Social science research on higher education and universities: Part 1 Trend report 9783111416908, 9783111052595

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SOCIAL SCIENCE R E S E A R C H ON H I G H E R E D U C A T I O N AND U N I V E R S I T I E S

CONFLUENCE ETATS D E S R E C H E R C H E S EN S C I E N C E S SOCIALES

COLLECTION PUBLIÉE PAR LE COMITÉ POUR

INTERNATIONAL

L'INFORMATION

ET LA

EN SCIENCES

DOCUMENTATION SOCIALES

VOL. IX

AVEC LA COLLABORATION D U CONSEIL I N T E R N A T I O N A L DES SCIENCES SOCIALES ET AVEC L'APPUI DE L'UNESCO DE LA N A T I O N A L SCIENCE FOUNDATION, ÉTATS-UNIS ET D E L'ÉCOLE P R A T I Q U E DES HAUTES ÉTUDES (SIXIÈME SECTION), F R A N C E

CONFLUENCE S U R V E Y S OF R E S E A R C H I N THE SOCIAL S C I E N C E S

A SERIES E D I T E D BY THE INTERNATIONAL FOR

SOCIAL AND

COMMITTEE

SCIENCE

INFORMATION

DOCUMENTATION VOL. I X

IN CO-OPERATION WITH THE I N T E R N A T I O N A L SOCIAL SCIENCE C O U N C I L AND WITH THE SUPPORT OF UNESCO O F THE (U.S.) NATIONAL SCIENCE F O U N D A T I O N AND O F THE ÉCOLE PRATIQUE DES HAUTES ÉTUDES (SIXTH SECTION), F R A N C E

SOCIAL

SCIENCE

RESEARCH

ON

HIGHER EDUCATION AND UNIVERSITIES PART I: TREND REPORT by

WOLFGANG NITSCH and

WALTER WELLER with a Foreword by

DIETRICH GOLDSCHMIDT Max-Planck-Institut fur Bildungsforschung

MOUTON THE H A G U E - P A R I S 1973

SOCIAL SCIENCE RESEARCH ON HIGHER EDUCATION AND UNIVERSITIES P A R T I: T R E N D R E P O R T ( C O N F L U E N C E 9) P A R T I I : A N N O T A T E D B I B L I O G R A P H Y ( C O N F L U E N C E 10) P A R T I I I : S U P P L E M E N T ( C O N F L U E N C E 11)

LIBRARY OF CONGRESS CATALOG CARD NUMBER: 7 3 - 1 2 2 5 2 8 ©

1 9 7 3 M O U T O N & CO

No part of this book may be reproduced in any form by print, microfilm or any other means without •written permission from the publisher PRINTED IN THE NETHERLANDS

Table of contents I Table des matières

Introduction à la collection

vm

Introduction to the series

x

Foreword, by

xn

DIETRICH GOLDSCHMIDT

Introduction

1

I. Academic institutions and the intellectual professions in changing societal structures 30 1 In early pre-industrial societies 38 2 In the early period of transformation 57 3 In the developed industrial societies 65 4 In connection with fascist epochs or trends 114 5 In coercively under-developed societies 133 II. 1 2 3

The economics of higher education and science Field of research and epistemological profile Concepts of research and planning Topology of the literature

171 171 173 226

III. The social dynamics of academic institutions: social organization, subjective development and political conflicts 238 1 The social organization and structure of processes of academic education, research and professional work 239 2 Intra-cultural subjective development processes 263 3 Psychic conflicts and disturbances 350 4 Intercultural subjective development processes 381

TABLE OF CONTENTS/TABLE DES MATIÈRES

5 Societal conflicts and political practice

410

L'Enseignement supérieur et les universités. Rapport sur les tendances de la recherche (Résumé) 460 Sommaire détaillé / Detailed summary

vin

473

Introduction à la collection

La collection Confluence est un élément du programme bibliographique d'ensemble que le Comité International pour l'Information et la Documentation en Sciences Sociales a entrepris de mettre en oeuvre. Ce Comité, créé en 1950 avec l'aide de l'Unesco, est une organisation internationale non gouvernementale, dont les membres sont des spécialistes des diverses sciences sociales et des techniciens en matière de documentation. Ils travaillent en liaison étroite avec le Conseil International des Sciences Sociales et avec les associations internationales spécialisées en ce domaine. En matière bibliographique, la première tâche assumée par le Comité a été l'établissement de bibliographies internationales annuelles, concernant respectivement la Sociologie, la Science économique, la Science politique et l'Anthropologie sociale et culturelle, régulièrement publiées depuis 1951 (actuellement diffusées par Tavistock Publications, Londres). En outre, le Comité établit ou fait établir des bibliographies occasionnelles, des bibliographies analytiques, des repertoires et index, dont la liste peut être envoyée sur demande. En ce même domaine bibliographique, le Comité s'est donné comme deuxième tâche la préparation d'études évaluatives et critiques. Les volumes de la collection Confluence ont ainsi pour object de faire connaître l'état actuel des recherches sur des sujets donnés. Certains de ces volumes sont consacrés à des problèmes de caractère interdisciplinaire, intéressant à la fois différentes sciences sociales ou justifiant d'approches multiples. D'autres concernent des méthodes utilisées par plusieurs disciplines. La rédaction de chaque volume est confiée à un spécialiste, qui établit le manuscrit sous sa propre responsabilité, mais en se conformant à des règles de présentation valables pour la collection dans son ensemble, IX

INTRODUCTION À LA COLLECTION

notamment en ce qui concerne les références bibliographiques. Un sous-comité de lecture est, dans chaque cas, appelé à se prononcer sur le manuscrit avant son impression. Le Comité international exprime sa reconnaissance aux personnalités qui ont accepté de constituer le sous-comité auquel a été soumis le manuscrit du présent volume: Prof. SJOERD GROENMAN, University of Utrecht Prof. PAUL DE GAUDEMAR, Université de Paris-Vincennes

x

Introduction to the series

The series Confluence is a part of the overall bibliographical program undertaken by the International Committee for Social Science Information and Documentation. The Committee, formed in 1950, with the support of Unesco, is an international non governmental organization, whose members are social scientists and specialists of documentation problems. They work in close co-operation with the International Social Science Council and the various specialized international associations. As far as bibliography is concerned, the first task undertaken by the Committee has been to prepare annual international bibliographies, for Sociology, Economics, Political Science and Social and Cultural Anthropology, which have been issued regularly since 1951 and are presently published by Tavistock Publications, London. Other publications, such as occasional bibliographies, abstracts services, repertories and indexes are prepared by the Committee or under its auspices; their list will be sent upon application. In the same field of bibliography, the second task of the Committee has been to publish critical surveys. The volumes in the series Confluence are intended to assess the situation of current research on special subjects. Most of these subjects are problems of an interdisciplinary nature, of interest to several social sciences or warranting multiple approaches. Other volumes are devoted to one method used in several disciplines. Each volume is written by an individual scholar, under his own responsibility. However, each author follows common instructions as to the standard form of the report and the bibliographical references. A reading subcommittee reviews each manuscript before it is printed. The Committee expresses its gratitude to the members of the sub-commitXI

INTRODUCTION TO THE SERIES

tee to which the manuscript of the present volume was thus submitted for review: Prof. SJOERD GROENMAN, University of Utrecht Prof. PAUL DE GAUDEMAR, Université de Paris-Vincennes

XII

Foreword

During the past decade, people in almost all parts of the world have come to realize the great social, economic and political significance of education. Throughout the world, governments are getting high political priority on education problems. At the same time, more and more importance is being attached to social research in the field of education. Research, whether in a single discipline or in a combination of several, is being increasingly devoted to this sphere of social life or is being challenged by it. In the light of this development, the International Committee for Social Sciences Documentation (ICSSD) - represented by the President of the International Social Science Council, Professor Sjoerd Groenman, and the Secretary General of the ICSSD, Professor Jean Meyriat - suggested in 1963 that a selective and annotated bibliography be compiled and published in conjunction with an analytical and evaluative report on present trends of 'Social Science Research on Higher Education and Universities' with the intention of drawing some sort of interim balance in the highly important but, so far as systematic study is concerned, also rather complicated and unwieldy field of education. This ICSSD initiative met with immediate interest on the part of the newly-established Institute for Education Research in Berlin, an affiliate of the Max Planck Society. Being in an early stage of development, this institute was itself engaged in accumulating detailed and systematic information in central areas of research, and had entrusted this work to Wolfgang Nitsch and Walter Weiler. So far as approach is concerned, the Bibliography together with the Trend Report was conceived in close adherence to the guidelines established for the Confluence series; in other words, the idea was not to compile an encyclopedia on research in the field or present a handbook on university problems connected with administrative, economic, pedagogic or xm

FOREWORD

other objectives on that level, nor was it the intention to submit a report on the present situation and development of individual scientific disciplines. Considering the current educational boom, it was considered of particular scientific interest and political relevance to investigate the specific interrelationship between certain social structures and their systems of higher education, using research findings as the basis. This interest is what guided the two authors in their approach to the information to be presented in the Bibliography as well as to the critical analyses found in the Trend Report. The titles listed were selected and evaluated on the basis of three aspects: 1. Macrosociological: institutions of higher learning and academic intelligentsia in the historical setting of change in social structures; 2. Economic: modern economics and planning with respect to university systems within a total social context; 3. Microsociological: the present inner dynamics of academic institutions with reference to their social organization, to the subjective developmental processes of faculty and students, and to the political conflicts. The work was approached in three phases, each of which presented its own specific problems: 1. The Annotated Bibliography (Part II of the complete work): Thefieldof social science research on higher education is so enormous due to the wealth of scientific problems and diversity of national systems, that despite the intention to restrict the topic, it was necessary to gather and work through a virtually immeasurable quantity of books and periodicals in order to find those titles that would be suitable for inclusion. Nevertheless, it proved impossible to present a completely balanced collection of titles in the sense of giving uniform representation to the various national systems of higher education or social research in the various countries. The discrepancies in level of development are simply too great with regard to the various educational systems and social research. The most one could do was to attempt to set as much non-American literature as possible against the great wealth of social research done in the USA, in order not to be all too dependent on the American approach from the outset. This points up one of the specific difficulties, in any case: social research in this field is, to a certain extent, only just beginning to develop in the non-industrialized world; in part, one encounters considerable difficulties in obtaining material on social science research carried on outside xiv

FOREWORD

Western Europe and the United States. Proceeding, as one must, from the available material, this automatically poses the danger of a possible onesidedness in interpretation, which could easily fail to do justice to the actual situation. In gathering and evaluating material from so many different countries, considerable language and communication difficulties developed which meant that more time and personnel were required than originally planned. All in all, a total of approximately 10.000 books, articles and further references were gathered during the period from 1964 to Spring, 1968, whereby 4.200 were earmarked for inclusion in the Annotated Bibliography. This means that the authors examined practically all relevant material published since the early 'Fifties'. They discuss their criteria for determining continuing relevance in their 'Editorial Notes'. More effort was not judged necessary or desirable. The annotations are primarily intended to give an indication of content according to the demands of the subject matter, authors' intent, and methods and tools applied. They have been incorporated in the index retrieval system by using running numbers. On the other hand, it was decided in general not to include abstracts of content in the annotations. Commentary notes have been added in cases where with regard to the selection criteria the characterizations had not done justice to the significance of a work. In spite of this, it was not possible to achieve strict consistency throughout the annotations; the highly differentiated character of the material, the mass of titles and the variety of languages represented forced the authors to rely on the cooperation of experts of various sorts, editorial assistants, and linguistically qualified external contributors, so that certain inconsistencies could not be avoided. Readers are therefore asked to take into account a certain unavoidable measure of subjectivity in these annotations. The Annotated Bibliography represents a survey of sorts, a collection of material on the basis of which one can ascertain the various ways research is developing throughout the world as well as the regional similarities or dissimilarities in approach. In giving information about the present state of development in research on specific problems, it also presents a means of orientation with respect to intercultural comparisons. 2. Supplement (Part III of the complete work): Sudden expansion in the various systems of higher education within the past decade together with the recent development of student protest movexv

FOREWORD

ments and university reform pose the danger that any evaluation of research literature published prior to Spring, 1968, will be partially obsolete by the time of publication. This is the reason why, in preparations leading to the Trend Report, the authors surveyed an additional 4.000 titles covering the period up to the end of 1969 - primarily French, German and English language literature on current issues. Time was too short to permit annotation of these titles, but their inclusion in both the general subject and authors' indexes as well as the consideration given them in the Trend Report ought to provide an adequate idea of their content and nature. Together with the above mentioned indexes, they will be published separately as a 'Supplement'. 3. Trend Report (Part I of the complete work): Just as the Annotated Bibliography provides a relatively wide range of information despite the selection criteria applied to the literature adopted and its annotation, the call for a Trend Report offers an opportunity to use available research findings to develop or substantiate a theory on the interdependence between university and society as this varies according to given social conditions. At the same time, it presents an opportunity to point out trends in the development of various branches of research and their respective methods. This is indeed exactly what was expected of the authors of the Confluence volumes. In this sense, the Trend Report authors - Wolfgang Nitsch and Walter Weller - are called upon to assume greater personal responsibility than was the case with the Annotated Bibliography. They were given considerable stimulus and numerous critical suggestions in the course of their work on the Annotated Bibliography and as a result of the cooperation extended by their co-workers and the Institute for Education Research, as well as other academic institutions. Nevertheless, they have had the liberty in this Report to draw their own conclusions from the available literature, whereby they have drawn primarily on German and English-language publications because of their accessibility. They have taken full advantage of this liberty and, as stated in the preface, bear alone responsibility for the Trend Report. We wish to draw attention to the following additional articles written by members of the staff in connection with their extensive preparations for compiling the Annotated Bibliography and as a result of the fact that the limitations necessarily set on the scope of the work forced the authors and XVI

FOREWORD

their co-workers to disregard books and articles of too highly specialized nature: Dellert, Wolfgang, Teichler, Yoko — Research into Higher Education in Japan. Introduction, trend report and bibliography. Berlin, Institut für Bildungsforschung in der Max-Planck-Gesellschaft, 1967 (unpubl.) Doerner, Klaus - Die Hochschulpsychiatrie. Sozialpsychiatrischer Beitrag zur Hochschulforschung (The Psychiatry of Higher Education. Social Psychiatric Contribution to Research into Higher Education). Stuttgart, Enke, 1967, 164 p. Heinze, Alfred - Gesellschaftswissenschaftliche Untersuchungen zu Problemen der Entwicklung des Hochschulwesens in der Deutschen Demokratischen Republik. Forschungsüberblick (Social Science Investigations on Problems in the Development of Higher Education in the German Democratic Republic. A research summary). Berlin, Institut für Hochschulbildung und -Ökonomie an der Humboldt-Universität zu Berlin, 1967, 20 p. (mimeo.) Hüfner, Klaus - Hochschulökonomie und Bildungsplanung, Bibliographische Materialien zur Hochschulforschung (Economics of Higher Education and Educational Planning. Bibliographical Materials on Research into Higher Education). Berlin, Institut für Bildungsforschung in der Max-Planck-Gesellschaft, Studien und Berichte 9 A, 2nd ed., 1968, 179 p. Hüfner, Klaus - 'Economics of Higher Education and Educational Planning - a Bibliography'. Socio-econ. Plan. Sei. 2, 1968 : 25-101. Kleemann, Susanne - Sozialisationsprozesse und Einstellungsveränderungen in der Hochschule am Beispiel USA, Bibliographische Materialien zur Hochschulforschung (Socialization Processes and Attitude Changes in Universities and Colleges. The Example of the USA. Bibliographical Materials on Research into Higher Education) Berlin, Institut für Bildungsforschung in der Max-Planck-Gesellschaft, Studien und Berichte 9 B, 1969, 178 p. Nitsch, Wolfgang - Hochschule. Soziologische Materialien (Higher Education. Sociological Materials). Heidelberg, Quelle & Meyer, 1967, 69 p. (Vol. VIII in: Furck, C. L.; Goldschmidt, D.; Röbbelen, I., eds.: Gesellschaft und Erziehung.) Nitsch, Wolfgang; Weller, Walter - Wissenschaftssoziologische Bibliographie. Ein Literaturverzeichnis von Quellen und Studien zur Soziologie der Wissenschaft (Bibliography on the Sociology of Science: a Listing of References concerning Sources for, and Studies in the Sociology of Science). Berlin, Institut für Bildungsforschung in der Max-Planck-Gesellschaft, 1965, 77 p. (mimeo.)

The editor and authors of the Annotated Bibliography assume full responsibility for their work; they wish to express their thanks to the numerous other individuals and institutions all of whom contributed time and effort to the undertaking. In the process of reviewing and evaluating the literature, certain areas emerged where the authors as mentioned previously needed to consult experts in particular fields or draw on the assistance of people trained in languages they did not command. They would like to acknowledge the assistance of the following specialists in specific branches of research and external contributors who helped with XVII

FOREWORD

their expertise on individual countries and regions: Economics: Klaus Hüfner; Law: Wolfgang Karcher; Stephan Leibfried; Social Psychology: Rainer Langhans; Gisela Ulmann; Student Protest Movement: Susanne Kleemann; Women in Universities: Ingrid Sommerkorn; Africa (except the Arabic States): Gerhard Grohs; China: Jerg Haas; Rainer Langhans; Michael Ruetz; Dagmar Thiele; CSSR: Milena Tauchmanova; Finland: Marjatta Marin; France: Monique de Saint Martin; German Democratic Republic: Alfred Heinze; India: Gisela Meschkat; Italy: Christian Riechers; Japan: Wolfgang Dellert; Toyomasa Fuse; Michiya Shimbori; Yoko Teichler-Urata; Latin America: Dolores Herrero-Schmidt; Ignacio Sotelo; Netherlands: Götz Langkau; Poland: Jan Szczepanski and members of the Research Center on Higher Education at the Ministry of Education, Warszawa; USSR: Ingemarie Hoerschelmann.

The Documentation Service at the Max Planck Society-affiliated Institute for Education Research rendered valuable assistance in connection with the systematic evaluation of bibliographies and periodicals, in searching for literature not at hand, and in providing the necessary reference materials. The authors are indebted to the Documentation Service librarians, Waltraud Fischer and Anneliese Trappe, as well as to Helga Berg, Susanne Heidtmann, Elisabeth Rühländer and Sibylle Plogstedt, who provided additional help. They also wish to acknowledge the cooperation of numerous libraries, institutes and individual researchers throughout the world, who assisted during personal visits or through correspondence. Rather than mention individual names and inadvertently discriminate against the many others who rendered equally valuable assistance, we wish to simply express our thanks to all at this point. The authors are also grateful to the following students of social sciences at the Free University of Berlin, who cooperated in formulating the abstracts and annotations: Helga Berg; Uwe Bergmann; Rolf Czeskleba; Sigrid Fronius; Klaus Gilgenmann; Christian Gizewski; Susanne Kleemann; Nicolaus Kuhnert; Rainer Maikowski; Nortrud Rosenberg; Gerald Scheidler; Ingrid Schmidt-Harzbach; Ulrich Ströhle; Katharina Vier; Heidemarie Wolter. Primary responsibility for correcting and adding supplementary data to xvm

FOREWORD

the bibliographical descriptions of works lay in the hands of Christa Gallasch and Gerald and Sabina Scheidler. A major portion of the work on the Authors' and Subject Index was carried out by Rolf Czeskelba, Kajo Heymann (f), Renate Müller and Konstantin Westphal. A considerable amount of work was involved in providing translations and transcriptions due to the fact that the literature to be included was published in a wide variety of languages. Particular acknowledgement is due to Fred Bench; Carol Eiler; Olaf Emmerich; Alfhild Fritzsche; Hannelore Künne; Jim Sattler; Dennis Schneider; Alexander Schüller; Leslie Seiffert; Joseline Starbuck. For carrying out the difficult job of handling correspondence and other secretarial work in such a variety of languages, the authors are grateful to Ursula Henkner, Renate Müller and Ursula Streeper, as well as to Christa Gallasch, Brigitte Steinmann and other secretaries at the Institute for Education Research for helping out from time to time. Last but not least, we are especially indebted to Professor Jean Meyriat and the ICSSD for their untiring concern and constant encouragement during the course of the work. At a critical stage, the Stifterverband für die Deutsche Wissenschaft also stepped in with financial assistance. The three volumes - Annotated Bibliography, Supplement, and Trend Report - go far beyond the originally planned one-volume scope. This accounts for the considerable delay in publishing the work. The authors and editor are pleased and all who have supported and cooperated in the work are grateful to see these volumes finally go smoothly into print despite the difficulties and delays that developed in earlier stages. Berlin, May 1970

Dietrich Goldschmidt

XIX

Introduction

The volumes of the 'Confluences' series 'are intended to assess the situation of current research on special subjects... in critical surveys ... under the own responsibility of individual scholars'. (Cf. Introduction to the series, p. XI). Thus, it is appropriate at this point that the authors of this report make clear to the reader the goals and criteria of selection, structuring and critique for which they are 'responsible': They understand it as a preparatory collection and structuring of research contributions of the most varying theoretical-ideological schools, as a reflective documentation study, a study, however, structured in the manner necessary in their opinion for a substantive criticism dedicated practically and politically to the objectives and methods of the historico-materialistic analysis of society. In contrast to bourgeois social sciences, where the relationship between the subject and object of study form an undialectical relationship, it lies in the nature of this method that critique evolves out of the practical relationship of the critic to the societal 'object', out of the 'participating examination' in critical unity with a revolutionary organization subject to constant critique by the working masses; it cannot be delegated to the sense of 'responsibility' of individual scholars1. Substantive critique, i.e. a critique that is and becomes the practice it1. Cf. Mao Tse-Tung, Oppose book worship (1930): 'Without investigating the actual situation, there is bound to be an idealist appraisal of class forces and an idealist guidance in work, resulting either in opportunism or putschism'.; and id. in 'Reorganize our studies', in Selected works (English ed.), Peking, 1967, vol. Ill, p. 141: 'Based on the Marxist-Leninist theory and method one must investigate and study in detail the developments among the enemy, friends, and among ourselves in the field of economics, finance, politics, and the military, culture, and party affairs to draw the proper and necessary conclusions from them'. Cf. further 'Preface and postscript to 'rural surveys'', ibid., vol. Ill and 'Report on an investigation of the peasant movement in Hunan', ibid., vol. I.

1

INTRODUCTION

self, of social science research and its practical applications to a particular societal area can take place from this perspective only through reflective examination requiring constant critique and self-critique in the process of struggles in which the individuals who have summarized the preliminary results of this research are themselves actively involved. Completion of a critical research report of this nature was impossible in the framework of institutional and individual 'responsibility' in which a survey of this scope was undertaken and published; would however, have been impossible also because of the fractionalization and national isolation of revolutionary socialist organizations. And yet, the authors have attempted to select their information material on social science research in this field not only according to formal principles - the multi-disciplinary and global scope of the task, the authors' and their associates' knowledge of languages, the availability of information but also in an effort to structure it in such manner as appeared necessary for the informational support and preparation of concrete, scientificsocialistic studies in certain (current and potential) social struggle situations. Here, they depend on their own practical sensations and experiences won in the struggle of organizational nuclei of a revolutionary intelligentsia against a counterrevolutionary or opportunistic higher education policy and social science in West Germany and the USA as well as on their knowledge-mediated by similar groups - about the struggles in other countries. This does not exclude the possibility that social scientists, who understand and define their work differently than the authors, will be able to obtain useful information from the structuralization and selection of materials chosen by the authors. For the social scientists, both consciously and directly involved in counterrevolutionary, political and military activities, the raw information materials provided here will be nothing new, if we consider the governmental and military documentation and intelligence facilities at their disposal. For those social scientists whose (subjectively honest, if idealistic) efforts are aimed at a progressive and humanistic-emancipatory application of their studies, the authors hope that this additional information will help to destroy various idealistic illusions and to create an interest in the scientific methodology and practice of socialism.

2

INTRODUCTION

1 Definitions and delimitations The topic of the research reviewed in this Trend Report can be roughly defined as the relationships between higher education processes and society; more accurately as (a) the political, economical, ideological, cultural, and legal relationships between higher education processes, as well as between the 'academic systems' to which they belong or are assigned on the one hand, and the other areas of society to which they are inter-related; and (b) the impact of these relations between academic systems and society on the basic inner structures of academic systems, particularly of higher education systems and the personal or subjective development processes connected with higher education processes. For purposes of terminological simplification, we shall define 'academic systems' within the framework of this report as: organized processes and institutions (a) of complex intellectual work, (b) of the combining of complex intellectual work and/or its results with other non-productive activities such as in the exercise of authority, spiritual guidance, medical care, administration, commerce, warfare, education, differentiated consumption of intellectual products, pictorial arts; or with materially productive work such as in applied natural science, technology, and in the organization of production, and finally (c) of the mediation and communication of the results and methods of complex intellectual work and the objective and methods of its combinations with other activities to new generations of intellectuals and members of intellectual professions. 'Academic systems' are thus, terminologically simplified, systems of higher education and (predominantly) intellectual professions (in contrast to artistic professions). It is true that this study focuses on higher education processes and universities, but, because of their close inter-relationships with the other fields of the 'academic systems', we have also included as a matter of second importance (1) the other areas of the so-called tertiary education system (built on the basis of the secondary school system), (2) the extrauniversity system of scientific research or scholarship, (3) the relatively autonomously organized systems of applied research not immediately connected with material production (or with the military), (4) the intellectual professions more or less based on the partial application of intellectual production, i.e. medical, legal, and pastoral practice, the 'higher' occupational levels of administration, business management, military service, social work, education, library and communication work. 3

DEFINITIONS AND DELIMITATIONS

This concentric expansion of the topic was necessary, among other reasons, because the lines of demarcation between systems of higher educations and universities on the one hand, and the other areas of the academic system differ greatly historically and among contemporary societies. The same holds true for the form and intensity of the relationship between systems of higher education for intellectual production (science and scholarship) and for the professions. On the other hand, the topic was limited to the relations between higher education and academic systems and the other areas of society including the impacts of these relationships on the basic inner structures of higher education processes and academic systems. Research material and studies were excluded whose main topics are on the one hand, the particular objectives and contents (e.g. curricula, methods, and media of learning, teaching, research, other scholarly forms of cognition and intellectual professional work) or, on the other hand, the administrative and business management of higher education and intellectual professional work. To include social scientific studies on the specific contents and methods of higher education and intellectual work processes, into which the societal conditions existant are incorporated as determinants, would have expanded insuperably the framework of this Trend Report as performed by a small group of authors and would require a large number of coordinated reports on the investigation, from the perspective of social science, of special academic and professional fields and of their specific methods. On the other hand, the studies on administrative-micro-economic structures and problems of academic systems lack predominantly both the connection to the substantive and methodological aspects of individual disciplines and professions as well as the connection to larger, determinant social conditions. In using this limitation, the dilemma should not be overlooked that in the field of higher education and intellectual work for the investigation of social conditions and interrelationships, a more intensive 'pre-education' of the investigators on the complex intellectual contents and methods of their research subjects is necessary than in social processes and activities less permeated and governed by intellectual work and learning processes. To the extent that the investigators attempt to remove themselves from the undialectical relationship to the subject of their investigation, i.e. out 4

INTRODUCTION

of a relationship which is either defined in terms of quasi-natural science or as quasi-technological and instead, reflect the reality of the dialectic of subject-object in the interaction between the investigator (predominantly subject, but also object) and the living social 'object' (predominantly 'object' but ultimately subject), this dilemma will emerge. This dilemma is compounded even there, where intellectual learning and work processes are already organized and controlled according to social-technological rules and strategies, because in this case an investigation applying the dialectical method must first destroy the social-technological cover to reach the core, the 'living intellectual productive force'. (Examples for this are applied-psychology methods of selection, counseling, achievement promotion, and psychotherapy successfully used for the control of higher education in natural science and technology at some US American elite universities or the work and career systems in industrial and military research centers organized according to modern methods of applied psychology). In this context, processes of reflection on the goals and application of intellectual production or acute psychic conflicts which reflect social conditions are often obscured and prevented, intellectual and psychic processes through which a dialectically structured investigation in communication with the people whose situation is to be investigated could teach something about the mediation of societal structure principles in the concrete, intellectual and psychic situation. Where the applied socio-technological research on higher education and intellectual work processes co-determines these processes in their societal relationships objectively, we have incorporated information on trends and concepts in this research into the Trend Report, even in those cases, where they do no longer consciously investigate societal relationships. This provides the explanation for the fact that this Trend Report, despite its topical concentration and limitation to the relationships between academic systems and society, reports not only on contributions from social science disciplines which investigate consciously aspects of this topic (such as political economy, social philosophy, macro-sociology, cultural and social anthropology, cultural and mass psychology, political science and law) but reports selectively on studies and disciplines dealing with or regulating isolated factors and phenomena in artificially closed 'subsystems' or 'micro-structures' connected with intellectual learning and work processes (such as applied social psychology, micro-sociology, management science, micro-economics, and psycho-therapy). 5

STRUCTURE AND ARTICULATION OF THE SURVEY

2 The structure and the articulation of the survey Having explained the designation and demarcations of the topic with respect to the objectives and criteria of selection, structuralization, and evaluation of the research literature by the authors, it is now necessary to briefly outline both the structure and articulation of the survey project as a whole. The survey consists of several sections with multiple cross-references (which are being published in three separate parts): 1. The Trend Report itself, outlined and structured according to problem areas or dimensions in the relationships between academic systems and society (Part I). 2. Two bibliographic sections (a) an annotated bibliography (Part II) (b) a non-annotated supplement bibliography (Part III) arranged according to social science disciplines, subdivided further according to countries and regions (in which many countries have been summarized as groups and including sub-divisions on international and comparative studies as well as on cross-cultural relations). 3. A systematic subject index in which the references contained in the bibliographic sections are entered under several index headings (in Part HE). 4. An author index referring to the bibliographic sections, not, however, to the Trend Report itself (in Part m ) . Because the Trend Report is largely based on the structuring and collation of the material listed in the other sections, and constantly refers to these sections, we shall begin by explaining their structure and use. 2 . 1 BIBLIOGRAPHIC PARTS

The bibliographic parts of the survey are both organized according to the same scheme: A. Reference works and literature in research into higher education 1. Bibliographies and reviews of research 2. The political and administrative context of research into higher education 3. Commission reports and descriptive studies on systems of higher education 6

INTRODUCTION

B. C. D. E. F. G.

4. Periodicals in the field of higher education1 Historical and interpretative studies Sociological and inter-disciplinary empirical research Economics Law and government Sociographic survey research and statistics Social psychiatry

Within these chapters, the entries are arranged according to 18 regions and according to the sub-classification 'international and comparative studies' as well as 'cross-cultural relations'; within these sections they are arranged alphabetically according to authors (for readers and similar volumes according to the editor). An explanation of the definition and limitation of the chapters and regional sections is given in the Editorial Notes to the Bibliography, Part II of the Survey, p. XVIII. At the beginning of both of the bibliographic sections, the page numbers indicating the beginning of the respective regional sections are listed in a Regional Index. In addition, each of the bibliographic sections includes a table on the number of entries in each chapter and its regional sections (cf. Part II, p. 802). The titles in the bibliographic sections are listed according to running numbers, which are classified according to the following scheme, each chapter beginning with a new thousand base-number: Chapter

Running numbers Annotated Bibliography

A B C D E F G

Supplement Bibliography

(in Part II)

(in Part III)

1- 723 1.000-2.083 3.000-4.281 5.000-5.305 6.000-6.124 7.000-7.359 8.000-8.287

10.000-10.869 12.000-13.635 14.000-14.797 16.000-16.461 17.000-17.184 18.000-18.184 19.000-19.179

1. 'Higher education' serves here as a simplified definition for 'higher education and academic systems' in the sense of the term as outlined above.

7

STRUCTURE AND ARTICULATION OF THE SURVEY

In the Trend Report, Subject Index, and Author Index, the titles will be listed according to their running numbers. This enumeration system will indicate to the reader whether a title is listed in Part II, i.e. in the Annotated Bibliography (all titles under 10.000) or in Part III, i.e. in the nonannotated Supplement Bibliography (all titles above 10.000); this system will also indicate to which chapter a title listed in either of the bibliographies belongs, e.g. whether it is a work dealing with empirical social science or an historical and/or interpretative study. The selection of the literature covers the period of the last twenty years with the exception of a few older 'classic' studies. Both of the bibliographies list studies in progress. (The dates listed refer to the projected research period, and not the date of publication, which often takes place many years later, if at all). Due to the fact that the Annotated Bibliography was completed in March of 1968, publications subsequent to this date are only listed in the Supplement Bibliography. In addition, the Supplement Bibliography includes those titles which are (a) less closely or directly related to the subject matter of the survey but which have proven to be relevant to the description and/or illustration of the interrelationships with related fields of research or with the social, political, or theoretical context and background of research on the topical subject matter of the Trend Report; (b) are directly relevant to our subject and were published prior to March of 1968, but were not included in the compilation of the Annotated Bibliography, yet have subsequently been incorporated into the Trend Report itself. The quantitative distribution of the titles according to countries and regions is not representative of the extent or significance of the research which deals with the academic systems of these countries, but reflects, rather, the accessibility of the literature for the authors and their associates, i.e. thus was determined by aspects of work efficiency (the quality of accessible libraries, knowledge of languages, opportunities for travel, etc). The annotations in the Annotated Bibliography are not to be understood as abstracts which summarize the results of research or scientific discussions, but are intended to characterize only the goals and questions, the concepts, methods, and research instruments applied and, in certain cases, the relevance of a particular study for the research subject of this report as well as its political, administrative, or institutional context (e.g. through 8

INTRODUCTION

data on research institutes, sponsors, and initiators). In many cases several publications relating to one research project, mostly of an empirical nature, were listed chronologically and summarized in a single annotation. (The alphabetical listing follows the listing of the author of the publication first mentioned in this case). Annotations written completely or in part according to data provided by the authors are coded 'AA', i.e. Authors' Annotation or 'modified AA'. (Further instructions on the technical presentation of the titles in the bibliographical sections are to be found in the Editorial Notes in Part II, pp. XXV-XXVI).

2.2. THE INDICES

The Systematic Subject Index refers to both sections of the bibliography. The titles are listed here, in most cases under several index headings, only according to running numbers. The organization of the Systematic Subject Index is designed to provide dual access to the literature with sufficient 'demarcation' as a crossreference system to the bibliographic sections: If the bibliographic sections are structured according to the contribution and the perspectives of the various social science disciplines toward higher education research as well as according to countries and regions on which research is taking place on the respective academic systems, we have attempted to reflect this in the Subject Index as interdisciplinarily or multi-disciplinarily as possible. A subject index with multiple-reference systems should be 'an important instrument for discovering previously unsuspected connections between different sets of facts, and thus for arriving at unforeseen hypotheses'1. We have followed the construction principle, pragmatically simplified for our limited purposes, of the 'Barbara Kyle Classification Scheme (KC)', which was developed under the auspices of the International Committee for Social Sciences Documentation for their Social Science Bibliographies whose goal was: 1. to avoid as often as possible in the core-area of classification the use of subjects and concepts which were common to only one specific social science discipline, and 2. to apply the principle of multidisciplinary facet analysis (or 'facet connotation') to as many subject

1. John Madge, The tools of social science. London, 1953.

9

STRUCTURE AND ARTICULATION OF THE SURVEY

areas as possible which could be defined as not 'disciplinary' 1 . Thus, for example, we have listed under the subject 'Decision to study and choice of academic field or profession' (3.1.1.), titles which could incorporate the following 'facet connotations': historical, legal, political, administrative, economic, cultural and sub-cultural, motivational, clinical (etiological), and clinical (therapeutical) aspects of ..., which indirectly provide a connection to the perspectives of the various social science disciplines which, in turn, can be tracked according to the running numbers of the entries in the Subject Index which refer to the Bibliography chapters. Corresponding to the topical concentration of the survey on the social and structural principles of academic systems, a topic area, which in the literature we have selected has been approached in varying degrees and in many cases only implicitly, the Subject Index was structured to correspond to the principle of increasing isolation of phenomena from their social-historical context. Thus, in the first two of the five major index sections those titles have been listed which explicitly or implicitly incorporate studies dealing with the analysis or description of these major social contexts, while the following sections list titles dealing predominantly with more or less highly isolated or purely phenomenologically determined aspects or factors within these contexts. (The content and demarcation of the sections and subject headings of the Subject Index are explained in more detail in the Editorial Notes in Part III). The Author Index does not refer to the Trend Report, but only to the bibliographical sections. It also includes the names of authors not listed as the primary author. Persons listed as editors or publishers have also been included in those cases where 'readers' or similar works have been published as such. These titles are quoted in the Trend Report with the abbreviation 'ed'. preceding the running number.

2.3 THE TREND REPORT

The outline and the method of presentation and evaluation of the literature was determined by the limited objectives of the authors and the 1. Cf. also D. Foskett, Classification and indexing in the social sciences, London, 1964 as well as K. W. Kapp, Towards a science of man in society, The Hague, 1961. 10

INTRODUCTION

thematic focus explained in the beginning of the introduction. Because the authors could neither hope to provide a substantially critical analysis of the theories and concepts of the research they dealt with nor desired to produce an encyclopedic reference work on the results of higher education research, they have concentrated on providing structured information on a few 'dimensions' characteristic of the research, information, even the minimal structuralization of which would not have been possible without a categorical reference system revealing the theoretical and possibly ideological standpoint of the authors. The conceptualization and structuralization of information communication thus is based quite onesidedly on the objectives in the context of potential practice explained above. However, the suppression of information on certain theories and research results would certainly not have been in the interest of these objectives. The dimensions or aspects of the research process, which provide the focus of information communication in the Trend Report, are:firstly,the ideological and political position and background of research; secondly, the basic epistemological structure of cognitive processes and operations within the research and the interpretations of the relevant subject matter; thirdly, the explicitly self-defined social science-theory orientation of the research studies; and fourthly, the heuristic or concrete-hermeneutic models, concepts, or paradigms utilized or originally developed in the actual research or interpretation process for the limited subject matter in question. With the exception of the first sections, comprised of historical studies, these dimensions have been treated in the subject matter sections of the Trend Report more or less separately and in the order listed above. Proceeding in this manner, one begins with the so-called 'pre-scientific', directly socially determined situation of constituting cognitive and research interests, concepts, axioms, methods, and (technical-operational) research instruments approaching the concrete research and interpretation processes in successive steps. 2.3.1

On the dimension of the ideological and political initial situation of the research, information is also provided on the political-economic interest structure of academic or administrative-political institutions initiating or 11

STRUCTURE AND ARTICULATION OF THE SURVEY

furthering certain research as well as on the relationship of researchers to certain social classes and strata. In this context 'ideology' is defined according to Marxist theory as societally necessarily false consciousness or as an objective illusion. (For sections concentrating on this dimension cf.I, 2.1; I, 3.0; I, 3.1.1; I, 4.1; I, 4.2; I, 5.1 and 5.2.1; II, 2.1; III, 1.2.5; in, 2.3.3.8; m , 3.1.2; III, 3.4.8; III, 4.2.1; III, 4.3; m , 5.1). 2.3.2 'Epistemology' is defined here in a wider sense than that common to logic and the theory of knowledge, in the strict sense of the term. It also incorporates the theory of the pragmatic and institutional development of scientific or scholarly disciplines and methodologies, i.e. their orientation in concrete historical situations and - in practical terms - with reference to action, e.g. the administration of justice or the practice of psychotherapy or in the form of a pseudotechnological reification of communicative, cognitive acts, e.g. in 'social technologies' such as cybernetic economics or applied social psychology. Epistemology in this broader sense will be, in part, phenomenological and descriptive in nature, drawing in part on the historiography of science. In this report its seems particularly necessary to expand the concept of epistemology in this manner, because substantial sections of research into higher education and intellectual work are integrated into systems of actions or technological regulation. In the various chapters of the Trend Report, particularly at the beginning of Chapter I, 3 and Chapter III, the different epistemologicalperspectives in the context of the respective research topics and primary social situations of this research are defined more accurately and explained with respect to their specific significance in the situation and with respect to their relationschip to each other (cf. I, 0; I, 3.1; I, 5.1; HI, 1.1; III, 2.1; III, 2.2.8; in, 3.1; m , 4.2; EI, 5.1). 2.3.3 The dimension of theory formation in social science proceeds from the explicit classifications and orientations of the research scientists in question who themselves claim to be spokesmen for a specific, more or less homogeneous 'theoretical school', or who combine ad-hoc elements of different theory systems into new constructs. This, of course, presumes that the 12

INTRODUCTION

reader is generally informed about the most important theoretical trends in the social sciences or that he is in a position to inform himself quickly, (cf. on this dimension sections I, 3.1.2; I, 4.2; I, 5.1; II, 2.1; III, 1.1; in, 2.2; III, 3.2; III, 4.3; in, 5.1). 2.3.4 In our survey, the notion of 'research concept' or 'paradigm of research' has been taken in a rather broad sense. Predominantly we shall be concerned with heuristic paradigms related to the strategy of enquiry: these set up an analytical and hypothetical context of alternatives, to which investigation is supposed to discover empirically founded statements. To a smaller extent we shall be taking in as well hermeneutical or critical paradigms related to the subject matter of the enquiry, which stand in a dialectical sense-understanding relationship to historical processes; the epistemological accentuation in these paradigms may variously be that of historical materialism, idealism, existentialism or phenomenology or may be oriented towards the sociology of knowledge ('Wissenssoziologie'). In addition, we shall be taking account of a few specific social engineering strategies, drawing concrete conclusions from the specialist results of empirico-analytical investigations and applying these to action whose character is understood as being one of purely purposive rationality. Most of the heuristic paradigms, with their concern for research strategies, are already latently or implicitly purposively rational concepts or even'precepts' with a concern for action strategies, and set up a contingent framework for alternative types of intervening operation understood as being 'technological' in character. In connection with all these epistemological types of paradigm- or concept-formation, we have also taken account of rudimentary protoforms, such as central 'notions', from which full-scale paradigms would have to be explicitly developed in a way that has often not yet been done in the literature. Other paradigms have in the first instance been formulated as taxonomic definitions of research themes or as causal analytical statements, but on being concretely articulated and operationalized, they take on the character of implicitly hermeneutical or critical paradigms 1 . 1. Herbert Marcuse has given an instructive demonstration of this epistemological materialization for the case of industrialization and rationalization (cf. 12172). 13

RESEARCH TRENDS AND SOCIAL INTERESTS

(For sections emphasizing concept formation cf. I, 3.2; I, 1.2; III, 2.2; III, 3.3; in, 4.3; ffl, 5.1.1). 2.3.5 Subsequent to the outlining and primarily informatory discussion of the literature according to these four dimensions, a so-called 'topology' of the research literature is presented in each of the major sections of the Trend Report, structured according to (a) thematical areas: e.g. socio-structural, social-ecological, or taxonomical (i.e. taxonomies of education processes or personal development processes), and (b) subdivided according to countries. These literature topologies attempt to mediate between the informatory discussion of the four dimensions of the research process mentioned above, limited to the most important or typical trends in the research (in the estimation of the authors) on subject matter still widely defined, and the manifold information on highly specialized studies referred to in the bibliographic section and the Subject Index of the survey itself. Their purpose is to help and guide persons using the survey to achieve accurate utilization of the informational opportunities provided by the index and the bibliography (cf. I, 3.3; I, 4.3; I, 5.2; II, 3; III, 1.2; III, 2.3; in, 3.4; ni, 4.4; in, 5.2). According to the degree of differentiation and the complexity of the ideological, theoretical, epistemological, and heuristic dimensions and problems in the research on respective subject matter, the discussion of the four dimensions outlined above receives more or less emphasis in relation to the topology.

3 Research trends and social interests: a preliminary résumé In order to provide a better understanding of the criteria used in selection and evaluation as well as to permit the establishment of cross-references between the individual chapters and sections of the Trend Report, an overview of the trends and tendencies in the research and the social and political interest constellations upon which this research is based will be provided in the following. If we review the development of social science studies on higher education, universities, and intellectual professions over the last two decades, 14

INTRODUCTION

we can identify shifts in the quantitative and qualitative relationship between various directions, 'schools' or types of this research (termed in the following abbreviately as 'research into higher education'). These trends or types of research into higher education may be defined according to the predominance of social interests and ideologies reflected in them, mediated by transitions in the epistemological and institutionalorganizational structure of the social sciences to which the respective research belongs. This presumes that this research into the social relationships of higher education and academic systems itself expresses more or less the dominant aspects of these academic systems and their environment and society. This may be in the form of relations characterized by the acquiescence of academic systems or groups in the dominant trends of the society, or relations which illustrate the resistance of such groups to these social trends. If we proceed further from a quite simplified outline of 'world society' according to basic models of societal and political economic structure, we can demonstrate even more clearly these interest- and ideology-specific directions and types of research into higher education in the reciprocal relationships. We refer to the comparison between the following social systems: the socio-economically highly- and semi-developed capitalist societies in North America, Western Europe, Japan, Australia, South Africa, and Israel; the advanced and semi-developed societies of Eastern Europe and the Soviet Union, representing transitory or mixed systems between capitalism and socialism; the societies in Latin America, Africa, and Asia held coercively in a state of under-development through their colonial and neo-colonial dependency on the highly developed capitalist 'metropoles'; as well as the revolutionary-socialist transformation societies in China, Korea, Vietnam, Albania, Cuba, and - with limitations Algeria1. If we begin with the capitalist societies, where 'modern' research into higher education was born and is most wide-spread, we can observe here, next to an older, 'pre-modern' research tradition, a highly ideological and theoretical-disciplinary differentiation into various trends followed in the past few years by a tendency towards intensive integration into the system models of higher education planning. If we resist the popular temptation to trace a pedigree for each social 1. Cf. for substantiation of the differentiation of basic socio-economic systems the sections I, 3.1,1, 5.1 of the Trend Report as well as the literature listed there.

15

RESEARCH TRENDS AND SOCIAL INTERESTS

science research field back to the sacred remarks of the scholars of classical Graeco-Roman antiquity on the topic, the beginning of empirically substantial higher education research can be traced to the institutionalization of public finance and administration ('cameralistics') and statistics in the progressive absolutistic-dynastic or republican state formations of late 17th and 18 th century Western Europe in the Age of Enlightenment, predominantly in the Netherlands, Prussia, Hanover, and in the Austria of Joseph II. Here, the interest of the 'state sciences' of the mercantilist system ('statistics' in the classic sense) was soon directed toward quantitative investigation of the usefulness of universities, vocational schools, and scholarly academies for the development of trade and 'traffic' and state finance. This type and style of pragmatic public finance and administrationoriented research into higher education remained dominant in the capitalist societies of Europe into the 20th century next to the studies in social and educational philosophy on the goals, methods, and organizational forms of university education initiated above all, by the French revolutionary and Bonapartist and the German neo-humanist and idealist reform movements. (Cf. as an introduction into this early research into higher education the respective references and sources cited in: Schelsky 1596; Busch, 1553; Quetsch, 7223 for Germany; Kahan, 5226 for pre-revolutionary Russia; Gilpin, 13147 for France). With the partial application of the example of Western European state university policy to North America, Japan, and the colonial countries, this type of publicfinanceand administration surveys also was indigenously applied to these areas, if somewhat less expansively and continuously. (Cf. on this point for the USA Hofstadter and Smith, eds. 1326; Hawkins, 1322; Rudolph, 1440; Bowman, 5080; for the British colonies Ashby, 1134; for Japan Emi, 5208; Okita, 5212). The surveys by ad-hoc factfinding and advisory commissions in the capitalist industrial countries and the British colonies and Commonwealth countries from the Twenties to the Sixties reflect this pragmatic-statistical style of state university and science policy research into higher education as a 'modern' continuation of this classic tradition. (Cf. on this point the numerous 'commission reports' in Section A 3 of the Bibliography). Even the beginnings of the new discipline of educational economics emphasizing the 'tertiary education sector' and its state financing are still influenced by the connection of this public adminstration and finance tradition with the renaissance of 16

INTRODUCTION

classic concepts of bourgeois economics with respect to so-called 'humancapital' (cf. II.2.2.11). The first type of research into higher education to express a specifically 'modern' societal structuralization of the interests of capitalist society grew out of the strong position of private entrepreneurs and industrial corporations in the numerous private, but also in the state universities of the United States (Cf. I, 3.3.3.2.4 and 3.3.3.2.5). This resulted in a trend toward the application to the universities of early forms of 'scientific management'' and 'personnel work' in the private sector of the economy. This gave rise, on the one hand, to the systematic self-evaluation studies of universities and colleges partly initiated by influential foundations (Carnegie Corporation, Rockefeller Foundation) and, on the other hand, to the first permanently institutionalized forms of institutional research sponsored by the offices of administration and student personnel work (admission counselling, placement, examinations, student finance, student health centers). The political-economic interests expressed in these phenomena consisted in the securing of a rational 'business-like' allocation of financial means and an ideological orientation and psychic stimulation of students and university faculty personnel which corresponded to the requirements of capitalist economic Ufe in the field of professional and state services closely related to it. Already in the first decades of the 20th century this produced a special professional group and expert community: the professions of university and college administration and student personnel work. (Cf. the numerous references to this topic in the Bibliography Sections A 1, A 2, both USA, as well as the professional journals in A 4, USA). This style of research into higher education however, remained limited to pragmatic business management and personnel tasks and objectives of the individual universities and colleges and/or to the problems of private, middle-class professional career and income planning. It is in this context that we can develop a concept of the dominating trends in the economics of higher education in the United States, which until recently have concentrated on individual and family income (cf. Chapter II, 2.1). This direction in locally and institutionally limited research into higher education as business and personnel management from the perspective of private capitalist higher education policy and ideology has remained basi1. This data refers to chapters and sub-sections of the Trend-Report, respectively; cf. the detailed Table of Contents. 17

RESEARCH TRENDS AND SOCIAL INTERESTS

cally limited to the United States and Canada, but has also exerted a certain influence on the much less developed administration of universities in the British Commonwealth and the private universities in Japan since the us American occupation (cf. Fukashiro, 5209; Lloyd, 427). Beginning with the conscription of the major us American universities into the imperialist 'development policy' of the us administration in the early Sixties (cf. Gardner, 314; Humphrey, ed. 318), methods and models of this type of higher education research have been applied to numerous, predominantly private universities in Latin America, Africa, and Asia under us domination for the needs of local university management and its reference groups in the private sector of the economy (cf. Atcon, 1887-8; Olivera, 5041). A second direction of research into higher education owes its genesis to the world-wide shock of the capitalistic system during the period of the world economic crisis and the confrontation with fascism and Soviet communism. The ideological movements and transitions caused by these factors have conditioned particularly the quantitative expansion and the substantive trends of the social sciences and educational theory in the United States and have been applied to the research and reform with respect to higher education, particularly in Western Europe and Japan in conjunction with the world-wide export of the contents and methods of the social sciences from the USA. The underlying ideological foundations and the ideological turning points of this very broad and ideologically as well as disciplinarily heterogeneous direction of higher education research are to be found, above all, in the welfare-state, social reform policies connected with the New Deal, the left-wing liberal and socialist tendencies among the intellectuals in the USA during this period, the interrelationships of these tendencies with the influence of anti-fascist and, in some cases, socialist emigrants from Europe, the activities of these intellectual groups in the rapidly expanding research-, intelligence-, propaganda-, and education programmes of the us administration in World War II and in the occupation regimes in West Germany and Japan, the polarization between anti-communist and left-wing intellectual groups beginning with the Cold War against the Soviet Union, the influence of both ideological groups on the newly arising social sciences, university policy, and education theory in West Germany and Japan, but also in the other Western capitalist countries within the us sphere of domination. Among the 'innovations' of these interdependent ideological 'develop18

INTRODUCTION

ment waves' in the advanced capitalist societies in the field of social science research into higher education are the following: - the application of'post-Keynesian' macro-economic models to the economics of higher education and science (cf. Chapter II, 2); - the application of principles and techniques of indicative framework planning developed during the New Deal to state higher education and science policy (in the USA proceeding from the increased financing of research in state and private universities by the federal government and the beginnings of government-financed education for veterans); - the application (in part the original development and testing) of concepts and instruments of social psychology and attitude research for the investigation of and the fight against fascistic (later redefined as 'totalitarian') and for the promotion of 'liberal' personality and behaviour structures among students and elites in the USA, the occupied, formerly fascist countries, and finally in all of the countries within the imperialist sphere of domination and influence of the USA (cf. I, 3.3.3.2.2; I, 4.2.2, and 4.2.3; I, 4.3.5; III, 2.2.3.1) as well as in the framework of intercultural education- and exchange-programmes (cf. Ill, 4.2.1; III, 4.3.2; m , 5.1.1.2); - theoretical and empirical-sociological studies inspired by left-wing liberal and left-wing socialist intellectuals on the historical and contemporary socio-structural and political consciousness phenomena in US American, West German, and Japanese higher education systems, student bodies, and elites, studies which were explicitly or implicitly connected with strategies and Utopian concepts of'democratic-socialist' or liberal reformist social transformation by enlightened critical elites within the framework of the so-called democratic social-state or welfare-state (cf. for Germany the studies by Plessner, ed., 3979; Baumgarten, 1548; Habermas et al., 3968; for the USA Lazarsfeld et al., 3512; Hofstadter, 1325, 12542; Bay, 10313; Flacks, 3329; as well as Sections I, 4.2.6; I, 4.3.1, 4.3.4, 4.3.5; III, 1.2.2.2.); - finally, the transformation and integration of cultural-critical, 'revisionist' psychoanalysis into the therapeutical strategy in the context of student personnel work in the US American student psychiatry (cf. Ill, 3.1.2, 3.2, and 3.3) which concepts have also been incorporated into emergent Western European university psychotherapy in the past years (cf. on this point the critique by Dorner, 18). 19

RESEARCH TRENDS AND SOCIAL INTERESTS

These trends and processes in higher education research may be characterized in summary as social research and human or social technology in the service of reform and welfare policies of a post-Keynesian, capitalist state from the ideological perspective of liberal or reformist-socialist fractions of the intelligentsia connected with the institutions of this state. A third quantitatively significant type of higher education research in advanced capitalist society may be characterized as an indirect, generalizing self-illustration of the ideological consciousness and image of society of an established, liberal and conservative, academic 'upper middle class' (and the social scientists who belong to this stratum), the members of which recreate in theoretical and empirical studies in more differentiated form their own ideals of higher education, science, and intellectual professional life as well as their own experiencing of secondary socialization, acculturation, career-processes, psychic- and political-ideological conflicts in the milieu of bourgeois university and professional life, without co-ordinating this with theories or strategies of social transformation and planning (as do those intellectual groups who perform the latter-mentioned type of higher education research). These include a major portion of the studies, predominantly in the us, on higher eduation, and intellectual professions from the cultural-anthropological and sociological 'schools of theory' of functionalism, symbolic interactionism, and phenomenological sociology (cf. Ill, 2.2.2), in part also the ego-psychology and revisionist, psychoanalytical studies and theories on the personality development and creativity of students and intellectuals (cf. Ill, 2.2.3.1), further, liberal and conservative, historical, political science and legal studies on the genesis and analysis of the immanent problems of the law and administration as well as of state policy in the university sector, rooted primarily in the 19th century (1,1.5; I, 3.3.2; I, 3.3.3; m , 1.2.1,1.2.2.2,1.2.3), finally, the studies from the same theoretical background on the fascist threat to liberal university and scientific ideals (cf. I, 4.2.1), partially expanded to include the threat of 'communist totalitarianism' (I, 4.2.2; I, 3.3.3.2.2; III, 5.1.1.3 and 5.1.1.4) and on the inter-cultural education and communication processes, whose norms and successes are measured according to the scientific, educational, and professional ideals of the Western 'upper middle class' (m, 4.3.1 and III, 4.3.4). Typical of this direction of research into higher education are also the forms of the genesis and organization of their studies, which are predominantly not related to the state, political-administrative activities or to the 20

INTRODUCTION

management of the individual universities or professional organizations, but, rather, are based on the fundamental, theoretical, philosophical, and methodological problems and ideological concepts of these liberal and conservative, academic elements in the intelligentsia. These problems are treated with respect to higher education and the intellectual professions in numerous, smaller, predominantly theoretical and empirical case studies which require no major financial or organizational effort. The results of these studies contribute to rendering the members of the intelligentsia strata more sensitive to the psychic and ideological problems of their own professional strata; they also contribute to the propagation of the values and norms of their professional, intellectual culture in contrast to other social classes and elites and to state bureaucracy, and to the indoctrination of the younger generation, corresponding to these norms. Various socio-structural and political-economic development trends have contributed to limiting the significance of the above-mentioned trends in higher education research in capitalist societies and in integrating certain elements from these research trends to superimposing a new integrative, planning- and system-oriented type of research. In the USA, this was achieved by government spending for scientific and technological development, which increased rapidly since World War II. This trend was both 'endogenously' necessary for the maintenance of the production relationships of monopoly capitalism (state under-writing of the increased risks of technological innovations, the creation of new opportunities for the 'unproductive' absorption of surplus to avoid a falling rate of profit) as well as externally necessitated by intensified, technological-military competition with the Soviet system (Sputnikshock, 1957), a situation which made it easier to justify ideologically a policy which could not have been avoided anyway (cf. the literature listed in n, 2.1.2, esp. p. 191-3). Under the pressure of the rapid expansion of higher education, research, and technological development activities and simultaneous inflationary trends and fiscal crises as well as the intensification of social class and race conflicts, the need arose for the United States government and the institutions connected with it and the power elites of the capitalist class (foundations, business associations, the military establishment) to legitimate its education and science policies. This led to the promotion of social science research and methods for the improvement of micro- and macroeconomic utility factors (cf. II, 2.1.4; II, 1.2.5) and for a 'just' (within the 21

RESEARCH TRENDS AND SOCIAL INTERESTS

limitations of capitalist efficiency) or 'counter disparitive' distribution of state funds according to regions, sectors of the economy, social and racial origin of students etc. (cf. I, 3.2.2; I, 3.3.1). This research and the desired technological-methodological and organizational improvements are initiated and sponsored by federal agencies, partly in conjunction with university and professional associations and the major foundations at supraregional levels in contrast to the older traditions of local 'institutional research'. This increased the need for social science models, prognoses and technologies which would make the structuralization of sociotechnological activities possible according to administrative systems, innovation campaigns, and modelprogrammes withbothideological and management efficiency objectives (cf. I, 3.3.2.6; II, 2.1.4; II, 2.2.5; III, 1.2.5). In Western Europe and Japan, these tendencies have set in only with a time-lag, retarded by the extended period of economic reconstruction after World War II, and in part, by Germany's and Japan's withdrawal from the arms race, which, for a long time, concealed the quantitative and structural underdevelopment of education, science, and management systems in these countries. However, because of the rapid increase in the technology and management gap, resulting in brain drain to the USA, which began in the Sixties, the models and techniques of US American, socio-technological and system-oriented research and higher education planning were rapidly adopted. The political-economic interest structure which supports this type of integrative, socio-technological research consists of the politico- economically and technologically 'progressive' groups of expansive and highexport, oligopolistic capital, whose research and development risks are increasingly taken over by the state and its armament policy as well as the political elites of the admistrative, party, and union machines who have a limited freedom of action with reference to the immediate, short-range interests of these capital groups, yet who recognize their long-range interests and wish only to analyse and implement them more rationally. In the field of higher education and science policy, this coalition must also fight to protect its interests at the national level, against the vested interests of the other capital fractions, particularly the less expansive branches of industry and regionally limited capital still highly influential in many universities; on the other hand, they must fight to secure their interests against the factions of the scientific and professional intelligentsia, whose qualifications and ideology no longer correspond to the 'modern', politi22

INTRODUCTION

cal-economic, and technological demands of monopoly capitalist development. This means that certain elements of the above-mentioned trends in higher education research can be integrated into the new structure: The fiscal-public finance and administration tradition of state-related research into higher education can help to secure the economic efficiency of the organization of state higher education policy in technologically modernized form. To the extent that it is integrated into national programmes and planning systems, the tradition of pragmatic management and institutional research can continue to exist in technologically modernized form even if many of its tasks have been taken over by central data banks and simulation models. (Cf. Ill, 1.2.5). Insofar as they do not contradict the rationality criteria and security of the capitalist system, even critical social science studies and reform strategies aimed at the 'democratization' of social selection for higher education and intellectual professions or at greater 'participation' of students and intellectuals in the administration of academic systems can be incorporated into the new system-oriented, planning and research programmes. The incorporation of these pragmatic-social-reformist and social-critical tendencies from the earlier, anti-fascist phase of the capitalist 'welfarestate' into the currently dominant trend of official, state-financed research into higher education has proven necessary, because the renewed intensification of class struggle on the international level with the genesis of new anti-capitalist and revolutionary movements in the coercively underdeveloped countries and in the capitalist 'metropoles' has also generated a wave of protest and resistance in the universities and in some of the intellectual professions. These movements must be pacified in the context of social science-supported, state crisis-management, both with counterinsurgency strategies of deterrence and suppression as well as opportunistic strategies of partial reform, participation, co-optation, and intensive ideological indoctrination. This development, however, has the advantage of raising the consciousness of oppositional students and intellectuals, if only after experiencing and recognizing certain mistakes and setbacks, for the tasks of an anticapitalist and potentially revolutionary investigation of academic systems and intellectual professions and strata in the capitalist societies and in their neo-colonialist domination of the coercively underdeveloped countries. These anti-capitalist and anti-imperialist investigations have usually begun 23

RESEARCH TRENDS AND SOCIAL INTERESTS

at a morally-critical or abstract-Marxist level combined with the collection of data in the form of so-called power structure research by socialist research collectives (cf. Ill, 5.1.2). They only assume the nature of concrete negation in dialectical mediation between objective conditions and revolutionary subjects to the extent that they join into the practical-revolutionary struggles of the proletarian vanguard. At various points in the Trend Report we shall review the approaches to an (initially only abstract-critical) political-economic and class analysis of the academic systems and the intellectual strata, and the attempts to immanently-critically revise the theory of historical materialism (in view of the spontaneous rebellions of young intellectuals and social marginal-groups) with a metapsychology, based on natural philosophy and psychoanalysis (cf. Ill, 2.2.6; m , 4.3.7; in, 5.1.2; n, 2.1.2; I, 4.2.6 and 4.2.7). In the political-economic transitory and mixed systems of the Soviet Union and Eastern Europe, the originally revolutionary principles of investigation developed by Lenin and other theoreticians in the early Twenties have not been carried on in the field of education, science, and with respect to the intelligentsia. Instead, three partially contradictory types of research into higher education have developed: first, an older school dating back to Stalinism, which served the propagandistic selfillustration and self-justification of a new bureaucratic domination stratum which had already begun to disassociate itself from the principle of democratic centralism and criticism by the masses, a type of research that provides - in limited analogy to the public finance-andadministration-oriented, higher education research of the 18 th and 19th century - data analyses for the administrative, central planning apparatus (cf. II, 2.1.3.1; I, 3.3.3.1). With the dissolution of Stalinist-bureaucratic domination and planning methods by the 'new economic systems or mechanisms of planning and control of the economy', which reflect the strenghtening of the social position of the technological-scientific fractions of the intelligentsia and industrial managers within the new domination strata or'Ersatzbourgeoisie' (Charles Bettelheim), a completely new type of research on science and education has arisen which connects the genuine systematic and technology of decentralized, more flexible economic planning of these politicaleconomic transformation systems with socio-technological models and methods, in part, directly adapted or analogously reconstructed from the social-technologies of the capitalist systems. With their aid, the adminis24

INTRODUCTION

trative and unsystematic, corruptive methods of the exercise of domination and the production step-ups, dating back to the period of Stalinism, are to be replaced by systematically differentiated material incentives based on (limited) market and profit mechanisms even in the field of higher education and intellectual work (cf. II, 2.1.3; III, 1.2.3.1; III, 5.1.1.3 and 5.1.1.4). In addition to both of these types of research within the internal context of these transformation systems based on the Soviet model, research on the higher education and science systems and the intelligentsia in capitalism has been promoted to serve the propagation of the Soviet path to socialism and the justification of corresponding policy among the proSoviet communist parties and fractions of the intelligentsia in the capitalist countries. The specific results of these partially intensive and systematic analyses cannot always be co-ordinated with or incorporated into these political strategies, and have influenced, in some cases, the theoretical discussion and the analyses of the potentially revolutionary fractions of the intelligentsia who have disassociated themselves from the bureaucratic and reformist pro-Soviet parties in the capitalist metropoles and the coercively underdeveloped countries under their subjugation (cf. 1,3.3.2.2; I, 3.3.3.2.3 and 3.3.3.2.4; 1,4.2.5; II, 2.1.2; III, 5.1.2.1 and 5.1.2.3). The tendencies and trends of the research on higher education and the intelligentsia in the coercively underdeveloped societies reflect the various forms and stages of exploitation and dependency of these societies on the capitalist 'metropoles' as well as the position of their national intelligentsia fractions with respect to imperialism. It is characteristic and significant that the overwhelming majority of this research is not performed by social scientists from these countries, but by the research centers in the Western capitalist countries and that the studies performed by scientists from these nations are little known, seldom translated, and often neglected in the highly developed capitalist countries. Even in this Trend Report, where the authors made a serious attempt to avoid this pit-fall, they do not receive the attention commensurate with their significance for the clarification of the social and political role of the intelligentsia fractions of these nations. With regard to the research on higher education and intellectual professions in the coercively underdeveloped countries performed in the capitalist metropoles and in their interests we will have to differentiate between an older, almost classic-colonialist type of higher education research and a 25

RESEARCH TRENDS AND SOCIAL INTERESTS

modern neo-colonialist and 'industrial-imperialist' tendency. (Cf. I, 5.1.1; n i , 4.2.1). The first research trend comprised pragmatic-political studies which served to promote the adaptation of traditional Western, capitalist university models to the education of a small, Westernized, indigenous élite in the coercively underdeveloped countries, or which provided retrospective interpretations of this university policy, or problematic and evaluative studies on the process of acculturation of students from these countries in the West-studies which draw their concepts and norms almost completely from the self-concept and ideology of a Western, academic 'middle and upper strata' (cf. the research-type listed in third place, in the paragraph on higher education research in capitalist society as well as sections III, 4.3.1 - 5). The modern, neo-colonialist research trend arose after the breakdown of classic colonial policy and corresponds in its political-economic interest structure predominantly to the requirements of expansive, export-oriented, oligopolies in the Western 'metropoles', particularly the USA, for a specifically structured and limited imperialist industrialization and a corresponding development of infra-structures (including specific forms of education and intellectual work) as well as of political and military domination systems and ideologies (cf. the Marxist critique of these tendencies in I, 5.1.4.2; in particular, I, 5.2.4 as well as most of the historically comparative research in I, 1.4 and I, 2.1; further, 111,4.2.1; III, 4.3.4 and 4.3.5; III, 5.1.1.3 and 5.1.1.4; III, 5.2.1.1). The 'innovations' of this research trend include both multi-disciplinary studies on the induced development of education and professional systems in the politicaleconomic interests of the imperialist 'metropoles' and the intelligence, and police science as well as para-military concepts and techniques of counterinsurgency for the suppression of student and intellectual groups capable of co-operating with anti-imperialist liberation movements (cf. especially, III, 5.1.1.3; 5.1.1.4; I, 5.2.4.4; I, 4.2.2). The higher education research not conceived in the interests of the capitalists 'metropoles' must be differentiated according to studies which express the self-concept and ideology of nationalist, liberal or reformsocialist intelligentsia factions using the example of the problems of higher education and the intellectual professions in their countries (whose politics are often supported by the pro-Soviet communist parties) ; and secondly, according to less extensive studies from factions of the intelligentsia fight26

INTRODUCTION

ing in the revolutionary national liberation movements on the situation of the universities and intellectuals in the coercively underdeveloped countries or in the ethnic ghettos of the USA (cf. I, 5.2.2; in particular Fanon, 12292; Guevara, 16446; B. Seale, 12717; Cleaver, 12426); and thirdly, according to the necessarily, relatively abstract, or moral-critical studies by socialist intellectual groups in the advanced capitalist countries, who want to support the struggle of national liberation movements morally and propagandistically (cf. I, 5.1.4; in particular I, 5.1.4.2; I, 5.2.1; III, 4.3; III, 5.1.2.3; III, 5.2.1); and finally, according to the studies from the perspective of Soviet policy toward the coercively underdeveloped countries in which the principles of this policy are justified in the framework of technical and educational aid and in the context of the policy of coalition with the nationalist bourgeois regimes and ¿lites in these countries. (This latter research trend is insufficiently represented in this Trend Report; cf., however, the references in I, 5.1.3; I, 5.2.1.2). In the revolutionary socialist transformation societies,finally,particularly in so far as they have been able to dissolve themselves from the economictechnological and military dependency on the Soviet Union as in China or North Korea, the strategies and models taken from the Soviet Union for the development of and investigation into the science and education requirements of these countries have been declared incompatible with the necessary continuation of revolutionary class struggles, particularly because they were based on the principle of the priority of the development of productive forces before revolutionary policy and have resulted in the establishment of a privileged and parasitic intelligentsia with aspirations to domination. Instead, the principles of Marxist-Leninist investigation united with the leadership of the proletarian party and the critique of the masses have also been applied to class struggle in the field of the intelligentsia and the universities (cf. I, 5.1.4.1; I, 5.2.1.2; e.g. the paradigmatic investigations 'The struggle between the two lines at the Shanghai Institute of Mechanical Engineering...', 13454 or 'The direction for the revolution in medical education indicated by the growing-up of 'bare-footed physicians'', 13420).

27

ACKNOWLEDGEMENTS

4 Acknowledgements The survey project, of which this Trend Report is a part, was a co-operative undertaking which lasted several years (beginning on a small scale in 1965). It was basically financed by the Institut für Bildungsforschung of the Max-Planck-Gesellschaft. Additional funds were contributed by the International Committee for Social Sciences Documentation and the Stifterverband für die Deutsche Wissenschaft. Wolfgang Nitsch and Walter Weiler served as the principal bibliographic researchers of the survey as a whole. In addition, they performed the evaluative work involved in the preparation of the Trend Report. For certain special aspects of the theme of the Trend Report, evaluative and informative reports were contributed by Klaus Dörner (on the psychiatry of higher education), Klaus Hüfner (on the economics of higher education), Susanne Kleemann (on student movements) and Renate Ullmann (studies on creativity and personality development). Informative reports on research into higher education in individual countries were compiled by Wolfgang Dellert and Yoko Teichler (Japan), Michael Ruetz and Rainer Langhans (China), Ignacio Sotelo (Latin America), Gerhard Grohs (Africa), Gisela Meschkat (India), Ingrid Hoerschelmann (Soviet Union), Monique de Saint Martin (France), and Rainer Langhans (inter-cultural academic relations). These specialized reports on the literature were integrated by the authors who assume sole responsibility for the inadequacies of this effort. Wolfgang Nitsch wrote the final text of the Trend Report on the basis of this preparatory work. The translation work was done by Leslie Seiffert (for Chapters I and III, 2) and by David Harris and Rüdiger Sawallisch (all other parts of the Trend Report). The selection of literature and the comments made on the research by the authors do, of course, not necessarily reflect views held or shared by the translators. David Harris and Rüdiger Sawallisch, who have been in close communication with the author of the final manuscript, would like to emphasize that they concur in the basic criteria of the two authors with respect to the structuring and evaluation of the literature. The draft and final manuscripts were typed by Renate Müller, Sabine Pauly, Liselotte Horn, Christiane Rattunde and Renate Ulber. The authors of the survey wish to acknowledge the diligent and stimulating work of all persons involved. They also wish to express their grati28

INTRODUCTION

tude to all of the persons who were helpful in providing criticisms, suggestions and information during the preparation and writing of the Trend Report. With regard to the institutions sponsoring and financing the work, the two principal investigators of the survey project were entrapped in a certain dualism: On the one hand, they were employees of or the recipients of fees from the Institut fur Bildungsforschung in recompense for the compilation of the main bibliographic sections and for the preparation of the Trend Report section of the survey project. On the other hand, they completed the final manuscript of the Trend Report on their own initiative receiving only modest financial support from the Institut fur Bildungsforschung and the International Committee for Social Sciences Documentation so that the completion of the report would not have been possible without unpaid labour of the translators and the author of the final manuscript. This also accounts for several delays in the process of finishing the work, a situation which required great patience on the part of the editor of the series 'Confluence', professor Jean Meyriat, as well as on the part of the authors and translators.

29

I. Academic institutions and the intellectual in changing societal structures

professions

Before we sketch the state of research on particular structural aspects in the social situation of university and college systems in contemporary societies, it seems appropriate for us to consider that other body of research literature which treats the various exchange processes (or mutually conditioning influences) at work as between academic systems and the process of historical structural change in the social formations in which they are embedded. In what follows, 'academic systems' are to be taken as meaning the relatively autonomous or formally organized systems of research and knowledge in the humanities and the sciences, together with the systems of education and professional work based on the reproduction, dissemination and application of results arising from such research and knowledge. Among the relationships between academic systems and the socioeconomic formations surrounding them the following aspects may be treated in particular, some of which have been made the focal point or the starting point for studies and theoretical discussions: 1. the specific constellations between the development of productive forces and change in the relations of production and their ideological super-structural domains, which have led to different historical approaches to the emergence offormal systems for higher education and science as moments of the continual differentiation of the social division of labour; 2. alterations and additions in the domain of the explicit goals and the latent functions of academic systems as well as in the educational goals and interests (to some extent diverging from and in conflict with these other goals and functions) on the part of social groups within and beyond academic systems; 3. the social position, in historical social structural systems and in parti30

ACADEMIC INSTITUTIONS AND THE INTELLECTUAL PROFESSIONS

ciliar in class relationships, of the 'academic intelligentsia' who are to be found in, or who have passed through, academic systems; 4. the influence exerted (whether in a promotive or in a retarding sense) by social groups in academic systems, or by the graduates of such systems, on processes of general social structural change; 5. the emergence, alteration, crisis and suspension of forms and institutions of organized social control of academic systems in the interests of, and on the initiative of, specific social classes, strata and élites, and, in particular, the rules and systems of admission to and advancement in academic, educational and professional careers; 6. the inter-cultural dissemination and transference of academic systems and goals; together with the socio-economic and political significance of study, of teaching and of research by persons in foreign countries both for international relations and for the internal social structure and situation of the participating countries. (This point is concerned with the investigation of the problem complexes listed under (1) to (5), but with the additional perspective of inter-cultural relationships).

THE FIELD OF RESEARCH, AND THE PARTICIPATING DISCIPLINES

As was to be expected, a field delineated in such broad terms attracts theoretical discussions and concrete investigations from a great variety of disciplines within the social and cultural sciences, these disciplines in turn being moreover defined and marked oif from one another in a variety of ways. The following subject areas are involved, a few representative writers being instanced for each area: - cultural and social history :Marrou (1085), Edelstein(1042), Brickmann (1143), Myers (1094), Franke (1830), Dodge (2011), Grundmann (1056), Brubacher and Rudy (1257), Curtis (1504), Charlton (1502), Ashby (1132, 1133, 1134), Lanning (1227), Traôenko (1755); - constitutional and legal history: Kibre (6002), Kluge (6085), Terasaki (6105), Ogata (6103), Jiménez Rueda (6121), Carreno (1879), Abbot (6004), Chilow (6108); - historical sociology: Ben-David (1007, 1008, 1009, 1013, 1014, 1015, 1578), Weinberg (1534), Rothblatt (1525), MacLean Y Estenos (1935), 31

ACADEMIC INSTITUTIONS AND THE INTELLECTUAL PROFESSIONS

v. Ferber (7209), Amory (1218), Riesman (1430), Marsh (1865), Trow (1471), Baumann (1778), Szczepanski (1795), Glezerman (1726), Aso (1665), Bendix (1016), Lipset (1077), Steger (1955); - historical, cultural and social anthropology and social psychology: Feuer (1047), Ong (1098), Lifton (4139, 4062), Vogel (8279), Stanley (4200), Riesman and Jencks (1435); - descriptive and normative studies in government and public administration: Berdahl (6073), Bolman (6014), Kondratjev (430), Cortinas Pelaez (6119), Jain (6124); - political and current history: Griewank (1567), Schwarz (1599), A. and M. Zarebow (1801), Mayers (1743), Korolev (1739), Seiffert (1776), Webbink (1213), Israel (1845), Kohler (1582); - social and historical philosophy and the theory of society: Henrich (1574), Marcuse (1084), Bell (1234), Goodman (1308), Leavis (1511), Andreeva (1709), Lu Ting-Yi (1862); - sociology of law: Lunsford (6049), Nitsch et al (1589), Gau (6099). - legal science (including the philosophy of law and legal socio-technology, i.e. generation of law): Kottgen (6086), Preuss (6088, 6089), Morris (6057), Woltjer (6101), Poppe (6116), Fedkin (6109), Sanguinetti(6122); - empirico-analytical sociological research: Lazarsfeld and Thielens (3512), Jenne et al. (3973), Stanley (4200), Franda and Chatterjee (4231). From the point of view of the logic and methodology of science, we are here concerned with epistemological types and procedures (together with particular complex combinations of these) that can be characterized as historiographic, ideographic, nomothetic, hermeneutic and interpretative, empirical and analytical in terms of causation, and socio-technological. As for the relationship most of these more closely defined research areas have to the major academic disciplines, we may first note that the composition of the latter, when seen from the point of view of epistemology, is frequently quite heterogeneous. When considered in the same formal sense, almost all of the above named research areas can be regarded as interdisciplinary, with the exception perhaps of the majority of the 32

ACADEMIC INSTITUTIONS AND THE INTELLECTUAL PROFESSIONS

historiographic studies and of some, at any rate, of those from the legal sciences. There are, however, only a few examples of attempts to resolve in a complex interdisciplinary way the differences between disciplines epistemologically widely separated from one another - despite the fact that the occasion for such attempts is indeed present in the case of enquiries into social change in the goals and functions of academic education, or in the case of inquiries into the motivations and behaviour patterns of students and academically trained persons in processes of social structural change. We can at this stage illustrate approaches of this kind with no more than a few examples. Thus, the combination of socio-historical research with historically oriented social psychology or cultural anthropology has only rarely been achieved, and even then it has occurred only on the margins of our subjectfield.Ian Weinberg integrated concepts from the frontier areas of micro-sociology, social psychology, socio-linguistics and cultural anthropology in his study of the English 'public' schools, a study that is predominantly oriented towards social and cultural history (with a tendency to be descriptive and individualizing), but to some extent also sociological (making limited generalizations)1. Walter H. Ong, philologist and historian of Renaissance literature, in an essay on 'Latin language study as a Renaissance puberty rite' (1098), has drawn on findings from linguistic and intellectual history as well as from school history and linked these with concepts and investigations drawn from cultural anthropology and from psychology2. Instances of the possibilities open to, and the difficulties encountered by, the introduction of psycho-analytical concepts into comparative historical cultural sociology are represented in the writings of Lewis S. Feuer, 'The scientific intellectual: the psychological and sociological origins of modern science' (1047) and of Ezra F. Vogel, 'Entrance examinations and emotional disturbances in Japan's new middle class' (8278). A further core around which interdisciplinary research can crystallize 1. Weinberg draws on: Erving Goffman, 'The characteristics of total institutions' in: Amitai Etzioni ed. - Complex organizations. New York, Holt, 1964; Harold Garfinkel, 'Conditions of successful degradation ceremonies", Amer. J. Social., 61, March 1956; Pear, Personality, appearance and speech. London, Allen & Unwin, 1957; Arnold van Gennep, The rites of passage, Paris, E. Noury, 1909, translation by M. B. Vizedom & G. L. Caffee. Chicago, University of Chicago Press, 1960. 2. Van Gennep (op. cit.); Charles W. M. Hart, 'Contrasts between prepubertal and postpubertal education', pp. 127-145 in Spindler (George D.) ed. - Education and anthropology. Stanford, Calif., Stanford University Press, 1955.

33

ACADEMIC INSTITUTIONS AND THE INTELLECTUAL PROFESSIONS

can be discerned in a few preliminary studies of a rather programmatic nature, concerned to some extent with historical or analytical explanation and prediction of a sociological kind, but to some extent also with the planned re-shaping (in the light of legal and social science) of legal institutions and instruments of public law, together with the relevant interestgoverned legal awareness, in the domain of the social control of processes of scientific and scholarly learning and research. What is involved are points of contact and of inter-linking between studies in legal history, legal philosophy and the dogmatics of positive law on the one hand, with, on the other hand, sociological investigations from the fields of historical sociology and of empirico-analytical sociology, looking into the social substrates or material base of the development of law and of the social awareness of law. There is to some extent an intention to use legal and social science in order to generate law, a project working in co-ordination with socio-technological planning. The occasions sparking off such a combination of disciplines seem to arise most especially when the development of the law has lagged in a particularly extreme way behind specific interest-structures in a society. It is therefore surely no accident that, in the USA, the first approaches to such research into the 'sociology of law' were made (by liberal educators and jurists) after the 'Free Speech' crisis in Berkeley in 1964 (Lunsford, 6049; Gorowitz, ed. 1309; Foote et al., 17039; Otten, 17075) furthered by co-operation between the Center for Research and Development in Higher Education (Th. McConnell and Burton R. Clark) and the Center for the Study of Law and Society (P. Selznick1 and Sheldon L. Messinger) with reference to socio-ethical ideas from the philosophy of law2 and a critical reconsideration of Max Weber's sociology of law. In West Germany, too, in connection with the growing student criticism of the traditional structure of the German university, there has been worked out an interdisciplinary, critical conception of university law. This has been done particularly by authors from the SDS (Socialist German Student Federation) 3 . Its starting point are a reconsideration of the sociology of 1. 'Legal institutions and social control', Vanderbilt Law R.\l (1): 79-90. 2. L. L. Fuller, The morality of law. New Haven, Yale University Press, 1964; Roscoe Pound, 'The limits of effective legal action', International Journal of Ethics 27, 1917: 150-167. 3. SDS, Hochschule in der Demokratie, Frankfurt a. M. 1961, especially Chapter V, 'Akademische Freiheit und soziale Demokratie' (academic freedom and societal democracy). 34

ACADEMIC INSTITUTIONS AND THE INTELLECTUAL PROFESSIONS

law with a Marxist stamp 1 and a reformist socialist theory of the constitution of the West German 'social state' 2 (Abendroth, 17107; Nitsch et al., 1589; Preuß, 6088 and 6089)3. The theoretical discussions on the legal framework of university government in West Germany are also an interesting example for the utilization of identical 'socio-legal' concepts for opposing political purposes, based on different social class interests. Constitutional law models for the introduction of 'societal democracy' (e.g. tri-partite self-government of professors, assistant personnel, and students) into the social sphere of higher education have been developed by socialist students in the interest of building an anti-capitalist alliance of working-class organizations and progressive intellectuals. In parts these concepts have subsequently been utilized in new university laws enacted by the dominant political parties in order to integrate and to have 'participate' parts of the student protest movement in the processes of modernizing a pre-capitalist university structure according to the needs of a highly developed capitalist economic system (cf. Heinz et al, 17123; Staff, 17148; Sterzel, 17151)4. As a consequence, this development has sharpened the awareness on both sides, of the social class and power bases of legal institutions and theories in the field of higher education and research.

THE ARTICULATION OF THE RESEARCH FIELD ACCORDING TO HISTORICAL SOCIAL FORMATIONS

In what follows, we shall be offering a cursory survey of the literature bearing on the subject-field 'Institutions of academic education and social structural change'. The five divisions of this survey are governed by a simple typology of social formations, both past and contemporary, distinguished from one another according to their politico-economic 1. Cf. Franz Neumann, 'Der Funktionswandel des Gesetzes im Recht der bürgerlichen Gesellschaft', Zeitschr. Sozialforsch. 6, 1937: 542-596, and Max Adler, 'Die Staatsauffassung des Marxismus', Darmstadt 1964, as well as 'Wissenschaft und soziale Struktur', in: Verhandlungen des 4. Deutschen Soziologentages, 1924, Tübingen, 1925. 2. Wolfgang Abendroth, 'Der Begriff des demokratischen und sozialen Rechtsstaates im Grundgesetz der Bundesrepublik Deutschland', pp. 279-300, in: Aus Geschichte und Politik. Festschrift für L. Bergsträsser, Düsseldorf 1954. 3. Cf. also p. 63-64, and section 5.1.1.4 in chapter III. 4. For a recent Marxist critique of the constitutional theories of 'societal democracy' held by reformist socialist groups cf. Geulen, 17121.

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basic structure and according to their historical situation of transition to a new politico-economic structure: 1. Older, pre-industrial societies (the Ancient World, China, India, mediaeval Europe) and processes of the older or original transition from pre-industrial to capitalist industrial structures (the beginning of modern times in Europe). 2. Social formations and historical situations belonging to the delayed or intermediate transition from pre-industrial to capitalist industrial conditions (Russia before 1917, Japan before 1920, China before 1948, Turkey at the end of World War I). 3. Highly developed capitalist social formations with a democratic state order (Western Europe, USA, Japan) and the industrially developed socialist transition formations (USSR, Poland, CSSR, the German Democratic Republic). 4. Fascist and state authoritarian epochs and tendencies in capitalist industrial societies. 5. Present-day processes of emulative transition induced in pre-industrial social formations as these are industrialized, whatever the dominant influence over these processes may be: this may be socialist parties or movements (China, North Vietnam, North Korea, Cuba), or it may be white colonists (South Africa, Rhodesia, Israel) or alternatively the politico-military or economic control of the USA (e.g. many countries in South-East Asia or Latin America), or yet again it may be the capitalist system of world trade as a whole (the remaining countries in the Third World, in Africa, Asia and Latin-America). In the first section, the questions taken up in the literature concentrate on two main themes. First, there is the question of the conditions governing, and the forms taken by, emerging academic institutions. Secondly, there are investigations of the way in which the individual national societies that make up the entire modern European social formation developed their patterns of industrial production at different times and with different emphases, and of the influence these inter-national dissimultaneities had (a) on the varying institutional structure and normative orientation of the national systems of academic education; and (b) on the influences that particular national academic systems came to exert upon others. In the second section, the most prominent issue is the influence of the 'West' on the training of academics and professionals in societal domination structures characterized by attempts at state-induced industrializa36

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tion occurring at a relatively late stage. There is in some of the literature an intention to draw a comparison between the older historical situations of induced 'modernization' and present-day development situations in the 'Third World'. The third section (which covers the greater part of all this literature) gathers together studies concerned with academic systems in the capitalistindustrialist 'First World' as well as in the 'Second World' of the industrial countries committed to the transition toward socialism. Insofar as generalizing statements are useful at all in this connection, it could be said that most of the studies relate to discontinuities and contradictions as between the goals, achievements and organizational structures that took shape in the 19th century or during the early phase of socialist revolution and the changing demands made by contemporary societal achievement and domination systems. To this fourth section belongs also the question of whether the development of the social function of higher education and of the stratum of the intelligentsia and the professions shows any tendency to 'converge' as between capitalist societies on the one hand, and those of industrially developed socialist transition character on the other; and if there is no such convergence, then what the peculiarities are that characterize the present social situation and the different perspectives or objective possibilities for the realization of academic educational goals in these systems. In the fourth section there are two issues. We shall, in part, be dealing with attempts to show how, in the case of certain nations (Germany, Italy, Spain, Austria), academic institutions and strata participated intensively in the process of fascist restructuring of the domination forms in these nations, and how this participation can be shown to derive from long-term peculiarities and dissimultaneities in the socio-economic and ideological development of the countries concerned. We shall also be concerned with accounts of the state of academic systems under fascist domination (including, to some extent, countries subjugated by war, such as Poland). In the fifth section, a major motif in the literature is frequently the question of the influence the academic systems (carried over, with adaptations, from various industrial nations) have exerted on the political role that students and academics have played in the 'Third World' in the social conflicts and in the problems of economic development in their countries. 37

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1 Academic education and the intellectual professions in early preindustrial societies and in the process of original transition to capitalist industrial structures A considerable part of the older literature (up to 1958) dealing with systems of higher education in numerous pre-industrial civilizations has been gathered together and evaluated by Myers (1094) in easily reviewable fashion. The studies by Marrou (1085), Nilsson (13565), Mayer (12175) and Farrington (12076) summarize the older literature about education in the Ancient World, including the Hellenistic period. (Cf. also L. Edelstein, 1041, 1042; Ste. Croix, 12234; Buckler, 2003; Clagett, 1028). For studies in the social and cultural history of the bureaucratic system of education and examinations within the Chinese civilization we would refer particularly to the studies by Needham (13445), 12196, 12197); Kracke (1857, 7317); Chang (1813); Yang (1880); Franke (1830, 1831, 1832); Grimm (1837); Gwei-Djen and Needham (1838); Wilkinson (1122); and Creel (13417). Influences exerted by the Chinese academic system on Western systems of education have been investigated by Teng (1206); and Lowell (1177). A guide to academic institutions in mediaeval India will be found in Mukherjee (637); Mitra (2050) and Larson (636) and to older Mamic academic systems in Insabato (2017); Fargo (2012); Tritton (13575); Kraemer (2021); Annan (2004); Al-Hilai (2003); Dodge (2011); Arasteh (2005); Schipperges (1201); Sharabi (2028); Waardenburg (2030) and Bursallioglu (2009). The emergence and development of universities in mediaeval Europe form the subject of recent cultural historical investigations by Leff (12143); Powicke (1102); Daly (12055); Grundmann (1056, 1057, 1058); Clagett et al. (1030); MacKinney (1082); Panofsky (1634); Meister (1087); Wieruszowski (1121); Michaud (35); C. E. Smith (13195); Koch (12133); Beaujouan (1004); Kristeller (13228); Crombie (1037) and Granberg (12092); there are also legal historical studies on European universities by Kibre (1169, 6002); Kluge (6085) and Maack (6087). In addition, and partly based on the foregoing, there are sociologically reflective contributions by Taubes (1118); Schelsky (1596); Rühle (1106); Ben-David (1010) and Goodman (1308).

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ACADEMIC INSTITUTIONS AND THE INTELLECTUAL PROFESSIONS 1.1 T H E EMERGENCE OF INSTITUTIONS AND ROLES DEVOTED TO HIGHER LEARNING

Our analysis of the literature is devoted predominantly to those social sciences whose methods are empirical and causal-analytical in character, and is taken up rather less with those whose character is phenomenological or historiographical. It seems appropriate, therefore, to look closely at those few works whose approach to the social conditions governing the emergence of the kinds of institution reported on here is in terms of factors that can be generalized. We shall treat these in greater detail than we do the rest of the literature with its predominantly descriptive approach to the situation of universities and colleges in the numerous historical epochs of nationally based societies. Arnold Toynbee (in 1 0 9 4 ) , in a comparative examination of the position of educational systems in the civilizations he had delineated in his Study of history ( 1 2 2 4 6 ) , declared that the rise of a formal and organized pattern of higher education (existing alongside the training given by family or clan) was a necessary condition of the very process of civilization itself. Such a pattern would emerge at that point in time when the mode of production and the conditions of the physical milieu of a society permitted the existence of a privileged 'leisured minority' ( 1 0 9 4 , p. 2 7 0 ) . Once founded, a formal and organized pattern of education tended necessarily to develop higher, complex systems of education. Two specific needs conditioned this further development: there was a need for an intergenerational, cumulative organizing and transmitting of education, and connected with this there was a further need for a knowledge of the stages of linguistic development reached by earlier periods of culture or by other civilizations with which any given civilization was in contact or in conflict. The expansion of the recruitment base as well as of the sphere of influence of higher education is ascribed by Toynbee almost exclusively to the action of the state apparatus that covers part (or indeed the whole) of the given civilization and which, in this connection, enters, as he sees it, into an alliance with a section of the esoteric educational élite. In the process, the cultural content transmitted by this élite (and now produced on a wider scale) becomes the substance of a predominantly extrafunctional, value-oriented training for officials. A still stronger social extension of access to higher education, and of the influence it exerts, will then 39

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take place through the systematic missionary and pastoral activity of the great universalist religions. In particular, a major source for the development of institutionalized and in part specialized systems of academic education has arisen through the complex interplay of three factors: (1) the frequently interrupted lines of continuity and tradition within the state apparatuses of the universal empires; (2) the systems of norms within universalist religions; (3) the secularized philosophical and early scientific achievements in the transition from the 'secondary civilizations' of Asia and the Mediterranean region to the 'tertiary civilizations' of Western Europe and the Far East. Toynbee has in particular attempted to determine the role of systems of higher education in the process of stagnation and disintegration undergone by the Hellenic and Roman universal Empires and by the Early Chinese Empire under the Ts'in and Han Dynasties. He sees two erroneous developments on the part of the educational system as contributing to the role they played in this process: (1) In the process of being extended, this form of education (which, properly speaking, had presupposed a primary process of training in an upper class family) was formalized and intellectualized in a way that was remote from life, taking the form - to put it more specifically - of the pattern of pre-training laid down for an expanded corps of imperial officials. This left the official ¿lite thus created without any value-orientation having an adequate practical relation to life, and without any useful functional knowledge that could be applied to the dynamic solution of tasks of integration and innovation. (2) Moreover, this expanded pattern of higher education was limited to the humanities, and this brought about an inadequate transmission, reproduction and application of achievements of technological or scientific character. This was of a piece with the disregard shown by the parasitic educated upper classes in slave-holding societies for arts that could be called 'useful' or 'profane'. With a growing parasitical cultural and governing elite imposing an ever heavier burden on a peasant and slave proletariat whose productive activity continued in its unrationalized state, the two erroneous developments just outlined contributed to so serious an increase in the weight of this burden that the culture-bearing imperial domination system finally burst apart, the process being associated with attacks by the 'external proletariat' of subjugated neighbouring civilizations of a more primitive kind. 40

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Toynbee sees two further essential structural weaknesses in the higher educational systems of former times, which, however, have contrived to reproduce themselves right up to the present time: First, there is the dysfunctional combination of the training of young people with a formal academic education remote from practical concerns. This runs counter to the interest in practical aspects of real life that gives young people their motivation for learning, while leaving undeveloped the theoretical and intellectual learning interests of adults with practical experience of life. Secondly, there occurs from time to time a sharpening in the negative status estimation of teachers, trained in a way unconnected with either research or practical affairs or real life, as compared with academics engaged in either research or practical activity. Toynbee considers it a quite open question, well worth investigating, whether not only these latter structural weaknesses, but also traces of the earlier structural barriers or 'erroneous developments' (cf. supra) might be assisting a process in which Western Civilization, with its high stage of development, might be stagnating or even undergoing a social disintegration through the agency of the 'external proletariat' of the Third World it had subjugated. The extensive cultural history of Marrou (1085, published 1948, 3rd improved edition 1955) contains a host of materials and source references of value for an investigation, still to be made, into the socio-economic and social structural aspects of the pre-history and early history of institutionalized university-type education in the Ancient World. He summarizes what is known about the earliest more or less lasting associations and communities of teachers and pupils. For the most part emotionally colored, these associations, as far as their legal standing was concerned, constituted themselves in the form of religious societies. Examples are the Pythagorean Sect or the Platonic Academy. Marrou, along with many other historians, regards the Platonic Academy as the first university-type institution. What marked it off from the short-term pragmatism of the sophists is that the rational quest for truth, viewed as a long-term perspective, was now for the first time supposed to be institutionalized to act, in addition, as a mediating agency between existing and future generations. It was thus a special institution, clearly demarcated from others whose purpose was primarily to serve the needs of public transactions, or to give training in the formulation of opinion. It was at the same time the first institution to claim that anyone charged with governing a city (or for that matter 41

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with simply managing the affairs of his own family and house) could receive at its hands a qualification for all areas of human activity he might be aiming for (philosophy, rhetoric, medicine, mathematics) through the possession of a true science of universal character. The norm of this was no longer to be success in life, but rather a 'real knowledge' as typified by the truth concept of geometry (Marrou, 1085, pp. 101-119). This science was admittedly envisaged in a static way as a system of ideas; but for all that, it was nevertheless to predominate over merely passive instruction, and moreover, teaching was supposed to coincide with the method of research - and these factors might allow the Platonic Academy to be considered as an early university-type of scientific institution. (It thus presents quite a contrast to the type of instruction practiced by Socrates in Athens.) The connection between the goals and the social structure of the Academy and the picture Plato and his circle had of society was suggested by Marrou when describing the Academy as a 'healthy cultural island in the midst of a society touched by decay' (p. 119). Here, as in so many later historical situations and social formations, the university (or its counterpart) is constituted as an institution in a situation of 'dissimultaneity' alienated from the rest of society, developing in a time-scale of its own, and with an ideological bias divergent from that of society at large 1 . Myers (104) has undertaken an evaluation of numerous published studies in cultural history, in order to spell out in concrete detail, with reference to the pattern of higher education, Arnold Toynbee's scheme of historical development in terms of 'primary', 'secondary' and 'tertiary' civilizations. He describes his work as a 'comparative study of the means of transmitting and improving the cultural heritages in the several civilizations' (p. XI). The so-called 'primary civilizations' could not be included, because the source material was not adequate for such a purpose; of the patterns of education in the nine 'secondary civilizations', only four could be reconstructed adequately (the Sinic, the Indie, the Hellenic and the Babylonic); and the condition of the source material allowed an account to be given of only eight of the eleven 'tertiary civilizations': the Mahayana-Buddhist-based Far Eastern Civilization; the off-shoot of this in Japan; Orthodox Christianity, including Orthodox Russia; Hindu So1. Similar concepts for characterizing the peculiarly 'alienated' historical position of university systems have been put forward by Adorno (1541), Horkheimer (1576), Habermas (1569), Baumgarten (1548), Rosenstock-Huessy (13037) and Goodman (1308).

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ciety; Islamic Society; the early (and 'abortive') Far Western Christian Civilization in the British Isles; the Spartans; and the 'Osmanlis'. Formal educational establishments of an institutional character can be shown to have existed in the majority of these civilizations, exceptions being Sparta and pre-Meiji Japan. Three of the secondary civilization formations (China up to the end of the Ts'in and Han Dynasties; India up to the end of the Gupta Empire; and the Greco-Roman world) had, according to Myer's account, certain notable features in common. Strong emphasis was placed on a personalized moral training of character for the aristocratic elite in which leadership in education and society was vested, while specialized professional training of a higher intellectual or technological type was underdeveloped or was lacking altogether. These characteristics have also been described by Max Weber as being functionally necessary elements of the traditional domination pattern: culture as a stylization of life. Only in the tertiary civilization forms do we see the emergence of both the type of traditional moral and 'goal-free' training as well as that of the 'goal-rational' training of experts. Järisch (1578), in her study 'Bildungssoziologische Ansätze bei Max Weber' ('Approaches to the sociology of education in the work of Max Weber') has summarized the ways in which Weber tries to document his thesis of the universal displacement of traditional goal-free education by the goal-rational type. In the Sinic, Indie and Hellenic civilizations, the dominance of the traditional moral type of education enabled the establishments catering for higher education to maintain a considerable measure of independence from the institutions of political domination, both as regards the content and also, in part, as regards the organization of education. Educational institutions became the seat of projective idealist educational philosophers whose position was one of a necessary dissociation from their immediate contemporary social reality. There is a further feature that Myers notes about systems of academic education in those phases of the secondary civilizations that are marked by the presence of a universal state. They present the picture of a specific transitory stage in which character education of the traditional moral and goal-free type passes over into the goalrational training of experts; and the way this happens is that the traditional goal-free education continues to be 'classical' and retains its character, while at the same time becoming goal-oriented to an extent that had not been the case in the earlier phases of the civilization. The goal towards 43

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which it is now directed is the formalized legitimation of a leadership rôle in politics or administration. A symptom of this in each case is the emergence of examination systems that are in part highly complex and formalized. The systems of academic education in the tertiary civilizations (Far Eastern Society, Japan, the Orthodox and Western Christendoms, Hindu Society, Islamic Society) are characterized, according to Myers (1094), by the following elements: (1) Educational ideals become linked to a universal and expansive religious system (Christianity, Buddhism, Hinduism, Judaism, Islam, Zoroastrianism) which represents an institution of transmission between the particular tertiary civilization in question and its preceding secondary civilization. (2) Most of the processes of higher education become institutionally linked to religious institutions (monasteries, orders) which in part come to occupy the place of the universal state apparatus destroyed through the disintegration of the preceding secondary civilization. (3) There is a continuation of some part of the formalized (and partly re-interpreted) classical educational content of the preceding civilization alongside the new religious educational content. (4) Periodic Renaissance movements occur, looking back ot secular aspects of the relevant secondary civilization, and leading in part to the emergence of new institutions of academic education. These movements are frequently associated with phases of structural crisis in the society, perhaps in connection with the establishing of new territorial, national or universalist state apparatuses. In this last connection, however, there is a difference between the nonwestern tertiary civilizations when undergoing the phase in which a new universal state is established, and the line of development taken by Western society. With the former, the corresponding development of the preceding secondary civilization is repeated, in the sense of there being a negative or 'dead' Renaissance, in which the content of education is still more intensively formalized and petrified. At this point, however, Western society breaks with this pattern and takes on a novel complex character. The Renaissance movements in education pick up the threads of four different phases or educational elements of the civilization of the ancient world: (1) the emancipatory social and political goals implicitly or explicitly 44

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present in the early Greco-Roman civilization; (2) the few goal-rational, expert-oriented educational aims present in Hellenic civilization, for the training of doctors, lawyers and military engineers; (3) the early forms of a scholarly rôle of specifically scientific character, such as can be shown to have existed, as a marginal phenomenon, ever since the Golden Age of Greek civilization in the Ancient World (cf. the literature reported on in the following section, pp. 52-54); and (4) the formalistically rigidified 'classical' preparatory training of high officialdom in the Hellenic and Roman Universal Empires. To these four elements, revived again through the agency of Renaissance movements from the 12th century onwards, can be added the educational function peculiar to Western civilization: (5) the preparatory and the specialist pragmatic training of clerics in the liberal arts and in theology. These elements, or some among them, taken singly or in combination, have had very different parts to play in the various phases in the development of Western civilization, in the various national and colonizatory societies formed in connection with that civilization, and in the transplantation of educational elements from Western academic patterns into Asian and African civilizations.

1 . 2 INSTITUTIONS OF HIGHER LEARNING, AND THE DEVELOPMENT OF THE MODERN EXACT SCIENCES

A second centre of gravity for comparative historical-sociological investigations into the emergence of university-type institutions is the question of their significance for the development of the modern exact or 'positive' sciences, particularly the natural sciences. Ben-David ( 1 0 0 9 ) , following Parsons ( 1 4 1 6 ) , has advocated the thesis that a prerequisite for the development of research in the natural sciences was the emergence of independent, relatively autonomous professional rôles with corresponding sanctions and gratifications. Historically, however, this is possible only in such societies as are so far differentiated, heterogeneous or pluralistic in their structure as to permit the existence of a relatively autonomous stratum of intellectuals in self-administering institutions. This situation had first come about in the framework of the 'great corporate movement of the Middle Ages', under whose protection the first enduring corporations of students and scholars could thrive (cf. on this point especially Grundmann, 1056, 45

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1057; Meister, 1087; Kibre, 1169, 6002). In all earlier cultures, scholars had at the same time (and even predominantly) occupied other social rôles - as tutors of the children of an upper caste as in the Greco-Roman Ancient World, or as priests and high officials as in China. Alternatively, scholarly study might have been pursued as a dilettantic leisure-time activity on the part of amateurs within an upper class. Other authors (Edelstein, 1041, 1042; Feuer, 1047; Needham, 12197), however, after noting that in the Ancient World and in China the rôle of the scholar had already been institutionalized, have gone on to study how far any need was felt for a dynamic extension of the social significance of this rôle, and have worked out the direct connection existing between the presence or absence of this need and the view of the world and society prevalent among the culture-bearing social classes. There are two positions in this controversy. If a far-reaching and systematic scientific activity failed to emerge in China or in the Ancient World, this may have been on account of a rigidity in the formal structure of society, which did not permit professional scientific rôles to develop any institutional independence. Alternatively, this last possibility may indeed have existed, but what caused it to be realized to no more than a limited extent was the world-view prevalent among the social classes that determined the mode of producduction and thus the very intention and structure of scientific thought itself, as this followed on from such a world-view. Historians of the Chinese educational system have shown that there were many phases in which the colleges, whose activity was normally geared to the system of examinations for official posts, broke in quite extreme ways with this functional tie. This breakaway has led to the training of an independent scholarly caste of philologists, and to single institutions having amassed as many as 30,000 students at one time (cf. especially Franke, 1832; Fung Yu-Lan, 1834; Gait, 1835; Needham, 12197; Myers, 1094). Separately from this growth of independence on the part of a literary and philosophical scholarly caste, there had also been developed great specialized Imperial bureaus, workshops and arsenals. These, as Needham has demonstrated, may quite reasonably be regarded as an institutional base for early forms of professional rôles of scientific and technological character, the more so as their staffing was not tied to people's membership of particular social classes and was also to a large extent no longer amalgamated with the exercise of other social rôles of class-specific character (such as priest, officer, high official). 46

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For the Ancient Mediterranean World, too, Edelstein (1041, 1042) has pointed out that, although scientific activity was regarded right up to the late Hellenistic period as a pastime or luxury of purely private character (or alternatively as forming part of religious observances), the life of science was dominated to quite an extent by the conception first that there was an inter-generational progression on the part of science (dissociated from political history), and secondly that the transmission of the scientific inheritance from one generation to another was institutionalized in rôle form. There was admittedly nothing in the formal structure of the Greek and Hellenistic social orders that need have prevented a stronger institutionalization and promotion of independent scientific professional rôles. Edelstein (1042) and Ste. Croix (12234, p. 81) emphasize the parallel, found both in the history of the Greek polis and in that of the Roman World Empire, between political unification and the burgeoning of power on the one hand, and a stimulus towards the systematization and institutionalization of science on the other. But the promotion of scientific teaching institutes in the Roman Empire began too late and was rendered out of date by the Empire's political dissolution, just then setting in. In a detailed work, documented from historical sources, monographs and biographies, and intended as a preliminary study for a larger treatise on the historical sociology of the natural sciences, Ben-David (1010) has reconstructed the very indirect and contradictory rôle that European universities have played since the 15th century in the organized and systematic development of the natural sciences. His analysis draws attention to the need to distinguish between the long-term, indirect contribution on the one hand, and the immediate contribution on the other, that the universities have made to this process. A long-term precondition for this was the emergence of the profession of university teacher in the form of an independent professional rôle, such as only became possible through the specific social organization and social position of universities since the Middle Ages. On this basis it became possible to separate the rôles of the academic practician on the one hand, who looked after 'apprentices' only as a side-line, and of the academic teacher on the other, who only gave preparatory training to future practicians and could concentrate on theoretical special fields. The structure of universities therefore supported a means by which a minimal degree of continuity could be secured for the transmission of older, and for the dissemination of newer, scientific theories and know47

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ledge, but the decisive scientific discoveries and achievements were arrived at by scientists outside the universities. Studies by Panofsky (1634), Crombie (1037) and Ben-David (1010) have pointed to another mediating link in the chain of factors: in certain phases of the development of the universities under Scholasticism and in the Renaissance, there occurred a quantitatively (and in part qualitatively) stronger recruitment from the highly qualified, self-aware and self-organized ranks of craftsmen into the sphere of the scholars, in a measure that was never attained in China and in the Ancient World. Furthermore, as not only Ben-David, but also Merton (34, 1008), Feuer (1047), Grossmann 1 , Hessen2 and Hindle (12538) have shown, it proved to be necessary for new, upwardly mobile social classes (or their intellectual vanguard) to shake in a radical way dominant social valuesystems that were repressing scientific knowledge. But this was precisely what could not happen on the ground of the universities, for these had been, since the time of their emergence, closely bound up with the dominant social class and rulers, partly through numerous unstable political and ideological compromises and partly through the value systems of the three professional faculties (Theology, Jurisprudence and Medicine). A controversial point in historical and sociological research is, to be sure, just what class-specific, ideological and confessional variants among the bourgeois classes then rising (both economically and politically) might most readily have permitted an alliance with intensive scientific interests (cf. on this point the surveys of the literature in Merton, 34, 1088; BenDavid, 1010; and also Feuer, 1047). Ben-David (1010) has also discussed the attempt made by scientifically interested scholars in Italy, from the 15th century onwards, to further the breakthrough of the new sciences in the framework of the newly founded academies and with the help of the aristocratic and mercantile upper class. This attempt, he shows, was bound to fail. As the history of the Italian academies from 1430 to 1799 demonstrates, these did not recognize or further the practical application of the natural sciences, nor did they achieve significant innovations in research. In the intellectual circles of the Italian upper class, scientific questions remained an interest of 1. Henryk Grossmann, 'Die gesellschaftlichen Grundlagen der mechanistischen Philosophie und die Manufaktur'. Zeitschrift für Sozialforschung 4, 1935: 161 ff. 2. B. Hessen, 'The social and economic roots of Newton's Principiain: Science at the cross roads, London, 1931, pp. 174-178. 48

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philosophically contemplative or esoteric character, unrelated to the practical economic base. For this reason, the academies hardly represented any challenge to the antiquated universities. Hans (1062) has summarized the part played by the Dissenting Academies in the Dissenters' furthering of the natural sciences. The studies of Jordan (1509) and Owen (1510) have demonstrated the decisive importance of the philanthropic financial basis that education and research enjoyed in England, from the end of the 15th century, outside the traditional academic institutions. On the other hand, Ben-David (1009, 1010) and Hall (1060) have shown that, although scientific pursuits were triggered off by this decisive interest and ideological orientation on the part of an economically active but politically, as yet, unestablished bourgeoisie, any actual development ofthese pursuits required a university education that was still mostly associated with an upper class origin. The universities, too, provided the basis for the emergence of informal scientific orientation (Collège Royal in Paris, Gresham College in London), and it was from these that, in due course, the academies in London, Paris and elsewhere developed. In his historical and sociological studies, Ben-David ascribes the function of providing objectively the initial spark for the institutionalization of modern science to the rising bourgeois class in Western Europe, emancipating also economically from the feudal system. His studies are already very differentiated, but there nevertheless remain decisive points of variance between his assessment of the different conditioning factors (as well as of the universities' share) and that developed by historians and sociologists more strongly influenced by Marxism. With these latter writers no such decisive significance is attached to mediating factors of institutional character such as, say, the emergence of the role played by scholars specializing simply in the quest for truth in itself. Instead, in considering the urge to dominate nature through rational construction and experimental research, and without any consideration shown for dogma and tradition, they interpret this as a direct consequence (one among many) of the politically and economically conditioned liberation of bourgeois individuals from the institutions of feudal domination. We may note especially the recent studies of Bernal1, Hill2 and Habermas (1569), follow1. John, D. Bernal, Science in history. London, C. A. Watts, 1954. German edition: Die Wissenschaft in der Geschichte. Darmstadt, Progress-Verlag, 1961, cf. esp. pp. 259-354. 2. Christopher Hill, The century of revolution. Edinburgh, Thomas Nelson, 1961, pp. 92-96 and 179-182. 49

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ing on the older work of Grossmann 1 and Horkheimer (12956). Or yet again, in the notions developed by Feuer (1047), universities are assigned if anything a retarding role. Feuer's work, based on biographical sources, is an attempt at an historico-psychoanalytical interpretation, and seeks to demonstrate that a major stimulus for the emergence of, and for innovation in scientific research is represented by the hedonistic traits in the social character of individuals experiencing the emancipation of the early bourgeois period. Universities were the institutions of a rigidly organized, routinely operating scientific reproduction and dissemination, innovatory and revolutionary processes in science, however, took place outside such institutions through individuals of outstanding power working under favourable historical constellations of social structural change2.

1.3 THE SOCIAL FUNCTIONS OF EARLY ACADEMIC SYSTEMS IN COMPARATIVE PERSPECTIVE

The following resumé (based particularly on the comparative studies of Myers, Marrou, Ben-David, and L. Edelstein) may form a starting point for further comparative studies into the emergence of and into the social functions constitutive of formal systems of higher education. It may also serve for studies into the further development of these academic systems, in terms of shifts in the relative weighting assigned to various functions or in terms of the accession of new functions. In the historic civilizations for which material is available, there are altogether four different social function-contexts that operate, singly or in various groupings, to give rise to systems of higher education in the shape of formally (and in part also legally) institutionalized systems: 1. Such systems may emerge as part of the organizational and legal fixation of religious systems (India, the so-called Far Western Christian Civilization in Celtic Ireland and Scotland; the Early Middle Ages in Europe; and Islam). 1. Henryk Grossmann, 'Die gesellschaftlichen Grundlagen der mechanistischen Philosophie und die Manufaktur', Zeitschrift für Sozialforschung 4, 1935. 2. On the methodology of this approach cf. Erik H. Erikson, Young Man Luther. A study in psychoanalysis and history. New York, Norton, 1958, and also Zevedei Barbu, Problems of historical psychology. New York, Grove Press, 1960.

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2. They may emerge as part of the organizational and legal fixation of an apparatus of state officials in the framework of a universal state, which may in some cases be theocratic in character (the Inca Empire; China; the later Hellenistic period; Byzantium; Islam; Meiji Japan; the Osmanli Empire; and Russia). 3. They may emerge as the legal fixation of the predominantly autonomously organized preparatory training of aspirants for positions in Church or State or in the free academic professional orders (the university system that emerged in the Middle Ages in Europe). 4. They may emerge as the independent organizational and legal expression of early forms, or even prototypes, of the social roles of the secular scientist, scholar or medical man (Greece and the early Hellenistic period, and the academies of early Modern Times in Europe). As far as the various older non-European civilizations are concerned (that is to say, for the period before the academic systems and educational goals of European colonial powers were transferred and extended into these civilizations), there are, apart from the work of Myers (1094) already mentioned, very few comparative studies into the further development of their academic systems or into the public that passed through them, either from the field of cultural history or from that of historical sociology. Fehl (1046), working from the perspective of cultural anthropology and of the history of philosophy, has given a comparative account of the Confucian educational system and of European university culture in the Middle Ages and the early Modern period. He dealt for each of these with the processes of acculturation involved, the basic philosophical principles, problems of language and writing, methods of study, curricula, examinations, the social and legal organization of each system and the connections they had with professional and economic life. Needham's extensive compilation (13445), too, was inspired by considerations of comparison in the question it set itself, namely why the modern growth of science could develop fully in the European but not in the Chinese civilization. The work embodies numerous comparative analyses of Chinese and European institutions of academic education in the connections they show with the production and class relationships, and similar analyses also of the development of science and technology as productive forces. An introduction to the comparatist aspects of these investigations can be found in two essays by Needham (12196) and by Gwei-Djen and Needham (1838). 51

I N EARLY PRE-INDUSTRIAL SOCIETIES 1 . 4 THE ACADEMIC SYSTEMS OF WESTERN COUNTRIES IN THE EARLY MODERN PERIOD

A considerable volume of studies have recently appeared, dealing with the position of the goals and systems of academic education and the professions in the individual national societies of the Western European cultural sphere, and with the at times dysfunctional changes these undergo in situations of social structural change. Only a few of these, admittedly, are based on original social historical inquiries (as is the case with, e.g., Curtis 1504; Charlton, 1502; J. Simon, 1528,1529; B. Simon, 1527). For the rest, the literature consists predominantly either of synoptic socio-historical secondary analyses of a wide range of older and more recent specialist investigations that form the primary materials, or alternatively of discussion-pieces whose perspectives are those of cultural philosophy or of historical sociology. The following is a survey broken down according to the countries studied: Spain: Addy (13210). England: Charlton (1502), B. Simon (1527), J. Simon (1528, 1529), Curtis (1504), Brauer (1499), Clarke (12813), Shapiro (12854), Jordan (1509), Stimson (12858), MacLeod et al. (1513, 12837-38), MacPherson (1514), Armytage (1496), Rothblatt (1524), Weinberg (1534), Wilkinson (1122), Hilken (12828), Robinson (12850), King (12830), Roach (12849). Scotland: Davie (12817), Saunders (1526), Chitnis (12811). North America: Bailyn (85), Morrison (1402), Curti and Nash (1282), Crane (1281), Cohen (1277), Brubacher and Rudy (1257), Hindle (12538), Hofstadter and Metzger (1325), Mclver (1379), Beck (1230), Cowley (1280), Riesman (1430), Amory (1218), Baltzell (1224). Australia: Price (1539). Canada: Harris (218, 12799), Dadson (1494). France: Clifford-Yaughan (1617), Risler (1637), Williams (1642), Clark (13128), Artz (13100), Ben-David (13102), Crosland (13135), Gerbod (13146), Hahn (13156), Ponteil (13182), Prost (13183), Williams (13206), Zeldin (13209). Germany and Austria: Lilge (1586), Habermas (1569, 1570), Samuel and Thomas (13039), von Ferber (7209), Kluge (6083), Busch (1553), Tenbruck (1601), Roessler (1594), Ben-David and Zloczower (1015), Plessner (3979), 52

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Schelsky (1596), Rosenstock-Huessy (13037), Baumgarten (1548), Nitsch et al. (1589), Rühle (1106), Griewank (1567), Lutz (1656), McGrath (13232), Oberman (1772), E. Altbach (1542), Balser (12889), Bleuel (12893), Gillis (12921-22), Hoefele (12950), McClelland (12996), Mohrmann et al. (13000), Pfetsch et al. (13019), Ringer (13032-3), Schwabe (13058), Schwarz (13060), Steiger (13072). Scandinavia: Boalt (13214), Thomsen (13243). Comparative studies relating to modern Western societies have been undertaken by Ben-David (1007,1010,1013,1014,1015,12027), T. N. Clark (12047), Stern (12236), Mendelsohn (12178), Cardwell (1026), Powell (1538), Armytage (12011), Ashby (12012, 12013), Birnbaum (12035), Musson and Robinson (12193). Many of these studies relate to the weight that is carried by the aristocratic and bourgeois classes and to the changes to which this influence is subject, in respect of such matters as the goals, the recruitment policy, the internal structure and the social control of systems of academic education. Particular attention is paid to the social background against which reform movements operate in universities and colleges or new foundations are made. Such reforms must be taken to include changes in the content of academic teaching and in the goals of education: Armytage (1496), Simon (1527), Müller (1093), Rothblatt (1524), for England; Schelsky (1596), Tenbruck (1601), Baumgarten (1548), Kluge (6085), Nitsch et al. (1589) for the neo-Humanistic university reform in Germany; Lilge (1586), Rühle (1106), v. Ferber (7209, 3979), Griewank (1567), Habermas (1569), Busch (1553), Wendel (1605), Gouldner (1566), and Järisch (1578) for the university in Wilhelmine Germany; Hofstadter (1325), Bailyn (85), Morrison (1402), Cohen (1277), Brubacher and Rudy (1257), Cowley (1280), Crane (1281) and Hindle (12538) in respect of the colonial colleges and the development of universities and colleges in America in the first half of the 19th century; Metzger (1325), Brubacher and Rudy (1257), as well as Pochmann (1193), Hawkins (1322), Herbst (1162), for the renewal of universities in the USA towards the end of the 19 th century (a renewal influenced to some extent by the model of the 19th century German university); Mclver (1379), Amory (1218), Hodges (3442), Baltzell (1224), Beck (1230) and Riesman (1430) for the transitional phase leading to the contemporary university and college system in America. A number of writers have compiled detailed socio-historical data about 53

IN EARLY PRE-INDUSTRIAL SOCIETIES

long-term changes in the social base of recruitment to universities and colleges in various countries, and have also offered interpretations in historical sociological terms of their findings. Thus for England there is the work of Simon (1528, 1529), Charlton (1502), Curtis (1504); for Germany (since 1860) that of von Ferber (3979; 7209) and Busch (1553); and for France (since 1901) that of Bourdieu and Passeron (4000). The institutional structure and the academic disciplines and goals of study in the national academic system of England, Scotland, France and Germany have developed along very different time-scales in these various countries. This comparative phenomenon has given rise to discussions of a theoretical nature. In particular, the relatively greater scientific productivity of German universities in the second half of the 19th century (as it emerges from comparisons among the different Western European institutions of academic education) has become a key question in historical sociological theory formation. In the course of the debate, relevant variations in the theoretical approaches adopted come into focus. Writers who derive their methodology for the most part either from the sociology of knowledge or from a Marxist sociology, tend to seek an explanation for the phenomenon under discussion in the contradictory unity of the class conditions prevailing in society as a whole with the strongly autonomous character conferred upon their ideological sublimation in neo-Humanism and Idealism. Examples of this approach can be found in von Ferber (3979), Busch (1553), Adorno (1541), Horkheimer (1576), Habermas (1569, 1570), Nitsch et al. (1589), Rühle (1106), Lefevre (1549), Dörner (12064), Birnbaum (12035), Anderson (12801), Blackburn (12804), Mclntyre (12176). On the other hand, Ben-David and Zloczower (1015), Cardwell (1026), and Mendelsohn (12178) tend to derive the answer from constellations of factors that emerge from the increasingly differentiated role-structure developing in the sphere of research, the educational system, and the system of academic professions. These constellations are in the last resort historically coincidental in character and are at first only marginally more favourable (for such a development) in some countries than in others, but in due course systematic differences and productivity differences emerge among the various nations, reaching at times considerable proportions. What writers with such an emphasis have done has been to isolate quite specific combinations of 'causal factors' of a relatively narrow or direct kind, and to investigate these more closely. Examples of such themes are: the connection between relative centralization or de54

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centralization and competition among institutions in national academic systems; the deliberate influencing of systems by government bureaucracies ; the extent to which, in decentralized systems with strong academic autonomy, public opinion and particular influences in science policy form a relatively independent mediating system; and the role of centralization or decentralization in the way in which specific social groups have been able to approach the academic system with their particularist short-term demands for specialist knowledge. Approaches towards an association of the two methodological perspectives can be noted in von Ferber's investigation (3979) into the quantitative and structural development of the teaching staff and of the academic disciplines and syllabi at German universities from 1864 to 1953. The same applies to certain recent English studies whose methods have been those of social history and to some extent of sociology, as for example in the work of B. Simon (1527), Rothblatt (1524), Birks (12803), and Weinberg (1534) on institutions of higher and elitist education in Victorian and Edwardian society. In a similar way, the historical and cultural sociological parts of the work of Bourdieu and Passeron (4000, 1023, 4001) on the middle class educational and university milieu in France, or that of Jenne, Kriiger and Miiller-Plantenberg (3973) on the 'educational climate' (Bildungsklima) of certain academic disciplines in Western Germany may be regarded as attempts to combine a 'total' structural analysis in terms of the sociology of knowledge with an analysis of isolable mediating factors (such as class specific linguistic structures or attitudes of dissociation from cultural goods, which may act as discriminatory factors in selection processes within the educational system). A pioneering case-study of the social and intellectual history of a particular scientific discipline with a marginal and very controversial position within the academic systems of Britain, France and Germany (psychiatry) has been published by Dorner (12064). Several studies by Habermas (1569, 3968) show a methodologically cognate approach. They are concerned with the critical and theoretical guides that enable the 'results' of empirical analytical interview-type investigations into the images of society and the educational attitudes of students in the Western German university system to be interpreted or 're-translated' into the understanding of the historical situation in the past and present. Among these models of social orientation, those that are particularly consistent and enduring are the ones that can be derived from the social and ideological history of the German academic and middle 55

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class strata and the relationship these had to politics from the beginning of the 19th century. Especially significant are the ideological Gestalten of (trivialized) 'educational humanism' with the categories of 'inner values' and of an 'intellectual élite' (geistige Elite) that typified this. But élitist initiation rites (cf. Weinberg, 1534), linguistic barriers (Bourdieu and Passeron, 4001) and images of society and education (1569, 3968) are not the only phenomena that mark the presence of petrified history in our own epoch (if admittedly with its social function largely broken and altered). The same is true also of legal institutes and administrative practices in cultural life. These institutes and observances of law and administration may retain their independent character over several historical epochs of social structural change. Our intention here is to examine them primarily in respect of their dominating function, namely as the systems of instruments by which social control is maintained over institutions of academic education by whichever classes and élites of a society are at any given time in positions of domination and influence. (On the significance of legal institutes and administrative practices for the internal social organization of universities and colleges cf. Chapter III, section 1.2.3.2). The formal structure of European universities and colleges arose in connection with the corporative movements of the Middle Ages, and a consequence of this has been that their juridical bases and their constitutional traditions are characterized by a considerable diversity. This complexity has been further enhanced by the considerable shifts in the centre of gravity that have occurred as between academic autonomy and governmental administrative control over the university and college set-up in the individual historic epochs and countries. No complete accounts of a systematic kind are available on this subject. Some recent descriptive studies of the history of law and administration in the mediaeval universities may, however, be noted: Meister (1087), Grundmann (1057), Kibre (1169, 6002). There are also some studies of the further legal and constitutional development of Western university systems up to the 20th century. Some of these take the form of relatively long legal historical sections in monograph studies of the positive law currently valid for universities, others form part of general cultural historical accounts of the history of universities. For Germany we may note KJuge (6085), Maack (6087), Pleyer (17140), Thieme (6093), Wolff (6096), Schapals (6092); for Great Britain Berdahl (6073), Chorley (6074), Morris (6076); for the United 56

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States Hofstadter and Metzger (1325), Abbot (6004), Hicks (6039), Seiden (6064), Brickman and Lehrer (1254), Baade and Everett (eds. - 6009), Chambers (6018, 6020, 6019). A first approach to an historical sociology of law in respect of university law1 may be found in the volume by Nitsch, Gerhardt, Offe and Preuss (1589), in the chapter entitled 'Die deutsche Ideologie der Universitätsverfassung' (The German ideology of university government), pp. 148-185). This chapter owes its methodological orientation to earlier studies by F. Neumann2 and H. Marcuse (12170). In its study of university law, it takes the doctrine currently prevalent in the philosophy and theory of law, traces its development as part of the whole development in Germany of the theory of public law, from Hegel to Carl Schmitt, and relates it to the socio-economic structural changes undergone by German society from before 1848 up to the emergence of fascism.

2 Academic education and the intellectual professions in societal formations in the early period of emulative transformation from pre-industrial to capitalist industrial structures A considerable part of the historical sociological and the cultural historical literature has concerned itself with the position of the university and college set-up and of the intellectual professions in societal formations which experienced, from the second half of the 19th century onwards, successful or unsuccessful attempts on the part of the government to induce an emulative, delayed capitalistic industrialization and modernization. The model for these attempts was provided by the industrial nations of the West, and only in the case of Japan could the attempt be developed to the full. Elsewhere, success was only limited (Turkey; Eastern Central Europe; the Argentine; Uruguay and Chile3; the Philippines), and in some cases the efforts being made were overtaken by socialist revolutions (Russia; China). 1. Cf. supra, pp. 41-43. 2. 'Der Funktionswandel des Gesetzes im Recht der bürgerlichen Gesellschaft'. Zeitschrift für Sozialforschung 6, 1937: 542-596. 3. Cf. also, with regard to the special position these three countries occupy in Latin America the socio-economic typology developed by Desal (Centro para el desarrollo económico y social de América Latina): 'Tipología socio-económica de los países latinoamericanos', Mensaje 123, Oct. 1963. Since, however, Latin America is predominantly treated in the literature as a unit, we shall not be dealing with these countries in this section - cf. Section I, 5.

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IN THE EARLY PERIOD OF TRANSFORMATION 2 . 1 EMULATIVE INDUSTRIALIZATION AND THE ACADEMIC SYSTEM IN COMPARATIVE PERSPECTIVE

Some among the writers have the evident intention of using their comparative studies of the different conditions under which delayed attempts were made at industrialization around the turn of the century in Russia, Japan, China and Turkey, and of the implied 'strategies' involved in these, in order to develop scientifically based strategies - based, that is, on social science - for western neo-colonialist development policy in 'comparable' present-day developing nations. What are being looked for are strategies that will permit an 'optimal' economic growth insofar as this can be achieved (a) without socialist revolutions and (b) in accordance with what amount to being considered the 'laws' of the western system of world trade. In this connection, some authors have specialized in using a comparative study of the educational systems and of the intellectual professional classes in these earlier cases of emulative 'nation-building' and 'modernization' in order to set up limited generalizations which could then be used as a supplementary basis for prognosticating development trends, or for suggesting strategies for preventive or corrective interventions, as well as for allocating of so-called 'development aid' more effectively, according to different countries or to different spheres within the educational set-up 1 . Some volumes of the monograph series 'Studies in Political Development', conceived and promoted by the Committee on Comparative Politics of the Social Science Council of the USA under the chairmanship of Lucian W. Pye 2 , are devoted to just such comparative case-studies of élites and the educational system in processes of modernization and national development 3 . We may note in particular the volumes 'Political modernization in Japan and Turkey' (ed. Robert E. Ward and Dankwart A. Rustow) and 'Education and political development' (ed. James S. 1. Cf. 12207 and 12248, a project sponsored by the U.S.Army. 2. Professor and Senior Staff Member, Center for International Studies, M.I.T.; special studies: Guerilla Communism in Malaya. Princeton, Princeton University Press, 1956; 'Politics, personality and Nation-Building'; 'Military training and political and economic development', in: D. C. Piper and T. Cole, eds. - Post-primary education and political and economic development. London, 1964; 'The roots of insurgency and the commencement of rebellions', in: H. Eckstein, ed. - Internal war. New York, Free Press, 1964. 3. Cf. L. W. Pye, 'Foreword', in: J. Coleman - Education and political development. Princeton, N. J., Princeton University Press, 1965, p. V.

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Coleman), especially the contributions on Japan and the Philippines by H. Passin (1691) and C. H. Lande (13614)1. Lipset, too, for his comparative studies (1077, 12148, 12150, 12157) of students and national development in 'underdeveloped countries' 2 , has evaluated older and more recent literature on the role of the intellectual professions and of the universities in Russia before 1917, in Turkey, in Japan in the Tokugawa, Meiji and Taisho periods, and in the Chinese Republic prior to 1948. (Cf. also Butts, 12039-40; Holzner, 12116; Holzner et al. 10204). As well as comparisons between earlier and present-day developing countries, comparisons have been attempted between the original epoch of Western European development and the early epochs of emulative capitalist development, particularly in Japan, with special reference to development in education and science. For the question of the specific mediating function and of the variation in the goals and practices of academic systems and educational institutions in historical situations of incipient capitalist development, a particularly relevant study is that by Bendix (1016), based on recent researches by Dore (1669) and Bellah3 and on older studies by Schoeffler4, and attempting to develop, in the light of the 'cultural educational preconditions of Japanese development' (p. 265), Max Weber's theory of the rise of English capitalism. Bendix is concerned rather less with the mediating economic significance of the broadening and intensification of formal education than he is with its significance for the transmission and refunctioning of particular cultural values. We may take in turn the two poles of his comparison. He. pursues the development of institutionalized education in the formalized and domesticated samurai 1. Beginning in 1965, the Committee has also emphasized research on 'the historical development of democratic systems in order to gain insights into the current situations in developing areas, and will consider problems of manipulating rapid change in the context of policies for guiding democratic development'. This is to take place in close co-operation with European historians and political scientists. (Social Science Research Council, Annual Report 1964-1965, p. 25). Alongside of this, however, it has sponsored comparative study projects into 'military occupation policies in Germany and Japan after World War II and on theoretical problems of administrative reforms in developing nations'. (Annual Report 1965-1966, p. 26). Cf. Borton, 10239. 2. A research programme sponsored by the U.S. Air Force; cf. on this point section I, 5.2.5. 3. Robert N. Bellah, Tokugawa religion. The values of pre-industrial Japan. Glencoe, 111., Free Press, 1957. 4. Herbert Schoeffler, Wirkungen der Reformation. Frankfurt, V. Klostermann, 1960, a volume containing essays published between 1932 and 1936.

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ethic (based on a disciplined activist life) from its function as a restrictive instrument of social pacification and control in the Tokugawa period, to its function as a source of social energy for the power politics of the nationalist state in its defence of itself against the western threat in the Meiji period. This he compares with the developments in England in the 17th century, where a broadened educational system served as an amplifying medium for the mobilization and autonomous organization of broad classes of the population in intensive religious and class conflicts, in which, in a similar way, older - this time Christian - cultural traditions were reinterpreted in contradictory and heterogeneous ways1. Jansen and Stone (1069) have used the results of recent studies of the educational set-up in Tudor and Stuart England (1550-1660) - Charlton (1502), Simon (1529), Curtis (1504) - and in Tokugawa Japan (1600-1868) - Passin (1690), Dore (1669) - in order to compare the development of education and society in these two countries up to the early 20th century. A particular focus of their attention has been the mediating role of the educational system in the relations obtaining between the social domination-structure on the one hand and scientific and technological modernization on the other. They have attempted to isolate the specific social structures on the basis of which it was possible for what were, in Elizabethan times and in the early Tokugawa period, very similar lines of development nevertheless to diverge from one another at later stages. In particular they point to the consequences of the radical social class struggles in England, whereas in Japan, such struggles were veiled by trends towards nationalism and state authoritarianism vis-à-vis the Western threat (cf. also National Institute for Educational Research, Tokyo, 12050). Structural comparisons with the élitist systems of higher education in Confucian China (under the Tang, Sung, Ming and Ching Dynasties) can be found in the historical sociological and cultural anthropological study made by Wilkinson (1122) of the educational mechanisms and function of the English 'public schools' (including reference to the college system at Oxford and Cambridge) in the Victorian and Edwardian Empire. This study also offers unsystematic reflections on the contradictions between 'totalitarian tendencies' that these educational systems share with the in1. Eduard Baumgarten has pointed out the way in which this constellation, derived from English religious and social history and social character formation, has reproduced itself in the modern American scientific spirit ( Wissenschaftsgesinnung) (1548, pp. 71-73).

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stitutions and practice of higher education in Meiji Japan, among the Jesuits and in Communist China, and the demands for rationality and creativity which is a requisite of modern scientific and technological development.

2 . 2 . ACADEMIC SYSTEMS AND THE INTELLECTUAL PROFESSIONS IN PARTICULAR EARLY DEVELOPING COUNTRIES

The literature relating to the social situation of universities and colleges and of the intellectual professions in individual countries during these early development epochs is extensive, and we shall have to confine ourselves to referring to just a few themes. 2.2.1 Tsarist Russia and Poland A certain number of descriptive treatments of educational history may be mentioned, some of which pay particular attention to the universities (Anweiler, 5124; Johnson, 1732; Butjagin and Saltanow, 1714; Alston, 13313; Chamcowna, 13370), others to the emergence and development of scientific institutions and disciplines (Vucinich, 598, 1759; Armytage, 1710; Ostrovitjanow, 1746), or to the furthering and the training of the technological intelligentsia (Armtage, 1710; Komarow, 5230). In addition to these subjects interest has continued to be concentrated most particularly on the social function of the old pre-Revolutionary Russian intelligentsia. In doing this, writers mostly also examine in some detail conditions in the universities and colleges and in the individual academic professions. Among recent Western studies we may note Venturi (1758), G. Fischer (1720, 1722), Armytage (12011), Elkin (13324), Wildman (13352), as well as the collection of articles edited by Pipes (1748), and from the Soviet side Tracenko (1755), Erman (7295), with social statistical data, and Yaliew (1757). Special investigations into the social situation and the organization and also the history of political and revolutionary activity among students have been published by Tracenko (1755), Meijer (1744), Venturi (1758), Hegarty (1730, 13331), Kiss (1737)andMayers(1743).Thisworkincludes descriptions of intellectual student life in conditions of illegality (Venturi, Mayers) and political exile (Meijer). 61

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2.2.2 Meiji Japan1 A bibliographical introduction to the older and the more recent literature bearing on the history of higher education in Japan will be found in Terasaki (252) and Dellert/Teichler (247). Dore's study (1669), already mentioned, provides a picture of the most recent state of research into institutions of higher education in Tokugawa Japan. In addition, Hall (1672) should be referred to for questions about the Confucian scholarly caste. Central themes in the literature bearing on Japanese social and cultural history are the modernization of the educational set-up and the foundation and early history of universities in the Meiji period (e.g. Okubo, 13282). A brief but comprehensive account of the transition from the educational system of the Tokugawa period to that of the Meiji period, up to the Sino-Japanese War of 1894-1895, has been put forward by Passin (1690), who takes account of the social context of this transition. His inspiration was drawn from research conferences on development policy - one on 'Education and Economic Development' sponsored by the Committee on Comparative Education of the University of Chicago2, and one on 'Education and Political Development' sponsored by the U. S. Social Science Council3. In his work Passin was able to profit from Japanese and American research into the social history of the later Tokugawa period, which has in recent years been very intensively pursued. Kishita Junnosuke et al. (13269) and Tuge (13308) give an account of the history of science and technology in early modern Japan. Aonuma (1663) has analysed the early formation of a professionalized intelligentsia academic and technical in kind, and loyal to the state. (Cf. also Duus, 13259; Jansen, 13266; Pyle, 13287). The educational economics, viewed historically, of the Meiji reforms have been examined by Emi (5208) on the basis of socio-statistic sources. Nagai (1686) has reconstructed the role played by Mori Arinori, the most important Minister for Education in the Meiji period, in the development of the Japanese universities. Naka (1687) has used comparative local analyses to trace the implementation and the influence of governmental educational reforms in the regional sphere. A social and cultural history 1. On Taisho and Showa Japan cf. Section I, 4. 2. Cf. Anderson and Bowman (5002) and Section I, 5. p. 3. Cf. supra, p. 65

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of students in the Meiji period has been compiled by Karasawa (1676). The legal history of the Japanese universities and colleges has been summarized by Ogata (6103). The debates between professors and intellectuals and the Meiji régime about the limits and goals of academic freedom are recounted in Ienaga (1674) and in the study by the KINKI DAIGAKU JIJI-MONDAI KENKYUSHO (6102). The principles underlying the universities of the Meiji period, expressed in terms of intellectual history, have been described in Blacker (13254) and Kosaka (1681), and also in the comparative study by Sumeragi (1116). Both Japanese and American investigators have examined the importance of study abroad on Japanese students, a practice that began to get under way on a relatively large scale only after the Sino-Japanese War. A characteristic feature of this enquiry is that in Japan, the predominant approach is that of social and economic history (cf. Watanabe, 12360; Kaikoku Ioo-nen Kinen Bunka Jigyo, 12310), whereas the approach adopted in American investigations of the problem is rather in terms of the cultural anthropological aspects of the encounter of two cultures. To some extent this latter emphasis has been inspired by the question of the ideological and political influence these students exercised in Japanese élites after their return (cf. Bennet, 1137; Bennet and McKnight, 13253, 12274; Bennet, Passin, McKnight, 3040; Schwantes, 7025). 2.2.3 Republican China (to 1948) The revolutionary movements in 20th century China are a model instance of the successful participation of students and intellectuals in revolutionary upheavals in an economically underdeveloped but ancient high culture. It is therefore not to be wondered at that countless studies on this problem have emerged from the centres of Chinese studies in America, at Harvard and Stanford, as well as from the pens of other Western writers. The perspective of these studies is sometimes deliberately comparative, the other term of the comparison being the present-day movements among students and intellectuals in Southern and South-East Asia as well as in Latin America, that is to say, in the economic under-development zones of culturally highly developed character (cf. Lipset, 1077, pp. 25-28, the comparative interpretations in Chow Tse-Tsung, 1822, and the U. S. Air Force sponsored comparative methodology project by Holzner, Lepsius and Schluchter, 10204 - using historical data on social movements in 19th century China and Germany). 63

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Chang (1813) and Wang (1210) have concerned themselves with the factors, rooted in culture and in the structure of society, that led to a damming up of the first impulses to modernization among intellectuals (stimulated by contacts with the West in the 19th century). On the subject of 20th century movements among students and intellectuals, up to the establishment of the People's Republic in 1949, the following studies may be noted: Lin Chun-Jo (274) and Chow Tse-Tsung (272)as aids to bibliographical study and to the technique of research; and as descriptive studies Kiang (1856), Iwamura Michio (1853), Montell (1868), Kao Chung-Ju (1855), Franke (1830), Chu (1823), Israel (1845-8, 13430), Walker (1875), Lang (1858), Duiker (13242), Gasster (13424), Meisner (13439), Wei (13460), as well as the study by Chow Tse-Tsung (1822), which combines description with a broader cultural historical interpretation, and whose starting-point is the movement of the 4th May 1919. Crozier has attempted a study of Chinese medicine in the social and intellectual revolutions of the 20th century (13418). Most of the contributions predominantly represent descriptive monographs and chronologies of events with a perspective of intellectual history (Kiang, Kao Chung-Ju, Franke) or, if there is an alignment towards political science, analyses of the political methods of leadership and of demonstration and of the alliance and popular front strategies of the Chinese CP, and of the limited model character of the students' forms of political action for peasants and industrial workers (Israel). Chow Tse-Tsung, Israel and Lang also analyse the traditional and the modern social and social psychological situation of the students as a structural problem of the political movements. The influence of study abroad on Chinese students, and their attitudes and their influence after their return, are treated by Chow Tse-Tsung and Israel, and also by Wang (1212, 1211, 12359), Saneto (1198), Brandt (1141), and Lee (12318). The reform of the examination and of the university and college systems occupy the forefront of attention in the studies by Franke (1831, 1832), Lund (1861), Wang (1210) and Chang (1818). In particular, Wang (1210) has analysed the negative effects the modernization of higher education had on vertical mobility (which the examination system in pre-Republican China had promoted considerably. He considers the effect that this structural weakness in the Republican government and social system (with its Western capitalist stamp) may have had in leading to the victory of the Communist movement. 64

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Examples of the official Communist historiographical version of the student movements are 'I-erh chiù yun-tung (1844), Yang Yeh (1881) and Chiang (1819). 2.2.4 Turkey Another (if not very encouraging) early case of emulative 'modernization' is the transformation of the centre of the Ottoman Empire into the Republic of Turkey, an historical case which has also attracted the 'comparative' interest of many American 'development experts' (Frey, 10200, 2013-4, a Pentagon (ARPA) Project1 ; 10485 and 13568, two U. S. Air Force projects; 12207 and 12248, a U.S.Army project; Weiker, 13578) as well as Marxist authors (Steinhaus, 13573; Tibi, 13574). The social structure, the élites and the educational and bureaucratic institutions of the Ottoman Empire have been studied by Bursallioglu (2009) and Davison (2010). Reform movements of intellectuals, students and military élites in the late Ottoman Empire are the focus of studies by Davison (2010), Mardin (2025), Ramsaur (2027), Sharabi (2028), Szyliowicz (2029). The modern Turkish political élite and its programmes for socio-economic development (with a special emphasis on education) has been analyzed by Frey (2013-4), Kazamias (2018), Szyliowicz (2029), Dodd (13554), Okyar (13566), Ozankaya (13567), Weiker (13578). Steinhaus (13573) has presented a Marxist analysis of the contradictory attempts to establish a modern bourgeois constitutional society and education system (taking Western Europe as a model) in an economically underdeveloped and stagnant country. For the even more contradictory and abortive early attempts at 'Westernization' by intellectual and military élites in Ottoman Egypt cf. Makarius (2023), Sharabi (2028), Waardenburg (2031), Berger (13548-9), Hey worth-Dunne (13561), Safran (13572), Tibi (13574).

3 Academic education and the intellectual professions in the developed industrial societies of capitalist and socialist-transition systems The social systems in the industrially developed part of the world, and the 1. 'ARPA' is the Advanced Research Projects Agency of the U. S. Department of Defense, the co-ordination centre for strategy and counterinsurgency research. (Cf. 10201).

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IN DEVELOPED INDUSTRIAL SOCIETIES

connections among those systems, are increasingly coming to form a unity charged with contradictions. Antagonistic moments within the capitalist and socialist systems reproduce themselves not only as between the two systems, but also along lines that cut across them 1 . In discussing, therefore, the literature bearing on the impact of structural change in higher education in present-day industrial societies, we have not taken these social systems separately, not even with that part of the literature written- as most of it has been-predominantly from the perspective of a capitalist social situation. Even in such literature it is frequently the case that connections between the systems are touched on. Alternatively, structural problems may be treated that are posed equally in the industrial systems of the societies in transition towards socialism, possibly in another form and with other effects, without as yet having been taken up by researchers. Or yet again, such studies may explicitly impute a process of convergence in the development of the two systems, concealed or delayed only by the relative economic underdevelopment of the socialist industrial countries or by the transitory presence there of 'totalitarian' domination forms 4 . Writers from the socialist transition countries, too, maintain in their treatment of the structural problems of higher education a close analytical correspondence between their own and the capitalist countries - either because they expect the existence and higher development of the socialist transition systems to exert an intensive structural influence over the advanced capitalist world 3 or because their theoretical position is to some extent oriented towards political formal organization models as they are common in the economically more highly developed capitalist countries 2 . In addition, however, both capitalist and socialist-transitory industrial societies form complexes of older and modern elements of social structure and socio-economic formation, partly 'contemporaneous' with one anoth-

1. Altvater and Neusiiss (12009), Bettelheim, Sogalnick, Baran, in: Strotmann (ed. 10222) and other Marxist authors have attempted to define components of this dialectic process. 2. This convergence thesis (in the last resort teleological and technocratic in character) has been formulated by writers such as Ludz (18156) and Kerr et al. (12131). Cf. also Hudson Institute (10206). 3. Cf. e.g. the Hungarian labour and educational economist Janossy (16037). 4. Cf. for this esp. the Polish literature on the sociology of universities and colleges, e.g. Matejko (13377-8, 14732-3).

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er, partly not, the whole forming totalities charged with contradictions1. For this reason, studies on the manifest structural problems of these societies cannot be separated from comparative historical sociological studies into the whole 'accumulative movement' of socio-economic formations - from the feudalist epochs right up to tendencies anticipatory of future societies. However, the great majority of studies focussing or touching on the situation of higher education and intellectual work in the development of these social formations does not have any pretension of reflecting or theorizing on the basic structures or lawful principles involved in this situation. Instead they follow, in an isolating manner, particular phenomena defined as factors and considered, in an hypothetically constructed context, as variables correlated to other variables singled out for investigation. Our attempt to report on trends in this whole universe of particularistic research will proceed, therefore, from the research themes and trends in the epistemological nature of research. On the basis of this, the theoretical positions and concepts current in the small number of studies relating themselves in a theoretical or socio-political manner to the place of academic systems in larger, societal contexts will be noted.

3.1 Epistemological profile Social scientific research into the 'academic system' - the highly qualified system of attainment and education - in the developed industrial societies has increasingly differentiated itself into a number of different specialisms as regards both content and method. In view of this, any attempt to elaborate a taxonomic scheme of research themes or an epistemological scheme of multidisciplinary research perspectives, or, having set these up, to impose them on the research literature, must inevitably appear to be arbitrary and to oversimplify. We are proposing to take as our basis a simple two-dimensional model. One dimension is to represent the important areas of social structure with 1. For the dialectics of 'contemporaneity' and 'non-contemporaneity' in societal formations and historical situations cf. Ernst Bloch, Erbschaft dieser Zeit, 1937, and with reference to the historical situation of universities cf. Nitsch et al., 1589, esp. pp. 105-112.

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which the academic system is closely involved; the other dimension is to consist of the epistemological perspectives1 within which these areas of social structure and their relation to the academic system are to be investigated. It should be recalled that, in this chapter, we shall be leaving out of consideration the internal social organization and structure of academic systems and also the processes of socialization (and others of a social psychological character) that support and accompany the processes of academic work and education 2 . The same applies to the explication, calculation and planning of the immediately economic aspects of these processes and their involvement with areas of social structure 3 . The relation of the academic system to the areas of social structure we are considering will thus be concentrated on two aspects in particular: access to careers in the academic professions and to the training that leads to these; and the fixing and changing of the tasks and goals of these training and professional processes. Throughout, of course, training and research will primarily occupy our attention, rather than the actual exercise of the professions in question. The following may be distinguished as areas of social structure with which the academic system is involved by virtue of variations in the access to it and the goals it is set: 1. the system of social status allocation, i.e. the reproduction of the class and stratificational structure, interlocking with the social relationships between the generations, with their special areas of the family, the education of children, youth, school training and teacher training; 2. the system of production, distribution and consumption, in particular those areas organized into the academic professions - science, technology, differentiated services and 'high culture' (including the differentiated forms of 'leisure' and consumption); 3. the system of social control and domination, in particular the differentiated spheres and techniques in which this has been 'scientified' (law, political economy, social technology, mass communication). For the other dimension, the following epistemological perspectives may be distinguished and developed. It is assumed that these relationships between the academic system and the listed areas of social structure will 1. On the notion of 'epistemological perspectives' cf. Introduction, pp. 20-21. 2. Cf. Chapter III. 3. Cf. Chapter II.

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be investigated from the point of view of these perspectives, to each of which there corresponds at the same time a specific cultural or social science that can serve as an instrument for investigation, interpretation or control. These various perspectives are: 1. projective cultural statements made in the present (utopias and ideologies), as represented (or, as the case may be, interpreted) by social philosophy and scientific politics; 2. (closely connected with 1.) the cultural tradition relating to the normative determination of moral rules and social roles, as explored by hermeneutics, the science of history, cultural anthropology and historical sociology; 3. the legitimation of social action, as systematized and controlled especially by law, by normative political science (partly by political economy) and by the (normative) science of education, but also by philosophy and the science of history; 4. communicative action in social roles and institutions, as explored by the empirical analytical disciplines of sociology, social psychology and social psychiatry; 5. goal rational action (in the broadest sense) leading to the allocation of scarce means and services, as investigated and controlled by the disciplines of economics, demography and applied sociology and social psychology (i.e. social technology); 6. the objective possibilities of the future, as represented in the new disciplines of 'futurology', in particular the prognostication of economic and social aspects of scientific and technological development. In using the expression 'epistemological perspective', we intend to convey the point that the individual areas of social structure are being scientifically investigated or controlled from the point of view either of the objective possibilities or trends or of the cultural tradition, and so on, involved with each chosen perspective, acting as a kind of focus or centre of gravity. In the accompanying table (Figure 1 p. 70) which is intended to illustrate this scheme, we have entered: 1. a few examples of the research literature (represented by writers' names and by the relevant running numbers from the annotated bibliography); 2. relevant paragraphs from the systematic subject-index; and 3. the headings for the chapters in the bibliography. 69

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ACADEMIC INSTITUTIONS AND THE INTELLECTUAL PROFESSIONS

3.1.1 Epistemological trends and research themes It seems appropriate at this juncture to add certain reflections about multior interdisciplinary trends in the research literature dealing with academic systems and social structure in the industrial societies. This question of multi-disciplinary combinations or constellations leads over at once, of course, into the further question of trends in the substantive position being adopted, whether of theory or of ideology and social policy. The academic system is bound up with the various areas of social structure principally through two determinants: the access allowed to academic training, research and professional institutions and the objectives andfunctions of academic education and research. 3.1.1.1 Access to academic systems and status allocation The structures and determinants of access to and status-allocation within the academic educational and professional system have for some considerable time already (since about the end of the 19th century1), formed the subject of sociographic, historical and sociological research. These investigations (which can hardly be described as interdisciplinary) are being continued on an increasing scale to-day as well, recently institutionalized in the form of socio-statistical data banks. They have been amplified, more additively than in any other way, in two directions. First, there have been social-psychological studies into social determinants of potential (socalled) talent or endowment ('Begabung') intelligence, aptitude, motivation-in connection with the methods and structures of access to academic institutions and professions (or of success within them, as the case might be). Secondly, if admittedly still on a rather minor scale, studies in the fields of law and of the sociology of law have been made into the structures and criteria of access to academic educational and professional careers in the framework of different types of constitutional system - the capitalist 'social state' or 'welfare state' type, and the socialist transition type. Even in connection with this twofold extension of the research perspectives, however, it has been only rarely that a genuine multidisciplinary approach has been achieved. 1. Cf. e.g. for Germany the first reliable sociographic studies by Franz Eulenberg, 'Die Frequenz der deutschen Universitäten von ihrer Gründung bis zur Gegenwart', Abhandlungen der philologischen Klasse der königl. sächsischen Gesellschaft der Wissenschaften 24 (2). Leipzig 1904, as well as F. Eulenberg, Der akademische Nachwuchs, Leipzig 1908, based on the examplary well-organized Prussian system of university statistics.

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Attempts and programmes leading to such an approach do nevertheless exist in the following directions: a) the attempt to evaluate the economic costs that arise through the psychodynamic 'costs' (psychic disturbances and mental illness) caused by particular access and achievement structures in academic systems where these structures discriminate against certain racial, sexual or cultural groups or secure domination for others; or the attempt at any rate to demonstrate, by measurement against objective possibilities or against structures to be found in other societies, that such costs do exist, even if they are difficult to quantify (cf. e.g. Kubie, 8110; Pervin et al., 3626; Dorner, 18); b) the attempt to identify and to predict psychodynamic, motivational and ideological determinants specific to given strata and governing typical behaviour in decisions concerning education and choice of profession, an attempt, that is to say, to integrate into a single research stategy 'objective' factors relating to social structure and to political economy with 'subjective' factors having to do with personality and manifest motivations (cf. e.g. Atkinson and O'Connor, 3590; McClelland et al., 3015; Schneider and Lysgaard, 3705; Stivers, 3761); c) the attempt to combine a sociological analysis of socio-structural and political conditions and determinants of processes in academic educational and labour markets with economic calculation and simulation, whether with respect to access to institutions of higher education or with respect to choice of profession or the recruiting of academically trained personnel by employers (cf. e.g. Armbruster et al., 3957; Campbell and Eckermann, 7070); d) the attempt to give an objective basis, of an empirico-analytical and/or social technological character, to the positive administration of law but also, to some extent, to the active generation of law, whether the constitutional framework is of the social state type or of the socialist type, through integrating with the process of determining legal facts a program of research and planning in educational and professional questions based on social science. This interdisciplinary link between social science and jurisprudence is intended to occur in terms of four perspectives: 1. the empirical analyses and prediction of social matters of fact that also form the subject matter of the administration of law, e.g. factors promoting or hindering success in gaining entry to university or college; 72

ACADEMIC INSTITUTIONS AND THE INTELLECTUAL PROFESSIONS

2. the prediction of the social consequences of legal decisions and of particular processes of generating new law; 3. reflection and investigation by the sociology of law into the social determinants of legal structures and decisions; 4. the function of the administration and generation of law in an integrated system of planning directed by social technology (cf. the studies of PreuB, 6089; SDS, 13066; Fedkin, 6109; Poppe, 6116). If we look at research by the social sciences into social structure as related to educational opportunities and careers in the academic sphere, then we will note that a more far-reaching interdisciplinary integration of such studies, linking (as it might be) the social psychological and economic approach first mentioned (cf. (a) and (b)) with the socio-legal approach sketched later (d) or with the sociological and economic approach (c), does not appear to be practicable in the foreseeable future. It would have to be preceded by the development of the necessary concepts of operationalization and research instruments for the mostly bi-disciplinary approaches so far attempted. These should however be constructed and discussed in so open and flexible a manner as not to impede or exclude such later steps towards multi-disciplinary integration. 3.1.1.2 Objectives and functions of academic systems The second 'crossover point' between social structure and the academic system, namely the question of the objectives and functions of study and research, resists much more firmly than does the question of gaining entry to academic educational and professional careers any attempt at handling in terms of a single discipline or indeed of several disciplines if the combination is merely additive. In taking up the twin questions first, of the socio-structural determinants of the objectives of academic educational, professional and research work and then of the re-engagement of these objectives with areas of social structure, one will discover that a complex of research tasks comes into view of a kind that breaks open all the boundaries of the social sciences. These tasks can be accomplished only by the most broadly conceived interdisciplinary planning and co-operation in research and the gathering of data. The special disciplines that would be involved, some of which are at present only just beginning to be developed, can be grouped as follows (cf. also the scheme of epistemological perspectives and areas of social structure, Figure 1): 73

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First comes a number of disciplines whose subject matter is the systematic description and interpretative elucidation of settled ideologies, traditions or observances or as yet unfulfilled Utopian cultural claims and values : history, the critique of ideology, hermeneutics, the philosophy of law, the philosophy of education, and the epistemology of academic educational, professional and research norms (cf. the approaches to this in Gembardt, 3971; Habermas, 1570; Mumford, 12192). Next comes a number of disciplines that can formulate theoretically, and predict empirically, the objective possibilities for change, and trends leading to change, in education, science, technology and social structure : the theory, the history, and the forecasting of science and technology, including their social conditions and effects. Finally, as a necessary basis for the kinds of research and forecasting just mentioned, a significant role is to be played by those disciplines, standing between cultural tradition and Utopian projection on the one side and the prediction and reflection of objective possibilities on the other, that can describe systematically, and investigate empirically and analytically, the socio-cultural realities of the situation as well as the constraints and limitations involved in it, whether legal and institutional or economic in character: Sociology and social psychology, law, economics, legal, social and economic history, in each case with reference to higher education, the professions, research organization, university and science policy. The research field constituted by the 'social conditions of higher educational and research objectives' both demands, and also makes possible, a high degree of co-operation between empirico-analytical, historicohermeneutical and dialectical, critical research procedures. Attempts to investigate, in empirical and analytical terms, the motivation and attitudes of students, academically trained professionals, university research staff and university teachers with regard to their choice and their understanding of their educational, professional and research objectives - or to investigate the collective processes of communication and decision that influence and support the objectives and the content of research, of teaching and of professional training - can succeed only if the investigators begin by acquiring an intensive 'field knowledge' of concrete academic disciplines and professional areas. (The same applies, if admittedly to a lesser degree, to investigations into the socio-economic and socio-psychological conditions governing the processes of study and research independently 74

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of the way their objectives are constituted by society.) It is, however, essential, if the formation of hypotheses and theories in this research field is to be of a high level, for this 'field knowledge' not to remain confined to a superficial 'service knowledge' of facts and figures (institutions, lifehistories, history of the subject). This field knowledge should rather be won with the point of view and the categories of an historical sociology of the sciences and of the academic professions in mind. In such a discipline, both historico-hermeneutical and also analytico-theoretical (i.e. generalizing) procedures must be embodied, or, beyond this again, they must be able to be synthesized and mediated through reflective study of a dialectical and critical kind. Empirico-analytical projects investigating the social context of higher educational objectives and of academic scientific processes will find that the search for their hypotheses, the formation of their theories, and the interpretation of their results will gain in differentiation and relevance in proportion as their work is paralleled and to some extent preceded by studies in the field of historical sociology. The objective of the latter would be to use the interpretation of texts and the collection of quantitative social and cultural historical data as a basis for developing analyses of the relationship between academic educational and research objectives and professional requirements on the one hand, and on the other hand various factors of change, both past and present, in society as a whole as well as the mediation of this relationship through the organization and structure of universities and colleges. Concrete mediating links with respect to this relationship might include: the diversification and furcation of academic disciplines, special fields and professions, and the founding of new ones; the formation of theoretical schools of teaching and research; quantitative shifts among the various disciplines, courses and professional careers; changes and revolutions in the epistemological foundations of research disciplines and their application; the political objectives and the organization of government sponsorship of science and regulation of academic professions; the economic exploitation and significance of scientific research and training; the effect of the legal and organizatory structure of universities and colleges on processes of change in educational and research objectives; ideologies of general and specialist academic education and of professional attitudes in connection with images of society and political attitudes; the causes and extent of discriminations at work in the individual spheres of the various 75

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academic subjects with regard to the recruitment, the selection, and the social mobility of students and university teachers and also to their success as students and in professional life. The relative influence these and other mechanisms of mediation have in the relationship between society and academic educational goals must be pursued over some appropriate span of time. This should make possible, for one thing, an understanding of persistent cultural traditions and images, and for another, it would make it possible for plausible prognoses, with the relevant conditions stated, of the restricted continuation of historical trends or of historically restricted regularities in the functioning of mechanisms of mediation in the immediate future. In the framework of such consistently interpreted historical sociological analyses and prognoses, then, it would possible for systematic reflective hypotheses to be selected for empirico-analytical research and theory formation, and for the results from these to be interpreted. To date, admittedly only a few attempts at exploring part at least of this multi-disciplinary field have been made or are in progress. Four socio-structural and political situations, in particular, have provided the occasion for such attempts: a) the situation of students or of the new generation of university teachers in disciplines whose educational and research objectives develop in a heterogeneous or even crisis-like fashion or which have to compete with alternative professional careers (especially the social sciences, the humanities, medicine, mathematics); here the social and historical determination of divergencies or of alternatives in the content of the subject are much more manifest. The study by Busch, von Ferber and Goldschmidt et al. (3979) into the new generation of university teachers, and the analysis by Jenne et al. (3973) of physics, classical philology and German studies in terms of the sociology of knowledge and education, contain work in this direction; cf. in addition Bargar(86), and T.C. Fry (1300). b) the decision-making situation of employers who predominantly hire academically trained personnel with an emphasis on the attitude of such employers in particular branches of the economy to changes and variations in educational and professional norms (cf. the enquiries by Clements, 3883; Stewart et al, 3929; Gembardt, 3971; Guillebeau, 4010 and the studies in progress by Armbruster et al., 3957, and Zeidler, 3990). 76

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c) the situation of new academic training disciplines and of new professions - whether the latter have newly come into being or whether they have already existed but have been carried on without an academic or scientific training and admission structure - because with these the content, the objectives and the functions of training and of the profession itself as well as of research bearing on the profession and its training will still present a difficult and variable appearance, and because the corresponding academic and professional organizations and institutions have still to establish themselves and to achieve social acknowledgement. As examples we may mention the studies of Wilensky and Lebeaux (12782), and Lubove (1373) on the professionalization of social work, Yollmer and Mills (3821) and the Institute for Operational Research (228) on new branches in the technicians' profession, as well as Kurtz and Flaming (3489), F. Davis (ed. 1285) and Reissman and Lohrer (1428) on nursing as a profession. d) the situation in which a country is developing a more deliberate 'science policy', resting on the work of ministry officials, industrial managers and a new specialist public of scientific experts in science policy, planning and organization. Such a situation has occurred in particular in the case of those capitalist industrial countries whose standing in the capitalist world system is imperilled by the increasing economic power of the United States and who have to retain and to utilize more carefully their traditionally strong, if however ill-organized scientific and technological 'human capital' ; or - on the other hand - in the countries committed to the transformation towards a socialist system under conditions of relative underdevelopment (in comparison, again with the U.S. A.) of material as well as human capital formation. The 'epistemographical' studies (drawing also on the historiography of science) by the Science Policy Research Unit, University of Sussex (MacLeod et al, 1513, 7198) should especially be mentioned at this point. Similar attempts to give a longterm foundation to university and science policy in terms of the social sciences and of the historiography of science are under way in France (cf. various studies in the journal 'Analyse et prévision'); in East Germany (cf. 10456,441); and in the Soviet Union (cf. 10453).

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I N DEVELOPED INDUSTRIAL SOCIETIES 3 . 2 THEORETICAL POSITIONS AND CONCEPTS

The second major criterion for structuring the research field and identifying trends is the theoretical position (and its related concepts) of studies. Theoretical reflections and conceptualizations are presented, however, only in a small number of studies. 'Theoretical position' should be considered for the purpose of the following short account, as comprising analytical theories of positivistic social science as well as socio-political normative theorems and socio-technological strategies and in addition historico-materialist praxis-oriented theory. For a first orientation on the theoretical perspectives it is possible, considering the risks involved in any such simplification, to single out the following positions or schools of thought: 3.2.1 The functionalist model Structural-functionalist theories prognosticate a universal secular trend towards an 'achievement society' based on technologically determined structures of functional differentiation mediated by a growth of higher education and highly qualified professionalized work and governed by a powerful, yet functional state apparatus expressing only the inner logic of modern technological-industrial development. These theories differ, however, with regard to the social class structure and the differences between the capitalist and socialist politico-economic systems: One school of thought prognosticates a trend towards an increasingly homogeneous society shaped no longer like a pyramid but a pentagon, i.e. with a growing new middle stratum of higher educated professional workers and a shrinking blue-collar class, a society in which the high degree of vertical and horizontal mobility and education dictated by functional requisities of modern industrial technology will assimilate and level down all major differences according to 'sub-cultures' and 'rolesets' based an social class, occupational status, religion, race, etc., i.e. will result in a trend towards 'status-consistency. Many authors of this orientation assume at the same time a'convergence' of similar such trends in both the capitalist and socialist systems resulting possibly in a mutual assimilation of structural trends emphasized differently in both systems, e.g. the amount of achievement incentives based on individual or group competition, respectively. 78

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Examplary theoretical studies of this type related to higher education and the professions and social structure are those by Parsons (1416-19, 12667-8), Feldmesser (17005), Inkeles (1337), Lipset (1370), Inkeles and Geiger (1731). Another school of thought proceeding from the same functionalist and technological-determinist assumptions prognosticates, in contrast, a trend towards a'dichotomous' achievement society characterized by a persistent polarization of the social fabric into a professional and managerial stratum and a larger stratum of semi-skilled workers and unemployable 'surplus-population'. This, again, is projected as a secular trend determining both politico-economic systems of the industrial word. However, in view of the 'dichotomous' nature of the modern industrial system, it is expected that 'totalitarian' movements will arise from time to time questioning the functional necessities and prerequisites of industrial growth, in the 'socialist' as well as in the 'capitalist' political systems. Examplary theoretical studies of this type are Kerr et al. (12131), D. Michael (1396), Ludz (18156), H. Hartmann (7212). 3.2.2 Models of social disparities The basic assumptions as well as the empirical basis of these teleological theories have been questioned by authors from different theoretical approaches. A criticism of a predominantly methodological nature has been put forward by sociologists who have attempted to supplement the functionalist approach by conceptual models of dysfunctional and innovative 'conflicts', 'disparities' and 'inconsistencies', as components of social change. They have pointed out, for instance, that the prognostic theoretical model of an increasing sub-cultural homogeneity and status-consistency is ill-founded empirically in particular with regard to the place of education in the social structure: e.g. Substituting upward social mobility via on-the-job training and promotion by mobility linked to higher formal education means a deterioration of mobility opportunities for workers and results in a trend towards substituting intra-generational by intergenerational mobility (cf. Warner and Abegglen, 7164). The results of empirical research demonstrating the growing income-difference linked to education (cf. Miller, 5133-4), the deep sub-cultural barriers between occupational strata as well as the trend towards a growing ecological fractionalization of social strata linked to different levels and quality types 79

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of formal education (cf. A. R. Wilson, 3859; Coleman, 12434, 14131) contradict the models of an egalitarianizing 'achievement society' or of a simple dichotomy or polarization of the social fabric on the basis of functional requisites of modern technological industrialism. Contrary to these models, theoreticians of social conflict and social change emphasize the 'conflict and innovation potential' inherent in the inconsistencies and disparities between different situations and status positions of individuals e.g. in the sphere of consumption of 'private goods' as against 'public goods' (i.e. education and other social services), in the sphere of work and in the sphere of social power and influence (cf. Offe, 13014; Kaplan, 12564) resulting in syndromes of'relative deprivation' and 'alienation' (cf. on these concepts Chapter III, 2.2.2.1 and III, 5.1.1.1) or they point to the structural difficulties and contradictions involved in the measuring and identifying of individual achievement within the complex industrialized work and administration processes (a basic problem for the functional theories of stratification), difficulties resulting in a trend towards new forms and principles of'ascriptive' status allocation, e.g. through artificial educational as well as occupational career systems and ideologies of 'professionalism' (cf. Offe, 12200; Goldner and Ritti, 3361; Faia, 12480 cf. further Chapter III, 2.2.5). 3.2.3 Models of cultural disparities A different theoretical trend opposing functionalist 'grand theories' can be characterized as the 'cultural' approach to the study of social structure and education. Authors of this orientation assume a long-term and powerful 'cultural lag' between the dynamic progress in the sphere of 'functional requisites' related to technological innovations and traditional sets of cultural values and mores which are characterized in addition by a great variance and contradictory relations among each other (cf. Turner, 3811). As basic structural components of the cultural (as against the functional-technological) dimension of social structure are proposed either historical types of social domination (first expounded by Max Weber, cf. Jarisch, 1578) or constructs of social characters (cf. Riesman et al. 'The lonely crowd.') based originally on the socio-economic situation of particular social strata but assuming a high degree of structural autonomy. These theoretical perspectives have been applied in particular to the relationships between traditionalist academic systems and the 'modernizing' agen80

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cies or forces of societies in the economic and technological sphere (cf. Halsey, 1061; Baumgarten, 1548; Schelsky, 1596). 3.2.4 The Marxist model of class struggles The focus of Marxist studies on higher education and intellectual work in the changing societal formations and structures governed by the dynamic of industrial capital is neither a teleological and technological determinism (as in the original functionalist approach) nor a phenomenological and historicist conceptualization of cultures and cultural lags. Marxist class analysis proceeds from the study of the absorption of concrete human relationships (concrete work and its use-values) into the process of realization of capital (through abstract labour and its exchange value). The position of intellectual work (and of education for it) in this process is seen as determined both by the dynamics of capital and its tendency to integrate more and more intellectual work into the productive forces under its control and by the subjective potential inherent in intellectual activities whose transformation into 'abstract work' has its internal limits. The higher degree of concrete subjective identification on the part of intellectual workers with the use-value of their work is the central problem for Marxist class analysis related to the intellectual strata, since this structural factor produces various types of 'false consciousness' among intellectual workers about their objective situation in capitalism and has resulted, historically, in 'alliances' of the intellectual strata with the capitalist class. On the other hand it is assumed by many Marxist socialist groups that the same structural factors work also in favour of revolutionary tendencies, even if only realized in a minority among the intellectual strata. Thus class analysis of the intelligentsia has been linked, with different emphasis, to theories of the revolutionary vanguard (cf. Lenin, 12146; Mandel, 121678; Krahl, 12135; Schmierer, 13050) or to theories of the emergence of a 'new working class' comprised of qualified technicians and scientific workers under the direct rule of capital units and their management (Belleville, 14636; Gorz, 1054; Gilbert, 12502; cf. for a more systematic survey of Marxist studies on intellectual work and class structure in the topology of the literature 3.3.2.1, 3.3.2.2 pp. 42-101 as well as Chapter II, 2.1.2.2 and Chapter III, 5.1.2.1, 5.1.2.3.1).

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I N DEVELOPED INDUSTRIAL SOCIETIES 3 . 3 TOPOLOGY OF THE RESEARCH LITERATURE ACCORDING TO AREAS OF SOCIAL STRUCTURE

Empirical and interpretative studies have, at any rate in certain areas of the field of research now sketched out, accumulated to such an extent that the following topology of research trends cannot hope to present a comprehensive, representative picture. In a few places we shall have to content ourselves with referring to one or two typical examples and then giving a reference to specific parts of the systematic subject-index. In the topology, we shall be following the scheme co-ordinating areas of social structure with epistemological perspectives (cf. Figure 1, p. 70). 3.3.1 Relations between social classes and strata, andamong the generations We shall begin with the areas of social structure designated as status allocation or class relations and connections between the generations. These exert their influence on the access to, and success in the higher education system and the system of academic professions through the sub-cultures of young people, the structure of the family and school education. 3.3.1.1 To begin with, a considerable number of social historical and sociographic descriptive accounts have been published bearing on the objective social indicators and determinants. These are compilations of data, but to some extent they include social historical or analytical theoretical interpretations of the distribution of access and success that is in fact found in terms of the class or status or professional standing of parents and take in reference to general demographic and to specific discriminatory factors. Such analyses of data have been provided, as far as comparative studies on an international basis are concerned, by Bowles (7003), Ben-David (1015), Anderson (7000), Feldmesser (7005), Loderer and Riese (18003), OECD (18005-6), Schaefer et al. (1008-9). For the USA there are countless titles that should be named (here given in chronological sequence): Berkowitz (7048), Roper (7133), Davis and Frederiksen (7065), Boyce (3195), Stecklein and Eckert (3742), Kahl (1347), Havighurst (7087), West (7170), Hacker (7081), Sexton (7149), Darley (7063), Jaffe and Adams (7094, 7095), Schwartz (7144), Eckland(7071, 7072,7073), Hoyt(145), Werts (7167), Baranand Sweezy (16129), Coleman 82

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(14131, 12434), Tillery (18093-4), Trent and Medsker (18095). For the Western European countries should be mentioned: for Great Britain Kelsall (7194), Craig (7185), Kendall (7195 and 18107), COMMITTEE on HIGHER EDUCATION (554), Ross and Case (7204), Taylor (3932), Couper (14517), Cross and Jobling (18103), McPherson (18109), U.C.C.A. (18113); for Northern Ireland Rea (18112); for Australia Barcan (1535); for West Germany Korn (7218), von Ferber (7209), Plessner, ed. (3979), Bolte (7208), Peisert (7222,1 8123), Kath et al. (7216), Pross (18124), STATISTISCHES BUNDESAMT (7224); for France Girard (7233), Girard et Sauvy (18136), Bui-Dang-Ha-Doan (7226), Praderie (7237), Bisseret (14638-40), Bourdieu and Passeron (4000); for the Scandinavian countries Geiger (18142), Kalaia (18143), Carlsson (4021), Nordahl (7270), Tomasson (7284), Aubert, Torgersen, Tangen, Lindbekk (7243), Murray, ed. (1967), Norwegian Research Council (7271), Vangsness (14700); for the Netherlands van Heek (1660), Groenman (7262), Kuiper (7266), Ruiter (7277), Straeten (7280); for Belgium Morsa (7268), Maton (18144); for Italy Sensini (1659), Pennati (7275), and for Austria Kozlik (7265) and Titscher (7282). Compilations of data for Japan can be found in Gakusei shido-bu (7290) and Aonuma (18149) on the subject of students, and in Spaulding (7294) on the university training and social origins of the corps of officials. For the socialist countries only a few analyses of data about access to higher education are accessible: cf. Arkhangelskij and Petrov (14710), Rutkevich et al. (14717-9), Matthews (18152), Braunreuther (14723). For the specific objective social determinants at work in providing access to systems of academic training and professions, we may refer to some extent to the corresponding parts of the systematic subject index: 1.4.3.1, one's own and one's parents'/amiTy, as well as the number of one's siblings and one's position among them; 1.4.3.2, sex; 1.4.3.3, religion; 1.4.3.4, ecological factors (regional and community structure; country-city relationships); 1.4.3.5, cultural differentiations (language, ideologies); 1.4.3.6, race and nationality. The majority of analyses and compilations of data refer to factors of race and sex, especially in the USA. Ecological and cultural factors (including factors deriving from the family) are by contrast still meagerly represented. A few sociographic analyses about the significance of higher education as giving access to élite professions, in particular to managerial and official positions, have been published: for the USA Warner and 83

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Abegglen (7164), Warner et al. (7163), Eckland (7073), Elliott (12470), Edwards (12468), Pierson (18087), Weyl (18099); for West Germany Brinkmann (5187), Einkommen und Situation ... (5190), Zapf (14633), Dahrendorf (1557); for Japan Abegglen (1662); for the Soviet Union De Witt (5219); and for a comparison on an international basis Lewis and Stewart (1074). Data bearing on the phenomenon of the so-called 'twogenerational rise' into academic professions have been analysed with respect to Great Britain by Kelsall (3899), and to West Germany by Bolte (7208). The social origins of university teachers and scientists have been investigated for the USA by Visher (7157), West (3850), Knapp et al. (10987101), Stecklein and Eckert (2742), J. Bernard (1240), and in summary form by Kaplan (1072); for West Germany by Plessner ed. (3979), Busch (1563), Kaupp (18120); for Great Britain by the Committee on Higher Education (554); for Australia by Browne (14555). A number of studies have taken several objective sociographic determinants of entry into higher education at a time and analysed them jointly and with regard to the effects they have on each other. This applies especially to studies on the USA, but also to Canada, Australia, Great Britain, the Netherlands (van Heek, Wieers), West Germany (Dahrendorf), Austria (Firnberg and Otruba, 7257); Titscher et al. (7282), Switzerland (Girod et al. 7261), Japan (Suginome, 4091); cf. in the systematic subject index 1.4.3. 3.3.1.2 In certain studies an attempt has been made to give a sociologicol investigation of the institutional and organizatory mediating factors at work in the question of access to academic careers and to the training they presuppose: 1. the articulation and organization of the school system: McCreath and Freeman (3905), Furneaux (7189) in Great Britain; Hartley (3410), Boyle (3196), Michael (3552), Wilson (3859) in the USA; Dahrendorf and Ortlieb (1558) and Roeder et al. (3982) in West Germany; 2. the significance of young people's sub-cultures and peer-groups (prior to entry into the university): Coleman (1966), Jencks and Riesman (1342), Krauss (3481), Brittain (14101, on 'parent-peer cross pressures'); 3. the organization and the mediation of the transition from school to university or college (through examinations, counselling, patronage, information and guidance): cf. Cicourel (3233), Hauser and Lazarsfeld 84

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(3418), Goren (358), Meade (3544), Pearson (3549), Kurland (10616), Chenoweth (12417), Usdan et al. (12762), Willingham and Findikyan (18100), Herr and Cramer (10609) for the USA; National Foundation for Educational Research (39), Dale (3887), Furneaux (7190), Kelsall (7194, 3899), Drever (225), Morris (12841), Campbell (14512), Wakeford (14547), Gordon (18067) for Great Britain; Sanders (3952) for Australia; Nyugaku-Shiken (4077), Shimizu (1698) and Kyoto Daigaku (4061) for Japan; Kadzielski (4117) and Kowalewski (7203), Poland; and socio-legal studies bearing on this subjecthave been attempted by Gerber (in: Carstens/Peters, 6079), Kottgen (6086) and Nitsch et al. (1589) for West Germany, as well as by Gau (6099) for France; 4. the articulation and differentiation of the system of higher and'tertiary' education as a factor in the mediation of access and success, considered in each case in relation to social and ethnic background of students - cf. for the USA Medsker (1393, 6053), Fields (1254), Brick (1253), Blocker et al. (1247), Clark (1267, 1269, 1270), Trow (1471, 1473 and 12757), Darley (7063), Knoell and Medsker (7103), McGrath (1388), Rang ed. (187), Cooley and Becker (3245), Eckermann (7070), Jencks and Riesman (1341), Wiggins (1483, 1484), Richardson (12693), Schein (16250); for France cf. 10696, 10699, 10702; for West Germany Dahrendorf (10414), Roeder et al. (3983), Rolff (13036), Hamacher (14581), Junck (14584), Baden-Wurtemberg (10671); for Great Britain Sandford (3921, 3922), Layard et al. (12832), Robinson (12851), Trow (12861); for Japan Altbach (13250), Moriguchi and Yoshioka (7292); for East Germany Taubert (4102), and for the Soviet Union Samojlova (4096) and Katuntseva (13335); 5. the socio-political systems of studentfinancingas a determinant of access to and success in university or college study: cf. for the USA Lazersfeld and Nash (3494), West (7170, 5169), Warkov, Friesbie and Berger (7160), Sexton (7149), Stice and Mollenkopf and Torgerson (1956,7155), Doermann (16165-6), 'Education in California' (16171), Hansen and Weisbrod (16188), Harris (16189), Kirkpatrick (16206), Owen (16235), 'Spending Patterns ...' (16267), Stafford (16268), Lansing, Lorlmer, Moriguchi (7108), Morgan, David, Cohen and Brazer (7116), Berdie (12391), Lansing & Lorimer (00000); for West Germany Meschkat (1587), Nitsch et al. (1589), von Ferber (1564), Pohler (14602), Stephany (18129), VDS (10690), Oehler (7220), Rundstedt (5050); for France the study, based on the disciplines of law and 85

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political science, by Gau (6099), and the programmatic statement of the principles underlying the 'salary' for studying ('salaire d'études') in Fournière and Borella (1625), and 'Travail Etudiant ...' (1639), for Britain Peacock et al. (16214); for Finland Elovainio (16377); for Japan Nakata (7293), Gakusei Shido-Bu (7290), Suginome (4099) and Ogata (16387); for Poland Grajewska (4106), and for the USSR Samojlova (4096); 6. class and status oriented relationships, group structures and sub-cultures among students (based e.g. on halls of residence, urban residential contexts, student societies, 'mate selection', etc.) as determinants of persistence and success in university or college study: cf. for the USA Trow (1472), Berdie et al. (12392), Clark (1273), Gottlieb and Hodgkins (3373), Lundsford, ed. (1375), Peterson (3627), Thielking (3789), Hall and Willerman (3402), Levine and Sussmann (3502), Matson (3527), Sinnett (3729), Blumberg (3189), Plant (3635), Reiss (3661), Coombs (3246), Adams (14056), Armer (14063), Ash (14064), Bagley (14076), Bohrnstedt (14095), Boyer (14097), Gamson (14202), Kamens (14264), Lantz (14290), Lewis (14305), Nasatir (14342-3), Ward and Kurz (14467), Gordon (10601); for Britain Abbott (3782), Marris (3902, 14543), Eggleston (7186), Niblett et al. (12844); for the Netherlands Hettema (4027); for Belgium De Bie (4020); for France Bourdieu and Passeron (4001), Passeron and Saint Martin (4014); 7. class and status oriented relationships and group structures (patronage, nepotism, competition, class and ethnic endogamy) at work in the transition from university or college into professional life: cf. for the USA Mills (1400), Seeman and Evans (3711), Mosher (1403), Ben-David (1006), Calhoun (1263), 'Employment of the College Graduate' (12473), Pelz (12671), Scott (14389); for Great Britain Reader (1520), Box and Cotgrove (3880), Gerstl and Hutton (3891), Wilkinson (5174); for West Germany Dahrendorf (1556), Gembardt (3971), Finke (12915), Armbruster et al. (14560), Freeh et al. (14572); for France Girard (7233, 4008), Mandrin (13168), Praderie (7237), 'Enquête sur la formation littéraire' (4006); for Japan Shimbori (4083), Aso (1665), Azumi (1666 and 13252), Shitahodo (4089); 8. socio-political and institutional systems of admission to university or college study and into the academic professions (examination systems) : They are considered in the case of socialist states in particular from the point of view of the part they play in the strategies of the class struggle 86

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in the process of building socialism - cf. e.g. Katushev (13363), Katuntseva (13335), Seiffert (1776), Heinze(441), and Richert (13364) for East Germany. In capitalist countries they are considered both from the point of view of their rôle in administrative regimentation - cf. e.g. for the USA Owen (16235); for West Germany the legal discussion offered by Reschke (6090) and the socio-political arguments in Dichgans (409) - and from the perspective of social class relationships : cf. the critical sociological sketch of the American higher examination system by Faia (12480), and the criticism of the social functions of the British (Fawthrop, 12821), the French (18130, 13121, 13143, 13168), the West German (Nyssen, 13010; Reese, 14606) and Japanese (Vogel, 8298-9) examination systems. 3.3.1.3 A considerable part of the literature concentrates, among the various components of social structure that form determinants of access to, and success in, the academic professions and the training leading to them, on the perspective of just those 'subjective' components (stereotypes, intelligence, attitudes, manifest and psycho-dynamic motivations) that are firmly anchored in spheres of social structure that lie outside the university or college system. Such components as these are of course to a large extent unlikely to be influenced on a short-term basis. They include such things as primary socialization and family structure, relations between the sexes, class specific images of society and sub-cultures outside the educational system. The only reason for referring to such research here is the extent to which it attempts, through the choice it makes in its research strategy or through the theoretical (or, as the case may be, historical and practical) interpretation it attempts for its results, to take account of relations of dependence between factors of social structure and those of individual psychology and to focus attention on these relations1. A further sense in which it is relevant is as a basis for secondary analysis in sociological investigations into the institutional and socio-structural conditions governing higher education and research. In the literature it is possible to discern trends towards the treatment of a complex of several subjective factors at a time and the relation these 1. In this Chapter, therefore, studies on these 'subjective' factors concern us only insofar as these play mediating rôles in terms of social structure. They are treated in greater detail from the point of view of processes of socio-psychological development in Chapter III, especially III, 2 and 3. 87

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have to motivation for study or for the choice of particular subjects and professions as well as for achievement at college or university as the central dependent variables. Studies in which such relatively closely defined groups of subjective factors are singled out and given predominance in the treatment fall into the following areas: 3.3.1.3.1 Language, intelligence and aptitude for particular kinds of study on the one hand and factors of social structure (social background, family structure) on the other: Goldschmid (3363), Sewell and Shah (7148), Furneaux (7189, 7190), Vernon (3937), Sanders (3952), Bourdieu et al. (4000-2, 1615-6), Hermes (12944), Gloy and Haeberlin (14579). 3.3.1.3.2 Drive dynamics and motivation structure: Only a few studies have attempted comparisons on an international or intercultural basis (in terms of 'national character' and stage of socio-economic development), cf. McClelland et al. (3015), Crockett (3253), D. L. Cole (3006, 3240). The rest of the literature bearing on these psycho-dynamic factors draws the population for its study almost exclusively from the USA: Bios (8030), Lysgaard (3512), Schneider and Lysgaard (3705), Beilin (3172), Rosen (3686), Applezweig et al. (3137), Rosenberg et al. (3687), Turner (3032), Straus (3764), Gottlieb (3371), Kosa et al. (3480), Burnstein (3213), Hodges (3442), Cole, Jacobs et al. (3240), Philips (8153), Crockett (3253, 3254), Atkinson and O'Connor (3155), Getzels and Jackson (14208), Lauterbach and Vielhaber (14293-4). 3.3.1.3.3 Stereotypes of sex and family structure, as factors specific to particular strata and acting as determinants of the interests served by university or college study and of success achieved there, have been investigated by Cole (3006, a comparative study on an international basis), by Stivers (3761), D. Brown (3207), Kammeyer (3465), Rossi (3689 and 14380-1), Stedman (3746), Kirkpatrick et al. (3477), E. Cohen (3237), Gregory (8085), Simon et al. (7151), Simmons (3727), H. S. Astin et al. (7036 and 12446,14069,14071), Westoff and Potvin (3853), Dixon (12454), Harding et al. (14229), Ibsen (14252) in the USA; by Anger (3956), Gerstein (3966), Vetter (3989), Bachmayer (1543), Spiegel and Gunzert (3986) in West Germany, and by Musgrove (3907), Dall (14519) and J. Ward (3938) in England, as well as by Baber (4046) and Tamura (4096) in Japan; cf. also in the subject index the headings 1.4.3.1, 1.4.3.2, 3.3.1, 3.3.2. 88

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3.3.1.3.4 Religiousfaith as a subjective motivational factor in the question of access to and success in the academic system forms the subject of studies by Warner (7163-5), Greeley (3379, 3380), Stark (3741), Donovan (3289), Vaughan, Sjoberg and Smith (3816), Hassenger and Weiss (3414), Riesman and Jencks (1436), Hershenson (14238), Meehan (14323) for the USA. For Great Britain the studies by Zweig (1215), Sommerkorn (3928), Rees (3918), Marris (3902) contain a few leads, and for West Germany Buggle (3960). The German systems of university statistics are notable for their comprehensiveness on data about the religious faith of students (cf. subject index under 1.4.3.3). 3.3.1.3.5 Aspiration, ambition and satisfaction (in the sense of manifest motivation) oriented towards social class, status structures and reference groups have been extensively investigated in the USA in relation to university and college study and to the academic professions: Sewell et al. (7147), Eckert and Stecklein (3301), Stewart (3760), Wilson (3859), W. W. Cook (3242), Donovan (7156), Cohen (7057), Herriott and Cowhing (3435), Krauss (3481), Caro (3224), Caro et al. (3221-24), Johnstone and Rivera (3463), Social Dynamics Research Institute (1454), Cohen and Guthrie (3236), Bagley (14076), Bennett and Gist (14090), Bohrnstedt (14095), French et al. (14198), Krause (14283), Littig (14309), Rehberg (14372), Spaeth (14419). For other industrial countries, however, we can refer to only a few studies which analyse this dimension intensively: Shibano et al. (4082) for Japan; Bourdieu and Passeron (4000), Saint-Martin et al. (4018) for France; Hoggart (1508 - a qualitative analysis in terms of social anthropology), Abrams (14500), and Musgrove (3907) for England; Braun and Leitner (14566) for West Germany; Arkhangelskij and Petrov (14710), Rutkevich et al. (14717-9), Shubkin (14721) for the USSR; Jozefowicz (4109) and Nowakowska (4129 and 14734) for Poland; and Taubert (4102) Rühle (1106), and Hielscher et al. (14725) for East Germany. 3.3.1.3.6 Stereotypes or images ofparticular subjects, types of university or college, and professions, as they figure in the consciousness of students and school pupils, form the central question in the investigations of Strong (3771), Rosenberg et al. (3687), J. L. Miller (3558), Allen (3130), J. A. Davis (3277), More and Kohn, Jr. (3565), O'Dowd and Beardslee (3591), 89

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Underbill (3814), Stephens, Stevens and Arnold (3750), Coutts (14138), and Tripp et al. (14455) in the USA; Oxford University Department of Education and Hutchings (3912, 3913), W. G. Brown (3882), Singh (14541) in Britain; Saint-Martin et al. (4018) in France; INSTITUT FÜR SOZIALFORSCHUNG ('Universität und Gesellschaft I', 3970), Jenne et al. (3973), Freudenreich (3964) in West Germany; Albinski (7241) and Hettema (4027) in the Netherlands; Shell Italiana (14698) in Italy; Elovainio (7256) in Finland; Bernholz (7300) in East Germany; and Shibano (4082) and Morsbach (14706) in Japan; Rutkevich et al. (14717-9) in the Soviet Union, as well as in that of McDonagh et al. (3016, a comparison between the USA and Sweden). 3.3.1.3.7 In European countries, by contrast, in place of status aspirations and the stereotypes associated with professions, attention has more frequently been given to images of society, to class-consciousness and to socio-ethical, religious and racial attitudes and social habit of mind as dominating factors in the question of access and success, particularly with relation to the extra-functional goals of study that tend to be latent or informal in character: Cf. Bourdieu (4000), Chamboredon (14642), Wissous and Sadret (14667) in France, Abbot (3873) and Hoggart (1508) in England, Institut für Sozialforschung ('Universität und Gesellschaft I,' 3970), Korn (7218), Yonderach (14625), Braun and Leitner (14566), MayntzTrier and Nunner-Winkler (14599) in West Germany, Nowakowska (4129) in Poland, but also Blumberg (3189), M. Cohen (3238), Maliver (3516), Lander, Ploski and Brown (3212) in the USA, here predominantly concerned with images of society and social habits of mind in connection with racial background. 3.3.1.4 Since the beginning of the 60's a growing number of studies have endeavoured to plan their research strategy so as to take account of various subjective and objective factors in their total effectiveness, including on each other. These research projects are intended to afford the possibility of differentiated predictions, broken down in accordance with specific stratificational structures, about access to university or college, vertical mobility, reasons for leaving, change of subject, movement from one institution to another, duration of study and success at university or college. The scope of such enquiries extends to the academic professions as well as over the system of higher education itself. In contrast again with 90

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the majority of studies (which have attempted to take account, descriptively or analytically, of only a few factors at a time, taken in isolation), many of the inquiries we are now considering have been undertaken in connection with supra-regional institutes of social research or with national associations or government agencies concerned with educational and university policy. These have made a start on building up, in a systematic way, whole data banks (cf. 10324, 10334, 10374, 10377, 10372, 10402) for the purpose of research, assessment, and development in education, universities and colleges and the professions. The relevant bodies in the USA are, chiefly, the American Council on Education and its Office of Research (cf. 325; 660; 687; Astin et al., 329,330-2); the College Entrance Examination Board, New York, (cf. 344, 359, 664) which works in close cooperation with the Bureau of Applied Social Research, Columbia University, New York (cf. 88); the National Merit Scholarship Corporation, Evanston, 111.; the American College Testing Program, Iowa City (cf. 661, 10306); Educational Testing Service, Inc., Princeton, N. J. (10597); the Project Talent Data Bank (cf. Schoenfeldt, 383); the Michigan Survey Research Center; the National Opinion Research Center (NORC), Chicago; the Center For Research and Development in Higher Education, Berkeley; the Educational Resources Information Center (ERIC) of the U. S. Office of Education (cf. 689 and 10121); the National Assessment Project (10323), and the manpower bureaus of the U. S. armed forces (cf. 10348,10581). The establishment of such large-scale information networks and data-banks controlled by partly semi-public or military agencies with insufficient democratic control has raised the concern of university student and teacher groups who suspect a utilization - at least as a longterm possibility - of some of these data by 'law enforcement agencies' (cf. 10361, 10404, 10613: Federal Bureau of Investigation, State Police, Legislative Investigation Committees etc.): cf. 10327,10309,10317,10330, 10349, 10361, 10373, 10374, 10375, 10376, 10377, 10378, 10379, 10380, 10384, 10386, 10388, 10394, 10403. In Western European countries, too, there now exist the objective possibilities and certain programmes for complex data analyses of the same kind, at any rate in those countries that have begun to modernize and diversify their systems of university and college statistics ( - in part under the mediating influence of impulses emanating from the OECD Secretariat, cf. Freytag, 294; Kullmer 296, 413): cf. 10409 for Britain; 10418, 10839, 10840 for West Germany. The same applies in certain 91

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socialist countries with their central data banks on students, schools and examinations. (Cf. Krüger, 18155). With the exception of Sweden and, to some extent, Britain, however, it is almost everywhere the case that psychometric research and test development has not yet been developed in sufficient breadth or with an adequate diversification in content or with the necessary degree of socio-cultural adaptation for large-scale research projects to be mounted on a wide base. At any rate it has not yet been possible to attempt comprehensive research programmes comparable with those of Project Talent, the ACE Office of Research or the Educational Testing Service in the USA, into the sociographically and also psychometrically expressible determinants of processes (such as access, interruption, choices and changes of subject and profession, movement, success, duration etc.) pertaining to the ecology of university and college study. Projects that follow these processes in a longitudinal section through several, not to say the majority of the phases of people's educational and subsequent careers are therefore still almost completely restricted to the USA and Canada: Stice, Mollenkopf and Torgerson (7155), Knapp et al. (7101), Meade (3544), Harmon et al. (7083), David, Brazer, Morgan and Cohen (7064), Ikenberry (3455), Berdie and Hood (3179), Waller (7158), Campbell and Eckermann (7054), Rossi, Coleman, Cutright and Wallace (7139), Flanagan (3330 and 18062) and Schoenfeldt (383), Beezer and Hjelm (7045), Nichols (3584), Panos and Astin (7121), Strong (14436), Tillery (18093^1), Trent and Medsker (18095); the so-called Atkinson Study and Carnegie Study of the Ontario Institute for the Study of Education, in Canada (cf. Fleming, 7177, and 18101; Ontario Institute, 7179; Pipher, 7181); in addition, however, cf. Saint-Martin et al. (4018), Kaiser and Gaudemar (14656) for France; Oxford University, Dept. of Education (3912), McPherson (18109) and Kelsall (18107), and Abbot (3873) for Britain; Sanders (3952) and Schonell et al. (3963) for Australia; Rogoff-Ramsoy (14694) for Norway. An attempt to classify these studies (and others of narrower scope) according to ecological and social structural factors might be made in accordance with the following focal issues: 1. Attitudes relating to the costs of studying: Lansing, Lorimer and Moriguchi (7108), Jaffe and Adams (7093), Campbell and Eckermann (7054), Brazer and David (5084), Morgan, David, Cohen and Brazer (7061), Tillery (14454) in the USA; Oehler (7220) in West Germany; 2. Relations between students and their parents as affecting choice of 92

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course and success in study: Jaffe and Adams (7093), Roper (7134), Lansing, Lorimer and Moriguchi (7108), Brazer and David (5084), Brittain (14101), Getzels and Jackson (14208), Holland (14246), Meier (14325), Nachmann (14341), Sewell and Shah (14393), Simpson (14407) in the USA; Oehler (7220) in West Germany; Shibano (4082) in Japan; 3. The decision to study and the choice of course and place: Atkinson and O'Connor (3155), Stivers (3761), Holland (14245), J. A. Davis (327481) in the USA; Haag (14673) and Luscher (14686-7) in Switzerland; 4. Change of course and university or college: Groat (7079), Ferriss (7075), Knoell and Medsker (7103), R. D. Brown (14106) and Hills (14240) in the USA; Reichenbecher (3981) in West Germany; 5. The decision to pursue graduate study and success in it: Grigg (7171), Ferriss (7075), Gropper and Fitzpatrick (7080) in the USA; Oxford University Department of Education (3912) in Great Britain; 6. Dropping-out and the interruption of university and college study, including the (for a long time neglected) factor of the student who, having interrupted his course, later (sometimes very much later) returns to university or college (cf. esp. Iman, Altermeyer, 7092): Cowhig (7059), Pervin et al. (8151, 3626, 8150, 7127), Iffert (7091), Knoell (151), Powell (7129), Cole (12432), Bayer (14085), Nasatir (14342-3) in the USA; Schonell and Meddleton (3953) in Australia; Butcher (14511) in Great Britain; Gerstein (3966) in West Germany; (cf. in addition the international survey of the literature by Miller, 36); 7. Choice of profession and the transition from studying to working: Smigel (3731), Katz et al. (14274) in the USA; and Brown (3882) in Great Britain; 8. Promotion, career decisions andfurther training in academic professions'. Stone (3763), Becker and Strauss (3171), Wiegand (3856), Strong (14436), Underhill (14459) in the USA. The studies mentioned above represent projects combining a sociographic and ecological analysis of data with an investigation of psychological characteristics and manifest attitudes. Readers looking for a guide to further studies of this kind, as well as to studies either emphasizing only the sociographic and ecological aspects or combining ecological description with the study simply of motivations and psychological dispositions, may be referred to the following areas in the subject index: 3.1 - social determinants of particular achievement functions and dysfunctions; 93

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4.7

- economic, political, and psycho-social determinants, cost-benefit ratios, and the calculation of individual investment and consumption in higher education; 1.4.3 - mediating factors determining access to higher education and academic professions.

3.3.2 The system of production, distribution and consumption The third major area among the factors of social structure - alongside those represented by relations between the generations, class structure and status allocation, and social domination - is the system of production, distribution and consumption. In the context of our survey this is narrowed down to a consideration of the socio-structural position and function of the academic and kindred professions, with particular emphasis being placed on the relation of these to the goals andfunctions of study and research. The majority of the studies in the areas represented by inter-generational relations and status allocation were restricted in terms of their epistemological scope to sociography, demography, social psychology and sociology, that is to say, to sociological research of an empirical and analytical nature. By contrast, in the case of investigations into the academic professions and the system of higher education, the epistemological perspective is more frequently widened to include the perspectives of cultural tradition, of projective cultural statements and of the prognostication (with the relevant theory) of objective tendencies and possibilities. The following is a summary of the studies that bear on the total social position of systems of academic professions and the training that leads to these. The focal concerns of these studies are given in the form of headings. 3.3.2.1 The general goals and socio-structural functions of higher education in highly developed capitalist and socialist countries have been investigated in the following interpretative studies: a) in the tradition of Max Weber's sociology of education and the professions by Plessner (in: 3979), Baumgarten (1543), Hughes (1211824), b) from the functionalist perspective of historical sociology by Ben-David (1013), Trow (1471), Parsons (3613, 12202), Sieber (12723), Matejko (13377), Schein et al. (16251), 94

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c) from the point of view of the critical theoretical school of sociology by Adorno (1541), Horkheimer (1576), Habermas (1569, 1570, 12100, 1059), Gembardt (3971), Marcuse (1084), Jarisch (1578), Bahrdt (1547), Nitsch et al. (1589), Birnbaum (1020), Anderson (12801), Blackburn (12804), d) from the point of view of liberal cultural criticism by Jaspers (1579), Barzun (1227), Leavis (1511), Mumford (12192), Hutchins (1333-5), Davies (12818), Holton (ed. 1327), R. Brown (12407), e) in the Marxist politico-economic analyses of O'Connor (16233), Baran and Sweezy (16129), Gorz (1054) and some of the writers participating in the symposium edited by Heidler (1572) on goals of higher education under capitalism and contributions such as Cilkin and Jonkin (1715), Korneev (1738), Girnus (1764), Neuner (1771), Katushev (13330), Kochinian (13337), Koroljow (13338) and Kowlowski (1788) on the goals of higher education in the process of building a socialist system, f) to all of which may be added certain hermeneutic or descriptive studies without theoretical conceptualizations, e.g. by Duster and Lehmann (1040), Kobayashi (1073), Guillebeau (4010). 3.3.2.2 The socio-structural and historical position of the so-called technological intelligentsia1 (or, as the case may be, of the modern, broadened academic middle classes) and the increasing professionalization of areas of work in the capitalist industrial societies have been treated in sociohistorical and sociological studies or in theoretical discussions by Ashby (1497), Bahrdt (1544,1546), Parsons (12201,12202,1416), Merton (1090), Hughes (12118-20), Ben-David (1010, 1008), Wilensky (3857, 12259), Gilb (1303), Vollmer and Mills (3821), C. W. Mills (1391), Hall (3400), Goldner and Ritti (3361), Ritti (3668), Slocum (3226), Armytage (12011), Bucher and Strauss (1258), Bowers, Miller, Brown and Bryant (3192), Greenwood (1312), Goode (1304), Janowitz (3659), Kuiper (7266), Strauss (3766), Galbraith (16179), Moore (37), W. R. Scott (1446), Prandy (3917), A. S. Rossi (3689), Eisner (12072), Eschenbach (12073), Etzioni (ed. - 12075), Goode (12508), Goode et al. (12091), Herkommer (12109), Perrucci and Gerstl (eds. - 12204), Wardwell (12771), Halmos (12825), Hesse (1294), Boding and Touchard (13108), Fletcher (14004), Kairat 1. This term is increasingly used in a broader sense, comprising also the professions based on social technologies (Economics, Educational and Political Sciences, Psychology, Psychiatry).

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(14011), Faunce and Clelland (14179), Scott (14391-2), Benguigi (14637) Willener et al. (14666) and Hortleder (12958). In recent years, critical Marxist studies on the intellectual and professional strata in advanced capitalism have been furthered by the growing involvement of students and young intellectual workers in anti-capitalist movements, in sharp contrast to earlier decades. Prominent contributions, reflecting as well as criticizing the relative lack of sophisticated Marxist class analyses regarding the intellectual and semi-intellectual strata are Mandel (12168, 12165), Jacobs and Petras (12127), Jung (12128), Kemp (12130), Nadel (12194), Rapoport (12212, 12213), Steiner (14616, 16078), Gorz (1054, 13150, 13153), Belleville (14636), Mallet (14658), 'Intelligenz unter Monopolherrschaft' (16032), Abendroth (12001), Gundel et al. (12931). From various non-Stalinist Marxist positions some authors have begun to analyse the changing roles of the intellectual strata in the industrial societies in transition to a socialist politico-economic system: e.g. Mallet (12162), Lobl and Grunwald (13400), Hillmann (12949), Borin and Plogen (13389), Krahl (13398), Nelson (13401-02), Philosophisches Institut der CSAW (13403), Richta (13405), Svitak (13408), Altvater and Schmid (16002), Altvater and Neusiiss (12009), Strotmann (ed. 10222). We shall have occasion later, in discussing societal conflicts and political practice, in Chapter III, 5, to examine more closely the significance of this work, some of which is of very demanding theoretical character. The following studies may serve as an introduction to the specific historical situation of the academic and technological intelligentsia in individual countries: For the USA during the period after World War II and at the present time we may cite Riesman and Jencks (1343), Lipset (1369), Amory (1218), Hacker (7081), Hodges (3442), Baltzell (1224), C. W. Mills (1399), Lindveit (1368), Klaw (12581) and Wilensky (12781,12782); of particular relevance for the problem of anti-intellectualism in American society are Hofstadter (12542), Lazarsfeld et al. (3512), Sanford (1443), Seeman (3710) and Simmons (3726). Social movements of professionals and intellectuals in Canada have been studied by Badgley and Wolfe (12795), Cardinal (12797) and Favreau (12798). For the position of the academic and technological intelligentsia in Japanese society after World War II we may cite Aonuma (1663), Aso (1665), Hayashi (4053), Vogel (8279), Mannari (1683), Noda (4076), Passin (1690), Tuge (13308), Okada (ed. 96

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(1689), Riesman and Thompson (13288), Piatt (1692), Shimbori (4083, 4086); points that occupy the forefront of attention are the hierarchical differentiation of the new middle classes and the nepotism structure that are found in the context of a specifically Japanese 'industrial feudalism'. For the Western European countries, too, several recent studies can be cited which deal with tendencies towards professionalization and with the position of the new technological intelligentsia: cf. Belleville (14636), Bahrdt (1547), Guillebeau (4010), Rudd (3919), Prandy (3917), Willener et al. (14666), Hesse (12935), Halmos (12825), Benguigi (14637), Hortleder (12958). In Poland, the historical and socio-structural position of the academic and technological intelligentsia, and its relation to the working-class, has become a major focus of concern for sociological research, whether historical or empirical and analytical: cf. Chalasinski (1782), Grzelak, Roszkowska and Kluynski (4108), Kowalewska (4120), Kowalewski (4121, 1787), Matejko (455, 4125), Polska Akademia Nauk (4131), Zarnowski (1802), Baumann (1778), Zajaczkowski (1800), Szczepanski (1794, 1795, 1793, 13383), Sarapy (1792), Nowakowska (4127, 4128), Leska (7306), Glowacki (13371), Borucki and Dziecielska (14730). 3.3.2.3 Research contributions dealing with the socio-structural position and development of individual areas of training and professional work calling for high qualifications could not, in the framework of this survey of research literature, be covered in the same breadth as has been possible with the literature dealing with social structures and the intellectual professions in general. If studies on particular professions have been included, a criterion has often been the paradigmatic value of the investigations in question for some relatively large area of the system of academic and technological professions. (In any case the Trend Report by BenDavid, 8, 'Academic professions in the class system of present-day societies'has already made much of this literature readily accessible.) Certain parts of our subject index will afford a survey of the treatment of problems and aspects of particular professions. In 1.3.7 we have concentrated those studies that treat predominantly the historical and socio-structural position of individual professions and of the structures associated with training for them. In 1.6.4.2 the focus of attention consists of the careerstructures and the subjective processes of development in connection with particular professions, in 4.8 and in 4.5.3 are treated aspects related to the 97

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economics of professionalized and professional training, and in 4.6 the issues in question are the labor economic aspects of the university teaching profession. A quantitative comparison of the number of studies dealing with each of the professional areas reveals the striking fact that the greatest part of the literature still refers to the 'classical' academic professions of law and medicine. In the order of the quantitative share they claim there follow scientists, upper and middle management, teachers, engineers, officials, various modern semi-professionalized areas of work (such as social work, nursing and other medical service professions, qualified technicians), university teachers, psychologists and finally military personnel and theologians. Considered from the point of view of the epistemological perspective adopted, the predominant type of study everywhere is the empirical analytical and theoretical study from the fields of sociology or social psychology. Then follow social history and historical sociology, as well as investigations of a social philosophical and ideological character and enquiries into the economics of work and education. Finally there are just a very few papers prognosticating social trends or Utopian and programmatic in character; an exception to this must, however, be made in the case of science and technology, for in these fields prognosticating or programmatic studies are beginning to appear on an increasing scale. 3.3.2.4 If a division is made in terms of the individual dimensions or elements of the interaction between social function and internal social structure of the academic professions and of the preparatory or training stages leading to them, then the literature will fall into the following groups: 3.3.2.4.1 Studies may be made in terms of structural change, conditioned by the needs of science and technology, and affecting matters pertaining to the content and composition as well as to the temporal and institutional social organization of highly qualified professions and of the training that goes with them (e.g. duration or obsolescence of specialist functions). In the Soviet Union and in other socialist countries, in particular, studies in this field have been undertaken with reference to the economics of work, in part accompanied by reflections of a political and strategic or of a sociological character: Aristow (5215), Belkin (5216), Christiakow (5217), 98

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Komarow (5230), Maslova (5234), Shemenew (1753), Janossy (16037), Braun and Fitzner (5245), Armelin and Thiel (14722), Braunreuther (14723-4), Schellenberger (14728), Lange (16412), Naumann and Steinberger (16418), Harsany (5264). For the USA, too, a number of detailed analyses bearing on particular professional and educational sectors can be mentioned: Bowers et al. (3192), Daniels (3259), Lee (1364), Boulgarides and San Filippo (1250), Loomba (3508), Warner and Norgren (5164), McNichols and Burack (5132), Hiestand et al. (7088), Wolf and Ward (eds.- 1488), Hoos (10611), Zelikoff (16292), Seifert (16257), Mooney (16220), Ferdinand (16175), Evan (16174), Crossman et al. (16160), Bright (16141), Siegmann and Karsh (14399), Jaffer and Froomkin (16036), Rosenberg (16072), 'Automation and the middle manager' (16128), including historical longitudinal analyses such as the studies by Calhoun (1263) and Calvert (1265). Investigations have begun also in Japan (cf. Tanaka, 1703), West Germany (Kraft, 14595; 'Automation und Angestellte' (16325), France (Guillebeau, 4010; 'Enquête sur la formation ...', 4006, Lajoinie and Vangrevelinghe, 4013) and Canada (Blaug, Peston, and Ziderman - 3877; McReynolds et al., 16297). Certain multidisciplinary research programs currently in progress in West Germany and Great Britain, and dealing with determinants of the 'absorption' of highly qualified workers in particular sectors of industry and types of firm, also take account of technological structural changes : Armbruster et al. (3957 and 16323); Institut für sozialwissenschaftliche Forschung (3972); Blaug et al. (3877). International comparative analyses or discussions can be found in the works of Ben-David and Collins (1013), Phillips (5046), Nau (5037), Houssiaux (16033). 3.3.2.4.2 The last named multidisciplinary (economic and sociological) research projects are also intended to contribute to our understanding of the socio-cultural and political bounds or limiting conditions ('limitationalities') operating when high qualifications of a particular type are replaced by others or by capital in the form of mechanization or automation the process known to economists of labour and education as 'substitution among, or of, elements belonging to the factor "highly qualified work" '. Approaches to such analyses of the extra-economic limitations applying to such processes of substitution can be found in Gilb (1303), Underhill (3814), Daniels (3259), Vollmer and McAulitte (16285), Ben-David (4208), and also, with special reference to those limitations specific to the factor 99

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of sex, in Klein (7197), A. Rossi (3688), Peterson (7128). 3.3.2.4.3 Incentives and the structures of institutionalized systems for rating and enhancing achievement, productivity and creativity both in academic professions and in courses of training leading to them, are considered (predominantly in connection with particular professions) by the following writers, who consider this complex as a total framework and attempt to conceptualize it and to analyse it empirically: Huntington (146), Dalton (1283), Ladinsky (7105), More and Kohn (3565), Seeman and Evans (3711), Kurtz and Flaming (3489), Glazer (3355), Coser (1036), Collins (12048), Bensman (12390), Allison (ed. 16001) in the USA; Stewart et al. (3929), Gerstl and Hutton (3891), Reader (1520), Box et al. (14508), McCormick (14534), Shone and Williams (14540), Trist (14545) in Great Britain-, Wiegert (241), Dreitzel (12065), Offe (12200), Deneke (18116) in West Germany; Girard (4008) in France; Matejko (4124) in Poland; Smirnow (6112), Morozow (1745), Karpov (16393), Katushev (1336) in the Soviet Union; Hörnig (13360), Heinze (441), Löffler et al. (16415) in East Germany; and Ben-David (1007) as well as Moore and Rosenblum (37) in international comparison. In the following studies, particular attention is given to individual incentives and structural principles in the achievement system of the academic professions: 3.3.2.4.3.1 Ideologies and norms in connection with institutionalized roles: Greenwood (1312), Gouldner (3377), Hall (14226-7), Goldberg (3357), Strauss et al. (144433) in the USA; Busch (1553), Institut für Sozialforschung (3970) in West Germany; Field (1719) and Hanhardt and Welsh (7007) for the socialist transition systems. 3.3.2.4.3.2 Psycho-dynamic and motivational dispositions to achievement in highly qualified professions and to competitive behaviour in them: Burnstein (3213), Flanagan et al. (3330), Lortie (14310), Mercer and Pearson (3549), MacKinnon (3515), Taylor (ed. 207), Stein and Heinze (53), Razik (188) in the USA; Hayashi (4053) in Japan; Dreitzel (1562), Orlik et al. (14600) in West Germany; Bedard (242, 244) for France and Italy; Engelhardt (14711) for the Soviet Union. 3.3.2.4.3.3 Systems of material incentives and the market structures of the academic professions: in the USA Friedman and Kuznetz (5106), Blank 100

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and Stigler (5077), Alchian (5073), Ruml and Tickton (5154), Kessel (5123), Somers and Somers (16265), National Science Foundation (7111) Hunt (5119), Ginzberg et al. (5108), Harbison and Mangum (136), Loomba (3508), Warner and Norgren (5164), McNichols and Burack (5132), Gould (3375), Garbarino (3345); in Great Britain Alexander (16300), Fogarty (7187); in Australia Allsop (5185); in Canada Blaug et al. (3877); in West Germany 'Einkommen und Situation von Fiihrungskraften' (5190), Brinkman (5187), Hartmann (7212), Liefmann-Keil (5191); for the socialist countries Dodge et al. (5224), Hahn (5248), 'Kadry naukowe' (5225), Korol (5232), Filippov (14713), Karpov (16393), Manak (18157); and on the international level Scitovsky (5054), International Federation of University Women (497), Gibbons (5019), and Phillips (501). 3.3.2.4.3.4 Relative subjective satisfaction and self-realization in work situations demanding high qualifications have only rarely been analysed empirically and analytically as incentives to achievement (but cf. e.g. G. A. Miller, 3557). We have not considered superficial opinion questionnaires asking about manifest satisfaction, as these, looked at from the point of view of the social sciences, take no account at all of the possibility that suppression or ideologization may have been at work, and so will not yield what is needed both for theory formation and analysis. 3.3.2.4.3.5 On the other hand, sociological analysis, both theoretical and empirical, is paying increasing attention to so-called 'extrafunctionaV aspects or elements of professional roles and status positions in the academic sphere as well (e.g. higher social prestige, consciousness of upward mobility, the appearance of greater autonomy in the exercise of one's profession), considered traditionally present or as newly induced structural principles and as socially institutionalized incentives to achievement in academic professions and in training for them. Cf. especially Seeman and Evans (3711), G. A. Miller (3557), Mercer and Pearson (3549), Shepherd and Brown (3722), Goldner and Ritti (3361), McDonagh et al. (3016), Wardwell and Wood (14408), Zander et al. (14498) in the USA; Pike (1537) in Australia; Girard (4008) in France; Matejko (4125) in Poland; Wiegert (241), Offe (12200), Dreitzel (12065), Weyrauch (14627) in West Germany; Field (14712) for the Soviet Union. 101

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3.3.2.4.3.6 The social structural dimensions of the achievement systems that we have been discussing so far in relation to the academic professions and their training have been characterized by a high involvement of 'subjective' factors (mental disposition, ideological attitude, consciousness of social position and identity and the like). By contrast, the traditional 'objective' mechanisms of social organization considered as structural principles of the system of achievement and status in the academic world, are increasingly moving into the background of attention in the research literature. Such mechanisms include institutionalized social conventions, legal regulations, observances, rituals of ascription and legitimation, and organized interventions on the part of church or state authorities, entrepreneurial groups, professional bodies or other groups exercising power and influence. It is characteristic that studies bearing on these aspects tend to belong to the field of historical sociology (cf. Calhoun, 1264; Gilb, 1303) or to relate to industrial societies with appropriate elements of status allocation (often designated as 'industrial feudalist' in character), as applies especially to Japan (cf. Aso, 1665; Azumi, 1666; Shimbori (4083, 7014) and in a less marked degree to West Germany (cf. Dahrendorf, 1556-7 and 12904-5, especially with regard to lawyers; Plessner, ed. 3979, with regard to university teachers; Freeh et al. on student teacher seminars 14572; Pohler, 14602, on merit scholarship foundations; Wiesenthal, 14628, on the academic degree system); Great Britain (Weinberg, 1534; Ziman, 558) and France (Rapport Boulloche, 568; Mandrin, 13168). 3.3.2.5 The relationship between the academic professional and training systems and other social and occupational groups is closely bound up with the internal structural principles of the academic professions themselves, but it is possible to separate out a certain number of studies that investigate these structural connections primarily from this new perspective. 3.3.2.5.1 The socio-economic and political relationships of academic professions, considered as a social stratum, to other social classes and occupational strata are treated by Mills (1399), Walsh and Elling (3835) Cotgrove (1503), Millerson (12181), Grosser et al. (12515), Haug and Sussman (12524), Bon and Burnier (13109), Clark (14513), Vonderach (14623-4), Somers and Somers (16265), Davis (ed. 1285 - using the instance of a new academic profession, the highly qualified nurse); in addition, mention should be made of MacLeod (7198), and Rothblatt (1525), from the sphere 102

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of historical sociology, as examples of structural analyses investigating the function of academic élites and professional groups in the class relationships of a capitalist industrial society. The same context has been analysed in critical Marxist discussions on the role of these strata in the class struggles of advanced capitalism (cf. Mandel, 12165; Krahl, 12135; Schmierer, 13050; Steiner, 14616; Jacobs and Petras, 12127; Jung, 12128). 3.3.2.5.2 The following authors have investigated the structural position of academic professional groups (particularly scientists, engineers, lawyers, academically trained officials and managers) in particular larger professional and bureaucratic organizations and institutions belonging to a society's apparatus of production and distribution: in the USA Shepherd and Brown (3722), Summers (3777), Krohn (3482-3484), Pelz et al. (3620), G. A. Miller (3557), Smigel (3731), Stone (3763), Davis (ed. 1285), Glaser (3355), Perrucci (3621), Warner (7163), Mosher (1403), Scott (1446), Kuhn (3487), Millerson (12181); in Great Britain Box and Cotgrove (3880), Prandy (3917); in Holland Achterbergh et al. (1645); for the Soviet Union University of the Urals (4097), Azrael (1711), and Field (1718, 13325, 14712). 3.3.2.5.3 The representation of the economic interests of academically trained professionals, university teachers and students by professional bodies and by trades union type organizations vis-à-vis employers, or the state, and in relation to other strata of employees has been investigated by Riegel (5151), Sturmthal (12240), Blackburn and Prandy (12805), Eckstein (12819), Perkin (12845), Shils and Whittier (14398), Blum (ed. 17001), Fuhrig (6081), Ingerman (6040), Pinner (3019, 1099), Mallet (14658), Belleville (14636), Gorz (1054), Maleville (1630), Kravetz (1629), Griset (1627), Ben-David (4208), Benguigi and Monjardet (13103), Chiffre (13124), Cordier (13132), Lamizet (13161), Leenhardt (13163), Maurice (13171), Brown and Trow (14104), Prandy (3917), G. Strauss (6065), Fournière and Borella (1625), Lefèvre, (in: 1549), Liefmann-Keil (5191), Gilb (1303), Lammers (13230), Simpson and Levy (5159) and (17007). 3.3.2.5.4 The relationship between particular academic and semi-academic professions (competition, demarcation of spheres of competence, relative status position etc.) has been investigated particularly in the sphere of medicine and the new ancillary and research professions that relate to the 103

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practice of medicine (cf. Kendall, 3473; Wolf and Ward, 1488; Rushing, 3691; Caunt 12809; Davis, ed. 1285, Kaupen-Haas (ed. 12967) and also in respect of the relationship obtaining among scientists (or engineers) in the three organizational spheres into which research and development fall, namely the university, the state, and the private sector of the economy (cf. e.g. Krohn, 3482-4; Vollmer et al, 3817-20 and for further literature cf. the subject index under 1.5.1.5). 3.3.2.6 Within the general problem field of academic systems in relation to the system of production and distribution, a further central issue is that posed by the socio-structural and economic effects of long-term structural changes and progress in science and technology on the systems of academic professions and of training for them. In contrast to the research themes mentioned so far, which were characterized by a predominance of empirical analytical research or analytical theoretical discussions supplemented by both historical and economic studies, it is here a question on the one hand of prognosticative studies which, taking into consideration certain specific assumptions concerning the structural necessities, interinvolvements and consistencies with various models of this nature, would be capable of projecting present tendencies and capacities in science and technology into the future utilizing varying methods. On the other hand, it is a question of philosophical, societally theoretical and anthropological reflections which are attempting to achieve an interpretation of both the subjective and objective potentialities which such developmental trends will open up in the future, or with respect to the present situation, or of ideological and utopistic models, norms and doctrines designed to maintain control over these future developments. All three epistemological elements are to be found for the most part in each and every one of the studies, such that, in the following, differentiation is made more between the various specific subject matter of prognosis or reflective and normative thought. 3.3.2.6.1 An introduction into the literature on the driving forces and structural mechanisms of developmental trends in science and technology as well as into the trends in subject-matter development in the field of scientific-technological progress is provided by Jantsch (10032) entitled, 'Technological forecasting in perspective'. Jantsch differentiates three different trends in the literature, the first of these trends becoming increasingly predominant: 104

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1. normative, technological-scientific thinking and forecasting as a result of growing concentration and centralization of capital and decisionmaking structures; 2. 'spontaneistic' and explorative thinking and forecasting which still assumes that a quasi-natural and separated scientific autonomy exists, (cf. e.g. Th. S. Kuhn, 'The structure of scientific revolutions.' Boston, 1956); 3. an integrative trend of thinking, whose goal is a complex re-involvement of numerous elements and sectors of science and technology on the one hand and of society on the other (cf. for this position Weinberg, in: Shils, ed. 12225; the analyses carried out by the Committee on Science and Public Policy - COSUP - of the American National Academy of Sciences, as well as by the British Advisory Council on Science Policy). As examples of additional general studies or surveys bearing on the research field which Jantsch has treated taxonomically and methodologically, we may mention: B. L. R. Smith (10059), M. Pyke (1103), Dubos (12068), Don K. Price (12680), De Solla Price (12209), Eli Ginzberg (5108), Bright (ed. 10319), Weichenhain (10174), H. J. Schulz (10172). Jantsch (10032), and Kohler et al. (10037) have listed and described the major institutes of research and prognostication concerned with the scientific and technological future (for periodicals devoted to this field cf. 10784, 10830). 3.3.2.6.2 Nothing comparable with Jantsch's survey has appeared in respect of the socio-cultural and economic effects of progress and structural change in science and technology. We can at this stage refer only to the following essays and discussions, in some of which, moreover, the socioprognostic perspective we are concerned with forms only a part of a study that is predominantly historical and descriptive in character or devoted to structural analysis. We are making no claim to offer an evaluation of the significance or representative character of these studies: for an international collection of essays cf. Shils (ed. 12225); in the USA cf. Michael (1396), B. R. Clark (1273), Bell (12023,12387), Bell etal. (12387), Perucci and Pilisuk (eds. 12203), Calder (10194), Evans and Arnstein (eds. 12479), Dunlop (ed. 16169), Kerr, Dunlop, Harbison and Myers (12131), Brickman and Lehrer (eds. 12402), Ginzberg (16182), Philipson (ed. 16237), U. S. National Commission (16280), Machlup (5130), National Bureau of Economic Research (16223), Heilbronner (12528), Helmer (10342,10343 and 10337), Gordon and Ament (10202), H. Marcuse (1084), 105

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Galbraith (16179), Wiener and Kahn (10076), Kahn (367), Hirsch et ai. (10344), Adelson (ed. 322), R. Brown (12407), Green (12513), Waskow (12772), Ziegler and Marien (12793), Levien (10363), Mangum (10366), Morphet and Ryan (eds. 10368), Rosove (10385); in Western Europe Habermas (12100), Steinbuch (16360), various articles in the futorological journal 'Analyse et Prévision', Picht (10426), Durand (16367), von Ferber (1564), Peterson (10408), de Jouvenel (10146), and the monograph series 'Futuribles' edited by de Jouvenel; for the socialist countries cf. some of the articles mentioned (see p. '103 above) in connection with the theme 'Technological and scientific change and the structures of the academic professions', where our present concerns are treated in the social framework of such matters as breaking down of the dichotomy between physical and intellectual work (cf. the empirical studies reported on in Iovchuk, ed. 14714-5, and by Rutkevich, 14717), or changes in the system of evaluating achievement. Problems of choice and priorities in science policy in Soviet society are raised in the volume of Medunin and Dobrov (13342) and by Bestuzhev-Lada (10444); for East European societies cf. Philosophisches Institut der CSAW (13403), Richta (13405), Sorm (13406), Sektion Philosophie bei der D.A.W. (13366, 13361), Poeschel (13363), Biernacki (13369), Kowaliewsky (13373) and Heyden (10456). 3.3.3 Social domination and control The last of the general areas of social structure marked off in the framework of our topology is that of social domination and control as a structural field forming part of the framework for academic systems. 3.3.3.1 Precisely in the sphere of institutions of culture, many mechanisms of ideological and institutional control have developed with a relative historical independence, and thus show the characteristics of 'non-contemporaneity'. It therefore seems important to refer first to those studies that have investigated traditionally developed institutions of law and administration in connection with academic systems, insofar as they still form in present-day industrial societies a structural component of the social control of academic education and research. The method in these studies may be descriptive and historiographical, or sociological, analyzing structure, or informed by a critical purpose. Essentially, general and comparative studies are offered only by Baade 106

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and Everett (6009), Blondel (6000), Kaplan (1071), Brickman (1143), and Ben-David and Collins (1013). The German system, in which science and the universities are administered by a powerful'Kulturstaaf on the one hand, while there is, on the other hand, a tradition of 'a-political' academic freedom, both of teaching and learning, has been described (along with its influence on higher education in other countries) by Kluge (6085), Pleyer (17140), Pfetsch et al. (13019), Ringer (13032-3), Schreiber (13056), Zierold (13093) and Fuhrig (17117). It has been investigated from the point of view of the history of law as well as from the legal structural point of view by Kottgen (6086), Thieme (6093), Gerber (6082), Maack (6087), Wolff (6096), Wehrhahn (6095), Schapals (6092), and Carstens and Peters (6079). Schelsky (1596), Dahrendorf (1558), Baumgarten (1548), Wendel (1605), Nast (1097), Riihle (1106), Nitsch et al. (1589), and Friedrich (14575 - with emphasis on the role of professorial advisory bodies within the governmental bureaucracy) have worked out, drawing on certain points of view from historical sociology, the social domination function of this system within the university or college itself and also in connection with the stabilization of domination within the society as a whole. The English system with its privileged and autonomous corporative pattern of academic administration associated with an ¿litist 'feed back' of an informal social kind in the framework of the upperclasses in Britain and the Commonwealth has been described and discussed by Berdahl (6073), Rothblatt (1525), Lord Chorley (6074), Blondel (6000), Sagara et al. (6077), MacLeod (7198), Ashby (1134), Carmichael (1027), Ward (1533), Basalla (1498), Wolfenden (17106), and Morris (6076). The centralist system operative in France since the Napoleonic reforms is described in Capiat (6098), Crosland (13135), Gerbod (13146), Gilpin (13147), Ponteil (13182), Prost (13183), Williams (13206), Douchard (1614), Risler (1637), Stock (1638), and Zeldin (13209). A historical introduction to the literature on the issue of the university and the state in Japan is given by Dellert and Teichler (247). Especially relevant are also the papers by Suh (6104), Terasaki (257), Okubo (13282), Ogata (6103), Ienaga (1674), Kinki Daigaku (6102) and Long (1687). The emergence and the development of the historically older system of social control of universities and colleges in the USA by the governments of the individual states and by regional private enterprise have been described by Metzger (1187), Maclver (1379), Selden (6064), Corson (6023), 107

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Medsker and Clark (6053); this system has been competing since World War II with the increasingly more powerful control exercised by Federal authorities and by national business and military interests which also tend to act from the centre. In the socialist transition societies, too, the problem of the relative continuity of historically 'non-contemporaneous' institutions is posed, though to be sure in a more complex way. The strongly government-centralist character of the Russian higher education system (imitated from its French and Prussian models, cf. Alston, 13313) fused to a considerable measure with the practices of domination and deformations of government power during the Stalinist period, and in this alloy it was further 'exported' to other socialist countries. From the point of view therefore, of the post-Stalinist development of the socialist transition systems (which, as is well known, is assuming markedly different shapes and phases in the individual countries) what is needed is a working over, in historical and in structurally analytical terms, of traditional or other 'non-contemporaneous' institutions of social control in the scientific and cultural sphere. To this extent, a distinction must be made between older studies like those of Fedkin (6109), and Karpow (6110) and studies from recent times, especially those by Chilow (6108), Paskow (6111), Ukraincev (1756), Eliutin (13322-23), Fyodorov (13327) and Remenikov (16401) in the Soviet Union, Hering (6115), Poppe (6116), Heinze (441), Panzram et al. (17180) in East Germany, and Matejko (13377-79) in Poland. For Western (nonsocialist) contributions to the study of the social control of science and higher education in the Soviet and East European societies cf. Ahlberg (13312), Amann (13314), DeWitt (13320), Field (13325), Fischer (13326), Graham (13330), Rigby (13344), Stevens (13348), Kratochvil (13399), Richert (13364) and Menke-Gliickert (17178). 3.3.3.2 The various institutions and media of societal control of higher educational systems in highly developed countries have been investigated most intensively in the USA. In particular, the historically most modern (and currently dominating) forms and structural principles operative in advanced capitalism can be studied in the instance of the USA: the growing significance of the central Federal authorities and of the Pentagon, and the interweaving of interests on the part of the military authorities, other Federal agencies, power groups within private enterprise, central university bureaucracy and influential professorial 'scientific entrepreneurs', 108

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'think-tanks' and profitable 'non-profit' corporations acting as major consignees taking in orders. Comparative international studies on the 'modernization' of traditional systems of university government in the interest of advanced capitalist development have been started by Bereday (17000), Clark (17002) and Ukai (17008). For a systematic compilation of the legal source materials for such comparative projects cf. 17004. An attempt has been made in the subject index (cf. 1.4.4.1 to 1.4.4.8) to distinguish the individual media and relational fields through which societal domination and interests are mediated with respect to the system of higher education. What follows here may serve as a brief reference to the most important studies examining these relations in the highly developed capitalist societies. (For the socialist countries, detailed analyses of this kind, dealing with the individual areas of societal control of the system of higher education, are almost completely lacking). 3.3.3.2.1 The relationship of the university (and other academic institutions) to the state, and in particular the role of the central state agencies and the tendencies towards a centralist 'co-ordination', 'integration' or 'streamlining' of state-wide systems or 'consortiums' of higher education and national 'priority networks' of research, together with the correlates of societal interests (e.g. boards of trustees) belonging to these, have been analysed in the USA by the following writers: Babbidge and Rosenzweig (1222), Kidd (6045, 6046), Moos (6056), Munger and Fenno (6058), Abbot (6004), Glenny (6034), Cleaveland (6021), Hill (1324), Comroe (522), Bowen (516), Harvard University (529), Minter (6054), McConell (1086, 6003), Conant (6022), Corson (6023), Kaplan (5121), Tassel et al. (eds. - 1462), Seitz (1447), Nieburg (1410), OECD (374), National Research Council (535), Yallance (12765), Bowles (1252), Clark (1275), Etzioni (354), Price (126792), Greenberg (12514), Lakoff (12589), Orlans (12661; 12662), Penick et al. (12672), Reagan (12690), Berdahl (17019-20), Bloland (17021), Chambers (17023/17025), Henderson (17045), Jeuck (17051), Kleis (17056), Lancaster (17057), Lee and Bowen (17058). To these may be added the more specialized analyses of the office of university president by Beck (1230), Williamson (6070), Nash (3571), Bolman (6014), Dodds (6024), Demerath (3285), New York State Regents (541) and the legal studies or documentation volumes by Blackwell (6013), Hicks (6039), Chambers (6018, 6020), Lunsford and Lyons (1377), and Cater et al. (12413). 109

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For West Germany, writers from East Germany - cf. Heidler (ed.1572), Nast (1097), Köhler (1582-3), Prokop (13024) - as well as Nitsch et al. (1589), Preuss (13022-3), Leibfried (12145), Heer, Meschkat and Altvater, in: Leibfried (ed.- 1585), Lefevre (in: 1549), Habermas (in: 12933, pp. 92-107), Bahrdt (12884-85), Hirsch (12114), Schräder (13054), Schümm (13057), and Koch (16045) have given a critical anti-capitalist analysis of trends in government university and science policy, while Cartellieri (17113-4), Dichgans (409), Raiser (418), Dahrendorf (1558, 10414), Boening (17112), Lohmar (12990), Lompe (12991), Luhmann (12992), Coenen et al. (16334), Schelsky and Feinendegen (16357, 17125), Schelsky (13041-3), Kuhn (17133), Theilen (17153) deal with organizational and legal problems relating to government policy on science and the universities, without questioning the basic politico-economic structures. Informative studies of similar political trends and structural changes in France can be found in Gilpin (13147), Aron (1612), Piganiol (10436), Laubadere (17159), and Kreipe (13159) (cf. also the American counterinsurgency project by Schonfield and Eckstein, 13192); for the Netherlands in Piekaar (426) and Woltjer (6101); for Italy Anello (13212); for Japan Nagai (1686), Kobayashi (13720), Long (1682, 13272), and (10440); for Great Britain Gunn (399), Lukes (400), Vig (12863), Hudson (ed.- 12829), Halsey (12826), Reuck et al. (12214), Burgess (17099), Wolfenden (17100), and Robbins (408). International comparisons have been attempted by Gunn (12097). Theoretical studies from the fields of politics or constitional law, seeking to establish and investigate democratic alternatives or correctives to these trends towards a concentration of government power in higher education, have tended in the USA to look most closely into the extension of faculty or of student participation in university government (cf. 17075, 17039, 17044) - for the one cf. Galbraith (16179), Walker (3827), 'Faculty participation (6028), Dykes (17034), McConnell and Mortimer (17066-7), and Fuhrig (6081), for the other cf. Falvey (6029), Friedson (6032), Makuen (6050), Crane (17032), and Martin (17064). In West Germany, writers have looked to a dynamic democratic interpretation both of the notion of science (in terms of a unity between theory and practice) and of the constitutional law pertaining to a social state ('Sozialstaat') in order to lay the foundations of an autonomous, social state type of self-government and social representation in the cultural and scientific sphere (cf. SDS, 13066; Nitsch et al., 1589; Preuss, 6089, Abendroth, 17107, Albers, 110

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17108, Stuby, 17152; Leibfried, 17134-5). For the opposing, conservative interpretation of constitutional law relating to higher education and science cf. Gamillscheg (17118), Kimmich (17129), Klein (17130), Weber (17156), Carstens (ed. 6079) and Gerber (6082); in France, attention has been paid to the democratically politicized, trade union type of 'counterpower' among students, university teachers and academically trained persons (cf. for this the literature cited on pp. 108, above, in connection with the trades union pattern of organization among academics and professionals). 3.3.3.2.2 'Academic freedom', as connected with the general political freedom of expression of opinion among students and university teachers is a conflict-laden field, legally institutionalized but nevertheless much fought over. Detailed study and description of the problem by political scientists and lawyers is, however, almost confined to the USA, where the stimulus to such study has been provided by particular conflicts and cases in the McCarthy era and its aftermath (cf. 12542, 12701), by the question of loyalty oaths in many of the states (cf. 17014), by the racial conflicts and recently by the growth of opposition and resistance groups of political character on the campus: cf. Lunsford (6049), Emerson and Haber (6026), Kidd (6046), Barrington (6011), Monypenny (6055), Fellman (6030,6031), Byse and Joughin (6015), Fuchs (6033), Levine (6047), Morris (6057), Murphy (6059, 6060), Jacobson (6041), Alstyne (6007, 17012), Strauss (6065), Carr (6016), Johnson (6042), Joughin (6043), Hagie (6037), Gardner (12496), Fidler (17037), Goldman (17042), Holmes (ed. 17047), Hughes (17048), 17059, 17060, Lewis (17061), Metzger et al. (17069), Pollit (17078), Seavy (17084) Williamson (17094), Wright (17096). Apart from West Germany (cf. Preuss, 6088, Leibfried, 17134-5; Fijalkowski, 17115; Knoke, 17131; 17141; Berner, 6078) and Japan (cf. Kaneko, 17168; Fukashiro, 17167; Matsumoto, 17169, Nagai, 1686, Dellert and Teichler, 247) there is no other among the capitalist industrial countries with a democratic constitution in which this question of a direct political restriction or threat to freedom of teaching and expression of opinion in the academic sphere has become an issue of such central significance. On the other hand, it has also been predominantly among American, more or less anti-communist writers and intelligence experts that interest has been shown in the restriction of political and scientific freedom, both of teaching and of the expression of opinion, in the countries of socialist 111

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transformation : cf. Yakobson and Allen (10732), Field (1717), Field (1718), Field (1719), Aczel and Meray (13385 a), Fischer (1722). For critical contributions on this issue by socialist and radical intellectuals cf. Havemann (13358), Marcuse (13340), Medvedev (13343), Sakharov (13345), Kuron and Modzelewski (13375). 3.3.3.2.3 The exercise of control and influence over academic institutions by the military apparatus and by the armaments industry is a process that has advanced furthest in the USA. It has been investigated by Beck et al. (305), Groueff (1314), Mansfield (12619), the writers contributing to the 'Viet-Report' number 'The university at war' (10396), Krebs (12587), Perlo (1423), Weinstein (1482), Coburn (12430), Feshbach and Karplis (12482), Raymond (12688), Schejnin (12712), Wald (12766-7), 'Aerospace industry...' (16119), Hoag (16195), Scherer (16252), Lens (10362), and Narmic (10370). Some of these reports take particular account of special areas such as biochemical weapons (12532-3, 10371, 10328) or social science research (10359, 10315, 10321, 10387), other focus on various mechanisms of mediation such as the transfer from training in the armed services into other professions (cf. e.g. Hackel, 12934; for comparative purpose see also Zolstukhin, 13353, for a Soviet analysis). For West Germany reference should be made to the documentary and political studies by East German writers such as Kôhler (1582), Speer (13069), and Heidler (ed. 1572) as well as to the studies of Brandt (10412), Lefèvre (in: 1549), Heer (in: 1585), Vilmar (16082), Rilling (13031), Waterkamp (13087). For France cf. Baiseas (10432), Boyer (10433), and Gilpin (13147). Several studies or reports are also available on the subject of academic systems within the armed services: u.s. Military Academy (19107), Janowitz (3459 and 12561), Huntington (146), Dornbusch (1289), Lovell (12606), Lyons and Morton (12612), Young (12868), McEwen (3540), Horowitz (317), 12547, Lipset et al. (298), Elliott (ed. 312), and Centre d'études de l'armée d'air (4004). 3.3.3.2.4 The relationship between the system of higher education and centres ofpower and influence in the 'private' sphere of economic life can be considered from two points of view. There is on the one hand the question of the university or college training of leadership personnel for business, and of the ideological stamp that will be imparted by this. For this, 112

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reference may be made to the literature noted in the subject index, under 1.3.7 and 1.6.4.2, relating partly to the specialist and professional sphere of 'Management'. On the other hand, the question at issue may be the influence exerted by forces in private business (managements, associations, industrial research institutions, foundations) on systems of higher education and science policy, an influence that may be mediated financially, politically or ideologically or in terms of organization. On this latter issue a number of studies from the USA need to be mentioned: McGrath (6052), Perlo (1423), Martorana (6051), Pollard (5149), Parker (375), Baran and Sweezy (16129), Ginzberg et al. (5108), Draper (12461), Finniston (12483), NACLA (12652), Ransom (12686), Ridgeway (12695), Riendeau (12696), and with special reference to the significance of foundations and non-profit corporations in the American system Clark and Opulente (342), Nelson (5142), Warren (5165), Curti (1282), Andrews (5075), and Colward (5093). For West Germany Nitsch et al. (1589), Leibfried (12145), Heer (in: 1585), Delitz (10415), Wetzel (16362), Gündel et al. (12931), Kramarczyk (12974), Speer (13068-70); contributors to the volume edited by Heidler (1572) have analysed and criticized the relation between private business and the system of science and higher education. An international comparative project has been started by Vernon (16081). A newly developing focus of research and advisory activity has become the study of science policy formulation and research management, and R & D personnel development in multi-national companies (cf. Quinn et al., 12211; Business International, 12280; 16030; 10193). 3.3.3.2.5 The relationship between local and regional authorities or interests on the one hand and governmental science policy or particular universities or colleges (e.g. their boards of trustees) on the other have been studied by Alinsky (1216), Fields (1254), D. C. Miller (1397), Klotsche (1357), Rivlin (12699), 12362, Dobbins (12457), 12522; Ridgeway (12695), Praxis Corporation (12208), Eberle (17035), Jeuck (17051), Rauh (17079) in the USA, Cotgrove (3885), Sandford (3923), and Collison (12816) in England, Philip (3951) in Australia, and Gilbert (1053) and Müller and Kurtz (7010) in comparative studies on an international basis. (On the subject of manifest general political conflicts between the campus and state governments cf. Chapter III, 5). 3.3.3.2.6 The influence and institutions of the churches in the sphere of 113

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higher education have been investigated in detail for the USA by Pattillo and McKenzie (544), Halstead (6038), Hammond (3405), and Underwood et al. (3815). In the other industrial countries, by contrast, the question has either become of purely secondary importance by now or it has been neglected by researchers.

4 Academic education and the intellectual professions in connection with fascist epochs or trends in capitalist industrial societies 4 . 1 FASCISM AND CAPITALISM

Present-day research in economic and social history has come to the well established conclusion that capitalist production relations and the power of concentrated financial and industrial capital were not suspended under fascist domination systems, but were partly strengthened, partly limited1. A more controversial question is whether, and to what extent, the setting up of fascist domination was deliberately supported or significantly aided by capitalist power-groups. Even among Marxist sociologists, this question frequently remains open. Paul A. Baran defines fascism as 'a political system developed by capitalist societies in the age of imperialism, wars, and social and national revolutions. Its purpose is to strengthen the state as an instrument of capitalist domination and to adapt it to meet the demands of an intensified class-struggle on a national or, as the case may be, international level.'2 Research in social psychology has offered evidence that the social position of middle class strata will, in situations where capitalist societies are undergoing intensive structural change (tending towards bureaucratization and the concentration of capital), produce psychological and ideological dispositions that can be further concentrated to result in fascist forms of political expression3. These dispositions are 1. Cf. Franz L. Neumann, Behemoth. The structure and practice of National Socialism. London, 1943; Arthur Schweitzer, Big business in the Third Reich. Bloomington, Ind., 1964. 2. Paul A. Baran, 'Faschismus in Amerika' (1952), in: Unterdrückung und Fortschritt. Essays. Frankfurt a. M., Suhrkamp 1966, p. 131. 3. Cf. Wilhelm Reich, Massenpsychologie des Faschismus. Copenhagen, 1933; Erich Fromm, Der autoritär-masochistische Charakter, in: Studien über Autorität und Familie, ed. by Max Horkheimer, Paris, 1936; Erich Fromm, Escape from freedom. New York, 1941; Erich H. Erikson, Kindheit und Gesellschaft. Zürich & Stuttgart, 1957; Th. W. Adorno, Else Frenkel-Brunswik, Daniel L. Levinson, Nevitt Sanford et al., The autho-

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then not necessarily organized in mass movements leading to the establishment of a fascist system, but can find expression in the 'fascistoid' use and control of formally democratic, liberal bourgeois institutions; in the process, the ideological claims of these latter are not reproduced, but negated. To this extent, a distinction can be drawn between fascistoid trends in motivation or behaviour on the part of individuals or groups, and the organized fascization of whole areas of the domination system (e.g. of the armed forces or of the domination exercised over ethnic or socio-cultural minorities or over colonies) or of the social system as a whole. Summarizing the research literature in the thematic field 'Fascism and higher education' at this point in our survey should not be misunderstood as an attempt to isolate this phenomenon from the structural situation of academic education and professional work in capitalism in general. What is involved is rather a tying together of certain extreme values reached along a continuum of structural trends, that is to say, therefore, of one further 'aggregate state' of what remains one and the same socio-economic system. To be sure, the literature that the present writers have been able to trace dealing with the complex 'Higher education and fascist trends or domination systems' consists to only a limited extent of systematic sociological analyses. What is available consists predominantly of essayistic interpretations of a philosophical or social theoretical character, or of descriptive studies from the field of contemporary history. Moreover, there are only a few studies taking the situation of universities and colleges as their central focus; mostly what is in the foreground of attention are areas of social structure adjacent to the university, for example the upper stratum of society or the intelligentsia in general, or else the developments in the content of particular scientific disciplines prior to and under fascism.

4 . 2 THEORETICAL POSITIONS

With this more than with almost any other theme, it seems essential, before we start, at least to attempt to distinguish the theoretical positions in the light of which the thematic field mentioned is approached in the literature. One such line of differentiation emerges from the question of how far ritarian personality. New York, 1950; Dietfried Miiller-Hegemann, Zur des deutschen Faschisten. Leipzig, 1955.

Psychologie

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writers claim, and attempt, to explain and systematize the socio-economic and socio-structural genesis and dynamics of fascist trends in their effect on scientific life. Another such question concerns the central assumptions and paradigms of any such interpretation and theory-formation. To the extent that these theoretical assumptions remain only implicit in the studies and discussions we shall be examining, then our attempt can be only hypothetical in character. It is of course still less possible to adduce quotations to support the description of the positions of individual writers. With these reservations in mind, we can discern six theoretical positions as having found more or less marked expression, as parallel trends, in the research literature since the post-war period. 4.2.1 Liberal and conservative 'helpless anti-fascism', a syndrome of the critique of fascism that has most recently been investigated in detail by Haug (12936), in an analysis (based on the critique of ideology) of the content and language of symposia by German university teachers on the subject field 'University and National Socialism' (1588, 12907, 12917). An American variant of this type of critique of fascism has been taken on by Paul Goodman ('The freedom to be academic', 1307) in his analysis (based on psycho-analysis and on the critique of ideology) of the historiographic and political scientific studies of Hofstadter and Metzger (1325, 12542). What we have here are, in essence, interpretations of fascism, in terms of cultural or existential philosophy, as a natural catastrophe or fate. These attempts at interpretation fail in the last resort in the face of the task of providing an analysis, in terms of social science, of the socioeconomic determinants and the mass psychological dynamics of fascism in intellectual and scientific life. Indeed, they often betray in their very language1 that their own thought structure itself shows ideological elements that were and are of great significance in the genesis of fascist domination. To this position must be assigned, alongside liberal conservative writers from the Anglo-Saxon world such as Hofstadter (12542), Metzger (1325), Lilge (1586), Wolf (1606), German philosophers and historians, 1. Cf. the numerous quotations in Haug (12936); Goodman (1307) attempts, beyond this again, to interpret, both historically and in terms of depth psychology, the defence against particular tabu subject-matters on the part of liberal 'critical critics' of restrictions on academic freedom.

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both conservative and liberal, especially Jaspers (1579), RosenstockHuessy (13037), Heigert (1573), as well as Professors Herzfeld, Sontheimer, Kotowski, Bracher (all in: 1588), Kuhn, Maier, Voegelin (in: 12907), Eschenburg and Rothfels (in: 12917). Certain sociologists, however, in their attempts to analyse the prehistory and the absorption of national socialism in the German university, also slip into idealistic or existentialistic blind alleys - e.g. Baumgarten (1548), Anger (3956), or they by-pass the subject even at the very point where they directly touch upon determinants or proto-stages of the fascization of the university, e.g. Schelsky (1596)1, Busch (1553). A certain helplessness in the analysis of the total social causes and the mass psychological and ideological depth dimensions of German 'academic fascism' can however also be detected in attempts made in the postwar era, that hoped to master this dynamic movement by analysing and reforming the internal structure of the educational and university system - more particularly, by breaking down the academic hierarchy and the power position of the German Ordinarius, the tenured holder of a professorial chair. Ever since the sharply critical report produced by the British Association of University Teachers on the German university structure and the contribution it had made to the establishment and reinforcing of national socialism2, this point became a leitmotiv dominating German writings on university reform in the early post-war period 3 . Even the few major empirical research projects on university matters in the 1950's in West Germany took their rise to some extent from this sociopolitical interest (cf. Plessner, ed. 3979; Institut für Sozialforschung, 3969; Anger, 3956). 4.2.2 The second trend in studies on fascism and higher education might tentatively be designated as a 'functionalist critique of totalitarianism!; the bias here is for the most part 'right wing liberal' or neo-conservative. 1. Schelsky's monograph (1596) on the German university from the 18th century to the present contains no extensive treatment of the university in the Third Reich, not any about the genesis of fascist potential among German scholars. 2. Universities Review, May 1947; in German in: Die Sammlung, February 1948. 3. Cf. R. Neuhaus, ed. - Dokumente zur Hochschulreform. Wiesbaden, 1961, and the critical essays on 'Die verlorene Hochschulreform' by H. Heigert, Der Monat, 1956; Habermas (1569); Meschkat (in: 1535). 117

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What we have here are attempts, arising in part in the train of the Cold War, to explain fascism and (Stalinist) communism as being almost completely identical, dysfunctional threats to (and structural annulments of) late capitalism, which, with its formally democratic government structure, was mystified as representing the 'ideal type' of an open system of balances. In the course of this, the social 'sub-system' of pure objective science was represented (again as an 'ideal type') as being the very crown of this open society thus threatened. Alongside functionalist sociologists of science, in the stricter sense, such as Barber (12018, pp. I l l f.), Merton (12179), and Ben-David (008), who have offered contributions to the subject of fascism and science, should be placed the 'anti-totalitarian' élite research by Lasswell (12140, dealing with the Italian fascist élite) and the studies by Lerner, de Sola Pool and Schueller (12987, dealing with the Nazi élite). A direct transition has led in America from these studies to 'counterinsurgency' research programmes in the social sciences, directed against movements of liberation in the Third World, and in particular against the leadership cadres and forms of recruitment they employ1. This kind of analysis of structural factors within the educational, scientific and élite system of countries in the Third World is untertaken for the purpose of predicting, preventing or suppressing 'rebellions'. It uses the same structural and functionalist analytical technique (extended in part to a modern systems analysis2), and also the same easy combination with an ideology of totalitarianism as in the 'classical' functionalist analyses of 'science under totalitarianism' by Barber and Merton (cf. Ben-David and Collins, 1012; Lipset, 1076, 298, 30; Pye, 1197). In contrast to the first trend we have already noted in the literature on fascism and higher education this present trend does not adopt an idealist or moralizing attitude which nevertheless leaves it helpless, but 1. An example of the way originally anti-fascist and anti-Stalinist theories of totalitarianism have been refunctioned into counter-insurgency strategies for the annihilation of movements of social liberation is provided by the volume Internal war (10198), containing articles by Parsons, Dietrich, Kornhauser, Pye, Verba, Almond, Levy jr. and Lipset. This refunctioning (as well as the recruitment of younger researchers, cf. e.g. Lipset, 298) would seem to have been all the easier on account of the long association, over decades, of certain theoreticians of 'Psychological and Unconventional Warfare' with the U. S. Air Force, e.g. Lerner and De Sola Pool. 2. Cf. ABT ASSOCIATES, INC. (10230), a study for Project Camelot, Special Operations Research Office, The American University, Washington, D.C., especially the chapter 'Toward a model of revolutionary political recruitment', pp. 52-74.

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rather, through its total failure to adopt any position of a substantively critical kind, turns out to be technically helpful to new fascist and authoritarian trends. 4.2.3 The third theoretical and socio-political position with regard to the subject field 'Fascism and higher education' is that of liberal, welfare state type social technology. In the USA this takes the form of the socalled 'official liberalism' which is the inheritor of the politics of social reform dating back to the 'New Deal'; this position had also a forerunner in the later work of Karl Mannheim, and has been described by Dahrendorf as 'applied enlightenment' (10326). This trend towards an indirect critique of fascism in research on higher education occupies itself admittedly almost exclusively with predicting and combating fascist and authoritarian stereotypes and modes of behaviour in societies that are not (or are no longer) dominated by fascist systems, especially the USA and West-Germany. Applied social psychology in the form of induced attitude change and group therapy was furthered very considerably by impulses deriving from anti-fascist psychological warfare and the subsequent re-education programmes, and has been directed towards influencing the attitudes and modes of behaviour of students. This latter feature was due primarily to technical reasons - students form an easily accessible experimental group for the purposes of research - but it was also associated with the social liberal concern for educational reform in experimental 'liberal arts colleges' and also with international academic exchange programmes aimed at 'democratizing' the consciousness of German, Italian and Japanese students and academic professionals. To this trend belong the social psychological, pedagogically liberal studies of Newcomb (3578), Sanford (3697), Freedman (3337), Remmers (3662), Trow (1472), Clark (1275), Lazarsfeld (3512) on the subject of 'liberalization', i.e. the breakdown of authoritarianism, dogmatism and ethnocentrism in the consciousness and in the personality of students and university teachers, and the struggle against anti-intellectualism in the McCarthy period and in connection with the conflicts over loyalty oaths in the 1950's (cf. for this e.g. Gardner, 1301; Anderson, 1220). Also to this trend belong certain of the evaluative studies on attitude change among students and academically trained persons through 119

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exchange study programmes on an international basis (cf. e.g. Bennet, 1137; Schwantes and Nakaya, 7026 in connection with. Japanese academically trained persons; Bureau of Social Science Research, Inc., 3043; Divo, 3059; Watson and Lippitt, 3121 in connection with Germans). The prognostic sociological study by D. L. Michael, 'The next generation' (1396), dealing with education and young people in the USA, can be regarded as a manifesto of the understanding this liberal, welfare state type of social technology has of itself to-day (cf. for similar contributions R. Brown, 12407). The refunctioning of the originally anti-fascist - later on anti-Stalinist applied psychology of higher education for psychological 'counterinsurgency warfare' preventing and suppressing movements among intellectuals for social liberation wherever such movements disturb the interests of American imperialism is, however, a process that has been under way since the McCarthy era. It received further impetus from the more recent scientific 'streamlining' of America's military and foreign policy under President Kennedy 1 . On the one hand, the research results of investigations, particularly among students, into the formal techniques of induced attitude change (in no matter what direction) were brought to bear on the analysis and the combating of the recruitment forms of social revolutionary élites in universities, in the population at large, and in 'remote areas', e.g. in guerilla warfare (cf. Abt Associates, inc., 102302 for the us Army, dealing with Latin America; Pinner, 3019, dealing with Western Europe; McGinnies, 4067, for the us Navy, dealing with Japan). On the other hand, simplified ideological positions (affirmation of pluralism, professionalism, the open society and free market economy) have been taken as a basis for developing indicators for use in empirical attitude inquiries with whose aid social revolutionary intellectuals and students can be defamed as dogmatic and authoritarian (cf. the Rokeach Dogmatism Scale as well as the indicators used for students' political attitudes in empirical studies by Pinner, 3021; M. Glazer, 4149-53; Lipp, 4158; Walker, 4173-77). Writers from the sphere of this social liberal school of applied sociolo1. Cf. Krippendorff (1171). 2. Cf. the chapter 'Toward a model of revolutionary political recruitment', in which, in particular, psychological group experiments conducted by Solomon Asch with college students are exploited. 120

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gical research have only rarely occupied themselves with the analysis of particular aspects of national socialism and of fascist trends in German higher education. Gouldner (1566) has attempted to analyse the importance of the positions taken by Max Weber in the question of science and politics in connection with the imperialist university policy in the Wilhelmian Empire. Dahrendorf has treated the role of academically trained persons and of students with reference also to national socialism in his monograph on 'Society and democracy in Germany' (12905). Throughout this analysis the connection with the applied or therapeutic and sociopolitical dimension of his sociological approach remains evident, an approach more explicitly developed in his political, as well as sociological pamphlets on 'Students of working-class origin at the Universities' (1559,1560) and 'The civil right to education' (1560) and on planning a new comprehensive sector of tertiary education (10414). The basic assumption is that the action-strategies and instruments of modern welfare state social technology will prevent the re-emergence of fascist or, as the case might be, of dangerous communist tendencies caused by temporary disparities and imbalances in the social system. New channels for vertical mobility, career aspirations and reformist activism will be provided 'cooling-out' any dysfunctional protest or unrest. 4.2.4 A fourth position, represented in only a few studies, is that of historical research with a sociological orientation, specifically of systematic phenomenological kind. The epistemological intention of such studies is at times that of a 'structuralist' theory of society. Ernst Nolte (1590) has attempted, in light of his main work 'Der Faschismus in seiner Epoche' (Munich, 1968), a detailed analysis of university teachers in the Third Reich. (On the prefascist ideologies among German professors cf. also Bleuel, 12893; Schwabe, 1598, 13058; Schwarz, 13060; Lilge, 1586 and Ringer, 13032-33). Further reference may be made to the structural social history of German education by Samuel and Thomas (13039); the phenomenological account of 'Nazi culture' and the study on structural origins of the Third Reich in the German intellectual crisis by Mosse (13002-3); historiographic, mainly phenomenologically restricted monographs on the German idealist and nationalist youth movements (including their place in student life) by Laqueur (12985), H. S. Becker 121

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(12889) and H. Pross (13026); the studies by Lieber on the German irrationalistic 'philosophy of life' (in: 1588) and on the academically trained person in Germany as a sociological problem (12968), and by Lämmert on the history of German studies in Germany (in: 1588). 4.2.5 A further important group to have contributed, in particular, to the analysis of the long-term origins and continuities of fascist trends in capitalist countries are Marxist sociologists and historians. From the sphere of the social sciences in the socialist countries, mention must be made of the studies by Lukàcs, 'Die Zerstörung der Vernunft' (12993), Heise, 'Aufbruch in die Illusion' (12938) and Braunreuther (1762), on certain fundamental ideological aspects of the development of fascism particularly in the bourgeois social sciences and humanities. In addition there are analyses and documentary studies from the fields of political economy and contemporary history, dealing with the continuity of fascist personnel in the leading stratum of West German society as well as of militaristic trends and ideological syndromes in West German higher education - continuities that lead writers to believe a resurgence of authoritarian and fascistoid claims to domination to be possible (cf. Heidler, ed. 1572; Köhler, 1582, 12882) as well as on the bourgeois nationalist student movement (Fliess, 12916, 13091). Independent Marxist sociologists in West Germany such as Abendroth (in: 1588 and 12875a), Kofler (12973), Hofmann (12952-4), and Klönne (12970-71) have analysed the rôle played by the German academic élites in the establishment of fascism and also in the 'restoration', in the post-war period, of the socio-economic and governmental structural conditions underlying fascism (cf. also 'Das permanente Kolonialinstitut', 13017; Studentengewerkschaft Bonn, 13075). They have worked out more markedly than many of the East German writers (who, in the basis of dogmatic or propagandist positions, have more strongly stressed the identity of these two) the distinction between the organization of domination typical of fascism itself and these 'restored' social relations that are pre-fascist or latent-fascist in character.

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4.2.6 Apart from these traditional Marxist approaches to an analysis of fascism, the so-called 'Frankfurt School of Critical Theory originating from the Institut für Sozialforschung in Frankfurt in the early Thirties (Th. W. Adorno, M. Horkheimer, L. Löwenthal, H. Marcuse, F. L. Neumann, O. Kirchheimer) with its studies on the basic roots of fascism both in the authoritarian family and personality structures1 and in the evolving authoritarian state structures and their ideological components 2 , caused by dynamic societal contradictions inherent in 'latter-day capitalism', has been very influential among leftist intellectuals in West Germany and recently, to a lesser extent, also in the USA. The two points of emphasis in the approach of the 'critical theory' have been decisive and helpful in correcting certain narrowly 'economistic' dogmatic Marxist concepts or a simple personalistic approach emphasizing the role of power élite personnel in 'manipulating' fascist 'take-overs' or tendencies. But the authors of the Frankfurt School have not performed, in turn, a creative continuation of the study, begun by Marx, of the politico-economic foundations of capitalism and of the mechanisms mediating between these dynamic foundations in the sphere of production and surplusvalue-formation and the political-institutional as well as personalitystructural levels of capitalist society as a whole. As a consequence, the authoritarian state as well as the long-term social character structures produced by 'one-dimensional' latterday capitalism have assumed, in these concepts, such a powerful, omni-potent role (cf. in particular H. Marcuse, 12171) that the study and political practice relating to the basic contradictions at the point of production or to the potential for anti-capitalist struggle in an organized form, mediating between personality-based and politico-economic, objective antagonisms, have been discouraged - reflecting, of course, also the defeats of the revolutionary workers' movement - to such a degree that the subjective consequence of this has been either a refined, critical-comtemplative cultural pessimism among the older generation of critical theoreticians (cf. Adorno, 12877-8, H. Marcuse, 12171), a voluntaristic élite strategy of social reform from 1. Cf. H. Horkheimer, ed., op. cit. (on p. 119) and Th. W. Adorno et al., ibid. 2. H. Marcuse, 12171 and 'Der Kampf gegen den Liberalismus in der totalitären Staatsauffassung', (1934), repr. in Negations. Boston, Beacon Press, 1968. F. L. Neumann, Behemoth, London, 1943. 123

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within an allegedly omnipotent 'welfare state' among the following generation (adopting positions of 'left-wing Keynesian' theoreticians from Britain and Sweden, cf. Habermas, 12099, 12932-3; Offe, 13014), and an equally voluntaristic, partly existentialist expectation among the younger generation of students, of spontaneous revolts by socially nonintegrated bourgeois, working-class, and 'lumpenproletarian' youth subcultures smashing the authoritarian state-apparatus (cf. Amendt, ed. 12880; Dutschke and Rabehl, in: 1549; Dutschke, 12909-10; Hack et al., 12101). A comparable function has been performed in the USA and in England by certain neo-anarchist cultural critics (Paul Goodman, Alexander Neil) as well as by the 'critical sociology' of C. W. Mills who was influential among the early New Left, resulting in a similar fixation on 'power elites' and a voluntaristic and moralizing concept of intellectual counter-élites. What is common to all three factional schools of 'critical theory' is an incapacity to creatively apply Marx's categories and methods in analysing the dynamic antagonisms in the sphere of production and surplus-valueformation itself, in particular (a) the potential of and within the working class in advanced capitalism to organize itself and fight the capitalist class and its inherent trend towards authoritarian and fascist systems of domination, as well as (b) the international disparities in the development of the capitalist world system, whose national states are far from being omnipotent in manipulating and stabilizing the contradictions originating from the capitalist sphere and mode of industrial production, or in suppressing nationalist social revolutions in the Third World or in less developed capitalist countries and regions1. The mystifications connected with concepts of an omnipotent fascist or authoritarian welfare-state and power élite have resulted in mutual accusations by the revolutionary and the reformist 'critical theoreticians' of semi-fascist tendencies among each other. The reformists have singled out certain voluntaristic and élitist attitudes among the antiauthoritarian revolutionary-minded students (cf. Habermas, 12933), whereas the revolutionaries have pointed to the contribution of reformist and élitist social-democratic and labour policies to the de-politicization and dis-organization of the working-class and to the formation of the authoritarian-bureaucratic state structures of latter-day capitalism which 1. Cf. Mandel, 16054; W. Müller and Ch. Neusüss, 'Die Sozialstaatsillusion'. (The welfare state illusion). Sozial. Pol. 6/7, 1970.

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could, and can, be easily utilized by fascist regimes. (Cf. Bergmann et al., 1549). With regard to fascist trends in present-day capitalist societies, the 'critical reformists' diagnosticize semi-fascist tendencies predominantly on the Right, among lower middle-class strata in structural transition from bourgeois into wage-earning economic positions, as well as from the radical Left, from voluntaristic-anarchistic unrest among bourgeois youth and students, 'amplifying' each other. The 'critical revolutionaries' expect fascist tendencies less from the masses of the lower middle or transitional strata - of which it is assumed that they have been de-politicized and integrated successfully into manipulative capitalist consumption-patterns - than predominantly from the 'technocratic' power centre of the authoritarian state, a merger of the traditional capitalist class, reformist party bureaucracies and technocratic intellectual élites (cf. Dutschke, 1549, 12909-10). 4.2.7 Out of the controversies among the factional schools of 'critical theory' held against the first experiences from newly evolving intensive classstruggles in the USA and Western Europe have emerged a few attempts and programs for an original 'anti-revisionist Marxist study of fascism and the capitalist state' and of the role of science and intellectuals in this context, cf. for West Germany Agnoli (12003), Lefèvre (in: 1549), Rabehl (13028), W. Miiller and Ch. Neusûss (op. cit.). Similar perspectives for the study of the institutionalized racist and militaristic semifascist structures within the (us) American social system and the objective functions of 'liberal' élites and cultural institutions in this complex have been put forward by Calvert and Davidson (12412), Nicolaus (12649), D. Horowitz (12546), Magdoff (10275), Coburn (12430) and McDermott (12630), partly basing their ideas on earlier Marxist contributions by Baran (op. cit., cf. supra p. 119) and Baran and Sweezy (16129). Important problems for theorizing and empirical research raised by some of these authors are, among others : 1. Whether new fascist trends caused by essentially the same antagonisms of advanced capitalism which caused the old ones may crystallize nevertheless in entirely different, new forms and dimensions, accompanied by only a very limited organized mass mobilization, but by a quantitatively 125

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as well as qualitatively greater utilization of scientific and technical intelligence and personnel, in light of the increasing involvement, even today, of research and development and social technologies in semifascist and genocidal 'limited wars' and counterinsurgency operations (cf. M. McCarthy, 12326; McDermott, 12630) and due to the more highly developed technological level of production and administration (as compared with the Thirties). 2. Whether the growing 'economy of death' (cf. Barnet, 12311) - arms spending, limited warfare, para-militarization of social and cultural institutions - is a long-term and basic structural element of advanced capitalism, thus forming a permanent resource for the reproduction of fascistoid ideology and mass-hysteria, or whether a limited 'conversion' of capital destruction from arms spending and military service into other wasteful production may be structurally possible within the capitalist system and, in particular, what roles individual technological disciplines and intellectual strata may have in this context. (Cf. Baran and Sweezy, 16129; O'Connor, 16233; Wald, 12766; Yilmar, 16082). 3. What will be the long-term trends in the ideological and political orientation of the growing strata of intellectual workers whose social origin, socialization patterns, and relationships with the sphere of production and the ruling class are very heterogeneous according to the individual professional sectors - since in the past (on a much less developed level and scale of intellectual work processes) academically trained persons have been an important source of recruitment for, and a helpful instrument of fascist regimes (cf. Mandel, 12165, 12166; Schmierer, 13050; Herkommer, 12109; Hortleder, 12958).

4 . 3 TOPOLOGY OF THE RESEARCH LITERATURE

To follow up on our attempt to note theoretical and ideological trends in the literature on the relation of higher education to fascism, we need one further survey of the distribution of the literature according to research themes. This time the arrangement is in accordance with a genetic and chronological perspective, and proceeds from origins to sequels and thus to general structural problems of the involvement of academic strata and institutions with fascism. 126

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4.3.1 On the subject of the deeper socio-structural origins of fascist trends in the effect they had on science and the university, if we leave aside the philosophical interpretations of 'helpless anti-fascism', there are only a few attempts at a general outline of the history of fascism and the university, among which particularly Abendroth (in: 1588), Lilge (1586) and Negt (13007) should be mentioned. Studies in the upper strata of society, which are relevant for an analysis of fascism, have been published by Zapf (ed. 14633), Fraenkel (12918), Negt (13008), Schmid (13049), Abendroth (12875a), Kofler (12973), Lerner et al. (12987 and in: 12140), Edinger (12911), Dahrendorf (1556, 12904-5), Lieber (12988), Hartmann (7212) and Bahrdt (1544) on the academic stratum in Germany; by Laswell and Sereno (in: 12140) and Agnoli (12003) on the Italian upper stratum (cf. also in this connection earlier studies by Michels, 1657); and finally by Mannari (1683), Okada (ed. 1689), Riesman and Riesman (1693), Spaulding (7294), Toyomasa Fuse (1705) and Abegglen (1662) on Japan. In his comparative report and secondary analysis of the literature, 'Professions in the class system of present-day societies' (008), Ben-David describes the relative over-production of academically trained persons in Central, Northern and Eastern European countries, accompanied simultaneously by a narrow functional limitation of the academic professions - trends that were at first latent but became manifest after World War I - as an additional factor in the spread of fascism. Several writers have taken up the question of the preparatory stages and structural conditions of fascist trends in German intellectual life, rooted in scientific and ideological history; e.g. the ideologies of science or technology as being unpolitical and value-free and the service these could render the purposes of imperialist and fascist domination, and also the manifestly irrationalist precursors of fascist ideology in the universities. These writers include Habermas (1569, 1570), Lieber (in: 1588), Lämmert (in: 1588), H. Marcuse (12170), Gouldner (1566), Hofmann (12916), Braunreuther (1762), Heise (12938), Lukäcs (12993), Kofler (12973), Nitsch et al. (1589), Goldschmidt (12924), Hortleder (12958), Negt (13007), M. Krüger (in: 3973), and Lefevre (in: 1549). For the purpose of comparison with Italy, reference may be made to the studies by J. Agnoli (12003), and with Japan, to 127

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the monograph of the 'left-wing Hegelian' Masao Maruyama (13275). Of indirect relevance for investigations into fascism and the student body are the studies of H. S. Becker (12899), Borinski and Milch (12895), Klonne (12970), Laqueur (12985), Paetel (13016), H. Pross (13026), Raabe (13027), Gerber (12920), Jovy (12964) and Krebs (12976), on the German youth movement or, as the case may be, the Hitler youth (cf. Klonne, 12970). The legal and administrative control of higher education as an important secondary determinant of the ideological preparation and articulation of fascistoid authoritarianism in governmental university and science policy has similarly been investigated for Germany by Nitsch and PreuB (in: 1589), in their analysis (based on the sociology of law and the critique of ideology) of the 'German ideology of university law'. For Japanese universities in the epoch of fascist imperialism analyses have been prepared by Dellert and Teichler (247), following on from Suh (6104) and by Terasaki (6105), in their survey of the suppression of academic freedom and autonomy. On individual aspects, phases and situations in the pre-history and in the growth of national socialist domination, descriptive historiographical studies have been published by Heigert (1573) in connection with 'state mysticism' in the 19th century German student movement, by Fricke (17116) and Schwabe (1598, 13058) in connection with the period of the Wilhelminian Empire, and by Fliess (12916), Franz (1565), Schwarz (13060), Sontheimer (in: 1588), Bleuel (12893), Mosse (13003) and Hucke (12959) in connection with students and university teachers in the Weimar Republic, 'on their way into the Third Reich'. 4.3.2 For the situation of higher education and of individual sciences under the Nazi system reference may be made to the following: the documentary monographs in comtemporary history by Poliakov and Wulf (13021), Heiber (1571) and Weinreich (1603); the case studies of particular academic fields by Boveri (12896), Mitscherlich (12999), Dahle (12903), Schmid (13049), Tyrowicz (13081) and Lammert (1588); the cursory general descriptions of university and science policy by A. Wolf (1606), Kotowski (in: 1588); the analysis of the 'Gleichschaltung' of the universities by Bracher (in: 1588) and Stratz (13073); and also detailed studies from the field of comtemporary history on individual structural aspects 128

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of the Nazi higher education system by Ueberhorst (13082) and Nolte (1590) and on resistance groups among intellectuals or in the universities (Bracher, 12897; Petry, 13018). What is not available, however, is a comprehensive account from the fields either of the social sciences or of contemporary history, of the academic system and of scientific policy within the Nazi system. The situation of Japanese science under the imperialist system before and during World War n is described by Hiroshige Tetsu (16386) and Long (1682). For a case study of academic élites under the Japanese occupation regimes in Southeast Asia cf. Calderon (12282). A number of studies have been published on the history, the mode of working, and the socio-psychological conditions of the ''underground universities' in Poland under the national socialist domination: Bulat (1781), Grabski (4105), Kotarkinski (1785), Kowalenko (1786) and Zarebow (1801) and 'Z dziejôw podzijemnego...' (13385). There are, however, hardly any comparable studies of the role of universities and student groups in the anti-fascist resistance in other countries, except for a few documentary reports, belonging to the field of contemporary history, dealing with the situation of the student opposition in Spain e.g. by Galvan (1652), Schiitze (13239) and in Greece: Haniotis (13224). 4.3.3 There are also only scattered and unsystematic accounts of the emigration of university teachers and academically trained persons from fascist dominated countries, as of their fate and, where relevant, their return, e.g. the sketches by Pross (18025), Bentwich (1138), N. L. Friedmann (14200), Beveridge (1139), Adorno (12266), Duggan and Drury (12289). A more systematic account of the problems and the impact of intellectual migration, caused by fascism and World War n, into the us has been compiled in the volumes of Fleming and Bailyn (12294) and Kosa (12313). 4.3.4 The problem of the continuity or resurgence of fascist or other right-wing radical trends in academic strata and institutions in a 'post-fascist' society (one whose fascist domination system has been shattered) has posed itself particularly in Germany and in Japan. If one surveys the 129

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period since the end of the War as a whole, then a number of highly varied positions and perspectives emerge as having guided the way this subject-matter has been tackled and considered with reference to the educational and university system: 4.3.4.1 In both countries, the first analyses and programmes of prevention and reform had their origin in the phase of re-education under the guidance of occupation authorities - especially the USA in West Germany and Japan and the Soviet Union in East Germany. Writers such as Habermas (1569), Schümm (3965), Meschkat (1585,1587), Adam (1540), Abendroth (17107), von Oertzen (13013), Lefevre (in: 1549), and the contributors to the Göttinger Universitätszeitung, the precursor of the Deutsche Universitätszeitung (10837), have described and interpreted these attempts at critical analysis and democratic reform of the West German educational and university system, and also the reason for the failure of these attempts with the onset of the Cold War and the restoration of capitalist social structures. The parallel development in Japan has been summarized by Dellert and Teichler (247) on the basis of Japanese studies. Reference should in addition be made to the attitude and academic exchange studies (already mentioned, cf. p. 123 above) carried out in the USA with regard to German and Japanese students and persons of academic training. 4.3.4.2 The resurgence offascist, right wing radical or chauvinist movements among students and persons of academic training at the end of the 1950's has in both countries been the occasion for critical studies of the scope and causes of this phenomenon - cf. Berghan (12890) on the subject of right wing radicalism among young people in West Germany, and Klönne (12971) and Finke (12915) on the subject of the resurgence of students' (and professional men's) fraternities and societies, encumbered as these are with their 'völkisch' (racialist) and national socialist reputation. In addition, certain opinion questionnaires (e.g. by Allensbach, 3962) and certain empirical sociological studies on the political attitude of students (esp. Habermas et al., 3968; Oehler, 13011) were inspired to a considerable extent by this wave of resurgent conservative and right wing radical trends. In Japan, many of the numerous historiographical and descriptive studies of the history of Japanese student movements also take account of right wing radical currents. Morris (1685), in his monograph on right 130

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wing radicalism in Japan, has also given a sociological analysis of relevant statistical data and historiographical materials on the right wing radical student movements of the pre- and post-War periods (cf. also Blewett, ed. 1668, and Maruyama, 13275). 4.3.4.3 Social scientists in East Germany and Poland (sometimes overstating their case for propaganda purposes) have published structural analyses in which the intention is to demonstrate the connection between authoritarian and fascistoid trends in academic life and within the leadership stratum in West Germany on the one hand, and the restored 'state monopolistic capitalist' structure of society, together with 'revanchist and militarist' trends, on the other. Some of these analyses are documentary in character and belong to the field of contemporary history; others belong to the field of political economics: cf. Heidler (ed. 1572), Köhler (1582 and 1582), Kolanczky (1584), 'Formierte Universität' (12882). Certain West German writers have similarly begun to analyse these connections: cf. the liberal sociological studies on the 'old and new West German élites' by Dahrendorf (12964-5), Edinger (12911), Zapf (ed. 14633); the critical anti-capitalist contributions of Heer (in: 1585), Negt (13008) and of Lefèvre (in: 1549), as well as Vilmar in his monograph on arms spending and advanced capitalism (16082). 4.3.4.4 The authoritarian and fascistoid reaction of sections of the West German populace and of groups in the leadership stratum to the first symptoms of a new left wing mass movement among school pupils, students and young workers at the end of the sixties forms a fresh basis for critical, Marxist analyses of the fascistoid potential in West German academic strata and institutions. To date, admittedly, only documentary and essayistic studies are available: Bergmann et al. (1549), Agnoli (12003), Brückner (1552), Damerow et al. (1561). Account should be taken of the empirical studies on relations between critical students, the mass media and the population in Friedeburg et al. (3968), in the survey 'Studentendemonstrationen beim Schahbesuch' (1600) and by Schreiber (14613), Vonderach (14623^-), Vester et al. (14522), as well as of important recent opinion polls : 'Der deutsche Student' (3963), 'Student und Politik' (3987), 'Berliner Studenten' (14563), 'Studenten in Berlin' (14618), in particular 'Studentendemonstrationen - wie urteilt der 131

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Bundesbürger darüber?' (14620), Wildenmann and Kaase (14629-30) and Wittern et al. (14632). 4.3.5 We have already, in characterizing the various theoretical, and sociopolitical positions (cf. p. 123 above), gone into the intention of studies on authoritarian and fascistoid personality potential in societies without fascist domination systems. Particularly in the liberal and welfare state type social technology and socio-therapy, originally of primarily antifascist character, has been re-functioned to serve counter-insurgency research strategies. This served as the occasion for social critical writers belonging to the 'New Left' in the USA and West Germany to come more firmly to grips, in a critical way, with the ambivalent function of these 'liberal' social scientific theorems and pedagogic norms: cf. for this e.g. H. Marcuse (12171,12173), Krebs (12587), Roszak (ed. 1438), Jacobs and Landau (1339), Kleemann (28, 1356, 12582), Lefevre (in: 1549), Brückner (1552), Nicolaus (12648-9). There has also been an intensification of the rather contemplative criticism exercised by 'humanistic', critical and phenomenological or existentialist sociologists against integrative and reformist social technology (cf. e.g. Olesen, 42; Stein and Vidich, eds. 10393; Bensman, 12390). At the same time fresh attempts are being made to give a criticalreformist theoretical foundation to the position of liberal social technology and university pedagogics: cf. the contributions by Sanford (196, 382, 1444); Michael (1396); R. Brown (12407), Riesman and Jencks (1435); Dahrendorf (10326, 10413); Bay (10313); Keniston (12572; 1353), Bourdieu (4000). Others attempt to justify it from the perspective of reformist 'neo-Marxist' theories (cf. Birnbaum, 1020,12035; Habermas, 12932-3, 12100; Milbergue, 1632) - always with the assumption or the intention of being able to combat or mitigate authoritarian or fascistoid potential in a society more easily through such a strategy than can the militant 'New Left'. The latter, for their part, are by contrast charged by some of the 'reformist' sociological theorists with showing authoritarian consciousness structures or trends towards a 'left wing fascist' ideology (cf. for this Habermas, 19135, as well as the counter-position in Bergmann et al, 1544 and in Abendroth et al., 12876). 132

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5 Academic education and the intelligentsia in coercively underdeveloped societies and in processes of emulative industrialization The structural definition of the societies of the so-called 'Third World' or the 'developing countries' we have chosen is designed to characterize the basic structural principles of these societal formations which are also governing the field of higher education: on the one hand, their coercively induced so-called underdevelopment at the hands of Western European and U.S. American imperialism and colonialism, which, even today, is increasing (in many cases in the form of an absolute drop in the standard of living and the level of civilization); and, on the other hand, their 'emulative' or 'derived'1 partial industrialization which results in differing politico-economic systems:2 - in autonomous revolutionary socialist transition systems (China and North Korea), - in revolutionary socialist transition systems which are dependent on the Soviet Union for economic and technical as well as military aid (Cuba, Vietnam), - in industrialization promoted by the industrial-capitalist imperialism (of high-export investment commodities and the light industry monopolies) of the USA, Western Europe and Japan which is beginning to replace the older, classic form of extractive imperialism (e.g. the oilmonopolies), be it that this industrialization is exclusively financed and controlled by foreign capital or - as an exception and rapidly diminishing - by independent national capital (the latter e.g. in Brazil, South Africa, Israel), - in socialist or nationalist-bourgeois transition systems partially dependent on imperialism and partially on the Soviet system for economic and technological aid (Egypt, Syria, Iraq, Algeria).

1. Cf. H. C. Wallich, 'Some notes towards a theory of derived development'. In: The economics of underdevelopment. New York, 1963. 2. Cf. A. Gunder Frank, Capitalism and underdevelopment in Latin America. New York, 1968; Jack Woodis, Introduction to neocolonialism. London, 1968; James O'Connor, 'International corporations and underdevelopment', Sci. & Soc., Spr. 1970: 42-60. 133

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Any attempt to report on the theories and research of the social sciences concerning the role of higher education and the intelligentsia in the societal formations of the so-called 'Third World' must include a characterization of the theoretical positions and epistemological perspectives responsible for the determination of the field of research of social science studies on so-called developing countries, the 'Third World', or the 'Poor World', the emulative socio-economic development of the 'colonial and semi-colonial countries' etc. Nearly all of the paradigms and concepts utilized in the studies on higher education and the intelligentsia in the 'Third World' are derived from the general, basic theoretical positions and models of this field of research. Already, studies have appeared which have done a great deal of preliminary work on the characterization of these theories, and thus, are of particular importance for our report; this is because they take into consideration the role of science, technology and the intelligentsia in socioeconomically developed countries in the socio-economic situation and development of the 'Third World' - including the application of socialscientific research and technology in this area. This situation would, of course, provide an opportunity to combine the sociology of education, science and the intelligentsia in the 'Third World' with the sociology of scientific activities on the 'Third World', (including its socio-technological application as 'development policy' and its mediation through the university-based education for development experts); unfortunately, this is a perspective which we cannot trace in this cursory trend report. I. L. Horowitz (12547-48), Bidermann and Crawford (10315), Danckwerts (10249), Stiebitz (12237), D. Horowitz (10267) have all, proceeding from differing theoretical positions, made contributions to a sociology of the science and technology of development. While Biderman and Crawford limit themselves to an examination of t h e ' economics of science' by immanently investigating the socio-economic structure and efficiency of us American social science in its application to foreign and development policy without, at the same time, throwing any light on the constituent factors and objectives of these policies including the theoretical-ideological positions of the social scientists serving these ends in terms of their structures, I. L. Horowitz has broadened this examination - to which he also remains oriented - to include a societally-normative dimension 134

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- as it were - from the viewpoint of a liberal-democratic reformist: he evaluates development science on the basis of its subscription to the norms of a just distribution of material affluence and the amelioration of suppression. This leads him to the conclusion that they can act in this manner to the degree that they unite with (basically) political revolutions against feudal and bourgeois power groups in the 'Third World' and promote the developed of mixed systems comprised of elements of the capitalist and the socialist transitional industrial systems. From the standpoint of certain revolutionary Marxist Western Authors (Schuhler, Danckwerts et cd.)1 the Horowitzian 'critical sociology of development science' may be characterized as the position of a progressive petit-bourgeois fraction of the intelligentsia in the capitalist metropoles which is chained to the socio-technological apparatus of imperialism with reference to its own socio-economic base, but which attempts to rationalize and re-functionalize its activity within this context with pipe-dreams of inner social reform, 'left-wing Keynesianism', co-existence or even convergence with (Soviet) socialism, of political revolution and socio-economic evolution in the 'Third World'. Precisely this 'critical-sociological' view in Western development strategy research and technology fulfills an exceedingly important function in recruiting 'critical' youths for the development services (e.g. the us Peace Corps or the Deutscher Entwicklungsdienst) or, from another aspect, in the ideological indoctrination of students and scholars from the 'Third World' in the interest of the agencies of imperialism. In contrast to this attitude, the revolutionary Marxist authors in the capitalist metropoles, who have distanced themselves both from the imperialist welfare state apparatus as well as from the revisionist-communist party machinery, assume a position, which on the one hand, obliges them to apply revolutionary Marxist methods of analysis to the scientific theories and technological strategies which serve both the imperialist and revisionist power centers, while at the same time making it possible for them to practice criticism of the strategies of the revolutionary Marxist movements such as those in China and Cuba. At the same time even this fraction of the revolutionary intelligentsia requires the constant correction

1. Cf. Die Sozial Wissenschaften in der Entwicklungspolitik. Frankfurt, Suhrkamp, 1970; Schuhler, Zur politischen Ökonomie der armen Welt. München, Trikont, 1969; J. Horlemann, Modelle der kolonialen Konterrevolution. Frankfurt, Suhrkamp, 1968.

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of its own practical policies against the position-dictated ideological dogmatism of its own thinking by the revolutionary movements of the 'Third World' in which other fractions of the revolutionary intelligentsia do participate (Guevara, Malcolm x, Cleaver, Fanon, Marighella) who in turn are constantly subjected to the practical critique of the proletarian and peasant masses. Correspondingly Schuhler distinguishes in his Marxist sociology-ofscience study of theoretical models of the socio-economy of the 'Poor World' between four basic positions: 1. Theories of 'modernization' from the point of view of the integrated social sciences of the capitalist world; 2. theories of a third path for the 'Third World' from the point of view of reformist fractions of the intelligentsia both integrated and not integrated into the state-government apparatus of the capitalist countries or Westernized intelligentsia groups in the 'Poor World'; 3. the hardly theory-adequate programmatic of Soviet revisionism concerning the 'example of the socialist countries'; 4. theories of imperialism and international class struggle from the viewpoint of revolutionary communist movements. In the following we shall point out the relationships of these theoretical concepts to the role of higher education and the intelligentsia within this framework. 5.1.1 Theories of'modernization' The dominating theoretical models for the explanation of socio-economic emulative development are those which project generalized theorems of a structural-functionalist sociology and cultural anthropology concerning the supersession of 'traditional' forms of culture and domination by 'modern' bourgeois industrial society in Western Europe or the USA onto the developing countries in a manner which can only be described as naive heuristic equivocation. We are dealing here with the theoretical models of a social science who owes both its genesis and development to this same Western 'process of modernization' whose historically concrete substance, i.e. the industrial capitalist extraction of surplus value, has been objectively beclouded by the same science. Thus it is possible to again differentiate between three basic directions or types of theoretical models which correspond to the ideologization 136

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of varying societal development processes from the point of view of the intellectual fractions of the respective ruling classes: 1. the evolution model, 2. the model of alternative domination systems, and 3. the acculturation model. Common to all three types is a structural-functionalist taxonomic model of modern industrial society whose social stability and economic growth can only be guaranteed by the following 'functional requisites': the 'participation' by the subjects of domination in a bureaucratic centralistic state power through periodic elections, the mediation of economic effectivity via the generalizing media of currency, markets and bureaucracy in a mobile society with highly developed communication which, in turn, requires a highly flexible, performance-oriented personality for the purposes of compliance to subordination relationships legitimized on the basis of goal rationality and oriented to technological scientific thinking 1 . Differentiations arise on the question of the process of transition to modern industrial society: 5.1.1.1 The representatives of the 'evolution model' assume a linear transition characterized by increasing division of labour, specialization and differentiation of societal organization, expansion of a universalistic (and not a particularistic) value-orientation and generalized media such as markets, currency, and rational central administration for the coordination and stabilization of this differentiation, the pushing-back of particularistic-affective patterns into special institutions of the sphere of intimacy, from which, however, sufficiently system-adequate socialization of children must be possible2. The reason for the expansion of these structures, media and values remain unclear in this model such that it is hardly possible to deduce strategies for the induced, emulative expansion in currently coercively 1. Cf. above all T. Parsons, The social system. Glencoe, III., Free Press, 1951; W. E. Moore, Social change. Englewood Cliffs, N. J., Prentice-Hall, 1963. 2. Cf. Parsons, Societies. Evolutionary and comparative perspectives. Englewood Cliffs, N. J., Prentice-Hall, 1966; Parsons, 'A functional theory of change', in: A. and E. Etzioni, eds. Social change. New York, 1964; Marion J. Levy. Modernization and the structure of societies. 2 vols. Princeton, N. J., 1966; S. N. Eisenstadt, Modernization: protest and change. Englewood Cliffs, N. J., Prentice-Hall, 1966.

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underdeveloped societies. Either silent confidence is placed in the natural powers of the private accumulation of capital which - though not expressly stated - is the underlying principle of all of these 'modernization processes'. Or it is possible to deduce voluntaristic missionary and educational programmes carried out (in the past by Christian missionaries) by superior ethnic minorities who propagate the 'modern' values through their own example (e.g. Levantine and Indian businessmen), through international academic exchange programmes and technical aid programmes and services (e.g. the us American Peace Corps). Because it is basically a question of a purely taxonomic model of endogenous societal development, its 'application' to current underdeveloped countries pre-supposes at least that these societies will accumulate a relatively independent industrial capital, which, of course, was indubitably the basis for the endogenous modernization of the West. Thus for the field of higher education and the intelligentsia there are explanatory paradigms and action strategies corresponding to the evolution model which - in analogy to development in the West - assume the high functional significance of a - and be it disproportionately large intelligentsia stratum with a 'universalistic ethic'. In particular, these strategies diagnose an expansion of the ethics of 'professionalism1 and 'academic freedom' - in the meaning of being freed from 'particularistic* values, or as 'freedom to be academic' to use a phrase coined by Paul Goodman (1307) - serving goal-rational economic and administrative tasks as a functional pre-condition within the framework of the necessary expansion and intensification of 'middle strata'. S. Eisenstadt (1044);. Ben-David (8); J. Fischer (2067-69); Glazer (4149-53), König (ed. 12134), and Behrendt (10238) have contributed studies based on this perspective. The expansion of a middle strata intelligentsia is only viewed as dysfunctional in this connection when it is not bound to the dominance of a universalistic goal-rational professional ethic, but rather bound up in religious socio-ethical or socialistic 'ideologies'. For the proponents of the theory of evolution, contradictions arise at the point where the expansion of the intelligentsia strata proceeds ahead of the accumulation of industrial capital too quickly, which is generally the case in the coercively underdeveloped countries. Even though a few educational economists (Harbison, 12103; Myint, 5304; Lewis, 5284) see no disadvantage in this development - purely from an economic standpoint - (cf. on this point pp. 164-5 below), there still remains the 138

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politico-social problem of unemployment among academic professionals, or the artificial expansion of administrative or services institutions by a parasitic bourgeoisie quantitatively much greater than that observed in the development of the West. The concepts and studies on 'institution building' in the field of'rational public administration and business administration' including the corresponding training institutions may also be categorized into the evolution model (cf. for example Esman et al., 10256; Golan, 13525), as well as comparative studies and training strategies for the propagation of achievement-oriented personality structures among young entrepreneurs and professionals in underdeveloped countries (cf. Danzig et al., 14031; McClelland, 14105) and studies which emphasize the 'missionary' role of businessmen and the intelligentsia within ethnic and religious minorities in the propagation of universalistic values and achievement-oriented behaviour (cf. Lipset, 1079; Hoselitz, in: 16026; M. Glazer, 4149; J. Fischer, 2067). 5.1.1.2 The representatives of the 'model of alternative domination types' attempt to develop Max Weber's ideal types of historical domination forms and assume a socio-economic development in 'qualitative jumps' during the course of which various pure or hybrid forms of domination alternately replace one another. These types are mostly constructed according to the two dimensions of value-orientation (sacral-secular) and authority structure (hierarchical-pluralistic). Modernization is only achieved successfully when the secular-pluralistic type has - via various alternative and hybrid transition systems - become dominant 1 . While the evolution models illustrate for the most part a naively ethnocentric projection of the historical linear development experience of the Anglo-American societies from the perspective of their social science ideologues from Ferguson to Parsons, the domination-type models include on the one hand the historical experiences of emulative industrialization processes with hierarchical and authoritarian domination types (e.g. in Wilhelmian Germany, in Russia, and in Japan) on the other hand they take into consideration the post-war experience of the ruling class in the United States to the degree that it is necessary to project 'modernization processes' with feudal and authoritarian regimes (from Morocco 1. Cf. above all, David E. Apter, The politics of modernization. Chicago, 1965; E. A. Shils, Political development in the new states. The Hague, 1965. 139

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to South Vietnam) for the purpose of securing strategic raw materials and resources and strategic bases in their conflict with the Soviet bloc 1 . From the viewpoint of the development models based on domination typologies and the related military and development policy strategies of the us American power elites, corresponding studies and prognoses in the field of higher education and the intelligentsia on the role of cultural, professional, religious and military elites in the stabilization or the rapid change-over from one domination system to another are exceedingly important. These include firstly the generalizing comparative studies which attempt to deduce on the basis of limited regularities in the relationship between elites and the domination systems in early emulative industrialization rules for the understanding and the manipulation of comparable current domination systems in developing countries, as well as, in conjunction with this, comparative studies on the role of elites and educational institutions in different national domination systems in developing countries (cf. Lipset), secondly, there are the prognosticate longitudinal studies which attempt to forecast a stabilization, crisis or change-over of certain national domination systems on the basis of the socialization and educational structures, the values and behaviour, the situation on the labour market, the professional perspectives of the emergent elite generations, or which advise the utilization of action strategies for intervention into these processes (cf. Ben-David and Collins, 1012; Atcon, 1887-88; Lipset et al, 12157, 14014). The latter are closely connected to social-scientific counter-insurgency concepts, about which more will be said in Section III 5 which deals with the dynamic of academic institutions within the context of political conflicts. Compared to the one-sided emphasis of the general subjective factors of modernization and the highly abstract conceptualization of the objective factors of social structure in the evolution models, the domination typology models include, in addition to this normative and subsumptive way of viewing these phenomena, the analysis of concrete mediatory institutional factors such as, for example, the structure of higher education, the situation on the labour market of academic professionals, the recruiting and formation of relevant elites. 5.1.1.3 The representatives of the'acculturation model' analyse moderni1. Cf. R. Bendix, 'Die vergleichende Analyse historischer Wandlungen'. Kölner Z. Soziol. soz-psychol. 17 (3), 1965.

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zation processes as a gradual integration or re-functionalizing of traditional structures into modern control mechanisms. In the transitional phases both the traditional and the modern structures exist next to one another making processes of acculturation necessary in which cultures partially foreign to one another mediate with one another and communicate in higher-level compromize constructs1. In this manner the historical experiences of cultural anthropology in the era of classical colonialism and imperialism on the one hand are utilized which corresponded to the British principle of indirect rule over dependent sub-systems in multi-racial colonies, on the other hand, use is also made of the experience with the acculturation situations and the 'third cultures' among the westernized intelligentsia strata (evolues, assimilados). In any case, authors from precisely these evolue sub-cultures have contributed studies for the acculturation model (cf. A. Muddathir, in Konig, ed. 12134; Aich, 14771; as well as L. Senghor's contributions to the construction of an abstract 'Negritude'). This means that compared to the domination typological studies we find here the problematic of modernization strongly reduced to subjective factors and a phenomenology of acculturation processes and sub-cultures. In the field of higher education paradigms designed to explain the dynamics of acculturation during the period of study in Western countries and the subsequent return to the home country become highly significant, as well as paradigms on the genesis and stabilization of so-called 'third cultures' of Western personnel in coercively underdeveloped countries, of students and academic professionals from these countries in the West, and finally of Westernized indigenous elites in the coercively under-developed countries. (Cf. on this point particularly Chapter III, 4 - Inter-cultural subjective development processes). 5.1.2 Theories of the 'Third World' I. L. Horowitz has formulated a systematic model of those development policy ideas prevalent among the progressively social-reformist strata of 1. Cf. above all Gabriel A. Almond and James S. Coleman, eds., The politics of the developing areas. Princeton, N. J., 1960; Daniel Lerner, The passing of traditional society. Glencoe, 111., The Free Press, 1958; cf. further, Bendix's comparative interpretation of the 'refunctionalizing' of traditional value systems in England and Japan, see above pp. 66-67.

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the intelligentsia in the capitalist industrial countries and many of the coercively underdeveloped countries1. This is an international stratification and conflict model which proceeds from the relationships of the 'Three Worlds': capitalist industrial countries, Soviet-socialist industrial countries, and 'developing countries' to one another. In this context the role of internal class relationships and the international class-character of the dependency of the 'Third World' on the industrial countries is emphasized. On the other hand, a so-called 'co-operation theory' framework is developed for the politicoeconomic development of the nations of the 'Third World'. According to this theory concept, it is presumed that a revolutionary uprising and removal of the feudal and parasitic-bourgeois power structure impeding the socio-economic development is a necessary pre-condition to any development at all with the goal of establishing a hybrid politico-economic system in which appropriate structures from the 'First' and 'Second' worlds conducive to development would be combined: a modern private capitalistic sector which would not impede development because it would be controlled by a dominant public sector. Forms of Western massconsensus combined with forms of political coercion from the Soviet system are held to be an ideal synthesis, a synthesis which guarantees in an optimal way industrial value patterns and organizational principles. In the field of higher education and the intelligentsia, there exist strategies of educational and labour economics closely related to these development theory models which do not set up priorities, in the qualification of labour forces in emulative industrialization processes, in a general expansion of higher education (be it in the home country or as study abroad) but which rather concentrate on on-the-job training for industrial workers and on trade-schools for technicians. (Cf. Harberger, 5300; Balogh, 16005, Hanson, in: 5022; Tinbergen and Bos, 5061) - a strategy which also precludes a coercive removal of the parasitic 'compradores bourgeoisie' as well as a rigidly directive and centralistic industrialization policy. These strategies of a 'third path' or a 'mixed system' offer (on a longrange basis) only partial prospect of serving the real interests of imperialist monopolistic industrial capital (in contrast to extractive monopoly capital) in the forced industrialization of certain regions of the 'Third World' 1. I. L. Horowitz, Three worlds of development. New York, 1966.

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including the removal of weak national private capital and of the interests of the parasitic bourgeoisie in these regions. 'Progressive' military dictatorships, nationalization of the facilities of the extractive monopolies, the application of specific Soviet planning methods, or even the introduction of Soviet development aid, may all be certainly desirable in this programme. Because, in the face of imperialistic industrialization of this nature, research and development processes are almost exclusively concentrated in the home country (or in the Soviet Union respectively) - which also includes the important decisions on which commodities are to be produced-the intensive promotion of higher education, science, technology and management became superfluous in the countries of the 'Third World'; instead, the 'brain-drain' of talented persons from these countries is being intensified. 'Mixed systems' which combine a highly directive policy of industrialization with the strengthening of national, independent, private industrial capital have, on the other hand, never been a success in the 'Third World'; everywhere monopolistic foreign capital dominated the scene, capital which could hardly be called upon to generously finance national technological research, development and training which alone would be capable of taking into consideration the specific socio-economic needs of the respective nations 1 . Nevertheless, the representatives of the 'Third World Model' still continue to propagate illusionary concepts and strategies for a 'third path', e.g. on the establishment of the co-operative system for land reform as well as for national accumulation of capital (Cf. Behrendt, 10238); on the role of the trade unions (cf. Lodge, 10273); on the propagation of industrial orientation patterns and on the establishment of a national political 'consensus'; on the promotion of 'cultural nationalism' as an aspect of 'nation-building' as well as for the ideological support of 'mixed' politico-economic systems consisting of pluralistic-capitalistic and 'socialistic' elements. It is from such concepts that the criteria for the determination of goals and contents of study and research programmes in the universities of coercively underdeveloped countries are derived. This also holds true for the aid programmes and the training of related 1. Cf. as a highly significant example of this: Paulo R. Schilling, 'Brasilien: Der beschleunigte Ausverkauf'. SozialPol. 5 and 6/7,1970; as well as the systematic analysis by James O'Connor, 'International corporations and underdevelopment'. Sci Soc. 34 (1). Spr. 1970: 42-60.

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personnel in the host countries in the West (Cf. on this point the individual studies listed in the topology of the literature under 5.2.4.3 on a cultural-economic analysis of the objectives of academic systems). 5.1.3 The theory of the example of the socialist countries From the point of view of the power elite of the Soviet transition system, no approaches to a politico-economic theory of the relationship between imperialism and the revolutionizing of the coercively underdeveloped countries have been developed. Whereas Stalin still estimated the revolutionization of the colonial countries to be 'a deciding impetus for the intensification of the crisis in the West' 1 , the Communist Party of the Soviet Union has instead of presenting a theory of imperialism and revolution limited itself since its 22nd Party Congress to the expectation that, above all, the socio-economic development of victorious socialism in the Soviet Union will accelerate the economic crises of capitalism and that the consciousness of the majority of the people in capitalism will become revolutionized to the extent that a parlamentary transition to socialism will be possible without civil war 2 . The anti-colonial liberation movements are, according to this point of view, firstly dependent on the higher socio-economic development of the socialist countries; secondly, they are only relevant to the extent that they secondarily contribute to the crisis of the capitalist industrial countries. In order to secure the socio-economic and military position of the Soviet system (and partially in contradiction to the support of liberation movements) a strategy of support for the national bourgeoisie in the coercively underdeveloped countries was developed and used as a basis for the Soviet military and technical aid and training programmes. Thus, relying on the economic crisis of imperialism, the Soviet-oriented Communist parties and progressive factions of the intelligentsia of these countries are to distance themselves from the military liberation struggles. 5.1.4 Theories of imperialism and international class-struggle The revolutionary-Marxist approaches to a theory of anticolonial 1. J. W. Stalin, 'Über die revolutionäre Bewegung im Osten' (On the revolutionary movement in the East), pp. 196-200, in: Werke, vol. VII, Berlin (DDR), 1952. 2. Cf. the new party programme of the CPSU.

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revolution are attempting to develop a differentiated analysis of the politico-economic laws of imperialism and class relationships in the course of which at present various aspects of this totality are pushed one-sidedly into the foreground. Thus, it is possible to differentiate three basic approaches: 1. theoretical models which generalize on phenomena of successful revolutionary struggles (in China, Cuba, and Algeria) in an inadequate manner and possess no differentiated analysis of the internal contradictions of imperialism; 2. theoretical models which proceed one-sidedly from specific phenomena in the relationships between the capitalistic industrial countries and the coercively underdeveloped countries; and 3. theoretical programmes which are attempting to deduce these relationships and perspectives of liberation struggle from the politicoeconomic laws of movement of monopoly capitalism and from the historico-concrete analysis of the contradictions in the coercively under-developed countries. 5.1.4.1 The generalizations of the strategies of successful liberation struggles, in particular of the Cuban and Chinese revolutions, by Mao Tse-Tung, Lin Piao and Guevara recognize the existence of many levels of contradictions - for instance, between the imperialist and the socialist camps, between the proletariat and the bourgeoisie in the capitalist countries, between the various imperialist countries, between the various monopoly capitalist groups, yet they conceive the central contradiction to be the contradiction between imperialism and the oppressed nations or between the 'cities and villages' of the world system in the era of highly developed monopoly capitalism. Only after the unavoidable victory of the national liberation struggles set off and waged by the peasant masses will the focal point of all contradictions be transferred back into the societies of the capitalistic West whose ruling clsses will have been decisively weakened by the loss of their colonies. The strategy of the socio-economic development of the 'Poor World' is, on this point, identical with the People's War of the peasant masses united with the - weaker - fractions of the urban proletariat and the intelligentsia and the subsequent cultural-revolutionary participation of these masses in the building of socialism. However, both the intelligentsia and the 145

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technological-scientific productive forces play only a highly sub-ordinated role according to this perspective both on the side of the liberation struggles and on the side of imperialism1. This theoretical model includes, in contrast to the thesis on the 'example of the socialist countries', or of the 'Three Worlds', the most important aspects of a theory of the socioeconomic emancipation of the 'Poor World' in its own system: the questions dealing with the causes of 'underdevelopment', the methods necessary to overcome this underdevelopment, the role of main and subsidiary contradictions, the relationships of the classes within the 'poor world', and finally the consequences of anti-colonial emancipation for the capitalist industrial countries. On the other hand, of course, many of these questions have not been answered on the basis of a systematic analysis of the concrete historical situations and contradictions in the various individual societal formations. Instead, the Chinese, in part the Cuban and the Algerian experiences in liberation struggle under specific historical and regional and international politico-economic conditions have been generalized. 5.1.4.2 Equally as one-sided, but in a different way, do most of the theoreticians of imperialism from the revolutionary-Marxist intelligentsia in the capitalist countries approach the subject. Corresponding to their own experience and information horizon, they concentrate mainly on the analysis of specific phenomena in the relationships between the monopoly capital of the industrial countries and the coercively under-developed countries: (a) the one group proceeds from the general socio-economic structure of these relationships: the one-sided terms of trade, the appropriation of a part of the surplus value of the 'poor world' by the capitalistic metropoles and the increasing dependency of these on the raw materials of the 'poor world' - in order to prove the increasing threat to imperialism by successful liberation movements2. (b) the other group emphasizes the strong position of the 'extractive 1. Cf. 'Über den langdauernden Krieg'. In: Mao Tse-Tung, Ausgewählte Schriften Vol. II, Berlin, 1960, and Bericht über die Untersuchung der Bauernbewegung in der Provinz Hünan. ibid., Vol. I, Berlin 1956; Lin Piao Es lebe der Sieg im Volkskrieg, Peking Rundschau, 37, 1965; Ernesto Che Guevara, Der Partisanenkrieg, Berlin 1962. 2. Cf. Harry Magdoff, The age of imperialism. New York, Monthly Review Press, 1968; Pierre Jalie, Die Dritte Welt in der Weltwirtschaft. Frankfurt am Main, Europäische Verlagsanstalt, 1969. 146

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monopolies' (e.g. the oil concerns) who dominate the imperialist policy of the USA in many regions of the 'poor world' where they collaborate with the most reactionary exploitative classes in these countries (major land holdings, trade, parasitic middle class) even against 'reform capitalist' attempts to industrialize1. (c) a third group of imperialism theoreticians concentrates on the, in their opinion, particularly dynamic aspect of the necessary interest among the high-export investment goods monopolies and high-wage-ration light industry - which today already dominates the development policy of the Western European countries and Japan - in the imperialist industrialization of the coercively underdeveloped countries. The overcoming of classic 'extractive imperialism' by 'industrial imperialism' would correspond to the long-range interest in a securing of the imperialist system as a whole - as percieved by the 'reform capitalist' fractions in the governmental agencies and departments - because only in this manner would it be possible to find an outlet for the growing amount of surplus capital as well as the expansive compulsion of capital in general, an outlet which, in addition, is incomparably more profitable 2 . From the point of view of the revolutionary Marxist theoreticians who have investigated the contradiction between extractive and industrial imperialism, systematic significance must be given to the differentiation in the modernization theories of the integrated social sciences in the capitalist countries: while the domination-typological models with their emphasis of the authoritarian-hierarchical transition systems and counter-revolutionary analyses of élites more closely correspond to the policies of an extractive imperialism, the endogenous evolution models and the models of a 'third path' are more compatible to the re1. Jack Woddis, Introduction to neocolonialism, London 1968; Ernest Mandel, Traité d'économie marxiste, Paris, Juillard, 1962; further the detailed analyses of the Pacific Studies Center on the dynamic interest of even the U. S. American export monopolies in the industrialization of the countries of the 'Pacific basin' constantly published in Pacific Research and World Empire Telegram. Cf. also the non-Marxist analysis by Peter Müller, Die Bedeutung der Industrialisierung unterentwickelter Länder für den deutschen Industrieexport. (The importance of the industrialization of underdeveloped countries for German industrial exports). Hamburg, Deutsches ÜberseeInstitut, 1968. 2. Cf. Paul A. Baran, The political economy of growth. New York, Monthly Review Press, 1957; Kurt Steinhaus, Zur Theorie des internationalen Klassenkampfes. Frankfurt am Main, Neue Kritik, 1968; Conrad Schuhler, Zur politischen Ökonomie der Armen Welt. München, Trikont, 1969.

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reasons that it remains concentrated in these metropoles. (This also has increased 'brain-drain' effects.) Particularly the French and West German development policy - because of the predominance of the USA in the field of extractive imperialism - has heavily concentrated on technical and ideological training aid (expert and leadership personnel for public and business administration, agriculture and simple technologies, trade unions, and mass media). At the same time - in contrast to the United States these governments do not have access to the necessary recources and methods for an effective development programme of industrial-imperialist research and technology (cf. Danckwerts, 10249; Stiebitz, 12237; P. Müller, op. cit.). 5.1.4.3 In a few of the theoretical programmes which have not yet been concretized on the basis of systematic analyses, an attempt is being made to mediate between a universal analysis of capitalism and historically concrete class analyses of the individual coercively under-developed countries. An attempt is being made to explain the relationship between the extractive monopolies, high-export investment goods monopolies, light industry and agriculture (in the metropoles) and the interests and agents of the long-term, general retention of the system of imperialism with regard to their effects on (a) the terms of trade, the exodus of capital, dependency on the 'poor world' for raw materials; and (b) the promotion of infra-structures, science, technology, and education with regard to the coercively under-developed countries; and (c) to the form and intensity of forceful and military domination practices - each of these aspects in its relation to the concrete interests of imperialism in terms of the individual countries of the 'poor world'. Parallel to these analyses historically-concrete analyses of the class relationships in these countries are to be undertaken in order to clear up the culture-specific subjective conditions for a revolutionization of the peasant masses, the urban proletariat, the intelligentsia and the petty bourgeoisie. This analysis must be mediated with the analysis of the effects of the concrete and current intervention of imperialism into these class relationships. In contrast to the generalizations of the Chinese and Cuban theories of revolution, a few of the provisory strategy studies from the point of view of this theory programme emphasize the fact that in many of the coercively underdeveloped countries, both the urban intelligentsia and the working class will play a key role in the introduction and leadership of revolutionary 149

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struggle for several reasons: because of the subjective barriers to revolutionizing the peasant masses in societies with particularly low levels of culture (or with cultures destroyed by colonialism) or with specifically religious cultures (e.g. Islam, Hinduism); because of the growing class contradictions in the cities (flight from rural areas, joblessness, class down-grading of the petty bourgeois intelligentsia) in countries with a beginning, highly contradictory imperialist industrialization; because of highly technological counter-insurgency operations particularly dangerous to peasant liberation struggles; and because of the intensive attempts to integrate the 'middle strata' into imperialist policies through 'cultural and scientific imperialism' (one-sided technological and ideological training aid or training in capitalist countries, including parasitic patronage structures; cf. Steinhaus, op. cit, supra, p. 139; Stiebitz, 12237; Schuhler, op. cit., supra p. 139; Fanon, 12292). The epistemologicalperspectives relevant to the above-mentioned theoretical models are manifold, yet often unclear or ambivalent. In the 'modernization models' highly abstracted structural-functionalist taxonomies are developed which, at the same time, are designed to serve as normative orientation patterns. Or the construction of ideal types (in Max Weber's definition of the term) transforms itself inadvertantly into the construction or real-typologist action strategies. Prognosticative, normative, and U t o p i a n p e r s p e c t i v e s become muddled i n t o the models of a 'Third World'. Historically, materialist theories derived from past revolutionary practice of the political economy of capitalism and revolution melt away to apologetic or voluntaristic norms separated from current and concrete opportunities for practice. Perspectives for empirically analytical studies - be they on the analysis of communicative acts in the context of social roles and institutions or on the analysis of goal-rational decisions and planning for the allocation of resources - assume, because of objective and ideological reasons, only a sub-ordinate role compared to the perspectives mentioned, partially because many analytical questions simply are not asked, partially because they cannot be answered in a manner empirically verifiable.

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The division into areas of social structure that we chose for the developed industrial societies must be modified if we are to characterize the historical situation of societies in emulative transition to industrial development. In the former societies we have assumed as a basis a relatively stable social position for the academic and intellectual professions, so that prominent treatment was accorded to the problems of their internal social structure, their quantitative expansion and their qualitative and structural change in the train of scientific and technological progress. However, the focus in the case of societies in the 'Third World' is on the varying position occupied in each case by the academic élites and professional groups in the relations among the various social classes of their society as well as on their relation to the power élites of the capitalist and of the more highly developed socialist countries. The socio-economic situation and the political and ideological positions obtaining in each case for the intellectual strata are in these societies constitutive both of the degree and the direction of socio-economic progress and also of the forms and the stability of societal domination and political control. On the other hand these societies and their academic systems and intellectual strata cannot be looked upon as closed historical units. In contrast with the historical situations of original transition to industrial social formations (treated in section 1,1, above), we are analyzing here in the process of emulative industrialization situations in which the dialectics of non-contemporaneous contemporaneity of these societies come fully to bear. They stand to a high degree in a certain sense at the disposal of the dominant social and political forces of the highly developed capitalist countries, but also to a lesser extent at the disposal of those of the industrial societies committed to building socialist systems. The sociostructural, ideological and economic driving forces governing the behaviour of power groups in the highly developed societies vis-à-vis the 'Third World' must therefore be considered-in respect also of their effects on the academic system - as a central area of social structure for higher education and the situation of the intellectual professions in the' Third World'. These considerations yield the following division of areas of social structure : 151

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1. The relations between developed industrial social systems and the 'Third World' in their effects on academic systems: (a) institutions of domination, politics, and warfare pertaining to colonialism and imperialism in the 'Third World' ; (b) the political and military influence of the industrially developed socialist transition systems on the revolutionary socialist countries, and the movements of liberation in the 'Third World'. 2. The socio-economic situation and the political and ideological position of the intellectual strata and of the student bodies in social classrelationships and in relationship to the imperialist and the revolutionary forces within their societies. 3. Access to academic systems and social status-allocation. 4. Higher education and academic professions in the process of induced development. Alongside the literature to be treated in the framework of these aspects of social structure there are only a few studies that need mentioning whose concern is a comparative analysis, in terms of historical sociology, of the situation of academic systems and élites both in original, in intermediate (or delayed) and in present-day (or emulative) historical situations of industrialization: Bendix (1016), Ben-David (8), Ben-David and Collins (1013), Kerr et al. (12131) and Lipset (1076), as well as a few further studies to which reference is made in the publications named. 5.2.1 The relations between developed industrial social systems and the 'Third World' in their effects on academic systems It is striking that almost no comparative studies have been undertaken into sociostructural, economic and ideological determinants of the scientific and cultural policy of both industrial social systems considered together vis-à-vis the Third World. Instead, in many Western studies, what is investigated is the relative 'influence' or the supposed strategies and objectives of the socialist countries vis-à-vis western imperialist positions, or else this epistemological intention forms the background of detailed analyses of academic systems and élites. (Cf. 5.2.1.2). 5.2.1.1 The institutions of colonialism and imperialism If we wish to understand the effects on academic systems of present-day 152

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imperialist positions of domination and strategies relating to politicomilitary considerations and to development policy, then we require also in many cases a knowledge of older colonialist policy and its special emanations in the sphere of education, such as formed the practice of the classical colonial powers Spain, Portugal, Great Britain, France and Holland. Spanish and Portuguese university policy in Latin America (including the structural development these pursued after the independence movement of the 19th century) have formed the subject of important studies by Konetzke (1926), Lèal (1932), Carreno (1897), MacLean y Estenös (1934), de la Fontaine (1907), Estarellas (1153), Lanning (1927, 1928), Furlong (1913), Steger (1955) and Albô (12268). British university policy in Africa has been investigated by inter alios Lapchinskaia (1174), Scanion (ed. 626) and Ashby (1839). Ashby (1134) has also given a basic summary account of British university policy in India (cf. in addition Hilliker, 12301). On the subject of the politico-economic and the socio-structural causes ofpresent-day imperialist policy and warfare in the Third World in general there are equally as few thorough scientific analyses as there are on the ideological and cultural political correlates of such a policy on the part of imperialism. Attempts at an undogmatic Marxist analysis of the most recent stages of imperialism have been made especially by Baran1, Mandel2 and Magdoff (10275). The studies of W. A. Williams, D. Horowitz (ed.), G. Kolko,3 Horlemann attempt to reconstruct these politico-economic structural factors as they apply on the levels of external and military policy. In the analyses made by Deppe-Wolfinger (12059), by the Internationales Nachrichten- und Forschungsinstitut (INFI) of the German SDS in West Berlin (1166), by Stiebitz (12350), Danckwerts (10249), by the North American Congress on Latin America (NACLA), New York (10231, 10477, 10281, 10360), in the symposium of 'us Imperialism and the Pacific Rim' (12346), by the Committee on Returned Volunteers (10245-6), the Africa Research Group (10232 and 10481)4, the Pacific 1. Paul Baran, The political economy of growth, New York, Monthly Review Press, 1957. 2. Ernest Mandel, Traité d'économie marxiste. Paris, Juillard 1962, cf. also 16054. 3. William A. Williams, The tragedy of American diplomacy. New York, World 1962; David Horowitz, ed. Containment and revolution. London, 1967; Gabriel Kolko, The roots of American foreign policy. Boston, Beacon Press, 1969; Horlemann, cf. 68. 4. Cf. also their recent study International dependency - a report on imperialism and foreign aid in the 1970s. ARG (P. O. Box 312, Cambridge, Mass. 02138), 1970.

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Studies Center1 and by D. Horowitz (12546-7), these investigations have been extended to take in the cultural political dimension of imperialism (i.e. the activities in the field of technical and educational aid, academic exchange, development-oriented and counter-insurgency research). In a rapidly growing number of publications, written from the official political perspective of the us government (or in ideological agreement with it), the foundations are laid for strategies and conceptions with regard to the development of education, culture and science in the Third World that can be designated as 'cultural imperialism'. They form part of a global strategy for containing or as the case may be destroying social revolutionary movements of liberation in which students and young intellectuals are directly or indirectly involved, and to this end they aim at the infiltration of the staff of cultural and academic professional institutions, or at the structural reform of these, in the interests of capitalist and anti-communist ideology and of economic or military power politics. The means to this end are exchange and aid programmes, the financial manipulation of mass-media (cf. 12343) and cultural organizations, and, as a recent preference, through non-government channels (foundations, churches, firms, trade-unions: cf. Alger, 10234; Holloway, 10266; Lodge, 10273; Cook, 10534. To this growing body of cultural imperialist literature from the fields of political science and sociology belong inter alia: Pye (1195, 1196, 1197), Wolf (320), Fallah (279), Textor (1207), Fagan (1910), Spaulding et al. (10290), Beck et al. (305), Elliott (312), Humphrey (318), Powelson (1194), M. B. Smith (5071), Myers (10549), Burger (3044), Shils (12223-4), Lipset (298, 12105, 12148, 12150, 12156, 12157), Weidner (1214), Metraux (1185), Johnson and Colligan (1167), Coombs (308) in the USA; König (ed. 12134) and Behrendt (10238) for West Germany. Critically interpreted descriptions of the enlistment of social scientific research in the USA into so-called counterinsurgency research programmes for predicting, containing and suppressing social revolutionary movements as well as 'urban unrest' and 'student unrest' have been compiled by radical research collectives, cf. Klare (10360), Africa Research Group (10232), Brightman and Klare (10231), Peck (10467), 'Sublimal warfare'... (10477), 'Radical study guide to Africa' (10481) and Pacific Studies 1. Cf. in particular their case study Counterinsurgency in Thailand ARPA, AID, and the university establishment. PSC (1963 University Avenue, E. Palo Alto, Calif. 94303), 1970.

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Center (op. cit., p. 155); Cf. on this subject also the special studies of I. L. Horowitz (317, 5118, 12547), Crawford 1 , Biderman (12397), Sander (10387), and Krippendorf (1171) on the use made of social scientific research and expertise in the foreign and military policy of the United States. The strategies and problems of the neo-colonialist cultural policies of the Western European capitalist governments and semi-governmental agencies are less well documented (cf. 12307, 12319, 12344, 12357, 13017, 16093, 10566) and also rarely analysed, as yet, with a critical sociological and politico-economical method. Preliminary perspectives have been conceptualized by Stiebitz (12350), Danckwerts (10249) and DeppeWolfinger (12059). Even less is known on Japanese technical aid to 'underdeveloped' countries (cf. 10567). The objective complicity of the cultural ideology and policies of westernized (or 'third culture') native intellectual and political elites in the context of western cultural imperialism has been pursued by Fanon (12292) and Tibi (12355). A similar complicity of Israeli technical and educational aid to certain Third World countries (cf. Kreinin, 10545; Samuel, 10554; Laufer, 10547) has recently been exposed by the Africa Research Group (10233). 5.2.1.2 The influence of socialist transition countries The influence of the socialist industrial countries as well as of the movements of liberation and of the independent socialist countries among the intelligentsia in the Third World have occupied the attention of numerous western writers: cf. on an international scale Cress (10243), Griffith (10203), Robinson (10288), Kovner (10544), and Tansky (10557), Fagen (1910 and 13476), Hart (472), Vincente (1958), Hartmann (473), Cockcroft (1901), Suchlicki (13500-3), Boza Dominguez (13468), Ryder (13497-8), and Walker (1208) have investigated the role of students and universities or colleges in the Cuban Revolution. The role of students and universities in connection with social-revolutionary trends in other Latin American countries are analyzed by Durand-Ponte (13472), Cockcroft (1901), and Cuenca (1904). Botzaris (10240), Brzezinski (10241), Hamrell and Widstrand (10263), Hanna (4192-4, 13528) have traced 'communist penetration' of elites and students in Africa. 1. Elizabeth Crawford, The r6le of social science in foreign policy. Washington, D.C., Bureau of Social Science Research, Inc., 1965.

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Attempts to retrace the objectives of university policy and the position of the intellectual professions and of students in the various phases of the Chinese Revolution up to the cultural revolution have been undertaken by Chen (1819), Chow Ching-Wen (1821), Doolin (1824), Mac Farquar (1864), Johnson (1854), Israel (1850-51), Vogel (1874), Bridgham (1812), Gouldner (1836), Scalapino (1199), Pool (in 12140), Lindbeck (12320) and Bernstein (12033 - a comparison of leadership - masses relationships in the Chinese as against the Soviet collectivization campaigns). On higher education and expert cadres in the 'Great Proletarian Cultural Revolution' cf. the section B. China, in the Supplement Bibliography, nos. 13411 to 13462. Theoretical discussions and descriptions from the perspectives of the socialist parties or intellectual groups in these countries themselves have so far been accessible in only isolated cases, cf. for China Che-Hsueh Yen-Chiu (1814), Hu (ed. 1843), Lu Ting-Yi (1867), Yang yeh (1881), in addition 13420, 13427, 13453, 13454, 13457, and the Soviet study on China's cultural revolution by Zanegin et al. (13462); Alonso (13465), Butler (13469), Castro (13470), Morray (13488), 'La Universidad de la Habana...' for Cuba; 13607, Nguyen Tien Cuong (13621 a), 13611, Quu (13624), Napalkov (13621), Sarovskii (13625), Than Binh (13632), To Minh Trung (13634), Weiss (13635) for Vietnam. The principles of Soviet educational and technical aid policy have been outlined from the Soviet official viewpoint by Tretyakov (12356). Determinants and limits of the influence and success that Soviet development policy has had in the process of socio-cultural emancipation has been studied intensively by Kukhtina (2022) for the case of Afghanistan (cf., by contrast, the investigation by Eberhard (7339), into the Afghan 'young élite', as seen from the perspective of us policy). For the problems of Soviet scientific and educational aid to China cf. Klochko (12311). 5.2.2 The socio-economic situation and the political and ideological position of the intellectual professions in the class structure, and the relationship they have with the forces of imperialism and socialism can be investigated on various levels and with various time-perspectives: the long-term cultural historical stamp given to the intellectual professions in a particular society; the socio-economic situation and development of the intellectual 156

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stratum seen in a time perspective embracing the most recent past and the immediate future; and the political and ideological position of the various strata, professional groups and organizations within the intellectual professions in a current network of political relationships and temporary alliances among different classes, strata and power groups. Extreme differences are obtained with respect to the socio-economic development level of individual countries; there are substantial qualitative differences among the generic traditions of high culture which have, moreover, been variously amalgamated with the different cultural traditions that the West has 'exported'; and there are differences in the political power relations and the geopolitical and military situation. For all these reasons, it is necessary for investigations into these situations and positions of universities and academic intellectuals to attempt to cover a relatively large number of social structural factors in one historical situation in a particular country, rather than to 'compare' particular isolated factors in a large number of countries. Such comparisons often lead to abstract speculation about incidental regularities, behind which a number of contradictory factors (in some cases cancelling each other out) can he concealed and fail to be recognised. Different from these again, however, are genetic comparisons which take just a few countries that are comparable in terms of particular criteria, and then attempt to investigate an historically meaningful structure or even the totality of socio-economic, ideological and military and political factors, including their genesis. So far, there have been no systematic comparative investigations of this kind into the intellectual professions and the whole range of class relations in particular countries. Instead, we must refer to a few impressionistic and speculative discussions of the question: Friedman (1298), Shils (1110, 12223), Benda (1136), Ben-David and Collins (1012), W. A. Lewis (5030), Grohs (12095), Lipset (1079), Hoselitz (in 16026) and Heintz (1066), as well as the introductory statements in particular collections of country studies on education, intellectual professions and socioeconomic and national political development, e.g. Piper and Cole (ed. 1100), Coleman (ed. 1966), Emerson (ed. 6026), Lipset (ed. 1983). For all that, some of the studies on this question do contain, for particular regions and cultures, limited comparative analyses and discussion of relevant inconsistencies in the patterns shown by countries that are related in terms of socio-economic or of cultural history. If the field is 157

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divided into cultural and geographical regions, it will be found that the majority of publications concern Latin America and Black Africa (especially West Africa), whereas only a few studies are available on the socio-structural and political positions of the intellectual professions in countries in Southern and South-East Asia. For Latin America cf. Mendoza Diez (4159) and Murillo Reveles (1938) who have investigated the position of academic intellectuals in the Mexican Revolution, and Graciarena (1915) and Izaguirre (4157), whose work concerns in particular the professionalization of intellectuals in the framework of advanced stages of urbanization (in the Argentine), as well as Goldrich (4166), Therry (1956), Gonzales et al. (1914) and Steger (1955); for black intellectuals in the West Indies cf. Oxaal (13493); for South Africa cf. Kuper (1982) and Centlivres (6123); for Black Africa Balandier (13715), Chirenje (13521), Ziegler (2001), Wallerstein (1998), 'African élites' (1961), Coleman (1966), Foster (1972), Kimble (1980), Smythe (1996), Stanley (4200); Lloyd (ed. 13536) and Marvick (13539-40), for the Islamic Near East Frey (2014/2015), Berger (13548 a-13549), Charnay (13551), Dodd (13554), Hambly (13560), Quandt (13570), Steinhaus (13573), Tibi(13574), Waterbury (13576) ; for Southern and South-East Asia Damble (4227), Shils (2060), Niel (2078) and 'The rôle of the Western educated élite' (2058). A few centres of special importance can be noted, sometimes in comparative studies, sometimes in analyses devoted to particular countries : a) The conflicts concerning academic freedom and the autonomy of universities and colleges as between a Westernized and privileged middle stratum on the one side, and on the other side, centralist government parties, some of which are oriented towards state socialism and neutralism, other of which, under western imperialist influence (in particular from big oligopolistic firms supplying capital), and who are compelled to rigid, centralist allocation and direction with respect to the educational system and the infrastructural system in general: cf. for this Ben-David and Collins (1012), Einaudi (6120), Grohs (12095), Moreira (5280) and Ashby (1497). b) The rôle of ethnic, religious and cultural minorities as carriers of antitraditional innovations and of private entrepreneurial initiative in particular 'development countries' under capitalist imperialist influence has been brought out by Lipset (1079), Hoselitz (in 16026), Hutchinson (7322), M. Glazer (4149) and J. Fischer (2067); to these 158

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ethnic minorities (e.g. particular groups of immigrants in Latin America, Africa and the Near East) is assigned a socio-economic function comparable with that of the Jews in the history of European industrialization. c) The significance of a fully-developed professionalization of particular vocational groups (speaking in terms of the structural and functionalist theorem of professionalization that has been given its characteristic stamp by Parsons and Merton) for the stability of political power relations in situations of continual socio-economic development has been emphasized by M. Glazer (4149), J. Fischer (2067), and Ben-David and Collins (1012). 5.2.3 The more closely defined framework consisting of the three factors of access to universities and academic professions, social status allocation, and socio-economic development within the general historical situation of the intellectual professions in class-relationships can be divided in a way similar to that obtained for industrial societies, namely in accordance with whether the investigations, in choosing what to isolate and stress and to make their theme, give greater prominence to 'objective' social factors, factors of institutional mediation, or whether they give this to 'subjective' components. 5.2.3.1 Objective social indicators and determinants of access (background in terms of social class, cast, profession, ethnic status, religion, region, sex, language etc., cf. section I, 3.3.1.1) occupy the forefront of attention in the following studies: for Latin America Germani (4148), Graciarena (7321), Hutchinson (7322), Izaguirre (4157), Esphineira and Mello (18161); for Puerto Rico Nieves Falcon (7326), Sussman (7331) andTumin and Feldman (4171); for South Africa 'Education and the South African economy' (621); for Black Africa Caldwell (7333), Foster (1972, 7334), Jahoda (4196), Wyllie (7337); for countries in the Near East Eberhard (7339), Garaty (2015); for Pakistan Ahmed (18162); for India Gupta and Saiyidain (18164), Bhanot (18163), Vreede de Stuers (4528), Kamat and Deshmukh (7351), Jaiswal (7350) and Krishnan (7353), Ministry of Education Rajanand Subramanian (14781); for Hong Kong Simpson (7359); for China Chen (7313) and Kun (7319). 159

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5.3.2.2 Social mediating factors of an institutional and organizational kind (school system, organization of access to university or college, system of student financing, sub-cultures, nepotism and patronage etc., cf. 3.3.1.2) have been less often investigated: cf. Agulla (1884), and Sussman (7331) and, in addition, for costs of studying and means of financing these Labbens (5379), Nieves Falcon (7326), Orellana (7328) and Velazquez (7337) - all the preceding for Latin America; Taylor, ed. (1997), Caldwell (7333) for Black Africa; Kerr (2019), Hassan (5292), Qubain (633), Waardenburg (2030), Geraty (2015) and Maquaryws (2024) for the Arab countries in the Near East; Shipira and Miron (14769) for Israel; Arasarkadavil (4223), Dongerkery (7347), Khushro (7352), Ministry of Education (7349) Muniruzzaman (18166) and Selim and Ahmed (14784) for South Asia; Kun (7319) and Barnett (13411) for China; 10487 for North Vietnam. 5.3.2.3 Predominantly subjective component of status allocation and of access to university or college and to academic professions (personality structure and motivation, ideologies, religious belief, status and class consciousness, race stereotypes, cf. I, 3.3.1.3) have been investigated in an international framework by McClelland (3014), in South Africa by Danziger (4186), Bloom (4181), and Bloom et al. (4182); in Black Africa by Hare (8005), Kline (8281), Rogers (4199), Omari (4197); in Israel by an us Air Force project on 'Kibbutz-raised young men' (14766); in Southern Asia by Eister (7348), Straus (4180/4181), Mukerji (4240), Saxena (4245), Vreede de Stuers (4258), Mangalam (4239, Chatterjee (7342), Shan (4246), Sinha et al. (4249), Kuppuswamy (4235), Rath (4242) and Sirsikar (4255), Dadlani (14772); in South-East Asia by Javillonar (4270/4271), Kadri (8284), Lacuesta et al. (14792) and Mercado (4275); in Latin America by Fernandez (4144) and Ruscoe (14749), and in the Near East by Prothro (4219), Alzobaie and El-Ghannam (14762), and Baali (4207). (All the studies mentioned here are restricted, in the context of a marked isolation of factors, to predominantly subjective components.) 5.3.2.4 We may also note the following studies that attempt to cover both 'subjective' and 'objective' components (cf. I, 3.3.1.4) in combinations that are at times complex; often, however, they only combine markedly isolated individual subjective factors (e.g. personality features) 160

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with just a few objective sociographic data: in Latin America Munoz (1937), who investigated the relationship of symbolic expressive role elements and educational objectives to socio-economic developmental tasks of advanced training, as well as Tumin and Feldman (4171) Sussman (7331) in their intensive sociographic and social psychological inquiries in Puerto Rico: and also Graciarena (7321); in Black Africa Clignet and Foster (4185),deCraemerandFox(4187), Golah (1974) - the latter two on academic training in the Congo - , Goldthorpe (4191); in South Africa Pettigrew (4188) and Kuper (1982); in the Near East Abadan (4204), Baali (4207), Brammer (4209), Prange (4218) and Makarius (2033); in Southern Asia Damle (4227), Sirsikar (4255), Mangalam (4238, 4239), Aranhashenoy (2036); in the Philippines Guerrero (4265). 5.2.4 The thematic area higher education and academic professions in the process of induced social and economic development represents a field of research that, at least in its claims, is the most interdisciplinary in character. It is however not the case that these interdisciplinary claims and programmes have in fact been fulfilled in the form of systematic projects. This research area in social structure, too, can be approached with the most varying degrees of breadth and of time perspective. Its perspective in the economics of education - concerned with strategies for optimizing factors of rapid socio-economic growth - is for its part already interdisciplinary, and it claims to be taking already some account of the economics of the subject-matter of education and science or of psychological dispositions and costs. But alongside all this, other writers have brought to the forefront of attention other dimensions, such as the development of the entire socio-cultural infrastructural and social system (education, health, traffic and communications, relations between the generations, relations among ethnic groups and minorities, religion and custom, geographic and ecological differentiation etc), as well as the development of national power relations (including aspects related to geopolitics and military strategy). Among researchers in the USA, this extension of multi-disciplinary 'development research' is to a certain degree a consequence of the organizational and financial structures of the stepped-up process of 'scientification' in American foreign and 161

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military policy. There is a tendency towards an abstract somewhat artificial multiplication of research tasks and definitions with grants, contracts and awards to go with this, in a way characteristic in general of the symbiotic field of relationships between campus and federal agencies. In part also, what finds expression here are evidently academic needs for prestige and the more advanced or more modern academic training of many of the functionaries of American foreign and military policy 1 . This has not been without its effect on the international organizations whose work is bound up with this and which also further such development s t u d i e s (ILO, UNESCO, OECD etc.).

Various stages in this extension of the definitions of so called development research can be noted, with respect also to the sector 'Education and science': 5.2.4.1 The immediately economic studies towards the optimizing of the quantitative and structural employment offactors of economic growth, such as literacy; elementary, secondary and higher education; research and development (cf. 16006, 16058, 10755); various stages of unskilled, skilled and scientific man-power. After a phase of 'speculative and normative' formation of strategies and theories in the economics of education, for which the regional UN or UNESCO conferences at Karachi (1959/ 60), Tokyo (1962), Addis Ababa (1961), Tananarive (1962) and Santiago de Chile (1962) were characteristic, but whose politically motivated Utopian development plans proved unfeasible, there developed various more realistic 'schools' of strategy in educational economics. In this process, a prominent feature is the decision to restrict in a more or less radical way the trend (predominant in most countries in the Third World) towards a disproportionate expansion of higher education and particularly of fields, e.g. jurisprudence and the humanities, which contribute little to production and cause unemployment among the educated (cf. Meschkat, 13592; McQueen, 16455; Kennedy, 16460; Myers, 5281; Shaath, 5295; Blaug et al., 5297; Myint, 5304; Kerr, 2019). Often the divergent views found in discussions on priorities and strategies widens to the point where an alternative is posed between increasing the investment in machines and plant (with learning to result from within the 1. Cf. on this subject Krippendorf (1171), Lipset (298), Horowitz (317), ABT ASSOCIATES, INC. (10230), Crawford and Biderman (eds. 12285).

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processes of production) to increasing the investment in the schools (cf. e.g. Harberger, 5300). On this question of the strategic place to be assigned to higher education, one side of the debate is presented especially by Harbison (5023, 1063, 5286), Lewis (in: OECD 5033, 5289) and Myint (5304 and in: 5002). The argument is that, seen from a purely economic point of view, a rapid expansion of the university or college sector, which at first might run ahead, formally speaking, of current needs, might, with a more longterm view, quite possibly be functional, and for two reasons. First, the 'inflationary' trend in the professional expectations of those trained and in the raising of the presuppositions for training will give rise to an enormous expansion of the market, as a result of which, the economy could in practice absorb any number at all of persons with such training. Secondly, highly qualified man-power brings about multiplicatory effects in the process of the diffusion of knowledge and of impulses to learning. The only problem in all this, it is suggested, is the 'frictional heat' that might emerge from the growth (if only transitorily) of a politically radical potential of graduate unemployed persons. For this, it would be possible and necessary for social political counterstrategies to be developed, and these, given favourable conditions (e.g. as in Mexico and the Philippines) would appear to be quite feasible. On the other side Balogh (477), Harberger (5300), M. H. Kerr (2019) have attempted to demonstrate the low capacity the economies of these countries have for the absorption of more highly trained persons, or they have emphasized the precedence the secondary school system, semiprofessional, technical, vocational, training and teacher-training should have over the university sector (cf. Lewis, 5289; Hansen, 5021; Tinbergen and Bos, 5061; Cohen, 10442; Dordick, 16443) or, yet again, they have cast doubt on the whole notion of development strategies primarily geared towards educational policy (cf. Bowman and Anderson, 11). To some extent, systematic intelligence analysis of the Chinese economics of science and education by American experts has also been decisive in questioning these early Western concepts of education and development: cf. Chen (7313), Berberet (5267), Cheng (5268), Ikle (5269), Orleans (5271), Sheeks et al. (16437) and Watkins (16438). 5.2.4.2 As a first stage in the extension of the strategic research theme of 'higher education and economic development' we may consider the 163

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behaviouristic or 1 psychologists conceptions that promise a decisive escalation of economic development from the systematic furthering (through mental stimuli, sanctions and rewards) of particular entrepreneurial and innovatory modes of behaviour. These latter are understood as personality qualities that can be released through the psychologically skilful actualization of a long-term potential that may have a specific sociocultural, racial or national cultural stamp, and the development that is promised will include the necessary enhancement of the motivational potential for intensive and demanding processes of learning. To this research trend belong the empirical and descriptive studies of Tancer (14504) in Latin America; Gappert (14756) in East Africa; Strauss (4280-81), Javillonar and Bellosillo (4270), Javillonar et al., (4271), Macridis and Wahlke (12161), Slate (10495, a Pentagon project on 'psychodynamic structures in Vietnamese personality') in South-East Asia; the us Air Force project on 'Kibbutz-raised young men' (14766), Shaath (5295), Institute of National Planning (4212) in the Near East, as well as the theoretical contributions made to social psychological 'development strategy' by MacClelland (14015) and Danzig et al. (16023). 5.2.4.3 A further stage in the multi-disciplinary extension of development strategy in the field of the economics of education and research is formed by the kind of analysis and programme that emphasizes the political, ideological, geographical and sociocultural conditions and determinants of decisions in the economics of education and research of particular subjectmatters and objectives of academic education and research, but nevertheless retains a perspective that derives primarily from the economics of human resources. Such studies lay stress on the economically unrational effects of the transfer into countries in the Third World of models of university organization (social climate, aspirations to status and prestige on the part of lecturers and students, staif-student ratios) and of the system of division into disciplines and professions based on the academic professional and specialist organization found in highly developed societies. They also point to the further irrationality of the fragmentation of large areas of the Third World into small states which (as with many regions in larger states), when looked at the point of view of educational economics, are in no position to support any viable universities. These prevailing tendencies are at the same time confronted with strategies, also conceived from the viewpoint of educational economics and 164

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social policy, for restructuring the substance of the way disciplines and professions are divided. Examples are the development of a 'multipurpose' academic training combining law, economics, and social scienceor social science and engineering, or of new kinds of research foci where the emphasis is on agricultural science. Alternatively, an analysis is offered of the strategic significance of the spread of particular technological and scientific developments (and of the training programs connected with these) for economic development. To this 'concentrically expansive' multi-disciplinary economics of education and research, dealing with academic subject-matters and objectives as well as their structural organization and their socio-structural, cultural and geographical, and politico-ideological conditions belong inter alia: the studies of Moore (1092), Barbosa de Oliveira (5703), Chaparro and Aller (1900) Oliveira (5282), Tillett (13506), 'Technical élites in Argentina' (13505), Grohs (12095), Rashid (2056), Hunter (5288), Qubain (633), Carr-Saunders (1146), Bobrowski (1140), M. B. Smith (5071), Shah (ed. 12222), Shils (12224), Bennet (12275), Blaise (12276), Social Survey Research Center Hong Kong (4299), 'Education et développement' (2066), UNESCO/IAU (5305), as well as the analyses, in terms of cultural geography and educational economics, by Myers (5281), King et al. (1924) and Wells (4178) on Mexico. The following survey of literature on the sphere of 'Higher education in (emulative) socio-economic development processes' gives a summary of those studies whose trend is multi-disciplinary : International comparisons, situation reports and methodological and strategic discussions have been made by McClelland (3014), Moore (1092), De Witt (5299), Gibbons (5019), Hansen (5021), Harbison and Myers (5023), W. A. Lewis (5289, 5030), Harbinson, Lewis, Tinbergen and Bos (in: OECD 5033), page (5042) and Phillips (5045). For the situation in individual regions and countries we may refer to the following studies, which to some extent also act as guide to additional specialist literature : China : Cheng (5268), Ikle (5269), Orleans (5271) and Yang (5272); for Latin America CAPES (5274), Barbosa (5273), Piatt et al. (5283); for Black Africa Harbison (5287), Lewis (5289); for South Africa 'Education and the South African economy' (621); for the Near East Hassan (5292), Robinson (5294), Shaath (5295), UAR Ministry of Education (480), Institute of National Planning (4212); for Southern Asia Arasarkadavil (4223), Di Bona (4230), Majumdar and Anand (4236), Mangalam (4239), Sinha and Niwas (4252), Sinha et al. 165

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(4253); projects of the Unit for Economic and Statistical Studies on Higher Education of the London School of Economics and Political Science: Blaug et al. (5297), Burgess et al. (5298), and Layard et al. (5302), in addition DeWitt (5299), Harberger (5300), Institute for Applied Manpower Research (5301) as well as for South East Asia Myint (5304), Javillonar and Bellosillo (4270), Javillonar et al. (4271), Mercado (4275), Social Survey Research Center, Hong Kong (4279), Strauss (4280-1). 5.2.5 These last schemes of research into 'Education and development', while extended in a multi-disciplinary way, have remained primarily in the field of educational economics. Different from these is another trend which forms more of an off-shoot of research in educational economics of a strategic or operational nature - namely studies into the 'development' or 'modernization' of national culture and politics, and of the corresponding institutions, that work with the key-concepts of 'political development', 'institution-building' (cf. 10254, 10294), 'nationbuilding' (cf. 10285, 10474, 10480, 10494), 'modernization of society, culture, politics and government' 1 . Investigation is still needed to know how far the branching off of this multi-disciplinary line of research from others that primarily belong to educational economics but are also multidisciplinary represents nothing more than a reflection of the abstract and 'artificial' processes of branching off and differentiation found in the social scientific market (cf. 10315), and to what extent it is an expression of historically concrete needs of groups within the American imperialist leadership stratum. For in view of the declining directly economic significance of some areas of the Third World for the imperialist powers, this leadership has shifted its attention more markedly towards the predominantly political and military control of these zones, in order to counter social revolutionary movements of liberation and influences emanating from the socialist states (especially from the Chinese CP's mo1. Cf. G. Almond, J. S. Coleman, eds. The politics of the developing areas. Princeton, 1960; J. H. Kautsky ed., Political change in underdeveloped countries: nationalism and communism. New York, Wiley, 1962; J. L. Finkle and R. W. Gable, eds., Political development and social change. New York, Wiley, 1966; Weiner ed., Modernization. The dynamics of growth. New York, Basic Books, 1966; L. W. Pye, Aspects ofpolitical development. Boston, Little Brown, 1966; and by the same author, Crises in political development. Princeton, N. J., Princeton University Press, 1968.

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del for socio-economic development), irrespective of the furthering or hindering of socio-economic progress1. The intensive support given to this line of research by important us government agencies (cf. 10297, 10360) does indeed point towards the existence of such real needs2. Involved are heavily the us Department of Defense Advanced Research Projects Agency3, us Air Force Office of Scientific Research (10474,10484, 10485), the us Office of Naval Research (10199,10218), the us Department of the Army (10252, 10274,10286,10299), the us State Department (10224, 10302), the us Agency for International Development (10561), the Peace Corps (10076), the National Science Foundation and the us Information Agency (10298). The Pentagon agencies have also sponsored and financed several 'research projects' of this kind by scholars of foreign countries (cf. 103001). The following foci of interest are to be noted in connection with this need for research on the part of the imperialist political leadership élite in the sphere of 'Education and science in so-called development countries' : studies of élites and the middle classes and their institutions of education and recruitment 4 ; the training of military élites 5 ; the comparison of the military implications of diverging national political developments6, including trend-predictions in the case of such developmental divergences through the use of political attitude studies among students and élites in different countries; military implications following 1. Cf. Ch. Wolf (319, 320), L. W. Pye, Aspects of political development. Boston, Little, Brown, 1966. 2. Cf. Lipset et al. (298), Crawford and Biderman (ed. 12285); The university at war (10396). 3. e.g. as part of Projects Themis and Agile, cf. 10213; 10200; 10201 ; 10207; 10478; 10479; 10483. 4. Cf. U. S. Department of State (54) ; C. Beck et al. (305); Halpern (13612), Phillips et al. (13623); Scalapino (13626). 5. Cf. e.g. William H. Brill, Military civil action in Bolivia. Ph. D. dissertation, University of Pennsylvania, 1965, as well as Elliott (312). Research and training in this area is a special part of the contract awarded to the Harvard University Center for International Affairs with its 'study programs especially for foreign fellows in militarypolitical affairs' (quoted from Research Centers Directory, Detroit, 1965) in addition cf. Perlmutter (13568). 6. Cf. Implications of comparative national development for military planning, the definition of the Research Contract No. 227-64 awarded by the U. S. Air Force Office of Scientific Research (AFOSR) to S. M. Lipset and his team; or Comparative studies of modernization affecting military planning, AFOSR Research Contract EOAR 33-65 awarded to S. Eisenstadt, Hebrew University, Israel.

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the transfer of new technologies into development countries 1 ; intercultural induced attitude change, whether explored experimentally with university students2, or forming the main goal of academic exchange programmes (cf. Dubois, 311; Cormack, 60; Burger, 3044; and 76); the prediction of rebellions, in particular by an analysis of the political behaviour of students who will belong to the leadership stratum of particular countries 3 ; the function and the change of national cultural value systems, in particular among academic elites in their function of 'opinion leaders' 4 ; the function of academic freedom, autonomy and professionalization in political development (cf. Ben-David and Collins, 1012, part of the Air Force 'Comparative National Development' project). Apart from the contributions by American researchers, who almost all deny the usefulness of such studies for American imperialism, or rationalize it with liberal ideas, claim to be preventing worse or to be saving social science area research through the acceptance of such government contracts 5 , we shall note in the following survey that a number of scholars are also represented from the countries concerned, from Western Europe and just a few from the socialist countries. Three major research fields can be delineated into which the (partly administrative) research definitions already mentioned may be grouped: 1. Continuity and change in cultural value system in connection with academic institutions and their objectives and practices; 1. Thus the Research Contract 533-64 awarded by the AFOSR to D. L. Spencer, Howard University, Washington, D. C. 2. Cf. the Research Contract 171-250 of the U. S. Office of Naval Research, Group Psychology Branch, awarded to E. M. McGinnies, University of Maryland, College Park, Maryland, into Cross-cultural investigation of some factors in persuasion and attitude change, which led to, inter alia, the results published by McGinnies in: 4066. 3. Cf. Ashford (2006) and the Research Contract 177-308 of the Office of Naval Research awarded to G. M. Guthrie and J. M. McKendry, HRB - Singer, Inc., Science Park, Pennsylvania, into Socio-politicalprecursors to insurgency, Fallah(279); Research Analysis Corporation (379). 4. Cf. for this the symposia (also subsidized by the Air Force Office of Scientific research and the Office of Naval Research, Project 177-275) published by the Committee on Comparative Politics of the Social Science Research Council under the chairmanship of Lucian W. Pye, one of the leading counterinsurgency and antiguerrilla experts: e.g. A. Almond and G. Bingham Powell, jr., Comparative politics: a developmental approach. Boston, Little, Brown, 1966; and L. W. Pye, ed., Communications and political development. Princeton, N. J., Princeton University Press, 1963. 5. Cf. in this connection the various arguments used in the statements made by social scientists about the U. S. Army's abortive Project Camelot, in: J. L. Horowitz (ed. 317). 168

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2. The function of academic freedom, autonomy and professionalization; 3. Socio-economic and institutional determinants and practical possibilities applying to students and the intellectual strata in cases of struggle for positions of domination and politico-military power. 5.2.5.1 In the first sphere there are on the one hand studies available setting out to describe and explain the continuity and present-day function of traditional academic value systems, institutions and practices, especially for the academic systems in Islamic countries: Kotb (2020), Kraemer (2021), Abdelhazi Tazi (2002), Al-Hilai (2003), Arasteh (2005), Dodge (2011), Fargo (2012), Waardenburg (2030), and in addition, for Latin America, Scherz-Garcia (1947) and Steger (1955), and for Africa Ashby (1133). Specific historical constellations and mechanisms of successful or unsuccessful re-interpretation or re-functioning of traditional cultural academic values for the purposes of socio-economic or political 'modernization processes' (defined as politically stable and gradual change, the opposite of social revolutionary in character, and moving towards the model of a liberal and welfare-state type of market economy) have been put forward by Bendix (1016) - for Japan, but with a comparative and paradigmatic intention - ; Nichol (1988), Dillion (13523), Biobaku (1963), Golan (13525-26), Cowan et al., ed. (1968), for Africa; Ribeiro (1943), Goldrich (4155), Munoz (1937) and Mazo (1936) for Latin America; while Chalasinski (1964) and Bobrowskii (1140) have attempted analyses (relating to Africa) from the perspective of socialist countries. The successful strategies and methods for economic, scientific and educational development by raising the political consciousness and organization of the masses and by fighting bureaucratic, technocratic and 'economistic' tendencies in the party and intellectual élites in China, Vietnam and Cuba have attracted the interest of both anti-communist (cf. 10467) and socialist authors in the West: cf. Yang (5272), Hoffmann (16436), Bernstein (12033), Barnett (13411), Deutscher (13419), Kelly (13434), Luckin (13437), Munro (13443), Nee (13444), Oldham (13447), Pischel (13449), Robinson (13450), Seymour (13452), Weggel (13459), Young (13461), Fagen (13476), Morray (13488), Ryder (13497-8), Weiss (13635). For concepts and reports from within these revolutionary socialist countries cf. Horn (13420,13427,13428), Jackson-Thomas et al. (13431,13454,13457), Butler (13469,13607,1361 l),Quu (13624), Guevara (16446,10741 ; 10738). 169

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5.2.5.2 For the second sphere, academic autonomy andprofessionalization Ben-David and Collins (1012), Lipset (30), Ashby (1497), Glazer (4149), Albornoz (13463-64) and Einaudi (6120) have published comparative theoretical and descriptive studies from a 'Western' liberal and sociotechnological perspective. 5.2.5.3 For the third sphere students and intellectuals in struggles for domination and power, we may mention several kinds of approach. There are analyses of the socio-economic genesis of anti-capitalist radical groups among intellectuals and students, e.g. by Mendoza Diez (4160), Lipset (1076,1078), W. A. Lewis (in OECD 5033), H. Myint (5304). There are attempts to set up limited predictive generalizations about the practical possibilities and prospects of success for anti-imperialist movements and actions on the part of intellectuals and students under différent academic and institutional conditions (university constitution, subjectmatter of teaching, distribution and significance of the academic subjects and professions, systems of study, living and residence conditions etc.), under different ecological conditions (ethnic and economic divisions of a country, rôle of major urban centres and of the capital city, size of university or college etc.) or under current political conditions (relations to political parties, the armed forces, the church, tradeunions etc.): e.g. Ashford (2006) for North Africa; Shils (1109) and Altbach (2032, 2034) for India; K. Silvert (1952), van Aken (1885), K. Walter (1959), Soares (4167, 4168) as well as Ribeiro (1943, 1944) and Cortinas Pelaez (6114) for Latin America; Grohs (12095) Hanna (13528), Komorowski (13532), Ben-David and Collins (1013) and Lipset (30) for comparison in an international framework.

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1 Field of research and epistemological profile Because the general theme of this trend report deals with the socialscientific analysis and critique of the situation of higher education and the universities in their societal formations and antagonisms, the 'economic' aspects of higher education and academic research are presented here in somewhat perspectivistic distortion, which, depending on the affiliations of the reader, will appear to be a reduction or an expansion of the problematic. Our epistemological perspective differs from those purely goal-rational calculations and optimalizations of the deployment of resources for goals which are either professed or remain hidden on the part of social agencies, be it at the micro-economic level of the economics of universities or research institutions or at the macro-economic level of government planning for education and science with its technicalmethodological problems. Our epistemological perspective is rather the connection or confrontation between the isolationist trend in the field of social-technology and the hermeneutic-phenomenological or criticalrevolutionary analyses of society. It would be a mistake on the part of the reader to expect in this context to be provided with a literature report on the 'representative' and immanent-methodological progress in the relatively new special subdisciplines of the economics of research and education with special attention to the economics of higher education. In this chapter, we shall characterize only those trends in the field of macro-economic research and planning theory which are significant for the construction of a metaeconomic theory and for the analysis of higher education and science in the societal framework as a whole. In addition, we have made the presumption that the reader is generally informed on the basic theory 171

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systems and concepts (notions, categories) of political economy or macro-economics. Despite the meta-economic perspective on economics we are utilizing, we felt it necessary to deal with this problem in a separate chapter. The radical process of 'abstraction' of the realization and self-realization of capital is, in all societal formations of our day, drifting more and more away from all concrete, socio-historical or life-historical (psychic) dimensions, making it impossible to force it into the phenomenological attempts at structuralization undertaken in the other chapters of this study. The theoretical positions and epistemological perspectives within politico-economic or macro-economic theory which are significant for this chapter can be interpreted as a reaction behaviour of the socioscientific intelligentsia to this radical and highly compulsive process of abstraction of capital, as a reaction to the 'trans-substantiation' of concrete work into abstract labour, of use-value into exchange-value at constantly ascending levels, reactions, of course, which differ greatly from one another, resulting in - attempts to keep abreast of this objective process of abstraction in one's own thinking - in models of the homo economicus, or even to move beyound this objective process: the neo-classicist concepts of bourgeois academic national economics; - attempts to radically de-mystify the process of the realization of capital by probing into its substance and attempting to uproot this system in practical politics: the original revolutionary-Marxist concepts; - attempts to repress from the level of consciousness the objective brutality of the realization of capital through the construction of utopian-evolutionistic or voluntaristic thought models: the socialreformist and socio-technological concepts from the perspective of the intellectual élites of the capitalist welfare-state or of revisionist socialism. It is precisely on the example of the subjugation and drowning of science and education in the maelstrom of the process of the realization of capital that all the approaches reveal meta-economic tendencies which contradict this real process. In the neo-classicist approaches this process has been thought out to its most absurd consequences, for certainly there are those who would be purer and more rational than even the 172

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raw natural force of capital would permit. In the Marxist concepts, capitalism is to be practically overthrown; in the Utopian concepts, it is to be resolved by the cunning of reason or the reason of the capitalists according to scientific planning. In the following sections, these basic concepts of politico-economic theory are to be characterized in their application to science and education in capitalism and in the process of transformation to socialism, including a review of the more recent theoretical studies. This will be followed by a cursory survey of the application of these concepts in the programming and planning of science and education allocations. As an additional bibliographic aid for further and more specific orientation, the more recent literature (from the past decade) both on macro-economics and planning as well as on the micro-economics of education, universities and science have been organized into a thematic topology designed to make the use of the relevant sections of the systematic subject index easier. It lies in the nature of macro-economic theory-construction and planning technology that it is impossible to separate in what follows the 'economic' aspects of higher education and the universities from those of the education system as a whole and from the system of science and technology.

2 Concepts of research and planning 2 . 1 BASIC CONCEPTS OF THE ECONOMICS OF EDUCATION AND SCIENCE

2.1.1 Neo-classicist concepts Most of the authors writing on the genesis of and present trends in the relatively young disciplines of the economics of education and the economics of research are of the opinion that the interest which economic theoreticians exhibited in the analysis of the economic significance of the education and research sectors was motivated primarily by practical political necessity: the disproportionately rising costs in public spending for education and science in comparison to population growth and to the increase of the social product, the recognition of the extraordinarily long-range effectivity of economic policy decisions in this sector as well 173

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as the appearance of a disbalance in the demand for qualified and highlyqualified labour forces since the beginning of the Fifties in all highly industrialized societies. That this interest in the capitalist societies, in contrast to the Soviet Union, crystalized as late as it did and only in the face of immediate practical policy emergencies is a function of the close relationship between the capitalist theory of national economy and the spontaneousanarchic character of the capitalist system of production in general - since the birth of classic national economy quiet confidence has been placed in the self-regulating powers of the market itself. Fields such as education and science in which, under normal conditions, calculations for the purposes of profit maximalization are not generally the case, thus remained for a long period of time outside of the scope of national economics. It was first in conjunction with the recognition of the necessity and at least the limited possibility of government intervention for the purposes of mitigating the crisis cycles of the capitalist economy as well as for the assurance of an optimally constant and disturbance-free rate of growth that the need arose, on the one hand, for a long-term evaluation of the role of education and research spending in economic growth ('external efficiency' in science and education) and, on the other hand, the need arose to 'plan' or co-ordinate the numerous disparative individual measures and investments of governmental and private agencies of science and education policy (the need for 'internal efficiency' in science and education systems). (Cf. on the numerous political factors which had an influence on this development, Hufner, 16029, and Hegelheimer1.) And yet both the ideological prejudices of the classic tradition and theoretically unresolvable objective barriers in the capitalist system of production produced the result that even the attempts to initiate an explicative economics of education and science in capitalism belonged to the so-called neo-classicist school and have little explicative substance. 2.1.1.1 Concepts in the theory of growth:'human capital' and the 'residual factor' The first attempts to overcome the short-range horizon of Keynesian theory were the so-called post-Keynesian growth models, above all by 1. Armin Hegelheimer, 'Bildungsokonomie und Bildungsplanung'. politik 14 (1), 1968: 11-40; 14 (2), 1968: 93-133.

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E. D. Domar and R. F. Harrod 1 . By radically limiting the scope and goals of their models to the problem of definitely determining an undisturbed simultaneous growth of real capital investments they proved themselves to be unsuited for an operational theory of growth-oriented education policy, even if such models are relevant for the simultaneous analysis of short- and long-range supply- and demand-oriented aspects of capitalist development, as a 'hard' framework for all education policy under capitalism. The neo-classicist theory of growth propagated by Solow2 attempts in contrast to explain economic growth (with the aid of early neo-classicist theories of production and prices and in particular by assuming the substitutability of the 'production factors' labour and capital) on the basis of the supply potential of the total economy. In this model technological progress is recognized as a ' thirdproduction factor' significant for growth. Further differentiation of this 'residual factor' of the macro-economic production function led to the conclusion in the framework of education and science economics that both training and research are the deciding determinants of this third production factor. Because, however, the classic growth model only allows for assertions concerning 'secular' temporal coordinates in which the rates of growth are presumed to be exclusively dependent on technological progress and the growth of the labour population and not on the amount of savings and investment rates, this theory is almost completely isolated from the problems of a short-range growthoriented economic policy. In addition technological progress is viewed as an exogenous (extra-economic) phenomenon and not as a function of the spending projected for the production of technological progress. The problems of technological progress dependent on the rising intensity of capital or of being induced, or even made possible, by increased spending on education cannot be studied using this original neo-classicist model. Thus several attempts have been made not only to further disaggregate this third factor, but also to set it in relationship to the 'classic' production factors, labour and capital, via determinants. Both the simple concept of 'human capital' as independent production factor as well as 1. E. D. Domar, 'A theoretical analysis of economic growth'. Amer. econ. R. 42, 1952; 'Capital expansion, rate of growth, and employment'. Econometrica, 14, 1946; R. F. Harrod, 'An essay in dynamic theory', in: Readings in business cycles and national income. London, 1953. 2. R. M. Solow, 'A contribution to the theory of economic growth'. Quart. J. Econ. 70, 1956: 65. 175

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the multi-factor models of the latter type will be sketched in the following including their 'empirical' aspects1. Theodore W. Schultz (5155-7, 16254-5) may be considered as the father of the 'renaissance' of the human capital concept in the post World War II period 2 . In contrast to their forerunners, Schultz and other contemporary economists succeeded in initiating a by now rather lengthy discussion within the main stream of economic thought focusing on the explanation of the forces which generate economic growth. They realized that - at least according to its conventional definition - the role of physical capital as a factor of economic development had been seriously overestimated. Aukrust (16003) and Solow (16264) as well as others 3 found large unexplained residual factors in their analyses of economic growth which they called 'technical progress', 'organization', 'human factor', 'third factor' or 'know-how'. In these studies 50 to 65 % of economic growth could not be explained by labour and capital inputs. Schultz assumed that the 'residual factor' could be identified to a large extent as the contribution of human capital to economic growth. Instead of explicitly using an aggregate production function and thereby trying to assess the contribution of education to economic growth, Schultz starts with human capital itself and examines its costs and returns. By human capital, Schultz means years of education embodied in the labour force 4 . In his cost-of-production approach, Schultz estimates the costs of years of schooling, using a special scale for different educational levels. He then compares his estimates of the humancapital-stock with the development of the stock of reproducible nonhuman capital demonstrating that the human capital stock in the United States increased by 850% between 1900 and 1957, whereas the reproducible non-human capital stock rose only by 450% during that period (in 1956 prices). 1. This survey (pp. 176-184, 212-225) is based on materials compiled by Klaus Hufner for the authors of the Trend Report, (cf. the critical survey by Hufner, 16029). 2. On the early history of the human capital concept beginning with the classical theory of production factors see: Hufner (16027 and in: 16029) and Kiker (10098). 3. Solomon Fabricant - Basic facts on productivity. New York, National Bureau of Economic Research, 1959. John W. Kendrick - Productivity trends in the United States. Princeton, N. J., Princeton University Press, 1961, 630 p. Olavi E. Niitamo 'Economic growth and the level of knowledge'. Kansallis - Osake - Pankki Economic Review, 1962. 4. For a detailed discussion of measurement problems of human capital see M. J. Bowman, 5079; and G. S. Becker, 5076. 176

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Using data from other works on life-time earnings, he then divides the additional life-time earnings by the additional costs of education to obtain the 'ratios of life-time earnings to educational costs'. These ratios provide him with a clue for interpreting the returns to education. Although they are not yet internal rates of return, Schultz uses them as such. Multiplying the human-capital-stock by these estimated ratios (i.e. 'rates of return'), he obtained a value of 31.5 billion dollars which are 21 per cent of the 152 billion dollars by which the real national income in the United States increased between 1929 and 1957. Therefore, Schultz concluded that human capital contributed as least 21 per cent to economic growth in the United States (for another attempt to identify the 'residual factor' see E. F. Denison, 5097-8). Assuming that human capital in fact contributed 20 per cent to economic growth in the United States and that roughly 60 per cent of the growth is 'explained' by the residual factor, one could conclude that one third of the residual factor may be defined as the human capital component. Bowman argues that the use of the internal-rates-of-return approach is inappropriate for determining the contribution of human capital to economic growth. It is appropriate for investment decision-making, but in dealing with growth, to discount returns is logically incorrect. What we should look for, rather, is the sequence of current inputs of productive services (i.e., a flow measure) originating in human capital (which is a stock measure). Some authors dismiss Schultz's definition as being too narrow. They demand, for instance, the inclusion of other aspects of education. If we understand by 'education' education in its formal sense, and use the term for primary, secondary and university education, professional training and adult education which takes place in specific institutions, then we have further to take into consideration the time spent in professional training, in apprenticeship and in gaining experience on the job. For this reason Blitz (in: 5139) takes into account the costs arising from commercial and professional training schools in estimating the stock of human capital, whereas Mincer (5135) has been concerned with the inclusion of 'on-the-job-training'. One of the main problems of an economic analysis of education is, of course, the costing of the input-side (cf. Bowman, 5083). Merely counting 'what is put in' as compared to 'what is foregone' apparently does not take into account non-marketed inputs such as for instance student time. 177

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The notions 'income foregone' and 'opportunity costs' have frequently been used (often as synonyms) to denote these cost elements and include them into a formal analysis. If we define opportunity costs as what has to be given up when making a particular choice, we note immediately that we are concerned with a) a decision model which appraises alternative courses of action, b) that the alternatives (and thereby the opportunity costs) are different according to the aggregation level at which the analysis procedes, i.e. on what decision-maker the analysis focuses. The aggregation level then should determine which cost items in the broad sense should be included when the costs of education are computed as a basis for determining the rate of return. There has been, for instance, a controversy over the question of whether or not to include the costs of maintenance in total costs of education. The main argument against the inclusion was that young people have to be fed whether they are in school or in the labour force. One could argue, however, that although costs of maintenance are a fixed overhead expenditure to which no real alternative exists at least part of it should be imputed to education. Apparently, treating human capital in the aggregated sense in which Schultz and others do, leads to a complete neglect of this cost item. One could argue, however, that Schultz assumes that the maintenance costs are part of the opportunity costs of education. Here the problem arises as to which decision-level provides the basis for the analysis, since the alternatives to be considered (and thereby the opportunity costs) depend on the range of choices (in fact, only the perceived as contrasted to the theoretically possible ones) open to the decision-maker. Treating all of education as investment raises, of course, some problems (cf. Bonner and Lees, 16135; Wiseman, 16290). Education is a 'joint product case'. Schultz himself has emphasized that the consumption element and the investment element in the educational process are, to a high degree, inextricably linked. It is difficult to devise a means by which to escape Schultz's arbitrary assumption that the costs of education should be treated as a form of investment. Not only is it very complicated to estimate ex post the consumption components of education, but it is also evident that there is very little consumptive education ex ante which cannot, at the same time, and to some degree, be regarded as investment. Here we may note that 'education as an investment' should be incorporated into a theory of investment explicitly taking uncertainty into account. 178

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If, however, we made the equally arbitrary assumption that a certain percentage of education should be treated as consumption this would have consequences on the assessment of opportunity costs. For the individual, there would be no opportunity costs for the consumptive part of education, for society as a whole (under the necessary condition of an identical utility function) opportunity costs would only arise to the extent that the monetary costs of education are not identical with the 'shadow prices' of that service. A theoretical way out of the problem is suggested by Becker's (5076) formal treatment which links what he calls 'general' as well as 'specific' education directly to increases in the marginal productivity of the recipient of education. Becker, however, is primarily concerned with the jobrelated general and specific education assuming that the ground had been laid beforehand by formal education in the 'narrow' sense of Schultz's interpretation. It should be pointed out that quite apart from the problem of education as consumption or investment, there remains the problem of defining the width of the education activity (and thereby the costs) which serves as a basis to which the extra life-time income is imputed. Denison (5097-8) maintains that it is of no consequence whether the persons bearing the cost of education regard themselves as consumers or investors. More important here is whether these resources, if they had not been used on education, would have gone into consumption or investment. It may be assumed that families which cut down their consumption in order to finance education would not avail themselves of other investment opportunities (which may even afford a better yield). In the attempt to quantify human capital, today's economists distinguish two approaches: the 'cost-of-production approach' and the 'expected income approach' (for a detailed discussion see Bowen, 97). Both attempts to grapple with the problem are fraught with particular problems. The 'cost-of-production approach', examples of which are the early works by Schultz, merely tries to assess the human capital incorporated in the labour force (i.e. a stock measure). Here the problem of accounting for the depreciation of human capital arises. Schultz makes no attempt to do this. In a dynamic economy, human capital can age very rapidly; this does not necessarily mean, however, that it must be ejected from the work process. Re-education and further 179

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education are suitable means of achieving a revalorization of human capital. In contrast to physical capital, human capital can be much less specifically or exclusively oriented. On the other hand, it is characterized by mortality and premature retirement from the work situation (illness, accidents, etc.). The write-off-problem can be avoided if one calculates the stock of human capital on the basis of the expected (future) yield from education, while applying a 'suitable' rate of discount. Treating education basically as an investment item, Schultz assumes that there is a causality relationship between the education and income of an individual. It remains problematic, however, whether it really is formal education which, as the decisive factor, determines the level of income. Education, as well as income, is influenced by many other factors. Bridgman (16140) forcefully points out that, on the average, college graduates have more (natural) abilities than high school graduates: the economic value of formal education can therefore be highly overestimated if differences in income are explained in terms of this factor alone. Denison names level of parental education and family income as further decisive factors. He demonstrates a high correlation between father's education and family income. Both factors affect jointly and separately the son's education: 'The highest percentage, 88,6 % ,was for sons with fathers who had attended college and had a family income of 10000 dollars or more. Among sons whose fathers did not graduate from high school and had a family income less than 5000 dollars, not only was the percentage with some college attendance as low as 12.6, but the percentage not completing high school was as high as 53.9' (5097, p. 79). Students with more ability and/or from families with higher income and/or higher education have a greater chance of graduating from a college or university. Houthakker (16197) even thinks that the effects on income can possibly be fully explained by the factors mentioned above. Denison, in order to take into account these effects, regards only 60 per cent of the extra life-time income attributable to extra education. He then combines these adjusted income differentials with estimates of the distribution at various past dates of males aged 25 and over by years of school completed. Adjusting these estimates for the increase in the number of days spent in school he finally arrives at a figure of 23 per cent as the contribution of education to the growth rate of aggregate national 180

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product during 1929-57. It should be borne in mind, however, that the data on income differentials had been obtained from a very small sample. Moreover, his approach does not allow for on-the-job-training and similar informal education. Treating the increase in days of school attendance on a par with the rise in number of school years computed and not allowing for differences in school day increases along the educational ladder raises further problems (for a review of Denison's work see Abramowitz, 16117 and Bowman, 5082). The assumption that relative differences in income are an expression of differences in productivity (wages equal to marginal products) presupposes perfect competition. The principles of collective wage determination make it questionable whether differences in income may be regarded as the expression of different marginal productivity. It is possible that 'too low' or 'too high' incomes may be fixed between the agents of collective bargaining, which again makes the working out of returns to education very questionable. The two approaches are in need of a clearer theoretical formulation of all problems involved. The basic hypothesis that, other things being equal, the size of a person's earnings depends, on the average, upon the amount of formal education he has received, seems to be an eminently plausible one. We can, however, add a series of other, equally plausible statements. We could, e.g., formulate hypotheses concerning the connection between income and natural abilities, between income and market conditions and between (future) income of an individual and the (current) income of his parents. There remains, therefore, a whole series of hypotheses to be tested in which the interconnection between the variables themselves, on which the size of income is dependent, should be examined. Only then can we decide upon which factors income is primarily dependent. In the field of research and development within the so-called 'residual factor', the same authors have also undertaken parallel conceptual and empirical studies. Because the income of trained personnel is not relevant as an indicator, these studies have concentrated on patents as approximation variables for the results of inventive activities and R & D spending (as an expression of the 'inputs' for inventive activities). Machlup (5130) has demonstrated on the basis of statistical research material the most important arguments for and against patents as output variables, com181

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menting at the same time on the relative decrease both in patents applied for and granted in the United States, a trend which began in the Twenties. According to him the probable reason for this trend is the fact that the major portion of public spending flows into the 'future industries' and is thus, being primarily public spending for military-defense oriented research and development, not patentable. In actuality, there are several cogent reasons for assuming that patent statistics are not the optimal approximation variable for 'technological progress', probably the most apparent being the limited criteria pertaining to patentability. Denison (5097), in his lengthy empirical study of us American economic growth, also questions the value of patent statistics. On the basis of detailed discussion of the possible inter-relationships between the serial patterns of R & D spending and general economic growth, calculated according to accepted forms of social product calculation, Denison comes to the conclusion that R & D spending (taking all other relevant factors such as increased labour and capital investment, training, 'economies of scale', etc. into consideration) has no separately identifiable influence on the measured rate of growth. The reasons for this are that, on the one hand, nearly all research and development activity flows into nonmarketable products and processes (basic research, arms research and technology), on the other hand, the introduction of new products and processes and/or quality improvements are hardly measurable in the calculation of the social product. This brings up the problem of the economic 'spin-offs' of government induced arms and space research and technology. On the one side, many scientists emphasize that the 'patent intensity' of the 'future industries' is relatively low and that the technologies developed in conjunction with military R & D are both too perfected and specialized for civilian usability in the private sector of the economy. On the other side many researchers point to concrete examples of further development of military technologies in the USA to demonstrate that the out-datedness of European research and technology is a result of the superiority of us American arms research. It is possible to resolve this somewhat illusory contradiction by taking into consideration, as Naumann (16227) does, that there is probably a considerable time lag between the initial development of technologies motivated by the military and their conversion to spheres of civilian application. Thus it is not surprising that Denison was not able to determine any identifiable influence by the total sphere of R & D 182

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activities on measurable economic growth, keeping in mind that his analysis goes back to the late Fifties. This, however, does not exclude the possibility - as Denison (5097) himself emphasizes - that this factor will, in the near future, make a contribution not only to 'real' but also to 'measured' growth. Yet it seems reasonable to assume that the factors of growth of know-how in research and development, the inter-relationships between R & D , know-how and training, e.g. via high-researchlevel or research-oriented universities or training-oriented big science centers, all of which are so difficult to measure, will continue to play a significant role. In the field of private industry, R & D in the more limited sense of the term, it is more possible to conduct empirical research - which has been undertaken in the USA. Most of this research has been done at the company level where, among other things, the sales volume of 'new' products serves as an approximation variable for R & D spending. Naumann (in 16227) provides a survey of the exemplary and methodologically complex research in this area (cf. in addition in the subject index: 4.5.3, 1.4.4.4, 1.5.1.5). If we ask the question as to what theoretical and practical-political significance the various studies on the so-called 'third factor' of economic growth actually have, we can surmise that, compared to the original neo-classicist theory of production, certain - if modest - progress has been made in the direction of approximation to the reality of economic policy. Studies such as Denison's have done a great deal to disaggregate the production factor of work which appears as an homogenous quantity in the early neo-classicist studies. In addition, these studies also take a number of other significant growth factors into consideration (training of the labour force, progress in knowledge, 'economies of scale'). Denison's studies are a definite improvement over T. W. Schultz's approach to the extent that he has attempted to estimate the contribution made to growth by education and progress via qualitative indices, whereas Schultz had introduced 'human capital' as an independent production factor into the macro-economic function of production. Schultz's approach must be termed principally inadequate because - discounting all of the immanent insufficiencies in his definition and measurement - neither education nor research are primary production factors. They are at best secondary factors which can lead to a rise in quality 183

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of the 'classic production factors': labour and capital1. Using qualitative indices particularly Nelson (16228, and in: 12198) has demonstrated the influence of education and research on the production factors labour and capital. Yet these qualitative indices, as Hegelheimer (op. cit., supra p.175) stresses, ought to be traced back to a function of production of technological progress, the identification and quantification of which appears to pose somewhat of a problem. Hegelheimer also points out that the basic model of the neo-classicist theory of growth does not stand up under the application of multiplefactor models with qualitative indices such as Denison's and Nelson's, because the statistic verification of a production function becomes increasingly difficult in direct proportion to the number of factors involved. Even the quantification of a two- or three-factor function with the aid of a regression analysis is doomed to failure because of the problem of the multi-co-linearity of variables, i.e. when all of the production factors reveal more or less a definite upward tendency. Thus it is actually only possible to speak of a certain 'plausibility' of Denison's studies. The arbitrariness of such results becomes exceedingly clear when we consider that Denison has estimated the contribution of improved education to the national product to be 29,9% for the period 1929-57 (and even 48.6% for the period 1910-60), whereas Correa 2 in a similar study arrived at a figure of 5.3% for the period 1909-49. In summary we can say that the low information value of the third factor theory which attempts to 'explain' economic growth on the basis of unexplained residual factors comprising up to two thirds of the data is fruitless particularly in terms of orientation aids for short- and middlerange prognosis and planning in education and science. And yet precisely such aids are direly in demand in the midst of the numerous and intensive recessions after the conclusion of the 'reconstruction period' of the post war era. On the one hand this has led to numerous demands for a return to the Keynesian instruments of analysis of short-range economic circulation combined with an increased interest in the 'demand determinants of productivity development'3, e.g. market saturation and capacity sur1. On the Marxist criticism of the classic theory of production factors as a whole cf. below pp. 196-199. 2. Hector Correa, The economics of human resources. Amsterdam, North-Holland, 1963, p. 262. 3. Cf. above all F. J. Clauss, 'Diagnose und Wachstumstheorie'. Konjunkturpolitik 10 (2), 1964: 139. 184

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pluses, in contrast to the emphasis placed on the supply potential of production factors common to the neo-classicist theories. On the other hand, attempts to develop an explicative economics of education and science have been pushed into the background by establishing a pragmatic and short-range normative economics for a growth and cycle oriented 'programming' and 'planning' of science and education investments and their internal efficiency (cf. on this point in the following 2.2, pp. 213ff.). 2.1.1.2 Concepts on the special situation of scientific research and development1 It became clear in conjunction with the theory-of-growth models that research and development - even more than education - have specific characteristics in the capitalist economic system which make their calculation according to the principles of a market economy difficult. There are, therefore, a few neo-classicist oriented attempts to interpret the specific characteristics of research processes and to explain the role of government investments. R. R. Nelson (5143) and Arrow ('Economic welfare and the allocation of resources for invention,' pp. 609-626 in: 16233) have systematically summarized the three principal reasons why an optimal distribution of resources for research and development by private decision-makers is impossible according to the classic theory of a total competition model of national economy: 1. 'indivisibilities'; 2. 'imperfect opportunities for appropriation'; 3. 'uncertainty': 'Indivisibilities' can always appear in the process of production of new knowledge when no a priori assumptions can be made that the transformational relationships between research input and research results are constant (more precisely: convex). This renders the marginality principle of decision calculus useless. The 'imperfect appropriation opportunities' of research results is based on the fact that the results represent basically new information, new knowledge, which - in the event of its application - becomes known in one form or another, thus generally accessible. Finally, considerable 'uncertainty occurs in the relationship between 1. The following notes, pp. 185-188 are based on a survey by J. Naumann (in: 16227). 185

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research spending and its results, and in addition with reference to the nature of research results and their economic usefulness. These, then, are the three basic reasons why - according to the tenets of classic national economy - tendentially sub-optimal allocation of resources for research and development and/or for the whole field of science results in an economy organized around the utility interests of private capital. Government intervention confronting this dilemma can be either of an indirect nature (e.g. by subsidies via taxation) or can be organized directly (via government research centers or delegated or contracted research in conjunction with private corporations). Nelson (5143) discusses these characteristics of R & D with reference to the example of basic research in which a particularly high rate of uncertainty is the case. On the one hand, he recommends co-operative industrial research so as to avoid neglecting research in societally significant areas, because the classification and delegation of research spending and industry-branch-specific utilizable results are practically impossible to determine. On the other hand, he warns against the performance of applied research and development (e.g. in the form of delegated and contracted research for private corporations) in the universities whose objectives ought to be oriented toward concentration on the potentially more societally relevant - and with regard to research results more open field of basic research. Arrow's study (in: 16233, pp. 609-626) is a 'classic' example of the application of the neo-classicist model construction of the problem of uncertainty. In this study, he examines the role of the competition system in the 'allocation' of uncertainty, i.e. incomplete information. Having constructed an economic system in which this allocation problem could be solved by competition, he proceeds to describe a few of the variants more relevant to reality which would enable an approximation of an optimal allocation of resources. The real historical development of the R & D system - particularly in the United States, yet nevertheless also in the other highly industrialized capitalist societies has created such government promotion of R & D (limited, predominantly of course, to arms and space projects) that it is facetious to speak of 'private corporate risks' - not only in terms of R & D activity itself, but also in terms of the utilization of the results in private industry in general. (In the United States, for example, 90 % of 186

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the aircraft industry and 62 % of the electronics industry is financed by the Department of Defense, this also applies to their industrial operationalization programs.) Under capitalism, however, it is much easier to politically justify the factual 'socialization' of this sector1 by a military motivation of the major portion of investments in the field of industrial R & D . All civilian-oriented state spending for research is required to prove that the relevant research is for the 'public good' (of capitalism as a system). It is - on a purely abstract level in terms of neo-classicist cyclical theory concepts - quite feasible to consider completely doing away with the element of private entrepreneurial risk in the whole field of R & D, precisely because, according to the three reasons already mentioned, there exists a clear threat to the optimal distribution of resources, which is an accepted abstract criterium. Yet the neo-classicist analyses circumvent the concretion of this problematic for understandable reasons through their level of abstraction. A few neo-classicist models have been developed which deal with the mediation between R & D and higher education and the allocation of science spending both to research and training. The significance of the university sector lies not only in the fact that it appears to be a field in which state research is 'legitimate', but also in the fact that, on the one hand, future generations of research personnel and, on the other hand, future generations of specialists for the industrial utilization of this research are being trained. Intriligator and Smith (5120, and in: 16227) throw some light on the problem of the allocation and distribution of science spending between research and training in formal analogy to simple economic growth models which render the future output-potential (total number of accessible scientists in the future) dependent upon the present output level and its distribution into consumption (research) and investment (training). They, themselves, point to the limited capability of their own model to make any statements about these problems which - similar to its predecessors in the theory-of-growth field - have any basis in the determination of the function of training ('investment coefficient') and in the demarcation of research and training (determination of investments as definitive residual factors) at the high level of aggregation. They do, 1. Some Marxist models attempt to explain these structural tendencies with regard to the 'socialization' of precisely 'unproductive' R & D spending under monopoly capitalism, cf. p. 191-193. 187

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however, succeed at least in structuring the problematic of state intervention into higher education. 2.1.2 Marxist concepts The theoretical Marxist approaches to the political economy of education and science must be regarded according to several interest perspectives: 1. The interest in clarification and solution of basic aspects of Marxist method - not in the sense of an academic self-serving purpose, but using it to reveal the objective tendencies of the contradictions of contemporary capitalism as conditions for revolutionary practice; 2. the direct interest in the consequences of these basic aspects for the method of Marxist class analysis and - to be derived from it - for strategic orientations in the class struggles and revolutionary tendencies of capitalism including the critique of revisionist deformations of Marxist approaches; 3. the interest in critically attacking the apologetic, political and sociotechnological activity of the bourgeois economics of education and science; 4. the interest in the solution of contradictions during the period of socialist transformation including the application Marxist method to a materialistic critique of 'Marxisms'. The development of socialist transformation systems has proven to be most significant for the confrontation of different theoretical positions in the Marxist camp (in the broadest sense). Their emergence and development processes have led not only to the central controversy over revolutionary vs. revisionist paths of economic development, but have also retroactively contributed to a corresponding Marxist theory formation on the role of education and science in capitalism. 2.1.2.1 Basic political-economic categories and concepts In order to illustrate the relevance for science and education of concepts and categories oriented to Marxist critique of capitalist economy in the following, simplified outlines of argumentations will be presented which have been developed by several authors with varying points of emphasis: As a rule, Marxist theoretical approaches to the role of science and higher education in capitalism proceed from the Marxist categories of the creation of absolute and relative surplus value, above all, from the 188

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central significance of technical innovations in the creation of relative surplus value, i.e. in the reduction of necessary working time (cf. Altvater et al., 16322). The application of scientific principles and methods in the production process already appears at the institution of true industrial capitalism, at the transition from the creation of only absolute to relative surplus value, and not - as many popular economists regard it - as an exogenous factor, i.e. as a technical-scientific revolution changing capitalism at a certain quantitative level or point of time. At the same time, however, this process of 'scientification' already appears as a growing contradiction in capitalism : The mode of production based on the 'value relationship' is threatened in the long run by the increased application of a potential of knowledge and methods, whose value, by principle, cannot be measured in direct working hours expended for its production. Nevertheless, capital must on the one hand, apply this potential to further reduce necessary working time. On the other hand, it must simultaneously attempt to squeeze this potential itself into the torture rack (bed of Procrustes) of the mode of production bound to the creation of surplus value and measurement of working time, i.e. above all, to finance the expansion of this potential only to the minimum extent necessary for the maintenance of production and to organize its processing and application in the form of calculation measured in working time. Here, the misunderstanding originated to view science and technology as productive forces per se and as a second more and more dominating source of surplus value in addition to productive labour (cf. Habermas, 12099, pp. 188-197, and in 12100, p. 79, based on J. Robinson, 'An essay on Marxian economics'. Fifth ed., London, 1967, pp. 18-22 and 35-42; cf. also H. Marcuse, 12171, p. 48 of the German edition). Contrary to this, Marxist authors (cf. W. Müller, 13005; R. Damus, 16335; Altvater et al., 16322; Janossy, 16037) have emphasized that there is no productive force outside the material production process. Qualified scientific labour - be it infinitely extensive - not expressed in the material production process is not a productive force. Certain scientific research does, to be sure, increase the productive force of labour. It does not, however, necessarily effect a value increase of the work products, thus, it cannot function as a source of surplus value, but merely as a source of temporary extra profits made possible because of the technological advantage over competitors. These will, however, disappear when the latter are capable of applying similar technologies (cf. Mandel, 10277, p. 30; Janossy, 16037, p. 130). If simple labour posses189

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ses the useful characteristic for the capitalist of being firstly, the source of more value than is necessary for its reproduction and, secondly, of being expended at the same time for the capitalist in its concrete application, basic and applied research and the education of qualified (free) labour power, however, possesses the characteristic fatal for him of producing results - namely complicated labour power and scientific data - which normally are generally accessible and repeatedly applicable, and thus cannot be completely acquired by one capitalist. Exceptions to this are only the temporarily limited acquisition of 'discoveries' with the assistance of a governmentally guaranteed legal monopoly - the patent - , or the factual monopolizing of essential means of production for the application of certain qualified labour power or scientific knowledge. As this is often not possible in the first place because of the character of many scientific results and techniques, and because a too farreaching monopolization of such results would severely hinder scientifictechnical progress and above all, because the results of educational processes cannot be 'registered as patents' (its bearers are free wagelabourers and not slaves) a predominantly private capitalist production of science and education is ultimately impossible. In this connection some methodological misunderstandings have arisen regarding the problem of qualified or complicated labour and their reduction to 'abstract human labour' in the social process of exchange value society, in which - behind the backs of the producers - the concrete characteristics and differences of individual activities are extinguished and unequal ones are equalized. The Marxist theory of labour value, which only reflects this real process has not - as some of its critics impute - 1 tautologically asserted that the higher value-creating power of qualified labour can be simply derived from higher evaluation on the market of products created by it, but that, 'in the last analysis, (it is) reduced to the different value of the labour capacities themselves, i.e. its different production costs (which are determined by working times)'2, i.e. basically to the different length of the time necessary for education. In the societal process of equalization of different forms of labour, the additional costs which capitalist society must expend for the education of qualified labour power cannot be expressed in any other manner than by higher evaluation of 1. Cf. 'Bohm-Bawerks Kritik', pp. 597-608 in Rosdolsky (16071). 2. Translated from Marx, Theorien iiber den Mehrwert, III, Berlin (DDR), 1965, p. 165-166, cf. also Kapital, vol. I, p. 206 (third edition in German).

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the products created by these workers (as a trend operating in the long run and on the average). This does not mean that the value of the products can be derived from the 'value of labour', because in the capitalistic mode of production the value of produced commodities is principally different, from the value of labour power used in their production 1 . Thus, if the capitalistic system is not to break down, the capitalists as a class are forced to have the government take care that education and science are developed to an increasing - yet minimum - extent necessary for the maintenance of a mode of production based on extracting surplus value, especially with respect to international competition within the capitalist world and with the socialistic transformation systems (Cf. Mandel, 10277 and 16054). On the other hand, the costs of government development of education and science depress the realization of capital: they are 'unproductive', increase the costs of the commodity 'labour power' and influence negatively the rate of profit, therefore they also have to be strictly limited in the objective interest of the maintenance of capitalistic production (cf. Miiller and Neusiiss2; O'Connor, 16233 and 12655). In bourgeois education and science economics, this contradiction appears mystified as natural scarcity of financial resources from which the urgency of planned increase in the inner efficiency of education and research systems is derived to thus combat the permanent fiscal crisis of the state 3 . In addition, it becomes evident here that even these objective necessities of the capitalistic system are only indirectly implemented - both too late and incompletely - and that the individual capitals and capital fractions often find themselves reacting in contradiction to their common objective interests. The extent and value for the society as a whole of government promotion of science and education in capitalism are furthermore decreased because the results produced by government spending (for example, subsidies or contracts for private industry) are nevertheless to a large extent again monopolized by individual capitals necessitating senseless parallel or double work or retarding technical progress. In addition, there is a necessity in developed monopoly capitalism to expend a con1. Cf. the detailed considerations in Rosdolsky (16071, p. 613), Altvater (in: 16322), and H. Maier (16052). 2. W. Miiller and Ch. Neusiiss, 'Die Sozialstaatsillusion und der Widerspruch von Lohnarbeit und Kapital' ('The illusion of a social welfare state and the contradiction between wage-labour and capital') Sozial. Pol. 2 (6/)), June 1970; 4-68. 3. Cf. O'Connor, 'The fiscal crisis of the state'. Socialist Revolution (1-2), 1969-70.

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siderable part of research and education spending in areas without social use value such as armaments, wars, space flight, advertizing, planned artificial obsolescence and quality decrease of products and services. By replacing price competition in a relatively free market by cost and advertising competition in a monopolistically organized market, the otherwise unavoidable simple decrease in the average rate of profit is suspended for the time being and directed into structurally different forms which cannot be specified here 1 . The result is, however, among others, a necessity to re-absorb the surplus, which temporally rises because of the increasing rate of profit, on the one hand, and predominantly in government-financed investment areas which may not compete with private capital but must be unproductive, and, on the other hand, in private capitalism's 'unproductive' forms of demand stimulation through advertising and relative quality reduction of products. This, however, also determines the priorities in the quantitative and qualitative development of science, technology, and education. Progress in areas not belonging to these corresponding priorities often occurs only in the form of 'spin-offs' or with additional 'conversion costs'. These forms of surplus absorption also differ qualitatively from the costs (including science, technology, and education spending) of maintaining interior social domination and waging imperialist wars to secure raw materials and capital exports even though both types of costs overlap and reinforce or 'ideally' supplement each other in capital intensive forms of armament and warfare which are superfluous from a military point of view (cf. genocidal bomb wars and 'deterrence' by ABC-weapon systems with 'overkill'-capacity). Surplus absorption by state spending and demand stimulation permits the continuation and intensification of a permanent technological revolution, i.e. a reduction of the time needed for the turnover of fixed capital even under monopoly capitalism, triggering again, however, new permanent contradictions: The faster rhythm of technological innovations necessitates a faster qualitative change in the structure of labour powers or 'occupational structure' for whose accomplishment in capitalist production relationships, however, organizational conditions (long-range comprehensive planning) as well as resources are lacking which could only be increased by decreasing the rate of profit. This contradiction 1. Cf. here Baran and M. Sweezy, 'Monopoly capital'. New York, Monthly Review Press, 1966 and the supplementing or critically modifying contributions by Rolshausen (in: 12876), Kidron (16044), Bader et al. (in: Argument, 51, Apr. 1969: 95-102.

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results periodically in structural components of recession (cf. Mandel, 10277; Altvater, in: 1585) and also in short-range measures to increase the inner efficiency of education and work processes ('technocratic school and university reform') freeing resources for the external efficiency, i.e. the adaptation of the job structure, whereby the short-range increases in efficiency however, again cause long-range 'savings damages' to the substance of equipment and personnel of educational institutions and to the quality of trained labour power (especially to their flexibility for future changes of the occupational structure; cf. Janossy, 16037; Lefevre, in: 1549; Leibfried, 12145). In the course of this outlined development, the sector research and development and higher education related to it becomes a central field in the increasingly intensive institutional and substantive inter-relationship of expansive monopolies (with the highest degree of concentration and centralization in this sector) with the state reducing in this process its pluralistic structures - which to date have reflected the interests of several capital fractions and some privileged labour fractions - in favour of a predominance of the expansive monopolistic investment goods and export capital fraction (cf. Gundel et al, 12931; Breger1). 2.1.2.2 Concepts for the mediation of political economy and class analysis Thus we have already touched upon the effects of the mentioned objective political-economic contradictions of capitalism on the level of objectivesubjective contradictions, the national and international class struggles. Here, the emphasis in Marxist theoretical discussion is aimed primarily at the problem complex of the relationship and functional significance of productive and unproductive labour as mediatory link between the analysis of capital realization and class analysis. The controversy over this subject arose especially because of a partial shift in attitude and practice of certain strata of the intelligentsia (especially during their studies) toward the working class and its revolutionary fractions (cf. here in detail Chapter III, 5.1.2.3). As a logical consequence of the misunderstanding mentioned above to consider science and technology itself as productive forces, a second misunderstanding has arisen. Based on the thesis of an extension of the category of productive labour by the real 'subsumption' of science or 1. Herbert Breger, 'Hochschule und Kapital'. Rotes Forum (Heidelberg) (2), 1970: 36-43.

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intellectual labour under capital in latter-day-capitalism, the anticapitalist movement among students and the intelligentsia is described tendentially as a form of class struggle by one fraction of the total productive worker ('Gesamtarbeiter', cf. Krahl, 12135; Steiner, 16078; and 14616; with less theoretical precision also Gorz, 1054). In an effort to genuinely apply Marxist categories and methods, other authors (cf. Seickert, 16423; Bischoff, Löhlein et al. and SohnRethel1) have pointed out - contrary to the above - that the real subsumption of science under capital is not a characteristic of monopoly or latter-day-capitalism, but was already constituent to industrial capitalism in general and secondly, that it is limited to the application of science in the immediate production process under the control of particular 'capitals' (contrary to merely formal subordination of the remaining scientific labour financed by 'revenue' in the framework of total societal capital). They emphasize further: the essential characteristic of capitalistic production is not only commodity production but also the creation of surplus value. Thus in capitalist production not all labour realized in a product is productive, but only that labour the products of which contain more working time than is contained in those commodities necessary to keep their bearer, the productive worker, alive (i.e. including in part time for education). Here we must make a distinction between this basic category mentioned and several others: in the first place, the category of socially useful labour producing a concrete use-value; secondly, the category of the total productive work process, i.e. the combined social application of science and machinery on immediate production, whereby it does not make a difference whether, in this total productive system ('total productive worker'), a single worker is closer to or farther away from direct manual labour; thirdly, the category of necessary labour in the circulation sphere, necessary that is for the 'realization' of value (created in production), indirectly productive in so far as it is expended in the form of wage labour (whose 'unpaid surplus labour' helps reduce the costs for realization of surplus value); fourthly, the category of non-material (intellec1. 'Produktive und unproduktive Arbeit als Kategorien der Klassenanalyse'. Sozial. Pol. 6/7, June 1970: 69-89; G. Löhlein, Produktive Arbeit und unproduktive Arbeit als Kategorien der Gesellschaftskritik. Dipl. Thesis, Freie Universität Berlin, 1970; Alfred Sohn-Rethel, Geistige und Körperliche Arbeit. Frankfurt, Suhrkamp, 1970. Cf. also relevant sections in Michael Mauke, Die Klassentheorie von Marx und Engels. Frankfurt, Europäische Verlagsanstalt, 1970. 194

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tual) labour not expended for the realization of surplus value but necessary for all general social conditions for the production of surplus value (the latter can be expended - factually predominantly - under state supervision - thereby decreasing as a whole the production of surplus value as well as under the direction by individual capitals); fifthly, the category of wage labour, i.e. labour power with the characteristic of a commodity, a category however, superior in logical position to all four categories mentioned above. The significance of differentiating among these categories for revolutionary class analysis is seen in the following aspects: The possibility of organized struggle and the development of class consciousness depends upon the position of the workers in the reproduction process: 'The productive worker subordinated directly under capital, necessarily develops an indifference towards the concretely useful forms of his activity and directly experiences socialization in the work process. As the social character of labour is determined by capital, the worker does not face capital as an individual but as a collective...' Through wage forms, the hierarchical structuring of the work process and the different qualification and training of the parts of the total (productive) worker, this abstractness determined by capital can be temporarily hidden depending on the cyclic movement of capital on the national level and on the world market. 'Contrary to this in the case of unproductive workers paid out of the 'revenue' and for whom the capital relationship applies only indirectly, this indifference against the determination of labour, as a rule, is not existent. At the same time, a large part of this labour is not directly socialized and its thus existing dissipation impedes collective action. Even if there is the tendency for the value of these workers to be subjected to the laws of wage labour and for their functions to lose the appearance of 'higher' activity, ... its beginning collective action remains directed towards increasing the share of the 'revenue'. Although labour struggles initiated by unproductive producers can induce serious social conflicts their opposition to capital remains only mediated'. (BischofF et ah, op. cit., p. 89). Contradicting this theoretical position are, above all, the theoretical attempts to justify the reformistic coalition policy of the revisionist communist parties who increasingly secede from an analysis of the position of the intelligentsia in the reproduction process and instead derive from 195

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their wage labour character and quantitative growth their 'proletarization' and their classification into a diffuse, proletarianized majority of the 'people', including the 'exploited' leading managers, and strive for a 'confident relationship of working class and bourgeois intelligentsia ... after seizure of power by the proletariat as well as, and, above all, for the direct co-operation of labour organizations and intelligentsia to safeguard democracy and for jointly implementing anti-imperialistic development' against the monopolies. (Steiner, 14616, p. 125; cf. also Gundel et al„ 12931, pp. 258-278). Yet even less revisionist, rather 'tactical-reformist' or 'revolutionaryreformist' positions of socialist student and intelligentsia factions have partially given up a class analysis based on the critique of political economy and isolate certain phenomena of monopoly capitalism, such as the real subsumption of certain scientific labour under capital, the increase of unproductive labour, state interventionism, from their relevance for the total reproduction complex in order to support the thesis of the dominance of a 'new working class' of qualified (including scientific) workers (cf. Gorz, 1054) for the initiation and the development of revolutionary potential or the thesis of a 'Movement of the scientific intelligentsia' who would inaugurate revolutionary class consciousness in the 'total productive worker' as the 'collective theoretician of the proletariat' (cf. Krahl, 12135, p. 18). 2.1.2.3 Critique of capitalist education and science economics The Marxist critique of the bourgeois economics of education and science concentrates chiefly on a merely terminological or phenomenological critique of bourgeois theory formation or its corresponding education and science policy. Critical materialistic analyses which attempt to derive the emergence and application of neo-classical economical or of welfare state-oriented sociological theories and socio-technological strategies from concrete historical conditions and laws of the development of monopoly capitalism are rarer. 2.1.2.3.1 Critique of theory-of-growth concepts With regard to bourgeois education and science economics Marxist critics have emphasized, above all, the questionable character of the so-called 'human capital-concept'. In their view this is just a new form of the superficial bourgeois theory of 'production factors' which mistakes 196

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the distribution forms of produced new value for its sources asserting that labour power creates only its wage in the process of value production and is not producer of the total new value (cf. H. Maier, 16053; Altvater, in: 16322). By redefining the value increase of the commodity labour power as 'capital', it is possible for this economics of education to simply evade the problem of reduction of complicated to simple labour and the relationship between the value of labour power and the use of labour power in the production process. Without clarification of the reduction process, all efforts to calculate the 'returns' of education investments are without foundation, whether by (individual) rate of return method or by 'residual factor approach' (in terms of the total economy). The deduction of differences of individual incomes as a consequence of different qualifications is pure tautology, for, if different qualifications create different education costs, these, of course, must be reimbursed - because, on the average, the value of a commodity is exchanged against an equivalent (expressed in money). Furthermore, the fact has been completely neglected here that the exchange-value of labour power is realized for its owner, the worker, in the form of wage income, whereas the 'returns' of qualifications through their use in the production process are realized, in fact, as wealth for the capitalist. To think in terms of returns of education that the worker receives as wages expresses total ignorance of the basic relationships of capitalism which are exactly based on the fact that the 'returns' of work go to capital in form of surplus value. The'residual factor method', (s. above, p. 176-182) on the other hand, simply and without reason assumes from an increase of so-called 'human capital' (i.e. a value increase of the commodity 'labour power') an increasing contribution of this same 'human capital' to the growth of the social product. In addition, this method is also problematic, because it compares the structural complication of labour in different historical periods. This is of course dubious if that which is to be explained is not precluded: namely, increases of productivity. The causal relationship between the increase of levels of qualification and the growth of national income, the basis of this method, could be reversed, however: because national income has increased by a given percentage, the area of unproductive labour in the education and science sector could be extended so as to raise the average qualification level by a given percentage. However, it is apparent that both are interrelated. The exact nature of this inter-relationship has to be clarified. For a 197

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clarification from the point of view of this critique the following points must be taken into consideration: it does not follow from the fact that complicated labour can produce a manifold of the value quantity of simple labour per time unit that it is advantageous for the capitalist to employ as many workers with as complicated abilities as possible. For, as their exchange-value on the labour market is also higher than that of simple labour (just that is 'proven' by the 'rate-of-return' method), the use of more qualified workers alone does not change the realization rate of capital. Therefore the individual capitalist will determine the combination of labour-power according to other criteria than exclusively value-creating potential, because this is abstract and must first be realized in the realization process. What matters here, is not so much the value and the value-creating potential of a sum of individual workers, but of the 'total productive worker' in a specific social combination of divisionof-labour and applied science. The value-creating potential of this 'total worker', however, can rise even if the value of the (presently used) commodity labour power (i.e. the capital that has to be advanced for it) falls, if complicated work is simplified or discontinued completely by division-of-labour and/or innovations in mechanization. 'The relative devaluation of labour power resulting from the abolishment or decrease of training costs directly includes higher realization of capital, for everything that shortens the time necessary for the reproduction of labour power extends the domain of surplus labour...' 1 . Therefore, economy of education and science would have to proceed from the structure of the 'total worker' and relate his increase of value-creating potential both to the increased use of science in production as a result of previous labour (i.e. appropriated by capitalists free of charge) and of qualified labour currently utilized, as well as, on the other hand, to the necessary dequalification of individual work capacity needed created under the conditions of capital realization. After all, this objective confrontation and coincidence of dequalification and applied science also does not exclude the possibility that such a polarization of dequalification and scientification in turn takes place at a higher level also within the total process of applied scientific work, characterized similarly by a combination of division-of-labour and scientification (e.g. computerized designing or machine translating work). 1. Marx, Das Kapital, vol. I, Third, edit., p. 371 (translated from the German). 198

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In view of these objective contradictions of a capitalistic economics of education, which must at the same time be an economics of dequalification by applied science and of a capitalistic economics of science, which must be an economics of the application of science for the dequalification of scientists, Marxist critics have principally exposed the self-limitation of education and science economists to the needs of the 'economy' and of the 'state' for qualified and highly qualified workers, i.e. 'needs' in the interests of capital realization. This economics of science and education which gathers its determinations of 'needs' to a major extent from trend extrapolations or surveys of the needs of capital helps to 'further a partial talent as in a hot-house by suppressing a world of productive abilities and drives, in the same way that a whole animal is slaughtered in the La-Plata-states to gain its hide or its tallow' 1 . It neglects the interests of individuals in a society for complete and universal development of their abilities actually representing the 'greatest productive force' which could only fully develop after liberation from the production process as a process of capital realization. 2.1.2.3.2 Critique of welfare-state social policy concepts This principal critique also includes the welfare-state social policy concepts in the economics of education (cf. 2.1.4, p. 207). The pretended consideration of social needs for education in the so-called 'social demand' or 'social objectives approach' proves - after more careful analysis - to be restricted to the needs of capitalistic economy. This holds true for the consideration of individual job selection which already incorporates the experience and anticipation, on the part of job-seeking individuals, of the exchange-value of labour power; and it is also valid for the postulate of equal opportunity which is also reduced to questions of economic efficiency:'... equal educational opportunities will be granted as long as costs and returns of granting educational opportunities do not exceed a fixed norm'. (Widmaier, 5195, p. 30). Only if 'wealth' and 'prosperity' are achieved, would it be possible to satisfy individual needs for education fully. However, because this 'wealth' has nothing to do with the Marxist category of real or material wealth of use-values, but is measured rather according to surplus value, this is nothing but a consolation with a fictitious quantity, which can never be achieved under conditions of the 1. Marx, Das Kapital, (3rd edit.), vol. I, p. 381 (ad-hoc translation).

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capitalistic mode of production because of increasing difficulty of capital realization. At the same time, the Marxist critique of the welfare-state concepts in the economics of education and science does differentiate between: 1. a conservative Keynesian position which tries to functionalize the sector education and science for the goals of 'growth' and 'full employment' without clinging to illusions about an expansive education policy or redistribution of wealth (through educational opportunities) extending beyond the principally defined limits of the capitalistic mode of production (cf. for example, Widmaier, 5195 and the authors of the 'Sozialenquite', commissioned by the West German Government, Stuttgart 1966, p. 140-154) and 2. a reformistic left Keynesian position which propagates Utopian ideas about the dissolution of social dominance and educational privileges by reforms in the sphere of distribution without abolishing the capitalistic mode of production based on the unrealistic assumption that 'through an expansion of social wealth' a 'multiple pluralism of interests will lose the antagonistic acuteness of competing needs to the extent of the conceivable possibility of their satisfaction' (Habermas, 12099, p. 254, cf. also Offe, 10423 and 13014; Vilmar, in: 16082; Habermas in the introduction to 3968; in the USA Melman, 12177, several contributions in Perucci and Pilisuk, eds. 12203; see also the critical review of this position by Hayden, 10341). From the point of view of Marxist critique, both positions have in common the 'social state illusion', i.e. the idea of a state distribution apparatus largely independent of capitalist production and circulation processes, in the first case limited to the possibility of state intervention to prevent cyclical crises, in the second case, extended even beyond this to the possibility of the redistribution of social wealth in favour of underprivileged social groups. While the one side merely assumes that the state could become independent of the anarchic process of capital realization, of the interests of single capital units and capital factions, to such an extent, that it would not anymore be a - so to speak - fictitiously ideal but a rationally acting, universally informed, ideal total capitalist, the other side imputes that it could even become independent of laws of an ideally organized capitalistic system of production and circulation without the latter breaking down or its supporters seeking a new state apparatus. 200

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Against this, however, the Marxist critics do stress here - in agreement with bourgeois distribution theoreticians oriented to 'Realpolitik' - the objective impossibility of considerable redistribution processes within the capitalistic system: Either income, employment, or growth rate will fall or a capital drain will take place, if attempts are made to change wealth and income distribution in favour of the wageearning class. (Cf. Miiller and Neususs, op. cit., p. 31). In view of the necessity to preserve capital through write-offs prior to distribution and in view of the necessity to distribute the remainder, namely wage and profit, also according to the laws and necessities of capital accumulation, the so-called welfare state has nothing at its disposal that it could distribute among the classes, but can only participate in redistributions within the classes. Only in a situation where the reproduction of labour power necessary for the capitalistic total interest really cannot be secured anymore by redistributions within the working class, will the state have to force a redistribution between wage labour and capital in order to preserve the very existence of wage labour at all as the basis of capitalistic exploitation - with uncertain prospects of success. (Cf. here the analysis of the classical example for such attempts, the introduction of worker protection legislation ('Arbeiterschutzgesetzgebung') in the 19th century, in Marx, 'Das 1Capital', vol. I, 3rd edit., p. 279 and the explanations of this in Miiller and Neususs, op. cit. p. 43-53). 2.1.2.3.3 Anti-capitalist economics of education and science Considering this analysis, the postulation of an anti-capitalist economics of education and science by some Marxist critics (cf. Altvater et al., 16322) can only serve the function of propagating the goals of a revolutionary socialist movement as well as anticipating revolutionary tasks, and the critique of revisionist digressions, for the period of socialist transformation in industrially developed societies. One of several objectives of such an 'anti-capitalist meta-economics of education and science' would be to 'balance' the costs of the capitalist mode of production, for example, its aspects of socially useless, destructive surplus absorption, monopolization and delay of science application and dequalification and set this in contrast to the objective possibilities of the distribution of social wealth of concrete use-values and the liberation of new 'productive forces' by a universal intellectual and psychic education and solidary association of individuals with the dissolution of this mode of production. 201

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2.1.2.3.4 Material analysis of capitalist education and science policy A further consequence of Marxist critique of the capitalist economics of education and science also exists only as a programme with a few exemplary illustrations: the verification of the concrete vacillations and deviations of the long-range laws which hold true for the tendency of capital realization in the field of education and science through differentiated analysis of objectively necessary and concrete-historically prevailing tendencies and interests of individual capital fractions (investment goods monopolies, extractive raw material monopolies, light industry capital, etc.) which exert an influence on the field of education and science policy. Breger (op. cit. supra, p. 193) has exemplarily outlined such an analysis of the capital fractions in West German higher education policy. Similar studies deal with imperialistic cultural and scientific interests of capital fractions with regard to the Third World (cf. Stiebitz, 12350; Busch et al.1; Ransom, 12686; O'Connor, 162332) or to the disparate relation between us American and West European capital (Mandel, 16054,10277). 2.1.3 Concepts of socialist transformation Higher education and science play a prominent part in the political economy of societies in the transformation period (from capitalism to communism), because the social antagonisms and resulting political and scientific controversies within and among the different societal formations and political movements of the transformation period stand out more distinctly in this area. Since the Twenties, the focus of these controversies over basic structural laws and formation principles of the transformation period in the Soviet Union has been the question, whether and to what extent the products of human labour and human labour power itself in the transformation period still assume the value-form of a commodity and must be exchanged on a market according to the 'law of value' as well as under which conditions (or in which areas initially) the production and distributibn of social wealth can be organized according to the revolutionarily awakened needs of the united and associated producers and through their con1. 'Neue Imperialismustheorien'. Social. Pol. 6/7, June 1970: 91-111. 2. J. O'Connor, 'International corporations and underdevelopment'. Sci. & Soc.t Spr. 1970: 42-60.

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sciously organized control, i.e. the transition to communism1. Essentially, three positions have to be differentiated in this question: - Stalinist policy, according to which the objective was to effect a transition to communism under the objective necessities of 'socialism in one country' threatened militarily and with only slightly developed industry. This transition was to be achieved by powerful imperative centralized planning of the economy under the control of a political-bureaucratic leadership stratum, by disciplining the working masses and paying wages according to performance and by realizing high industrial growth rates, primarily in the means-of-production sector; - the revisionist, post-Stalinist policy of 'new economic systems' in the Soviet Union and Eastern Europe, according to which to socialism, now defined as an independent socio-economical formation during the long transition period prior to the world-wide abolishment of capitalism, the following principles should apply: not only further wage differentiation based on performance-incentives, but also principles of market economy, primarily economic autonomy and profit-sharing for industrial management co-ordinated by decentralized indicative planning of the economy under the control of a small bureaucratic and technocratic stratum. It is assumed that only in this manner is it possible to guarantee high growth rates (including increasing mass production of consumer goods), which will finally, after victory in peaceful competition with capitalism, achieve such high social wealth that performance wages and the profit principle could be administratively abolished and thus communism be declared by decree; - the anti-revisionist policy of the Chinese, Vietnamese, and Cuban revolutionaries who, on the one hand, accept the Stalinist principle of centralized economic planning and the priority of the means-of-production industries, but, on the other hand, do not primarily view the transition to communism and the development of productive forces as basically a technological and quantitative problem; but, rather wish to achieve 1. Cf. N. Spulber, ed. - Foundations of Soviet strategy for economic growth. Selected Soviet essays, 1924-30. Bloomington, Ind., Indiana University Press, 1964; Evgeny Preobrazhensky, The new economics. (1926). Oxford, 1964; Charles Bettelheim, La transition vers l'économie socialiste. Paris, Maspéro, 1968; Ernesto Che Guevara, Oeuvres. Tome III: Textes politiques. Paris, Maspéro, 1968; Guevara, 16446; Strotmann, ed., 10222; Bettelheim, Castro, Guevara, Mandel, Mora: Wertgesetz, Planung undBewusstsein. Frankfurt, a. M., Verlag Neue Kritik, 1969; Bettelheim, Marchisio, Charriere - Der Aufbau des Sozialismus in China. Miinchen, Trikont, 1969.

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both the higher quantitative and qualitative development of the productive forces of society and - as both a condition and result of this development the gradual determination of centralized economic planning through total societal producer-democracy, by cultural-revolutionary mobilization and education of the masses to criticize and tendentially abolish bureaucratic control. The 'base-concepts' on the political and economic position of science and education in these three political lines in the transition period are highly different and contradictory: 2.1.3.1 In the Stalinist system the science of political economy had abandoned the Marxist method of critical-revolutionary exposition 'of all forms of antagonism and exploitation' 1 with the objective of abolishing them; and had petrified to an affirmative special discipline which, on the one hand, obscured both necessary and unnecessary domination, and on the other hand, performed exclusively technological-quantitative tasks for centralized imperative economic planning. Beginning with the first Five-Year-Plan (1928-32) the development of science and education was planned according to the so-called method of estimating requirements for specialists on the basis of the nomenclature of positions ('nomenklatura dolzhnosteV) an administrative method by which the need for specialists was determined according to the centrally decreed plan objectives of the individual plants and according to criteria of the central ministries for the respective plan period supplemented by long-range extrapolations of the population structure and the deployment of the labour forces to various branches. In this process, decisions on the organization of labour tasks, educational qualifications, and wage scales were made by the ministries administratively, i.e. according to pragmatic technological and political estimations and not according to systematic calculations of the economic yield of specific assignments. (Cf. Nozhko, 5235; Nozhko et al., 16399, pp. 276-9; Dodge et al., 5224; Komarov, 5229; Litwjakow, 5233). Calculations concerning the contribution of investments in education to economic growth were undertaken based on reducing complicated work to simple work with the aid of a wage-scale system. (Cf. the study by Strumilin, 5238 for the period 1940-60). 1. W. I. Lenin, Werke, Berlin (GDR), 1961, Vol. 1, p. 333, (ad-hoc translation).

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As in the planning in other areas this resulted in incorrect information and the unnecessary dissipation of resources because of the lack both of sufficient economic categories and as well as of the political control of privileged managers and bureaucrats by the revolutionary conscious producer collectives (cf. Altvater and Neususs, 12009; Solganick, in: 10222). On the other hand, it is necessary to emphasize that these Soviet methods of science and education planning were, nevertheless, immeasurably superior to the particularistic and contradictory attempts at planning in the capitalist system. (Cf. Nozhko et al., 16399). 2.1.3.2 In the 'new economic systems' which attempt to avoid the weaknesses of central planning exclusively through the decentralization of this planning in combination with market economy mechanisms and through the expansion of material incentives for the manager stratum without relinquishing their bureaucratic-dominating nature even higher education and science are being structured tendentially according to the baseconcept of 'socialistic market mechanisms and their economic levers'. We find the application of these concepts expressed here in the following structural principles: - the transition to predominantly ordered and contracted research and development activity (and the related special training) by universities and non-university research institutes for the relatively autonomous large corporations as well as for their R & D priority projects which to a certain extent are planned according to criteria such as profitability and time advantage in R & D, production and sale on the world market, - the transition from the attachment of material incentives in the field of applied research and development (in industry and higher education) to the fulfillment of administratively delegated tasks to the orientation to cost-benefit calculations (including time-saving), - greater orientation of perspectivistic indicative planning of highly qualified education and labour force requirements to the labour force planning for the economically autonomous major combines which, because of their attachment to market mechanisms, are forced to undertake systematic and more realistic personnel calculations - supplemented by prognoses on the scientific-technical development, the development of productivity and industrial capacities in plants and branches as well as the mobility, deployability and 'fluctuation' of qualified labour forces on the new 'socialist labour market' (Cf. on this point 2.2.4, p. 222); 205

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- the utilization of profits from the research institutes and universities involved in industry-oriented ordered and contracted research to finance a system of differentiated material incentives for substantive control and the dynamic expansion of individual achievements in the field of basic research, teaching, and study. The following Soviet and Eastern European studies on the economics of education and research may serve as examples for the development of the basic concepts of the 'new economic systems' in the field of science and higher education: Sachse (ed. 16073), Sik (16076), Blyakhman et al., (16389), Karpov (16393), Remenikov (16401), Albrecht (16405), Gripinski (5247), Hahn (5248), Haupt and Ruehle (16409), Knauer et al. (eds. 16410), Kusicka (16411), Lange (ed., 16413), Loffler et al. (16415), Naumann and Steinberger (5252), Ruehle (16420), Seickert (16422), Timar (5266), Rufert (16431). For the critique from a revolutionary Marxist view of the 'new economic systems' and their application to science, education and manpower-planning cf. Benard, Mandel et al. (16008), Sass (16074), Altvater and Neususs (12009), Bettelheim, Mandel, Sweezy, Solganick, Strotmann (in: 10222). 2.1.3.3 In the revolutionary socialist systems in China, Vietnam, and Cuba, not the explicative applicability and utility of the 'law of value' and of 'profit' as criteria for the success of a socialist production unit are rejected but the normative utilization of 'profit' as a measure of compensation or the allocation of other material incentives; similarly, not market designations as such (or to a limited degree in the consumer goods sector) are rejected but the predominance of such designations over centralized (or regionally decentralized) imperative planning is under attack 1 . As a consequence, the field of science and higher education is also subjected to economic calculations according to costs, time-expenditure, and estimated returns, not, however, in order to differentially increase the material privileges of a technocratic intelligentsia and an easily corruptible manager stratum, but in order to subject these strata to a differentiated and effective critique by the proletarian vanguard to whom they are related not only on the basis of economic contractual relationships, but also in the cultural-revolutionary solidarity ofliberation struggle. 1. Cf. C. Bettelheim, pp. 57-69, and Solganick, pp. 76-83 in: 10222; and C. Bettelheim, op. cit. (p. 202, above).

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The extensive replacement of 'material incentives' and privileges for the intelligentsia and managers by 'moral incentives' and proletarian critique and control represents, together with the accelerated dissemination of knowledge and interest in education among the masses, an additional 'growth factor' in these societies. This basic concept of revolutionary economics of education and science which lives up to the true nature of the Marxist-Leninist method of the exposition and abolishment of all forms of antagonism and exploitation is expressed in the following structural principles : - in the economic and cultural-revolutionary unification of universities (and research institutes) and industrial and agricultural production units; - in the periodic manual labour by intellectual workers and functionaries combined with common political education processes for intellectuals and the proletariat; - in the introduction of the opportunities for professional-technical training and adult education as a 'moral incentive' for production workers; - in the expansion of a flexible middle-level technical education system in a magnitude not exclusively determined by the short-range labour force demands of production units and branches but also in an effort to enlighten the proletarian masses with regard to the ramification and complexity of larger, more complicated work processes, enabling these proletarian masses to criticize, control, and improve them, in which manner the creativity of the 'total productive worker' is developed. In the following studies and contributions these basic principles of revolutionary Marxist economics of education and science are discussed and formulated: Bettelheim et al.1 ; Strotmann (ed., 10222); Benard et al. (16008); Guevara (16446); Blumer (13411a); 13420; Pischel (13449); J. Robinson (13450); Schickel (13451); 13453^; 13457; Butler (13469); Castro (13470); Morray (13488). For descriptive and partly critical studies on these principles by 'Western' authors see Yang (5272), Hoffman (16436), Barnett (13411), Chang (13414), Munro (13443), Oldham (13447), Fagen (13476), Jolly (13483), Ryder (13497-8); for a Soviet critique see Zanegin, Moronov and Mikhailov (13462). 1. C. Bettelheim, La transition vers l'économie socialiste. Paris Maspéro, 1968; Bettelheim, Marchisio, Chamere, Der Aufbau des Sozialismus in China. München, Trikont, 1969.

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2.1.4 Concepts of welfare-state social technology A fourth major group of concepts is characterized by a neo-positivist ideology critique of the neo-classicist models as well as an inter-disciplinary expansion of economic, basically Keynesian, concepts through strategies of survey research and simulation of the behaviour (of individuals and 'sub-systems') for the socio-technological regulation and control, or at least the deduction, of pragmatic, socio-political decisionmaking from the perspective of the so-called welfare-state or social state in the highly developed capitalistic countries. The analysis of the major world economic crisis reflected in the doctrines and technologies of the anti-cyclic intervention techniques into the capitalist economic process inspired by Keynes as well as the process of capital concentration and monopoly building accelerated by the war economy of the world wars under the mediation of the state prepared the socio-economic background for the birth of these concepts. The state interventions into the economic cycles have 'concentric expansively' led to a series of interventions into the infrastructures of the economic process particularly in the field of the reproduction and administration of the labour force, interventions which in turn created a demand for the collection of data and the development of goal-rational action calculi. In the past years the intensification of competition with the socialist transition systems (sputnik shock) and the discovery of structural disparities in the qualification of the labour force after the termination of postwar reconstruction, and the expansion of neo-imperialistic development policy in the Third World 1 have multiplied the demand for contingency policies through state investments, reforms, and empirically substantiated action strategies in the field of education, research, and technology. Because we will deal with the approaches to normative education and science economics in the following section (2.2), we shall limit ourselves here to a description of the explicative base-concepts which logically and historical-politically form the framework of these programming and planning strategies: above all the concepts of a socio-cybernetically defined 'system' or 'sub-system', its 'circulation' or 'metabolism' and its 'planning' through 'reflexive mechanisms' as well as the concept of the minimalization of interest conflicts and domination in the process of 1. For a characterization of neo-imperialistic development policy strategies and their application to education, science, and technology; cf. also Chapter 1,5, pp. 149,163-5.

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increasing 'social wealth' and 'welfare'. In the history of ideology we find four different sources (all of which have influenced, approximated, or reinforced each other) for the genesis of these basic concepts: 1. the Keynesian and post-Keynesian theories of growth and economic cycles; 2. the application of cybernetic models in micro-economic, corporateeconomic management and in the planning of giant corporations; 3. the revision of the Marxist critique of capitalist political economy in social-reformist and 'left-wing Keynesian' theories and in the Soviet revisionist theories of 'state-monopoly capitalism'; 4. the revision and critique of normative centralized planning of the socialist transformation period by the 'new economic policy of planning and control' and theories of 'socialist market economy'. Common to these basic concepts of science and education planning as a part of social policy and anti-cyclic economic policy is the rejection of both the neo-classicist theories of growth as well as the genuinely Marxist theories on the basic antagonism of capitalist production and distribution, both of which have contributed nothing 'positive' to the desired stabilization or reform of education and science systems. The one group of basic concepts is criticized at the methodological level and accused of providing model-Platonism in the style of naive classic-national-economy philosophy of the harmony and self-regulating system of the market economy; 1 at the content level criticism is made of their onesided orientation to the long-range growth effects of investments in education and R & D and the neglect of the problems of short-range investment decision-making in education and science policy. (Cf. Hegelheimer, op. cit., Hüfner, 16028). In contrast to genuinely Marxist concepts, principal doubts are voiced on the assumption that even the so-called 'organized' or 'state-monopoly capitalism' or the 'social market economy' is objectively an antagonistic, contradictory crisis system whose welfare-state distributive apparatus is not capable of 'peacefully' and politically resolving disparities in the science and education systems (Cf. Habermas, 12932, 12099-100; Offe, 13014; Yilmar, 16082; Institut für Gesellschaftswissenschaften beim ZK der SED ed., 10421). 1. Cf. Albert, 'Model-Platonismus. Der neoklassische Stil des ökonomischen Denkens in kritischer Beleuchtung', pp. 406-39 in: Logik der Sozialwissenschaften. Köln, Westdeutscher Verlag. 1966.

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Nevertheless, there are significant differences among the various welfare-state, socio-technologically oriented concepts with reference to their ideological background, level of abstraction, and temporal horizons. In the concept of the minimalization of interest conflicts and domination through the increase of social wealth propagated by many left-wing theoreticians from the Western European social-democratic parties or the Eastern Europe liberal 'reform communist' tendencies, (cf. Habermas, 12099-100; Sik, 16076, 16433-4; Naschold, 13006; Löbl, 16050) distinctions are still made between goal-rational (socio-technological) action systems (work, positive science, technology) and the dialecticalrational field (inter-action, public discourse, democratic decision-making, and emancipatory enlightenment). This is connected to the expectation that the control over the economy and society through enlightenedcommunicative action for the fulfillment of emancipatory human needs will be continuously expanded by progress in the field of education and science, be it on the basis of a capitalist production system compensated for by welfare-state activities or a bureaucratic-technocratically controlled 'socialist market economy'. This however, will only succeed at the cost of the correspondingly more consequential expansion of socio-technological regulation and control techniques in goal-rational sub-systems, techniques taken from the methodological drawingboard of cybernetics. One of the dominating tendencies of science and education planning of the capitalist and some of the socialist transition societies can be characterized as 'technocracy'. The theoreticians in this field are resignedly occupied with either - given the impossibility of subjecting all of the sub-systems of the capitalistic system to planning - only the socio-technological subsystems such as education, science, etc., in which welfare-state activities are to dominate (cf. Hüfner, 16028; Kade et al., 16343; R. Stone, 5058;) or they stylize - in capitalism more, in socialism less naively - all of society as a socio-technological system in which science, education, and labour force potential act as sub-systems themselves (cf. Luhmann and Jensen 1 ; or Wüstneck2 and Naumann and Steinberger, 5252 and in: 16410). 1. Niklas Luhmann, 'Reflexive Mechanismen'. Soz. Welt 17(1), 1966,1-23; Stefan Jensen, Bildungsplanung als Systemtheorie. Düsselforf, Bertelsmann Universitätsverlag, 1970. 2. K. D. Wüstneck, 'Der kybernetische Character des neuen ökonomischen Systems und die Modellstruktur der Perspektivplanung'. (The cybernetic model structure of the new economic system and perspective-oriented planning). Dtsche. Z. Philos. 13 (1), 1965: 5-29.

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In contrast to the analytical-taxonomical sociological system theory (T. Parsons) what is proposed here is a conceptualization of complex probabilistic dynamic open sub-systems capable of learning whose 'observer' is also a part of the sub-system itself as a planning agent codefining its objectives and co-occupied with 'reflexive mechanisms'1 for its control and regulation. Furthermore, special attention is given to the planning processes (conceived of as the inter-action of both the subjects and objects of planning) and its structural characteristics i.e. time, roles, role-players, and levels of planning as well as the inter-related information and communication processes. (Cf. Hiifner, 16028; Rittel, in: 12217). Some authors have also criticized the planless, contradictory education and science policy in the capitalist industrial countries from this perspective (cf. Hiifner, 16028; Rittel, 12217; Berstecher et al.2; Jantsch 3 ) and have begun to search for other societies which better 'fit' their planning model. In doing this, they develop a 'conceptual apparatus' making it possible 'to discuss problems of total centralization or decentralization of a decision-making system without having to limit themselves to the ideal-typical extremes dating back to policy debates on the control of the social order' (Hiifner, 16028; p. 133). Similar conceptual apparati have also been presented in seeking for a 'third path' for the 'Third World' countries (cf. on this point Chapter I, 5, pp. 144-146). Parallel to and in part as a supplement to the system-theory concepts on the process of planning and control of education and science sectors concepts have arisen on the socio-political norms of education and science policy and on the empirical-prognosticative analysis of the aggregate behaviour of individuals and firms in various sub-systems. While the 'left-wing' reformist theoreticians of the capitalist welfare state have, for the most part, provided no operationalizable norms for science and education policy, liberal elements have propagated approaches to a normative concept of practical policy which proceeds from a one-sided, supply-oriented educational policy as the realization of the classic-liberal basic rights to education and equal opportunity: these con1. Luhmann, op. cit. 2. D. Berstecher, K. Hiifner, S. Jensen, J. Naumann, E. Schmitz, Gesellschaftsbild und Bildungsplanung in der Bundesrepublik Deutschland. Berlin (West), Institut fur Bildungsforschung, 1968 (mimeo.) and Jensen, op. cit., supra note 129. 3. E. Jantsch, Integrative planning for the joint system of society and technology - an emerging role of the American university. Paris, OECD/CERI, 1970 (mimeo).

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cepts have been proposed predominantly in connection with the strategies of education and higher education planning in a few us states, particularly California, further by the British (Robbins) Committee on Higher Education as well as in the educational planning in the West German state of Baden-Württemberg theoretically inspired by Dahrendorf. All of them, however, have only been partially carried out. This concept does have an active socio-political, welfare-state character in as much as it demands considerable efforts on the part of the state to increase the number of graduates of institutions of higher education and criticizes educational planning pragmatically oriented to the short-range needs of the economy and administration. It implicitly views the education system as a quantity relatively independent of economic-technological development which can be regulated to fulfill certain politically determined goals and presumes a secular trend towards a general increase in the qualification demands without analysing the barriers against this within the capitalist economic process. On the other hand, it is based on an almost classically liberal concept of high 'market rationality' according to which a functionable price-and-market mechanism for education qualifications leads to a largely frictionless absorption of additionally trained labour forces, if necessary by drastic reductions in income and status of the labour force educated according to 'equal opportunity'. The critics of this concept who are also oriented to an active welfare-state policy (cf. Riese, 5192; Hegelheimer, 16339) have emphasized that this contradicts both the oligopolitical market and price structures as well as other welfare-state postulates of social integration and status security for workers. They have confronted this voluntaristic-liberal concept as well as the short-range-pragmatic demand projections1 with the norm of maximally exhausting a so-called complex 'demand corridor' in the labour market, a quantity which defines the real freedom of action in forming education and labour market policy. The precise identification of this welfare-state freedom of action in dialogue with the structural necessities of the capitalist economic process requires in turn, firstly, concepts of system-oriented 'flexibility, substitution, and mobility research1 as the basis of co-ordinated labour demand and education planning and, secondly, concepts for the explication and control of education investments in economic cycles and in the circulation of the national economy 1. Cf. here Section II, 2.2, particularly 2.2.4, The manpower requirements approach, pp. 220-222.

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before simulative interdependence models can be developed and fed with data and decisions at the level of applied educational economics. The concepts proposed in the first area exclude as simplifications both the assumption of an almost complete elasticity or substitutability of educational qualifications (for specific professional tasks) by others (as in the concept of the 'right to education') as well as the assumption of an almost complete inelasticity or limitationality (as in the so-called manpower approach) but yet want to empirically determine or prognosticate the respective degree of substitution of workers with varying degrees of qualification engaged in activities of the same nature among one another as well as the respective degree of flexibility of workers with the same degree of qualification with respect to differing activities. This, in turn, is combined with the intention to determine the difference between the objectively possible immanent degrees of substitutability and flexibility in the capitalist production process and the factual mobility based on substitutability, a difference which characterizes the limited freedom of action of welfare-state education and labour force policy. (This concept of substitution is meant to include both horizontal substitution, e.g. of lawyers by business graduates or engineers in management as well as vertical substitution, e.g. of university-trained engineers by trade-schooltrained engineers and technicians). Studies proceeding from this basic concept are, among others, Armbruster et al., (3957), Riese (5192), Strümpel (5194), the projects of the LSE Unit for Economic and Statistical Studies in Higher Education and the Center for Human Resources Research, Ohio State University, related to specific industrial groups and partial labour markets, as well as the research programme developed by Hegelheimer (16339). As analytic models they are closely related to the concepts of the balancing and prognosis of'mobility, deployability, and fluctuation' within the framework of central perspectivistic labour force and education planning in the industrially developed socialist transformation systems (cf. particularly Naumann and Steinberger, 5252) which, however, allows for the deduction of different consequences for the goals, processes and general applicability of planning, because of the different politico-economic basic structure. In these transformation systems the substantive and planning-policy consequences derived from these analyses will come to approach those of the capitalist welfarestates only to the extent that decentralized decision-making and market structures are restored in them. 213

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In the capitalist countries, however, the political-economic conditions will also produce the necessity in the field of science and education economics to develop explicative concepts of the role of education investments in business cycles and in capitalist economic circulation. Here we must focus on the question of how the 'marginal utility' of private real capital investments is determined by the expansion of complementary science and research investments and of how, from the perspective of shortterm cycle policy, the rate of profit of private investment projects and thus the general tendency toward investment by entrepreneurs can be increased by allowing these public investments to 'lead' private real capital investment. This situation has led to the attempt to incorporate the business cycle and growth policy effects of education and research investments, i.e. their income and capacity results into post-Keynesian growth models (cf. Hegelheimer, op. cit.)

2 . 2 CONCEPTS OF PROGRAMMING AND PLANNING

The survey of the basic concepts of the economics of education and science has established that, with respect to normative aspects - such as the problematic of programming and planning - in the capitalist systems the rejection of the neo-classicist concepts of growth, in the industrially developed socialist transformation systems the rejection of the administrative-imperative planning concepts is becoming a reality. Thus, in the following survey of programming and planning concepts it is necessary to differentiate between the one-sided, neo-classicist, economically-oriented correlation and rates-of-return approaches, the pragmatically-administrative manpower-requirements approach as well as the more socio-politically and socio-technologically oriented concepts of social demand and social objectives and of the system-oriented organization and decision-theory approaches. Only the latter system and decision-theory approach can, strictly speaking, be referred to as a theory of planning. All of the other approaches lack the models and conceptual apparatus necessary for empirically verifiable, theoretically substantiated action directives for planning measures. At best, they could be referred to as programming techniques capable of delivering planning-relevant 'signals' and bases for infor214

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mation from varying particularist perspectives, (cf. here the detailed critique of these approaches from the perspective of system-oriented planning theory in Hufner, 16028). 2.2.1 The correlation approach The technique of the correlation approach is the simple correlation of two or more variables (cf. for example Edding, 5018; OECD, 5033; Harbison and Myers, 5023; ILO, 5027). The existence or non-existence of a high correlation is supposed to shed light on 'patterns of influence' or 'laws' concerning the behaviour of the variables observed, 'laws' which might be used for planning purposes. A coefficient of correlation is a measure of the degree of common variation of two or more variables. It is, however, very difficult to obtain a clue to a chain of causality on the basis of a correlation analysis. We can stipulate that the independent variables must change before the dependent one does. So, a necessary condition for the discovery of a chain of causality would be the existence of a lead-lag structure between two variables x and y. If lead-lag structures are not identified it is impossible to make decisions on causality relationships. But even the weaker statement that there is an interdependence between the variables x and y requires certain qualifications. If the variables x and y belong to a larger set of somehow inter-related variables, it could be that x and y move in the same or the opposite direction due to the influence of some other variables belonging to the set but not included in the analysis. This implies that a high coefficient of correlation may be accidental and provide the analyst neither with a clue to causality chains nor to interaction patterns. The power of an argument based on correlation analysis decreases, therefore, with the size of the larger set of all interacting variables as long as we do not know what the relationship is between the variables subjected to correlation analysis and the variables in the rest of the set. This reasoning is particularly valid for simple correlation analysis, even though it is important to keep it in mind when discussing multiple correlation as well. Today there are several studies which examine the multiple indicators of social and economic development, including education and science, using simple correlation analysis. In a UNESCO study carried out in 1961, an attempt is made to divide industrial and 'developing' countries into groups which would charac215

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terize the different stages of social and economic development1. Harbison and Myers (5023) use a similar approach in setting up their 'Composite Index of Human Resource Development' using seven measurement data (number of teachers, scientists and medical doctors per 1000 population as well as four measurement data for relative school attendance at different levels of education). This index reveals a high rate of correlation to the per capita gross national product. The study by Caplow and Finsterbusch (16146) is even more extensive. In a 'matrix of modernization', they summarize correlations between maximally 2929 demographic, social and education indicators in 66 countries. The information value of correlation analyses depends, among other factors, upon the quality of the materials available for analysis. This is particularly apparent in international comparison studies. It is quite difficult - if not impossible - to find comparable indices for the 'education' and 'economy' sectors. Because of the differences in the organizational and substantive structures of the educational systems in different countries2, global indices, such as relative school - or university and college attendance, the number of graduates of particular training courses with respect to the total population in the corresponding age groups must be used with great caution. Even the extraction of comparable data for estimating the gross national product is exceedingly problematic. Thus, a high simple correlation between relative university and college attendance and national income or education and science spending possesses little information value. On the one hand, the high correlation would seem to indicate that education and science spending are important for economic growth. On the other hand, however, it is also possible to interpret the same correlation coefficient to indicate for example that education is an important consumer commodity whose demand rises with a rise in the national product 3 . 1. United Nations - Report on the world social situation. New York, United Nations, 1961, 98 pp. 2. Consider, for instance, the differences in work-methods, number of class hours per week, number of school days per year, size of classes, curricula, attitudes of pupils and parents, to mention only a few of the possible difficulties of such comparative studies. 3. In this case, an elasticity of income of demand greater than one is imputed. It is further assumed that the income effect will compensate for a substitution effect resulting from the possible increase in price of the commodity - education - relative to other prices. Cf. on this point Bowen, 97, pp. 5-6.

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We can say that correlation analyses are often over-strained in studies of the problem of the significance of education and research spending for economic growth. Normally correlation analysis is used as a testing method for hypotheses. The correlation analysis does not, however, imply ex ante any hypothesis on the behaviour of social systems. Often, if a positive correlation coefficient is achieved, the material is subjected to an historicistic interpretation presuming the presence of a compulsory development. Social systems are viewed as recurrent phenomena; social transformation is impossible. This is tantamount to the negation of significant characteristics of social systems, e.g., adaptability and influence ability; theoretical knowledge on the behaviour of social systems is replaced by ideological justifications consisting of imputed behaviour patterns. It is a characteristic of this historicistic approach to claim that social systems move 'along a clearly visible 'relation strip' swerving upward' ; thus any 'growth-necessitated increase' of relative school attendance would have to be oriented to the obligatorily interpreted path of development, i.e. could not deviate from this 'relation strip'. (Kneschaurek, 16378, pp. 162-7). 2.2.2 The rate-of-return approach The rate-of-return approach in educational planning proceeds from the hypothesis that different amounts of formal education obtained correspond to different life-time incomes. In empirical analysis, a crosssection of data on income differentials are used to compute life-time incomes. These are compared with the costs of different patterns of formal education. The internal rate-of-return equalizes the flow of future net life-time income differentials and the compounded additional costs for a specific formal education. An alternative to the internal rate-of-return procedure is the computation of the present capital value of expected future net life-time income differentials compared with the present capital value of the additional costs necessary to obtain the additional formal education. Here, the problem consists in choosing an appropriate discount rate to compute the present capital value of the future net life-time income differentials. The rate-of-return approach claims to develop decision criteria for investment in education for both the individual and society. The approach is slightly modified according to which decision-maker the study focuses 217

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on (cf. Anderson and Bowman, 5001; Bowman, 5078; Blaug, 16302)1. The literature distinguishes between two concepts to obtain rates or return both in education planning and research investments. Both compare a time sequence of (monetary) returns to a time sequence of (monetary) costs. The first of these concepts works with the production function, the second with a more general cost-benefit framework. If a production function is used, the patterns of influence between the input subjected to rate-of-return analysis as well as the other inputs and their relationship to the output is specified. The purpose of such an analysis is to identify that part of the common output which can be imputed to the input subjected to rate-of-return analysis. Whereas production functions often specify a priori simplified patterns of influence between a restricted number of variables, cost-benefit analysis is not restricted by such a priori assumptions. Rather, the analysis of a particular problem itself is supposed to provide criteria to identify returns and costs which, given proper monetary weights, lend themselves to rate-of-return or discounted capital value analysis. The use of rate-of-return analysis for education and science planning purposes presupposes the validity of the decision-rule of classic economic theory: In order to maximize overall utility, investment projects should be chosen so that the marginal social rate-of-return is equal for all projects. According to this rule, a planning agency is supposed to compare the marginal social rates-of-return on investments in different areas (e.g. investments in human capital versus investments in physical capital) and then select those having the highest rate of return. Assuming the validity of the law of diminishing marginal returns such a procedure would finally lead to a decrease in the marginal social rates of return of the projects selected and thereby to an equalization of marginal social rates of return in all potential projects - an optimum condition. This version of the profit-maximizing hypothesis of classical economic theory explicitly uses the terms utility and social rate of return to guard itself against the charge of one-dimensionality in its stipulated objective function. That is why the attempt is made to include all indirect costs and returns (cf. for the sector of R & D the study by Fritsch, Krauch and Tybout, 'Classification of social costs and benefits in R & D.' pp. 2581. For a critique of some of the basic assumptions of the rate-of-return approach see: Balogh (16005); Eckaus (5100) and A. Hegelheimer - 'Bildungsokonomie und Bildungsplanung'. Konjunkturpolitik, 14 (1-2), 1968, particularly pp. 94-103. 218

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267 in R. A. Tybout, ed. - 16276). Since it is necessary to assure commensurability of the costs and returns vector, the indirect costs and returns must be assigned monetary weights. All proponents of the rate-of-return approach agree, though, that despite the inclusion of indirect costs and returns, the utility function of a decision-maker more often than not includes arguments which do not enter the computation of a rate of return. Since the problem of identifying this utility function remains, the rateof-return approach still does not provide a planning agency with an unequivocal basis for decision. Nevertheless, the rate-of-return approach must, if properly limited, be viewed as a necessary instrument for education and research economics, an approach which can shed light on, among other phenomena, the isolated effects of education and science policy decision-making. This does not mean, however, that, based on such partial cost-benefit calculations, this approach can provide binding decision-making criteria for the structurally 'correct' application of resources in the total system context of state education and research spending. 2.2.3 The social demand approach In its simple version this approach is widely used in educational planning. Essentially, it is a method designed to determine the necessary number of primary school vacancies at some future date for a given specific population development. An analysis of the structure and development of a given population can provide us with a fairly accurate estimate of the demand for education for the primary level (assuming that primary education is general and compulsory). This demand for education is easy to assess 5-7 years before it becomes effective at a particular entering age. Plans which encompass the demand for education over and above compulsory education often assume the continuing validity of present school-attendance rates and drop-out rates for the various levels and types of secondary education. Such a procedure, however, does not pay due attention to the individual demand for education. What is needed are investigations into the motivations of the individual demand for education (cf. Brazer and David, in: 5084; Morgan and David, in: 7116). The central issue of the social demand approach is that attitudes, plans, 219

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and aspirations of the people almost certainly change. Social change has a bearing upon individual values and attitudes. There is always the danger that planners underestimate the dynamics of a society. Besides this more statistically-technical-oriented variant of the demandapproach there are some attempts to interpret private demand for formal education as 'economic': Blaug (16302) proceeds from the assumption that education represents both a consumption good and an investment good. If it were simply a consumer good, then its price would be determined by the costs of additional schooling, exceeding compulsory education (tuition and alternative costs expressed by income not received during time of education). If the family or the individual acts as a 'business', then the price consists in a cost-returns-comparison of the additional quantity of formal education in relation to a cost-returns-comparison of other investment projects. Therefore the question for Blaug is, to what extent this relation can be reduced to a single variable, the price of education, in such a manner, that a curve of the demand for education can be represented as a function of the price of education (16302, p. 167). Within this traditional-economic framework the curve representing the demand for formal education is the positive function of the internal rate of interest of education investments and the negative function of the average returns from stock and obligations chosen as approximate values for the average time preference of the parents. Thus, the aggregated demand function represents the sum of all individual demand functions; the demanded education quantity is represented as a monotonously decreasing function of its price: 'It is drawn up on the assumption of 'other things being constant': firstly, the yield of all available investment options, and, secondly, the current incomes and tastes of the 'consumers' of education... In short, incomes and tastes are parameters of the demand curve from the viewpoint of the economist but dependent variables from the viewpoint of the sociologist.' (Blaug, 16302, pp. 169-70). On this methodological basis Campbell and Siegel (5088) also attempt to analyse the demand for higher education in the USA from 1919 to 1964. As variables they use family income and price of education (x = tuition) and they conclude that approximately 87 % of the variation of the demand for higher education can be explained by these two variables. The demand-approach - both in its naive as well as its 'economic' version - has made claims that can neither be sustained with regard to theory of science nor be interpreted as planning approaches. If social 220

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demand is interpreted as simply an aggregate of all individual demand curves, then we are only dealing with an attempt to draw an analogy to simple think-patterns of national economics; no attempt is made to reflect the significance of planning, although economic theory would be capable to at least offer models for the exact formulation of the problem complex. Considering the demand-approach in connection with the 'education market' where individual demand for formal education and (state and/ or private) supply for formal educational careers and institutions meet, the demand-approach would implicate a more detailed analysis of the behaviour of all 'market participants'. Here is the place for, among others, detailed studies on the motivation determining - at least partially - individual demand. First approaches in this direction are offered by Dahrendorf (10413-4) and Peisert (18123) in West Germany, in the USA by Brazer and David (5084). For planning purposes it would be necessary to differentiate between unvariable factors (e.g. race, sex), hardly variable factors (e.g. family size, social or geographic mobility) and variable factors (e.g. education 'advertizing', increasing or decreasing supply of educational careers and institutions). Education-political decision makers primarily consider the third set of influence factors as instrument variables with resulting planning-strategic significance. Following a thorough analysis of both the demand and supply side - where neither the behaviour of the 'demanders' nor that of the 'suppliers' can be considered 'economically' determined or determinable - , the task of a sophisticated demand-approach would be to formulate strategies which would show, for example, how, i.e. with what means, in what time, and at what costs, certain social and geographical barriers can be abolished to satisfy a certain social demand. 2.2.4 The manpower requirements approach The manpower approach in educational planning which has been developed predominantly in the course of manpower-research in the OECD (cf. Gottsleben, 10023) is a logical extension of traditional input-output analysis. This approach attempts to quantitatively assess the 'necessary' occupational structure of a labour force and hence, the necessary educational structure at some future date. In contrast to the rate-of-return analysis, the manpower approach is supposed to shed light not only on the 221

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direction into which specific measures should go, but also on their specific quantitative aspects (cf. Bombach, 5009-10; Parnes, 5044; Cash, 5014). The first step consists in splitting up the labour input, in traditional input-output analysis still undifferentiated, into different occupations or occupational groups. This provides a submatrix for the different occupations or occupational groups in the different industries. The next step provides a second submatrix, assigning the different occupations or occupational groups to different categories of formal education and training. Assuming that the coefficients of the three matrices are known and do not change, it is possible over a period of time to compute the necessary occupational structure (first submatrix) and the necessary formal educational structure (second submatrix), given a particular net-output structure. If these assumptions were correct, the only - although by no means simple - question remaining is how to find the net-output structure for a future date. The coefficients in the respective matrices presuppose so-called fixedcoefficient production functions. A change in the production level is possible only if all the inputs are raised in such a manner that the ratio given by their fixed coefficients does not change. In other words, given a specific output level, it is impossible to substitute the reduction of one factor of production by an increase of another. If there are strictly fixed coefficients of production, the same input ratio of the factors of production is a necessary condition at all output levels. Since a planner wants to say something about the future, he must have some information about both the type, i.e. fixed-coefficients vs. substitution, and the position of the production function which might be shifted by 'technological progress'. The technological progress can be 'neutral', i.e. exert the same factor saving impact on all factors, or 'nonneutral', i.e. exert a greater impact on one or some of the factors than on the rest. In the context of educational planning, these questions imply that the planner must determine (1) whether the observed input coefficients of the various occupations or occupational groups belong to a fixed-coefficient production function, and (2) whether and how these fixed-coefficients will change during the planning period. The question of whether there is a close connection between different occupational groups and different categories of formal education and training is, in some respects, similar to the problem of causality between 222

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different amounts of formal education and associated income differentials in the rate-of-return approach and the correlation approach. The manpower-approach can be utilized either as a purely technological or as a technological-political approach to planning objectives. In the first version, its application leads to a technocratic model of the communication between research and politics; 'economic necessities' are postulated resulting from a development of the real national product, assigned by the researcher. The subject field 'economy' is viewed as largely autonomous and economic policy activity as a reaction to changes in this subject area, to a lesser degree as an intervention into this field. This attitude is reflected in most of the Western input-output analyses in which production groups are used as a criterion of differentiation for the 'sectors' or 'industries' in the transaction matrix. This economic-policy attitude, not planning-oriented, stands in contrast to the planning-oriented rationale of the manpower-approach consisting of the manipulation of the qualification structure of the working population through interventions into the education system by a system of planning agents. The labour market which binds the sectors of 'education' and 'the economy' to each other which correspond to the government departments of education and economic affairs as a 'system of agents' requires the coordination of the planning measures of both systems. Otherwise, it is impossible to avoid one-sided deductions which negate a priori the plannability of the sector 'the economy' and demand adaptation only from education. In the socialist transformation systems in which both sectors constitute subject areas of planning, input-output analyses in various forms is utilized for planning whereby we may consider the chess-board variation to be the most significant1. In this variation the most important state decision-makers are inserted in the rows and columns of the input-output matrix, e.g., individual industry-ministries, wholesale trade units, etc., instead of the industrial groups summarized according to criteria of product homogeneity. Each decision-maker divides his projected preliminary 'output' determined according to traditional indexing methods and his production funds among the other factors of implementation and primary factors. Thus the coefficients of a matrix of the chess-board variation cannot be 1. Cf. Janos Kornai, Mathematische Methoden bei der Planung der ökonomischen Struktur. Berlin (GDR), Verlag Die Wirtschaft, 1967.

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termed as either exclusively or predominantly technologically determined values. They depend much more upon the organizational structure of the planning complex and the area of responsibility of the decision maker. Agreement between the proposed distribution of 'output' and production funds presented by the individual decision makers is reached by negotiation and is thus referred to as 'chess-playing'. Only upon completion of this process are the coefficients of the matrix determined and the remaining steps in calculation of the input-output analysis carried out. In summary, we can say that the chess-board variation of input-output analysis takes decision makers explicitly into consideration who develop a consistent programme using the trial-and-error method. This means that the coefficients of the matrix are no longer understood as technologically fixed application relationships in a limitational production function but rather as a technologically influenced, yet predominantly politically fixed parameter of behaviour structures. 2.2.5 Systems and decision theory approaches The critique of the partial planning approaches has led to demands and attempts to develop information and decision-making models for state planning decisions which would render possible both the simulation and evaluation of all relevant feed-back effects of alternative decisions in a feed-back or inter-dependence model for specific questions of education and science policy. Here, we can differentiate between (1) qualitative models of the education system which serve to improve the description of information quantities which are projected for planning purposes, but which are not, at this point, conceived of as approaches to programming in the sense of systemoriented education planning; (2) models which function as planning models, but which only provide for one decision-making level with a clear utility function as well as closed systems with no relation to their environment; as well as (3) models which provide for various decision-makers, perceive various planning agent roles, and take the influence of the environment into consideration in the form of 'disturbance-measures' and 'pilot-measures'. The first type of models include the quantitative models of the education system developed in Great Britain by Moser and Redfern (401-402) and Stone (5058-9) and by C. Ch. von Weizsäcker and Freytag (420) in 224

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West Germany, which are both formally and conceptually identical to classicist input-output analyses. They lack feed-back mechanisms enabling them to take changes in the system along a temporal co-ordinate into consideration. Planning, in the proper sense, would mean conscious changing of the system, its processes, its flows and transformation quotas along a time co-ordinate. But it is precisely such action which is hardly conceivable nor implementable in the social systems in Great Britain and West Germany, for which neo-liberalist ideology and un-coordinated state interventionism are so highly characteristic. Even the model study by Widmaier et al. (5195) for the West German state of Baden-Württemberg which developes both a normative model for the supply of graduates of an education system as well as a 'manpowerrequirements' model for the demand for graduates, both of which are then integrated in an education 'balance', belongs to models of the firstmentioned type. These models communicate information on the interaction taking place on the education-and-labour market, making it easier to formulate empirical research topics (relevant to planning) on the determinants of the processes in question. But the freedom of action and the motivations of decision-making on the part of the 'subject (active) planning system' and its social interaction with the 'object system of planning' are neither analysed nor simulated during the course of the planning process. The second type of model includes the 'general optimalization model for the economy and education' being developed in France at the Centre d'Études de la Prospection Économique à Moyens et Long Termes (CEPREL) under the direction of Jean Bénard (cf. 5196; as well as Hegelheimer, 16370). This is an attempt to differentiate the rigid French approach to economic and social 'planification' in a new 'econometric learning model', designed (1) to integrate the activities in the two sectors economy and education as interdependent processes in a linear input-output model; (2) to combine the planning of output with the planning of price mechanisms by describing - in a dual programme - both the realistic processes and the corresponding monetary flows and transactions (in the form of'shadow prices'); and (3) to simulate consequences of alternative policy decisions by a central planning agency on the quantitative and value level. In the course of development towards the third type of model are to date only the models of education and labour force 'balancing' in the 225

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socialist transformation systems mentioned in the critique of the simple manpower requirements approach. The basis for these planning instruments is provided by the prognostic quantification of the effects of science, technology, and the economy on the distribution of the labour force on the one hand and the quantification of the degree of deployability of the labour force and its incorporation into a national-economy model of balancing and optimalization, subject to change during the prognosis period. The planning of all the sectors of a national economy with all of its different decision-makers is thus, from the very start, a methodologically integral part and a precondition for planning in the sub-system 'education processes' (cf. Naumann and Steinberger, 5252; Kornai, op. cit.\ Wüsteneck, op. cit.). This poses decision- and organization-theory problems in complex planning processes which, to date, have only been touched upon for sociotechnological micro-systems in the capitalist countries, particularly in the management of companies and their R & D departments: cf. for example, the examplary study by Albert H. Rubenstein, 'Organizational factors affecting R & D decision-making in large decentralized companies.' Management Sci. 10 (4), July 1964: 618-633. They also raise the question of the significance of conflicting interests and positions of authority among decision makers and planning processes which could not have arisen, by definition, in the simplified models of closed systems with an homogeneous decision maker, but would become visible more easily in the cybernetically stylized 'open' and complex models. This also provides opportunities to dynamically develop the Marxist-Leninist method of revolutionary class analysis in the medium of cybernetically refined decision-making and planning models of capitalist as well as socialist state and company structures with the objective of reveiling and abolishing the authority and exploitation differentially reflected in them (cf. the examplary study by Altvater and Neusüss (12009 on the dialectic of socioeconomic reforms in socialist transformation societies).

3 Topology of the literature The aim of the topology of research contributions presented here is to structure the literature on aspects of the economics of higher education and related fields, viewed as part of the economics of human resources, 226

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as well as to provide the reader with an additional aid for orientation in utilizing the corresponding sections of the Systematic Subject Index (section 4 and its sub-divisions). The orientation given here is limited, however, to literature in the research field of economics. With the exception of some more or less descriptive studies references to contributions from other social science fields have been omitted here. Although the focus is on the tertiary level of educational systems it was considered inappropriate to limit the selection to that level for two reasons: (1) Educational systems consist of a hierarchy of interdependent subsystems which make it necessary to analyse the tertiary level as part of the larger over-all system. This is particularly important for issues of ecudational planning: an analysis of the social demand for higher education, e.g. cannot disregard or neglect the selection or specialization procedures at the lower levels of the respective educational system. (2) There are a number of analytical techniques and approaches which, so far, have been applied only to the analysis of the primary and secondary level of educational systems although they might be relevant and applicable also for the tertiary level (cf. for example Hirsch et al., 5117: they attempt to investigate empirically the influence of 'spatial spillovers' of costs and benefits and their impact on educational decision making). The classification scheme of the topology follows basically that of the corresponding section in the Systematic Subject Index: 4. 'Allocational and operational problems of academic systems and institutions'. This section comprises 20 index headings. These can be summarized in four larger problem fields (the index headings are given in brackets): - the contribution of higher education and science to economic growth (4.1); - financing of higher education and research by the state and private households as well as the socio-economic consequences of different types of financing (4.2 and 4.7); - economic aspects of the societal organization of higher education and science (4.3); - universities and colleges and other academic institutions as enterprises (4.4); - planning of higher education and science as part of the planning of education and manpower in general (4.5 and 4.8); 227

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- higher education and highly qualified manpower in international exchange and migrations and in development policy activities (4.9).

3 . 1 BIBLIOGRAPHIES AND GENERAL INTRODUCTIONS INTO THE ECONOMICS OF EDUCATION AND HUMAN RESOURCES

(4.0)1

One of the first comprehensive bibliographies on the economics of education was compiled by Blaug (10), an author of the neo-classical school of national economics. The up-to-date most comprehensive bibliography on the field (with heavy emphasis on Anglo-American literature) is Webster et al. (10065). Useful inventories and manuals for educational planning on an international scale were provided by the International Institute for Educational Planning (10030, 10017). Bibliographies and literature surveys of the field confined to the western capitalist countries and the coercively under-developed countries are Alexander-Frutschi (2), Hufner (25 and 10029), Deitch(l 16), Eells (121), Ushiogi (55), U.S. Department of Labor (212), Committee on Manpower Resources .. (224), Oehler (10139) and 'Manpower research inventory' (10122). The works of Bereday and Lauwerys (1019 and 16009), Bowen (5013), Bowman, Debeauvais, Komarov and Yaizey (16013), Edding (5188), Harris (5024), Mushkin (5139), and Robinson and Vaizey (5048) are the most important comprehensive contributions. Bowen (5013) offers a balanced introduction in the first of his essays (97). Bowman et al. (16013) offer the most comprehensive reader on the economics of education. Edding (5188) is a compilation of articles characteristic for the early days of the economics of education. Harris (5024) is a detailed and well organized introduction to eight papers read at an OECD conference, highlighting a number of important problems. Mushkin (5139) presents 21 contributions on issues of the economics of higher education, of which Rivlin (191) and Thorp (5163) are particularly important; Rivlin presents a review of the literature of empirical rate-of-return analysis until 1962, whereas Thorp suggests 101 research questions grouped under six headings. The most important literature surveys and introductory contributions on the field from the perspective of the industrially developed socialist 1. The relevant headings of the Subject Index are given in brackets.

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transition countries are V. A. Zamin ed. - 'Aktual'nye voprosy ekonomiki narodnogo obrazovanija.' (Current questions in the economics of public education). Moskwa, Vysshaja skola, 1965; Nozko et al. (16399), Knauer et al. (eds. 10167), 'Kaderbedarfsermittlung...' (10168), Remenikov (16401), Hersing and Schubert (10028). Comprehensive bibliographies and contributions introducing into the economics of research and science policy are Caldwell (ed. - 10011), OECD (10045), Vanthielen and Mertens (10064), Bona et al. (10010), Goslin (10091), Handle (10025), Lange (ed.- 16413), Boalt (10009), Rubenstein and Sullivan (10052), Sinclair and Crawford (10056-7), B. L. R. Smith (10599), U. S. Atomic Energy Commission (10063). Systematic surveys of the recent literature on education, science and technology in international relations (disparities, gaps) and migrations (brain-drain) are provided by Blume (10071), Dedijer and Svenningson (10072) and Scheurer (10078).

3 . 2 THE CONTRIBUTION OF HIGHER EDUCATION AND SCIENCE TO ECONOMIC GROWTH ( 4 . 1 )

Related to this field are studies on the concepts of 'human capital', the 'residual factor', the assessment of returns from educational and R & D expenditures in the context of the capitalist economic systems as well as studies on the 'reduction of complicated labour to simple labour' and the contribution of qualified labour to economic growth in the socialist transition systems or in the perspective of Marxist authors. The renaissance of the human capital concept started in the USA and then spread to Europe in the early sixties. Important theoretical contributions are Becker (5076), Bowman (5078-9), and Schultz (5155-7,16254-5). The earliest modern empirical rate-of-return analyses originated in the USA, where data availability and a conducive ideological climate did much to almost identify the economics of education with this particular approach, Becker (5076, and in: 16013), Hansen (5111), Hanoch (16187), Houthakker (16197), Miller (5133^), Renshaw (16242), Schultz (5156-7). Denison (5097) and Schultz (5156) have attempted to measure the contribution of education to economic growth in the USA. Their studies have been critically appraised by Abramovitz (16117) and Bowman (5082). Machlup (5130) and Denison (5097) are the most important attempts at 229

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an assessment of the contribution of research and technical knowledge to economic growth (see in addition Bell, 16132; 16223; 16224; Naumann, ed.- 16227; Scherer, 16253; Johnson et al, 16312). The dynamic integration of technological development and government spending for arms industries and wars and its causes in the politicoeconomic structure of capitalism in competition with socialist transition systems has been analyzed by Kidron (16044), Vilmar (16082) and Baran and Sweezy (16129). Descriptive and quantitative studies on this structural trend are Buchan et al. (16014), H. Koch (16102); 16119; Brunner (16142); Danhof (16161); Hoag (16195); Howell et al. (16198), 16234; Rivkin (16245), Scherer (16252), Shapero et al. (16253) and Welles et al. (16288). Critical contributions to the field by Marxist authors are Altvater (16321), Altvater et al. (16322), Janossy (16037), Mandel (16054), Rosdolsky (16071), H. Maier (16052-3), Hess (16024), Speer (16424) and Seickert (16422-3). The basic assumptions and methods for an assessment of the contribution of education and science for economic growth in the systems of the socialist transformation period are discussed by H. Maier (16052-3), Seickert (16422-3), W. Rühle (16420).

3 . 3 FINANCING OF HIGHER EDUCATION AND SCIENCE BY PUBLIC AND PRIVATE HOUSEHOLDS ( 4 . 2 a n d 4 . 7 )

Harris ( 5 1 1 4 ) and OECD ( 5 0 3 5 ) are extensive treatments of financing problems. Harris' analysis is confined to the USA, whereas 13 out of the 18 contributions in the OECD volume address themselves to issues of educational finance in various industrialized countries. Another important study (confined to issues of educational finance in the USA) is Keezer (51122). There are numerous analyses of the role of the Federal Government in financing higher education in the United States, cf. among others, Orlans (542), and Rivlin (5152). Many analyses discuss the merits of different financial assistance schemes for students. Most of these studies center around the pros and cons of scholarships or stipends and loans. In addition to the above mentioned studies by Harris, Keezer, and Haag 1 , Goode (in: 5139), and 1. Ernest van den Haag, Education as an industry. New York, Yelley, 1956, 163 p. 230

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Vickrey (in: 5139) the following should be emphasized: Haag suggests a scheme under which institutions of higher learning invest in their students who repay a certain portion of their income after graduation. Goode recommends income-tax reforms allowing students to deduct their educational expenditures. Vickrey suggests that repayment installments of loans to students should be percentages of the income actually earned rather than absolute amounts, (cf. also Nitsch ei al., 1589, p. 383FF.) In this context also studies of the 'market for higher education' have to be mentioned, i.e. the market where the demand for formal higher education, originating from private households meets the supply of places in universities and colleges, structured according to subjects of study. The individual demand for education can be seen as a function of - among others - the income of the respective households, the price of higher education (including opportunity costs) and the price of educational loans. Blaug (16302) and Campbell and Siegel (5088) are typical examples for such primarily 'economic' investigations. Other studies in the index section 4.7 focus less on the traditional economic variables; instead they view the 'buyers' on the higher education market in a broader socio-economic context (see, e.g. Brazer and David, 5084 and OECD, 3018; Doermann, 16165-6; Weisbrod and Karpoff, 16287).

The concept of opportunity costs, i.e. the income foregone by students (particularly those attending post-compulsory institutions), plays an important role in this context. Schultz (5155, 5157), Blitz (16134), and Machlup (5130) provide estimates of that cost-component. It was first discussed by Walsh (in: 16013). Vaizey (16079) criticizes the concept.

3 . 4 ECONOMIC ASPECTS OF THE ORGANIZATION OF ACADEMIC SYSTEMS (4.3)

The research fields 3.3, 3.4 and 3.5 are highly interdependent. These are the 'classical' foci of the economics of education. 3.4.1

Part of the economics of the organization of the higher education system or the science system of a country or a societal system as a whole is the 231

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analysis of the ''social costs' of different organizational systems such as centralist or federalist governmental structures, the relationships between 'public' and 'private' sectors of higher education and science, the structure of the taxation systems and public spending patterns, the degree of differentiation in the system of higher education and secondary schooling according to subject-matter and occupational orientation, length of courses, possibilities for transfer between sectors and academic subjects. For all of these 'social cost' factors there are only a few preliminary assessments and discussions, cf. for example Chambers (16150-2), Schein (16250), Cox (16159, 16171), Hansen and Weisbrod (16188) for the USA; Garcia (16369), Hegelheimer (16370), Poignant (16372) for France; Dahrendorf (10414), Bahrdt (10411), Oflfe (10423), Picht (10424) in West Germany. 3.4.2 Location analysis and regional planning of higher education and research (cf. 4.3.2 in the index) should be also considered in this context (cf. Linde et al., 16349; Geissler, 7211; Stretch, 5180; Adler, 16404; Belger et al., 16408) as well as cost-analysis of regional transfer flows vs. transfer barriers (both in the case of students and of professional personnel) and analysis of a supra-regional organization of admissions, applications and placement (cf. on structural aspects of personnel policy of firms with regard to highly qualified manpower Armbruster et al., 16323; Arndt and Fassbender, 16324; Brinkmann and Rippe, 16331). The comparative output of full-time vs. part-time education has been studied especially in the USSR (cf. Remenikov, 16401; Samoilova, in: Zamin, ed.- op. cit. supra, p. 227).

3 . 5 ACADEMIC INSTITUTIONS AS ENTERPRISES ( 4 . 4 )

Establishments (or systems) of higher education or research are viewed as productive units, using certain inputs and producing certain outputs. Concepts of efficiency and productivity are at the heart of these analyses. The definition and measurement of inputs and outputs is highly controversial. This problem has to be solved - if only by untested or untestable assumptions - before notions of optimality, productivity, or efficiency can 232

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be given an operational meaning. Stoikov (5161) and Intriligator and Smith (5120), e.g. attempt to cope with this feature of the multi-product industry higher education by formulating a formal model for the optimal allocation of scientists between teaching and research. Woodhall and Blaug (5184) attempt empirical productivity measurements. Cartter (16148), Kurochkin (16394), Lenski et al. (16397), Yudelevich (16403) are examples for investigations of the efficient use of various resources. It has sometimes been argued that an application of productivity and efficiency concepts to educational and research systems is highly limited if not impossible because of the difficulties of defining an output measure, but that the analysis of inputs is possible. The problem of comparability of temporal or spatial input data (costs) points, however, to the fact that their validity is crucially dependent on the output definition (for cost analyses see, e.g. Edding, 5018; Calkins, 5087; Bowen, 5175,16138-9 and the articles by Harris, Vogelnik, and De Witt, 5016 in Harris, 5024). Studies on particular aspects and factors of the 'internal efficiency' of academic enterprises can be easily located in the subject index: - the analysis of unit costs including academic time unit structures (4.4.1) - management and rationalization measures with regard to learning, teaching, research andrelated processes of communication, information, administration (4.4.2) - the analysis of optimal size, capacity and location, viewed from the perspective of the individual academic 'enterprise' (4.4.3) - economic aspects of architecture, construction, technology and the communications infrastructure (libraries; technical media of communication; computers; cf. 4.4.4) (On the social and political aspects of the internal efficiency management of academic systems see in particular Chapter III, 1.2.5, p. 257ffand III, 5.2.2.3). 3 . 6 . PROGRAMMING AND PLANNING OF HIGHER EDUCATION AND RESEARCH INVESTMENTS

A number of theoretical analyses appraises the relative merits of the rateof-return approach and the manpower approach for purposes of educational planning (Anderson and Bowman, 5001; Blaug, 5008; Bowen, 97). Bombach (5009-10), Hollister (5026), and Parnés (5044, 16065) are 'classical' outlines of the manpower approach. The up-to-date most 233

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ambitious application of the rationale of this approach has been the Mediterranean Regional Project sponsored by OECD (16060). For the critique of these approaches of 'planning' in capitalist systems, from the viewpoint of Marxist political economics see the contributions by Altvater (16321), Altvater et al. (16322), Janossy (16037), Dworkin (16018), Hess (16024), H. Maier (16416), and 'Intelligenz unter Monopolherrschaft' (16032). The recent years have seen the development of more sophisticated formal models and techniques for purposes of education and manpower planning. The OECD has been instrumental in co-ordinating and stimulating this development for the capitalist countries (cf. 16059, 16061-2, 16039, 16042 and the survey by Gottsleben, 10023). The same can be said from the activities of the US Office of Education (see, e.g. the papers at the 'Symposium on Operations Analysis in Education', November 1967; and 10121). The contributions of Armitage, Smith, and Alper (16301 and in: 16061, 16009), Correa (in: 16009,16061), Moser and Layard (5178-9), Moser and Redfern (401-2), Stone (5058-9), Tinbergen and Bos (5061) did much to influence the focus of present research. There is a growing number of attempts to integrate new techniques and approaches - originating in cybernetics and systems research - into the still primarily economic 'bag of tools' of the educational planner. Alper (in: 16061), Beer (16007), Judy et al. (16039-42), Kershaw and McKean (16205), Ryans (16249) and Hüfner (16028) are some examples. In the industrially developed socialist transition countries the emergence of the 'new economic systems of planning and control' with their 'socialist market and profit mechanisms' has also resulted in a formal sophistication of planning models and techniques, adapted from cybernetics and operations research: cf. Naumann and Steinberger (16418), Sachse (ed.16073), Schulz (16075), Blyakhman et al. (16389), Lehmann (16396), Nojko et al. (16399), Remenikov (16401), Löffler et al. (16415), Schüler (16421), Matejko (13377-8). These planning systems and their underlying politico-economic principles have been criticized, in turn, in studies proceeding from the practical political and economic problems of revolutionary emergent countries: cf. Guevara (16446), Benard, Mandel et al. (16008), Strotmann (ed.- 10222), Ch. Bettelheim, 'La transition vers l'économie socialiste.' Paris, Maspéro, 1968. 234

THE ECONOMICS OF HIGHER EDUCATION AND SCIENCE 3 . 7 HIGHER EDUCATION AND HIGHLY QUALIFIED MANPOWER IN PROCESSES OF INTERNATIONAL EXCHANGE, MIGRATION, AND ECONOMIC DEVELOPMENT ACTIVITIES

In order to achieve an overview of the economic studies in this field, it is necessary to differentiate between(l) international development policy analyses and planning strategies for the coercively underdeveloped countries and (2) economic analyses of the causes and effects of disparities in the level and structure of more highly qualified labour forces in the more developed countries and regions, whereby the semi-developed regions (e.g., the European Mediterranian area, Canada) assume a medial position. 3.7.1 In the first area, economic analyses in the strict (neo-classicist) sense of the term are only possible for specific subtopics. Educational economics must more radically expand and develop itself in this field than in any other in its efforts to become a multi-disciplinary political science-of-planning. The relatively vague strategies and discussions on this point are outlined in Chapter I, 5 (pp. 163-171). The subjective problems and political conflicts which arise around these questions and have begun to become the subject of research, human technology and criticism, can be followed in Chapters III, 4, and III, 5. 'Development policy' in the field of higher education and science must also be differentiated according to strategies of the development of higher labour force qualification (a) within the coercively underdeveloped countries, with or without predominantly foreign personnel (cf. Oldham, 16058; v. Recum, 10515; Ruscoe, 10185; Maru, 16055; Bertrab-Erdmann, 16090; Eckensberger et al. 16093) or (b) by education in foreign countries i.e. in the industrially developed nations. The more recent economic analyses and methodological studies concentrate here on the problem of the estimation of alternative costs and returns in comparison to (a) and (b) and/or the determination of optimal relationships between (a) and (b) and particularly on the problem of the costs and returns of non-return among students and university graduates from developing countries to their home countries - both from the perspective of the host country and the home country (cf. for example, 5065-8, 10071; Myers, 16107; W. Schmidt, 235

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16110; Watanabe, 16114). Further focus is placed upon the analysis of the causes of unemployment and under-employment of university graduates in the coercively underdeveloped countries and of planning measures for their prevention (particularly in India: G. Meschkat; Blaug et al., 5297), partially in connection with the alternative evaluation of investments in (a) or (b) on the one hand, and constant capital (machines and other equipment) on the other hand (cf. for example, 5300) and/or (a) and (b) on the one hand, and the reduction of the rate of illiteracy as well as primary (general and vocational) education on the other hand (cf. Lewis, 5289 and 5030). Differentiated strategies which give special consideration to the high regional heterogeneity of coercively underdeveloped countries have been developed only in a few cases (cf. however, Myers, 5281, for Mexico). Comparative economic evaluations of historical cases of (rudimentary) 'development-policy' strategies in early developing countries (Russia and Japan) or in the early stages of development of current developing countries (Turkey, Mexico, Israel, Egypt) are still in the early stages of development (cf. 5005, 5002, 5023, 5208, 5212, 5226, 16055). 3.7.2 The second major field of international higher education and labour force economics achieved significance later than the first. This focus of interest was the result of the increasingly rapid concentration and amalgamation of capital and power within the industrially developed zones (cf. Defay, 16017; 16030; Kidron, 16044; Layton, 16048; 16051; Mandel, 16054; Vernon, 16081; Cooper, 16092; Knoppers, 16101; Wooley and Heller, 16115; Hiroshige Tetsu, 16386). Here we must mention those studies which are attempting the first quantitative estimations of the increasing 'technological' disparities and of the migrations of the highly qualified labour force resulting in 'braindrain' and 'brain-gain' (cf. Curnow and Jervis, 16016; Freeman and Young, 16021-2; 16034; Krauch and Coenen, 16046; OECD, 16060/16063, 16064; Vernon, 16081, Zymelman, 16087; Johnson, 16099; Spencer and Woroniak, 16113; 16352). In addition, the supposed causal factors of those disparities are more intensively discussed in contributions dealing with the general complex of 'technological gaps' and 'managerial gaps' between the United States 236

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and Western Europe, but also, in part, between the more highly developed Western European countries and the semi-developed overseas countries and European Mediterranean countries (Nau, 5032; OECD, 5037; Parnes, 5044; Chorafas; Servan-Schreiber; Cognard, 16015; Layton, 16047-8; Mandel, 16054; Quinn, 16067; Wells, 16084; Gilpin, 16095; Grubel, 16097; Halcour, 16098; Scott, 16111). On the analysis of disparities (and their reduction) in the higher labour force and technology structure between the (differentially industrially developed) socialist transformation societies, the following studies are worthy of mention: Pundeff, 5047; De Rochefort, 5049; De Witt, 5223; the Polish Research Institute for Higher Education, 5225; Litwjakow, 5233; Cheng, 5268; H. Müller, 16056; Sachse, ed.- 16073; Berger, 16089; Kawelke, 16100 and 16108.

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III. The social dynamics of academic institutions: social organization, subjective development and political conflicts

THE FIELD OF RESEARCH AND THE PARTICIPATING DISCIPLINES

Chapter I of this report centered around the development of academic systems in the long-range changes of the social structure, followed by an analysis of the immediate economic aspects of academic education and work and its planning in Chapter II. The present Chapter is dedicated to the internal social organization, the subjective factors and developmental processes, as well as the potential for social conflict and political practice arising from higher education and research. Contrary to the structuring of the literature review in Chapter I according to historical societal formations, it is advisable to classify Chapter III based primarily on the individual structural factors comparing their effects on the academic institutions and work processes of present-day societies. The followingfivelarge structural areas of internal organization and subjective development will be distinguished: 1. the internal social organization and structure of academic education, work, and research processes; 2. intra-cultural processes of socialization, attitude change, and personality development as a result or side effect of academic education, work, and research processes; 3. psychic conflicts and disturbances as results or correlated phenomena of academic education, work, and research processes; 4. processes of socialization, attitude and personality change in the framework of cross-cultural academic relations and influences; 5. the structural conflict potential and forms of political practice arising from the context of academic institutions, education and work processes. At times this will include the literature which serves the socio-technical 238

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steering and control, or the practical (communicative) elaboration and mastering, of these structural factors: (1) practical-political reform processes and public structural criticism as well as technocratic and socio-technical measures for rationalization; (2 and 4) critical-pedagogical enlightenment and discussion among the persons involved in teaching, learning, and research processes as well as (manipulatively induced) attitude and motivation change through experimental environment steering; (3) psychotherapy with its practical-enlightening or manipulative sociotechnical variants ; (5) practical-political strategy discussion and socio-technical 'counterinsurgency' research. More emphasis than in Chapter I is thus given to the epistemological perspectives (Viz. Chapter I, 3, p. 73-75) of communicative action in social rôles and institutions and goal-directed rational action for the allocation of scarce resources, which directly serve the practical communicative action or the (unconceived) technical intervention - based on causal-analytical prognosis or intentional anticipation. In comparison, the perspectives of the cultural tradition of norms and subjective projections as well as the legitimization of social institutions and actions, which dominate in the analysis and interpretation of academic systems in the historical process of social formations, become less important.

1 The social organization and structure of processes of academic education, research and professional work 1.1 EPISTEMOLOGICAL PROFILE AND THEORETICAL POSITIONS

The field of research is determined by the predominance of structuralfunctional and socio-technical (systems-analytical and econometric) approaches. In a continuum of increasing abstraction from historical and practical content, the following epistemological and theoretical stages of development and positions can be identified, for which especially representative authors are named : - ideological but unassuming-pragmatical descriptions and case analyses of academic forms of organization: Ayers and Russell (514), Stroup 239

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(1460), Corson (6023), Millet (1398), Segerstedt (1658), Belshaw (1492), Aitken (6072), Litchfield (1372); - influential ideological legitimizations of dominance structures and planning for higher education e.g. by prominent spokesmen of the liberal establishment in the USA and England (Kerr, 1354; Conant, 6022; L. Wilson, 12783; Drucker, 12465; Heyns, 12535; Lord Robbins, 408; Ashby, 1132, 1497) of technocratic conservativism in West Germany (Schelsky, 1596, 13041) or of technocratic socialism in East Germany (Haupt and Ruehle, 16409) and in the Soviet Union (Fedkin, 6109; Eliutin, 588; Fyodorov, 13327); - historico-sociological and socio-anthropological studies, respectively: Baumgarten (1548), Plessner (ed. 3979), v. Ferber (7209), Busch (1553), v. Friedeburg et at. (3965), Adam (1540), Bahrdt (1545-6), Nitsch et al. (1589), Jenne et al. (3973) in West Germany; Wilson (1485-6), C. W. Mills (1400), Riesman (1430,1435) Jencks, (1340-3), B. R. Clark (1270-2) and Kaplan (1070-1) in the USA; Halsey (1061,1506) in England; - sociological-legal interdisciplinary studies: Lunsford (6049), Evan (6027), Preuß (6088), Woltjer (6101); - the theory of complex organization systems, partly based on the paradigma of the conflict between bureaucratism and professionalism in a critical discussion with Max Weber: Etzioni (12075)1, P. M. Blau (1245-6), W. R. Scott (1446, 14392), G. L. Anderson (1221), N. J. Demerath et al. (3285), Swatez (3779-80, 14442), Selznick (1448), B. R. Clark (1271-2, 1275), or based on the paradigm of the clientele organization (Bidwell and Vreeland, 3183); - structural-functionalist analyses of social systems and taxonomies of the function of academic institutions, respectively: Merton (1088-91), Parsons and Piatt (3613), Ben-David (1005, 1007), N. Gross (1313), Hagstrom (3393-7), Storer (1457), Caplow and McGee (3219), W. J. Bowers (3193), Barton (88, 90), Sieber (198, 10114, 3724), Lazarsfeld et al. (3494), H. Menzel (3546-7), Guerrero (1315), Matejko (4126, 13377-8, 14732-3), Claessens (1555) and Shimbori (4086); - theoretical studies of role conflict and role change with the intention to make the structural-functional approach dynamic: Gouldner (3377), B. G. Glaser (3354-5,12088), Gamson (3342-4), W. Taylor (3931), Schein et al. 1. and his major theoretical work: A comparative analysis of complex organizations. New York, Free Press, 1961.

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(3702), Swatez (3780), Dick (1904), Coser (1030), and Kornhauser (3479, 8109); - behaviouristic psycho- and sociometric analyses excluding the dimension of intentional action and objective social structures: Taylor (3783), Hamblin and Smith (3404), Hemphill (3433), Prendergast (3638), A. Astin (3154), C. R. Pace (3608, in his instructive critique of Riesman and Jencks, 1435), Thisthlethwaite (3790-4), Prior (377), W. J. Bowers and Nash (3194); - the combination of behaviouristic data collecting with pragmatic management strategies in the tradition of human relations studies: Bush and Hatterey (1259-60), Pelz (3615), Pelz and Andrews (3620), Baumgartel (3162), or in connection with models of the economics of labour : Marshall (3525), Garbarino (3345), in the USA; Haupt and Ruehle (16409) in East Germany; - formalized socio-cybernetic systems analyses: H. E. Koenig et al. (5124-8), Handle (16338), Hempel (10418), Caspar et al. (16333), 'Das Informationssystem einer Hochschule' (16341), Jockusch and Lienemann (16342), Kade et al. (16343), Matejko (13378).

1 . 2 TOPOLOGY OF THE RESEARCH LITERATURE ACCORDING TO STRUCTURE AREAS

The research literature survey on the topic of social organization and structure of processes of academic education and work differentiates the following aspects : 1) the systematic, partly comparative description of organizational forms of higher education, research and professional work; 2) the influence and impact of factors of the common societal structure on the internal structure of academic institutions, i. e. a) of development tendencies of higher qualified labour and the scientific and technical productive forces (e.g. specialization, mechanization, growth, tendency toward teamwork); b) of development tendencies in the common system of the production relationships (class structure, status differentiation, domination agencies and legal institutions) ; 3) the organization and mediation of social dominance, communication, and rational administration in the universities, academic disciplines, and professions; a) the academic status system as a career process and 241

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an incentive for achievement; b) the structures in the distribution of power and influence in the context of divergent interests and goal orientations; c) communication, information, and decision processes; 4) organizational relations, status differentiations, and personnel mobility between individual institutions or sectors of academic systems and professions; 5) the strategies, the political practice and the organization of processes for reform, innovation, and rationalization of academic institutions and achievement functions. 1.2.1 Organizational forms of higher education, research, and professional work The formal structure and the administration of national academic systems is described in many monographs, which are listed in section A3 of the annotated bibliography and of the supplement bibliography. The 'Country Reports' published by the OECD as well as the UNESCO on the organization of science and higher education of numerous countries must be referred to especially. Other pragmatic-interpretative descriptions of the organization of higher education and academic professions in certain countries are included in the bibliography sections B and E (here of the legal and political sciences): Ayers and Russell (514), Corson (6023), Millet (1398), McConnell (165), Glenny (6034), Medsker (1394), Paltridge (1415), Litchfield (1372), Medsker and Clark (6053), Berdahl (17070), Bloland (17021), Lancaster (17057), Kintzer et al. (17055), Lee and Bowen (17058), Palola et al. (17076), Eurich (12477), McConell and Mortimer (17067), Boland and Hawley (1322), Eberle et al. (17035), Millett (17070), for the USA; Belshaw (1492) and Harris (10657) for Canada; Berdahl (6073), Aitken (6072) for Great Britain; v. Massow (10682), Thieme (6093), Gerber (6082), Audrith and Chinn (10670) for West Germany; Luck (10708), for Switzerland; Anello (13727) for Italy; Fyodorov (13327), Eljutin (13322), Wienert (13351) for the USSR - to mention only a few country descriptions. Explicitly comparative descriptions of national systems of higher education and academic professions are rare: Moehlman (12185), Bernai et al. (12032), B. R. Clark (1031), Gerhard (10504); 'Réforme et développement ... en Europe' (10516). 242

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New types of institutionalized adult education and on-the-job training are described in the USA by Hudson (12552), Dryer (10594), Ziegler (12792), Wiegand (3856), the authors of 'College graduates assess their company training' (10580), Nyhart (10626), DeCarlo and Robinson (10592); in West Germany by Peters (10513), Thieme (17154), Schelsky and Danckwerts (13042), Arndt, Fassbender and Hellwig (10669, 16324); by A. J. Peters (10633) in Great Britain; and O. Peters (10727) for the USSR. Systems of higher education in the armedforces are described by Janowitz (12561), Lyons and Morton (12612), Lyons and Masland (12611), Shelburne et al. (10639), Lovell (3511), the authors of 'L'enseignement militaire supérieur' (10695); E. Schneider (10686) (cf. also in the subject index 1.4.4.3). The sector of technical schools (junior colleges, technical colleges and academies, etc.) is described by Rarig (187), Richardson (1429), Riendeau (12696), Graney (1310), B. R. Clark (1270), Blocker et al. (1247), for the USA; Schelsky and Schmelzte (13043), Kahlert (10680), Rönnefahrt (13035), Goldschmidt and Funk (10676) for West Germany; Artz (13100) for France; E. Robinson (12850) for Great Britain. Institutionalized systems of professional initiation (internship, probational systems for lawyers and teachers) and the linking of study and work are described by W. A. Glaser (12504), Wilson and Lyons (10655), 'The work-study programs' (10656), Moffitt (10621), Munro (13443), 'Cuba 1967: the educational movement' (10741), Barendsen (1809), Yang (5272). Descriptions of educational and professional career systems in individual subjects and professions can be found in section A3 of the bibliography, e.g. of teachers' training: Mangold et al. (14597), Borrowman (ed. 12401), Arrowsmith (12373), Ziervogel (13514); of medical training: Freidson (6032), Richmond (12694), Dunlop et al. (12069), Olmstedt and Hanson (12658), Crozier (13418), Logo (10751), Butler (13469); or of legal and administrative training: Golan (1974, 13535-6), Milne (10766), and Stone (12740). 1.2.2 Influence and impact of societal structuralfactors on the internal structure and organization Historically oriented, partially comparative interpretations of the relations between social structure and the internal organization of higher 243

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education and academic professions are broadly treated in the studies dealing with the structure and the reform of Germany universities beginning with Max Weber (1602), in 1919, and Plessner, in 1929 (repr. in: 3979), followed by Schelsky (1596), Baumgarten (1548), Bahrdt (1545), Nitsch et al. (1589), Kluge (6085) and Schümm (13057). Similar studies on university and college organization were published in England (Rothblatt, 1524; Ziman, 558) in Italy (Anello, 13212), in the USA (Kerr, 1354; BenDavid, 12389; Ashby, 12374; Parsons, 12668), in the Netherlands ('National Congress ...', 246), in Southeast Asia (Fisher, 13610; Guskin et al. 4266) and in India (Jilani, 4234; Damle, 4227, 13585; Shah, 14785). Primarily international comparative studies were made by Goodman (1157), B. R. Clark (17002), and W. Müller (16056). The effects changes in the goals and social functions of academic systems have on their internal organization - especially during the transition from early or pre-industrial to advanced industrial social formations are the central focus in the studies by Harig and Neels (eds. 1767), C. W. Mills (1400), Duster and Lehmann (1040), Jencks and Riesman (1343), Nitsch et al. (1589), Maheu and Abboud (13166), Amann (13314). 1.2.2.1 The effects of trends in the development of scientific and technical productive forces On the social organization of academic education and work are treated either generally or by treating certain subject fields as examples by Bahrdt (1546), Klages (12969), McLeod (1513), E. Gross (14216), Hill (3437), Green (12513), Ries (12216), Seaborg and Wilkes (12716), for Western capitalistic social systems; and by Ciganik (16428), the authors of 'Organiscanzia...' (16400), Kannengießer (17177), Matejko (455), Amann (13314) for the socialist transition systems. The central aspects of increasingly accelerated obsolescence of study results and academic qualification with its effects on the organization of educational and professional careers is researched by Bowers et al. (3192), Ferdinand (16175), Zelikoff (16292), Evans (12479), Warner (5164), Seifert (16257), Boulgarides and San Filippo (1250) and Daniels (3259). Many authors analyse only individual structural dimensions of the development tendencies in the 'productive-force science and technology' as determinants of the internal organization of academic systems: The effects of increasing specialization in the emergence of new and differentiation of existing academic disciplines and professions, especially 244

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on their interrelation and status positions can be followed in the studies by Parsons and Storer (1421), Parsons and Piatt (3613), Ben-David (1005), v. Ferber (7209), C. W. Mills (1400), Rushing (3691), Gerard (1302), Means (1392), Pyke (1103), Seaborg and Wilkes (12716), Edge (12820), Holloway et al. (14247), Zander (14498), Gaston (14522). The following contributions concentrate on the functional differentiation of academic systems, mainly the increasing separation and institutionalization of functional areas of academic systems such as research, education, personnel administration and guidance ('people processing'), technical services, data processing and information techniques, dissemination and public relations management: Parsons (12668), Parsons and Piatt (3613), Astin, Bidwell et al. (18034), Schein et al. (16251), Crane (14139), Hamblin and Smith (3404), Dubin (3300), Dubin and Hedley (14156), Kruytbosch and Messinger (14285-6), Blau (1245), Zinberg and Doty (12794), Klaw (12581), Gross (1313), Lazarsfeld (3494) (3499), Hauser and Lazarsfeld (3418), Ford (1295), Wenkert et al. (3847) in the USA; Maheu et Abboud (13166) in France; Bahrdt (1546), Bahrdt et al. (1547), Baier (12887), and Caspar et al. (16333) in West Germany; Ciganic (16428), Caravia (13390), the authors of 'Organiscanzia...' (16400) and Matejko (13377) for the organization of science in the countries of socialist transition. The structures of library and documentation systems in this context are treated by Dunn et al. (14157), Metealf (16216), Pool (10632), Karstedt (12966), Bryan (18043), Lyle (12608), University of Tennessee 612760), Line and Tidmarsh (3900), Bergen and Duryea (1239), and the authors of'Research into library services' (10130). The following studies, among others, deal with the functional differentiation within research according to extent, proximity to basic problems or technical development, interrelations with other systems of social organization (government departments and agencies, armed forces, businesses, non-profit corporations, more or less autonomous academic or university institutions such as 'centres', 'units', 'institutes'): for West Germany Klages (12969), 'Projektwissenschaften (17113), Herz, Pappi and Stegemann (10677), Steimel (10687), 'Survey of German university institutes' (10688), Leibfried, Niemann and Gessinger (10681), Klose et al. (14590); in the USA de Solía Price (12209), B. L. R. Smith (10059), Danilov (10590, 10591), Kolstad (10615), Graham (10604), Klaw (12581), Kruytbosch (18079), Demerath (12452), Krohn (3482), Meitzer (7115), Menzel (3547), Vollmer (3821, 3817), Pelz and Andrews (3620), Evan (3315), Marcson 245

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(3520), Kornhauser (3479), Strauss et al. (3766), Summers (3774); for the USSR Field (13325), and Zvorykin (1761); and Ben-David (12026) in international comparison. The following contributions provide information on the effects of the quantitative growth of scientific and other highly qualified work and education and of the related institutions and the increasingly corporate-level forms of organization and intercorporate 'compound systems', 'compacts' or 'networks of priority research programmes' (the concentration process in research and education, functional integration of research, training, development, industrial production, services etc.): Freeman and Young (16022), de Solla Price (12209), Swatez (3779), Inkeles and Levinson (12557), Boland and Hawley (14096), Guerrero (1315), Hawley et al. (3421), Orlans (12661), Kruytbosch and Betz (14286), Perrucci and Mannweiler (14359), Seaborg and Wilkes (12716), Dubin (14154-5) in the USA; Shipman (3924), in Great Britain; 'Die Projektwissenschaften' (17113), Grossner (12930), Heimendahl (ed. 12107), Cartellieri (17114), Schelsky and Feinendegen (16357), Gündel et al. (12931) in West Germany; Rolbiecki (13380) in Poland and Ben-David (12027) in international comparison. The problems of supra-national relations as a consequence of the quantitative growth of large-scale research and its needs are surveyed by Danckwerts 1 , Gilpin (16095), Layton (10211), Freeman and Young (16022), OECD ('Overall level and structure...', 10510). (In this context cf. also section A3, 'cross-cultural relations' in the bibliography and 4.9 in the subject index). The emergence and the forms of teamwork in research, studies, and highly qualified professional work as the expression of objective functional development tendencies of scientific and technical progress is the subject of the following studies, among others: Bush and Hatterey (1259, 1260), Wardwell (12771), Eaton (14159), Grinnell (14215), Hall (3401), Hagstrom (3394, 3396), Barnes (14079), Vachon (14462), Stone (14432) in the USA; Bahrdt et al. (1547), Claessens (1555), Rittel (12217), Gentner (14577), Klose et al. (14590), Hillmann (12948) in West Germany; Matejko (4126,13377,14732), Szczepanski (13382) and Wakar (1799) in Poland. 1.2.2.2 The effects of developmental trends in general systems of social domination (class structure, government, administration and legal institutions) 1. 'Wissenschaftspolitik und die Krise des europäischen Kapitalismus', pp. 83-100, in: Antworten auf Stoltenberg. Frankfurt a. M., Heine, 1968.

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on the internal social organization of academic education and work have already been touched upon as a field of research in Chapter I. However, especially relevant for the understanding of changes in the internal structure of academic systems are a number of studies mentioned above: The following authors have strived to grasp the problem with a comparative-historical and socio-theoretical perspective based on a critical reception of Max Weber's theories of bureaucracy and social dominance: G. L. Anderson (1221), Millett (1398), Baumgarten (1548) and Nitsch et al. (1589). The theoretical discussion about limits and forms of bureaucracy is also the point of interest in the studies by Page (1414), Abbot (ed. 6004), Stoke (202), Stroup (1460), Lazarsfeld et al. (3012). The specific effect of social dominance structures on the internal academic organization in certain countries and social systems has only rarely been treated systematically on a higher theoretical level (cf. Merton, 12179). In the case of West Germany these relations have been studied systematically and articulated theoretically by East German Marxist social scientists: cf. Wetzel (16362), Knauer (16344), Kramarczyk (12974), Speer (13068), Gündel et al. (12931), Köhler (10505); however, cf. also certain West German contributions by Heer (12937), Nitsch et al. (1589), Stiebitz (12237), Schümm (13057) and Berthold (16328); also for the USA the contributions by Schejnin (12712) - a Soviet Russian author - , G. L. Anderson (1221), Beach (12384) and Heyns (12535), Pierce and Stalcup (17077). Most of the studies dealing with these relations for Western capitalistic countries are limited to the description of administrative and legal structures: McGrath (6052), Chambers (6018, 6020, 6019), Glenny (6034), Seldon (6064), Murphy (6060), Alstyne (6007) for the USA, where the situation of private universities and colleges and the legal-theoretical problems of 'private government' are of special interest, e.g. in its effects on the relationship between students and the universities: cf. Halstead (6038), Sherry (17086), Chambers (17023), Levine (6047), Alstyne (17012), 'Comment' (17031), Henderson (17045), for a summary the monograph by Karcher (17052). Studies on the administrative structure and the legal situation also dealing with the internal organization of higher education were published for Great Britain by Morris (6076) and Berdahl (6073); for the Netherlands by Woltjer (6101); for West Germany by, among others, Thieme (6093), Gundelach (1568), and Gerber (6082); for Canada by Duff and Berdahl (552); contributions for the countries in socialist transition are made by Fedkin (6109), Karpov and Severcev (6110), Kaplan (1070) and 247

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Yang (6118). Equivalent studies on some systems of higher education of countries in the Third World are available by Ashby (1133,1134), Hannah and Coughey (6001), L6al (1932), Carreno (1897), Estarellas (1153) and Furlong (1913). The effects of the class structure and the social status differentiation of a given social system (especially the position of academic professions within it) on the social organization and differentiation of the system of higher education and science, e.g. in terms of a status-hierarchy of academic institutions and professions with more or less strong administrative and legal autonomy as well as financial aid, have been study topics especially in the USA, although not in terms of a systematic-sociological or criticaltheoretical approach - compare, among others, the studies by Wardwell (12771), Riesman (1430), Clark (1269, 1273), McConnell (534, 1385-6), Bensman (12390), Gilb (1303), Beach (12384) Montagna (14334); recently also in Great Britain: E. Robinson (12859), Burgess and Pratt (17099), Sandford (3920, 3921); in West Germany: Dahrendorf (12905), Leibfried (12145), Goldschmidt and Funk (10676), Schelsky and Schmelzle (13043); in France Mandrin (13168). Here mostly the extension, control and the social status of technical education systems and new semi-academic professions (sub-professions) are analysed and discussed. The effects of the organization and direction of economic, fiscal, and social state policy (science and education aid programmes) on the social and legal organization of universities, research institutions, and systems of academic professions has also been analysed by many authors in the USA corresponding to the expansive involvement of the American Federal Government in this area: Berkner (12393), Orlans (542, 10628), Kerr (1354), Kaplan (5121), Waldo (6068), Scherer (16252), Bowen (516), Seaborg and Wilkes (12716), Swatez (3780), Lazarsfeld and Nash (3494), Lakoff (ed. 12589), Orlans (ed. 12662), Etzioni (354), U.S. Bureau of The Budget (549), U. S. House of Representatives (550), Strickland (ed. 12741), Cox (16159), Biderman and Crawford (10315), Carnegie Commission ... (10579), Eulau (14173), Owen (16235). In other countries there are hardly any such systematic and substantial analyses: cf. for West Germany Giindel et al. (12931), Bahrdt (1546), Schelsky (13040), Cartellieri (17114), Stiebitz (12237), Schumm (13057); for Great Britain Blondel (6000), Morris (6076); for France Gilpin (13147); for the USSR Trosin (6113, 6114); for the countries in socialist transition several contributions in the journals of the ministries for higher 248

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and technical education from the last years can be referred to (cf. in the bibliography A4 Soviet Union, Germany (D.D.R.), Poland, Other Eastern European countries), where the effects of state plans and legal reorganization on the internal organization of scientific institutions and higher qualified professions are discussed from an official point of view. 1.2.3 Social power, communication, and administration in institutions of higher education and the intellectual professions The entire problem complex resulting from the entanglement of social dominance structures on the one hand and - on the other hand - the needs for communication (public discourse, information, critical reflection) and rational administration and planning within academic systems has so far been treated only in dispersed theoretical discussion contributions, but not in systematic empirico-sociological and comparative-historical research: cf. for example the contributions, often taking Max Weber (1602) and Plessner (in: 3979) as starting-point, by Baumgarten (1548), Bahrdt (1545), Nitsch et al. (1589), Claessens (1555), Schumm (13057) and Naschold (13006) in West Germany; in the USA by Blau and Scott (1246), Blau (1245), Etzioni1, Andes (12368). Mullins (14338), Williams (213), Lunsford (ed. 1375), Lodahl (ed. 161), Kruytbosch and Messinger (eds. 12588), Clark (107), McConnell and Reller (165), Summers (3774); by Halsey (1506), Moodie and Dunsire (6075) in Great Britain and by Matsushita (13276), Nagai (13277), Uchida and Eto (eds. 13309) in Japan; and by Matejko (13377) in Poland. 1.2.3.1 The academic status system as achievement incentive and career process Sociological theoretical studies, partly historical-comparative, on the social structure and psychic motivation basis of scientific and professional work in more or less institutionalized status and role systems were initiated by the 'classical' scholars of the sociology of science and university, Max Weber (1602, and in 'Wirtschaft und Gesellschaft', cf. Jarisch, 1578), Plessner (in: 3979), Logan, Wilson (1486), Merton (1088, 1090) and Parsons (1416-7 and 12668-9). Other studies following this research path with the same historical-sociological pretension are those by Ben1. In his monograph on Complex organizations, op. cit. (note 142, above).

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David (1005-7), Riesman (1431), Bensman (12390), Feuer (1047), Hagstrom (3396, 14223), Storer (1457), Collins (12048), Parsons and Piatt (3813), contributions in B. G. Glaser (ed. 12088) in the USA; Goldschmidt et al. (3967), von Ferber (7209), Busch (1553, 1554), Baumgarten (1548), in his analysis of the lecturer (Privatdozent) in the German university tradition, Dreitzel (1562), Nitsch et al. (1589), and Stiebitz (12137) in West Germany, Boalt (1650) in Sweden; Halsey and Trow (15456), MacLeod (1513), Box and Cotgrove (3880) in England; Sensini (1659) in Italy; Matejko (13378, 14733), Jaroszynski (6117) and Szczezepanski (1797) in Poland; and Field (1718) for the USSR. The following contributions to structural and motivational aspects of the scientific achievement system were done not so much from a historical-sociological, but rather from an abstract systems-analytical sociological point of view: Becker (1231), Summers (3774), Mercer and Pearson (3549), Andrews (5074), Gordon and Marquis (3368), Inkeles and Levinson (12557), Seeman and Evans (3711), Reif and Strauss (3660), Hamblin and Smith (3404), Lewis (3506), Reif (7012), Hemphill (3433). The theoretical discussion concentrated on attempts to develop different dichotomies of manifest vs. latent and divergent incentive motivations for achievement and productivity: 'use-value' vs. 'exchange-value' orientation in the study of the Institut für Sozialforschung, Frankfurt (3970), Horkheimer (1576), Adorno (1541), Nitsch et al. (1589); structural-functional röle concepts, especially the dichotomies instrumental vs. expressive, cosmopolitan vs. localistic, performance vs. personality, institutional vs. academic in Gouldner (1566), Glaser (3354), Gross (1313), W. Taylor (3931), Trow (1469), Goldberg et al. (3357), J. A. Davis (3369), Gamson (3342), Caplow and McGee (3219), Gottlieb (3370), Gusfield and Riesman (3388), Nisbet (1411), Clark (1274), Hodge (3441), Lewis (3506), Roark (14378), Hamblin and Smith (3404). The social structure, the motivation basis and the organizational effects of particular systems and mechanisms of recruiting, selection, recognition, acknowledgement, and promotion in careers in the field of academic studies and professions are analysed - often illustrated by empirical surveys of small populations at individual universities and professional institutions in the USA by Bennis (3175), Bello (18037), Danielson (14143), Seeman and Evans (3711), Caplow and McGee (3219), Trow (1467), Schein et al. (3702), Haas and Collen (6036), Wallin (3833), Friedman (3340), Medalia (3545), Stecklein (3545), Dubin (3300), in the symposion volumes edited by Wilson (216) and by the National Science Foundation (1404 and 1406), 250

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by Gordon and Marquis (3368), Glaser (3354), Storm and Finkle (3116), Hamblin and Smith (3404), Wallin (3833), Randall and Simpson (7130), Pelz et al. (3620), Farris (14177), Pewitt and Zuckermann (14367), Jay (14257), McGee (14319), Gustad (3391), Sagen (3693), Ewing (123), Klaw (12581), Cobb (18050), Cole and Cole (3241 and 14120), Parsons and Piatt (3813), Lazarsfeld and Sieber (3497, 3498), and Room (12702); in England by Duncan (14520), Ellis (14521). International comparative analyses are provided only by Hacquaert (495), and Shimbori (12226). The structure of a university teaching career was studied sociologically by Anger (3956), Goldschmidt et al. (in: 3979), and Schelsky (3983) in West Germany, Shimbori (4083,4086), Hattori (579), and Piatt (1692) in Japan, Sensini (1659) in Italy, Halsey, Shils and Trow (3893) in England, Löffler et al. (16415) in East Germany, Matejko (14733) in Poland. Social structural analysis and the approach of the economics of labour are combined by Garbarino (3345), Armbruster et al. (14560), Rose (16248), Jay (14257), Marshall (3525). The legal-institutional conditions of academic career processes are described by Byse and Joughin (6015), Joughin (6044), Worcester (5172), Andreev and Orlovski (6107) and Thieme (6093). The career problems of leading administration personnel at universities and research institutions have been analysed separately by Barber (1005), Kaplan (1070), Gould (6035), Nash and Uhse (178), Ferrari (14183), Cleaveland (1276), Grambsch and Gross (3378), and Gross and Grambsch (18070). The special situation of women in academic career systems has been empirically researched or interpreted, on the basis of secondary data analyses, by Mattfeld and van Aken (1381), Bernard (1240), Cook (3242), Stedman (3746), Simon et al. (3728), Eckert and Stecklein (3301) in the USA; Sommerkorn (3928) and Pinder (18088) in England; Anger (3956), Schindler (3984), von Brentano (1551), and Vetter (3989) in West Germany; Hildebrandt (4099) in East Germany; and by Frithiof (245) in international comparison. Racial discrimination and sub-culture formation in university teaching are shown by, among others, Jencks and Riesman (1341), McGrath (1388), Thompson (3798), Segal (3712), 'Studies in the higher education of Negroes...' (3772), Middleton (3554), Friedman (14200) in the USA and by Centlivres (6123) in South Africa. Empirical analyses of the special conditions of recruiting and professional development at Catholic universities were made by Donovan (3289), Hassenger and Weiss (3414), Riesman and Jencks (1436), Trent and Gold (3807), and Trent (3808). The problem of 251

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the absence of acknowledgement or promotion of scientists and university professors is studied explicitly by Hagstrom (3395, 3396), Busch (1553), and Haas and Collen (6036). Müller-Daehn (3094) and Chorafas (12045), among others, deal with the relation between the so-called 'brain drain', the emigration of highly qualified specialists, and the blocking of career and development possibilities in many Western European areas of academic professions with hierarchical feudalistic or bureaucratically petrified structures. For the first time, v. Ferber (1564), Gebhardt (3980), and Pöhler (3980) have systematically studied the social structure of systems of promoting talented young scientists. Research on scientific and academic-professional achievement in the USA concentrates especially on the comparative analysis of the socio-organizational conditions - within academic educational professional, and research institutions - of achievement increase, productivity, and creativity of students, professors, scientists, and other higher qualified workers (cf. Chapter I, pp. 88-98 for the factors: social, ideological, sub-cultural origin and development before university study or entry into professional life as conditions for productivity; for the factors: personal characteristics and development as well as socialization processes as conditions for productivity cf. below section 2.2.3.2 of this Chapter). Among the principal authors of this research field are Bush and Hattery (1259), Gordon and Marquis (3368), Gartlein (12497), Shapiro (14394), E. F. Müller (14337), Vachon (14462), Likert (14306), Panos and Astin (7121), Turner (3811), Shepard (1449), Swatez (14442), Keeler (3470), Crane (3250), R. Taylor (3783) and Bachman (3157), Churchman and Schainblatt (12423), Gershinowitz (12501). Systematic comparisons between the socio-organizational conditions of scientific productivity or creativity in different sectors of the science system, especially between the fields: university, industrial research, research in governmental and nonprofit institutes, were carried out by Krohn (3482), Meitzer (7115), Volmer (3821, 3817), Summers (3774 and 14440), Gaston (14522), Gordon et al. (14213), Box et al. (14507), Strauss et al. (3766), Pelz and Andrews (3620), Menzel (3547), Baumgartel (3162). Socio-organizational determinants of scientific productivity in industrial and state-owned research institutions were studied by, among others, Marcson (3520), Shephard (3719, 3721), Kornhauser (3479), N. J. Demerath (12452), Komons (12583), Shone and Wilhams (14540), Walters and Cotgrove (14549), Giscard et al. (14650), Moscovici (14661), Gough et al. (3374), Evan 252

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(3315, 6027), Likert (14306). Here the extensive literature in the field of industrial sociology and management research in the USA must be referred to. (Cf. the following literature reviews: 12, 19, 38, 47, 211,10025,10045, 10052,10091,10107,10111,10173,10179). Conflicts and compromises between bureaucratic and academic-professional organizational principles and interest orientations as productivity factors have been studied by Scott (14391-2, 1446), B. R. Clark (1271-2, 1274), Lunsford (ed. 1376), Montagna (14334), Shepard (3721), Jay (14257), Trist (14545) and McEwen (3540). Outside the USA, research on socio-organizational variables of the promotion of scientific creativity is developed only slightly: cf. approaches and theoretical or bibliographical introductions by Dreitzel (1562), Klages (12969), Bahrdt et al. (1547), Ciaessens (12901), Handle (16338) in West Germany; Matejko (14732) in Poland; Joravsky (1733) in the USSR; Ben-David (1005) from the viewpoint of science history and international comparison. 1.2.3.2 The distribution ofpower and influence in the context of divergent interests and goal orientations within academic systems The following studies, among those which describe the main elements of the power and influence structure of certain national systems of higher education or of individual universities or research centers, must be especially mentioned because they are not limited to the relative position of certain status groups or subject areas: in the USA Litchfield (1372), Taylor (3783), Clark (1271-72), Etzioni (op. cit.), Andes (12368), Selznick (1448), Corson (6023), McKenna (3543), Hill (3437), Demerath et al. (3285), Swatez (3780), Hill and French (3438), Cleaveland (1276), Golden and Rosen (3360), Cook (14134), Meehan (14323), P. M. Blau (1245), G. L. Anderson (1221), Dalton et al. (14142), McConnell and Mortimer (17067), Seiden (17085), Wise (12785), Hobbs (14242), Dubin (16168), Knorr et al. (eds. 1359); Henderson (17045); in France Gaudreau (12498); in Great Britain Aitken (17098), Moodie and Dunsire (6075), McCraig (17104), Ziman (558); in West Germany Baumgarten (1548), Dahrendorf (1557), Kade et al. (16343), Pate (12670); for international comparisons Marcson (1083) and Kaplan (1070). The studies on the relative positions of certain status and functional groups within an academic influence and power system can be classified in the following manner: 253

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1) Studies on the position and influence of the university president (vicechancellor, rector): Demerath et al. (3285), Stephens (3751), Prator (1426), Nash (3571), the literature review by Eells and Hollis (122), Dodds (6024), New York State Regents ... (541), March (12620), Szreter (14544), Sterzel (17150); (cf. also 1.5.2.4 in the Subject Index). 2) Studies on the internal structure and the intra-universitary and intradisciplinary position of departments or institutes: Demerath et al. (3285), Hagstrom (2396), Marcson (1083), Dressel (14153), Dubin (14155), Matejko (14733), 'survey of German university institutes' (10688), Jenne et al. (3973), Doyle (6025), Pollard (12679), Gaston (14523), Matthijssen (14690); 3) Studies on position and influence of professors within universities and colleges: Dubin (3300), Hunt (3449), Ellis (3309), 'Faculty participation ...' (6028), Haas and Collen (6036), Cook (14134), Hill and French (3438), Clark (1271, 1277), Pease (14356-7), Lunsford (ed. 1376), Dykes (17034), Herge (10608), Dahrendorf (1558), Mortimer and McConnell (17067), Wilson and Gaff (14488), Beach (12384), Schelsky (13040), Anger (3956), Boetticher et al. (14564), Matthijssen (14690), Aich (14771) (cf. 1.5.2.2. in the Subject Index); 4) Studies on subaltern teachers and assistants in colleges and universities : Maranell (3519), Dubin (3299), Pease (14357), Wilhelm and Frabicki et al. (14631), v. Bothmer (14565), Kaupp (18120), (cf. 1.5.2.3 in the Subject Index); 5) Studies on the participation of student representatives in university administration and on student self-administrative organizations as well as student fraternity systems: Adam (1540), Baumgarten (1548), Anger (3956), Rösemann (6091), Kadritzke (12965), Carr (6016), Falvey (6029), Wilson (3860), Casebeer (3227), Friedson (6032), Geer (1052 and 12499), Rapaport (10633), the literature review 'Student participation ...' (10116), Gamson (14202), Hodgkinson et al. (10095), Volkwein (14464), Martin (17064), and Milton (14331) (cf. 1.5.2.1); 6) Studies on composition, power, and influence of non-academic control and administration organs in universities and research organizations (university committees, senates, regents, trustees, boards, Kuratorien) : Beck (1230), 'How Harvard rules' (12549), NACLA - 'Who rules Columbia?' (12652), 'The University of Maryland' (12759), 'The Johns Hopkins University' (12562), Ransom (12686), 'S.R.I.' (12737), Rauh (17079), Ridgeway (12695), 'College and university trustees' (14132), 254

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Jeuck (17051), Riendeau (12696), Hobbs (14242), Martorana (6051), Sapper (3700) in the USA; the authors' collective 'Formierte Universität' (12882), Gündel et al. (12931), Studentengewerkschaft Bonn (13075) and Wetzel (16362) for West Germany. Some studies point out as a central problem explicitly divergent interests and goal orientations within the framework of universities, professional training and research organizations (functional : e.g. between education, research, administration; or with regard to content: for example between political and economic interest lobbies or between ideological and theoretical 'schools'): in the USA Foote et al. (17039), Dobbins and Lee (eds. 12458), Gross and Grambsch (14217), Gross (14212), Kruytbosch and Messinger (14285), Kruytbosch et al. (12588), Mattes (14598), Lunsford and Lyons (1377), Lunsford (ed. 1375), Maccoby (3513), Erbe (3312), Hagstrom (3394), and Martin (14314), A. Draper and P. Draper (12461), Ridgeway (12695), 'The use of U. C. Berkeley research' (12763); in West Germany Anger (3956), Nitsch et al. (1589), Preuß (13023), Jenne et al. (3973), Leibfried (1585), Heer (12973), Gündel et al. (12931), 'Forschung und Lehre an der Universität Münster' (3963), 'Das permanente Kolonialinstitut' (13017); Troyer and Owäda (4094) in Japan; Althusser (1610), Bourdieu (13115,13117) in France. 1.2.3.3 Processes of communication, information and decision-making Studies on the problems of rational communication, public discourse CÖffentlichkeit'), and efficient articulation of information in the framework of different academic organizations - professionalized, traditional and hierarchial, bureaucratic, or profit-oriented - were made by Crane (14139-40), Foote et al. (17039), Turner (10118), Evans and Leppmann (3317), Menzel (3547, 172, 173), Garvey et al. (14205), Lemert and Waschik (14298), Hagstrom (3396), Smith (3732), Mullins (3567 and 14017), Wenkert et al. (3848) in the USA; Habermas (12933), Jenne et al. (3973), Jockusch and Lienemann (16342) in West Germany; Matthijssen (14690), in the Netherlands; Stankiewicz (14699) in Sweden; Ciganik (16428) in Hungary; Caravia (13390) in Rumania; Zaltman (14026) on an international scale. The socio-organizational function of academic institutions as agencies for socialization for students and the beginning professional has been theoretically formulated as a basis for empirical research with a functional-structural approach by Parsons and Piatt (3813), Bidwell and Vree255

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land (3183, 3184), Vreeland (3822), Dornbusch (1289), Seeman and Evans (3711), Andes (12368), and in the Harvard Student Study (King, 3475). The following studies have clarified in detail concrete decision processes with regard to individual functions or fields of academic institutions in order to create a basis for theoretical approaches to the explanation of the structural characteristics of forms of academic organization: Bolman (6014), Lazarsfeld and Nash (3944), Marcson (1083), Kruytbosch et al. (14285), Evans and Leppmann (3317), McCoy (14316), Goudreau (12498), Zentralarchiv fur Hochschulbau (16365). For this purpose the case studies on concrete conflicts and disturbances in the social organization of academic institutions by Mullins (10369), Farris and Thomas (14178), Frumkin (1299), Kade et al. (16343) and v. Friedeburg et al. (14574) are also useful. 1.2.4 Organizational relations, status differentiations and mobility of personnel between local institutions or sectors of academic systems Highly important for the evaluation of status and dominance mechanisms in higher education and in the academic professions are also the supralocal or inter-institutional reference points, as for example, the national accreditation institutions for universities, educational branches and professions (cf. for example Selden, 6064 and Millerson, 12181), the structures of associations combining educational institutions, research institutes, and members of the academic professions (cf. for example, Belasco, 6012; G. Strauss, 6065; Fuhrig, 6018), state and other public coordination and finance agencies, the intellectual communities or the public of academic disciplines and professions as a reference group system for promotion and professional mobility and finally the differential and changing socio-economic position and social prestige of individual academic disciplines and professions with the resulting status hierarchy, differential resource allocation, and income differences. The fact that organizational research on higher education, especially on universities and colleges, has long limited itself almost solely to individual universities and professional organizations (hospitals, schools, associations) may be related in most countries to traditional ideologies of a relatively permanent normative 'form' (Gestalt) and 'autonomy' of academic institutions, but may also be explained partly as the result of the dominant structural-functional thinking (in terms of relatively closed social sub-systems) of the researchers. Parallel to socio256

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political tendencies towards centralization on the national level on the one hand, and the breaking up of narrow system-functionalistic theory-forming by new theoretical approaches on role conflicts and conflicting reference groups and on complex 'growing' organization systems on the other hand, also paradigms such as 'mobility and career' or 'stratification' of academic institutions (universities, university departments, new vs. old professions, new vs. old types of universities) or 'contractual and federative relations' between autonomous organizations and institutions or status groups have recently been developed. Besides the already 'classical' influental study by Riesman (1430) on the 'academic procession' of the universities and colleges and disciplines in American academic life, the following authors must be mentioned who introduced such important new paradigms into the research on academic organization: B. R. Clark (1267-68; 1270, 1275), Caplow and McGee (3219, 3542), Burgess and Pratt (1501), and - as to new contractual legal models of organization in the context of the new legal systems on cultural activities - PreuB (6089). Ecologically the research literature on the entire complex of personal mobility and the organizational relations between academic institutions can be structured as follows (combined, respectively, with references to some representative research studies and theoretical papers): 1.2.4.1 Conditions and organizational problems of university or college transfers by students (including transfers between sectors of the university system): Knoell and Medsker (7103), Hills (14240), Usdan et al. (12762) in the USA; Kath et al. (7216), Hitpass et al. (7215) and Geissler (7211) in West Germany (cf. Subject Index 4.3.2 and 3.1.5). 1.2.4.2 Transfers between universities or colleges or between other professional academic institutions by professors, scientists and other professional workers: in the USA, from the viewpoint of the sociologies of occupation and of science: Caplow and McGee (3219), Cohen (7056), McGee (3542), Ladinsky (7101), Haas and Collen (6036), Randall and Simpson (7130), Hagstrom (3396); from a politico-sociological perspective: Frumkin (1299), and Goldblatt (3358); from the viewpoint of the economics of labour: Marshall (3525), Garbarino (3345), Brown (3206); in Great Britain McLeod et al. (17198), Halsey and Trow (14564); in West Germany Goldschmidt et al. (in: 3979), Armbruster et al. (3957) (cf. also in the Subject Index 3.1.5, 4.6 and 4.3.2). 257

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1.2.4.3 Status-hierarchies and status-careers of academic institutions (disciplines, professions, universities and colleges, institutes and departments, professionalized departments in companies and government bureaucracies) : Riesman (1430), B. R. Clark (1272), Frumkin (1299), Lewis (3506), McGee (3542), Halperin (1320), J. M. Walker (3827), Yarney (16281), Stickler and Schultz (12739) and E. C. Hughes1 in the USA; Burgess and Pratt (1501), E. Robinson (12851) in Great Britain; Schelsky and Schmelzle (13043), Goldschmidt and Funk (10676) in West Germany (cf. Subject Index 4.3.3,4.5.2). Until a few years ago, most Western European systems of higher education, with the exception of England, forbade research on status-careers of institutions precisely because the rigid academic status-system almost excluded an institutional status upgrading and status-'biographies' of educational institutions or prevented its explicit articulation. In the socialist transition systems and the coercively underdeveloped countries, however, this problem complex has been considered somewhat earlier in the course of the respective education plans, but even in this case often immobilized identical organization types were only exported or quantitatively and functionally extended, but seldom were systematic careers of educational institutions planned or reflected. Whereas in the USA such careers often developed quasi 'naturally' predominantly determined by labour market trends and 'planned' only at certain key points in the continual expansion of the American system of higher education (cf. for example, the institutional career Grammer School, University Preparatory School, 'Normal School', Teachers Training College, Land-Grant-University, State University). 1.2.4.4 The status of separate sectors for ethnic and religious groups in the total systems of higher education of a society, especially the problem complex of comparison, equalization of standards in separated systems and the gradual integration or separation: Jencks and Riesman (1341), S. C. Davis (ed. 12450), McGrath (1388) on the so-called 'Negro-Colleges' in the USA; Centlivres (6123), Legassick (13534), Legassick and Shingler (13535), Horell (13531), MacDonald (10188) on higher education in the South-African Apartheid regime; Riesman and Jencks (1436), E. J. Power (1425), Donovan (3289) on catholic higher education in the USA. 1. 'The comparative study of occupations'. Sociol. Quart. 11 (2), 1970: 147-156.

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1.2.4.5 The effects of inter-institutional co-ordination and integration of universities, educational and professional careers at the state and federal level on the social organization and the social attitudes and conflicts within the individual institutions (for example status depravation, competetive attitudes, anomie and alienation through extreme centralization): cf. for an international comparative study Leibfried (12145); in the USA Kerr (1354), Howard (142), Bloland (17021), Medsker and Clark (6053), Paltridge (1415), McConnell and Mortimer (17076), Lancaster (17057), Lee and Bowen (17058), Palola et al. (17076); in Great Britain Berdahl (17019), King (556), E. Robinson (12851), Jockusch and Mertens (16311); in West Germany Leibfried (ed. 1585 and 12145), Bahrdt (12885-6), Schelsky (13040), Geulen et al. (17121). For the socialist transition systems the intensive planning discussion especially referring to this problem complex is accessible in the official magazines on higher education policy (710-719,10857-60, cf. also 10171). 1.2.5 Strategies, political practice and organization of the reform and economic rationalization of academic institutions Systematically designed studies on the problem complex of consciously organized and long-range effective structural reforms and changes in higher education and professional academic institutions are still wanting with the exception of the last mentioned literature on organizational co-ordination and functional integration between individual university institutions, educational and professional careers. Questions concerning the planning of higher education and of the need for highly qualified labour have been studied from a narrow economic viewpoint almost without exception (cf. Chapter II, especially p. 232), while the relevant social dominance structures and interest relations or the dynamics of political reform processes in science and higher education have only very seldomly been considered special research topics. (Cf. the few outlines for this in contributions by Halperin, 1320; von Krockow, 12978; von Ferber, 1564 - on the question of promotion policy for young scientists - ; Baumgarten, 1548; Schelsky, 13040; Bahrdt, 10411; Dahrendorf, 1559; and a few sections in the volume edited by Linde, 16349). Even the voluminous literature on reform of higher education in West Germany and - to a lesser extent - in France, Italy and Latin America (cf. the respective country sections in Chapters A2 and A3 of the Annotated Bibliography and of the Supplement Biblio259

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graphy and in the Subject Index 5.2) cannot be considered as a substitute for sociological structural analyses of basic reform processes because of its predominantly essayistic, purely political or historiographie character. (Cf. as exceptions some approaches in W. Miiller, 1093; Schumm, 13057; Prokop, 13024; SDS, 13067, Lefèvre, in: 1549 for West Germany; Clark, 13128 for France). The detailed case-study on the restructuring of the University of Leipzig by Seiffert (1776) can be referred to for the viewpoint of the official party programmes and the struggles and strategies for the reform of higher education in an early phase of socialist transition. Case studies and outlines of the principles of structural reforms of institutions of higher education in a more advanced phase of socialist transformation in a soviet revisionist and technocratic direction are Hôrnig (13360), Drewitz and Hinze (13355), Heinze (441), Remenikov (16401), Lenski et al. (16397). Institutional case-studies in Western capitalist systems are the studies by Walters (1641) on the Ecole Nationale Supérieure de la Metallurgie et de /'Industrie des Mines, Nancy, and by Burgess and Pratt (1501), on ten Colleges of Advanced Technology in Great Britain, the study by Howard (1329) on the question of the US-Federal aid programme for 'Colleges in depressed areas'. Studies and strategy discussions on the planning or organized transformation of universities and professional career systems in the framework of development policies in 'Third World' countries have already been mentioned in Chapter I, Section 5 (pp. 166-7). Instructive casestudies and documents on the restructuring of individual institutions in the process of revolutionary transformation in China and Cuba are: 13420, Gitting (13425), Jackson, Thomas et al. (13431), Nee (13444), 13448, 13453, 13454, 13457, Butler (13469), Ryder (13497-8), Castro (13470) and 13507. Cases of and programmes for the restructuring of traditional academic institutions in Third World countries under imperialist control are presented by Atcon (1887-8), Butrick and Kugler (16439), 16440; Wortmann (16448), Dorsey (13609) and Siffin (13628). Other cases characteristic for university reform under nationalist bourgeois regimes are Crecelius (13552), Bentwich (13548), Laffargue (13563). In contrast to the underdevelopment of sociological structural research, the applied socio-technical organization analysis has been developed more strongly during the last decade as an integral part of organizational rationalization measures or information improvements in the field of higher education and higher qualified professions (especially in the USA, followed 260

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by the industrialized countries in socialist transition and the highly industrialized Western European countries). The following studies provide information on the development of applied organizational research on higher education in the USA: Stickler (387), Brunson (339), about the early development phase of 'institutional research'; Drewry (10331), Schietinger (10112), Lins (157), Bagley (82, 83, 84), Castelpoggi (101), Stoke (202) as well as especially the summarizing monograph by Rourke and Brooks (380) about 'The managerial revolution in higher education' in the last five to six years. Examples of larger ongoing research programmes determining style and technique of this socio-technical organizational research on higher education in the near future are especially Kerr et al. (532), Doi (349), Schein et al. (16251) and the 'systems engineering programme' by Koenig et al. (16208). The following studies provide information about the programmes and studies for the rationalization (e.g. cost-effectiveness measures) of university organization and education in the socialist transition countries: Lenski et al. (16397), Lehmann (16396), the authors' collective 'Organisazia ...' (16400) for the USSR; Heinze (441), Haupt and Ruehle (16409), H. J. Schulz (10172) for East Germany. For the still emergent applied organizational research on institutions of higher education, research and study processes in other Western capitalist countries cf. Caspar and Blabush (16333), Händle (16338), Hochschulinformationssystem (17125), Hefte zur Hochschulplanung (10839), Linde (ed. 16349) for West-Germany; Judy (16041) and Judy and Levine (395) for Canada, Khan et al. (16043) for a number of OECD-Countries. As individual branches of an emerging applied organizational research on higher education can be differentiated I. the systematic registration of formal organizational characteristics for the purpose of systems analysis and organization planning: cf. for example, M. J. Stanford (16270), Halstead (6038), Ayers and Russel (514) in the USA, Lehmann (16396) in the USSR. 2. The ecological registration and classification of personnel and students in academic systems according to study and career stages and individual transfer flows in process-statistical data banks: cf. for example, Astin et al. (7034), Bayer and Folger (7044) - partly in the form of the development of computerized matching and counseling information systems: Arnstein (328), Astin (329), Cogswell et al. (343) in the USA; 261

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L. Friedrich (18153), W. Krüger (18155) in East Germany; Oehler (13012), (16351) in West Germany. 3. The institutional-ecologicalpsychometry, i.e. the registration of the formal-social characteristics and a number of indicators for personality, ability, and attitude characteristics of personnel and students in institutions of higher education research and professional work ('psychological environments'), with the goal of the differentiated prognosis of transfer quotas between career stages and institutions or of achievement success, adjustment, or 'drop-out' quotas to the attempt to diagnosticize political activity and protest inclination of admission applicants: A. W. Astin et al. (329-332, 14065-7, 18031, 18034), Peterson (14364-5), the ACT 'College Student Profiles' (7031), Richards (13666), Centra et al. (14116), Goodwillie (3367), Findikyan and Sells (3321), Stephenson and Gantz (14430), Werts (14479). An example for a micro-structural sociometric approach supplementing the institutional psychometric data collection is the study by Prendergast (3638); cf. also, however, the psycho- and sociometric data surveys on residential communities of students (cf. below, Section 2 of Chapter III: 2.2.3.3 and 2.3.3.5). 4. Micro-economic calculations of cost, capacity, and productivity which partly consider a few socio-structural 'marginal conditions' or 'limitationalities' in the economic analyses: Bowen and Bencerraf (16139), H. Williams (393), Kornienko (5231), Yudelevich (16403), E. Schräder (13054), Radner et al. (16239), L. S. White (16289), Wortman (16448), (see however, the more detailed information given in Chapter II, p. 231 on this subject). Models and discussions of strategies for the organizational and political attainment of immanent cost-effectiveness measures have been published by Helmer (10342-3), Dubin (16168), McGrath and Brick (12634), L. 5. White (16289), Judy (16093-41), Judy et al. (395, 16042), N. Clark (10013, 12047), Stanford (16270) in the USA; Linde (ed. 16349), Hempel (10418), the authors of 'Das Informationssystem ...' (16341) in West Germany; Haupt and Ruehle (16409), H. J. Schulz (10172) in East Germany. The planning of training systems for experts of university management as a precondition of successfully applied organizational research on higher education is treated by Astin (16127) in the USA, Parkinson (407) in Great Britain, Hempel (10418), in the report 'Das Informationssystem ...' (16341), and by Brinkmann et al. (14568) in West Germany. 262

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The socio-technical organization and planning of the internal structure and development of newly founded universities, finally, is studied by Cerych et al. (12044), about new universities in several OECD-member-countries; by Etzkorn (12476) in the USA; Perkins (12846), Rhett (12848) and Lodahl (17103) in Great Britain; and by Bahrdt et al. (14561), Linde (ed. 16349) in West Germany.

2 Intra-cultural subjective development processes in connection academic institutions

with

More than one third of the research literature dealing with aspects of higher education is devoted to 'subjective development processes' in connection with a country's academic institutions 1 . Different specialist perspectives variously conceptualize these processes as 'socialization', 'personality development', 'enculturation', 'acculturation', 'attitude change', 'ideologization', 'emancipation', 'decision processes' and 'learning processes'. The profusion and variety of this literature, as well as the complex theoretical implications involved in it, suggest to us that our approach should not primarily have as its starting point a taxonomy or ecology of research themes (working in terms of functions, goals, phases and forms of institutionalization of these subjective development processes). Instead, we shall begin with a survey of the participating disciplines and of theoretical directions or 'schools', and then ascertain research trends on the basis of the very considerable number of research 'concepts' or 'paradigms' we shall note. In this, we shall sketch out the epistemological structure of these paradigms, their genesis in terms of specialist disciplines, their heuristic relevance (that is to say, the degree to which they are more or less specifically applied in character, or the degree to which they have originated in enquiries into subjective processes in specific connection with academic institutions), and their relationship to theoretical schools or controversies, to the taxonomy and ecology of the particular research themes and also to research techniques and instruments that are especially characteristic. The survey that will then follow of the literature in accordance with taxonomic and ecological points of view must, by contrast, remain very selective and cursory, and will to some extent con1. Cf. in the Subject Index Section 1.6 and its subsections, in part also 1.5, 2., and in addition 3.1, 3.2, 3.3, 3.5.

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sist of references to the classification adopted in the Systematic Subject Index.

2 . 1 EPISTEMOLOGICAL PROFILE

2.1.1 Participating research disciplines It is possible to distinguish 17 research disciplines that play a part in enquiries into subjective processes in connection with academic institutions. In the following list, these disciplines are arranged in a continuum of increasing abstraction starting from practical, real-life sense-contents or from historical and cultural sense- contents, and moving towards research goals whose character is purely phenomenological and descriptive, or, finally, predominantly concerned with causal analysis or with the strategies of social technology. A few representative writers are named along with each discipline: - Approaches towards a critique of political economy and towards a critical theory of the framework drive-structure/society/education, whether Marxist, influenced by Marxism, or derived from liberal cultural criticism: Horkheimer (1576), Adorno (1541,12877-8), H. Marcuse (1084 and 12169, 12171-4), Habermas et al. (3968), Habermas (12933), Friedeburg et al. (3968), Negt (in: 12101), Hillmann (12949), Reiche (19148-9), Hack (1319 and in: 12101), Dorner (12908), Maleville (1630), Milbergue (1632), Althusser (1610), Jencks and Riesman (1343), Keniston (8103, 1353), P. Goodman (357, 1307-8), Flacks (3329). - Normative and socio-ethical educational theory: Sanford (8162), Freedman (3337), R. W. White (8197), Tussman and Suczek (3812), Vaillot (12764), D. Bell (1234), Berdie (8023), Chickering (12418, 14122-3), Axelrod et al. (12377-8), D. H. Heath (14232-3), Goodman (12509), Kojima (1680), Neuner (71), 'Hindustani Talimi Sangh' (2043). - Social psychology as oriented towards cultural history, and psychoanalysis: Feuer (1047, 12077), Keniston (1353), Marcuse (12169, 12171-4), Reiche (19148-9), Flacks (3329), E. F. Vogel (8278-9, 1874), McClelland (3014), Eisenstadt (13556-7), Freedman (3337), Hajda (3398), Schneider and Lysgaard (3705), Habermas (12933), Dorner (12908), Bay (1229), Katz (3468, 12470). - The sociology of culture and knowledge: Bourdieu (13114-7), Bourdieu 264

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and Passeron (4001), Jenne et al. (3973), C. W. Mills (1400), v. Krockow (12977), L. Wilson (1486), Järisch (1578), G. Davy (1620), Misrahi (1633), Waardenburg (2030), N. L. Friedman (14200). - Cultural and social anthropology: Jencks and Riesman (1343), Hughes (3447,12117-8), L. Wilson (1485), F. Davis and Olesen (3261-8), Olesen and Whittaker (3597), Bushneil (1261), Hoggart (1508), Kowalewska (4120), Azumi (1666), Y. Shimizu (1698), Goldthorpe (4190-1), Ginzberg (3351), Vogel (8278-9), Wilkinson (1124), Friedenberg and Roth (14199), Usui et al. (1707). - Anthropological and sociological linguistics: Poston (1424), Olesen and Whittaker (3261 and 14346), Bourdieu et al. (4002), Gloy and Haeberlin (14579). - The sociology of social stratification and of class structure: Parsons (1416-18), Hillmann (12948-9), Bourdieu et al. (4000), C. W. Mills (1399), Baltzell (1224), Jencks and Riesman (1343), R. A. Ellis (3309-11, 14167), Shimbori (4083), J. A. Davis (3269), Mercer and Pearson (3549), Perucci (3623), Hughes (12118), Järisch (1578), R. Turner (3811), Ellis and Lane (3310-3311), Warnecke and Riddle (14469), Seeman and Evan (3711), Treanton (13201), Ritti (3268), Goldner and Ritti (3361), Nöda (4076). - Organizational sociology, organization theory and systems analysis: Seeman (4037), Perucci (3623), Bidwell and Vreeland (3184), Spardy (3737), Glaser (3354), Merz (3557), N. L. Friedman (3340), Rushing (3691), Uyecki (1478), Axelrod (12377), Becker et al. (14088-9), Talmon (12243). - The sociology of law: Grimmer (12927), W. Evan (6027). - Role and socialization theory: Merton et al. (3550), Becker et al. (3171), Bloom (96), D. T. Williams (213), Gouldner (3377), Allen and Sutherland (3131), R. A. Ellis (14167), Merz (3551), Box and Cotgrove (3880), Marsland (3903), Rushing (3691), Thorsrud and Paasche (4039), Malone (3517), Pinner (1099), Quarantelli and Cooper (3653), Olesen and Whittaker (3597), F. Davis et al. (3261-8), Caplovitz (3217), Brim and Wheeler (12403), Whyte (3855), Freeh et al. (14572), Talmon (12243). - The psychology of personality development: Erikson (8001), Wedge (ed. 8189), Namnum (8138), Bios (8030-1), Cohen et al. (8047), Hershenson (3436), Hodgman (8099), Krulee (3485), Sanford (8161), Webster, Freedman and Heist (3845), Kubie (8110), Berdie (8023), Barron (8022), R. W. White (8196), Snyder (8169-71), Katz et al. (14273). - Social psychology (attitude theory, learning theory and group dynam265

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ics): Newcomb (3576-80), Newcomb and Wilson (eds.-3582), Flacks (3328), Plant (3635), Dressel and Mayhew (eds.-3295), McClelland (3533), Burnstein (3213), Rosen (3686), M. A. Strauss (3764), A. Davis (3260), Siemienski (4132), Siegel and Siegel (3725), Hartley (3410), Baur (3163), Super et al. (204, 3777), Bargel et al. (14001), Braun and Leitner (14566), Hielscher et al. (14725). - Sociometrics and socio-ecology: Baur (3165), Neidhardt (3977), Morishima (14335), De Coster (14149), Knoell (7102), Ben Willerman and Rossi (in 3582), R. D. Brown (14105), Lindahl (3507), Prendergast (3638), Scott (3707). - Ecological psychometrics (assessment of psychological environments): G. G. Stern (3753-8), Stern, Stein and Bloom (3759), M. Stein (3747), Raab (3654), D. Brown (3207-11), C. R. Pace et al. (3605-12), Thistlethwaite (3790-6), A. W. Astin (3139-53). - Demoscopy: Goldsen et al. (3364), Lazarsfeld et al. (3512), Rosenberg et al. (687), Teglovic et al. (14445), E. Peterson (7128), R. E. Peterson (3627). - Applied and diagnostic psychology: Forsyth (128), Kleinmutz (150), Super et al. (204, 3777), E. Berne (19025), M. Siegel and Gideonse (eds.12724), Herr and Cramer (10609), Warman (392), Shaffer and Martinson (10638), Mordey (19082). - Socio-ecological psychophysiology: French et al. (3338), Siemienski (4132), Krech (19074), McGaugh (19081). Some of the major research projects represent an accumulation of several of these specialist research approaches. Thus, critical studies in political economy, or socio-ethical studies in educational theory, will be interpreting results drawn from investigations in cultural anthropology, socialization theory or social psychology (Habermas et al., 1059; Habermas, 12933; Reiche, 19148; Hack, 1399). Approaches based on stratification theory, organization theory and role theory will be building on one another instead of being sharply demarcated (Seeman and Evans, 3711; Goldner and Ritti, 3361; Glaser, 3354). A few studies link role and socialization theory with the psychology of personality development and socio-psychological attitude theory, learning theory and decision theory as developed by social psychology (King et. al., 3475). Research and theory formation in personality development, in learning processes, in group dynamics and in attitude change frequently pass over into theory formation in educational science or into applied or diagnostic psychology geared towards vocational or 266

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educational guidance (Sanford, 8162; Freedman, 130; Chickering, 14123; Axelrod, 12377 ; Newcomb et al., 14345 ; Super et al., 3777). Psychometric surveys are almost always connected with statistical enquiries into the social environment or with opinion polls, and to some extent also with interviews using scale techniques as an instrument for attitude measurement. We may, finally, cite Levinson (1365), Bay (1228), Axelrod (12377) as programmatic attempts at theory formation through the combination of rôle and socialization theory, the psychology of personality development, social psychological research into attitudes and learning, organization theory, and educational theory. 2.1.2 Quantitative trends according to epistemological perspectives and disciplines The following quantitative trends may be discerned in the epistemological matrix: 1. The greatest growth rate is shown by surveys in social statistics and ecological psychometrics. This applies equally to such studies whether in the locally restricted form of sectional, interval or longitudinal surveys or - as is particularly the case in the United States - in the form of continually reproduced databanks. Examples of the latter are provided by the American Council on Education, Office of Research, Washington, D.C.; the American College Testing Program, Iowa City; the Educational Testing Service, Princeton, N. J. ; the National Academy of Science, Washington, D.C. ; the National Merit Scholarship Corporation, Evanston, 111.). These serve the assessment and the prediction of aptitude and ability potentials, and of the transfer quotas of students and graduates among the various phases, sectors, institutions and locations within the educational and professional system. They predict also variations in achievement-different formal ways an education may be completed, and the quality of these; withdrawals from study; prolongation of study; change of subject; productivity and creativity among scientists and scholars and in the academic professions. All this forms the basis of measures for the guidance and direction of persons (through information, counselling, induced motivation, selection, special awards, salary differentials, and the improvement of methods of counselling, studying and working), and it underlies also the economic planning of needs and resources. 267

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2. Whereas this 'data explosion' in social statistics and psychometrics is only about a decade old, there has been, in the field of social psychology, a similarly strong growth rate in studies on attitudes and values, dating in the USA from the 1930's and still persisting. These studies employ, combine and adapt well-known survey instruments such as the Omnibus Personality Inventory (OPI), The Allport-Vernon-Lindzey Study of Values, the Lehmann and Dressels Inventory of Beliefs, Rokeach's Dogmatism Scale, the California F-Scale, the Authoritarian Personality and Ethnocentrism Scales, McClosky's Conservatism Scale, and others. Feldmann and Newcomb (10089) have written up in a two-volume work a synoptic secondary analysis of the results of these researches, insofar as they relate to American undergraduate colleges. With regard to socialist countries, the Zentralinstitut fur Jugendforschung der DDR, in Leipzig, has been attempting to co-ordinate and to compile in a systematic way the results of research into attitudes and into philosophies of life among students and young people in these countries (cf. Hielscher et al., 14725 and 'Studentenintervallstudie', 14729). For the English speaking countries, the journal 'Research into Higher Education Abstracts', which appears in London, makes possible a running survey of these two expanding research fields. 3. Less strong, but still constant is the growth rate shown by sociological studies (stratification theory, role theory, socialization, organization theory), by the remaining research approaches in the field of social psychology (sociometrics, group dynamics, decision and learning processes in the more highly qualified educational and professional careers) and by the psychology of personality development in connection with academic study and professional preparation. 4. By contrast, studies from the fields of historically oriented social psychology, of cultural and of social anthropology, as well as the neoMarxist 'critical theoretical' studies have not been expanding in quantity, if admittedly the public echo they enjoy among educationists, students and social scientists has become more significant. 5. There has been a falling off in the number of simple opinion polls among students, insofar as they do not concern political interests and political activity. The same applies to locally restricted, isolated social statistical surveys of students, which are losing their function with the setting up of data banks and survey systems capable of accumulating running statistics. 268

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6. Research approaches from certain fields, as applied to the sphere of the more highly qualified educational and professional careers, have been completely neglected and have remained sporadic: these fields are the sociology of law, cultural anthropological socio-linguistics, and sociopsychological physiology.

2 . 2 RESEARCH CONCEPTS

Controversies and differentiations among theoretical traditions and schools can be concretely demonstrated in particular with respect to the genesis, the epistemological structure, and the heuristic relevance of the numerous concepts or paradigms 1 of research into subjective development processes in connection with academic institutions. Some among these paradigms, which we can here only list along with references to the literature, form the subject of extensive theoretical treatments in a few reports on the literature in the general field of secondary socialization, on the personality development of young people and adults, and on the subjective development of students. The following may be cited: Reports on socialization research by Brim and Wheeler (12403), Brim and M. B. Smith in Clausen2 Sewell (7145), Olesen and Whittaker (14346); analyses of the literature on professional development by Bloom (96), Super, Tiedemann and Borow (3777), Osipow (68), Super and Bachrach (204), and on professional and scholarly or scientific creativity by Taylor (207), Ullmann (10119), Stein and Heinze (53), Stein (52), Bedard (242), Freeman et al. (10020); the research reports on the development of college students particularly in the compendium 'The American college', (3697: Sanford; Riesman and Jencks; Adelson; Bushnell; Bay; Freedman; Webster, Freedman and Heist), but also by Jacob (1338), Brunson (339), Bidwell (93), Freedman (130), Chickering (104), Lavin(154),Thielens and Lumis (208), D. T. Williams (213), K. M. Wilson (ed. 214 and 215), Singer (10115), Korn (10099), Feldmann and Newcomb (10089); the taxonomic analysis of the literature on colleges and universities in re-

1. On the notion of 'concept' and 'paradigm' of research cf. Introduction, p. 21-22. 2. Orville G. Brim, 'Adult socialization'; M. Brewster Smith, 'competence and socialization', in: Clausen (John A.) et al., Socialization and society. Boston, Little, Biown, 1968.

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search reports by Sieber et al. (10114) in the USA; Halmos (ed.-227) in Great Britain, Hammond (237) in Australia, Nitsch (240) and Kleemann (10036) in West Germany, Bedard (242), Saint Martin (14664), Sumpf (203), Abboud et al. (10001), Normand et Maheu (10149) in France, the contribution in 'National Congress: Onderzoek van Wetenschappelijk Onderwijs' (246) in the Netherlands, Fraser (273) as a report on the practical pedagogic and agitatory paradigms of the Chinese Communist party and the paradigms of Western research on the People's Republic of China in the interpretation of these. The distinguishable number of paradigms and concepts, devoted to either analysis, phenomenological study, critical understanding or manipulation of subjective processes and factors in connection with higher education, can be shown to vary from 150 to 200, according to the relative degree of semantic differentiation involved. Each of them expresses in a concentrated form the epistemologically determining interest, the reality perspective, the operationalization and the analytical, socio-technical or communicative practical set of instruments that characterize, as the case may be, researchers, educationists, administrators or indeed the persons who are themselves the subjects of these development processes. Our tabulation of these paradigms begins with those whose character is phenomenological and analytical; these are followed by the normative, the socio-technical and the critical paradigms, which in many cases build on the former, interpreting, applying or criticizing them. 2.2.1 Anthropological concepts Paradigms derived from cultural and social anthropology are among the oldest to be found in studies of the development of the persons who form the population of academic institutions. Among these are to be numbered the most basic concepts of all in cultural anthropology:'acculturation1 (l) 1 and'enculturation\2). To some extent this is found in Riesman and Jencks (1435), but it is the anthropologist Bushnell (1261), who most clearly reflects this conceptualization of college study. According to this view, as applied especially to the American liberal arts colleges with their liberal and progressive educational goals (general education and emancipatory development of personality), these colleges show the two processes at 1. For ease in cross-referencing and summarizing, the paradigms reported on below have been given running numbers.

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work, superimposed on each other: there are varyingly incomplete forms of acculturations, as between students and faculty stemming from opposite social and cultural milieus or, as the case may be, standing as representatives of these; and there is enculturation, as between the successive generational cohorts of students within a college, who constitute either one (homogeneous) or several (parallel) student cultures or subcultures. Apart from the writers named, however, almost all studies on the development of students or their teachers in 'subcultures' within a university or college have this conceptualization as their basis. Various paradigms of 'student subcultures' (3a) in American colleges and professional schools have been developed by Davie (8052), Bushnell (1261), Hughes et al. (3448), Becker et al. (3171), Riesman (1433), Trow (1470), Gottlieb and Hodgkins (3373), Hodgkins (14243), Ramsey (3657), Sieber et al. (10114), p. in, 15ff.), McElrath et al. (14318). 'Academic cultures' or 'faculty cultures' (3b) have been studied by L. Wilson (1486), B. R. Clark (1274), Sieber et al. (10114, chapter IV), Gusfield and Riesman (3388) and Parsons et al. (3613). Various paradigms relating to 'occupational cultures' (4) form the starting point for writers like Hughes (3447), Becker et al. (3171), Parsons et al. (3813), Olesen and Whittaker (14346), Kowalewska (4120) and Azumi (1660); here, the corresponding enculturation processes apply as between beginners and experienced practitioners, and acculturation processes as between entrants to an occupation, with their laymen's notions, and those who are already members of the occupational group concerned. Riesman and Jencks (1435) have developed a differentiated or cumulative 'macro-social paradigm of college subcultures' (5). They make a first distinction among the 'environments' in which each college subculture is specifically embedded, expressed in terms derived from cultural geography, the study of local politics and sociology. Secondly, they stress that the college subcultures are, in addition, determined by the relative position each college occupies in a national economic and organizatory prestige hierarchy ('academic procession'). Thirdly, they stress that these macro-social conditions operate as evolutionary pressures on the prospects of change for individual students and teachers, who for their part are incorporated, in quite varying degrees, in these 'environments' and in the alternative spheres that exist within them (city/country, local interest groups, social classes and occupational groups). Other cultural anthropological paradigms are derived from studies of 271

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development processes among émigré or expatriate members of 'foreign' cultures and religions. A process of 'heuristic equivocation' has simply transferred them into studies of universities and colleges, where the idea seems to be, first, that college students are relatively strongly separated off from the wider social milieu around them, and secondly, that college culture itself is strongly homogeneous in character. Among these paradigms is to be numbered that of the process of university or college education as a cultural ecological 'relocation project' (6) (Riesman and Jencks, 1435). According to this paradigm, students are rooted up from their familiar subcultural environment of home and family, and transplanted into a new city, class, region or culture, as the case may be; particularly is this so with residential colleges with separate dormitories for students. Some of the more recent investigations into 'residential subcultures', 'residential grouping' and 'room mate selection' have as their focus the experimental or project-oriented aspect of this paradigm. In such studies, theses derived from cultural anthropology are intended to be applied to the problems of guiding and stimulating the appreciation of particular values and of changing values in specified ways, by such measures as 'ecological transplantation' or the planning of varying cultural milieus for student residential centres. The purpose of these measures is, for instance, to be able to predict and control 'adjustment disturbances' and protest activities on the part of students (Morishima, 14335; Stakenas, 14424). A further paradigm derived from cultural anthropological studies on immigrants, cultural contact and the superimposition of ethnic groups is that of 'syncretism' (7) (Bushnell, 1261), i.e. the 're-functioning' or the creative 'bowdlerization' of the cultural values of a dominant culture. By heuristic equivocation, this cultural anthropological paradigm has been taken over and applied to the defensive process of partial re-interpretation (misunderstanding, simplification) of university teachers' cultural claims and demands on the part of student subcultures. The paradigms of 'initiation', 'rites of passageor of 'initiation rituals' (such as the sharing of ordeals) (8) - Riesman and Jencks (1435), F. E. 1. Cf. Arnold van Gennep, Les rites de passage. Paris 1909 - transi. The rites of passage. Chicago, University of Chicago Press, 1960. Cf. also Max Gluckman, ed., Essays on the ritual of social relations. Manchester, Manchester University Press, 1962, and also Volker Popp, Initiation - Zeremonien der Statusànderung und des Rollenwechsels. Frankfurt, Suhrkamp, 1969.

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Katz (14267), Shimizu (1698), Hughes (12118), Lortie (12605), D. T. Hall (14224), Spady (14417), Olesen and Whittaker (14346), Davis and Olesen (3261), Shimizu (1698) - have to be understood in the context of anthropological paradigms such as 'cycles, turning points and careers' (Hughes, (12117). There is also a connection with the paradigm of the university or college as a 'gate keeper' (9) or 'watch dog' at the point of entry into an upper middle class 'diploma élite': Riesman and Jencks (1435), Baltzell (1224), and, using other notions, Wilkinson (1122, 1124) and Bourdieu et al. (4002). In this last case, however, the emphasis is more on the enculturation of the 'inheritors' (10) (héritiers) within a culturally dominant bourgeoisie, and not on the carefully controlled acculturation of upstarts into an upper stratum dynamically renewing and extending itself, as in the United States. A different stress again is found in the historical-materialist paradigm of the 'inheritance' of educated humanism (ll) 1 in the ideological superstructure of academic institutions, seen as an identification moment in the abstract and idealist educational process undergone by both petit bourgeois and middle class students of the humanities at West German universities: Nitsch et al. (1589, 240), where reference is made to the results of empirical enquiry into the image of society and the conception of education held by students, cf. Habermas et al. (3968) and Institut für Sozialforschung (3970). There is frequently a connection between the American paradigm of college as a 'gate keeper' or 'watch dog' for the upper middle class, and the phenomenological way college is spoken of as a 'personnel office' and college education as 'people processing' (12). Numerous socioecological surveys for evaluating the characteristics of students and of colleges illustrate this way of describing the 'allocation' of the mass of students from the lower and middle strata into non-élitist educational and professional streams. Further conceptualizations with a background in cultural anthropology are the paradigms of a 'life style' or 'style of living' (13) as a centre for the personal development of students and academics: Ginzberg (3351), Goldthorpe (4191), Keniston (3474), Klaw (12581), M. C. Winkler (14490); and also the various approaches towards the formation of 'student types' and faculty types' (14): McArthur (3528), Trow (1467), 1. 'Bildungshumanistische Erbschaft'. For the derivation of this term cf. Ernst Bloch, Erbschaft dieser Zeit. Zürich, 1935, p. 77.

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Mock et al. (3564), Keniston (8103,1353), Friedman (3340), Lehmann and Eberly (14297), including Logan Wilson's attempt to determine the Weberian 'ideal type' of modern academic man (1486). A few paradigms for studies in acculturation and enculturation among students have emerged from a combination of approaches derived from cultural anthropology and from sociological linguistics. Poston (1424) and Olesen and Whittaker (14346) have attempted to comprehend 'college slang' (15) on the part of student subcultures as an indicator for moments of 'syncretism' or of a 'contra-culture' set over against the culturally dominant standard language. Bourdieu et al. (4002) have attempted to interpret study in the bourgeois subcultures of French secondary schools and universities as an extended ''linguistic initiation rite' (16) aimed at the cultural and ideological demarcation of the bourgeoisie from the 'masses'. (Cf. in this connection also the investigation of Gloy and Haeberlin (14579) into the socio-linguistic habits of persons with academic training). The contrast paradigm of 'secularization' and 'insulation' (17), the source of which is to be found in the frontier between cultural anthropology and the sociology of religion,1 can be applied to two theoretical perspectives. On the one hand, there is the subjective development of students who have been brought up with a localist, ethno-centric or religious orientation but who, as they go through the process of their academic training, acquire liberal, progressive, cosmopolitan and tolerant values (Riesman and Jencks, 1435, Baumgarten, 1548; R. H. Knapp et al., 7100, 7101, 7098,7099; H. Smith, 12229). On the other hand, there is the insulation of students with localist or religious values in schools and universities or colleges under ecclesiastical control, as a defense against secularization (cf. the discussion of the paradigms of investigations made into the training in theological seminaries, in Olesen and Whittaker, 42). Similarly linked to the notion of inter-cultural confrontation are the paradigms of 'culture shock', 'value shock", 'transfer shock', or 'reality shock' (18). These are mostly applied to the situation of students beginning their courses (Feldmann and Newcomb, 10089, pp. 50-91; Silber, Hamburg et al., 14400; Douvan and Kaye, 3292; Wallace, 3828; L. Sussmann, 7331) but also to students making transfers (Hills, 14240) or to graduates at the start of their professional careers (Wagenschein, 1. Cf. in this connection P. Berger, The sacred canopy. Elements of a sociological theory of religion. Garden City, N.Y., Doubleday, 1967; and U. Jarisch (1578) on Max Weber (1602).

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14465; Williams and Williams, 14486). Rettig and Pasamanick (3100, 3665) and Pressey and Jones (3639) have formed paradigms and operationalizations related to the change in 'moral codes' (19) on the part of students and academics, as affected by cultural historical factors and by age; empirical surveys formed the basis of these studies. Hughes (12117) has conceptualized the significance of professional 'codes of ethics' (19) for the identity and the personal development of academically trained people. Research programmes in the Centre for Educational Research in the University of Konstanz and at the University of Tübingen, with a methodology predominantly derived from social anthropology, are concentrating on the interrelated paradigmatic models of 'conceptions of existence', 'plan for life', 'expectations for the future' and 'orientation in time' (20), which serve as a focus for inter-cultural comparative studies of the educational biographies of persons with academic training. (Bargel et al. 14001, Braun and Leitner 14566). A further group of paradigms refers to the phenomena of the retreat or defection ('apostasy') from a culture and its social system. Some of these (Keniston, 8103, Hajda, 3398) are derived from the Marxian alienation paradigm (21), though the derivation may be misleading or reductionist. Of special importance here is Marx' theory of revolution, in which the class conscious proletariat, as the historical subject of the upheaval, exists as a 'foreign'element in bourgeois society, but not as part of it. Predominantly, however, these paradigms have their starting point in a systemic-functionalist way of thinking. This applies to the paradigms of'deviance' (22) with Flacks (3328), Harp and Taitz (3407); of 'marginality' (23) with Maranell (3519); of'alienation' (24) with Seeman (3207), Whyte (3855) and G. A. Miller (3557) or the alienation paradigm in the tradition of symbolic interactionism with Couch (3248) and Whittaker and Watts (8851). There is a close relationship between this last-named paradigm and the 'uncommitment' paradigm (25) of Keniston (1351), with its typological dimensions of marginality, indifference, disaffiliation and activism (cf. in this connection also the paradigms 82 and 83). With Simmons (3726), but in fact already with Hajda (3398), the use of the term 'alienation' hardly points at all to a 'sense understanding' paradigm in terms of cultural anthropology or of historical sociology. Instead, it is little more than a formula, in terms of factor analysis, for a 'syndrome'. This arises from a correlation of psychic characteristics, defined in terms of positivist psychology, with membership in formal 275

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groups or strata; but a non-positivistic unarticulated 'pre-understanding' has allowed this to be assigned without further ado to a sense-understanding type of alienation concept that operates in practical, real life terms. The functionalist alienation paradigm is defined in Parsons' usage as a tension between need-disposition and role-expectation. As Whyte (3855) applies this, it becomes apparent that sociological functionalism has difficulty in providing a theoretical integration for the cultural anthropological paradigm of the generation of subcultures as the product of the superimposition of simultaneous processes of acculturation and enculturation - for, in fact, with Whyte student subcultures are themselves already the product of alienation or of a deviation from socially expected goals. A dynamic cultural anthropological approach, by contrast (e.g. Riesman and Jencks, 1435) has social goals emerge as the product of confrontation and exchange as between competing needs organized in subcultures - a conception that may have arisen out of the American liberal image of a new culture that has forged out of divergent ethnic immigrant cultures a national consensus of values in a process of cultural exchange. Numerous studies, therefore, of the way college students change their values through the impact of a more strongly cosmopolitan and liberal college culture have, accordingly, 'value consensus' and the'homogenization of values' (26) as their governing paradigms (Crotty, 3255). However, Feldmann and Newcomb (10089, pp. 40-48 and pp. 334-335) have recently, on the basis of their systematic cumulative synopsis of empirical data, called in question both the closeness to reality and the normative implications of this paradigm. Anthropological paradigms have also been tentatively applied to the study of social 'micro-structures' of living and learning in academic subcultures. Holmes (8220) has employed the paradigm of the 'primal horde' (27) - as integrated by Freud into the psychoanalytical theory of culture for a phenomenological interpretation of the inter-personal dynamics of university seminars (considered as 'small-scale ritualized meetings'). There are also a number of anthropological conceptions of a paradigmatic type that appear in the literature, without being more closely spelt out - style or 'habits','habitualization' or'routinization' of role-performing behaviour (28). These are found in Habermas et al. (3968), in the expression 'political habits' as applied to the structure of generating political beliefs among students; in N. L. Friedman (3340) as 'role routinization' 276

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in the context of the institutionalization of role constellations; in Schelsky 1 (1596), and in Gloy and Haeberlin (14579). Related to these /zafoiws-paradigms are characterologies in cultural or social anthropological terms, of which the best known is Riesman's paradigm of 'outerdirected', 'inner-directed', 'anomic' and 'tendentially autonomous' social characters (29)2. This has been reductionistically operationalized by Olmsted (3598) and Sofer (3735) for the purpose of empirical studies among students; and Schelsky (1596), in a typical heuristic equivocation, has taken it over into his historical sociological interpretative schematization of the German neo-humanist university reform movement. R. H. Knapp, alongside his cultural anthropological and ecological surveys (7100, 7101, 7098, 7099), has also attempted to apply such paradigms in terms of social character to the professorial role, the 'public image' this has, and the formation of social character among students ('changing functions of the college professor', pp. 290-311 in3697)-e.g. 'inculcation of high moral standards' (cf. 19) and 'pastoral function (of the professor)' (cf. 77). 2.2.2 Sociological concepts The perspective of cultural anthropology, with its concentration on cultural values, customs and moral codes, yields second place to other concerns in the case of a number of paradigms which, while to some extent examining the same subjective situations, development phases and conflicts, do this within the tradition of sociological theory studying, on the one hand, social systems with their structural elements of stratification, mobility and status allocation, and, on the other hand, 'secondary socialization' or the socialization of adults. Secondary socialization is taken to mean the learning of the ways in which individual 'motivation' or drives and impulses may be linked with social roles that are (or are supposed to be) fulfilled by specific, fairly closely defined groups or categories of persons in a society; this link being conceived in varying theoretical terms. This is distinct from 'primary socialization' or 'sociabilization', which is the acquisition of the principles prevailing (with variations specific to particular strata) over a whole social system and governing the connection bet-

1. After Arnold Gehlen, 12087 (cultural crystallization). Schelsky uses for this notions like 'impregnation of character'. 2. David Riesman et al., The lonely crowd. Garden-City, N.Y., 1950.

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ween individual drives and impulses and that social system's elementary and general social norms. Both secondary and primary socialization overlap to a large extent with what cultural anthropologists designate as enculturation 1 . The majority of studies whose paradigms are located in this framework bear the stamp of the structuralist and functionalist theory systems of Parsons and Merton. Others attempt, however, to link this with dynamic conflict theories (Box and Cotgrove, 3880) as well as elements of the theory of intentional action (Bourdieu, C. W. Mills), of symbolic interactionism (Becker, 5076), or of a functionalism in terms of political economy, drawing (though no more than formally) on Marx (Habermas, 12100; Offe, 12200). 2.2.2.1 Secondary socialization, mobility and status Important components of role theories and of theories of secondary socialization in the context of social mobility and status allocation have been distinguished, and tested empirically, in studies devoted to students and young people with academic training in the process of their professional socialization. Different variants of the 'status' paradigm, and models of status allocation, have been adduced in explanation of the subjective situation and perspective of persons undergoing, or having completed, academic training. These include: - Parsons and Shils's 'pattern variables' (30), in particular 'universalism' vs. 'particularism', 'quality vs. performance', 'diffuseness vs. specificity' and 'affectivity vs. affective neutrality' (Merton et al. 3550; Fox, 3333, D. T. Williams, 213; Malone, 3517); - the dichotomy of'technological (or functional) rules governing work and achievement' vs. 'extra-functional moral orientations of interaction', or of 'instrumental vs. expressive, specific vs. charismatic, role socialization vs. status socialization' (31), following on from Max Weber's types of domination (traditional, charismatic or rational) and of corresponding educational types as criteria for status allocation that is partly oriented towards 1. M. J. Hershkovitz, Man and his works. New York, Knopf, 1948, pp. 39-40, defines enculturation as the wider notion of the mediation of the demands made by drives and impulses with culture in the widest sense, including mediations that are individual and only indirectly social in character. M. Titiev, The science of man. New York, Holt, 1954, has suggested that, given a narrower conception of 'culture', we should choose socialization as a broader notion.

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achievement, partly ascriptive (Jahrisch, 1578; Etzioni1, Vreeland and Bidwell, 3823; Habermas, 12100; Offe, 12200; C. W. Mills, 1399; Bourdieu et al., 4000); - paradigms like 'status striving' or 'status seeking' (32) (Mercer and Pearson, 3549); - 'status inconsistency' and 'status stress' (33) (Achterbergh et al., 1645); - 'relative status deprivation' (34) (Kaplan, 1072; J. A. Davis, 3269, 3272). Other paradigms whose function is to act as intermediary links between socialization models and status or stratification models are: - the 'professional career' (35) or the 'professional career ladder' with its phases and its situations of selection and decision (M. Weber, 1602; McGee, 14319;Treanton, 13201; N.L. Friedman, 3340; Medalia, 3545; Gustad, 3390; Ritti, 3668), and with its adaptation in social engineering as'artificial career ladders' (36), as a means for the extended reproduction of status differentiations for the exercise of social control in complex professional organizational systems (Goldner and Ritti, 3361); - Reference group orientation' (37) in connection with social mobility and status striving (Seeman and Evans, 3711; J. A. Davis, 3278; R. Turner, 3811; Klaw, 12581); - the dichotomy of'orientation towards competitiveness vs. social acceptance' (38) (R. Turner, 3032); - the interrelated paradigms of the'visibility' (39) (Cole and Cole, 14129, Goldner and Ritti, 3361), the 'measurability' (40) (Offe, 10423) and the 'recognition' (41) (Glaser, 3354) of work and achievement in professional status systems as a conditioning factor in subjective situations and development possibilities (frustration, stress, deprivation and anomie on one side, ambition and satisfaction on the other); - the paradigm of'role-making' (42) in connection with'norm-formation', illustrating the subjective aspect of the institutionalization and establishment of new (e.g. professional) roles in a status system (Rushing, 3691, who takes the case of academic and professional differentiation within a teaching hospital) - a process that, from the viewpoint of cultural anthropology, would be described as a superimposition of generating a professional culture, enculturation, acculturation and inter-cultural exchange processes, but in terms of the sociology of the professions, would have to be formulated as a superimposition of (objective) professionalizing, (sub1. A. Etzioni - A comparative analysis of complex organizations. New York, Free Press, 1961.

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jective) professionalization (as secondary socialization), integration into a complex professional organization, and inter-professional (horizontal) co-operation, consultation and communication; - the paradigm (related to the preceding) of'socialization as self-selection' (43) (Mayntz-Trier et al., 14599), aimed at clarifying the contradictory and diffuse socialization processes in incompletely institutionalized and standardized educational and professional spheres (the example taken being that of sociology); - and finally the conceptual model of the'incentive situation' (44) of social groups and subcultures (Bay, 1228). According to this last model, 'incentive' acts as an intermediary link between specific social role definitions and role expectations in e.g. formal organizations or social reference groups on the one hand, and the full range of motivations and drives in the individual on the other. The latter are in turn institutionally anchored in the socio-economic system through conscious or unconscious anxieties and desires, through larger goals oriented towards values, and through the intensity of cultural integration or alienation. With reference to study and to scientific work, Bay distinguishes 'social incentives' mediated through reference groups and subcultures, 'academic incentives' (the 'measurement' and rewarding of formal 'achievement' in academic and professional status hierarchies) and 'intellectual incentives' (intrinsic individual and communicative motivation to work). In this way, Bay has presented an interdisciplinary paradigm (lying between sociology, social psychology and depth psychology) for analysing subjective developments on the part of social situational groups undergoing, in an organized and induced form, processes of cultural emancipation on which vertical mobility has been superimposed. This paradigm, like most of the others we have listed from the sphere of structural analytical mediation between macro-social, institutional and subjective factors (role-making; socialization as self-selection; visibility, measurability and recognition), is still, as far as research into students and scientists or scholars is concerned, an isolated example, without having stimulated further analyses and empirical studies. An interdisciplinary approach from another direction has been followed by Nitsch, Gerhardt, Offe and PreuB (1589), who took a formal model conceived in terms of political economy and having as its dimensions the ' subjective vs. the objective interest (i.e. the interest on the part of individuals vs. on the part of a social system) in investing in, or in the consumption of 280

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higher education' (44a), and linked this with sociological paradigms drawn from the analysis of family dependence in bourgeois society1, in order to make transparent the logic, immanent in the social system, underlying the currently prevailing policy of student support in capitalist societies with regard to its effects on the psychological and intellectual development of students. 2.2.2.2 Secondary socialization in formally organized institutions The dominant system-oriented functionalist trend in sociological analyses of the development of students, persons of academic training and scientists or scholars finds its expression in the many paradigms that underline the conception of relatively strongly self-contained, autonomous, stable, conflict-free and homogeneous institutions or organizations into which individuals are incorporated for certain periods for the purpose of formalized and purposive alteration or extension of their personality traits, their attitudes, their values, their knowledge or their skills. Many paradigms, including the less functionalist ones, arise from research into closed institutions - children's and young people's homes, mental hospitals, prison camps, prisons, monasteries and convents, and seminaries; by simple heuristic equivocation, these paradigms are then taken over into the analysis of development processes in undergraduate colleges or in the graduate departments and professional schools of universities and colleges. It then turns out that they are heuristic equivalents in only a very restricted or accidental sense. It is, moreover, not often the case that qualitatively new conceptualizations for development processes in academic institutions (such as, e.g., the paradigms 5, 4,16, 36, 43 and 44) come to be formed on the basis of such paradigms as these, whether by heuristic differentiation (the formation of a dichotomy between an existing paradigm and its polar opposite) or by heuristic 'interference' (the superimposition of paradigms from structurally very different spheres). The exceptional, highly formalized character of such institutions, the manipulations required within them, and the connections they have with political and administrative responsibilities assigned to them by the authorities of church or state, have evidently stimulated research and advisory activity among sociologists in greater measure than the study of primarily subjective processes in connection with one or several institu1. In particular from Max Horkheimer ed. - Studien über Autorität und Familie. Paris, Félix Alcan, 1936.

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tions of open, public, unhomogeneous, conflict-laden or less formalized character - e.g. libraries, theatres, large church congregations, administrative authorites, firms or political parties. The structure of such institutions would be more comparable with the majority of university and college systems, particularly the non-residential 'multiversities' and the commuter colleges; and like these, too, they are harder to manipulate and to change through 'social engineering' (cf. e.g. Bryan, 18043). On the other hand, however, the extension into research on students of paradigms from the analysis of closed institutions and centres for indoctrination may give expression to the authors' images of society and of man, or their conceptions of educational goal models, that are akin to the psychological mechanisms and manipulatory practices in such institutions (cf. in particular the hermeneutical and critical report on the literature on 'Images of man implicit in sociological studies of professional education' by Olesen and Whittaker, 42). Studies and social engineering strategies with regard to residential colleges and student hostels (cf. e.g. Newcomb and Brown, 14345; R. D. Brown, 14105; Centra, 14117; Closson, 10085; Morishima, 14335; Hatch, 10027) or to socialization and training courses in the armed services (cf. Janowitz and Little, 12561; Dornbusch, 1289; Janowitz 3459; Lovell, 12606; Shelburne and Groves, 10639; U.S. Military Academy, 19107) admit a direct transfer of paradigms obtained from the investigation and the control of closed institutions, provided that both the enclosed character of the institutions, and the control exercised in them, can be successfully enforced (to some extent, as the case might be, with the aid of investigators employing these paradigms). A formal, and simple, basic paradigm in many studies of this type is the model of the 'formally organized socialization setting' or of the 'socialization agency' (45); examples of this are Wheeler (3557), Sieber et al. (10114). Under the influence of the structural functionalist primary socialization theory of Parsons and Bales1, these writers appear to assume that one of the basic conditions of any successful secondary socialization as well (at any rate insofar as this is related to complex cultural norms) is that socializing persons, with superior means of power at their disposal, together with the 'weaker' persons dependent on them and forming the subjects of the socialization process, should form an institutionalized 1. Cf. T. Parsons and R. F. Bales, Family: Socialization and interaction process. Glencoe, 111., Free Press, 1955.

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social system; and that a further such condition is that the superior socializers should through internalization be integrated into the cultural value system that represents the goal of the socialization process. From this point of view, universities and colleges, and professional academic organizations generally, are deliberately established and formally organized social subsystems, or subsocieties, composed of actions of individuals and constellations of rôles in order to solve problems and to expand the rational at the expense of the institutional components of social interaction 1 . A number of sociologists whose thinking is predominantly functionalist have developed this basic model in the study of academic systems in various directions. There are paradigms concerned with organizational structure; with the relationship of socializing teachers to socialized students; with constellations of rôles; with the phases of socialization; with the types of socialization (compounded of the mechanisms, the content and the duration of the socialization process); with the development of subcultures (studied from a sociological point of view) ; and with individual adaptation to the social subsystem (involvement, internalization). Sieber et al., in their 'Taxonomy of higher education' (10114), have given an inventory of the conceptual contributions made by this structuralfunctionalist sociology of universities and colleges, and have also to some extent synthesized and extended this through complex paradigmatic models of their own. Axelrod (12377) has offered a paradigm of the 'curricular-instructional subsystems' (45a), heuristically related to the preceding and influenced by functionalist theories of complex organizational systems (e.g. Etzioni, op. cit.), distinguishing the dimensions of content, schedule, certification, interaction between groups and the person, student experience, and freedom vs. control, and also taking account of the functional mediation of this subsystem with 'supersystems' (associations, administrative authorities, supply firms, political agencies). In the study of the organizational structure of academic systems, considered as socialization agencies, well-tried paradigms for distinguishing 'formal and informal organization' as settings for socialization have been applied, after having already played an important part in the sociology of work and industry (cf. Eaton, 14159). These are the paradigms of 'social climate'' or 'social atmosphere' (46) in universities and colleges, dormitories 1. Cf. T. Parsons, R. F. Bales and E. Shils, Working papers in the theory of action. New York, Free Press, 1953.

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and departments (Pace, 3611); of'informal groups' (47) such as the 'inner fraternity (Hall, 14227) in the medical association, the so-called 'matingdating complex' on the campus, intimate friendship relations and friendship groups (Ehrmann, 3305, Kirkendal, 3476), informal'patronage cliques' in universities and colleges and in the professions (Noda, 4076, Shimbori, 4083), the 'hidden' or 'invisible curricula' (Snyder, 8172) of these informal infrastructures; and finally the paradigms, developed in terms of functionalist sociology, of the formation and of the types of subcultures and their rank-order and other relationships to each other, e.g. the analytical model of subculture formation (48), formulated by Sieber et al. (10114) in terms of a strategy of social engineering. This model assumes a sequence of events made up of selective attraction on the students' part (related to a particular university or college image); activation through collective problem solving, again on the students' part, with the university or college; and reinforcement through a sanctioning (by 'typing') of deviants among students - a succession of processes matched on the side of the university or college authorities, as the socialization agents, by the sequence of selective admission, activation through manipulation of the environment and the curriculum, and reinforcement through the planned duration of courses and through acts of institutional legitimation. We may further mention the contrast offered to the more cultural anthropological and pragmatic typologies of subcultures (cf. especially Clark and Trow) in the system-oriented structural-functionalist typology of student subcultures (49) developed by Sieber et al. (10114, ch. III). This has as its starting point the dimensions of the institutional legitimacy of a subculture; its academic vs. non-academic orientation; its formal vs. informal activities and network of relationships; the expressive vs. the instrumental relationship to the activities of the subculture; and its involvement with the institution vs. an involvement with social spheres outside the institution. The same authors (ibid., ch. IV) have developed a sociological typology of subcultures among university or college teachers (50), the dimensional areas here being teacher roles, involvement with subsystems and orientation towards the professional career - a subcultural system that acts as a setting for the socialization of students as well as of the younger generation of university teachers. Talmon (12243) has developed a paradigm for analysing the varying kinds and intensity of the formalization and institutionalization of socialization processes (51) in the academic sphere, stressing the importance of in284

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formal processes in formal frameworks, and distinguishing the following dimensions : specificity of rôles, i.e. the degree to which they are precisely described; the presence of formal or informal learner or apprentice rôles, which have as their goal the learning of another, superordinate, rôle; the necessity, in this context, for resocialization processes, and the degree to which these are formalized; and the degree to which the organizational structure of the socialization agency is formalized (cf. in this connection also the paradigm of role-making, 42). The structural functionalist perspective has offered various partial paradigms of the functionalist rôle model that can be applied in the analysis of socialization mechanisms in academic organizations. These paradigms are those of 'rôle anticipation' or 'rôle preconception' (52) (cf. Pinner, 3019, Ellis and Lane, 3311; R. Turner, 3811, Warnecke and Riddle, 14469; Stanfield and Schumer, 3740), from which paradigms related to strategies of social engineering can be derived without difficulty, e.g. 'anticipatory guidance as emotional innoculation' (53) (D. Leviton, 8125) or the early decision on admission to study a particular subject as a formalization and ritualization of anticipatory study socialization (54) ; next, the paradigm of the alteration or development of students' rôle conceptions through different variations and intensity in the discrepancy between rôle expectation and rôle ascription (55) (Marsland, 3903; Vali-Wohl, 8264; Box and Cotgrove, 3880; Warren, 3837), together with the effects of rôle stress, rôle strain and intra-rôle conflict (56), still regarded as being temporary concomitant symptoms of functional socialization (Allen and Sutherland, 3131; W. M. Evan, 3315; N. Gross et al. 1313; R. A. Ellis, 14167; Merz, 3551 ; Klapper, 14279; Thorsrud and Paasche, 4039; Abrahamson, 3126); and including the related paradigm of latent vs. manifest roles (57) (Gouldner, 3377; B. G. Glaser, 3354), in particular with regard to the conflict between cosmopolitan and localist rôle conceptions among university teachers and researchers. In addition, there are the paradigms of 'rôle taking' (Pinner, 3019) as rôle modelling (58) (Caplovitz, 3217); the conceptualization of the learner or student rôle as a self-liquidating rôle (59) (Pinner, 3021), and of the transition between different phases of academic education (from undergraduate or postgraduate study to probation or intership), between different functional spheres (from the practice of an academic profession into research) or between different academic subjects as a process of resocialization (59a) (Aran and Ben-David, 4205). Sieber et al. (10114) have suggested a synthetic paradigm of socialization 285

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mechanisms in university and college study (60), integrating several of the already mentioned functionalist paradigms in a systematic way. They distinguish the following mechanisms: (1) 'didacticism' in the sense of a simple 'one-way communication'; (2) 'overt persuasion' with reinforcement effect; (3) 'unconscious or conscious modelling and imitation'; (4) 'reciprocity' as interaction on the basis of an expectation of reward or punishment; (5) 'role-playing'; and (6)'problemsolving' - it being noted that the last two of these mechanisms can also and indeed predominantly - run their course without the direct interaction or even presence of anyone acting as a socializer. There are a number of paradigms that focus on the relationship between the socialization agents (university and college teachers or superiors) and those being socialized (students or subordinates). These include; - the model of a 'voluntary compliance contract between clients and academic professionals' in a professional organization, with a variation between the simple use of a service organization on the one hand and moral indoctrination or induction into the professional organization on the other hand (61) (Bidwell and Vreeland, 3183; 1243; Vreeland, 3824, following the compliance paradigm of Etzioni, op.cit.\ W. M. Evan, 3315; Andes, 12368); - the already mentioned functionalist paradigm of 'relative alienation' (Seeman, 3711) in the sense of 'powerlessness' on the part of'apprentices' in socialization agencies; and - the model of the 'informal due process mechanisms' in the relationship of superior to subordinate in research organizations as the setting for the socialization processes taking place there (62) (W. M. Evan, 6027). In addition to these, there is the paradigm of 'subjection vs. negotiation' (63) (Becker et al., 14088; Hughes, 17048). According to this paradigm, the relation between a university or college student and his teacher is one of functional subjection, whereas that between students and the administration, in non-academic matters, is one of negotiation - a conception of the university or college that underlies most traditional or conservative as well as liberal theories of higher education law. Sieber et al. (10114) have developed a further paradigm concerned with socializer-socializee-relationships, that of the organized direction and creation of involvements with the socialization agency among the students being socialized, through the optimation and fusion of a maximal 'pervasiveness' of the organizational norms in as many spheres of activity as 286

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possible (including the extra-academic) and of maximal 'scope' for the activities that generate communally organized involvements (64). The same writers have also suggested a typological model of the student-teacher relationship in universities and colleges (65), integrating several already mentioned paradigms. Their starting point here is the variation in the super-imposition of three types of relationship: (1) client and academic professional; (2) inmate and custodian; (3) employee and employer. This model thus also adopts in a functionalist and generalizing way the half heuristic, half hermeneutic paradigm, made famous by Erving Goffman, of the custodian-inmate relationship in total institutions (66), a concept, which (with Goffman) had still been concretely and specifically related to institutions characterized by far-reaching helplessness (illness or mental disturbance) or subjection (punishment or re-education) on the part of the inmates. The time perspective of socialization processes has also been conceptualized in structural-functionalist terms. There is first its conceptualization as an institutional setting which, through 'time-bracketness' and 'chronological boundaries', becomes an 'agenda', a 'calendar', a'schedule' (67): cf. Dornbusch (1289), Becker et al. (14088). Next, there is the time variance model, in which the varying duration of socialization programmes (length of course, length of career phases) corresponds to differing socialization types (types of relationship between the socializers and those being socialized, socialization mechanisms, content of socialization) (68): cf. Sieber et al., 10114. Finally, there is the model of 'time variance related to social stratum and status' according to which the 'gradualness' or 'step by step progression' of processes of secondary socialization (including relatively long phases of anticipatory socialization) increases along with the functional significance (for a social system) and complexity of professional and educational processes (69) (O. Hall, 14228). Akin to these time models is the socialization phase model (70) of Sieber et al. (10114), which, in the form of a'complete schedule of socialization', presupposes a specific duration delimited in advance, and distinguishes three phases: (1) an 'initial introjection' of the basic norms, authority relationships and informal stimuli; (2) 'selective activation' through varying self-selection of more intensively pursued activities (the reverse side of this being the 'selective negligence' of others); and (3) the experience of 'reinforcement' through reference groups. 287

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The conceptual sphere of the content of socialization has already been touched upon in the discussion of the status paradigms (cf. nos. 30, 31, 38). The majority of structural-functionalist studies in this area have as their starting point the variously formulated dichotomy between instrumental vs. expressive, specific vs. charismatic, universalist vs. particularist, technological vs. moral socialization goals (71), a dichotomy that is to some extent equated with the dichotomy of rôle socialization as against status socialization. To some extent also, however, a role-internal dichotomy as between corresponding rôle elements is assumed. In addition to this, a few writers (who should not be thought of as belonging to the structural-functionalist theoretical school in the strict sense) have spelt out a dichotomy (to some extent cutting across the preceding) with the dimensions of 'functional vs. extrafunctional socialization contents', the latter being regarded as contingent presuppositions of functions (72); this dichotomy makes it possible to conceive, at least in abstract terms, of a critical distinction between those socialization goals that are functionally necessary at a particular stage of technological and cultural development, and others that are enforced through contingent 'extra-functional' domination and prejudice (cf. C. W. Mills, 1400; Marcuse, 12169; Habermas, 1570, 12100). In contrast with techniques of factor analysis, aimed at isolating 'climate syndromes' in universities and colleges (cf. e.g. Pace, 3611), Sieber et al. (10114) have constructed a structural-functionalist taxomony of socialization contents (73) in university and college study. In this taxonomy, they draw fundamental distinctions among the following; (1) scope, considered according to cultural, social and temporal spheres; (2) the goal orientation of content, considered according to its instrumental vs. expressive orientation, its 'specific' (goal-rational) vs. 'charismatic' orientation, and its functionality for rôle or for status socialization; and (3) 'discrete items of content', in which connection they adopt the 'taxonomy of educational objectives in the cognitive and in the affective domain', developed in Chicago by Bloom et al. (3188). Olesen and Whittaker(42),in their criticism of the predominantly systemoriented functionalist paradigms of socialization in student and professional life, have adopted as their theoretical perspective that of a phenomenologically more extensively differentiated symbolic interactionism, stressing that almost all these socialization paradigms converge on the image of a 'divestiture', in which the student or younger professional is 288

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envisaged as someone 'reborn' who, on entering a new, institutionally closed development phase, is deprived or stripped of his former attributes and is, as it were, reborn through a total resocialization or fresh enculturation. They have pointed out that this basic conception represents a lowest common denominator facilitating the confluence of three different research traditions whose paradigms have a system-oriented functionalist pattern : 1. Paradigms from the tradition of child development studies in both sociology and social psychology: the reinforcement paradigm (74) (cf. 48, the Sieber model of subculture formation, Sieber et al. 10114, ch. II, p. 4) and the social anxiety paradigm (75) of learning theory (cf. A. Davis, 3260), into which we shall still have to go in more detail; the paradigm of 'regression' and of 'râle-regression' (76), used by some functionalist writers for characterizing disturbances in the development of a student into a 'full academic professional', this in turn being yet another paradigmatic image that points to the picture of the fully developed, socialized person as the product of enculturation and primary or developmental socialization in a homogeneous cultural society: the 'true professional', the fully professionalized student' as a Ifinished product' (77) - cf. various versions of this image in A. D. Ross, 12218, Parsons, 1416 and 12202, Wheeler in Brim and Wheeler, 12403; together with the paradigm of the socialization agency (45) derived from the family model of structural-functionalist socialization theory - and two other paradigms of similarly familialist and paternalist stamp, namely those of 'emotional oculation' (53) and of 'rôle modelling' (58, 60). 2. To this first set must be added paradigms from the research tradition concerned with closed institutions into which persons are fully integrated for specifically determined periods of time in order to perform, under supervision, tasks that are similarly highly structured in terms of time (prisons, special schools, monasteries and convents, labour camps, concentration camps, mental hospitals) : the paradigm of the 'subjection' (63) of the student vis-à-vis the university or college teacher, the paradigm of the 'organized guidance' of the subjects' involvements with a socialization agency whose influence permeates all spheres of life (64), the model of the 'custodian-inmate relationship in total institutions' (66), and the time-structure paradigms of 'time-bracketness' (67), oí'relative duration' (70) and of the 'socialization schedule' (70). 3. The third and final set of system-oriented functionalist paradigms 289

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comprises those from the research tradition concerned with the mediation of values, attitudes and motives, and with the effects of mass communication - a research field intensively promoted by the U. S. armed forces and intelligence agencies since the psychological warfare in World War II. These paradigms basically presuppose that the objects of this persuasion activity are 'empty vessels'. The conception of the impression or the permeation of a receptive, all-absorbing child (vis-à-vis its parents) or of an interested receptor (auditor or spectator) (vis-à-vis a powerful effective medium of mass communication) appears in a rather indirect way in many studies in social psychology having to do with the impact made by residence groupings (cf. the survey of the literature in Feldman and Newcomb, pp. 196-214), by student peer groups (ibid., pp. 236-247) and by university or college teachers (ibid,, pp. 248-257) on students' values and attitudes. This applies particularly to those studies that, implicitly or as a matter of course, presuppose or adopt a system-oriented and functionalist sociological conceptualization framework for their special surveys - especially insofar as they employ a simple paradigm of 'persuasion' (78) (McGinnies, 4067) or are governed by maximalist conceptions of a homogenization of values (26) (Bidwell and Yreeland 3184). The synthesizing paradigm of socialization mechanisms (60) suggested by Sieber et al. (10114), with its basic dimensions of'didacticism', 'overt persuasion' and 'modelling', and the 'taxonomy of psychological adjustment to the college environment' (78) (Sieber et al., 10114, ch. VI), which sets subjective dimensions (affective energy, goal orientation and sources of normative pressure, e.g. inner and outer directedness as in D. Riesman) over against organizatory dimensions (scope, pervasiveness), bear equally strongly the stamp of this research tradition concerned with 'persuasive communication.' 2.2.2.3 Life cycles, developmental and subjective socialization in connection with processes of academic education The line of demarcation between this and the preceding research field of socialization is theoretical and programmatic in character. It coincides to a considerable extent with the line of dissent separating the structural functionalist school on the one side from the theoretical traditions of symbolic interactionism and the more recent phenomenological existential sociology on the other. 290

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In their approach to the research field of socialization and processes of academic education, both these theoretical currents share the practice of having recourse to paradigms derived from research into (relatively) closed institutions (cf. Bidwell and Vreeland or Dornbusch on the one side, and Becker and Goffman on the other) and also to paradigms bearing on so-called 'developmental socialization'. By this latter term is meant the general process of primary socialization (also called sociabilization or enculturation) extending in a weakened form beyond childhood; this general socialization may be distinguished from specific forms of professional, sexual and other types of role socialization or from status socialization. But whereas writers in the functionalist tradition regard socialization processes as functional conditions upon the restoration of equilibrium in one particular subsystem, those sociologists of education who belong to the symbolic interactionist or the phenomenological traditions are interested in the complex triangular relationship pertaining among the three elements of institution (organizations and reference persons), subject (ego, self) and the totality of parallel processes of developmental, rôle and status socialization: and in particular in the emergence and the precarious maintenance of the subject's personal and social identity within this triangle (cf. Goffman and A. Strauss). From this flows the further concentration of their interest on the following: 1. the concept of the self (or ego) and its relationship to significant reference persons; 2. the relationship of ego/self/person etc. to rôles (through rôle distance, rôle simulation, rôle playing, identification, commitment, choice, ambiguity, uncertainty, predicaments); 3. the relationship holding among the various parallel developmental cycles and socialization processes in a person's life; 4. resulting from (2) and (3) - the to some extent collective perspectives and strategies of individuals vis-à-vis specific institutionalized rôle sets and reference persons (e.g. in a university or college or in a firm) ; and 5. the cyclic 'micro-mechanisms' that accompany the interactions listed under (1) to (4), supporting and mediating them - the so-called 'minute encounter cycles' (Olesen and Whittaker, 3597), e.g. interaction tests, encounters, expressive gesture patterns, social games and allusions, pretence or simulation, internal dialogues. 291

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The horizon of epistemological interest is thus markedly widened, and this enables those sociologists of universities and colleges who are influenced by symbolic interactionism or by phenomenology to effect heuristically more productive links with the work of social and cultural anthropologists with a dynamic or genetic methodology than was possible for writers of the functionalist stamp. This applies particularly in the matter of conceptualizing parallel developmental cycles, the constitution of subcultures and 'counter-cultures', and the mediating micro-mechanisms. Various superordinate framework paradigms of this research field are those concerned with the heuristic comprehension of the totality of parallel socialization processes and also of processes of continual ratification, acting as the recurring process elements in the 'larger socialization process'' (79). There is first the distinction drawn among a) life cycles of socialization or of developmental socialization, from childhood to youth, from youth to young adulthood etc. ; b) cycles of rôle socialization (e.g. of professional or of sexual rôle socialization); c) the 'minute encounter cycles' that accompany and support the larger cycles; d) the subjective socialization cycles in the inner world of the individual, building, changing or destroying ego-identities (cf. Olesen and Whittaker 3597, 14346). Or there is the distinction between 'professional roles' and 'lateral life roles', the distinction among the 'professional self ', the 'developmental self ' (e.g. one's stage of development as a young person, as an adult etc.) and the 'sexual self ', and together with these distinctions the concept of interference or of 'reciprocal influence of these revolving roles' (80), and of the relationship of an 'ego' to this circulation of rôles and to the individual 'selves' in these various rôles and developmental phases (Olesen and Whittaker, 3597; Towle, 12755;Perucci, 3622; Feldman, 14181 ; Ginzberg, 3351; King et al., 3475; Rossmann and Campbell, 12704 take more pronounced account than other investigations of socialization do of these reciprocal influences of different socialization cycles). One effect of a specific kind of interference between developmental socialization and professional rôle socialization may be a developmental retardation or a socialization regression (81) - as instanced, say, in the 'arrested childhood situation' (Habermas, 1569) of students in a sphere of artificially prolonged adolescence as detemined by societal domination 292

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tendencies(cf. for this also Musgrove, 1517; Bios, 8030-8031; and Erikson, 8001). A number of studies are available with respect to interference between professional and sexual role socialization, (80a), predominantly as this affects women students and women in the academic professions (though the majority of studies on professional and student socialization have neglected the reciprocal influence of these two r61e socializations cf. in Olesen and Whittaker (42) the criticism made of the dominant heuristic stereotype of the 'student professional as a-sexual being'): Bianconi (13107), Rocheblave-Spenle (3023), Berger (13105), Sysihaiju (4038), Sommerkorn (3928), Kanda (4054), Gerstein (3966), Brentano (1551), Wright (8209), Perucci (3622), Ginzberg (3351), Kammeyer (3465), Stedman (3740), Sermul (3716), Simmons (3727), Davis and Olesen (3262), Towle (12755), Niebuhr et al. (12650). Embedded in these heuristic perspectives bearing on the totality of socialization cycles are the paradigms related to the individual dimensions, phases and stages of this universe of cycles. The research tradition of symbolic interactionism influenced certain variously formulated and defined paradigms related to the sociological theory of the 'self' and its relationship with significant 'others' or 'reference persons', which appear in numerous studies dealing with the emergence and development of professional identity and with individuals' identification with their subjects of study or with their professions: such conceptualizations are those of 'self-esteem', the 'self-concept', the 'selfimage', the 'professional self', 'self-attitudes'', 'self-awareness'; further studies deal with 'self-concept and expectations' with respect to 'others', to roles, to status etc. (82) (cf. Kuhn, 3488; Tomich, 3803; Quarantelli and Cooper, 3653; Miyamoto and Dornbusch, 3563; Kosa et al., 3480; A. J. Davis, 14144; Adamek and Goudy, 3127; Lortie, 3509-3510; Warren, 14470; Krulee,3485; Couch, 3248; Fuster, 4233; Searles, 3709; French et al., 3338; Stolar, 3870; F. Davis and Olesen, 3261; Tiedeman, 14452; Super, Tiedeman and Borow, 3777; Brookover, 3202; Gruen, 3384; Vaillot, 12764; W. D. Simmons, 3727). Paradigms such as that of the 'personal drama' (Hughes),'awareness of self-awareness' (Olesen) or of the'inner dialogue between public and private selves or among former, present andfuture selves, or again of the'private or inner world' with its 'multiple realities' that cannot be tied to institutions or to present phases and situations - all summed up in the paradigm of 'subjective socialization' (83), have been developed by writers oriented 293

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towards phenomenological and existential sociology (e.g. F. Davis, Olesen, Whittaker and Simpson under the influence of A. Schiitz), in an attempt at a sympathetic understanding of subjective developments in connection with developmental phases, rôles and networks of reference persons, with regard to students and professional people. Often this work remains in the pre-theoretical stage of empathetic understanding (cf. Vaillot, 12764; Niebuhr, 12650). From here, there are heuristic and hermeneutic connections leading on the one hand to conceptualizations of the intrinsic factors (e.g. 'pleasure in mastery', 'competence') in learning and in socialization, envisaged in terms of social psychology and the psychology of personality (e.g. R. W. White, 8197); and on the other hand to critics of 'reification' and 'fetishism' of the intellect in the academic milieu set up by capitalism. These writers are oriented towards the Marxist critique of alienation, but to some extent they also argue in phenomenological terms (cf. the paradigm 162 as expressed in the imagery used in: Yaneigem, 12255, Debord 12057 and the critical pamphlet 'De la misère en milieu étudiant' of the situationists). Paradigms operative here are that of the threatening totalitarian 'spectacle' of a one-dimensional society and of the ideological and psychological 'pauperization' or stupefaction of the student (cf. 162). Mention should also be made at this point of the attempts made to develop a sociological theory of an ego-identity or of a personal identity separate from rôle playing (84)1. With their empirical approach, these attempts are to some extent related to the situation of individuals vis-à-vis complex rôle systems and constellations of reference persons in connection with academic and professional institutions and studies (Davis and Olesen, 3261 ; Krulee et al., 3485). These empirical approaches impinge to some extent also on attempts to 'operationalize' paradigms from egopsychology in a sociologically reductionist way (cf. e.g. Hershenson, 3430). Complementing these identity paradigms are the paradigms of 'nonidentity or of 'spoiled identity' (85) (e.g. Uyeki, 1478) as well as the symbolic interactionist or phenomenological versions of the 'alienation paradigm' (86) which, in contrast with the cultural anthropological or the system-oriented and functionalist alienation paradigms (cf. 24), also take 1. E. Goffman, Stigma. Notes on the management of spoiled identity. Englewood Cliffs, N. J., Prentice-Hall, 1963. A. L. Strauss, Mirrors and masks. The search for identity. Glencoe, 111., Free Press, 1959.

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into account the alienation of the individual from already internalized elements of his personality, or alienation as between different self concepts or self images (cf. Couch, 3248; Whittaker and Watts, 3851; and also the sociological elements of the alienation model in Keniston, 3103). On the level of the so-called micro-mechanisms that the individual selfawareness (e.g. the concept of its own split off former self) has at its disposal by way of testing or mastering strategies over against 'significant others', may e.g. be mentioned the paradigms of 'self-testing' (87) and of 1 self-ratification' (88), which have been tried out in relation to student socialization situations (Olesen and Whittaker, 42, pp. 137 ff. and pp. 201 ff.). These mechanisms are understood as the internal, subjective aspects of the testing and ratification of newly learned expressive and instrumental skills in interaction with significant other persons in the same rôle set. Next come paradigms that analyse the relationship between the ego/self/person to rôles and to significant reference persons in rôle constellations related to the learning situation of students and young persons with academic training, adopting for this analysis, a symbolic interactionist or a phenomenological and existentialist sociological perspective; these refer to the process of rôle assumption, to behaviour towards and in rôles, to rôle rejection and to the internal predicaments that result for the individual out of rejected, unclear or contradictory rôle demands: With regard to the process of the approach to rôles and their actual assumption, the above mentioned paradigms of 'role-expectation' and of the congruence or dissonance between an individual's expectation or preconception of a role and the definition of that rôle as demanded or successfully imposed by significant dominant reference persons (89) are of importance (Super et al., 204, 3777; Stedman, 3746). Among those writers who do not construe them in a functionalist way, they are frequently linked with paradigms that also take account of the individual's conscious or unconscious impulses and motives - a potential extending from the individual's drive-dynamics and -building up from these - from the social and ideological state of affairs as perceived and processed inwardly by the individual (cf. e.g. the paradigm of the 'incentive situation', 44). The key paradigms of the symbolic interactionistic view of rôle assumption are 'commitment' (90) and 'identification' (91). The paradigm of 'progressive commitment', the gradually advancing internal involvement with or even domination by a professional identity was first more closely 295

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defined by Howard S. Becker (1231). Becker is concerned particularly to distinguish this paradigm from that of 'occupational choice' (92) as formulated by Ginzberg et al. (3349), in which this process of professional rôleassumption is seen as an act of decision making resting on a coincidence of personality needs and social values. For Becker, what has to be emphasized is the 'progressive step-like character of commitment development', which he sees as a 'progressive limitation of available alternatives' (1231, p. 76). With this there frequently goes the assumption that the degree of so-called 'tentativeness' (Tiedeman, 14452) or 'gradualness', the phased process-like character of professional rôle choice and rôle assumption is the higher the more highly qualified the rôle demands are (in terms e.g. of prior training or of the capacity for independent judgement). (For the commitment paradigm cf. in addition the studies of Geer, 12500; Tiedeman, 14452; Krulee, 3485; Goldner and Ritti, 3361). Keniston (1353) has applied a variant of this commitment concept to the process by which the rôle of political activist is assumed by members of the left wing student movement. The second paradigm, that of 'identification' (91) has been defined by Becker and Carper (3168), following Foote 1 , as being (in relation to identification with some form of 'work' - in this case that of physiologists, philosophers and engineers) similarly a gradual, subjective developmental process. It is moreover a process needing continual cyclic confirmation or ratification if it is not to be lost sight of. (Cf. Adamek and Goudy, 3127). Common to both these last overlapping paradigms is the concept of a professional rôle situation that is never finally rounded off, at any rate in the more highly qualified professions - a marked contrast to the structuralist and functionalist paradigm of the 'true professional' as the 'finished product' of an institutionalized and delimited socialization phase. A still more differentiated process paradigm of rôle assumption in professional socialization, based on the case of university training for nurses, has been developed by Olesen and Whittaker (3597). This makes possible a still more intensive analysis of interferences between subjective socialization (the internal 'silent dialogues' on the part of the individual) and professional rôle socialization in the symbolically mediating interaction that takes place with 'significant others' exercising sanctioning functions within the rôle set. A distinction is made between 'role-claims' (93) made 1. Nelson N. Foote, 'Identification as the basis for a theory of motivation'. Amer, sociol. R. 16, Feb. 1951: 14-22.

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by the 'socializand' - the tentative claim to be exercising the rôle 'correctly' - and two moments of the 'ratification' (94) of this claim by significant reference persons with sanctioning functions. The first of these ratification moments is 'legitimation', envisaged as a phased process that is never finally completed, made up of the officially institutionalized 'agenda for legitimation' with its terms, examinations and graduations, and the 'personal time schedule' that the socializand tries to reconcile with the former, in ever changing compromises, through personal 'pacing' and 'pacemaking' (e.g. by lengthening or interrupting his or her course, by moving to another locality, by changing school or employer). The other ratification moment is the constant cyclic process of 'adjudication' (Olesen and Whittaker, 3597), so that the person seeking legitimation is permanently 'on trial' in both senses of the word 1 . The authors speak of 'the continual refereeing and negotiating of the minute face-to-face transactions between students and faculty on the technical refined aspects of rôle performance as nurse. It leads to legitimation, for only in what Schutz has called the 'vivid presence' of the other, or being face to face, could the students come to truly incorporate the rôle of the other and thus emerge as student nurses.' (Olesen and Whittaker, 3597, p. 202) 'Adjudication', again, is likewise understood as a parallelism of '/ace to face interaction cycles' (as components of external rôle socialization) on the one hand, acting with a socializing effect, and on the other hand as 'cycles of self-ratification' in internal dialogue (as components of subjective socialization or of a search for the ego-identity). In this process, cyclic acts of 'self-testing' mediate in an initiatory and spontaneous way between both levels or 'theatres' of adjudication - a paradigm related to that of 'reality testing' in psychology (cf. Kubie, 8110-8114). In difficult participant and engaged observations and depth interviews, Olesen and Whittaker (3596) and Davis (3264) have in addition attempted to elucidate the symbolic media of the 'micro-cyclic adjudicatory interactions', e.g. expressive gestures or laughter, right down to the (negative) 'adjudicatory language' of uncomfortable silence. In this paradigm complex, therefore, the essential dimensions of symbolic interactionist and of phenomenological socialization theories have taken a particular vivid form: interferences between subjective socializa1. Cf. in German the use of the term for 'acquittal' (Freisprechung) when an apprentice to a trade is initiated as a journeyman; and cf. in English the middle voice expression 'to acquit one's self' in a rôle situation.

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tion and rôle socialization in the rôle set of significant other persons; the test acts initiated by the internal self-dialogue; and the socializing microcycles of symbolic interactions together with their symbolic media. Following E. GofFman's studies on rôle distance in face to face encounters, Olesen, Whittaker and Davis (3261, 3597, 1285, 14346) have similarly suggested two important paradigms for studying people's behaviour vis-à-vis rôles they have assumed. The first of these paradigms is that of 'fronting' in rôle play, a form of 'rôle simulation' or 'rôle masquerade'' (95). It expresses both the permanent rôle distance that a self adopts, and also a necessary stabilizing mechanism of institutionalized rôle socialization and rôle constellations - the tacit agreement to 'act as if' every member in a rôle set identifies himself with his rôle, mastering it and understanding it 'normally', with the subjective function of suppressing 'rôle anxiety' (anxiety over the prospect of failing in the demands of a rôle, or over the contradictions in the rôle, or over being separated from it). At this point, the limitations of phenomenological socialization theories become inescapably obvious. Criteria for determining what causes rôle anxiety and rôle simulation to appear, or for what causes differences in the extent to which they appear, are lacking, since both the sphere of drive dynamics and also that of the societal structures historically associated with this - spheres where these causes are rooted - have been eliminated from the phenomenologists' horizon. The second phenomenological paradigm bearing on rôle play is that of the 'psyching ou? (96) of the rôle behaviour signals of significant other persons in conditions of 'uncertainty' or 'ambiguity (97) as well as of 'contradictoriness' (98) in the rôle demands and the rôle conceptions of the significant other persons (whether these are in authority - teachers, superiors, older colleagues - or a man's equals) ; including as a relevant condition that of 'faction formation' e.g. among a person's teachers or superiors with relation to the rôle conception. This paradigm is particularly appropriate for the open and conflict-laden rôle definitions in many processes of higher education and in academic work processes. But like the paradigm of 'rôle masquerade', its effect, arising from its phenomenological limitations, is that of suggestively confirming mechanisms of stabilization and suppression in socialization and rôle constellations whose organization is in terms of a domination structure. It does no more than describe 'empathetically' the strategy that prevents a collapse of the rôle masquerade to which all sides are party, and it presupposes as natural a subjection of the 'socializand' to rôle demands that are 298

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tendentially contradictory, unclear and liable to be misunderstood, that may even, in the limiting case, be no longer approved of by any member of the rôle set, and yet, while alienated from their subjects, hold them in their sway as an uncomprehended but in a phantom like way 'normal' power. It is characteristic of this implicit tendency on the part of the socialization theories of symbolic interactionism and of phenomenology to confirm existing social institutionalizations, that paradigms of rôle refusal, rôle destruction and rôle making occur only in isolation and without much differentiation - e.g. the paradigm of 'rôle resentment' (99) in Uyeki (1478). Even then, a subjectivist short cut makes this appear as an emotional disposition whose consequence is that of 'spoiled identity', and nothing is done to take up the question of interaction strategies and cycles of rôle refusal and renewal and their collective accumulation in social movements for revolutionizing rôle systems (cf. for a similar critical review of'rôle theory as cultural bourgeois concealment theory' Claessens, 12046 and P. Furth, in: Das Argument 66, 1971). Paradigms such as 'adjudication', 'ratification', 'psyching ouf and 'rôle resentment' express partial aspects of a heuristic model that has been worked out by Howard S. Becker et al. (3170, 3171, 14088) in cumulative theory forming investigations into socialization and the formation of subcultures among students. This is the 'perspectives' model (100), dealing in terms of the attitudes that individuals (particularly those involved in processes of socialization) share with respect to the definition of their situation, the activities they engage in according to these attitudes, and the criteria for judgement; underlying all this is the dichotomy between 'long-term generalized goal perspective and immediate perspective'. According to Becker and Geer (12385), such 'perspectives' are the most important component of 'latent cultures' with 'latent social rôles' (101), the concepts and values of which individuals import from their previous developmental and socialization phases into their current rôle situation - in the same way as the theory of the self in phenomenological and existential sociology has concepts of the 'former self' project into the present. As an example of such shared perspectives among socializands, Becker et al. have made a particularly intensive study of the so-called 'GradePoint-Average (GPA) Perspective' among students. They envisage the perspective paradigm as being at the same time a presupposition of the special 299

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heuristic model of 'studentmanship'1 (102) (Becker et al. 3171, 14088; Olesen and Whittaker, 3597, ch. VI) - a form of student underground behaviour the goal of which is to mediate the interest students have in the life goals that studying makes accessible for them, with the interest they also have in enjoying a pleasant student life that taxes them as little as possible - a special case of the mediation of long term and immediate perspective. In generalizing terms, Becker et al. point out that this 'Gamesmanship phenomenon' almost always occurs in situations of submerged or hidden resentment behaviour in serial and collective socialization phases, and that in the process the socializands' subculture sees to the transmission from one generational band to the next of the techniques and strategies of 'socializee-manship'. The constituent partial paradigms of the 'socializee-manship' model can therefore be seen to be the following: a) on the side of the socialization authorities and powers: 1. 'uncertainty' (or 'impurity'), 'ambiguity (97), and the possible 'obsolescence' of rôle definitions - particularly in more highly qualified professional spheres, in which room is found for a high proportion of extra-functional moral skills and values; 2. 'contradictions' and 'factionalism' (98) among the socializing authorities or persons as to rôle content and/or socialization techniques; 3. the cycles of 'ratification' (94) (through legitimation and adjudication) in interaction with the dominant sanctioning agents of socialization; and b) on the side of the socializees: 1. 'psyching out' (96) and 'fronting' (95) as active but submissive strategies for coming to terms with a)l. and a)2.; 2. 'discount' (103) defined as emotional detachment from, or defence against, an intensively dominant source of influence - a paradigm first designed in investigations into attitudes of emotional defence on the part of individuals against emotional dominance (to the point of absorption) by mass media (Bushnell, 10083; Olesen and Whittaker, 3596, 3597), and with which the paradigm of 'selective neglect' (cf. 70-(2)) is related; 1. A formulation that owes much to Stephen Potter, The theory and practice of gamesmanship or the art of winning without actually cheating. New York, Holt, 1948; a heuristic model of 'gaming' in the setting of transactional analysis therapy has been developed by Berne (19025) and illustrated to some extent by reference to the interaction of professional and client. 300

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3. cycles of 'ratificational interaction' with reference persons and groups made up of other socializands (94) whose sanctioning approval in terms of 'gamesmanship' is to be gained - a sociological heuristic concept of the formation of subcultures among socializands; 4. Spacing' and 'pace-making' (104), particularly in the mediation of professional and sexual rôle socialization and developmental socialization, as a possibility of escaping temporarily, in particular life cycle situations, from rôle socialization demands thatare becoming overpowering. Extreme situations and strategies of studentmanship,finally,are on the one hand 'cheating' (105) (cf. in this connection conceptualizations in Bowers (3193) and Bonjean (3191) and on the other hand calculated dropout or withdrawal (106) with the intention of continuing to study later. But as with the phenomenological paradigms of the behaviour of the ego or self to rôles, the studentmanship model of Becker and his associates remains within the framework of conceptions about basically submissive subcultures among the inmates of a socialization institution, who have for functional reasons temporarily been subjected to this regime. Not until recently, with Keniston (12574), has an attempt been made to bring together phenomena of non-commitment among students into a paradigm of a students' 'counter-culture' (107). 2.2.3 Social psychological concepts The boundary separating sociology from social psychology has, in research into socialization as nowhere else, become fluid if not indeed obsolete. In what follows, we shall be listing social psychological paradigms, other than those belonging to the theoretical tradition of symbolic interactionism, that have become of particular relevance for research into students and persons of academic training. These paradigms are derived from behaviourist social psychology, revisionist psychoanalytical theories or from Gestalt psychology, or are located between these different theoretical directions. Their research fields are manifest intellectual attitudes and orientations; personality dispositions; personality development; group dynamics and orientation in terms of reference groups; the genetic ecology of changes in attitudes and personality dispositions in the sociopsychological environment; the impact or influence of social background, teachers, student peer-groups and other reference groups; and the long term persistence of, or change in, attitudes and personality traits among university or college alumni. 301

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2.2.3.1 Attitudes and personality development A considerable number of empirical studies of the development of students and alumni are based on social psychological paradigms of'attitude' (105) and especially of 'values' - i.e. clusters of attitudes referring to the notion of what is considered 'desirable' - , of'life goals', or of'education goals'. We can here make reference only to the most important attempts at operationalization and survey instruments in connection with these paradigms, which have been used and further developed in investigations into students because of their easy availability as subjects: Allport-Vernon Study of Values (1931); Allport-Vernon-Lindzey Study of Values employed by, among others, Lehmann and Dressel (3500), Brazziel (3200), Tyler (3813), Watts and Whittaker, 73842, Dua 3296-7, Marsland and Bocock (3904); the Inventory of Beliefs (Dressel and Mayhew, 3295; Ikenberry, 3455; Lehmann et al., 3501; Stern, 3757-8; Bradley, 3197; Cummins, 3256), Differential Values Inventory (Ikenberry, 3455; Cummins, 3256; Bradley, 3197; Lehmann et al., 3501), Cornell Value Study (J. A. Davis, 3273), as well as certain less frequently used scales of attitudes and values - McCloskys Conservatism Scale (Levitt 3503), R. E. Bill's Index of Adjustment and Values (Wright, 8208; Gruen, 3384), Greenberg's Integration Attitude Scale and Tumin's Image of the Negro Scale (Larson et al., 3492), Morris Value Scale (Misumi and Ando, 4069), Todd's Vocational Goal Questionnaire (Todd et al., 3802). Social psychological studies of personality dispositions among students and alumni are dominated by the various different conceptualizations of the fundamental dichotomy whose terms are, on the one side, authoritarianism, ethnocentrism, stereopathy, dogmatism and intolerance and, on the other side, non-authoritarianism, openness, tolerance, critical thinking and aestheticism (106) (cf. Stern, 3757; Feldman and Newcomb, 10089, pp. 30ff.). Instruments that attempt to operationalize these paradigms are in particular the F-Scale1 (Sofer, 3735; Plant, 3632-4; Golden and Rosen, 3360; Barker, 3160); the Inventory of Beliefs Revised Form T, with its differentiation among the different types of the authoritarian, the anti-authoritarian, the rational (non-authoritarian) and the irrational (switching from anti-authoritarianism to authoritarianism): Stern, Stein 1. Cf. Th. W. Adorno et al., The authoritarian personality. New York, Harper, 1950; R. Christie and M. Jahoda, eds. - Studies in the scope and method of'The Authoritarian Personality': Continuities in social research. Glencoe, 111., Free Press, 1954; Roger Brown, Social psychology. New York, Free Press, 1965.

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and Bloom, 3759; Ikenberry, 3455; Bradley, 3197; the Dogmatism Scale of Rokeach 1 , which has as its basis a more abstract syndrome of 'closed belief systems' with an ideological tendency to either left or right, in contrast with the historical syndrome of right-wing radicalism and fascism as in the F-Scale (cf. inter alios Ikenberry, 3455; Lehmann and Dressel, 3500; Cummins, 3256; Marsland and Bocock, 3904); and the Social Maturity Scale from the Omnibus Personality Inventory (OPI, 3599) (cf. Flacks, 3328; Heist, 3430; Medsker, Trent et al., 7112; Tyler, 3813). Other paradigm variants refer to the sphere of inter- and intrapersonal adjustment, with the dimensions of autonomy; femininity; achievement; sociability as well as 'psychological well-being' (cf. the survey in Feldman and Newcomb, 10089, pp. 32-36, as well as Sanford, 8161-2; Lief et al., 19077; Tussman and Suczek, 3812). In particular the paradigms of'achievement motivation' (108: Atkinson and O'Connor, 3155, 3590; Murphy et al., 3568; Ch. C. McArthur, 3530; Burnstein, 3213; McClelland et al., 3015, 3533, 3531; B. C. Rosen, 3686; D. R. Brown, 3211; Harris, 3408; Stivers, 3761-2; Strodtbeck, 14047; P. O'Connor et al., 3589-90; Heckhausen, in: 10135) and of the 'deferment of gratification" or 'postponability (109: Lysgaard, 3512; Schneider and Lysgaard, 3705; B. C. Rosen, 3686; Caro, 3223; M. A. Strauss, 3764; Eckland, 7073; Lane, 3491; Javillonar et al., 4271; D. L. Philips, 8153) have also been used and exemplified in studies of personality dispositions among students, academics and alumni, although there is for the most part an absence of any attempt at mediation with the kindred sociological paradigms that endeavour to penetrate the specific socio-psychological milieu situations in academic institutions and careers - e.g. with the paradigms of the longterm (as against immediate) 'perspective' of students, with 'studentmanship', with 'relative status deprivation', with 'progressive commitment' and with 'identification'. Approaches to sociological and to psychological investigations of socialization tend, in the sphere of secondary socialization in the academic professions and among students, to go separate ways (cf. criticism in this connection, and the suggested research programmes, in Levinson, 1365, and Bay, 1228). A kindred set of paradigms to this group concerned with personal adjustment are the various conceptualizations of'maturity and maturatiori (110) among students in late adolescence: cf. Sanford, 1444, 8161; 1. M. Rokeach, The open and closed mind: Investigations into the nature of belief systems and personality systems. New York, Basic Books, 1960.

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Freedman, 3337; Webster, Freedman and Heist, 3845; Coelho et al., 8045; R. W. White, 8196; Heath, 14007, 14232-3; Chickering, 14123; Feldman and Newcomb, 10089, pp. 346 if. With these again are connected, in the field of social psychology, the paradigms of adolescence, especially that of 'socio-genetically prolonged adolescence' (111) and the repercussions this has on personality development; this paradigm is discussed by Musgrove, 1517; Erikson, 8001; Bios, 8030-1; Habermas, 1569; Sanford, 8161; Webster, Freedman and Heist, 3845; Douvan et al. 3290-2. The paradigms of the 'freeing of impulses' (112) and of increased 'flexibility' (113) in the ego-functions, as moments of the maturation model, are analysed by Webster, Freedman and Heist (3845), Sanford (8161, 8162), Tussman and Suczek (3812), and R. W. White (8196). Many of these adolescence and maturation models have been influenced by theorems derived from revisionist psychoanalysis, in particular by the identity paradigm (114) of Erikson (8001, 1264) (cf. Wedge, 8191; Cohen et al., 8047; Namnum, 8139; Hershenson, 3430; Hodgman, 8099; Silber et al., 3167; Krulee et al., 3485; Blaine, 19030-1; Chickering, 14123). It is, however, a matter for controversy whether Erikson's identity formation model, and specifically the 'moratorium' phase (115) that is frequently associated with the period of study, is at all applicable to the age range of most students and to the structure (in terms of social psychology) of the period of study (cf. the criticisms found in Braiman, 8038; and Dorner, 18, p. 118). Another source of influence emanating from revisionist psychoanalysis is the so-called ego-psychology of Heinz Hartmann, Anna Freud and Rapaport with their paradigms of 'ego-strength' (116) and of egostrengthening stress experiences (cf. Barron, 8022; Hollister, 8100; Wedge, 8191; Namnum, 8138; Bios, 8030-1). For the influence these paradigms have had on the practice of psychiatry in universities and colleges cf. below, Section 3: 'Psychic conflicts and disturbances ...', pp. 347-9. The heuristic model of the' interaction of ego-development and environment variance' with the goal of 'active adaption' (117) in Snyder (8171, 8173) has also been strongly influenced by ego-psychology. 2.2.3.2 Learning theory, socialization for competence and creativity The controversies that have raged in psychological socialization research between the dominant stimulus-and-response type of learning theory (118) 304

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and theories of intrinsic learning1 (119) have also exerted a long range influence on the field of the secondary socialization of competence and achievement-oriented behaviour in connection with academic institutions. Strong accentuation of intrinsic factors in the field of secondary socialization as well - factors such as pleasure in mastery, self-esteem, striving for competence, satisfaction in interpersonal competence (R. W. White, 8197) - can readily be connected with the paradigms of ego-strength (116), of the freeing of impulses (112), and of the self-theorem (82) : subjective socialization (83), ego-identity (84), self-testing (87) and self-ratification (88), rôle resentment (99) and discount (103). By contrast, it is from the still dominant extrinsic learning theories - emphasizing 'social reinforcement' (74), 'social conditioning' (120), learning through 'social anxiety' (75) and the 'stimulus-response-model' (121) (cf. Abrams, 19018; Siemienski, 4132; A. Davis, 3260; A. W. Astin, 3139-53) - that one can derive the heuristic paths leading to the paradigms of 'achievement motivation' (108), of the 'deferred gratification pattern' (109), of the 'long-term student perspective', of 'rôle-simulation' ('fronting', 'psyching out'), of 'extrinsic ratification' through dominant, approval giving (or withholding) significant other persons, of 'negotiated learning' and of 'rôle habitualizatiori (or 'routinization') (28) and finally 'rôle modelling' (58). By contrast again, in the sphere of more highly qualified achievement behaviour and of creativity - a research field coinciding largely with research into personality aspects and the environmental situation of 'highly gifted' students and of 'productive' researchers - the dominant theorems are on the one hand those influenced by psychoanalysis and ego-psychology, and on the other hand those derived from theories of cognitive and intrinsic learning, (Cf. Freeman et al., 10020; Heist and Tallman, 10094; Ullmann, 10119). Six approaches towards the conceptualization of creativity may be distinguished: 1. Creativity as free association based on the pre-conscious, or as imagefree, emotional thinking, accompanied by flexibility in behaviour and interest and high impulsiveness, seen as a polar opposite to the ubiquitous neurotic processes at work in our culture and its educational system, with its one-side tendency to favour conscious, intellectualist thinking (Kubie, 8110-8114, and to some extent also Heist, in: 12530) (111). 1. Cf. in this connection the survey by M. Brewster Smith, 'Socialization for competence'. Items 19 (2), June 1965: 17-23.

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2. Creativity as an intensified conscious thought-fantasy, as creative cognitive style, encouraged by interaction with situations favourable to creativity (Getzels and Jackson, 14208; Taylor and Thelen in: 10104) (122). 3. Creativity as the highest measure of ego-strength, the result of harmonic and dynamic integration of personality, accompanied by a greater measure of vitality and soundness (Barron, 8022) (123). 4. Creativity as a more highly motivated learning for competence, or identification with a cause (to some extent identical with 'thinking introversion', cf. OPI Manual, 3599) whether or not accompanied by a completely harmonious integration of personality or by adaptive group participation (R. W. White, 8196; Mackinnon, 12617) (124). 5. Creativity as uncompleted socialization and as a 'hedonistic and liberal' attitude to life on the part of 'asocial' individuals, who can, however, become intellectually effective in favourable constellations of historic social structure - a paradigm drawn from historical sociology and revisionist psychoanalysis (L. Feuer, 1047), echoed in another formulation, namely as an active form of social alienation, in studies by Keniston (8103), J. Katz et al. (3468, 14273) and Bay (12289) (125). 6. Creativity as a relative dynamic adaptation of individuals to different creative tasks demanding, each in its own terms, varying creative solutions and therefore differing cognitive and emotional styles (e.g. a tolerance of ambiguity among pure scientists, but a corresponding intolerance of it among applied scientists and engineers) - a functionalist and relativist heuristic model for analysing a large number of creativity situations in different social subsystems (Snyder 3734) (126). 2.2.3.3 Social psychological ecology One group of research paradigms can be summed up as coming under the heading of the research strategy of social and psychological ecology namely the attempt at a cumulative survey of the spread and persistence of personality dispositions, attitudes and activities in the various institutions, phases and subject and professional spheres of the academic educational and professional system. The methodology of such surveys is for the most part simple, based on statistical correlation, and thus admitting only pragmatic surmises as to causality or a genetic understanding of probable connections. Nevertheless, from them are frequently 306

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derived action strategies for administrators and teachers in universities or colleges, directed towards the 'experimental' varying of environmental factors - e.g. the formation of residential groups, the development of interdisciplinary curricula, acceleration of courses (cf. e.g. Morishima 14335; R. D. Brown, 14105, 14106; Davison, 14148). The various paradigms can, in turn, be assigned to different ecological levels: 1) The micro-ecological level of interpersonal relationships and informal small groups: the so-called mating-dating complex, relations among room-mates, friendships (Pace, 3610; Wallace, 3830; Orth, 3801; Flacks, 3328; Newcomb et al. 3583, ch. 11 and 12), cliques, and the sociometric 'networks' in dormitories, student groups and study groups; on this level are to be found such paradigms as - Nasatir's 'contextual analysis' (127) (for instance the analysis of dormitories, Nasatir 3570); - conceptualizations bearing on spontaneous 'informally structured small groups' based on congeniality or fellowfeeling, either within 'unprogrammed' dormitories (Claessens et al., 14570; Neidhardt, 3977) or in temporary task-oriented small groups (cf. Claessens, 12901) (128a); - paradigms of 'segregated vs. unsegregated living and residential situations', among students with homogeneous vs. non-homogeneous characteristics and social contacts. (Morishima, 14335) (128b); - group dynamic models in connection with 'peer groups', e.g. the contrast of 'psycho-group vs. socio-group' in Thelen (in: Street, ed., 14435 (129), and also Scott, 3707; Newcomb, 14344; Baur, 3163; W. L. Wallace, 3829); - sociometric paradigms ofparticipation, the acquaintance process, choice, attraction, propinquity (130) (Neidhardt, 3977; Newcomb, 3580; Scott, 3707; Bach, 3156); - experimental strategy paradigms, e.g. experimental room and room-mate assigment (131) (Alsobrook, 19021; T. A. Carter, 18047; Hall and Willerman, 3402; M. E. Murray, 14340; R. D. Brown, 14105, 14106, Davison, 14148). 2) The level of the perception of, and orientation by, ecological reference systems - a level mediating between micro-ecology and institutional ecology; here belong - the paradigm of environmental perception (132) (Lindahl, 3507); - paradigms of reference group theory: (cf. Siegel and Siegel, 3725; 307

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Newcomb, 14344; Spady, 14416; A. A. Davis, 3260; J. A. Davis, 3278 and Woodruff, 3471; Schein, 3701; Wallace, 3832; R. Turner, 3811; Seeman and Evans, 3711; Astin, 3143) as for example 'reference set' and 'reference cross-pressure' (133) e.g. as '/»areni-peercross-pressure' (cf. Britain, 14101); 'comparative reference group orientation' (134; cf. also paradigm 36); 'relative deprivation' (33) (cf. 'the campus as a frog pond', J. A. Davis, 3281, and the critique of this concept by Werts, 14480, 14439; Werts andWatley, 14481); finally, paradigms derived from the theories on 'aspiration and expectation' (135) and descending - from the research traditions shaped by Lewin, Festinger and Sears (cf. O'Dowd and Beardslee, 3591; Herriot, 3435; M. A. Strauss, 3764; Caro, 3224; Harada et al., 4052). 3) The complex heuristic models and supplementary paradigms that refer to the social and psychological ecology of whole universities and colleges and their alumni, as well as those bearing on supra-regional comparative studies as between universities or colleges and on comparative studies as between different subject and professional spheres; the paradigms involved here are concerned with the strategy of environmental research, and include - the paradigm of the 'impact' (136) exerted by 'psychological environments' (137) or by the psychological traits and dispositions of sectional groups (university or college teachers, the student body in general, sectional groups among students) on changes in attitudes, personality traits and on achievement among students, their teachers, and alumni; - the paradigm of the 'persistence' (138) (cf. Feldman and Newcomb, 10089, chapter 10) of this 'impact' over several decades among alumni; - the 'input-output' model (139) (Astin and Panos, 330); - the heuristic base model of the 'dissonance or congruence between personality needs and environmental press' (140), that determines the cumulative research activity in this connection in the USA. Complex conceptualizations bearing on the further operationalization of this last-named 'need-press dissonance/congruence' paradigm have led to an accentuation of two different aspects: 1) the so-called 'subjective image approach' in the assessment of psychological environments (141), the survey instruments of which are the Activities Index (Bloom et al., supported by the Human Resources Research Institute of the U. S. Air Force; Stern, Stein and Bloom, 3759) for the measurement of 'needs'; and the College Characteristics Index 308

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(CCI) for the measurement of 'press' (Stern et al. 3759; Pace and Stern, 3754; Stern, 3756; Pace, 3610; Thistlewaite, 3793; Raab, 3654), the conceptualization of which goes back to the approach to personality theory associated with the name of Murray (8137); and 2) the so-called 'stimulus-response approach' in the assessment of psychological environments' ( 1 4 2 ) , with as its survey instrument the EAT (Environmental Assessment Technique) based on the learning theory model whose components are induced stimulus - reduction of tension - new equilibrium and personality change - new induced stimulus (Astin, 3139— 53). 2.2.4 Concepts of educational theory A review of the phenomenological or analytical heuristic paradigms already listed will confirm what we have already stated as an assumption, namely that, in many respects, they either embody or at any rate are oriented towards latent paradigms of communicative practice (and in this context this almost always means pedagogic practice), or else latent paradigms bearing on strategies of social engineering. In this connection it is possible to list three ideological and epistemological trends that can each serve as a focus: 1. intellectualist, subjectively idealist and existentialist paradigms with, in turn, two perspectives: a welfare-state type of liberalism that stresses the principles of a critical and rationalist enlightenment, and a conservative cultural criticism that seeks to defend individual freedom against mass society; 2. naturalistical and idealist paradigms that idealize certain assumed tendencies springing from drive dynamics and advocate their more consistent development; 3. functionalist and 'anti-ideological' neo-positivist and technocratic paradigms related to socio-technological concepts of learning. The first group includes in particular paradigms whose point of origin is the individual's structural readiness to be changed through conscious cognitive processes, or through induced attitude change, in accordance with the educational ideals of liberalism or of cultural criticism ('liberal education', humanistic education) (Sanford, Trow, Jacob, Dressel, Muyhew, Freedman, A. Strauss, Olesen, Whittaker, F. Davis and others). These include Riesman's typology of 'social character' (29); the various dichotomies of authoritarianism, intolerance, dogmatism on the one side 309

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and non-authoritarianism, tolerance, critical thinking on the other (106); the 'value consensus' model (26); the paradigm o f 1 cultural sophistication1 (143) in students' personality traits and attitudes; the implicitly normative concepts, founded in 'existentialist sociology', bearing on 1 self-awareness' (81) and the building up of an 'ego-identity' (84). Along with the lastnamed paradigms must be considered their associated instrumental concepts or 'precepts' bearing on 'self-education' or 'self-testing' (87), 'selfratification' (88), 'awareness of self-awareness' (83); and here we must include in turn the 'self-educational' concepts of 'fronting', of'role-masquerade' or 'role simulation' (95) and of role resentment' (99), the normatively pedagogic latent character of which can also be interpreted in terms of cultural criticism or of existentialist philosophy. Pedagogic elements are to be found in the conceptualizations bearing on the 'life plan' (20), 'life styles' (13) and 'life goals' (cf. 105), on 'long term perspectives' and on the 'deferment of gratification pattern' (109). They are found also in connection with idealizations of'sublimation' (144) or of 'ambivalence-tolerance' (145), conceived in terms of revisionist psychoanalysis or of existentialist philosophy; or again with models of'client-centred counselling' and 'student-centred teaching' (cf. Berdie, 8023) (146). To the second group - the paradigms whose starting point is the development, cultivation, liberation etc. of emotional qualities - must be reckoned those derived from revisionist psychoanalysis that are, at the same time, conceived as idealist therapeutic and pedagogic norms: Kubie's 'creativity' paradigm (121), the 'freeing of impulses' model (112), and the paradigms of 'maturation', of the development of 'identity' (Erikson, 8001) (114), of'ego-strength' (116 and 123) and of'active adaptation' (117 and 125) (Snyder, 8171), together with those drawn from theories of intrinsic learning (119). The functionalist pedagogic paradigms can often hardly be distinguished (even in their authors' conception) from instrumental strategies of social engineering whose aim is to carry through into practice some superordinate axiomatic or normative concepts by means of some form of action; this action, in its turn, may either prompt others to action, or it may intervene directly in their affairs; it is, moreover, understood as being 'technical' in character (i.e., as needing no form of reciprocal communication across mutually held - if possibly distorted - sense frameworks). There is, in a paradoxical sense, a normative pedagogic side to even those functionalist paradigms that derive support from an explicit or implicit 310

THE SOCIAL DYNAMICS OF ACADEMIC INSTITUTIONS

intention of criticizing ideology (in the sense of the neo-positivist concept of this) - for the intention of using liberal enlightenment in order to get people to behave in a functionally adaptive way vis-à-vis rule systems whose bias is to establish and to stabilize themselves and who will in the last resort tend to make enlightenment - even in the positivist sense - superfluous or allow it to become a suggestive type of therapy for unadjusted people. Thus, a neo-positivist critique of ideology and philosophy of science has been conceptualized by some writers in a form geared to some extent to communication and education: in Bell (1234), for instance, there is a strong accentuation of the learning processes through which the abstract, flexible, cognitive capacity to learn is supposed to be acquired ('learning to learn') (147) and in Topitsch (13080) there is an educationally operative development of the positivist conception of the 'freedom of science' (148). Functionalist concepts with an indirectly pedagogic and normative tone include e.g. the notions of 'visibility', 'measurability' and 'recognition' of achievement (41), respect for which itself appears as a 'functional virtue', being a necessary regulator; and the notions of contractual or functional 'compliance' (61, 63) and of the 'fully professionalized'' student (77). But even paradigms that do no more than phenomenologically delineate behaviour strategies in the microstrùcture of everyday life can imperceptibly take on a pedagogically functionalist nuance - e.g. the paradigm of 'rôle playing' or that of 'ratification' (94) through dominant reference persons. Moreover, even the difficult and apparently dysfunctional models of 'psyching out' (96), of 'rôle masquerade' (95) and of 'studentmanship' (102) can be read as pedagogic strategies for the stabilization of social systems through 'internal adjustment dialogues' preceding the behaviour pattern of'behaving', or else as self-organized 'adjustment publics' among subjected socializees, whose action has the effect of providing compensation and release. 2.2.5 Socio-technological concepts The transition from the concepts or paradigms of pedagogy or educational theory to those of social technology is admittedly a fluid one, but it is nevertheless possible for the latter to be formally identified, for instead of referring to the principles or strategies of communication (however indirect) as a form of (broken) intentional intersubjectivity between teachers and taught (or personnel and management), the concepts of 'social engineering' will predominantly either be aiming to exert specific desired 311

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influence on the behaviour and development of subjects, through manipulation of the framework of social organization or of the environment, or by devising extremely manipulative communication processes exploiting behavioural and drive mechanisms that are unknown or incomprehensible to the subjects or of which they are unconscious. The former category includes certain organizational strategies that use predictions about the subjective consequences of variations in the conditions of the organizatory framework to derive instructions for university administrations and political bodies as to the kind of action that will be best designed for avoiding, or for absorbing, unwanted psychological or cognitive reactions, capable of being politicized, on the part of their dependent subjects (students, scientific and academic personnel of firms and organizations). The diffuse, and if anything not much more than rhetorical, basic model of 'people processing' (12) expresses the notion ubiquitously found among university and college administrators that a smoothly flowing, undisturbed and continuous canalization of the streams of applicants, students and in due course alumni seeking jobs, through admissions, counselling and placement offices is already in itself a necessary strategy for maintaining the balance of complex academic and professional systems, since in fact it often takes a slowing down, a delay or a stoppage in this flow to bring to the boil disintegrative tendencies among the subjects that would otherwise remain latent. Another, already more specialized strategic paradigm has been imported by Schein (16250) from the heuristic rhetoric of market analysis and marketing and employed in his research programme at the Sloan School of Management at the Massachusetts Institute of Technology - the model bearing on the 'distribution and packaging of higher education' (149). This turns on an analysis of the subjective reactions to the 'stretching' of the 'selling' of clearly portioned off (or parcelled up) and attractively packaged qualities of higher education and training to cover the whole adult life cycle, analogously to the way whole life cycles are planned into the marketing of consumer durables (cf. also Pelt, 17261). Akin to this is the strong fixation that many structural-functionalist models of secondary socialization through relatively closed organizations show with respect to paradigms like 'chronological ordering' in which units of time are marked off (cf. 67 and 70), paradigms that give rhetorical support to inflexible planning models for universities and colleges, with rigid governing values for the duration and the detailed chronology of study ('structuring' as a 312

THE SOCIAL DYNAMICS OF ACADEMIC INSTITUTIONS

functionalist value in itself being analogous to frictionless 'processing'). Differentiated strategies for the guidance of students' and professional employees' horizons of status expectation are those of a'cooling out (150), developed by Clare (1269) in the train of E. Goffman 1 , and of'artificially created professionalism' (151). The former investigates, in a very differentiated way, the phases and the strategy elements (in terms of a suggestive behaviour therapy) that make up a guided process by which status expectations are lowered and abandoned ('soft denial') - the example taken is that of an American Junior College. The latter paradigm, of 'artificially created professionalism', is a model for the strategy of personnel policy analysed by Goldner and Ritti (3361); this is based on a substitutionalistic satisfaction of status expectations through functionless rituals (professional associations, titles, promotion ladders) that entail little expense and hardly cause any conflict about status and demarcation with established 'genuine' professions. Implicitly or explicitly, all the paradigms bearing on the social and psychological environment we have already mentioned (cf. 127-142) embody social engineering strategies for exerting a functionalizing and stabilizing influence on the social and psychological milieu of universities and colleges. These strategies include the organized varying of the 'input' (i.e. types of student and of teacher) or of the specific 'combination and aggregation of input factors'. Among the latter are room-mate assignment, variation of residential types, the pairing off of homogeneous or heterogeneous student types (or student and teacher types) in residential or working groups, the optimation of the tolerable distance separating students' social and psychological profiles and the social and psychological pressure of curricular programmes at the beginning and at the end of their interaction process. Other paradigms with an implicit or explicit social engineering component are the model suggested bySieber et al. (10114) for an optimation of the fusion of'pervasiveness' and 'scope' on the part of organizational norms and spheres of shared activity in university and college systems (64), as a means of promoting students' psychological adaptation; the model of the so-called 'transactional approach in admission' (152) (Chenoweth, 12417), which suggests, in the context of inter-institutional co-ordination of admissions policy, a strategy of an early preventive pre1. 'Cooling the mark out: some aspects of adaptation to failure'. Psychiatry 15, Nov. 1952: 451-63.

313

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sorting of students with different social and psychological profiles and belonging to different latent subcultures; and the model of 'advanced placement' (both at university or college and in jobs) {54), which is beginning to become the policy of many admissions and placement bureaus at American universities and colleges, and which pursues goals similar to the preceding model. By contrast with all this, social engineering concepts of the second basic type (cf. p. 303, above) - namely the intensive psychological and cognitive influencing of subjects by manipulated communication that is no longer intersubjectively comprehensible - are met within research into universities and colleges still less frequently than, say, in research undertaken in behavioural scientific terms into the 'subjective factor' in military formations and operations. Nevertheless, there are signs of militaristic heuristic importations from this sphere, the point of entry being studies into direct, organized contacts between academic and military systems and personnel. Examples are: Drysdale (16167), who applies strategy concepts of military 'procurement management' (153) to behaviour variables in the context of the recruitment of more highly qualified personnel for the U. S. Air Force; the researches by McGinnies (3017, 4065-67; 14040, 14705), under contract with the U.S. Navy, into experiments with carefully aimed ''persuasive communication' carried out with Japanese students who were dissatisfied with visits by American atomic submarines and with the American conduct of the war in Vietnam; and in addition Coward (12439: 'the political-military exercise as a teaching device in political science'); Farris and Thomas (14178) on public relations strategies under conditions of 'unprogrammed decision-making' by managers both in universities or colleges and in firms when confronted with student protests against recruitment agents for the armaments industry; and Janowitz and Little (12561) on 'basic education and youth socialization in the armed forces.' In America, the armed services and the intelligence agencies have promoted some of the social and psychological investigations into 'brain washing' and 'thought reform' (154) among intellectuals in specialized revolutionary re-education colleges in China; paradigms from here have become influential in theoretical discussions of intensive induced attitude changes among students (cf. Lifton, 4139, 4140; Wilkinson, 1124). Siemienski (4132) and French et al. (3338) have analysedpsycho-physiological as well as social and psychological factors in conditioning processes under conditions of social anxiety in the university and college environment 314

THE SOCIAL DYNAMICS OF ACADEMIC INSTITUTIONS

(155), without however deriving direct social engineering guidance strategies from this. Strategies for the reactivation of memory through hypnosis and suggestion in the university and college environment (156) have been developed by Mordey (19082), and the possibilities of chemical influence on the strength of memory (157) have been tried out in the environment of industrial research laboratories (cf. for a short survey on this Krech, 19074). 2.2.6 Concepts of the critical theory of psycho-dynamics and political economy There are certain paradigms that cannot be included either under the heading of the phenomenological study of subjective or objective appearances nor under that of the reductionist analysis of the covariance of isolated factors, with its latent social engineering implications. These are the paradigms derived from historical materialist critical thought - more specifically, from Marx's theory of labour value and, in particular, its aspect of'reification' 1 , as well as from the attempts of the early years of the so-called Frankfurt school of 'critical theory' to link the critique of the political economics of capitalism, in a historical materialist way, with the meta-psychology of Sigmund Freud 2 . Critical sketches oriented towards historical materialism and concerned with university and college education and academic professional work under late capitalism have attempted to develop the Marxian dialectics of the 'use and exchange value of labour' in the sphere of study and research (158) (cf. Habermas, 1569; Horkheimer, 1576; H. Marcuse, 1084, 12171, 12621; SDS 'Hochschule in der Demokratie', 13066; Nitsch et al, 1589; Lefevre, in 1549; Gorz, 1054; Stiebitz, 12237). Attention has been paid as well to the aspect of the 'moral wear and tear' ('moralischer Verschleiß') of what appear to be individually higher qualifications in the process of the utilization of capital (Janossy, 16037). Insight into the tendentially 'abstract' (i.e. exchange value) labour character of higher education under late capitalism has given rise to the political and practical agitation concept of the 'presalaire', the honorarium for study, or the student wage (159) 1. Cf. Helmut Reichelt: Zur logischen Struktur des Kapitalbegriffs bei Karl Marx (Towards an understanding of the logical structure of Karl Marx's notion of capital). Frankfurt, Europäische Verlagsanstalt 1970 for an epistemological distinction as between Marx's notions and those of bourgeois 'critical' social science. 2. Cf. in this connection esp. Herbert Marcuse: Eros and civilization. Boston, Beacon Press, 1955.

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- a notion that draws attention to the pre-capitalist and feudalist economic state of affairs according to which it is precisely the more highly qualified 'apprentices' that are made to do unpaid work and are even required to pay fees for doing their work (cf. Maleville, 1630; SDS, 13066; 'Travail Étudiant', 1639; Gorz, 1054; Nitsch et al., 1589; Huisken, in: 16322). The perspective of Marxian reification theory has enabled certain writers to illustrate paradigms bearing on the reification of living productive power in the intellectual sphere (160), this productive force being reified into capitalistically utilizable examinations and the 'subject matter' for these, or into research results or strategies for rationalization. These paradigms are linked with a historical materialist analysis of the mediation levels of these reification processes: the constitution of the specific academic and bourgeois 'character mask? (161) through the indoctrination of a seemingly individualistic attitude of competition; the parcelling up and atomization of ideas and knowledge; the hierarchical bureaucratization of intellectual collaboration and communication (Horkheimer, 12956; Habermas, 1569-70; Adorno, 12871-8; Nitsch et al., 1589; Bahrdt, 1546; Lefèvre, 1549). The aspect of the 'ideological andpsychological pauperization' of student life (and the accompanying mechanisms of subjective rationalization and compensation) (162) is particularly stressed by writers belonging to the 'situationalist international' (Debord, 12057; Vaneigem, 12255; 'Le Milieu Étudiant', 12180). And an illustration of present-day forms under which ideology (considered as objective appearance and false consciousness in the Marxian sense) can appear in the student environment (163) has been attempted by Habermas et al. (3968) by transposing data from an empirical enquiry among students into historical materialist conceptualizations of different images of society, and of different political habits types and political tendencies (164, cf. also 28) in students' consciousness (cf. in this connection also Friedeburg et al., 3965). Certain writers have connected the theories of historical materialism and Freudian meta-psychology with the interpretation of the results of empirical studies in sociology and social psychology in order to derive new critical paradigms bearing on an understanding of new tendencies in the relationship of drive structure and late capitalist society, paradigms that have become particularly significant for the self-understanding of student movements and for their discussions of political and practical strategy as they become politically emancipated. These are the following 316

THE SOCIAL DYNAMICS OF ACADEMIC INSTITUTIONS

paradigms, which in part complement and in part correct each other: 'repressive de-sublimatiori (H. Marcuse 12169, 12171), 'collective superindividualization and isolation' (Reiche, 19149), 'one-dimensional mart (Marcuse 12171), 'rigid functionalism and new immediacy (Hack, 1319; Reiche, 19149), the'technological ego' (Keniston, 8103,1353) and'realistic consciousness' (Habermas et al., 3968) (165). With these, as an expression of discussions of revolutionary strategy, are closely related the concepts of a new political-revolutionary morale (166) of practical emancipation. These may have two points of origin: some look to the - as yet insufficiently explained, in historical materialist terms - emergence of a qualitatively new kind of sensitivity towards oppression and exploitation among young people in highly developed late capitalist societies (Reiche, 19148; Marcuse, 12173-4); others start from trends in the higher development of productive forces giving rise to a new intensity of employee co-operation (167) among particular categories of more highly qualified workers, with the potential of a new class consciousness at 'critical' points in the production and domination system (Gorz, 1054, 13150; Hillmann, 12948-9)1. 2.2.7 Inventory of paradigms or concepts according to the structural levels of subjective developmental processes The inventory that follows, with the running numbers of the paradigms entered under relevant headings, is intended to provide a better overall picture of connections among the paradigms reported on in this survey of research into 'subjective factors'in the university and college environment. It assigns the paradigms to particular structural levels and mechanisms. 1. Connections between historical and subjective developmental processes: 10, 11, 17, 21, 26, 29, 125, 158, 160, 161, 162, 163, 164, 165, 166, 167. 2. Connecting links between social structure and subjective developmental processes: 5,6,9,22,23,24,25, 32, 33,34, 37, 38,39,40,41,42,44,44a, 51, 111, 134, 164, 165, 167. 3. Macro-structures of subjective development: 1. At this stage we are referring only to practical and critical concepts that contribute to an insight into the origin and the dynamics of subjective developmental processes. In connection with the objective conflict potential and the forms of political practice in the context of academic institutions cf. the survey of the literature in section 5.

317

INTRA-CULTURAL SUBJECTIVE DEVELOPMENT PROCESSES

I , 2 , 3 , 4 , 7,13,14,20,26, 29, 32, 33, 34, 35,42,43,44,44a, 48,49, 50,52, 55, 56, 57, 58, 59, 59a, 75, 76,78, 72,80,80a, 81, 82,83,84, 85, 86, 89,90, 91, 94, 97, 98, 100, 101, 102,103, 105, 106, 107, 108, 109, 110, 112, 113, 114, 116, 117, 118, 119, 120, 121, 122, 123, 124, 125, 126, 127, 128, 129, 130, 132, 133, 134, 135, 136, 137, 138, 139, 140, 141, 142, 144, 160, 161, 162, 165. 4. Micro-structures of subjective development: 15, 28, 58, 60, 70, 74, 87, 88, 93, 94, 95, 96, 103, 104. 5. Phases and divisions in developmental processes : 8, 18, 52, 54, 70, 92, 111, 115. 6. Interventions in developmental processes: 12, 36, 53, 54, 78, 131, 146, 149,150, 151, 153, 154, 155, 156, 157. 7. Framework conditions of developmental processes in terms of social organization: 12, 45, 46, 47, 51, 61, 62, 63, 64, 65, 66, 94, 127, 128, 129, 130. 8. Subjective developmental processes in connection with the life of the intellectual professions : 4,13,20, 32, 33, 34,35,36,39,40,41,42,47,62,69,77,80a, 126,138,151, 153, 160, 165, 167. 9. Norms and goals of subjective development: 19, 29, 30, 31, 71, 72, 73, 77, 82, 84, 97, 98, 105, 106, 107, 108, 109, 112, 113, 114, 116, 121, 122, 123, 124, 125, 126, 144, 145, 147, 148, 158, 166, 167. 10. Chronological structuring: 20, 67, 68, 69, 70, 100, 104, 109, 111. II. Deviant or crisis-laden subjective development: 22, 23, 24, 25, 34, 56, 81, 85, 86, 99, 107, 124, 125, 162, 165. 2.2.8 Epistemological and theoretical trends classified according to the structural levels of subjective development The overall summary just given enables us, in conclusion, to make certain statements about trends in the theoretical positions and disciplines that predominate in each of the listed structural levels or spheres : 1. Contributions to an understanding of the connections between historical and subjective developmental processes come almost only from cultural anthropology and historical materialism. 2. Analyses of the connecting links between social structure and subjective development have been made above all from the viewpoint of 318

THE SOCIAL DYNAMICS OF ACADEMIC INSTITUTIONS

3.

4.

5.

6.

7.

8.

cultural anthropology and structuralist functionalism (theories of stratification and socialization), to some extent also from that of delopmental psychology (111) and of historical materialism, but by contrast hardly at all from that of symbolic interactionism and of phenomenology. The macro-structures of subjective development have been the subject of paradigmatic studies from almost all theoretical directions, but paradigms from symbolic interactionism, phenomenology and developmental psychology have been particularly numerous, and writers from these fields have greatly increased their influence in the last decade. The micro-structures of subjective development have been, as might be expected, conceptualized most particularly by sociologists of the phenomenological school, by cultural anthropologists, and by learning theorists. Paradigms bearing on phases and divisions in developmental processes have been put forward particularly by functionalist sociologists (whose preoccupation is very markedly with rigid demarcation notions), but also by personality psychologists with an interest in psycho-dynamic developmental phases. Strategy concepts bearing on interventions in developmental processes have been developed above all by sociologists oriented towards structural-functionalist notions of organization and stratification, as well as by researchers oriented towards sociometrics, group dynamics and socio-psychological ecology. The field of study bearing on the framework conditions of developmental processes, seen in terms of social organization, is occupied almost completely by structural-functionalist sociologists, after whom come social psychologists oriented towards group dynamics and sociometrics. Subjective developmental processes in connection with the life of the intellectual professions have been approached from varied points of view - from that of structural-functionalist stratification sociology and social technology, from that of symbolic interactionist and phenomenological theoreticians of the relations of parallelism and totality holding among different socialization processes, and from that of cultural anthropologists and writers oriented towards historical materialism. 319

INTRA-CULTURAL SUBJECTIVE DEVELOPMENT PROCESSES

9. With regard to the norms and goals of subjective development the dominant paradigms are those from structural-functionalist sociology and those from the theory of personality (in particular, in this connection, by paradigms bearing the stamp of psychoanalysis and of egopsychology). 10. Paradigms bearing on the chronological structuring and the time perspective of subjective development have been put forward from very different theoretical directions - by cultural anthropologists, by sociologists belonging both to the structural-functionalist and to the symbolic interactionist schools, and by developmental psychologists. 11. Deviant and crisis-laden subjective developments have been conceptualized by cultural anthropologists, by sociologists of all theoretical schools, by revisionist psychoanalysts and by theoreticians of historical materialist orientation. In the above inventory, figures which are bold denote 'original' paradigms, developed specifically in the process of enquiries into subjective developments in connection with academic institutions and demonstrated as being particularly adequate there (or alternatively, paradigms which though imported from other research areas, have been demonstrated as equivalent or have undergone an original adaptation by processes of heuristic interference).

2 . 3 TOPOLOGY OF THE RESEARCH LITERATURE ACCORDING TO ECOLOGICAL AREAS

By comparison with the fields of research broached in chapters I and II, the research field we are concerned with in this chapter - subjective developmental processes in the context of academic institutions - is characterized by a much higher degree of specialization, with an accompanying isolation of a small number of factors and variables at a time, in a host of small research projects whose growth rate describes an exponential curve. One cause for this is the logic of the middle class academic achievement system in which 'collectivist super-individualization' (cf. in this connection the critical paradigms cited in III.2.2.6) pays off, effort being geared to the production of dissertations, articles in specialist periodicals and papers presented at specialist conferences. To some extent also, however, these small projects are initiated by a whole range of administrative bodies, of limited 320

T H E SOCIAL DYNAMICS OF ACADEMIC INSTITUTIONS

horizons, commissioning genuine or ritual data analyses in order to guarantee or to justify interventions at specific points in the business of'people processing' - such bodies are guidance centres (including vocational guidance), admissions offices, examination boards, commissions for the development of courses and curricula, planning staffs in universities or colleges and in ministries, associations of university administrators and student counsellors, organizations within the intellectual professions, and government departments. The quantitative growth and the fragmentation that these conditions bring about in the literature make it impossible (as we were still able to attempt with the quantitatively more limited body of research material on connections between social structure and academic institutions in chapter I) to assign the individual projects, in accordance with their relevance and design, a characteristic place in an ecological taxonomy of personal developmental processes. The following survey is therefore restricted to (1) a guide to the use of the systematic subject index in order to elucidate research into the ecological and structural aspects of subjective development in academic systems; (2) an assignment of the research paradigms identified in our survey to the subject index headings relevant to them; and (3) a few special bibliographical hints concerning research topics that could only with difficulty be elucidated through the subject index or through the survey of paradigms. 2.3.1 Ecological matrix and subject index of subjective developmental processes The aid of a simple 'ecological matrix' will facilitate the elucidation of research bearing on specific ecological and structural aspects of subjective developmental processes from relevant points in the systematic subject index. The matrix (cf. Figure 2, p. 322-3) is formed from the dimensions (1) phases of development and (2) factors and activities in connection with developmental processes. The first dimension comprises 14 developmental phases (I-XIV), including one structural mediating link (namely 'processes of interaction between teaching personnel and students') that should be regarded not as a phase of development but as a concomitant development. The second dimension comprises 18 factors and activities that exert influences on the developmental phases (a-s). It is possible here to make a number of distinctions: 321

INTRA-CULTURAL SUBJECTIVE DEVELOPMENT PROCESSES FIGURE 2 :

Chapters in the bibliography

D A2, C

B, E G B C

A3 B C E C F C, F B G B C F B C F C, D, F B, C, F B,C,F B, C, F B, C, F

Ecological matrix and index of subjective developmental processes Phases

No.

Factors and activities

economic Interventions: social technological legal therapeutic Goals and norms

a b c d e

f Organization and formal framework structure of developmental processes Development of achievement, g formal educational and professional biography h Subjective development Psychologically i disturbed development Groups and k subcultures of subjective development Social influences on 1 subjective development (in general) - Economic situation m - Cultural/racial background n - Religious background 0 - Social background and P status -Sex q

B, C, F - Family structures and problems B, C - Political conflicts

I n m School Transi- Begintion ning of from study school to university or college: choice of course, admission 4.4.2 4.5.1 3.1.4/3.9 3.1.4 2.4

3.4.4

1.3.2 1.3.3

1.3.2 1.3.3 3.1.4

IV Period of study: general and basic studies

V Period of study: professional studies

4.5.1 4.5.3 3.1.4/3.9 3.1.4/3.9 3.8 3.4.4 1.3.3 1.3.2 2.2/1.4.4 2.3 2.6/2.5 1.3.2 1.3.3 2.3/2.4 3.1.4

3.8 3.4.4 1.3.4 1.4.4 2.1 2.3 1.3.4 2.3/2.4 3.1.4

3.1.1 3.1.1 3.1.4

3.1.2

3.1.2

3.1

1.6.1 1.6.2

1.6.3 1.6.4.2 3.4.1

1.6.3 1.6.4.2 3.4.1

1.6.3 1.6.4.2 3.4.1

1.5.2.1

1.5.2.1

1.5.2.1

1.5.1.3.

3.2 1.5.1.3

3.2 1.5.1.3

3.4.1 1.5.2.1

3.1.1 4.7 4.7 1.4.3.4-6 1.4.3.4.6 1.4.3.3 1.4.3.3 1.4.1 1.4.1

3.2 4.7/3.7 1.4.3.4.6 1.4.3.4-6 1.4.3.3 1.4.3.3 1.4.1 1.4.1

3.2

3.2 4.7/3.7 1.4.3.4-6 1.4.3.3 1.4.1

r

1.4.3.2 1.4.3.2 1.6.7 1.6.7 1.4.3.1 1.4.3.1

1.5.1.2 1.6.7 3.3.1

1.5.1.2 1.6.7 3.3.1

1.5.1.2 1.6.7 3.3.1

s

5.4.2 5.2

5.4.2

5.4.2 5.4.3

5.4.2 5.4.3

THE SOCIAL DYNAMICS OF ACADEMIC INSTITUTIONS

1 lterction f :udents ad sachers

VIII IX VII Change Prolonga- Completion of tion of of course or course, course or of drop-out examinainstitution tion

X Transition from study to profession

XII XI Change Professional of profesdevelop- sion or ment job

.4.2 .5.2

4.3.2

4.4.2

4.4.2

3.1.4

3.1.4

4.5.1 4.5.3 3.1.5

2.3

3.4.4 1.4.4 2.1 2.3

2.4 3.4.4 1.4.4 2.1 2.3

2.4 3.1.4

1.4.2 1.3.4 2.4 3.1.4

4.4.1

3.1.5 .4/3.8 .4.4

3.8 3.4.4

.3

5.1.1 4

5.1.4

2.4 3.1.5 3.1.5

3.1.3

1.6.5

1.6.5

4.1

3.4.2

2.4/3.8 3.4.4

3.1.4

3.1.1 3.1.4 1.6.4

3.4.1

1.4.2 1.3.5 1.3.7 2.4 3.1.5 3.1.2

1.6.4 1.6.4.2 3.4.1

4.5.1 4.5.3 3.1.5

1.4.4 2.3

1.5.1.3

1.5.1.3

1.5.1.3

4.7/3.7

4.7

1.5.1.2

1.5.1.2

1.5.1.2

3.3.1

3.3.1

5.4.2

5.4.2

2

5.1.2

4 1-3

5.2

1.5.1.3

1.5.1.3

XIV Professional development as university or college teacher

2.4

2.4

2.3

1.4.2

1.4.2 1.5.2.3

4.8 3.1.5

4.6 3.1.1 3.1.2

4.8 1.6.5

1.6.4.1

4.3.2 4.6 3.9

2.1/1.4.4 2.2 2.3 2.6 1.4.2 1.5.2.2 2.4 4.6 3.1.2

1.6.4.1 3.4.1

5.1.4

5.1.3

XIII Transition from study to the profession of university or college teacher 4.3.2 4.6

1.5.1.3

1.5.2.3

1.5.2.2

1.5.1.3

1.5.1.3

3.2 3.7 4.8 4.8/3.7 1.4.3.4-6 1.4.3.4-6 1.4.3.3 1.4.3.3 1.4.1 1.4.1

4.6 4.6/3.7 1.4.3.4-6 1.4.3.4-6 1.4.3.3 1.4.3.3 1.4.1 1.4.1

3.3.1

1.4.3.2 1.6.7 1.4.3.1

1.4.3.2 1.6.7 1.4.3.1

1.5.1.2 1.6.7 3.3.1

5.4.1 5.2

5.2

5.4.2 5.4.3 5.2

5.4.1 5.3.2 5.3.1

1.5.1.2 1.6.7 1.4.3.1 3.3.1

1.5.1.2 1.4.3.1 3.3.1

INTRA-CULTURAL SUBJECTIVE DEVELOPMENT PROCESSES

1. quasi-natural factors of social influence from the socio-economic (m), the socio-cultural (n-p), the bio-social (q-r) and the political (s) background of the subjects (their economic and personal situation, their social origin, their sex, and their experience in political situations) ; 2. the organized and standardized setting of the developmental processes (e and f); 3. aspects and structures of the developmental processes themselves: formal achievement biography, personal development, psychologically disturbed development, and subcultures in the development (g-k); and 4. the organized and goal-directed interventions on the part of controlling and guiding administrative and political bodies, further differentiated into the following types of intervention: a) economic (rationalization and planning); b) socio-technological (counselling, the care of students, attitude change); c) legal (e.g. in the context of access to study and to the professions, the standardization of examinations); and d) therapeutic. These 18 influencing factors and activities can also be assigned to particular epistemological perspectives and disciplines whose research paradigms will each concentrate on particular factors and activities. In Figure 3 (epistemological and ecological matrix of subjective developmental processes, p. 325), therefore, the epistemological perspectives and the disciplines corresponding to them are set against the subject index areas that are relevant to the particular influencing factors and activities of subjective development. In addition, reference is made to the appropriate subject-oriented chapter of the bibliography in which the corresponding literature is listed. This further facilitates comparison with the matrix of epistemological perspectives and areas of social structure developed in Chapter I, Section 3, in which also reference is made to relevant Subject Index areas (cf. Figure 1, p. 70). In Figure 2, furthermore, the relevant individual subject index headings are assigned to the 14 developmental phases (I-XIV). This gives the ecological matrix a total of 255 cells, in each of which sometimes several subject index headings are entered, with varying epistemological stresses. As is explained in the Introduction (cf.2.2), the articulation of the subject in324

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dex follows an epistemological continuum that starts from the perspective of cultural transmission and communicative action in social institutions and role systems (1), proceeds via the perspective of cultural transmission and the projective expression and legitimation of social norms (2) to the perspectives of goal-rational strategic action that may either have the character of social engineering and therapy (3) or alternatively be economic in character (4), and including afinalarea (5) that unites the perspectives of (1) and (2) in the treatment of political processes. Using the ecological matrix as a guide to the subject index also allows one to tell how many titles or entries in the individual cells of the matrix are involved in the search for relevant contributions, since at the beginning of each heading in the subject index the number of titles or entries listed in it is stated. This makes possible a rough estimate of the quantitative development in the specialist research work appropriate to the individual cells. (Less specifically limited studies taking account of numerous factors and variables could not be indexed along with the others in all the corresponding specialist index headings, but are listed only at the place appropriate to the focus of the dependent variables or structural patterns analysed in them.) The use of the subject index in the light of the ecological matrix of subjective developmental processes will also allow one to tell (in accordance with the indications given with the titles listed in the subject index) to which of the chapters of the bibliography - based upon or oriented towards social science disciplines - a title entry belongs and also to which regional area it refers1. When references to titles or entries are being traced, account must be taken of the fact that, for many of the 255 cells of the matrix, the subject index does not always have headings whose boundaries coincide ecologically with those relevant for the matrix cell; instead, in the case of more broadly delineated headings, the titles bearing on the specific subject matter of any given cell must first be separated out from among the others. For example, of the total of 843 titles (406 from the annotated and 437 from the supplement bibliography) referred to in cell XlV-f, it is true that at any rate all 156 titles in 1.5.2 and all 153 titles in 4.6 refer directly and solely to structural and organizatory conditions of the profession of uni1. Cf. the list of regional abbreviations, Editorial Notes in Part III of the survey.

326

T H E SOCIAL DYNAMICS OF ACADEMIC INSTITUTIONS

versity of college teacher and to professional scientific work in other research institutions, but of the titles in 1.4.2 and 2.4, only a minority does so, while others concern organizational and institutional conditions that are equally relevant to other academic and intellectual professions. If one wants to trace systematically the subject matter of subjective developmental processes in the profession of university or college teacher, together with the variables of setting and influence that bear on this profession, then the references in all 18 cells under XIV and possibly also some cells under XIII (transition from study to the profession of university or college teacher, including the period spent as an assistant) must be elucidated. Altogether, under the phase-column XIV are to be found references to 26 index headings (excluding duplications), in which a total of 1761 titles in the annotated bibliography and 1433 in the supplement bibliography are listed (including, however many multiple references, under several index headings, to single title entries). If we assume that in all the columns an average of 3000 references to title entries are to be traced, this gives a total of 54000 title references bearing on all influencing factois, structures, organizatory conditions, goals and norms of subjective developmental processes in connection with academic institutions and professions. If we restrict ourselves to the matrix rows h and k (in which the subjective developmental processes themselves appear, along with their subculture and group structures, partly as conditioning variables and partly as the result of a host of influential and conditioning factors and interventions that are no more than selectively analysed), then this still gives references to 12 subject index headings with a total of 1520 title entries in the annotated bibliography. The most intensively occupied cells are III h, IV h and V h (subjective development in study whether at the beginning of the course - III - in general and in a basic study or undergraduate phase-IV-or in relation to a specialist profession -V), with in each case 591 title references. Next come the cells IV k and V k (groups and subcultures of subjective development during study), with in each case 228 title references, again, in the annotated bibliography only. In this last calculation, account must be taken of the fact that a large number of factors have even then not been allowed for: psychologically disturbed or conflict-laden subjective developmental processes (3.4.1 and 3.4.2 in row i), and the whole set of developmental processes related to formal achievement and career development (in row g). 327

INTRA-CULTURAL SUBJECTIVE DEVELOPMENT PROCESSES

2.3.2 Ecological matrix and inventory of concepts bearing on subjective development processes A further approach to trends and focal points in the research literature becomes available through the assignment of the 166 paradigms reported above (III.2.2) to the 255 ecological cells in Figure 4 (p. 330-3). The criterion observed for the individual assignations was whether the paradigms in question for any particular ecological location in the research field as a whole had been devised (or specifically adapted) by the authors or else, in the case of paradigms applicable to many different ecological cells, they had been empirically tested or interpretatively illustrated for one location in particular. A few paradigms in which the approach to the research field is from a more general theoretical perspective have been assigned to just one line (i.e. to just one of the 'factors and activities') as a totality. In this way, clear focal points of the conceptual permeation of developmental phases and of organizatory conditions, influencing factors and interventions connected with these stand out. In this connection, it is possible to tell from the running numbers whether the paradigms belong to anthropology (1-28), sociology (29-103), social psychology (104-141), educational science (142-147), social technology (148-156) or to the critical theory of society and psychodynamics (157-166). From the way the paradigms are distributed in the matrix, it is possible to recognize clear focal points in the diversity and number of the conceptualizations: first come subjective development and its goals or norms and its group formations and subcultures in the phase of undergraduate study (cells IV h, IV e and IV1), followed by subjective and developmental aspects of student-teacher interaction (VI h and VI e), the social influences on subjective development (IV k to s), the organizatory framework conditions of study (the cells IV f and VI f), as well as social engineering types of intervention, particularly in transitional phases (II b, III b, X b), in the undergraduate period (TV b) and in the context of student-teacher interaction (VI b). Among the factors of social influence it is particularly those factors relating to the influences exerted by the sociocultural background and to change in status positions during subjective development in several phases that have formed the subjects of conceptual treatment (row p, especially II p, IV p, XI p). Relatively few paradigms refer to the influencing factors and framework conditions of sex, family, (personal) economic situation, or to the phases (or special ecological spheres) VII, VIII, XII expressing aspects of mobility (change of subject, 328

THE SOCIAL DYNAMICS OF ACADEMIC INSTITUTIONS

university or college, profession or job) with the exception of VIII, prolongation or interruption of study or withdrawal from study; there is similarly little conceptual permeation of the phase of completion of study and of the transition from student to university or college teacher - in themselves two central structural mediating links in the 'cyclic metabolism of academic systems'. That the rows a, c and d (economic, legal and therapeutic interventions) and s (political conflicts) are thinly occupied, on the other hand, is explicable by the consideration that these factors are only marginally examined in this section, having been major topics in other sections (cf. for c chapter I, in particular section 3, part 4: Social domination and control; for a see chapter II; and in this chapter section 3 for d and section 5 for s). By using Figure 2 and Figure 3 in parallel, the reader will be able to connect the titles listed with the individual paradigms in the section 'Research concepts' (III.2.2) with other titles whose approach has the same ecological location as those studies of a more paradigmatic and conceptualizing character. Thus, for example, in connection with cell XIV f ('Organization and formal framework structure of developmental processes in the profession of university or college teacher') the following paradigm references are found in Figure 4: (35): the heuristic model of 'career' and 'professional career ladder' with 4 titles cited; (41): the interrelated paradigms of 'recognition', 'visibility' and 'measurability' with 4 titles cited; and reference to the possible heuristic relevance of the paradigms; (42): 'role making' (with 2 titles cited); (51): 'factors of the institutionalizing and formalizing of role- socialization' (1 title cited); (62): 'informal due process mechanisms' (1 title), and (65): Sieber's paradigm of 'teacher-student relation types in universities and colleges' (with the aspect of changes in the dominating relation type in the process of university and college teachers' subjective development in their career and age phases). On the basis of these references to paradigms it might then be possible to read over the 158 annotated and 145 non-annotated entries in the bibliography listed under the subject index heading 1.4.2 (Work relationships and status systems in the professions: communication, diffusion, recognition, licence, careers, teamwork, competition, publication and evaluation) and by comparison to tell how far paradigms like 35 ('career') or 41 ('recognition, visibility, attribution, measurability') are already well founded 329

INTRA-CULTURAL SUBJECTIVE DEVELOPMENT PROCESSES FIGURE 4 :

Ecological matrix and inventory of concepts bearing on subjective developmentalproces

Chapters in the bibliography

Phases Factors and activities

No. I n m SchoolTransi- Begintion ning of from study school to university or college: choice of course, admission

economic a social tech- b nological

D A2,C Interventions B, E G B C

A3 B C E C F

C F B

Goals and norms

legal

c

therapy

d e

Organization and f formal framework structure of developmental processes Development of g achievement, formal educational and professional biography Subjective h development

53 54 152 154

40 12,48,53 48,78 54,149 128 152 131 154 40,41, 61 146

61

97,102

6,61

12

108 109

94b 135

7,8,15 18,43 58,59a 70,78 89,94b 96,97,98 103a, 135

IV Period of study: general and basic studies

V Period of study: professional studies

VI Interaction student and teachei

149 48,64, 67 53 68,73 54 128-9 150 139,150 155,156 63,94a

45a 45a, 48 60,64, 94c, 15

44,101a

102

61,63 94a 121,146 121 94c 11,19,26 20,41,73 29a, 94 29,61,62 77,96 97,98 71,72,73 105,109 145-6 82,83, 84 117,125 106, 107 147, 158 110,112 113,116 117,119 122,125 143-145, 166 45,45a 45,45a 63,64, 51,59 63, 67,74 66,94a

14,26,44 52,69,82 1,2,27 55,56,59 90,91,92 58,60 60,68,70 126,135 61,63 65,66 74,75,78 78,93 79,81,87 88,89 94c, 95 96,97 100,101 108-111 98,103 114-116

THE SOCIAL DYNAMICS OF ACADEMIC INSTITUTIONS

I lange course of ¡titu>n

vm

IX Prolonga- Completion of tion of course, course or examinadrop-out tion

i

40 94a

153 12,54 153 154

40-1, 94a

61

)

a

XL

xn

Professional development

Change of profession or job

149 36,68 149,150 151,157

150 151

XIII Transition from study to the profession of university or college teacher

41,61

XIV Profes- In sional general development as university or college teacher

40 153 154

40,149 12,45a 68,149

41

41

11,29a 71,77 146,148 158

11,71 106,107

9,77 94a 97,98

146 41,77 96,97 109 145

121,146 19,20,41 95 42,77 147 105,106 107,147 158

121 41,61 63,148

68

41,67

51,61

35,62 151,167

41 61,62

35,41 45,51 (42), (51) 67 62,(65)

101a

44

41 44

41

41

18,20 67,76 79,80 85,86 94b, 99 106,109 111,125

77,95 96,97 98,105

59a, 89 90,91 94a 126

14,57 99,108 121-6 146

D 7

59a 89 ,114

X Transition from study to profession

8,18 28,43 56,58 77,89 90,91 92,93 94,135

13,42 44,62 103,109 121-6 138

42,59a 89,99 125,126

20,69 74,75 79,80 82,83 84,95 99,105 118 126,155

INTRA-CULTURAL SUBJECTIVE DEVELOPMENT PROCESSES

Ecological matrix and inventory of concepts bearing on subjective developmental processes Chapters G B C F

B C F

No. Psychologically disturbed development Groups and subcultures of subjective development

332

in

iv

m n

5 5,6

18

25,44,76 81,107 162,165 3a, 7,10 14,15,44 45-49 70 74,94 100-105 117,126 127 130,136 137,139 140-142 5,9,10 16,44,72 76,139 140,160 161,162 163,165 5 5,7,17

o

5,6,17

18

5,17

p

5,6,8 10,32,37

k

Social influences on 1 subjective development (in general)

C, D, F - Economic situation B, C, F - cultural/racial background B, C, F - religious background B, C, F - social background and status B, C, F - sex B, C, F - family structures G and problems B - political conflicts C

i n

i

q r s

10

48 152

8,48 100-3 127-9 130

10,16 5,6 133 134 135

9,132 133 134 135

128 6,44a 133,159

v

vi 27 1,2,27 50,98 102 103

45a 98

5,33 34,37 47,80a 44a

32,39

5,21-25 33,34, 107,158 159,164 166

159

98 154

THE SOCIAL DYNAMICS OF ACADEMIC INSTITUTIONS

Vin

IX

25,76 81,85,86 107,111 22,23 105 103,104 106, 107

69

9 160 161

X

XI

xn

124 4,101

4,46 47,138 167

72

42,72 138 160 161 167

126

xm

xrv

In general

124

85 124

50 167

3b, 4,14 44,50 98

44,76,81 85,86,87 88,165 13,14 46,47 136 137

42

5,29a 44,98 148

5,9,10 44,45a 47,69 160 162 165

17 8,39 4

80a, 104

23,25 107 125

32,37,38 33,34,37 39,40,41 80a 13,19

41

42 158 167

5 148 154

33,34 125

80a

98 166

333

INTRA-CULTURAL SUBJECTIVE DEVELOPMENT PROCESSES

in the research literature, either theoretically or empirically, with reference to the profession of university teacher or other academic professions, or to tell whether other connected paradigms make their appearance, or finally to tell whether the paradigms 42 ('role making'), 51 ('factors of the institutionalizing and formalizing of role socialization') and 65 ('teacherstudent relation types in universities and colleges') related (by their 'authors') only in a comparative or implicit manner to the subjective development of university teachers might not possibly be productively applied here, on the basis of descriptive and empirical analytical results already obtained in other contexts, if one is concerned with the heuristic elaboration of a hypothetical model for an empirical research undertaking in connection with university or college teacher socialization. The same could be attempted in connection with a survey of the 156 titles under 1.5.2.2 ('structural position, rights, organization, representation, values and subculture climates of faculty and professional research scientists), and the 153 titles under 4.6 ('problems of higher education and academic research as an occupation...'). Since there are in some 150 of the 255 ecological cells of the matrix references to in some cases as many as 30 different paradigms, this process of ecological analysis oriented towards paradigms and index headings could certainly be performed scores of times over (in the light of the consideration that the research situation cannot meaningfully be presented in isolation in all cells), and the result in each case would be in terms both of content and theory an informative trend report. It will no doubt have become clear that, in comparison with such a concrete literature analysis with the purpose of research information, the present account can have no more than the character of a heuristic meta-trend-report, an instrumental medium for the setting up and linking of concrete trend reports that come closer to the actual process of research with its content-oriented results, its theoretical positions, its research designs and strategies and its empirical research instruments and techniques. 2.3.3 References to special ecological and taxonomic areas The ecological matrix with its network of 255 cells proves nevertheless too crude to serve as an introduction to particular focal points that are ecological in theme in the literature, and to current trends in the accentuation of research interest. 334

T H E SOCIAL DYNAMICS OF ACADEMIC INSTITUTIONS

There are therefore some ecological areas for which brief references to the literature are necessary. They range from the areas of the specific goals and functions and from the formal organization, delimitation and institutionalizing of sectors and stages of the academic educational and professional system right up to special forms of social engineering type interventions in subjective developmental processes, taking in on the way students' attitudes to these educational and professional goals, special ecological constellations such as choice of course, change of subject or institution, withdrawal from study, the structuring of subjective development through residential forms and student organizations, teaching and learning processes and examinations, the subjective developmental processes of professional socialization and adjustment, of the professional career and of the changes in attitudes and values on the part of alumni in the course of their later life, the development and promotion of creativity among students and academic researchers, and the situation of women in academic professions. 2.3.3.1 Objectives andfunctional areas in academic systems 2.3.3.1.1 In much the same way as was the case with the analysis of the social organization forms of academic education and work, so also with regard to the goals and formal functions of academic systems there are only very few international and comparative studies. From the point of view of Marxist social critique Mclntyre (12176), Blackburn (12804), Gorz (1054, 13150), Birnbaum (1020) and Marcuse (1084; 12171, 12621, 12173-4) have investigated the antagonistic contradictions in the goals of academic education in latter-day capitalist Western societies. Conservative liberal and bourgeois conceptions of the norms and functions of professionalism and of the system of value-free science have been developed from an international historical perspective by Ben-David and Collins (1012), E. C. Hughes (12118, 12304), Polanyi (1101) and Zweig (1215); and Ashby has drawn up several studies (1132, 1133, 1134) of the tradition (whose range has now shrunk to that of the White Commonwealth) of the international, neo-colonialist oriented education of leadership élites in the British Commonwealth. Comparisons between the educational ideals of Western and of East Asiatic (Japanese and traditionalist Chinese) universities have been set up by Kobayashi (1073), Shinohara (1112), Sumeragi (1116) and Fehl (1064). More recent studies bearing on the educational goals of academic sys335

INTRA-CULTURAL SUBJECTIVE DEVELOPMENT PROCESSES

tems concentrate on investigating new functional differentiations and dichotomies among so-called functional, extra-functional and dysfunctional goals (in relation to the stabilizing or the overturning of social relationships) as well as on the relationship holding between articulated normative goals and quasi-natural functions of academic educational processes based on social or drive dynamics (social selection and disciplining through informal extra-curricular processes, personality development and psychological disturbances). Attempts at penetrating the connections among the whole range of goals and functions of higher educational systems have been attempted in the USA, to some extent from a predictive point of view, by R. Brown (12407), D. Bell (1234-5, 12387), Wiener and Kahn (10067), Kerr (1354), D. N. Michael (1396), Galbraith (in: 16179), Palley (12666) and the writers in the symposium edited by Dobbins and Lee (12458). Numerous studies have been concerned with the norms and with the social anthropological and social functions of professionalism as a transcendent system of ideas for the integration of processes of higher education and work (cf. especially E. C. Hughes, 12118-20, 12122-4, 12553; H. S. Becker, 1233; Wilensky, 3857; Greenwood, 1312; T. Parsons, 1417, 10048, 12201, 12667-8; R. H. Hall, 3401; Henry, ed„ 1323; Landis, 1361; Lubove, 1373; Wilensky and Lebeaux, 12782; 'Symposium on continuing education in the professions', 1117; cf. in addition the contributions of the Israeli sociologist Ben-David to the study of this problem-complex: 1006, 1012,4208). For the sphere of Western European academic* educational systems, Halsey (1506,1061), Trow (12861), Beard et al. (12802), Niblett (12843) in England; Jaspers (1579), Habermas (1569-70), Anger (3956), Nitsch et al. (1589), a study made by the Institut fur Sozialforschung, Frankfurt (3969), Schelsky (1596) in West Germany, Antoine and Passeron (1611), Bourdieu and Passeron (1616) in France, and the authors of Réforme et développement de renseignement supérieur en Europe (10516) have expounded the total framework of the different educational objects and social functions of academic systems. 2.3.3.1.2 In connection with the programmes and the functions of academic systems for stabilizing, legitimating and administering the internal domination relationships in advanced capitalist social systems, a number of programmatic studies are to hand, particularly in the USA, the trend of 336

THE SOCIAL DYNAMICS OF ACADEMIC INSTITUTIONS

which is towards conservative social technology or welfare state liberalism: D. Bell (1234,12023 and 12387), Wiener and Kahn (10067), D. N. Michael (1396), Kerr et al. (12131), P. F. Drucker (12465), Galbraith (16179), Moynihan (12643-4), Mosher (1403), Orlans et al. (10628). Along with these may be taken a number of more specialized analyses which, for the most part, have a similarly affirmative or critical sociotechnical orientation: in connection with the involvement of universities, colleges and research establishments with the so-called military-industrial complex (Bray, 10318; Biderman and Crawford, 12396-7; Hudson Institute, 10345; Komons, 12583; Janowitz and Little, 12560; Strickland and Vallance, 12741-2; Yallance, 12765; Keczkemeti, 10357; Lyons, 12610; Lyons and Masland, 12611; Lyons and Morton, 12612; Orlans, 12661); and in connection with the training of leaders in the economic sphere (Clark and Opulente, 342; 'Developing better managers', 12060; 'Identifying and developing managers', 16030); in connection with the control and channeling of social unrest (cf. 'Riots and the law', 17082) as well as in connection with the training of more highly qualified CIA-agents (cf. : 'Three tales of the CIA', 10223; Stern, 10221 ; Triesman, 12247). Over against all this may be set a few critical analyses by writers with liberal social critical positions (McGrath, 12633; Jones et al., 1346; R. P. Wolff, 12260-1 ; Taylor, 12749-50) and from the American New Left (Nicolaus, 12648-9; O'Connor, 16233; 'How Harvard rules', 12549; Nacla, 10625, 12652; Chomsky, 12419-21; Roszak, ed., 1438; McDermott, 12630; Ridgeway, 12695; Feshbach and Karplis, 12482; 'Education in California', 16171; Coburn, 12430). The orientation of the goals and functions of Western European academic systems and research institutions towards the ideological and administrative tasks for stabilizing domination relationships has been treated from the point of view of the established power élites in government and in private industry by the following authors: Stoltenberg (10430-1), the authors of 'Der Akademiker in Wirtschaft und Verwaltung' (10668), Kroeber-Keneth (12979), Picht (10425-6), Nolte (13009), Schelsky (1596, 13041), Hartmann (7212), Raiser (418), Dichgans (409), Arndt et al. (10669), Lohmar (12990), Dahrendorf (10413-4), Gehlen (12919), Herz et al. (10677), Hess (10678), Cartellieri (17113-4), Steimel (10687), Wilhelm (13089), Zierold (13093) in West Germany; Aron (1612-3, 13099), Chombart de Lauwe (13125), Gilpin (13147) for France; Lord Robbins (408), Ashby (1497), Christopherson (12812) in Great Britain. Analytical studies 337

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in this connection have been put forward by Anger (3956), Institut für Sozialforschung (3970-71), v. Ferber (1564) in West Germany; Bourdieu and Passeron (4000-1) and Mandrin (13168) in France; Rothblatt (1525) and Vig (12863) for Great Britain. Approaches towards an investigation of the domination functions of academic systems, in terms of the critique of society and political economy, can be found in Habermas (1569-70), Lefevre (in: 1549), Altvater (16321), Nitsch et al. (1589), SDS-'Hochschule in der Demokratie' (13066), Kofler (12973), Kadritzke (12965), Schümm (13057), Nyssen (13010), SDS Marburg (13067), Hofmann (12953-4), Schräder (13054), Delitz (10415), Altvater, Meschkat, Heer (in: 1585), Stiebitz (12237, 12350), the writer collective 'Formierte Universität' (12882), Gündel et al. (12931), Speer (13068-70), Köhler (1582-3), Knaur (16344), Steiner (14616), Preuß (13023), Stuby (17152)for West Germany; Gorz(1054), Mandrin (13168), Touraine (13199-200), Lefebvre (12142) in France; Harman et al. (12827), P. Anderson (12801), Blackburn (12804) in Great Britain; as well as Donolo (13222) and Rieser (13236-7) in Italy. Instructive international comparative studies bearing on the training of higher economic leadership personnel, as seen from the point of view of the managements of multi-national industrial corporations are the projects 'Developing better managers...' by the National Industrial Conference Board in the USA (12060), and 'Developing management...' by Businness International, Inc. (12280). 2.3.3.1.3 It is possible to make a formal separation between the directly domination oriented objectives and functions of academic educational processes and the sphere of the mediation of values and norms oriented towards social ethics and educational humanism, which only indirectly, by providing an objective appearance of emancipation and freedom, help to stabilize domination patterns. The progressive and idealist educational goals of the American liberal education and general education tradition have been stated and actualized especially by Jones (1344), Jones et al. (1346), Holton, ed. (1327), Thomas (1466), Trueblood (1475), Barzun (1227), McGrath (12633), Taylor (1463, 12749-50), Hunt (1332), Sanford (196, 3695), Hutchins et al. (1335), American Society for Engineering Education (7033), Trow (1470), Hudson (12552) and Martin (12625). The studies by Wardwell and Wood (14468), Marden and Sacks (12622), Stone (12740), Freed (129), Glass (12089), Davenport et al (ed. 12056), 'Sympo338

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sium on continuing education...' (1117), Watts (12773), Henry (ed. 1323), Wilensky and Lebeaux (12782), Dalton (1283) in the USA; Dahrendorf (1556), Weyrauch (14627), Mitscherlich (19142), Berndt et al. (12891), Bahrdt (1544), Jaerisch (1578) in West Germany; and Bourdieu (4000-1), in France are especially relevant for the so-called extra-functional (social ethical and normative/affective) elements of academic professional roles and educational programmes). Influential programmatic studies bearing on the humanist liberal 'idea of the university' in Western Europe are the monographs by Leavis (1511), Jaspers and Rossmann (1580), J. Ritter (1575), Baumgarten (1548), Ashby (1497), Polanyi (1101) and Plessner (3979). The dialectical relationship of the critical theory of capitalist society to the process of academic education has been formulated by Horkheimer (1576), Adorno (1541, 12266), Habermas (1569), Habermas et al. (3968), and Marcuse (1084, 12621). A more radical cultural-critical position than that of the well-known theoreticians of liberal education has been adopted in the USA by Goodman (1307-8), Keniston (8103) and E. Z. Friedenberg (14199). Among analytical and phenomenological (and to some extent empirically based) studies may be mentioned Anger (3956), Institut fur Sozialforschung (3970), Habermas et al. (3968) in West Germany; Niblett (12843), Powell (1538), Musgrove et al. (3910), and Marsland and Bocock (3904) in Great Britain; and Bourdieu and Passeron (4000-1) in France. For the USA, the numerous studies on the 'impact' of liberal academic educational programmes and educational milieus on students during and after their courses have been systematically summarized, in their normative aspects and with regard to the substance of their results, by the two omnibus works 'The American college' (edited by N. Sanford, 3697) and 'The impact of college on students' (edited by Feldman and Newcomb, 10089). Reasons for the criticisms that the student protest movement and the revolutionary socialist groups make of the ideological moments of traditional liberal humanist educational ideals and institutions are spelt out in particular by Anderson (12801), Blackburn (12804), Lefèvre (in: 1549), Claussen and Dermitzel (eds. 12902), Chomsky (1241920), P. Long (ed. 12604), Roszak (ed. 12707), Oglesby (12657). 2.3.3.1.4 In the advanced socialist transition systems, the dominationoriented objective and the humanistic educational objective are treated as two moments of a unitary socialist educational programme, in which education for loyality towards the people's state and party, for forms of life 339

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and work marked by a more definitely collectivist solidarity, and for preparing to overcome the split between physical and mental work characterize the principal goals. This programmatic approach, as well as particular educational goals mediating it - such as, for example, programmes Unking study with work in production, or the educational goals in the communist youth association, are spelt out and illustrated in Cilkin and Ionkin (1715), Morozow (1745), Korneev (1738), Kourylev (1740), Polozov and Riascenko (1750), Slavuckij (436), Pitov (1749) in the Soviet Union; Girnus (1764), Neuner (1771), Malhus (1178), Taubert (4102), Rtthle (4101) in East Germany; Jozefowicz et al. (4109-10), Szczepanski (1797-98) in Poland; Biol5eva (1803) in Bulgaria and Janicijeviô (13394) and Skrzypek (14737) in Yugoslavia. As contribution by Western anti-communist writers dealing with the ideological standards of higher training and scientific and scholarly work in the socialist systems we may mention Field (1717-19), Kassof (1735), Ahlberg (13312), Langner (10162), Fischer (ed. 1722), Henrich (1574), Richert (1364-65), Menke-Gluckert (17178), Ludz (18156) and Fischelis (1762). 2.3.3.1.5 Research into the goals and functions of higher education in the countries in the 'Third World' kept underdeveloped by the capitalist world economic system have already been characterized in Chapter I in the context of academic institutions, élites and social structure (1.5.2.4). We there drew a distinction between 1) studies investigating the problem complex of the content of education as part of educational economic planning in the framework of international capitalist system conditions; and 2) studies that treat educational goals as a moment in the re-interpretation and integration of national cultural traditions in the sense of a neo-colonialist political strategy for the formation of pro-capitalist national institutions ('national institution-building') or from the point of view of the nationalist academic bourgeoisie of these countries. 2.3.3.1.6 Alongside studies concentrating on ideological, exfra-functional educational goals, there is a host of special studies investigating the social psychic and educational aspects of functional contents and objectives of processes of higher education (knowledge of subject matter and methods in different technologies, sciences and professions, or so-called abstract functional skills such as 'concentration', 'flexibility', 'creativity' etc.). 340

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These deal in each case with particular areas or stages of education, subjects and professions, and for the most part also take account of formal organizational structures and approaches to reform. Of this research literature specific to the individual professions and academic subjects we can, in the framework of this report, give in each case no more than a few examples for each subject area, making possible a first orientation on which further searches in the literature and comparisons among different subjects and professional areas can be based. The survey is based on a division into such specialist areas: Undergraduate study and graduate education in the natural and human sciences: Kobayashi (1073) in respect of international comparative study; Pyke (1103), Berelson (1237), Storr (1458), Bell (1234), Bell et al. (1235), Hawkins (1322), Heiss and David (137), Herbst (1162), Berelson (1238), Grigg (7171), Holton, ed. (1327), McDonald (1387), Roszak (ed. 1438), Cartter (520), Brown and Clarke (12408), Blanshard (ed. 1244), Hagstrom (3394-95) in the USA; Price (1539) in Australia; Antoine and Passeron (1611), 'Les conditions de développement...' (568) in France; Jenne et al. (3973) in West Germany; 'Nihon Gakujutsu Kaigi' (582) in Japan; Korol (590) and Vucinich (598) for the Soviet Union; Bognar (1022) for countries in the Third World; Kotb (2020) and Qubain (633) for the Arab countries; Case Institute of Technology (16440) for Mexico; 'ShihCh'engChih' (1108), Chan Wing-Tsit (270) and Kahn and Feuerwerker (13433) for China. Engineering: Conference of Engineering Societies (491) in respect of international comparative study; Engineers Council... (525), Wiegand (3856), Boulgarides (1250), Jacobsen et al. (531), Davenport and Rosenthal (eds. 12056), Vollmer and Mills (1480), Graney (1310), American Society for Engineering Education (7033), Mattfeld et al. (eds. 1381), Calhoun (1264), Calvert (1265) in the USA; McReynolds et al. (16297) in Canada; Christopherson (12812), Cotgrove (1503), Venables (3936), Davies (12818) in Great Britain; Goldschmidt (12924), Goldschmidt and Funk (10676), Kahlert (10680) in West Germany; Walters (1641), Artz (13100) for France; Sachse (16073) in East Germany; Shemenev (1753), Veselov (797) in the Soviet Union; Stajgr et al. (606) and Slamecka (599) in Czechoslovakia; McNelly et al. (3090) in Latin America. 341

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Law: Harno (1321), Stone (ed. 12740), Packer et al. (12665), Carlin (14114), Riesman (12698), Parsons (1417), Davis et al. (3261-64), in the USA; Weyrauch (14627) for Germany; Austin (13516) in Africa. Medicine: Ben-David and Collins (1013), Zloczower (1607) and Ben-David (1G05, 1007) from a historic comparative of view; Comroe (522), Means (1392), Lee (1364), Olmsted and Hanson (12658), Parsons (12201), Wolf and Ward (eds. 1488), Freidson (12490), Richmond (12694), Bloom (95-96), Dunlop et al. (12069), 'Graduate education of physicians' (10603), Dryer (10594) in the USA; Stevens (12857) in Great Britain; Mitscherlich (12999, 19142) in West Germany; Berdichewsky (4142) in Latin America; Logo (10751), De Craemer and Fox (4187) in Africa; Huard (2072) and 'Education et développement' (2066) for South-East Asia; Butler (13469) and Fanon (12292) for revolutionary liberation movements; Field (1717-19) for the Soviet Union; Paleö (604) and Knobloch (603) for Czechoslovakia. Economics and management: Roszak (ed. 1438), Wolfe (12786), Urwick (1477), Gordon and Howell (528), Douglas (10593), Clark and Opulente (342), Kephart (12576), in the USA; Hartmann (7212-14), Arndt et al. (10669, 16324), Institut für Sozialforschung (3971) in West Germany; Guillebeau (4010), Mandrin (13168) in France; Shitahodo (4089) in Japan ; Vogel (1874) for China. Higher specialist further education and applied research in the economic sphere: Taylor (1464), De Carlo and Robinson (10592), Fry (1300), Wiegand (3856), 'College graduates assess their company training' (10580) in the USA; Steimel (10687), Arndt et al. (10669, 16324) in West Germany. Training for higher administration: Mosher (1403) in the USA; Mandrin (13168) and 'Les conditions de développement...' (568) in France; Golan (13525-26) in Africa; Trivedi (7355) in India; Finkle (7358) and Buttinger (13605) in South Vietnam; Milne (10766) in the Philippines. Teacher training: Arrowsmith (12373), Stinnett (10641), Conant (10584), Borrowman (ed. 12401) in the USA; Mangold et al. (14597) in West Germany; Singer (601) in Poland; Ziervogel (13514) for Latin America; Chen (ed. 610) in China. 342

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Higher training in and for the armed services: Simons (1451), Lyons and Morton (12612), Lyons and Masland (12611), Janowitz and Little (12560), Janowitz (3459), Lovell (12606) in the USA; 'L'enseignement militaire supérieur' (10695), Centre d'Études Psychologiques (4004) in France; Thomas (1531) for the British Empire. Social work and related professions: Reissmann and Lohrer (1428), Lubove (1373), Wilensky and Lebeaux (12782), Etzioni (ed. 12075), Vaillot (12764), Towle (12755), Moynihan (12643), Goode (1305-6), Davis (ed. 1285) in the USA; Schelsky and Schmelzle (13043), Fichter (1293) in West Germany. Theology: Hammond (3405), Watts (12773) in the USA; Goldschmidt (14580) in West Germany; Kraemer (2021), Insabato (2017), Annan (2004), Dodge (2011) on the Moslem University Al-Azhar. Social science and social engineering: Lazarsfeld et al. (3494), Roszak (ed. 1438), Biderman and Crawford (10315), Chomsky (12420-21), Nicolaus (12649), Lippitt (10364), Moynihan (12643-44), National Academy of Sciences (10622), Orlans (12661) in the USA; Wilhelm (13089) in West Germany; Arasteh (1129-30) for countries in the Third World. 2.3.3.2 Special ecological aspects of the student career With regard to the subject complex choice of course, counselling and admission, numerous studies have appeared in the USA investigating this aspect in some detail: Usdan et al. (12762), Herr and Cramer (10609), Douvan (3292), Fishman (3327), Cooley (3243), Chenoweth (12417), Rehberg (14372), Siegel and Gideonse (eds. 12724), and numerous analyses in the 'College Board Review' (664); in Great Britain Musgrove et al. (3907), McCreath and Freeman (3905), and also Oxford University (3911), Taylor (3932), Furneaux (7189), and Campbell (14512); in West Germany Roth and Altvater (14607) and Freudenreich(3964); in Japan Kondo et al. (4056); in Poland Szczepanski (4133); (cf. Subject Index 1.6.2 and 3.1.4). For the beginning of course, special mention should be made of Sanford (8161), Spady (14416-7), Rivlen et al. (14377), H. A. Rose (3684, 14379a) and McDowell (14317) in the USA; Jahoda (3898) and Clossick (14514) in Great Britain; Theobald (3954) in Australia; Oosthoek et al. (14692), Albinski and Crombag (in: 246), and Huber and Gras (14676) in the 343

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Netherlands; Preuß-Lausitz (14603 and 19147), and Preuß-Lausitz and Sommerkorn (14604) in West Germany; Kazior (4118) in Poland; Sofue (4090) in Japan (cf. also the research concepts listed in cells III f to 1 in Figure 4, p. 330-3). The problem complex of transfer or of change of subject and institution is treated by among others Hills (14240), Knoell and Medsker (7103), and Krulee et al. (3485) in the USA (cf. Subject Index 1.6.5 and 3.1.5 as well as the concepts listed in cells VII f to 1 in Figure 4). An important thematic focal point, especially in the USA, is the problem complex associated with the breaking off of study (drop-out) (studies on this topic are covered systematically for all countries in the Subject Index headings 1.6.5 and 3.1.3 and can also been analyzed through the research concepts listed in cells VIII f to 1 in Figure 4). 2.3.3.3 Academic training andprofessional life A further focal point in the research on student development is made up of the theme complex associated with the choice of profession and with organized professional socialization in professional schools and formally marked off phases at the beginning of professional life (periods spent as 'juniors' or on probation, internships, assistantships): cf. in the USA especially the studies of H. S. Becker (1233), E. C. Hughes (3447), J. A. Davis (3269-73), Glenn (14212), Lovell (3511), Lortie (3509-10, 14310), Pryor (14370a), Merton et al. (3550), Gottlieb (3370), Stedman (3746), Super, Tiedeman and Borow (3770), Super and Bachrach (204), Tiedeman (14452-53), Olesen and Whittaker (14346), F. Davis (1285), Treiman (3804), Burnstein (3213), Quarantelli et al. (3652), Warnecke and Riddle (14469), F. E. Katz (14267), Korn (10099), Case and Slocum (3226), Kurtz (14287), Miller, Freeman et al. (14330), Breen (14100), Mackinnon (3514-15), Geer (12500), Blum and Rosenberg (14094), Spaeth (14419), Katz, Korn, Leland et al. (14274), B. R. Roberts (14379), Fox et al. (14195), Selvin (3713-14), Nachmann (14341), Thistlethwaite (14451), and J. L. L. Miller (3558); in Great Britain the studies of Box and Cotgrove (3880), Brown (14509), Hatch and Rudd (3894), Marsland (3903), Musgrove et al. (3910), and Rudd et al. (3919); in Australia Anderson and Western (3943); in West Germany Kaupen (14586), Achinger (14559), Braun et al. (14566), Hamacher (14581), Frech et al. (14572), Bargel et al. (14001), and Weyrauch (14627); in France Benguigui (13103), Guillebeau (4010), and Reynaud and Touraine (4015); in Italy Livolsi (4033), and Pavia Instituto 344

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di Statistica (4035); for Africa De Craemer and Fox (4187); for India Sullivan (4257), Sozialforschungsstelle... Munster (4256); (cf. in addition Subject Index 1.6.4 and the research paradigms listed in cells V f-1 and X f-1 in Figure 4, p. 330-3, the relevant corresponding studies to these being given in the section on research concepts, III.2.2). 2.3.3.4 Teaching and learning processes and examinations With the regard to the organized interaction between teachers and those taught - including mutual sizing up and assessment - in the narrower sense (as distinct from the effects of the general university or college 'climate' on students), the following studies, among others, are particularly relevant: in the USA Feldmann and Newcomb (10089), Sanford (3696), D. R. Brown (3209-11), Thielens (208), and McKeachie (32, 167-70) as reports on the research literature, and also the investigations of Hughes (3447), J. A. Davis (3274-81), Gamson (3342), Denzin (3286), Gottlieb (3370), Dick (3288), Jackson (3457), Drabek (3294), Grossak (3383), Jervis et al. (3460), Kelly et al. (3471), King et al. (3475), Pervin (3624), Geer (12086), Dubin and Hedley (14956), Gusfield and Riesman (3388-9), Quarantelli (3652), Regan (3659), Adelson (322), Tussman and Suczek (3812), Vreeland (3824), Lee (ed. 1363), Chase (18049), Warrington (14472), D. T. Hall (14224), Wilson and Gaff (14487), and Centra et al (14116-7); for the social and psychological dynamics of examinations cf. especially Spurr (10640, 12736), Faia (12480), Becker, Geer and Hughes (14088), and Singer (14409); on teaching, learning, and examinations cf. in Great Britain Cox (14-15,14518), Marks et al. (3901) as well as the research report by Beard (006); in France Bourdieu et al. (4001-2); in West Germany Ziolko and Moller (19159), Moller (8248), Jenne et al. (3973), and Orlik et al. (14600); in the Netherlands De Griend (in: 246); in Norway Thorsrud et al. (4039-41); for Japan Troyer and Owada (4094); for India Jilani (4234); for South-East Asia Guskin et al. (4266); for Africa Cavendish et al. (4183), (cf. also Subject Index 1.5.1.4 and 3.1.4 and the research concepts listed in cells V f-1 in Figure 4, together with the literature listed in this connection in the section on research concepts). 2.3.3.5 Subculture forms The research literature bearing on subcultures among students, their teachers, and universities or colleges can be elucidated by reference to the subject index entries 1.5.1.4 and 1.5.2.1 - 2 as well as to the research para345

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digms listed in the cells of row e in Fig. 4. We may therefore here add just a few references to special aspects and particular organizatory forms of subcultures: with regard to the traditional associations among students (the Greek letter societies in the USA, or 'corporations' in West Germany) cf. for the USA Feldmann and Newcomb (10089) as a summary research report and in addition Wise (3862), and J. F. Scott (14389); in West Germany Finke(12915), Baumgarten(in: 1548), and Klonne (12971); in Great Britain the project 'Study of student societies...' (14543); in the Netherlands Crombag (in: 246), Leemans (4030), and Vervoort (4043); and De Bie (4020) in Belgium. With regard to the subcultures in student dormitories, Feldmann and Newcomb (10089) have similarly set out the research situation in a systematic way for the USA; for West Germany, cf. the studies by Claessens et al. (14570), and Neidhardt (3977); for Great Britain Ackland and Hatch (10125), Hatch (10027), Giddens (3892), Ziman (558), Albrow(3875), Thoday (3934), and Warr (3939) (cf. also Subject Index 3.2 and3.3.4). With regard to the deliberate changing and influencing of student subculture formation, in line with university policy, particularly through the shape given to residential patterns, cf. in the USA Lippitt (10364), Chickering (14121-2), De Coster (14149), Morishima (14335), University of California, Berkeley (14460), Closson (10085), Stakenas (14424). 2.3.3.6 Value orientations and attitude changes Whereas sociological studies on processes of secondary socialization in connection with academic institutions and professions are, quantitatively speaking, still relatively easy to survey and can easily be elucidated by reference to the summary of sociological research paradigms (cf. III.2.2.2), some summary references will be necessary for the substantially more numerous studies bearing on the values, attitudes and personality images - and the changes they undergo during particular phases of academic and professional development - among students and persons with academic training. For the USA, the two volumes 'The American college' (edited by Sanford 3697) and 'The impact of college on students' (edited by Feldman and Newcomb, 10089) afford the possibility of a general view of the most important research trends and results in the last decades, right down to very specialized ecological areas. Additional instructive though less up-to-date and less widely conceived 346

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research reports and contributions dealing with research strategy have been put forward for the USA by Jacob (1338), D. W. Robinson (192), Lehmann and Dressel (351 and 352), E. E. Davis (17), Stember (3749), McGuire (166), Mogar (10108), Lipset (in: 1369, pp. 310-343), Barton (87-90), Dressel and Mayhew (3295), Keniston (1352-2, especially in the appendices), and Riesman (1433-4). Outside the USA, fairly differentiated and (from the point of view of their research strategy) complex studies of changes in attitudes and values are far less numerous: Cf. for Germany Institut für Sozialforschung (3969), Habermas et al. (3968), Friedeburg et al. (3965), Achinger (14559), Hamacher (14581), Kaupen et al. (14587), and Frech et al. (14572); for Great Britain Marsland (3903), Marsland and Bobock (3904), Walton (14550), Cox and Ciossick (3886), Smith and Furneaux, (3927), Marris (3902), Poppleton (3916), and Brothers (3881); in the Netherlands Hettema (4027), Berting et al. (4019), and Kolthoff (4029); in Scandinavia Thorsrud and Paasche (4039), and Sysiharju (4038); in France Chamboredon (14642), Centre d'Études Psychologiques... (4004), Bourdieu and Passeron (4001-2), Delsaut (4005), Passeron and Saint-Martin (4014), and Saint-Martin et al. (4017-8) ; in Japan the 'Far Eastern Values and Attitudes' research program (Arkofï et al. 14000) and the 'Persuasion and Attitude Change' research program (McGinnies, 4065-67, 14705) of the US Navy, Baber (4044-46), Kuroda (14704), Gakusei-Mondai-Kenkyujo (4048-9), Nobechi and Kimura (4075), and Misumi et al. (4068); in East Germany Rühle et al. (4101) ; in Poland Jozefowicz et al. (4109-16), Nowakowska (4129-30); in Yugoslavia Brocio (4138), Skrzypek (14737) and Janicijevic (13394); in Latin America Bachrach (4141), Silvert and Bonilla (4166), Stinchcombe (14751), Payne (14748), Walker (4172), Williamson (4179-80); in South Africa Pettigrew (4188), Bloom (4181-2), and Danziger) (4186); in Black Africa Cavendish et al. (4183), Nordenstam and Shaw (14761), Hare (4195, 14747-8), Fougeyrollas (4189), and Rogers (4199); in the Middle East Abadan (4201-4), Arian (4206), Hondrich 4216), Hyman (4211), Kesler (4213), National Institute of Psychology (2210), Ozankaya (4217), and Prange (4218); in India Adinarayan et al. (4222), Connack (2037), Damle (4227), Rath (4242-4), Murthy (10191), Sinha et al. (4248-54), and Sirsikar (4255); in Thailand Guskin (4266-8); in Indonesia Douglas (4264); in the Philippines Lacuesta et al. (14792); international comparative studies have been undertaken by Berrien (30025), Gillespie and Allport (3007), Hara (3008, 3073), Jonassen (3010), Kato 347

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(3011), Marsh (3013), McGinnies (3017,14040), Sethna (3025), Singh etal. (3026), Stoodley (3028), Tarwater (3029), and Triandis et al. (3031,14048) (cf. also Subject Index 1.7.4). 2.3.3.7 Personality development With the following writers and projects, the emphasis is on an intensive analysis of personality development and less on pursuing manifest attitude changes: this is especially so with the theoretical and clinical empirical studies, strongly marked by the psycho-analytical tradition, of Erikson (19004-6), Namnum (8138), Wedge (8190-91), Levinson (1365), Snyder (8169-74), and also with Webster, Freedman and Heist (3845), Sanford (3695), King et al. (19070), White (8196), Keniston (8103), Bay (1228), Katz et al. (3468), Flacks (3328-9), Plant (3632-6), Olmstead (3598), Newcomb (3576-9), Warren (3837-8), Werner (8193), Sherman (14396), J. B. Murray (14339), Heist et al. (14235), Kennedy and Danskin (14276), Regan and Yonge (14371), Chickering (14121-4), Heath (14232-3), and S. Singer (10115). In other countries, methodologically adequate investigations into personality development in connection with study, work in intellectual professions and research activity are still rare, but reference may be made to a few studies and preparatory discussions of a theoretical nature: in Great Britain Haimos (8219), Kelvin et al (8221), and the report on the literature by Freeman et al. (10020); in West Germany Arnold (3958), Brentano (1551), Brückner (1552), Dreitzel (12065), Habermas (1569), Weyrauch (14627), Orlik et al. (14600), and the report on the literature by Ullmann (10119) for the reception of American creativity research; in Holland Vali-Wohl (8264); for Japan Gakusei-Mondai-Kenkyujo (404849), Vogel (8278-79) Lifton (4062-64), Misumi et al. (4068), Osaka (4080), and Sofue (4090); for Poland Siemienski (4132); for India Damle (13585) and Reddy (14782); for Vietnam Slate (10495, only partly concerned with a subject population that had received higher education); for Africa Dias (14755) and Kline (8281); for Israel Eisenstadt (13556), and Eisenstadt and Ben-David (13557), and for intellectuals who have fled from China Lifton (4139-40). International comparative studies have been undertaken by Jamison and Comrey (14009), D. Heath (14007), Asayama (3001), A. W. Anderson (1000), McClelland (3015), Pinner (3021), Turner (3032) (cf. also Subject Index 1.7.4). 348

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2.3.3.8 Institutions and strategiesfor the control of student development In the USA, the various organs set up for student welfare (student personnel work) - information, counselling both for courses and for choice of profession, admission, examination, testing, financial assistance, psychological counselling, welfare of foreign students, disciplinary affairs, sport and leisure activities, lodgings administration and accomodation offices, sickness insurance, pastoral care by the churches - have been extended to become a quantitatively and functionally rapidly growing new professional sector for academically trained persons, with dozens of specialist organizations and journals of an applied psychological kind underlining the professional character and professional status of this work. In this connection, the specialist journals listed in chapter A4, Section USA, in the Bibliography (and in the Supplement) are a first instructive source, together with the regular numbers on guidance and counselling in the Review of Educational Research as well as the following monographs, literature reports and strategy articles on the welfare and administration of students: Korn (10099), Stroup (1459-60), Shafter and Martinson (10638), Hanfmann et al. (8093) Siegel et al. (eds. 12724), Hardee (361), K. H. Mueller (373), Henry (ed. 1323), E. G. Williamson (394), Kimble (17054). (Cf. also Subject Index 3.1.4; 3.1.5; 3.6; 3.7; 3.8; and 3.9, as well as the strategy paradigms in rows b and c in Figure 4). Further specialized theme complexes that would merit a separate comparative (by countries) reportage can easily be elucidated from the Subject Index, with support from the ecological matrix (Figure 2) and the inventory of research concepts (Figure 4) - such as research into the personal and professional development of university teachers or into the personal situation and development of women in academic educational systems, or research into subjective developmental processes as variously affected by sex or by racial, sociocultural and socio-economic background. The relationship between sexual activity and subjective developmental processes in connection with academic institutions will not be touched on until the following section, because it appears, at least in the perspective of most studies, as belonging to the area of potential psychological disturbances and conflicts in study.

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3. Psychic conflicts and disturbances in connection with processes of academic education and work The following literature survey1 is based on a review of about 500 titles surveys, monographs, articles, and unpublished research reports dating from 1950 to 70 of which 291 appear in Chapter G and some in Chapter A of the Annotated Bibliography, while the rest appears in the corresponding sections of the Supplement Bibliography. Approximately two thirds of these texts have been published in the USA, about 100 in Britain and West Germany, respectively. A type of psychiatric research and psychotherapy in the field of higher education interested to a considerable extent in research results and concepts of social science or co-operating interdisciplinary in the creation of these has developed almost only in the United States. However, there are signs of interesting impulses and first examples of such a cooperation in some other countries, especially Great Britain, West Germany, and Japan. In accordance with the general limitations of this trend report to research methods in social science or related strategies and practices of social technology only those psychiatric or clinical-psychological studies in the field of psychic conflicts and disturbances in connection with academic education and work processes were considered which contribute to social scientific knowledge of the university or the academic professions and enable or strive for a minimal interdisciplinary, theoretical or research policy-oriented communication with the disciplines of the social sciences. Excluded were studies utilizing students only because they are easily approachable as an experimental population and those which do not relate their socio-technical intensions (hygiene, operational safety, insurance) to the aims and structural problems of academic education and work. Studies dealing with somatic medicine were not considered either - not because of the limitation on psychiatry but because to date there have been hardly any connections with social science 1. This section is largely based on a literature report by Klaus Dorner (18) produced on behalf of and in close co-operation with the authors of the Trend Report. His analysis of the literature combines the review of research results and therapeutic strategies with a scientific sociological approach and a substantial critique of the entanglement of psychiatric work in higher education with ideologies and institutions of social dominance and oppression. This section, however, is confined to a survey of literature according to predominantly epistemological heuristic and ecological-taxonomical aspects.

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research into higher education 1 . Finally, psychological studies were excluded, if they dealt neither with psychic disturbances or deviations among students or academic people, nor included the conditions of the university or the professional institutions in their designs. The outline begins with remarks on the epistemological and socio-institutional structure of the social psychiatry of higher education and academic professions, followed by notes on the concepts and paradigms of research and therapy and by a topology of the literature according to taxonomical and ecological aspects. 3.1 EPISTEMOLOGICAL PROFILE

The interdisciplinary social psychiatry of academic education and work processes which is now being formed contains a manifold concentricexpansive potential of epistemological perspectives : Its origin is the traditional institutional base at the universities and colleges, its official responsibility for the psychic 'health' of individuals if they are students -only recently have professors become its official clients in the USA - i.e. the perspective of individual psychiatry and psychopathology, a combination of pragmatic clinical knowledge and therapeutic practice. Because of its connection to the public health policies on social hygiene, especially in Great Britain, and to the mental health movement in the USA since the Twenties, social psychiatry of higher education views itself to be more co-responsible for the healthy or disturbed functioning of the total student population, necessitating research in epidemiology, normative problems in health education, of mental hygiene or mental health programmes and strategies of psychiatric institutional therapy such as prophylaxis, preventive treatment, group therapy, and rehabilitation. It is on this basis that the psychiatry of higher education has extended its own understanding and its practice - at least at a number of élite universities in the USA (30-40) as well as in a few centers in Western Europe and Japan into several directions: (a) into positivistic research in the social and behaviour1. For an exception see the programmatic outline by Dòrner (12908) of an investigation into the relationship between ideologies specific for educational fields, images of society, habitual living practice, and syndromes of psychosomatic diseases of students in the West German university system. Another approach to socio-psychiatric-somatic research methods could result from the empirical research on the correlation of psychophysiological and social factors in higher qualified learning and research processes (cf. French et al., 3338; E. F. Muller, 14337; Siemienski, 4132). 351

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al sciences of the co-variants of psychic disturbances with socio-cultural and socio-economic factors, (b) into the social philosophy of the mental health or illness of intellectuals and students influenced mainly by psychoanalytical 'revisionism', and (c) above all into a branch of the professionalized social technology or applied research on higher education, co-operating with the administrators, planning technicians, statisticians, guidance counsellors, specialists for educational methods, and diagnosticians of aptitude, ability and achievement. In its latter function, it strives not only for preventive treatment and rehabilitation with a normative programme of principles and content of mental hygiene in human relations - aimed at the whole student body and the university administration, but being part of an interdisciplinary social technology it desires to intervene on an administrative basis in the longer range institutional variables of the conditions for the elimination of disturbances already in the perimeter of such normative group communication, e.g. with strategies for the reform of the school system, for stronger and earlier loosening of the ties of students with their families, for the early stimulation and facilitation of specific forms of subculture, for avoiding or decreasing too high levels of expectation among freshmen (cf. the concept of'cooling-out', section III.2.2.5). Contradicting this one-dimensional social technology utilizable for optional domination contents and aims another potential for greater knowledge inherent in psychiatry of higher education has been expressed by a few dissenting voices: the attempt to relate humanistic-enlightened traditions of the theories of education and science to the knowledge of psychodynamic conflicts and their explanation in intersubjective communication, be it on the basis of a subjective-idealistic or liberal attitude (cf. the conceptional studies by Sanford, Freedman, R. W. White, Chickering, D. H. Heath, J. Katz, C. Bay) or based on a fusion of the critique of the political economy of advanced capitalism with a (non-revisionist) metapsychoanalytical critical theory of drive structure and society (cf. H. Marcuse, Habermas, Dorner, Reiche). Epistemological profile and differentiation overlap here, as frequently is the case, with controversies on scientific theory and - in view of sociotechnological intervention - on social politics. Because the psychiatry of higher education is closely entwined institutionally with the university, in two directions: - on the one hand with its administration, the professionalized care and control of students as well as the centers for didactics of higher education and institutional research being formed, and on the 352

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other hand, with different institutional forms and disciplines of social science in the university - social psychology, sociology, social work, social medicine - , it seems worthwhile to outline - so to speak - an epistemographic sketch and a sociological profile of the academic-institutional embodiment of socio-psychiatric studies and therapeutic strategies at the universities and their inherent interests in knowledge and action. 3.1.1 Epistemographic profile of the institutions involved In the attempt to establish a typology of the institutions sponsoring the research, the following possibilities have to be differentiated: a) The overwhelming majority of the studies was initiated and enacted by the 'student mental health units', thus by the direct sponsors of practical treatment for students. In most cases, these institutions are attached to the 'student health services'. Furthermore, the emphasis of the research depends upon whether there are stronger organizational and informal relations to the Medical School, the university administration or the Department of Psychology. Of further importance is the interest of the person in charge of the research, especially with regard to a predominant psychiatric-clinical mental health, educational-psychological or sociological orientation. Thus, studies from Yale are more interested in mental health, experimental psychology and epidemiology (Davie and Rust, 8052-60); those from Harvard in mental health (Farnsworth, 8061-70) and clinical psychiatry; those from M.I.T in the sociological context (Snyder, 8169-72); and the Vassar study in psychology and education (Sanford, 8161-62) and in relations to authority structures (Freedman 3337). The most important studies originated from the Psychiatric Services of Yale (the volume edited by Wedge, 8191), several studies by Davie and Rust (8052-60), and Straus (3765), from Harvard (the volumes by Blaine and McArthur, 8028; the Harvard Student Study, several articles and monographs by Farnsworth, 8061-70; bibliographies by Funkenstein, as well as studies by Umbarger et al. (19106); the book by White, 8196; and the research reports by Roe, 3671-79, from the Center for Research in Careers), from Yassar (Sanford, Freedman and some of the authors of the compendium 'The American college'), and from Cornell (Darling, 8051). Relevant studies originated from the mental health units at Purdue (Wilms, 8206-7), Florida (Wright, 8208), Kansas (Whittington, 8199-8203), Colorado (Frank, 8074), Berkeley (Bruyn, 8040-41), Rochester (Braiman, 8038-39, 353

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and Davy), Princeton (Pervin, 8149-51) and Stanford (Paulsen, 8147) in the USA; from Cambridge (Carpenter, 8211), Oxford (Lyman, 8226; Parnell, 8236; Spencer, 8238-39), London (Malleson, 8227-8234), Edinburgh (Kidd, 8222-24, 19115), Leeds (Finlay, 8218 and Still, 8240) and Brighton (Ryle, 19112-125) in Britain; from other Western European universities: Göttingen (Schaltenbrand et al., 8249), München (Kahleyss, 19137), the Freie Universität in West Berlin (Lange-Undeutsch, 8247; Bacia, 8244); Paris (Brousselle et al., 8251), Amsterdam (Vali-Wohl, 8264), Groningen (Heringa, 8259), Helsinki (Alanen, 8256; Kaila, 8260; Marin, 8261), Napoli (Carotenuto, 8257), Florence (Mori and Jandelli, 8262), Milano (Cesa-Bianchi, 8258); from Japan: Tokyo University (Akimoto, 8265), the Gakusei-Mondai Kenkyûjo (Institute for Student Problems, 8266), Hiroshima University Student Bureau (cf. 8273-76); and, finally, from Singapore (Kadri, 8284, and Murphy, 8286). A few of the student mental health centres mentioned were organized or sponsored by student governments : the centres at the Freie Universität, West Berlin; München; Paris (Fondation Santé des Etudiants de France); and Helsinki. b) In the USA psychological counselling centres at universities and colleges have contributed studies, e.g. at Brandeis (Hanfmann, 8093) and Minnesota (Berdie, 8023). c) In particular some of the more recent interdisciplinary projects and studies-in-progress have been based jointly at health centres and in departments of sociology, e.g. the Harvard Student Study (King et al., 19070), a project at the University of Göttingen (Schaltenbrandt et al., 8249) and studies at Helsinki (Marin, 4034, 8261); or they are run by newly established centres of social science research in education, e.g. at M.I.T. (Snyder, 8169-92). d) the following psychiatric clinics and institutions contributed studies : the Camarillo State Hospital, University of Temple (Abrams 19018), the Columbus Psychiatric Institute, Ohio State University (Rettig, 3663-65, 3100), Washington School of Psychiatry (Lifton, 8127), the Alanson Institute of Psychiatry, Psychoanalysis, and Psychology (Kohn and Levenson, 8108), the Psychiatrische Klinik und Poliklinik at the Freie Universität in West Berlin, the medico-psychological clinics 'Dupré' in Paris and 'G. Dumas' in Grenoble and the medico-psychological institute at the University of Milano ; e) Studies were published by Schools of Medicine at Dartmouth (Segal, 354

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8165), North Carolina (Curtis, 8049), Hamburg (Mokhtari, 19015), Edinburgh (Kapur, 19114), Tokyo Medical and Dental University (8272); f) Other significant studies were contributed by the Group for the Advancement of Psychiatry (GAP) in the USA; g) A study of a practicing psychoanalyst from New York (Pratt, 8013) is also worthy of note; h) Studies originating directly from the (u.s.) National Institute of Mental Health (NIMH) were made by Silber et al. (8176), Vogel (8278-79) and Lambert et al. (1172, 3085); i) The (u.s.) American Council on Education sponsored studies by Eddy (1291) and by Lloyd (428) among others. j) The (u.s.) Social Science Research Council made studies by Bennett (1137) and Morriset (10109) possible. k) International health and welfare organizations such as the World University Service (wus) and the World Federation for Mental Health have published international surveys of student health services or of personnel policy-oriented topics (cf. 19017). 1) The us Peace Corps and the West German Government Department for Development Policy (cf. 19012) have sponsored interdisciplinary sociopsychiatric projects on students and personnel from the 'developing countries' in the context of'development policy planning', m) Training centres of the armed forces supported a number of relevant mental hygiene projects, e.g. the Military Academy at West Point (19066, 19107) and Fort Ord (19047). The organizations and foundations which initiated research or else made it financially feasible - the student psychiatric services do not have research funds at their disposal - are too numerous to be mentioned here. In attempting to create a typology of those social science disciplines and sub-disciplines with which the psychiatry of higher education is commonly seeking to research the problems of universities and colleges it is best to proceed from the description of the typical structure of a 'Student Psychiatric Service' by Darling (8051): psychiatrists, psychologists, psychiatric social worker. Psychiatry today, working in the closed university community, is no longer purely clinical anywhere, but views itself more and more as social psychiatry, at times even as 'educational psychiatry' (Farnsworth, 8066); i.e. its responsibility is extended onto the whole community, onto all social relations. Declaring itself, therefore, also responsible for the healthy majority of the individuals, at least with a 355

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preventative intention, it more and more takes into consideration the planning and realization of mental-health-programmes among its present objectives, a perspective conceptualized by NIMH (The National Institute of Mental Health of the us Government) for several social areas and national problems (Duhl, 19049). As a rule, university psychiatrists state the ratio of necessary time for individual disturbances and community problems, respectively, as being 1/2:1/2 or 2/3:1/3. This trend towards mental health activity has two consequences for the psychiatrist originally educated clinically, predominantly in psycho-dynamics, and poorly equipped for quantificative research: He must seek assistance from other sciences, and he will usually do this on the basis of a research orientation which is practically applicable, technical-manipulative and administrative. This means, supportive research is demanded of basically the same sciences as in the case of the 'administration of student personnel work' (Mueller, 373): i.e. of psychology, sociology, 'administrative research' and 'technical research'. Even the specific material of psychiatry, the psychoanalytic examination of individual curricula vitae, had to be redefined in an anti-psychoanalytical sense, so that the concept of development could even be applied to college-age individuals. The close practical co-operation with psychologists and their superior research training as well as the new postulate to judge and to change 'normal' people resulted in by far the closest research co-operation between university psychiatry and psychology, namely in the field of personality psychology as well as psychometry. Even the epidemiological and ecological (also the few sociometric) analyses necessitated by the mental-health activity are mainly carried out for this reason by psychologists even today. At the same time, the psychologists are apparently expanding their activities in psychotherapy, facilitated by the tendency of both theory and therapy away from psychoanalysis toward short-term psychotherapy. Contrary to the dominating terminology, there exists relatively little co-operation with sociology corresponding to the conditions of the Psychiatric Service, where sociology is neither socially nor scientifically represented on an equal level by the psychiatric social worker. Although the necessity of sociology is stressed constantly, in the first place what is meant, essentially, is only the necessary description of the setting or stage where the actually important processes - because of their dynamic nature - take place, and secondly even this work is assigned to psychologists most of the time. Possibly, a change has taken place recently (Harvard 356

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Student Study, M.I.T.), but it is questionable here also as to whether the sociology involved is to contribute more than an organizational analysis. This corresponds to the role assigned to sociology generally in mentalhealth research by Clausen (19040): it has the task of carrying out research on the ecological structure and on opinions. However, Clausen adds critically, that for the improvement of research, relations to historical science, economics and political science are urgently necessary in this context. In a similar way, Riesman (1430) demands the connection of the newer social sciences to historical science and economics, in order for them to succeed in the discovery of the decisive factors of a phenomenon instead of enumerating all its relationships to a multitude of factors. It must be added that emphasis must be shifted also within the sociological sub-disciplines, which have been drawn into psychiatric university research thus far: While organizational sociology, ecology, sociography, sociometry, communication research, opinion research have been considered so far (especially in affinity to administration research), to a large extent aspects of both the sociology of knowledge and of science are still lacking as well as historical and political sociology. The Peace Corps model would have the opportunity to bring university psychiatry closer to cultural, anthropological and ethnological viewpoints (Leopold and Duhl, 8120), were the administrative-psychotechnical-manipulative character not to be emphasized even more. Kubie's concept (8113) of a socioeconomical psychiatry (concerned with the calculation of psychic and economic costs of creativity abrasion) can indeed be considered to be an exceedingly productive approach, but his concrete research planning is also limited to a team of psychiatrists, psychologists, social workers and education scientists. The relations to the humanities are not very strong. Although Sanford belongs to the few who strongly emphasize in their research pedagogical (university-specific) means, as against the mental health model, this does not transcend the model of personality psychology. Philosophical reflections consist predominantly of pessimistic-idealistic cultural criticisms, which although only hinted - influence the tenor of the research, while optimism is confined to the hope for technical improvements (Freedman, 3337). Where the category 'understanding of subjective intentions' is exerted, as in the case of Berdie, 8023, it also serves adaptational psychology; at the same time, the author demands, however, a new education in the spirit of phenomenology and existentialist philosophy, a tendency 357

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which may become more and more predominant in future university psychiatry (cf. also McBrearty, 8131). 3.1.2 Sociological profile of the psychiatry of higher education We have listed here those institutions and organizations whose interests directly or indirectly influence the emergence and the problem formulation of psychiatric research in higher education or are stimulated by the question of applying such research results. The interest in this field of research is most intensive among the organs of university and college administration, of which the 'student psychiatric services' are a part. Parallel to the 'counselling services' with which student psychiatry co-operates anyway - at least in practice - the strongest interest exists among the admission offices, examination offices and all those administrative centers concerned with, and attempting to influence, the positive or negative balance in the attrition statistics of the university. Therefore, it is understandable that university psychiatry concentrates such a major portion of its research potential on drop-outs, selection effects, under- and over-achievement and - to a lesser extent on examinations. As a rule, the purpose is to prove that the emotional situation was more important for success or failure in studies than the intellectual. On the other hand, these results give the administration (the deans of students and other officers of 'personnel work') more weight relative to the faculty, for it is responsible at the same time for the emotional well-being of the students, for the multiple areas of extra-curricular college life and the general moral training of students. Thus, the second major psychiatric research complex serves the interests of the university administration to no lesser extent and must at least partially be attributed to the school administration: the research on college-adaptation, how to relieve the need pressure of the individual, to make achievement pressure tolerable, and to provide an overall satisfying college experience for all students - as Farnsworth points out: 'mental health' as the 'poetic element' of college education. An especially good example is given by Wright (8208). University psychiatry serves the administration's interests also in a third important functional area - that of discipline. This is not only done by transferring difficult, behaviourally disturbed students to the psychiatrist, but also by research and mental-health planning in which the uni358

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versity psychiatrist proves that such a preventive programme is particularly necessary for the restless college age group, because each student is potentially exposed to respective behaviour disorders, as well as to participation in peace-disturbing student rebellions (Davie, 8054; and Braiman, 8038). Efforts to avoid the administration's influence on research topics and on their mode of realization-with all of the possible consequences - are expressed, for example, in the desire, voiced by some university psychiatrists, for immediate subordination under the university president or for a separate and independent research institute, for only such a center would be in a position to study objectively an institution of which it is itself a part (for example, Kubie, 8113). Far fewer common interests exist with respect to the faculty and the organs of academic self-administration. It is mentioned frequently that psychiatric research on higher education and mental-health planning is hindered especially by the faculty. Usually psychiatrists atrribute this attitude to a feeling of resentment imputed to the backward humanities still dominating the faculty; however, it seems instead to be a somewhat helpless defense attempt on the part of the faculty - in the face of scientifically and administratively authorized enterprises claiming to relativize the intellectual educational efforts of the faculty onto a broader - emotionalpersonal - educational scale. On the other hand, it is the main task of mental-health planners to obtain the co-operation of the faculty, but above all, of the student councils and unions in accordance with the central principle of positive mental health to transform imposed demands into self-responsibility, delayed satisfaction into self-restraint, discipline into self-discipline. Lately, mental health-projects are initiated for certain professional disciplines, for example, engineers (MIT) and teachers (Peck, 19088). Conflicts of interest can arise here over the principle of confidence, if professional schools demand information on students undergoing psychiatric treatment (Blaine et al.,in: 8067). This may become more acute, if the administration demands that the known homosexuality of a teaching student is made public to the faculty, because such a coincidence is prohibited according to the laws of many states (Hahn and Atkinson, 19064). Finally, the 'Mental Department' has a science-systematical interest, because of the perceptible tendency toward increasing interdependence among the Student Health Services (organizationally and scientifically) as a component in the establishment of an intermediary 359

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youth medicine between pediatrics and adult medicine (Moore and Darling, 8135). Psychiatric research reflects little upon business, associational and other public interest, but rather assumes that these interests - particularly those of business and industry - have alienated the university, to the point where it has become a training center for their interests, and is thus to be fought. Only in exceptional cases is the function of the university in professional training included in research approaches or are mental-health programmes openly asked to adopt business selection and management methods in the university (Peck, 19088). It is also a question as to what extent the mental-health activity of the psychiatrists - contrary to their expressed self-concept - does not nevertheless promote increasing achievement pressure on a psycho-technical level - thus operating quite functionally according to business interests. Kubie's psycho-economic concept of creativity (8113) at least allows for both possibilities. A large part of the research mentioned in connection with university administration could also be interpreted as mere assistance to the productivity increase of universities. This also holds true for the influence of psychiatry in granting scholarships to students according to criteria of mental health and vitality. (Farnsworth, 8062, for West Germany, Bochnik, 19131). On the other hand, psychiatric research on higher education depends for funds almost completely on private and public foundations whose influence on topic selection and whose striving for immediately practical and realizable results is described by Luszki1. Psychiatrists at smaller colleges have to earn part of their living through other activities - for example, private practice. The relationship of university psychiatry towards the parental family of the students is ambivalent on the theoretical level: just as the break with the parents can figure as a symptom for non-accomplished identity formation, the non-accomplished break with the parents is considered to be the cause of neurotic disorders and of 'dropping out' (Kohn and Levenson, 8108). Among minor students (as patients or as test subject) legal dependence on the parents is an additional factor. On the other hand, pressure by parents organized in alumni-associations on certain mental healthprojects or on efforts for sexual education may have a restrictive influence - namely directly or by indirectly influencing the administration. In any event the pressure on the administration by various institutions may have 1. Luszki, M. B.: Interdisciplinary team research methods and problems, No. 13 of the Research Training Series, New York, 1958.

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an immediate effect on psychiatric research activity - correlating to the administration's fear of such pressure and its publicity, as, described by Straus (3765). The alumni organizations and citizens' councils of univei sity towns may have a similar effect to parents' pressure. The same holds true for the churches which, on the other hand, may be apostrophized by psychiatrists as a source of relief and satisfaction, thus as a means for adaptation for students. Pressure by the government or its agencies is assumed, in the USA only in general terms. Since World War II and especially after the Sputnikshock the university is tied to the national interest too directly. On the other hand, it is emphatically stated that psychiatry with the mental health movement has assumed responsibility for the whole nation (Duhl, 19049); in addition the priority of 'dropout'-research is often legitimized by its national importance. The US Army and Navy have always been interested in methods and organizational forms of psychiatric student care, taking it as a model as early as World War II, as illustrated in Moore and Darling (8135). The never fully solved problem of the confidence principle is posed especially, if government agencies (especially military and secret services, FBI, CIA as well as the Peace Corps Administration) demand information (Brill, 19034; Blaine et al, in: 8067). Doubtlessly, the university psychiatrist is dependent on the interest direction of the National Institute of Mental Health (NIHM) and consequentially on the Federal Department of Health, Education, and Welfare. Numerous studies are initiated, carried out, and financed by this institution. Today it is interested namely in research following the concept of mental health in 'drop-out'-research. An extremely good example of the polyvalent interests a university psychiatrist has to consider is his service in the Peace Corps programmes run by several us universities: he not only has to take into account the influences of different groups and institutions at his university, but also those of several Federal departments (State, and Defense, NIMH, Agency for International Development). On the one hand, he has to win the special confidence of Peace Corps volunteers, on the other hand, he has to participate in their selection and if necessary, his duty as a civil servant is to take direct disciplinary action against individual participants - especially overseas. In cases of student criminality, the university psychiatrist may finally come in contact with the law as an expert; this is not the least important 361

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reason for his authority status in the team of 'Student Psychiatric Service'.

3 . 2 THEORETICAL POSITIONS

Nothing unifies the different approaches in higher education psychiatry more than the rejection or the extensive limitation of the validity of psychoanalytical theory - together with the use of its terminology and tools, at the same time. The generated 'reaction' against Freudian theories is here not so much directed at cultural-theoretical or socio-psychoanalytical revision, but it is mainly an attachment to the psychology of the ego and to a theory of personality oriented to the psychology of development. The primary condition for this is the manner in which the university psychiatrist views his object and in which his task is defined: he deals with young people between the ages of 17 and 22, and it is assumed that they are still in a position to be changed and shaped as a totality, as a personality; this change, as a process of adaption to certain expectations must be promoted by the psychiatrist. He must therefore reject the determinism based on early childhood developments and assume the ability to change at a later age also; furthermore he must diminish the significance of sexuality as against the ego functions - and this in view of his research situation: the university. As a consequence, university psychiatry refers most strongly to the ego-psychology of Hartmann and Rapaport, for example Wedge (8189), Namnum (8138), Snyder (8171), Bios (8030). But the necessity of demarcating their own position from the central university function of intellectual education itself leads some authors to refer equally to personality psychology, in particular to its aspect of totality, for example Sanford (3695), Farnsworth (8062). Possibly the influence of Erikson is even clearer, whom few research approaches overlook. This is because the identity concept, the idea of a moratorium as well as the accentuation of development seem to be especially suited for research on the student age group. To be sure, recently it has been denied that the concept of a moratorium can be upheld in the context of achievement pressure at universities (Braiman, 8038); in addition it can be asked whether the transference of the Eriksonian model onto students has not made them more adolescents and less adults than would be appropriate to the goals of higher education. This has considerable consequences for 362

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the correct or incorrect understanding of students by the university. Yet it is hardly exaggerated to state that ego-psychology and Erikson have most strongly influenced the theoretical orientation of university psychiatry in the last decade. Ego-psychology also largely determines that application of the interaction concept which in the more recent studies is used to define the relationship between student and his college (Snyder, 8171; King, 19070); because this concept concentrates less on drive conflicts, than on ego strength and its functions - related to the ability to adapt to reality. From emphasizing such categories (adaptation, reality mastering) and stress research to studies on satisfaction with the college there apparently is a trend in the direction of a stronger orientation towards neo-behaviourism, somewhat in the sense of Mowrer (19084). Elements of this kind can be found in the studies by Davie and Rust (8052-60) or in Eddy (1291) and in Peace Corps Planning (Frank, 8074). The stronger consideration which neobehaviourism gives to social and moral determinism, the problem of freedom and individual guilt or responsibility, leads to the expectation that an orientation towards existential philosophy will be of more, possibly even dominating importance in the future, signs of which cannot only be found in Berdie (8023). Even today sociological theories find little application: King (19070) refers to rôle theory, Bowers (3193) emphasizes in his approach the importance of peers as subculture and uses the anomie concept of Merton. All these theoretical references also play a rôle for mental health-planning, but also here it is mainly ego-psychology and personality psychology, which in Farnsworth's opinion is identical with mental health aims. Here both theories have the predominant function of bridging the gap between the originally psychopathological approach of the psychiatrist and that of the mental health planner who relates primarily to healthy individuals whose ego strength is to be preventively increased. In the area of psychotherapy reflection on the dominating theoretical influences also takes place : 'short psychotherapy' with its partly suppressive methods stemming from the 'Menninger school' is practiced predominantly in higher education psychiatry today and conforms to egopsychological concepts : to leave untouched as much as possible the deep, subconscious traumata and the defense mechanisms and therefore direct the focus to the strengthening and integration of the ego functions. The fact that, especially students are responsive to this method is derived from 363

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Erikson's development theory. Personality psychology and theory of interaction motivate the active role of the physician during therapy, and the instruction not to confront this patient as a father figure but as a total personality. Neo-behaviourism which does not want to acquit the neurotic person of being responsible for his own condition as does psychoanalysis, but even forces it onto him as something to be admitted, influences the more recent type of reality therapy in Glasser (19059) and psychotherapy according to Haley (19065), working at the same time with communication theory and cybernetic models; both are gaining an increasing influence on student psychotherapy, as Frank (8075) shows.

3 . 3 CONCEPTS OF RESEARCH AND THERAPY

The number of concepts applied, i.e. the theoretical-terminological framework in which perceived problems are formulated, is astonishingly smallat least if we limit ourselves to significant studies. The concept (or the concepts) of perceived 'stress' and successful or satisfactory adaptation to it are most widespread today. The accent lies here mostly on the reaction of the subject in and towards a given social environment. In this manner the Yale research group (Davie and Rust, 8059; Davie, 8053) have conceptualized the ego-psychological emphasis on adaptation to outside demands ,'reality mastery, for the student age and college situation. Several problems have been worked at according to this model: the degree of content of students with the college, student achievement in relation to ability, stress problems of students (also independent of the Psychiatric Service from an epidemiological point of view), student behaviour, and - permeating all other topics- the question of the students' necessary flexibility and adaptation readiness 'to formal and informal educational influences which on the whole reflect the orientations and values of larger segments of society'. However, many other studies also emanate from the same approach, the problem of adaptation to subjectively experienced stress: Wright's (8208) 'release function' of non-academic areas for less satisfying academic areas makes clear the difficulty this concept presents in finding indicators for objectively existent stress; the distinction between 'defence' and 'coping mechanism' as a means for adaptation to exam situations (Mechanic, 8132), which are described as a communication system, or at the transition from high school 364

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to college (Coelho, 8045); the analysis of needs by Abrams (19018) also belong here; this is also true for Berdie (8023) and Frank (8075), whose approaches are related to the ambivalence model and communication theory, respectively. Snyder's concept (8170) must be viewed here as another conceptionalizing model: on the one hand, his problem is adaptation to a certain stress, on the other hand, however, he asks for its'psychic costs', i.e. the possibility of identity conservation in a changing situation conceived as interaction which leads to the definition of the education situation as a social institution in which one group tries to change another according to its aims. The problem of this concept, expressed in the relation between its central ideas - 'change and identity - is to be overcome by concepts of learning and personality psychology: here the conservation of identity is not so much at stake but rather its achievement - by the student's willingness to be changed by the college in this direction or towards personality synthesis and integration. This model has been carried out most clearly by Sanford or in the Vassar Study (3695, 3697) with the main emphasis on a typology of personality change, i.e. (methodologically speaking) on personality variables, rather than on sociological analysis. The latter, on the contrary, is considered more strongly in the Harvard Study (19070) and in the comparative college study by Bowers (3193-94); here the partners in the interaction - student and college - are already given more of an equal consideration, at least in the analysis. Moreover, the Harvard Study group makes an effort not only to determine the extent and direction of personality change but also to master another difficulty of the 'change-identity' concept: they attempt to discriminate 'change' as an effect of college-interaction from 'change' as natural maturation. - A somewhat different concept was used in the experiment at Pennsylvania State University: here Ford and Urban (18063) attempted to decrease the dropout-quota by manipulatively changing student behaviour and college situation. A theory of conflict approach such as Riesman's (1430) criticizing the'change'-concept (change would only be possible as a negation) has so far neither here nor anywhere else been conceptualized within the realm of higher education psychiatry. With the 'mental health movement' increasing its influence on the psychiatry of higher education more and more studies are conceptualized in this sense. Moore and Darling (8135) show that the 'mental health'-concept in the area of the university also originated in the hygiene movement 365

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at the turn of the century. Ruesch and Bateson (19091) describe its five psychiatric roots: psychoanalysis, psychobiology, experimental and social psychology, mental hospital psychiatry, and neuropathology; today this would be connected above all with the concept of group interactions. Through this the approach aiming at 'programmes' of applied science became comparable to the work of the engineer; concepts of 'communication research' close the gap between theory and practice. Beyond that, the 'mental health'-concept seems to combine the integrative factors of the 'stress-adaptation'-concept and the 'change-identity-'concept in the area of higher education. This is also the direction of Sanford's cautious criticism (3697) that 'change' does not allow for a sufficiently 'open' definition from the aspect of 'mental health', and Luszki's critique 1 that 'mental health'-definitions leave too much to be desired (for example, 'constructive community behaviour') and impede the research participation of sociology and anthropology. Decisive for this concept is the extension of the definition of'illness' also to those individuals who do not admit their suffering to others or even to themselves (Reik, 8154) - up to concepts such as'distress' or'stress' - and the simultaneous liquidation of the very notion of 'illness' by precisely these concepts and by not anymore seeing the problem as illness but as optimal health and harmonic adaptation to the social system (Malleson, 8227). The instruments of the 'mental health'-concept are therefore also applied decisively to the'healthy' part of the population, only secondarily to the 'sick' part, cf. Rust (8056), or Bower (8034). If - as White (8196) criticizes - the concept of adaptation adopted and optimally idealized by the 'mental health'-concept remains unhistorically connected to the psychopathological origin of the model, the concept of 'change' is thus integrated into the 'comprehensive system approach' of the 'mental health'-concept; thus Duhl (19049) considers the Peace Corps an ideal example for mental health-programmes with the function to allow 'change' only 'within the established order'. From the point of view of this claim of total comprehension and control of a social system or else all social interactions it must be regarded critically, if Farnsworth (8062) ascertains the consistency of the 'mental health'-concept and his 'personality' model. This holds true above all, if a psychodynamic approach in the framework of 'mental health' claims to accomplish within an educational 1. op. cit., p. 350 note 1, above.

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system as much or more for the development of an individual as intellectual education, if psychotherapeutic methods are transferred to the educational system, or if psychodynamics thus defined is declared a model for the educational process. These dangers have to be pointed to in Farnsworth' (8066) 'educational psychiatry', but also in Mueller (373), Cutler et al., (19045), Hollister (8100), Katz (in: 3697), Lifton (8127), and even in Sanford (3697).

3 . 4 TOPOLOGY OF THE LITERATURE ACCORDING TO TAXONOMIC AND ECOLOGICAL AREAS

The inventory of research and therapy literature partly follows the principles of a taxonomy of research and therapeutic tasks of the psychiatry of higher education, the dimensions being pathology, epidemiology, therapy, preventive treatment, rehabilitation, organization, and partly the criteria of psycho-social ecology: stages and situations of the achievement biography, personality development and human relations (family, social class, sex, subcultures, leisure, housing) with its concurrent specific triggering and modifying conditions for psychic disturbances and conflicts. 3.4.1 Pathology of the individuals and of populations 3.4.1.1 Clinical syndromes The basis of psychiatric research on higher education is the extrication of college- and age-specific syndromes using single case descriptions. This type of clinical, but nevertheless situation-related description has been carried out ideally at Yale and Harvard and has been published in two collections by Wedge (8191)and Blaine andMcArthur (8028), respectively. Here the theory of neuroses has been strongly rejected in favour of diagnostic characterization of new situative syndromes in correspondence with the shift away from the theoretical basis of psychoanalysis under the influence of the so-called 'cultural school' of psychiatry (Erikson, H. Hartmann, Rapaport). Namnum (8138) develops the syndrome of the 'maladjusted intellectual' who did not succeed in the childhood and puberty task of drive control and identification formation. Wedge (8191) describes a so-called 'adaptive syndrome' - students who have acquired adaptive patterns only for the closest family network lack flexibility for 367

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adaptive compromises in the college situation. Neugeboren (8141) diagnoses a syndrome of'adjustment reaction" - elements of disturbed identity formation emanating from the relationship to the parents. Related to this is the syndrome of the 'identity crisis'1 more closely defined by Snyder and Kaufman (8172). Bios (8030) furnishes a diligent synthetic description of many of these phenomena in the development of the basic syndrome of middle class-specific 'prolonged adolescence1. Special reactive syndromes on the basis of this fundamental problem complex are described by Walters (8181): the state of'student apathy' (indifference, inertness, fatigue, indolence up to melancholy): cf. here in West Germany the syndromatic studies by Ziolko (19158-19167) and Sperling (19154), by Kysar (8116) on depression of female students and by Blaine with the syndromes of 'distress' and 'stress' during the identity crisis. Related to 'student apathy' is the syndrome of 'acute distress' diagnosed by Ischikawa (8268) and the syndrome of ''low depression' identified by Ellis (19051). The illness known as 'neurosis' in general psychiatry is diagnosed with college-specific modifications with respect to its appearance and development by McArthur (8130) among others in the USA, Ziolko (19158), Gebauer (19134) in West Germany, Brouselle (8251) in France. The counterpart of the neurosis, the so-called 'basic character disorders' or 'behaviour disorders' are described by Blaine and McArthur (8027): the unrestrained release of impulses and aggressive behaviour patterns. Cochran (8044) conceptualizes such patients also as 'psychopaths', 'socio-pathic personalities'1 or 'anti-social personalities'. Also working on the syndrome of impulsive behaviour is Sanford (1444). In this context the deviating manifestations of sexuality, especially homosexuality are also often included. Hart (8095) described the syndrome of 'acute homosexual panic' as a defence compromise of latently homosexual students. Psychoses are least considered in the literature of higher education psychiatry, as they are most independent of the environment and most similar to somatic illnesses: cf. in West Germany Albrecht (19129), in France Brouselle (8251). The syndrome of 'college phobia' is described by Hodgman and Braiman (19067). Only rarely is any attention given to the significance of Vegetative reactions and the somatic context of psycho-pathological phenomena. This is touched upon marginally by Mechanic (8132) in the context of examination stress and by Barron (8022) in the correlation of 'personal soundness' and creativity, furthermore by Lifton (4139-40), who evaluates in his study on Chinese refugee intellectuals their experiences with psychosomatic ail368

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ments and their resolution in the process of ideological re-education. 3.4.1.2 Alcohol and drugs College-specific situative syndromes of alcohol use have been analysed by Straus and Bacon (3765), Sanford (19092), Sanford and Singer (19092). (Cf. further Rogers, 8156; Park, 8144; 'Alcohol and college youth', 8016; Williams, 8204). Together with the rapid spread of hallucinogenic drugs, contrary to narcotics, the phenomenological and syndromatic study of related reactions patterns and their connection with other syndromes has begun in the USA during the last four years: cf. the studies by Fisher (8072), Liebert (8126), Eells (19050), Kleber (8106), Solomon, ed. (19099), Hollander ed. (12543), Goldstein (19060), Nowlis (8142), Walters (8182), Carey (19039), Davis and Munoz (14147), Bryn (8041), Wölk (19109), Mauss (19080), Keniston (12574), Blum et al. (19032). From other countries, however, no studies are known yet. 3.4.1.3 Suicide Syndromatic and epidemiological surveys of suicides among students were of great importance for the promotion of student psychiatry in Great Britain, Japan, and partly in West Germany. A methodologically differentiated study was made by Bruyn and Seiden (8041); cf. further for the USA Temby (8177) and Seiden (8166), also Blachly et al (19001) on suicide in professional groups Braaten and Darling (8036), Parrish (8146); in Great Britain Carpenter (8211), Lyman (8226), Parnell (8236), Atkinson (19111), Rook (8237); in West Germany Lungershausen (19140), Schwartz et al. (19152), Wasmund (19156), Schwarz (19153); in Japan Iga (8267), Okazaki (8271), Shindo (8274) and Vogel (8278). 3.4.2 Epidemiology The extension of student psychiatry to preventive therapy for whole student populations and endangered population segments leads to difficulties in defining degrees and tendencies of illness in epidemiology (cf. Smith et al., 8168, in the USA; Franke 8245 in West Germany). In the USA different epidemiological methods and typologies have been developed which are very difficult to compare: cf. Davie and Rust (8056), Segal et al. (8165), Baker (8019), Hanfman (8093), furthermore the epidemiological 369

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aspects of the studies by St. King (19071), V. Ellis (19051). Cf. in West Germany Ziolko (8250), and Lange-Undeutsch (8247); in Great Britain Malleson (8227), Kidd (19115), Davidson and Hutt (8213); in New Zealand Ironside (19128), in Finland Kaila (8260), in Israel De-nour et al. (19176), in Japan Akimoto (8265). Murphy (8286) contributed epidemiological concepts and surveys for a university with students from different Southeast Asian cultures. 3.4.3 Psycho-pathological aspects of academic achievement and failure 3.4.3.1 Learning and mental hygiene A growing trend in research on higher education is the high valuation of affective or emotional personality aspects and the social relations as determinants for the fulfillment or missing of academic functions. This trend is expressed for the area of psycho-pathological tendencies by Bower (98) in his research review and by Farnsworth (8062); further cf. Namnum (8138) and Wedge (8189). Blaine and McArthur (8028) differentiate between neurotoid and unneurotic (intraceptive, emotionally inhibited and instead compulsively intellectualizing) students with achievement disorders. Abrams (19018), Rust (8055), Snyder (8171) Davie (8057), Schoenfeld et al. (14386), Neugeboren(8141), Pervin and Dalrymple (3626), Lief et al. (19077), Hammer (19066), Adsett (19020) in the USA probed covariances between poor achievement and achievement failure with different factors of social origin, college environment, interests and pathological personality tendencies of students in different types of colleges and universities (liberal arts colleges, medical educational institutions, military academies). The conceptual studies by Sanford (3695) and R. W. White (8196) with their emphasis on optimal development of an undecided potential of human possibilities as a guiding principle of liberal education concede a more active role of critical-cognitive functions than many concepts of higher education psychiatry oriented towards an affective determination of rigidly functionalistically defined intellectual achievements in the academic system. In West Germany, Schaltenbrand and Sperling (8249) and Ziolko (19158) have studied work disorders among students, in Great Britain Ryle (19123), Ryle and Lunghi (19124), in Ghana Kline (8281), for the Philippines cf. the conference report 'The problem of student failure' (8287). 370

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3.4.3.2 Prolongation of studies, dropout andfailure In addition to the already studied phenomena of work disorders and under-achievement, more psychodynamic factors emerge in the more clearly visible forms of achievement failure. A critical review of dropout research from a social psychiatric viewpoint is given by Summerskill (3776) for the USA. Locally limited dropout-studies with social psychiatric emphasis were made in the USA by Harrison (8094), Powell (7129), Curtis and Curtis (8049), Wright (14491), Nicholi (19086), Chambers et al. (14118), Suczek and Alfert (19102), Grace (8082), Heilbrunn (3425). Pervin (3005, 7127, 8150, 8151) made an important contribution to the theoretical clarification and specification of psychodynamic concepts of dropout research by trying to determine criteria of 'positive', emancipatory types of dropout without, however, at the same time critically reflecting the social structure of the respective educational and professional careers. Kohn and Levenson (8108) give a report on the results of the 'Community Clinic for College Dropout' supported for some years now by the William Alanson Institute of Psychiatry, Psycho-analysis and Psychology, New York, while Ford and Urban (18063) report on an institutional, partly social psychiatric preventive programme for decreasing the dropout rate at the State University of Pennsylvania. In Great Britain some correlative statistical and psychometric surveys have been published (Dinwoodie and Kidd, 8217; Lucas et al., 8225; Spencer, 8238). More strongly theoretically and methodologically oriented projects concerning dropout and study extension have been initiated by Ziolko et al. (19169) in West Germany. In Japan, an intensive analysis of psychically endangered dropout students (Shimazaki et al., 8272) also reflecting and probing attitudes of patients towards the therapist and vice versa has been completed. 3.4.3.3 Creativity From the social psychiatric viewpoint psycho-pathological tendencies among especially creative individuals in certain cultural activities as well as dropping out and failure behaviour of creative individuals in the academic achievement and professional career system have been moved to the centre of research interest. This interest has been formulated programmatically in the USA by L. S. Kubie (8113), by proposing a'socio-economic psychiatry of students and academic careers' and developing for this, strategies for necessary research. In West Germany Dreitzel (1562-63) has made theoretical contributions to the discussion with emphasis on social 371

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psychiatry. The different theoretical positions in creativity research have already been pointed out (cf. Section III.2.2.3.2). The dangers in the dominant concepts of mental hygiene which seem to promote the elimination of psychically often unstably and disharmoniously integrated creative individuals have been criticized by R. W. White (8196) and Roe (3671-80). 3.4.3.4 Aptitude assessment The preliminary knowledge of the significance of individual variance in personality development as a factor of achievement failure in specific departmental and institutional academic environments point to the urgency of subject-and-profession-specific aptitude assessment and prognosis as part of a preventive social psychiatry of academic systems. The Harvard Student Study (King, 19070), the studies by G. S. Stern (3757), Roe (367880), Strauss (3768), Eiduson (3306-08), Goldschmid (3362), Bereiter (3180), Bereiter and Freedman (3181), Gough and Woodworth (3374) contain approaches for personality-related subject-specific aptitude research among students, scientists, and academically trained professionals. 3.4.3.5 The examination situation Contrary to the structurally dominating position of examinations in most systems of higher education, the social psychiatry of higher education has neglected this research topic for a long time. The few relevant studies make the psychopathogenic effect of socio-structurally determined examination systems apparent. Mechanic (8132) stresses authoritarian social distance between candidates and professors as well as socio-structural class-specific competition and status fears of students in an American university. In Great Britain, Malleson (8229-33) and Still (8240) have also shown sociostructural aspects of the phenomenon of examination-phobia and examination-fear. The study by Moller (8248) in West Berlin concentrates on the considerable feed-back and partly somatization of unresolved psychodynamic conflicts during the period of studies (relation to the parents, social contact disorders, sexual disorders) released by the anticipation of psycho-pathogenic examination rituals (cf. in this context also Ziolko, 19163). Vogel (8279) describes the tremendous stress of entrance examinations in Japanese universities, clarifying in the process the connection to the unstable social situation of the new Japanese middle class after World War II and its psycho-pathological effects on the families tortured by social status fear. 372

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3.4.3.6 The occupational situation of university teachers and professionals There are only interpretative papers - often in connection with the problem complex of creativity - on psycho-pathological tendencies and acute syndromes in professional situations (achievement pressure, competition, failure, occupational change, lay-off, retirement, etc) among academics and scientists (cf. Dreitzel, Kubie, McKinnon, L. S. Feuer, Garmezy) or in connection with personality-diagnostic surveys: Eiduson (3306-3308) Roe (3671-80), Cooley (3243), Brawer (14099) or statistical reports on acute syndromes, for example suicide, in academic professional groups (Blachly et al., 19001, in the USA). On the other hand, there are attempts in the framework of social psychiatric institutional mental hygiene and prevention by psycho-hygienic education to have the university teachers participate (cf. Zinberg et al., in: Ment. Hyg. 47, 1963:108-16 and Paul, 19087) or make them change their behaviour and attitude. 3.4.4 Personality development andpsychic conflicts Erikson (in: 8028) has programmatically announced the claim of many American higher education psychiatrists as 'healers of motivation', of influencing the personality development of the 'average student' thus not any more limiting themselves to only clearly highly disturbed students. Theoretically, this programmatic feeds largely on already mentioned concepts (in section 2.2.3.1, of chapter III) of the revisionist 'cultural school' of psychoanalysis and ego-psychology. 3.4.4.1 Adolescence andpersonality formation On the basis of the studies by Erikson and Anna Freud (19007) as well as of ego-psychology in particular Namnum (8138), Wedge and Davie (8190), Bower (98), Snyder and Kaufman (8172) and Blaine (19030) have attempted to comprehend the psychic problems of undergraduates in the conceptual framework of the psychology of adolescence. 3.4.4.2 Study beginning The transition situation from school, partly also from living at home to university life, has also been interpreted and analysed as a crisis and challenge situation during the adolescent stage of development: Snyder (8171), Wedge (8189-8190), Silber (8167), Coelho et al. (8046) and Coelho et al. (8045), Douvan et al. (3290-92), partly as a potentially critical confronta373

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tion of contradictory cultural value-environments, especially ethnocentrism/authoritarianism of regional and parental origin vs. cosmopolitanism/liberalism of liberal arts colleges (in this sense, in Sanford, 8161), partly as socio-structurally and institutionally determined potentially psycho-pathogenic triggering situation (PreuB-Lausitz, 19147; Goldschmidt, 12925). (Cf. further Eng-Kung Yeh et al., 19110; Fishman, 3327; Sofue, 4090; Musgrove, 3907-08; Dale, 3887; Freudenreich, 3964; Hammond, 237). 3.4.4.3 Personality change and therapeutical-educational implications Some important educational-therapeutical consequences for the psychiatry of higher education have been drawn from the growing trend towards accompanying and prognostic surveys of personality change during the period of studies - with only few verified results on the influence of the university in this matter. Especially Sanford (in: 3778), Chickering (3230), Freedman (3337), Heath (3422-23), Katz (Chapter 12 in 14273) have derived from their personality theories (the guiding principle being the personality rendering optimal flexibility and overtness) and their research results, therapeutic-pedagogical recommendations for the increased 'freeing' of drive impulses, the strengthening of imagination and spontaneity, the increase of interest in conflicts with authorities and intensive, subject matter oriented intellectual involvement. Peck (19088) proceeds in his pedagogical-therapeutic programmatic from a more confined mental health-concept oriented towards adaptation to given achievement requirements also deriving his conclusion from research on personality change during the time of studies. 3.4.5 Inter-human relationships andformation of groups In group psycho-pathology, the trend towards transferring emphasis to non-intellectual personality areas corresponds to the strong emphasis put on extra-curricular social relations as a field for preventive social psychiatry. 3.4.5.1 Family In certain contradiction to this trend is the neglect of social psychiatric studies (in a more confined sense) on the parental family and their relevance for psycho-pathological tendencies among students. However, in 374

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most clinical studies, facts of the family situation appear as one area among others (cf. for example Wedge, 8189). As exceptions, the family focussed studies by Silber et al. (8167), Vogel (8279) and Searles (3709) should be mentioned. In a larger sense some sociological and socio-psychological studies on the relevance of parental influences on the aspiration and secondary socialization of students are relevant in this context (cf. Strodtbeck, 14047; Webster, 3845; Bordua, 7051; Brittain, 14101; Ash, 14064). 3.4.5.2 Social class Corresponding to the considerable quantitative formal expansion of higher education in the USA in the form of several class-specifically frequented quality sectors and types of higher educational institutions, the research interest in potentially pathogenic consequences of rapid social climbing of a minority of working class students or in general class-specific differences of pathological tendencies among students and academically trained persons has decreased (cf. on this problem complex Jackson, 3455; Kleiner and Parker, 8107; Cohen et al., 3236; Parekr et al., 1845; Tuckman and Kleiner, 8179). Here also the interest has been transferred to preventive socio-technical strategies through whose aid still remaining aspirational disparities are reduced and absorbed, for example in socio-therapeutically controlled 'cooling-out' phases (cf. B. R. Clark, 1269). Exceptions are here only the studies by Kosa et al. (3480) on sex-specific varying subjective adaptation conflicts of 'upward mobile' students or by Kysar (8116), Brown and Richek (19036) on tendencies of psychic conflicts of so-called commuters (students from the lower socio-economic strata in non-elite colleges living at home) as well as some of the cited dropout studies (cf. Summerskill, 3776). Only few authors deal with the students' economic dependence on their parents or on welfare institutions as a condition and triggering framework for psychic conflicts (cf. Bios, 8031-32); Musgrove, 1517; 3907-09; Habermas, 1569; Kubie, 8113; Sanford, 8161). 3.4.5.3 Sex-related differences and sexuality Sex-specific differences in personality formation during adolescence and period of studies are emphasized in the USA by Freedman (3337), Douvan and Kaye (3291), Abrams (19018), Binger (8025). Other studies on specific psychic conflicts and disturbances among female students partly derived from the socio-structural and cultural discrimination of women 375

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in the academic achievement and professional system were made by Flory and Symmes (8073), Kysar (8116) in the USA, Richter (19150) in West Germany, Sysihaiju (4038) in Finland, and Grassel (4058) in East Germany. The significance of sexuality for the formation or avoidance of psychic disturbances during the period of studies is still considered in a biased manner, often out of concern for morality and social stability in higher education: cf. the report by the Group on the Advancement of Psychiatry on 'sex and the college student' (8090), Farnsworth (8068), Morgan (19083). Surveys on the sexual behaviour of students have been made by Ehrmann (3305), Wright (8209), Greene (18016), Freedman (3337), Kirkendal (3476) Gross (19062) Cann et al. (14113), Ellsworth (12471), Rogers and Havens (3681) in the USA; in West Germany by Giese and Schmidt (14578), Ziolko (19166), in Scandinavia by Karlsson et al. (14681), in Great Britain by Spencer (8239), in Poland by Wegrzynowski (4135), and in international comparison by Christensen and Carpenter (19002). The problems of married students are described by Neubeck (3575), Ziolko et al. (19169), Christopherson and Yandiver (14125), partly with attempts at theoretical articulation from a social psychiatric viewpoint. Critical social analyses of repressive student sexuality have been formulated by Jencks (8102) in the USA, by Reiche (19149), Bacia (8244), Haug (19136) in West Germany. 3.4.5.4 Subcultures The 'classical' study on the significance of student subcultures for the triggering and development of psychopathological tendencies is the one by Davie and Hare on the 'button-down collar culture' of Yale1. Wedge and Davie (8190) and Mechanic (8132) emphasize the hindrances in value-orientations and group dynamics in student subcultures for the realization of pedagogical-therapeutic personality ideals of American 'liberal education'. On the other hand, further studies have researched the possibilities for suitable utilization of subcultures as pedagogicaltherapeutical transmission media for educational goals of institutions, cf. Rust and Davie (8058), Freedman (130), Glasser (19059). 3.4.5.5 Extra-curricular activities Among the most easily manipulable variables from the viewpoint of a 1. Davie, J. S., and A. P. Hare: 'Button-down collar culture, a study of undergraduate life at a men's college.' Hum. Org. 14,1956: 13-20.

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universally preventive institutionalized university psychiatry are the socalled 'extra-curricular activities': sports, parties, cultural presentations, fraternities, clubs, etc. Socio-psychiatrical studies on this phenomenon in the USA have been provided by Davie (8054), Wright (8208), Abrams (19018). Sociological surveys indirectly relevant to prognosis and prevention in this field have been provided by Anderson (3125), in the USA; Eggleston (7186) in Great Britain; Bourdieu and Passeron (4001) in France; Jaeggi et al. (4028) in Switzerland; Gakusai Mondai (4048) in Japan; Abadan (4201-3) in Turkey; Brown (1713) for the USSR; and Velazquez (7332) for Latin America. 3.4.6 Academic educational goals andpsychic conflicts The various attempts to re-define or to influence the educational goals of the university from the viewpoint of university psychiatry are the result of the various theoretical viewpoints explained above. The psychiatrists more oriented to social hygiene desire a university system which defines its goals in terms of the concepts of mental health (cf. Farnsworth in the USA, Malleson in Great Britain). The theoreticians more interested in 'normal' personality formation and its conflicts and crises adhere to their heritage of 'liberal' intellectual education goals and the release and sublimation of drive impulses appropriate to these goals (cf. above all Sanford). The representatives of existentialist-phenomenological psychiatry recommend, on the other hand, concepts of university teaching and learning which influence the comprehension and acceptance of unresolvable antinomies and ambivalences in 'complex industrial society'; see on this point, particularly Berdie (8023). The psychiatrists of behaviour and communication therapy (e.g. A. Frank, 8075) propagate models of university pedagogy which apply the concept of 'double bind' as developed by Ruesch and Bateson (19091) and Haley (19065). The student is supposed to learn to react actively to objective contradictions with 'innovative, conflict-resolving' behaviour. 3.4.7 Therapy programmes In addition to the theoretical concepts and strategies of therapy and prevention mentioned and discussed in the introduction there are also a number of therapeutic devices and organizational forms which deserve attention. 377

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3.4.7.1 Forms of individual therapy Blaine (8028) has produced a catalogue of the possible devices of student psychiatry in the United States and has declared his opinion on each of these devices positively or negatively; the catalogue includes the following characteristic points: 1. the transformation of environment, 2. the correction of wrong information, 3. transference, e.g. the 'replacement' of a father image, 4. aids to self-recognition, 5. 'reality tests' as part of 'suppressive therapy', 6. indications of actual psychoanalysis, 7. group therapy, 8. medication. The 'short-term psychotherapy prevalent in almost all student psychiatric services in the United States concentrates on devices 2, 3, 5 and in part, 7 (cf. Wedge, 8184). Only in cases of examination phobia, sleeplessness and states of acute anxiety is medication used. In countries where university psychiatry is just coming into being, as for example in West Germany, (cf. Ziolko, 19158) the exclusion of actual psychoanalysis is not as significant, since the influence of revisionist neo-psychoanalyis or of behaviour therapy and existentialist schools of therapy are probably the greatest in the USA. (Cf. for example Mowrer, 19084). The inclusion of reference persons with an indirect therapeutic impact, for example, in the form of 'double talk' is described among others by Dalrymple (8050) with regard to university faculty members, Brill (19034) with regard to the members of the family and Werner (8193) with reference to religious communities at universities. Spurlock and Alleman (8173) discuss the admission of patients into university hospitals in psychiatric emergencies. 3.4.7.2 Prevention and mental health programmes In this field university psychiatry has utilized much from the psychological research from the education system in general (cf. the survey on 'Mental health in education', by Bower, 98). Bower (8034) and Kubie (8111) have attempted to provide the conceptual limitation of 'mental health' demanded by educators and university administrators, which, however, can hardly be provided by psychiatric theory, whereas R. W. White has criticized the dominant definitions of mental health as nonscientific adaptation ideologies (geared to the respective socio-structural need). The most prodigious attempt at mental health to date has been undertaken by a group at Florida University in the USA with a 'Student Mental Health Project', by examining the possibility of introducing a mental health programme according to the principles of preventive public health admini378

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stration at a community study level, i.e. through the earliest possible detection and prevention of all emotional problems as well as the isolation of all causative factors, including those variable factors subject to manipulation :cf. Wright (8280), Barger and Hall (.3159, 8020-21). Other descriptive and programmatic studies on preventive programmes have been submitted by Malleson (8221-23, 8234), the World University Service (8008-9, 41-42) in Great Britain, Danon - Boileau (8252) in France. Sinnett (19095) reports on a 'rehabilitation living unit' at Kansas State University. 3.4.8 The organization, economic situation and administrative connections of the psychiatric services The predominantly clinically practical and socio-technological character of university psychiatry is reflected in a number of descriptions and analyses of the organization of university psychiatric services: The organization of university psychiatric practice has been discussed and described in the form of personal experience reports and organization taxonomies by Darling (8051), Hanfmann (8093), Kovar (19073), Whittington (8203), Summerskill (8175), Friedman and Coons (19065) and - as a comparative survey on student health services at 18 American universities-Cook et al. (19043) in the USA; Douady (8253), Neel (8255) and Brouselle (8251) in France; Malleson (8231,8234),Mair(19118),Finlay(8218)andCumming (19113) in Great Britain; Lange-Undeutsch (19139), Ziolko (19158) and Bacia (8244) in West Berlin; Friedrich and Janke (19133) and Dorner (19132, Chapter IV) in West Germany; Heringa (8259) and Querido (8263) in the Netherlands; Micek (19175) in the CSSR; Cesa-Bianci (8258) in Italy; Kaila (8260) in Finland; Akimoto (8265), Ishikawa (8268), Marui (8270) and Tsuju (8277) in Japan; Mehra et al (8283) in India; Monteiro (8285) and 'The problem of student failure' (8287) for Southeast Asia. Douady (8253), Malleson (8231), (8234), Querido (8263) and Dorner (18) provide an intensive examination of the conditions of social and university structure giving rise and functional significance to university psychiatry in their respective countries. A survey of the distribution of university psychiatric counselling and treatment centers in Western and coercively underdeveloped countries has been provided by the World University Service in 1955 (8008). According to this survey, the United States ranks in first place, followed by most Western and Northern European and South 379

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American countries. In only 30% of the countries surveyed was psychiatric treatment available at a majority of the universities. The rôle problems of the psychiatrist at the university (definition, rôle expansion, delimitation from other rôles, i.e. pedagogical, administrative, scientific, and political rôles, his relationship to 'clients') have been discussed from varying points of view by the Group for the Advancement of Psychiatry (8089) Zinberg (304), Farnsworth (8064), Szasz (19104) and Dôrner (18). The tendency toward independence from the university administration among university psychiatrists has been approvingly and critically discussed by Wedge (8187), Farnsworth (8067), King (19070), Hanfman et al. (8093), Kovar (19073), Riesman and Jencks (in: 3697) and with respect to sexuality and homosexuality: Farnsworth (8068) and the GAP report on 'Sex and the college' (8090), with respect to alcohol consumption Straus and Bacon (3765) and in the border area between psychotherapy and so-called disciplinary cases Holmes (19068) and Bay (1228). At certain aspects some university psychatrists indicate the influence of economic factors (financing of therapy and psychiatric services, economic planning of student courses, cost-effectiveness programmes) on the formulation and consolidation of theory and the process of research: Whittington (8203) with respect to the genesis of so-called 'short psychotherapy', Snyder (8170) and Frank in a criticism of the trans-application of the selection and leadership methods of private business to student counselling (which practice is supported by other psychiatrists, for example Peck, 19088), Farnsworth (8062), Kubie (8113) and the Group for the Advancement of Psychiatry (8088) in their criticism of the economic rationality criteria applied to personnel counselling in both the university and in professional life as both too short-termed and too narrow in most cases. Funkenstein and Wilkie (21), Hanfman (8093), Funkenstein and King (8078) trace the weaknesses of university psychiatric research to the limited perspectives for professional careers and a 'comfortable salary', as well as to the fact that the financing of research projects is not provided by the universities. In Section III.5.1.1.2 we shall discuss more completely the reactions of a few representatives of student psychiatry to societal conflicts and the student protest movements connected with them which provide an insight into the degree to which their ideologies and interests are interdependent on those of university administrations.

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3.4.9 Inter-cultural comparisons and influences Because high-quality co-operation between therapeutic practice and systematic epidemiology on the one hand and social science research on the other hand has existed almost only in the United States until a few years ago, no interculturally comparative theoretical or empirical studies have appeared, with the exception of interculturally comparative sexology, which often resorts partially to the student population because of its more ready accessibility (cf. Christensen and Carpenter 19002; Simenson and Geis, 14023; Asyama, 3001), and a few isolated studies, for example Heath's (14007) study on models of personality maturation between the ages of 17 and 21 in various religious cultures among university students in the USA, Italy and Turkey or of a comparison of personality profiles and their psycho-pathological tendencies among students in Singapore and at Cornell University (USA). Murphy's (8286) study of psychic disturbances among students from five different ethnic cultures in Malaya permits limited comparisons. This study as well as the highly differentiated sociological theory of personality study by Damle (4227) on the development process of late adolescence among Indian students are both relevant as starting points for comparisons between the psycho-dynamics of personality development among students of Western and Asian cultures. The personal experience accounts by Millan (8280), Querido (8263), Monteiro (8285), Micek (19175), Cesa-Bianchi (8258) and Dorner's (18) study on the genesis of student psychiatry in West Germany are interesting for comparative evaluations of cultural and socio-structural resistance against the introduction of student psychiatric services at universities.

4 Intercultural subjective development processes academic relations

and

international

4 . 1 THE FIELD OF RESEARCH IN CULTURAL, HISTORICAL AND GEOGRAPHIC PERSPECTIVE

The research reported upon in this section is closely related to the studies on inter-cultural influences on academic systems involved in societal structural change on which Chapter I reports, in particular the sections I, 1: Academic education and the intellectual professions in older pre381

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industrial societies and in the process of the original transition to capitalist industrial structures; I, 2: relating to societal formations of early emulative transformation from pre-industrial to capitalist industrialist structures; and in section I, 5: relating to processes of emulative transformation from pre-industrial to industrial societal formations. What is involved are, firstly, the intercultural influences of older, preindustrial academic models (classical antiquity and Islam) on mediaeval and early modern Western universities; secondly, the expansion of the mo st highly influential mediaeval and early modern Western European models into colonial zones and border areas of Western European culture (Central and Eastern Europe, North America, Latin America and Australia); thirdly the expansion of the most influential 'modern' university models (e.g. the German neo-humanistic and the French Bonapartist models) into the other countries of Western culture (including America); fourthly the influences of these university models in societies engaged in the process of the early emulative transformation to capitalist industrial structures, i.e. in Russia, Turkey, Japan and China since the second half of the 19th century; fifthly, the higher education and science policy relations which were relevant in the inter-action between the capitalist-imperialist powers and the coercively underdeveloped countries of the 'Third World'; sixthly, the expansion of the Soviet university model in the other revisionist-socialist transition societies as well as into the People's Republic of China during the first phase of the Chinese socialist revolution; and finally the influences of the university and education models of the revisionist socialist and the revolutionary-socialist countries on the coercively underdeveloped countries of the 'Third World'. With regard to these partially cumulative inter-cultural influences in specific epochs and regional areas of societal structural transition, the relevant historical, macro-sociological and, in part, economy of education studies have been touched upon in Chapter I. In connection with the research reported on in Chapter III on the organizational and subjective aspects of academic training and work, an attempt has been made to demarcate as a research subject the organizational and inter-subjective communication or mediation of inter-cultural influences on academic systems or - with their aid - on other social areas without separating them arbitrarily from the aspects of social structure and socio-structural transition. Because these subjective communication processes in intercultural relations can be researched by utilizing the epistemological tools of the social sciences, only in societal situations 382

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currently accessible through the memory of relevant informants the result is obviously a limitation to the three last-mentioned settings of inter-cultural academic relations. These consist of the three current socioeconomic base models: 'First World' (highly developed capitalist societies) - 'Second World' (highly developed socialist transition societies) 'Third World' (coercively underdeveloped, capitalistically semi-developed and revolutionary emergent countries). Within each of these three 'worlds' involved in an inter-cultural relation triad there exist, of course, further ethnic-cultural and ideological differentiations or socio-economic disparities: the disparities between the economic-military super-power societies of the USA and the USSR on the one hand and the national societies dependent on them; disparities within the capitalist 'First World': between the European and the semi-developed Western colonized societies (South Africa, Australia, Israel), or between the USA and Canada, or between Western Europe and Southern Europe; as well as differences within the 'Third World': between the revolutionary-socialist countries, the regimes under imperialist control and the nationalist bourgeois systems partially dependent on the Soviet Union or on capitalist powers (e.g. Egypt). The academic relations between these culturally, ideologically and socio-economically separated societal formations are almost always characterized by dominance on one side, be it in the form of a higher level of socio-economic development in general or in the form of an additional direct politico-economic dependency or in the form of an ideological or political dominating influence. Exceptions to this rule are the academic relations between the USA and the USSR, and those between virtually equally socio-economically developed capitalist countries (for example within the European Economic Community or between the EEC countries and Japan). In research as well as in the socio-political relevance and the extent of relationships, those relations between the highly developed countries of the 'First World', above all between the USA (followed by Great Britain, France, and West Germany) and the coercively underdeveloped countries were dominant; the relations between the USA and Western Europe as well as between the USA and Japan take second place; few studies exist, on the other hand, concerning the academic relations between the individual Western European countries, or between Western Europe and Japan, between the 'Second World' and the revolutionary socialist countries of the 'Third World' (China, Vietnam, Cuba, and 383

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Korea), or between the latter and the academic systems of the rest of the 'Third World', or the 'First World' - in contrast in many cases to the significance of these relations: for example, the expansion of the Soviet university models as well as Soviet scientific and training aid in the other revisionist transition systems and in the revolutionary 'developing countries' - China, Vietnam, and Cuba - where these models have been critically received or revolutionized, or on the ideological influences of the Chinese Cultural Revolution on students, teachers, and scientists in the 'Third World' and in the 'First World' (cf. Kuhn, 12981; Nee, 13444). The following survey is thus of necessity limited to the analytic, programmatic and critical literature from Western capitalist countries in which the goals, strategies, organizational forms and subjective development processes and results of inter-cultural academic relations between these countries and the coercively underdeveloped countries as well as between the USA and Japan and the USA and Western Europe have been treated or criticized. The Western capitalist power elites who control the above-mentioned academic relations have almost exclusive access to the analytic and human-technological apparatus of modern social science in order to 'optimalize' these relations in their interests. Even the revisionist socialist transition systems seem, up to now, not to utilize their emergent social technologies in the shaping of their academic foreign relations. For the revolutionary socialist countries and movements, an application of such technologies to their mutual relations, in the field of students and the intelligentsia, would not be very useful, not to mention the fact that the 'counter-insurgency' strategies and suppresive measures of the capitalist power elites make a public discussion of their strategies and organizational forms possible only to a very limited extent1. In the following research survey we have attempted to collate the liteture according to three categories: 1. the epistemological - the participating disciplines, theoretical positions and paradigms or concepts of research and of social technology including the underlying politico-economic interests 1. Cf. for example the preparations for the suppression of the American revolutionary organization 'Students for a Democratic Society' which give great emphasis to the positive attitude of the SDS towards the Chinese cultural revolution and the Cuban revolution, (cf. U. S. Federal Bureau of Investigation, Annual report, 1969, further 'Domestic counterinsurgency', 10330) as well as the infiltration of many political foreign student organizations and national student leagues by the CIA (cf. Stern, 10221; 'Three Tales of the CIA', 10223; Triesman, 12247).

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2. the taxonomical - the goals and fields of subjective development processes in international academic relations 3. the ecological - according to phase and organization forms, categories of academic groups, as well as according to regions and countries among which such relations are maintained.

4 . 2 EPISTEMOLOGICAL PROFILE

4.2.1 Politico-economic

interests and the genesis of theories and concepts

Similar to research and therapy in student or university psychiatry both the research and the development of programmes in the field of academic inter-cultural relations are highly determined by the interests of the state and private institutions responsible for the existence of this special field at all; this applies particularly to the epistemological character of this field. As long as international relations among scientists and study in foreign countries were basically financed and sponsored by scientific scholarly associations and their private and royal patrons and/or done at the private expense of the upper classes, this resulted in nothing more than cultural philosophical and cultural historical literature which served to enhance the cosmopolitan self-understanding of the culturally educated upper classes (cf. Brickman, 58 and 1142). However, beginning with the state-monopolistic re-organization of the capitalist economic systems after the Great Depression and during the Second World War, the governments in the USA, England and France began to incorporate international academic relations into their welfare-state programmes, military and occupation policy and trade policy functions and to contract statistic and empirical social science studies in order to demonstrate and control the effects of government-sponsored inter-cultural relations. In this sector, too, - as in any other area of government spending - it became necessary to justify the use of public funds and the administrative organization of a field (which had up to that point been academically autonomous and private) before tax-payers, universities and economic leaders (cf. Walton, 10302). In particular, the US American social sciences which had participated in the socio-technological missions connected with the waging of the Second World War, offered their services in this area. In addition the governmental organization of academic foreign relations appeared to be the obvious continuation of the war with other means: as an ideological in385

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doctrination of the academic strata of the defeated and occupied countries, as active participation in the establishment of new academic systems in the defeated countries as well as in the dependent countries left over from the era of Western European colonialism, and finally - since the beginning of the Cold War - as an attempt to 'innoculate' the academic strata of the noncommunist world in general against the influence of communism (cf. W. Adams, 10231). Re-education and anti-communist propaganda programmes for students and persons with academic training demanded criteria and techniques for 'induced attitude change' in intercultural communication which appeared to be available from the resources of social psychology and cultural anthropology (cf. Bureau of Social Science Research, 3043). With the transition from colonialist to neo-colonialist policies on the part of the Western powers in the Third World new tasks arose in connection with the incorporation of international academic relations into a differentiated system of indirect economic and social control in formally politically independent countries. In addition to the research and techniques for induced opinion and attitude change, sociological and political science analyses of the position and influence of students and elites in the societal and politico-economic structure, in the military and in the general culture of these countries became necessary as a prerequisite to long-range strategies for the institutionalized interlocking of the academic systems and strata of the developed capitalistic countries and the coercively underdeveloped countries subject to them(cf. for example Esman et ah, 10256; Bureau of Social Science Research, 10242). The failure of indirect neo-colonialist domination strategies, euphemistically termed 'soft-rule', against the social revolutionary liberation movements in Cuba and Vietnam, and the resonance of these movements in other countries of the Third World, in particular among students and intellectuals, lead to the incorporation of social science programmes on intercultural relations into the counter-insurgency programmes of the U.S. armed forces and other government agencies as promoted by the Kennedy administration (cf. Sander 10387; Beck et al., 305; Elliott, ed. 312; Goldsen, 10201; Lybrand, ed. 10274; Kecskemeti, 10210; Dodsone/a/., 10252; CRESS, 10243; Holbrook, 10473; Research Analysis Corporation, 370, 10286; Fallah, 279; Sorensen, 10476). The following tasks were projected: - to research and optimalize the inter-cultural co-operation of American and indigenous 'experts' and 'advisory' functionaries during conditions 386

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of civil war and rebellions or in the psychological warfare waged against liberation movements and their sympathizers (Viz. for example the early programmatic outline by Bray, 10318; further Guthrie, 10074, Waltman, 12358; O'Brien et al., 14042; Askenasy et al., 12271; Research Analysis Corporation, 10286; Stewart, 10291; U. S. psychological operations, 10299); - to strengthen the American experts' 'inter-cultural sensitivity' for the prognosis of enemy reactions (cf. for example CRESS, 10243; Stewart et al., 10292; Dahle, 10248; Foster and Danielian, 10260-1; Danielian and Stewart, 10250; Niehoff and Anderson, 10280; Hoehn, 12303; Slate, 10495; H. P. Phillips, 13622; Houk, 10268; Campbell, 10533; 'Inter-cultural communications guide', 10270; R. A. Scalapino, 13626) or as the case may be, for the troubles or experiences of America's allies (cf. Holmes, 14008; Kim, 10441; 10442; Adams, 10231; Stewart, 10291; A.R.G., 10233; Eckstein, 10199; Hudson Institute, 10206; Schonfield and Eckstein, 13192); - as well as to organize and evaluate the technical and political education of military elites among the pro-American regimes in the Third World (cf. Pye, 1195; Dunn, 12291; 'Nationbuilding contributions of 12 Latin American Air Forces', 10474; 'The foreign military trainee's experience', 10259). Some of the 'basic research' programmes of the Air Force and the Navy have been staged, in a long-range perspective, in this context (e.g. 'Risk taking and negotiation', E.T.S., 10287; 'Role of positive motivation', 10218; 'Comparative study of normative behavior', 10195, 14000, 14040; 'Interpersonal perception and the psychological adjustment of group members', 14005; 'Cross-cultural study of role perceptions', 14048; 'Persuasion and source-credibility', 14054). At the same time new inter-cultural research and training tasks arose for political scientists, management training personnel and 'human resources' economists as a result of the rapidly expanding process of the international concentration of capital into multi-national corporations and capitalist world trade institutions, involving on the one hand more specific ideological and political integration between the top management personnel of the various national capitalistic power elites (cf. Layton, 10211; Bass, 10193; Business International, 12280; McCreary, 10278; Aron, 10192; Shiver ed. 10289; 'Identifying and developing managers' 16030; 'Long-range planning ... in Europe', 16051; Vernon, 16081, 387

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H. Koch, 16102; Taylor, 10294; Useem and Useem, 3118), and, on the other hand, the control and palliation of so-called 'brain-drain effects' which arose as a result of the economic power concentration of the USA for the other capitalist countries (cf. Adams, 16088; Cooper, 16092; Gilpin, 16095; Knoppers, 16101; Welson, 10214; Mandel, 10277; Cognard, 16015; Chorafas, 12045; Spencer and Woroniak, 16113; Wolley and Heller, 16115). Today the following institutions representing the capitalist power centers are leading in the initiation and promotion of social research and social technology in the field of 'inter-cultural academic relations': US American and British foundations which for decades have been promoting and patronizing inter-cultural exchange processes in the interests of private industry aimed at the ideological integration of political and economic elites (cf. 10237, 10281, 10267); the US Departments of State (10224, 10242, 10297, 10302), Defense (particularly the Air Force, cf. 10299-301), Health, Education and Welfare (cf. 10217); the US Information Service (10298); the US Agency for International Development (10525, 10527, 10561, 10568); the US Peace Corps (10245-6, 10283, 14030, 14046); the US American AFL/CIO labor union bureaucracy which maintains an agency for the training of leading union functionaries from the Third World (cf. 10526, 10534, 10273); West German foundations controlled by the major political parties and co-operating with US agencies (Ebert-Stiftung, Adenauer-Stiftung, German Development Institute, cf. 10291); the development policy agencies of the British, French and West German governments; planning and service institutions for the multi-national corporations such as the Stanford Research Institute (SRI, 10488, 12686), Business International, Inc., National Industrial Conference Board as well as several Business Schools of major US universities (cf. 10569); the development and educational policy agencies of the international supra-and semi-state organizations of the capitalist world system (OECD, NATO, EEC, Council of Europe, Pan American Union); agencies serving urban governments in the us (cf. Eagleton Institute, 10471); the associations of us universities (cf. 10289, 10535-7, 10541) as well as of certain other professional and educational organization (cf. Holloway, 10266; Alger, 10234; Horowith, 10267). The central clearinghouse for almost all private and public academic relations and exchange programmes between the USA and other countries is the Institute for International Education (I.I.E.) in New York which was founded in 1919 by 388

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private business groups and has subsequently been given the task by the government and leading business umbrella organizations of co-ordination and technical administration of most of the programmes (cf. 10269,10281). It became known in 1967 that the American intelligence service CIA had gained influence in many organizations which promoted international academic relations by personal infiltration and through a system of apparently independent foundations, and, in addition, that the CIA is represented in all us government agencies which promote international cultural relations (cf. Stern, 10221; Triesman, 12247). This process of the functional growth of studies on international academic relations in the interests of the capitalist power elites and their educational establishment can be easily recognized by the perusal of the multiplicity of the disciplinespecific research approaches and the concepts of research and social technology and their dates of origin. In addition, it is significant to note that the domination strategies of the Western capitalist power centers with regard to the Third World are not being passively accepted by critical and socialist students and intellectuals. Thus, in the last few years numerous attempts have been made to critically analyse the domination strategies in the field of international academic relations and to develop strategies of resistance against them 1 . 4.2.2 Participating disciplines and epistemological perspectives The multiplicity of the discipline-oriented approaches to research and human technology as well as to their criticism and the numerous epistomological perspectives may be characterized by the following typological list in which each category is represented by a few of the more representative studies: - Cultural historical and cultural sociological studies on long-range influence processes between various national academic systems and elites 1. For guides and documents clarifying the network of agencies involved in counterinsurgency planning and research cf. Clare, 10360; Brightman and Klare in NACLA Newsletter 4 (1), Mar. 1970; NACLA research methodology guide - all available from NACLA, P. O. Box 57, Cathedral Sta., New York, N. Y. 10025; as well as the special issue of The Student Mobilizer (1029 Vermont, N. W. Suite 907, Washington D.C., 20005), April 2,1970. For current information and follow-up consult the research collectives NACLA (North American Congress on Latin America); Africa Research Group (P. O. Box 312, Cambridge, MA 02138); and Pacific Studies Center (1963 University Avenue, E. Palo Alto, CA 94303) and their bulletin Pacific Research & World Empire Telegram. 389

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with emphasis on cultural historical sence-understanding interpretations (e.g. of biographical sources) with only a limited degree of generalization: Arasteh(1129,2005),Brickman(1142,1143), Herbst(1162), Saneto(1198), Schwantes (1025-6). - Cultural anthropological studies on the 'origin cultures' of foreign students, on processes of acculturation and the genesis of new syncretic mixed cultures known as 'third cultures': Dubois (311), Hodgkin (1163), Owada (1191), Textor (1207), Bennet etal. (3040), J. Useem and R. Useem, (3119), Stanley (4200), M. Mead (12327). - Socio-psychological research on attitudes and stereotypes, in particular on stereotypes of nations, races, societal systems and on processes and techniques of persuasion and attitude change in intercultural situations: Kelman (in: 298), Coelho (3052), Smith (ed. 3114), Sewell and Davidsen (3110), J. Useem and R. Useem (3118), McGinnies (4065-7), T. Becker (14029). - Psychological theory-of-learning research on inter-cultural learning and inter-cultural psychic adaptation problems: Aich (3037), Danckwerts (65, 3054), Frohlich and Schade (3065), Schade (14044), Lysgaard (3087), Singh (3113), Watson and Lippitt (3121). - Socio-psychological studies on the group dynamics of intercultural communication and adaptation: Herman and Schild (3076). - Studies in personality theory and related essays, for example on the adolescent phase in intercultural transition situations involving culturally differentiated definitions of 'adolescence' or on the theory of the stimulation of achievement motivation: Coelho (3053), Danzig (in: 298), Danzig et al. (14031), I. Fishman (in: 298), Roucek (3101); - Socio-psychiatric studies on the psychic and psychosomatic disturbances and conflicts among students in situations of great cultural distance or racial discrimination: Bastide (3010), Coelho (3052), Hare (8005), Shattuck (3112), A. J. W. Taylor (8014), Werner (8193), Evrard (14033), Jahnke (19014). - Socialization theory works from the theoretical perspectives of personality psychology (Colson, 12284; J. Fishman, in: 298; Lambert and Bressler, 3085), structural functionalism (Aich 3037; Schattuck, 3111) or symbolic interactionism (Morris, 56). - Status-and-stratification sociology analyses, which proceed for the most part from reference group theorems, on the intensification of conflicts between origin status and foreigner status in intercultural situations and on 390

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the status careers of students who have studied in foreign countries in their own societies: Morris (56), Schuiteman (3104), Selltiz et al. (3109), Schattuck (3111), Storm and Finkle (3116). - Organization-and-institution sociology studies on the relationship between subjective developments and the institutional and organizational setting: Owada (1191), Textor (1207). - Community sociology studies on the relationship of social groups in a community to the problems and organizations of intercultural exchange and visitor programmes and to the guest groups from foreign countries : Deutsch (3058). - Political science analyses and guidelines for the strategy of informal or institutional influencing of foreign societies with the aid of academic intercultural relations or for the derivation of goals and organization strategies of academic intercultural relations with reference to the priorities of foreign policy or 'world interior policy' on the part of the Western capitalist powers: Coombs (308), Elliott (ed. 312), Hanna (4192 and in: Bureau of Social Science Research, 10242), Fraser (ed. 1065), Johnson and Colligan (1167), La Palombara (1173), Useem and Useem (3118-9). - Theory of education studies, for example on intercultural political education (Almond, in: 298) or on the goals of academic professional training in inter-cultural programmes (Kelman, in: 298); - Contributions to the critique of political economy of international academic relations in the epoch of imperialism: for example on the forms of cultural imperialism and scientific imperialism in their effects for the people objectified through strategies for the realization of capital: Stiebitz (12350), Deppe-Wolfinger (12059). Because of the higher, state-monopolistic degree of organization of the special field 'intercultural education' - in contrast to secondary socialization research within the context of academic training and professional careers - inter-disciplinary theoretical and politically oriented discussions among representatives of individual disciplinary approaches to research are much more frequent here, in the USA most often in the form of socalled 'inter-agency conferences' organized and financed by interested Federal departments, agencies or their corresponding advisory commissions (cf. for example the following conference reports, expert surveys and multi-disciplinary symposia: Lipset et al., 258; Bureau of Social Science Research, 10242; Fraser, 1154; Elliott, ed. 312; Cormack, 60; Walton, 10302; Cussler, 63; Humphrey, 318). 391

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Nevertheless all of this effort has resulted in only very few inter-disciplinary approaches to research in the more exact meaning of the term. One of these approaches has been the attempt by Kelman (in: 138) to combine psychological and political science theories in research on ideologies and stereotypes in intercultural academic relations; another such attempt is that of Ruth and John Useem from Michigan State University on the genesis and imperialist utilization of so-called 'third cultures', for example of bi-national sub-culture systems of more highly qualified personnel integrated into the governmental and economic relations between a 'host country' and the USA.

4 . 3 CONCEPTS OF RESEARCH AND SOCIAL TECHNOLOGY

The relevant paradigms and concepts reveal the far-reaching integration of this field of social research and social technology into the planning and evaluation of state and private business intercultural education policy even more accurately, particularly if compared with the concepts in the research field of 'intracultural subjective development processes' (See above, section III.2.2). 4.3.1 Cultural-anthropological concepts As can be expected a series of paradigms proven in the field of cultural anthropology research have been utilized, predominantly theorems and concepts from acculturation research (Aich, 3037; Bennet et al., 3044; Stanley, 4200; Danckwerts, 65; Gezi, 3067). The paradigm o f ' sub-culture' however, is utilized only infrequently in contrast to the studies on intracultural development processes (Textor, 1207). Further central cultural and social anthropological paradigms are utilized in the analysis of various dimensions of the process of acculturation : 'moral co