crucial _act of human empathy oung Man Luther: A StudyinPsychoanalysis and bywhichthehistorianidentifieshimself with History(New York, Norton, 1958) andGandhi's Truth another time and place, re-enacting the thoughts (New York, Norton, 1969) are among the most influential and reliving the experience of people remote from inthis area. Other works, by historians, are thoseoi himself."l'hushetriestocatchthedistinctive William B. Willcox,Portrait of a General:Sir Henry resonance of a person, _a situation, and an age, as it Clinton in thell'ar of Independence(New York, Knopf, manifests itself amid the other phenomena among 1964) and Rudolf Binion,Frau Lo.: Nietzsche's It'ayward whichitarises_ and into whichitpasses." (John Disciple(Princeton, Princeton .sity Press, 1968), For Iligham, with Leonard_ Krieger and Felix Gilbert. a brief recent psychoanalytic study, see Otto Pflanze's History,Humanistic Scholarship in America Series, "Toward a Psychoanalytic Interpretation of Bismarck" Englewood Cliffs, Prentice-Hall, 1965, p. 143.) (American Historical Review, Vol. 77,1972). Psychohistoryneednot helimitedtobiography: _This type of historian attempts to make his description Langer's original address emphasizedmass responses to of the motives of historical ents plausible to modern catastrophes such as the Black Death of the fourteenth readers and to give them the ifl " of What it was like to century, (For furtInr examples, see Johann Iluizinga,

3 73 I' Middle Ages, New York, Doubleday, 1954, spective etrir Rober t W. Fogel 'sRail- and Rohrrt Jay Liam Ikath in Life: The Survivors of roads and A m Economic Growth: Jssiiys in Er.:ono- Ilirosh zirziz. New York, Random House, 1968.) metric History (Baltimore, Johns I lopkins University Press, 1964). After calculating the costs of alternative forms of Physical and Economic Influences transport and storage, logel reached the conclusion that if railroads had pot been invented, the gross national product (1) D(' ertninisthfilms of History. Influenced by of the United States in 1890 would have been almostas nineteen th-ce rut ury philosophical ma terialisin, Henry high as the figure actually attained. (See alsiiV.a1,%I,. Thomas Bu-11e argued that all historical developmentwas Andreano, ed., The New Economic History, New Yofk, ultimately determined by climate and other geographical 1970, and Thomas C. Cochran, "Economic History, influences. (History ofCivilisation in England, 2 vols., and New," American Historical Review,Vol. LXXCV, London, Parker,1857-61.) A similar position was 1969.) taketibyEllsworthHuntington,inworks suchas Another quantitative approachisthat of historical ,Ilainsprings of Civilization (New York, Wiley, 1945). demography. Becawc_ there were local censuses and systems Others have maintained that technoloa"ical innovation is of registrations of baptisms, marriages, and burials in the only or the decisive determinant ofhistorical change. Europe as early as the sixteenth century (and far earlier_in That viewponit isof considerable antiquity;itwas a China), the history of some populationsean be studied for commonplace of the late Renaissance that tlie inventions periods before the beginnings of regular nationalcensuses in ofprintingandgunpowderhaddecisiwlychanged the eighteenth century. Demographic methods providea European society (although both nae, been known for quantitative way ol measuring aspects of the "welfare" of eenturies in China without having had similtzr effects). past societies (through mortality figures and life expectan- The stirrup and the windmill have also been describedas cies) and for noting changes in moral sanctions a technological changes having great impact on society bastardy and pre-nuptial pregnancy and the spread of fami- Lynn T. White,Jr., Medieval Technology and Social ly limitation); they can also _help to provide basic back- Chatig,c, Oxford, Oxford University Press, 1962). ground materials for a general social history in which the Somehistorianshavemaintainedthatimmediate relationships of wages, prices, housing, and occupational economicinterestsareeitherpreeminent or strongly alstribution can be described. French historians have been influential in determining historically important decisions. ,,peciallyactive inthisfield;_ notably Pierre Goubert Charles Beardemphasizedtheroleof thefinancial 'IleauvaisetleBeauvai;is de 1600 1730,Paris, interests of those who drew up the U.S. Constitution, S.E.V.P.E.N., 1960) and I:nmanuel Le Roy Ladurie (Les partkularly their holdings in government securities,on the poysans de Languedoc, Pvris, S.E.V.P.E.N., 1966). intro- form that document took, (An Economic Interpretation ductions to this field in English are the Daedalus issueen- of the Constitution of the United States, New York, titled "Historical Population Studies" (Sprino, 1968), and Macmillan,1913.)However, he later warned against E.A. Wrigley, Population and History (Lon&Weidenfeld "oversimplifiedeconomicinterpretations"thatview and Nicolson, 1969). economic interests as if "they are always and everywhere For a general consideration of quantitative methods,see independent 'causes' of political actions and institutions." William 0. Aydelotte, Allan Bogue, and Robert W. Fogel, (The Economic Basis of Politics, 3rd rev. ed., New York, eds., The Dimensions of Quantitative Research in IIistory Knopf, 1945,) (Princeton, Princeton University P. 1972). TheMarxistaccount of"historicalmaterialism although emphasizing economic factors, is nota simr Universal Proee. 'ories economic determinism. Marxists argue that the econorn: base of a societyisthe primary, but not the only, ,\ lost claims to reveal 'the,eanut,of history as a determinant of social change-. The economic base consists whole" emphasize history as a universalprocetending of the "forces of production" (the raw materials and toward some goal. This may be the _Last Judf,_nt and natural resources available to a society and its tools and final triumph of righteousness, as in Christian t:s.tological teehnology) And the "relationships of -production" (the histories, or the achievement of some utopiaon earth, as social and economic structure in which goods are owned envisioned hy such enthusiastic advocates of the idea of and exchanged). The forces of productionmay be similar progress as Condoreet. Many of the "scientific" historians in industrialized economies, but the relations of produc- of the late nineteenth and early twentieth centuries wrote tion may be markedly different in socialist and capitalist their monographs in the belief that historyas a whole was economies. The econotvie base primarily determines the the story of the steady progress of humanity toward configuration of a society's "superstructure" (its laws, higher living standards or the establishment ofrepresenri- politicalinstitutions,art,religion,philosophy,and tivegovernmentandindividualfreedom.(See,fa- science), but the 7uperstructure may also influence tbe example, Herbert Butterfield's account of such views in base. The Whig Interpretation of History, London, Bell and (2)RelianceonEconometricandDemographic Sons, 19.31.) Methods.Although economic historyisan oldfield, A different notion of progress may be found in tlw recentlyeconometricanalysishasbeenappliedto writings of Hegel and his followers. For Hegel, the entire historicalmaterials.The field is sometimescalled historical process was the progressive self-realization of "cliometrics."Forexample,AlfredH.Conradand Spirit, which could only cotne to self-knowledge through JohnR.Meyer attemptedtodiscovertherate of action. Among the Left Hegelians, Karl Marx attempted return on investment in Negro slaves, and on the basis to eliminate alltraces of that kind of Idealism from his oftheirfindingsconcluded thatslaveryin the account ofhistory,butheretainedthenotionof antebellum South was not unprofitable, as claimed by cataclysmicdiscontinuitiesbetweenepochs(brought most previous historians. ,.("The Economics of Slavery about by revolutions rather than by Ilegers -world-his- in the Ante-Bollum South,"Journal (if Political Economy, toricalindividuals")andsawhistoricalprocessesas Vol.66,1958.) Another influentialworkin"retro- inevitably producing the triumph of the proletariat, the

8 4 74 A CURRENT APPRAISAL eliminaticm of ate proptrLy, and the cessation of class for example, disparages rvent interpretations of warfare. .inerican Revolution: Although most ersal processhistorical accounts areteleological,01, ed notbe. One ex:Impleis 'Dille best interpretation of the causes of the Rushton C01116)111'1- ": he Origin of Civilized `.1;orielies Revolution was made in the decr-le following the (Princeton, Princeton i:niversity Prcss-,1959). Toy nbee's treaty of peacein1783 and...thereafter, as we work also may be mentioned. moved further in time from the dramatic events of the Revolution and brought to bear on the problem 4. RESULTS ACHIEVED allthe vast resources of modern scholarship, we moved further and furthe: from the &nth about our Our disrussion of results achieved in historical inquiry Revolutionarybeginnings."(TheJi;jtariatiand overlapsthe discussion of current controversies in the History, New York, Vintage Books, !=:aNlorri House, next Section. Many historical accounts achieve a high 1960, pp. 165-166.) level of literary merit, and the imaginative reconstructions of past events often seem to have a striking plausibility And Howard K. Beale has argued that despite all the formany reader. .Forpurposesofthisbook,the benefits of hindsight, historians working on the American iruportam questionisthe extent to which historical Civil War have not developed any "explanations" that in uiry yields warranted assertions. were not "comprehended and stated before the war ome historians have taken a skeptical attitude toward occurred." (1946 Report of the Committee on listoriog- thi'possibility and even the desirability of developing raphy, p. 88.) -urate descriptions of past events.Carl Becker,for Some progress apparently often is made in term of exe ,_nieregards historical reconstructions as social myths rejecting untenable conjectures or hypotheses. To illus- rportant guides to action. He says: trate, after a consideration of the historical accounts of the nineteenth-centuryPrussianstatesman,Baron von "The history that does work in the world, the Stein, Klaus Epstein says:'No serious scholar belie%es historythat influencesthe course of history,is today that Stein had an unproblematicil personality (a living history, that pattern of remembered events, asserted by Pertz), or that he drew his main inspiration whether true or false, that enlarges and enriches tile from the ideas of 1789' (as asserted by Lehmann), or that collective specious present.... Every generation, our all was well with Prussia in 1806 (as asserted by Meier)." own included...must inevitably play on the dead ("Stein in German Historiography," History and Theory. whatever tricks it finds necessary for its own peace Vol. 5, 1966, p. 274.) of mind. The appropriate trick for any age is not a Such discussionsarepractically-ertainto leadto malicious invention desigr,-d to take anyone in, but continualdisagreementandcontroversyaslongas an unconsciols and necessary effort On the part of histodans have so many different aims; the criteria for the to understand what it is doing in the light acceptance of interpretations varies from what is regarded of what it has done and what it hope:, to do. Wc, asintrinsicallyplausible to those associated with the historians by profession, share inthisnecessary devdopment of warrantedassertionsasdiscussedin effort.... Our proper function is not to repeat the Chapter1. Giving up the quest for absolute truth need past,buttomake use ofit,tocorrect and not resultin complete skepticism, although sometim.-s rationalize for common use Mr. Eveniman's nryttiu- hi.tozhins write as if those were the only alternatives. logicaladaptationofwhat actur happened." The difficulties just discussed are compounded because (Becker, op. cit., p. 235, pp. 252.25:0 historical descriptions typically rely uptit generalizations from other fields. Sometimes those generalizations are so Others have ar7ued that historians do arrive at accurate supportedbytheevidencethattheyleadto descriptions of what happened. jacl Ilexter, for example, warranted assertions, as in the use of X-ray photography says: and carbon-14 analysis in the verification of documents. Other physical science techniques and findings also can be "Truth about history is not only attainable hut is usefultohistorians.For example,theextentand regularly attained. It is true, for example, that at distribution of cereals cultivation, even of a millennium Waterloo on 18 June 1815 Na;:oli-on I and his army ago, can Le traced by means of the chemical analysis of weredecisivelydefeatedbyr coalitionarmy pollenpreservedinpeatbogs.Eventhephysical commanded by the Duke of WiTh gton. This is true appearanceofIron Agemen is revealedin the in the simple sense that iE. an iceurate description reservation of their bodies in peat. (See P.V. Glob, The of something that happened in the past, and the _og People: 1-on.Age Man Preserved, translated by R.L. accurate description of things that happened in the Bruee-Mitford, London, Faber, 1969.) pastisoneoftheendsof historywriting." Much progress has been made in the analysis of written (ReappraisalsinHistory, Evanston, Northwestern documents, which now involves not only philological University Press, 1961, p. 189.) techniques but physical science techniques. The exposure of the forged "Donations of Constantine" by Lorenzo Accurate descriptions of the type mentioned by Hexter Valla in the fifteenth century, based on anachronisms and do seem to be "regularly attained" bhistorians. The inconsistencies inthe document, was one of the early difficulties and controversiesarise when more general impressive achievements using philological techniques, and interpretationsareinvolvedabout the developmental was followed by much work afong similar lines. In general sequercesleadingtosome complexevent.Ararious it seems safe to say that numerous useful results have interpretationsareassesseddifferentlybydifferent been achieved by historians in the authentication and historians,andsometimeslaterinterpretations,pre- dating of documents. sumably based on the cumulative weight of the evidence, Howe% er, the generalizations used by historians from are viewedasinfexior toearlier interpretations. Page some other fields may be far more dubious, as in the 11,STORY 75 reliance on psychoanalytic or other scientifically eri- Unproved on what they were taught.(p. 51.) ficd spmulations. Robert Fogel, for example,says that: "Themodelsoftheoreticaleconomicsrepresent a Possibly itis for such reasons that iddhisopli,-- rather libraryivery much like the library of computing rontines than historians have freyientlfformulated man, of the at aa IBM installationwhich can hr draws on in an positionsinvolved in controversiesabouthistorical analysis of a wide range of historicai i:iroblenis." (Fogel, inquiry. Much of the discussion concerns the issnc of Op. it., p. 246.) But inasmuch as many economic models whether history is a field unlike all others(sui generis),is have yoven not to yield useful predictions, theiruse in a part of behavioral science, orisa literary endeavor. historical inquiry can bc seriously misleading. Arthur Dant() argued that historical inquiry is not, could Itgr:ueral, then, we cco say that historians typically not, and should not be scientific, and that "it is a special maxe of generalizations in their attempts to ascertain andirreducibleactivityof the human spirit,with a what1:-Ipt.ened in the past. The results can range from function and justification of its own." ("On Explanations the scic,ii:fic to the highly speculative, dependingupon in History,"Philosophy of Sewnee. V ol.23, 1956, p. 15.) the !;en dirations used and the objective of the historian. Robert Stover, ioabook that he hoped would put an endtothe"sterile Con troversy " hrtween those who 5. CONTEWORARY CONTROVERSY regard history as a science and those who see itas a discipline suigeneris,argues against optiugforeither For some lit-e there has been eonsiderabie dismission alternative exclusively. In his view, historical thinkingcan among historieas, philosophers, and behavioral scientists be carried on both from a natural scieoce (deterministic about methods of historical inquiry, with emphasison viewpoint and from a personally and socially "caring" such questions as the extent to which historical inquiry viewpoint. The first aims at intelligibility and the second can be sciel An; and whether or not itis desirable for at living and acting in the world. Both are found together; historianstoby:scientific. Nlany historians arc not as they are not mutually exclusive.(The Nature of Historical concerned with methodological questions as are workers Thinking,Chapel Hill, University of North Carolina Press, in odic, behavioral science areas. Higham expresses the 1967.) views of some historians when he says: Along somewhat similar lines, Patrick Gardiner says:

Connections oetweentheory and practicein "At one extreme lies the view that history isa historical work are uju dy circuito-s and indistinct. branch of knowledge which is suigeneris;at the The &id- unsystematic chaxactee the historian's other, there is the claim that it is, in some sense,a enterprise rarely permits him u go directly froma department of science or, at any rate,thatitis generalfi._.oryto a particular moot..licis even capable of being transformed into such a depart- likely be a bitunclea- qtrmi'.. what ment. Ishall suggest that there is truth in both histortogtaphical assumptions at' the contending doctrines."(TheNature of Historical for the,,reticll niceties, a stron ,dait) and Explanation,oxford, Clarendon Press, 1952, p. 32.) precion in basic assumption. = ,;rove a handicap in dealing effectively iitorkti data. Both the issues just mentioned and others are related To move freely through the complez web of human to disagr,--,ents concerning the relation of the unique, experience, historians need to employ simultane- the particular, and the individual to generalizations in ously a multitude of causal hypotheses. Accord- historical inquiry. Although some histodans have m-in- ingly, a good historianisnot likelyto operate tained that historians investigate the unirpic, whereas the consistently within a single theoretical framework; sciences are concerned with what is uniform in recurrent any ore perspective resiricts his range of vision. events, others have rejected that viewpoint. Edward H. Like liteiature, history e,ui gain richness from the Cark.,for exarriple,says: "The historianisnot really interpenetrationofconflictinqideas,fromthe interested inthe unique, but in what is ,.-nerai in the tensions of a divided allegiance. ' (Higham, op. cit., unique.(What Is History?,New York, K. -,pf, 1962, p. p. 147.) 83.) And Geoffrey Elton argues that no oneean "deal in unique fact, b2cause facts and events require reference to The 1946Reportof the Committee on Ilistoriography common experience"; he insists, however, that historians describes a situation that still seems characteristic of the focus on "individuai qnd particular" facts and events that field of history: are "treated as peculiar to themselves." (Elton,op. cit.,p. 11. "The profession, even in its outstanding leaders, Itonalso rebukes philosophers for "hindering the can hardly be said even as yet to have achieved practice of history" and rejects the notion that history is complete clarity as to its methodological principles. one of the "so-called social sciences." He regards as an And large numbers, who greatly admire in others advantage that on his view there can be no experimental the fruits of the practice of a functional history, verification of historical conjectures. Scientists manipulate and perhaps ably carry it on themselvei, neverthe- their subject matters and can only study "specifically lessintheir own theory of history retain many prepared artificial derivatives from what naturally occurs, ' elements from the assumptions of earlier days. But whereas historians in,uire into "a dead reality independ- inthislagthehistoricalprofessionisscarcely ent of the enquiry.'This seems to overlook not only unique. It is notorious that most nitural scientists physical "manipulations" of historical subject matter (e.g., are apt to be none too clear when they try to carbon-14 dating), but also the transactional relations of analyze all that is implied in the very methods they any inquirer and his subject matter. themselves may be so brilliantly exemplifying. In Much debate has occurredinrelationto Carl G. stating their methods, they are very likely to fall Hempel's view that historical explanation requires general back on wki- they early learnedtheir methods laws.("The Function of General Laws inIlistor\ ," should be, oblivious of how they themselves have Journal of Philosophy,Vol. 39, 1942.) Hempel rejected A CURRENT APPI the old ninnothetic idiographicdistinctionbetween to understaud them in the sense pr( per tO this spevial sciencesthatyield general laws ond thosethatyield subject-matter."(Ibid.,i)p.I 18-128.) knowledge of unique or individual (\etas. He believes that \ tpresent, many writers on historkal methodology anexplanationof anev cutrequires asetof causal Adopt procedures similar to those of Dray and regardthe conditions and at least one "nen ersal hypothesis," and narratireasa,orthe,distinctiveform of historical that eplanation in all the empirical sciences has the same understanding. For example, ,Arthor Danto discusses general tom. lustasdoes the naturalscientist,the detail the thesis that "narrative sentences are so p.'culiarly historian: related to our emicept of history that analysis of them must indicate what some of the main features of that . :aims at showing thattile in question 114unceptare," (AnalyticalPhilosophy of History,Cam- was not'amatter of chance, ut wastobe bridge, Co-ibridge University Press,1965, pp. 143-151.) expected in view of certain antecedent or simultane- ,And- W.B. '1alhe contends that stories arc its distinctive to ous condirons. 'Ulm expectation referred tois not history as theories are to the natural scienees: "from the pr, -:becyordivination,butrationalseicutifie inonwitt an historian first conceives his taA, he cmiceives a that rests on the asstunption of general itas a certain kind of story, with a roughly described . 39.) trackofdevelopmenttoward a mainconclusion." (Philosophy and the Historical Understanding, London, ifempeladmitsthathisHaus typically doout Chatto and Windus, 1964, pp, 71-72.) Gallic compares dieitlyinvokegeneral - "1 inhisview k understanding history to following a story or watching a .-.'quiredfor an explanation dna instead they pine of critdtet, where explanations are only called for orovide -explanation sketchcs soi,-&unexpected turn has occurred, and where understanding is guided by the anticipated end, "Snch a sketch con. f a more or less vatme Recently Lee Benson has been highly critical of literary indicationofthe la ws andinitialconditions ornarrativehistoryand hascalledfora scientific .onsidered as relevant, and itneeds 'fin: g out' in method of historical inquiry. Ile says: order to turn into a full-fledged explanation. This filling-outrequiresfurther empirical research,for "In my judgment, history has become a relatively which the sketch suggests the direction."(Ibid.,p. trivial enterprise. cannot think of any significant 42.) contribution that specialists of past human behavior have made tosocialthoughtinthelastfifty Hempel sees, thentwo ilities open to years... 1 think itis reasonable to claim that no historians: historian writinginthelastfiftyyears has significantly 'contribuo-A to our thinking about the -The interpretations which are actually offered nature of human beings, the way human beings history consist either in subsuming the phenomena function, or how the study of homan behavior can in questionunder a scientificexplanationor help men achieve desired social Samuel

explanation sketch; or in an attempt to subsume H. Beer ev al., "New Trends in _ Daedalus, themunder somegeneral ideawhich is ilot Fall, 1969, p, 891.) amenable to any empirical tests...I-The latteris only Ja pseudo-explanation which nti-y e emo- limson also maintains titat historical inquiry "attempts tive appeal and evcke vivid asso-iations, to undetstand the past in order to control the present and but which does not further our theoretical under- future."(Ibid.,p. 892.) From _that point of view, he standing of the phenomena underonsideration." criticizes historical scholarship about the American Civil (Ibid.,p. 45.) War, which probably has had more man-years of historical effort devoted_ to it than has any other phenomenon. The Subsequently Hempel modifHt bis views some .Ile results, according to Benson, aretrivial:"If one Were agrees that historians oidy infrequently use general laws called before some bar to justify the incredible_ amount of of thcAeductive-nomological" type that physical scien- resources and intelligence and effort expended inthis tists oftc,i use and that permit the deduction of an event field, truthfulness would force one to be sileM," p. fromthelaw.Rather,historianstypicallyrelyon 901.) Ile maintains that the information resulting from all "statistical-inductive" laws, which arc statements of the this work has no relevanceto other nations in which probability of :ome event's occurrile different subcultures are geographically separated, and One of Hempel's chief critics :!;.9y. Dray does not "specify the condit1.ms under whiclt political supports verstchenprocedures lunemistic systems arelikelyto be unable to resolve differences studies, he holds, strive for an at,' 6,-,f the ajent's throughthe normalpeaceful meansthatthe system reason for acting, whereas seientil; tions der cribe provides." (Ibid., p, 902,) behaviorinternis of regularities: oiryislogieall There are numerous other controversies among histori- continuous withliterature ratherthailsocial seieoce. ans about _methodology, only one of whichwillbe (LawsandExplanationinlkilory,London, Oxford mentioned here, Although historians of many shades of University Press, 1957, p.139.) Human action must be political opinion have sometimes questioned the possibil- understood from "the actor's point of view," according to ityof ethical neutrality inhistoricalinquiry, recently Dray; "only by putting yourself inthe agent's position that point of view has been strongly emphasized some ean youunderstandwhy he ifid what he did." History is historians favoring radical social change. lloward Zinn, for characterized by a special logi type of explanation that example, saysthatin"aworldwherejusticeis Dray calls "rational explanation," in which the aim is "to maldistributed, hktorically and now, thereis no such show that what was done was the thing to have done for thing as a 'neutral' or 'representative' recapitulation of the the reasons given.Although many human lwhaviors may facts," Ile also calls for "an emphasis on those historical be lawful, "discovery of the law would still not enable us facts which have hitherto been obscured, or whose recall

8 7 HISTORY 77 would serve to enhance justice and brotherhood." (The %an the inquiry, as was discussed in Chapter Politics of History, Boston, Beacon Press, 1970, p. 24.) 1. f we want an answer to the question of why Ilitler As in many other fields, some historians have bitterly behaved as he did on certain occasions (in the sense of attackedthelinkstheyseebetweenmostofthe wanting to describe adequately the connections among profession and the socioeconomic establishment. Barton J. the things and events leading up to his behavior), to be Bernstein's Towards a New Past:Ifissenting Essays in told that he was aggressi wanted to enlarge Germany's American History (New York, Pantheon, 1968) contains geographic area,etc.,i$ simplyto restate the original repr( ,:entativearticles by radicals,left-liberals, Marxists, question. a el other critics. 7. COMMENT AND EVALUATION 6. TERMINOLOGICAL PROBLEMS Practicinghistorianstendtoblendliteraryand Most historians have almost exclusively used ordinary behavioralscienceapproaches, and sometimes thatis literary Ir ignage in their inquiries, which has resulted in viewed as a great virtue. Higham, for example, praises the continual'ifficultieswithambiguities interminology. historian as uniquely: Thesedifficultieswereexaminedinthe1946Re- port of the Committee on Historiography. The Committee "...viewing asituation from within and from selected fifty terms frequently used in historical writing above, blending subjective identification with objec- andcollectednumerous examples of theiruse. They tive analysis,uniting art with science, recognizing commented: "it may be said that the results were fearful thecomplementarityofperspectivesandthe and wonderful."("Or. cit., p. 107.) To see if such confusion multiplicity of relationships oy whichthe histo- could be reduced, the Committee asked Sidney Hook, a rianand he aloneundertakcs to grasp a transition philosopher well acquainted with historical method, to in huinan affairs in its full contextual significance. study the fifty terms and "formulate definitions as exact (Iligharn, op. cit., pp. 14:3-144.) as possible" on the basis of the material submitted to him. After many conferences with the Committee, Hook Even when historiansemphasize behavioralsei, ace "made it evident to the members that no self-consistent procedures of inquiry, they often use the less scientific definitions of the fifty historic_d terms could be hased on aspects of those procedures. Robert F. Berkhofer, Jr for an analysis and synthesis of the meanings given Li them example,althoughadvocatingabehavioral approach, bynumeroushistorians."Among the ternv.3Hook defends subjectivist procedures such as phenomenology analyzed were: accident, analogy, cause, chance, change, andaerstehen.(ABehavioral ApproachtoHistorical i:ontingency, destiny, development, dialectic, fact, Analysis, New York, Free Press. 1969.) orce, frame of reference, generalization, predestination, If we turn to the question, not of what historians progress, and understanding. actually do, hut of what they could do, there seems to be Sincethattime anefforthas been made by an no insurmountable methodological difficulty in approach- international team of historians to clarify terminology (E. ing historical inquiry in the way suggested in Chapter 1. Lousse,ed.,Grundbegriffe der Geschichte,Berlin,de And, indeed, the results of historical inquiry that best Gruyter,1965), and another group of historians has stand up seem to be those in which sr.ch a method was studied"generalization"(LouisR.Gottschalk,ed., used, whether or not the historians were fully aware, or GeneralizationintheWritingof Hisiory,Chicago, aware at all, of that rnethor' University of Chicago Press, 1963',wither attem nt has The major methodoLgicalcontroversies concerning enjoyed muchsuccess,except Jr, demonstratingthe historicalinquiryarealsofoundin other behavioral necessity of further work on the dAeulties involved. scienceareas.Historians usuallydiscuss those contro- "Causeand related names have been bud) discussed. versies in a cruder way thin-s fo other fields, Some historianssuggestthatthename shouldbe and are often convinced,.r.etthee' . is somehow abandoned. (See Charles Beard and Alfred \law,-in the "special" and must thereiore nave Tecialgeneral 1946.Report of the Committee on Hist, iography, pp. method, However, inquirers in other areas often deal 136-137.) Patrick Gardiner, on the other hand,argues successfullywithhistoricalmaterials,withoutusing that historians' languap would have to be entirely recast "special" methods. ifall referenms to' cause" and related language were Frequently the focus on particular events is what is eliminated. (Gardiner, op. cit., pp. 65 ff.) Isaiah Berlin tal,enasrequiringsomespecialmethod.However, has written an influential criticism of deterministic views physicalscientistsareoftencollet rnedwithspecific ofhistory.Althoughhedoesnot!maintainthat happenings at specific times and places, either in the determinismis"necessarily false," he says that we can future, as in predicting the next eclipse of themoon, or "neither speak nor think as if it eodd be true" and that in the past, as when geologists date some phenomenon. if determinism were correct many distinctions commonly Moreover, typically imi experimental situations the scientist made "would be as inappropriate as the attribution of needs to have anaccurate descriptionof just what moral responsibility to the planetary system or the tissues happened to one variable as a consequence of a change in of a living cell." (Historical Inevitability, London, Oxford another variable. Sometimes historians maintain that their University Press, 1954, pp. 32-33.) interestinparticularcventsisjustinthoseevents As already noted, many historians pit special emphasis themselves, rather than in the events as representative ofa on "explanation." Sometimes "explanation" names an class of similar events. But that distinction seems to be adequate description of things and events. At other times, one only of deg-ree, not kind; the scientist's interest in an it names a special form of understanding of motives and eclipse may be as "particular" as the historian's interest ill intentions. Despite the confidence of many writer:-ii the evellts in his subject matter, and the historianuses history and elsewhere that motives anr1 intentions are the generalizations in describing partieulai i.vents, just as the ..'sytoexplainhumanactions,oit,-nthealleged physicalscientist does. Perhaps of even greater impor- explanation isOlt:ya restatement of th.1 question with tance,humantransactionsareouchthatseparstmg,

RR 78 A CURRENT APPRAISAL detaching, or severino the individual organism from its Gardiner, Patrick,The Nature of IIistorical Explanation, environment typicalry impedesinquiry. Emphasizing London, Oxford University Press, 1952. individual aspects as individual, rather than viewing thern ,cd,Theories of History,Glencoe, Free Press, in the full process of which they are a part, often makes 1959. it more difficult to develop useful descriptions of the Gottschalk, Louis R., ed.,Generalization in the Writing of connectionsamongthe aspectsamlphasesofthe History,Chicago, University of Chicago Press, 1963 transaction being investigated. Ilex ter, Jack,Rcappra:sals in Iktory,Evanstou, North- Lee Benson is one of the few historians urging that western University Press, 1961. something like what we called modern scientific proce- Iligham, John, with Krieger, Leonard, and Gilbert, Felix, dures of inquiry be usedto replace the "established History,Humanistic Scholarship in America Series, historiographic system"(Toward the Scientific Study of Englewood Cliffs, Prentice-Hall, 1965. History,Philadelphia,Lippincott,1972,p.227). His Hook, Sidney, ed PhilosophyandHistory: A negativecriticism of conventional Civil War historiog- Symposium,New York, New York University Press, raphersthat likethe Buddhist wheel of fatethey go 1963. "round and round" without ever getting anywhereseems Landes, David S., and Tilly,Charles, eds.,History as well founded. He has demonstrated the unreliability and Social Science,Englewood Cliffs, Prentice-Hall, 1971. inadequacies of much of the data used by historians. Ile Popper, Karl,The Poverty of Historicism,Boston, Beacon emphasizes that behavioral inquiry should not be modeled Press, 1957. after, or restricted to, the specific investigatory techniques The Social Sciences in Historical Study: A Report of the used by physical scientists. Committee on Historiography,Bulletin No, 64, New In general, much of Benson's work is in harmony with York, Social Science Research Council, 1954. the views we express c'in Chapter 1. On the other hand, Theory and Practice in Historical Study:4Report of the he disagrees in impoInt ways with some of the points Committee on Historiography,Bulletin No. 54, New we emphasize. He apparently does not accept our view York, Sock! 'Hence Resea,eh Council, 1946. about the need to interweave conjectures and measure- Thompson, Jau.W., A History of Historical Writing, ments atallstages of inquiry, for he develops in advance New York, Macmillan, 2 vols., 1942. of testing an elaborate "general analytical model for Walsh,W.H.,An Introductiontothe Philosophy of explanationsofinternalwarcausation"(Ibid.,pp. History,3rd rev. ed., London, Hutchinson's Univer- 334-340), and in other ways appears to defend elaborate sity Library, 1967. a priori conjecturing that we regard as inappropriate. His breakwiththeliterary'modelforhistoricalinquiry, 9. GERMANE JOURNALS however, may set a desirable precedent for the profession. Whether what is done by professional historians will largely shift to the type of inquiry we called "modern" in ANERICAN HISTORICAL REVIEW Chapter 1, we do not attempt to predict, but we do AMERICAN SLAVIC AND EAST EURO!'EAN suggut thatthere are no intrins_difficultiesinthe REVIEW subject matter that would preclude such inquiry, that the ANNALES: ECONOVES, SOCIET IES, results of such inquiry have proved useful, and that we CIVILISATIONS see no reason why the results will not continue to prove CATHOLIC HISTORICAL REVIEW useful in the future. COMPARATIVE STUDIES IN SOCIL Y 8. SELECTED BIBLIOGRAPHY AND HISTORY ECONOMIC HISTORY REVIEW 'heAmerican Historical Association's Guide to Historical ENGLISH HISTORICALREVIEW Literature, New York, Macmillan, 1961. HISPANIC AMERICAN 11 ISTORICAL REVIEW Benson, Lee,Toward the Scientific Study of History, HISTORICAL ABSTRACTS Philadelphia, Lippincott, 1972. HISTORICALJOURNAL Berlin,Isaiah,Historical Inevitability,1.ondon. Oxford University Press, 1954. HISTORISCHE ZEITSCIIRIFT Bibliography of Worksinthe Philosophy of History, HISTORY AND THEORY 1945-1968,continuing;Beihefle(Supplements) 1, 3, JOURNAL OF AMERICAN HISTORY 7, and 10 toHistory and Theory. Bloch, Marc,The Historian's Craft,trawl. Peter Putnam, JOURNAL OFCONTEMPORARY HISTORY New York, Knopf, 1953. JOURNAL OF ECONOMIC HISTORY Carr, Edward IL,What Is History?,New York, Knopf, JOURNAL OF MODERN HISTORY 1962. Collingwood, R.G., TheIdeaofHistory,Oxford, JOURNAL OF NEGRO HISTORY Clarendon Press, 1946. JOURNAL OF THE HISTORY OF IDEAS Danto, Arthur,Analytical Philosophy of History,Cam- MIDDLE EAST JOURNAL bridge, Cambridge University Press, 1965. PACIFIC HISTORICAL REVIEW Dray, William,Laws and Explanation in History,London, Oxford University Press, 1957. PAST AND PRESENT ed.,Philosophical Analysis and History,New RIVISTA STORICA 1TALIANA York, Harper and Row, 1966. REVUE HISTORIQUE Elton, G.R.,The Practice of History,Sydney, Sydney University Press, 1967. SAECULUM Gallic, W.B.,Philosophy and the Historical Understanding, SPECULUM London, Chatto and Windus, 1964. VOPROSY ISTORII VIII. JURISPRUDENCE*

1. WORKING DESCRIPTION OF THE FIELD areproperly concerned with notr Phr ascertainmentoftrendsandthe In NQUIRERS in the fir", of jurisprudence study the consequences. His own disciplini- ee i`t6.1itni; origin,development, ane e,perolionoflegal more, and that is the element of vale Hole institutions, rules, and processes, including their of International Law,"Daedalus,Spring, connectionswithothersocioculturalprocessesand 627.) institutions. The fieldoverlaps many other behavioral areas of inquiry, including sociology, political science, Some wrinTs who view jurisprudenceasa social bek ce economics, psychology, and anthtopology. fieldalso elievethat thesocial sciences,unliketit,- physical sciences, are concerned with "nonnative" isseea. 2. OTHER DESCRIPTIONS OF THE FIELD Pound, for example, says: "What-ought-to-be has no place inphysicalscience.Ithasfirstplaceinthe so4.1,11 The label "jurisprudence 1,4TIIapplied in various sciences."(Contemporary JuristicTheory,Claremont, ways; e.g.,to designate a;.a; system (as in Claremont College, 1940, p. 36.) "Roman jurisprudence"); the cow judicial decisions As in the fields of economics and political science, over time; a point of view about legal behavior (as in there arc many diverse views found about the relation "sociological jurisprudence"); inquiry into assumed under- between"positive science" and "policy applications." lying principles of legal systems ("philosophy of law'. and EugenEhrlich, a German sociological jurist who had "formal science of law"); and law as a subject matter of considerable influence on many American jurista,, empha- inquiry. Investigators in the field of jurisprudence often sized the"theoretical" and"pureknowledge"in are labeled jurists orjurisprudenis. jurisprudence: [historicallyjurisprudence has been associatedwith inquiries in many other fields, including philosophy and "In jurisprudence...the distinction between the theology. For some time, many writers have urged that theoreticalscienceoflaw...and thepractical jurisprudence become abehavioralscience,fullyor science of law...is being made only just now.... partially.Roscoe Pound, one of the most influential This distinction...is the basis of an independent recent jurists, says: science of law, whose purpose is not to subserve practical ends but to serve pure knowledge, which is "The thirteenth century put theological philos- concerned notwithwordsbutwithfacts." ophy bellind law to sustain authority. The sixteenth (Fundamental Principles 6., Sociology ofLaw, and seventeenth centuries divorced philosophy of Cambridge, Harvard Universia, Press, 1936,pp. 34.) law from theology and divorced law (not laws) from authority. The nineteenth century divorcedlegal Othersviewed jurisprudenceas"practical" andas philosophy frompoliticalphilosophyandset concerned with improving the operation of legalpro- jurisprelence off rblinitel:,as a separate science. cesses.Sometimes jurisprudenceisviewedas"social The tw entieth celetury seeks to unite jurisprudence engineering": w:th the, othersocialsciences... "(LawFinding Through Experience and Reason,Athens, University urisprudence...is'socialengineering and the of Georgia Press, 1960, p. 17.) various trends within it...are only different tech- niques of such engineering suited to the interpreta- Ontheotherhand many juristsmaintainthat tion of particular needs of concrete systems of law jurisprudence fundamentallyis 'normative" rather than andcorresponding types of inclusivesocieties." scientific. For example, in a disctesaion of world order, (Georges Gurvitch,Sociology of Law,New York, D.P. O'Connell says: Philosophical Library, 1942, p. 11.)

"A jurist who discussesorder' has in mind a And Pound said: particular andfairlyrmt-icted concept of order. lJnlikethe natural or s acial scientists, he 3 not "Engineerinc.isthought of as a process, as an concerned with problems of hypothesis and verifica- activity, not merely as a body of knowledge, or as a tion, or limited to describing events and analyzing fixedorder of construction.... The engineeris tendencies. His isa discipline concerned with the judged by what he does. His work is judged by its controlof human behavior, anditistherefore adequacy to the purposes for which it is done.... normative. In a colloquium on 'world order' itis We are beginning, in contrast with the last century, therefore important that the jurist insist that the to think of jurist and judge and lawmaker in the normative element be retained in the discussion, for, same way.(Interpreiations of Legal History,New if he fails to do so, he abandons his claim to keep York, Macmillan, 1923, p. 152.) hisstudydiscrete frompolitics.He may well consider that the activities of the political scientists Some writers emphasize problem-solving: or economists or experts on international relations *Samuel Krislov suggested changes in an earlier version of this Me important thingisthatscientificjuris- chapter. His comments are appreciated, hut he is not responsible prudence is essentially a problem-solving device.... for the content of the chapter. Experimental jurisprudence may be said to extend

90 80 A CURRENT APPRALISAL to two main fields of activities:(I) bringing the 1940) and his Atzato . of the Law (New York, Praeger, discoveries of other sciences, both physical and 1968).Forsomegeneralcriticismsofnaturallaw social, into such a focus that they can be Used as doctrines, especially in relation to the United States, see toolstoaidinlawmakirig and enforcement; (2) CorneliaG.LeBon:illier, American Democracy and conducting legal research into the effectiveness of Natural Law(IN,-vi York, ColumbiaUniversityPress, statutesasactuallyenforcedto accomplishthe 1950); andFligioicC. Gerhart, American Liberty and purposefor which they were enacted, and...to 'Natural Law" (Boston, Beacon Press, 1953). develop by research arid experiment the jural laws Analytic Jurisprudecce.the older school of analytic controlling such phenomena." (Frederick Beutel, jurisprudencearoseinpart because of the needfor Soffit' Poten(ialities of Experimental Jurisprudncc organization in the ',minion law of England. John Austin asaNew Branchof Sm_.ialL.:ience,Lincoln, dealtsystematically critically with the law of his University of Nebraska Press, 1957, pp. 19, 189.) time.(LecturesonJurisprudence,5thed.,revised, London, John Murray. 1885.) The law was analyzed into 3. METHODS AND TYPES OF INQUIRY taxonomic division, contracts, property, etc.),in order t, show the logical interrelations of the various Poundidentit. 'sover 20 separate schools of juris- fields. Positive law was viewed as the subject matter of prudence,datinrfromtheGreeks andthe Romans jurisprudence, and law was identified with the "com- (Jurisprudence, St Paul, West Publishing Co., 1959), and mand" of a "sovereign power." Austin gave little or no others could be added. For present pescoses we shall attentiontothehistoricaland sociologicalprocesses discuss bHefly some of the traditional schools and give through which laws are developed; he analyzed logically greater emphasis to those points of view that are intended the rules and materials found in the legal system under to be scientific or partly scientific. investigation, This procedure, somewhat modified, still has Natural Law Jurisprudence. Natural law th:er is followers in Great Britain (G.W. Paton, A Text-book of derived from Greek, Ro-aan, and Christian sourec,, and Jurisprudence, Oxford, Clarendon Press, 1946; and earlier, has been strongly influentialin American political and T.E. Holland and J.W. Salmond). legal histo i the Thomistic version, four kinds of law In addition to the Austinian school, other points of are differei...iated: (1) "eternal law," the reason of God view also emphasize some form of "analytic" procedure. that governs the universe; (2) "divine law," the revelation For example, Hans Kelsen attempted to discover the of divine wisdom in the Bible; (3) "natural law," the irtherem: structure of legal systems, and argued for a reflection of divine reasoo io created things and inherent "Pure Theory of Law" that would exclude everything of in human nature; and (4) -1;ositive" or 'human law," the anonlegalcharacter.He heldthatthe law was a laws promulgated by governments. Natural law is said Lo self-containedsystemofpropositionsconsistingof be stable and universal- ensl :o apply to all cultures and all declarations by officials. Kelsen made a sharp distinction men, including pagans. Thomas Aquinas mentioned as between social facts and the logical consequences of a examples of natural law tile inclination of men to live in legal system's postulates. The "validitr of positive law society,topreservethemselves,tobegetandraise depends upon a basie norm." The basic norm is that children, etc. Positive laws, according to the Thomists, norm the validity of which cannot be derived from a vary from placeto place and must he adaptedto higher one. Basic norms seem to be the presuppositions particular circumstances, but natural laws are unchanging that allegedly make possible the rest of the legal order. a priori standards for judging positive laws. The validity of laws is tested not by their psychological, Thetheologicalbasisof Thomisticnaturallawis sociological, or political consequences, but purely 'norma- defended hy Jacques K 'otans: tively.'(The Pure Theory,L.f Law, 2nd ed., Berkeley, Universizy of California Press, 1967; Ger,yal Theory of "This true phil, o he rights of the human Law and State,Cambridge, Harvard Uri:versa,/Press, person is based upo- !rue idea of natural law, as 1945.) looked upon in an onLa!agical perspective and as Various treatments of law be those influenced by conveyingthroughthecw'rltialstructuresand recent language philosophy also have been prominen , requirements nf created nature the wisdom of the with the views of ILL.A, Hart perhaps heir g the most Author of Being." (Wan (Irv!the State, Chicago, important. (The Concept of Law,Os. ce,d, Clsrendon University of Chicago Press, 1951, p. ,) Press, 1961.) HistoricalJurisprudence.This()Ai:enislistedasa Many other versions of natural law, including secular separate school, the objectives of which are to trace aie versions, have been offered. The "source of knowledge" histories of legal systems to interpret the changes that of natural law somctmes has been been heldto he have taken place in laws, and to ascertain the influences revelation,sometimes'pure'reason,and sometimes that account for those changes. The methods used are revelationplusreason.Recentlysomewritershave similar to those used in other areas of historical inquiry. suggested that the biological and the behavioral sciences Many historical juristsbe!;,-vethat laws originatein might provide an empirical basis for natural law. See, for customs, and they appraise the purposes and functions of example, F.S.C. Northrop, The Complexity of Legal and coraemporaiy laws in terms oi their original purposes and Ethical Experience (Bosto.,, Little, Brown, 1959). And functions_ manywriterswhorejectearlier,O. theolegical, Friedrich Karl von Savigny is generally acknowledged as versions of naturallaw maintaintha...1some sense the founder of the historical school. Law, he maintained, natural law exists. Philip Selznick, for example, argues was a spontaneous emanation from the "life and spirit of that "reason" can select those human norms that properly a pec;,0c,' much hike language, customs, and songs. The are to be given the sanction of law. ("The Sociology of leaning Ei.gli!,n. exponent of this school was Sir Henry Law," Journal of Legal Education, Vol. 12, 1960, pp. Maine.lbasserted that legal c:evs,loprnent has been a 521.522.)Lon L.Fuller perhaps has been the most ..lovemem frm slam; to conit,xt;i.e, a progre-,ion influential recent jurist defending natural law; see his The r 'inafixed eonditiou which anindividual1::ids L4iw in Quest of Itself (Chicago, The Foundstion :-:lintiMfaspart of avo,e,toaspteinhaseil upon JURISPRUDENCE contract. conducted in the physical scienc ('Sour1 Realism about One brancli of historival juniudence is srimetjmcs Realisni:Responding to Pean Poond," HarvardLail, calledthe comparative school( .rederick Review, Vol. 44, 1931.) FrederickPollack,PaulVinogradoff,etc.).Historical Sociological Jurisprudence. Sociohigleal jurisprudence methods are used to study two or more leoal systemsin has many similarities to legal realism. Ludwig Gumplowicz an attempt to discover their similarities and 7lifference,4. and Eugeu Ehrlich originated sociological jurisprudence; Legal Realism.firelegalrealists view their subject Roscoe Pound was the most prominent exponent in the matter notasa body ofrules,the cmumands of a United States.Other well known advocates have been sovereign, etc., but as the behavior of court and other Supreme Court. Justices Benjamin N. Cardozo and Harlan public officials. The realists, likethelegal sociologists, Fiske Stone. Jiirisprudence is regarded eitheras a social inquireintothe way lawsfunctioninpractice,the science or as continuous with, and dependent upon, the economic and social influences on legal syatems, and the social sciences. psychological characteristics of legislators and judges. The The_ legal order, according to Pound, is not concerned legalviews of Oliver W. Holmes, .10,,,epli W. Bingham, with abstract rights, bin with actual interests, claims, and ohn Chapman Gray, Roscoe Pound, olm liewcy, and demands.Poundseverelycriticizedtraditionaljuris- A.F. Bentley considerablyinfluenced the realists.Karl prudence: Llewellyn, Edward S. Robinson, Thurman Arnold, erome Frank, Fred Rodell, andFelix Cohen are among the There has been too much abstract reasoning recent advocates of legal realism. from attractive analogies of the past and not enough Often considerable emphasisisplaced on predicting testing of those analogies in the light of how they what the courts will do, the legal realist: meet orfailto meet the exigencies of reasona expectations of men in the time and place. -...seeks toisolate the factor or factors upon ethics and abstract politics must be suppler which courtdecisionsactuallyrestin orderto by comparative study of the social and ce provide the student and the practiticmei with an conditions from which their abstract theoi accurate method of forecasting what the courts derived and of thoseto which they are actually do. The ideal is a 'science of law.'(Fred applied. This is the point to which thepragrna V.Cahill,Jr.,JudicialLegislation:,1Study in of Hohnes and James is directed." (Law Finding American Legal Theory, New York, Ronald, 1952, Through Experience and Reason, pp, 47-48.) p. 114.) Pound emphasized both as a contributing force to, InJurisprudence:RealisminTheory and Practice and areflectionof, society Law was_ viewed as an (Chicaoo, University of Chicago Press1'962), Llewellyn instrument of soeial change, not asa body of fixed, summe7dup his position. He scrutinized claims that legal deductively derived principles. He described the impact of decision makingismerely an outcome of alogical sociology on jurisprudence as follows: process, with the legal rule as major premise and the conclusion a product of deductive inference.Ile main- thepastfiftyyears the develc ,rnent of tainedthat the realities of legal practice and decision jurisprudencehas beenaffectedprofoundly by makingarefardifferent.La-, notanabstract sociology. The older mechanical sociology affected rule.systern, but a going social i..Flitution that involves: the science of law by its insistence upon thinking (a)settlinggrievancesando:isputes,(b)channeling about groups. Thus it had much to do with bringing conduct in tension ridden situations, (c) redirecting new us to give up the abstract individual as the central lines of conduct, (d) allocating decisional authority, (e) point in joristi, thought. Also this insistence upona unleashing incentive, and (1) developing effective legal social theory led jurists to seek to relate lawmore techniques for doing legal jobs. crliticgic,aillytoother socialphenemena.Laterthe Ingeneral,therealiststendtoagreeupon the cal sociology brought about more thorough following: studyofprimitivelegalinstitutionsandgave (1) Rejection of natural law. impetus to the unification of the social sciences by (2) Insistence that inquiry into law must be basedon establishingconnectionswithanthropologyand empiricaldata,ratherthan on allegedtranscendental ethnology.Stilllater the psychological sociology concepts and intuitions. (Lee 1,oevinger, "An Introduction gave us a more adequate account of the traditional t...; Legal Logic," Indiana Law Journal, Summer, 1952 clement inlegal systems, turned attention to the (3) Skepticism of the traditional use of deduction in problem Gf judicial and juristic method, and made jurisprudence. This skepticism takes several forms. Some us aware of the traditional art of the lawya's craft doubt that a workable body of detailed rules of the type asanelementinlaw andafactorinlegal found in legal systems can be dedueed from a relatively development." ("SociologyandLaw,'"ioW.F. small number of 'natural laws." As Jerome ./..1,ank pointed Ogburn andA.Goldenweiser,eds.,The Social out, those who use sylloOsms intheir quest forle'l Sciences and Their Interrelations, Boston, Houghton certaintyoftenforgetthattheirpremises maybe Mifflin, 1927, T.. :!'t4.) doubtful. (Law and the Modern Mind, New York, I ndor, 1936, p. 66.) Experimental Jurisprudence. According to 13ritel: (4) Emphasis on the transactions of those involved in leffal processes, rather titan on formalistic aspects of law. "...the steps employed in prosecuting a method Q.,dwuo N. Garlan, Legal Realism and Justice, New York, Experimental Jurisprudence should be approxi Colunih"a University Press, i?44, p. 5.) mately as follows: (5) desire to he scientific. Karl N. Llewellyn, for 1.The natureof the phenomena whieh law exampl.,say:,thatlawisabody of datatobe attempts to regulate should bc studied.Inparti- investigatedintii.same;,;eneralwayasinquiryis cular, the social problem to which a specific law is

2 82 j CURRENT AMR ISA!. directed should be carefully isolated and I` xamined. 4. RESULTS ACHIEVED 2. The rule of law or other method usedto regulate the phenomena or intended to mike the Much ofthe work dom. by juristsisdeliberatell, social problem should be accurately stated. nonscienti fieinmeth /idandintent,especiallywhen 3. The effect on society of adopting the rub. inquirersbelieve that some absolute norms for human should be observed and measured. behavior exist and can he discovered through "reason," 4. There should then be constructed a hypothesis "alsight,"or"revelation." A vastliteratureof con- that attempts to explain the reasona for nos reaction. jecturesandconclusionsaboutlegalproblemsand 5. This description, when broadened to apply to issues,basedonthetype of procedures we called other analogous situations, might be considered a ./ _tionalinChapter1,isavailable. Much work in jural law that describes or predicts results which naturallaw "theory" fallsinto that category, as well would occur on applieut;:m of a similar regulatory as many of the conjectures of the analytic and the law to similar probh historical jurists. 6.If shows that the law isinefficiei Although recent work following sclf-actional procedures therecoulddr.li he suggested new methods islessgrandly metaphysical than earlier work, many accomplishing the originally desired result. inquirers are convinced that important principles can be 7. The proposed new law could be enacted derived from an "analysis of concepts." John Rawls, for the process repeated. example, in his influential book, A Theory of Justice 8. A series of.such udoptions of new laws (Cambridge, Belknap Press, 1971), develops principles of study of their resuk might throw impor ut light justice that. supposedly would be accepted- by "free" and upontheusefulness of the underlyingeirpo.--- -rational" persons under ideal conditions of "complete behindthe enactment, thus effecting apossiii., iluality," and he also extends his argument to less ideal alteration in or abandonment of this objective, or in circumstances. (For other examples of the procedures the long run, though this now appears drui'.' used by recent analyticphilosophers,seeRobert S. even induce a revision of our present scale of soi1.11 Surnmers, ed., More Essays in Legal Philosophy, Berkeley, and political ethics." (Some Potentialities of Experi- University of California Press, 1971.) nzental Jurisprudence as a New Branch of Social Considerable work has also been done in jurisprudence Science, pp. 18-19.) bysociologists,politicalscientists,am! lawyers who follow the procedures we called interactional in Chapter 1, In a later book Bentel says that a "jural law" is not a sometimes with an admixture of self-actional procedures. "man-made enactment to govern the conduct of men," Such work is partly "empirical," or,4.,-ervationally-based, brit a scientific law" or "warranted assertion." (Democ- but is guided by "normative" princii:ics. Philip Selznick, racy or the Scientific Method in Law and Policy Making, for example, has considered labor-management collective Rio Piedras, University of Puerto Rico Press, 1965, pp. 98, bargainingprocessesinthelightefhisviewson 99) ""authority," "leg,itimacy," and similar categories. (Low, Although Bentel is the person chiefly associated with Society, and Industrial Justice, New York, Russell Sage, -experimental jurisprudence," otherwritersalsohave 1969.) defendedsomeversionof experimentalism.See,for In an attempt to make jurisprudence more scientific, example, Thomas A. Cowan's "The Relation of Law to cooperativeresearchprojectsinvolvingworkers from Experimental Social Science"(University of Pennsylvania several behavioral fields have inquired into the operation Law Review,Vol. 96,1948), andhis "Experimental and social effects of specific laws and :.egal institutions. Jurisprudence arid the Pure Theory of Law" (Philtmophy Walter Cook and his associetes at John Hopkins pioneered and Phenomenological Research, 12, 1950). in such endeavors, but the project fr.iled for lank of funds Jurimetrics. According to 1,ee.ievinger, "the Zics d..:ring the Depression. For a number of years, Sheldon of those who practicejurisr r..oe-eand thm. iho and Eleanor Glucck, a jurist and a sociologist, aided by a practice science are so unlike toercis very AL., staff of physicians, anthropologists, social workers, and communication and no exchange oroil- between them-- othera, studied crirnin. I imbavior. A series of publications He believes that the label "juristrrAmice" is so closely on adult and juveniledelinquencyresulted,and the associated with traditionalproceriurfs of philosophical predictivetables dev. loped have been use ,with some inquirythatlittleprogress can be expected even in successinthetreatment of offenders.(See Sheldon "experimental jurisprudence"; he suggests that a new Glueek and Eleanor Check, Toward aTypology of "jurimetrics," be used for scientific inquiry into Juvenile Offenders, New irk, Grune and Strattoa, 1970, legal processes. Loevinger and his co-workers are keenly for a recent example of their work.) interested insomeofthenewerdevelopmentsin The Chicago Jury Project, another joint effort of jurists electronic data storage and retrieval, and they have great and behavioral scientists, is concerned with the delibera- hopesforthe application of symboliclogictolegal tions of juries. (See Hans Zeisel, Harry Kalven and inquiry: Bernard Buchholz, Delay in the Court, Brown, 1959; Harry Kalven, Jr.aml 7 lurimetrics is concerned with such matter- T-s = -lericanJury,Boston,Little, Brown, :r the quantitative analysis of judicial behavior, tne inqoiricc making use of the findings in several s- af applicationofcommunicationandinformation researchexist;sometimesassociatedwithparti,olar theory to legal expression, the use of mathematical institutions, such as the Columbia University Project for log,ic in law, the retrieval of legal data by electronic Effective Justice, and sometimes not so institutionalized and mechanical means, and thc formulation of a (e.g., Frederick K. Bente!, Study of the Bad-Check Laws legal calculus of legal predictadility." ("Jurimetries: in 1Vebraska, Lincoln, University of Nebraska Press, 1957). The Methodology of Legal Inquiry," in Hans W. Fora reasonablyrepresentativeexampleofwork Baade,cd.,Jurimetrie.s, New Nrork, Basic Books, attempting to relate law and the behavioral sciences, See 1963, pp. 7-8) thetextbookbyLawrenceFriedmanandStewart J

Macaulay, Lau an(1 ,,:nt Behuel . (Indianapolis, 5. CONTEMPORARY CONTROVERSY Hobbs-Merrill, 0o9). :Also of interes isthe essay by Keuneth Culp Davis, -Behavioral Scier ee and Administra- In view of the range 0f opinion found in jurisprudence, tive Law" (Journal of Legal Education, Vol. 17, 1965). a large number of controversies have occurred. We have Inrecent years the topics mentioned below, among selected for discussion in this Section a few controversies others, have received considerable attention, that relate to the main themes of this volume. T here have been it urn CO studies of concemilig Underlying manyofthespecificcontroversiesin compliance with laws, including the impact of laws and jurisprudencearebasicquestionsaboutwhichpro- theresultantbehavior. The book editedby Sanmel ceduresofinquiryaremostuseful.As was noted Krislovet. al.,contains reievant materials from man.' earlier,somejuristsregardtheirsubjectmatteras behavioralfields (Complinnee and the Law: .4Muhl- primarily nonscientific; although they agreethat useful ;'ary Approach, Beverly Hills, Sage, 1972). informationabouttheefficiency of means andthe f_:,ne,,arative and developmental studies have been mad- probableresults of various courses of action can be tropoloOsts and 0:,hers. E. Adamson Hoebers work obtailied through scientific procedures of inquiry, they een influential (The Law of Primitive Man, New beheve that the desirability of thL basic ends or norms Atheneum, 1968). At times the emphasis ison ho involved can be ascertained onlyin some other way disputes in general (not just legal conflicts) are handled in (through reason, intuition, revelation, eue). Other jurists various cultural and social contexts, as in the volume arguethattheentirefieldcanbeinquiredinto edited by Laura Nader (Law in Culture and Society, scientifically,but disagree asto which procedures of Chicago, Aldine, 1969). Various comparative studies have inquiryare scientific. At present, perhaps thelargest been made; e.g., a cross-cultural study of judicial behavior numberofthosesupporting"scientificmethod"in (Glendon Schubert and David J. Danelski, eds., Compara jurisprudenceareconvincedoftheusefulnessof tive Judicial Behavior, New York, Oxford, 1969), and developingformalmodelsorotherelaboratecon- work on Indian law (Marc Galanter, "The Displacement jectures earlyinthe inquiry, and then attempting to of Traditional Law in Modern India," Journal of Social testthose conjectures. Others, apparently far fewer in Issues,Vol.24,1968). Work also has been donein number, supportproceduressomething likethose developing conjectures about possible "culture-transcend- suggestedin ChapterI,in which thereis a continual ent" legal frameworks (Adda B. Bozeman, The Futureo interweaving of observation and conjecturing. LawinaMulticulturalWorld,Princeton,Princeton Many of theimtleti jun mentioned are involved in University Press, 1971). controversies over value judgments ("ought"-"is"; positive Numerous studies have been made of police behavior, vs. policy science). Some who follow traditional proce- thediscretionary powerofpoliceandprosecutors. duresregardjutispredenceas"not concernedwith sentencing, and related matters. For a sampling of the roblems of hypothesis and verificaHon" and thereforeas literature,see: James Q. Wilson,Varieties of Police _undamentelly unlike scientificinquiry (see quotation Behavior (Cambridge, Harvard UniversityPress,1968); from O'Connell in Section 2) Among those sympathetic William A. Westley, Violence and the Police (Cambridge, to the use of behavioral sc;enee procedures of inquiry in M.I.T.Press,1970); Abraham S.Blumberg, Criminal jurisprudence, marked differences of opinionare found Justice(Chicago,Quadrangle,1970); JohnHogarth, values. To illustrate, Pound and others regarded the Sentencing as a Human Process (Toronto, University of atsciences as fundamentally concerned with what Toronto Press,1971); and Kenneth Culp Davis, Discre- ,7,1it-to-be" and as thus sharply differentiated from the tion9ry Justice: A Preliminary Inquiry (Urbana, University na:uralsciences. Otherwritersdefend"value-free" of Illinois Press, 1970. roo-xdures of inquiry, as did the sociologist George A. As was noted iv the Chapter on Political Science, ranch attention has been givento judicialvoting behavior, indue''rig Supreme Court Decisions, comparative studies of dift r nd, and many others, t types of courts, etc. Other topics of recent etalon uce between the physical and interest have been poverty iaw; work on contemporary tIi s :e`: sciences in this respec...must be rejected social issues that have been the subject of Presidential as based on a confusion regaere science and the Commissions (e.g., on Crime, Violence, and Obscenity); applied arts. More particula:ly the confusion rests antlstudies of socialization, such asthe attitudes of upon the failure children toward the law, the professional socialisation of to recognize that practice and applied jurisprudence stand in thesame relationship lawyers ant. the police, etc. to the r.eleial sciences as physical engineering stands Jurists interested in jurimetrics, and others, nave been in r to physics and chemistry. There js, of concernedwith the possible applications of decision course, no reason why those social oi,haviors that theory, computer techniques, information retrieval, and have to do with legal and judicial systemsengineeringinsolvinglegalproblems.(See proiesses should not be studied in strictly scientific fashionas the Thomas A. Cowan, "Decision Theory in Law, Science, sociclog-i of law, or the science of jurisprudencean and Technology," Science, Vol. 140, 1963.) Game theory interstitial has been strongly emphasized 4%, some workers, such as science combining partsof sociology, Glendon Schubert. psychology, anthropology, economics, and political Many other areas of inqui:y eouti also be mentioned, science. Such deielopment is in fact to be expected, but the foregoing discussion indicates some of the work and encouraged." (' Conflicting Orieotation in Law and National Policy," in Richard W. Taylor,ed., done in the Ilea Much of the recent %York that is labeled Life, Language, Law: Essays in Honor of "behavioral" emphasizes formal modeis and deductions Arthur E. Bentley, Yellow Springs, Antioch Press,1957, In, from those models. Of interest also is the revival, parffy 188.) inresponsetotheemphasisonbehavioralism,Of "normative- procedures that tend to follow traditional Bente!, who perhaps is foremost patterns of inquiry. among recent jurists in arguing for a scientific jurisprudence, believes thatthe UURI(I.AT "value" of legal ends or purpo, es i.til be inquired int ("The Utility Jurisprudenee in the Solution of Legal least partially) by scientific provedures: Problems," innaeob Marks etat, Lectureson Legal Top i, s, 1923-2-1, New York, Macmillan, I 9211, p. 337.) -A system of Experimental Jurisprudence inits complete workings viould not necessarily be limited of the recent disagreements about prediction can to studying the efficiency of various legal devices in beus, illydiscussedin-elationtowhatlia.3 been accomplishingtheirpurpose.Itcould also throw liarat_tcrii:edas -the 'eof Bodell." Sonicclo,,,ret considerablelight on the value of the purposes days before the Baker 11.1-..! -cision (one of the most thenvelves. There is reason to believe dna here, portant cases to reachtire Sn preme Court during the and in many otherfields,seientilic jurisprudence period involved),FredRodell predicted not only the could become the instrument of expt rimental ethics Dneral outcome correctly, hut also correctly predicted inde:, Hoping a new and ruler civilization." (Some :',V111 of the eight vote, cast, and was not far wrong in Potent 14,1 wsof Experimental Jurisprudence as a some other specific redictions concerning the decision. New Bran(-h of Social Science, p. 32,p. 36. Italics (-For Every Justice, Judicial Deference isa Sometime added.) Thing," Georgetown Law Journal, Vol. 50, 1962). Rodell opposed manyoftheviewsofjudicial Perhaps the controversy can be adequately sunnuarizd behavioralists about predicting behavior, and maintained itSfollows:Thereisconsiderable agreement thatthe that it was impossible to predict precisely because of the operation of laws and related institutions can be described -infinite variety of quirks and causes" characteristic of usefully using scientific procedures. Many, probably most, the"mind." However, hemaintaincd,thevotesof juristsareconcernedalsowiththe improvement of Justices can often be predicted in general by studying the existing laws and legal institutions (the problem of -good Justices cis "wholehumanbeings,"includingtheir laws," as traditionally stated). Some see such questionsas -temperament, background, education, economic status beyondthe scopc of scientificprocedures of inquiry; land] pre-Court career." (Ibid., p. 708, pp. 700-701.) some arguefor an expansion of the type of inquiry ThebehavioralistsarguedthatRodetl'' successfully used in the phy sical and physiologicalareas prediction probably was not replicable'3' - so that values can he encompassed; and some maintain miulit attempt to follow his procedures. iig to that the same general procedures used by physical and SiLev Ulmer: physiologicalscientists can be usedto choose among possible values_ The controversies are exacerbated hy the -Rodeli correctly predicted seven of the eight many inconsistent and incoherent applications of the yoteF east-animpressive result indeed. But in a name -value." larger perspective, it may be meaningless. For who The claims made by a school of thought about its knows howRodellreached his result?Can any present or probable future achievements often are said lawyer replicate Rodell's experiment and results? tobe exaggerated bythe opponents of that The important questionisnot whether or,e can Thos,, supporting sciew..ific procedures simtetimes regard predict judicial votesinn one case by intuition or traditional "theories" as moribund, as naive, as slice,: guess, or 0n-ough personal contact with judges dangerously inadequate for ciping with present or zhcir clerks, but what replicable procedures are problems, or as semantic delusions. On the other hand, significantly successful over a long run of cases. If traditionalists oftenclaimthattheallegedsrientific Rodenhasdiscoveredanysuccessfulpredictive procedures aretrivial,internally inconsistentmore like device based on 'human factors,' he has yet to make sciencefictionand numerology than gerund, scieneu . itavailable to the profession at large," ("Quantita- and leadto authoritarianism. (For some c;ta,-_!esof tive Analysis of Judicial Processes: Some Practical suchcriticisms, see1.undberg,op.cit.,and u", alter and Theoretical Applieations,in Hans W. Baade, Berns, -Law andBehavioralScience,"inIlansW. (ip. cit., p. 165.) Baade, op. cit.) Another set el controversies concerns prediction. Oliver And Glendon Schubert,inhiscriticismof Wendell !Wines' famous statement (hat the law consists maintains that -theoretical l.nowledge," not just die skull in nothing more than 7prophccies of what the courts will of anexcellentpructitioner,isrequiredinscrew-die doinfact-tr-ThePath of the Law,"flat-curd Law inquiry: Review.Vol. X,1897,p. 461), has been followed by many similar continents. Walter W. Cook's 1924 statement "Tlw sophisticated lawman, in the tradition of could he accepted by many recent American jurists: legal realism, predicts on the basis of his specialized empirical knowledge; while the behavioralist, iii tlw -When a lawyer is confronted with what we call tradition of modern science, predicts un the basis of a problem, what he wishes to know, in order his theoretical knowledge." ( Attitudes and tot.--acha solution,is how certain governmental Voting Behavior: The 1961 Term of the United officials- judges and others-will behave when con- Stlies Supreme C u" in Hans W. Baade, op. cit, fronted by the given situation. Ile, as much as the p. 142.) physical scientist,is therefore engaged in trying to prophesyfuturephysical vents.In place of the Even among those who fueiuev nat p :-diction a behavior of electrons, atoms or planets, he has to majorpartof jurisprudentialieT.oy,then,we deal with that of human beings.If he wishes to important disagreements based on ecitflicting notions of make a reasonably accurate prediction,it becomes scientific procedures. Controversies of the type we have necessary for him to examine into the past behavior discussed probably will perpetuate themselves for a long of certain human beings-judges and similar offi- tinietocome,in :cwofthedisagreementsabout cials-in like or similar situations-and itis on the proceduresofinquiryandthewidespreadsemantie basis of such study that he makes his prediction." eonfusion in the field. JURISPRUDENCE 85 6. TERMINOLOGICAL PROBLEMS Many terminological disagreements_ are closely_ related to fundamental_ disagreements about basic procedures of Strong criticisms of the terminology used both by inquiry, as is illustrated by the diverse applications of the legal_ practitioners and by jurisprudential metbodologists name "law," Something of the range of applicatior is can be found. For c.sample, in the 1920's, Walter W. suggested by the following quotations: Cook said: defined as folk ws: The 'One functi n of jur is .nee...is to examine sum total tue rules of conduct laid down, or at criticallythetermsusetIi thelawyer's state- leastconsecrated,bycivilsociety,underthe ments ofhisrulesand principles,and the sanctionof public compulsion,with a viewto conceptsforwhichthesetermsstand.... The realizing in the relationships between men a_certain first thing that strikes one isthat down to date orderthe order postulated hy the end of the civil the members of the ,legal profession have inthe society, and by the maintenance of the civil society main, bothinEngland andinAmerica, refused as an instrument devoted to that end." (Jean Dabin, to make such a critical exarninstico. The second General Theory of Law,in Kurt Wilk, trans.,The is,thatwriters on jurisprudence,ctio have done Legal Philosophies Of Lash, Radbruch and Dabin, SO havefailedtoexercise rued. toquence upon Cambridge, Harvard University Press, 1950, p. 234.) the bench and bar. Whatever the reason, we find such words as law,"rigi41,' `duty,' and so "Law is a body of ideal principles and precepts forth,used bythelegalprofessiongenerally for the adjustment of the relations of human beings without a real attempt to discover what is meant and the ordering of the conduct in society. Law by them." (Cook,op. cit.,p. 338.) seeks to guide decisions as laws seek to constrain action." (Pound,Law Finding Through Experience Inthe1940's, LeeLocvingercriticizedtheun- and Reason,p. 1.) productive circularity of legal "definitions": "The prophecies of what the courts will do in "f:segalthinking] proceeds like a dancing fact, and nothing more pretentious, are what I mean mouse chasing its own tail,moving rapidly and by the law." (Oliver Wendell Holmes, "The Path of gracefullyhutstayingonthe samespotno the Law,"Harvard Law Review, VoLX, 1897, p. matter howrapidlyitmoves. F.example, a 461.) contract is definedinlaw as enforceable promiseoragreement.But whet. Ole question "[The experimental jurist takes law ] sin plyas a arisf.s whether a particular promise is enforceable, man-made set of rules or_ controls which earl be itcan be determined only by deciding whether changed to conform to the dictates of scientific or notthat promiseis acontract. One oftl discoveries.He...concentrates...upon how it and leading legalencyclopedias defines a contract az the institutions surrounding itfunction." (Beutel, 'anagreement whichcreatesanobli;ation:It Some Potentialities of Experimental Jurisprudence then proceeds to explain that `the existence of asa New Branch of Social Science, pp. 16-17.) such an oblioation is essonfial to the existerwe of a contract,' anZ further clarifies the matter by saying 'Justice'also has been applied to a wide raoge of that the obligation &rises from the agreement its, a phenomena, manyofthediscussionsarebased on 'duty imposed by law.' ...The mental process is the confliethg philosophical points of view. (Fora recent same for practically all legal definitions. The pattern sample of ouch phi Isssophical analyses, see "Symposium: of legal thinking is be merry-go-round. 'A contract ATheory of Justiceby -John Rawls,"The Journal of ,s an enforceable promise; a promise is enforceable Philosophy,Vol. LXIX, 1972.) if itis a contract. 'Property is the right to exclude "Crime" also has Leen applied in diverseways, ranging °tilers from the use of a thing; you can exclude from "definitions" based on mord, social, and theological others from theuse of athingifitis your conectures to statements the "crin:c" simply designates property.' 'Negligence is doing something a reason- behavior proluAted by a legal code. Much thesame able es-in would not do; a reasontsole man is one variation is found for other widely.used labels claimed to who is not negligent.' So runs the wisdom of the represent key notions in jurisprudence. law." (The Law of Free Enterprise,New York, Even when one moves away from_ the views thstaro Funk & Wagnalls, 1949, pp. 88-89.) overtly metaphysical or theological and considers allegedly behavioral inquiries in jurisprudence, terminologicalprob- Later Loevinger noted the many conflicting applica- lemsaboundmany stemming from the use of procedures tions of some of the leading names used in discussions of of the type calledsellactionalorinteractionalin Chapter the procedures of legal inquiry: I. For a discussion of such topics, see Section 6 in the Chapters on Sociology, Political Science, and Psychology. "The teress 'science' and law' have both been used for so long by so many writers with such a 7. COMMENT ASO EVALUATION variety of meanings, clear and uncleas-, that one who aspires to clarity or rigor of thought or expression A high degree of confusion prevails amongsome writers might wdl hesitate to use either one.... Exhaustive onjurisprudenceabouttheproceduresofscientific reading is not required to establish that thereis inquiry. 'Those trained as lawyers often have outmodsdor neitheran authoritative nor agenerally agreed :nadequate notions about science, although perhaps that definitionfor of the terms'jurisprudence,' situationisimproving. The recent behavioral scientists 'science,' or law.'' ("Jurimetrics: The Methodology who write on jurisprudence frequentlyare enamored of Legal Inquiry," p. 5.) elaborateformalmodels;theiractualprocedures are MiCr 1:H:00 RENTAPPRAISAL miattetitot.s remarkably similartothe obb,r pinlowide Llewellyn. 11 Language 1Ph000lory," in Minnis, op.cit.,p. 2. OTHER. DESCIUMONS Oh 'FIIE FIELD 37,)

as prinEu'ilY 1.VETHODS AND 'TYPES OE INQUIRY

into the structure of a language as 11 SVSten1 rather than on the uses of language initdju-Liibibs vior. Humanists, grammarians, awlpialolog'sts have truth- John B. Carroll, for example, says: tionalir dealt sith thc study of language. Lingaistics as a scienee is a relatively new and small field.In the United 'Linguistic scientists arc engagediiitit:v.:loping a SUL+, dem.riptive iinguistiez., has deve!oped mainly since sound body of scientific observations,facts, and thefirst part of this century, stimulated by the work of systematic theoryabout languageinAimeral and ham iloas and EdwardSapir on American!infirm about languages in pa dicular..... But it must not be languages. The ;4:overniai itsponsored training programs in thought that linguisti,is concerned with all phases foreigii Illy:nages during the World War 11 period helped of human communica,ion. Instead,itnarrowsut advance linguistic science ill the United States. atfontion to the study of languages conceived as -Natural wience" prsw Aw- es, of inquiry were stronglf' what may be called'linguistic codes.' A linguistic emphasized recen tiv ,wheu mentalistically-oriented code may be regarded as a system of distima ilound proceduresInmarne symbols underlying the manifest :Teeth behavior ii defense of behaviorisf- metliods and his insistence that theindividuals comprisiag a- community." linguistsavoid"meaang" asnotcapableoftieing The Studyof,,angiuzge, Canthririge,Ilarvard investigated in an oh,ective and precise way was highly n.rsity Press, 1953, p. 2.) influential for many years, but his general point of view has come under strongattack. (Leonard Bloomfield, And Roger Brown says: Language, New York, (loll,l9:1)1.) We wil consi&r first the nonmentalistic, "natural science" phase of linguistics, 'Linguistics aims at providing concepts_ that will and then move to dm "revolution" associated with the serve to describe alllanguages and which can be work of Noam Chemsky, usedtocontrastlanguagesinregardto sound NIurb work in linguitie9 orripha4zed spoken languages. system(phonology), rulesforwordformation LH. Sturtevant, for exarryle, says: (morphology),and mksfor _word combination (syntax)." (Words and Things, Glencoe, Free Preo, "Alanguageis a system of arbitraryvocal 1958, p. 29 ) symbolsLy which members of a socialgroup iampert,ie and interact.... The word nom( stands in Some writers emphasize the vies of languageis also thedefinitiontoexcludethe human activities being part of linguistics. R.11. Robbins, for example, says: denotedbythephrases gestureLanguage,sign language,writtenlanguage,etc.Allof thcse are 'Linguisticsis quite simply the scientific study of important activities and proper suLjs:ets -if investiga- human languageinallits manifestations and uses, tion, and besides they have obvious connections near and far, present and past, without restriction with audible speech. The only reason for excluding ontime,place,orcid tare.The.astudentof thsrn from our definition is convenience; tbey are linguistics studies languages, his own and foreir hrund not to behave inthe same way as audible languages, as examples of mankind's facultyof language, and so they cannot conveniently to he lanwuage,to learn more about thc way language treat( dscientificallyatthesame time."(A n works and how itmay best bedescribed and Introduction to Linguistic Science- NIcsv Haven, Yak analysed." ("The Structure of Langnage," in Noel University Press, 1947, pp. 2-3.) Minnis, ed., Linguistics ot Law, New York, Viking, 1971, p. 15.) One reason for the emphasis on vocal language is that nnie of the veryearly achievements (such as Grimm's The role of language in human cooperation may be Law in the nineteenth century) concerned regular shifts in stressed. Bernard Bloch and George L. Trager describi: souud from theProttylndo-EuropeuntotheProw- *Seethe Chapter on Anthropology, whyre linguistics alsois Germanic languages (e.g,theoriginal consoaantIin discussed. classical Latin changes tolhin Germanic; the th in the

37

98 A CURRIATAPPRALS,

l'auglish three corresponds to the tIii the Latin tros). The composhizin c1f suitntis,whin hipreviously' ordorly, characterofswim]4tift, whielsoccurred either was not stainable or could :earrived at independently of grammatical forntions and "meaniogs, only throtightir-consuming ealetilalons. Another imprissed many, observers. device,th e pattern playback, allows us to convert \Loy other obse.yedregularitiescanle!described visible patterns in:o sound and snakes it possible to uaefully interms Of theirformalfunctions or othet evalnatethecontributionof variousfeaturesirs :-ilitilariticsand differences within a iraignage, without kingsoendrecognizablearidullderstaDdlhIc. regard to the specific "meanings" involved (i.e., what the ay sound motion pieusres of the human vocal signs, or names, are applies' to) or the categories used tractpermit us to investigate in great ch tailthe coin-cntiimal grammar. Variotis language forms are forma tioa of the sound and to subject this event to Tonpecl together because of their structural similarities sioiogical,physical, and psychological study." within a language;e.g.,inEnglish man raldboy arc Cohn Lutz, "Linguistics: Symbois Make Han," in classedit igether because one can be substituted for the Lynn While, Jr.,Fr(1ntiers of Knoztletkeinthe odor tovicld an jitterantir th at isgramma tically Study of ilan, New York, Harper, 19:56. p. 218.) permissible according to the rulcs of English, not because cifttirr sps "meanings" or bec;iuse they are boils Rather than viewing letter,: and words asthebasic noirss tr.sdUtional grammar Otir traditional grammatical element's from which lingnages are composed, linguists can,prics teTeCiallyif vis wed as reflecting universally have studied units such as the phoneme and Irl,rpherne. necessary categoriesofthought)donotfitmany As willbe discussedin ISection 6, sollh! &sags cc ma a tis languages. For example, the characteristic noun-adjective foundas towhat thosenamesdesignate,buttthe relation(in w aclject ivesdesignateq uakiesof following quotations illustrate the general way in which "sultstanes) found in ludo-European languagesis not they are used: foundinmany other languages(including Indian languages) that use an action verb-type rxpresitnrn ; 'A phoneme, then is cither a single speech sound "the leafis green" would Ise translated :Is sennething like or a group of similar speech sounds, whichit,a "theleaf greellti:'ro attempttouse cur verb and given language function in the same, . [A] adjertive categories for describing snch languages leads to phoneme isa minimum' unit of distinctive sound- a distorted andtaeificientgrammar.(For a brief feature." (SturtNant, op. eit., pp. 15-1(u.) discussion of suchmatters, see JOtieph I.Greenberg, 'Language and Linguistics,- in Bernard lierr Isom ed., The The morpheme is a unit reminiscent of the word Be havii,ra,!SciencesToday, New York,BasicBooks, but not to be identified with it any more closely 1963.) than the phoneme is to be identified with the letter Mow generally, many aspectof links-Et:rot)n Ian- of thealphabet. The morphemeisthe minimal guag-s are itt found in other tang( ages. semantic unit... . A plural form like dogs is not a gle morpheme word as it analyzes into the free ..nearlyall the structuralream' , rm dog and the bound form -s." (Brown, op. cit., languagewhich weareinclinedtoaeceps as pp. 50-51.) universalfeatures sneh as the actor-action sentence, the elaborate part-of-speecb system, or the special roorphemeisthe smallest clement with inflections of our nouns and verbsare peculiarities which meaning can be associated...An thefol- of the 'mks-European family of languages and are lowing examplc the morpheme divisions are indi- by no nueans universal in human speeeh." (Leonard cated by hyphens: The-eat-s-are-purr-ing..'(Lotz, op. Bloomfield,Linguistic 1spects of_Science, in cit., p. 218.) International Encyclopedia of Unified Science, Vol. 1, Part1,University of Chicago Press, 1939, P- Other presumed units, such as tagutemes and senzenes, '22 I. have also been different:ated; in general the principle used its much linguistic inquiry was to search for the smallest larugsiage often is viewed as a type of calculus in whioh unit of a particular type, and then to investigate the ways the structuring of the elements, the'patterning," is the in which those units were combined, much as physical focuS of atteation. There then canbe an indefinite scientists studied atoms (and later constituent parts of number of eakuli. having quite different structures and atoms) and their combinations. transformational rules; the objec five of linguistic inquiry Theachievementsoftheearlier("Blootnlieldian") isto describe the formal structure of the languages that phase of linguistics often were highly rated, and there are or have been used. In recent years, as we shall discuss semns to be no question hut that the structures of many later, many linguists have been concerned with possible languages were described usefully. In a number of ways, underlying ("deep") structures that are common to many however, dissatisfaction was expressed by observers both (orall),languages,andtherealsohave been many insideandoutside thefield. The range of language attempts to reinstate "meaning" as a proper concern of behavior investigated was narrow, the adjustive behavior linguists. of humans throughtheuse of language was largely To aidinthe study of formalstructures, linguists excluded, and in general the emphasis was on form or developedmanytechnicaldevices andtechniques of structure to the exclusion of the "functions" of languale inquiry.Complex mechanical aids were usedinthe The dissatisfaction was often expressed aa aneed _or analysis Ind description of sounds: linguists to investigate "meanings." Within linguistics, an iafluential change in procedures "Thc soundspectrographis a device which occurredinthe late1950's that involved an explicit transforms auditory into visual patients. Itreadily mentalism and a revival of the doctrice of innate ideas as and rapidly gives us information about the physical espoused by Descartes and Leibniz. Noarn Chomsky, for 9 9 1,11rG1 fISTICS

example, rilairi tinned that aiitii"rar n.. 'arch I stud wh), luorever, rltdifiill many of his stippo.rtS a theory ii psy , gii (1 )rion prir1 . pnleeduresniinquiry.'nue elulerativiselnan t eitiles that bears a striking resellthlaY-er to the iiirliuhiuigPaul Postal, John lhs,aloe, McCaw ley, aliii doet rit n!of in rla to ;e, irgc Georgel.akoff,rejectthesharpdivisiondrawn hy Miller says -Iroxvbelievethatmindissoaliething Gliamsky between .nyhtax andsemanties. They attempt to more Lila rtl -burns ti fume front meaning to surface structure Without invoking istandit is ourjobaspsy tsto deepstructures. In addition.,generativesemanticisk stikr!N. the (Clionisky.-ite,catt:iltrilnitionsto emphasize theoccurrenceut la ter-am:es w ith in au do Theoryoflneateldea. iiiItol.rt S. Cohen appropriate context; a grammar should include rides nal ;old\lane\N.\A'artotsky, inths. onlyfur properly formedsentences but for the setting

l'hilosorihyiifSCiPi. el k N s,'s oct 14)67, (e.g..ifil-rtan)csWherewe normallywouldprefacea I later, --Sumo Psycholooieal St nine of commandby"please," contrastedtooilier iumutiIi. llranunar:' ilL tA. takolmvio.s.tod eds., where a '0:init command would he given). Readings;iit!ioPsyclioffigyIf I (Ins', fap-e. 1lthough the deviation of his- sh,deut and other; fron hentier-11,11,19(ir,p. 5.11(11145k) s aerompeniedli much heated tle revival(ifmentalism in IlLgistir:e was a controvers1.the-nliels"sharehisgem,ralframeof rad jealchange;toryears s rejectiOn reference. ( :ornpai ed tomanyetudier hiiuguuists who /no,ta %I. as wnleh, aeeepteil I ingu ists a s emphasized the desirability of a close r)nmeetion between tirci's:Aar. forFri i tr Ilermird ribedthe seientifieconliedlires andtheevidence (sometimes ex- ear'.M.r situation follows, in his ilILari of pressed by hiwnis.:4astheneed fortheorizing to he 111noinfi data.based),thenewer group regardsitasusefulto -laborate highly speculative conjectures fatin advance of ig C;111111a ig Maki' a SCIonrc die evidence. The comments byratil Postal aboutapaper linguistics_ th chief enemy that Bloomfield met was. in whichlie attempted to derive sonic universallytrue that habit of thought which is cafied mentalism: the statementsconcerninglanguageonthebasisof a habit of appealircj to mind and vi I us read,-inadt- compari.mpriof 'Mohawk andimglish illustratethis clearly. eisplanations ofallpossibleprobleins.\lost men hiresponseto acritic who wondered about making higard tlds habit as obvious common sense; but in -universal statements on the basis of contrastive study of Bloomfield's viw, as in that of other scientists, it is (ally two languages,- Postal replied: meresuperstition,unfruitfulatbest and deadly- when carried over intoscientificresearch. ...I would be willing to pistulate univerAals (-Leonard Bkmmfield," Language, Vol. 25, 1949.) the brisis of an eve,n weaker study, namely of mic language.... There seems to be a strange idea that Clionisk:, argued, on 'Jowls!, such as die fundamentas oneshouldplayitsa reand claimaslittleas similaritybebelieves is fotind in thegrammatical 'shish:.What's wrong withbasingauniversal structure of all languages and the speed with wh'eh a iypothesis on twolanguages.Ifit-s wrong, then young childlearnstoconstructsentences,thatthe dozens of people will inutediately come forward ineiples of language must be innato rather than learned. and present the evidence. It is clear that the ideal of hesyntacticstructuresofalanguagearelogically studying, say, a hundred or two hundred languages generated in accordance with thc rules of a language. and and then stating hypotheses is whnirrful. The odds t-Le" decidc.., which combinations of sounds ire are that if one did that the hypotheses would be permissible grammatically. The task of liranists is to make much more correct. But unfortunately no one has explicit the rules that connect sound aad -meaning"' for been able to do that.I see nothing wrong with lli inCinite ',wisher of sentences that can be ratered basing hypotheses cm the small number of languages rgenerated") within a lana.euage- In carrying out that task, which it is possible to study at all by one person, the "deep struct.nre" (involving ineanirip) of the language andletting,those who have not studiedthose is investiAated asthe underlying bacls for the "'surface. languages, but have studied ether langnages, deter- structure(the words making up the spoken sentence). mine whether these hypotheses ate correctI see no Cbornskywasledto many of hisviews because possible flaw in that approach. It seems to me that aditionalstructurallinguistic inquirieslinddifficuIties it'sperfectly reasonable. Se I can't imagine why with syntactical problems- To illustrateh:7 an instance you objecttoit.- ("The Method of Universal often mentioned, the sentences John iieager to please (irammar,'" inPaulL. Garvin,ed., Method ono` Ail Johnitensy to please appear to have the same Theory fq !in!:;:isars,The Hague, !Mouton, 1970, p. structure,butare.vetydifferentsyntactically;the 130.) structuralist procedures encountereddifficultyinade- quately deserining such differences. In addition, syntac- Other points of view than those just discussed alsocan tically ambiguous sentences such as f like her cooking be found. Although the eailicr taxonomit, procedures of weretroublesomeforstructurallinguists.Lhornsky di: structural linguists, focusing ou "itenrand- believed such difficulties could be overeorne by a doctrine anangement, appear to be de-emphasized by most of the involving different deep strus tures that were concealed bi .ccent linguists,there are those wbo regard the revived similar or identicalsurfacestructures. (See Chomskys mentalism so prominent inthe field as fundamentall Language and :Iliad, New York. Harcourt, Brace 6: World, nonscientificand who wishtousethe"empirical 1968; Cartesian Linguistics, New York, Harper & Row, methods of the earlier scientificlinguists. Perhaps the 1966; Aspects of the Theory of Syntax-, Cambridge. chier representative of that point of view is Charles F. 'ALT. Press, 1965; and Syntactic Structures, The Hague, Hocken. (See his The State of the Art, The Hague, Mouton, 1957.) Nlouton,1968.) As inseveral other behavioralfields, Non long after Chomsky's ievolution, his views were those who most blatantly use mentalistic and dualistic severely criticized by other linguists (including sonic of proceduresarelikelytoinsistthattheyarebeing

100 tl.

scientific ;Indlicit criticismsilldour s stirdies of lIIiitItIti general, where eoniecturing often t:hopter I. I rellci arrotc done torinadvance of the Iteeentiv, as wi iess ,ielitlisc have noted; elaborate einijietiires about hamar] langoge helm% iiir hentilic prominentinthefield and also I.REsuursACHIEVEI love been influentialin several of the other lulu:vim-al sciencearras,Sonic01 those issueswillbe discussed Linguists hate doveloped usclul methods describing further in later sectionsathischttpit.r. and c, miparing the formal structures III laognazu-5 . changes Mulch work los helm done that links together coneerus structures, and t1IIIEIL!(III liiiIIlt laimmages. of linguists, and thitse of other beltrvioral seientisk, sum+ thetechniques of oupiir,used imnLIIId'emiled anthropeiugical linguistics (see Chapter (In .nthirepol- statementsof!hidings are highlv teelintol. Some ii,z-v). Psviliolinguistirs is an area As'itlia considerable low'4 ilidieatilia of the main areas in %%Inch linguists wort,is cif hirratlire, UM, emphasis has been on snub t °pies LOW provided I :,lrrlII -s elassifiention:11thongh others mould ehiheIreti acqune language, therelationofbehavior subdivide the field difforenthCarroll noted the following disorderstospeeeli behavior, duconnections between lev els Ifmah, Phinienc.s, the de Tiptionl sound- lIteltI trad.,aildlinguisticpatter ,s,and l'nthe iiiternir of articulatoryIr aroustie principles; Phoo studyofsupposeduniversaltea turesofthe human Ow classificationof soun(1s II torins of mini;nal mats -mind.- (SeeSalSaporta,ed., Psych ihrigur s les,New (phonemes); orph ology,tIn iiIiit fie:aimsofc:or 1 1: d t:Rinehart and Win don, I ()ft I ;110,ioT Brown, pliemes, :qui inquiry into their arrangements hi w...ois an I ed., Psveleol ingni.oics: Selected Papers, New ork, Free the morphemic changes that occur in different grammati, Press; 1972 and Jakobovits and Nliretli r)/1. elL) oaf contexts:.1Inrphophoner1lies, theinvestigationof EarlisT Nce[rkuui siwiolinguisties often n4lected thviews phonemil .variations that are found :Is morphemes occur of lieut.:min Whorl etnicerning Gm influence of lurugmiegl ! III ditlerent cuntevt,, and the constitution of :in :allure morphemes from phonemes; ,Sytiter.r, thc investigation of the vvays iii whieh sentences are built up from words; and backgroundlinguistic system(irtother Lox!. cograpilV.the seaz-ch for the complete lisfing of all tills, die grammar) of midi language is not merely the "meaningful- elements in a language.(( arroll, op. a reproducing instrumentforvoicingideasbat ea.. pp. 21-25.) Stated generally, liuguists have developed ratlicr is itselfthe shaper of ideas,tfic program and reasonably adequate deseriptams of a large number of the guide fortheindividuaLt mead, activity,for his world's languagos, altboagh tome languages have not been analysis of impressions,forhis synthesis Ids described and existing descriptions are subject to further mental stock intrade. FornitthiGoi of ideas is not correction and improvement, an independent process, strictlyiv tional in the old Structural liugnists have dexeloped basic procedures for sense,butispart of aparticular grammar and identifying phonemos and morphemes and fee describing differs, front slightly to greatly, as between different the Nound patterns of laaguage.:. To mention only one grammars. We dissect nature along lines loid down example,linguistshave foundthat thenumberof by our native languages, The categories and types phonemes in most langnages varies somewhere between 15 (hat we isolate from the world of phenomena we di) and 50, and that the phonemes in a given language may not find there because they stare every observer in be made lip of combinations of even fewer distinctive the face; on the contrary, the world is presented in phonological features, such as those of place and manner kaleidoseopic flux of impressions which has to be ofarticulation.Theabilitytocotitrolthevarious 4rganked by Cur milulsan agreement that holds configurations of the vootl tract involved in the language's throughout our speech community and is codified phonologicalformisan importantpart of learning a in the patterns of our language." The 'ethnology language. (See Robbins, op. ('it., pp. 2: -24.) NItich useful Review, Vol. 42, 1940, -,...231.) workhasalsobeen done im grammaticalst-uchirei pNritten and spoken) and on lexicons. Me..ererciutworkhastended tore- erseWhorf's The achievements of the structurallinguiL,tsiiitl eir en-II:oasis and toinvestigate die influences on lan,mage work on the formal structures of language (altho.:g!, of scwioculturalfactors,suchassocialstatusdffer- muchcriticize(! bysnme oftherecentlingiM ts) ences and socioculturalchanges. Sometimes languages frequently has been assessed highly. For example, inhe and societies are viewed as separate, interacting mid-1951.1's Clyde Kluekhohn described linguistics as the entities, but sometimes theyaro viewedatleast behavioral sciencefickl that had achieved results most partially inthe mannerwecalltransactional (se- nearly resembling those of the physical scientists, and he Chapter I).11ellIlytnes and John G tunperz particularly suggestd severalreasons forthe.success of linguistie have arguedagainstthemethodological separation of iiqiuir linunistic changes occur at a relatively slow rate, lanauageandsociety.(For workinthisarea, see and often'-thidata available are extensive; on "Indo- William Bright, (NI., Sociolinguist iC, '1 he Hague, European, Semitic, and Sino-Tibetan languages there are Mouton, 190; joshuaA. Fishman, ed., Readings in available st. runs of font to five thousand years.- t he Sociology of Language, The Hague, Mouton, 1968; Inquiry in some areas of human behavior can be. difficult DellIlymes,ed.,LanguageinCulture and Society, because the inquiry!nay seriously modify the behavior New York,Ilarper & Row, 19154; andJohnJ. being investigated, but formal language structures ar(' wit Cumperz, Langtiage inSocial Groups, Stanford, Stan, likelyto be se [acidified("Anthropol in James It. ford University Press, 1971.) Newman, ed, Seietlee. New ork, Simon 'rhofindings and conjectures of linguists have been Schuster. 1955, p. :141); pp. :34()-350.) usedin many areas, including the teaching of foreign Thetypeofagreeinentreachedbyinquirer in languages: theteachingofEnglish,theeducational descriptive linguistics (understood in terms tif the formal techniques used withchildrenhavingreadingcliff", struchtres descrilmd altov(')is far less common in other mattes,rindthe machine translation of languages, not areas. including historical or comparative linguistics and always with the hoped for results, rISTICS 91

5_ Cr/NUMMI 1IIY CONTROVERSY a"well-formed-sentence May (Pp'. Id I', Thatie,its, cr, as SV Oa(' faCtOrs toncalled Jane a litreemit earsthicontroversie, pocifist, and then SHE itou(icil UM is"Ivell-fimne(r. ;Anna For, doros === mtplintlttiiha.ebroil e( onlyit Tom oid Jane nord beiag called a pacifist as and sometimes are .:1-riedonintheper,onali tilt..i \ insulting), chara,ic.is;tmofmanypolemicsinphilosopliNand Another set of contrnvil,iics concerns I he acquisition of literary.criticism. languageht.'children, Nlany of the .etinger, -rationalist" Nlan,4 ti becontroversiesconcernthework linguists maintain that Ow basic structure of language is I:lion-14.Aand others t:Ininiskis sometimes innate and that only the details of the surface structure, regarded atl outstanding genii's who has revolutionized vary (rein language to language, have to be learned. dip tmtheother hand,Huber: ,Ir.. Theiv -empiricist" opponents tiuutLit :Ague that all parts tilaintaiio that the point of vivw docloped at Lorguage ansocial!. learned. \limy discussions of this set the field tit lirmuistics back 400 years. (.-In Essay Pn issne Me handicapped byuncertaintiesas to what,if Langua,-,c, Philadeli)-hia, Chilton, 1968, p, 11,9.) Chonisky -innate" designates.See Section6. (Vor a has liven jtrui iii'or reuniting elodern grammar and tin ili-,cussion of diis controversy, see 110:)ald XV. Langoeker, t r.u!it gra numit 4 past t rcx r Lingnage and its Strtucture, New York. Harcourt, liraer & regardsthat as similar to saving that -an .inthropolo,ri-st V)orld,1968; ibmira ;LIMElisabeth Ingram, eds., hail doe us the 'special ser%iet'' oreil nit ing Rinv III a Id tongtvw .1equiesition: Models otol 11cdt(obt.IN.:w York, the Hi (IN'illiarnNI, Austin,,-evit.%) utLolgu'sli" cildr Press, 1971.) 'friday.in I nzern.an .lathropologi.st.Vol. 1)70. p, There alsois eontrovers)over the sharp distinction 1150.) Clionisky and others make between compeionecatul main.asi .t of the eontrom-siesttulliljrur perforawnce. Competence is somewhat Platonic: itrefers fromdieworkofthetran.iforimitionalistsandthe to aperson's awareness (tacit or more consci(tus) of the FrLl seaatiticiAs is the fi :,o,froi. jetiCjIiLti iminir\ . iltles langua;;.-, independent of the soeial settingin isites, are often catcgoriv, suiqi a, which _language-n-ed, Performance refers to the actual rationalism vs.empiricism and deduction vs. inductii n. language inaparticular setting. Clioniskyhitulti Dwight ltolinger describes the disagreement as btliows: that we are born with the aptitude for acquiring the rides, and thatthis "(r.plains why children hmrn their native "[Mike those linguists whose main business is to languages so quicidv. ,Again we have the problem of what survev tiSage, who amass evidence _tual then attempt -innate"and"thowledge"designate.Some ofthe to sd. it in order inductively and formulate theories togurnents used have a pre-Darwinian character refunds- about it,the formalists take an early leap to their eent of old argunenits for God's existence on the basis ()I' hypotheses and then test them deductively against observed design in the world. For example, Chomsky says thedata."(1spectsof Language,NewYork, thatto "postulatt " an "unconscious knowledge of the Ilareourt, Brace & World, 1960,-p, 21(L) ridesof grammar"is"empirically justified"bythe usefulness of the postulate in "explaining" the "use and Sometimes the issue is posed in terms of a tliti It r Itt .))) understanding and acquisition of language," ("Linguistics betweenhypothetical-deductiveanddesc.wiptiveproce- mu! Philosophy,"inSidney Hook, ed,, Language and dures, with an elaborate conje.ltural apparatus or model Phihmophy, New York, New York University Press, 1969, being usd during the initial -itages of inquiry by those p,155.)If children were born with a knowledge of favoringthehypothetical-decoy tivemethod, but with WIlmnizir, that would ileCOIllit for their early acquisition conjectures erneOng only"as a result of successive of language, but also,if a Great Designer existed, that descriptive studies" in the other iiietlitttl. (Seo Niadeleine would account for observed regularities in the world; if NlatItiot, "Theory-Buildiug in the Descriptive Approaeh," birds knew innately the principles of aerodynamics, that Garyin,op.cit.,. especiallypp. _159-160.)Tlw would account for: their flying perforrnanee; and if tree participantsinthiscontrm,-ersygenerally support the [caves knew the regaisitephysics and mathematics to testing of conjectures; the differences relate to when the maximize their exposure to sunlight, that would account tc,iting is done in the course of inquiry. for the observed densities of leaves around a tree. Another controversy concerns the_general objectives of There arealsodisagreementsastowhether some i'nguictic inquiry. Some emphasize the _description of the languages are more "primitive" or less (kveloped than fortrtal structure of languages, while others emphasize the others. d'o; some time there was considerable agreement ii of languages in the processes of human cot-mimic& that all languages are equally developed in the sense that 01, 'Thisissuecuts across some of the controversies all can adjust to the formulation of whatever notions the knit_ procedures of inquiry. For example, in the 1940's language lasers wish to discuss: John Dewey and Arthur F. Bentley criticized severely the epistemological views shared by matty of the structural ,there can he no 'better"wt _e' language, linguists.Dewey_ andBentleyrejectedinteractional nomorehighlydevelcmedlanguage,nomore procedures. in which presumed ultimate and separable 'primitive' language, It is obvious that onc would be mats interact with each other, and protested strongly the bard put to find a vocabulary for inside plumbing in attempted sharpseparation of syntax, setnantic, and a culture that had no inside plumbing, Idlit once the pragmatics. (Knowing and the Known, Boston, Beacon blessings of modern technology art, diffused 10a Press, 1949, especially (Is.I and IV.) On the other hand, piople and integrated into the culture, we find no Pewey and Bentley supported the_ structural linguists' gaugethatcannotperfectlyadequatelytalk rijictiori of mentalism and the emphasis the5 placed on (rutthe new culturalacquisitions... Whatis _ a-based theory." The recent generative_ semanticists MI portant to(megroup is oftenconsidered accept Chomsky's mentalism and a otiovisia., li,et rej,wt his laughablytrivial inanother. The Australian separation of syntax and semantics. They maintain that 'aboriginal] language abounds in kinship terms, and syntactic structure is shaped by semantic factors; what is ve manage with a relative handful of imprecise and

102 A CURRENT PPRAISAL corillursollierains like 'cousin,'mirk,'brother-in- we usewords and short phras vIlich we have It 's Hot surprising that when European missiol . often used before, but we are constantly stringing working with the \ustrallans, they were them together into new combinations and perninta-

soon ask'ed luN the Abu uriurin lo or thex managed with .., Provided that you and I can speak 'the slid' a miserahlv drxelnpul language.- (Ileur) same language'_1 ean make an utterance which has -Linguistics,- in IBryson, ed., InOutline never been made before in the whok history of the .1 :v ['knowledge of I/itiIntIirii NVW York, world, and you willstill understand what I am t)f)0, pp. 319-350) saying." ("Language and Anthropology," in Minnis, ('p.cit.,p. 141.) \lorerecentlysomewritershare irgedthat some laniruagcs are evolutionarily more advanced than others. 6. TERNBNOLOGICAL PROBLEMS Brent Berlin,for example, notes thathinguages. having ,ink a few basic eolor names are spoken by peoples living T ht. relianceon"meaning, especially among the run a relatively primitive economic and teehnological level, rec., rit,"rationalistic"linguists,leadstoconsiderable while languages with a larger rotor lexicant are spoken in eon insion. Often the emphasis on "meaning" isa part of technologieolh, more advanced cultures. (".1 Universalist- the procedurewe calledself-artionalm Chapter 1; Folo tionarypproaellin Ethnographic Semantics," in -meanings'' are secretions, as it were, of a mind. At other tonFischer,rd..Current Ihrivtions in,1nthropology. times, as part of aninteractionalprocedure, "meanings" WAlington,D.C., ineriean A nthropologiu.al AssociaMul. :ireviewedasintermediate, connecting links between 1970, P.I 4.) Awl I tellI lynies has argued: words and things. To a considerable extent, the recent focus on -meanings"is areaction againsttheearlier wont to controvert two widely JCCiltt>iI views, behavioristic procedures used by linguists. 1Ve suggest that first,that all languages are functionally equivalent, both the earlier rejection ofmeanings" and the recent and s,eond, thatall languages are evolotionarily nit enshrinement of them reflect inadequate procedures of a par.I want to maintain that the role of speech is inquiry. The linguistic behaviorists, intheir desire to he not thisName in everysocietyandthatthe objective scientists, tended to exclude the characteristic differences eau bestlieunderstoodfrom an adjustmental behavior of humans through the use of signs; evrahltionary point of view; that we must under- while the "rationalists," in attempting to inquire into that stand speech habits as functionally varying in their behavior, adopted procedures that practically guarantee adaptation to particular social arid natural environ- failure. (See Section 7, Psychology Chapter.) ments, and recognize that there are ways in which -Theory" and "explanation,' especially when a theory some languages areevolutionarily more _advanced is said to explain observations and findings, lead to the than others." (-Functions of Speech: An Evolution- type of difficulty discussed in Section 6 of the Chapters arv Approach,- inF.C. Gruber, ed.,Anthropology on Psychology and Anthropology. Rather than repeat and Einentinn Philadelphia,Univ(rsity > uf Penn- those discussions, we will consider the matter here in sylvania Press, 1961 , p. 55.) connection with "innate." Supporters of "innatism" seem to differ as to just what itis that is innate. Sometimes, Somecontroversies to a consid (Tableex tentare apparently, only a "predisposition" to, or aptitude for, disagreements alunit terminology, but also involve dis- certain types of behaviorisintended; birds have the agreements about facts and methods. For example, several appropriatebiologicalstructureforflying,menfor eon flictingviews can be found abouttherangeof walking, etc. "Explaining" behavior in terms of innate behavior most usefully designated aslanguage.One point aptitude for that behavior does not seem useful; to say ofview emphasizescommunication and adoptsan that someone contributes heavily to charity because he Is evolutionary perspectivethatdoesnotassumethe benevolent hardly moves inquiry ahead. existence of absolute differences "in kind" among the At other times, however, innateknowledgeis stressed. varioustypesof communication.Perhapsthef idlest Chornsky appears to maintain that children have an innate statement of that point of view is by Dewey and Bentley. and unconscious knowledge of certain principles, such as Although they conclude that sign.behavior is character is- the"principleofthetransformationalcycle."That tically human andisfound almost exclusively among complex principle involves the way in which phonological humans,theyviewthatoehavior as evolvingfrom rules are applied in order to yield correct utterances in a subhuman modes of communication and as continuous language. According to Chomsky, children in all cultures with it. (Dewey and Bentley,op. cit.,especially Ch. V1.) and environments quickly learn to speak in accord with Others see share separations, reminiscent of the Aristote- that principle, which is explained by the child's possession lian notion of fixed species, rather than continuity. Often of innate knowledge of the principle. (Noarn Chomsky the issue is discussed in connection with "paralanguage" and Morris Halle,The Sound Pattern of English,Neu and"kinesics"(toncof voice.gestures, and bodily York, Harper & How, 1968, p. 43.) But again, such movements). According to William NI. Austin: "Cats and explanations do not seemtomove inquiry forward. dogs have paralanguage and we communiLate with them Because the planets move in a certain way does not imply inthatmodality,but language is an all-or-none thattheyknow,consciouslyorunconsciously,the proposition; there is no such thing as 'half' language. principles of'their motion; because young children can (Austin,op.cif.,p. 1151.) Sometimes the issue alsois produce an indefinite number of grammatically appro- dismissed in terms of what constitutes a "true" language. priate utterances does not imply that they know what the Edmund Leach, for example, says: rules are. Obscurantism, rather than clarification, seems to be the major result of invoking "innate knowledge. "With true language, once we have anted the 'fuming now to terminological problems specific to grammatical and phonological rules... ,each indi- linguistics,there have been some problems with both vidualis e4able of making an indefinitely large "phoneme" and "morpheme." The following are repre- number oi hrand-new utterances... . When we falk sentative statements of what "phoneme" designates: I, IN CI IIS TICS tEl "A phoneme is the sumf those sound features the results achieve I, followed by or prtwedurcs of which are distinctive." (I,otz, op. nit.p. 220.) inquirythatin m;:ny respects are medieval. We suggest that the interactional procedures so prominently used by grammatival abstraction to designate a class of the linguists. inthe1950's had serious limitations, even equWalenee of minimum sperelesound." (Joshua for the deseription of the formal structures of languages. 11liatntough, Lu i:giu' I lodorn.)vnthrxis, New Unfortunately, the eritit's of the procedures used in the Ytwk, Mentor, 1956, p. 233.) 195IEs regressedto self-m.6(mill procedures, rather than moving forward io transaetional procedures. Gleason, .1r., gives three (lit blew -definitions As we have noted, many of the earlier linguists took Newtonian physical inquiry as their model. They searched (a)-theminimum'feature 1 the exprosion for ultimate, unanalyzable, 'linguistic atoms," which were 5y6tem of a spoken language by which one thing then brought together in rneehaniral interaction. Just as that may ht. saidis distinguished from any other Newtonian physies was successful within a certain range, thing which might have twen said.- so the structural linguisis were successful; hitt just as the (b)the ofsoundswhich:(1) rr Newtonian procedures failed for other proldems, so did phonetically similar ;uni (2) Aow certain'iiarartrr- the procedures used livthe structural linguists. istit cpatterns of distributioninthe languageor We do not intend to minimize the achievements gained dialect under consideration." throughtheuseofinteractionalprocedures,I Iseful (e)-one elementinthe sound system of a descriptions of many of the worhrs languages, especially language ha ing a characteristie set of interrelation- the-crystallized"speetsinvolvedinencodingand shipswitheachofdie other elementsinthat decoding,resulted.Ootheotherhand,theresults system. eoncerning language structure were not particularly useful for inquiry into the adjustive behavior of humans through Ile then goes on t -nese three definitions.. .are theuse of language,whichmain,workersinmany eomplcinentary. No one of them (rives a fullpicture ef different fields deemed important. (To mention only two thenatureorsignif Wane.. If thephoneme. (Itt examples, Arthur F. Bentley' discussed the importance of In trOdUntiMI to Descriptive Ling! New York, Holt, developing ;1 "general theory of lauguage- in his Inquiry 1955, pp. 16, 162, 16R-1690 into Inquiries, Boston, licacon Press, 1954, Ch. 1:1; and JAI, Kantor advocated a scientific inquiry into lannage lenderson savs; uses that would not view language as -motor action eNpressing psychic processes called thoughts" in his The "Phonemes themselves arebestthought ofas Logic of llodern Scien('e, Principia Press, abstract units which are realized as speech-sounds in 1953, pp. 265-267, 302.) In addition, difficulties emerged utteranees, The term 'phonemeis not a synonym eVell within the inquiriesintoformalstructures; for 'speech-sound,' thoughitis sometimes nsed ;is phonemes,for example,didnotbehaveasultimate such by laymen." (Heodersou, up. p. -12.) "atoms" were expected to behave. I )1 particularsignificance istheattemptedsharp The variations inthe statements of what -phoneme- separationof signs,sign-users,andwhat issignified. designates result from attempts to make the descriptions Ratherthaninquiringin to theentiresign-process of what is involved more consistent and coherent, Some transaction as ongoing behavior, most linguists of both of the difficulties encountered appear to stern from the the older and newea. points of view assumed that two assumption that phonemes are ultimate units. Recently separate realities are somehow brought together by a third there has been a tendency not to view phonemes as the entity. To illustrate, the editors of a recently established smallest, "uusplittable" phonological units, and to search journal, Serniotira, say in the material released about their for components within phonemes. (See llenderson, op. journal: cit., pp. 46ff.) Although there 16 considerable agreement among litiguists -A sign, by all accounts, from Stoic philosophy as to what the morphemes of a given language are, sta term. ids tocontemporarythinking, is eonceivedasa as to what "morpheme.' designates are not always clear or necessarycouplingbetweentwinmoieties:the mutually consistent. Often morphemes are said to be the signifier, a perceptible impac t iiii at least one of the smallest units of a language that have meaning. This involves sense organs of the interpreter, and the content one inallthe prthlems of the '`ineanirn, of meaning.- signified. This twofold structure of perceptible and Probably to avoid such problems, I I.E. Smithr'says: -the tenn intelligibleistheindispi-usablecriterionforthe `morpheme designates a class of related, recurring events..' division of signs into such types as signal, symptom, (Op. cit., p. 362.) Perhaps the similarity among the members icon,index, symbol. emblem, and name, which of the class can best be described in terms of the significance constituteaprincipalfocus of current semiotic the morphemes have for the users of a language. For example, researches.- pluralness as represented by a and the continuing process represented by ing are signifivant to users of English. As The harmful consequences of such separations were aspects and pliases of things and events are differentiated, analyzed in detail by Dewey and Bentley in knowing lord tlwy are designated hy morphemes and combinations of the known. (>f immediate interest is their statement (in morphemes. 1919) of what happens when au Aristotelian procedure emphasizing nth's,definitions,fixedcategories,ete.,is 7. COMNIENT AND EVALUATION followed: sarong comuntinent to presumed scientific proce- -All theoriesif linguistics,at least with a rare dures characterized the field of linguistics for some time, -ption or two, make their developments altung but more recently great dissatisfaction developed about lin eS.I n the ruginn rhararterization the

104 'T -1IS I/. view arises thati naming occurs there nun4 lie a ArchilialdA.,ed,, Linguistics Today, New Y4 rk, 'some rine'todiethe naming; that such a *some Basic Books, 1969. one' must be a dist inetn ehind of creature,far Burkett, CharlesE.. The State of theIrt, The Hague, superior to the Miser' ed worlda creature such as a 1Iou ton. 19611. 'mind' or personified'ardor.: and tha tfor such a Byrnes, Hell, ed., Language In Callon. and Socutv, New 'some one' to Oyu a name to "am thing,' a "rear ork, Harper bow, 1961, thing or 'essenee' vist s(mucw ;wry apart and .lakohnvits,I..A., and Minot, cds Readings in the separate from the naming procedure so as to get P.sschohtgy of Language., Vuglewood Cliffs, Prentice. itselfnamed... Alien as thisisfrommodern Ilan. 1967. scientificpractice,it is,tut vrtheless,the present \ limns. Noel, ed., Linguistics at huge, New York, Viking, basis of most linguistic and logical theory and of 1971. what is called'the philosophyorscience.' Sapir. ['Alward, Language: Introductom to the Shay (knotg and the knoun, pp.I 59-100.) of'Speech, New York, II arcomt,lirace, I 921 (paperback edithm, 1957). The extreme mentalism foiledcnrreut linguistic inquiry Sturtevant,EdgarIL, /111 introductiontoLinguistic (possibly even more extreme dein that described by Dewc:, Science, New Haven, Yale University Press, 194.7. and Bentley in 1919) perhaps N4 ill impede inquiry as much as 11 merman. ,lohn T., Perspectives inLinguistics, 2nd cd., mentalism bas impeded inquiry in the past. What we believe is Chirago, University of Chicago Press, 1970. required for progress is not a return to the interactional procedures typical of the curlier structural linguis'.s, but an 9. GERMANE JOURNALS advance to trarma etional pnicedtireS. (For a further dis- cussion of those procedn res., see he A ppendiv) ANIERICAN ANTHROPOLOGIST ANTHROPOLOGICAL LINGUISTICS a SELECTED RIBLIOG RAPTI Y COGNITION CURRENT ANTHROPOLOGY Bloch,Bernard,andTrager,George Outlier('of FOU1NDATIONS OF LANGUA Linguistic Analysis, !annuity, Linguisti or GENERAL LINGuisTics Anterica, 1942, INTERNATIONAL JOURNAL OF AMER IC, Bloomfield, Leonard, Langave, New l'ark,lolt, 1933. LINGUISTICS Brown,Roger,ed.,Psycholinguisties: Selected Painys, JOURNAL OE THE ACOUSTICAL SOCIETY IF New York, Free Press, 1972. ANIERICA (]arroll, John Tlw Study of La ng 1W, Cambridge. JOURNAL OE LINGUISTICS Harvard University Press, 1953. .IOURNAI. OF PSYCHOLING UIST 'USE/ RI I I Chafe,Wallace Meaning and theStructureof IANGLIAGE Language, Ode ago,Ilniversityof ChicagoPre IANGLIAGE SCIENCES 1970. LINGUA Chomsky, Noarn,Languageand Newlurk, LLNGUISTIC INQUIRY Iarcourt, Brace World, 1963. LINGUISTICS , CartesianLinguistics,New York, Harper AIODERN LANGUAGE JOURN Row, 1966. PSYCHOLOGICAL BULLETIN Gel in, Paul L., ed., llethod and Theory in Linguistics, PSYCHOLOGICAL RECORD The Ilagne, Mouton, 1970. PSYCHOLOGICAL REVIEW Gumperz, John J., Language in Social Groups, d, QUARTERLY JOURNAL OF SPEECH Stanford University Press, 1971. SEMIOTICA Hall, Robert A., Jr., An Essay on Language, PhiladelpLia, SOUTI1WESTERN JOURNAL OF ANTI LOGY Chilton, 1908- STIDIES IN LINGUISTICS Barris, Zellig S., Sir:alum( LinguisticsChicago, Univer- SYNTI1ESE sity of Chicago Press, 1951. WORD

10:3 TE ON THE NEWER FIELDS

TIIV sulqeet matters of the older behavioral fields ( iittlittiitig game thety). (Anatol Rapoport and William .. as eonventionally differentiated often overlap, and Horvath, "Thoughts on Organization Theory," reprinted many inquiries are conductedacrossdiseiplinary in Walter Buckley, edi, Modern Systems Research for the lines.lnrecentyears considerable attentionhas hem] Ikhavioral Scientist, Chicago, Aldine, 1968, p, 75.) giventothedevelopmentofformalmodelsthat The common theme in the fields wc discussisthe supposedly can be applied to problcin areas in many or development offornial motlels (usually highly ma Lii e- allof the older behavioralfields, and often claims are Till t i cal)in which "solutions" can be derived rigorous:, ; made that even widrr applications are possible. Although odels that are believed to be so representative of the much of the basic work in game and decision theories, for problems of men-in-societythat the solutions derived example, was done by economists who believed that they from the mod,_il apply to those problems. We conclude, had found new applkations for mathematical proredures, however, that dieallegedconformances often tio not hold that work often has been regarded as having CO I IS iderable and that highly exaggerated claims for the applications significativeforpsychology,sociology,anthropology, have beim made. olitieal scieme, international relations, and other fields . Considering the prisoner's dilemma game will illustrate orkinin.,..mationtheoryandcyberneticsoften our criticisms. In recent years this aspect of game theory originatedillengineering contexts, but bas been applied has received much attention (see,for example, Anatol to many behavioral sciencefields.Nluch of the initial Itamiort and Albert NI. Chammalt, l'risoner s Dilemma, work inireneral systems theory was done by biologists; Ann Arbor, t Iniversity of Nliehigan Press,1970). Often but,as'tilename suggests,the objective was tofitid fam-eaching eonseqeences are drawn for the probleMS of assertions that are warranted ftw any system whatever. nationalandinternationalpolicy,aswellasforthe Classification of the newer fields and weir relations to guidance of individuals. each otherisdifficult.For example, some writers on Without implying that his discussion is typical of most general systems regard that fieldasparalleling or even work onthis game, we criticizein some detailthe encompassing the other fields discussed in the latter part discussion of the influential economist, Paul A. Samuelson of this book. (Ludwig von liertalatiffy, "General Systems (all references are to pp, 482-483 of his Economics, 8th TheoryA Critical Review," General Systems,Vol.VII, ed New York, Nle( 3raw-Hill, 1970), He begins the section 1962; Kenneth Ihmiding, "General Systems TheoryThe entitled "Prisoner's dilemma and love" by saying: "Came Skeleton of Science," Management Science, Vol 2, 1956.) theory can throw light on one of the great needs of our Game and decision theories have many similarities, such agethe need for altruism." lie concludes his discussion as emphasis on rational behavior and maximizing utilities; by saying: 'Thus, game theory does point up the need consequently we have considered both fields in a single for brotherhood and common rules of the road." Ile chapter. We focus our attention there primarily on the further saysthat althoughin one type of economic development of formal models, although not all work on situation (a perfectly competitive market), "the maximum gamesanddecisionsisformalistic.Injurisprudence, of welkbeing" doesresultfrom "the motivation of politicalscience, and other areas,for example, many selfishness," such a residt "is a lucky accident," which the inquiriesintodecisions do not rely on mathematical "logic"oftheprisoner'sdilemmagameprovesis models of the type discussed here. Although some work "unlikely to be realized in other social situations." in information theory is far removed from sonic work in Inshowing how gametheoryeauleadtosuch cybernetics,therealsoare numerous connections. The far-reaching results, Samuelson describes a hypothetical notion of quantity of information, for example, often is situationin whichtwocriminalsareapprehended emphasized in cybernetics. We therefore also discuss both committing a joint crime. The District Attorney inter- of those fields in a single chapter. views each prisoner separately, and informs each one that Otherfields or labels could have been selected for he has enough evidence to insure that both will get a discussion in the latter part of this book than those we 1-year prison sentence if neither confesles; that if both didselect.For example, much workin organization confess,eachwillgeta5-year sentence; butif one theory is believed to have applications across many of the confesses and the other does not, the person confessing traditional fields and resembles the work we discuss. To willget a 3-month sentence and the other will get a illustrate, one commentary lists the following as supplying 10-yearsentence.EMI prisonerhastoweighthe the "theoretical underpinnings or organization theog in possibilities of what the other prisoner will do. If each general":cybernetics(includinginformationtheory), separately chooses the decision that eimid lead to the topology (including network theory), and decision theory least possible (3-month) sentence, both will ,onfess and *Inthe first edition of thisbook,separate chapters were devoted therefore each will receive a 5-year sentence, Their joint to Game Theory,Decision Theory,Linguistics,Infonnalion self-interest will be served best if neither confesses; both Theory, Cybernetics, Sign-Ltehavior, Value Inquiry, and Ceu, ral will get a I-year tenn (worse than the possible arnonth Systems Theory.For reasons given above, Game andDecision sentence, but the best "common state-'; e.g., sentences Theoryhave been combinedin one chapter, ashaveInformation totalling 2 years, compared to sentences totalling 10 years Theoryand Cybernetics. Thechapte,- On LingtOSties haSbeen moved tothe earlier partofthebook.A elextended discussion of and 10 years, 3 months). sign-behavior in Chapter Iand the Appendix (as well as briefer Samuelson constructs a "payoffmatrix" showingthe comments in other chapters) replaces tTe separate chapter on that "utilities" as assumed, and says the folltiwingt topic. So much of the chapteron 'ialue Inquiry in thefirst edition was devoted to traditional speculative materials thatwe haveeliminated the chapter, but some work on values is discussed "Note thatselfishnessleads inevitably to long elsewhere inthis edition. prisonterms-5years... Onlybyaltruismor 95 social agreement (inthis casecollusion) canthe should have to know thatthe payoffs arc orderedin hO'stef`jill t11011StatV Of the worldI l-year sentences thesamewaytheywerefortheprisoners, as is for each Inrealized. indieated by the second sentence within parentheses in "To see the need for altruism- or failing that, foi do. long quotationri liii amuelson. To saythat such collective decision making-apply the payoff a payoff ordering exists seems highly dogmatic; much matrix totheairpollution problm. (Replace of the controversy aboutairpollutionlegislation not-ronfessbynot-pollute, , etc, And assume roncerns disagreements abouttherelativeimportance Mat when I pollute and 011 do not desist from ofsome particular levelIIIair cleanliness andother polluting, I will he somewhat worse tiff ifIalone considerations. decide to desist.) Then the same logic...proves that \loregenerally',whatever force SanthelsinCs example individualisticpursuitofself-interest leads to hasinlargepartstemsfrom a procedureinwhich everyone breathing the same foul and polluted air aspects or phases of a transaction are reified as that shortens life expectancies," separate and interaeting reals": then the "logic" leads "inevitahly"to theconclusion.However,whenthe For this "lc "prove- the conclusion, the payoffs transactiims are deserilied as they occur, the conclusion must he order( Ias inthe original example, and they losesits"inevitability- andthe "logic" may have no must he known.ThatnlatiV actual social simations are pertinenve. characterized by such ordered and known payoffs seems Samuelson'scommentsongame theoryandthe doubtful; the set of cireumstances aStillilled in the original prisoner's dilemma are more careless than those of many example does not appear to be typical of the alternatives defenders of this type of 'mt d. and therefore giving as District Nuorneys iietually offer to prisoners, and neglects mueli space as we have to Samuelson may seeni unwise. the role of judges and Juries in sentemeing. Moreover, the I lowever, the ease withwhichsuch a prominent liest common state of the world- is commononly to the mumonii.st can slideuncritically from conclusions that two prisoners, notto others who may be involved and hold widlin a model (that itself is unlike actual situation's) who may bave different "utilities' (such as the victims of to far-reaebing conclusions about "the human condition" the crime. and perhaps the District Attorney, who may webelieve,worthpointing out.Moreover, what regard longer senten(esaspreferable). 'file motivation Samuelson does here unguardedlyis doneina more ascribed to the prisoners seems as selfish as the motives complex and o'oscure manner by others. :::minuelson discussed imdier in connection with a perfectly Some readers may feel that the criticisms offered in the competitivemarket;thedifference is notbetween following chapters onthe newer behavioral areasare altruism and selfishness, but between different ways of unduly harsh and that encouragement rather than negative achievingselfishgoals(i.e.,independently or through criticism isappropriate.However,so many grandiose )ollusion). Indeed, to derive "brotherhood," "altruism," claims ive been nude for the achievements in these "the best rommon state," etc., from circumstances in areas, including comparisons to Einstein's general theory which two criminals collude so asto get the shortest -frelativityandto Newton's work,that outspoken sentencestheycanreflectsmuchthe same general criticism seems required. The intense desire to accelerate procedure as the economic views Samuelson criticized as progressinthebehavioralsciences,tofurtherinter. inapplicableto many social situations;i.e., an optimal disciplinary cooperation, and tounify various areas of social state is derived from the pursuit of self-interest. inquir apparently leads many to overestimate seriously Nloreowr, for the "logic" to apply to air pollution, we what has been accomplished. X GAME AND DECISION THEORY'

1. WORKING DESCRIPTION OF THE FIELD John Vol and Oskar Nlorgenst rilstii ted airn: GAME theorists attemptto describe in mathematical i- y nib olsthemost advantageous strategiesfor ..we wishtofindthe mathematically com- "rational" participants in situations suchas manv pleteprincipleswhichdefine'rationalbehavior' parlor games, economic transactions, political contests, in- for the participants inasocial economy, audIII ternational relation problems, etc., in which the partici- derivefrom themthe generalcharacteristics of pants either may compete or coiqwrate. "Rational' desig,- that behavior.... For economic and social nates different things in different game theory eontexts; priAlentsthe games fulfillor shouldfulfillthe oftenit isapplied as a short name for maximizing one's same funct ion wli vin-ions geome trico. gains or minimizing one's losses. rita thenratical modelshave successfully performed Implirers into derision-making investigate those aspects the physical sciences. Such models are theoret- of human behavior involviug choices among alternatives. ical constructs with a precise, exhausi:ve and not Attempts are made to develop criteria for measurine the toncomplicateddefinition;and Hwyiii tis be relative importarup of the objectives to be achieved aribd the similartorealityinthoserespectswhich dee probable effectiveness of alternative ways of aehieving the essllitialintheinvestigationat hand," (Theory desired objective. of(iarvesandEconomic Behavior, 3rdcd,, As ill other new fields, terminology is unsettled. I teeision l;r1i,t3u2it-:t)oli, Princet o nUniversity Press, 1953, theory sometimes is viewed as encompassing game theory; Pfh work done under other labels (e.g., linear programming) often is viewed as part of decision theory; and bothgame The fieldof decision theory sometimes lescribed and decision theory are sometimes considered asparts of very broadly, Sidney Schoeffler, for example, _ general systems theory. "General decision theory is concerned with the 2, OTHER DESCRIPTIONS OF TFIE FIELD solution of the basic problem of how to decide upon the best course of action in any given set of According to Anatol Rapoport: specific circumstances." (The Failures of Economics, Cambridge, Harvard University Press, 1955, p 159. "Came theory is an attempt to bring within the fold of rigorous deductive method those aspects of According to Irwin Bross: human behavior in which conflict and cooperation arc conducted in the context of choices among alter- "Just before and dun VVorld War II a new natives whose range of outcomes is known to the concept began to emergette concept of Statistic:a/ fullest extent to the participants." ("Critiques of Decision. Not only was this new concept compre- Came Theory," Behavioral Science, Vol. 4, 1959,p. hensive enough toincludeallthatis currently 65.) covered inthe subject of statistics, but in addition itinvolved ideas from other subjects such as the Ewald Burger says: theory ofgames,costaccounting,information theory, logic, economics, and almost anything else "The theoryof games, founded by von Neu- you careto name." (Design for Decision, New mann. ,concerns games of strategy.Incontrast to York, Macmillan, 1953, p. 2,) pure games of chance, these are games whose out. come does not depend on chance alone, but also on After stating that purposefulness "exists only if choice certain decisions which the players must make during is available to the entity involved and if that entity is the course of play. Typical examples of suchgames apahle of choice," Russell L. Ackoff says: are parlor games in which the n participating players have to make decisions in accordance with certain "The basic problem of Decision Theoryisthe rules. These decisions and, perhaps, also certainran- selection and application of a criterion that should dom events (such as dealing cards) determine the be used for selecting a course of action in (mhatwe course of play and, hence, the winnings and losses of have heredefinedas)a purposeful state. Thus then players.Besides parlor games thereare Decision Theory concerns itself withmeasures of numerous other areas where there are problems in efficiency, value, and effectiveness:" ("Towardsa which the interests of several participants are in direct Behavioral Theory of Communication," reprinted in conflict. Such conflicts of interest can often be repre. Walter Buckley, ed Modern Systems Research for sented schematically by means of games ofstrategy as the Behavioral Scientist, Chicago, Aldine, 19(8, p, defined above." (tntroductionlothe Theory of 210, p. 217.) Carnes, trans. by John E. F'reund, Englewood Cliffs, Prentice-Hall, 1963, p. 1.) C. West Churchman describes decision theory as: *As noted on p, 95,for convenience in this Chapter we group together workin the fields ofgame theory and decision theory. ''. an attempt tofindcriteriaforselecting We alsoinclude abrief discussion of operations research in 'optimal'decisions amongasetofalternative Section 3. actionswhereoptimality isbased. _onsome 97 108 98 A CURRENT /IPPIL,ILSAL measure of the values of various OUtC4lfle5 that may In order to illustrate game theory more specifically, a result(romselecting each of the actions:- ("S cience briefdescription of one typeof game will he givera. and Decision Making,"Philosophy of Science,Vol. Constant-stun games are those in which the algehraie Bunn 23, 1956, p. 247.) ofthe gains and losses of theplayers alwaysequals a fixed number. Given the strategy of his Opponent, the According to Thomas L. Salty: positive or negative expecte(l Alayoff can he calculated mathematically for a "rational player in a two-person, "Decision-making involvestheidentification of constant-sum game. The solutionof such a garrieis values, objectives, priorities, means,resources, and described as follows: constraints under conditions of certainty oruncer- taintyforshort- orlong-range local or global "The solution proposeol by von Neumann and purposes. Since organizationalstructure is an Morgenstern makes each player choose that strategy important aspect of a decision process,itis also for which the minimal gain is at least as high necessary to consider information flow, level and and possibly higherthan, the minimal gain r- typeofparticipation,and the socioeconomic anteed by any alternative strategy. Thus the payer framework. Decision rules, arc then introduced am! is maximizing the minimum pay off,or'playirig the methods (qualitative or quantitative) are developed maximirC (Because of a customary formulationin to apply Mese rules, It is mostly these methodsthat terms of minimizing maximal loss or riskrather bringdecision-makingclose to mathematics by than maximizing minimal gainsthis, principle is borrowing ideas from it and frequently expanding usually referredtoas the 'ininimax principle-)" and enriching these ideas." ('Operations Research: (Leonidllurwiez, "Vhat Has Happened to the Sonic Contributions to Mathematics," Science, Vol. Theory of Games."Papers andProceedings, 178, N0. 4065, 1972, p. 1061.) American EconomicReview,V ol. %umISo. 2, 1953, p. 399.) Sometimes game theory is regarded as a subd ivision of decision theory. Anatol Rapoport and William j. Horvath, Many other types of games have been anal)/ zed, and for example, describe garnetheory as "that ypranch of attempts have been madeto extend same theory so decision theory in which decisions must lie nude not only that some of therestrictive assumptions (e.g.,that the in the face of uncertainty but also taking into account playerspossess completeknowledge) areno kinger the presence of other decision makers, someor all of required.(See,forexample, NigelCoward, "&nie whoseinterests may be opposed tothoseof ego. Developments inthe Theory arid Applicationof Net/a- ("Thoughtson OrganizationTheory, reprintedin gonies, General Systems,Vol.XV, WO.) Surritroas Buckley, op. cit., p. 75.) problem situations inthe behavioral science fields have been regardedasanalogous to games of strategy 3. METHODS AND TYPES OF INQUJILY GerrieTheoryintheBehavioral..Scienees,edited bY raIt. Buehler and Hugo C. %rind,pittsburez, Some of the ways in which game and related ''stra.tcgic University of Pittsburgh Press, 194i9, illustratessonic competitions" can vary are in the number of pthrticipants, applications), and scientificinquiryin genewal las been therule t. of thegarne,the relationofmoves rnade viewedinterms of the investigatorplaying a game through cimice and "chance," and whether or not the "against nature" (see,for example, j.Milnor, "Games game can be terminated (according to its rules) in a finite A ainstNature,"inELM. Thrall,C,114, Coorribs, and number of moves. Mathematicaltechniques havebeen ICI. Davis,eds., Decision Processes, NovNork, iley devised that give the most advantageousstrategies for each participantif certain specified conditions prevail, 19S504m).e workondecisions concerns"ernpiricd de- suchas therangeofFormissible actions forthe cision-nuking"; inquiries inpolitical science. Psychology', participants, the probabilities with which chance events sociology arid other fields have investigated the processes occur, the information available to each particirant, the by which decisions are arrivedat,tkeconsequences of criteriaforthe game'stermination, etc.Given such decisions, thc sources of decision inan organization, etc. definite conditions and rules, solutions to marry games Many such workers agree-withJaynesG.Marchthat havebeen derived rigorously. decision making is "one of the keyfocal points for That "rational participants are assumed is of particular empiricalsocialscienc e." ("An IntroductiontO the significance.InSeetion 3 we discus some of the Theory and lkileasurernent of Influence," in fleinz Eulao, difficulties related to "rationality," but for the mornent S.J. Eldcrsveld, and M. Janovitz,eds., Political behavior, the following will suffice to indicate what is involved: Glencoe, Free Press, 1956,p. 335.) Other work puts primary emphasis on the devdopinent of formal triodeb "Assuming that behavior is correctly descriled as for decision-making. We emphasize the work of the model themaximization of ,it isquite another builders in this chapter. uestion how well a person knows the funetion, i.e., Models are built for decisions to be made under various lcnumericalutilities, thcothers are tryingto types of general circumstances. Luce and Raiffa differen- maximize. Game theory assurues he knows them in tiatethefollowing four conditions: certainty,lit full. Put another way, each playeris assurned to which "each action isknoivnto leadinvarialbly toA know the preference patterns of the other players. specific outcome," (2)risk,in vvhict"cactiaction leads This, and the kindred assumptions about his ability toone of asetofpossiblespecificnutcoures,each to perceive the game situation, are often subsumed outcomeoccurring with a known probability," (3) underthephrase'thetheory assumes rational uncertaint y,in which "eitheraction or both has as Its players.' (It Duncan Luce and lloward flaiffa, consequence a setofpossible specific ou tcontes, hat Gaines and Decisions,New York, Wiley, ,19,57,F. where the probabilities of these outcomes are completely unknownor are, noteven meaningful,"and (4) .g GAVE AND breISIOA ThIPORY cOLntPilizitOiiof uncertainty and risk. Itaiffa, Note on Operations Research rip. cit., When aliaritita tivcmeasures FI sSignedto the prefer- Numerous types of inquiry have been given the label enci s. or likims of those involved in the decision and to the ,perationsresearch.'' Robert Dorfman says that "even probabilities .of the possible alternatives:, itis possible to after a study of hundreds of xamples of work classified iclilettiatewhich decision will utaximize the desired out- as operations research, _it is by no means clear just what come - The intathemat ical side of decision theory often is the methodis."("OperationsResearch," American tIui ieal.Rayesian sta tistics, for eKample has receivedcon. i(eiti)riiintairinc Review, V 1960, p. 575.) The English -4lerable attentiorn Without ping into the technical work, I, Operational lteseareh Quarterly, describes its field F,..olne notion of what is involved can be gaind from tlw vaguely: Pollovving quotation: Operationalresearchmay bercuardedas a :Bay esia n statistics, a L'sirrelltiy con troversial view- branch of philosophy, asan atLituc of mind point colic erning statistical inr !rice.is based On a toward the relations between man and environment pmhabili ty as a partiealar measure of and as a body of methods for the solution of the opinions of ideally consistent people_ Statistical problems which arise in that relationship.'" ilifereoc:c is modificationof opinions inthe light of evidence, and byes' tl.,..,ron specifies how llowever, a good part of the work done under the label such ntodificatiens should Le nude." "operations research" can be included in whatis here -711e 13ayesion approach isU COlu Flinn sense ap- called decision theory. For example, Morse and Kimball proach_Itis simply aset of tech cliques for orderly sty:"Operationsresearch is a scientificmethod of expressionand revision of your opinions with due providing executive departments with a quantitative basis rcprd torinternalconsistenev among their various fordecisionsregardingtheoperationsundertheir aspectsawl for the data.' (%Varcl Eel wards, Harold control,"(P.kl. Morse and G.E.Kimball,Methods of Lindinan, and Leonard J. Savage, 131ayesian Statis- Operation.s Re.veareh,rev. ed., New York, Wiley, 1951, p. tical fererire for.?.)sy etiological Research," Psycho- K.ennethBoulding saysthe"centralaim"of logical Helios, 'Vol_ 70, l9(a,f, p.193, El. 195.) operations research"isthe incorporation of quanti- tatiVe and mathematical techniques into the processing Some writers concerned with mathematical decision ofinformationrelevant tothe making of executive theorY are especiallyinterested inthedecisions proce- decisions, both in government and business," (Bouldin duresof large groups- Kenneth &Lidding, in referring to op.eit.,p. 4313,) And Saaty says: "Operations researe the development o f large organizations, says: is a field of science concernedwith developing ideas and methods to improve decision-making." (Saaty,op. `-Thisisthe movement,which 1 have called cit,, p. 1061.) elsewhere tbe 'organization revolution,' that in the For a recentdiscussionof some of thetechnical short space of less than a Century inis led to the rise work being doneinthefield,see Leon S. Lasdon, of sub giant organizations as General Victors, the OptimizationTheory for Large Systems (New York, Pentagon, and die Soviet Union- Nobody has yet Macmillan,1970);foranintroductoryaccount,see iven the overall movementa name, and it is indeed IlanidyA.ratio,OperationsResearch (New York, lard tofind a short and vividone for a movement Macndl Ian, 1971), so cxtensive and at die .same tine so subtle and quiet. rf lc only name I can suggest i5 the decision 4.RESULTS ACHIEVED systonsmailerrtcrit. ("Decision-Idaking in the Modern World,' in Lyman Bryson, ed-, An Outline l'erhaps many workers in game and decisiontheory of -Nan 's A:now/edge of the Illoderafliorld, New would agree with Saaty's staternen t: "orlt, McGraw-FR, 1960,pp, 421-422.) " Ave do such research because people have prob- Stunt writers believe thatthere is a need to develop lems and, as scientists, we believe that any model is new principles to replacetraditionaldecision.rnaking better duo none; it is all right to give badanswers to techniques.l'or example, Shoeffler says: problems if worse answers would otherwise be given." (Saaty, op. cit., p. 1061.) "it isa rather remarkable fact tlat the principles of decision-makingthat are in fact employed by Ilowever, his statement appears toassume that develop- most people today are virtually the same as they ing a moddno matter how defectivein a problemarea were 2000 years ago. Thus a United States senator where no model existed previously is equivalent toan im- today, fro considering the enactment ofa new pie, proved answer to the problem, which may not be thecase; of legislation, einploys mach thesame pattern of sonte models may lead to even worse "answers" than we analysis as his Homan con meant did hihis time had before- fora siridlar purpose. Ilealso employs the sarne Considerable differences of opinion can be fourulcon- thotsght-patternsas the Borman did in deciding what cerning the merits of the models developed by game theo- to eat for lunch, in1 choosing a wife, orin rists. As Rapoport notes, extremely laudatory claimswere forms illati rig a personal ph ilosophyo f life." sometimes made: (Sehoeffier, op. cit., pp. 159-16(J) "In some quarters, game theo was hailed as one Schoeffler a lsoBuggest:4thattheIlse of statistical of the most outstanding scientile achievements of dee-Hors theory, garlic theory, we1 fare economies, opera- our cent the implication is that game theory tiora research,and rn odern logic canlead to loon! stands ors a par with Newton's celestial mechanicsas a effective dec isioii making. scientific achievement." (Rapoport,op. eit., p. 49,)

110 Ina A CURRENT APPRAISAL But disilhisio talent often followed, ag Luce andRaif fa "Ithink a categorical disavowal of descriptive note: contentisimplicitinthe entire game-theoretical approach. Game theoryisdefivitely normative in we have the historical fact that manysocial spirit and method. Its goal is a prescription of how scientistshavebecomedisillusionedwithgame a rational player thould behave ina given game theory.Initiallythere wasanaivebandwagon situation when the preferences of this player and of feeling that game theory solved innumerable prob- allthe other playersare given inutilityunits." lems of sociology and economics, or that, atthe (Rghts, Genies, and Debates, Ann Arbor, University least,it made their solution a practical matter of a of Michigan Press, 1960, pp. 226-227. As we shall few years' work. This has not turned out to he the see shortly, Rapoport has since modified the views " (Luce and Raiffa, op. cit., p. 10) Just quoted.) More recently, one finds few claims that game theory However, there also are difficulties with the prescriptive hasbeen anhistoric breakthrough, huttherange of As Robert L. Davis says: opinion about its merits still is considerable- For otainpk, Saaty believes that game theory may be "one of the most "The words 'normative' and 'rational man' seem malignedandleastappreciatedfieldsof operations unfortunate. It may he that the first economists to researcharidmathematics." (Saaty, op. cit., p. 1065) think in these terms actually intended to set forth John Boot seerns to find much of value in game theory, what a man should do if he were rational; the although he says that "game theory has not quite lived up intentionof modernformulatorsof normative to the high expectations which were heldinthe!ate theoryisusuallymuchmoremodest.Each forties whenitwas hailed as a major breakthrough in constructs an abstract system about which he says economk!s.n. ( John C.G Boot, Ilathernatical Reasoning in in effect:'If a person's behavior is such that under Economics and Management Science, Englewood Cliffs, the proper interpretation it can be said to satisfy Prentice-hall, 1967, p. 89.) Others are highly critical of the requirements of this system, then his behavior is game theory. Walter Berns, for example, is scathing in his whatiscalled"rational"inmy theory.' For analysis of an application to judicial behavior, calling the instance, the theory of zero.sum two-person games game theory application "corrupt anduntenable," and a can be taken as normative theory in the scnce that substitution of non-sense for common sense. ("Law and itgives instructions according to which a man will Behavioral Science," in Hans W. Baade, ed., Jurimetries, he able to maximize his expected payoff in such a New York, Basic Books, 1963, p. 195.) game, assuming he can find tile solution. But this Such conflicting assessments appear to stem in large does not say anyone should use thistheoryiii part from differing views concerning the role in inquiry of playing an actual garlic : it may be that he can more the models developed by game theorists_ Whether the easilysecurethis maximum expected payoffin models are descriptive, prescriptive, or something elseis some other way. .. ." ("Introduction," in Thrall, discussed in more detail in Section 5 (see also our earlier Coombs, and 'Davis, op cit., pp. 4-5.) discussion in Chapter 1, pp. 34). The earlier workers in game theory tended to argue that their models couldbe 'Moreover, even when the model provides a description used to describe behavior: of how a player can maximize expected payoff (and in that sense is normative), many of tlie problem situations "...this theory of games of strategy is the proper to whicli game theory Inas been applied do not conform instrumentwith whichto develop atheory of to the rigorous conditions necessary for the solution to economic behavior.... We hope to establish satis- hold. (Sce Boot, op. cit., pp. 89-90, for a brief discussion factorily...thatthe typical problems of economic of this topic.) behavior become strictly identical with the male- Howard has argued thatIris "rneta-theory" is both a matieal notions of suitable games of strategy." (Von theory of rational behavior and an empirical theory that Neumann and Nlorgenstern, op. eit., pp, 1-2,) redictsactualbehaviouringame-likesituations." ithout going into the technicalities of his "meta-garrtc," And many recentgarnetheoristsalsoappearto itisimportant to notethatthe "actual behavior regardtheirmodelsasdescriptivelyaseful. predictedis somewhat special:"the theory does not H.Biker andWilliam J.Zavoina,forexample,say predict that a stable outcome will occur, only that if it thatthe"message"fromtheirwork is thatin occurs it will be one of a certain kind singled out by the situationswherechoiceispossible,"utilitymaxi- theory (and called equilibrium outcomes).'1 ("The Theory of Mcta-Garnes," General Systems, Vol. XI, 1966, p. 167, mization is thetheorythatfitspoliticalbehavior best." ("Rational BehaviorinPolitics: Evidenve front p 168.) Finally, some writers such as Rapoport argue that game aThreePersonG ame, ".1 mericanPoliticalScience Review, Vol. (14, 1970, p. 60. For further theory models often are neither descriptive nor prescrip- discussionof their work, see Chapter V,v. 50 and tive (see Chapter I, p. 3), but still provide a valuable type p. 56) In a recent paper, John Fox saysthat game theory of understanding of certain problems. Rapoport says that provides "a framework within whichto imestigate. game theory imparts 'a veryspecial understanding," properties anddeterminantsofsocialcon Metand which is not based on prediction, control, or the winning cooperation," which suggests a descriptive role for game of a competition, hot that leads mis toward an unspecified theory.("fhe1,_earningofStrategiesinaSimple, and linspecifiable goal: Two.Person Zero-Sum Game without Saddlepoint," Be. havioral Science, Vol. 17, 1972, p. 300.) "I should like to reiterate my conviction that the klany game theorists,however, maintain that game linderstanding nf thelogical structure of strategic theory models should not be viewed as descriptive. Anatol conflicts is indeed the prime and, at least at present, Rapoport, for example, has said: theonlyachievableobjectiveof gametheory. CAME AND DECISICW TDEORY 101 However, 'understanding' in this context is not the and a carefully reasoned decision might stiE have a intuitive understanding sought after by the social bad outcome in any particular instance. Ws do not scientist of the old (pre-positivist) school, nor the guarantee good outcomesjust goodJecisions!" understanding of the _positivist (rigidly linked to the (Albert N. Halter and Gerald W. Dean, Docisions ability to predict and to control).Itisrather the Under Uncertainty, Cincinnati, South-Western Pub- understanding of the mathematician. Based on most lishing Co., 1971, p. 249.) rigorousanalysis,itis impersonal (hence has a partial claim to scientific validity); but itis also Experimental work also has been done in comparing independent of the ability to predict or to control observed behavior to what is prescribed by the normative (unlike the understanding imparted by sciences with models. For example, Donald Davidson, Patrick Suppes, empiricalcontent). The conclusion of a mathe- and Sidney Siegel attempted to provide formal decision matical theorem predicts nothing except that any models that could =-.'; tested empirically. Their "under- competent mathematician must come to the same lying thesis" was that "an individual makes choices among conclusion if he starts from the same hypotheses. alternatives involving risk as it he were trying to maximize "The mathematicianattains'understanding' by expectedutility." (Decisioa Making: An Experimental aininganinsight intotheinterdependenceof Approach, Stanford, Stanford University Press, 1957, p. sgicalrelatiods.Similar lz,a gametheoretician 26.) The following quotation illustrates something of their attains an'understandingof thestrategiccorn- results: ponents of conflict situations by gaining an insight into the often extremely intricate interrelations of "Under controlled conditions, sonic people (IS strategic consideratiorts. This insight does not reveal out of 19 subjects in the present experiment) make techniquesfor'controlling'conflicts(letalone choices among risky alternatives asifthey were means of 'winning' them); but gaining itisan attempting to maximize expected utility even when important step forwardtoward what we do not they do not make choices in accord svith actuarial know, because we do not know what new goals values." (pp. 80411.) may be revealed by the increased understanding. Neverthelessitis possible to defend the view that In general, observed behavior often seems to depart any gainof understanding of matters that have somewhat from behavior that might be expected on the some theoretical bearing on important aspects of basis of various decision theories. For example, in an human relations is a proper human goal." (N-Persorz experiment in which subjects gambled on the throw of Came Theory, A nn Arbor, University of Michigan dice, the following were reported as anong the principal Press, 1969, p. 185, p. 184.) results: "expected dollar value has negligible importance in determining betting preferences," anal "subjects who Rapoport appearsto assume herethatthe mathe- are sophisticated about probabilities and expected values matical-deductivestreetures must somehow "bear" on are no more likely to maximize expected dollar value trategic considerations," which is j,ust the point to be than others." (Alvin Scodel, P. Ratoosh, and J.S. Minas, demonstrated. The "loOcal structure ' involved may turn "Some Personality Correlates of Decision Making Under out to be only that of the model, not of the behavior Conditions of Risk," in Dorothy Willner, ed., Decisions, withwhich Rapoport isconcerned.Eliminating from Values and Groups, Vol. I, New York, Pergamon Press, considcration description, prediction, control, and pre- 1960, p. 48.) scriptions for winning may "rescue" game theory frorn Many observers construe decision theory as leading to many cdticisms,butitalso scentstoeliminate the the possible improvement of decisions: "even if a theory pertinence game theorymight havefor inquiry into of rational decision has little general descriptive value, it observed behavior in "conflict situations." still may have great interestas a normative theory." Despitethe many disavowalsthat game theoryis (Davidson, Suppes, and Siegel, op. cit., F. 3.) descriptive, inquirers often have no hesitation in viewin Sometimes the assumptions made about human be. some specific ' real life" situation as an exemplification havior lead to a merOng of normative and descriptive. As a game. To illustrate, in a recent article the authors give Wayne Lee notes: as an example of one of their games acontroversy "In practice, the distinction between normative between Orval Faubas and Dale 13umpers in the 1970 anddescriptive Democratic primary in Arkansas. (Marguerite P. Stevenson theoriesoften becomes blurred. and James L. Phillips, "Entrapment in 2 x 2 Games with Af ter all, the hypothesis of general rationality states than men do make the decisions they should make. Force Vulnerable Equilibria," Behavioral Science, Vol. 17, If this is the case, normative and descriptive theories 1972, p. 369.) Whether in fact such analogies hold is merge into one." (Decision Theory and Human oftenquestionable;shnilaritiesof"structure" often appear to be converted into identities of "structure." Behavior, New York, Wiley, 1971, p. 16.) Indecisiontheory,considerable"prescriptive"or Much work in operations research and other areas of "normative" work has been done hi ascertaining iJiich decision-makinghasconcernedtheimprovementof decisionsshouldbe made by a person who hmm a managerial decisions. Russell Nekoff describes a typical consistent ordering of preferences and who is striving te inquiry in an industrial setting: maximize some quantity. Such decisions may leadto undesired outcomes, of course, but they are selected "In one industrial problem.. .it was necessary to because of their expected maximization role: fled the order in which items requiring production should he processed over an assembly line. The "If the decision makers use the decision frame- setup costs associated with each product depended work of this book, allof their decisions will be en which item preceded it over the assembly line. 'or in the sense of maximizing expected utility. The problem was to minimize the sum of the setup ortunately, we arc still dealing with uncertainty, costs.. .. Study of the problem revealedseveral 102 A CURRENT APPRAISAL decision rule s which appeared to yield lower costs ordinarysubject,neverthelessthesubjects'intuitions than one would expect to obtain Liy using intuition [may] somehow parallel the analysis."(Pi-Person Came and experience to sequence the production.. .. The Theory,p. 30a, p. 310.) researchers replannedthe production of the last Even if a descriptive role for the models is given up three years using the proposed decisiGn rules aed (both officially and in practice), most workers seem to compared the resulting costs with those actually agree that analogies between the models and observed jail:Lured. A skehstantial reduction was obtained.'' behavior must exist if the models are to be pertinent to "Games,Decisions, and Organization General thebehaviorunderconsideration. Much controversy ystems, Vol.IV, 1959, pp. 149-150.) occursaboutsuchmatters. We notefirstthatthe presumed connections between the models and observed Such wort- has sometimes been criticized, however, on behavior often are not investigated with anything like the the ground that insofficient evidenceis offered for the care with which the model is elaborated, and "intuition" solutions proposed- Alphonse Chapatis, for example, says: may be relied upon heavily. To illustrate, Ewald Burger says: "Even when we find model builders attempting to make somevalidationoftheirmodels we 'As isthe case with any mathematical theory sometimes find them using as scientific evidence the which attempts to describe part of the real world, crudestformofobservationscollectedunder the fundamental definitions and concepts of the completely uncontrolled conditions.... Let us take theory of games must be justified by means of evne red example. Once upon a time the problem of intuitive considerations. Unfortunately, this makes it trafficdelays attollbootha was tackled[C.W. unavoidabletohavetherigorousmathematical Churchman, R.L. Ackoff, and EL. Arnoff,Intro- definitionsprecededbycertainvagueintuitive duction to Operations Research, NewYork, Wiley, considerations which establish the connection be- 19571 They constructed a mathematical model, tween the mathematical definitions and reality. This added it, multiplied it, integrated it, differentiated hook attempts to reduce these intuitive considera- it, and came out with some conclusiors about how tions to a minimum; the author frankly admits that thetollbooths should be manned and operated. he neverfeelsquiteateaseinthese intuitive Then came the mitical part. h the model any good? discussions, and because he does not feel competent Let us take the authors own words: ihe only way inthis area, the discussion is pushed as rapidly as to find out was to try it. If ii worked continuously possible into the domain of mathematics.' Burger, for a week, it should be able to work indefinitely. op. cit.,p. iii.) They installed the new system at a toll collecting site and measuredtrafficflow and some other Churchman Las been seveeely critical of those formal- thinp for one week. Although the operation of the tsts who attempt to justifytheir models as being in new system did not conform entirely to expecta- accord with intuition:whatever proposition has the clear tionsthereisno doubt that during that week, support of intuition needs to be doubted and subjected to conditions were better than they had been pre- analysis."(Prediction and Optimal Decision,Englewood viously. So say the authors: '...there is a good deal Cliffs, Prentice-Ball, 1961, p. 329.) of satisfaction in seeing the validity of so much The totalset of conditions required fora mathe- work actually established' ...Please understand me. matically rigorous solution in a game or decision model The authors may well have been correct. Their often is seriously unlike the set of conditions found in system may indeed have been better. But you will the behavioral situations to which the models are applied. have to agree that this kind of te4 isrwta model For example, the early work on constant-sum games was ofscientificinference."("Men,Machines,and often applied to economic behavior, but many economic Models," Arnerican Psychologist,Vol. 16, 1961, p. 4ansactionsresultina net impnwement forallthe 130.) participants,rather than in winners and losers. Other types of game may be more analogous to such economic 5. CONTEMPORARY CONTROVERSY transactions, and even withinthe constant-surn game structure itis"possible to introduce (conceptually) an Althoughdisagreements about the mathematics in- additional fictitious participant who, by definition, loses volvedin the elaboration of game and decision theory what all the real participants gain andvice versa."(Leonid conjectures do occur,usuallysuchdisagreements are Hurwicz, "The Theory of Economic Behavior," American satisfactorily resolved; in general there are few contro- Economic Review,Vol. 35, 1945, la. 918.) But then we versiesabout the mathematical soundness of the basic are faced again with the question of the analogy between work irk thefields.Controversies abound,however, thenew modelandthebehavior under discussion. concerning the significance of the models for inquiry into Although some game theorists are confident that the human behavior. procedures of "classical" game theory can be extended Earlier we discussed disagreements about the role of and modified to overcome the criticisms about applica- the models: are they descriptive, prescriptive, or some- bility, others believe that a much mr ie thoroughgoin thing else? The difficulties with viewing the models es reform is necessary. Fer example, in referring to the boo descriptive have led many to emphasize sonic other role by Luce and Raiffa, Rapoport says: for the models, and yet there is a reluctance to give up completelythe notion that observed behavior somehow "It is primarily their book which convinced me resembles the model. Rapoport, for example, although that game theory is more important because of its insisting that "game-theoretic analysis" is not "a replica failures than because of its mathematical successes. of how people actually analyze conflict situations," also For itisthe shortcomings of game theory as suggests that"eventhoughintricategame-theoretic originally formulated) which force the consideration analysis 18 beyondtheconceptual repertoire of the of the role of ethics, of the dynamics of social GtIME.AWD DECISION THEORY 103 structure, and of individual psychology in situations Zavoina, op. cit.. p. 59, p. 52.) Of con lliet_" (1.4hts, Games, and Debates, p. xii.) Finally, controversy has ensued about the usefulness of formalization. Although most workers rely on elaborate Other eontroversies concern the notions of utility arid formal models early in their inquiries. C. t Churchman rationality as used in the models. In an actual competitive says: sitoatiot, the behavior corresponding to the "ittility" in the model may he difficult to identify: indeed, pure formalization of decision theory seems to be the very last thing we want to do, not the A theory such as we are discussing cannot come first. For experimental pragmatismanel I suppose into existence without assumptions about die individ- eq ally for operations researchwe need to come out uals with which it purports to be concerned. We have of the formal language again, and reach agreements already stated one: each individual strives to maxi- on how observable behavior relates to the terms of mize his utility. Care must be taken in interpreting the formal language. We need to know when some- this assumption, for a person's utility function may thing is a decisionthat is, we need operational speci- not he identical with some numerical measure given fications for identifying decisions and their proper- in the game. For example, poker, when it is played ties. From this point of view, formal decision theory for money, is a game with numerical payoffs assigned does not represent a 'foundation' for a theory of deci- to each of the outcomes, and one way to play the sions. ("Problems of Value Measurement for a game is to maximize one's expected money outcome. Theory of Induction and Decisions," Proceedings of But there ale players who enjoy the thrill of bluffing the Third Berkeley Symposium. on Mathematical Sta- for its own sake, and they bluff with little or no tistics, Berkeley, University of California Press, 1955, regard to the expected payoff. Their utility functions P. 55-) cannot be identified with the game payments." (Luce and Raiffa, op. cit., p. 5.) 6. TERMINOLOGICAL PROBLEMS

"Rationality" also is used in diverse ways. For example, Some of the problems concerning "rationalit and Boalding, who is highly sympathetic to decision theory, "utility" have already been discuesed. "Rationality' is used says the field Is not, it must be confessed, in a state of in different ways in different contexts, and often designates crystal clarity at the moment, mainly because of the ex- a type of behavior that is not observed in the situations to treme difficulty of deciding on the correct criteria of which the game or decision model is applied. Luce and rationald ecision under conditions of uncertainty." Raffia say: (Bonding, op. cit., p. 438.) Rapoport points out that what we often cal "rational" "Though it is not apparent from some writings, the behavior is not in accord with the assumptions of some term 'rational' ia far from precise, and it certainly writers. For example, we would not necessarily characterize means diffetent things in the different theories that as "rational' the person who based all his decisions on have been developed. Loosely, it seems to include any mathematical expectation. Rapoport points out that "the assumption one makes about the players maximizing mathematical expectation of an individual who takes out something, and any about complete knowledge on fire insurance is clearly negative; othervise fire insurance the part of the player in a very complex situation, companies would go bankrupt." Yet it is not regarded as where experience indicates that a human being would irrationalto purchase fire insurance. "Utility,'then, is be far more restricted in his perceptions." Luce and wed as something different from mathematical expecta- Raiffa, op. cit., p. 5.) tion, and "subjective probability" has been introduced for instances in which the individual's estimate of probability The set of requirements necessary for a person to behave differs from the mathematical probability. llowever, even rationally may be complicated, as le illustrated by Howard's after such modifications are made, the same problem arises: statement: Is behavior usefully describable using such procedures? Rapoport admits that much doubt is possible: "The rationality axiom is that a person with a choice between outcomes over which he has a prefer- "But posing the problem in this way reveals the ence ordering will choose so as to get the moat pre- strong tacit assumption that behavior of individuals ferredprovided that he fully believes he will get it or of classes of individuals is consistent an& pre- and that by choosing otherwise he would have got dictable, once the underlying utilities and subjective one of the alternatives." (The Theory of Meta- probabilities exist. And this may by no means be de Games," p. 168.) case." (Introduction," in Winner, op. cit., p. xv.) Often the use of "rational, eelected is one that will Moreover, even if in some experimental game or decision lead to a solution within a mo el. The following quotation i aging behavior isfound to conform acceptably to the from Rapoport illustrates that situation, as wellas the self- model, the experimental setting itself may be removed con- actional language often found in this field: siderably from the situation the experiment was designed to describe. In the work by Riker and Zavoina discussed ear- "Modern decision theory departs from theconce lier (Chapter V, p. 50 and p. 56), they admit that their tion of mechanistic determinants of action and fran periment dealt with "surrogate politicians in a surrogate ly posits a 'rational individual.' Some will insist that olitical setting." They attempted to remedy disanalogics 'rationality' is not a well defined category, even that ctween their game and actual political situations by intro. it cannot he defined. But we will forgo the search for clueing "putative critiivalents," hut then say that wc know, a definition which is both general and precise and of course, that them putative equivalents are pretty pale satisfies every one's intuitive notions of what ration- imitations of these forces hipolitical life." (Riker and ality should he. We will use instead a definition te

1 4 fIl 'V.I. 5,7.114 suit a situation. Vor installer if a man is faced with N information." Ile suggests that an inspection sebeme by mutually exclasive alternatives, vve will assume that if both sides might have ensnrol tha t VIIRV's would not be he is rational, he is able to anange the alteroativesin built, hut then adds: "Of course, we know from the news- order of preference, allow ing, pechaps, for indiffer- papers that linth sides know how to make MI RV's and may eneezcrnorsga It er natis es. "("le troduction, m even be mass producing theni." Winner, op.cit..,p. xiv.) But is the NIIRV case an instance of a "bargaining" game in the required sense? Is it probable in this type of situation Game and decision theorists often iasist that their use of that either side would he inclined to be guided solely or "utility" is not to he confused with the uses of earlier strongly merely by what the other side said about its state economists. (Sec pp. 689 of Chapter VI for a discussion of weapons development? Whatever actual information was of economists' use of "utility.") As looted earlier, there is a available might change the payoff matrix materially. The question as to whether anything in human behavior corres- model is not normative for either side unless the situation ponds to The characteristics attributed to utility, fulfills all the busi'.; requirements of the pme, which seems within a Oven model, often are chosen in order to provide a highly doubtful; nor is "understanding' of the arms race logical closure for that model: furthered unless it can he shown that the race fundamen- tallyis like the model. Just what the application of the "We have treated the concept of utility in a rather model is remains unclear. narrow and dogmatic way. We have not only assumed Other key names in this field also are used unclearly or that it is nurnerieal-for which a tolerably good case incoherently. Churchman, for example, points out that can be made, . .-but also that it is substitutable and often it is not clear what a "decision" is and says that unrestrictedlytransferablebetweenthe various "operational specifications for identifying decisions and players.... Wc proceeded inthis way for technical their properties shour be given." ("Problems of Value reasons: The numerical utilities were needed for the Measurement for a Theory of Indlietion and Decisions," p, theory of the zero-sum two-person game-particularly 55.) because of the role that expectation values had to playinit- The substitutability and transferability 7. COMMENT AND EVALUATION were necessary_for the theory of the zero-sum n-pen smi game.. Thus a modification of our concept of In Chapter I we crticized self.actional and interactional utility-in the nature of a generalization-appears de- procedures of inquiry. Both types ut procedure are found . irable, but at the same time itis clear that definite among game and dec.ision theorists. Many of the discossions difficulties must he overcome in order to carry out of rationality apparently reflect selfactional assumptions, this program." (V on Neumann and Ntorgenstern, op- and frequent referencesto free millarefound(e.g., v.604.) [toward, "The Theory of Meta-Ganies,P 168; Paul A. Samuelson, Economics, 8th ed., [New York, McGraw-liill, At times higidy mentalistic and scI actional language is 1970, p. 480). Interactional procedures also abound, in used in the discussion of utiliuirs Kenneth Arrow, for ex- which various aspects or phases of a transaction are viewed io his discussion of the impossibility of an "interper- as independent "reals" interacting on occasion with other sonal comparison of utility," says that "it seems to make such "reals" (see our discussion of the prisoner's dilemma no sense to add the utility of one individual, a psychic on pp. 95-96). magnitude in his mind, with the utility of another individ. Much of the work in this field consists in the elaboration mil."'(Social Choice and individual Values,2nd ed., New of conjectures far in advance of observation. To illustrate, York, Wiley, 1963, P.I L) in their discussion of the difficulties of measuring "utility Th literature contains frequent references to "applica. functions," !Ace and Raiffa say; lions" of the models, but. often that word is used loosely and confusingly, For example, Saaty says that game theory "The main purpcme is to see if under any condi- "seeks to he prescriptive or normative,and also-like the tions, however limited, the postulates of the model later Rapoport-emphasizes the "uneerstanding" that re- can be confirmed and, if not, to see how they may be stilts from the use of game models. Ile then discusses a modified to accord better at least with those CaSeS. It "very simple illustration" of a game rnatii- application to will be an act of faith to postulate the general exist- the escalation of arms. (Saaty, op. cit., p. 1666. All further ence of these new constructs, but somehow one feels quotations from Saaty in this section are from the same less cavalier if lie knows that there are two or three page.) cases where the postulates have actual! y been veri- Saaty says that a few years ago the United States wanted fied." (Luce and Raiffa, op. cii.,p. 37, Sec also our the Soviet Union not to develop MIRV's (multiple inde- earlier discussion on p. 4, Chapter I.) pendently targeted reentry vehicles). Ile regards that histor- ical situation as au example of a bargairliag game without As we have noted e rlier, in general the mathematical ,omplete Mformation being available to die players. Ile work within game and decision models iscarried out then works out a payoff matrix for the situation. According rigorously,aridmuchingenuityhasbeen shownin to that matrix, if the United States has MIRV's, and tries to developing solutions within those models. Moreover, the eonvince the Soviet Union tluttii develop them, the Soviet experimental workon various game and decision Union's payoff will be better if it does develop MIRV's. On situations often isdone carefully within the limits of the the other hand, if the United States lacks NERV's and tries experimeut. But the behavior investigated within these ronvince the Soviet Union not to develiv them, the situations may be far removed from the behavior in the payoff is still better for the Soviet Union if it does produce economic, political,military, or other transactions that the weapon. led totheexperiment. Saaty conehnh.s that in this situation an opponent an- Often a major difficulty is the unavailability of what is not bv guided at all" Ivy what die other participant says, required to make the model pertinent. To illostratefames and that the opponen t's "decision Must be based on other Bates gives the following description of decision-making: GAME ANDDECISION THEORY 105 "A decision-making process involves a decision- Buehler, Ira R., and Nutini, Hugo C., eds., Game Theory maker, an environment ill which the decision-maker in the Behavioral Sciences, Pittsburgh, University of must operate, a set of actions available, and a set of Pittsburgh Press, 1969. goals to be accomplished. An optimal decision is Buckley, Walter, rd., Modern Systems Research for the made in terms of an operation which chooses a Behavioral Scientist, Chicago, Aldine, 1968. member of the set of actions and the importance of Burger, Ewald, Introduction to the Theory of Games, the goals. The model must include some measure of trans.byJohn E. Freund,EnglewoodCliffs, the efficiency of an action (or a goal, a measure of Prentiee-Ilall, 1963. the value or importance of the goal, and a measure Churchman, C. West, Prediction and Optimal Decision, of the adequacy or effectiveqess of the operation. Englewood Cliffs, Prentice-Hall, 1961. ("A Nlodel for the Science Decision," Philosophy Davidson, Donald; Suppes, Patrick; and Siegel, Sidney, of Science, Vol. 21, 1954, t,339.) DecisionItaking: AnExperimentalApproach, Stanford, Stanford University Press, 1957. Ilowever, the measures required by the model often Davis,MortonD.,CameTheory: A Non-Tech don'texist,orareseriouslyinadequate.Assuming Introduction, New York, Basic Books, 1970. --oonbers for the sake of illustration may make a model Lawrence, J.R., ed., Operational Research and the Social ;tiplausible and promising, hut if we cannot develop Sciences, New York, Barnes and Noble, 1971. hose measures inpractice the model is not useful for Lee, Wayne, Decision Theory and Human Behavior, New wising "optimal decisions." York, Wiley, 1971. Our criticisms should not be confused with certain Luce, ILD., and Raiffa, Howard, Canies and Decisions, "humanistic"objectionstotheuseof mathematical New York, Wiley, 1957. ocedures in investigating human behavior, such as that NIcKinsey, J.C.C., Introduction to the Theory of Games, uman behaviorinvolves"intrinsically"unquantifiable New York, McGraw-Hill, 1952. things.(For refutations of such objectionsto mathe- Rapoport,Anatol,Fights,Games, and Debates, Ann matical procedures, see. von Neumann and Morgenstern, Arbor, University of Michigan Press, 1960. op-cit-,pp.1-8,and Kenneth Armw, "Mathematical , IV-Person Game Theory, Ann Arbor, University Models in the Social Sciences," General Systems, Vol. I, of Michigan Press, 1969. 1956, pp. 29-31.) Skepticism about the significance of a Simon, Herbert A., Administrative Behavior: A Study of particularmathematical modelisnot the same as a Pecision-MakingProcesses in AdministrativeOr- rejection of mathematical procedures in general. ganization, 2nd ed., New York, Macmillan, 1957. Defenders of the type of models we have criticized R.M.; Coombs, C.H.; and Davis, R.L., Decision often argue that the historical success of mathematical Processes, New York, Wiley, 1954. models in the physical sciences somehow justifies current Von Neumann, John, and Morgenstern, Oskar, Theory of models in the behavioral areas. For example, Eugene F. Carnes and Economic Behavior, 3rd ed., Princeton, Elander, an econometrician, says: Princeton Duiverstity Prcss, 1953. Washburne, N.F., ed., Decisions, Values and Groups, Vol. "...to saythat, at present, we can stop using II, New York, Pergamon Press, 1962. mathematical models because they are methodologi- White, D.J., Decision Theory, Chicago, Aldine, 1969. cally so poor that they are not useful for prediction Winner, Dorothy, ed., Decisions, Values clad Groups, Vol. istantamount togiving up an entire avenue of I, New York, Pergamon Press, 1960. approach before we have traveled very far along it. A similar criticism might have been raised against 9. GERMANE JOURNALS thefirstfumblingattemptstoformulatethe AMERICAN ECONOMIC REVIEW physicalsciencesmathematically;andsucha criticism,if allowed, would have prevented the AMERICAN POLITICAL SCIENCE REVIEW development of a scientifically oriented civilization AMERICAN SOCIOLOGICAL REVIEW with a high level of technology." ("Correspondence ANNALS OF MATHEMATICAL STATISTICS On Mathematical Models," Social Science, Vol. 37, BEIIAVIORAL SCIENCE BULLETIN OF THE AMERICAN MATHEMATICAL 1962, p. 249.) SOCIETY Elander appears ECONOMETRICA to confusethe avoidance of poor ECONOMIC,IOURNAL models with the total avoidance of models. Criticism of GENERAL SYSTEMS YEARBOOK the inadequacies of existing models may helpin the OUENAL OF CONFLICT RESOLUTION development of improved procedures of incpiry, and OURNAL OF POLITICAL ECONOMY reliance on inadequate models may worsen problems that JOURNAL OF TIIE AMERICAN STATISTR the models were designed to solve. What we object to is ASSOCIATION not the use of mathematical procedures per se, but the MANAGEMENT SCIENCE development of elaborate conjectures of any type far in OPERATIONS RE AA RC!! advance of observation. PHILOSOPHY OF SCIENCE PSYCHOLOGICAL BULLETIN 8 SELECTED BIBLIOGRAPHY PSYCHOLOGICAL REVIEW PSYCHOMETRIKA OUA RTERLY .1( HI RIVAL OF ECON tN I 1( Akoff, Russell L., and Sasicni, Maurice W., Fundamei.',ils i1EVIEW OF ECONOMICS AND ST, TISTit of Operations Research, INew York, Wiley, 1968. SIMULATION AND GAMES Bbckwell, D., and Girshick, M.A., Theory of Games and 80CI AL SCIENCE It ESEAIICI I Shitistkal Decisions, New York, Wiley, 1954. THEORY AND DECISION

1 1 6 XI. INFORMATION THEORY AND CYBERNETICS*

I. WORKING DESCRIFTION OF THE FIELD systems, the commodity which is bought and sold, calledinformatirmcapacity, may he defined strictly Information theorists inquire iato the most effec- on a mathematicalbasis,without anyof the tive way of coding,transmitting, and receiving vagueness which arises when human beings or other messages in communication systems in order to biological organisms are regarded as 'communication achieve goals such as a specified speed of transmission, systems.' Nevertheless, human beings usually form accuracy of transmission, and economic cost. Quantitative part of telephony or telegraphy systems, as 'sources' measures havebeendevelopedforthecapacityof or 'receivers'; but the formal mathematical theory is communicationchannelsand forthe"amountof of directapplication only to the technical e uip- information" carried by the signals transmitted over these ment itself... ."(On Human Communication, New channels;thesemeasures are based upon the number of York, Wiley, 1957, p. 40.) alternative messages or signalsthat can be transmitted over a channel in a unit of time. Many attempts have John F. Young notes that the "basic idea is. that been made to apply the statistical techniques developed information can he treated very much likea physical by information theorists, and some of their findings, to quantitysuch as massorenergy."Hesaysthat typical behavioral science problems. information theory "is concerned With the basic limita- Cyherneticists inquire into the regulative processes of tions of various methods of communication," and that physical,physioloOcal,andbehavioralsystems,with th..!"basic principle adopted is that any message which special emphasis on feedback in machines and in nervous has a highprobabilityofoccurrence conveyslittle systems. "Information," as used by information theorists, information. Most information is conveyed by the least often is a kcy notion in cybernetic inquiry. likelymessages. Thus information theoD,isbiased on probability ."(Information Theory,New York, Wiley, 2. OTHER DESCRIPTIONS OF THE FIELD 1971, Preface, p. 1, p. 4.) Norbert Wiener's statement that cybernetics concerns R.V.L. Hartley, one of the founders of information "the entire field of control and communication theory, theory, said his aim was to "set up a quantitative measure whether in the machine or in the anima"(Cybernetics, whereby the capacities of various systems [in electrical New York,Wiley,1948,p.19) oftenisrepeated, communication] to transmit information may be com- sometimes with minor changes oradditions.Richard pared."("Transmission of Information,"Bell System Stone, for example,describes cybernetics asthe study of Technical Journal,Vol. 7, 1928, p. 535-) "communication and control in self-regulating systems" According to a group of writers on information theory: (Mathematics inthe Social Sciences and Other Essays, (ambridge, M.I.T. Press, 1966, p. 33), and F.H. George "It is basic to information theory that any event says cybernetics isthe "science of control, communica- is evaluated against the background of the whole tion, and artificial intelligence"(Computers, Science, and class of events that could have happened. Informa- Society,London, Pemberton Books, 1970, p. 14). tiontheoryproposes to measarethe effect of Often strong emphasis is placed on the breadth of operations by which a particular selection is made application. Stafford Beer, for example, says: out of a range of possibilities. ... The measureof selectivity usedis a function of the probability of "Cybernetics is the science of communication arid achieving the same result by mere chance. In this control. The applied aspects of this science relate to sense, information theory is anchored in probability whateverfieldofstudyonecarestoname: theory." ("Concluding Review" in Henry Quastler, engineering,orbiology,orphysics,orsociol- ed,,information Theory in Psychology,Clencoe, ogy. ... The formal aspects of the scienee seek a Free Press, 1955, p. 8.) generaltheory of control, abstracted from the appliedfields,andappropriatetothemall" .1 eronw Rothstein says that "Information theory, in its (Cybernetics and Management,New York, Wiley, recent formulations,is a form of abstract mathematics 1959, P. 7.) dealing with choices from alternatives of an unspecified nature."(Communication,Organization, andScience, And Ralph Parkman says: Indian Hills, Col., Falcon's Wing Press, 1958, p. 12.) According to Colin Cherry: "Cybernetics may be described as the study of brainlike processes or equilibrium-seeking processes "Itisin telecommunicationthat a really hard and inthese kinds of terms it is subject to very core of mathematical theory has develop such broad and often disparate interpretations. It over- theory has been evolved over a considerable number laps such fields as general systems theory, theory of of years, as engilleers have sought to define what it automata, semantics, information theory, logic and isthatthey communicate overtheir telephone, invades important areas of the physical, natural and teleoraph, andradiosystems.Insuch technical socialsciences."(TheCybernetic Society, New York, Pergarnon, 1972, p. 205.) *information theory and cybernetics are fields that are closely re- lated in many respects. A adiscumed on p. 95, we include both fields ina single chapter. Some writers use the label -communication AnatolRapoport notesthecloserelation between theory" rather than "information theory." information themy and cybernetics, and also emphasizes 106

11.7 INFORMATION TIIEOR Y AND CYBERNETICS 107 the technical use of "information, mint we return to a signal suitable for tra srnission over the diannel"; (3) later: the channel, or medium used to transmit the signal to the receiver;(4)the receiver, which decodes theoriginal "Cybernetics is the science of eonmitinication and message from the signal transmitted over the channel; and con trol. As such,it does not examine transforma. (5) the destination of the message. (The Matheniatical tions of energy. It examines patterns of signals by Theory (If Communication, Urbana, University of Illinois means of which information is transmitted within a Press, 1949, pp. 4-6.) system and from one system to another. Trans- In some situations receipt of a near-perfect replica of mission of information is essential in control, and the message sent is important; in others some deteriora- the capacity of a system to exercise control depends tionisallowable. Sometimes quirk transmissionisof on how much information it can pmcess and store. pr'nnary importance, and sometimes not. If sending the Infact,the concept `quantity of information' is signals over a certain channel is costly, expending sizable central in cybernetics. In this context, 'quantity of sums to develop a compact code for the messages may be informationisunrelated tothe meaning of the worthwhile. In short, both economic and technical factors information, its significance, or its b-uth. Quantity are involved in ascertaining the most effective way of of information is related simply to the, number of transmitting messages of a given type. 'decisions' which must be made in order to reduce Of considerable importance are the relative frequencies the range of possible answers to the question one of letters and letter sequences of the language in which asks;toput itinanotherway,toreduce themessage is written.Veryinfrequentlettersor uncertainty. ' ("Foreword," in Walter Buckley, ed., sequences can be given code-correlates longer than the ModernSystemsResearchfurtheBehavioral code-correlatesforfrequentlyoccurringlettersand Scientist, Chicago, Aldine, 1968, p, xix.) sequences. hi some instances, whde words, phrases, or sentences may be given a brief code-correlate. However, 3. METHODS AND TYPES OF INQUIRY the saving intransmission time needs to he balanced against the cost of encoding and decoding. The contextinwhich informationtheory was de- Telecommunication engineers have inquired into the veloped is of interest. Leon Brillouin says: problem of how various signals can be converted into other signals (for example, the translation of letters of the "This new theory was initiallythe result of a alphabet into the dots and dashes of the Morse code, and very practical and utilitarian discussion of certain the furthertranslation of the Morse code signals into basic problems: llow isitpossibleto define the electrical variations). Information theorists have worked quantity of information contained in a message or on both discrete and continuous signals, and on signal telegram to be transtrutted? flow does one measure sequences of relatively complex organization (e.g., word the amount of information communicated by a or sentence sequences). systemoftelegraphicsignals?flowdoesone Concerned with factors such as those just mentioned, comparethesetwoquantitiesanddiscussthe informationtheorists have developed mathematically a efficiency of coding devices?"(Science end In- measure of the so-called amount of information ina formationTheory,NewYork, AcademicPress, message. Unfortunately, their use of "information" has 1956, p. vii.) been confused with other uses (as discussed in Section 4) usuallyinformationtheoristsarcconcernedwith And Ychoshua Bar-Hillel says: measure of the relative rarity of a certain signal sequence among allpossible signal sequences of the samelength. "One of thetasks with which communication For example, the relative frequency of the sequence t-h-c engineersarepresented is thatofdevising a among allthree-letter sequences in English interests the mechanism by whichasignificantsequence of communications engineer. Thus Cherry says that informa- words,amessage,produced by somebody, the tion is described "solely as the statistical rarity of signals sender of the message, is reproduced at some other from an observed source," (Cherry, op. cit., p. 226.) place, with the shortest practical time lag.... The The unit of measurement commonly used is the bit following illustration is typical: A writes on a sheet (abbreviation of binary digit). Ludwig von Bertalanffy of paper '1 love you' and wishes that El, 3000 miles says: away, should become aware of the full content of this message, with little delay and at a low cost. "rake the game of Twenty QuestiOns, where we There will be institutions, in a capitalistic society, are supposedtofindout an object by having which will compete with each other in providing A, answered questions aboutitby yes or no. The foraprice,withtherequiredservice.Those amount of information conveyed in one answer is a companieswhichperformtheseservicesmost decision between two alternatives, such as animal or satisfactorily,i.e., with an overall better combina- non-animal. With two questions, itispossibleto tion of faithfulness, time lag, and cost, will get the decide for one out of four possibilities....With job. The executives of these companies will hire three questions it is a decision out of eight, and so engineers and put them to work on improving this forth. Thus the logarithm at the basis 2 of the overallcombination." ("AnExamination of In- possible answers can be usedas a measure of formation Theory," Philosophy of Science, Vol. 22, information.... The information contained in two 1955, p. 86.) answered questions islog2 4 =-= 2bits,ofthree answers, log2 83 bits, and so forth." ("General A communication sstemn often is said to consist of five System Theory," General Systems Vol. I,1956, p. parts, as differentiated by Claude Shannon and Warren 5.) 1Veaver: (I) the source of the message; (2) a transmitter, "which operates on the message in seine way to produce Despite general verbal iugreirmucuit as to what the word

1 1 8 108 A CURRENAPPRAISAL "eybeowties" describes, precisely what inquiries cyber- inall kinds of systems. Its purpose is to maintain netieists make isnot alwaysclear.Beer says: "Some system stability in the face of change. Cybernetics people thilikthatcybernetics is anotherwordfor cannot he studied without considering coninniniea- automation; some that it concerns experiments with rats; timi networks, information flow, and some kind of some that itis a branch of matherna tics; others that it balancing process aimed at preserving the intem-ity wantstobuilda computer capable of ruuningthe of the system." (Organkations, Vol. 1, 2nd ed., New country." (Beer, op. cit.. p. Yor%, Wiley, 1969, p. 24.) Insofar as cybernetics has been claimed to he relevant for behavioral scieuce inquiry, , two types of work seem to Governors and thermostats illustrate negative feedback. be most important: When an engine's speed varies beyond a certain range, the i)Cyhernetieists, like general systems theonsts, often governor operatestomaintainthe speedwithinthat seek analogies in different areas of inquiry with the hope range. Such feedback is called negative because the work that the unification of science will be furthered. Wiener done by the feedback mechanism opposes the "direction" describes one such analogy that stemmed from the efforts of the main system. Positive feedback occurs when the of W.S. McCulloch and W.II. Pitts to design an apparatus feedback mechanism acts so as to amplify the work of the through which the blindcould "read, Printed words main system, as when automobile power brakes amplify were converted to sound by a photocell scanning of the foot pressure. printed type. Wiener goes on to say; Wiener andhiscollaboratorsdeveloped some hy- potheses or conjectures about human behavior based on "Dr.McCulloch'sdeviceinvolved a selective their observations of feedback. Negative feedback may reading of the type-imprint for a set of different leadtooscillationiftheoperation ofthefeedback magnifications. Suchaselectivereading canbe mechanismresultsin"overshooting" of a magnitude performed automatically as a scanniug process. This similartothedeviation fromthedesired rangethe scanning, to allow a comparison between a figure and a feedbackmechanism is correcting.For example, in Oven standard figure of fixed but different size, was a ]:,1-recting a room temperature that is 50 above what is

device which I bad already suggested... . A diagram of desired, the temperature may go back to 50 below the the apparatus by which the selective reading was done setting,etc. Wiener conjectured that oscillation should came to the attention of Dr. von Bonin Fan anatomist I, also be found in organisms, if organisms are "controlled" who hnmediately asked, "Is this a diagram of the fourth by negative feedbac-k. One of his collaborators suggested layer of the visual cortex of the brain?' " (Wiener, op. that a patient with cerebdlar disease exhibits oscillation. cit.,pp. 31-32.) Such a patient cannot directly and smoothly raise a glass to his mouth, but rather overshoots, first in one direction la particular, mach attention has been given to analogies and then in another. Wiener and his co-workers regard this between the nervous system and the digital computer. parallel as most helpful: "The analogy with the behavior According tu George: of a machine with undamped feedback is so vivid that we venturetosuggestthatthemainfunctionofthe -It should also be noticed that this [the ease with cerebellumis thecontrolofthefeed-back nervous which computer hardware copes with binary states] is mechanismsinvolvedin purposefulmotoractivity." one of the reasons whycyberneticspays so much (Arturo Rosenbleuth, Norbert Wiener, and Julian Bigelow, attentionto the development of computers. Itis "Behavior, Purpose,andTeleology,"Philosophyof because it was felt that there is adistinct resenzblanee Science, Vol. 10, 1943, p. 20.) between the two-state switching devices of the digital Much excitement about cybernetics stems from the fact computer inzd the two-state neurons that make up the that although older machines did not offer many parallels human nervous system.Neurons need not necessarily to thecomplex aspects ofhumanbehavior,the be regarded astwo-state switches,but what is development of machines that can play games of strategy, important is they can be so regard ed. " (George, op.cit., detect and correct some of their errors, store information, p. 33.) etc., does offer such parallels. Assuggested bytheforegoing, much workin ii) A more restricted field of inquiry is the investigation of information theory and cybernetics concernsthe feedbackin machines and in organisms. Some writers see the questions of machine design and functioning. However, as major work of cybernetieists as the inquiry into the extent to noted by Parkman, many workers in these areas believe which biological phenomena can be accounted for in terms of that the significance goes far beyond engineering; feedback. According to J.0. Wisdom : "To many engineers and scientists it [cybernetics] is 'The basic hypothesis of cybernetics is that the a mathematical means of developing the theory and chief mechanism of the central nervous system is design of computers and other 'brainlike' machines; one of negative feed-back. The field of study is not, and among them are some who feel that neither however,restrictedto feed-backs of the negative cybernetics nor information theory have fulfilled their kind. Secondly, cybernetics makes the hypothesis originalpromiseinattackingspecifictechnical thatthenegativefeed-back mechanismexplains problems. To others it is less a body of facts or 'purposive' and 'adaptive' behaviour." ("The Hy- equations than a way of thinking to demonstrate the pothesis of Cybernetics,Ceneral Systems,Vol.I, unity existing between disciplines. They sec cyber- 1956, p. 112.) netics pointing to fundamental meanings we already sense, and offering atheoretical justification for Litterer emphasizes the maintenance of system describingthelimits ofand probing thestill- stability through feedback: mysterious boundary betweenliving and non-livin systems. This latter point of view is the one favore "Cybernetics has to do will feedback and control here." (Parkinan,op. cit., p.215.)

119 INFORMATION THEORY 4ND CYBERNETICS 109 4. RESULTS ACHIEVED ".. .suppose that the engineer is given a source of rate II, and a channel, totally unrelated to the source, Conflicting assessments of the merits of the work done in of capacity C. Then Shannon shows that, if .II is less information theory and cybernetics are found. As the thanC,theengineercan design(i.e.,setup passage just quoted from Parkman indicates, even the mathematical descriptions of) translating devices for technical engineering achievements are disappointing to each end of the channel, between the given source some observers. The significance for behavioral science andthe channel and between the channel and problems, of course,isof greater importance for the recipient, of such a nature that the text from the present volume. source can be recovered by the recipient with a As in other newer fields, excessive claims often were probability of error which can, by design, be made as made initially. Rapoport notes that information theory was small as desired. On the other hand, if If exceeds C, repeatedlyhailedas a 'major breakthrough.''" ("The therewillalways remainresidualerrorsinthe Promise and Pitfalls of Information Theory," reprinted in receivedtext no matter how the encoding and Buckley, op.cit., 13. 137.) Cybernetics frequently was decoding is performed.("Mathematical Aspects of regarded as a revolutionary new development that shortly Information Theory," in Brockway McMillan et. a!, would transform the behavioral sciences, but as Caxton Current Trends in Information Theory, Pittsburgh, Foster observed, theinitialenthusiasm frequently was University of Pittsburgh Press, 1953, pp. 10.1 1.) followed by disappointment and disillusionment. (Review of W. Ross Ashby's An Introduction to Cybernetics, in In general, many problems of matching sources to a Behavioral Science, Vol. 2, 1957, p. 319.) channel, of effectively encoding messages, etc., have been The theme of enthusiasm followed by disillusionment adequately solved. Such useful, if limited!, results often have can be illustrated more specifically by what happened in been taken as having far-reaching implications for human the field of machine translation of languages. In the 1950.s, communication in general, as is illustrated by the following many believed that the translation of, say, Russian into statement: English would soon be a routine computer task. But in 1966 a CommitteeoftheNationalAcademyof "Indeed,itmight be saidthatallinteraction SciencesNationalResearch Councilreportedthat no between situations and individuals can be regarded as machine translation of a general scientific text was likely in communicationandcanbestudiedwiththe the near future, and that unedited machine translations techniques of communication theory. This is the werepoor in qualityandsometimesmisleading. perspective which has been adopted by INorbert "Languages and Machines: Computers in Translation and Viener in his Cybernetics (1948) and in The Hurnan inguistics,Pub. No. 1416, Washington, D.C., National Use of Human Beings (1950)." (John B. Carroll, The Academy of Sciences, 1966.) Victor H. Yngve notes that Study of Language, Cambridge, Harvard University "those working in the area [mechanical translation ] have Press, 1959, p. 205.) consistently underestimated the difficulties throughout the brief history of the lield." ("MT at M.I.T. 1965,in A.D. But the"communication'. thisquotationrefersto Booth,ed., Machine Translation, New York, American involves questions of the significance of the messages Elsevier, 1967, p. 453.) According to George, many of the communicated (what alleged facts the messages state, etc.); difficulties seem to stem from a neglect of the behavioral technical information theory does not deal with such context of language use. (George, op. cit.,p.30.) Of questions. ThE confusion between the application of the interest is Booth's description of the change of attitude of label"information" ininformation theory and other Bar-Hind, who was a pioneer in machine translation: applications is widespread. Bar-Hillel says: "In the initial phases of the work he was fired with "This christening[ information" as a label for enthusiasm for machine translation but later became signal sequence]turned out to be a continuous known as 'the leader of the destructive school against source of misunderstandings, the more so sinceit machinetranslation,'apositionwhichhe can sounds so plausible thatwhen we speak of the properly be said still to hold. After acting as one of capacity of a system to transmit information we thechiefinstigatorsoftheFirstInternational implysomesort a quantitativemeasureof Conference on Machine Translation held at M.I.T. in information' However,itis psycholo:gically 1952, Bar-Hillel drifted steadily from a position of almost impossible not to make the shift from the one enthusiasm to one of profound gloom about the sense of information, fur which this argument is subject, a drift which resulted in his filling the critical indeed plausible, i.e. information = signal sequence, positiononthe subject which he now does." to the other sense, information = what is expressed ("Introduction," in Booth, op. cit., p. vii.) by the signal sequence, for which the argument losesallits persuasiveness.... Therefore, we see Basicto many attempted behavioral science applica- over and over again that, in spite of the official tions of information theory is the formula stemming from disavowal of the interpretation of 'information' as Shannon's workforameasure of the "amount of 'what is conveyed by a signal sequence,"amount of information" (1) contained in a message: information,' officially meant to be a measure of H I pi log pi therarityofkindsoftransmissions ofsignal sequences, acquiresalso, and sometimes predom- Theprobabilityofchoiceoftheithmessageis inantly,theconnotation of a measure. _of the esignated by pi; if the logarithm to the base 2 is used, kindsoffacts.. .designatedbythesesignalse- the amount is given in bits.) Shannon used C to designate the quences." (Bar-Hillel, op. cit., p. 94.) capacity of a communication channel. Brockway McMillan states one of Shannon's basic results concerning the problem The confusion Hardline! discusses sometimes occurs in of the most efficient coding for a channel: asimple, direct way, asinpopular accounts of the 120 110 A CURRENT APPRAISAL amount of information containedina book or the formal information content,a thousand connected Sunday issue of the New York Times. At other times, the Englishwords."("StatisticalandQuantitative confusionis more subtle. The technical application of Methodology," in Donald P. Ray, ed., Trends in "information" is recognized, but yet that application is Social Science,INewYork, Philosophical Library, assumed to have implications for the everyday sense of 1961, pp. 121-122, italics added.) "information." For example, James G. Miller says: Some anthropologists have adopted aspects of inforrna- timitheory(or information theory plus cybernetics). "Throughout this presentation information (H) Claude Levi-Strauss maintains that the brain uses a binary will be used in the technical sense first suested by code, and he views:human society as a communication- Hartley in 1928. Later it was developed by Shannon exchange machine. Social phenomena are "messages," for in his mathematical theory of communication. It is which languageis a code (The Savage Mind, Chicago, not the sante thing as meaning or quite the same as University of Chicago Press, 1966). And Edmund Leach information as we usually understand it. Meaning is argues for a parallel between the brain and the computer; the significance of information to a system which the brain must followa"program" thatisinherited processes it. _ _Information is a simpler concept: geneticallyc"ClaudeLevi-Strauss:Anthropologist and the degrees of freedomthatexistinagiven Philosopher,"in Robert A. Manners and David Kaplan, situation to choose among signals, symbols, mes- eds., Theory in Anthropology, Chicago, Aldine, 1968). sages, or patterns to be transmitted." ("The Nature Probably psychology is the behavioral field to which of Living Systems," Behavioral Science, Vol. 16, information theory has been most frequently applied as a 1971, pp. 279-280.) "breakthrough" technique. However, many applications did not prove useful. According to Lee J. Cronhach: However,onthenextp toshiftto "information" in a more usual nse: "An examination of the studies employing the Shannon...formula, however, suggests strongly that "Moreover...living systems must have...specific it has been accepted whole, with insufficient scrutin patterns of information. For example, some species of its internal workings. As with the famous gi t of animals do not develop normally unless they horse, psychologists seem to have felt that it would have appropriate information inputs in infancy. As appear ungrateful to become too inquisitive." Harlow showed, for instance, monkeys cannot make proper social adjustment unless they interact with "My examinationofpapersusing Shannon's other monkeys during a period between the third measure leads me to conclude that many applica- and sixth months of their lives." (Ibid., p. 281.) tions of the measure must be regarded only as playful.... A use of information theory may be Wayne Lee referstothe "obvious importance of taken seriously when the author shows a specific information in decision making" and expresses surprise rationalefordescribinghis data by Shannon's that there hasn't been more work "bridging information measure. The rationale cannot be merely that he is theory and decision theory." When he discusses the cost examining a communication process or something of obtaining information useful for decision making and that can be compared to one. He must show that related topics, he clearly seems to be using "information" thisprocessislikeShannon'sincertainbasic in the everyday sense, and yet he also mentions the particulars.... If ari investigator's process does not "technical sense " of information theory and notes that conform to thesespecifications, he can perhaps often decision theorists use "amount of information" to ltriodifythe Shannon formulationhut no one refer to the "number of samples observed rather than seems to do this. He can demonstrate that his informationinbits."(DecisionTheory and Human conditionsarenearenoughto Shannon's that Behavior, New York, Wiley, 1971, pp. 267-268, p. 249, p. discrepancies can be ignoredbut this is usually not 268.) tested. He can continue to use Shannon's measure In thefollowing quotation from John W. Tukey, asa crude approximationto more appropriate calculationsbasedonthetechnicalapplicationof functionsthis seems less useful than developing the Information" are said to "verify" a maxim that rests on proper rational function to fit the situation." ("On a common-sense application of "infonnation": theNon-RationalApplicafionofInformation Measures in Psychology," in Quastler, op. cit.,p. 'Modern information theory allows us to verify 14, pp. 24-25.) the old maxim that 'a picture is worth a thousand words.' A thousand words of connected English, at Attempted applications_insycholly are still found 6 characters (5 letters and space) per word-, and 1 (see,forexample,11.8.G. ornas, An Information- bit per character... ,amounts to 6,000 bits of Theoretic Model- for the Serial Position Effect," Psycho- information, equivalent to a choice among 2s000 logical Review, Vol. 75, 1968, and Donald P. Spence, equally probable patterns. A scatter diagram for n "The Processing of Meaning inPsychotherapy: Some ints on a 80 hy 80 grid...would involve one of Links with Psycholinguistics and Information Theory," 0" = 2"."alternativesifthepointswere Behavioral Science, Vol. 13, 1968). It seems fair to say, distinguishable.lf,inaddition,allpatterns were however, that the major recent impact of information equallylikely,6,000bits would correspond to theory on behavioralscienceproblems has been via about 500 points. With 80%806400 cells for the cybernetics. 500orsopoints,allowanceforoverlapand Much progress has been made in the design of machines indistinguishability of points need only be small. to perform complex tasks, often more efficiently than Thus ascatter diagram of six or seven hundred humans can. As we noted earlier, the parallels between points, if all diagrams are equally likely, is worth, in aspects of behavior and the functioning of such machines INFORMATWN TIMY AND CYBERNETICS Ill have led to man) cybernetic conjectures about behavior. Warren Breed, entitled The Self-Guiding Society, New To illustrate,Wisdom_ mentions the following, among York,FreePress,1971).Richard Stone argued that others: (1) that the brain may become -overloadetl" iii economists"foryears. ..have been talking cybernetics the same way that a telephone exchange can; (2) that the %without knowing it" (Stone, op. cit.,p. 33), and Arnold continuous forward walking of cats with acauterized Tustin developed a feedback model of some of J.M. interpeduncular nucleus can be explained as the failure of Keynes' economic notions(The Mechanism of Eco- a negative feedback mechanism; (3) that the unceasing nomicSystems, London,I l cinema nn,I 953).Many swimming until death observed in cuttlefish whose higher applicationsin psychology are found; to mention only braincentershavebeenremoved maybe similarly one, Tamotsu Shihutani regards the cybernetic model of accounted for; and (4) that positive feedback may help to motivation as superior in many respects to other models account for some cases of renal disease in which renal ("A Cybernetic Approach to Motivation," in Buckley,op. damage leads to hypertension, the hypertension in turn leads to further renal disease, and so on, until death. lu all this work the key question, we suggest, is the (Wisdom, op. cit., pp. 115-117.) extent to xvhieh the analogies, models, and simulations are As one might expect, many conjectures that at first sight useful. Typically the internal aspects of the model are seem promising arc not confirmed by the evidence. To ceneentrated upon much more tlhan the "matching" of illustrate, Heinz von Foerster made a study of memory in the model to the behavior being studied. In a recent book which he used the principles customarily applied to the reviewing a wide variety of simulations, Michael Inbar and so-called decay ,process inphysics and chemistry. His Clarice S. Stoll contrast reliability and validity. They say: conjecture was that forgetting may bc the result of the "The basic principle for establishing the reliability of a destruction of some of the elementary brain impressions. simulationis thatsuccessive runs should give similar He assumed that these impressions were caused by the resalts-.. Reliability is not of great concern in computer receptorssensingevents.Applyingdecayprinciples simulations-..Withonlyrare exceptions a computer rsulted inaforgetting curve that was contrary to the simulation,onceitisoperatiN,is unreliable[an observed data. By introducing other "forgetting coeffi- unfortunatetypographicalerror].They obseme that cients," von Foerster was able to modify his conjectureso "the easiest and- least dependable method of validation" is that it conformed to experimental evidenceon human that the simulation-appears reasonable orhasface memory. He also tried to account for hallucinations and validity." (Sirvulation and Gaming in Social Science, New thedejtsvu phenomenon. ("Quantum Theory of York, Free Press, 1972, pp. 278-279, p. 281.) Memory,"in Transactiomof theSixthAmerican Inshort,although both informationtheorists and Conference on Cybernetics, New York, Josiah Macy, Jr. eyherneticists have developed many conjectures about Foundation, 1950.) Beer comments onvon Foerster's behavior, the extentto whichthoseconjectures are article: "Where this particular piece of work leads is not warranted usually remains to be seen; highly "reliahle yet clear." (Beer, op. cit., p. 38.) models often lack "validity." More recently, much attentionhas been givento artificialintelligence,the development of machines or 5. CONTEMPORARY CONTROVERSY computerprogramsimulationsthatarecapableof performing what usually are viewed as uniquely human Themajor controversies,bothwithinin formation modes of behavior. Considerable work also has been done theory and the application to other fields,concern the on self-reproducing machines, with John von Neumann notionof"information."There now seemstobe being a pioneer. ("The General and Logical Theory of general agreement that the technical use of "informa- Automata," in Lloyd A. Jeffries, ed., Cerebral Mecha- tion'isconsiderablydifferent from the everyday use, nisms and Behavior, New York, Wiley, 1951.) Although althoughsuchaneminenteyberneticianas Wiener von Neumann's machines have not been built, hardware regarded"amount of information" and "amount of models of simpleself-reproducing systems have been meaning" as synonyms, and assertedthat. the amount constructed.However, there are important differences of meaningeaubemeasured(The Bunwm Use of between the animal and machine progeny; in animals the hrwmanBeings,Boston,HoughtonMifflin,1950,p. infants are simpler than their parents and developto 7-8). maturityovertime;self-reproducingmachinesyield W' Witthe groupdistinguishingbetweenthe two fully-forrned new machines like the odginal. (Fora recent senses of "information," some emphasize the dif ference and summary of work in these areas and several others, see see no or few connections. Bar-Ifillel, for exampk, says: Parkman, op. ed., Chs. 8 & 9.) Attempts have been made to apply cyberne "fiat it must be perfectly dear that there isno many complex forms of behavior of men-in-society. For logical connection whatsoever between thesetwo example, thepolitical scientist,Karl W. Deutsch, saw measures, i.e.the amount of (servantk) information manypotentialgainsfromusing cybernetic notions conveyed by a statement and the measure of rarity ("Toward a Cybernetic Model of Man and Society," in ofkinds of syntbol sequences. . The event of Buckky, op. cit., and The Nerves of Government, New transmission of a certain statement and the event York, Free Press, 1966); E.S. Savas applied cybernetics to expressed by this statement are, in general, entirely New York City government ("Cybernetics in City Hall," differentevents, ." op.cii.,pp. Science, Vol. 168, 1970)- Mervyn L. Cadwallader regarded 95.96.) the "breakthroughs" ininformation theory and cyber- netics as ofconsiderable significancefor sociology" Others, however, bdieve that there is malut important ("The Cybernetic Analysis of Change in Complex Social connection and that a "theory of meaning"can be built Organizations," reprintedinLitterer, op.cit.,Vol.II), oni nifornia tits IItheory. .Warren Weaver,for example, and Arnitai Etzioni applied cybernetics to the study of differentiates three aspects of "the general communication total societies (The Active Society, New York, Free Press, pniblem": Level A, which eolicerns the accuracy of signal 1968; see also the condensation of Etzioni's hook by transmiission ; lxvelII, which concerns die iirecision with 112 CURRENT APPRAISAL which the transmitted signals convey the message; and sound, that the further models are sufficiently close to Level C, which colwerns the effeetiveness with which the what they are modeling to be useful, and other dubious message affects conduct. Ilegoys on to say: -facts." Ashby mentions numerous possible isomorphisms or parallels in otherwise very different systems, praises "...the mathematical thecny of communication, generalsystemstheoristsfor"putting-together" what as developed by Shannon, Wiener, and others... "classic"scientistsdid not,apparentlyconfuses the althoughostensiblyapplicableonlytoLevel A everyday and the technical senses of "information," and problems, actually is heltiful and suggestive for the then concludes that "information theory will eventually I.evel B and C problems.' play an important and active part in general systems theory." (W. Ross Ashby, -Editorial,"Behavioral Science, -The einteept of information developed inthis Vol. 18, 1.973, p. 6.) theoryatfirstseems disappointing and bizarre- Thedevelopmentofmachinesthatcanperform disappointinii becauseithas nothing to do with complex functions has stimulated further discussion of meaning, ani'dbizarre becauseitdeals not with a ancient questions such as "Can machines think?" and "Is , snglei message hutratherwiththestatistical man a machine?" Such discussions often are bogged down character of a whole ensemble of messages.... I in semantic confusions; considerable reliance is placed on think, however, that these should be only tempo- sabout future developments of machines; and rary reactions; and that one should say, at the end, requentlytechnicaldisagreements areinvolved.To that this analysis has so penetratingly cleared the air illustrate the technical disagreements, brief mention may that one is now, perhaps for the first time, re Arty be made of Gadcl's Theorem, a topic on which there is a for a real theory of meaning." sizableliterature.KurtGodel showedthatinthe formalizationsof elementary number theory andits -One has the vague feeling that informatk.n and extensions, "true" sentences are formulable that, however, meaning may prove to be something like a pair cf cannot be derived formally within the theory. canonically conjugate variables in quantum theory, Some have argued that this theorem refutes or casts they being subject to some joint restriction that serious doubt on any "mechanistic" interpretation of condemns a person to the sacrifice of the one as he thinking.ErnestNageland JamesR. Newman, for insists on having much of the other." (Shannon and example, argued that Giidel's theorem "does indicate that Weaver,op.cit., p. 114, P. 116, p. 117.) the structure and power of the human mind are far more complex and subtle than any non-living machine yet Rapoport also has argued somewhat similarly: envisaged."_(Cddel'sProof,NewYork, NewYork University Press, 1958, pp. 101-102.) Hilary Putnam, in "It is naive to takesimply the flux in signals per his review of their book, maintained that the statement secondtomultiply bybitspersignalsinthe just quoted is "simply false."(Philosophy of Science,Vol. communication engineering sense and call the result 27, 1960, p. 207.) 'amountofcommunication'intite sense of Although the development of cybernetic technology is transmission of knowledge (labeling everything one advancing rapidly, very little can be said with assurance does not like 'noise). If there is such a thing as about the eventual adequacy of cybernetic models for semantic information,itis based on an entirely behavioraldescription.(Thefollowingillustratecon- different kind of 'repertoire,' which itself may be temporary controversies concerning the thinking ability of different for each recipient. Yet some meaning machines: Sidney Hook, ed.,Dimensions of Mind,Ne lurks in the expression 'to acquire information'! We York,NewYorkUniversityPress, _1960; AlanR. feel,however vaguely,thatasarace we have Anderson, ed.,Minds and Machines,Englewood Cliffs, learned certain things as a result of which we can Prentice-Hall, 1964; A.M. Turing, -Computing Machine more effectively 'order the universe' to our liking. and Intelligence,"Mind,Vol. 59, 1950; and Charles We have learnedto reversethe degradation of Chihara, "On the Alleged Refutations of Mechanism Using energy locally by putting heat to work ..At this Gödel's Incompleteness Results,"Journal of Philosophy, point we could he accused of the same promiscuous LXIX, 1972.) speculation we have implicitly warned against. We eau only plead that such speculation isextremely 6. TERMINOLOGICAL PROBLEMS difficult to avoid." (Rapoport, "The Promise and Pitfalls of Information Theory," pp. 139-140.) The confusions about various applications of the label "information"aresometimesmadeevenworseby Incybernetics,probablythemajorcontroversies attempted clarifications. Often, for example, "informa- concerntheusefulness of analogies,simulations, and tion" is distinguished from "meaning," and information models. Some eyberneticistsenthusiasticallyproject a theory is said not to be concerned with the latter (e.g., -cybernetic control" of large-scaleinstitutions on the George A.Miller,Language and Communication,New basis of the further development of models. Beer, for York, McGraw-Hill, 1941, p. 41; Shannon and Weaver, example (see the quotation from him given on p 5 of op.cit.,p.3, p. 99), but "meaning" is a notoriously Ch. I), starts with a feedback model of some of 'Keynes' misleading name. "Information" in the everyday sense notions, says that it "must be possible" to construct a often is taken as equivalent to "knowledge," which also is simulation model of the economy, that it may be feasible a confusing name. toexperiment on that model by means of analogue "Communication" frequentlyisused undearly, and engineering, and concludes: "And, if allthis is possible, may be discussed in terms of the interactions of "minds." then the economy becomes a fit subject for cybernetic Weaver, for example, says: controlrather than guesswork and the vapourings of olitical theorists." (Beer,op.cit.,p. 35.) Beer assumes -The wordcommunicationwill be used here...to ere that Keynes' highly controversial original work was includeallof the procedures by which one mind INFOHM.4 TIOJV THEORY AND CYBERNETICS 113 may affeLt another. This, of course, involves not seems impossible to ascertain just what is intended. Some only written aud oral speech, but also music, the cyberneticists have triedto eliminate older teleological pictorial arts, the theatre, the ballet, and in f;:et all notions entirely,but assume that doing so involves a human behavior. In some connectionsit may be restrictiontophysicochemicalprocedures.Ashby,for desirabletouseastillbroader definition....- example, says: (Shannon and Weaver, op. cit., p. 95.) "No teleological explanation for behaviour will he Bar-Hind regards the confusions in information theory used. It will he assumed throughout that a machine as so great that he suggests the field should be renamed or an animal behaved in a Certain way at a certain "Theory of SignalTransmission," which would more moment because its physical and chemical nature at accurately describe what has been achieved in the field of that moment allowed it no other action. Never will signalengineering. He also says that a "terminological we use the explanation that the action is pLrformed clean-up is also required for the use (in order to avoid the because it will later be advantageous to the animal. misuse)of the following: "sign," "messar," "word," Any such explanation would, of course, involve a "symbol," "signal," "code," "code clement,' "elementary circular argument; for our purpose is to explain the symbol," "signal sequence," "symbol sequence," etc. In origin of behaviour which appears to be teleologi- ,riew of his careful documentation of confusions, to read cally direeted.(Design for a Brain, 2nd ed., New thefollowingbyaconferencegroupissomewhat York, Wiley, 1960, p. 9.) surprising: "In this field [information measures], we seem to be in the fortunate position of having cleared up the Ackoff and Emery, on the other hand, view mechanistic conceptual difficulties. The difficulties which remain are and teleological procedures as more complementary than bynomeansminorones,buttheyare'merely' antithetical;theyalsoarguethat humans can seek technical." ("Concluding Review," in Quastler, op. cit., p. different goals in the same stimulus situation and thus are 3.) unlike servo-mechanisms and other goal-seeking systems As do general systems theorists,eyberneticists have (Russell L. Ackoff and Fred E. Emery, On Purposeful some problems with "system." Beer, for example, says: Systems, Chicago, Aldine-Atherton, 1972). '...anything that consists of paris connected together Sometimes "machine" is given a very broad applica- will be called a system. For instance, a game of snooker is tion: a system, whereas a single snooker ballis not. A car, a pair of scissors, an economy, a language, an eu, and a "...a machine has been defined as a device which quadratic equation: all these things are systems." (Beer, is capable of detecting something going on outside op. cit.,p. 9.) But surely the snooker ball "consists of itself,of changing its own state,of shiftingits parts connected togetherand therefore is a system. And positionto detect something else and of taking indeed Beer on the very next page says that a single blade some action which alters what is happening outside of a scissors"containsa systemthis time of atomic it. A typewriter can he fitted to this description; so characteristics." He further says: "So the problem of can a starfish, a steam-hammer and a brain." (Beer, stating the system we wish to study is by no means op. cit., p. 91.) easy.' (Mid., p. 10.) "Control" also is troublesome. Beer says: "This word is There may be adequate reasons for so applying the not used in the way in which either an office manager or label "machine," but if so,itis hardly surprising that a gambler might useit;itisusedasa name for many parrtilels then can be found between machines and connectiveness- ' (Ibid., p. 9.) If so, it might be clearer to organisms. also George, op.cit.,pp. 38-39, for a use "conneetiveness" rather than "control." Some of the discussion of the broad application of "machine.") confusions that result can be illustrated by questions such as `Val machines ever control man?" Wiener has written 7. COMMENT AND EVALUATION extensively on this question and expressed worry about humans being victimized by machines: Developments in information theory and cybernetics illustratetwo dangers inbehavioralinquiry:(1) the "It has even been supposed...that the dangers serious misunderstandings that can result from termino- mentioned by Samuel Butler that the machines may logical confusion; (2) the exaggerated claims that often to some extent control humanity are absurd and are made for the usefulness of mathematical techniques empty. Now that the machines are stepping up one andmodels.Theunderstandabledesiretofurther or more stages in their functions...the difficulties quantitative measurements sometimes apparently leads to and dangers conceived by Samuel Butler assume a the belief that what has been developed rigorously within newactuality."("TheBrainandthe Machine a model must be usefulin inquiry. To illustrate, in a [Summary]," in Hook, op. cit., p. 114.) recent (1971) book, the author first says that although information theory "has not led to any startling new Without minimizing possible social problems arising from practicalinventions" and "has merely confirmed the increasing automation, "control" used inthe sense of inventions which came before the theory," there is "one "coercion" (as a machine forcing us to do something we major achievement" that "must not be overlooked": do not want to do), should be clearly differentiated from "control" in the sense of "connectiveness," or from other Workers in many different disciplines have found relations that cyberneticists include as aspects of control. that the theory ean be applied to their work. Because of Writersoncyberneticsuse"purpose"frequently. this,the theory has helpedintheprocess of "Purpose" sometimes is used in a way reminiscent of cross-fertilization of ideas from one discipline to Aristotelian teleology; sometimes to refer to the function another. It provides a common language, and definable of a machine; and sometimes in the sense of goal-seeking quantities,forusein many differentfieldsof behavior, as when a hungry animal seeks food. At times it endcavour. (Young, op. cit., Preface, italics added.)

124 I 14 A CU! 'T APPIISAL Maoyothersalso vcri soenthusiasticaboutthe ti(m," American /uzilzcnuaticaISociety Proceedingsof quantitativeaspetsofthemodelstheyapparently Symposia in ApplWd Mathematics,Vol, 12,19(,1). The failed to note that the -information" measured syntactics-semanties-pragmatiessplithas beencriticized through Ow models isnotthe -information" usually Tel, by Dewey and Bentley: of concerntobehavioralscientists;i.e.,a "common language"wasnotdeveloped. ( criticism iswell "\lurrjs attaches himself to Carnap. Ilis emitribn- expressed by Bar-Ilillel:"Itisup to the engineersto lionliesinthe 'pragmatics' he has added to thc revisetheirterminology, notin order to please some dw.lier'semantics' and `syntacties'. -to yieldthe overpedantiephilosopher orlogicianbutinorderto three'irreducible:A,'the'equallyleOtimates', save themselves futilediscussionsandtodiscourage Carnap gratefully accepts this offering with qualifi- othersfromill-advised'applications. (Bar-Hillel, op. cations. .It enables him to toss all such uncom- p.104.) fortable issues as 'gainingandcommunicating As we have noted earlier, although even the inets knowledge' to the garbage bucket of pragmatics, of the engineering developments in these fields whilehimselfpursuing unhamperedIds'logical sometimeshavebeenexaggerated, strong claimsstill analysis'...in the ivory tower of syntactics and in are foundalmut thefuture,both in respectto thestraggling mud huts of semanticsscattered engineering and human behavioral applications. George, around its base. Neither Carnap nor Morris seems to forexample,says: "Cybernetics, as it reachesits lie aware-or, if aware, neither of them is bothered fulfillmcnt,will almost certainly supply the automation by the fact-that pragmatism, in every forward step ofthethinkingprocesseswhichwilleventuallyplan that has been taken in the central line from Peirce, and organize our society asa whole." (George, np. has concentrated on `meanings'-in other words, on cit.,p. 90.) the very field of semantics from which Carnap and Inaddition,some workersinthesefieldsclaim Morris now excludeit.To tearsemantics and originalityfor views that were developed much earlier, pragmatics thus apart is to lead from Peirce back and sometimes more coherently. TO illastrate, recently towards the medieval." (From Ch.IofKnowing William 'F. Powers has criticized conventioual behaviorist an(l the Known,reprinted in R. Handy and E.C. psychologists for relying on the notion tilat stimuli cause llarwood,Useful Nocedures of Inquiry,Great responses, butnotvice-versa. Ilesnggests a "new Barrington, Behavioral Research Council, 1973, p. theoretical approach to behavior" that will give att(otion 99.) to-feedbackeffects";"causeandeffectlosetheir distinctness and one must treat the closed loop as a whole We suggest that the transactional procedures developed ratherthansequentially." ("Feedback: BeyondBella- inKnowing and the Knownare far more adequate for viorism," Science, Vol. 179, 1973.) inquiryictosion-behavior,including "meanings" and We believethat such criticisms of conventional S-R ,'communication7" views have been developed earlier and more adequately by Dewey andBentley.hihis well-known 1896 article, 8. SELECTED BIBLIOGRAPHY Deweyarguedthatstimulusandresponseare not immediate data, but truncated partial statements of what Anderson, Alan IL, ed,, Minds andMachines,Englewood happens, and that for adequate description both need to Cliffs, Prentice-Hall, 1964. beconsideredasphases of a common event. ("The Ashby, W. Ross,Design for a Brain,2nd rd., New York, Reflex-Arc ConceptinPsychology,"Psychological Re- Wiley, 1960, view,Vol.5,1896.) Inlater years he developed that Attncave, Fred,Applications of Information Theory to pointofviewmoreadequately, culminatinginthe Psychology,New York, Holt, 1959. transactional proceduresofinquirydevelopedwith Beer, Stafford,Cybernetics and Management,New York, Bentley. Wiley, 1959. More generally, the holistic emphasis often advocated DecisionandControl,New York, Wiley, by eybernetieists usually is combined with interactional 1966, procedures and assumptions (e.g., see Ashby's "Editori- Booth,AD.,ed., 41achineTranslation,New York, al").which leads toincoherence.Tryingto-put American Elsevier, 1967. t wether- in a holistic system parts that are assumed to Brillouin, Leon,ScienceandInformation Theory,2id exist as separate "reals" apparently ac,ounts for many of New York, Academic Press, 1962, the difficulties cyberneticists find in describing adequately Buckley, Walter, ed.,Modern Systems Research for the some of their key notions, such as that of "system. Behavioral Scientist,Chicago, Aldine, 1968. Underlying many of the difficultiesconcerning Cherry, Colin, ed.,Information Theory,Washington, D.C., "meaning, " -communication," and "translation"isthe Butterworth, 1961. relianceon thethree-folddistinctionofsyntactics, , On Human Communication,New York, semantics,andpragmatics.or similar trichotomies. Much Wiley, 1957. of the work done on the engineering side is insyntactirs irge,F.11,,Computers, Science, and Society,London, relation of signals to each other), which does not yield Pemberton Books, 1970. useful results for the study of ordinary human communi- Hook, Sidney, ed.,Dimensions of Mind,New York, New cation. Rudolf Carnap and Bar-Hillel worked on a "theory York University Press, 1960. of semantic information" (withsemanticsviewed as the Inbar,Michael andStoll, Chime S.,Simulationand relation of signs to their referents), but that work also (lid Gaming in Social Science, NewYork, Free Press, not deal with ordinary languages or communication (for a 1972. brief account of their work, see Cherry,op.cit.,pp. Parkman,Ralph,The Cybernetic Society,New York, 231-243). Later, attempts were made to extend semantic Pergamon, 1972, informationtheorytoactual communicative behavior Quastler, Henry, ed.,Information Theory in Psychology, Rulon Wells, "A Measure of Subjective Inform- Glencoe,Free Press, 1955.

11 INFORMATION THEORY AND CYBERNETICS 115 Shannon, Claude, and Weaver, Warren, The Slathenualeal BULLETIN OF MATHEMATICAL BE PHYSI Theory of Corunmnication, Urbana,University of COMPUTERS AND AUTOMATION Illinois Press, 1949, CONTROL ENGINEERING Wien...T,Norbert, Cybernetics, New York, Wiley,I qtIt; ELECTRICAL ENGINEERING 2nd ed., Cambridge, MIT Press, 1961. ELECTRONIC ENGINEERING , The Human Use of Human Beings, Boston, Houghton Mifflin, 1950, GENERAL SYSTEMS Young, John F., informotion Theory, New York, Wiley, IBM JOURNAL OF RESEARCH AND DEVELOPMENT 1971. INFORMATION AND CONTROL JOURNAL OF EXPERIMENTAL PSYCIIOLOGY 9. GERMANE JOURNALS KUBFRNETES NATURE AMERICAN JOURNAL OF PSYCHIATRY PHILOSOPHY OF SCIENCE M/ERICAN PSYCHOLOGIST PROCEEDINGS OF THE INSTITUTE OF RADIO BEHAVIORAL SCIENCE ENGINEERS BELL SYSTEM TECHNICAL JOURNAL PSYCHOMETRIKA BIOMETRICS SCIENCE BRITISH JOURNAL FOR THE PHILOSOPHY SCIENTIFIC AMERICAN OF SCIENCE TRANSACTIONS OF THE AMERICAN INSTITUTE OF BRITISH JOURNAL OF PSYCHOLOGY ELECTRICAL ENGINEERS

126 XII. GENERAL S STEMS THEO

I. WORKING DESCRIPTION OF THE FIELD general as those of mathematics; however, the) are considerably more so than the specific formulathms EINEFAL systems inquirers attempt to &veto of specialized disciplines." warrantedamertionsthatapplyeithertoa I ".. .If mathematics ean he said to provide a Ian- systems, whether physical, physioloOcal, or beha- page of science,then General Systems may be vioral, or to many systems. They seek analogies, common -iewed as providing a skeleton of science. It is con- principles,and"formalidentities"thatholdacross cerned with those generalities of theory that occur in conventionally differentiatedfields of inquiry and that more than one specialized discipline and, in fact, may will lead to useful integrating conjectures, not be able fully to he developed within the confines of one discipline." ("Introduction," in Joseph A. 2. OTHER DESCRIPTIONS OF THE FIELD itterer,ed.,Organizations: Systems, Control end Adaptation, Vol.II, 2nd ed., New York, Wiley, 1969, Ludwig von Bertalanffy, a founder of general systems pp. ix-x.) theory, says: Anatol Rapoport says: "...there exist models, principles, and laws that apply to generalized systems or their subclasses, irre- 'General system theory' subsumes an on dook or spective of their particular kind, the nature of their a methodology rather than a theory in the sense as- component elements, and the relations of 'forces' be- cribed to this term in science. The salient feature of tween them. It seems legitimate to ask for a theory, this outlook is, as its name implies, an emphasis on not of systems of a more or less special kind, but of those aspects of objects or events which derive from universal principles applying to systems in general. In general properties of systems rather than from the this way we come to postulate a new discipline called specific content.... The system-theoretic point of General System Theory. Its subject matter is the for- view received its impetus from two sources: first, a mulation and derivation of those principles which are realization of the inadequacy of 'mechanism' as a uni- validfor 'systems' in general." ("General Systems veral model; second, a tendency to counteract the Theory,"General Systems, Vol.1, 1956, p. 1.) fractionation of science into mutually isolated spe- cialties." ("Mathematical Aspects of General Systems According to Kenneth Boulding: Analysis," reprinted in Litterer,op. eit,Vol. II, p. 88.) "General Systems Theory is the skeleton of science in the sense that it aims to provide a framework or 3. METHODS AND TYPES OF INQUIRY structure of Fys terns on which to hang the flesh and blood of particular disciplines and particular subject As the passage just quoted from Rapoport suggests, matters in an orderly and coherent corpus of knowl- many general systems inquirers reject "mechanistic" proce- edge." ("General Systems Theory: The Skeleton of dures in favor of "holistic" or 'organismic" procedures, Science,"General Systems, Vol.1, 1956, p. 17.) and focus attention on processesratherthan structures. "Open systems" are emphasized, in which growth is charac- James G. Miller, :a discussing that part of general syste terisfie,there isa continuous flow of material into the theory concerned with behavior, says: stem, the processes involved are often irreversible, and elf-regulation helps to restore a disturbed balance. As -General systems behavior is concerned with seven some of the previous quotations also suggest, considerable levels of living systcmscell, organ, organism, group, attention has been given to "unifying" science, although organization, society, and supranational system." the appropriatenes3 of wing different techniques in V- . .general systmistheorists...accept the... ferent scientific subject matters is recognized. (See Peter daring and controversial positionthatthoughevery Caws, "Science and System: On the Unity and Diversity of living system and every level is obviously unique Scientific Theory,General Systems,Vol. 13, 1968.) there are important formal identities of large general- Such themes are similar in some respects to Dewey and ity across levels." ("Living Systems: The Organiza- Bentley's transactional procedures of inquiry (see C:h. I), tion,"Behavioral Science, Vol.17, 1972, p. 1, p_ 2.) and some general systems inquirers have emphasized those similarities. (E.g., Charles A. McClelland, "General Systems According to Joseph A. Litterer, general systems theory: and the Social Sciences,"ETC'.: A Review of General Semantics, Vol. XVIII,1962, p. 450; Walter Buckley, ed., " is a new and emerging discipline and, as its Modern Systems Research for the Behavioral Scientist, title suggests, is a general discipline. Usually, scientific Chicago, Aldine, 1968, p. 384, p. 497.) And Bentley also disciplines concern themselves with a particular sector emphasized similarities between the Dewey-Bentley views of the empirical world.... However, a discipline like and those of von Bertalanffy. (Arthur F. Bentley,Inquiry mathematics is concerned with developing knowledge intoInquiries, Boston, Beacon Press, 1954, pp. 349-351.) that does not of necessity have any connection with However, much work in general systems theory is unlike the empirical world.... It gives us a language of certain of Dewey and Bentley's key points. Frequent science. ' references are found to "mind"; von Bertalanffy, for "General Systems theories are not as abstract or as example, says: 116 1'27 c7v,ivrAVAI.0 1. , AcmioI 111.,Jn. -The world is, as Aldous llilxlronrie put it, like a ot 'all conceivable systems' and then reduces the set NII1IIILILI ire rake w here the levels, the plo sical, the to a more reasonable size. This is the method I have biological, th social and the moral universe, refire- recently followed." ("General Systems Theory as a St'llt the elloeolate, strawbr cry. and vanilla lavers. We New I 'iseipline," Ceneral Systems. Vol. III, 1958, p. eannot reduce strawberry to chocolatethe most wr 2.) can say is that possibly in the last resort, all is vanilla, rill mind or spirit." (-General Systems Theory," p. 8.) Much workingeneralsystems has been done by mathematically-orientedbiologists and behavioral scien. (Note also the title of 011e Of Ilk boOkti, HO/Mts, .11en and lists, but inquirers with a backgrriund in engineering have New'York,Braziller,1967; rTferencestothe alsocontributed. Whatiscalled"systems theory" or -Mills Aral mind" alsooccurinhisGeneral Systems 'systems researeh"inengineering, although oftenre- Theory, New York, Braziller, 1968.) strictedtoarelatively narrow field,is similar in some Although the emphasis on systems ofieois viewed as respects to general systems studies. Alphonse Chapanis, in sin,ilar to what Dewek and Bentley named hy transaction, describing the origins of sytems engineering, notes that manysrieralsystemsinquirersapparentlyhavenot theindividualcomponentsof a system(e.g,, the undeD,6_rodthediffereneg'sbetweenf.rausactionalarid telephone system) may meet high specifications, but that interactional prrieedures. Much general systems work not "very oftenthe system as a whole will not work as only uses the label interaction. but prcio.eds along the plannedwhen thesecomponentsaremerely joined linesDewier,and Bentleyreferredtoby that label. together." The "complexity of our modern machine Litterer, for example, ziays: assemblages has created the ne(rd for systems design and .rtems engiltecring."("lhm-1LnEngineering,"inC.D. -Both general system th d modern ulgani- Hagle, W.11. juggins, and RR Roy, eds., Operations zalion theory study; Research and SystemsEngineering,Baltimore, Johns L the parts (individuals) in aggregates, and the Hopkins Press, 1960; p. 337.) This holistic emphasis also rth ement of individuals in 6 r and out of the system. Occurs in general systems theory, (For a dismission of 2. the interaction of individuals with the environ- engincerino applications of general systems theory, see nt found in (he system. George J. r'Klir,An Approach to GeneralSystemsTheory, 3.theinteractions among individualsiiithe New York, Van Nostrand Reinhold, 1970) system. General systems inquirers are concerned not only with 4. general growd. and stability probb ns of riachine and man.machine systems, but with all systems systems." (Litterer, op. cit., Vol. I, p. 25.) of all kinds. The articles in the yearbook of the Society for General Systems Research, General Sys:ems, amply Forfurtherexamples,mention may be.iudcof illustrate the great importance its contributors attach to Buckley's comparison of Dewey-Bentley s work, to h furthering interdisciplinary studies and the unification of symbolic interactionist theory of mind, self, and society" science. The techniques used to reach these goals center Buckley, (Pp. cit., p. '84), and the recent paper by Bruce on finding analogies, "structural isomorphisms," "formal I.Mayhew, Jr., Louis N. Gray, and Mary L. Mayhew: identiCes, 'properties,or laws of wide application in "The BehaviorofInteractionSystems:Mathematical differentsystems.Thefollowingquotationisrepre- Models of Structure in Interaction Seouence" (Genera/ sentative: Systems, Vol, 16. 1971). Finalft,unlikeDewey andBentley, man,general "The concept of a system has been identified in a systems inquirers believethatitisusefulto develop large number of disciplines; biology, management elaborate conjectures far in advance of observation; much science,economies,sociology,politicalscience, energy is directed to the formulation of conjectures that theoloff, law, etc., have profited 'by the apparatus hopefully may be usefullater. Three recent papers by associated with general systems. Various authors..., James G. Miller contain a large number of hypotheses, recognizing a common thread in the logic of various intended to he evaluated empirically, which he believes fields, have identified that core and christened it may apply widely both to the various "levels" of subject 'General Systems Theory.' Itis hoped that by matter he distinguishes and across thoselevels:"The investigatingpropertiescommon toall(appro- Nature of Living Systems"(Ikhavioral Science,Vol. 16, priately designed) systems, applications can be made 1971); "Living Systems: The Group"(Behavioral Science, in the diverse disciplines." (Spyros Makridakis and E. Vol. 16, 1971); and "Living Systems: The Organization" Roy Weintraub, "On the Synthesis of General (Behavioral Science, Vol.17-, 1972). Systems,Part I,General Systems, Vol.XVI, 1971, p. In general, we find that the work of general systems 43.) inquirers much more resembles the work of formal model buildersas describedinCh.Ithanthctransactional These analogies, etc., vary from mathematical models that procedures of Dewey and Bentley. Snell niodd building apply to some, but not all, aspects of the systems studied, to characterizes both of the general systems methods noted loosely stated verbal parallels. Several illustrations follow. by %V. Ross Ashby; J.W.S. Pringle argued that there are important parallels betweenthe process of learning andthe process of "One. already well developed Ur the hands of von evolution.("OntheParallelBetweenLearningand Bertalanffy and his co-workers, takes the world as Evolution,"GeneralSystems,Vol.I,1956.) Anatol we find it, exarnines the various systems that occur Rapoport found that similar mathematical models can be init...andthen draws up statements about the derived from the spread of neural impulses, rumors, arid regularities that have been observed to hold. This epidemics.(Chicago Behavioral Sciences Publications,No. method is essentially empirical. The second method 1, -Profits and Problems of Homeostatic Models in the is to start at the other end. Instead of studying first Behavioral Sciences," ri.d.,pp.19-23.) W. Ross Ashby one system, then a second,. ..it...considers the sel says that the banking system works "rather likethe 128 118 A CURRENT APPRAISAL liwrr," and also that the dynamics of hank deposits are those results; consequently the material comidered in this isomorphic to the dynamics of the -flow of underground section overlaps with that considered in the next section. We water in Arizona." ("Editorial,"Behavioral Science,Vol. consider firstthe general objectives of general systems 18, 1973, p. 2, p. 5.) inquirers, and then turn to the more specific results of

John W. Thompson L 0111 pant'UI 4 L.l oa and psy- tbeir work. chology: In an early publication, von Bertalanffy said:

"lnthe courseof studying_be aviour Of .the aims of General System Theory can he depressior .2. inaccordancewithfrootaltheory, innicated as follows: (a) There is a general tendency prediction has been Unproved by breaking awa3' to towards integration in the various sciences, natural some extent from the search for uhiform and rigid andsocial.(b)Suchintegrationseemstobe sequences of events, and instead, seeking explanations centered in a general theory of systems. (c) Such for sudden, and at first sight unlikely developmeots, theory may be an important means for aiming at whenever unexpected changes occur. In the same way exact theory inthe non-physical fieds of science. the prediction of human behmiour might be helped by (d)Developing unifying principles running 'vert- the study of unexpected changes and apparent ically'throughtheuniversesoftheindividual inconsistencies.- ("Mental Science, Meteorology, and sciences, this theory brings us nearer to the goal of General System Theory,"General Systems,Vol. V, theunityof science.(e)This canleadtoa 1960, r 25.) much-needed integrationinscientific education." ("General Systems-Theory," p. 2.) In a later article he sets further parallels among different fields: A similar theme has been expressed more recently by Jere W. Clark: "With regard to class fication, the clouds provide the weather expert with a fertile area for study, and the "The term, general systems analysis...might be problems facing the meteorologist here resemble not better understood ifit were labeled 'comparative only those in psychology but those in other sciences, systems analysisbecause it concentrates on meta- such as botany,concernedwithgrowthand phorical or analogous or isomorphicsimilaritiesof development. . largevarietiesof systemssuch as engineering, "To a social scientist, the manner in which the economic,ethical,andbiologicalsystems.Its planetary wave energy is propagated rapidly to distant emphasisison functional or organic synthesis." areas where it may have magnified an unforeseen effect ("Systems Education,"International Associations, is not unlike that of rumor in human affairs, as No. 2, Feb. 1970, p. 97.) described by Allport and Postman in psychology [G.W. Allport and L. Postman,Tne Psychology of Rumor, As is indicated by some of the sta ements we quoted New York, bolt, 1947] and by Dodd in sociology in earlier, some tiniesthe "integration" or "synthesis"is connection with Project Revere [S.C. Dodd, "Dif- viewel in terms of "principles," "laws," etc., that apply fusion Is Predictable: Testing Probability Models for toailsystems. However, some general systems inquirers Laws of Interaction,American Sociological Bouiew, doubt that there are any significant "laws" of such wide Vol. 20,19551." (John W. Thompson, "Similar applicability. Rapoport, for example, says: Problems in Meteoroloky and Psychology,"General Systems,Vol. X, 1965, p. 49.) In a way, general system theory belies its name, for there is hardly anything but trivialities that can JamesG,Miller writes: be said of all systems. There are no 'general system laws,' such as that every system tends to maintain "From the field of botany we find a rema:kable equilibrium or homeostasis or that every system is study in systems theory in the slime mold, mentioned goal-directed." (Review of W. Buckley sSociology by Ralph Gerard... . Under -onditions of adequate and Modern Systems Theory,inGeneral Systems, water and food supply a colony of this plant is made up Vol.XIV, 1969, p. 195.) of quite independent individuals, each with its own inputs, outputs, equilibratory mechanisms and ability Perhaps most general systems inquirers would agree to reproduce. Under more stressful conditions, when that, whether or not there are "laws" applicable toall the environment isless favorable, however, these systems,importantsimilarities("laws,""principles," individuals flow together to form what is essentially a _meralitics,""formalidentities,""structuralisomor- single multicellular organism with specialization of p 'isms," "logical homologies," etc.) do occur in many function or distribution of labor. Some become central systems. References can be found, for example, to "a cells, others peripheral cells which always flow toward common thread in the logic of various fields" (Makridakis the center, wherever it may be; some cells reproduce, and Weintraub, O. cit., p. 43); to similarities found in and others cannota remarkable model of how humans many systems thatapplytoobjectsoutsidethe band together under stress from a common enemy, as conventionally-differentiatedfields (VonBertalanfly, did the Londoners, for example, during the fire raids of "General System Theory: A Critical Review,"General World War II."(Chicago Behavioral Sciences Publica- Systems,Vol. VII, 1962, p. 9); to what is derivable only tions,No. 1, pp. 8-9.) from the general properties of systems and not from the specific content of a system (Rapoport, "Mathematical 4. RESULTS ACHIEVED Aspects of General Systems Analysis, p. 88); and to general systems theoryasthe"skeleton of science" The results achieved by general systems inquirers are (Boulding,op. cit.,g. 17, and Litterer,op. cit.,Vol. II, p. closdy related to controversies about the significance of x). 129 GENERAL SYSTEA S THEORY 119 The significance of those snnilarities is a topic of much the de,elopment of mathematical models for particular controversy, awl is discussel further in the next section. systms, usually inthe hope that the models will apply For present purposes, we note one criticism and the type elsewhere as well. Thi models may In testable in principle of defense often given by general systems inquirers. In a but go far beyond the presently available data (see the strong criticism or general systems theoryRoger C. Buck 1)71 and 1972 articles by James G. Miller), or the model says: may he inure thoroughly tested. One instance in which the proponent maintains that the requisite testing has ".. Atte general usefulness of analoOos, especially been done is Stuart C. Dodd's "System A," which has as is .stingplausible hypotheses for subsequent its core assertion: If everyone knowing an item tells it to tusti 1g.is explained in mist beginning logic books. anyone, with equal opportunity for all tellers and hearers Bo surely,onefeels,general systems theoryis in each successive unit period, then that item will spread doing, or at least trying to do, something more than ina Gornpertz S-shaped growth curve. Dodd argues that this., .. NowI am convinced that general systems his System A was tested by controlled experiments on theoryistrying to do something more, but just people and that it was repeatedly confirmed by a nearly exactlywhatmore itis extraordinarily difficult to perfect correlation of hypothesized and observed beha- discover. And the basic reason for the difficulty is viors.Ile also believes that System A can be generalized that after drawing our attention to some positive as a law of pair-interaction to any field of science. ("How analogy, these tlworists in general simply fail to say Random Interacting Organizes a Population,"Synthese, anything about what the analogyis supposed to Vol. X11, 1960.) prove or suggest,while nevertheless managing to Attempted applications of general systems work has convey the impression thatsomethingpretty been nuidein a widevarietyoffields,including momentous has leen proved or suggested.""C/n psychology, sociology, political science, economics, inter- the Logic of General P.,havior Systems Theor in national relations, biology, engineering, education, Feigl and NI. Scriven, eds.,Ifinnesota Sluifwt in ecology, management science, psychiatry, law, theology, thePhilosophy ofSci(nce, V DI, I,Minneapolis, and ethics. Ervin Laszlo also has applied general systems University of Minnesota Press, 1956, p. 228.) theory to philosophy, including the area of a "scientific theory of mind.'(Introduction to Systems Philosophy, General systems inquirers often mention Newton's law New York, Gordon and Breach; 1971;System, Structure, _if gravitation as an "isomorphy" with wide application. and Experience,New York, Gordon and Breach, 1970.) Von Bertalanffy, for example, says: The following seems to us a fair summary of the results achieved in much of the field: Models, usually mathe- "Theis imorphy we have mentioned is a matical, are constructed for a particular system and then consequence of the fact that,in certain aspects, s._aiehis made for other systems to which the same corresponding Astractions and conceptual models models apply. The similarity of the models of various can be applied to different phenomena. It is only in systems hopefully leads to a unification of science and viewofthese aspectsthatsystemlawswill may facilitateprediction of the behavior within those apply.... In principle,itis the sante situation as systems. when the law of gravitation applies to Newton's General systems inquirers frequently emphasize that apple,the planetary system, and the phenomenon their models apply only to certain aspects of the systems of tide." ("General Systems Theory," p. 2.) theyareinvestigating, but they appear to discuss less frequentlithesignificance of what is excluded bytheir Whether theisomorphismsdiscoveredbygeneral models. Such exclusions may be vital, as is noted by the systems inquirers are as useful as the law of gravitation is authors of a recent paper on ecological models: another matter; many isomorphisms are not useful in inquiry, As May Brodie/A notes: "In this paper we have been concerned to make two main points. First, the behavior of the models "It is all too easy to overestimate the significance one makes of systems are conditioned by assump- of structuralisomorphisms. The factthatallor tions made about the long-term behavior of their some of the laws of one area have the same form as environments. To assume that landscape develops in those ofanother need notsignifyanything a preordained coursetoastableequilibrium whatsoever about any connection between the two predetermines that vegetation, and hence animal areas. To be convinced of this, just think of all the communities,willalsodoso;moreover,the different kinds of things which can be ranked and structure of the model itselfexcludes reciprocal measured. All have the same structure asarith- actionof animals on the development of vegetation, meticaladditionand,tothisextent,the same and of plants onthedevelopment of land-forms. structure as each other. Only the isomorphismwith Second,theassumptionsofthedevelopmental arithmeticis in itself significant. ... But this implies models limit the type of question which can be no connection among allthosethingsthat are asked within the framework of the model. This is isomorphic to arithmetic, any more than there need not to say that the assumptions and the conclusions be any connection among all the different kinds of drawn from them are necessarily wrong, but rather things which satisfythe same form of empirical that theypreclude their own falsification."(Williarn linear equation," ("Models, Meaning and Theories," H.Drury and IanC.T.Nisbet,Inter-relations inDorothy Willner, edDecisions,Values _and between Development Models in Geomorphology, Groups,Vol. 1, New York, Pergamon Press, 1960, p. PlantEcolog,andAnimal Ecology,General 28.) Systems,Vol. XVI, 1971, p. 67, italics added.) 5. CONTEMPORARY CONTROVERSY Although some work in generalsystems theory concerns analogies in many systems. other work concerns Probably the major controversy in this field concerns

130 120 l CURRENT APPRAISAL the sipificanee of :he analogies found lw general systems betweenthe way theweather works, andthe theorists. With refereoce to mune of Rapoport's work, working of the human mind? But systems thinkers Buck says are not interested in content, or in concrete images, only in abstractpropertiesandrelationships. Ale has developedequationstodescdbethe Systemsthinking isaspecies of new abstract spread of neural inq 'list's, the spread of rumors, and information, a new Word, or Logos. To repeat a the spread of epidemics, and has demonstrated great phrase I usedearlier, Systems Thinkingis void- ingenuity in so doing. And he too has found that oriented. And the thought may well have occurred 'models of all these phenomena look mathematically to youthat,inthis sense, the goal of Systems very mud, alike.' do riot see, however, that it Thinking and of true reliOon is the same: to see detracts from his genuine achievements to point out through the faces of death to the chalice of eternal that this similarity of mathematical models is,for life; to see through the illusory concreteness of this all he tells us, a slicer coincidence." (Buck, op. world, concrete only because chaotic and uncon- p. 232.) nected,totheabstract splendour of theworld which is to come." (Ray F. Walter and Norman I. Indiscussingthematerialfrom JamesG.Miller Walter, "TheEquivocalPrinciple in Systems concerning the slime mold and human behm kir (see p. Thinking," General Systems,Vol, XVI, 1971, p. 118), Buck says: 11.) "Well, so what? What are wc to conclude from all Although the critics also maintain that general systems this? That Londoners are a form of slime mold? inquirers sometimes neglect the important dissimilarities That myxamoebae are a sort of city dweller? Or, of the systems they are comparing (e.g., Buck, op. cit., perhaps,thatduring the battle of London some pp,224-226), one canfind numerouS statements by citizens, duetotheir new and more specialized general systems workers_ about the dangers of misusing activities,becamesterile,whileothersdevoted analogies(e.g., vonBertalanffy,"GeneralSystems themselvesexclusivelyto reproduciveactivities? Theory,"p.2; James G.Miller, "Toward a General One finds itdifficult to believe that these are the Theory for the Behavioral Sciences," American conclusions heisexpectedto draw, but,if not Psychologist, Vol.10, 1955). Perhaps the most charac- these, what others? And, if no conclusions, why all tmistic view of general systems theorists about analogies iS thefuss, why bother withthe analogy at all?" expressedinanarticle_ by Ralph W.Gerard, Clyde (Buck, op. cit., p. 229.) Kluckhohn, and Anatol Rapoport. They say: "Analogical thinking isthus in our vie7c, not so much a source of in reply, von Bertalanffy says: answers on the nature of phenomena as a source of challenging tinestions." They also point out _thatthe "...Buck has simply missed the issue of a general language usedincybernetics and inthe mathematical theory of systems. Its aim is not more or less hazy theory of communication often is carried uncritically into analogies; itisto establish principlei applicable to other contexts by "insufficiently informed enthusiasts." entities not covered in conventional Buck's "Biological and Cultural Evolution: Some Analogies_and criticismis,in principle, the same as it one would .xplorations," Behavioral Science, Vol. 1,1956, pp, 8-9,) criticize Newton's law becauseitdraws aloose However, they are hopeful that the discovery of analogies 'analogy between apples, planets, ebb and tide and mayleadtofruitfulprogressaswellas stimulate many other entities; or if one would declare the interdisciplinarycooperation. Nevertheless, some critics theoryof probabilitymeaningless becauseitis stillthinkthat general systems inquirers overemphasize concerned withthe'analogy' of games of dice, the usefulness of the analogies that they find. mortality statistics, molecules in a gas, the distribu- Recently Rapoporthas arguedthateven defective tion of hereditarycharacteristics, and a host of analogies may be useful if they extend the "conceptual other pheuomena.("General System Theory: A repertoire" of scientists.After discussing some mather Critical Review," p. 9.) matical models in the areas of internabonal relations and economics, he says: Surely even the severest critics of general systems work wouldagreethatsystemstheoristsdonot aimat "It would be rash to draw definitive conclusions developing -hazy" analogies; the question is, rather, the about the stability of the economic or international usefulness of the analogies that are found. Furthermore, system from the properties of various hypothetical as was noted in the earlier quotation from May Brodbcck, systems offered as models. However, an examination evenclearlystatedandcloseanalogiesmaylark of these purely theoretical consequences_cannot fail significance.Although vonBertalanflydisapproves of to be instructiveinthe sense of enlargingthe hazy analogies and says that Miller's discussion of the conceptual repertoire of the theoreticians. Mathe-_ slime mold contains "hazardous comparisons," Ins own matical models bring to our attention aspects of comparison of the world to a Neapolitan ice cake (see p. phenomenawhichmightnototherwisehave 117) seems somewhat "hazy." And some recent general occurred to us," ("Mathematical Aspects of General systems work ' characterized by vague and romantic Systems Analysis," p. 96.) language: llowever, if the "hypothetical system" is unlike the actual -If youleaf through the volumes of General system being studied, "the aspects of phenomena" that Systems. yon will find articles with mull titles as we probably would have overlooked may be aspects only 'Similar Problems in Meteorology and Psychology' of the model and not applicable to the processes into followed by pages of mathematical symbols. What which we are inquiring. Similarly the enlargement of our possible connexion, you may ask, canthere bc "conceptual repertolW' may not be pertinent tothe 131 GENERAL SYSTEMS THEORY 121 problem at hand. "A system is any set of variables that we may Inasmuch as general sstccus inquirers often cite past choose to abstract fromallthe variables in the instances in which the discovery of analoes led to useful world. All other variables, not chosen for this set, results, a brief consideration of sonic failures may help to becomeparametersofthesystem. A system, illustrate the critiss' point Of view, The following account therefore,isverylikea'thing,'anobject of of such failures is !lased on Wesley C, Business thought, to which we give existenceor 'standing- Cycles: The Problem and Its Setting (New York, National ont.ness' by abstractingit from the ground, the Bureau of Economic Research, 1927, pp.12-16). The voidmuch as a senl tor abstracts a statue froma noted economist W. Stanley Jevons became convinced block of marble." alter and Walter, op. thatsolarcycles cause businesscycles.His study of 11.) English business trends from 1721 to 1878 convinced' him that the commercial cycle averaged a length of 10.466 And Ashby says: years, which corresponded closelywith the length of 10.45 years then given the sunspot cycles. Jevons held "Can one reasonablystart by consi.leringthe that decennial business crises depend upon meteorological class of 'all conceivable systems"?' I suggestone can. variations and that the latter "in all probability" depend The first objection to be met is that the classis upon cosmic variations as evidenced hy sunspots, auroras, ridiculonslywide.Itincludesforinstancethe andmagneticperturbations.Translatedintorecent 'system'that consists of the three variables: the language,Jevonsfound(orthought he hadfound) temperature of this room, its humidity, and the significant similarities in three different systems. price of dollars in Singapore. Mos, people will agree Althoughhis analogies may strike some readers as thatthisset of variables,as a`system,'isnot bizarre, no objection is made here on that score;many reasonable, though itcertainly exists...Considera- significantsimilarities,whenfirstpointed out, seem tion of many typical examples shows that the peculiarorinexplicable.Thedifficultyisthatthe scientist is, in fact, highly selective in his choice of apparentsimilaritiesdisappeared when more adequate terns for study." (Ashby, "General Systems as a measurementswerecarriedout.AsMitchellnotes, Discipline," p. 2.) astronomers changed their estimate of the sunspot cycle, and commercial cycles have departed widely from the Other inquirers emphasize the connectionsor interac. decennial norm. Others, including Jevons' son, attempted tions among the parts of the system. James G. Miller, for tomodify tbesolarconjecture.Possibly some such example, says: conjecture will be developed someday that will withstand the test of adequate measurement, but confidence in such "Systemsarebounded re0onsinspace-time, conjectures is misplaced until verification is achieved. invokingenergyinterchange among theirparts, Mitchell mentions also another theory" based oneven which are associated in functional relationships, and more systems. In 1919 Ellsworth Huntington found some withtheirenvironments." ("TowardaGeneral surprising similarities, lie observed that a high death rate Theory for the Behavioral Sciences," p. 513.) precededhardtimes,alowdeathratepreceded prosperity, and that the death-rate curve, inverted, aereed Litterer emphasizes interrelations: well with school attendance fluctuationsa year Tater, New York bank clearings of three years later, National "Perhaps the most frequently cited charactedstic Bank deposits and wholesale prices four years later, and of a system is that it is comprised of a number of immigration five years later. He concluded that business interrelatedelements.Theseelementsmaybe cycles seemed largely dependent on the community's objects or things..., attributes of these things,.. mental attitude; the mental attitude on health; and health or...eventsthat occur.... By saying thesearc on the weather. (Mitchell, op. cit., p. 15.) These parallels interrelated we mean that the characteristic ofany sound very much like some of those discussed by general element, object, attribute, or event is dependenton systems theorists. Whether any such parallels are scientif- the other attributes or events or objects that exist. icallyusefulcanhardlybesettledbytheinitial Furthermore, that a change in any one meanssome attractiveness they may have; hence the critics emphasize adjustment or change in the others." (Littercr, op. testing. cit., Vol. p. 4.) Although frequently general systems research is said to he based on the use of "hard science" methods, some And von Bertalanffy say critics believe that metaphysical speculation plays a large part in the formulation of some of the results. Buck 'It looks at first, as if the definition of systems argues that there is a "kinship between Miller's organic ts of elements standing in interaction' is so theories of groups and societies, and the metaphysical general andvague that not much can be learned theory of the state as advanced by Hegel and Bosanquet," from it. This, however, is not true. Systems can, for and later says: "I believe that general systems theory is example, be defined by certain families of differen- not in fact science at all, but rather naive and speculative tialequationsandif,intheusualwayof philosophy." (Buck, op. cit., p. 224, p. 226.) mathematical reasoning, more specified conditions are introduced, many important properties can he 6. TERMINOLOGICAL PROBLEMS found of systems in general and more special cases." ("General System Theory," p. 3.) A repeated criticism of general systems work is that "system " is used too inclusively to be scientifically useful. Some writers argue that describing a system adequately Some general systems inquirers viewa system as any is not possible. In a frequently cited article, A.D. Hall and setof selectedelements. 'For example, Walter and B..E. Fagen give the following "terse and vague"account: Walter say: "el system is a set of objects together with relationships 132 t22 A CURRENT _APPRA ISA I, bet wren the objects and between (heir attributes. "They go quences of these relations are the end products of the iiito say that one would be hard-pressed to supply a investigation. They may or may not be compared definition of system" that is precise and unambiguous, and with observations. This is also the method of male- that this "difficulty arises from the concept we are trying ma tieal physics, and this is why I refer to it as social to define: it simply is not amenable to complete and shag) physics_ " Games, and abates, Ann Arbor, deeription." ("Definition of System," General Systems, 1:; Hive rs i t v of Michigan Press, 1960, p. xi.) V ol. 1, 1956, p. 18.) As we have noted, and as some of the passages just On weemphasizetestingrelatestothe quoted suggest, often general systems theorists use interac- objectives of general systemsinquirers.Ifthe goalis tional language and_ procedures. At the same time, they to derive"universalprinciples applying to systems in typically emphasize holistic and organismic notions, which general," the taskof- verification obviouslyisa large leads to incoherence. Although McClelland (op. eit.) argued one. Evenifthe goalis to derive principles applying for transactional procedures, and such procedures seem re- tomany,butnotall,systems,verificationstillis quired if the holistic notions are to be developed consis- laborious. Themany,manyhistoricalfailuresto tently, more often a sharp dichotomy is amumed between developusefulintegratingsystemsshouldnotbe object and environment (e.g., Hall and Fagen, op. cit., p, forgotten;overand over answers"thatseemed 20), and the parts of a system are regarded as separate promising failed when more adequate observations were "reals." made.Moreover,theexistenceof "formalpatterns" As we also noted earlier, many different names are ap- common to many systems is not enough to insure that pliedinthis field to the similarities or analogies found inquiry into human behavior will be furthered. Physicists ("isomorphism," "formal identity," etc.). Often the differ- have discovered many warranted assertions that do apply ences, if any, implied by the various names is not clear, and tohumans;yetthoseassertionsmayhavelittle the similarities themselves seem to be of many different significance for solving the problems of men-in-society. types. We suggest that communication would be facilitated For example, the law of falling bodies does apply to if a different name were applied to each spec;fic type of humans, yet the topics of major concern to psycholo- gists,anthropologists, sociologists, economists, political scientists,etc., do not seem to be illuminated by that 7. COMMENT AND EVALUATION law. Some of the early difficulties in general systems work, as 8. SELECTED BIBLIOGRAPHY described by Russell L. Ackoff, still seem to be with us today. He said: Berrien, F. Kenneth, General and Social Systems, New Brunswick, Rutgers University Press, 1968. "There is already evidence that, in the systems rev- Bucldey, Walter, ed., Madera Systems Research for the olution, modest results tend to be excessively general- Behavioral Scientist, Chicago, Aldine, 1968. ized and that assumptions once statedif stated at Sociology and Modern Systems Theory, Engle- alltend to be ignored in defining the realm to which wood Cliffs, Prentice-Hall, 1967. results can be applied. Furthermore, and perhaps Gray, W:Iliam; Duhl, Frederick J.; and Rizzo, Nicholas more seriously, there is a tendency for more and D.,cds., General Systems Theory and Psychiatry, more research time to be consumed in efforts to an- Boston, Little, Brown, 1969. swer questions which have no operational signifi- klir,GeorgeJ., An ApproachtoGeneral Systems cance. That is, a new type of metaphysics, one which Theory, New York, Van Nostrand Reinhold, 1970. is subtly cloaked in mathematics, is arising and draw- , ed., Trends inGeneral Systems Theory, New ing scientists into fruitless inquiries." ("Gaines, Deci- York, Wiley, 1972. sions, and Organizations.'" General Systems, Vol. IV, Laszlo, Ervin, Introduction to Systems Philosophy, New 1959, p. 145.) York, Gordon and Breach, 1971. Litterer, JosephA.,ed.,Organizations,2vols., 2nd He also characterized as a 'fundamental misconception" ed., New York, Wiley, 1969. the failure to distinguish between an exercise and a prob- Mesarovie,M.D.,ed.,SystemsTheory andBiology, lem. An exercise that is important within a model, given the New York, Springer-Verlag, 1968. assumptions and techniques of that model, may have signif- Iterfalan fry, Ludwig, Ceneral Systems Theo y icance only within those confines;i.e.,there may be York, Braziller, 1%8. nothing in human behavior that corresponds to it. (Ackoff, Robots, Men andMinds, New York, O. cit., p. 145.) Briiziller,1967. The discovery of unexpected analogies often helps to further inquiry, but the existence of analoOes per se is not 9. GERMANE JOURNALS necessarily useful. We have emphasized throughout this book the testing of conjectures by observation. Some BEHAVIORAL SCIENCE model builders, however, are so certain of the usefulness of BRITISH JOURNAL FOR THE PHILOSOPHY OF their models that they adopt a cavalier attitude towards SCIENCE observation. Rapoport, for example, after saying that his GENERAL SYSTEMS method isnOtto derive conclusions from "masses of data," MATHEMATICAL SYSTEMS THEORY goes on to say: PHILOSOPHY OF SCIENCE SYSTEMS ENGINEERING "The method is autonomous and theor tical. An investigationstartswith more orlessplausible assumptions related to some basic quantitative rela- Seealso_ the journalslistedatthe end of Chapter tions which may underlie social behavior. Came- X and Chapter XI.

13 CONO,USION

N our surveti the ....iriosn behavioral fields e human behavior; the ordinaryictivities of human frequently' compared certain current procedures of beings,broken downintomuscular mocement, inquiry to the procedures we suggested in Ch. I. W`c neural activity and the like, ibi not necessarily add do not imply by fl_lose comparisons that our views about up to loam of interest to the psychologisthuman inquiryare widely aeceptedtoday; indeed, conflicting behavior." (Ibid pp. 413-414, italics added.) views appear to find more supporters nilw than when the first edition of this book appeared. Transactional procedures of the type described in Ch. I, In the period since the first edition was prepared, two however, do not attempt to describe sign behavior in !rends seem to h.r.-e become increasii0v apparent. On die terms of muscular movement, etc., nor do they tryto onehand, in: fieldafterfieldmanyinmiirershave "add up" the interactions of presumed separate reals. advocated subjeetive and mentalistic methiols. Sometimes Although the subjectivists often make sound criticisms the subjectivists are overtly antiseientific, but sometimes of some allegedly scientific procedures, historically the they claim to be substituting improved scientifictech- emphasis on subjective procedures (which frequentlyis niques for outnonled or inappropriate techniques. On the foundintimes of cultural decline and a"failure of other hand, addictionto deductive imukl-building has nerve") has not yielded useful warranted assertions, and become increasingly evidentin numerous fields. Nlany we see no evidence. that the recent versions will be any would agree with Fritz iklachhip's assertion: "Explanation more successful than were older versions. A reviewer of a in the social sciences regularly requires the interpretation recent book using the method of social phenomenology of phenomena in terms of idealized motivations of the says: "Why does phenomenology promise so much and idealized persons whose idealized actions brine. forth the deliver so little?"; a lament that seems applicable to all phenomena underinvesticmtion."(Are rhe Social thevariedsubjectivisms now soprominent. (Thelma Sciences Really.Inferior?,"bSouthern Ecolmmie Journal, McCormack, review of RI/ Laing's The Polities of the Vol. XXVII, 1961, p. 176.) Emily and Other Essays,in Contemporary Sociology, Insomerespectsthese twotrends appeartobe Vol. 2, 1973, p; 23.) markedly different,if not opposed. The formal model The extensive use of models, especially mathematical builders emphasize mathematics, deduction, and ratiocina- models, oftenistaken as a sign of scientific maturity; tion,whilethe subjectivists emphasize the qualitative, numeroos defenses of such models in the behavioral fields meanings, and inner states. In other respects, however, the refer to the quanfitative precision resulting from New- trendsaresimilar,and some recentwriters, suchas tonian models in physics. The impression is somethnes Robert G. Fabian, argue that deductive procedures can be giventhat Newton's models, which were intendedto applied usefully to the "motivated, valae-directed beha- apply exactly to data, were confirmed almost immediately vior of human beings." Fabian praises the "fruitfulness" hy a broad range of measurements, thus showing the of the "deductive pattern of explanation," winch he takes "empirical" usefulness of deductive models. According to as the "basic theoretical method" use(I by economists and a recent article by Richard S. Westfall, however, in several as"avalid approachtothegeneral study of human important instances Newton distorted the available data in behavior." He also concludes that the "moral dimension order to "confirm" his conjectures: of human decision-making" is an "indispensable aspect" of the procedures used by the deductive economists. ...[Newton'sPrincipth Iproposedtheexact CHuman BehaviorinDeductiveSocialTheory; The correlation of theory with material event as the Example of Economics," Inquiry, Vol. 15, 1972, p. 411, ultimate criterion of scientific truth, p. 431.) "And having proposed exact correlation as the Both trends also seem to be characterized by the quest criterion of truth,it took care to see that exact for certainty. Many important human problems have no correlation was presented, whether or not it was scientific solution (at least as yet), and the data required Roperly achieved,Nottheleastpartofthe for a thorough test of the relevant conjectures often are _irincipia's persuasiveness was its deliberate pretense not available. Rather than concentrating on getting the to a degree of precision quite beyond its legitimate necessary data, a quicker methodis sought, and what claim. If the Principia established the quantitative seems plausible is offered as "truth." pattern of modern science,it equally suggested a The attractiveness of subjective procedures for many less sublime truththat no one can manipulate the recentinquirers isbasedpartly onthefailuresof fudgefactor quite soeffectivelyas the master behavioristictechniquesininquiryintosignbehavior. mathematician himself." ("Newton and the Fudge However useful those techniques may be for physical and Factor," Science, Vol, 179,Feb. 1973, pf) physiologicalsubjectmatters,theyhave not been 751-752.) successfulinsolving typical behavioral problems. The identification of scientific inquiry in general with typical Westfall analyzes in detail thre. . the aclera- behavioristic and interactional techniques has led many Gm of gravi ty, the velocity of soma!, and the precession subjectivists to doubt the adequacy of scientific proce- of the equinoxes. On the velocity of sound, he says: dures for describing characteristic human behavior: ".Jhe deception in this case was patent enough frequently happens thatadisparityarises thatno onebeyondNewton'smostdevoted between phenomenathat can be observed with followers were taken in. Any number of things were scientificrigor and whatistrulyof interestin wrongwiththedemonstration.Itcalculateda 123

134 124 .4 CURRENT APPRAISAL velocity of sound in exact agreement with Derham's mitonniie disingration, and found it completely wanting figure, whereas Derham hittiself had presented the as a source of available energy, since the radioactive elements conclusion merely as the average of a large moldier are necessarily negligible in quantity"; he concluded that at of measurements_ Newton's assumptionsthatair most such energy "may perhaps be sufficient to keep the contains vapor in the quantity of 10 parts to1 and corner peanut and popcorn man going, on a few street corners thatvapordoesnotparticipateinthesouirirl in our larger towns, for a hing time to come, hut that is all." ibrationswerewhollyarbitrary, resting on no And the energy available through the buildingap of other empirical fonudation whatever. And his use of the elements front hydrogen requires such high pressures and .crassitude' iftheairparticlestoraisethe temperatures that "there is not even a remote likelihood that calculated velocity by more than10 percent was man can over tap this source of energy at all." (Science and nothing short of delilwrate fraud. The adjustment the Now Civilization, New York, Scribner's, 1930, p. 96, pp, involved the assumption that particles of water are 111-112)% completely solid. In fact, Newton believed that they Within a particular model, thc assumptions may seem so contain the barest suguestion of solid matter strung uneltallengeable, the facts so certain, and the reasoning so out through a vast preponderance of void." (Ibid., sound that the conclusions are inescapable, yet in instance p. 753.) after instance, later on the assumptions are refuted, the facts proved wrong, or an error in the reasoning is detected. But ofcoursearenotsucstingthatNewt n's still most writers take for granted that some final "truth," conjectures were necessarily unsound because he distorted incontestable in principle, is the objective of inquiry. theavailabledatatomakehisconjecturesseem Some, perhaps, may interpret our _emPhasis on the confirmed. We also believe that the carTyover of Newton's constant interweaving of conjectures and observations as a absolutist assumptions was a far more serious imeediment versiono f _thctraditional"empiricist"distrustof to later progress in physics than his "fudgingof the "theorizing." That would be a fundamental misapprehension data, but for present purposes we arc emphasizing the of our views; problems of all types normally require the unsupported confidence he had in his models. in the development of conjectures for their solution. Our objeekion behavioral areas, probably afar greater danger than a is not to conjectures per se, for we regard them as necessary, misleading selectionof dataistheinapplicability or but to conjectures that are tiot used to direct further observa- inadequacy of a model for the uses to which it is put. tion, or that are viewed as beyond further testing. Ingenious and internally consistent models abound and In many fields, writers who lament the poor state _of aremuch admired(e.g.,seeChs. X andX1).but, observational data apparently believe that a remedy is de- unfortunately ineyoftendonotyieldwat.-anted veloping further ingenious conjectures. Leonard S. Silk, for assertions about behavior. Control over the modelis example., after discussing the. difficulties posed for econo- substituted for control over the events of concern, often mists by "imprecise" and "disorderly" information, says: with the assumption that some events somewhere must br describable by the model. "Yet the economist has a secret weapon that other Pointing tomathematicalmodels that have proved people do not have. What he haL, that other people do usefulisonc thirm, but to conclude that any mathe- mit have is; economic theory. This gives him certain matical model probbably may aid progress is quite another habits of thought that enable him to conceptualize matter. Somehow the egregious mistakes attributable to problems that he has not seen before or problems an undue reliance on existing conjectures and data, no that seem always to confront him in a new way. . matter how sound they appear to be, are easily forgotten. This mode of thought develops out of what I would Immanuel Kant, for example, said of logic: call the economist's quasi.Talmudic training-which is long on discussion and debate, with continuous "...since Aristotleithas not had to retrace a passage from the specific to the general and back singlestep,unlesswe choosetoconsideras again-savagely close in its textual criticism-skeptical improvements theremoval of some unnecessary about its own or anyone else's results-complicated subtleties, or the clearer definition of its matter, and wide-ranginginitsstyle of inquiry." ("The both of which refer to the elegance rather than to Problem of Communication," American Economic the solidity of the science. It is remarkable also, Revieuy, Vol. L1V, No. :3, 1964, pp. 599.600. Silk also that to the present day, it bas not been able to repeated part of these comments both in the Preface makeonestepinadvance,sothat,toall of his Readings in Contemporary Economics, New appearance, it may be considered as completed and York, MeGraw.11ill, 1970, and in his Nixonomics, perfect." (Critique of Pure Reason, trans. by F. Max New York, Praeger, 1972, p. 160.) Midler, New York, Macmillan, 1902, p. 688.) 'Twenty years later, Millikan repeated the same basic amuments, butwithqualifications.He qualifiedhisnegative conclusion Arid earlier we quoted John Stua statement about concerning Me building-up possibility by saying "so far as we can economic value: "Happily, there is nothing in the laws of now see,of the disintegrationpossibility, he said: -As an economical, long-range source of power for the power industry, in Value which remains for the present or any future writer my opinion this method is out, U venture this opinion in spite of to clear up; the theory of the subject is complete...." George Eliot's warning that prophecy is the most gratuitous form (Principles of Political Economy, 1848; quoted front Vol. of mistake," (The Autobiography of Robert A. Mitlikaa, New I of the1884 edition, New York,D. Appleton, pp. York,Prentice.11all,1950,p.274,p.275.) Of considerable interestisanother early statement by Millikan: --the great 536-537.) blunder which die physics of the past has made has consisted in To give a more. recent example, for many years the extending its generalizations with undue assurance into fields in distinguishedphysicist,Robert A. Millikan, maintained which they have not been experimentally tested,thatis,in thatatomicenergy(whetherderivedfromatomic treatingthesegeneralizationsasfeted,universallyaRplicable. principles instead of as essentially working hypotheses.(Time. disintegTationoratombuilding)couldneverbea Hatter, and Values Chapel Hill, University of North Carolina practicable source of mankind's energy requirements: To Press,1932,p.vii.)Vitalas that pointis,forgettingitisa illustrate, in 1930 he said he had "disposed of the process temptation to which inquirers often succumb.

1 3 CONCLUSION 125 Despite what he says in praise of the critical ahititieol kinnyledge and obtaining knowledge have not been economists, on this next page lie goes on to say: conceived in terms of die operations by_which,iii the continumn of experiential inquiry, stable beliefs -Nlany economists re carelessintheir public are progressively obtained and utilized. Because they utterance; they will invest ClidleSs !WONof are not constructed upon the ground of operations meticulous work ina journal article on some fine and conceived in terms of their actual procedures point or th,ory, and then turn aronnd aml off the and consequetwes, they arc necessarily formed iii topoftheir heads-dictateintoa machine or termsofpreconceptionsderivedfromvarious scribble ontairdispute/itdesignedtonuive the sources, mainly cosmological in ancient and mainly Congress or die general public on some vital matter psychologkal(directlyorindirectly)in of state." (ibh/.. modern ii.601) theory. Logic thus loses its autonomy,a fact which signifies more than that a formal theory has been We suggest that inulerlying many recent views about crippled.Thelosssignifiesthationicas the behavi4)r:4 inquiryis the convictionthat somehow the generalized account of the means by Aid' sound -mind- call know some things with finality. Whatis beliefs on any subject are attained and tested has needed, instead, arc proemiures that view human thinking parted company with the actual practices by and knowing in evolutionary perspective. Once thinking means is of which such beliefs are established. Failareto takehsir; hiosocial adjustive behavior, rather than as the institutea logic based inclusively and exclusively operation of a -mind' that can apprehend -reality" truly, uponthe we have an opportunity operationsofinquiryhas enormous of escapingfrom thee )is- cultural consequences. Itencourages obscurantism; tcmologieal quagmires that haveso impeded inquiry. INot it the least promotes acceptance of beliefs formed before if the ironies of our cultural history is that the methods of inquiry had reached theirpresent estate; general priwcdures of inquiry devehped long before the and ittends torelegatescientific(that riseof scientificinquirystilltend to dominate much is, competent) methods of inquirytoa specialized alkgedly scientific work. Despitethe rejection of the technicalfield.Sincescientific methods simply olderconclusions aboutscientific subject matter, the exhibitfree intelligenceoperatinginthebest procedures that ledto those conclusions often still are mer available at a given time, the cultural waste, followed.lieweyandBentley's to attempt describe confusionanddistortionthatresultsfromthe proceduresofinquirythat haveprovedusefulin failuretousethesemethods,inallfieldsin dcveloping warranted assertions therefore has theutmost connection with all problems, is incalculable. These imp:Kt:thee, as is indicated by the concluding paragraph considerations reinforce the claim of logical theory, of Dewey'sLogic: The Theory of Inquiry: as dm theory of inquiry, to assume and to holda positionof primary human importance."(Logic: "Th iries of knmvledge that constitute whatare The Theory of Inquiry,New York, Holt, Rinehart now calledepisteinologieshavearisenbecause and Winston, 1938, pp. 534-535.)

1 3 6 APPENDIX TRIAL NAMES' A. PRELIMINARY COMMENTS it necessarily 6 the only or even the best way to proceed. If improvement in efficiency of communication results, anguage problemsfrequently impede communi- some progress will have been made. If instead our work cation in Ibehavioral scientists d6cussions of thek impedes communication,itshould be superseded by nquiries and of the methods applied in such something more useful. Mqukies.Thisreportpresentsaglossaryof some "Trial'is used here then, to indicate that we do not importanttermsinordertodiagnose some of the seek to fix permanently, or even standardize for a long inconsistencies,ineoherencies,or other inadequacies of time,the terminology suggested. Under some circum- language and to suggest trial names that may prove useful stances, standardization of terminology may have little or to behavioral scientists.2 Unfortunately,misunder- noscientificuse.Thestandardization of namesin standingseasilyoccur, evenintheinitialstages of alchemy or astrology, for example, would be pointless for discussion; consequently, aspects of the problem will be scientificpurposes(exceptinthesensethatifall &cussed before the trial names are suggested. astrologers agreed, refutation of their views might be Many attempts have been made to improve naming in easier). As scientific inquirers proceed, new similiarities the behavioral sciences, and an extensive literatureis and differences will be discovered in the subject matter of concerned with definitions. In th6 report, no detailed inquiry;consequently,afixedterminologyprobably attempt is made to compare our procedures with others. would be a barrier to progress. We begin with the procedures developed by Dewey and "Name" isused here in the Dewey-Bentley manner Bentley. In order to avoid misunderstanding, we empha- (See K&K, pp. 132-133), althouei we realize that others size that we are not attempting to develop or prescribe use that word differently. Names here are not regarded as any final group of names. As Dewey and Bentley say: thingsseparatefrom, and intermediate between,the organism and its environrnent. Rather the focus is on Thescientificmethodneitherpresupposes nor naming behavior on an organism-environmental transac- implies any set, rigid, theoretical position. We are too well tion. Conventionally, a sharp separation has been made awireofthefutilityofeffortstoachievegreater between a word and its so-called 'meaning," but here we dependability of communication and consequent mutual attempt to keep the whole naming process in view. For understanding by methods of imposition. In advancing us,theimport of "H20" asascientific nameis fields of research, inquirers proceed by doing all they can understood inrelationtocurrent scientific practices; to make clear to themselves and to others the points of "1120" isa shorthand labelfor certain aspects of a view and the hypotheses by means of which their work is subject matter of inquiry, including the relations among carried on." (Page 89; all citations to Knowing and the those aspects, as observed by scientists. To concentrate on Known are to the pages as numbered in the reprinting of 1120" as a set of marks or sounds radically separated that book in Rollo Handy and EC. Harwood, Useful &our the thing named, as some epistemologists do, 6 Procedures of Inquiry.) considered an undesirable separation of things that, from the viewpoint of our purpose here, usually are found They further say of their predure: together. Specifically, separation of the word, its so-called "rneaning," andthe word user, frequentlyresultsin "It demands that statements be inade as descriptions hypostatization and seemingly insolulle problems of the of events in terms of durations in time and areas in space. locus and status of "meanings and of "knowledge. It excludes assertions of fixity and attempts to impose In the present context namin_g is the aspect of knowing them.Itinstalls openness andflexibilityinthe very with which we are concerned. Naming behavior, as Dewey process of knowing.... We wish the tests of openness and and Bentley say, "selects, discriminates, identifies, locates, flexibilityto be applied to our work; any attempts to °niers, arranges, systematizes." (K&K, p. 133.) impose fixity wouM be a deniala ruptureof the very Naming can be made "firmer," be more consistently method we employ.(K&K, p. 89). useful,withoutrestricting future revisions. For crude everyday purposes, naming a whale a fish may be useful; Our intention has been to continue the Dewey-Bentley but to name it a mammal marks an improvement from line of advance, if it 6 an advance, without assuming that the viewpoint of scientific usefuhiess. Revisions as to what "atom"isused to designate or name also have 1 Reprinted, with reyWons, from Alfred de Grazia, Rollo Handy, provided improved naming. E.C. Harwood, and Paul Kurtz, eds., The Behavioral Sciences: Essays in Honor of George A. Lundberg, Great Barrington, N1ass., Our procedures in preparing this report are transac- Behavioral Research Council, 1968. tional.' Transaction" here designates or is a name for the 2 This report relies heavily on the work of John Dewey and fun ongoing process ina field where all aspects and Arthur Bentley. See especially their Knowing and the Known, phases of the field as well as the inquirer himself are in Boston, Beacon Press, 1949; reprinted in fuU in Rollo Handy and E.C. Harwood, Useful Procedures of Inquiry, Great Barrington, common process. A transactional report is differentiated Mass., Behavioral Research Council, 1973; and Sidney Ratner and from self:actional reports (in which independent actors, Jules Altman, eds., John Dewey and Arthur F. Bentley: A powers, minds, etc., are assumed to function) and from Philosophical Correspondence, 19324951, New Bninswick, N.J., interactional reports (in which presumptively independent Rutgers University Press, 1964. This report also makes use of the survey of the beha,Aoral things are found in causal interconnection). "Borrower sciences by Rollo Handy and Paul Kurtz, first edition. A Current can. not borrow without lender to lend, nor lender lend 128 A CURRENT APPRAISAL fulllegal-commercial systeminwhichitis present as Sometimes those who object that naming is too simple occurrence." (K&K, p. 130.) a process to be of much importance in scientific inquiry The work and accomplishments 01 scientists have been take a much different view of the naming process than described in many different ways, al no attempt is made that offered here. If strong emphasis is put on naming in here to settle rill controversies or to endorse dootatically relation to assertions warranted by testing, then some of any one view. Perhaps most can agree, however, that an those objections, at least, seem to be met. To have labels important part of the scientist's job is the increasingly for differentiated wpects of the cosmos that have been more useful descriptionofthings,includingtheir thoroughlytestedisonething. To elaborate ater- connections and relations, that are differentiated in the minology that stands either for aspects that have not been cosmos. usefully differentiated, or for supposed aspects inconsis- Some authors attempt to distinguiai tharply between tent with well-established "ifthen ' statements,is quite "description" and "explanation."`Description 'is used another matter. Perhaps both "phlogiston" and "caloric" here to include what many refer to as-explanation," had considerable merit as names consistently usable for rather than in a way that contrasts a "mere' or "bare" various processes that at one time were assumed to occur in heat phenomena. Thea- deficiencies, from the present descriptionwith a scientific "explanation." Obviously scienfistsseektoimprovethecrude descriptions of point of view, were precisely that they didriot name common sense,buttheirimprovedreports on their diffeliren.tiated aspects of the cosmos as found by scientific subject matter (i.e., what some label "explanations") are . also descripfions in the broad sense. For example, a stick When thoseterms became entrenchedinscientific partially submerged in water appears to be bent, and a discourse, however, they were not easily evicted; they crude des'cription may go no further than to so state. But were part of a semantic vested interest. Much the same if a more adequate deseription is given, in terms of light almost certainly applies to many behmioral science terms -fraction, human processes of perception, human Ian. now inwideand- frequent use. Sometimes suggested page habits, etc., dun we have what is sometimes called chiles in naming are rejected on the ground that new an "explanation." The explanation of the bent appearance speci ications (scientific namings) omit important conno- ounsists in a full description of the whole tiansactional tations the term had in ordinary discourse or in earlier process, which enables us to predict what normal human science. Here again the importance of testing can hardly observers will see, given certain circumstances. be overemphasized. Rejection of "phlogiston" doubtless "Warranted assertion" 6- used here rather than "true pmittedwhat was oncedearto many people,yet statement" (or "true proposition"). "Wm-ranted assertion" scientific progressapparentlybenefitedfromthose seems an appropriate name for the outcome of successful omissions. scientific inquiry. The term helps to remind us that the "Specification" is used here to refer to the naming that assertion involvediswarranted bythe procedures of has been found usefulinscienw. Specificationisa inquiry and issubject to modification or rejection by different process than some of the processes frequently further inquiry.It also helps to exorcise the ghost that named "definition." "Definition" has been used to refer scientists have as their business the discovering of final to such diverse things that confusion often results. As and fixed generalizations. Dewey and Bentley say: As inquiry proceeds, modification of naming is to be expected. The differentiation of water from the rest of "The one word 'definition' is expected to cover acts the cosmosisusefulfor dailylife, but adopting the and products, words and things, accurate descriptions and scientific name `1120" marked Lin improvement in that tentativedescriptions,mathematicalequivalencesand further prediction and control was facilitated. Perhaps the exact formulations, ostensive definitions, sensations and development of physics and chemistrywill some day perceptions in logical report, 'ultimates,' and finally even result in the further alteration of the naming for what in indefinables.' No one word, anywhere in careful technical everyday life is called water. research, should be required to handle so many tasks." We denyemphaticallythatthereisany kind of (MK, p. 148.) intrinsicor necessaryrelation between the marks and sounds used in naming and what is named. In that sense, Broadly speaking, definition" often is used to ap_ply naming is wholly conventional; whether "water," "aqua," to almost any procedure for saying what the so-caLled or "gldm" is used to refer to a certain liquid makes no "meaning" of a tennis. Much of the difficulty with difference. (This is not to deny, of course, that specific "definition" seems to be just its linkage with "meaning." words are put of particular languages, and identifying But leaving that problem aside, a considerable variety of "water" as a noun in the English language affords many procedures have beenusedinattempts somehow to clues as to how the word willbe used by English desigmate what a term stands for or has been applied to, speakers.) On the other hand, some names are much more and many of those procedures are highly dulious from a usefulthanothers."1120",for example,as usedin scientific point of view. current physical science, is quite different from "watern In this report, "specification" is used as a name for taken as designating one of the assumed four primordial scientific naming; i.e., the efficient (especially useful) kind elements. Although the whole notational system now used of designation found in modern scientific inquiry. for chemical elements and their combinations isin an important sense descriptive, once the system is chosen, B. FURTHER DEVELOPMENT OF SOME naming within itis determined in major respects by the BASIC NAMES system. "H20" as shorthand for water is not capriciously chosen but ratheristhe outcome of painstaking and In striving for agrecinimmil on some firm, mherent, will carefullycontrolled inquiry.In general, then, althongh consistentnaming,proceedinginitiallyalong roughly thereisno ultimatelyriOltnaming, and althoughall evolutionary lines may he helpful. "Cosmos" was selected is vtlyitri.wil ilarn in irii 111'11111.r to name the smn total of the thinn we can see. smell. APPENDIX: TRIAL NAMES 129

including connections among those things, so that we can appear as an interjection, cxclamnmatiomi, abbreviated talk about the sum total of things without repeatedly utterance,orothercasuallypracticalcommunicative having to describe them in detail. ' Cosmos" is applied to convenience.- (ak, p. 136) the universe as a whole system, including the speaking- 2. A more advanced level of designating or naming naming thing who uses that name. Moreover, costnos- is in the evolutionary scale, which we shall name "character- the name forallthatisincludedinman's knowing ix ng."'this name applies to the everyday use of words; behaviorfromtlwmostdistantpastdiscussedin usagethatisreasonably adequate for many practical scientifically warranted assertions to the probable future purposes of life. insofar al, it isknownbyscientificallywarranted 3. For the, at present, farthest advanced level of predictions. designation we use "specifying." This name applies to the Next we differentiate among the vast number of things highlydeveloped naming behaviorbestexhibitedin in the cosmos and select die living things; for these we modern scientific inquiry. choosethe name "organism." Note that selecting for For the purpose of economizing words in discourse, we naming does not imply detaching the physical thing from need a general name for the bits and pieces of cosmos the cosmos. Everything named remains a part of cosmos differentiatedand named. Forthisgeneral name we with innumerable relations to other parts. choose "fact." Fact is the name for cosmos in course of Among the organisms, we further differentiate for the being known through naming by man (with man included purpose of the presentdiscussion and selectfor naming among the aspects of cosmos) in a statement sufficiently ourselves, our ancestors, arid our progeny; these we name developed to exhibit temporal and spatial localizations. man. Fact includes all namings-named durationally and exten- We then observe the transactions of man with other sionally spread; itis not limited to what. is differentiated aspects and phases of cosmos and note the transactions and named by anyoneman at any moment or in his life named "eating;' "breathing," etc. Among those numerous time. transactions,wedifferentiatefurtherandselectfor Frequently we need to discuss a limited ratwe of fact namingthetransactionstypicalof manbutfound where our attention is focused for the timetitling. For infrequently or not at all in other organisms. this we choose the name "situation." This is the blanket This type of behavior involves processes of a kind such nanuip for those facts localized in time and space for our that something stands for orisassurned toreferto immediate attention. something else. Such processes we name "sign behwior," Within a situation we frequently have occasion to refer orsimply -sign."Note that "sign" is not the name of the to durational changes among facts. For these we choose thing that stands for something else; "sign," as used here, the name "events." is the name of the transaction as a whole; i.e., "sign" is Finally, in discussing events we usually have occasion the short name for "sign process.- For example, the word torefer to aspects of the fact involved that are least "cup" is not taken as the sign for the vessel we drink vague or more firmly determined and more accurately coffee from; rather the word, the container, and the word specified. For those we choose the name "object." Object userallare regarded asaspects or phases (sometimes is an aspect of the subject matter of inquiry insofarasit both) of the full situation. Sign process isthe type of has reached an orderly and settled form, at least for the transactionthatdistinguishessome behavioral from time being. physiologicalprocesses, a knowing behavior transaction Further tentative comments on sign process may be from a transaction such as eating, digesting, seeing, etc. helpful. The transitionfrom sign processatthe (But no absolute or ultimate separation is suggested; sign perceptive-manipulative stage (here designated "signaling") processes always include physiological processes and may totheinitialnaming stage (designated "cueing") isa affect those proeesses, as when the reading of a telegram change from the simplest attention.getting procedures, by containing bad news affects respiration.) evolutionary stages, to a somewhat more complex sign Signprocessinevolutionaydevelopment has pro. process that begins to describe things and events. No clear gressed through the following still-existing stages: line of demarcation is found. Some perceptive-manipnla- a. The signaling or perceptive-manipulative stage of five signalings and primitive word cues are descriptive as simin transactionssuch as beckoning,whistling, well as simple alerting behavior. frowning, etc. Thetransitionfromcueingtocharacterizingalso b. The naming stage as used generally in speaking reflects evolutionary development with increasing coin- and writing. ilexity of process, including formal grammar, etc. The c. The symboling stage as used in symbolic logic and urther transition from characterizing to specifying in the mathematics. manner of modern science reflects the further evolution- Focusing our attention now on the naming stage of ary development of sign process, a still more complicated signprocess,we choosetonameit"designa ting. procedure. Desipiating always is behavior, an organism-environmental Atfirstthought the stage we have here designated transaction typical primarily, if not exclusively, of man in symboling" may seem to be a marked departure from, the cosmos. Designating includes: or to reflect a break in, the evolutionary development of 1. The earliest stage of designating or naming in the sign process. However, mathematical symboling, at leam mis evolutimmary scale, which we shall name "cueing.- frequently used in scientific inquiry, may be considered shorthand specifying,. Each symbol replaivs one or more -Hy Cue isto he understood the most primitive words. A single mathematical equation may replace a hong language-behavior...Cue. as primitive naming, is so close arid involved sentenee, even aparagraph, or a limper to the situation of its origin that at timesit enters almost descriptitin in words. asif a signal itself. Face-to-face perceptive sitnatiims are Sometimes symbolingisconsideredto bedifferent characteristic of its type of loeus.It may Mclude cry, from running, and even Dewey and lientley speak of itas expletive, or other single-word sliteners, or any (mania- an "advance of sign beyond naming, accompauied 11) 130 j ClrlifIEN` I develops.- (K&K. p. 178.) Mathematical inquiry seems in and yet held basic to that logic, _as we have to a logic some respects to differ in kind from the designation liscd severed from a psyvhology and proclaimed as if it e ed iii in empirical inquiry, yet tbe mathematical symbols used a realm of its own where it regards itself as basic to the inscientific inquiry designate something quite specific; psychology.We regardlinownigs and reasonings and rquivalene esoreith I .rrelations,for example. For the nuithematical and scientific adventurings mien up to their porpi,scs of empiricalinquiry,aspects of theformal highest abstractions, as activities of men-as veritably men's mathematical structure are used to facilitate summarizing behaviors-and we regard the study of theseparticular and forusing attention on relations aiming things. looming behaviors as lyirT withinthe generalfield 01 Thus sign process inits evolutionary progress to date behavioral inquiry...."(k&K, p.180; emphasisiiilast ma he described as the e lions of man to COMM U nivate : sentence not in original.) firstby simple perceptive-manipulative proces.ses; then by verbal processesofinereasinucomplexity,untilthis Note: In the entries below, some quotations are taken increasing complexity of verCalprocedure became so froin Knowing and ihe Known, Ch. II. Unless otherwise ! much ofa barrier to further pmgress that a shorthand indicated, we agree with the material quoted. system was devised inordertofacilitatefurther ACCURATE: Dewey and Bentley suggest this adjective muunicatio II.This shorthand system !NW been most to "characterize degrees of achievementin tlw range ol extensively developed in mathematical symboling. specification. However, "degrees of achievement" seems to imply some standards of comparison; standards that we C. LIST OF TRIAL NAMES do not have. We sugge.st that names inthe range of scientific specification may be more or less accurate in Many of the namcs below were taken from Ch.I 1of the sense of more orlesspainstakingly chosen and Dewesand Beale Knowing and the Known, while 'applied,Perhaps Dewey and Bentley were naming the others were used in 1 Current Appraisal of the Behavioral same characteristics of naming behavior by their phrase Sciences. The importance of the names does not stem from "degrees of achievement." We suggest that 'accurate" be their sources, butrather fromtheir aidinfacilitating used as a short name for "to date found most useful onnmunication. The names below are provisionally claimed scientifically or by scientists." See PRECISE. to be important in the sense that we found them useful in ACTION, ACTIVITY: These words arc used here only trying to communicate more successfully among ourselves. tocharacterizeloosely durational-extensionalsubject (In some instances nams are listed because we f)und them matters of inquiry. The words suggest self-actional or to be barriers to mutual understanding.) However, other interactional assumptions in which actions are the doings names overlooked by ns may prove to be even more useful of independent selves, minds, ete., separated from the full than those we here discuss, and some of theise presently organism-environmental transaction; procedures that are regarded as useful may prove to he grossly misleading on rejectedhereforinquiryintoknowings.known. See further inquiry.. INTERACTION; SELF-ACTION; BEHAVIOR. A finalsuggestion to the reader: The prevalence of ACTOR: A confusing althoughwidelyused word. interactional mid self-actional theoretical rissumptions may "Actor" often is used in ways that unfortunately separate make transactional procedures unfamiliar at first sight. With thedoertoosharplyfromthecomplexbehavioral referencetonomenclature, W hat seems obviousin transaction. "Actor" hereis used only in the sense of self-actional or interactional terms frequently is deficient "Trans.actor," the human aspect of a behavioral situation. from a transactional point of view.' What may seem odd, APPLICATION: In the terminology adopted here, a peculiar, or overly simple-judged in terms of an acceptance name is said to be applied to the thing named. Use of of other procedures-becomes useful,appropfiate, and "application" helpsto avoid the connotation of some sometimes necessary, given transactional procedures. intrinsic or necessary relation between the thing named For example, Dewey and Bentley have been severely and the marks or sounds used in naming. criticized for neglecting what the critics regard as obvious ASPECT: The name for any differentiated part of a and necessary for all work inthe field: distinguishing firll transaction, without special durational stress. (For the radicallybetweenpsychologyandlogic.Theirreply latter see PIIASE.)Theaspectsarenottaken as follows: independent "reals." In a borrowerdender transaction, the borrower, the lender, and what islent are among the -We may assure all such critics that from early youth aspects of the transaction. Those aspects are inseparable we have been aware of an academic and pedagogical inthatthereisno borrowing without lending, and (listinction of logical from psychological. We certainly make vice-versa. no attempt to deny it, and we do not disregard it. Quite this BEHAVIOR: The name hre covers all the adjustmental contrary. Facing this distinction in the presence of ached priwesses of organismin.envirOnment. This differs from life processes and behaviors of human beings, we deny aro other usesthatlimit "behavior" to the muscular and riga factual difference such as the academic treatment glandular actions of organisms in "purposive" processes, implies....We have as stronganobjeetion tothe or to the "external" rather than "internid" processes of assumption of a science of psychology, severed from a logie the organism. "Behavior" here is always used transaction- _ :illy, never as of the organism alone, but instead a .5 of the Thr prevalence a riontransaetional behavior in inquiry reflects organism-environmental process. (This is not to deny that linguistic habits not easily changed. For example. although the provisional Se pant tic liiU forganisinandenvironment, authors orI current! Appraisal of the nenavioral Sciences adopted wit bin um LruuiuseiuIIu,nuat beuse fillin a transactionalmethod.inIfiefirstedition sometimes framework,can iniuivertentl separated ''ititertial---"ex fernier"individual" = inquiry.) organi.rn" -environment,-and a wonl Fromits BEI lAVIOBISNI: Although many conflicting behaviorist so.ealled -meaning.- with remelting incoherence. The discussion in procedures of inquiry can be found, a common feature is the gleissarV See" ii Oil of the present report suggests the dangers of fusing -biologiral- and "physiological.- and helps to point cliii the rejection of traditional mentalistic and nonscientific theLick a ()aril!,in someof illyIISCS of ''011era I (Mal ;Ind procedures. We agree that the latter should he rejected. ,4PPENDIX: TRIAL NAMES 131 transactional procedures from many types of behaviorism, CONTEXT: Here used transactionally to refer to the because sonicbehaviorists regard behavior as occurring mutuallyrelatedcircumstances and conditions under stfictlywithinthe organism or regard behavioras which things (objects and events) ue observed. physiological. Our rejection of traditional presuppositions COSMOS: Names the sum total of things we can see, shouldnotbeunderstoodasimplying exclusion of smell, taste, hear, and feel (often aided by instruments), h siological processes; we include them as aspects of sign including connections among those things. "Cosmos" is e avior. (See SIGN BEIIAVIOR; TRANSACTION.) applied to the universe as a whole system, including the BIOLOGICn: The name given here to those processes speaking-naming thing who uses the name "cosmos." in living organisms that are not currently explorable by Observable durations extend across cultures, backward the techniques of the physical sciences alone. Biological intothe historical-geological record, and forward into inquirycoversinquiryintobothphysiologicaland indefinite futures as subject matters of inquiry. Not to be sign-behavior. No ultimate separation between the physi- construed as something underlying knowing-knowns yet cal biological "realms" is assumed, nor do we assume itself unknowable. thatpresentphysical and physiologicaltechniques of CUE: The earliest stage of designating or naming in the inquiry will remain unchanged. Perhaps future inquiry will evolutionary scale. Primitive naming, here called "cueing," make our present divisions of subject matters unsuitable. isclose to signaling, and no clear line of demarcation See PHYSICAL. between them is found. The differenfiation is made on CHARACTERIZING: This nameisappliedtothe the basis that organized language occurs ineueing. Some everyday use of words that is reasonably adequate for many psychologists apply "cue" to what we name "signal,and practical purposes. Characterizing is more advanced than vice-versa. If such psychological use develops firmly, our cueing, but less advanced thazi specifying. me will be superseded. CIRCULARITY:Inself-actionalandinteractional DEFINITION: Often used in a broad sense to cover procedures, circularity may constitute a grievous fault. In any procedure for indicating the "meaning" of a term, explicitly transactional inquiry, some circularity is to be including: the stipulation of the application of a term in expected.Forexample,thedescriptionofuseful technical contexts (as when "ohm ' is chosen as the name procedures of inquiry is based on the observation of past for a unit of electrical resistance); descriptions of the uses successful inquiries; that description in turn may help to a term has in everyday speech; equations relating a sin le improve future inquiries; which in turn may lead to an symbol and a combination of symbols for which the improved description of procedures; etc. Some critics of sinOe symbol is an abbreviation (as in symbolic logic); Dewey and Bentley regard the type of circularity found what is here called "specifying"; as well as many other in Knowing and the Known as a major flaw, but they procedures. Also used to refer to a description of the apparentlyfailto grasp the significance of the Dewey- 'nature" or "essence" of a thing. In view of the many Bentley procedures. widely varying procedures to which "definition" has been COHERENCE: The word is applied by us not to the applied, we avoid the term here. See SPECIFYING. internalconsistencyof a set of symbols, but to the DESCRIPTION: Expansion of naming or designating in connection found in scientific inquiry to obtain between order to communicate about things (including situations, or among objects. Not logical connection, then, but the events,objects, andrelations) on which attentionis kind of "hangingtogether"thatoccursinobserved focused. regularities, is what is named. DESIGNATING: Always comidered here transaction- CONCEPT, CONCEPTION: "Concept" is used in so allyasbehavior.Includes cueing,characterizing, and many ways, especiallyinmentalistic and hypostatized specifying.When naming and named are viewedin forms, and in ways separating the sign from the sign-user, common process,"designating" referstothe naming that its total avoidance is here recommended. "Concep- aspect of the transactirn. Designating is the knowing- tion"isfrequently construed as a "mentalistic entity, ' naming aspect of fact. but sometimesasa synonymfora point of view ENTITY:Itsuse often presupposes self-actional or provisionally held and to be inquired into. Even in the interactional procedures, and especially some independ- latter instance, the word may have mentalistic connota- ent-of-all-elsekind of existence. Not usedhere.See tions. We are cominced that it is not useful because it so THING. often is a semanfic trap for the unwary. ENVIRONMENT: Not considered here as something CONJECTURE: When description is blocked in inquiry, surrounding, and fully separable from organisms; but as the inquirer imagines what may be happening; "conjec- one aspect of organism-environmental transactions. The ture" designates such a tentative notion about possible apparently plausible separation of organism from environ- connections among facts. In view of the other applica- ment breaks down when one attempts to locate and tions found for "hypothesis," we suggest "conjecture" as consistentlydescribetheexactdemarcation between areplacementforthatname.SeeHYPOTHESIS, organism and environment. For some purposes of inquiry, THEORY. focusing attention primarily on either the organic or the CONNECTION: In naming-knowing transactions, the environmental aspect of the whole transaction may be general name for the linkages among the aspects of a useful. process,asfoundthroughinquiry.Inanobsemed EPISTEMOLOGICAL: Totheextenttheuseof regularity, the things involved in the regularity are said to "epistemologicalsupposes that knowers and knowns are he connected. "Connection" covers the relations some- fully separable, the word is incompatible with transac- times referred 10 as "causal," "statistical," "probabilistic,' tional procedures and is not used here. "structural-functional," etc. EVENT: The name chosen here for durationsl changes CONSCIOUSNESS:Notusedhyusunlessas among facts upon which attention is focused for purposes synonym for "awareness". of inquiry. CONSISTENCY:Discoursefoundtohefreeof EXACT: See PRECISE, ACCURATE. contradictory old of contrary assertions is characterized EXCITATION: To be used in reference to physiological as consistent. organism-environmentalprocesseswhendifferentiation ,4 CURRENT .111'PRAIS4L between such physiological stimulation and sign-behavioral ancestors, and our progeny from the remainder of flu stimulation is desired. See STIMULUS, cosmos. No ultimate division of the cosmos into inan EXISTENCE:Theknown-namedaspecto ffact. other Organisms, and physical objects is intended. Nor Physical, physiological, and behavioral subject matters are olwionsly, do we intend by our naming to deny regarded here as equally existing. However, "existence" evolutionary development from other organisms, or thr should not be considered as referring to any "reality" myriad connections man has with other aspects of the supposedly supporting the known but itself unknowable. cosmos. EXPERIENCE: "This word has two radically ollmwd HYPOTHESIS:hitheliteratureon methodolo0 uses in current discussion. These overlap and shift so as to "hypothesis" sometimesisappliedto any conjecturt eaust continual confusion and unintentional misrepresen- about possible connections among facts, but sometimes it tation. One stands for short extensive-durational process, restrictedtorelativelyexactformulationsthat may an extreme form of which Li identification of an isolated emerge inan advanced stageofinquiry.Sometimee sensory event or 'sensation' as an ultimate unit of inquiry. -hypothesis" is embedded in the terminology of tradition- The other covers the entire spatially extensive, temporally al logic and epistemology, as when a hypothesis is said tc durational application; and here it is a counterpart for the be a proposition not known to be true or false initially. word 'cosmos'," "Experience" sometimes is used to name but from which consequences Lwe deduced; if sufficient something consideredto be primarily localized in the deductions are confinned,the "hypothesis" issaidtc organism ("he experienced deliOit") or to what includes becomea"truth." To avoidconfusion, we suggest much beyond the organism ("the experience of the nation replacing "hypothesis" by ",:onjecture." See CONJEC at war"): to relatively short &rational-extensional pro- TORE, THEORY. cesses ("he experienced a twinge") and to relatively vast IDEA, IDEAL: "Underlying differences of employment processes("the experience or the race"). "The word are so many and wide that, where these words are used, it 'experience' should be dropped entirely from dismission should be made clear whether they are used behaviorally unless held strictly to a single definite use: that, namely, or as names of presumed existences taken to be strictly

ofcallingattentiontothefactthat Existencehas mental." "Idea" may be serviceable asreferringto L organism and enviromnent asits wpects, and cannot be notion about things. identified with eitheras an independent isolate," See INDIVIDUAL: "Abandonment of this word and of all BEHAV IOR. substitutesforitseemsessential wherever a positive FACT: The cosmos in course of being known through genyraI theory is undertaken or planned. Minor specialized naming by organisms, themselves being always among its studies in individualized phrasing should expressly name aspects. Fact is the general_ name for bits and pieces of the limits of the application of the word, and beyond cosmosasknownthrou01naming,inastatement that should hold themselves firmly within such limits." In sufficientlydevelopedtoexhibittemporal and spatial thetransactional framework here adopted, "behavior" localizations. Manisincluded among theaspects of covers both so-called "individual" and "social" behavior, cosmos. "It is knowings-knowns, duranonally and exten- whichareaspectsofbehavioraltransactions.See sionally spread; not what is known to and named by any BEHAVIOR. one organism in any passing moment, nor to any one INQUIRY: "A strictlytransactional name.Itis an organisminitslifetime.Factisunder way among equivalent of knowill, but preferable as a name because organisms advancing in a cognos, itself under advance as of its freedom from mentalistic' associations." Scientific known. The word 'fact,' etymologically from factum, inquiryisthe attempt to develop ever more accurate something done, with its temporal implications, is much descriptions (including what are often called "explana- better fitted for the broad use here suggested than for tions')ofthethingsandtheirrelationsthats either of its extreme mid less common, though more differentiated in cosmos, in order to facilitate prediction pretentiousapplications:ontheonehandforan and control (or adjustive behavior thereto). Statements independent 'rear; on the other for a 'mentally' endorsed about the observed regularities, measurements of change, report." etc., are fomiulated as warranted assertions. FIELD: "On physical analogies this word should have INTER: "This prefix has two sets of applications çsce importan t application in behavioral inquiry.The Oxford Dictionary). One is for 'between,' 'in-between, or physicist's uses, however, are still undergoing reconstruc- 'betweenthepartsof.' The other isfor 'mutually,' tions,andthedefinitecorrespondenceneededfor 'reciprocally.' " (E.g., this prefix sometimes is applied to behaviond application can not be established. Too many the relation "in-between," as when mind and body are currentprojectsfor the use of the word have been said to interact in the pineal gland, or that a tennis ball is parasitic. ThorouOi transactional studies of behaviors on intermediate in size between a golf ball and a soft ball. their own account are needed to establish behavioral field Sometimes"inter"is used fOrmutuallyreciprocal inits ownrigtht.""Field"here names acluster of relations, as in the interaction of borrower and lender.) connected factsas found ininquiry. We do not use "The result of this shiftik, use as it enters philosophy, "field" as the name for a presumed separate euvironment logic, and psychology, no matter how inadvertent,is in wh ieh independent facts are found; "field" names the ambiguity and midependability." The habit of mingling entire complex process of mutually connected things and without clarification the two sets of implications is easily their relations on which attention is focused, and includes acquired; we use"inter" for instances in whichthe the observer in the transaction. "inhet wren" sense is dominant, and the prefix "trans" is FIRM: Namings are firm to the extent that they are used where mutually reciprocal influence is included. found to be useful for consistent and coherent communi- INTERACTION: "This word, because of its prefix, is cationaboutthings,including events.Fimmess, thus undoubtedlythe source of much of the more serious demonstrated, involves no implication of finality or of difficulty indiscussionatthepresenttime." Some immunitytobeingsuperseded X4 scientificinquiry authors use "interaction" in the way "transaction" is used byre.We restrict-in terac tioll''to instancesinwhich HUMAN: 'Hie word used to differentiate ourselves, our presumptivelyindependent things are balanced against APPENDIX: TRIAL NAMES each other in causal interconnection, as in Newtonian reports upon it are regarded as tentative and hypothetical. mechanics.For inquiryinto knowing-knowns, such an Observation is not limited to 3-perception" in the interactional procedure is rejected. See TRANSACTION. narrow sense; to a "simple" sensory quality or some KNOW1NGS: Organicaspects of transactionallyob. other supposed "content" of such short time-span as to served behaviors. Here considered in the familiar central have no or few connections. Observation refers to what is ranue of namings-knowings. accessible and attainable publicly. Both knowings and NOWLEDGE: "In current eniployment this word is electrons, for example, are taken a,s being as observableas too wide and vape tobea name of anything in trees or chairs. particular.The butterfly'knows' how tomate,pre- OPERATION: "The word 'operation' as appliedto sumably without learning;the dog `knows'itsmaster behavior in recent methodological discussions should be through learning; man 'knows' through learning how to thoroughly overhauled and given the full transactional do an immense number of things in the way of arts or status that such words as 'process' and 'activity' require, abilities; he also 'knows' physics, and 'knows' mathe- The military use of the word is suggestive of the way to matics; he knows that, what, and how. It should require deal with it.' only a moderate acquaintance with philosophical litera- OPERAT1ONISM: This has become a confusing word, ture to observe that the vagueness and ambiguity of the and sometimes seems to be merely aninvocation of word 'knowledge' accounts for a large number of the scientific virtue. "Operational definition" sometimes refers traditional 'problems' called the problem of knowledge. to defining phrases having an "ifthen" form ("x is water The issues that must he faced before firm use is gained soluble",' it xis immersed in water, then it dissolves" are: Does the word 'knowledge' indicate something the sometimes to the insistence that the criteria of application organismpossesses or produces? Or doesitindicate ofaword beexpressedintermsof experimental something the organism confronts or with which it comes procedures;andsometimesto astatementofthe intocontact?Caneithero ftheseviewpointsbe observable objects and events that are covered in the use coherently maintained? If not, what change in preliminary of a word. On some occasions, "operational definition" description must be souP?" See WARRANTED ASSER- apparently is used to refer to something similar to, if not TION. identical with, what we call "specification" or scientific KNOWNS: "Known" refers to one aspect of transac- naming. See SPECIFYING. >tionally observed behaviors, i.e., to what is named. "111 ORGANISM: Used here to differentiate living things the case of namings-knowings the range of the knowns is from other thingsinthe cosmos, but not to detach thatof existencewithinfactor cosmosnotina organisms from their many connections with other aspects limitation to the recognized affirmations of tile moment, of cosmos. Organisms are selected for separate naming for but iri process of advance in long durations." methodolotgical purposes,_ not as constituting something LANGUAGE: Here viewed transactionally as behavior separated rom the rest of cosmos. of men (with the possibility open that inquirymay show PERCEPT: In the transactional framework, a percept is thatother organismsalsoexhibit language behavior). regarded as an aspect of signaling behavior, not asa Word-users here are not split from word-meanings,nor hy ostatized independent something. word-meanings from words. ERCEPTION-MANIPU LAT1ON :Although perception MANIPULATION: See PERCEPTION-MANIPULA- and manipulation arc regarded as radically different in TION. some procedures of inquiry, transactionally viewed they MATHEMATICS: Here regarded as a behavior develop- have a common behavioral status. They occur jointly and ing out of naming activities and specializing in symboling, inseparablyinthe range of what is here called signal or shorthand naming. See SYMBOLING. behavior. MATTER, MATERIAL: See PHYSICAL. If the word PHASE: Used for an aspect of cosmos when attention mental" is dropped, the word "material" (in the sense of is focused on the duration of a time sequence, as when matter as opposed to mind) falls out also. referring to the various phases of the manufacture and MEANING: Not usedhere,because of confusion distribution of products. engenderedbypastandcurrentuses.Transactional PHENOMENON: Used here for provisional identifica- procedures of inquiryreject the split between bodies- tion of situations. Not to be construed as "mbjective," devoid-of-meaning and disembodied meanings. nor as a mere appearance of an underlying reality. MENTAL: Not used here. Its use typically reflects the PHYSICAL: At present, we find three major divisions hypostatization of one aspect of s*n behavior. of subject matter of inquiry: physical, physiological, and NAME, NAMING, NAMED: Naming is here regardedas sign-behavioral. These divisions are made on the basis of a form of knowing. Names are not considered here as presenttechniquesof inquiry, not on thebasis of third things separate from and intermediate between the assumed essential or ontological differences. See BIOLOG- organism and its environment. Naming transactionsare ICAL. language behavior in its central ranges. Naming behavior PHYSIOLOGICAL: "That portion of biological inquiry states, selects, identifies, orders, systematizes, etc. We at which forms thesecond outstanding division of the times use "designating" as a synonym for "liaming." subjeetmatter of allinquiryasat presentinprocess; OBJECT: Within fact, and within its existential phas differentiated from the physical by die techniques of object is that which has been most firmly specified, and is inquiry employed more significantly thati by mention of thus distinguished from situation and event. Object isan its specialized organic locus," See BEHAVIORISM. aspecto fsituationinquiredin toinso farasuseful PRECISE: Dewey andBentleyuse"exact" asall descriptionorfirmnaming of that aspect has been adjective to describe symbols, and "accurate" to describe achieved. specifying. We question the usefulness of differentiating OBJECTIVE:Usedhereonly in thesenseof between specifying and symboling other than to point out "impartial" or "unbiased." that the latter seens to he shorthand for the fomier. OBSERVATION: Used here transactionally, rather thau Because symbols areoftenusedinconnectionwith as a separated "activity" of the observer. Observation and relativelyprecisemeasurementsforthenurnoses of A CURRENT APPRAISAL scientific inquiry, we suggest that "precise lay be more stages of "sign" are here name"signal," "name and usefulthan "exact- as an adjective charactefizing any "symbol." symbolizing. Symbols are precise to the extent that they SIGNAL:Usedheretorefertotheperceptive. are shorthand names for precise measurements or what manipulative stage of sign process in transactions such as could be precise measurements. See ACCURATE. beckoning,whistling,frowning,etc. No clearlineol PROCESS: To be used aspectuallyor phasally as demarcation between signaling and cueing is found; some naming a series of related events. perceptive-manipulative signalings are not only alerting PROPOSITION: Used sometimes inthe context of behaviors, but also may begin to describeaspects ol logic to name the states-of-affairs to which statements (or cosmos. assertions, or sentences) refer. Thus "The dog is black" S1GN-BEHAVIOR: Sign-behavior refers to that range ol and "Der llund ist schwarz" are said to express the same biological inquiry in which the processes studied are not proposition.Generallysuchproceduresmakesharp currently explorable by physical or physiological tech- distinctions among words, word-users, and "meanings," or niques alone. Human behavior here covers both so-called among runners, nameds, and names. Such separations are "social"and"individual"behavior. No ultimateen here rejected, and along with them go many related ontologicalseparation of physical,physiological, and distinctions. We regard the talkings (including namings, sign-behaviorisassumed;thedistinction made herr thinkings,reasonings,etc.) of man as human behavior concerns the techniques of inquiry found usefulfoi rather than as third things somehow occuming between vatioustypesofsubjectmatters.See PHYSICAL, men and what theytalk about, and we believe that PHYSIOLOGICAL. proceeding in this manner not only avoids many needless SIGN-PROCESS: Synonym for SIGN. mysteries but aids scientific inquiry into such talkings. SITUATION: Used here asa blanket name fora QUEST FOR CERTAINTY: In prescientific inquiry, limited range of fact, localized in time and space, upon thcattempttodiscoveraneternalandimmutable whichattentionisfocused."Inourtransactional "reality" that can be known with complete certainty. We development, the wordisnot used in the sense of do not assert the absolute nonexistence of such "reality," environment; if so used, it should not be allowed te but point out the failure to find it and the barrier such a introduce transactional implications tacitly." notionhas beentoscientificprogress.In somewhat SOCIAL: See INDIVIDUAL. disguisedforms,the questfor certaintycrops up in SPACE-TIME: Space and time axe here used transac purportedly scientific investigations, as M attempts to find tionallyand behaviorally, rather than as fixed,giver a certain and indubitable base upon which inquiry rests. frames(formal,absolute, or Newtonian) or physical REACTION: In physiological stimulation (as contrasted somethings. Bentley's words suggest our present approach: with sign-behavioral stimulation), "excitation" and "reac- "The behaviors are present events conveying pasts ink tion" are coupled as aspects of the stimulation transac- futures. They cannot be reduced to successions of instants tion. See EXCITATION, STIMULUS. nor to successions of locations. They themselves spar REAL: Used Taringly as a synonym forgenuine," in extension and duration. The pasts and the futures sul opposition to "sham" or "counterfeit." rather phases of behavior than its eontrol."1 REALITY: "As commonly used, it may rank as the SPECIFYING: Used here to refer to the naming that most metaphysical of all words in the most obnoxious has been found usefulin science. "The most hiely sense of metaphysics, sinceitissupposed to name perfected naming behavior. Best exhioited in modem something which lies underneath and behind all knowing, science. Requires freedom from the defectively realistic and yet, as Reality, something incapable of being known application of the form of syllogism commonly known as in fact and as fact. ' Aristotelian." Should not be mistaken as a synonym los RESPONSE: In signaling behavior, asdifferentiated "definition," at least in many senses of the latter word. from physiological stimulation, "stimulus" and "response" STIMULUS: Used in various ways in current inquiry, are coupled as aspects of the stimulation transaction. somefimes delignating an object or group of objects in SCIENCE, SCIENTWIC: "Our use of this word is to the environment, sometimes something in the organism designate the most advanced stage of specification of our (events in the receptors, for example), and sometimes timesthe 'best knowledge' by the tests of employment something located elsewhere. The nem- chaos connected nd indicated growth." withthiswordstronglysuggeststheneedfora SELF: Within the framework here adopted, "self" mansactionalprocedure. "StimulatMg" may be a preferable names one aspect of organism-environmental transactions, term, inasmuch as it suggests a transactional process. rather than an hypostatized "entity." SUBJECT: Used here m the sense of "topics," as in SELF-ACT1ON: "Used to indicate various primitive "subject matter being inquired into," rather than in any treatments of the known, prior in historical development sensepostulatingaradical separation of subject and to interactional and transactional treatments." Thai is, object. usedtoreferto frameworks inwhich presumptively SUBJECTIVE: The usual subjective-objective dichot- independent actors,minds,selves,etc.,are viewed as omy,isrejected here, and what commonly axe called causing events (as,for example, when gods are said to "subject" and "object" are regarded as aspects of relevant cause meteorological phenomena, or nfinds to create new transactions.However, inasmuchas some inquiries in ideas)."Rarelyfound todayexceptinphilosophical, philosophy and psychology still use procedures based on logical, epistemoloOcal, and a few limited psychological "subjective" analysis or introspection, we emphasize our regions of inquiry.' objectiontowhateveris notpubliclyobservable. SIGN: The name applied heretoorganism-environ- Subjectivism,understoodasaprocedure of inquiry mental transactions in which the organism involved in a attempting to obtain scientificallyuseful "knowledge situation accepts one thing as a reference or pointing to from what is not publicly accessible, is rejected here. some other thing. "Sign" here is not the name of the SUBJECT MATTER: "Whateverisbeforeinquiry thing that is taken as referring to something else; rather Arthur F. Bentley, inquiry Into Inquiries (Sidney Ratner, ed.) "sign" names the whole transaction. The evolutionary Boston, Beacon Press, 1954, p. 222. APPENDIX: TRIAL NAMES 135 where inquiry has the range of namil named. The main THEORY: Widely used in many differing applications; divisionsinpresent-dayresearchareintophysical, i.e.,as conjecture, notion, hypothesis, final outcome of physiological, and behavioral." inquiry,etc.We suggestthat"theoty" be usedto SUBSTANCE: No word of this type has a place in the designate the description of what happens under specified present system of naming. circumstances. So used, a theory is highly warranted by SYMBOL: A shorthand naming component ofsym- theevidencepresentlyavailable(e.g.,thetheory of boling behavior. As used here, not to be hypostatized, but evolution), but issubject tofuture correction, modifi- viewed transactionally and comparable with "name" and cation,orabandonment.SeeDESCRIPTION, WAR- "signal." RANTED ASSERTION. SYMBOLING: Symboling, inscientificinquiry,isa THING: Used here as the general name for whatever is shorthand means of specifying or scientifically naming. In named. Things include both objects and events;any and the development of pure mathematics structures., consis- every aspect of cosmos. tency within the symbol system is of primary importance. TIME: See SPACE-T1ME. In such instances the symbols do not directly designate TRANS: This prefixisusedtoindicate mutually specific things and events but rather designate potential reciprocal relations. See INTER. relations. (E.g., "2" does not name the type of thing that TRANSACTION:Refers heretothefullongoing "dog" does.) However, when mathematicsisused in process in a field.In knowing-naming transactions, the scientific inquiry, the mathematical symbolsare apphed connections among aspects of the field and the inquirer tothesubjectmatter;thenthesymbols become himself are in common process. To be distinguished from shorthand specifications or abbreviatednames. "interaction" and "self-action." See INTERACTION and SYSTEM: Used here as a blanket name to refer to sets SELF-ACT1ON. or assemblages of things associated together and viewed as TRUE, TRUTH: The many conflictinguses of these a whole. Systems may be self-actional, hiteractional, or words incline us .not to use them. In theirsenses of "can transactional. Typically used here inthe transactional be relied upon," "in accordance with states-of-affairs," sense of "full-sydem, inwhich the components or and "conformable tofact," they name what we call aspectsarenotviewedasseparatethingsexcept "warrantedassertions."However, theconnotation of provisionally and for special purposes other thana full ermanence, fixity, and immutability suggests the quest report on the whole situation. or certainty. See WARRANTED ASSERTION. TERM: "This word has today accurate use as a name VAGUE:Thistermreferstovarioustypesof only in mathematical formulafion where, even permitting inaccuracy and imprecision. Probably "vagueness" could it several different applications, no confusion results. The profitably he replaced by other words indicating just what phrase 'in terms of' is often convenient and, simply used, type of inaccuracy or imprecision is involved. is harmless. In the older syllogism term long retained a WARRANTED ASSERTION: Used here to refer to surface appearance of exactness which it lost when the those assertions best certified by scientific inquiry. Such language-existence issues involved became too prominent. assertions are open to future correction, modification, and For the most part M current writing it seems to be used rejection; no finality is attributed to them. See INQUIRY. loosely for 'word carefully employed.' It is, however, fre- WORD: As used here, there is no supposed separation quently entangled in the difficulties of concept. Given suffi- of "meaning" from a physical vehicle somehow carrying cient agreement among workers, term could perhaps be that "meaning." Words are viewed transactionallyas an safely used for the range of specification, and this without aspect of knowing behavior; the subject matter is inquired complications arising from its mathematical uses. into whole, as it comes, not as bifurcated. INDEX

A Ball, D. W., 40 Banks, A. S., 54 Baran, P., 67 Accurate, 130, 131, 133 134 Bar-Hi Ilel, Y., 107, 109, 113 114 Ackoff, R. L., 97, 101, 102, 105, 113, 122 Barnes, H. E., 46 Action, Activity, 130 Buzzes, J. A., 31 Actor, 130 Barraclough, G., 72 Adams, D. K., 17 Barry, B., 50 Adler, A., 18 Bates, J., 104 Agger, R., 53 Batts, J. M., 52 Ailport, F. It, 20, 25 Bayesian statistics, 99 Al lport, G. W., 118 Bayley, N., 19 Mmond, G. A., 50, 53, 57 Beach, E. F., 60 Alston, L., 40 Beach, F. A., 23 Altman, J., 127 Beak, H. K., 74 Ametican Historical School of Anthropology, 29 Beard, C., 73, 77 American Institute for Economic Research, 62, 69 Becker, C., 71 Aznontons, G., 8 Becker, H., 29, 38, 39, 40, 44, 46 Amount of Information, 109, 111 Beer, S., 5, 106, 108, 111, 112, 113 114 Analogies, 112, 117, 119, 120, 121 Behavior, 11, 130, 132 Anastasi, A., 16 Behavioralism, 50 Anderson, A. R., 112, 114 Behavioralists, 49 Anderson, R. T., 30 Behaviorism, 17, 38, 130f, Andreano, R. L., 73 Benson, L., 76, 78 Andrewes, C. H., 8 Bentley, A. F, 6, 7, 13, 18, 24, 44, 45, 46, 49, 50, 52, Angel, E., 18 53, 57, 64, 81, 91, 92, 93, 94, 114, 116, 125, 127, Anrep, G. V., 20 129, 130, 134 knthropological linguistics, 31 Berelson, B. H., 12, 24, 27, 52, 88 Anthropology, 27-36, 95 Berger, P. L., 42 Application-, 130 Berkhofer, R. F., Jr., 77 Aquinas, T., 80 Berkowitz, L., 41 Archeology, 31 Berkowitz, N., 33 Aristotelianism, win Berlin, B., 34, 92 Aristotle, 7, 124 Berlin, I., 78 Arnoff, E.L., 102 Bernd, J. L., 56 Arnold, T., 81 Bernhard, It C., 60 Arrow, K. J., 68, 69, 104, 105 Bernoulli, D., 8 Arlificial intelligence, 111 Berns, W., 84, 100 Ascher, R., 32, 34 Bernstein, B. J., 77 Ashby, W.R., 109, 112, 113, 114 121 Berreman, G. D., 34 Mipect, 130 Berrien, F. K., 122 Atkinson, J. W., 6, 21 Bertalanffy, L. von, 95, 107, 116, 117, 118, 119, Atkinson, R. C., 21, 22 120, 1211 Atomic energy, 124 Beutel, F. K., 80, 811, 83, 85, 86 Attneave, F., 114 Bevan, W., 22, 26 Attain, J., 80 Bever, T., 16 Austin, J. A., 22 Beveridge, W. 1. B., 8 Austin, W. M., 91, 92 Bierstech, R., 43 Aydelotte, W. O., 73 Bigelow, J., 108 Binford, L. R., 29 Bingham, G. P., 50 Bingham, J. W., 81 Binion, R., 72 Biological, 131, 133 Biosocial psychology, 18 Baade, H.W., 82 86, 100 Birnbaum, N., 43 Bach, G. L., 67 Bit, 107 Back, K. W., 37 Black, A., 67 Bacon, F., 8 Blackwell, D., 105 Bain, It., 38, 43 Blalock, A. B., 46 Balandier, G., 53 Blalock, H. M., Jr., 46 Bales, R. F., 41 Blau, P. NI., 42 1 7 Bloch, B., 87, 89, 94 Carnap, R., 24, 51, 114 Bloch, M., 78 Carr, E. H., 75, 78 Blood gyoups, 30 Carroll, J. B., 29, 31, 35, 36, 87, 90, 94, 109 Bloomfield, L., 87, 88, 89, 94 Carter, H. D., 19 Blumberg, A. S., 83 Cassell, G., 64 Blumer, H., 40, 41 Castro, B., 63 Boas, F., 27, 29, 87 Catania, A. C. 19 Böhm-Bawerk, E. von, 64 Catlin, G. E. G., 48, 51, 57 Bolinger, D., 91 Cattell, J. McK., 19 Bonin, G., von, 108 Cattell, R. B., 19, 22 Boot, J., 100 Cavan, S., 40 Booth, AD., 109, 114 Cavendish, H., 8 Borgatta, E. F., 41, 46 Caws, P., 116 Boring, E. G., 16, 17, 25 Certainty, quest for, viiix, 2, 5, 133, 134 Bosanquet, B.. 121 Chafe, W. L. 94 Boakoff, A., 38, 39, 42, 46 Chammah, A. M., 95 Boulding, K., 95, 99, 103, 116 Chapanis, A., 4, 102, 117 Boutillier, C. G. le, 80 Chapin, F. S. 39 Bower, G. H., 22, 26 Chaplin, Ft. E., 31, 36 Boyle, R., 8 Characterizing, x, 129, 131 Bozeman, A. B., 83 Chave, E. J., 19 Braybrooke, D., 52 Cherry, C., 106, 107, 114 Brecht, A., 49, 57 Chicago Jury Project, 82 Breed, W., 111 Chihara, C. S., 112 Bridgman, P. W., 5, 25 Child, 1. L., 21, 28 BrigKt, W., 90 Childe, V G., 36 Brillnuin, L., 107, 114 Chomsky, N., 1, 2, 16, 22, 29, 30, 87, 88, 89, 91, 92, 94 Broadbent, D. E., 21, 25 Christ, C. F., 61 Brodheek, M., 6, 40, 119, 120 Churchman, C. W. 97, 102, 103, 104, 105 Bross, I., 97 Circularity, 131 Brothwell, D., 33 Clark, J. B., 64 Brown, R., 87, 88, 90, 94 Clark, J. W., 118 Bruner, J. S., 22, 25 Clark, K. E. 15 Bruyn, S., 40 Clarke, A. C., 42 Bryan, W. J., 69 Clausen, J. A. 41, 42 Bryson, L., 99 Clifford, W. K., 13 Brzezinski, S., 53 Clinard, M. B., 40 Buchholz, B., 82 Cliometrics, 73 Buehler, I. Ft., 28, 98, 105 Cohen, A. K., 42 Buck, R. C., 119, 120, 121 Cohen, F., 81 Buckle, H. T., 73 Cohen, M. R., 71 Buckley, W., 95, 97, 98, 10507, 111 114, Cohen, R. S., 2, 89 116, 117, 118, 122 Cohen, Y. A., 33 Buettner-Janush, J., 32, 36 Coherence, 131 Buhler, C., 5, 18 Colby, B. N., 32 Bumpers, D., 101 Cole, M., 16, 28 Burger, E., 3, 97, 102, 105 Coleman, J. S., 41, 50 Burgess, R. L., 37 Colfax, J. D., 43 Burns, A. F., 62, 66, 69 Collingwood, R. G., 78 Bush, ft. R., 19, 26 Commons, J. R., 64, 69 Bushnell, D., Jr., 37 Communication, 112, 114 Butler, S., 113 Communication Theory (see Information Theory) Butterfield, H., 73 Comparative method, 50 Competence versus performance in linguistics, 91 Comte, A., 37, 38 Concept, Conception, 24, 131 Condorcet, M. de, 73 Conjectore, xi, 9, 32, 131, 132 compared with hypothesis, 8 Cadwallader, M. L., 111 Connection, 131 Cahill, F. V., Jr., 81, 86 Conrad, A. H., 73 Cahnman, W. J., 42 Consciousness, 131 Caloric, 11, 128 Consistency, 131 Cameron, N., 18, 25 Context, 131 Campbell, A., 52 Control, 113 Cantzil, H., 15, 18, 53 Converse, P. E., 52 Cardow, B. N., 81 Cook, W. W. 82, 84, 85 Carmichael, L., 16 Cooley, C. 14., 37 1 A 7 INDEX 139 Coombs, C. 11., 3, 98, 1 Dorfman, R., 99 Copeland, M. A., 58 Dray, W., 6, 76, 78 Corwin, E. S., 54 Drury, W. H., 119 Cosmos, ix, 12, 128f, 131 Dubois, C., 27 Costner, H. L., 46 Duhl, F. J., 122 Coulborn, R., 74 Duncan, H. D., 41, 45 Cowan, T. A., 82, 83 Duncan, 0. D., 41 Criswell, J, 22 Durkheim, E., 37 Cromwell, 0. 72 Dynes, R. R., 42 Cronbach, L.J., 19, 110 Cruthers, E. J., 22

Cueinfi0, x7 1297 131 Culture, 33, 35 Cummings, M., 52 Cybernetics and Information Theory 95, 106-115, 120 feedback in, 106 Easton, D., 48, 49, 57 Eaton, M., 8 Ehbinghaus, H., 15 Ecology, 41 Econometrics, 62, 63, 73 Economics, 58-70, 119 Dahill, J., 85 equilibrium in, 65 Dahl, EL A., 48, 52, 53, 56, 57 experimental, 63 Dahlstrom, W. G., 22 schools of Danelski, D. J., 53, 83 classical, 64 Danto, A., 75, 76, 78 institutionalists, 64 Darlington, C. D., 2 neoclassical, 64 Darwin, C., 49 American, 64 Davidson, D., 101, 105 Austrian, 64 Davis, F., 40 Jevonsian, 64 Davis, F. J. 42 Scandinavian, 64 Davis, H., 16 Eddington, A. S., 10 Davis, J. A., 37, 44, 45, 46 Edgeworth, F. Y., 64 Davis, K., 39 Edinger, L. J., 53 Davis, K. C., 83 Edwards, W., 99 Davis, M. D., 105 Ehrlich, E., 79, 81 Davis, FL L., 3, 98, 100 Ehrmann, J., 30 Davy, H., 8 Einstein, A., viii, 2, 7, 49, 96 Dean, G. W., 101 Eisenmann, C., 56 Decision theory, 3, 95, 97-105 Elander, E. F., 105 Definition, 128, 131 Eldersveld, S. J., 51, 57, 98 De Fleur, M. L., 42 Eliot, G., 124 DeGrazia, A., 127 Ellenberger, H. F., 18 Demography, 41 Ellis, H. PL, 21 Denzin, N. K., Elton, G. R., 71, 75, 78 Derhanl, W., 124 Emery, F. E., 113 Descartes, R., 8, 88 Emic Analysis, 30, 33, 35f Description, 131, 135 Emotion, James-Lange theory of, 21 versus explanation, 128 Empiricism, 1, 124 Descriptive linguistics, 31, 90 Engen, T., 20 Descriptive procedures of inquiry, 91 Entity, 131 Designating, x 131 Environment, 131 De Sola Pool, I., 57 Epistemological, 11 Deutsch, K. 54, 111 Epstein, K., 74 Dettbrch, S. E., 43 Epstein, L., 53 Deutscher, I, 38, 40 Erikson, E H., 72 DeValois, R., 20 Erikson, K. T., 42 Dewey, J., viii, 2, 6, 9, 13, 18, 24, 43f, 464, 81, 91, Estes, W. K., 15, 16, 21, 25 92, 93, 94, 114, 116, 125, 127, 129, 130 Ethnicity, 33 Diamond, S., 34 Ethnomethodologists, 30, 40 Dinitz, S., 42 Ethnoscience, 30 Dixon, T. R. 24 Ethnosemantics, 30 Dodd, S. C., 38, 41, 118, 119 Etic Analysis, 33, 35f Dolbeare, K., 53 Etzioni, A.7 111 Dollard, J., 17, 21 Eulau, FL, 50, 51, 52, 57, 98 Donations of Constantine 74 Evans-Pritchard, E. E., 29, 33 Dorfman, J., 69 Event, x, 131 140 A CURRENT APPRAISAL Evoluti n of man, 32 Game and Decision Theory, 97-105 Exact, 131 Game Theory, 3, 60, 61, 95 Excitation, 1311, 13334 prescriptive vs. descriptive interpretations of, 101f Existence, 132 Gardiner, P., 75, 77, 78 Existential psychology, 18 Gardner, B. T., 34 Experience, 132 Gardner, R. A., 34 Eysenek, H. J 23 Garfinkel, IL, 40, 41 Garlan, E., 81, 86 Garn, S. M,, 31, 32, 36 Garner, W. R., 19 Garvin, P. L., 32, 89, 94 Gay, J., 16, 28, 34 Geldard, F. A., 20 Fabian, R. G., 123 General Systems Theory, 97, 116.122 Fact, x, 132 Genetic methods, 19 Fagen, ft. E., 121 George, F. H., 106, 108, 109, 113, 114 Fairchild, H. P., 40 George, H., 64 Farmer, R. N., 41 Gerard, R., 118, 120 Faubus, 0., 101 Gerhart, E. C., 80 Fechner, G., 15, 16 Gesell, A, 16 Feedback, 108, 111, 114 Gestalt psychology, 17 Feigenbaum, E. A., 4 Gibson, E. J., 16, 20 Feigl, H., 7, 18, 25, 119 Gibson, J. J., 16, 20 Feldman, J., 4 Giddinp, F. H., 37 Fenno, R., 52 Gide, C.., 69 Ferster, C., 21 Gilbert, F., 72 Festinger, L., 22, 26 Gillespie, J. V., 54 Fetter, F., 64 Galin, J., 15, 29, 45 Field, 132 Girshick, M. A. 105 Field observational studies, 19 Gjessing, G, 34 Filstead, W. J., 38, 40, 46 Glaser, B., 40, 43 Finch, H. A., 40 Gleason, H. A. Jr., 93 Firm, 132 Glick, J. A., 16, 28 Fischer, A., 28, 30, 31, 34, 92 Glueek, E., 82 Fischer, J. L., 27, 33, 36 Glueck, S., 82 Fisher, 1., 64 (lobe!, F., 18 Fishman, J. A., 90 Gridel, K., 112 Flagle, C. D., 117 Coffman, E., 30 Foerster, H. von, 111 Goldenweiser, A., 81 Fogel, R. W., 73, 75 Goldschmidt, W., 28 Foley, J. P., 16 Goodnow, F. G. 52 Formal identities, 117, 118, 122 Goodn,ww, J. J., 22 Formal model building, 2, 3, 95 Goran, M., 1 Fortes, NI., 31 Gordon, R., 61 Foster, C., 109 Gottschalk, L R 77, 78 Foster, G. M., 33 Goubert, P.,13 Fox, J., 100 Gough, K., 34 Frank, J., 81, 86 Gould, A., 16 Fraser, L. M., 58, 68 Gouldner, A., 37, 39, 40 Free, L. A., 53 Graham, C. H., 16, 20 Freese, L., 45 Granit, R., 16, 20 Freud, S., 17 Gray, J. C., 81 Friedman, L., 82 Gray, L. N., 117 Friedman, NI., 67, 69 Gray, W., 122 Fromm, E., 18 Grazia, A. de, 127 Fuller, J. L., 19 Green, P., 55 Fuller, L. L., 80, 86 Greenberg, J. 1=1., 88 Functionalism, 39 Greenwald, A. G., 21 Grimm's Law, 87 Grinstein, A., 26 Gross, 13., 50 Gross, L. Z., 40, 42, 46 Grossman, J., 53 Grossman, S. P., 19, 21 Galanter, E., 19, 26, 30 Gross National Product, 64, 67 Galanter, NI., 83 Gruber, F. C., 92 Galileo, G, viii, ix, 7, 8, 9, 10 Guilford, J. P., 19, 22 Gallic, W. 11., 76, 78 Gulick, L., 52 INDEX 141 Gullahorn, J. E., 4 as sui generis, 75 Gullahorn, J. T., 4. unique facts itt, 75 Gulliksen, 11,, 19 universal, 72, 73 Gumperz, j. J, 32, 90, 94 Hitt, W. D., 5, 16 Gumplowicz, L., 81 Hobbes, T., 8, 51 Gurin, G., 59 Hocken, C. F., 32, 34, 89, 94 Gurley, J. C,, 67 Hoebel, K. A., 83, 86 Gurr, T. R,, 54 Hoffman, H., 28 Gursslin, O. R., 42 Hogarth, J., 83 Gurvitch, G., 79 Hoijer, H., 32, 36 Guthrie, E. 11-, 16, 21 Holland, T. E., 80 Holmes, 0. W., 81, 84, 85 Holt, C., 53 Holt, R. T., 50, 57 Holton, G., 2 Homans, G., 4, 5 Honig, W. K., 21 Haber, R. N., 16 Hook, S., 77, 78, 91, 113, 113, 114 Haberler, G., 69 Hcoke, R., 8 Hahn, F. IL, 65, 66, 68 Homey, K., 18 Hall, A. D., 121 Horowitz, I. L., 38, 40, Hall, C. S., 22, 26 Horton, D. L., 24 Hall, R. A. Jr., 91, 9-r Horvath, W. J., 95, 98 Hall, R. FL, 42 Hoselitz, B. F., 15, 27, 51, 58, 61 Halk, M., 92 House, B. J. 21 Halter, A. N., 101 Hovland, C. I., 22 Handy, R., 1, 3, 41, 44, 62, 114, 127 Howard, A., 33 Hanson, N. R., 8 Howard, J., 43 Hare, A. D., 41 Howard, N., 98, 100, 103, 104 Harlow, fl. F., 21, 23 Huizinga, J., 72 Harris, NI., 33, 34, 36 Hull, C. L. 16, 17, 20, 21 Harris, S. E., 69 Hulse, F. S., 30, 36 Harris, Z. S., 94 Human, 132 Hart, C. W. M., 29 Human Relations Area flies 35 Hart, H. L. A., 80, 86 Huntington, E., 73, 121 Hartley, R. V. L., 106, 110 Huntington, S., 53 Hartline, H. K., 20 Hurwicz, L., 98, 102 Harwood, E. C., 1, 44, 62, 65, 6869, 114, 127 Hutchinson, T. W., 67 Hathaway, S. R., 22 Hutt, W. H., 64, 69 Hayek, F. A., 5, 60 Hurvich and Hurvich, color theory of, 20 Hayes, J. R., 16 Huxley, A., 117 Head, K. B., 53 Huxley, R. 91 Heat, 10 Huygens, C., 8 Hebb, D. 0., 20 Hymer, S., 67 Hecht, S., 20 Hymes, D., 32, 36, 90, 92, 94 Hegel, G. W. F., 64, 73, 121 Hypothalamic obese rats, 20 Heisenberg, W., ix Hypothesis, x, 131, 132 Helmholtz, H. L. F., 16, 20 Hypothetical construct, 25 Helson, H., 22, 26 Hempel, C. G., 51, 75, 76 Henderson, J. A., 87, 93 Hering, E., 20 Hertz, G. L., 8 Hexter, J., 74, 78 Higgs, E., 33 Idea, Ideal, 132 Higham, J., 72, 75, 77, 78 Ideal type theory, 40 HiIgard, E. R., 26 11g, F. L., 16 Hill, A., 94 Inbar, M., 111, 114 Himwich, W., 23 Individual, 132, 134 Hinkle, G. J., 39 Information, 107, 109, 110, 112, 113, 114 Hinkle, R. C. Jr., 39 Information Theory, 95 Historical demography, 73 "amount of information," 106, 107 Historical linguistics, 31, 32 communication systems, 106 Historical materialism, 73 Information Theory and Cybernetics06415 History, 71.78 Ingram, E., 91 economic interpretation of, 73 Inner vs. outer behavior, 35 general laws in, 75 Inquiry, vii, 1, 132 psycho, 72 goal of, ix 150 142 A C1JRREIWtPPRAIS4L h potheticaldeductive method of, 29, 91 Keller, A. G., 29 idiographic, 29 Kelley, H. 11., 22 mentalisfic method of, 123 Kelly, G., 27 participant-observer method of, 27, 40, 46 Keiser', H., 80, 86 phenomenological method of, 40 Kerman, G. F., 54. procedures of, 28 Kessen, W., 3, 26 descriptive, 91 Key, V. 0., Jr., 48, 52, 53, 57 interacConal, 12 Keynes, J. M., 5, 59, 64, 66, 69, 111, 112 self-actional, 12 Kilpatrick, F. P., 18 self-corrective, vii Kimball, G. E, 99 transactional, 12, 116, 117, 123 Kindred, 35 verstehen, 6, 39, 76 Kintsch, W., 21 stages of, 13 lair, G. J., 117, 122 subjective methods, 23 Kluchhohn, C., 27, 29, 35, 90, 120 Institutionalists, 58, 62 Knowing, Knowns, 11, 13, 133 Liner-, 132, 135 Knowledge, 133 Interaction, 24, 45, 117, 130, 1321, 135 Knowles, D. D., 72 Interactionists, symbolic, 41 Koch, S., 16, 26 intervening variable, 25 Koffka, K., 17 Interweaving of conjectures arid obse n, 9 Kohler, W., 17 Ilontorphisms, 117, 118, 119, 122 Konorski, J., 20 Koopmans, T. C., 63, 66f, 69 Krieger, L., 72 Krimerman, L. S., 39 Krislov, S., 48, 53, 79, 83 Krocher, A. L., 28, 29, 35, 36 Krupp, S. R., 68 Jacob, 11., 52 Kuhn, M. H., 41 Jakoborits, L. A., 89, 90,94 Kurtz, P., 127 James, W., 13, 15, 64, 81 James-Lange theory of emotion, 21 Janis, I. L., 22 Janowitz, NI, 50, 57, 98 Jeffries, L. A., 111 Jevons, H. S., 121 Jevons, W. S., 64 Lahowitz, S., 54, 55 Johnson, H. G., 63 Ladurie, E. L. R., 73 Johnson, L. Jr-, 29 Laing, R. D., 123 Jones, M. R., 26 Lakoff, G., 89 Judicial behavior, 52, 83 Lalande, J., 2 Juggins, W. H., 117 Lantherg-Karlovsky, C. C., 31 Jung, C. G., 18 Landes, D. S., 78 Juriznetrics, 82 Lane, R. E., 53 Judsprudenee, 79-86, 95 Langacker, R. W., 91 analytic, 80 Langer, W., 72 experimental, 81f Language, 133 hiatorical, 801 Laplace, P. S., 8 natural law, 80 Larsen, 0. N., 37 42 sociological, 81 Lasdon, L. S., 99 Lasker, C. W., 32 Lasswell, H. 13., 49, 53, 56, 57 Laszlo, E., 119, 122 Latent functions, 39 Lavoisier, A. L., 8 Law (see Jurisprudence) Kagan, J., 19 Lawrence, J. R., 105 ven, H., Jr., 82, 86 Lazarsfeld, P. F., 38, 41, 46, 52 _min, L., 21 Leach, E., 30, 33, 36, 92, 110 Kant, I., 124 Leakey, R., 32 Kantor, J. R., 6, 23, 25, 26, 93 LeBlanc, S. A., 29, 36 Kaplan, A., 49, 56, 57 Le Boutillier, C. G. 80 Kaplan, D., 110 Lee, W., 101, 105,110 Katona, G, 68 Legal realism, 81 Katz, D., 22, 26 LeOslative behavior, 52 Kaufmann, F., 8, 41 Leibniz, G. W., 88 K.aufrnann, VI., Lenin, N., 72 Kay, P., 28, 30, 34 Lenneberg, E. H., 34 Kaye, H., 20 Leontief, W., 60, 62, 63, 65, 66

1. 51 INDEX 143 Lerner, D., 49, 57 Malinvaud, E., 66, 69 Levinson, S., 55 Malthus, T., 64 ikvi-Strauss, C., 28 30 33, 36,110 Mandlcr, G., 3, 26 Levy, NUJ., 39 Manifest functions, 39 Lewin, K, 17 Manipulation, 133 Lewis, 0, 30, 33 Mania, J. G., 41 Lie klider, J. C. R., 16 Manners, R. A., 110 Liebow, E., 33 March, J. G., 52, 57, 98 Lifton, R. J., 73 Marcuse, 11., 49 Lindbcck, A., 67 Margct, A. NV., 66, 69 Lindgren, H. C., 41 Marginal utility, 65 Lindley, G., 22 Maris, R , 4, 5 Liadman, H., 99 Niaritain, J., 80, 86 Lindzey, G., 26 Marks, J., 34 Linear programming, 97 Marsh, J. G., 49 Linguistics, 1, 87-9 Marshall, A., 50, 64, 65 an thropological, 31 Marshall, T. K., 43 descriptive, 31, 90 Martindale, D., 37, 40 mentalism in, 87, 8889 Marx, K., 64, 73 psycho, 90 Marx, M., 26 socio, 90 Marxists, 73 Linton, R., 27, 34 Maslow, A. H., 5, 16, 18 Lippincott, B. E., 1 Mathematical models, 19, 60 Lipset, S. M., 41, 53, 55, 57 Mathiot, M., 91 Lipsitt, L. P., 16, 20 Mattingly, G., 72 Litterer, J. A., 108, 111, 116, 117, 118, May, Pt, 13 119, 121, 122 Mayer, J. 11 Livingston, El, H., 30 Mayhew, B. H. Jr., 117 Llewellyn, K., 81, 06 Mayhew, M. L., 117 Locke, J., 8 NicCawley, J., 89 Loevinger, L., 81, 82, 85 NIcCleary, R. A., 21 Logan, F. A., 21 McClelland, C. A, 116, 122 Logic, 124, 125 McConnell, D. W., 58 Logical homologies, 118 McConnell, G., 53 Lomax, A. 33 McConnell, R. A., 24 Long, J. D., 41 McCormack, T., 123 Longitudinal methods, 19 McCoy, C., 55 Lopreato, J., 40 McCulloch, W. S., 108 Lorenz, K. Z., 16 MeGeach, J. A., 16 Lotz, J., 88, 93 McKinley, J. C., 22 Louch, A. R., 4-4 McKinney, j. C., 39,40, 43 44, 46 Lousse, E., 77 McKinsey, J. C.C., 105 Lovejoy, E., 21 McMillan, B., 109 Lowi, T., 53 McNeil, E. B., 3 Luce, R. D., 3, 49 26, 50, 98, 99, 100, McNernar, Q., 22 102f, 104, 105 McPhee, W. N., 52 Lockman, T., 42 Mead, G. H., 45 Lundberg, G. A., 29, 37, 38, 41, 42f, 44, 45, 84 Meaning, 111, 112, 114, 128 Lynd, R. S., 33, 43 Means, R. L., 44 Meehl, P. E., 25 Melton, W. A., 21 Meltzer, B. N., 41 111 Memory, 111 Menger, K., 64 Mentalistic-Rationalistic procedures, 2 Macaulay, S., 82f Merriam, C. E., 4,8, 50, 57 MacCorquodalc, K., 25 Merton, B.. K., 39, 41, 42, 43 Machine, 113 Mesarovic, NI. D., 122 Machine translation of languages, 109 Methodological behaviodsm, 23 Machlup, F., 60, 123 Microeconomics, 65 MacIver, R. M., 39 Mill, J. S., 64, 69, 124 Nlackintosh, N. J., 21 Miller, G. A., 15, 30, 89, 112 MacLeod, R. B., 1, 15 Miller, J. G., 110, 116, 117, 118, 119, 120 Macriths, R. NI., 50 Miller, N. E., 17, 21 Nlacroeconomics, 65, 66 Miller, W. E., 52 Maine, IL, BO Milliken, R. A., 124 Maithnd, F. W., 81 Mills, C. W., 43 Mak.ridakis, S., 117, 118 Mills, T., 41, 43 144 A C IIIIREIVT APPRAISAL Milnor, J., 98 Nutini, H. G., 28, 30, 98, 105 Minas, J. S., 101 Nuttin, J., 21 Mind, 28 Mind-body dualism, 6 Minnesota Multiphasic Personality Invento Minnis, N., 87, 92, 94 0 Miron, M. S., 89, 90, 94 Mischel, T., 6 Mises, L. von, 2, 58, 59, 60, 61, 70 Object, x Mitchell, G. D., 46 O'Connell, D. P., 79, 83 Mitchell, W. C., 62, 66, 69, 121 Odegard, P., 48 Mitchell, W. E., 35 Ogburn, W. F., 42, 64, 81 Models, 2, 3, 19, 56, 60, 95, 112, Ogden, R. M., 17 Monchesi, E. D., 37 Olafson, F. A., 65 Monroejt., 18 Olivecrona, K., 86 Moore, B, 49, 53 Olson, M., 53 Moore, H. E, 40 Operant conditionin Moore, R. Y., 21 Operationisrn, 25, 4 Morello, J., 41 Operations Research, 99 Morgan, L. H., 31 Oppenheim, F., 48, 55 Morgenstern, O., 3, 56, 60, 63 68 70, 97,98, Organism, 129 100, 104, 105 Morgenthau, 54 Morpheme, 88, 90, 92, 93 Morris, C. W., 114 Morse, P. M., 99 Moss, H, 19 Moving, H. L. Jr., 31 Paleoanthropology, 30 Muller, F. M., 124 Papandreou, A. c62, 69 Munroe, R., 26 Pareto, V., 64 Murdock, G. P., 29, 356, 45 Park, P., 45, 46 Murphy, G., 26 Parker, J. W., 73 Murphy, R. F., 33 Parkman, IL, 106, 108, 109, 111, 114 Murphy, W. F., 53 Parsons, T., 39, 41, 46, 49 Murray, H. A., 22 Pasteur, L, 10 Myrdal, G., 42 Paton, G. W., 80 Paul, H. D, 28 Pavlov, I. P., 17, 20 Peabody, R. L., 52 Peirce, C. S., 13, 61, 114 Peltason, J. W., 52 Pelto, P. J., 28, 32, 35, 36 Nader, L., 83 Perception-manipulation, x, 133 Naegele, K. D., 46 Perkins, D. Jr., 31 Nagel, E., 39, 112 Peterson, W. L., 66 Nagel, S., 53 Pfaffmann, C., 16, 20 Namier, Sir L., 72 Pflanze, 0., 72 Naming, x, 13, 127, 129 Phase, 133 National Bureau of Economic Research, 6266 Phenomenological psychology, 18 Natural Science Procedures of Inquiry, 38 Phenomenon, 133 Naylor, T. H., 61, 63 Phillips, J. L., 101 Neff, W. D., 20 Phillips, P., 32, 36 Neimark, E. C., 21 Philosophical methods of inquiry, 49 Neisser, H., 42 Phlogiston, 11, 128 Neo.Marxisrn, 37 Phoneme, 88, 90, 92, 93 Neptune, 2 Physical Anthropology, 30 Nesvold, B. A., 54 Physical, physiological, and behavioral subjct ma Nettels, C. P., 71 131, 133, 134 Neumann, J. von, 3, 56, 60, 68 70, 97 98, Piaget, J., 16, 22 100, 104, 105, 111 Pilbearn, D., 32, 36 Neumeyer, M. H., 37 Pirenne, M. 1-1., 16 Neustadt, R., 54 Pitkin, H., 52 Newmann, J. R., 17, 27, 90, 112 Pitts, J. R., 46 Newton, I., viii, 8, 96, 119, 123f Pitts, W. H., 108 Nisbet, I. C. T, 119 Playford, J., 55 Nomothetic.idiographic distinction, 76 Pledge, H. T., 10 Norman, D. A., 21 Political Science, 48-57, 95, 119 Northrup, F. S. C., 30, 80 Political theory, 51 153 INDEX 145 Pollock, F,, 13, 81 Response, 134, 137 Po 'sky, N., 40, 52 Restle, IC., 22 Pool, I. de Solo, 52 Rhine, J. IL, 24 Popper, K., 713 Ricanlo, D., 64 Postal, P., 89 Riggs, P., 52 Postman, L., 118 Rker, W. H., 50, 56 tOO, 103 Pound, R., 64, 79, 80, 81 83 85, 86 Itinfret, P. A., 69 Powers, W. T, 113,114 Kist, G., 69 Pragmatic-syntactics.s1'nianhirs distinction, 114 Rizzo, N. D., 122 Precise, 131, 133f Roach, J_ L., 42. 43 Pribram, K. R., 30 Robbins, L., 58, 70 Price, C. R., 24 Robbins, R. IL, 87, 90 Pringle, J. W. S., 117 Robinson, E. S., 81 Prisoner's dilemma, 95 Robinson, J., 67 Process, 133, 134 Rubinson, J. H., 64 Projective tests, 23 Robinson, J. P., 53 Proposition, 133, 134 Rodell, F., 81, 84 Prosopography, 72 Rogers, C. R., 18 Psychohistory, 72 Rogow, A. A, 50 Psycholinguistics, 90 Rolicirn, G., 28 Psychological measurement 19 Rokkan, S., 52 Psychology, 15-26, 95, 119 Roosevelt, F., 67 blosocial, 18 Rorschach, H., 22 existential, 18 Rose, A., 37, 41, 65 Gestalt, 17 Rosenberg, M., 38, 46 phenomenological, 18 Rosenblcuth, A., 108 transactional, 18 Ross, E. ,137 Public Administration, Ross, J., 89 Purpose, 113 Rossi, 1., 28 Putnam, H., 112 Roszak, T., 2 Roth, J., 40 Rothenberg, J., 68 Rothstein, J, 106 Rowse, A. L., 72 Roy, rt. 117 Rudner, R., 6 Qualitative methodologists, 29 Ruggles, N. D., 58, 62, 66 Quastler, H., 106, 110, 113, 114 Rumford, B. T. 10 Qnesnay, F., 64 Runciman, W. U., 42 Quinn, J. A., 37 Ruhhin_ W. A., 42 Rusk,.G., 53

Radcliffe-Bro A. R. 33, 34, 36 Rae, 0., 50 Saaty, T. L., 98, 99, 100, 104 Raiffa, H., 3, 4, 98, 99, 100, 102f, 104., 105 Sabine, G. A., 57 R.anney, A., 50, 52, 57 Sahlins, M. D., 33, 36 Rapoport, A., 3, 7, 95, 97, 98, 99, 100ff, 105, 106, Salisbury, R. F., 28 109, 112, 116, 117, 119, 120f, 122 Salmond, J. W., 80 Rational behavior, 97, 98, 100 Samuelson, P. A., 59, 60, 61, 95, 96, 104 Rationality, 103 Sautillana, G. de, 2 Ratner, J., vii, 9 Sapin, B., 54 Ratner, S., 127 Sapir, E., 87, 94 Ratoosh, P., 101 Sapir-Whorf hypothesis, 35 Rawls, J., 82, 85, 86 Saporta, S., 90 Bay, D. P., 110 Samson, I. G., 22 Reaction, 133, 134 Sasieni, 1M. W., 105 Real, Reality, 133, 134 Saulnier, R. J., 69 Redman, C. L., 29, 36 Savage, L. J., 99 Reinhold, N., 16 Savas, E. S., 111 Reining, P., 31 Savigay, F. K. von, 80 Reitman, W. R., 15, 22 Say, J. R., 64 Remmling, G., 42 Say's Law, 66 Render, G. J., 71 Sayre, P., 86 Rescorla, R., 21 Schaeter, S., 20, 21 154 146 A CURRENT APPRAISAL Schade, J. P., 23 Speigel, A. W. 70 Schoeffler, S., 67, 70, 97, 99 Spence, D. P., 110 Schrag, C. C., 37 Spence, J. T. 26 Schubert, G., 53, 83, 84 Spence, K. VI., 20, 26 Schultz, A., 40 Spencer, H., 37 Schumpeter, J. A., 70 Spengler, J., 41 Science, Scientific, 1, 133, 134 Spiker, C. C., 16 Scientific method, 1 Spilerman, S., 42 Scodel, A., 101 Spinoza, B., 51 Scriven, M., 7, 18, 25, 119 Spontaneous generation, 10 Sears, R. R., 18 Stein, Baron von, 71 Seeley, J. R., 44 Steiner, G. A., 12, 24 Selby, H. A., 28 Stephen, L., 13 Self, 133, 134 Stevens, S. S., 16, 26 Self-action, 130, 133, 134, 135 Stevenson, M. B., 101 Selznick, P., 80, 82 Stevin, S., 7, 9 Sernantics-syntactics-pragmatic distinction, 114 Steward, J., 33 Semenes, 88 Stigler, G. J., 58, 65 Service, E. R., 33, 36 Stimulus, 132, 133, 134 Sewell, W. H., 46 Stimulus-response, 12, 24, 114 Shannon, C., 107, 109, 110, 112, 115 Stincheombe, A. L., 9, 43 Shapley, L. S., 50 Stokes, D. E., 52 Sharp, D. W., 16, 28 Stoll, C. S., 111, 114 Shibutani, T., 111 Stolnitz, G. J., 41 Shils, E. A., 40, 46 Stone, H. F, 81 Shotter, J., 16 Stone, L., 72 Shubik, M., 50 Stone, R., 106, 111 Sibley, E., 45 Storing, H. J., 49, 57 Sibley, NI. Q., 49 Stouffer, S. A., 29, 38, 41, 42, 46 Siegel, B. J., 36 Stover, R., 75 Siegel, S., 101, 105 Strauss, A., 40, 43 -behavior, sign process, ix, x, 11, 13, 129, Strauss, L., 49 3, 134 Strotz, R. H., 5, 59 Signaling, 13, 129, 133, 134 Structural linguists, 90 L. S. 124f Structuralism, 30, 34 Simrnel, d, 37 Struever, S., 32 Simon, H. A., 49, 52, 57, 105 Sturtevant, E. H., 87, 88, 94 Simulation models, 61, 111, 112 Subject, 134 Singer, J. D., 54 Subject matter, 134f Situation, x, 134 Subjective, subjectivism, 2, 5, 6, 1 4 Sjoberg, G., 46 behavionsts, 30 Skinner, B. F., 7, 16, 17, 18, 21, 23, 25 methods of inquiry, 123 Slatin, G. T., 41 Substance, 135 Small, A., 37 Sudnow, D., 40 Srnelser, N. J., 37, 44, 45, 46 Sullivan, H. S., 18 Smith, A., 58, 59, 64 Summers, R. S., 82, 86 Smith, A. H., 27, 28, 30, 33, 36 Sumner, W. G., 37 Smith, H. L., 91f, 93 Suppes, P., 22, 101, 105 Smith, M. B., 15 Swanson, B., 53 Smith, P., 74 Sweczy, P., 67 Snyder, R. C., 54 Swets, J., 16 Snygg, D., 18 Symbol, Symboling, x, 1,129, 135 Social, 134 Symbolic interactionists, 30, 40, 45 Social.action theory, 39 Syme, R., 72 Social change, 42 Syntactics-semantics-pragmatic distinction, 114 Social deviance, 42 System, 113, 121, 122, 135 Social stratification, 42 Sociolinguistics, 90 Sociology, 3747, 95, 119 of knowledge, 42 Solomon, IL, 22 Solow, R. M., 61, 65 Tagmemes, 88 Snmit, A., 57 Tabs, H. A., 99 Sorokin, P. A., 38 Tanenhaus, J., 53, 57 Space-time, 134, 135 Tax, S., 36 Spallanzani, L, 10 Taylor, F. S., 7 Spearman, G. E., 22 Taylor, F. W., 52 Specification, Specifying, x, 12, 13, 128, 131, 134 Taylor, L. W., 8

1.55 INDEX 147 Taylor, M., 50 Von Bertalanffy, L, 95, 107 116, 117, 118, 119, Taylor R. W., 50, 83 120, 121f Term, 135 Von Böhrn-Bawerk, E., 64 Terruali, L. M., 19, 22 Von Bonin, G., 108 Textor, R. B., 54 Von Mises, L., 2, 53, 59, 60, 61 Theodorson, G. A., 37 Von Neumannl 3, 56, 60, 68, 70, 97, 98, 100, Theory, x, xi, 131, 132, 135 104, 105, 111 Thing, 131, 135 Von Savigny, F. K., 80 Thomas, C. C., 32 Von Stein, Baron, 74 Thomas, H. B. G. 110 Von Wieser, F., 64 Thoina s, W_ 1. 42 Vose, C. 53 Thompson, J. W., 78, 118 Voting hehavior, 52 Thompson, W. R., 19 Thorndike, E. L., 16, 19 Thrall, R. M., 3, 98, 100, 105 Thurstone, L. L., 22 Tilly, C., 78 Timasheff, N. F., 38 Time, 135 %Vaguer, A. R., 21 Tinbergen, J., 70 Wahlke, J. C., 50, 52, 57 Tinbergen, N., 16 Wald, G., 20 Tiryakian, E. A., 40, 46 Waldo, 0., 52 Titus, C. H., 55 Wallas, G., 50 Tobin, J., 66 Walras, L., 64 Tolman, E. C., 16, 17, 21 Walsh, W. H., 78 Toynbee, A., 72, 74 Walter, N. I., 120, 121 Trabasso, T., 21 Walter, 11.I., 120, 121 Trager, G. L., 87, 94 Wann, T. W., 1, 15 Trans., 135 Ward, L. F., 37 Transaction, Transactional, 24, 117, 127, 131 135 Warden, C. J., 21 procedures of inquiry, 116, 117, 123 Warranted asserfion, ix, x, 8, 9, 128, 133, 135 Transactional psycholog, 18 Warriner, C. K., 41 Transformational grammar, 30 Wartolsky, M. W., 2, 89 Trial names, 127-135 Washburne, N. F., 105 Trow, M. A., 41 Washoe, 34 True, Truth, vu, ix, 135 Waterman, J. T., 94 Truman, D. B., 50, 53, 57 Watson, J. B., 15, 16, 17 Tryon, R. C., 19 Watson, P. J., 36 Tukey, J. W., 110 Weaver, W., 107, 111f, 115 Tulloch, G., 50, 56, 57 Webb, W. B., 15 Turing, A. M., 112 Weber and Fechincr's Law, 19, 20 Turner, J. E., 50, 57 Weber, M., 37, 39, 40 Tustin, A., 5, 111 Wechsler, D., 22 Weingarten, K., 63 Weintraub, E. R., 117, 118 Wells, R., 114 Welsh, G. S., 22 Wertheimer, M., 17 Westfall, R. S., 123 Ulmer, S., 84 Westley, W. A., 83 Utility, 4, 5, 65, 95, 98, 101, 103, 104 Weyer, E. G., 20 Whatmoug,h, J., 93 White, D. J., 105 White, L. A, 29, 33, 341, 36 V White, L. D., 52 White, L. T., Jr., 31, 73, 88 Whitehead, A. N., viii Vagts, A., 77 Whiting, J. W. M., 21, 28 Vague, 135 Whorf, B., 35, 90 Valien, B., 38 Wicksell, K., 64 Valien, P., 38 Wicksteed, P., 64 Valla, L., 74 Wiener, N., 106, 108, 109, ill, 112 113, 115 Vann, R. T, 71 Wieser, 1e. von, 64 Veblen, T., 64 Wildavsky, A., 52 Verplanck, W. S., 24 Wilensky, A., 46 Verstehen theories, 6, 39, 76 Willcox, W. B., 72 Vines, K. N., 52 Willer, 0., 45 Vinogradoff, P., 81 Willer, J., 45 48 A CURRENT APPRAISAL Willey, G. R., 31, 32 Wainer, 13., 101, 1031 105, 119 Wilson, J., 26 Yeager, L. B., 59, 60 Wilson, J. Q., 83 Yerkes, R. M., 16 Wilson, T. P., 45 Yngve, V. II., 109 Winch, P., 6, 41 Young, J. F., 106, 113, 115 Wisdom, J. O., 108 Wissler, C., 29 Witherspoon, G. J., 34 Wolff, R. P., 49 Zavoina, W.j., 100,103 Wolin, S., 54 Zeaman, D.,21 Wolman, B. B., 15 Zeisel,H.,82, 86 Wood, R., 53 Zeitlin,I.M., 44 Woodworth, R. S., 16, 17, 21, 24, 26 Zener,K. E, 17 Word, 135 Zimmerman, W.S.,92 Wrigley, E. A, 73 Zinn,H., 76 Wundt, W., 15, 16 Znaniecki,F..39, 42

157