FLOCK THEORY: COOPERATION AND DECENTRALIZATION IN COMMUNICATION NETWORKS A Dissertation Presented to the Faculty of the Graduate School of Cornell University in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy by Devan Rosen August, 2007 © Devan Rosen FLOCK THEORY: COOPERATION AND DECENTRALIZATION IN COMMUNICATION NETWORKS Devan Rosen, Ph.D. Cornell University, 2007 Research has shown that decentralized organizations and groups perform better and have more satisfied members than centralized ones. Further, decentralized self- organizing groups are particularly superior when solving complex problems. Despite mounting research in support of decentralization, the means of how to foster and maintain a decentralized, coordinated group remains a particular problem for organizations. The current line of research proposes a theory of decentralized organizational communication, flock theory, and conducts preliminary tests of the theory. Grounded in literature from social networks, flock theory represents a theoretical model for the decentralized evolution of communicative systems. The flock model is then extended to integrate roadmap based flocking, bipartite networks, and findings from small world research to create a theory of cooperation, coordination, and navigation within decentralized communication networks. Empirical illustrations of flock theory are conducted via two studies on two different research-based organizations, as research organizations focus on complex problem solving and coordination of knowledge. Findings provide initial support for flock theory, confirm parallel research on decentralization, and indicate that research-based organizations may be different from traditional corporate organizations in several ways. BIOGRAPHICAL SKETCH Devan Rosen received his B.A. from the University at Buffalo in 1997 as a double major in Communication and Ethnomusicology, and a minor in Sociology. After working as an organizational communication consultant, he returned to the University at Buffalo, where he received is M.A. from the Department of Communication in 2000 with a focus in organizational and international communication networks. He then received his Ph.D. from the Department of Communication at Cornell University in 2007, with a focus in organizational and computer-mediated communication networks; his minor area was Sociology with a focus on collective action and self-organizing systems. iii ACKNOWLEDGEMENTS I committed myself to this work to increase our understanding of egalitarian interaction and to promote cooperation and understanding. Similarly, this work has been the result of much cooperation and understanding from many inspiring teachers, family members, and friends. First, I would like to thank my committee chair, Dr. Geri Gay, for her continuous guidance and friendship through times of epiphany and times of confusion, you have an even keel. I would also like to give specific thanks to my special committee. Dr. Michael Macy, thank you for showing me which windows to open and letting me discover the view, you have been one of my greatest teachers. Dr. Jim Shanahan, thank you for the great discussions and valuable feedback. Dr. Alex Susskind, thank you for being a consistent source of positivity and guidance. And Dr. Katherine McComas, thank you for being a great friend and mentor. I would also like to thank my earlier advisors, Dr. George Barnett and Dr. Dean Krikorian. George, you are now one of my oldest friends and one of the main reason I am where I am in life, you set my trajectory, and you will always be the Magister. Dean, you helped me shape my thoughts at a critical time, and for that I thank you. No words that can truly express my love and gratitude for my family, but I will try. To my mother and father, you have always given me the freedom to be who I am and have loved me always. You gave me the light and the energy. To Ari, you will always be my greatest hero; I love you with all of me. To Randi, thank you for being my big sister, and never giving me a hard time. To Dahlia and Asher, thank you for keeping my wilderness from burning, and the tight hugs filled with love. To my grandparents, Len, Bernice, Shirley, and Len thank you for being the source of iv everything. To all of my aunts, uncles, and cousins, thank you. To Stan, thank you for being a great friend, and for providing the canvas for my creativity. Many friends have become my brothers and sisters. To Rich, thank you for EVERYTHING! To Leon, thank you for the protection when I needed it most. To Mike, thank you being my co-captain through many journeys both on the water and in life, and thank you for staying. To boB, thank you for being boB and letting me be your brother. To Mirit, thank you for being the silent glue that held it all together. To Jorge, thank you for making me your first friend in your new home. To Brad, thank you for such muchness and much rejoicing. To Graff, thank you for inspiring me through your art. To Jamie, thank you for loosing the bet. To Mike Kuo, thank you for your style and class. To Meaghan, you are my balance and my best friend. You inspire me more than you can know, and your warmth and energy have become my home. I love you mucho muy. The following work, and my energy, is dedicated to you. v TABLE OF CONTENTS BIOGRAPHICAL SKETCH..................................................................................... iii ACKNOWLEDGEMENTS....................................................................................... iv TABLE OF CONTENTS .......................................................................................... vi LIST OF FIGURES .................................................................................................. ix LIST OF TABLES..................................................................................................... x CHAPTER I - INTRODUCTION .............................................................................. 1 Research Goals....................................................................................................... 3 The Structure of the Dissertation ............................................................................ 4 CHAPTER II - THEORY........................................................................................... 6 Social Networks......................................................................................................... 6 Centrality ............................................................................................................... 7 Strength of Ties...................................................................................................... 7 Structural Holes...................................................................................................... 8 Knowledge Networks............................................................................................. 9 Decentralization and Effects on Performance and Satisfaction.................................. 10 Foundational work on decentralization ................................................................. 11 Recent advances in decentralization research........................................................ 14 Work Groups.................................................................................................... 14 Organizations ................................................................................................... 18 Dimensions: ................................................................................................. 19 Model types for structuring employment relations: ....................................... 20 FLOCK THEORY ................................................................................................... 23 Contributing Literature......................................................................................... 25 Emergence ....................................................................................................... 25 Jamming........................................................................................................... 28 Emergence of Creativity................................................................................... 30 Autopoiesis and Self-Organizing Systems ........................................................ 32 Benefits and Limitations of Self-Organizing Systems ....................................... 34 Limitations ................................................................................................... 34 Benefits ........................................................................................................ 37 Boids................................................................................................................ 38 Flock Theory........................................................................................................ 40 vi Structural Distance ........................................................................................... 41 Collaboration.................................................................................................... 42 Decentralization ............................................................................................... 44 Rules of Engagement........................................................................................ 45 Norms .......................................................................................................... 45 Homophily ..................................................................................................