INSTITUTION:THECONTROLOFSOCIALPERCEPTION-TOWARDATHEORYOFMINORITY-DIRECTEDINSTITUTIONALCHANGE

ADISSERTATIONINEconomics

AndSocialscience

PresentedtotheFacultyofthe

UniversityofMissouri-KansasCityinpartialfulfillmentoftherequirementsforthedegree

DOCTOROFPHILOSOPHY

By

FRANKLINA.LENK

B.A.,StanfordUniversity,1978M.A.,StanfordUniversity,1979

KansasCity,Missouri2015

©2015FRANKLINA.LENK

ALLRIGHTSRESERVED

iii

INSTITUTION:THECONTROLOFSOCIALPERCEPTION-TOWARDATHEORYOFMINORITY-DIRECTEDINSTITUTIONALCHANGE

FranklinA.Lenk,CandidateforDoctorofPhilosophyDegree

UniversityofMissouri-KansasCity,2015

ABSTRACT

Thisdissertationseekstomakeprogresstowardatheoryofminority-directed

institutionalchange.Itbeginswithareviewofresearchonurbansociologyandhow,

despitetremendoustechnologicalandlegalchange,thefactofinstitutionalracism

remains.ItthenreviewsrelevantportionsofOriginalInstitutionalEconomics(OIE)thought

describingtherelationshipbetweenindividualsandinstitutions,endingwithanOIEtheory

ofinstitutionalchange.Itthenshowshowatheoryofhumanpsychology,Perceptual

ControlTheory(PCT)islargelyanalogoustoOIEwhilealsohelpingtoclarifyandupdate

someportionsofit.ExtendingPCTintothesocialrealmandcombiningitwithsome

insightsfrombothneuroscienceandnetworkscienceenablesthedevelopmentofamore

completeunderstandingofinstitutionformation.Thishelpsexplainwhyinstitutional

changeissodifficult,whyeffortstochangeinstitutionsmustfocusonchangingsocial

perceptions,andhowapowerlessminoritymightmoresuccessfullydojustthat.Though

thecasestudiedhereisinstitutionalracism,allpurposefulsocialchangeinevitablybegins

withthosewhoseopinionisinitiallyintheminority.Therefore,asuccessfultheoryof

minority-directedinstitutionalchangecouldbeappliedtoawidevarietyofotherissues,

includingglobalclimatechangeandappropriatepolicy-settingformodernmonetary

iv

economies,wherethoserecommendingpotentialsolutionsareactivelyopposedby

entrenchedandpowerfulinterests.

v

APPROVALPAGE Thefacultylistedbelow,appointedbytheDeanoftheSchoolofGraduateStudies,

haveexaminedadissertationtitled“Institution:TheControlofSocialPerception—Toward

aTheoryofMinority-DirectedInstitutionalChange,”presentedbyFranklinArthurLenk,

candidateforDoctorofPhilosophy,andcertifythatintheiropinionitisworthyof

acceptance.

SupervisoryCommittee

PeterEaton,Ph.D.,CommitteeChairDepartmentofEconomics

DouglasBowles,Ph.D.

SocialScienceConsortium

JamesSturgeon,Ph.D.DepartmentofEconomics

MatthewForstater,Ph.D.DepartmentofEconomics

MichaelFrisch,Ph.D.

DepartmentofArchitecture,UrbanPlanningandDesign

vi

CONTENTSABSTRACT..........................................................................................................................iii

ILLUSTRATIONS..................................................................................................................vii

TABLES..............................................................................................................................viii

ACKNOWLEDGEMENTS.....................................................................................................ix

Chapter1. INTRODUCTION......................................................................................................1

2. REVIEWOFLITERATURE.........................................................................................5

3. INTEGRATINGPCTWITHOIE................................................................................88

4. TOWARDACONTROLTHEORYOFMINORITY-DIRECTED INSTITUTIONALCHANGE........................................................................105

5. SUMMARY,CONCLUSIONANDFUTURERESEARCH...........................................142

REFERENCELIST..............................................................................................................156

VITA................................................................................................................................166

vii

ILLUSTRATIONS

Figure Page

1. Abasicperceptualcontrolsystemunit................................................................51

2. Singleperceptualcontrolunitwithmemory showingtheimaginationconnection.......................................................67

3. Ahierarchyofcontrol,showingtheoperation oftheimaginationmode..........................................................................70

viii

TABLES

Table Page

1. CorrespondencebetweenOIEandPCT..............................................................101

ix

ACKNOWLEDGEMENTS

Whenittakestenyearstocompleteanacademicprogram,thenumberofpeople

whodeservethanksforpushingmetoitssuccessfulconclusionislarge.Ibeginwiththe

entireeconomicsprogramattheUniversityofMissouri-KansasCity,whichistrulyunique.

Itcombinesamixofmodernmonetarytheory,post-Keynesianmacroeconomics,

heterodoxmicroeconomicsandinstitutionaleconomicswithastrongrespectforthe

historyofeconomicthought,creatingaprogramwherethegoalisnoteleganttheory,but

anaccuratedescriptionofhowtheeconomicworld,andthepeoplewithinit,actually

work.Conceptsofdifferentialpower,agencyandsovereignty,aswellasthoseofhuman

natureandvalues,arenotassumedawayordisregarded,butembracedasfundamental.

Onetrainedinthehighlymathematicalandtheory-boundworldofneoclassicaleconomics

cannothelp,iftheelixirofideasisdeeplyimbibed,toemergecompletelychanged,with

neweyesandanewperspective.Ihavelikenedittobeingofferedtheredorbluepillin

TheMatrix.Itmaynotbeforeveryone,butforthosewishingtoperceivetheeconomy

closertothewayitisratherthanthewayitistheorized,thereisnoturningback.

Needlesstosay,Itooktheredpill.

IwanttothankallofmyprofessorsatUMKC.Inparticular,IwanttothankPeter

EatonandDougBowles,whonotonlymentoredmethroughoutmytenyearsinthe

program,butwhoalsobecamemyfriends.Doug’scoursesallowedmetodevelopthe

conceptofasyntheticsocialscience—syntheticbecauseitblendsmanystrainsof

x

economicandsociologicalthought,butalsobecauseitcouldonedaybesimulatedusing

artificial,i.e.,synthetic,agents.Iwasalreadyfairlywell-versedineconometricswhenI

begantheprogram,butPeter’scourseshelpedpushthatexpertisetonewheights,andhis

advice,especiallytoquitholdingmydissertationhostagetomymeagerprogramming

skills,helpedfocusmyeffortsanddrivethisdissertationtocompletion.

IalsowanttothankRandyWrayandStephanieKelton,whoseexplanationsof

modernmonetarytheoryandpost-Keynesianeconomicsforeverchangedmyviewofhow

thefederalgovernmentisfinancedanditsproperroleintheeconomy.Ialsodiscovered

thatmacroeconomicshadbeenre-inventedtwicesinceIhadleftStanfordin1979,not

necessarilyforthebetterandsomethingofwhichIwascompletelyunaware.

ItwasJimSturgeonwhonotonlytaughtmeaboutVeblen’sinstincttheoryof

humannatureandinstitutionaltheoryofeconomics,butwhointroducedmetoPerceptual

ControlTheoryandhowitmightbeusedtomodelVeblenianagents.AlongwithJimWebb,

healsotaughthowinsightsfromthepragmaticphilosophyofPeirce,Dewey,andMead

underlaytheinstitutionaleconomicsofVeblen.MatForstater’shistoryofthoughtcourse

completelyalteredmyunderstandingofAdamSmithasaniconofcapitalismtobeinga

moralphilosopherdeeplyconcernedwithtamingcapitalism’sselfishandacquisitive

tendencies.MikeFrischandIworkedtogetheronseveralprojectsandhasbeenan

exampleofhowonecancreateconflictrespectfullyandproductively.

Inadditiontotheirseparatecontributions,Iwanttothankmydissertation

committeeasgroup—PeterEaton,whowasitschair,DougBowles,JimSturgeon,Mat

xi

Forstater,andMikeFrisch—fortheirseeminglyendlesspatience,perseveranceand

supportovertheextendeddurationofmydissertationpreparation.

IhaveemergedfromUMKCthinkingmorebroadly,understandingmoredeeply,

andhopefullymoreenlightened.Despitetheirbestefforts,however,anyremainingerrors

ofinterpretation,explanationandlogicinthisdissertationremainminealone.

Icouldnothavefinishedthisdoctoralprogramwithoutthesupportofmy

employer,theMid-AmericaRegionalCouncil,forwhomIhaveworkednearly37years,

currentlyasDirectorofResearchServices.DavidWarm,MARC’sExecutiveDirector,not

onlyallowedmethetimeoffnecessarytocompletethework,butactivelyencouragedme

tostretch,learnandgrow.MarleneNagel,MARC’sCommunityDevelopmentDirector,has

alwaysbeenmybiggestsupporteratwork,evenasIpusheddeadlineswaybeyondtheir

expirationdatesinmydesiretogettheanalysisright.JimCaccamo,MARC’sDirectorof

EarlyLearning,providedacontinualsoundingboardfornewideas.ThecurrentResearch

Servicesstaff—TerryAnderson,JeffPinkerton,MannyTrillo,JayHeermann,Andrea

Repinsky,JakeGoldman,TinaSikes,SasanBaharaeen,andJohnHwang––aswellasthose

whoretiredormovedontonewpositionsoverthepastdecade,keptallthedepartment’s

projectsmovingforwardwhenIwasoutoftheofficeononeofseveral“dissertation

vacations.”WithoutthespacegivenmebyeveryoneatMARCtoconcentratemyattention

ontheissueofinstitutionalracism,thisdissertationwouldneverhavebeencompleted.

Finally,Iwanttothankmyfamily.Myextendedfamily,toonumeroustomention

byname,hasalwaysprovidedabaseofloveandsupportthatmakesstretchingtoreach

xii

thenextlevellessscaryandmoreachievable.Mygrandparentsemigratedtothiscountry

insearchofabetterlife,agiftIwasbornintoandcannotpaybackexceptbyhelping

otherstosimilarlyachievesuchalife.Ifeelallofthemsmilingdownonmefromabove.

GrandmaMollie,manyyearsagoIpromisedyouIwouldgetmydoctorate.Ididit!

Mymomanddadcreatedahomewhereknowledgewasvaluedandsciencethe

pathtoknowing(thankyouforthattelescope,Dad),taughtmetothinkformyself(I’mnot

jumpingoffanybridges,Mom),andencouragedexcellence(“Youwanttobeaplumber?

Bethebestplumber!”).

Mysons,LyonandAdam,alwaysunderstoodwhenIwasbusy,workinglate,

stressedoutandnotfullypresentwhenIshouldhavebeen.Yet,stilltheyloveme.Asone

ofmyrabbissaid,“‘Iloveyou,’thatweunderstand.‘Iamlovedbyyou,’thatisthemiracle

beyondcomprehension.”Youtwoaremymiracles.

Mostimportantly,Iwanttothankmywife,Martie,whosuggestedIreturnto

schooltogetmydoctorateaftershecompletedhermaster’sdegree.Throughouttheyears

ofdoctoralexplorations,shewasalwaysmybiggestcheerleader.WhenIgotboggeddown,

sheremindedmethedissertationdidn’tneedtobemylife’swork,therewouldbetime

afteritwasdonetolearnandgrowevenmore.Sheevenbetmeshecouldcompleteher

secondmaster’sdegreebeforeIcompletedmydissertation,halfinjest,butalsotogetmy

competitivejuicesflowingsoIwouldworkharder,smarterandfaster.Shewononboth

counts(yes,shebeatmetoadegree)asInarrowedmyfocustosomethingmoredoable

andsetasidemoretimetogetmyideasinorderandatleastsemi-coherentlyexpressed.

xiii

Butitwasnotwhatshedidformethathelpedmost.Itiswhatshedoesforher

studentsatScuolaVitaNuova,asmallcharterschoolintheurbancoreofKansasCity,

Missouri,thatmostinspiresme.Asaresearcher,Istandoutsidetheproblem,workingata

30,000footlevelusingtheory,dataandanalytics.Asateacher,shestandsinsidethe

problem,workingdirectlywithkidstohelpthemachievetheirfullpotential.Daily,she

bringshomestoriesofherstudents’incredibleworth,theirwarmth,laughterand

humanity,aswellastheirheartbreakingchallengesandknowledgeandresourcegaps.

Thesestoriesmakemewanttoworkevenharderonthesystemchangesnecessaryto

eliminatethesocialandeconomicbarriersthatkeepherkids—andtheyarereallyallour

kids,aren’tthey?—frombeingandachievingtheirbest.Shebreathesauthenticityandlife

intomytheoriesandhelpsgroundthem,andme,inreality.Withouther,myheadwould

getsofullofideas,anditself,itwouldfloatoffintomeaninglessness.Withher,mysoul

founditsmate,Iamrenewedandtheimpossibleseemspossible…someday,ifnottoday.

Finally,Iamremindedthatthemostmostoftenrepeatedcommandmentinthe

Torahisn’tthe“GoldenRule,”but“Ahavatger!”ThisistypicallytranslatedfromHebrewas

“Welcomethestranger,”butliterallymeans,“Lovethestranger.”IntheTorah,Godcallson

theIsraelitestolovethestrangerbecausetheywereoncestrangers—slaves—inthelandof

Egypt.Today,thiscommandmentcallsonustoseethecommonhumanityinallthosewho

arenotlikeusandtreatthemasoneofourown.

Itisinthisspirit,tohelpmeliveuptothisideal,thatIwrotethisdissertation.

xiv

DEDICATION

ThisisdedicatedtothestudentsofSVNCharterSchool,andallchildren

everywhere,whodeserveaworldwithoutsystemicbarrierstosuccessfulandusefullives.

1

CHAPTER1

INTRODUCTION

“Neverdoubtthatasmall,committedgroupofcitizenscanchangetheworld.

Indeed,itistheonlythingthateverhas.”

-attributedtoMargaretMead,dateunknown

Despitetheseencouragingwords,tothebaneofactivistseverywhere,theworld

remainsastubbornlydifficultthingtochange.AccordingtoOriginalInstitutionalEconomics

(OIE),thisisbecausethereexist“prevalenthabitsofthought,”orinstitutions,that

structuresociety.Institutionsresistchangebecausemanybenefitfromthecurrent

structure,andthosethatbenefitmosttendtovigorouslydefendcurrentstructureswith

thenotinsignificantresourcesattheirdisposal.Thechancesforasmallgroup,especiallya

powerlessminority,tochangeadefendedinstitution,then,arevanishinglysmall.How

mighttheybeimproved?

Itisclearthatmoreisrequiredthanchangesinlaw.Despitethepassageofnearly

50yearssincetheenactmentofmajorcivilrightslegislationoutlawingdiscriminationon

thebasisofraceinemploymentandhousing,thelifechancesofblacksandwhitesremain

significantlydifferent.Reeves(2014)findsthatwhilewhitechildrenbornintothelowest

incomequintilehavearoughlyequalchanceofendingupinanyincomequintileasan

adult,similarlypoorblackchildrenhavea50percentchanceofremaininginthelowest

householdincomequintileandalmostnochanceofclimbingtothetopincomequintile.

Thatblacksandwhitesachievedifferentincomesevenwhenbornintosimilareconomic

2

circumstancessuggestthatdespitechangesinlaw,thereissomethingaboutthestructure

ofsocietythatiscausingtheseunequaloutcomes.

Whydoessuchastructurepersist?GalsterandHill(1992)explainthatblacks

experiencesystematicallymoreobstaclestoopportunitythanwhitesastheresultof

interactionbetweenplace,powerandpolarization,thelatterbeingtheirtermforracial

disparities.Whileeachaffectstheother,thecausalchainthatlinksthemrunsasfollows:

“Residentialsegregation(place)andeconomicdeprivation(oneaspectofpower)havebuilt

onthehistoryoflegalsegregationanddiscriminationtoreinforcesocialandeconomic

polarization.Polarizationthenfeedsbacktoreinforcedifferencesinplaceandpower.”

Theyaddthatchangeisdifficultbecauseitrequiresaredistributionofopportunityand

“Themajoritywillfeelextremelythreatened”(p.7).

Thecausalchainisactuallyaloopexhibitingpositivefeedbackandsoisself-

reinforcing,whichtheysuggestissimilartoMyrdal’s(1944)modelofcumulativecausation:

“Whites’prejudicesandtheirpowertodiscriminateagainstpeopleofcolorresultin

segregationandinter-racialeconomicdisparitieswhich,inturn,reinforcetheoriginal

prejudices”(p.11).

Howcanthisself-reinforcingcyclebestopped?Thatistheproblemwrestledwith

here.Wereviewtheurbansociologyliteratureandfindthatatrootarewidelyheld

perceptionsandracialprejudices.Suchprevalenthabitsofthoughtaretheverydefinition

ofaninstitution,andsoweturntoOriginalInstitutionalEconomics(OIE)tobetter

understandthenatureofinstitutionalchange.OIEhaslongembracedaviewofeconomic

3

agentsashavingpurposesanddifferentialpower,andwhereprevalentpatternsofthought

(includingbutnotlimitedtoperceptionsandprejudices)arecriticaltounderstandinghow

thosepurposesareachievedorfrustrated.Weplaceaparticularemphasison

understandingtherelationshipbetweenindividualsandinstitutionssincetheneedfor

changeislikelytobefirstperceivedbyarelativelysmallnumberofindividualsseekingto

changethelargersociety.TheOIEtheoryofinstitutionaladjustmentisreviewedandfound

tobeincomplete.

Insearchofmoreguidance,wethenexaminePerceptualControlTheory(PCT),a

psychologicaltheorythatspecificallyconsiderstherelationshipbetweenperceptionsand

power,definedascontroloverone’sperceivedenvironmenttoachieveone’spurposes.

PCTisfoundtobeanalogoustoOIEinseveralimportantaspects,whileatthesametime

unifyingandclarifyingcertainpartsofit,especiallythenexusbetweenindividualand

institution.Italsoprovidessomeadditionalinsightintonecessaryconditionsfor

institutionalchange.ThoughPCTwasoriginallydevelopedtoexplainindividualpsychology,

morerecentextensionsallowittobeconsideredasabasisforsocialtheoryaswell.

Thisrecentworkhelpsexplainhow“habitsofthought”becomeprevalent.In

particular,habitsattheindividuallevelandinstitutionsatthesociallevelareshowntobe

composedofthesame“stuff.”Armedwiththisdeeperunderstandingofinstitutions,a

theoryofminority-directedinstitutionalchangeisdeveloped.Alongtheway,insightsfrom

neuroscienceandnetworkscienceareaddedtoitsothetheoryattemptstobridgethe

ontologicalgapfromneuralnetworktosocialnetwork.

4

Finally,thistheoryisappliedtotheproblemofinstitutionalracismwithwhichwe

beganandconditionsforsuccessfulminority-directedinstitutionalchangearederived.The

meansofcreatingsomeofthoseconditions,however,arenotcompletelyclear.Thus,the

worldremainsastubbornlydifficultthingtochange,butperhapstheinsightsderivedfrom

thisanalysismakethechancessomewhatlessvanishinglysmall.

5

CHAPTER2

REVIEWOFLITERATURE

UrbanSociologyofInstitutionalRacism

Galster(1992)elucidatesacumulativecausationmodelofthecreationand

persistenceofanunderclassastheresultofinteractionsamongsevendifferentaspectsof

people,placeandlabormarkets.First,theunderclassexhibitsdiminishedcapacities

(education,skills,workhistories,etc.)andsubstandardmaterialconditionsrelativetothe

restofthepopulation.Second,thisdisparitybreedsdiminishedpsychologicalconditions,

includingpessimism,angerandapathy,whichleadstodeviantoruncontrolledbehavior—

welfaredependency,crime,drugs,andunwedbirths—thatfurtherdiminishcapacitiesin

boththepresentandfuturegenerations.Third,therestofthepopulationexhibits

prejudicesagainstpoorblacks,prejudicesthatarereinforcedbytheirlowstandardofliving

andnon-standardbehaviors.Fourth,theseprejudicesplayoutbyphysicallyisolatingpoor

blacksindeterioratingpoorcentralcityneighborhoodswhile,fifth,creatingbarriersto

excludethemfromsuburbancommunities.Sixth,thecumulativeeffectofspatialisolation,

prejudices,pessimism,self-defeatingbehaviorandeducationaldeficienciesworkto

excludetheunderclassfromhigherpayingjobs(the“primary”sector)andso,seventh,

segregateunderclasslaborforceparticipationinthelow-wage(i.e.,“secondary”)sectorof

theeconomywherejobshavelittlepotentialforearningsincreasesandtheperformance

6

ofwhichdoeslittletoenhanceeitherthehardorsoftskillsneededforworkintheprimary

sector.Lowincomesthenreinforcethepessimisticattitudestowardworkandthe

inadequatestandardsoflivingexperiencedbytheunderclass,perpetuatingthecircleof

cumulativecausation.

AsexplainedbyGalster,thismodelidentifiestheendogenousfactorscreatingand

perpetuatinganunderclass.Therearealsoexogenousfactorsthatareimportantincluding,

1)theadventofapost-industrialsocietywhichloweredopportunitiesforlow-skilled

workerstoearnmiddle-classincomes,2)thebuildingofinterstatehighwayswhich

destroyedmanyAfrican-Americanneighborhoods,and3)thesubsidizingofmortgagesfor

newhomesinhomogenousneighborhoodsbutnotforolderhomesinraciallyor

economicallymixedareas.Nonetheless,thesewereimposedontopofasystemalready

designedtosegregateopportunitiesbyrace,andtheysimplyaddedfueltofire,

intensifyingthestrengthofthelinkagesbetweenthesevenfactorsandtheextentoftheir

cumulativeimpact.

Asidefromidentifyinganddescribingthereinforcingelementsofthismodel,its

mostdistinguishingfeatureisitsemphasisontheroleofpsychologicalfactorssuch

prejudices,beliefs,andperceptionsonmaintainingexistingsocialandeconomic

relationships.Standardeconomicmodelsofhumanbehaviorwouldconsidersuchthingsto

be“tastes”or“preferences,”andassuch,givenfromoutsidetheeconomicsystemandnot

thepurviewofformalanalysis.ThestudyofconcentratedAfrican-Americanpoverty,

however,requiresperceptionsandprejudicesbebroughtinsidetheanalysistoexplain

7

theirformation,adoptionandpersistence,especiallytounderstandhowtheymightbe

significantlychanged.Inparticular,theinteractionbetweensocialstructureandhuman

developmentmustbemorefullyexamined.Theabovemodelisatleastabeginning,

showinghowmaterialconditionsproducepsychologicaladaptationsandbehaviorsthat,

unfortunately,oftenreinforcedestructiveperceptions,beliefsandprejudices.

Alsoimportantisthemodel’sdescriptionofagency.Agencyisn’tuniformly

distributed.Agencyprimarilyaccruestothepowerful,astheyhavetheabilitytodefine

whois“other”andexcludeandsegregatethemonthebasisofthembeingsomehowless,

inferiorordangerous.Thisplaysoutinboththesegregationofresidencesintothosethat

areresourcerichandthosethatareresourcepoor,andthesegregationoflabor-force

opportunitiesintothoseoccupationswithmanyopportunitiesforadvancementandthose

withfew.

Galstergoesontocharacterizethreedifferentkindsofpolicyinterventionsaimed

atreducingtheblackunderclass:“breakthelinkages,”“reversethecycle,”and“establisha

parallelsystem.”Hethencriticizestheminlightofhismodelofcumulativecausation.

“Breakthelinkages”strategiesattempttointerveneinonestrategicplacetostop

theself-reinforcingnatureofsystem.Suchprogramsincludeanti-discriminationlaws,job

trainingandaffirmativeaction.Galster’smaincriticismoftheseisthatevenifeffective,

enoughoftheremainingpartsofthesystemremaininplacesothatatbest,theymay

reducetherateofdeterioratingcircumstancesfortheunderclass,ratherthanreverse

8

trends.Inotherwords,thesystemisresilientandadaptive,andsosingle,“silverbullet”

policychangesareunlikelytobebroadlyeffective.

“Reversethecycle”strategiesattempttousetheself-reinforcingnatureofthe

system,butimplementpoliciesthatrunitinreversesothatviciouscyclesbecomevirtuous

ones.OneexampleofsuchapolicydiscussedbyGalsterisdispersingsubsidizedhousingto

de-concentratethepoorandmovethemclosertowhereopportunitiesaregrowing.If

successful,thisshouldprovidetherolemodelsneededtoreinforcesuccessfulbehaviors

butarenolongerprevalentintheinnercitywhileprovidingtangibleeconomicpayoffsfor

adoptingthem,assuggestedbyWilson(1987).But,accordingtoGalster,thesestrategies

havemetwithmixedsuccess.Merelydispersinglow-incomehousingisnotsufficientto

produceachangeintheattitudesandbehaviorsofeitherthedisplacedurbanpoorortheir

newmiddle-classwhiteneighbors,makingaccesstoopportunityafunctionofmorethan

justgeographicproximity.

Finally,“establishaparallelsystem”strategiesattempttoreproduceinsidethe

distressedareathecommunity-ownedbusinessesandotherinstitutionsneededtoprovide

accesstoprimaryaswellassecondarysectorjobs.Galsterappearstobemostsympathetic

tothisstrategy,butquestionswhetheraparallelsystemcanbeviableinthelong-run

withoutsupportfromthemainstreamcommunity.Ifnot,thenitisnotreallyaparallel

systemandwillrunupagainstmainstreamoppositionassubsidizedminoritybusinesses

competeagainstunsubsidizedmainstreambusinesses.Eveniftheparallelsystemrequires

noeconomicsupportfromthemainstream,Galsterquestionswhetheritcanbe

9

constructedinawaythatdoesnotfuelmistrustonbothsides,whichwouldlikelyresultin

thewithdrawalofthepoliticalsupportneededtomaintainparallelsystems.

Hence,Galstersuccessfullyshowswhymostinterventionstoameliorate

concentratedminoritypovertyintheurbancoresofmetropolitanareashavemetwith

limitedsuccess.Theintenseentanglementsbetweenthesevenmutuallyreinforcingfactors

enabletheproblemtoseeminglyhaveawillofitsown,repeatedlydemonstratinganability

toadaptandadjusttointerventionsandcontinueonitsownpath.

Briggs(2005a)similarlyidentifies“anunevengeographyofopportunitybyraceand

class”(p.4)wherethedisadvantagedliveincommunitiesthatare“isolatedandisolating

trapswithsecondclasssupportsystems”ratherthan“communitiesthatserveasstepping

stonestoopportunity,politicalinfluenceandbroadersocialhorizons”(p.3).Thisuneven

geographyfollowsanimplicitbutwell-definedpolicy—containmentplussprawl.Thispolicy

isbeingfollowed,evenasthecountry’spopulationbecomesmoreraciallyandethnically

diverse:

SincetoolsforregulatinglanddevelopmentatthelocallevelweredevelopedintheUnitedStatesacenturyago,adiversityofraceandclasshasbeencontained,ensuringthatdisadvantageisconcentratedinparticularplaces.Inthe1990s,asthepopulationbecamemorediverse,itwasnotthefactofcontainmentthatchangedsignificantly,buttheshapeofthe‘container,’whichmorphedtoincludemanyat-risksuburbs.(p.8)

Whilecontainmentconcentratesthepoorminorities,well-offhouseholdsfollow

whatBriggs,citingRobertReich,callsa“thesecessionofthesuccessful”(p.9)strategy.

“OnewayAmericansseparatethemselvesfromurbanproblemsisbyleavingthembehind

andcreatingnewlocalgovernments”inthesuburbs.“Fromthestandpointofraceand

10

housingchoice,sprawlingnewgrowthcreatesexitoptionsfromolder,built-upareas—but

moreoftenforwhitehouseholdsandmiddle-andupper-incomeminoritiesthanforother

groups.”

Thissimplebuteffectivestrategycreatestheillusionofprogresswithoutchanging

underlyingsocialrelationships.Ratesofhousingsegregationasmeasuredbytheindexof

dissimilarityhavedeclinedoverthedecades,albeitveryslowly.Minoritieshavegained

politicalpowerinmanycities,thoughmainlybecausewhiteshaveleft.Thesuburbsare

growingindiversity.Whites,seeingtheprogressinanti-discrimination,believethe

problemissolved.Blacks,seeingtheirincreasingpoliticalpower,believethecurrent

residentialpatternoffersadvantagesthatoutweighanyattemptsatfurtherintegration.

Theresultisanabsenceofsocialconflictdespitethefactthatcontainmentplussprawl

perpetuatessystemicracialinequalityandleavesintacttheimplicitpolicyofdividing

metropolitanareasintoplacesofopportunitylargelyinhabitedbywhitesandplacesof

isolationlargelyinhabitedbyblacksandotherminorities.

Therearemanywaysinwhichthiscontainerisheldtogether,andseveralare

describedbelow.Butunderpinningthemallaretheattitudesofblacksandwhites

regardinglivingtogether.Charles(2005)explorestheseattitudesusinganinnovative

surveytechniqueaspartofthe1992-94Multi-CityStudyofUrbanInequality(MCSUI),

whichexaminedracialinequalityinfourmetropolitanareas—Atlanta,Boston,Detroitand

LosAngeles.Surveyrespondentswereshowncardswith3rowsof5clip-arthousesandthe

respondentwastoldtoassumethathe/shelivesinthemiddlehouse.Thehousesare

11

coloredaseitherwhite,blackorgreyandeachcolorrepresentsaraceorethnicity—white

forWhites,blackforBlacks,greyforeitherAsianorHispanic,dependingonwhichethnic

groupwasbeingsurveyed.Therespondentisshownaseriesofcardsdepictinghis/her

houseassurroundedbyvaryingproportionsofown-racehouseholdsandother-race

households.(The“other”racewasrandomlychosenforeachrespondent.)Therespondent

isaskedhowwillingheorshewouldbetomovetosuchaneighborhood.

Whatemergesisaverystrongordering,wherewhitesarethemostpreferredas

neighbors,blackstheleast,andHispanicsandAsiansinbetween.Thishierarchyholds

regardlessoftheraceoftherespondent.Allraceandethnicgroupsprefertolivein

neighborhoodswheretheirownracial/ethnicgroupisinthemajority.However,itappears

thatminoritiespreferneighborhoodswith“agreaternumberofco-ethnic(nonwhite)

neighborsthanmostwhitescouldtolerateintheirownneighborhood—suggestingthat

racialchangeinneighborhoodsmightinevitablyleadto‘tipping’towardamajorityrace

makeupratherthanastablemix”(Charles,2005,p.51).

Fewmembersofminoritygroupsprefertoliveinsegregatedneighborhoods,either

inaghettoentirelyinhabitedbytheirownethnicgrouporinonewheretheyareonly

tokenrepresentativesofit.Moreover,amajorityofrespondentsinallracialandethnic

groupssaytheywouldbewillingliveinneighborhoodswhere1/3ofresidentsarefroma

differentgroup.AccordingtoCharles,thislevelofexpressedwillingnesstolivein

integratedneighborhoodsisasignificantincreasefromthe1970s,whenthesurveywas

firstgiven.

12

Charlesthenexamineswhatunderliesthepreferenceorderingandprovidesthree

alternateexplanations.First,itcouldbethatclassistherealdriverandthatraceismerely

beingusedasaproxy.Second,perhapsallgroupsareethnocentricandsonaturallyhavea

preferenceforlivingwithotherslikethemselves.Finally,perhapspreferencesaredriven

morebyprejudiceagainstan“out-group”thanbydesiretolivewithco-ethnics.

Charlesreviewstheevidenceforeachandfindsthat:

1) Theincomesandexpendituresonhousingofwhitesandminoritiesoverlap

considerably,sotheprevalenceofsegregatedneighborhoodscannotbe

explainedbyclassdifferences,atleastasdefinedintermsofincomegroups.

2) Whitesseemtobestereotypingblacksthemselves,notjustblack

neighborhoods.However,actualexperienceofgreaterintegrationbywhites,

eitherintheirneighborhoodoratwork,isstronglyandpositivelyrelatedto

whitepreferencesforneighborhoodintegrationasmeasuredintheMCSUI.

3) Whileallgroupsprefertoliveinneighborhoodswithsignificantproportionsof

residentsthatsharetheirownraceorethnicity,theirdesiretobesurrounded

by“peoplelikethem”reachesitsmaximumwhenthe“out-group”isblack,

somethingthatmereethnocentrismcannotexplain.Ethnocentrism“playssome

roleintheshapingneighborhoodracialcompositionpreferences,butitsroleis

alwayssmallandinconsistent”(Charles,2005,p.66,emphasisintheoriginal).

Moreover,thereis“virtuallynosupportfortheethnocentrismhypothesis

amongblacks,”basedontheMCSUIdatawhichshowsthatblacksstrongly

13

preferlivinginaneighborhoodthatissharedroughlyequallywithwhites.There

isevidenceofsometypesofethnocentrismamongwhites,butwhenprobedas

tothereason,“themajorityofwhitesarticulatedtheirobjectionstoresidential

integrationbyinvokingnegativeracialstereotypes”(Charles,2005,p.66).

4) Thefactthatracialstereotypesunderlieneighborhoodracialcomposition

preferencespointsinthedirectionoftheprejudicehypothesis,ofwhichthere

aretwovariants.Thefirstissimpleprejudiceagainstanout-group,where

negativeracialstereotypesfueldistasteforlivinginthesameneighborhood.

Thesecondhypothesisrelatesracialprejudicetogroupposition.Thatis,what

givesprejudiceitssocialpowerisitscreationofgroupdifferentiation,andthe

greaterthedifferentiationthein-groupmembershavelearnedtoexpect,the

greatertheresistancetosharingneighborhoods.Charlesseesthisgroupvariant

oftheprejudicehypothesisasthemostconsistentwithhersurveydatafor

whites,whilebothhypothesesseemtobeatworkfortheothergroupsinthat

eachdisplaysnegativestereotypesaboutout-groups,butlesssoforwhitesthan

blacks.Blacksalwaysappearatthebottomofthesocialhierarchyastheleast

preferredout-group:Whenaskedtoconsidertheirpreferencesforamulti-

ethnicneighborhood,one-fifthofwhites,one-thirdofHispanics,and41percent

ofAsianschoseaneighborhoodwithoutanyblacks.

5) Examiningthecorrelationbetweenneighborhoodracialcompositionand

specificnegativeracialstereotypes,perceiveddifferenceinsocioeconomic

14

statusandown-groupattachment,negativestereotypeswerethestrongest

predictorofneighborhoodcompositionforwhites,withtheothertwofactors

beingstatisticallyinsignificant.“Whenwhitesholdnegativestereotypes,their

preferencesforintegrationwiththosegroupsdeclinesignificantlyand

preferencesforsame-raceneighborsincrease”(Charles,2005,p.70).Whilethe

influenceofnegativeracialstereotypeswaslesspowerfulfornon-whites,

especiallyHispanicsandAsians,nonetheless,“Theseandotherdataclearly

pointtoracialstereotypesastherace-relatedattitudeorperceptionthatis

mostinfluentialinformingneighborhoodracialcompositionpreferences”

(Charles,2005,p.72).

Inconclusion,then,CharlesfindssubstantialsupportforthethirdfactorofGalster’s

model—racialprejudiceagainstblacksbywhites—asacontributingfactorincreatingthe

concentrationofblacksthatproducestheunevengeographyofopportunitydescribedby

Briggs.Moreover,itisaspecifickindofprejudicerootedinpromotinggroupposition,in

thiscase,whitesocialdominationofotherracialandethnicgroups.Hence,itisnotmere

prejudice,butprejudicewithpurpose—tomaintaintheexistingsocialandpower

relationships.Forwhites,“Maintainingtheiradvantagesandprivilegesrequiresacertain

amountofsocialdistancefromnon-whites—particularlyblacksandHispanics,whooccupy

thelowestpositionsonthetotempole.Morethantokenintegrationwiththesegroups

signalsanunwelcomechangeinstatusrelationships”(Charles,2005,p.73).

15

Forminorities,however,therelationshipbetweenstereotypes,grouppositionand

neighborhoodracialcompositionpreferencesismorecomplex.Minoritiesseeksubstantial

integrationwithwhitesasthishasbeenmostassociatedwithupwardmobility,butsee

thoseneighborhoodswithonlytokenrepresentationsofminoritiesasasignalofhostility.

Thisappearstobeespeciallytrueofmiddle-classblacks,who“maybeamongthemost

suspiciousofwhitesandtheleastinterestedinsharingneighborhoodswiththem.Forthis

group,affordabilityisnotnearlytheobstaclethatwhites’racialprejudiceis”(Charles,

2005,p.74).Theresultisaself-reinforcingcyclewherewhitehostilitygeneratesblack

hostilitywhichgeneratesfurtherwhitehostility.

Hence,whiteprejudiceandblackresponsetoitcreatesanurbandynamicwhere

stablyintegratedneighborhoodsarerare.Asmorethantokennumbersofminoritiesmove

intoaneighborhood,whitesmoveoutinsearchofneighborhoodswheretheyareagain

dominant.ConsistentwithBriggs,theresultisanexpandingurbanareawithanexpanding

“container”inthemiddleofitreservedprimarilyforthepoorandminorities,acontainer

thatmaintainsagreaterisolationfromopportunitiesthanthoseavailabletomostwhites.

Butifwhiteprejudiceistheresultofnegativestereotypes,wheredothesecome

from,howaretheyreproducedandhowcantheybechanged?Charlesgivessomeclues

whenshesuggeststhattheexperienceofintegrationisnegativelyrelatedtostereotypical

thinking.Thatis,stereotypesflourishintheabsenceofactualcontact,butfirst-hand

observationsubstitutesrealexperiencesforhypotheticalones,diminishing—thoughnot

eliminating—theirprejudicialinfluenceonbehavior.

16

Whateverthemechanismsbywhichnegativestereotypesaboutblacksarecreated

andreproduced,itiscleartheyareemployedbywhitestojustifytheircontroloversocial

outcomes.Thebenefitsfromsuchcontrol,inturn,thenhelpexplainwhy,ifnothow,such

prejudicialattitudesaresustainedandreproducedinsucceedinggenerations.Anadequate

explanationofinstitutionalracismmustdescribetherelationshipsbetweenpower,

attitudes,stereotypicalthinkinganddesireforcontroloverothersthatresultsinasocial

hierarchyofthesortuncoveredbyCharles.

Manymechanismsexistbywhichthesepowerrelationshipshavebeenand

continuetobepreservedinthehousingmarket.(Pendall,2005)reviewsthehistoryofhow

lawsandregulationshavebeenusedinthepasttopromotehousingsegregation.Racial

zoning—thatis,explicitlycreatingethnicenclaves—wasappliedearlyon,datingbackto

the1870sinCaliforniawithrespecttoAsianimmigrants.Intheearly1900s,theSupreme

Court’sdecisioninPlesseyvs.Ferguson“allowedseparatebutequal”facilitiestoremain

legal.Explicitblack/whiteracialzoningfollowed,whereownerswereforbiddenfrom

sellingpropertytoanyonebutthoseoftheraceallowedintheirzone.Suchzoningbylocal

governmentswassubsequentlydeclaredunconstitutionalintheCourt’s1917decisionin

Buchananvs.Warley,butthisjustshiftedthesegregationeffortsfromthepublictothe

privatesector.Insteadofzoning,privatedeedrestrictionsandcovenantswereemployed

bydevelopers,landownersandhomesassociationstoexcludepeopleofaparticularrace,

religionorethnicity.These,too,wereoutlawedbytheSupremeCourtin1948.

Nonethelesstheycontinuedinusethroughthe1960s.

17

Effortstosegregateneighborhoodsthenshiftedtomoresubtlemeans.FHAloans

favored“stable”neighborhoodswhichtheagencydefinedlargelythroughtheprevalence

ofwhites,withtheresultthatloanswerehardtoobtaininmixed-raceneighborhoods.Of

course,becauseminoritiestendtohavelowerincomesand,especially,lowerwealth,they

haverelativelymoredifficultybuyinghomesevenwithoutdiscriminatoryhomefinancing.

Useoflocallanduseregulations,then,tofurtherincreasethecostofhousinghadthe

effectofexcludingmanylow-incomeminorityhouseholdsfromthesuburbs.Examplesof

policiesadoptedtocreatecommunitiesthatcatertohigher-incomehouseholdsinclude

increasingminimumlotsizerequirements,separatinglandusestocreatelow-density

communitiesthatforcedependenceontheautomobile,andlimitingtheamountofland

zonedformultifamilyhousing.

Tegeler(2005)reportsthatevengovernmenthousingprogramsdesignedto

providedecenthousingforthepooranddisadvantagedlargelyprovidedshelterinaway

thatpromotedsegregationisttendencies.A25-yearbuildingboominpublichousing

beginningmid-centuryproducedvirtuallyallofitslow-incomehousingunitsinmostly

black,high-povertyneighborhoods.Withthepassageofthe1968FairHousingActand

subsequentcaseofShannonv.HUD,itwasintendedthatthischange,anditdidforhigh-

risehousingprojects.Butsimultaneously,thenation’seffortsatprovidinglow-income

housingshiftedfromsuchhigh-densityprojectstoprogramsthatwerenotaswell

regulatedwithrespecttofairhousing.

18

Forexample,thefederalLow-IncomeHousingTaxCredit(LIHTC)programfailed“to

explicitlyrequirecompliancewithfairhousingpolicy…[and]ledtoageographic

distributionofLIHTChousinginmanystatesthatmirrorsexistingconditionsofracialand

economicsegregation”(Tegeler,2005,p.202).TheCommunityReinvestmentAct(CRA)

rewardsbanksforfinancinglow-incomerentalhousinginalreadypoorareas,exacerbating

theconcentratedpovertythatalreadyafflictsminorities,especiallyHispanicsandblacks.

TheHOPEVIpublichousingredevelopmentprogramtoredownmanyhigh-risehousing

projectsthatcreatedthehighestconcentrationsofpoverty,butdidnotinsistonaone-for-

oneadditionoflow-incomehousingunits.Thisdiminishedtheneedtobuildscatteredsite

low-incomehousinginnon-poorareasand,consequently,littlesuchhousinghasbeen

built.TheHousingOpportunitiesMadeEqual(HOME)programlimiteditsapplicationoffair

housingstandardstotheconstructionofnewrentalhousing,buttheprogramfundslittle

newconstruction.EventheSection8housingvoucherprogram,whichisdesignedto

increaselow-incomehousingchoiceandrequirespublichousingagenciestoadoptincome

deconcentrationgoals,onlyappliesthesegoalstoequalizingincomesamongthefacilities

withineachagency’sgeographicarea.Infact,“noeffortsaremadeintheregulationsto

bridgethedemographicdividebetweenurbanandsuburbanagencies,”(Tegeler,2005,p.

208)andsothepoorremainconcentratedincentralcities.

Ineachcase,theFairHousingAct’smandateshavebeenwhittledawayeither

explicitlyorthroughlackofenforcement.AccordingtoTegeler,thisreflects,“agrowing

emphasisoncommunityrevitalizationstrategies(upgradingtheplaceswhere

19

disadvantagedpeoplearealreadyliving),aseffortstopromoteresidentialintegration

(changingwherepeoplecananddochoosetolive)havefacedrepeatedandseemingly

intractableobstacles”(Tegeler,2005,p.198).WhileTegelersaysthatthetwoobjectives

arenotinherentlyincompatibleandshouldactuallybecomplementary,Briggsmight

counterthattheformerstrategyleavesthe“container”intactwhilethelatterthreatensto

breakitopen,soitislittlewonderthatresidentialintegrationhasrunintomoreobstacles.

Evenwhenthelawclearlyprohibitsdiscriminationbasedonrace,professional

practicescanadapttoundoit.TurnerandRoss(2005)examinetheroleofrealtorsin

reproducingraciallysegregatedneighborhoods.Usingpairedtestingthatwasconductedin

2000,theyfindthatroughly20percentofthetime,whiteswereprovidedsomeassistance

orinformationbyrealestateagentsthatwasnotofferedtoblacksorHispanics.Hence,

systemicdiscriminationagainstminoritiesstillexistswhenbuyingorrentingahome.In

general,thisdiscriminationisoccurringatsignificantlylowerratesthanin1989(thelast

timesuchnationwidepairedtestingwasconducted),soitappearsthatincreased

educationandenforcementactivitiesarehavingapositiveimpact.Despitethisoverall

improvement,however,itistellingthatoneformofsystemicdiscriminationagainst

minoritiesisstillincreasing—geographicsteering.Thatis:

Whiteandminorityhomebuyersmaybothbetreatedcourteously,shownawidevarietyofhousingoptionsandofferedplentyofadviceandencouragement.Butifwhitesaresystematicallyshownhousesinmorepredominantlywhiteneighborhoods,whileminoritiesaresteeredtomixedorminorityneighborhoods,theymayneverfindoutaboutopportunitiesforgreaterresidentialintegration.(Turner&Ross,p.94)

20

Thus,whileovertdiscriminationisdecreasing,theincreaseofamoresubtleformof

discriminationnonethelessisatworktomaintainaneffectiveresidential“container”for

minorities.

Oneissuewithusingalegalandregulatoryapproachtoequalizingopportunityis

thelengthoftimeittakestochangeattitudesversusthelengthoftimepublicpolicy

remainsconsistent.InthecasestudyofMinneapolis-St.Paul,Goetz,Chappleand

Luckerman(2005)findthatduringthe1970s,theTwinCitiesregionwasoneofthemost

progressivemetropolitanareaswithrespecttofairhousing.In1967,thestatelegislature

hadestablishedtheMetropolitanCouncil,aformofregionalgovernancethathad

responsibilityforestablishinganurbangrowthboundary,directinginfrastructure

investmentsandotherwiseshapingtheregion’sgrowthpatterns.By1971,theCouncil

begandispersingwhattheycalled“modest-cost”housingthroughouttheregion,viewing

fairhousingaspartofitsmandate.Then,in1976,thestatelegislaturepassedthe

MinnesotaLandUsePlanningAct(LUPA)whichrequiresmandatorylanduseplanningand

thatlocalgovernmentsabsorbtheirfairshareoftheregion’sneedforlow-incomehousing.

TheCounciluseditsfederallygrantedpowerasaMetropolitanPlanningOrganization

(MPO)toreviewfederalapplicationsforroadandsewerfundingtoensurethatlocalplans

setasidesufficientlandforthehigh-densityhousingneededforunitstobeaffordable.By

1983,thecentercity’sshareofsubsidizedhousingfellfrom82percentto59percent,

makingitanationalleaderinfairhousingachievements.

21

Yet,thiseffortwasderailedsothatbythelate-1980sand1990s,effortstodisperse

low-andmoderate-incomehousingbecamevirtuallynon-existent.Threefactorswere

primarilyresponsible.First,theelectionofRonaldReganbroughtsweepingchangesto

federalsocialprograms.Inparticular,theU.S.DepartmentofHousingandUrban

Developmentbudgetwasslashedby80percentoversixyears,severelydiminishingthe

levelofsubsidiesavailabletolocalgovernmentsforbuildinglow-andmoderate-income

housing.Second,thestategovernorshipalsochanged,firsttoaDemocratwhowas

uninterestedinurbanaffairsandthentoaRepublicanwhosebaseresidedinthesuburbs.

ThisresultedinappointmentstotheMetropolitanCouncilwhowerelesswillingto

interfereinsuburbanplansorholdthemaccountableforacceptingtheirfairshareof

affordablehousing.Finally,minoritydemographicschangedsignificantly,doublinginsizein

the1970sandagaininthe1980s.Moreimportantly,theincomedisparitiesbetween

centralcityandsuburbsgrewsothatbytheendofthe1980s,Minneapolis-St.Paul’s

incomedisparitywasrankedsixthamongthe25largestmetropolitanareasintheU.S.and

itspercentageofpoorblacksthatlivedinhighpovertyareaswasrankedfirst.These

disparitiesfueledincreasesincrime,drugsandgangs,andthesesocialproblemsbecame

moreandmoreassociatedwithneighborhoodsofhighminorityconcentration,and

resistancefromsuburbancommunitiestoacceptingresidentsfromthoseareasgrew.

Yet,onecanalsodiscernsomethingmoreatwork,asintimatedwhentheauthors

saythattheMetropolitanCouncilviewedproviding“modestcost”housingasequivalentto

providingsubsidizedhousingandthatasaresult,whenthefederalsubsidieswhenaway,

22

sodidtheenergybehindmonitoringorenforcinglocalgovernments’compliancewith

LUPA.Thismeansthatsuburbsabsorbingtheirfairshareofhousinglow-incomeresidents

neverbecameawidelyheldlocalvalueandsosimplyapartofthewaythehousingmarket

operates.Itwassomethingimposedfromtheoutsidebythepowerfulagencyofthe

federalgovernment.Butwhentheforceofthatimpositionwaned,localagencyreasserted

itselfresultinginareversiontotheoldwaysofhousingmarketoperation.

Itisinterestingthatthischangeoccurredjustastheaffordablehousingmarketwas

closetoachievingtheconstructionofamajorityoftheaffordablehousingwherethe

majorityofpeoplelived—inthesuburbs.Suchanachievementhadthepotentialto

significantlyalterperceptions,andwiththem,entrenchedsocialrelationships.Thevoting

majorityreacted,however,placingintopowerleaderswhoweremoreopposedto

governmentinterventionintomarkets.

Ineachcaseabove,thestoryisthesame.Attemptstouseformalinstitutionsoflaw

andgovernmenttocreateequalopportunityregardlessofraceorincomecontinually

conflictwiththeinformalinstitutionsembeddedinexistingsocialandpowerrelationships

thatfavorwhitesoverallracialandethnicgroups.Consistently,andmostlysuccessfully,

theinformalinstitutionsresistchangedespitesomeinitialprogress.Infact,aftersufficient

time,politicalpendulumsshift,andthentheformalinstitutionsarere-employedtore-

codifythepre-existingpowerrelationships.

Tilly,Moss,KisrchenmanandKennelly(2001)documentthatemployersaswellas

residentsusespaceasasignalofanarea’sattractiveness,associatingitwithstereotypical

23

perceptionsofrace,class,andworkerskillsandattitudes.“However,withinthismix,racial

composition—inparticular,thelocationofconcentratedblackpopulations—playsa

prominentroleinemployers’perceptionsofdifferentlocationswithintheirmetropolitan

area.Inmanyemployers’minds,whiteareasarelinkedtopositiveworkforceandlocation

attributes;blackandLatinoareasarelinkedtonegativeones”(Tilly,Moss,Kirschenman,&

Kennelly,2001,p.306).

Suchstereotypesareatleastpartlyresponsiblefortheoutmigrationoffirmsfrom

innercitytothesuburbs,aratethatisestimatedatsixtimesthatfromsuburbanareasto

theinnercity(Tilly,Moss,Kirschenman,&Kennelly,2001,p.327).Thisemployermobility

worsensthespatialmismatchbetweenblackworkersandjobs.Asaresult,Hertz,Tillyand

Massagli(2001)concludethatsimplystrengtheninganti-discriminationactivitiesinthe

suburbsisunlikelytobeeffectiveinraisingblackemploymentbecausetheresimplyaren’t

verymanyblackswhoapplyforworkinthesuburbs.

Incombination,stereotypedassociationsandfirmmigrationhelpexplainthegapin

black/whiteemploymentprobabilities.Hertz,TillyandMassagli(2001)estimatethatthe

probabilityofemploymentforablackmanwithahighschooldegreeand5yearsof

experiencetobe0.83whileforawhitemanitis0.89,asignificantthoughnotespecially

largedifference.Theeffectisstronger,however,iftheyincludeinvoluntary

underemploymentasanegativeratherthanpositiveemploymentresult.Thissuggeststhat

discriminationmaynowtakeplacemoresubtlythanittimespast,affectinghoursofwork

oroccupationalopportunitiesasmuchasemploymentperse.

24

Occupationalopportunities,ofcourse,dependuponeducation.Hertz,Tillyand

Massagli(2001)findthat,whentheyincludeallthecontrolsintheirmodel(whichinclude

takingaccountofparentaleducation,familystructure,worktasksanddetailed

occupations),educationturnsouttobemuchmoreimportantthanracealonein

determininghourlywage.Thepenaltyforhavingahighschooldiplomavs.acollegedegree

is22percent,whilethepenaltyforbeingfemalerelativetomaleis10percentandthe

penaltyforbeingblackvs.whiteis5percent.However,allthesecontrolsessentially

representanunpackingofthediminishedcapacitiescreatedwhenblacksliveisolatedina

“container”characterizedbyconcentratedpoverty.Education,parentaleducation,family

structureandoccupationalchoiceareallweakerinsuchlocations.Hencetheseplacesmay

bethemechanismbywhichasignificantamountofvariationinthecontrolvariablesis

createdandperpetuated.Because,asBriggssuggests,thesegeographicareasarethe

resultofanimplicitpolicytocontainpoorminorities,thisbringsusbacktoresidential

segregationasanimportantvariableindeterminingrelativeeconomicopportunity.

Briggs(2005b)seesthemetropolitaneffortstoward“smartgrowth”and

“sustainability”asperhapsthebesthopesforrestoringsocialequitytothepublicagenda.

Smartgrowthcallsforhigherdensity,mixedusedevelopmentthatisserviceablebytransit,

bikingandwalking,ratherthantheauto-dependentsprawloftraditionalsuburban

development.Sustainabilitycallsforavibranteconomythatnonethelessmakesmuch

wiserchoiceswithrespecttoutilizationofnaturalresources,especiallycarbon,while

increasingsocialequity.StillBriggssuggestsitisthesocialequityportionofthisagenda

25

thatwillprovetobetherealtestofwhethertheseeffortsdo,infact,producemore

sustainabledevelopmentpatterns.Withoutamoreuniformgeographicdistributionof

disadvantage,itsconcentrationwillalwaysformahigh(social)pressureareathatblows

developmentandinvestmentawayfromit.AsPendall,Nelson,DawkinsandKnaap(2005)

reveal,smartgrowthmayproducegreaterintegration,butitmayalsoproduce

gentrificationthatsimplyshiftsthelocationofwhiteandblackenclaves.Theoutcome

depends,inlargepart,onwhethersocialequityisanexplicitgoalofthepoliciesand

regulationsthatimplementthesmartgrowthagenda.

Thepromiseofcreatingmoreintegrated,mixed-income,mixed-raceneighborhoods

isgreat.Chetty,HendrenandKatz(2015),forexample,analyzeddatafromtheMovingto

Opportunityexperiment.Thisexperimentrandomlyselectedimpoverishedfamilies,and

offeredthemthechancetomovetoalower-povertyneighborhoodsthroughtheuseof

housingvouchers.Childreninthosefamilieswhowereyoung—under13—didsubstantially

betterthanthecontrolgroup.Incomeswere31percenthigherintheirmid-20s,theywere

morelikelytoattendcollege,andtheyweremorelikelytoliveinlower-poverty

neighborhoodsasadultsandtorefrainfromhavingchildrenoutofwedlock.Similarly,

ChettyandHendren(2015)analyzedIRSdataongeographicmobilityandincomeand

foundthatwhenchildrenmovetobetterneighborhoods,theirincomesconvergetothose

oflong-timeresidentsatarateofabout3.5percentperyearofexposure.Thus,they

attributebetween50percentand70percentoftheobservedvariationinintergenerational

incomemobilitytothecausaleffectsofplace(Chetty&Hendren,2015,p.2).

26

Insummary,wefindthattherearemanyinformalinstitutionsintheU.S.that,when

combined,makeexistingsocialandpowerrelationshipsstronglyresistanttochange,

despitethesignificantchangesinpolitics,economicsandtechnologyduringthe20th

Century.Thisisnottosaysocialrelationshipshavenotchangedatall—theyclearlyhave—

butattheveryleast,theyalwaysseemtostopshortoffundamentallychangingthe

“containmentplussprawl”strategyforbuildingU.S.cities.

Toreplacethisstrategy,itappearsweneedtosignificantlyalterourinformal

institutions.Inpart,thisisdifficulttodobecause,likethefishthatisunawareofthewater,

theyaresopervasivethatwearealsomostlyunawareofthem.

BriggsidentifiesseveralAmericanvaluesthatbothunderliethe“unevengeography

ofopportunity”andservetomakeitarelativelyinvisiblesocialproblemtoday.These

include:

1) Theattractivenessofaplacecanbebestjudgedbythestatusofthepeoplewho

livethere.

2) Communitiesaredefinedbythehomogeneityofrace,classandhomevalues.

3) Politicaldecisionsshouldbemadeatthelowestpossiblelevelofgovernment.

4) Marketsarecapableofmeetingallneeds.

5) Incomeisdeterminedbyindividualeffort.

Themostglaringomissionintheabovelistisanymentionoftheblindspot

Americanshavewithrespecttocontinuingracialdiscrimination.Suchdiscriminationisno

longerexplicit,inlaworinmostordinaryconversation.StatedasavaluesimilartoBriggs,

27

Americansseemtobelievethatequalrightshavebeenlegallywon,thereforeequal

opportunityexists.Consequencesthatfallmoreheavilyonblacks—whetherincarceration

rates,mediaportrayalsorjustplainsuspicion—arebelievedtobetheresultofcharacter

andculturealone.

Feagin(2013)wouldbeunsurprisedbythisblindspot.Heassertsthatwhites

operateoutofwhathetermsa“whiteracialframe”soprevalentitcontaminatesthe

thinkingofevenwhitesociologistsstudyingrace.By“whiteracialframe”hemeansnotjust

prejudices,stereotypesandideologies,whicharewell-studiedbysuchacademics,butalso

“anoverarchingwhiteworldviewthatencompassesabroadandpersistentsetofracial

…images,interpretationsandnarratives,emotions,andreactionstolanguageaccents,as

wellasracializedinclinationstodiscriminate”(Feagin,2013,p.3,emphasisintheoriginal).

Thisworldviewframesthinkingsocompletelythatitpersistsevenwhen

contradictedbyclearlyobservablefacts.Feagincitestheexampleofawhiteman

approachingagroupofblackpilotsinuniform,andaskingoneofthemtocallhimacab.

Whenthepilotsaystheonlythingheknowshowtodoisflyaplane,thewhitemansayshe

understands,butnonethelessasksthepilotagaintocallhimacabinspiteoftheuniforms

andbeinginformedofhiserror(Feagin,2013,Preface,p.x).InFeagin’sview,thewhite

racialframeisnotmerelyoneamongmanysocio-cognitiveframespeopleemploydaily,it

isthedominantframethatroutinelydefines“awayofbeing,abroadperspectiveonlife,

andonethatprovidesthelanguageandinterpretationsthathelpstructure,normalizeand

makesenseoutofsociety”(p.11).Ithasbecome“amajorpartofmostwhites’character

28

structure,acharacterstructurehabituallyoperatedoutof,withimportantindividual

variations,ineverydaylife”(p.14).

Underlyingthewhiteracialframearedeeprootsdatingtopre-colonialtimes.

FeagindescribesaEuropeanconceptofa“greatchainofbeing”thatcreatesahierarchyof

alllivingthings(pp.40-41).Itplaceshumansabovetheanimalsbecauseofsuperior

rationality,Christiansabovenon-Christians,andChristianmaleEuropeansaboveallother

people.Asaresult,endemictothisframeisnotonly“other”inferioritywherenon-whites

wereregardedonlyalittlemorethananimals,butastrongassertionofwhitevirtueand

whitesuperiority.

Still,itwastheEuropeancolonizationoftheAmericasthatsharpenedthesenotions

withrespecttoAfricansandindigenousAmericans,theformerenslavedtoworktheland

takenfromthelatter.Linkingphysicalcharacteristics,suchasskincolorandfacialfeatures,

tonon-whitesbeinguncivilizedheathensavageslessthanfullyhumancreatedthesocial

distancerequiredtojustifythetakingoflife,libertyandland.

TheresultingsocialhierarchycreateswhatFeaginterms“racialcapital”(p.28)

Goingbeyondmaterialandfinancialwealth,racialcapitalincludessocialstatusandthe

abilitytoaccesssocialnetworks.Itgeneratessymboliccapital—sharedassumptionsand

understandingsthatsmoothinteractionsandgrantprivilegesbetweenwhitesbutdon’t

extendtonon-whites.

29

Suchracialcapital,inturn,helpsproducetheracialhierarchydescribedbyCharles

thatpersiststothisday.Feagincallsthishierarchy“theheartofsystemicracism”

producing

aracistrelationship—atalowerlevel,theraciallyoppressed,and,atamuchhigherlevel,racialoppressors.Thesesociallyseparatedandalienatedgroupshavedifferentinterests.Theformerseekstooverthrowtheracialhierarchy,whilethelatterseekstomaintainit(Feagin,2013,p.29).

Thedeeprootsofthewhiteracialframearerevealedinitsembeddinginthe

nation’sfoundingdocuments.The“blessingsofliberty”tobesecuredfor“We,thepeople”

didnotapplytoslaves.FeagindocumentssevensectionsoftheConstitutionthatprotected

theinstitutionofslavery,andarguesthattheU.S.wouldhaveexperiencedquiteadifferent

historywithoutthem—forexample,ThomasJeffersonwouldnothavebeenelected

presidentandMissouriwouldnothaveenteredtheunionasaslavestate(p.32).

Perhapsmoreimportantly,theConstitutionincludedseveralanti-democratic

elements.TheU.S.Senate,withequalratherthanproportionaterepresentationbystate,

gaveSouthernsenatorssufficientpowertoblockbothanti-slaverylegislationbeforethe

CivilWarandcivilrightslegislationafterit.TheSupremeCourt,untilrecentlytheexclusive

domainofrelativelywealthywhitemalejudges,oftendecidedcasesinwaysthathelped

reproducethewhiteracialframeinsucceedinggenerations.Forexample,theDredScott

decisionof1857ruledthatblackswereinferior.FeaginquotestheChiefJusticeassaying

blackshad“norightswhichthewhitemanwasboundtorespect”(Feagin,2013,p.33).In

addition,rulingsinfavorof“statesrights”providedprotectionfromfederalintervention

withrespecttoslaverybeforetheCivilWarandlegal“JimCrow”segregationfollowingit

30

(p.33).In1896,thePlesseyv.Fergusondecisionupheldblack-whitesegregationofpublic

facilities(p.84).

Theseanti-democraticelementshelpedensurethatthosewithpowerhave

influenceoverpoliticaldecisionsdisproportionatetotheirnumbers.Inexaminingthe

impactofthenation’sFoundingFathers,senatorsandjustices,Feaginholdswhiteelites

especiallyaccountableforthedecisionsthathavecreatedtheinstitutionalarrangements

responsibleforreproducingthewhiteracialframeoverthenearlyfourcenturiessincethe

introductionofslaveryonthiscontinent.

Suchdecisionscontinuetothisday.IntheaftermathofBrownv.TopekaBoardof

Educationandthecivilrightslegislationofthe1960s,“whiteleaders…createdweak

enforcementmechanisms…[that]guaranteethecontinuationofthedominantracial

hierarchy,”(Feagin,2013,p.95)asdocumentedbytheexperienceofMinneapolisabove.

Federalandstatelegislatures’decisionsregardingwhichcrimesdeserveprisonandto

removejudicialdiscretion,alongwithprosecutorialdecisionsconcerningwhotocharge,

haveledtodisproportionateincarcerationofblackmales(p.153).Thedecisionsoflocal

mediaexecutivesconcerningthecoverageofviolentcrimedescribeblacksuspects

disproportionatelytotheiractualarrestrates,whilewhite-collarcrimeisunder-covered(p.

104).Discretioninhealthcaredecisionsbymedicalprofessionalsrevealsaracialbiasin

treatment(p.152).

Employers,too,showevidenceofdecisionsinfluencedbythewhiteracialframe.

Aftersendingout5,000resumesto1,300businesses,BertrandandMullainathan(2003),

31

foundthatittookaverageof10resumestogenerateonecallbackifthenameonthe

resumewereacommonwhitename,suchasEmilyorGreg,butittookanaverageof15

resumestogenerateonecallbackforcommonblacknames,suchasLakishaorJamal.By

alsosystematicallyvaryingotherqualifications,theyfindaresumewithablack-sounding

namerequiresanadditionaleightyearsofexperiencetooffsettheadvantagegrantedbya

white-soundingnameonthesameresume.

Banksshowevidenceofoperatingunderthewhiteracialframeaswell.Swarns

(2015)describesbanksinNewYorkandMissouricontinuingtoengagein“red-lining,”the

practiceofdiscriminatingtheofferingofservicestoprospectiveborrowersbasedonthe

racialandethniccharacteristicsoftheneighborhoodsinwhichtheycurrentlyorwishto

live.Abankexecutiveisquotedassayingminorityareaswere“likeawholeotherworld”as

thejustificationforwhymoreloansweren’tmadethere,inferringthattherulesfor

assessingtheriskinessofborrowersin“ordinary”areasdidnotapplytothis“otherworld.”

Suchovertexpressionsofthewhiteracialframearerare.Generally,theyhave

becomemoresubtleandcovertintheaftermathofoutlawingsegregation.Feagin(2013)

provideddiariestostudentstorecordincidentsofracismandfoundthatwhileracist

remarks,jokesandstereotypesweretypicallysuppressed“frontstage”wheretheremight

beotherslistening,suchreferencesoftenflourishedamongwhitesin“backstage”settings

whentheyfeltsafelyalonewithmembersoftheirowngroup(pp.11-12,122-129).

Meanwhile,whitevirtueispromotedinmovies,TVandvideogames,where“whitesare

regularlyportrayedasnoble,brave,andkind,andasnaturalbornleaders…”(Feagin,2013,

32

p.129)Asizablenumberofportrayalsgobeyondthistoshowwhitesasthesaviorsof

peopleofcolor,suchasinthemoviesDancesWithWolvesandAvatar.

Bobo,Charles,KrysanandSimmons(2009)reviewednearly40yearsoftheGeneral

SocialSurvey(GSS)andsimilarlyfoundthatwhiteattitudestowardblackshadshiftedfrom

moreoverttomorecovertformsofracialanimus.Whilesupportforlawsbanningracial

intermarriageorallowingwhitestokeepblacksoutoftheirneighborhoodshasconsistently

declined(p.14),ashavebeliefsthatblacksarelazierandlessintelligentthanwhites,

collectiveracialresentmentofblacksbywhitesappearstohaveincreased.Such

resentmentsinclude“asenseofantagonismtopoliticaldemandsbyblacks,rejectionofthe

assumptionthatrealdiscriminatorybarriersimpededblackadvancement,andhostilityto

anyfavororbenefitblacksmightnowreceivefromgovernment”(p.29)Inshort,thereisa

strongfeelingbywhitesthat“othergroupsmadeitinAmericawithoutspecialfavors,and

blacksshouldtoo”(p.30).Mostoften,whitesjustifytheireconomicadvantageoverblacks

asaresultofthelatter’s“lackofmotivationorwill.”Bobo,Charles,KrysandandSimmons

(2009)thusfindthatwhites’negativeperceptionsofblacksappear“tohaveshiftedaway

frompresumedbiologicalornaturaldifferencestowardpresumptionsrootedingroup

culture”(p.41).Moreover,sinceblackeconomicdisadvantageis,intheviewofwhites,

entirelythefaultofblacksthemselves,whitesareabletomaintainconsiderablesocial

distancefromblacksanddenyfullidentificationwiththem,reducingwhitefeelingsof

compassionfororadmirationofblacks.

33

With“JimCrow”segregationoutlawedandexplicitlyprejudicialviewsonly

expressed“backstage,”manywhiteshavebeguntoassertthatweliveinapost-racial,

colorblindsociety,furtherevidenceofthepowerofthewhiteracialframetolimitboth

whatisperceivedandthedepthofwhiteintrospection.Thesolution,accordingtoFeagin

(2013),isaggressivecounter-framing.

MostAmerican’sbelievethateveryonehastherightto“life,liberty,andthepursuit

ofhappiness”aspromisedinthenation’sDeclarationofIndependence,andthatits

Constitutionworksto“ensurejustice”and“securetheblessingsofliberty”for“We,the

people”(pp.163-164).Feagindescribesthisasa“liberty-and-justice”framethat,

historically,hasbeenhypocriticallyappliedonlytowhites.However,amoreauthentic

liberty-and-justicecounter-framehasbeenarticulatedbypeopleofcolor,aswellassome

whites,thatactivelydemonstrateswherethedominantframefallsshortofitsownideals

of“libertyandjusticeforall,”asstatedintheoft-recited“PledgeofAllegiance.”This

counter-frameincludes:“astronganalysisandcritiqueofwhiteoppression;anaggressive

counteringofanti-blackframing;andapositiveassertionofthehumanityofallpeopleand

theirrighttorealfreedomandjustice”(Feagin,2013,p.205).

Thedifficultyisingettingwhitestoperceivetheircurrentliberty-and-justiceframe

asinauthentic.AccordingtoFeagin(2013,pp.204-211),thisrequiresde-framing,i.e.,

“consciouslytakingapartandcriticallyanalyzingelementsofthewhiteracialframe…

Entrenchedframestendtotrumpnewfacts,”however(pp.204-205).Asaresult,while

34

factsareimportant,theymustclearlycontradictthedominantframeandcausedeeper

introspectionandmorethoroughconsiderationofalternativepointsofview.

Evenwhenarmedwithclearandthought-provokingfacts,racializedemotions

trumpreasoning.Therefore,factsmustbeaugmentedwithpersonalencountersbetween

whitesandpeopleofcolorwhohaveactuallyexperiencedtheimpactofinstitutionalized

racism(p.208).Further,bothgroupsandindividualsmustengageinactivedissentaimed

at“remindingwhitesoftheirbettervalues”andfostering“identification…withthosebeing

racializedandattacked”(Feagin,2013,p.215).

FosteringidentificationisthesubjectofresearchbyBryan,AdamsandMonin

(2015).Theyfoundthat,whengivenachancetoanonymouslycheat,admonitionsto

“Don’tcheat”werenoteffective,butadmonitionsto“Don’tbeacheater”werevery

effective.Peoplewhoengageindishonestorimmoralbehaviordisassociatethatfromtheir

identitiessotheycanhavetheircake(benefit)andeatittoo(stillseethemselvesas

honest).Theyhypothesizethelatterphrasinglinkstheimmoralbehaviorwithidentityina

waythattheformerphrasingdoesnot,increasingthepsychologicalcostofthatbehavior.

TheycitesimilarfindingsbyBryan,Walton,Rogers&Dweck(2011)withrespecttoasking

peoplehowimportantitis“tovote”vs.“beavoter”thedaybeforeanelection,thelatter

inducingmoreactualvoting.Seeminglyminorchangesinlanguagemaymay,therefore,

helpwhitesachieveincreasedidentificationwiththeexperiencesofblacks.

Increasedidentificationallowsincreasedengagement.Pentland(2014)arguesthat

trustisbuiltthroughengagement,thefullestformofwhichoccurswhenthepeopleyou

35

talktoalsotalktoeachother.Thisallowsheretoforeseparatesocialnetworkstospread

andintersect.Pentlandsuggeststhatwhenideasfromdifferentnetworksintersect,the

possibilityofsocialinnovationarises.

Suchinnovationcanappearsuddenlyoncenetworksaremorethoroughly

connected.CentolaandBaronchelli(2015)findthatthemorecompletelythenetworkis

connected,thequickeritevolvesanewconventionheldbyall.Randomlybutincompletely

connectednetworksarealsocapableofevolvingsuchaconvention,thoughittakeslonger.

TheresultingselectionistheresultofwhatCentollaandBaronchellicallsymmetry-

breaking.However,theconventionselectedisrandomlychosenamongtheavailable

alternatives.Howaminoritymightusethispropertytodirecttheselectionofaconvention

byaminorityisleftforfutureresearch.

Iftheinformalinstitutionsofthewhiteracialframearebehindtheresilienceofthe

“containmentplussprawl”strategythatproducesan“unevengeographyofopportunity,”

thenanytheorythatproposestoprovidesomeinsightintofundamentallychangingthat

geographymustalsoprovideinsightinhowtochangetheseinstitutions,whichimplies

describinghowtheyariseandbecomeprevalentinasociety.Weturnnexttoinstitutional

economicstouncoveritsinsightsonsuchmatters.

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OriginalInstitutionalEconomics

Toexplaininstitutionalracism,weneedatheorythatallowsforpurpose,

differentialpoweranddiscrimination.Tofigureouthowasmallgroupofindividualsmight

influencesocialchange,suchatheorymustexplainhowindividualagencyandsocial

structurecanbemutuallyconstitutive,whereagentsareinfluencedby,butcanalso

influence,socialrules.Theinspirationforsuchanagentcanbefound,notintheutility-

and/orprofit-maximizingagentofneoclassicaleconomics,butintheclassicaleconomic

thoughtofSmithandintheOriginalInstitutionalEconomics(OIE)ofVeblen,Dewey,and

Mead.

Veblenrecognizedthatrealhumanagentsareactive,purposeful.Forexample,

Veblen(1898)writes,

…itisthecharacteristicofmantodosomething,notsimplytosufferpleasuresandpainsthroughtheimpactofsuitableforces.Heisnotsimplyabundleofdesiresthataretobesaturatedbybeingplacedinthepathoftheforcesoftheenvironment,butratheracoherentstructureofpropensitiesandhabitswhichseeksrealisationandexpressioninanunfoldingactivity.…Theeconomiclifehistoryoftheindividualisacumulativeprocessofadaptationofmeanstoendsthatcumulativelychangeastheprocessgoeson,boththeagentandhisenvironmentbeingatanypointtheoutcomeofthelastprocess….Whatremainsashardandfastresidueisthefactofactivitydirectedtoanobjectiveend(pp.390-391).

Theseagentsareinherentlysocial.Indeed,theselfitselfisconsideredtobesocial.

Mead(2006a,pp.472-473),forexample,arguesthat,“Itisabsurdtolookatthemind

simplyfromthestandpointoftheindividualhumanorganism;for,althoughithasitsfocus

there,itisessentiallyasocialphenomenon.”Thisisbecause,“Theprocessesofexperience

37

whichthehumanbrainmakespossiblearemadepossibleonlyforagroupofinteracting

individuals:onlyforindividualorganismswhicharemembersofasociety;notforthe

individualorganisminisolationfromotherindividualorganisms.”Asaresult,“Theself,as

thatwhichcanbeanobjecttoitself,isessentiallyasocialstructure,anditarisesinsocial

experience.”

Therefore,theselfisemergent,constructedfromcontactwithothers.“Thus,the

childcanthinkabouthisconductasgoodorbadonlyashereactstohisownactsinthe

rememberedwordsofhisparents”(Mead,2006b,p.482).

Farfromconsideringwhatwasbestforthemalone,then,suchsocialagentsare

imbuedwithmoralsentiments.AsdescribedbyAdamSmith(2006),chiefamongthemis

sympathyfortheirfellows,orwhatwemightcallempathytoday.WhileSmithwouldallow

thatwecaremuchmoreaboutourlittlefingerthananearthquakeinChina,andthatwe

empathizewiththerichmorethanthepoor,nonetheless,Smiththoughtthatsympathy

providedthebasisformoralsentimentsthatcouldrestraintheselfishacquisitivenessof

unbridledcapitalism.Pre-datingMead,Smitharguesthatsympathyenablesustoimagine

ouractionsastheywouldbejudgedbyothers,andthisishowwecometolearnwhatis

goodandappropriate,andwhatisnot.Societyprovidesamirrorthat,“inthecountenance

andbehaviorofthoseheliveswith”anindividualcansee“theproprietyandimproprietyof

hisownpassions,thebeautyanddeformityofhisownmind”(Smith,2006,p.101).

Still,Smithworriedthatourselfishinterestswouldwinoutintheend.To

counteractthemrequiredsufficientcapacityforsympathytoimagineouractionsasthey

38

wouldbeviewed,notjustbyothers,butbythebestandwisestjudge,whathetermedthe

“impartialspectator.”AsSmithconsideredtheimplicationsoftheassertionabove,i.e.,

thatmostpeoplecaremuchmoreaboutlosingtheirownlittlefingerthanthelossof

millionsofChineselives,heasks:

Toprevent,therefore,thispaltrymisfortunetohimself,wouldamanofhumanitybewillingtosacrificethelivesofahundredmillionsofhisbrethren,providedhehadneverseenthem?Humannaturestartlesatthehorroratthethought…Butwhatmakesthisdifference?...Itisnotthesoftpowerofhumanity,itisnotthatfeeblesparkofbenevolencewhichNaturehaslightedupthehumanheartthatisthuscapableofcounteractingthestrongestimpulsesofself-love.Itisastrongerpower…Itisreason,principle,conscience,theinhabitantofthebreast,themanwithin,thegreatjudgeandarbiterofourconduct….Itisfromhimonlythatwelearnthereallittlenessofourselves…andthenaturalmisrepresentationsofself-lovecanbecorrectedonlybytheeyeofthisimpartialspectator.Itishewhoshowsustheproprietyofgenerosityandthedeformityofinjustice…(Smith,2006,pp.106-107)

Thus,assummarizedbyHeilbroner(2006),wemovefrommodesofbehavior

calculatedtowintheapprovalofotherstomore“idealizedmodes—themodesthanan

‘impartial’observerwouldfindfitting.Inthisway…weprogressfrommerelywishingtobe

praisedtobeingworthyofpraise…”(p.59,emphasisintheoriginal).

Veblen,however,sawaworldwherecapitalism’sacquisitivetendencieswere,in

fact,winning.Henonethelesstheorizedthathumannatureincludedinstinctsand

proclivitiesthatwerebothother-regardingandself-regarding.AsdescribedbyMcCormick

(2006),theother-regardinginstinctsincludedtheinstinctsof:

• “parentalbent,”bywhichVeblenmeantallthatpropelsustoleavetheworld

betterforfuturegenerations,notjustmotherscaringfortheirchildren,

39

• “idlecuriosity,”sothatbyengaginginexplorationforitsownsake,theknowledge

ofthecommunity,andindeedallofhumanity,isincreased.

• “workmanship,”themostimportantinstinctforeconomics,asitisworkmanship

thatspursmakingincreasinglyproductiveandefficientmeanstomeetends.

Theseinstinctswerecounterbalancedbyself-regardinginstincts,whichincludedthe

instinctsof:

• “self-preservation”—regardedasthestrongestoftheinstincts

• “emulation,”especially(echoingSmith),ofthosewithgreaterstatus.Inamodern

capitalist(aka,“pecuniary”)society,suchemulationoftengaverisetomaking

“invidiousdistinctions”wheresomepeople,orsomeclassesofpeople,arejudged

tobeworthmorethanothers.Thisjustifiedtheinstinctof…

• “predation,”theactualholdingdownorhurtingofothersinordertobenefit

oneselforone’ssocialgroup.

Tomodernears,callingtheseinstinctsseemsalittle“off,”andVeblenhimselfwas

uncomfortablewiththetermbutsimplycouldn’tfindabetterword.Nonetheless,modern

discoveriesdo,infact,providesomebiologicalbasisforseveralofVeblenianinstincts.

Forexample,theinstinctofemulationissupportedbythediscoveryofmirror

neuronsinthebrainsofprimatesthat“hardwire”theirbrainstomakeemulationofothers

easier(Rizzolatti2008).Theparentalbentinstinctappearstobeatleastpartlysupported

bythechemicaloxcytocin,inwhichbothmotherandchildarebathedingreatquantities

duringchildbirth.Ithasbeenfoundtopromotestrongfeelingsofempathyforothers(Zak

40

2012).Interestingly,whileoxytocinengendersincreasedempathyforthoseinone’sown

group,italsoincreasesthepropensitytotreatthoseinanoutgroupunfairly,perhaps

simultaneouslyprovidingabiologicalbasisfortheinstinctofpredationaswellasparental

bent(Pfeiffer2013).

Inasimilarfashion,theYaleInfantCognitionCenter(Bloom2010)findsthatinfants

andtoddlersaresignificantlymoreattractedtoagentswhoarehelpfulthanarehurtful,

alsosupportingtheideaofanaturalpropensitytoempathizewithothers.Atthesame

time,though,theydesiretopunishthosewhosepreferences(evenforsimplefoodchoices

suchcheeriosorcrackers)aredifferentfromtheirown,showingtheyarealreadycapable

ofmaking“invidiousdistinctions”concerningwhohasgreaterworthandawillingnessto

supportpredationofthoseconsidered“other.”

Whilethesedon’tprovetheexistenceofVeblenianinstinctsasVeblenconceived

them,hisprimaryassertion—thatweareallheirstoacommonhumannaturethat

containssometimesconflictingpropensitiestoactbothinself-interestandinthe

community’sinterest—ringstrue.

WhileVeblenunderstoodcommoninstinctstomotivatebehavior,theydidnot

determineit.Howeachindividualexpressedthoseinstinctsdependeduponhisorher

habits.AccordingtoDewey(1922/1988),“Repetitionisinnosensetheessenceofhabit.…

Theessenceofhabitisanacquiredpredispositiontowaysormodesofresponse…”(p.17,

emphasisintheoriginal).Assuch,habitsarealwaysactive,evenwhentheyarenot

currentlybeingemployed.Theystandreadytoengagewheneverthesituationwarrants.

41

Itisatthelevelofhabitsthattheindividualandsocietywerejoined.Notably,as

explainedbyDewey(1922/1988),habitsaren’tsimplygiven—agentsareactiveparticipants

inacquiringhabitsthatfavortheirsurvivingandthriving.Butneitherarehabitsfreely

chosen,becausetheyareacquiredwithinaparticularsocialandphysicalenvironment—“a

societyorsomespecificgroupoffellow-menisalwaysanaccessorybeforeandafterthe

fact”(p.16).Farfrombeingbad,mosthabitsareconstructiveinthattheyallowusto

navigatetheworldandsatisfyourindividualandsocialneeds.AsDeweysays,“Thetruthis

ineverywakingmoment,thecompletebalanceoftheorganismanditsenvironmentis

constantlyinterferedwithandasconstantlyrestored”(p.125).Habitsarewhateffectthis

constantrestoration.

Deweycallshabits“arts,”inthesensethattheyaretheproductofpracticeand

adaptationtopastexperience,resultinginsufficientmasterytoachieveendswehavein

view.Thebesthabitsareintelligentratherthanroutine,infusedwiththoughtandfeeling

ratherthanmechanicalbehaviors,similartothedifferencebetweenanartist’sworkvs.a

meretechnician.Whenhabitsareintelligent,theybecomemoreratherthanlessflexible,

moreratherthanlessadjustabletonewcircumstances.Asourhabitscombineand

interact,theinterpenetrationofhabitsgovernshowwebehave,whatweperceiveand

howwethink.AccordingtoDewey,weareourhabits;theydefineourcharacter.Assuch,

theyaremorefundamentaltoourselvesthanourconsciousthoughts.

Thatagentsarecomposedoflearnedhabitsandpropelledbyinstinctstocarefor

boththemselvesandothersleadstocomplexagentsinvolvedincomplexrelationshipswith

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others.Inspiteofthatcomplexity,orperhapsbecauseofit,theresultisacommunityof

agentswhosharecertainwaysofthinkinganddoing.Such“prevalenthabitsofthought”

canbedefinedasinstitutions,accordingtoVeblen(1899,p.88),thedevelopmentofsuch

institutionsbeingthedevelopmentofsociety.Thefactthatindividualsarebornintoa

societyandthatindividualhabitsarelearnedwithinthecontextofprevalenthabitsof

thoughtmakeinstitutionsdominantorcoerciveoverthelivesofindividuals.AsDewey

(1922/1988)sayswithrespecttotheinstitutionoflanguage,

Thereisnomiracleinthefactthatifachildlearnsanylanguagehelearnsthelanguagethatthoseabouthimspeakandteach,especiallysincehisabilitytospeakthatlanguageisapre-conditionofhisenteringintoeffectiveconnectionwiththem,makingwantsknownandgettingthemsatisfied(p.43).

Habits,whetherindividualorcollectiveintheformofinstitutions,represent

adaptionstopastconditions.“Habitsbecomenegativelimitsbecausetheyarefirstpositive

agencies”(Dewey,1922/1988p.122).Therefore,inaconstantlychangingworld,theymay

notrepresentthebestadaptationstocurrentconditions.Oftenthissurfacesasahabitthat

isdeniedcompletionoraconflictbetweenhabits.Theresultingfrustrationorconflictthen

“releasesimpulsiveactivitieswhichintheirmanifestationrequireamodificationofhabit,

ofcustomandconvention”(Dewey,1922/1988,p.62).Suchimpulsesareoutburstsof

emotionalenergythatmakeareorganizationofhabitandcustompossible.Indeed,

becauseconflictbetweenhabitsstopstheircompletion,itiswhatmakesrealchoice,

consciouschoice,freechoicepossible.AsDewey(1922/1988)remarks,

Conflictisthegadflyofthought.Itstirsustoobservationandmemory.Itinstigatesinvention.Itshocksusoutofsheep-likepassivity,andsetsusatnotingandcontriving…conflictisthesinequanonofreflectionandingenuity(p.207).

43

Butthethoughtrequiredisofaspecialkind,accordingtoDewey—deliberation:

…deliberationisadramaticrehearsal(inimagination)ofvariouscompetingpossiblelinesofaction.…anexperimentinfindingoutwhatthevariouslinesofpossibleactionarereallylike.…Eachconflictinghabitandimpulsetakesitsturninprojectingitselfuponthescreenofimagination.…Inthoughtaswellasinovertaction,theobjectsexperiencedinfollowingoutacourseofactionattract,repel,satisfy,annoy,promoteandretard.Thusdeliberationproceeds.Tosaythatatlastitceasesistosaythatchoice,decision,takesplace(pp.132-134).

Byconsideringallthepossiblelinesofactionandreaction,thisallowsthe

applicationofthenecessaryintelligenceharmonizecompetingtendenciesandreunify

habitssotheysupportthelifeofthecommunity,andinthisway,becomemoral.

Itisnotclearthatsuchanintrospectiveprocesscansuccessfullyeffectsocial

change,however.Whensystemsarecomplex,peoplecan’taccuratelypredictmorethana

fewstepsaheadbeforeunanticipatedreactionsandfeedbackoverwhelmourlimited

cognitivecapacity(Senge1990,p.365).Moreover,thereisstillaquestionastohowthe

reunifiedhabitsresultingfromsuchadeliberativeprocessspreadtothelargersociety.

WhileDeweyadmittedconflictatthelevelofhabit,hepresentstheconflictashappening

mostlywithintheindividual.Whilethedeliberativeprocessissocial,asareallprocessesof

inquiry,thatprocessispresentedasoccurringconsensuallysothatonceasolutionis

achieved,itisimmediatelysharedbyall.Inlargepart,thisisbecauseDewey’smodelof

socialchangeisprincipallytoencourageindividualstolearnmoreintelligentandflexible

habits,habitsthatcanbemoreeasilyadjustedwhenitiscleartheyarenolongerwell-

adaptedtothepresentsituation.“Notconventionbutstupidandrigidconventionisthe

44

foe”(Dewey,1922/1988,p.115).Thus,forDewey,themostimportanthabitwasthehabit

oflearning,forthisiswhatallowshabitstobecomemoreintelligentovertime.

ThisisnottosaythatDeweydidn’tseeconflictarisingatthelevelofinstitutions,

buttoalargedegreesuchconflictsweretriggeredbyimpersonalforces,perhapsmaking

themmoreamenabletointelligentadjustment.

War,commerce,travel,communication,contactwiththethoughtsanddesiresofotherclasses,newinventionsinproductiveindustry,disturbthesettleddistributionofcustoms(pp.58-59).

Thesignificantpointis…whetherintelligentdirectionmaymodulatetheharshnessofconflict,andturntheelementsofdisintegrationintoaconstructivesynthesis(p.90).

Veblen,ontheotherhand,sawconflictsbeingcreatedbyagentswithpurpose.Asa

result,whatmightbegoodforthelifeprocessofthecommunitycouldbeactivelyopposed

bythewealthy.Theirresourcesmeantheyareshelteredfromchangesinthecurrent

environmentthatothersexperience.Hence,theirhabitsneednotadapt.“Themembersof

thewealthyclassdonotyieldtothedemandforinnovationasreadilyasothermen

becausetheyarenotconstrainedtodoso”(Veblen,1899,p.92).Moreover,membersof

thisclasshavetheabilitytorestricttheresourcesavailabletothelowerclassesandso

“makethemincapableoftheeffortrequiredforthelearningandadoptionofnewhabitsof

thought”necessarytodemandprogress(p.94).Asaresult,Veblenviewswhathecalls“the

propertiedclass”asbeing“ofaparasiticcharacter,andtheirinterestistodivertwhat

substancetheymaytotheirownuse,andtoretainwhateverisundertheirhand”(p.96).

Inthisway,whilethewealthywerenotimmunefromtheimmenseforcesofeconomic

changebroughtbytheIndustrialRevolutionandMachineAgethathewasconsidering—

45

factories,electricity,automobiles—theycouldnonethelessturnthesechangestotheirown

account.

Veblenwasclearthatinstitutionsmustchangeasconditionschange,andthatthey

changethroughanevolutionaryprocessthat,inpart,employedindividualsasasourceof

variationuponwhichnaturalselectioncouldoperate.Butprincipally,heviewedthe

evolutionofinstitutionsbeingcarriedoutatthelevelofinstitutionsandwasneververy

clearabouthowthismightcomeabout.

Foster(1981),however,morefullyfollowsDewey’sconceptionthatinstitutional

changeisinitiatedbyindividualswho,themselves,aremembersoftheinstitution.Foster

assertsthat“solving[social]problemsrequireschoosingrationallyamongalternatives”(p.

929),whichimpliesthereareconsciouschoosersplayingaprincipalrole,notsimply

impersonalforcesofevolutionandchange.ForFoster,rationalchoicemeansmuchmore

thanmaximizingindividualself-interest,thestandardinneoclassicaleconomics.Rather,

rationalalternativesarethosethat“actuallyresolvetheproblematicsituation”(p.929).

Sucharesolutionresultsinanimprovementin“instrumentalefficiency,”definedasmaking

acontributionto“thefullnessandthecontinuityofthesocialprocess”(p.930).Thus,for

Foster,arationalchoiceisonethatisconsistentwiththesocial,notindividual,interest.

As“answerstosocialproblemsnecessarilytaketheformofinstitutional

adjustments”(p.931),Fosterproposesthreegeneralprinciplesforsuchadjustments.The

first,“technologicaldetermination,”echoesVeblenthattheinstitutionsoftodayarethe

resultofsuccessfuladaptationstotheconditionsofyesterday.However,theadvanceof

46

humanknow-how—technology—advancesfasterthanourhabitscanchange.Asaresult,

morebecomespossiblethanourcurrentinstitutionsallow,andthisisthesourceofmost

socialproblems,accordingtoFoster.Consequently,socialproblemscanonlybesolvedby

adjustinginstitutionsuntiltheyarebettersynchronizedwiththestateofhuman

knowledge,whatFostercallsbringingthemintoan“instrumentallyefficientcorrelation”

(p.932).

Thesecondprinciple,“recognizedinterdependence,”suggeststhatinstitutional

adjustmentishardbecauseitconflictswiththeexistinghabitualbehaviorofthemembers

oftheinstitution.Todepartfromthesehabits,

…requiresadeliberatechoicebemadeamongthepossiblealternativesrecognizedbythosewhomustaltertheirbehavior.Anewpatternofbehaviorrequiresthatthebehaviorbe“directed”initsinitiation.Itbecomeshabitualthroughrepetition,butitsinitialperformancerequiresconsciousdirection.…[A]lladjustments,andthereforethewholeofinstitutionalstructure,arespecifiedatinitiation…Patternsofhumanrelationshipthatwecallinstitutionsare“madeupof”habitualactionsandattitudes,buttheyarenotdeterminedbyhabit.Theirdeterminationisamatterofdeliberateandguidedaction.Thehabituationfollows;itdoesnotprecede(p.933).

WhatismostremarkablehereisFoster’sbeliefinthepowerofdeliberatechoiceto

changeinstitutionalstructure—thewholeofinstitutionalstructureisdeterminedbysucha

choice.

Thethirdprincipleofinstitutionaladjustmentisthatof“minimaldislocation.”

Institutionscanonlychangesofarsofast.Foranadjustmenttosurvive,itmustbe

incorporatedintothepre-existinginstitutionswhileatthesametime,improving

instrumentalefficiency.Moreimportantly,potentialadjustmentsmustbecomprehended

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bythoseinvolvedassolvingaproblemwhile,atthesametime,“notdoviolencetothe

factorsnotconsideredproblematic”(p.934).

Fostersummarizeshisprinciplesasfollows:Thefirstprincipledisclosesthegap

between“whatis”and“whatshouldbe”toidentifypotentialcoursesofadjustment.The

secondprinciplethendiscloseswhatshouldbedonefromthepointofviewofthepersons

involved,aswellastheprobabilityofsuchachoicebeingmade.Thethirdprincipledefines

whatcanbedone.

Itisthesecondprinciplethatseems,atbest,incomplete.EvenDeweydidnotput

thismuchfaithindeliberatechoice.Whileintelligentdeliberationmayilluminateabetter

path,Deweyfeltthatchanginghabitsrequiremuchmorethansimplydecidingtodo

somethingdifferent.Itrequiredchangingobjectiveconditionsandcreatingawholenew

setofcapacitiesthat,throughtheirexercise,wouldchangehabitualmodesofthinkingof

andacting(1922/1988,pp.23-29).Foster’sprinciplesdonotadequatelyaddresshowto

changeobjectiveconditions,determinewhichcapacitiesneedimprovingandgarnerthe

resourcesnecessarytodoso.

Equallyimportant,thesecondprincipleglossesoverthefactthatthe“persons

involved”mightbeonoppositeendsofthesituationandsohaveconflictingpointsofview,

conflictingperceptionsoftheproblemtobesolvedorevenwhetherthereisaproblemto

besolved.Itisnotatallclearhowconflictsoverwhat“shouldbedone”areresolvedin

Foster’sschema.

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Ingeneral,thereisnotenoughinOIEtofigureouthowtopurposefullydirect

institutionalchangeinasociallydesirabledirection—amoraldirection,touseDewey’s

term.IntheOIEtradition,technologyisseenasthemostpowerfulforceforinstitutional

evolution;yet,thepastcenturyhasseenunprecedentedtechnicalchangewithout

changingthefactofinstitutionalracism.Infact,widespreadadoptionofautomotive

technologyhasbeenthechiefinstrumentofthesprawlcomponentofthe“containment

plussprawl”institution.Socialchanges,suchasthecivilrightsmovementandtheits

accompanyinganti-discriminationlawsgoverninghousingandhiringhavealsobeenshown

tobeinsufficienttoeliminateinstitutionalracism,asunderlying“habitsofthought”

reassertthemselvesafteratime.

Deweypredictedasmuch:

Asocialrevolutionmayeffectabruptanddeepalterationsinexternalcustoms,inlegalandpoliticalinstitutions.Butthehabitsthatarebehindtheseinstitutionsandthathave,willynilly,beenshapedbyobjectiveconditions,thehabitsofthoughtandfeeling,arenotsoeasilymodified(1922/1988,p.77).

Ifthesocialandtechnologicalchangesthusfarhavebeeninsufficientto

substantiallyreducetheincidenceofinstitutionalracism,thenwhatelseisneeded?What

aretheevolutionarypathsthatwouldeliminateit,andhowcansocietybemovedonto

them?

ItisassertedherethatprogresscanbemadebyaugmentingOIEwithatheorythat

offersafullerexplanationhow“prevalenthabitsofthought”becomebothhabitsand

prevalent.AkeyturnsouttobeupdatingOIE’stheoryofindividualpsychologyandthen

showinghowthisupdatedtheorycanbeextendedintothesocialrealmtomorefully

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explaininstitutionformationandchange.Thatupdatedpsychology,PerceptualControl

Theoryisdescribedinthenextsection.

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PerceptualControlTheory

PCTBasics

PerceptualControlTheory(PCT)wasdevelopedbyWilliamPowers,andhis1973

book,Behavior:TheControlofPerception,isstillconsideredtobethemostcomplete

explanationofit.PCTisbasedaroundtheideathatalllivingthingshavepurposes,1suchas

self-preservation,andhavelearnedovertimehowtocontroltheirinteractionswiththeir

environmenttoachievethem.Iftheydonot,theydie.Evenlowlybacteriasensefood

gradientsandknowtoswimtowardhigherconcentrationsinordertoobtainsufficient

energytoreproduce.

Thehallmarkoftheseinteractionsisthenegativefeedbackloop.Suchloopsactto

maintainsomereferencecondition.Forexample,mybloodsugardropsandIfeelhungry.I

eatuntilIamnolongerhungry,andmybloodsugarrisesandthenstabilizesatits“normal”

value.Similarly,homeostasismaintainsnormalbodytemperaturebycausingsweating

whenIamhotandshiveringwhenIamcold.

Figure1,reproducedfromPowers,Abbot,Carey,Goldstein,Mansel,Marken,

Nevin,RoberstonandTaylor(2011),describesthebasicstructureofacontrolsystemmore

formally:

1ThisisincontradistinctiontoDewey(1922/1988),whoarguesthatonlypeoplearecapableofhavingmotives.

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Figure1.Abasicperceptualcontrolsystemunit.FigureandcaptionreproducedfromPowers,etal.(2011),withpermissionfromBenchmarkPublicationsInc,allrightsreserved,BloomfieldNewJersey07003.Thereferenceto“LCS3Programs”inthecaptionarethoseprovidedontheCDthataccompaniesPowers(2008).

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Inthisdiagram,theexternalenvironmentisperceivedviaaperceptualinput

function(e.g.thatcaraheadofmeisgettingcloser).Thisperceptiongeneratesasignalthat

iscomparedtoareferencesignalretrievedfrommemory(thisishowacarlookswhenIam

followingatasafedistance).Ifthereisanerrorsignalgenerated(thatcaristooclose),an

outputfunctiontranslatesthisintoactions(quitpressingthefootongasandstartpressing

thefootonbrake)thatproduceaneffectontheexternalenvironment(thecarslows

down).Thisfeedbackfromtheexternalenvironmentisthenperceivedbytheinput

function,whichagaingeneratesasignalthatcanbecomparedtothereference.This

continuesuntiltheperceptioniscloseenoughtothereferencethatnoerrorisgenerated.

Withoutanerrorsignal,theoutputfunctiontoslowthecarceases,buttheloopisstill

switchedtothe“on”position.Thatis,eveninconditionsthatsatisfythereference,the

controlsystemcontinuestoperceivetheenvironmentandmeasurethoseperceptions

againstthestoredreference.Iftheerrorreoccurs,theoutputfunctionresumes.

Mathematically,asimplecontrolsystemcanberepresentedbythefollowing

systemoflinearequations,asdescribedinPowers,etal.(2011):

(1)p=KiQi—inputfunction

(2)e=r-p—comparator

(3)Qo=Koe—outputfunction

(4)Qi=KfQo+KdD—feedbackanddisturbancefunctions

wherep=perceptualsignal,r=referencesignal,e=errorsignal,Qi=input

quantity,Qo=outputquantity,D=disturbance,andKineachcase(Ki,Ko,Kf,Kd)isa

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constantconvertingamountofinputtoamountofoutputateachoftheindicatedpointsin

theloop.

AccordingtoPCT,allbehaviorcanbeunderstoodintermsofsuchcontrolsystems.

Wehavereferences.Someofthesearegiven(Powerscallsthem“intrinsic”,though

“essential”and“critical”arealsosometimesused),especiallythosethatrelatedirectlyto

theorganism’ssurvival.Butmostarelearnedovertimeandeventheintrinsicreferences

arenotcompletelyfixedandunchanging(e.g.,thereislikelyanintrinsicreferencefor

hungerbutthelevelofhungerthattriggersanerroris,tosomeextent,learned).Behavior

iswhatwedo,anoutput,butitisnotwhatweaimtocontrol.Rather,wealterour

behaviorinanattempttocontroltheworldtoaccomplishourpurposes/satisfyour

references.However,wedon’thaveunmediatedaccesstotherealworld;allweknoware

ourperceptionsofit.2Hence,behaviorissimplyabyproductofcontrollingourperceptions

tomatchourreferences.Whilewethinkofourselvesascontrollingoutputs—i.e.,actions—

PCThasdemonstratedusingbothcomputersimulations(Powers,2008)andrepeated

experimentsonindividuals(seeforexample,therubberbandexperimentdescribedin

Powers,2005,pp.243-45)thatwe,infact,controlourinputs—i.e.,ourperceptions.

Behavioristhusflexiblewhilethepurposeofthatbehaviorismorestable.Behavior

mustbeflexiblebecausetheworldisadynamicplaceanddifferentconditionsrequire

differentactionstomaintainperceptionsnearreferences.Inthecaseofhunger,Iseek2NotethatthisisconsistentwiththemodestrealismofclassicalpragmatistssuchasPeirceandDewey,describedinWebb(2007)as“small‘r’realism.”Inthehungerexampleabove,Idon’thaveaccesstothereal-worldtriggerofhunger,i.e.,changesinbloodsugar.IamonlyabletoperceiveanuncomfortablesensationinmybellythatIhavefoundthroughexperiencetheactofeatingrelieves.

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food.ButhowIdoitdependsonavarietyoffactors,includingwhereIamwhenIrecognize

thatIamhungry,howstrongthesensationofhungeris,wherefoodis,whatfoodchoices

areavailable,howmuchenergyIhave,modesoftransportationavailable,theavailability

ofakitchen,etc.Ifoneofthesethingschanges,mybehaviorchanges,butIstillmanageto

findawaytoeat.Istillfindawaytorestoremyperceptionofhungertoitsreferencelevel

(i.e.,zero,whichmeansIamnothungry).

Seenfromthisperspective,muchofeconomicscanbeunderstoodassimply

behaviorundertakentocontroltheamountoffoodonthetable(andmeetotherbasic

materialneedsforwater,clothing,shelter).

AccordingtoPCT,controlsystemsinhumanagentsarefunctionallyarrangedina

hierarchy.Thelevelsofthishierarchyarenotsetinstone,moreillustrativethandefinitive,

buttheyprovideaframeworkforunderstandinghowhigher-levelperceptionsare

constructedfromlower-levelones,yetallowformultiplelevelstobeexperiencedatonce.

Thelatestversionoftheselevels(Powers,2008)areasfollows:

1. Intensities—Thesearetheresultsofstimulatednerveendings.Whatisperceivedis

onlythequantityofstimulation,notthequalityofit.Intensitiesarethe

representationweperceiveofhowmuchorlittlelight,sound,pressure,smell,etc.

weareexperiencing.

2. Sensations—Atthislevel,thevectorofintensitiesistransformedintovarying

qualitiesofperception.Forexample,thevectorofstimulationtotheconesofthe

eyetransformlightanddarkintoedges,thevectorofstimulationtotherodsofthe

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eyeistransformedintocolors.Inthesameway,thevectorofauralintensitiesare

transformedintotone,pitch,andtimber,whilethevectoroftasteintensitiesis

transformedintosweet,sour,etc.

3. Objects/configurations—Thevectorofsensationsisorganizedatthislevelinto

stable,recognizablegroups.

4. Transitions—Howweexperiencesmallchangesinourperceptionofobjectsas

motion(asinframesofamovie)ormovementfromonestatetoanother(asfrom

coldertowarmer)

5. Events—Similartoobjectsinthatthereisstableconfigurationofasinglething,but

aneventincludestheelementoftimeinadditiontospace.Theamountoftimeis

sufficientlyshortsothattheperceptionisstillofasinglethingatasinglemoment,

likethespeakingofaword,thebounceofaball,theopeningofadoor.

6. Relationships—Theperceptionofhowmultiplesinglethings,whetherobjectsor

events,comparetoeachother,particularlywhentherelationshipisstable.For

example,thisisapartofthat,orbiggerthanthat,orwhenthisgoesup,thatgoes

down.

7. Categories—Theperceptionsofthingswithstablerelationshipsasbeingpartofa

stablegroupofobjectsorevents.Suchcategoriescanthensymbolize,standfor,

wholegroupsofperceptionsthatuptothislevelhavebeenindividualandunique.

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8. Sequences—Essentiallyanextensionofeventsandrelationships,thisisthe

perceptionoftheorderofperceptionsandthattheorderinwhichthingsare

perceivedcanmatter.

9. Programs—Thisistheperceptionofasequenceofsequencesneededtoaccomplish

agivenpurpose.Logicappearsatthislevelbecausethesequenceofsequencesmay

varywithvariationintheexternalenvironment,requiringtestsatdecision-points

alongtheway.

10. Principles—Theseprovidetheobjectivesoftheprograms,anddeterminewhat

decisionsaretobemadeandhowthetestsshouldbeevaluated.Infact,which

programtorunandhowitisrunisselectedtosupportperceivedprinciples.

11. Systemconcepts—Thisistheperceptionofagroupofprinciplesasacoherent

whole,aworldview.Principlesareselectedinsupportofthisworldview.

Eachlevelhasitsownperceptualfunction.Atthelowestlevelaresensesthat

interactwiththerealworld.Theseare,insomeway,aggregatedtoproduceintensities.

Intensitiesare,insomeway,aggregatedtoproducesensations,whichareaggregatedin

somewaytoproduceconfigurations,whichareaggregatedinsomewaytoproduce

transitionsormotions,etc.Thekeyphraseis“insomeway.”Powersadmitsthatexactly

howthebraincreatesperceptionsfromcombiningthingslikewavelengthsoflightand

soundwithitsownoutputsis,atthispointinourunderstanding,“magic.”Currentmodels

basedonPCTthereforeusehighlysimplifiedperceptualfunctions,thoughmoreadvanced

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modelsofperceptioncanbeincorporatedintoPCTastheyaredevelopedby

neuroscientists.

Someofthesecretsbehindthe“magic”ofperceptionmay,indeed,beinthe

processofbeingrevealed.Forexample,themoreadvancedcomputermodelsofvisual

perceptioncurrentlybeingdevelopedforimageandfacerecognition,infact,employ

simulatedneuralnetworkswherehigher-levelperceptionsareconstructedfromlower

levelperceptionsarrangedinahierarchy.Lee,Grosse,Ranganath,andNg(2009)developa

convolutionaldeepbeliefnetworkthat,shownnothingbutunsupervisedimagesdrawn

fromtheInternet,firstcombinespixelintensitiestolearnedges,thencombinesedgesto

detectfeatureparts(suchasthelefteye,righteyebrow,noseormouthofaface),and

finallycombinesfeaturepartstoperceivewholefeatures,whethertheybefaces,carsor

elephants.Whilesuchdetectionandrecognitionstopsatthelevelofconfigurationsin

Powers’hierarchy,Lee,GrossRanganathandNgprovideaproofofPowers’concept,

developedfourdecadesearlier,thatverylow-levelperceptionsarrangedproperlyina

hierarchycanproducethekindsofhigher-levelperceptionsthathumansmostoften

consciouslyandeffortlesslyperceive.

Theseperceptionsprovidethebasisforformingreferences.Eachcontrolsystem

hasareference.Exceptforthosethatareintrinsic,allreferencesarelearnedthrough

interactionswiththephysicalandsocialenvironment.Whilenotallperceptionsare

controlled,ahugenumberare—thephonemesoflanguage,thesmellsoffoods,thesound

ofvoices—anythingthatif,uponexperiencinganunusualvariationofit,causesafeeling

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thatsomething’snotquiteright.Thatfeelingimpliesareferencehadbeenpreviously

createdandwithitanaccompanyingcontrolsystem.

Areferenceissimplyastoredperception.Whatisstoredasareference,though,is

itselftheproductofaprocessoflearningwhatisessentialaboutasensation,object,event,

sequenceorconcept.Formostreferences,thisboilsdowntodiscoveringwhatisinvariant

uponrepeatedexperiences.This,too,isconsonantwithcurrentneuroscienceas

perceptionitselfisaproductof“Firetogether,wiretogether.Outofsync,loseyourlink,”

accordingtoCarlaSchatz,DirectorofStanfordBio-X,amulti-disciplinaryresearchlab

(Adams2014).However,explicitteachingofonepersonbyanothermaybeusedtospeed

thelearningofreferences.Suchteachingmay,infact,benecessaryforlearningreferences

atthehighestlevelsofthehierarchy.Yet,thatthelessonsofexperienceoftenseem

deeper,morefundamentalandlongerlastingthanthoselearnedthroughinstructionalone

indicatethepowerthatperceptionslearnedoveralongperiodoftimeholdoverrational

thought.

Evenafterlearning,itisimportanttorealizethatreferencesaren’tfixedovertime.

Thisisbecause,exceptforthelowestlevelofthehierarchy(whichgenerallyaffectthe

musculartensionsnecessarytochangesomethingintheenvironment),theoutput

functionsofhigher-levelcontrolsystemsprimarilyworktoadjustthereferencesforlower

levels.3

3Presumably,outputfunctionsmightalsoaffectparametersofalower-levelperceptualinputfunctiontoadjusttheaspectsoftheenvironmenttowhichitismostsensitive,orchangethegainofalowerlevelcontrolsystemsoastoincreaseordecreasethetolerance

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Forexample,itisattheconfigurationlevelthatIhavelearnedwhatconstitutesa

safedistancetofollowacar,givenmyvehicle’scurrentrateofspeed.Ifthatdistance

shortensandIrecognizeIamnowtooclosetothecarinfrontofme,theoutputfromthat

leveldirectsachangeinthereferenceatthesensationleveltochangetheangleofmyfoot

andatintensityleveltoproduceareducedpressureofmyfootonthegaspedal.The

outputfromthatlevelthencreatesmuscletensionthatcausesthefrontofmyfoottolift

up.Theenvironmentchangesbytheacceleratorpedalmovingupandthecarslowing.This

isperceivedattheconfigurationlevelasthedistanceincreasingbetweenthecarahead

andme.ThiscontinuesuntilIperceivethecarisnowagainatasafedistanceandtheerror

betweenperceptionandreferencegoestozero.Atthispoint,thehigherlevelloopthatis

directingwherewearetryingtogo(thesequenceleveldirectingmetowork,forexample)

takesoverandadjuststheappropriatereferencesinreversetostoptheslowingofthe

vehicleandinsteadresumeapacethatmatchesthecarsaroundme.

Thebeautyofthissystemisthathigherlevelsystemsdon’ttelltheloweroneswhat

todo,butwhattoperceive.Thelowerlevelsystemsthenactinwhateverwaysare

necessarytheproducethoseperceptions,giventheconditionsoftheenvironmentatthat

time(Powers,1998-2010pp.38-40).AsPowerssays,“allbehaviorconsistsofreproducing

pastperceptions”(Powers,1973/2005,p.219,emphasisintheoriginal).

Ifoutputfromhigherlevelloopslargelyworkstocontrolthereferencesforlower

levelloops,whatthencontrolsthereferencesforthehighestlevelsofthehierarchy?Here

oferrorinthatsystem.PCTmodelsthatusetheseadditionalavenuesofoutputcontrolarerareintheliterature,however.

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PowersprovidesaveryVebleniananswer.Thechoiceofsystemconceptsisatleast

partiallydrivenbyinstincts(Powers,1973/2005,p.174)!Farfrombeinglower-levelorbase

instincts,theinstinctsPowershasinmindoperateatthehighestlevels,includingthe

instincttobeconnectedtoothersandpartofagroup.TheparalleltoVeblen’sinstinctsof

parentalbentandemulationisreadilyapparent.

ForPowers,socialstructures,suchassocietyandculture,aren’tinthephysical

realityofhumanexistence,butinthepsychologicalrealityproducedbyperceptionsof

configurations(groups),relationshipsandsystemconcepts.Yetthisdoesnotmakesociety

andcultureanylessreal.ALLweknow,ALLthatisrealforhumans,isperception.This

includesour“knowledge”ofphysicalconceptssuchasmass,energyandforce.Wecan’t

standoutsideourbrainstofindatruer,objectivereality.Thesearchforreferencesis,in

essence,thesearchforwarrantedknowledge—thatwhichisinvariantunderawiderange

(thoughperhapsnotall)conditions.

Powersalsoacknowledgesthatconceptsmayalsobedrivenbymemory—thatis,by

whatconceptshavebeenmostoftenencountered(Powers,1973/2005,p.175).Butthe

contentandfrequencyofsuchencountersaredeterminedbythegrouporgroupsofwhich

oneisapart,i.e.,bythelargersociety.So,atthehighestlevels,thismodelofwhatgoes

insideanindividual’sbrainopensuptobeingdrivenbyacombinationofinstinctsand

experiencedsocialinteractions.

ItisofthesehigherlevelsthatPeirceandDeweywrotemost.AsdescribedbyWebb

(2007),PeirceandDeweywereconcernedwiththebasisforknowingwhichconceptswere

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warrantedandthoughtthiscouldbedecidedbytakinganexperimentalistapproachto

inquiry.Theinquiryprocessbeginswithanirritating,disturbedorotherwiseuncomfortable

(Dewey’swordis“indeterminate”)situation—anerror,inPCTterms.Thisisfeltasan

existentialimbalanceakintohunger.Suchanimbalanceinitiatesasearchforasolution

thatbringsthediscomforttoanend,thatis,wherewhatisdiscoveredduringtheinquiry

processisre-integratedwithwhatwasknownbeforesothatthesituationagainbecomes

determinate.FromaPCTperspective,then,thewholeinquiryprocessisoneofusing

intelligencetoreorganizeacontrolsystem,aprocessthatendswhentheerroris

eliminatedandthereferenceforexperiencingadeterminatesituationisre-achieved.

Becausehigherlevelsworkthroughlowerlevels,itmustmeanthatreferencesat

higherlevelsaremorestablethanreferencesatlowerlevels.Hencewearemorelikelyto

beawareof,consciousof,higher-levelreferences.Equivalently,forthehierarchyitselfto

bestable,controlsystemsathigherlevelsmustoperateataslowerspeedthanthoseat

lowerlevels.Indeed,Powerssaysthatlowerlevelsmustcompletetheirresponsetoa

disturbancebeforehigherlevelsevenbegin(Powers,1973/2005,p.247).Errorsaresensed

andhandledatlowerlevelspossiblesoquicklytheyaren’tevennoticedbythehigher-level

systems.4Errorsareonlysensedbyhigher-levelsystemsiftheyaren’tresolvedatalower

level.

4NotethatthisisverysimilarinconcepttoKahneman’s(2011)System1(lowerlevel,fast)andSystem2(higherlevel,slow),thoughwiththefinergradationofferedbyasystemin11levelsratherthantwo.Higherlevelsdon’tevenperceivetheerrorsthatlowerlevelsdo,whichpreventshigherlevelmanipulationoflowerlevelreferencesfromcausingviolentoscillationsastheyreacttooslowlytoconditionsthathavesincechanged.

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Sometimeserrorisnotwell-controlled,however.Thismightarisewhensomething

noveloccursandourcontrolsystemsarenotwelladaptedtoit.AsDeweymightsay,the

novelelementpreventsthesuccessfulcompletionofpriorestablishedhabits.ForDewey,

thisthwartingofhabitproducesanimpulsiveenergytodosomethingtofixthesituation.

SimilarlyforPowers,acontrolsystemerrorgivesrisetoafeelingthatsomethingiswrong,

whichinturnproducesanemotionsuchasangerorfearorsadness.Iftheerrorisin

somethingimportanttotheagent—alargeandpersistenterrorinanintrinsicvariable—

controlsystemsundergowhatPowersterms“reorganization.”

Inessence,reorganizationishowcontrolsystemslearn.Itislearningatitsmost

fundamental,atthelevelofthe“wiring”or“programming”ofthesystem,changingwhat

functionsitcanperform.“Itchangestheparametersofbehavior,notthecontent

…permittingaccomplishingoldendsinnewwaysandaccomplishingnewendsthatwere

formerlyimpossible”(Powers,2005/1973,p.181).

Reorganizationisconductedusinganevolutionaryprocessbywhichtheparameters

ofacontrolsystemarechangedrandomlyuntilachangeisfoundthatsuccessfullyreduces

error.Suchasuccessfulchangealsodefinesadirectionofchangefromthepriorvalues.

Thatdirectionofchangeintheparametersisthenmaintained,nottheirspecificlevels.The

parameterscontinuetochangeinthebeneficialdirectionuntiltheerroronceagaingrows

worse,inwhichcasethecontrolsysteminitiatesanewrandomsearchuntilanother

directionisfoundthatreducestheerror.Powerscallsthisprocess“E.colireorganization”,

aftertheprocessbywhichthebacteriaswimsupafoodgradientuntilthegradient

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declines,thenrepeatedlytumblestoswiminrandomdirectionsuntilitfindsanotherone

wherethefoodgradientisagainrising.Whenerrorisdrivenbackdowntotolerablylow

levels,reorganizationstopsandcontrolsystemsaremaintainedintheircurrentstatefrom

thatpointforward—unlesssomethingelseagaincreateslargeintrinsicerror.

Forsimplicity,Powersmodelsthereorganizationsystemasonethatsitsofftothe

side,independentofthelearnedhierarchyofcontrolsystemsthatgovernhoworganisms

perceiveandinteractwiththeworld.Thereorganizationsystemonlymonitorsintrinsic

variablesandsendsrandomvariationintothelearnedhierarchy.Thisisbecausethe

reorganizingsystemmustbeabletooperatebeforethehierarchyitselfhaslearnedto

perceiveanythingmorethansensations,asthereorganizationsystemgovernsthe

organism’sconstructionofthehierarchyitself(Powers,2005/1973,p.185).

Assuch,thereorganizationsystemisinheritedratherthanlearned,asarethe

intrinsicreferencesitmonitors.Powersacknowledgesthatmodelingthereorganization

systemasseparatefromthelearnedhierarchyisonlyasimplification,andthatitmay,in

fact,beinaspectsofeverylevelofthehierarchybeingorganized(p.184).Itisworth

consideringthatbecausethereorganizationsystemandtheintrinsicvariablesitmaintains

arebothinherited,oneplacewherethereorganizationsystemmayparticularlyresideisin

theunspecifiedlevelsofthehierarchyabovesystemconceptswhereinstinctsalsoreside

andarepresumablyrelatedtointrinsicreferences.Suchahighlevelisconsistentwith

Powerscharacterizationofthereorganizationsystemas“themostgeneralizedcontrol

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systemsofarconsidered”and,assuch,“willalsooperateontheslowesttimeofall”

(Powers,2005/1973,p.185).

Throughtheoperationofthereorganizationsystem,controlsystemsevolvehow

theyinteractwiththeenvironmentovertime.Theyadapttotheenvironmentatthelevel

ofparameterstobecomemoreefficientandeffectiveatvaryingbehaviortokeepcritical

perceptionundercontrol—i.e.,nearintrinsicreferencesdespiteoperatinginachanging

theenvironment.

Inaremarkabledemonstrationofreorganization’sabilitytocoordinateacross

controlsystems(Powers,2008),Powerssimulatesanarmwith14jointsbylinking14

separatecontrolsystems,eachwithitsownreference.Iftheyallachievetheirreference,

theresultwillbeasmootharmmotion.Buttheiroutputfunctionsbeginwithrandom

parameters.Asaresult,whenthesimulationbegins,thejointsproduceuncoordinatedarm

movementthatinhibitseachjoint’sabilitytoachieveitsreferences.Yet,astheyreorganize

byvaryingtheirparametersinthefaceofthedisturbancescausedbytheotherjoints,the

jointmovementsgraduallyorthoganalizeinto14separateandnon-interferingdimensions.

Theylearnhowtoachievetheirreferencewithouthurtingtheotherjoint’sabilityto

achievetheirs,allowingeachcontrolsystemmaximumautonomytoachieveitsindividual

purposewhilestillresultingincoordinatedmovementofthewholearm.

Whilereorganizationisanevolutionaryprocess,itiscapableofmuchmorerapid

changethanapurelyDarwinianprocessesutilizingonlyrandomvariationandselective

retentionatthetimeoforganismreproduction.Whilerandomvariationisusedtoprovide

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informationtotheorganismconcerningabeneficialdirectionofchange,theamountof

movementinthatdirectionisunderthepurposefulcontroloftheagent.Moreover,not

onlydoeschangerepeatedlyoccurinthatdirectionsolongasitreducestheagent’s

perceptionoferror,suchareorganizationcanoccurmultipletimesinanagent’slifetime.

Therefore,itisamodelmoreconsistentwiththerelativerapidityofpersonalandsocial

evolutionthanthemerereproductivefitnessassociatedwithnaturalselection.

Itisnotclearexactlywhattheparametersofahierarchyofperceptualcontrol

systemsmightbe.Attheveryleast,controlsystemparametersmustgovernwhatwepick

outasimportanttonoticewhenweperceiveasituation(theinputfunctioninthecontrol

systemdiagramabove).Inthisway,PCTisinlinewithDewey’sviewthatsensedataare

notgiven,buttakenbytheagent.AsnotedinbyWebb(2007),“observationismediatedby

limitedsenseorgans,habits,intellectualconstructs,perspectivesandpurposesof

observation.”Similarly,controlsystemparametersmustalsogovernwhatarethekindsof

actionswethinkareimportanttoattempttoreduceerror(theoutputfunctioninthesame

diagram).

Controlsystemparametersalsoanoperateatamorefundamentallevelof

determininghowtolerantweareoferrorinthefirstplace(whichisdefinedasthe“gain”

ofacontrolloop)andwhichcontrolsystemsshouldbeengagedinresolvingit,orforthat

matter,whetheranewcontrolsystemneedstobecreatedoranexistingonedestroyed,

thoughcreationseemstohappenmuchmoreoftenthandestruction.

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Intriguingly,someofthisre-parameterizationmaybedoneinwhatPowers

describesasthe“imaginationmode”ofthehierarchyofperceptualcontrolsystems.While

herefersspecificallytoimprovementstocontrolthattakeplacesinthoseimaginingswe

call“dreams”(Powers,1973/2005,p.197),theprinciplewouldseemtoholdforother

imaginingswecall“plans.”

AsdescribedbyPowers(1973/2005,pp.207-228)thatreferencesarestored

perceptionsmeansthateverylevelofthehierarchyhasitsownmemory.Thisimpliesthat

perceptionsdonothavetoonlybeexperiencedin“realtime.”Theycanberecalled.

Powershypothesizesthatwhenthisoccursatonelevelinthehierarchy,current

perceptionsfromlowerlevelsareessentiallyswitchedoffandtherecalledperceptionis

substituted.Simplyrecallingaperceptiondoesnottypicallyresultinactionthough.From

this,Powersreasonsthatusingmemoryasareferencetocallforthbehaviortocorrect

perceivederrorcanalsobeswitchedoff.(Figure2)

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Figure2.Singleperceptualcontrolunitwithmemoryshowingtheimaginationconnection.FigureandcaptionreproducedfromPowers(1973/2005,p.223),withpermissionfromBenchmarkPublicationsInc.,allrightsreserved,BloomfieldNewJersey07003.

68

Thesetwoswitchesthenprovidethepossibilityforfourmodesofcontrolsystem

operation.Thefirst,whenbothswitchesareturnedon(i.e.,intheclosedorvertical

positioninthediagram),thisisthenormalcontrolmode—perceptionsareeither

immediatelycomparedagainstareferencethathadpreviouslybeenstored,orsenttoa

higherlevelinthehierarchyforadditionalprocessingandcomparison.Apassivelearning

modeoccurswhentheperceptualswitchissetto“on”butthememoryswitchisturnedto

“off.”Inthismode,perceptionsfromlowerlevelsarriveandmaybestored,butno

comparisontoreferencesoractionensues.Theperceptionissimplyabsorbed,perhapsfor

lateruseasareference.Conversely,whentheperceptualswitchisturnedoffbutthe

memoryswitchissetto“on,”anautomaticmodeisengaged.Memoryprovidesa

referencefor,say,theperceptionofwalking,allowingthelowerlevelsystemstokeep

puttingonefootinfrontoftheotherwhilehigherlevelsystemsconsiderotherissues,such

asthinkingaboutwork.(Powerssaysthismodeisoneweareinoften.)

Finally,imaginationmodeoccurswhenbothperceptualandmemoryswitchesare

turnedoff,asillustratedinthediagram.Nowthecontrolhierarchyhasbeenshort-

circuited.Ratherthanperceptionsoriginatingwithsensorysystems,memoryinstead

suppliesarecalledperceptionthathigherlevelsthenperceiveasoccurringagain.When

thehighersystemscomparetheperceptiontotheirreferencesandsenddowntheir

responsetolowerlevelsystems,callingforadifferentperceptiontobeachievedinorder

toreducehigher-levelerror,thatperceptionisagainsuppliedbymemoryratherthan

throughsensingchangesintheenvironment.Asaresult,manyalternativeresponsescan

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besentdownfromthehigherlevelstotestouttheimpactofexperiencingavarietyof

perceptions.

Powerssuggeststhatthiskindofprocessingiswhathappensduringdreaming,

whichheviewsasakindof“feasibilitytesting”(Powers,1973/2005,p.226)wherenormal

constraintstobeconsistentwithrealityareloosened.Adreammayconnectperceptions

thathaveneverbeen,andneverwillbe,connectedin“reallife,”whichcanaccountfor

theirstrangeandsometimesuncomfortablenature.

Additionally,animaginedexperienceistypicallynotasvividlyperceivedasone

occurringinrealtime,in“reallife.”Powershypothesizesthatthisisbecausenotasmany

perceptionsaretriggeredacrossthebreadthanddepthofthehierarchy.Asimagined

perceptionsinvolvelowerlevelsofthehierarchy,therememberedexperiencebecomes

morevivid,asmayoccurinsomedreams.Invividdreams,withallconstraintsof

interactingwiththerealworldturnedoffexceptforautonomicprocesses,imaginationis

freetotravelallthewaydown,onlyshort-circuitingjustbeforeaction,asshowninFigure3

below.

Butwhenfullyconscious,theshort-circuitingtypicallyoccursathigherlevels.At

theselevels,theimaginationmodeallowsindividualstoengageinmoreabstractthinking

andplanning,essentiallyproducingtheequivalentofDewey’sdeliberation—playingoutin

dramaticrehearsalpotentialoutcomesuntiloneisfoundthataddressestheindeterminate

situationrequiringdeliberation.InPCTterms,theerrorcreatedbysuchasituation

promptsentryintoimaginationmode,whichrunsstoredperceptionsthroughthe

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hierarchyuntilasetisfoundthatreducestheerror,atwhichpointthehierarchyreturnsto

controlmodetobegintheactionsthatwillactuallyproducethoseperceptionsforreal,

ratherthaninmemory.

Figure3.Ahierarchyofcontrol,showingtheoperationoftheimaginationmode.FigureandcaptionreproducedfromPowers(1989,p.278),withpermissionfromBenchmarkPublicationsInc.,allrightsreserved,BloomfieldNewJersey07003.

71

Oneconditionthatoftengivesrisetosuchindeterminatesituationsiswhenthereis

conflictbetweencontrolsystems.ConflicthasaveryprecisemeaninginPCT.Itoccurs

whentwocontrolsystemshavedifferentandmutuallyexclusivereferencesforthesame

controlledvariable.Thereisnowayforbothsystemstoexperiencezeroerrorintheirgoals

simultaneously(Powers,1973/2005,p.266).Forexample,onecontrolsystemmayhavea

referencefortherelativelyhighquantityoffoodthatisconsistentwithloweringstress

levelswhileanothermayhaveareferenceforthelowquantityoffoodthatisconsistent

withbeinghealthy.Whiletheconflictisexpressedorobservedatthelevelofthe“putfood

inmouth”controlsystem,thatlowerlevelcontrolsystemisactuallyworkingfine—ithas

notroublegettingthefoodtothemouth.Theconflictiscausedbyitbeinggiventwo

differentamountsoffoodtoputintherebythetwohigherlevelsystemsthatarein

conflict.

Thefactthattheyconflictdoesnotmeanthecontrolsystemsarefaulty.Theyhave

learnedverywellwhattherightleveloffoodistosatisfyeachgoal,andhavedeveloped

appropriateoutputfunctionstodeliverthatquantityoffood.Theissueariseswhenboth

areactivatedatonce.Atsuchtimes,thebettereachisatcontrollingthedesiredfoodlevel,

themoreintensetheconflictbecomes(Mansell,CareyandTai,2013,p.39).

Thisisbecauseeachsystemincreasesitsoutputinresponsetoaperceivederror.As

aresult,theiroutputsincreasetotheirmaximumpossible.However,becausetheyare

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pushingindifferentdirectionsonthesamevariable(onewantsmore,onewantsless),

thoseoutputscanceleachotherout.Atthis,pointtwooutcomesarepossible.

Allsystemshavelimitsthat,whenexceeded,causeabreakdownorcollapse.

Powersdemonstratesthiswithtwopeoplepullingontworubberbandsknottedtogether.

Oneistoldtokeeptheknotoveraonedotonthetable.Theotheristoldtokeeptheknot

overadot¼inchfromthefirstdot.Firstonegoalisachieved,thentheotherpersonpulls

harder,increasingthetensionontherubberbanduntiltheirgoalisachieved,whichthen

causethefirstpersontopullharder,andsoon.Thiscontinuesuntiltherubberbandsbreak

oronepersonstopsplayingthegame.

Alternatively,ifthemaximumoutputofeachsystemisbelowitsbreakingpoint

thentheknotcomestorestata“virtualreference”thatistheweightedaverageofthe

relativestrengthsofeachcontrolsystem’soutput.Bothsystemsremaininperpetual

conflictbecauseneithercanachieveitsreference.Bothsystemsoutputlotsofenergy—

maximumenergy,infact—buttonoavail,makingconflictwasteful.Becausebothsystems

aremaxedout,though,anyadditionaloutsidedisturbancecannotberesisted.Withina

rangeofthisvirtualreference,then,controliscompletelylost.Thislossofcontrolis

typicallyexperiencedasvacillationorindecisionorbehaviorsthatchangewithevery

changingcondition.

Thiskindofexperienceiscommon.Continuingthestressvs.healthyeating

example,aparticularlystressfuldaymayleadtoeatingalargedinnerthatnight,reducing

stressbutcausingself-criticism.Forthenextfewmeals,lessiseatenbutstressisn’t

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relieved.Graduallystressbuildsuntil,willpowerexhausted,abaddayspursanotherbinge

period.Thus,theconceptofconflictingeatingcontrolsystemsverywelldescribesthe

phenomenonof“Yo-Yo”dieting.

Whenconflictbetweencontrolsystemsthwartstheirabilitytoachievetheir

purposes,thisgenerateslargeintrinsicerrors(Powers,1973/2005,p.270),accordingto

Powers,whichinturnisfeltasstrongemotions(p.256),suchasdisgust,fear,angeror

sadness.Suchemotionsareseenasasignthatreorganizationofthecontrolsystemsis

occurring,andinfacthelpdirectawarenesstowhereinthehierarchytheconflictis

occurringandsowhatportionsneedtobereorganized.Suchareorganizationmayresultin

oneoftwopaths.

Moretypically,itresultsinreorganizingtoavoidsituationswherethetwosystems

comeintoconflict,forexamplebynotgettingonthescaleandconfrontingthefactthat

stresseatingisleadingtoobesity.Suchavoidanceleavestheconflictintactbut

unexperienced,atleasttemporarily,andsotheuncomfortableemotionsarenot

experienced.

Amorefruitfultypeofreorganizationoccurswhenitmorefundamentallyinvolves

higherlevelsinthehierarchy.Afterall,thetwocontrolsystemsconflictbecauseeachdoes

agoodjobcontrollingthesamevariable.Theyjustaretryingtocontrolittotwodifferent

levelssimultaneously.Thoselevels,though,arebeingsetbyoneormoreevenhigher-level

controlsystems.Thusthereareatleastthreelevelsofcontrolsystemsinvolvedinany

conflict—“thelowestlevelwheretheconflictisexpressed[e.g.,foodtomouth],thenext

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levelwheretheconflictiscaused[e.g.,healthyeatingvs.stresseating],andatleastone

higherlevelthatiscreatingthesituation5thatgivesrisetotheconflict”(Powers,1998-

2010,p.78,emphasisintheoriginal).Itisatthehigherlevelthattheconflictcanactually

beresolved,forexample,byinvokinganexercisecontrolsystemtodealwithstressrather

thanthestresseatingcontrolsystem.Thistheneliminatesitsconflictwiththehealthy-

eatingcontrolsystem.

Notethatawarenessmustfirstbeshiftedtolevelofthesystemscausingthe

situationbeforereorganizationatthathigherlevelcanbegin.Anentiretypeof

psychotherapycalled“MethodofLevels”hasbeendevelopedaroundhelpingindividuals

goupalevelintheirperceptualhierarchyinordertoseetheirconflictsfromanew,higher

perspectivefromwhichtheycanbemorefullyperceived,understoodanddealtwith

(Mansell,CareyandTai,2013,andCarrey,2006).Thesehigherlevelsoftensurfaceas

backgroundthoughts,disruptionsintheflowofaconversation.Whenawarenessisshifted

tothesesignsthatsomethingisgoingonbehindthescenesofone’sconsciousthoughts,a

newperspectivemaysuddenlyemergefromwhichtheconflictthatbroughtthepatientto

thetherapist’sofficesimplyvanishes.Othertimes,ittakesmorereflectionandwork—

deliberation,touseDewey’sterm—butresolutionofconflictnonethelessrequires

developingahigher-levelperceptionthanthelevelatwhichitisoccurring.Achievingthat

awarenessseemstotheninitiatereorganizationattheleveltheconflictcanactuallybe

resolved.

5Powers’term,thoughitisinterestingitmatchesDewey’s

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Notethatoncethesecondtypeofreorganizationoccurs,theconflictdisappears.

Thereisnosenseoftryingtoovercomeresistanceordoingwhatoneshouldeventhoughit

ishard.Anewnormalisachievedwithallcontrolsystemsachievingtheirreferenceswith

minimalerrorandminimaleffort,asistypicalwhentheyarewell-organized.

Ifwesubstitute“habit”for“controlsystem”Deweydescribesasimilarprocessas

heexaminestherelationshipbetweenhabit,impulseanddeliberation.Conflictbetween

habitscausesthemtostop,releasingemotionintheformofanimpulsetodosomething.

“Habitisenergyorganizedinacertainchannel.Wheninterferedwith,itswellsas

resentmentandasanavengingforce”(Dewey,1922/1988,p.54).Yet,asDeweysayslater,

“Conflictisthegadflyofthought”(p.207),spurringeffortstoapplyintelligencetoresolving

theindeterminatesituation.Asaresult,“Emotionisaperturbationfromclashorfailureof

habit,andreflection,roughlyspeaking,isthepainfuleffortofdisturbedhabitstoreadjust

themselves”(p.54).Oncehabitsarereadjusted,theyagainworkseamlessly—“…themore

suavelyefficientahabitthemoreunconsciouslyitoperates.Onlyahitchinitsworkings

occasionsemotionandprovokesthought”(p.125).

Themostconcerningtypeofconflictbetweencontrolsystemsiswhenoneperson

attemptstocontrolanother.Byonepersoncreatingdisturbancesinasecond’scontrol

systems,itispossibletoinducebehaviorthatmayassistthefirstpersoninmaintainingher

perceptionsnearherreferences.Innocuousversionsofthisoccurallthetime,aswhenthe

firstasksthesecondtopassthesaltandthesecond,controllingforbeingperceivedas

cooperativebutnotatallcontrollingtheperceivedpositionofthesaltshaker,immediately

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complies.Butmorecoerciveversionsalsooccur,aswhenchildrenarepunishedtoinduce

obedience,orevenmoredamagingversionsasinthecaseofblackmail,threatsofbodily

harmorincarceration.

InPowers’opinion,theattempttocontrolothersresultsfromafundamental

misunderstandingofpeopleasautonomouscontrolsystemswiththeirownreferencesand

goalswhowillstrenuously,andsometimesviolently,resistattemptstointerferewith

achievingthegoalsthatareimportanttothem(Powers,1973/2005,p.279).Whatothers

wouldcalldeviancy,Powersseesasthenaturalreactionofhumancontrolsystems

resistingdisturbancesattemptingtobeimposedonthemfromtheoutside.Thatweareall

autonomouscontrolsystemsdefineswhatitmeanstobe“createdequal”—weallworkthe

sameway.Hedescribesthisideaas“littlevirus…calledPCT”(Powers,1998-2010,p.126),

onehehopeswillworkitswayintothebackofreaders’mindsandbeginaprocessof

reorganizationthatincreasestheperceptionofothersasequals.FromPowerspointof

view,then,theonlyoptiontocreateaconflict-free,non-violentsocietyistogiveup

foreverthedesiretocontrolothers.Instead,interpersonalconflictcanonlyberesolvedby

negotiationsbetweenequals(Powers,1998-2010,p.104).

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SocialPCT

Wehavenowbeguntoexploretheinteractionofhumansascontrolsystemsin

socialsettings.ItisherethatPCT,asdevelopedbyPowers,essentiallystops,and

extensionshaveonlyrecentlybeguntobeexploredinanydetail.Powersclearlysaw

individualsadverselyaffectedbywidelyheldsystemconceptsthatviewedpeoplemoreas

inanimateobjectstobecontrolledthanself-aware,purposefulcontrolsystemsintheirown

regard.Heacknowledgedthosesystemconceptsweresupportedbybooks,institutions

andcustoms,thechangingofwhichmaytakegenerations(Powers,1973/2005,p.277)Yet,

ultimately,thosesystemconceptsonlyhadpowerbyvirtueofbeinginsidetheheads

individuals.Asmentionedbefore,Powersdidnotseesocietyashavingaanykindof

separateexistencefromorpoweroverthepeoplewhocomposeit.

Thequestionwenowturntoiswhethercontrolsystemsexistoutsideofindividuals,

i.e.,aretherewhatwemightcallsocialperceptualcontrolsystems,andifso,howmight

wedescribethem?Tobeclear,inthiscontext,toknowthereisacontrolsystematwork

hasaveryparticularmeaning—theremustbeaquantitythatisafunctionofthings

observableintheenvironmentthatwouldtypicallychangewhenforcesareappliedtoit,

butchangesmuchlessthanpredictedasaresultofactionstakenbyandonlybythe

suspectedcontrolsystem(“TestfortheControlledQuantity,”Powers2005/1973pp.234-

236).

Taylor(2015)suggeststhatcontrolsystemsexistbetweenpeopleasmuchasthey

dowithinpeople.Thesimplestsuchsystemiscomposedoftwopartnerswhoactively

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cooperatetoinfluenceeachother’sbehavior,whichTaylortermsa“protocolloop.”Insuch

aloop,thereisaninitiationbyonepersonandthenacorrespondingcontinuationbythe

other.Anexampleisanewbornandhismother.Thebabyhasanintrinsicreferencefornot

beinghungrywhilethemomhasareference,mostlikelyintrinsic,forthebaby’swell-

being.Whenthebabyishungry,itmayattemptavarietyofbehaviors,fromfacial

expressionstolimbmovementstosounds,noneofwhichontheirownwillallowthebaby

toeat.Acry,though,willattractthemom’sattentionandwilllikelybeperceivedthatthe

babyisnotdoingwell,thatsomethingiswrong.Themom,too,willtryavarietyof

behaviors,fromtalkingtothebaby,pickingthebabyup,rockingthebaby,changingthe

baby,butnoneofthesewillmatterifthebabyissimplyhungry.

Theerrorexperiencedineachperson’scontrolsystemscausesthemtoreorganize.

AccordingtoTaylor,suchreorganizationcanoccuramongcontrolsystemsspreadacross

individualsasmuchastheydoamongcontrolsystemswithinanindividual.The

reorganizationofthebaby’ssystemsallowsittolearntocryimmediatelywhenhungry,

andsubsequentlytocryinacertainwaywhenhungry,whilethereorganizationofthe

mom’scontrolsystemsallowhertodistinguishbetweenthehungrycryvs.thewetcryvs.

the“I’mbored”cryvs.the“I’mhurt”cry.Thusalanguagedevelopsbetweenthetwothat

reducestheerrorexperiencedbybothcontrolsystems,producingforbothperceptions

thataremorestablyneartheirrespectivereferences.Notethatthislanguagedepends

uponsimultaneouslybuildingnewperceptionsandusingtheminafeedbacksystem,an

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insightTaylorattributestoJ.G.Taylor(1963).Perceptionsaren’tfixedbybiologybut

learnedinthecontextofsocialsituations.

Taylorbelievessuchprotocolloopsarethewayinwhichlanguagemoregenerallyis

acquired,aswellasculture.Reorganizationnevercompletelyeliminateserror,however,

andweneverknowexactlywhatperceptionanotherisperceivingandcontrolling.Hence

acquisitionisnevercompletelythesamefromonepersontoanother.Asthenumberof

peopleandexpanseoftimeandspaceinvolvedincrease,languageandculturaldriftoccurs,

eventuallyevolvingintodifferentsocialgroups,languagesandcultures.

Nevertheless,protocolsaredevelopedforcommunication.Oncethebabyisfed,

thecryingstopsandboththebaby’sandthemom’swell-beingisrestored.Despitethe

operationoftwoseparatecontrolsystems,errorisreducedinboth,theoppositeofthe

conflictsituationdescribedpreviously.Itisthiskindofmutualsuccessthatcausesthemto

befrequentlyused,mostoftenwiththosewithwhomwecommunicatemostoften—our

families,ourcommunities,ourcolleagues.

Specificprotocolsaredevelopedforinteractionwithspecificgroups.Participatingin

socialgroupsincreasesthecapacityofprotocolstoaidcontroloftheenvironmentto

matchpurposesandincreasetrust.QuotingTaylor:

Tobelongtoaself-organizedgroup(asopposedtoagroupdefinedbysomeexternalauthority)istobeabletouseprotocolsspecifictothegroup,andtobeknownbyothergroupmemberstobeabletodoso.Sinceaprotocolservesonlytoaidincontrollingsomeperceptionthroughtheactionsofanotherperson,tobelongtoagroupistoextendthenumberofperceptionsonecancontrol.Andthemoreperceptionsonecancontrol,themorecomfortableonefeels,thelessreorganizationisgoingon,andthebetteronecantrustone’ssocialenvironment(p.79).

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Asthoseprotocolsbecomegraduallymorespecificandsituationallyaware,they

supportandhelpdefinesocialroles.Theseroleslayerontopofoneanother,aswhenone

personisaparent,communitymemberandworker.Astheydo,theyalsoextend

horizontallytointeractwithpeopleinotherroles—bosses,co-workers,politicalleaders,

andsoon.

Themultiplicityofandoverlappingnatureofsuchroleshavethepotentialto

produceconflict,however.Indeed,withoutstructure,conflictislikely.Taylorpointsto

Powers’armcontrolsimulationasanexampleofhowreorganizationcanresultina

structurenearlyfreeofconflictamongautonomouscontrolsystems,andsuggeststhat

reorganizationsimilarlyworksbothinterpersonallyandatthelevelofgroupstoallow

individualcontrolsystemstoachievetheirgoalswhileproducingminimalinterferencewith

eachother.

Importantly,Taylormakesclearthatnotallgroupsarecontrolsystems.Tobea

controlsystem,membersofthegroupmusthaveacommonobjective,ameansof

perceivingwhetherthatobjectiveisbeingachieved,andameansofactinginacoordinated

waytoinfluencetheenvironmentsoastobringtheperceivedachievementinlinewiththe

desiredobjectivetobeachieved.Taylorseesprotocolsasthewayinwhichgroupsachieve

thecapacitytoactinacoordinatedway.

Onekindofgroupthatdoesqualifyasacontrolsystemisateam.Teamshave

objectivesandtheabilitytoacttogethertoachievethem.Memberslearntheteam’s

protocolsinordertocoordinatetheiractivitytomaximizetheirabilitytoachievetheteam

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objectivewithoutconflictingwitheachotheralongtheway.Indeed,individualsonthe

teamrecognizeothersasteammembersbytheirabilitytousetheteam’sprotocols

appropriately.Thosewhodoaretrustedmore,whilethosewhodon’taretrustedless.As

individualslearntoperceivethemselvesasmembersoftheteam,thissimultaneously

createsbothan“us”ontheteamanda“them”notonit.Whilethosenotontheteam

neednotnecessarilybeopposedtothosewhoareonit,competitionbetweenteamsoften

encouragessuchaperception.

Teamsareonekindofabroadercategoryofgroups—organizations.Organizations

maybeformalorinformal.Taylorobservesthatformalorganizationstendtodevelopa

hierarchicalstructureofprotocolsandsystemstoachievetheirpurposes.Thehierarchyof

functionsinaformalorganizationdramaticallylimitsthepotentialforconflictamong

peopleperformingdifferentfunctions,thoughconflictmaystillarisebetweenpeople

performingthesamefunctionatthesameleveloftheorganizationalhierarchy.Becausein

aformalorganizationhasbothpurposesandthecoordinatedmeanstoachievethem,and

theflowofinformationinsuchanorganizationutilizesprotocolsandfollowsahierarchical

structure,Taylorsuggestsitispossibletotreatsuchanorganizationasanorganism.

Indeed,weoftenspeakofcompaniesasindividuals.

OnekeydifferenceTaylornotesbetweenanorganismalhierarchicalperceptual

controlsystemandanorganizationalhierarchicalperceptualcontrolsystem,however,is

thenatureofthecontrolsystemsinthehierarchy.Anorganization’ssub-systemsare

themselvesfullyautonomouscontrolsystems,whereaswithinanorganismtheyarenot.

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Thereisalwaystheopportunityforanindividualtoresistachangeinreferencesfroma

higherlevel,whereasthishappensautomaticallywithinanorganism.Assuch,

organizationalcontrolsystemsrequiresomeelementofvoluntarycooperationatlower

levelstosuccessfullycontrolhigherlevelperceptionstotheirreferences.Thisistrueeven

thoughsuchcooperationmaybeobtainedbyusingcoercivepoliciesandpractices.In

practice,suchcooperationisusuallyachievedbytheremovalofthosewhohavea

significantconflictbetweentheirownreferencesandthosedemandedbytheorganization,

removalwhichmaybevoluntaryorinvoluntary.

Taylornotesthatbothlivingsystemsandformalorganizationalsystemshave

evolvedahierarchyofcontrolsystemstoachievepurposes,andaskswhethersome

mannerofhierarchyintheformofdifferentiatedrolesisthereforesomethingPCTsayswe

shouldexpecttodevelopevenininformalorganizationsstartingfromaperfectlyflat

structure.DrawingonPower’sarmcontrolsimulation,apaperbyMcClelland(2015)

describednext,andKauffman(1995),Taylordeducestheanswerisessentially,“Yes.”The

necessityofcontroltoaccomplishpurposetypicallyrequirestheestablishmentof

hierarchytominimizeconflictandachieveeffectivecontrol.

McClelland(2015)seestheproblemsocietyistosolveasoneofestablishingthe

stabilitynecessaryforpeopletocontroltheirlivesinthefaceofachaoticworld.Control,

fundamentally,isproducedthroughtheuseofanegativefeedbackloop—adisturbanceto

perceptioniscounteredbyactionthataffectstheenvironmentinsuchawayastorestore

thatperception.ThekeypointMcClellandhighlightsisthattheobjectofcontrolis

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perception,butperceptionchangeisindirect;itcanonlybeachievedbyfirstchangingthe

environment.

McClellandusesthisinsighttoobservethatonewaysocietiescreatestabilityisto

altertheenvironmentsoastolowerthecostofdesiredenvironmentalfeedbackpaths,

increasingtheprobabilitythatthesechosenfeedbackpathswillbemoreoftentraversed.

Buildingroadstolowerthecostoftravelingtoobtaingoodsandservicesneededfor

membersofthesocietytosurviveandflourishisperhapstheprototypicalexample.Butso

isthecreationoftools,ortheconstructionofcities,orthedisplayofimages.Theseall

makemaintainingsomeperceptionseasierandthusmorelikelytobeheldbymembersof

thesociety.Thattheyarephysical(evendigitalimagesarestoredaspatternsinaphysical

medium)meanstheypersistandthatmanypeoplecanexperiencethem(evenmoreso

whentheycanbetransmittedintoinboxesaroundtheworld).

Yet,atthesametimetheseenvironmentalchangesmakesomeperceptionseasier

toexperience,theytypicallymakeothersharder.Automobilesincreasetheterritorythat

canbeperceivedas“closeby”,buttheyhavemadetheperceptionofpeopleinteracting

dailywithhorsesmuchmoredifficulttomaintain.Morerelevanttotheconcernsofthis

paper,thewidespreadadoptionofcarsandtheconstructionoftheroadwaystosupport

themhavemadeiteasiertoperceivehomogeneous,low-density,high-income,single-use

neighborhoodsassuccessfulwhilemakingitmoredifficulttoperceiveintegrated,high-

density,mixedincome,multi-useneighborhoodssimilarlyso.Theleast-coststabilitypaths

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createdbyasocietystronglyinfluencewhichperceptionsaremosteasilycontrolled,and

thereforemostlikelytobecontrolledaswell.

Towhatendstheseleast-costpathsarecreated—thatistosay,towhatpurposesor

references—isdeterminedbyaprocessMcClellandterms“collectivecontrol.”Basically,

McClellandtakestheresultsfromPowers’rubberbanddemonstrationofthe“virtual

reference”createdwhentwosystemsconflict,plusTaylor’sprotocols,andextendsthese

fromtwopeopletoanentiresociety,showingthattheprinciplesholdateverystage—

smallgroupsandcommunitiesaswellassociety-wide.Collectivecontrolworksatevery

levelofthisoverlapping,stratifiedstructure.

McClelland(2004)showsthatwhenmultiplecontrolsystemsareatworktryingto

controlthesamevariable,theendresultistheestablishmentofavirtualreferencethatisa

weightedaverageoftheindividualsystems’references.Ifeachsystemisofthesame

strength,andmaintainingperceptionsnearthatreferenceisequallyimportanttoeach

system,thentheweightissimplythenumberofpeopleholdingeachreference.If,

however,somecontrolsystemshavegreaterstrength(i.e.,morepoweroverthe

environment),oriftheycontrolthisparticularreferencemoretightlythantheycontrol

others(i.e.,theycaremore,aswithaninterestgroup),thenthevirtualreferencewillmove

towardthosecapableofgreatercontrol(i.e.,the“gain”oftheircontrolsystemsishigher).

Mathematically,thevirtualreferenceissetatthegain-weightedaverageoftheindividual

systems’references.

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Thissimplesetupproducesasocietyinwhicheverypersonlikelyfeelssome

conflict,sincethevirtualreferenceisunlikelytomatchanyindividualreference.

Moreover,anyoneindividual’sabilitytochangethatreferenceisextremelylimited.Toa

singleindividual,itappearsthatalltheothercontrolsystemshaveagreedonthevirtual

reference,andtheirpowertomaintainitequaltotheircollectivegain.Thus,thelargerthe

socialsystem,andthemorepowerfullysomeindividualsareabletoinfluenceothersto

adopttheirreferences,themoredifficultitisforordinaryindividualsorsmallgroupto

changeit.

McClelland(2015),followingTaylor(2015),callsthislargecollectivecontrolsystem

a“giantvirtualcontroller.”Whileithassuper-humanstrength,inisnotasupra-human

entitythatexistsinadifferentontologicalplane,inMcClelland’sview.Itisanatural

propertyofaggregatingtheinfluenceofindividualcontrolsystems.Yetitstillhasmanyof

thepropertiesassociatedwithasociety—itconstrainsthebehaviorofanyparticular

individual,influencesthereferencesthoseindividualsadoptinternallyandmaintain,and

soexistsbeyondthelifetimeofindividualmembersassomedieandothersarebornintoit.

Thisgiantvirtualcontrollerthusestablishesreferencesthatbecomeembeddedin

themindsofitsmembers.Thosereferencesaresupportedbythecreationofleast-cost

stabilitypathsintheenvironmentthatmakeiteasiertoformperceptionsconsistentwith

thosereferencesthanother,more“deviant”perceptions.Wethushavetherecipefora

verystablesocietywhosegoalsaredifficulttochange,andwhoseenvironmentshavebeen

constructedtoreinforcethe“rightness”ofthosegoals.McClellandcitesFeagin’s(2013)

86

conceptofa“whiteracialframe”asanexampleofacollectivecontrolsystemwitha

referenceforwhitesuperioritysoprevalentthatwhitesareblindtotheheadstartthey

havebeengivenbygenerationsofwealthaccumulationdeniedtopeopleofcolor,andthat

iscontinuallyreinforcedbythethingsintheenvironmentsuchasmediaportrayalsandthe

geographyofraceandwealth.

Giventhestabilityofsocietygovernedbygiantvirtualcontrollers,onemayusefully

wonderthen,whatcausessocialchangeinsuchasystem?McClellandcitesseveral

possibilities.First,atalltimesthereisbothaninflowandoutflowofmembersofthe

society,andiftheydifferintheirreferences,thiscangraduallyshiftthevirtualreferenceof

thecollectivecontrolsystem.Second,despitecollectivecontrol,someexogenous

changes—war,newtechnologies—maybesufficienttodisruptit.Thisisconsistentwith

Dewey’s(1922/1988)viewofwhatbringssocialchangeinahierarchicalsocietyboundby

custom:

Butmobilityinvadessociety.War,commerce,travel,communication,contactwiththethoughtsanddesiresofotherclasses,newinventionsinproductiveindustry,disturbthesettleddistributionofcustoms.Congealedhabitsthawout,andafloodmixesthingsonceseparated(p.59).

Finally,becauseconflictalwaysexists,atleastsomeindividualswillbeundergoing

reorganization.Whilethismostoftenwillresultinareadjustmentthatlimitsconflictwith

theexistingsocialreferencethroughaccommodatingit,sometimesitwillresultinan

innovationthatallowsthesocialreferencetobecircumvented.Thisinnovationmaythen

diffusetoothersexperiencingthesameconflict,andeventuallyreachenoughpeopleto

begintoaffectthegainholdingthepriorreferenceinplace.

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TheseargumentsmakepurposefulsystemicsocialchangeinMcClelland’smodel

essentiallyaside-effectofeventsthatoccurforotherreasons.Thenetdifferencein

referencesbetweennewcomerstosocietyandthoseleavingitmayshiftvirtualreferences,

butcreatingsuchashiftisnotthepurposeofthepopulationmigration.Warand

technologymayproducesignificantsocialchange,butthedirectionofanysocialchange

thatfollowsisessentiallyrandom.Eveninthecaseofpurposefulinnovationbyindividuals,

whichparticularinnovationsdiffuse,andwhichdiffusesufficientlyfarandfasttochange

thevirtualreference,isunpredictable.Theonlythingpredictableisthatallthesekindsof

changeswillberesistedbythecollectivecontrolsystemsinplaceatthetime.

Thuswereturntothequestionwithwhichwebegan,whatkindofprocessesare

necessarytomakethechancesforminority-directedminoritychangeless“vanishingly

small?”Buildingonalltheresearchabove,amodelofminority-directedinstitutional

changeisdevelopedinChapter4.Butfirst,letusrestateandsummarizewhatwehave

learnedsofar.

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CHAPTER3

INTEGRATINGPCTWITHOIE

ThehierarchyofcontrolsystemsinPCTmeansitisdrivenfromthetopdown,and

thetop-mostlevelsthemselvesaredrivenbyinstinctsandinstitutions,i.e.,bybothbiology

andsociety.Whilebiologicalandsocialimperativesmaydeterminewhatindividualswant

andneed,controlsystemsdeterminehowtheyareperceivedandinternalizedas

referencesandhowindividualsacttoachievethem.Assuch,atheorybasedonperceptual

controlsystemssharestheVeblenianpointofviewthatinstinctsarepropulsiveandsociety

isdominant,buttheindividualnonethelessretainssignificantscopeforagency.

LikeVeblen’sagents,perceptualcontrolsystemshavepurposes—tomaintain

perceptionsnearreferences.Moreover,controlsystemsarealwaysactive,alwayslooking

toperceivewhetherpurposesarebeingachieved,andifnot,initiateasequenceof

behaviorsuntiltheyare.Asocialsciencebuiltonagentswho,themselves,arecomposedof

purposefulevolving,learningcontrolsystemsprovidesasoundbasisforconstructingthe

active,purposivehumanagentsVeblendescribedanddevelopingeconomicsasthe

evolutionarysciencehesought.

Inessence,perceptualcontrolsystemsareanalogoustoDewey’shabit.Bothresist

disturbances.Likeahabit,theessenceofacontrolsystemisnotrepetitivebehavior;a

controlsystemcreatesapredispositiontoactinwaysthatallowsanorganismto

consistentlyachieveapurpose.Acontrolsystemisarts,thatis,itishighlyadaptedthrough

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experiencetohelpnavigatelife.Awell-adaptedcontrolsystemfeelseffortlesstoexecute,

justasawell-practicedhabitdoes.

Whileinstinctsmaybethepropulsiveforcethatdefinewhatweneed,control

systemsdeterminehowthoseneedsareachieved.Asaresult,Powerssaysthehierarchyof

controlsystemsdefineus,justasDeweysaidtheinterpenetrationofourhabitsdo.Weare

ourcontrolsystems.Weareourhabits.Theseareequivalentstatements.

ManyoftheVeblenianinstinctshaveaPCTexplanation.Forexample,idlecuriosity

dependsuponfirstsensinganerror.Afterall,asthestorygoes,themostimportantwords

inscienceare“Huh,that’sfunny.”Somethinghappenedthatwedidn’texpect,showingour

preconceptiontobeinerror.Apreviouslyestablishedreferenceisrequiredtowonderwhy

somethingisonewayandnotanother.Anunderstandingofhowtheworldworks

sufficienttoreliablymakesuccessfulpredictionscanbeconsideredastepinachieving

controlofthatworld.Whenpreviouslyreliablepredictionsfail,resolvingtheerrorthrough

controlsystemreorganizationopensapathtobothgreaterknowledgeandgreatercontrol

inthefuture.

Anothernameforthisprocessofgraduallygaininggreatercontroloverone’s

environmentis,ofcourse,workmanship.Veblenintuitedthisinstinctlargelyonthebasisof

whatisrequiredfromanevolutionarystandpointforhumanstohavecontinuallyimproved

theirabilitytoapplymeanstobringdesiredendsintobeing.Insofarasthoseendsare

biologicallyrequired,theyinturnhaveintrinsicreferencesthatmustbemaintained.The

meanstothoseendsimproveovertimeusinganevolutionarymethodofrandomtrialsand

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selectivelyretainingthosemethodsthatdoabetterjobofmaintainingthosereferences.In

thisway,higherlevelsofcontrolintermsofimprovedefficiency,reliabilityand

minimizationofeffortisobtained,i.e.,higherlevelsofworkmanship.BothVeblenand

Powersviewthisevolutionarymethodoflearningassomethingthatappliestoindividuals

learningaskillaswellasthespeciesdiscoveringnewtechnologies.Thesearchforgreater

control,liketheinstinctofworkmanship,leadstoimprovementsintheproductivelifeof

thecommunity.

Ofcourse,therecanbenolifeofthecommunitywithouthumanlifecontinuing.

Hencemuchofourcontrolsystemshaveevolvedtostabilizetheenvironmentenoughto

supportthelifeneedsofhumanity’smostvulnerable—itsinfantsandchildren.Yethuman

survivalalsorequiressurvivalofthegrouptowhichwebelong.Thenecessityof

simultaneouscontrollingforgroupaswellasindividualsurvivalprovidesanexplanationfor

thedevelopmentofinstinctofparentalbent.

Buttheconceptofcontrolgoesbeyondidlecuriosity,workmanshipandparental

bentbecauseitaccountsfortheself-regardinginstinctsaswell.Forexample,predationis

alsoaformofcontrol,butitinvolvescontrollingone’sownreferencesbycontrollingothers

withoutconcernforviolatingtheirreferences.Emulationoccursbecausethosewhomwe

observecreatereferencesthatwethenstrivetoperceiveourselvesasachieving.Which

referenceswechoosetoemulateisbasedlargelyonwhomweperceivetohavethemost

control,explainingwhySmithfoundweseemtohavegreatersympathyfortherichthan

thepoor,aswellaswhyprocessesofcollectivecontrolresultinsocialreferencesthatmore

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nearlymatchthoseoftherich.Judgingrelativelevelsofcontrolthenformsbasisfor

making“invidiousdistinctions”amongindividualsandgroups.

Controlalsohelpsexplainthosebehaviorsthatarein-betweenother-andself-

regarding.Forexample,controlcanaccountforcooperativebehaviorsuchasreciprocity.

Likepredation,reciprocitycanbeviewedasameansofcontrollingthebehaviorof

others—i.e.,Idoforyoutodaysothatyouwilldoformetomorrow.Butunlikepredation,

reciprocityallowsbothpartiestoachievetheirreferencesbyessentiallyestablishingwhat

Taylorcallsaprotocol.

Dewey,forhispart,didnotfindcategorizinginstinctstobeuseful.“Itisunscientific

totrytorestrictoriginalactivitiestoadefinitenumberofsharplydemarcatedclassesof

instincts”(Dewey,1922/1988,p.92).Callingthisa“falseabstractionism,”hegoesonto

saythat,“Theoristsdifferonlyorchieflyastotheirnumberandranking.Somesayone,

self-love;sometwo,egoismandaltruism;somethree,greed,fearandglory;whiletoday

writersofamoreempiricalturnrunthenumberuptofiftyorsixty”(p.92).

ForDewey,eithertherearetoomanyinstinctstobeusefulortheyessentially

boileddownto“lifeislife”(Dewey,1922/1988,p.95).Eventhedistinctionbetweenself-

andother-regardinginstinctsdidnotmakesensetohim.Lifemustpreserveitselfifisto

remainalive,andweareallbornhelplessso“everypersonlearnstorecognizetosome

extentthequalityofanactonthebasisofitsconsequencesintheactofothers”(p.106).

ThisfocusontheprocessesoflifeallowsDeweytofindcontrolamoreimportant

conceptforexplaininghumannature,thoughhedoesn’tusethatvocabulary.Dewey’s

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worksquareswithPowersinthatwhatweobserveasbehaviorislargelyactionsina

negativefeedbackloopintendedtomaintainpreviouslyestablishedreferences.“Thetruth

isthatineverywakingmoment,thecompletebalanceoftheorganismisconstantly

interferedwithandasconstantlyrestored….Lifeisinterruptionsandrecoveries”(Dewey,

1922/1988,pg.125).Thatrestorationisthefunctionofhabitundernormalcircumstances.

However,“Withconflictofhabitsandreleaseofimpulse,thereisconscioussearch”(p.

126),thatis,deliberation,whichendswhenhabitsarereintegratedandcontrolsufficient

tomaintainreferences—orinDewey’sterm,balance—isagainachieved.

Whatperceptualcontrolsystemsofferisaclarificationandgeneralizationof

Dewey’sconceptsofhabit,conflictanddeliberation.First,itavoidstheuseofaword

“habit,”whichtomostconnotesrepetitionorunthinkingresponsestostimulusorcue.

Deweyhimselfwasuncomfortablewiththewordbutthoughtitcameclosesttothe

concepthehadinmind(Dewey,1922/1988,p.31).Aperceptualcontrolsystemclarifies

thatwhatisheldconstantunderavarietyofconditionsisourperceptionofachievingone

ofourpurposes,nottheactionsusedtoachievethisperception.Wecontrolourinputs,

notouroutputs.

Second,itmakesmoreprecisewhatDeweymeantwhenhesaidhabitsarearts.

Controlsystemsarelearned,finelytunedthroughreorganizationovercountlessexposures

torealitytomoreassuredlyprotectwhatisessentialtooursurvivalfromacomplex,

dynamicandever-changingenvironment.Moreover,theconceptofahierarchicalcontrol

systemmakesclearerhowahabitcanbeflexibleandintelligent.Higherlevelsshiftthe

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referencesoflowerlevelswhenperceptionsdeviatefromreferences,sowhilethe

structureofthecontrolsystemismoreorlessfixed,thatstructurecreatesasystemthat

canadapttoawiderangeofdisturbancesintheenvironment.Andifthatstructureproves

insufficienttoreduceerror,thewholestructurecanevolveviareorganizationtobecome

evenmoreintelligent—i.e.,todoanevenbetterjobofaccomplishingpurposesbykeeping

perceptionsnearreferences.

Third,Dewey’sdesireforabroadconceptionofhabitsometimesstretchesitsuse

beyondrecognition,whileperceptualcontrolsystemsmoreeasilyaccommodatethis

conception.Forexample,Deweysays,“Concretehabitsdoalltheperceiving,recognizing,

imagining,recalling,judging,conceivingandreasoningthatisdone”(Dewey,1922/1988,p.

124).Aperceptualcontrolsystemclarifieswhatpartofahabitisperception,whatpartis

judging(comparingtoreferences),whatpartisrecollectionandhowimaginationand

reasoningtakeplaceasthehierarchyisruninimaginationmode.

Yet,despiteDewey’sbroadconceptionofhabit,hestopsitatthepointof

knowledge.“Yethabitdoesnot,ofitself,know,foritdoesnotofitselfstoptothink,

observe,remember”(Dewey,1922/1988,p.124).Deweyseekstoclarifythathabits“know

how”todothings,buttheydonot“knowofandabout”them.“Knowledgethatinvolves

reflectionandconsciousappreciationisofadifferentsort”(p.125).

Howcanhabitsdoallthinkingandreasoninginthefirstquote,andstillbesaidnot

toknow?Thisisconfusing.Clearly,Deweyseekstocarveaspacefordeliberationthatis

differentthanhabit.PCTdoestoo,butdoesnotrequiresettingupanontological

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distinction.ForDewey,theconditionthatcausesdeliberationtobeginiswhenhabitis

stoppedbyconflict,releasingimpulse.AsdescribedbyWebb(2007),thisirritating,

disturbedorotherwiseuncomfortable(Dewey’swordis“indeterminate”)situationisfelt

asanexistentialimbalanceakintohunger.Suchanimbalanceinitiatesasearchfora

solutionthatbringsthediscomforttoanend,thatis,wherewhatisdiscoveredduringthe

inquiryprocessisre-integratedwithwhatwasknownbeforesothatthesituationagain

becomesdeterminate.

Thus,deliberationbeginsnottopaperoveroravoidtheconflictbutto“uncoverthe

conflictinitsfullscopeandbearing”(Dewey,1922/1988,p.150),emphasisintheoriginal).

Manyalternativesareexaminedandtheirconsequencesevaluatedindramaticrehearsalin

theminduntilonesetisfoundthatresolvesthesituation.Deliberationendswhena

decisionismade.

InPCT,deliberationiscausedbyexperiencingthesamekindoferrorcondition—a

conflictbetweencontrolsystemscausingcontroltocease,creatinganintrinsicerrorakin

tohunger.Thisbeginsaprocessofreorganization,whichisalsoaprocessforsearchinga

solutionspace.ButE.colireorganizationisamoreclearlyspecifiedsearchprocess.Itisone

ofrepeatedstopsandstarts,headingoffinadirectionthatseemspromising,onlytofind

thesituationworsensandhavingtoheadoffinadifferentdirection.Itgiveslesscredence

torationalthoughtandmoreemphasisonthekindofexperimentationthatwasatthe

heartofDewey’sapproachtoproblem-solving.AsDeweyhimselflaterstates,“Thetruth

canbeboughtonlybytheadventureofanexperiment”(Dewey,1922/1988,p.163).

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ThismakesreorganizationinPCTamoregeneralproblem-solvingmethodology

thandeliberationbecauseitmayormaynotoccurconsciously,dependingonwhetherthe

errorisoccurringinalowerorhigherportionoftheperceptualhierarchy.Onlywhenthe

errorperceivedoccursatsufficientlyhighlevelsdoesitinvolvereflectionanddeliberation.

High-levelerrorsthencausethementalswitchestobethenthrowntoenterinto

imaginationmode.Inimagination,thesamehypothesizingandevaluationofideasoccurs

asdescribedbyDewey’sdeliberation,butPCTdescribestheprocessofconductingitasone

ofusingtheexactsamehierarchyofthesamecontrolsystems—i.e.thesamehabits—that

areusedforaction.Thehierarchyissimplyslightlymodifiedtoturnoffactualactioninthe

environment,withmemoryofprioractionsandtheirimpactontheenvironment

substitutinginstead.

Asaresult,deliberationdoesnotrunoutsideofhabit.Itusesanapproximationof

habitsinaction—i.e.,therecalledperformanceofcontrolsystemsinteractingwiththe

environment—astheonlyknowledgewehavetothinkwith.Inessence,deliberationis

thensimplyaparticularkindofoutputfunctioninPCT,oneusingthoughtratherthan

musclestoreducetheerrorinanimaginedperceptionoftheworldrelativetoaninternal

referenceofwhatisgoodandright.Theperceptionsinvolvedinmakingsuchmoral

judgmentsmayinvolvethehighestlevelsofprincipleandsystemconcept,butsolving

problemsatthatleveldoesnotrequireinvokinganewontologicallevelofunderstanding.

Assuch,PCTprovidesamoreunifiedframeworkforproblem-solvingthanDewey’s,where

deliberationrunsoutsideofhabitinordertotameit.

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ThisisagainacasewherePCTisperhapstruertoDeweythanDewey,asthehabit

hemostseekstoengenderisthehabitoflearning.Bydescribingdeliberationinthesame

unitsashabitsandusingthesamesystemsashabits,PCTbettershowshowlearningfrom

deliberationis,itself,aformofhabit.

WhilePCT’sabilitytoclarifyandgeneralizehabit,conflictanddeliberationare

important,whatisperhapsevenmoreimportantisthatcontrolsystemsprovideabetter

bridgebetweentheindividualandthesocial.OIEmustmakeanontologicaljumpfrom

habitattheindividualleveltoinstitutionatthesociallevel.ButPCTallowsforamore

gradualtransition,onewhereaconsistentframeworkcanbeappliedacrossdifferentlevels

ofsocialcomplexity.

Forexample,Dewey(1922/1988,p.216)describesaprocessbywhichachild

beginstounderstandwhatisimportantforbehaviorbyjudgingthereactionoftheadults

whosurroundtheyouth.Thisessentiallyproducesasmallcollectivecontrolsystemwhere

theparents,whohavemorepower,establishareferencefor,say,nothittingother

children,thatthechilddoesnotpersonallyhavebutlearnstoadopttoavoidsufferingthe

errorscausedbyparentaldisapproval.Thisadoptionitself,however,causeserrorsinthe

child’snormalmeansofcontrollingitsenvironment,andsetsoffareorganization.With

controlsystemsthataremoreflexiblethanadults,thisresultsinmostchildrenadopting

differentreferencesfortheirownbehavior,thusinternalizingthereferencesoftheparents

toeliminatetheconflict.

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Interestingly,suchasystemofcollectivecontrolproducesanewstable

configurationthat,uponrepeatedexperience,canbecomeanewjointlyheldreferencefor

somethingthatdoesnotexistattheleveloftheindividual—inthiscase,household

harmony.

Asthecircleofindividualsinvolvedinthecollectivecontrolsystembroadens

beyondthehousehold,somaythereferencethatisjointlyheld—say,fromhouseholdto

socialharmony.Atthislevel,itisunlikelythereferenceswillmatchpreciselyacross

individualsandwhatwillbeestablishedisinsteadacollectivecontrolsystemwithavirtual

referencethatisthegain-weightedaverageofthereferencesofthesystem’smembers.

Still,suchacollectivecontrolsystemmayevolvethenecessaryperceptionsandrolesto

becomeafull-blownsocialperceptualcontrolsystem.Suchasystemnotonlypossessesa

jointlyheldpurpose/reference,buttheabilitytoperceivewhenthatpurposeisbeing

achievedornot,andwhennot,theabilitytocontinuallyadjustitsbehavioruntilcontrolis

successfulreestablished.

Forexample,inthesocietyatlarge,themediaclearlyplaytheroleofperceptual

functionsthatdeterminewhatisrelevanttoobserve.Critics,decision-makersofallkinds,

publicandprivate,andevenpublicopinionperformtheroleofcomparatorsdetermining

whethertheirperceptionsofwhat’soccurringmatchestheirgoalsforpublicsafetyor

accountabilityorprofitability.Ifnot,thentherearethosewhosejobitistobringthe

perceivedrealitybackinlinewiththegoalsthroughoutputssuchaslegislation,policing,

regulationorjustplainwork.

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Itmightbethecasethatgenerallypeopleintheserolesoperatesufficiently

independentlythattrueperceptualcontrolisnottypicallyachieved.Thatis,following

Taylor,whilewecansaythatorganizationalcontrolsystemsexist(sinceorganizationshave

purposestheyareabletoachievebycontinuouslyvaryingtheiroutputsinordertobetter

bringperceptionsintolinewithreferences),full-fledgedsocialcontrolsystemsofthetype

alludedtoabove,wherethereissimilarclarityofpurpose,coordinationofoutputsand

sufficientagreementofperceptiontobetrulyperceptualcontrolonasociety-widescale,is

aspecialcase.

GiventhewidespreadnatureofFeagin’s“whitesocialframe”however,thegroup

purposeofwhitesuperiorityitmaintains,andthemanydocumentedmechanismsinplace

totransmititsperceptionacrosstheworldandmaintainitacrossgenerations,weargue

thatinstitutionalracismqualifiesassuchaspecialcase.MorethanMcClelland’sgiant

virtualcontroller,atruesocialperceptualcontrolsystemisatwork.Thisisthenatureof

differentialpower;indeed,itisadefinitionofit.Thosewithpowerhavegreaterabilityto

maintaintheirperceptionoftheworldneartheirreferenceforhowtheworldshouldbe,

regardlessofwhatotherpeople’sreferencesmightbe.

Likeagiantvirtualcontroller,asocialperceptualcontrolsystemhasreferencesthat

don’tmatchanysingleindividual,perceptionsthatarenotsharedbyanysingleindividual,

outputsthatdependonavarietyofindividualsperformingseparateroles,andsoappears

tohaveamindofitsown.Butitactuallyhasitsownpurposes,itsownintrinsicreferences

needingtobemetfortheentiresystemtosurvive,withtheindividualswhocomposeit

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playingthepartofinputfunctionsgeneratingperceptionsandoutputfunctionstocontrol

themtothesystem’sintrinsicreferences.Atheorybasedonperceptualcontrolsystems,

therefore,mayhelpexplainexactlyhowaseparateontologicallevelemerges,asSawyer

(2005)requiresforanadequatesocialtheory(thoughMcClellandwoulddisputethis).

Liketheindividualperceptualcontrolsystemsuponwhichitisbased,asocial

perceptualcontrolsystemisresistanttochangeandhasrealpower,thepowerofhabiton

asocialscale.AsyoubecomeapartofmycontrolsystemsandIbecomeapartofyours,

theleastcoststabilitypathsthatareconstructedintheenvironmentencouragean

alignmentofperceptionsinadditiontoreferencesand,asaresult,thesebecome

increasinglyprevalentamongourgroup.Astherangeofperceptionsandreferences

narrow,thismakesthemmorestableand,converselymakesintroducingchangeintosuch

socialperceptualcontrolsystemsevenmoredifficult.Oneresultofthisstabilityof

perceptionandreferenceistoallowthedevelopmentofgroupenforcementmechanisms

tomaintainthoseperceptionsnearthereferences,mechanismsthatareoftencoercive.

Veblen’swordforsucharesistant,resilientandprevalenthabitofthoughtis,of

course,aninstitution.Itispositedherethatsocialperceptualcontrolsystemsare

analogoustoinstitutionsinthesamewaythatindividualcontrolsystemsareanalogousto

habits.Byclarifyingwhatismeantby“habit,”controlsystemsalsohelpclarifythemeaning

ofaninstitution.Veblen’sdefinition—a“prevalenthabitofthought”—isusuallyreadwith

theemphasisontheinstitutionbeinga“prevalentthought”inthemindsofitsmembers.

ButVeblen’sinclusionoftheword“habit”wasnotaccidental.Aninstitutionismorethana

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thought,nomatterhowprevalent.Itisathought—areference,inPCTterms—resistantto

disturbances,thathasenforcementmechanisms(outputfunctions)andlearned

perceptionstoreinforceit.Itisprevalentthought,asocialreference,withtheforceof

habitbehindit.

NotethatthiscomportswellwithBinmore’s(2006)notiondrawnfromgametheory

thatthegameoflife,asopposedtosomeofthetoygamesoftenassociatedwithgame

theorylikePrisoner’sDilemma,oftenprovidesmultipleNashequilibriaforasocietyto

choosefromwhencoordinatingbehavior.Forexample,whogenerallygetstogothrougha

doorfirstwhenbotharriveatthesametime,anoldpersonorayoungperson?Theanswer

willbenefitonegroupandhurttheother.Butlifeisarepeatedgame,andsothereare

opportunitiesforthechoicetoevolveovertime.Binmoreallowsthatthechoiceisoften

notrandom,butdrivenbythe“underlyingpowerstructureofasociety(p.24).”Oncean

equilibriumischosen,however,itisdifficultforasocietytomovetoadifferentone

becausethenatureofanequilibriumisthatitisessentiallyself-policing;itincludes

mechanismstorestoretheequilibriumifdisturbed.Thisisapropertyidenticaltothatof

socialperceptualcontrolsystems.

Table1summarizestherelationshipbetweenPCTandOIEtheoreticalconstructs,as

wellasPCT’scontributiontothem.Briefly,controlwrapsaunifyingframeworkaroundthe

Vebleniandichotomybetweenself-andother-regardingpropensities.Ittakesthefuzzy

conceptofhabitandgivesitamoreexplicitspecificationasacontrolsystem.Thisallowsus

topeerinsidetheblackboxsurroundingtheconceptofhabittobetterunderstandhow

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theyformandhowtheychange.Byusingcontrolsystemsastheunitofanalysis,PCTopens

upthepossibilityofmodelinghowthehabitsofindividualsinteract,coevolveandbecome

prevalent,i.e.,becomesocializedasinstitutions.Byenablingtheviewofinstitutionsas

evolvedsocialperceptualcontrolsystems,PCTofferstheabilitytospantheontologicalgap

betweenhabitandinstitution—botharecomposedofthesamestuff,thatis,perceptual

controlsystems.Asaresult,theconceptofacontrolsystemsitsatthenexusbetweenthe

individualandsociety,joininghabitandinstitution.allowingacompletejourneyfrom

instincttoinstitutionandbackagainwithhabit—i.e.,perceptualcontrolsystems—playing

thekeyintermediaryandunifyingroleatthenexusbetweentheindividualandsociety.

Table1.CorrespondencebetweenOIEandPCT.

OIE PCTAnalog PCTContributionInstinct Control Veblen'sseparateinstinctsare

unifiedasdifferentaspectsofcontrol,makingthemmoreconsistentwithDewey.

Purpose Reference Intrinsicreferencesarethoserequiredtobekeptwithinanarrowrangefororganismsurvival

Habit Perceptualcontrolsystem ClearerspecificationofwhatismeantbyhabitandhowsomethingmostpeopleconsiderbadcandoallthegoodthingsDeweyinsiststheycan

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OIE PCTAnalog PCTContributionHabitsarearts,positiveagencies

Perceptualcontrolsystemsarefinelycalibratedthroughexperiencetoachievepurposesunderavarietyofconditions

Essenceofhabitisinnowayrepetition

Essenceofaperceptualcontrolsystemisachievingthepurposesneededforlife

Habitsareflexible,intelligent

Controlsystemsarearrangedinalearnedhierarchythatadjuststotheenvironmentasitchanges.Themorecontrolsystems,andthebetterintegratedtheyare,thebroadertherangeofdisturbancestowhichtheycanadjust.

Deliberation Runningtheperceptualhierarchyinimaginationmode

Deliberationneednotrunoutsideofhabittotameit.Deliberationuseshabitsasencodedintomemoryandthecurrenthierarchytoconducttherequireddramaticrehearsals.Habitcanknow,canreflect.Thereisnomodeofthinkingoutsidethehierarchy.

Conflictbetweenhabitsstopstheirsmoothoperation,releasingimpulsetoharmonizethemthroughdeliberation

Conflictbetweencontrolsystemscreatesuncontrollederror,initiatingE.colireorganization.

Changecanoccurwithoutconsciousdeliberation.Randomchangessearchthesolutionspace,andchangecontinuesinaparticulardirectionsolongaserrorisreduced.

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OIE PCTAnalog PCTContributionInstitutionas“prevalenthabitofthought”

Socialperceptualcontrolsystem

Habitattheindividuallevelandinstitutionsatthesociallevelaremadeofthesame"stuff"-Perceptualcontrolsystems-easingthetransitionbetweentheseontologicallevels

Institutionsbecomeprevalentthroughtechnologicalchangeandemulation

Institutionsbecomeprevalentbecausetheyareneededtoestablishcontrol.

Hierarchyisfunctionalinthatitspeedscontrolandreducesconflict.Least-coststabilitypathsmakedevelopingandmaintainingsomeperceptionseasierthanothers.Collectivecontrolensuresreferencesareweightedtowardthosewiththemostnumbersandpower.

Institutionaladjustment-choosingwhatshouldbedonebythosewhomustaltertheirbehavior

E.Colireorganizationatthelevelneedingtochange

Socialchangecanoccurwithoutconsciouschoicebythosecurrentlybenefitingfromthecurrentarrangements…butonlyifawarenessisshiftedtotherightlevelofthehierarchy,agradientofchangecanbecreatedandrandomexperimentscanbegeneratedinresponsetoconflict.

CombiningPCTwithOIEblendsanevolutionarytheoryofmindwithanevolutionary

theoryofeconomicsandproducesabetter-integratedtheoryofindividual,social,and

economicchange.Italsoprovidessomecluesastohowa“small,committedgroup”of

individualsmightintentionallyguidetheevolutionofthelargersocietytowardeliminating

theinstitutionalracismembodiedintheurbandevelopmentstrategyof“containmentplus

sprawl.”

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Thatsocietiesmightbethoughtofascomposedofsocialperceptualcontrol

systemsmeansthattheycanbesaidtohavetheirownintrinsicreferences—references

thatmustbemaintainedforthesocietytosurvive.Whensomethingcausesthesocietyto

perceiveanerrorinthoseintrinsicreferences,andthaterrorpersists,itcaninitiatea

periodofreorganizationproducingnewreferencesandnewcontrolsystemsuntilthe

intrinsicerrorisreducedtotolerablelevels.Atthatpoint,thesocialorderhas,infact,

changed.

Theissuesforconsciouslyguidingevolutionarysocialchangethenaretwo-fold.

First,howcanasmallsetofindividualsoraminoritygroupcauseandmaintainanerrorin

themajority’sperceptionoftheirsocietythatisimportantenoughtostarttheprocessof

reorganization?Second,howcanthereorganizationprocessbemanagedtomakesurethe

changesreliablymovesocietyinthedesireddirection?Thesearethequestionstowhich

wewillturninthenextchapter.

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CHAPTER4

TOWARDACONTROLTHEORYOFMINORITY-DIRECTEDINSTITUTIONALCHANGE

Wenowattempttoapplytheunderstandingofsocialperceptualcontrolsystems

developedabovetotheissueinstitutionalracismwithwhichwebegan.Wehaveposited

thatinstitutionalracismisactuallyanexampleofasocialperceptualcontrolsystemat

work.Ifso,what,exactly,isitsintrinsicreference?

RecallthatCharles(2005)consideredthreepossibleexplanationsforracial

residentialsettlementpatterns:First,itcouldbethatclassistherealdriverandthatraceis

merelybeingusedasaproxy.Second,perhapsallgroupsareethnocentricandsonaturally

haveapreferenceforlivingwithotherslikethemselves.Finally,perhapspreferencesare

drivenmorebyprejudiceagainstan“out-group”thanbydesiretolivewithco-ethnics.She

designedaninnovativesurveytechniquetodisentanglethesealternativeexplanations

that,fromaPCTperspective,allowedhertoconductatestforwhichparticularracial

perceptionwhitesarecontrollingwhentheymakeresidentiallocationchoices.Shefound

thatthecontrolledvariablemostconsistentwiththedatawasaparticularvariantofthe

out-groupprejudiceexplanation—thatofmaintainingrelativegroupposition.Thatis,white

residentiallocationchoicesweremadetokeeptheminasuperiorpositionrelativeto

blacksandmaintainasmuchsocialdistancefromthemaspossible,notsimplytoavoid

contactwiththem.

ThisisentirelyconsistentwithFeagin’s(2013)thesisthattheexistenceofawhite

racialframehasatitsheartareferenceformaintainingwhitesuperiority.Thismythof

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superioritywascreatedinordertogeneratethesocialdistanceandemotionaldetachment

requiredtoenslaveotherhumanbeings.Itisnearlyfourcenturiesinthemaking,partof

thenation’sfoundingdocumentsandthestructureofitsgoverninginstitutions.

IntheirreviewofthehistoryofracialattitudesfromtheGeneralSocialSurvey,

Bobo,Charles,KryzenandSimmons(2009)similarlyfoundthatwhiteattitudestowardof

blackscontinuetoexhibitaperceptionofconsiderablesocialdistanceandemotional

detachmenttothisday,withwhitesblamingblackcircumstancesonblackculture.

Moreover,whattheytermcollectiveracialresentmentsare“thesinequanonofthenew

racialideologicalregimeinAmerica,”asrepresentedbythe“beliefthatblacksare

singularlyundeservingof‘specialtreatment’”intheformofpublicpolicyand“shouldjust

sinkorswiminthemodernfreemarket.”(p.41)

Thisworkprovidessupportfortheideathatwhitesuperiorityisakeyintrinsic

referencethattheprevalentsocialperceptualcontrolsystemactivelydefends.Yetsucha

nakedlydiscriminatoryreferenceislittlespokenofinmostsettings.Recallthefive

AmericanvaluesdescribedearlierthatBriggsidentifiedasbothunderlyingthe“uneven

geographyofopportunity”andservingtomakeitarelativelyinvisiblesocialproblem

today:

1) Theattractivenessofaplacecanbebestjudgedbythestatusofthepeoplewho

livethere.

2) Communitiesaredefinedbythehomogeneityofrace,classandhomevalues.

3) Politicaldecisionsshouldbemadeatthelowestpossiblelevelgovernment.

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4) Marketsarecapableofmeetingallneeds.

5) Incomeisdeterminedbyindividualeffort.

These“Americanvalues”cannowbeseenasprovidingideologicalcoverforareferenceof

whitesuperiority.Theyarethinly-veiledsubstitutereferences,onesthatcanbespokenof

in“politecompany”buthavetheeffectofcementinginplaceracialdisparitiesand

justifyingtheircontinuationastheresultofdeficienciesinminorities,bothasagroupand

individually.

Giventhisintrinsicreferenceforwhitesuperiority,thenitislittlewonderthatthe

strategyofcontainmentplussprawlasdescribedbyBriggsemergesasoneofthemost

importantoutputfunctionstheprevalentsocialperceptualcontrolsystemusestodefend

it.Physicaldistancepromotestheemotionaldistanceand,asdocumentedbyCharles,

prejudicialattitudesofwhitesagainstblacksaresignificantlystrongeriftheyhavelittleor

noexperiencelivingorworkinginraciallyintegratedenvironments.

Meanwhilethe“unevengeographyofopportunity”thatresultsperpetuatesthe

economicadvantagesofthemajorityovertheminority,therebyreinforcingperceptionsof

whitesuperiority.Disparitiesinwealthcreatedisparitiesinequalityofopportunity,and

suchdisparitiespersistbecausethemajoritycanavoidtheconflictofseeinganddealing

withtheproblemscreatedbyhigh-poverty,largelyminorityareassimplybymovingaway

fromthem,andthenblamingthepoorfortheirpoverty.

Thatthefactofthecontainerremainsdespitesignificantdisturbancesintheform

ofbothadoptionofnewtechnologiesandchangesinlawregardingschools,housing,

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votingandemploymentisexactlythekindofresilienceonewouldexpectfromacontrol

system.Whilesuchlegalandtechnologicaldisturbancesmaytemporarilycreate

environmentsthatmakeithardertoholdontoperceptionsofwhitesuperiority,the

capacityofrealestatepracticestoreorganizehasthusfarprovedmorethancapableof

simplyadjustingtheshapeofthecontainerinordertoleavefactofcontainmentplus

sprawl,alongwiththeracialdisparitiesinopportunitiesitcreates,essentiallyintact.

Theminoritieswhoaresocontainedexperienceonadailybasisconditionsof

deterioratinginfrastructure,poorschools,vacantstructures,highcrime,inadequate

housingandlackofaccesstoeconomicopportunity.Whileallwholiveinconcentrated

povertyexperiencetheseconditions,inmanymetropolitanareas,theydisproportionately

impactAfrican-Americans.Forexample,inmetropolitanKansasCity,approximately70

percentofpoorblacksliveinurbancorecensustractswherepovertyrateisatleast20

percent,comparedtoonly15percentofpoorwhites(MARC,1993).Consistentwith

Galster’smodelofcumulativecausation,suchconditionscauseminoritiestoexperience

economicdeprivation,whichisanotherwayofsayingtheirintrinsicneedsaren’tbeing

met,causingthemtolivewithhighlevelsoferrorintheirintrinsicreferences.

Livingwithconstanterrorislikelythesourceofthedepression,angerandapathy

thatGalsterseesasthesourceofnon-standardbehaviors—welfaredependency,drug

abuse,crime,unwedpregnancies—thatfurtherreinforceprejudicesofthemajorityagainst

theminority.Infact,followingPowers,thosenon-standardbehaviors,whilecalled

“deviancy”bythemajority,areactuallytheresultofautonomouscontrolsystems

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innovativelyseekingtoreducetheerrorsperceivedusingwhateveravenuesareopento

them.Whiledrugabusealtersthoseperceptionsdirectlywithoutchangingtheconditions

actuallycausingtheerror,somenon-standardbehaviorscitedbyGalster,suchaswelfare

dependency,representanattempttominimizetheeconomicdeprivation,whileothers,

suchasgangparticipationresultingincrime,maybeanattempttoregainsomeofthe

esteemlostasaresultoftheeconomicdisparitiesrelativetothemajority.

Galster’scriticismsofthethreedifferentkindsofpolicyinterventionsaimedat

reducingtheblackunderclass—“breakthelinkages,”“reversethecycle,”and“establisha

parallelsystem”—alsoshowawarenessoftheexistenceofasocialperceptualcontrol

system,thoughhedoesn’tcallitthat.Hecharacterizes“breakthelinkages”asastrategy

thatfocusesoneliminatingonelinkinthechainofcumulativecausation,andcriticizesitas

leavingtoomuchoftherestofthesysteminplace.Toacontrolsystem,suchasingle

changeissimplyadisturbanceitisorganizedtodefendagainst.Hecriticizes“reversethe

cycle”asleavingtheattitudesofthemajorityunchanged,sothatpoliciessuchas

dispersingaffordablehousingthesuburbshavemixedresults.Acontrolsystem

encapsulatessuchattitudesasreferences,andtheintrinsicreferenceforwhitesuperiority

hasprovedresilientinthefaceofdramaticpolicyintervention.Solongasthisreference

remainsintact,whitescanoftenlimittheirexposuretoplaceswheresuchpolicyisbeing

appliedorusetheirconsiderablesocialandeconomicpowertoopposedirectlyit.Finally,

Galstercriticizesthestrategyto“createaparallelsystem”becauseitdependsonsupport

fromthemajoritytosurvive.FromaPCTperspective,heisrighttoquestiontheviabilityof

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thisstrategy,forsolongastheintrinsicreferenceofthemajorityremainsoneofwhite

superiority,minoritieslivingtheparallelsystemareunlikelytobeallowedtoachieve

outcomesequaltothoseofthemajority.

Asaresultoflivinginvastlydifferentenvironments,majorityandminorityhave

differentperceptionsanddevelopdifferentreferences.Dewey(1922/1988)understoodas

much:

Forsegregatedclassesdeveloptheirowncustoms,whichistosaytheirownworkingmorals.Aslongassocietyismainlyimmobilethesediverseprinciplesandrulingaimsdonotclash.Theyexistsidebysideindifferentstrata(pp.58-59).

Thenotionofcollectivecontrolsystems,however,suggeststhatthe“segregated

classes”arenotascompletelyseparateasDeweyimagined.Instead,theirreferences

inhabitthesamespaceandregularlyconflict,butthoseofthemajorityhavemuchhigher

gain.Asaresult,thevirtualreference,i.e.,thereferencethatissociallyexperienced,is

heavilyoralmostentirelyweightedtowardthemajority’sreference.Consistentwith

Galster,theresultfortheminorityistoconstantlylivewithrelativelyhighlevelsoferror

whilethemajorityisabletolivemostlyunawareofit.

Thatthemajoritycouldliveunawareandunconcernedoftheconflictexperienced

bytheminorityisexactlytheexpectedresultwhenaperceptualcontrolsystemisinplace.

First,suchcontrolsystemsorganizethemselvesintoautonomous,specialized,non-

conflictingsub-systems,asinthearmcontroldemoofPowers.Second,theyareorganized

inahierarchyinordertoaddressconflictsthatmaynotbeabletobesolvedby

reorganizationatalowerlevelandrequire“goingupalevel”tosetnewreferencesfor

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lowerlevelsthateliminatetheconflict.Third,thathierarchyitselfislikelyaresponseto

priorpersistentconflictthatrequiredevolutionofahigher-levelperception,anew

perspective,inordertoachievebettercontrol.Fourth,suchevolutionisnotrandom;itis

purposeful.Itisconsistentlypushedinadirectiondictatedbytheneedoftheoverall

systemtosurvive.Thosesub-systemsofthehierarchyresponsibleformonitoringthe

variablesintrinsictotheoverallsystem’ssurvivalinitiatereorganizationwhenintrinsic

errorsgrowsufficientlylarge,andtheyevaluatewhichchangesproduceimprovements.

Fifth,thereferencesforwhatisneededforsurvivalarelargely,thoughnotentirely,

determinedatthehighestlevelsofthehierarchy6(recallthatforPowers,instincts,which

arepresumablyrelatedtomaintainingintrinsicreferences,operateatthehighest,not

lowest,levelofthehierarchy).Theendresultis,sixth,awell-organizedperceptualcontrol

systemthatrarelyexperiencesintrinsicerrors.Lowerlevelscontrolwellandworksofast

thathigherlevelsaren’tawareoflower-levelerrors.Onlywhensucherrorspersist

unresolveddothehigher-levelsystemsengagetoresetreferencesor,ifnecessary,

reorganizethesystemitself.

Applyingthismodeltosocialsystems,peoplebecometheindividualcontrolsub-

systemsorthogonallyorganizedtominimizeconflict.Astheypursuetheirownindividual

6IdivergesomewhatfromPowershere,however.Powerssawthereorganizingsystemasseparatefromthelearnedhierarchyofcontrol.Iseeitasembeddedwithinthehierarchy,asPowersalsoallows.Powersdoesnotspecifyalevel,though,whileitmakesthemostsensetomethatwhatisintrinsictosystemsurvivalbeatop-levelfunction.MysuppositionissupportedwhenPowerssaysthatasonemovesupthehierarchy,thecontrolsystemsbecomemoregeneralandoperatemoreslowly,andthatthereorganizationsystemisthemostgeneraltypeofcontrolsystemconsidered.Thesetwoconditionsimplyitoperatesatthehighestlevels.

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goals,reorganizationyieldsindividualswhoengageinspecializedproductionandoccupya

varietyofsocialrolesthatallowthemahighdegreeofautonomy.Thoserolesarearranged

inhierarchies,mostclearlywithinformalorganizationsbutalsowithininformal

organizations(followingTaylor)andthesocietyasawhole.Thoseathigherlevelsare

typicallyresponsibleformaintaininghigher-levelperceptionsandhavethepowertodoso

bysettingthereferences(or,asPowersputsit,callingforththeperceptions)thatneedto

bereproducedbylower-levelsystems.Inorganizationalcontrolsystemstheymayset

referencesforpeopleatlowerlevelsbydirectlycallingfortheperceptionstobe

reproducedinacommandandcontrolenvironment.Inthelargersociety,thosehigherin

thehierarchymayinfluencereferencesindirectlybysettingexamplesthatthoselowerin

thehierarchyperceiveandthenemulate,followingSmith’sgreatersympathyfortherich

andVeblen’semulativeinstinct,orbyinfluencingtheconstructionofleast-coststability

pathsintheenvironmentthatreinforcethedesiredperceptionsandreferences.Following

McClelland,thosereferencesbecomeverystablethroughtheprocessofcollectivecontrol.

Asgenerationsunfold,thosebornintothereferencesandstabilitypathsseethemas

normalandnatural,nottheresultofapurposefulevolutionaryprocess.Infact,because

mostindividualsautonomouslypursuetheirowngoalswithminimalconflict,theyarelikely

toprotestthatanysuchlargersocialpurposesexist.

Theircooperativenatureispartofwhysuchsocialperceptualcontrolsystemsso

difficulttochange.Theautonomyofindividualsmakesithardtoperceivetypicalsocial

interactionsasapartofacontrolsystem.Thatwelearnthereferences,perceptionsand

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behaviorsofthosewhosurroundussoearlyinlifemakethemappearsasafactoflife

ratherthansociallyconstructed.Majorityorminority,higher-levelorlower-level,weall

learntocooperatetosomeextentwiththedominantsocialperceptualcontrolsystem,

becausetheconsequencesofnotcooperatingmakeitevenmoredifficulttocontrolthe

intrinsicvariablesforlife—food,shelter,transportation,andbeingvaluedbyothers.

Suchcooperationdoesnotmeanthereisacompleteabsenceofconflictorthatthe

cooperationisn’tatleastsomewhatcoerced.Infamilies,forexample,thereisoften

conflictamongmembersbutalsoenoughcooperationforthemtoformafunctioning

household.Yet,tocontroltheamountoffoodonthetable,theexistenceofaroofover

theirheads,gasinthetankoftheircar,andtheesteemoffriends,family,colleaguesand

neighbors,mostpeoplefinditeasiertoadoptthereferencesandbehaviorsofthosethey

interactwith.Evenperceptionsarenotgivenfromoutside;ratherwhatbecomes

importanttoperceiveislargelylearnedfromthepeopleandsituationsthatsurroundus.

Despitethecooperativenatureofsuchsocialperceptualcontrolsystems(hence,

wemayalsocallthemas“cooperativecontrolsystems”),thefactremainsthatits

referencesreflectaweightedaverageofthegoalsofthesystem’smostpowerfulandmost

numerousmembers.Thisweightingmeansthattheintrinsicreferencesforsurvivalofthe

overallsystemoftenmostcloselymatchthoserequiredforthesurvivalofthegroup

containingthemostpowerful,andoftenresultsinbehaviorstoprotectperceptionsofthat

group’sposition,asinthecaseofinstitutionalracismdescribedabove.Theabsenceof

conflictamongthoseinthemajorityservestokeepthispurposehiddenfrommost,

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allowingthemtoattributetheirsuccesstotheirindividualeffortsapartfromanyboost

givenbytheevolvedsystemstructure.Onlytherelativelysmallnumberofpeoplewhose

intrinsicreferencesareexperiencingsubstantialerrorsbecauseofthewaythesocial

perceptualcontrolsystemisworking,i.e.,minorities,arecontinuallyremindedofthe

existenceofasocialperceptualcontrolsystemwithitsownpurposes,onesthatare

differentthantheirown.

ThissetupdescribesthemostsalientfeaturesofFeagin’s“whiteracialframe.”It

alsoexplainswhyawell-organizedsocialperceptualcontrolsystemwouldevolvea

strategyofcontainmentplussprawl.Suchastrategymaintainsthereferenceforwhite

superioritywhileminimizinganyconflictthemajoritymightexperiencebyhavingmore

thanoccasionalcontactwithminoritieslivingintheconstanterrorinducedbyeconomic

deprivation,disinvestmentanddisparity.

Giventheabovediscussion,thedifficultyofchangingawell-organizedsocial

perceptualcontrolsystemcannotbeunderestimated.Nevertheless,thatitsevolutionwas

purposefullydirectedishopeful,becausewhatispurposefullydirectedcanbepurposefully

re-directed.However,thechangemustbeofaparticulartypetobelasting.Perceptual

controlsystemsonlychange,evolve,orlearnthroughaprocessofreorganization,andthe

necessaryconditionsforsuchareorganizationarefairlyclear.

Theprocessofreorganizationisinitiatedthroughtheexistenceofconflictthat

threatenstheintrinsicreferencesofthesystem.Suchaconflictisrelativelyeasyto

create—anyonecanstartafight—buthardtosustainandmanagesincethepowerofthose

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benefitingfromthecurrentsystemtoostracize,imprisonor,intheworstcases,killthose

whothreatenitmakesdirectconfrontationunlikelytoachievethedesiredsocialchange.

Instead,echoingFoster,reorganizationmustbedirectedtolevelneedingtochange,i.e.,

thehigherlevelsofthehierarchythatactuallyhavethepowertomakechangesthat

eliminatetheconflict.Assuch,awarenessoftheconflict,andindeed,theconflictitself,

mustbecomeinternaltothoseoccupyingthehigherlevels.

Sohowmightsuchareorganizationofasocialperceptualcontrolsystemproceed?

Itseemsthatthereareatleastfournecessaryingredientsforreorganizationtooccurin

PCT:1)large,persistenterrorinanintrinsicvariable,mostoftencausedby2)asignificant

conflictbetweencontrolsystems,3)theexistenceofahigher-levelcontrolsystem

operatingatthelevelofthesituationcausingtheconflictcapableofalteringthereferences

fortheconflictingcontrolsystemstoreduceerror—ifithadtherightparameters,and4)a

sufficientlysteepgradientforthoseparametersthat,oncetherandomexperimentationof

thereorganizationprocessbegins,canbedetectedandfollowedsothattheychangeina

directionthatreduceserror.Thus,whileconflictbetweencontrolsystemsmayinitiatethe

processofreorganization,thereorganizationistrulysuccessfulonlyif,intheend,the

resultisasubstantialreductioninconflictintheoverallsystem.

Itisclearthat#2and#4abovehavebeenpartofmostsocialchangemovements.

Abolition,women’ssuffrage,unionization,civilrights,women’srights,gayrightsallhave

usedconflicttoshiftawarenesstowardapartofthesocialsystemthatneedsreorganizing,

thenpersistedlongenoughandusedincreasinglyinnovativetacticstocreateagradientof

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change,sothatwhensocialsystemparameterschange,theychangeinthedesired

direction—i.e.towardthereferencesforgreaterequalityandtheincreasedjusticethatthe

socialchangemovementsaretryingtoestablish.

Howtheyuseconflicttogenerate#1-i.e.,large,persistentintrinsicerror-is,of

course,amajorissue.Whileviolencehasbeenapartofmanyofthesemovements,it

typicallystimulatesastrongpublicbacklashagainstthosewhouseitandsotarnishestheir

causes.Thus,violenceseemstofurtherthecauseofsocialchangemostsuccessfullywhen,

unfortunately,itisperpetratedonthoseseekingchangebythosewhopurporttobe

defendingthereferencesofthelargersociety.Thepublicrevulsionagainsttheviolence,

andthepublicsympathygeneratedforthevictimsofit,helpstomovereferencesaway

fromthosepreviouslyestablishedreferences.Yetthetragiclossoflifeandproperty

requiredtoproducesuchrevulsionmakesputtingpeopleinsituationswhereviolenceis

likelytobedonetothemandextremelycostlystrategy.

Bycontrast,whenviolenceisperpetratedbythosetryingtocreatesocialchange,

thepublicbacklashagainstviolencemostoftenhardensthesupportforthosepreviously

establishedreferences.Itcreatesanexternalconflictratherthananinternalone,andso

callsforthallthepoweroftheexistingcontrolsystem’spowertoresistdisturbances,which

ofcourseiswhatitwasdesignedtodo.Toavoidsettingoffthecontrolsystem’swell-

honeddefenses,creatingconflictusingnon-violentmeansisasurerapathtoshifting

awarenessinawaythatmighttriggerintrinsicerrorfromwithin,andatthelevelsofthe

hierarchythatarelikelytobecapableofchangingtheconflictualsituation.

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Non-violenttacticsarealsoasurerpathtocreatingaconsistent,steepgradientfor

changeinthedesireddirectionofthoseseekingit.Twomodernexamples,oneontheright

andoneontheleft,havesuccessfullyusednon-violentmeanstocreatethegradient

necessarytoshiftsocialreferences.Ontheright,businessesinthe1970sjoinedtogether

tomoreeffectivelycounterwhattheysawasattacksonthefreeenterprisesystemby

consumeradvocates,environmentalistsandcollegecampuses.Foreshadowedina1971

memobysoon-to-beSupremeCourtJusticeLewisPowelltotheU.S.Chamberof

Commerce(Powell,1971),businessgroupsformedandfundedeffectivelobbying

organizations,legaldefenseteamsandthinktankstocountertheseattacks.Theyalso

fundedpoliticalactioncommittees(PACs)tofinancethepoliticalcampaignsofboth

DemocratsandRepublicans,aswelltheirownresearchtocountermoretraditional

researchthatwasgovernment-funded(Schmitt,2015).Ultimately,organizationssuchas

theHeritageFoundation,theAmericanEnterpriseInstituteandtheCatoInstitute,aswell

astheadventofconservativemediarangingfromtheWallStreetJournaltotalkradioto

FoxNewssuccessfullyreframedissuesasbeingcausedbyalackofadherencetotraditional

Americanvalues,andinsodoing,wereabletotakeadvantageofwhiteAmerica’sfearof

thesocial,economicanddemographicchangesunderwayandreligiousAmerica’sfearof

moralrelativism.Asaresult,thoughtheystartedinthe1970sfromaminorityposition,

businessesandconservativegroupshavebeenlargelysuccessfulingainingsufficient

supporttomovethecountry’svirtualreferencesrightward,asevidencedbylawsto

decreaseregulationofbusinessandfinance,reduceaccesstoabortion,increase

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restrictionsonvotingrights,weakenunionsanddiminishsupportforaffirmativeaction,

whilestallingactiononcriticalissuessuchasglobalclimatechangeandhabitat

preservation.

Meanwhile,ontheleft,thoseseekingequalrightsforpeoplewhoaregaywereable

toadvancefavorableportrayalsonTVandinthemoviesthatshowedgaypeoplewiththe

sameproblemsandthesamehopesanddreamsaseveryoneelse.Also,theprocessof

“comingout"andthatfactthatsomewherebetween3and5percentofAmericansaregay

(Newport,2015)meansthatvirtuallyeveryextendedfamilyislikelytohaveatleastone

personwhoisgay,forcingevenveryconservativeindividualstofaceaconflictbetween

theirtheologyorideologyandmaintainingrelationshipswithpeopletheylove.Rising

awarenessandtheeffortsofgayrightsadvocateshavebeeneffectiveinshiftingreferences

ofthemajorityfromseeinggaypeopleasabnormaltoseeingthemasnormal,tothepoint

where63percentbelievegayandlesbianrelationsaremorallyacceptableand60percent

supportgaymarriage.ItwasinthiscontextthattheSupremeCourtruledonJune26th,

2015thattheconstitutionrequiresstatestoallowpeopleofthesamesextomarry.

Ofthetwocases,thesecondismorerelevanttoracialminoritiesseekinga

reorganizedsociety.Thefirstapproachreliesontheconsiderablepowerofthebusiness

communitytomovethegain-weightedvirtualreferenceofsocietyinitsfavor,but

substantialconflictremains.Forexample,amajorityofAmericansareopposedtocertain

conservativeprioritiessuchaseliminatingabortion(Saad2015a)andinfavorofcertain

liberalpolicies,suchasrespondingtoprospectstoclimatechange(Saad2015b).Notonlyis

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suchpowerunavailabletoracialminorities,thesecondcaseactuallysucceedsinchanging

thereferenceofthemajorityoftheAmericanpublic.Thisincludesbusinesses,asshown

whenseveralmajorfirmsinIndianaobjectedtothepassageReligiousFreedomRestoration

ActinApril2015thatallowedbusinessestorefusetoprovideservicesforgaymarriages,

whichwerealreadylegalinthestate.Asaresultofthestrongprotest,within48hours,the

governorandlegislatureamendedthelawtoprohibitsuchdiscrimination(Frizell2015).

Thebiggestissueinproducingminority-directedreorganizationofasocial

perceptualcontrolsystemis#3above,engagingacontrolsystematthelevelactually

causingtheconflictualsituationtoresetthereferencesofthelowerlevelssotheyno

longerconflict.Thisisparticularlydifficultwhenthereisdisagreementwhethersuch

higher-levelcontrolsystemsevenexist.Infact,theymightnot.Theremaynotyetbea

levelofthecurrentlydominantsocialperceptualcontrolsystemcapableofachievingthe

perceptions,theperspective,necessarytosolvetheconflictscausedbycontinuingracial

disparities.

Howhigherlevelsoftheperceptualhierarchycomeintobeing,isnotwell-defined

inPowers,butitappearslikelythathigher-levelperceptions,andsohigherlevelsofthe

perceptualhierarchy,evolvedoutofthesamereorganizationprocessthatallowsthe

currenthierarchytoadapttosituationscausingintrinsicerror.Recallthathigherlevel

perceptionsareconstructedoutofvectorsoflower-levelperceptions.Whenthecurrent

hierarchyisunabletoreduceintrinsicerrortotolerablelevels,therandomsearchingfora

directionthatreducesintrinsicerrormaysometimes,thoughperhapsonlyrarely,combine

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currentperceptionsinanewwaythatgeneratessomethingfundamentallydifferent,anew

wayofperceivingthings,ahigher-levelofperceptionthat,fromthisperspective,opens

newpathsforpotentialsolutionsandthepossibilityofevolvingnewoutputfunctionsto

takeadvantageofthem.Ifsuchanewperspectiverequirestheevolutionofnewphysical

perceptualmachineryornewcognitivecapacity(i.e.,new“wetware”),thensuchnew

levelsofperceptioncanonlyhappeninevolutionarytime-scales.Butifwhatisrequiredisa

newlevelofsocialperception,thensuchachangemayhappeninsocialtimescales.

Fromacontrolsystemsperspective,hierarchiesevolvebecausetheyarefunctional.

Persistentconflictisinherentlywastefulastheoutputlevelsofcompetingcontrolsystem

escalateintheirattempttoachieveincompatiblereferences.Hierarchiesarefunctionalin

thattheyreduceconflictandincreasetheabilitytocontrolthevariablesintrinsictothe

overallsystem’ssurvivaltotheirintrinsicreferences.Ahierarchicalperceptualcontrol

systemcalibratedtoitsenvironmentishighlyflexible,respondingquicklyandsurelyto

disturbances,muchlikeDewey’sflexibleandintelligenthabit.

Yet,whenawarenessoftheconflictonlyextendsmainlytoonepartoftheoverall

system,aminoritywhoseimpactonthesystem-widegain-weightedreferenceissmall,

hierarchiescanfreezethatconflictinplace.That,fromthestandpointofminorities,there

ismuchconflictbutnoreorganizationimpliesitisthewrongkindofconflict.Theconflict

remainsbetweencontrolsystems(oneofwhichisvastlymorepowerfulthantheother)

ratherthanwithinone,externalizedratherthaninternalized.Assuch,theseparatecontrol

systemsaredoingwhattheyaredesignedtodo,resistingoutsidedisturbancestothebest

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oftheirability,withoutevolvingacapacitytogoupaleveltoresetreferencesbasedona

perspectivefromwhichtheproblematicsituationcanactuallyberesolved.

Hence,theconflictbuildsuntil,asDeweyputsit,“mobilityinvadessociety”anda

crisiseruptsthatdemandstheawarenessoftheconflictandthereorganizationnecessary

todealwithit.Unfortunately,inthethrowsofsuchaneruption,thereorganizationismore

likelytoresultinmerelyreducingtheminority’sabilitytocreateconflictthantoactually

resolvetheconflicttheyareexperiencing.

LikeFosterandDewey,weseekalesscrisis-drivenapproach,onethatmore

dependablyresultsinthedevelopmentofamoreflexibleandsensitivehigher-levelcontrol

systemthatiscapableofactuallyresolvingtheproblematicsituation.

Ifhierarchiesincreasecontrolattheexpenseofincreasedrigidity,thenoneavenue

formakingchangemoreregularlyevolutionarythansporadicallyrevolutionaryisto

decreasetheamountofhierarchy.Anothertermfordecreasinghierarchyinsocialsystems

isincreasingdemocracy.Buildingstrongerdemocraticinstitutions,ortakingbetter

advantageoftheonesalreadyinexistence,allowstheconflictsanderrorsofminoritiesto

beexpressedmorefullyandclearly,whichinturnincreasesthechancesoftheirlegitimacy

beingrecognizedbythemajority.Asaresult,thechancesofgeneratingamoresystem-

widereorganizationtoeliminatethoseerrorsalsoimprove.

FromaPCTperspective,institutionalevolutionmightthenbedescribedasa

processofcontinuallyre-balancingthecontrolbenefitsandrelative(thoughcircumscribed)

autonomygeneratedbyhierarchywiththeinnovationbenefitsofincreaseddemocracy.

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Themessy,oftencontentiousbutmoremeaningfulengagementandinteractiongenerated

bygreaterdemocraticparticipationcan,inturn,yieldmoreproductiveconflict,i.e.,conflict

thatproducesmorefrequent,moresensitive,andsomorethorough,reorganization.

Theabovediscussionpermitsthebeginningsofacontroltheoryofminority-

directedinstitutionalchange,usinginstitutionalracismasacasestudy.Itispresentedin

outlineformbecause,atthisstage,itmustbeadmitteditisunfinished,withmanydetails

andsomesubstantialgapsstilltobefilledin.Also,whilethestrategiestowardstheendare

presentedsequentially,inrealitytheywilllikelyneedtobesimultaneouslypursuedsothey

becomemutuallyreinforcing.Nonetheless,thisdescriptionofacontrol-basedtheoryis,

hopefully,ausefulstart:

1. Weliveembeddedwithinasocialperceptualcontrolsystem.Perceptualcontrol

systemsarecomposedofinputfunctions,references,comparatorsandoutput

functionsarrangedinnegativefeedbackloopstomaintainabalancewiththeir

environmentsoastomatchevolvedreferencestates.Theydonotcontroltheir

outputs.Theycontroltheirinputs,whichareperceptionsofthecurrent

environmentalstate.Outputsvarytocounterenvironmentaldisturbancesin

ordertomaintainperceptionsneartheirhistorically-derivedreferences.

2. Fromthiscontroltheoreticperspective,theproblemofinstitutionalracismis

oneofareferenceforwhitesuperioritythatevolvedovernearlyfourcenturies

andisdefendedbyavarietyofoutputsystems.Theseincludethefoundational

documentsoftheUnitedStates,legalprinciple,lawenforcement,media

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imageryandportrayal,fictionalizedandmythologizedhistoriesandideological

justifications.Asaresult,mostchangestotheenvironmentareinsufficient

changethisreference.Thewholesystemhasevolvedtoprotectitsreferences

againstenvironmentaldisturbances.Relativelyrecentchangesincivilrightslaw

andadvancesininformationtechnology…thesearemereenvironmental

disturbancestoasocialperceptualcontrolsystem.

3. Perceptualcontrolsystemsevolveahierarchicaldesigntominimizeconflictand

keepperceptionsofimportantvariablesneartheirreferences.Whilehigher

levelsinthehierarchyachievefine-grainedcontrolbycallingforththelower

levelreferencestobeperceived,thehigh-levelreferencesarerelatively

unchanging.

4. Thehighest-levelreferencesareasystem’sintrinsicreferences,thosethatare

necessaryforitssurvival.Toalargedegree,whatisnecessaryforsystem

survivalisdeterminedbythehighestlevelsofitscontrolhierarchy.7

5. Moreover,theprocessofcollectivecontrolsetsavirtualreferencethatisthe

gain-weightedreferenceofthemembersofthesystem.Whilethisensuresthe

socialreferencesactuallyexperienceddon’tcompletelycorrespondtoany

individual’sreferences,theyreflectmostcloselythereferencesofthose

7Whileitisclearforindividualsthatsomeintrinsicreferencesoccuratlowerlevels,suchasthesensationofzerohunger,othersarerelatedtoinstincts,whichPowerslocatesabovesystemconcepts,thehighestleveloftheperceptualhierarchyspecified.Insocialperceptualcontrolsystems,giventhehighestlevelsarewherepowerisconcentrated,therationaleforlocatingreferencesintrinsictosystemsurvivalatthehighestlevelsis,admittedly,clearer.

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memberswhoaremostpowerful,wherepowerisgeneratedbyacombination

ofnumbersofpeopleandresourcesattheirdisposal.

6. Theonlywaytochangehigh-levelreferencesistoreorganizethesocial

perceptualcontrolsystem.Whilereorganizationisanevolutionaryprocess,in

thatitgeneratesrandomtrialsandselectivelyretainsthosethatdiminisherror,

itisnotDarwinian.Itispurposeful,movinginadirectionsetbythesystem

itself,i.e.,awayfromintrinsicerrorthesystemhasdefined,andmaintaining

thatdirectionsolongasitcontinuestoreduceintrinsicerror.Asaresult,

reorganizationoperatesatmuchfasterspeedsthannaturalselection.

7. Whatispurposefullydirectedcanbepurposefullyre-directed.

8. Reorganizationappearstooccurmostofteninoutputsystems,lessoftenin

perceptualinputsystemsandleastofteninreferences.8Sincereferencesare

simplypreviouslystoredperceptions,thetargetofreorganizationforpurposes

ofachievingastrongerreferenceforracialequalitymustbetochange

perceptions,notmerelycreatedifferentsystemoutputs.

9. Therefore,forminoritiestochangethereferencesofthemajority,theymust

createintrinsicerrorthatputsthesurvivalofthecontrolsystemasitcurrently

standsatrisk.Butcreationofthiserrormustbeaccomplishedinaparticular

way.Itisnotenoughtosimplythreatentheexistingsystem.Itisnotenoughto

8Thisorderingreflectsthefactthatreferencesrepresentadistillationofwhatisessentialbasedonpriorexperience.Asaresult,theyareoftenheldeveninthefaceofnewevidencetothecontraryandcancolorperceptions.

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securechangesinobservablebehavior.Intrinsicerrormustbecreatedinways

thatspecificallychallengeperceptionsofwhitesuperiority.

10. Suchintrinsicerrorbeginswithconflictbetweencontrolsystemsthatis

perceivedatthelevelofthehierarchyneedingtobereorganized,atthelevel

actuallycausingtheconflictualsituation,i.e.,thehighestlevelsofsociety.

11. Becausethecurrentreferenceforwhitesuperiorityisheldinplacebyemotion-

ladenstereotypesandimages,itmustbecounteredbyequallystrongemotion

(Feagin,2013,pp.208-209).Conflictbetweencontrolsystemsgenerateserror,

whichinturngeneratesstrongemotion.AsDeweysays,stoppingahabit

createsimpulsiveenergythatmustbereleased;somethingmustbedone.

12. Thetypeofconflictmatters.Thecurrentdominantsocialperceptualcontrol

systemdependsuponthecooperationofitsmemberstoachievesmooth

control,eventhosethatarecurrentlyinconflictwithit.Thusnon-violent,non-

cooperation9withtheexistingsocialperceptualcontrolsystememergesasthe

strongestandmostconstructivekindofconflict.

9TheauthorwishestoacknowledgeRichardAttenborough’s1982movie,Gandhi,aswherehefirstheardthistranslationofsatyagraha,thecivildisobediencepracticedbyMahatmaGandhiaspartofthemovementtogainIndia’sindependencefromGreatBritain.Formoreonthetheoryonandapplicationofnon-cooperationaspartofanon-violencestrategyseeSharp(1973).FormoreaboutGandhi’snon-violentaction,seethewebsiteoftheGandhianInstitutions-BombaySarvodayaMandal&GandhiResearchFoundationathttp://www.mkgandhi.org/main.htm

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13. Again,thenon-cooperationmustbetargetedtochallengingperceptionsof

whitesuperiority.Potentialstrategiesaremany.Belowaresomethatseem

especiallyrelevanttothiscontrol-basedtheory.

a. Shiftawarenessoftheconflicttotherightlevelsofthehierarchy.If

useful,productiveconflictisbeingsuppressedbyahierarchicalsocial

perceptualcontrolsystem,thenthefirststepistoincreaseandshift

awarenesstotheconflictsbeingexperiencedbytheminority.

i. Factsstillmatter.Perceptionsaren’tsimplytaken;toasignificant

degree,theyarechosen(“cherry-picked”)tominimizeerrorwith

respecttoestablishedreferences.Therefore,themerereporting

offactscountertothosereferencesisunlikelytochangethem

forallbutthemostobjective-mindedindividuals.Still,compelling

factsthatinsteadchallengeexistingperceptionscanopenthe

doortomoreconsiderationofalternativepointsofview.For

example,Reeves’(2014)research,thatwhilewhitechildrenborn

intothelowestincomequintilehavearoughlyequalchanceof

endingupinanyincomequintileasanadult,similarlypoorblack

childrenhavea50percentchanceofremaininginthelowest

householdincomequintileandalmostnochanceofclimbingto

thetopincomequintile,contradictsthebeliefthattheU.S.isa

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meritocracywhereincomeisdeterminedonlybyindividual

effort.10

ii. Protest.Protestssuchas“Handsup.Don’tShoot!”followingthe

shootingofMichaelBrowninFurguson,Missouri,byawhite

policeofficerand“Wearethe99%”aspartoftheOccupyWall

Streetmovementareusefulforshiftingawarenesstothe

conflictsbeingregularlyfacedbythepowerlessthatarebeing

ignoredbythepowerful.Thelatterprotesthighlightsthat

conceptsof“majority/minority”employedherereferstothe

distributionofpowermorethannumbersofpeopleandthat

Smith’sgreatersympathyfortherichandthegain-weighted

natureofsocialvirtualreferencescanresultinthosewitha

majorityofnumbersbutaminorityofpowerstillhaving

referencesmorealignedwiththoseofthepowerfulthantheir

ownself-interest.Hence,theprotestsareusefulforraisingthe

awarenessoftheminorityaswellasthemajority.

iii. Engagementtoshiftawareness.Engagement,ifauthentic,builds

relationships.Itisduringthecourseofanongoingrelationship

betweenmembersofthemajorityandmembersoftheminority

thatbackgroundthoughtsanddisruptionsintheflowofa

10Inaddition,theYouTube®videoaccompanyingReeves(2014)showshowsuchdryfactscanbecompellinglytold.Seehere:https://www.youtube.com/watch?v=t2XFh_tD2RA

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conversationmightemergetowhichthe“MethodofLevels”

couldbeapplied.Byshiftingawarenesstothesesignsthat

somethingelseisgoingonbehindconsciousthoughtand

everydaythinking,anewperspectiveorhigher-levelperception

maysuddenlyemergefromwhichnewwaysofaddressing

conflictsbetweenthetwogroupscanbedeveloped.

iv. Increasedemocracy.Inahierarchicalsociety,increasing

democracyopensavenuesforawarenessofconflictsfacedby

minoritiestoincrease,makingthemhardertoignoreandforcing

thoseerrorsintotheevaluationofwhetheraproposedoractual

changemovesthesystemintherightdirection.Democratization

ensuressomethingclosertodecision-makingasanegotiation

betweenequalsfavoredbyPowers,whileminoritynon-

cooperationmakesclearthepowerdoesn’tallbelongtothe

majority.Minorityparticipationindecision-makingshouldbe

increasednotonlyasapartofpoliticalprocesses,butgreater

participationshouldbeextendedtoboardsofcivic,

philanthropic,non-profitorganizationsaswellasboardsof

corporations.Asparticipationincreases,thegain-weighted

virtualreferencesunderlyingdecisionsshouldalsochangein

favorofgreaterracialequality.

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b. Callforththenewreference.Minoritiescanactasthehigher-level

controlsystemcallingforththereferencetobeperceived,eventhough

theyaretypicallyviewedasapartofthelower,nothigherlevelsof

society.Theextenttowhichthenewreferenceiscompellingcanadd

voicesfromthemajoritytoit,graduallyshiftingthesocialperceptual

controlsystem’svirtualreference.

i. BlackLivesMatter.Thismovementinresponsetopolice

shootingsofunarmedblackmenis,perhaps,thebestcurrent

example.Goingbeyond“Handsup.Don’tshoot!”,itclearlystates

anewreferenceratherthanonlydrawingattentiontoan

injustice.Thatitchallengestheexistingreferenceisevidentin

thegeneralwhiteresponsethat,“No,alllivesmatter.”The

defensivenatureofthisresponseindicatesthemovementis

succeedinginprovokingwhitestoatleastbeginreassessingtheir

previouslyunexaminedassumptionthatlawenforcementhas

historicallytreatedblackandwhitelifeequivalently.

ii. Onehumanity.MartinLutherKing’ssoaringoratorylinkedblack

freedom,justice,andequalitywithavisionforauniversalkinship

amongpeopleofallraces,creedsandcolors,where“white

Americanscouldextendahandofbrotherlyandsisterlyloveto

blacks…embracestrangersasfamiliars,andconverselydenythat

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blacks’humanitywasanewandstrangething”(Lebron2015).

Thisvisionofonehumanity,fullandcompleteforall,continues

tocreateavastgulfbetweenitandthecurrentreality.Such

oratoryhasbeenlargelyabsentrecently,butifgivennewvoice

couldstillchallengethedominantreferenceforwhitesuperiority

andsetupagradientforchangeinthedirectionofareference

forracialequality.Feagincallsthedevelopmentofsuchan

alternativereferencelinkingfreedom,justice,equalityandfull

humanityan“authenticliberty-and-justiceframingofsociety”(p.

204),astrongcounter-frametothedominantliberty-and-justice

framethathypocriticallyappliesonlytowhites.

c. Directlychallengeexistingperceptionsofwhitesuperiority.Conflictswith

existingperceptionscanspurtheirreorganization.Sincereferencesare

storedperceptions,thiscanhelpreinforcethealternativereference

beingcalledforth.

i. Nametheexistingreference.Simplynamingtheexistingintrinsic

referenceas“whitesuperiority”challengesperceptionsofit.Itis

thenatureofasocialperceptualcontrolsystemforitsreferences

tobeconsiderednormal.However,thisnameconflictsevenwith

thehypocritical“liberty-and-justice”frameheldbymostwhites,

letalonethereferenceforauthenticracialequalitybeingcalled

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forthabove.Sincereferencesarestoredperceptions,such

conflictscancallintoquestionpriorperceptionsandbegintheir

reorganization.

ii. De-framing.Feaginsuggeststhatinadditiontothestrong

counter-framingabove,strongde-framingwillbealsobe

requiredtosuccessfullyconflictwithandultimatelyreplacethe

intrinsicreferenceforwhitesuperiority(Feagin,2013,pp204-

211).De-framingrequireseducatingwhitesconcerningthemany

waysinwhichtheclearlyobservableadvantagesofwhitesin

wealthandpowerarebuiltoncenturiesofracialoppression.This

changestheperceptionofwhiteadvantagefrombeingasignof

superioritytobeing“ill-gottengoods”obtainedimmorally,more

deservingofapologyandrestitutionthancelebration.

iii. Developcounter-images.Muchofourperceptionsareformed

basedonwhatweseeoccurringtogether,followingthe“fire

together,wiretogether”principle(Adams2014).Therefore,a

partofthecounter-framingwillrequiredistributingimagesthat

conflictwiththoseseenonTVnewsandentertainment

programs.Becausemanyofthoseimagesareemotion-laden,the

counter-imageswillneedtobesimilarlyemotion-laden,though

withpositiveratherthannegativeemotions.Indeed,Feagincites

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researchthatshowingimagesofblacksinnon-stereotypical

settings,suchaschurch,lessensracialbias(p.205)astheimages

areoutofsynchwithpriorconceptions.Thegoalhereisto

produceimagesthatcapturepeopleofcolorasfullyhumanand

shiftperceptionsinamannersimilartothatachievedbygay

Americans.Imagesofsuccessmakeithardertomaintaina

referenceforwhitesuperiorityandtodenigrateandde-

legitimizethosewhosucceeddespiteit.Inessence,successmay

indeedbethebestrevenge.

iv. “Don’tbearacist.”Bryan,AdamsandMonin(2015)foundthat,

whengivenachancetoanonymouslycheat,admonitionsto

“Don’tcheat”werenoteffective,butadmonitionsto“Don’tbea

cheater”reducedcheatingtoinsignificantlevels.The“cheater”

languagemakesthosesoadmonishednolongerableto

dissociatetheirbehaviorfromtheirdesiretoperceive

themselvesashonest.Thisresearchimplies,then,thatchoiceof

languageiscriticaltosuccessfullychallengingthereferencefor

whitesuperiority.Ratherthanaskingwhitestochangeexisting

policiesbecausetheyresultinracialdisparities,sayinginstead,

“Don’tbearacist;changethepolicies,”maybemoreeffective.

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d. Engageinrandomexperimentationandrapidevaluationagainstthenew

referenceforracialequality.Ifthenewreferenceandaltered

perceptionstakehold,thismagnifiestheerrorexperiencedfromthe

currentsituation,andhencethestrengthoftheemotionalneedtoseek

changethatremediestheproblematicsituation.Moreover,bycreating

conflictwiththeperceptionofwhitesuperiority,thisestablishesa

gradientthatincreasesthechancesofactionsthatincreaseracial

equalitybeingretained,continuedandadvanced.Random

experimentationsearchesthewholesolutionspacewithoutbias,though

withlimitedresources,intelligentexperimentselectionanddesignwill

stillberequired.

i. Altertheleastcoststabilitypaths.Stabilitypathsare

manifestationsintheenvironmentthatmakeiteasierto

maintaincontrolofittomatchexistingreferences.Non-

cooperationhasthepotentialtochangethosepathwaysby

increasingtherelativecostofmaintainingthebehaviorsthat

reinforceexistingperceptionsandreferencesforwhite

superiority,whilesmoothingthewayforbehaviorsthatwould

challengethoseperceptionsandencouragedevelopinga

referenceforracialequality.Inessence,alloftheproposals

abovearelikelytoimpactthoseleast-coststabilitypaths,butin

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additionitwillbenecessarytodosoinwaysthatde-racialize

space.

1. Breakopenthecontainer.Charlesfoundthatthe

experienceofintegratedsettingsatworkorthe

neighborhoodsignificantlyreducednegativestereotypes

andracialprejudice—anotherexampleoftheprincipleof

“Firetogether,wiretogether.Outofsync,loseyourlink”

(Adams2014).Reinvigoratedenforcementoffairhousing

statutescanhelpbreakthelinkbetweenrace,residential

locationandlifechances.Inthisregard,HUDrecently

issuednewrulestoincreasetheintegrationof

neighborhoodsbyraceandclassasrequiredbytheFair

HousingAct(HousingandUrbanDevelopment2015).

Ensuringthesenewrulesareenforcedcanhelpbreakthe

perceivedlinkbetweenrace,povertyandeducationaland

economicoutcomes.Inadditiontoimprovedregulation,

themostprogressivecommunitieshaveinvestedintheir

capacitytoproduceaffordablehousingandhaveadopted

inclusionaryzoningpracticesthatensurethateverynew

developmentincludeshousingforthepoor,making

normalurbanandsuburbangrowthprocessesdiminish

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ratherthanincreasesegregation.Attheveryleast,

communityplansfordevelopmentandredevelopment

mustshowthelocationanddesignofmixedincome,

mixedraceneighborhoodstoincreasepositive

perceptionsofthepotentialattractivenessand

desirabilityofsuchrealestatedevelopmentwhen

executedwell.

2. Restorethewealthofthecontainer.Lenk(2012)

describestheprocessofdevelopingthespecificationfor

aneconometricmodelofincomedeterminationandfinds

thatevenforlaborincome,incomeisnotareturntowork

butareturntowealth.Themostimportantwealthisthat

whichisabsorbedwhilegrowingupasaresultof

interactionsbetweenplace,householdandindividual

characteristics.Suchwealthincludeshumanandsocial

capital,inadditiontofinancialcapital.Preferentialpublic

andprivateinvestmentinthecontainerwillbenecessary

fortheforeseeablefuturetomakeupfordecadesof

disinvestmentandequalizethewealthdisparities

generatingthecurrentlyunequalgeographyof

opportunity.Forexample,MARC’sMetropolitan

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TransportationPlan(MARC2015a)callsforaligning

transportationinvestmentswithpolicygoalsthatinclude

increasingequityandplace-making,thelatterpromoting

redevelopmentincentersalongkeytransportation

corridors.Additionally,itsPlanningSustainablePlaces

program(MARC2015b)providesfundingfordeveloping

theplansnecessarytoattractprivateinvestmentinthe

mixeduse,higherdensitydevelopmentthatcanpromote

greatersocialaswellaseconomicintegration.

ii. Engagementtoreconfiguresocialnetworks.AsSmithobserved,

weperceivehowothersperceiveus,andactaccordingtoour

perceptionoftheirstandardforus.Whileheadvocatedthatwe

holdourselvesaccountabletothegreatestjudgewithin,the

impartialspectator,todaywemorelikelypayattentiontothe

judgmentsofthenot-at-allimpartialspectatorsinoursocial

networks.Weseektheesteemofthoseweesteem,tobe

perceivedasvaluablebythosewhomwevalue.Shouldthe

strategiesabovebegintobesuccessfulandsomeinthemajority

begintoshifttheirintrinsicreferencetooneofracialequality,

thenitbecomesmorelikelytospreadtoothersintheirsocial

network.Pentland(2014)arguesthattrustisbuiltthrough

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engagement.Thusonekeyforthereferenceforracialequalityto

spreadthroughoutthesocietyisforengagementbetween

membersofthemajorityandminoritysotheirsocialnetworks

intersecttocreatethepotentialforsocialinnovation.

e. Evolvethehigher-levelcontrolsystemnecessarytomaintainthenew

reference.Withsufficientengagement,thenetworkshiftsfrombeing

oneconsistingoflocalneighborhoodstoonewhereindividualsare

connectedbothmorerandomly(inthatparticipantshaveabetter

chanceofbeingconnectednomatterwhatlocalnetworktheyareapart

of)andmorecompletely(inthatthenetworkmorecloselyapproaches

onewhereeveryoneisconnectedtoeveryoneelse).

i. CentolaandBaronchelli(2015)findthatthemorecompletely

and/orrandomlythenetworkisconnected,thequickeritevolves

anewconventionheldbyall.Networksthatremainonlylocally

connectedsosomepartsareisolatedfromothersnevergenerate

newjointlyheldreferenceshowever.Thusthemoreintegrated,

overlappingandconnectedthenetworksare,themorelikely

theyaretoevolveanewjointlyheldreference,i.e.,a“prevalent

habitofthought.”Essentially,aphaseshiftoccurs.

ii. InCentollaandBaronchelli’smodel,however,thenew

conventionisrandomlyselected.Instead,theconflict-generating

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non-cooperationstrategiesdescribedabovearedesignedto

createagradientforsuchaselection.Inthepresenceofsucha

gradient,generatingthepropersocialnetworkconnectivityand

structureshouldbesubstantiallymorelikelytoresultin

supplantingthecurrentreferenceforwhitesuperioritywith,not

arandomreference,butadirectedoneforracialequality.

iii. Notethattheprocesstogeneratethisnewreferencehas

requiredreorganizingperceptionsthroughchallengesand

counter-framing,andreorganizingactionsthrough

experimentationinlightofacallingforthofthenewreference.

Asaresult,theentiresocialperceptualcontrolsystemhasbeen

“rewired”—perceptions,referencesandactions—completingits

reorganizationasamoresensitiveandflexibleinstitutioncapable

ofrespondingtoandeliminatingtheconflictsexperiencedby

minoritiesasamatterofcourse.Successfullyarrivingatthispoint

wouldmeanthesocialsystemhas,infact,evolvedahigher-level

controlsystemthatactuallyresolves,ratherthansuppresses,

racialconflicts.

iv. Note,too,thatthisprocessdependsuponminoritiesfirstcalling

forthareferencethatcapturesthehighermoralgroundandthen

engagingincreatingconflictthat,ifsuccessful,raiseseveryoneto

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thatsamemoralposition.Thuswhitesareraiseduptoo,

operatingatahigherlevelofcontrol,onewithsignificantlyless

wastefulefforttomaintainartificialseparations,thanbeforethe

conflictwasinitiated.Thus,thiskindofconflictisultimately

compassionate,notmerelyantagonistic.While“compassionate

conflict”mayseemlikeanoxymoron,thegoalallalongisnotto

destroyanenemybutchangesystemstructuressothatallmay

betterachievetheirfullpotentialashumanbeings.

Thestrategiesaboverepresenta“kitchensink”approachtocreatingthekindof

non-cooperationneededtoconflictwithperceptionsofwhitesuperiorityandturnthe

conflictinward.Unfortunately,thetheorydevelopedthusfarisinsufficientlyspecificto

identifywhichofthestrategieshavethehighestleverageandgreatestpotentialfor

success.Itremainsthecase,asDeweyremarked,that“truthcanbeboughtonlybythe

adventureofanexperiment”(Dewey,1922/1988,p.163).Itwilltakeaperiodoftrialand

errortodeterminewhichstrategiesareactuallymosteffective,andthencontinuethem

untiltheerrorbetweenthecurrentreferenceandoneofracialequalityispushedtozero.

Thisis,infact,thedefinitionofareorganizingprocess,butonewherethosehistoricallyat

thelowestlevelofsociety,minorities,actasthehigher-levelsystemdefiningtheintrinsic

referencefortheentiresocialperceptualcontrolsystem.

Suchexperimentationislikelytobecostly.Atleastsomeofthecostoftrialand

errormightbeavoidedifasufficientlysophisticatedsimulationmodelofpeopleand

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institutionsascomposedofhierarchicalinteractingperceptualcontrolsystemswere

developedthatwouldallowtheexperimentstobeconductedcomputationallyratherthan

in“reallife.”Whiledevelopmentofsuchamodelwaspartoftheoriginaldesignforthis

dissertation,alas,itmustbeleftastopicforfutureresearch.

Nonetheless,nowmaybethetimeforexperimentation.Thecurrentlydominant

socialperceptualcontrolsystemappearstoalreadybeexperiencingsubstantialconflict,

notaroundracialequalitybutaroundthenationalpoliticalpolarizationcausingpartisan

gridlock.Thewastefulnatureoftheconflictisapparenttomost,giventherisingcostof

campaignsforelectedofficeandthedegreetowhichtheyarefundedbyafewlarge

contributors(Confessore,CohenandYourish,2015).Meanwhile,theenergyandresources

expendedasaresultofpoliticalconflictleavesthecountryvulnerabletooutside

disturbances—e.g.,Eurozonestability,terrorismthreatsfromISIS,decliningChinese

economicgrowth,RussianaggressionintheUkraineandSyria—becausecoherentpolicyor

politicalinitiativescan’tbemountedtocounteractthem.Thediscontentcausedbythis

situationisalreadycausingasearchforalternatives,asevidencedbythesuccessthat2016

presidentialcandidatesoutsidethetraditionalpoliticalestablishmentarehavinginearly

polls.

Inthemidstofthissearchandarmedwiththeclearerunderstandingofminority-

directedinstitutionalchangederivedabove,perhapsasteepergradientinthedirectionof

areferenceforgreaterracialequalitycanbecreated.Ifso,experimentsthatreducethe

errorbetweencurrentperceptionsandthisreferencehaveagreaterlikelihoodofbeing

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retainedandexpanded,andevolvingthenecessaryhigher-levelsocialperceptualcontrol

systemtoachievefullracialequalitycantakeafewmorestepstowardrealization.

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CHAPTER5

SUMMARY,CONCLUSIONANDFUTURERESEARCH

Whatwecallsocietyisreallyagiantsocialperceptualcontrolsystemandthesocial

forceofsocietyisderivedfromthepowerofacontrolsystemtoresistdisturbancesand

eliminateconflict.Notallsocialinteractionsarepartofacontrolsystem,andmanythatare

partofonearevoluntary,suchasTaylor’sprotocols.Butwhenconflictisactivelyavoided

orsuppressed,whenonegrouphastheabilitytopromotewhatitneedstothriveatthe

expenseofothers’abilitytodothesame,whentheeffortsofthoseothergroupsare

activelyresisted,thenthereisasocialperceptualcontrolsysteminplace,whetherwe

acknowledgeitornot.

Byestablishingtheperceptualcontrolsystemastheunitofanalysis,whatemerges

isapowerfultheorythatclarifiestheformationofhabitwithinindividualsandthe

formationofinstitutionswithinasociety.Assuch,itisreductionistbutnotindividualistic.It

isreductionistinthatbothindividualsandinstitutionsareshowntobecomposedofthe

samestuff—hierarchicalperceptualcontrolsystems—withbothhabitsandinstitutions

formedtobringperceptionsoftheworldintolinewithpurposes.Butattheirhighestand

mostfundamentallevels,thosepurposesthemselvesevolvedfromthehistoryofhumans

associalspecies.

Specifically,theadditionofPerceptualControlTheoryclarifies,unifiesandextends

severalimportantaspectsofOriginalInstitutionalEconomics:

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Clarifications

PCTclarifiesnatureofVeblen’spurposiveagents.Agentsarecomposedofa

hierarchyofcontrolsystemsthatvaryactionsasnecessaryuntilperceptionsoftheworld

matchreferenceconditionsdefinedbytheirhierarchyofgoals.Asaresult,purposeis

achievedbycontrollingperceptions(inputs),notbehaviors(outputs).

Allliferequiresthisabilitytocontrolperceptionsanddefendreferencesfrom

environmentaldisturbances.Thishelpsclarifywhysympathyforotherswasdescribedby

Smithasnonethelessstrongerfortherichthanthepoor:Controlisnecessaryforlife,and

therichexhibitgreaterabilitytoresistenvironmentaldisturbances.Extendingsympathyto

therichthenbecomesameansofunderstandingwhichperceptionstheyarecontrollingin

thehopesoflearninghowtodothesame.

PCTalsoprovidesamoreprecisedescriptionofwhatismeantbyhabit.When

Deweysaystheessenceofhabitisinnowayrepetitionbutpredisposition,thismeans

controlsystemsaredesignedtorepeatedlyachieveagoaldespiteenvironmental

disturbances.WhenDeweysayshabitsarearts,thismeanscontrolsystemsevolveover

timetobecomefinelytunedtotheirenvironmentsothattheachievingmostpurposesis

smooth,automaticandefficient.WhenDeweysayshabitsneedtobeflexibleand

intelligent,PCTshowshowflexibilityandintelligenceisgeneratedbyarrangingcontrol

systemsinahierarchywherehigherlevelscallforththeperceptionsdesiredbysettingthe

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referencesforlowerlevels.Thus,habitsarecontrolsystems.Assaidbefore:Weareour

habits.Weareourcontrolsystems.Theseareequivalentstatements.

Byclarifyinghabit,PCTalsoclarifiesinstitutionsas“prevalenthabitsofthought.”

Thepowerofinstitutionstoresistchangecomesnotsimplyfromathought(reference)

becomingprevalentinthemindsofmany,butfrombeingcontrolsystemswithlearned

perceptionsandorganizedoutputfunctionsfortransmittingandenforcingthose

perceptionsoverbothtimeandspace.Moreover,PCThelpsclarifyhowaprocessof

collectivecontrolmightyieldinstitutionswiththeirownpurposes,differentfromthoseof

anyoftheindividualsthatcomposethem,andhencehowaseparatesocialontological

levelmightemerge.

Unifications

PCTunifiestheVeblenianinstincts.Bothother-regardinginstincts,suchas

workmanship,idlecuriosityandparentalbent,andself-regardinginstincts,suchas

emulation,predationandself-preservation,areshowntobemanifestationsofthecontrol

necessaryforlifetoexist.This,then,betteralignsVeblenwithDewey,whofeltthatlistsof

separateinstinctssimplyboileddownto“lifeislife”sincelifemustactinwaysthatenable

ittosurvive.Instead,Deweysawthat“lifeisinterruptionsandrecoveries”withhabits(i.e.,

controlsystems)performingthefunctionofrestoringbalancebetweenorganismand

environment.

Inaddition,PCTunifiesdeliberationandhabit.Ratherthanrequiringdeliberationto

runoutsideofhabitinordertotameit,deliberationinPCTutilizesthesamehierarchyof

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perceptualcontrolsystemsthatdefinehabits,butthenrunstheminanimaginationmode

tocarryontherequireddramaticrehearsals.Thisispossiblebecausethelearned

perceptualhierarchyessentiallycreatesamentalmodelofhowtheworldworks.The

referencescalledforthbyhigherlevelsforlowerlevelstoreproducearestored

perceptionsbasedonmemoriesofwhatprioractionshavepreviouslyproducedinsimilar

situations.Oncetheimaginationswitchisthrown,then,eachshiftofahigh-levelreference

inducesanimaginedsimulation(dramaticrehearsal)oftheconsequencesofthatshift,and

thoseconsequencescanbeevaluated.Asaresult,thehierarchyofcontrolsystemscan

indeed“stoptothink,observe,remember”asDeweyrequiresforhabitstobeableto

actuallyknow.

Perhapsmostimportantly,asdescribedabove,PCTenablesaunificationofhabit

andinstitution,individualagencyandsocialstructure,bypositingcontrolsystemsasthe

unitthatcomprisesboth.Thisallowsamoreseamlesstransitionbetweenthesetwo

ontologicallevelsandenablesaclearerexpositionofhoweachcanaffecttheother.

Extensions

PCTaddstoOIEtheconceptofreorganizationofcontrolsystems.Likedeliberation,

reorganizationbeginswiththeemotionreleasedwhenhabits/controlsystemsconflict,

stoppingtheirnormalefficientoperationandcausingerror.Deliberationthenrequires

dramaticrehearsalandevaluationofdifferentlinesofreasoning,whichnecessarilyentails

higher-levelthinking,orwhatDeweyterms“intelligence.”Reorganization’smental

requirementsarelesstaxing-randomexperimentationandselectionofthosethatreduce

146

theerror.Asaresult,itcanoccuratalllevelsofthehierarchyandoperatelessconsciously

andmoreautomaticallythandeliberation.Since,accordingtoKahneman(2011),thevast

majorityofourmentalactivityoccursatthesemoreautomaticlevels,reorganizationisa

moregeneralandmorewidelyapplicablelearningstrategy.

Moreover,reorganization’srandomexperimentationcanextendbeyondactionsto

evaluateandadjustperceptionsandpurposes-evenatthehighestlevelsofprinciplesand

systemconcepts.Assuch,reorganizationmorereadilyallowsforthekindofcompletetop-

down“rewiring”ofcontrolsystemsneededtoeffectsystemicsocialchangeandevolve

newinstitutions.

Extensions-TheoryofInstitutionalChange

Mostofthisworkhasbeenanattempttoshowhowthemoregeneraland

complete“rewiring”allowedbyreorganizationanditsmoreprecisedescriptionofthe

requirementsforoccurringcanprovideabetterbasisonwhichtobuildatheoryof

minority-directedinstitutionalchange.

Reorganizationbeginswhenacontrolsystemexperienceserrorinmaintainingits

perceptionsoftheworldsufficientlynearitsintrinsicreferences—thosenecessaryfor

systemtosurvive.Inturn,whichreferencesthoseareisdeterminedatthehighestlevelsof

thehierarchy.

TypicallyinPCT,conflictsareresolvedbygoingupalevel.Itisonlyatahigherlevel

thattheconflictswitchesfrombeingexternalized—wheretwoseparatecontrolsystems

attempttobringtheirperceptionsofthesameenvironmentalvariableintoalignmentwith

147

twocompetingandincompatiblereferences—tointernalized,whereahighergoalallows

theresettingoftheconflictinglower-levelreferences.Reorganizationmustoccuratthis

higherleveltoresolvepersistentconflicts.

Thisisaproblem,though,ifthereferenceatthehighestlevelsofthehierarchyis

whatneedstochangetoeliminatetheconflictexperiencedbylowerlevels,asisthecase

forthereferenceofwhitesuperiority.Nonetheless,reorganizationallowsforevolutionof

anevenhigherperceptuallevelbecausethecurrenthierarchyis,itself,aproductofprior

reorganizations.

Toachievesuchanevolution,awarenessoftheconflictmustfirstbeshiftedtothe

currenthighestlevelsofthehierarchy.Avarietyofnon-violent,non-cooperationstrategies

werediscussedthatcouldbeemployedbyminoritiestoproducethisshiftwithout

triggeringimmediatesuppressionsoastoincreasethechancesofinternalization.These

includecompellingly-toldfacts,targetedprotests,activeengagementbetweenminority

andmajoritypopulations,andincreasingthestrengthofdemocraticinstitutions.

Second,minoritiesmustactasthehigher-levelcontrolsystemtheyareseekingto

evolveandcallforththenewreferenceforracialequality.Referencesarestored

perceptions,however,andintheabsenceofhavingactuallyevolvedthehigher-levelsocial

perceptualcontrolsystemneeded,itfallstothoseseekinggreaterracialequalityto

constructthenewreferenceoutofwordssoclearandinspiring(“BlackLivesMatter!”)as

topaintavividpictureofitintheimaginationsofthosewhohearorreadthem.

148

Still,third,thenewreferencecannotsupersedetheoldonewithoutsimultaneously

challengingandsupplantingtheexistingperceptionsthatsupportit.Strategiesdiscussedto

forceareorganizationofexistingperceptionsincludednamingtheexistingreferenceand

makingitmoredifficulttoavoidbeingtarnishedbyitsimmoralelements,deconstructing

theexistingframeanddevelopingcounter-imagery.

Fourth,ascurrentperceptionssoftenandallowconflictwiththenewreferenceto

becomemoreapparent,thisopensthedoortoenhancedexperimentationthatmight

modifyleastcoststabilitypathsintheenvironment.Particularlyimportantwouldbethe

combinationofgreaterregulationofhousingmarketsandgreaterinvestmentinareas

currentlyexperiencingconcentratedpovertyinordertode-racializegeographic

perceptions.

De-racializingspacethenallowsmorecontactbetweenblackandwhite,richand

poor,majorityandminority.Thisincreaseinthechancesofmorerandomcontactcan

produceanewsocialnetworkthatallowsthespontaneousandwidespreadadoptionof

newconventionsaroundrace,muchas“comingout”createdgreateramountsandgreater

randomnessinthecontactbetweenthosewhoaregayandthosewhoarestraight,

producingnewreferencesaroundgayrights.Asthepreviousstepshavetheeffectof

creatingagradientinthedirectionofareferenceforracialequality—anauthenticliberty-

and-justiceframe,touseFeagin’sterm—thereconfigurationofsocialnetworkscanleadto

thisnewreference’swidespreadadoption.

149

Then,giventhenewreference,itthenbecomeseasiertoproducethearrayof

outputfunctionsneededtoprotectitfromenvironmentaldisturbances.Atthatpoint,a

newhigher-levelsocialperceptualcontrolsystemwithareferenceforracialequalityhas

successfullyevolvedandminority-directedinstitutionalchangehasoccurred.

OtherInsights

Alongthewaytothistheoryofminority-directedinstitutionalchange,we

demonstratePCTalsohelpsilluminatelong-standingissuesconcerningtheinteraction

betweensocialstructureandhumanagency.PCTexplainswhythenecessityofcontrol

mostoftenleadstoahierarchyofperceptualcontrolsystems,bothwithinapersonand

betweenthem.Thesehierarchiesminimizeconflictbyorthogonalizingtheinteractions

betweensub-systems,whichisanotherwayofsayingcontrolhierarchiesmaximizesub-

systemautonomywithintheconstraintthatthesystemitselfsurvive.Inasocialperceptual

controlsystem,suchautonomyisseductive,inthatitprovidestheappearanceof

significantchoiceinoccupations,technologyandsocialroleswhilehidingthefactofan

overallsystempurposesetmostlybythosewiththemostpower.Assuch,PCTexplains

whythosewhoarehurtbythecurrentsystemaren’tinconstantrevoltandwhymostofus

cooperatesothoroughlywithitastodisputetheexistenceorimportanceofsuchlarger

socialpurposes.

Yetsuchhierarchiescanleadtostagnationandsuppressionofconflict,allowing

themtobuildtowardexplosivecrises.Thetheorydevelopedherecontraststhecontrol

benefitsofhierarchywiththeinnovationbenefitsofdemocratizationandsuggeststhat

150

institutionalevolutioncanbestbethoughtofasanebbandflowbetweenthesetwo

organizationalpoles.Democratizationallowsnewsocialreferencestoevolve,while

hierarchybringsgreaterefficiencyinmaintainingthem…untilconditionschangeand

increaseddemocratizationmustagainbecalledupontoevolvenewreferences.

Aside-effectofderivingorthogonalizationofactivityfromcontrolisthebeginnings

ofacontroltheoryofeconomics.Orthogonalizationofactivitiesleadstoahierarchyof

socialrolesthat,inturn,producesahierarchyofsocialobligations.Suchobligations

underpinthecredit/debtrelationshipsuponwhichtheinstitutionofmoneyisbased.

Orthogonalizationofactivitiesalsoleadstospecializationinproduction.Combining

specializedproductionwithmoneyallowsexchangetobederivedasawaytocontrolfor

meetingmultipleneedsinspiteofthatspecialization.

Thathierarchiesevolvetoeliminateconflictandachievethehigher-level

perceptionsneededfororganizationstosurviveleadstoatheoryofthefirmthatexplains

notonlythehierarchicalstructureofmostfirms’management,butwhyfirmsexistatall

when,theoretically,theservicesofemployeescouldinsteadbepurchasedone-by-oneover

openmarkets.

Productionandpricingbecomeactsdesignedtocontrolfirmsurvival,whichmay

leadtodifferentbehaviorsthanthatofpureprofitmaximizationsincetherateofgrowth

thatmaximizessurvivalratesmaynotbethemaximumrateofgrowthpossible.In

particular,therebecomethepossibilityofproducing“enough”ratherthanonly“more.”As

151

aresult,marketpricesthemselvescanbeviewedastheoutcomeofcollectivecontrol

processes,whichmayleadtobetterpredictionsofmarketbehavior.

Conclusion

DespitetheprogressandpromisecreatedbyincludingPCTintheOIEtoolbox,we

endwherewebegan:Theworldremainsastubbornlydifficultthingtochange.Veblen’s

institutionsas“prevalenthabitsofthought”aresoprevalentandsohabitualthatweare

(mostly)unawareofhowtheyaffectourbehaviors.Attheirmostcoherent,institutions

formideologiesthatgeneratewidelyheldreferencesthatare,inturn,defendedfrom

disturbancesbycontrolsystemswhichoperateprimarilybygeneratingoutputs—studies,

media,talkingpoints,contributionstopoliticalcampaigns,changesinlaws—designedto

makesureeventsareperceivedinacertainwayandinterpretedfromacertainperspective

soastominimizeanyperceptionoferrorinthosereferences.

Fromthispointofview,minority-directedsocialchangecanbeviewedasaprocess

ofholdingupamirrorsowecanbecomeawareoftheerrorsourdominantsocial

institutionsareinflictingonothersand,insodoing,activateSmith’s“Impartial

Spectator”—which,inPCTterms,residesupalevel(ortwoorthree)fromtheperceptual

framewetypicallyoperateoutof.Arousingtheapprobationofthis“greatestjudge”inside

allofustheninternalizestheconflictandbeginsthereorganizationprocessofevolving

newreferencesand,withthem,newinstitutions.

Forwhatbecomesmoreapparentfromthishighervantagepointisthatwhatisat

work,notjustwithinpeoplebutbetweenthem,isacontrolsystem.Socialoutcomes

152

cannotbeviewedas“other,”separatefromus.Theyaretheworkingsofthesamekindof

controlsystemsthatarepartofus,thatweallworkhardtocreate,thatwealluseevery

daytoachieveourpurposes,thoughmostlyunthinkingly.AsKelly(1970)famouslyputit,

“Wehavemettheenemy,andheisus.”

AsDewey(1922/1988)said,nothingisclosertousthanourhabits—theydefineour

character.Thesameistrueforasociety.Thesocialcontrolsystemsinwhichwe

participate,thatwecooperatewithevenifwearenotawareofthem,defineoursocial

character.Hence,weareallcomplicitinthesocialperceptualcontrolsystemgenerating

institutionalracism.Insofaraswecooperatewithit,weareallracists.

Ouch.Thathurts.Asitshould.That’swhatintrinsicerrorfeelslike.Agut-level

emotionthatsomethingisseriouslywrongandwehavenochoicebuttoinitiateasearch

foranswerstoremediateit.ItistheimpulsethatinitiatesandenergizesDewey’s

deliberation.ItistheinternalconflictthattriggersPowers’reorganization.Becauseofthe

discomfortcaused,itisanemotionthatistypicallysuppressed,avoided,orrationalized

away.Thetheorydevelopedheresaysinsteaditshouldbeembracedtosetforthatorrent

ofexperimentsthatreorganizeourwayofthinkingandourwayoflife.AsDewey

(1922/1988)alsosays,“Conflictisthegadflyofthought.Itstirsustoobservationand

memory.Itinstigatesinvention.Itshocksusoutofsheep-likepassivity,and…isasinequa

nonofreflectionandingenuity”(p.207).

Forthegoalisanintegratedsocialcharacterwheretheconflictsexperiencedby

somearenotsimplyshuntedasideandignoredsimplybecausetheirnumbersarefeweror

153

theirskinisdarker.Thegoalisforalltolivealifeundercontrol,whereitiswithintheir

powertoattainthepurposesthataremostimportanttothem.Onlyinasocietywithan

integratedcharacteristhispossible.Inlightofthe“unequalgeographyofopportunity”

documentedabove,suchanintegratedcharacterisunlikelywithoutitbeingintegrated

spatiallyaswell.

Thus,whilemuchreorganizationofsocietyhasoccurredinthepast,thereisstill

morereorganizationtooccur.Awell-organizedcontrolsystemeliminatesconflictand

reducesintrinsicerrortonearlyzero.Bythisdefinition,U.S.societyisnotwell-organized…

yet.Still,itremainsmobileenoughtoevolvethehigher-levelsystemrequired.Forthisto

occur,theintrinsicerrorexperiencedbytheminoritymustbedirectedintotheawareness

ofthemajorityuntilitbecomestheirintrinsicerrortoo.Thereorganization-basedtheory

describedaboveisastartatbringingsuchdirectionalinstitutionalevolutionwithinreach.

Hopefully,ithassucceededenoughtomakingthechancesforminority-directed

institutionalchangeatleastsomewhatless“vanishinglysmall.”Onlytime—andthe

adventureofmanymoreexperiments—willtell.

FutureResearch

Thetheoryderivedaboveisjustthat,theory.Thistheoryshouldbeexaminedin

moredetailagainstthehistoricalrecordofsocialchangemovementstoevaluatethe

theory’sadequacyinaccountingforthekeyfactorsthatexplaintheirsuccessorfailure.

Asatheory,itbringsmuchintoeconomicsthatistypicallyleftout,suchas

perceptionsratherthancalculationsasthebasisforbehavior,admittingamuchwider

154

rangeofpurposesotherthanutilityandprofit-maximization,andrecognizingthe

importanceofdifferentialpowerinsettingthereferencesthatbecomebothtastesand

prices.Acontroltheoryofeconomicswouldaskwhatreferencesdifferenttypesof

economicagentshold,whatshapestheirperceptionsasinputandwhatoutputsystems

theyhaveattheirdisposaltomaintainthem.Suchaframeworkismorelikelytoyield

accuratepredictionsoftheeconomicbehaviorhumansthanonebasedondefining

rationalityasequivalenttopureself-interest.Behavinginwaysthatdefendconceptsof

fairness,reciprocityandaltruismaren’tirrational—theyarethehardwonknowledgeofthe

referencesthatminimizeconflictinsocialgroups.Thereismuchworktodo,however,in

specifyingthetheoryfullyenoughtoderivetheresultingchangesinpredictedbehavior

relativetostandardmodelsandtheirimplicationsforchangesinacceptedeconomicand

socialpolicy.

Finally,thereductionistthoughmethodologicallysocialnatureofthetheory

developedherebegsforthedevelopmentofanagent-basedmodelthat“grows”the

formationandevolutionofinstitutionsassocialhierarchicalperceptualcontrolsystems

fromsimulatedhumansthatsimultaneouslyarecomponentsofthosesystemsandare

themselvescomposedofinterpenetratinghierarchicalperceptualcontrolsystems.Epstein

(2006)hascalledthisapproach“generativesocialscience.”Suchamodelwouldthen

provideatooltoaiddeliberationbyaddingtheabilitytosimulateexperimentsconcerning

thebeststrategiestoachieveminority-directedinstitutionalchange,ratherthanonlybeing

abletotestthembyattemptingtocarrythemoutin“reallife.”

155

Ideally,thehierarchiesinsuchamodelwouldnotbeexplicitlyprogrammedbut

wouldemergeoutthecontrolneededforsurvival.Akeysub-componentofafullyspecified

model,then,ismodellingtheformationofperceptionsthemselvesaspartofachieving

suchcontrol.Modellinghuman-likeperceptionisasubjectofmuchcurrentneuroscientific

andmachine-learningresearchthatisbeyondthescopeofthisdissertation.Itmaybe,

then,thatafully-specifiedmodelwhereperceptionsformandevolvetodrivehierarchies

ofperceptualcontrolsystemsasneededtokeepperceptionsnearintrinsicreferenceswill

dependuponadvancesinneuro-andcomputerscience.Nonetheless,progresstowarda

generativesocialmodelbasedonPCTmaystillbepossibleusinghighlysimplified

perceptualfunctions,ratherthanfull-fledgedperceptionmodels.Indeed,mostPCT

simulationstodatehavebeenconductedusingthisapproach.

156

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VITA

FranklinArthurLenkwasbornonAugust13,1955inFortMonmouth,NewJersey.

HeattendedShawneeMissionpublicschoolsinJohnsonCounty,Kansas,graduatingfrom

ShawneeMissionEastin1973inthetop10ofhisclass.

Dr.LenkwasadmittedtoStanfordUniversityinthefallof1973.Hiscourseof

studieswasinfluencedbythetimes,especiallythecivilrightsmovement,theriotsthat

followedtheassassinationofDr.MartinLutherKingandRobertKennedy,thestudent

protestsagainsttheVietnamWar,theimpeachmentandresignationofRichardNixon,the

1973oilembargoandYomKippurWar.Inthelanguageofthisdissertation,theseconflicts

allcreatedintrinsicerrorforDr.Lenkandinitiatedaprocessofreorganizationthat

continuestothisday.AtStanford,therandomsearchingtooktheformofsamplingcourses

inmanydisciplines—math,philosophy,religion,astronomy,psychology,law—before

settlingoneconomicsasthedisciplinethatbestintegratedscientificmethodswiththe

desireandcapacitytoimprovepeople’sliveonasocialscale.Hegraduatedwitha

Bachelor’sdegreeinEconomicsinJune,1978.HecontinuedhisstudiesatStanfordandwas

awardedaMastersdegreeinEconomicsinJanuary,1979,specializingineconometrics.His

Master’sthesisanalyzedtheoriesofincomedeterminationand,inparticular,theinfluence

ofeducationonincome.

ThesamemonthhisMaster’sdegreewasconferred,Dr.Lenkbeganworkatthe

Mid-AmericaRegionalCouncil(MARC)asanEconomistII.Hisprincipaltaskwastomake

long-range(20-to30-year)forecastsofthegrowthanddevelopmentoftheKansasCity

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metropolitanregion,bothintermsofitstotalnumberofpeopleandjobsandtheirlocation

downtotheneighborhoodlevel,aresponsibilityhecontinuestoperform.Headvancedto

EconomistIIIin1982andEconomistIVin1986.Hewaspromotedtohiscurrentposition,

DirectorofResearchServices,in1996.

InadditiontobeingresponsibleforMARC’slong-rangeforecasts,Dr.Lenkhasbeen

theprincipalauthorofseveralpublicationsovertheyears.Theseinclude“AnAnalysisof

MetropolitanKansasCity’sOfficeBuildingBoom”in1986,“TheEconomicImpactofthe

KansasCityRoyalsandtheKansasCityChiefs”in1989andupdatedin1992,“Metropolitan

KansasCity’sUrbanCore:What’sOccurring,WhyIt’sImportant,andWhatCanWeDo”in

1993,“MetroOutlook”in2001and“MetroOutlookLive”in2006.Heco-authoredwith

researchersfromtheBrookingsinstitution,“ProsperityataCrossroads”in2014,which

analyzedthereasonsbehindGreaterKansasCity’sdecliningeconomiccompetitiveness

relativetorestoftheU.S.inthe2000scomparedtothe1990s.

BesidesestimatingtheeconomicimpactofmetropolitanKansasCity’sprofessional

baseballandfootballteams,Dr.Lenkhasalsoauthoredstudiesassessingtheeconomic

impactofexpandingtheregion’sprincipalconventioncenter,aproposedaircraftassembly

plant,aproposedWizardofOzthemepark,recreationalsportsactivitiesandtheregion’s

artsandculturalinstitutions.Since1991,hehasalsobeentheprincipleforecasterand

authoroftheannualeconomicforecastfortheregion,preparedonbehalfoftheGreater

KansasCityChamberofCommerce.

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In2009,undercontractwiththeCivicCouncilofGreaterKansasCity,Dr.Lenk

teamedupwithDr.PeterEatonandDr.DougBowleswiththeCenterforEconomic

InformationattheUniversityofMissouri-KansasCitytoconductafour-yearstudyintothe

natureofincomedetermination,essentiallyprovidingtheempiricalanalysismissingfrom

hisMaster’sthesis30yearsearlier.Thisworkresultedinanoveltheoryincome

determination,whereearnedincomewasviewedasthereturntowealth—humancapital,

socialcapitalandcommunityorneighborhoodcapital—thatisabsorbedbyindividualsas

theyaregrowingup,ratherthanthecompensationrequiredtocausesomeonetochoose

workoverleisure.Usingdataforthe50largestmetrosfromthePublicUseMicrodata

SampleoftheAmericanCommunitySurvey(ACSPUMS),twodifferenteconometricmodels

weredevelopedthatenabledpreciseestimationoftheimpactofadditionalyearsof

schoolingonincomewhilecontrollingforrace,ethnicity,age,genderandhouseholdtype.

Themodelincludedthreedifferenteffectsofeducation:thenumberofyears,thediploma

effect,andthefactthathigherlevelsofeducationincreasetheprobabilitiesofentering

intoahigher-paidoccupation.

Sincethe1980s,Dr.Lenkhassearchedforanalternativeeconomicmodelling

paradigm,atvarioustimesexploringchaostheory,systemsdynamicsandagent-based

modelling.Whenhereturnedtoacademiain2006atUMKCtoobtainhisdoctorate,itwas

withtheexpresspurposeofdevelopingasocialagent-basedmodelthatmodelledhow

peoplereallybehave,includingtheirmanymixedmotivationsbeyondutilitymaximization.

Onthesurface,thisseemedlikeanoxymorongiventheindividualistnatureofmostagent-

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basedmodels.TheinstitutionaleconomicsthatisatthefoundationofUMKC’seconomic

programprovidedmuchoftherequiredtheoreticalunderpinningsforsocialagents.Itwas

therethatoneofhisprofessors,Dr.JamesSturgeon,ledhimtoexplorethePerceptual

ControlTheoryofWilliamPowers,whichseemedtoadditionallyprovidetheunderpinnings

fordevelopingagentswho,byactingtoachievepurposesbasedontheirperceptions,

actuallyactedhuman.

Developingatheorythatintegratedthesetwostreamswasseenasafirststepin

producingthedesiredagent-basedmodel,andthatworkhasresultedinthisdissertation.

However,theprogrammingrequiredtoproduceanoperationalmodelbasedonagents

withahierarchyofperceptionsandreferencesstillremainsonDr.Lenk’s“todo”list.